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Please site this article as: Ng, A.K.Y., Padilha, F. and Pallis, A.A. (2013). Institutions,
bureaucratic and logistical roles of dry ports: The brazilian case. Journal of Transport
Geography, 27, pp.46-55.
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1

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3&*$#4 $5+ )*,6!/!," +73+*!+"-+#

AbsLracL
Many research works on dry porLs, assoclaLed dry porLs wlLh enhanced seaporL efflclency,
rellevlng con- gesLlon wlLhouL (slgnlflcanL) capaclLy expanslon. Also, Lhey poslLed how dry porLs
belng essenLlal ele- menLs ln Lhe compeLlLlve poslLlon of seaporLs, as Lhey acLed Lo faclllLaLe
access Lo (overlapplng) hlnLerlands. Powever, Lhose focuslng on how lnsLlLuLlons could
sLrengLhen (or dlsslpaLe) Lhe bureau- craLlc and loglsLlcal roles of dry porLs had remalned scarce,
especlally on developlng economles. Pence, Lhrough lnvesLlgaLlng Lhe recenL developmenL of 10
dry porLs ln four 8razlllan sLaLes, Lhe paper lnvesLlgaLes how lnsLlLuLlonal framework affecLs Lhe
bureaucraLlc and loglsLlcal roles of dry porLs ln emerglng econ- omles. 1he paper poslLs LhaL Lhe
8razlllan lnsLlLuLlonal framework ln place has acLed as causal facLors ln sLrengLhenlng Lhe
bureaucraLlc roles of dry porLs whlle aL Lhe same Llme dlsslpaLlng Lhelr loglsLlcal roles. 1hrough
esLabllshlng Lhe causal relaLlon beLween Lhese forces, Lhe paper provldes lmporLanL lnslghL on
Lhe lmpacLs of lnsLlLuLlons on LransporLaLlon and reglonal developmenL ln dlfferenL geograph-
lcal reglons.

89 !"$*&.%-$!&"
20
1he rlse of developlng economles ln lnLernaLlonal Lrade was marked by a LransformaLlon
ln LransporL loglsLlcs Lowards lnLegraLlon of funcLlons along Lhe supply chaln and ln Lhe
role of porLs. 1hls LranslLlon enLalled an lncreaslng sophlsLlcaLlon of loglsLlcs coupled
wlLh lnsLlLuLlonal reforms Lo lmprove porL managemenL, regulaLlon and operaLlons. WlLh
Lechnologlcal lmprovemenLs, cargoes should spend less Llme aL LransporL nodes,
demandlng fasLer dellvery Llme and Lhus lower cosLs for shlppers.

1he rapld expanslon of lnLernaLlonal Lrade, and Lhe esLabllshmenL of mulLlmodal supply
chalns around Lhe world, had posed slgnlflcanL challenges for seaporLs, wlLh lnLenslfled
lnLer-seaporL compeLlLlon conLrlbuLlng Lo Lhe blurrlng of boundarles demarcaLlng 30
speclflc forelands and hlnLerlands (Peaver, 2002). 8espondlng Lo such challenges, ln
varlous parLs of Lhe world, especlally developed economles llke Lurope and norLh
Amerlca, seaporLs boughL ouL exlsLlng dry porLs so as Lo conLrol Lhe supply chaln
(noLLeboom and 8odrlgue, 2003). Also, Lhe ablllLy of lnland reglons Lo compeLe ln
lnLernaLlonal Lrade largely depended on Lhelr capaclLles Lo communlcaLe wlLh
lnLernaLlonal markeL acLors Lhrough efflclenL physlcal movemenL and lnformaLlon flow.
2
1o achleve LhaL, some acLlvlLles lnlLlally carrled ouL wlLhln seaporLs have been shlfLed Lo
dry porLs, l.e., lnland nodes, complemenLlng lnLernaLlonal and domesLlc LransporL
servlces by provldlng lnLermodal connecLlvlLy and a wlde range of servlces relaLed Lo
cargo processlng, sLorage, consolldaLlon, dlsLrlbuLlon and cusLoms brokerage. 40

1he slgnlflcance of dry porLs was wldely recognlsed Lhrough exLenslve academlc
research and Lhrough markeL forces wlLh Lhe prollferaLlon of Lhese faclllLles around Lhe
world, boLh ln advanced and emerglng economles. ln 8razll, slnce 1993, Lhe number of
dry porLs had Lrlpled, wlLh Lhese faclllLles currenLly handllng around 30 of lLs
conLalnerlzed Lrades. revlous research on boLh advanced (cf. Slack, 1999, noLLeboom
and 8odrlgue, 2003) and developlng (cf. ng and Cu[ar, 2009a and 2009b) economles
hlghllghLed Lhe bureaucraLlc and loglsLlcal roles of dry porLs. 1he bureaucraLlc role
referred Lo documenLal procedures, declaraLlon of commodlLles, sanlLary lnspecLlons
and paymenL of cusLom duLles, bonded sLorage and processes for bonded Lransfer of 30
cargoes
1
. Accordlng Lo 8razll's lederal 8evenue, dry porLs were bonded warehouses of
publlc use where cargoes under cusLoms conLrol could be moved, sLored and cleared.
varlous publlc agencles operaLed lnslde 8razlllan dry porLs, such as Lhe lederal 8evenue,
SanlLary lnspecLlon Agency (Anvlsa) and Lhe MlnlsLry of AgrlculLure (MAA).

Cn Lhe oLher hand, loglsLlcal role referred Lo Lhe ablllLy of dry porLs Lo acL as a supply
chaln node provldlng servlces LhaL allowed for an lmprovemenL of cargo flows wlLh
poLenLlal cosL reducLlon and envlronmenLal galns. LxlsLlng sLudles focuslng on advanced
economles generally assoclaLed dry porLs wlLh lncreased seaporL efflclency, rellevlng lLs
congesLlon wlLhouL slgnlflcanL capaclLy expanslon
2
. 1hey also poslLed how dry porLs 60

1
Note that bureaucratic is different from administrative role. The main role of dry ports is to overcome
barriers created by excessive bureaucracy which originates mostly at federal level and not only
administrative problems. The activities stated above are all bureaucratic factors external to port
administration, which will be discussed further later in this paper.
2
For instance, Roso (2007) argued that the implementation of a dry port in Sweden linked by a rail corridor
to the port of Goteborg should alleviate port congestion by eliminating queues at port terminals, reduce the
risk of road accidents and limit carbon dioxide emissions. On the other hand, Slack (1999) proposed the
implementation of satellite cities as alternative to port expansion in already congested areas and as a viable
way to minimize environmental and social impacts.
3
were essenLlal elemenLs ln conLemporary seaporLs compeLlLlve sLraLegy, as Lhey acLed
Lo faclllLaLe Lhe expanslon of hlnLerland access. Powever, research addresslng how
lnsLlLuLlons could sLrengLhen (or dlsslpaLe) Lhe bureaucraLlc and loglsLlcal roles of dry
porLs had remalned scarce, especlally on developlng economles, wlLh a few excepLlons
belng ng and CeLln (2012), ng and Cu[ar (2009b) and ng and 1ongzon (2010) sLudylng
Lhe lmpacLs of governmenL pollcles on lndlan dry porLs, Lhough Lhey focused on dry
porL's compeLlLlveness, raLher Lhan Lhelr speclflc roles. 8ecognlzlng such deflclency, Lhls
paper lnvesLlgaLed how Lhe lnsLlLuLlonal framework affecLed Lhe bureaucraLlc and
loglsLlcal roles of dry porLs ln emerglng economles. 8y llnklng lnsLlLuLlonal arrangemenLs
and Lhe roles of dry porLs, we proposed LhaL Lhe lnsLlLuLlonal framework ln place - elLher 70
wlLh reference Lo Lhe enLlre naLlon and pollLy, or parLlcular relaLed arrangemenLs
regardlng Lhe seLLlng of dry porLs, acLed as causal facLors for Lhe presence of an
enhanced bureaucraLlc role of dry porLs whlle llmlLlng loglsLlcal ones. 8y esLabllshlng Lhe
causal relaLlon beLween Lhese forces and Lhelr unlque ouLcomes ln 8razll, we galned
furLher lnslghL on Lhe lmpacLs of lnsLlLuLlons on LransporL and reglonal developmenL.

1he resL of Lhe paper ls sLrucLured as follows. 1he LheoreLlcal background, sLudy area
and daLa collecLlon wlll be lnLroduced ln secLlons 2 and 3, respecLlvely. SecLlons 4 and 3
wlll analyze Lhe lnsLlLuLlonal envlronmenL of 8razlllan dry porLs, dlscusslng how
lnsLlLuLlonal arrangemenLs can hlnder Lhe lnLegraLlon beLween dry porLs and porL 80
Lermlnals, and creaLe a slLuaLlon of lnsLlLuLlonal llmbo for dry porLs. SecLlons 6, 7 and 8
comblne Lhe flndlngs Lo presenL Lhe bureaucraLlc and loglsLlcal roles of dry porLs ln
8razll. llnally, SecLlon 9 concludes Lhe paper wlLh pollcy lmpllcaLlons and suggesLlons for
furLher research.

:9 $5+&*+$!-,/ ),-;0*&%".
1he lmporLance of lnsLlLuLlons ln economlc developmenL was well esLabllshed (norLh,
1990, Wllllamson 2000, Pall 2003, Acemoglu and 8oblnson 2008). 1hese were rules,
procedures and paLLerns of behavlour - Lhe rules of Lhe game ln a socleLy (norLh, 1990)
shaplng pollLlcal, soclal or economlc lnLeracLlons. 8y glvlng and enforclng credlblllLles Lo 90
paLhs of change, Lhe formal rules, compllance procedures, and sLandard operaLlng
pracLlces LhaL sLrucLure Lhe relaLlonshlps beLween acLors ln varlous unlLs of Lhe pollLy
4
and economy (Pall, 1986) affecLed Lhe way socleLles evolved overLlme and hence served
as Lhe key Lo undersLandlng changes.

lnsLlLuLlons ln place almed Lo promoLe efflclency among LransacLlng parLners, mlnlmlze
dlsLrlbuLlonal confllcLs, and monlLor compllance. Any new condlLlons LhaL were LhoughL
Lo cause sLrucLural conLradlcLlons are addressed wlLhln Lhe esLabllshed framework !"#
paLh-shaped and -depended re-organlzaLlons (8oyer and PllllngsworLh, 1997). Pence,
changes wlLhln Lhe sphere of Lhe economy mlghL be llmlLed, as esLabllshed norms and 100
LradlLlons ln socleLles may resLrlcL esLabllshed economlc and soclal sLrucLures from
movlng Loo far from orlglnal forms Lhrough embeddlng/nesLlng Lhem lnLo long Lerm
lnsLlLuLlonal characLerlsLlcs (Wllllamson, 2000). ln Lhls respecL, new (hlsLorlcal)
lnsLlLuLlonallsm poslLed LhaL lnsLlLuLlons pose sysLemaLlc consLralnLs on lndlvldual and
collecLlve cholces, promoLlng cerLaln acLlons and (preferred) ouLcomes and pushlng non-
lnsLlLuLlonal acLors Lowards parLlcular sLraLeglc calculaLlons, so as Lo flL ln Lhe new
envlronmenL (cf. SLelnmo eL al., 1992, Pall and 1aylor, 1998).

WlLhln Lhe economlc sphere, arrangemenLs formlng Lhe consLrucL wlLhln whlch a
parLlcular secLor of Lhe economy, or even a speclflc lndusLry, operaLes represenL a sub- 110
seL of Lhe lnsLlLuLlonal framework. 1hese arrangemenLs mlghL have a profound lmpacL
on Lhe way LhaL Lhe economlc secLor (or parLs of lL) ln quesLlon evolve. noneLheless,
Lhey were a fracLure of Lhe broader lnsLlLuLlonal framework, wlLh Lhe laLLer belng
deLermlnlsLlc (aL leasL ln Lhe shorL Lerm) abouL Lhe deLalls of Lhese arrangemenLs. ln
oLher words, Lhese arrangemenLs exlsLed ln culLural and pollLlcal conLexLs LhaL deflne
Lhelr form. lor lnsLance, lnsLlLuLlons mlghL be forced Lo change by economlc and pollLlcal
pressures LhaL are elLher secLor speclflc or lmplled by changes ln Lhe broader sLrucLures
of socleLy. lndeed, Lhe quallLy of lnsLlLuLlons could lnfluence Lhe ablllLy of an economy Lo
prosper seLLlng naLlons aparL ln Lhe developmenL specLrum. CuoLlng Pall and !ones
(1999): 120

.dlfferences ln soclal lnfrasLrucLure (lnsLlLuLlons and governmenL pollcles) across
counLrles cause large dlfferences ln caplLal accumulaLlon, educaLlonal aLLalnmenL,
and producLlvlLy, and Lherefore large dlfferences ln lncome across counLrles."
5

Lxamlnlng Lhe lnfluence of lnsLlLuLlons ln dlfferenL economles, ue SoLo (2000) argued
LhaL efflclenL lnsLlLuLlons could add value Lo asseLs and promoLe wealLh creaLlon Lhrough
allowlng economlc players Lo lnvesL and speclallze. Conversely, lnefflclenL lnsLlLuLlons
can lncrease LransacLlon cosLs, e.g., excesslve bureaucracy, corrupLlon, Llme wasLage,
lnsecurlLy among economlc agenLs, eLc., Lhus reduclng Lhe lncenLlves of economlc 130
players Lo lnvesL and Lrade (Coase 1992). noLably, where aspecLs of Lhe lnsLlLuLlonal
framework were weak Lhey became vulnerable Lo manlpulaLlon by domlnanL groups.
!essop and CosLerlynk (2008) polnLed ouL LhaL when economlc forces soughL Lo re-
deflne speclflc subseLs of economlc acLlvlLles, Lhey Lended Lo manlpulaLe power Lo
secure resulLs LhaL were beneflclal Lo Lhem. Pence, as suggesLed by MarLlnsons (2002),
any governmenL's fallure ln provldlng an approprlaLe lnsLlLuLlonal envlronmenL mlghL
drlve economlc players Lo rely on lnformal, relaLlonshlp-based, and ofLen less efflclenL
pracLlces.

Also, changlng lnsLlLuLlons mlghL lnvolve dlslocaLlng pollLlcal and economlc forces, 140
affecLlng Lhe prevalllng balance of power. Acemoglu and 8oblnson (2008) noLed LhaL by
reformlng lnsLlLuLlons wlLhouL alLerlng Lhe balance of power ln socleLy or Lhe baslc
pollLlcal equlllbrlum could lead Lo Lhe replacemenL of one lnsLrumenL by anoLher. As
polnLed ouL by Pall (2003), lnsLlLuLlons changed lnfrequenLly buL when Lhey dld, lL ofLen
resulLed ln dramaLlc shlfLs cuLLlng across spaLlal scales. ln recenL decades, slgnlflcanL
changes ln global Lrade and loglsLlcs forced lnsLlLuLlonal changes wlLhln porLs, as
operaLlons falled Lo dellver Lhe levels of flexlblllLy, efflclency and lnvesLmenLs requlred
by Lhelr users (cf. Slack, 1999, ng, 2009). 1hls new envlronmenL has led Lo lncreaslng
unlformlLy ln loglsLlcs lnfrasLrucLure and secLoral arrangemenLs, as seaporL sysLems were
resLrucLured Lo adopL Lhe new forms of ownershlp and managemenL ln llne wlLh generlc 130
soluLlons, llke Lhe $%&'( *#+, -%&. /01%&2 3%%',". (cf. World 8ank, 2007). LssenLlally,
Lhese reforms polnLed Lowards lncreaslng roles for Lhe prlvaLe secLor away from dlrecL
publlc managemenL, wlLh corporaLlzed porL auLhorlLles belng esLabllshed wlLhln several
counLrles and reglons (ng and allls, 2010). Such convergence, and Lhe success of Lhese
reforms, mlghL depend on geographlcally conflned soclal envlronmenL and lnsLlLuLlonal
arrangemenLs, belng descrlbed by Pall (2003) as communlLles of pracLlce represenLlng a
6
sLrong counLervalllng force for conLlnual dlfferences. 8esearch on seaporLs around Lhe
world (for example: Alrrless, 2001b, Pall, 2003, !acobs and Pall, 2007, ng and allls,
2010) poslLed LhaL seaporL governance was deflned and resLrlcLed by speclflc
lnsLlLuLlonal condlLlons, leadlng Lo dlverslfled ouLcomes and developmenL Lra[ecLorles. 160
Slmllarly, sea- and dry porL reforms ln 8razll were also shaped by a comblnaLlon of Lhese
exLernal and lnLernal forces. 1he exLenL Lo whlch dry porL developmenL had been
lmpacLed by 8razll's culLural and pollLlcal forces would help Lo furLher esLabllsh Lhe
explanaLory powers of lnsLlLuLlons ln affecLlng changes ln developlng economles.


<9 #$%.2 ,*+, ,". .,$, -&//+-$!&"

Cur sLudy and analysls were malnly based on Lhe laws and pollcles lmposed by Lhe
8razlllan naLlonal CovernmenL (herelnafLer called Lhe 'lederal CovernmenL'), as well as 170
Lhe developmenL of Lhree 8razlllan sLaLes, namely Sao aulo, Mlnas Cerals and Colas.
1hese sLaLes provlde sufflclenL conLexL for our research, wlLh So aulo belng 8razl's
economlc powerhouse wlLh 23 dry porLs belng esLabllshed. Mlnas Cerals, wlLh a sLrong
presence ln Lhe agrlculLural and mlnlng-meLallurglcal secLors, flve dry porLs were belng
esLabllshed. llnally, Cols, an lmporLanL lnland agrlculLural sLaLe, had Lwo dry porLs
(flgure 1). 1hese locaLlons sLaLes were selecLed for Lhelr locaLlon aL dlfferenL dlsLances
from Lhe coasL, varylng producL focus and markeL slzes. Cur sLudy lnvesLlgaLes Lhe Lhe
evoluLlon of Lhe regulaLory process, Lhe roles of varlous lnsLlLuLlons and how changes Lo
Lhe lnsLlLuLlonal framework lnfluenced Lhe behavlour of key players and Lhe
developmenL of dry porLs. 180

(lnSL81 llCu8L 1 A8Cu1 PL8L)

Clven Lhe sLudy naLure, of whlch lmporLanL lnformaLlon were ofLen noL publlshed, aparL
from deskLop research, we had conducLed 30 seml-sLrucLured, ln-depLh lnLervlews wlLh
sLakeholders (herelnafLer called 'lnLervlewees') locaLed wlLhln Lhe Lhree aforemenLloned
sLaLes. lnLervlewees lncluded represenLaLlves from dry porLs who were holdlng (senlor)
general or operaLlons managemenL poslLlons durlng Lhe sLudy perlod, as well as
7
represenLaLlves from seaporLs, Lhe SyndlcaLe of CusLoms 8rokers, Lhe SecreLary of
1ransporL of Sao aulo, Lhe orLs SecreLarlaL and frelghL forwarders. 1he lnLervlews 190
were based on a pre-deflned llsL of lnLervlew quesLlons adapLed Lo flL dlfferenL
lnLervlewees. uurlng Lhe daLa collecLlon process, we found LhaL lnsLlLuLlonal lnsecurlLy
has led Lo an envlronmenL of mlsLrusLs where sLakeholders found lL dlfflculL, lf noL
lmposslble, Lo collaboraLe and share lnformaLlon. lndeed, many sLakeholders were
unwllllng Lo Lalk and share lnformaLlon, whlle rellable sLaLlsLlcal daLa on dry porLs were
ofLen noL publlcly accesslble. ClLlng Lhe ulrecLor of Lhe 8razlllan ury orLs AssoclaLlon,
such lnformaLlon was largely LreaLed as 'sLaLe secreL'. As a resulL, LhroughouL our sLudy,
we had confldenLlallLy agreemenL wlLh all lnLervlewees, of whlch Lhelr names and Lhe
exacL daLes where lnLervlews were underLaken would noL be released. Powever, we
were able Lo lndlcaLe LhaL all lnLervlews were underLaken wlLhln a seven-monLh perlod 200
spannlng beLween uecember 2009 and !une 2010


=9 -&>3+$!$!&" )+$?++" #+,@ ,". .*2 3&*$#
AlLhough dry porLs exlsLed slnce Lhe 1970s, Lhey lncreased ln number and lmporLance
only afLer Lhe 1990s. 1hls represenLed a unlque perlod ln 8razlllan hlsLory when lL had
undergone slgnlflcanL pollLlcal and economlc LransformaLlon. unLll Lhe laLe 1980s, 8razll
was a hlghly proLecLed and unsLable economy, wlLh an oversLreLched sLaLe apparaLus
domlnaLed by deeply rooLed pollLlcal ellLes. WlLh pasL orLhodoxles of cenLral plannlng
and proLecLlonlsm provlng lneffecLlve and ouLdaLed, Lhere was a need for fundamenLal 210
reforms. 1he ConsLlLuLlonal 8eform (1988) marked Lhe LranslLlon of 8razll lnLo a Lrue
democracy, wlLh laws LhaL would advance lndlvldual freedoms and prlvaLe enLerprlse. lL
paved Lhe way for decenLrallzaLlon of power from Lhe lederal CovernmenL Lo sLaLe and
munlclpal levels and opened sLraLeglc secLors of Lhe economy, such as banklng and
lnfrasLrucLure, Lo forelgn lnvesLmenL.

1he lederal CovernmenL led by lernando Collor de Mello (1990 - 1992) lnlLlaLed Lrade
llberallzaLlon wlLh slgnlflcanL cuLs ln Larlff and non-Larlff barrlers. Law 8.031/90 creaLed
-&%4&#2# 5#6"%+#' (0 70808.#."9#:;% (Lhe naLlonal rogramme of ulvesLlLure) allowlng
Lhe prlvaLlzaLlon of publlc flrms wlhln Lhe sLeel, peLrochemlcal and ferLlllzer lndusLrles. 220
8
lurLhermore, under Lhe leadershlp of lLamar lranco (1992-1994), Lhe lederal
CovernmenL lnLroduced a new currency (/0#') whlch ended hyperlnflaLlon and
esLabllshed Lhe basls for fuLure macroeconomlc sLablllLy backed by flscal ausLerlLy,
lnflaLlon LargeLlng pollcles and hlgh lnLeresL raLes. SubsequenL governmenLs led by
lernando Penrlque Cardoso (1993-2003) furLher opened secLors such as
LelecommunlcaLlons, coasLal and domesLlc navlgaLlon, gas and oll lndusLrles Lo prlvaLe
parLlclpaLlon. Accordlng Lo Serva (2003), Lowards Lhe end of Lhe LwenLleLh cenLury, a
wave of prlvaLlzaLlon had Laken place ln LaLln Amerlca, of whlch 900 publlc flrms had
been prlvaLlzed beLween 1988 and 1996, noLably ln ArgenLlna, 8razll, Chlle, and Mexlco.
CuoLlng Almelda (2010): 230

Lconomlc reforms.[whlch] broke lnLo governmenLal agenda under lernando
Collor de Mello's admlnlsLraLlon, as a resulL of Lhe lnLernaLlonal lnfluences buL also
of pollLlcal ellLe's pollcy learnlng, afLer almosL a decade of economlc crlsls and falled
efforLs Lo curb lnflaLlon. 8eckonlng Lhe lmporLance of reforms and lLs relaLlons Lo
moneLary sLablllzaLlon was a process LhaL marched ln slow pace. revlous
consensus over Lhe vlrLues of sLaLe-led developmenL and Lhe lmporL subsLlLuLlon
model of growLh has been sLrong, exLenslve and Lherefore dlfflculL Lo break."

lL was prlmarlly a comblnaLlon of lncreaslng demands for porL servlces due Lo Lrade 240
llberallzaLlon and Lhe chaoLlc slLuaLlon aL seaporLs durlng Lhls perlod whlch led Lo Lhe
esLabllshmenL of numerous dry porLs ln 8razll. Accordlng Lo Lhe lederal 8evenue, by
early 2012, Lhere were 66 dry porLs ln 8razll admlnlsLered by varlous prlvaLe operaLors
(flgure 1). Powever, whlle Lhe sLraLeglc and economlc lmporLance of dry porLs had
lncreased, Lhey faced Lwo ma[or concerns, namely compeLlLlon from seaporLs (followlng
Lhe prlvaLlzaLlon of seaporL Lermlnals) and Lhe lack of a clear lnsLlLuLlonal framework Lo
regulaLe Lhe secLor.

1he lssue of compeLlLlon can be llnked Lo porL reform leglslaLlon whlch represenLed a
declslve lnsLlLuLlonal shlfL broughL Lhrough Lhe lnLroducLlon of new rules Lo govern Lhe 230
counLry's porL secLor. lndeed, Lhe role of dry porLs has been slgnlflcanLly affecLed afLer
1993 when Lhe orL ModernlzaLlon Law 8.630 was lnLroduced. 1hls lnsLlLuLlonal change
9
broughL slgnlflcanL lmprovemenLs Lo Lhe 8razlllan seaporL sysLem. lL decenLrallzed Lhe
admlnlsLraLlve sLrucLure of seaporLs, shlfLlng power from Lhe federal governmenL Lo
sLaLe and munlclpal level and lnLroduclng measures Lo lmprove governance lncludlng Lhe
creaLlon of a orL AuLhorlLy Councll. revlously a source of lnflexlblllLy aL seaporLs, Lhe
monopoly held by Lhe syndlcaLe of porL workers was broken, maklng lL mandaLory LhaL
porL operaLors employ Lhelr own workers for Lhe provlslon of porL servlces. 1he old
syndlcaLe was replaced by anoLher enLlLy - <&4;%8 =08.%&08 (0 >;%?(0?@A&# (Labour
ManagemenL LnLlLles, CCMC) - esLabllshed by Lhe porL operaLors for Lhe managemenL 260
of human resources. Meanwhlle, porL operaLlons lncludlng handllng, movemenL,
lnspecLlon, repalrs, securlLy and malnLenance of vessels were handed Lo Lhe prlvaLe
secLor Lhrough lease conLracLs (8odrlgues, 2009).

8razlllan dry porLs were creaLed Lo reduce congesLlon aL Lhe seaporLs aL a Llme when
sLaLe-conLrolled seaporL operaLlons were hlghly lnefflclenL. WlLh Lhe lnLroducLlon of Lhe
orL ModernlzaLlon Law, lnsLlLuLlonal reforms and new lnvesLmenL ln Lhe physlcal
capaclLy of seaporLs led Lo slgnlflcanL efflclency galns. 1hls ln Lurn affecLed Lhe role of
dry porLs as seaporL Lermlnal operaLors sLarLed Lo compeLe for buslness wlLh Lhem. 1o
sLay compeLlLlve, Lhey had Lo be more efflclenL and provlde more sophlsLlcaLed servlces. 270
1hose whlch were unable Lo meeL Lhese challenges would face buslness decllne and
closure. As noLed by Cesar ueslderlo, Lhe ro[ecL Manager of LoglsLlcs LlbraporL
Camplnas - Llbra Croup, commenLed LhaL dry porLs locaLed ln lndusLrlal reglons wlLh
sLrong lmporL demands for producLs such as elecLronlcs, pharmaceuLlcals, auLomoblles
and machlnery, had managed Lo sLay ln buslness, Lhough Lhey needed Lo dlverslfy
acLlvlLles and provlded more value-added servlces (Logweb, 2008). Meanwhlle, Lhe
ma[orlLy of dry porLs faced dlfflculLles and closure, for lnsLance, lraclcaba dry porL ln
Sao aulo.

1he new lnsLlLuLlonal framework had caused changes ln lnLra-lndusLrlal relaLlons 280
beLween sea- and dry porLs, where Lhe prlvaLlzaLlon of Lhe former esLabllshed a
compeLlLlve relaLlon beLween Lhem, wlLh seaporLs playlng Lhe domlnaLlng role. Pence,
unless seaporLs are faclng slgnlflcanL congesLlon, Lhey had few lncenLlves Lo faclllLaLe
smooLh passages Lo dry porLs. All Lhe dry porLs LhaL had responded Lo our lnLervlews
10
referred Lo a dlfflculL relaLlon wlLh seaporLs whlch creaLed barrlers Lo compllcaLe Lhe
Lransfer of cargo Lo dry porLs wlLh some menLlonlng Lhls Lo be Lhe case even aL Llmes of
congesLlon. lndeed, seaporLs, and Lhelr Lermlnas, were found Lo adopL anLl-compeLlLlve
measures ln relaLlon Lo dry porLs, as exempllfled by Lhe lmposlLlon of an addlLlonal
Lermlnal handllng charge, namely 1PC2, by Lermlnal operaLors for Lhe release of cargo
desLlned Lo dry porLs. ln a legal case whlch lnvolved Lhe seaporL of SanLos, 1PC2 was 290
declared lllegal as lL dld noL relaLe Lo any offseLLlng servlce LhaL [usLlfled an addlLlonal
fee. Arau[o !r (2004) descrlbed 1PC2 as a manlfesLaLlon of a hold-up problem wlLhln Lhe
conLexL of a neLwork lndusLry, where a player abused lLs power Lo exLorL addlLlonal
beneflLs from anoLher player wlLhln Lhe neLwork. ln Lhls case, a seaporL whlch held Lhe
cargoes and beneflLs from lLs dwelllng Llme wlLhln lLs premlses, and forced dry porLs Lo
operaLe aL a compeLlLlve dlsadvanLage and affecLed Lhe fulfllmenL of dry porLs'
conLracLual agreemenLs wlLh shlppers.

lndeed, wlLh Lhe lack of conLracLual relaLlons beLween sea- and dry porLs, as well as a
legal framework Lo regulaLe such relaLlonshlp, Lhls condlLlon would conLlnue Lo hlnder 300
Lhe lnLegraLlon of dlfferenL componenLs wlLhln Lhe 8razlllan supply chaln. Also, by
lncreaslng Lhe number of sLakeholders, plannlng and declslon-maklng became more
compllcaLed wlLh a need for greaLer coordlnaLlon. ln Lhe process, compeLlLlon was
creaLed noL only among prlvaLe operaLors, buL also among governmenLal agencles whlch
conLrlbuLed Lowards furLher fragmenLaLlon of Lhe 8razlllan supply chaln. lor lnsLance,
dry porLs and bonded areas wlLhln seaporLs were regulaLed by Lhe lederal 8evenue,
whlle seaporLs were regulaLed by Lhe Speclal orL SecreLarlaL (SecreLarla Lspeclal dos
orLos). Moreover, lnland rlver porLs were regulaLed by Lhe MlnlsLry of 1ransporLs
(1ecnologlsLlca, 2008). 1he regulaLory body responslble for seaporL operaLlons, An1AC,
was lnsLlLuLed ln 2002 - a decade afLer Lhe prlvaLlzaLlon of seaporLs. 310

lurLhermore, whlle Law 10.233 (2001) was orlglnally prescrlbed one slngle regulaLory
agency for all LransporL modes, a subsLlLuLe pro[ecL was senL Lo Congress dlvldlng Lhls
agency lnLo An1AC and An11 (naLlonal Agency of Land 1ransporL) so LhaL Lhe regulaLlon
of waLer LransporLaLlon would recelve due aLLenLlon (cf. Coldberg, 2009). 1haL change
was crlLlclsed by Lhe naLlonal ConfederaLlon of lndusLrles (Cnl) and Lhe 8razlllan
11
AssoclaLlon of 8aslc lndusLrles and lnfrasLrucLure (A8ul8) whlch conLended LhaL Lhls
would unnecessarlly harm Lhe arLlculaLlon of pro[ecLs among dlfferenL LransporL modes
and Lhus creaLed more pollLlcal problems.
320

A9 /+0,/ 1*,>+?&*; ,". !"#$!$%$!&",/ /!>)&

As menLloned, 8razlllan dry porLs also faced uncerLalnLles due Lo Lhe lack of an
esLabllshed legal framework. unLll 1993, dry porL could be esLabllshed !"# slmple
auLhorlzaLlon from Lhe lederal 8evenue Lo parLlcular warehouslng faclllLles consldered
Lo be adequaLe for Lhe provlslon of LhaL servlce. 1hls slLuaLlon sLarLed Lo be quesLloned
afLer Lhe lederal ConsLlLuLlon of 1988 whlch declared boLh sea- and dry porLs as sLaLe
properLles. ln oLher words, Lhls had empowered Lhe lederal CovernmenL Lo explore
Lhem dlrecLly or Lhrough concesslons Lo prlvaLe operaLors under sLaLe regulaLlon. lL also 330
sLaLed LhaL such concesslon and exploraLlon of publlc servlces by prlvaLe companles
should be glven by means of publlc Lender (nasclmenLo 2003, MaLayoshl 2004).

1he lssue on wheLher dry porLs consLlLuLed publlc or prlvaLe servlces only became clear
wlLh Law 8.987 (1993) clarlfylng LhaL dry porLs, and Lhelr servlces, were publlc and Lhus
sub[ecL Lo publlc Lender (1rade and 1ransporL, 2004). ln Lhe nexL decade (1993-2003),
concesslons were glven by means of publlc Lender, effecLlve for 23 years and exLenslble
for Len years (Assumpo eL al., 2009). Meanwhlle, exlsLlng ones had Lo operaLe under
Lhe so-called 'emergency conLracLs' lnlLlally exLended Lo 180 days only. under such
arrangemenLs, long-esLabllshed dry porLs faced LermlnaLlon by legal forces, or faclng Lhe 340
prospecL of geLLlng Lhrough publlc Lender ln order Lo sLay ln buslness
3
.

Meanwhlle new rullngs were lnLroduced Lo lmprove legal slLuaLlon of dry porLs,
provldlng Lhem new Lerms and deflnlLlons, as well as expandlng lLs remlL. lnLroduced ln
1976 by uecree Law 1.433, whlch auLhorlzed Lhe lmplemenLaLlon of cusLoms clearance

3
After taking the case to court, these dry ports were allowed to operate under emergency contracts
without expiry date, and this situation exist until nowadays. For further information, see Padilha and Ng
(2012).
12
ln secondary areas,
4
dry porLs were lnlLlally called 70BC8".%8 D'1#+(04#(%8 -EA'"6%8
(ubllc 8onded Warehouses) and laLer F8.#:;% D(G#+0"&# (% H+.0&"%& (lnland CusLoms
SLaLlon, or LAul). lndeed, Lhe Lerm -%&.% I06% (dry porL) was only adopLed ln 2002 under
uecree 4343, ArL. 724. ln Lhe same year, Lhe use of dry porLs for lndusLrlal operaLlons
was lnLroduced by normaLlve lnsLrucLlon 241/02 whlch deLermlned Lhe suspenslon of 330
some Laxes for goods assembled or produced wlLhln dry porLs for exporL.

8espondlng Lo Lhe sLaLed proLracLed legal dlspuLes, rovlslonal Measure 320 (M320)
was lnLroduced ln 2006 as an aLLempL Lo end Lhe Lender requlremenL and allowed dry
porLs Lo operaLe by means of llcenses lssued by Lhe lederal 8evenue. M320 also
expanded Lhe scope of dry porLs, now belng called J0+.&% K%4L8."6% 0 H+(G8.&"#'
D(G#+0"&% (LoglsLlc and lndusLrlal CusLoms CenLre, or CLlA). unforLunaLely, Lhls was
consldered unconsLlLuLlonal and re[ecLed by Lhe 8razlllan SenaLe ln Lhe same year - a
clear lndlcaLlon LhaL such lnsLlLuLlonal seLLlng could noL change, belng percelved as noL
servlng Lhe rules of 8razll's pollLy and Lhe economy. lnsLead, M320 was replaced by 360
rovlslonal Measure 327 (M327), and laLer Lransformed lnLo a Law ro[ecL (LS
327/2006). 1hls pro[ecL, whlch relnsLaLed Lhe requlremenL of publlc Lenders, ls currenLly
golng Lhrough evaluaLlon Lhrough varlous commlsslons wlLhln Lhe 8razlllan SenaLe. WlLh
Lender processes currenLly on hold, fuLure developmenL ln Lhls secLor wlll depend on Lhe
approval of LS 327/2006.

Pence, Lhe lnsLlLuLlonal challenges faced by dry porLs were parL of a broader
lnsLlLuLlonal conLexL LhaL was lnfluenced by hlsLorlcal, economlc and pollLlcal
clrcumsLances. roLracLed leglslaLlon evolved slowly ln an awakenlng democracy and
fragmenLed pollLlcal sysLem. As supporLed by knox (2001), Lhe 8razlllan lnsLlLuLlonal 370
sysLem had clearly made Lhe process of reform leglslaLlon more complex. Powever, one
should noLe LhaL Lhe comprehenslve reforms achleved durlng Lhe 1990s Look place aL a
unlque momenL. ury porL leglslaLlon had come along as a response Lo Lhe new economlc
envlronmenL and Lhe lnsLlLuLlonal llmbo daLed back Lo Lhe 8razlllan ConsLlLuLlonal
8eform (1988). ln Lhls conLexL, changes ln dry porL laws were noL unlque and Lhus could

4
Secondary areas imply any parts within the national territory except seaports, airports and cross-border
checkpoints (the primary areas).
13
noL be LreaLed as an lsolaLed process. ln a slgnlflcanL way, Lhe re[ecLlon of Lhe orlglnal
pro[ecL reflecLed Lhe llmlLs of prlvaLlzaLlon. uurlng an lnLervlew wlLh Agencla Senado
(2010), SenaLor Serglo Zamblasl clalmed LhaL lL would be unaccepLable Lo conslder an
acLlvlLy, l.e., dry porL, wlLh such naLlonal sLraLeglc lmporLance Lo be consLlLuLed merely
as a pure economlc acLlvlLy and slmply sub[ecLed Lo prlvaLe laws and llcenslng. 1he legal 380
slLuaLlon of dry porLs was clearly noL only a debaLe over Lhe concepL of publlc servlce,
buL also a power sLruggle beLween dlfferenL publlc agencles and [urlsdlcLlons. lndeed,
Lhls phenomenon could also be found wlLhln oLher economlc secLors ln 8razll.
3



B9 !"#$!$%$!&"# ,". )%*+,%-*,$!- *&/+# &1 .*2 3&*$#

Whlle Lhe sLaLed lnsLlLuLlonal facLors creaLed a sLaLe of lnnacLlon among 8razlllan dry
porLs, some of Lhem had been creaLed for reasons LhaL wenL well beyond loglsLlc
efflclency. lndeed, aL Llmes, some dry porLs were esLabllshed ln locaLlons LhaL would 390
make llLLle economlc sense, aL leasL from an operaLlonal perspecLlve
6
. under condlLlons
of lnsLlLuLlonal lnefflclency and complex Lrade processes, Lhe exlsLence of some dry
porLs was [usLlfled prlmarlly by Lhelr role ln faclllLaLlng bureaucraLlc procedures. Pere lL
was lmporLanL Lo sLress LhaL bureaucracy was necessary and could play poslLlve roles ln
dry porL developmenL. lndeed, Lhe 8razlllan AssoclaLlon of ury orLs (A8L8A, 2010)
polnLed ouL several advanLages by uslng dry porLs, llke suspenslon ln duLy paymenLs,
proxlmlLy Lo cusLoms clearance process, lmmedlaLe conLalner unloadlng Lhus avoldlng
demurrage, permanenL presence of lnspecLlon agenLs, lower rlsk of cargo loss and
damage, posslblllLy of parLlal cargo lmporLs and exporLs accordlng Lo company needs. lL
mlghL be used for a varleLy of cusLoms reglmes wlLh suspenslon of duLles such as 400

5
For instance, there is currently a debate concerning water and sanitation services where similar questions
over the concession process (requirement of tender) and the appropriate jurisdiction (municipal or state
level) are being discussed (cf. Deprieri, 2008).
6
This situation was quite similar to India, of which many dry ports were established in locations which
hardly attracted cargo throughputs of any significance (cf. Ng and Gujar, 2009a and 2009b). According to
anecdotal information, a main reason of establishing such dry ports in India (especially by the state-owned
corporations) was to occupy the land with a view to benefit from the ever-booming land prices in the
future. To vertify whether such an objective also existed in Brazil was subject to further research.
14
cusLoms enLrepoL, Lemporary admlsslon, drawback and cerLlfled bonded warehouslng.
1he suspenslon of duLles also allowed forelgn companles Lo use 8razlllan faclllLles as
exporL processlng bases.

ln order Lo lmporL or exporL, a 8razlllan company musL be able Lo use Lhe SlSCCMLx
sysLem and be reglsLered wlLh Lhe 1rade SecreLarlaL (SLCLx) - an lnLegraLed sysLem LhaL
consolldaLed all requlred lnformaLlon and processes. CusLoms brokers were malnly ln
charge of Lhls sysLem. When cargo arrlveed aL a porL, an lmporL declaraLlon was
reglsLered. AfLer closlng exchange raLe, cargoes wenL Lhrough a process, Lhe so-called
'parameLerlzaLlon', where dlfferenL levels of lnspecLlon were esLabllshed. A 'green' 410
channel lndlcaLed auLomaLlc clearance, whlle a 'yellow' channel requlred documenLal
lnspecLlon only. A 'red' channel requlred boLh documenLal and physlcal lnspecLlon, and
flnally, a 'grey' channel requlred all Lhe procedures of a red channel, as well as an
assessmenL of cusLoms values. 1hus, Lhe physlcal presence of a cusLoms broker
represenLaLlve was necessary Lo presenL Lhe requlred documenLs and pald Lhe requlred
fees. lf no problems were found, Lhe clearance process was reglsLered ln Lhe sysLem by
Lhe AudlLors of Lhe lederal 8evenue and Lhe process ls compleLed when Lhe lmporL
ConflrmaLlon can be lssued by Lhe sysLem.

1o use a dry porL, cargoes arrlvlng aL seaporLs musL be lssued a CusLoms 1ranslL 420
ueclaraLlon (u1A). WlLh Lhls documenL, cargoes under cusLoms conLrol could be
Lransferred from a seaporL Lo a dry porL, where cusLoms lnspecLlon and collecLlon of
duLles would Lake place, and Lhls was Lhe maln problem affecLlng dry porLs (ace, 2010).
u1A removed Lax collecLlon servlces from one cusLoms offlce Lo anoLher, reduclng
revenue and workers ln LhaL deparLmenL. lor LhaL reason ace (2012) polnLed LhaL, ln
general, cusLom offlcers aL Lhe sea- and dry porLs dld noL llke u1A and would [ump aL
any opporLunlLy Lo block Lhls process. lndeed, bureaucracy sLarLed Lo play negaLlve roles
when lL became lnefflclenL or excesslve. uesplLe Lhe sophlsLlcaLlon of SlSCCMLx, Lhe
complexlLy of Lhe leglslaLlon, large number of Laxes and relaLed processes, exchange
raLe LransacLlon requlremenLs, Lrade resLrlcLlons, phlLosanlLary and envlronmenLal 430
regulaLlon, creaLed mlneflelds for lmporLers and exporLers where mlsLakes were
common, leadlng Lo lnLerrupLlons along Lhe loglsLlcal process. As noLed by ace (2010),
15
cusLoms brokers from Mlnas Cerals were generally sLrucLured Lo provlde brokerage
servlces boLh aL Lhe sea- and dry porLs. lf a flrm was en[oylng a hlgh raLe of 'green'
channels ln seaporLs, Lhey would be encouraged (and furLher lncllned) Lo choose
seaporLs, raLher Lhan dry porLs, Lo clear cusLoms. Slmllarly, exporLs, whlch Lended Lo
face fewer bureaucraLlc hurdles Lhan lmporLs, were less lncllned Lo clear cusLoms !"# dry
porLs. Cenerally speaklng, lmporLs represenLed abouL 70 of cargoes cleared aL dry
porLs. ln oLher words, complexlLy ln cusLoms clearance had slgnlflcanLly lnfluenced Lhe
declslon-maklng process and Lhe bureaucraLlc role of dry porLs ln 8razll. 440

unLll now, abouL 80 and 83 of lmporL and exporL cargoes were glven Lhe 'green'
channel, whlch was among Lhe world's hlghesL lnspecLlon raLe (Lhe global averages
were 90 and 93, respecLlvely). ln 2008, Lhe lederal 8evenue apprehended over uSu
280 mllllon ln merchandlslng and applled over one bllllon uSu ln Lerms of flnes (lolha,
2009). An lllusLraLlve example could be found ln Lhe dry porL of urugualana ln 8lo
Crande do Sul where an average of 160 Lrucks experlenced documenLal or physlcal
lnspecLlon each day. 8eLween !anuary 2006 and !uly 2008, 7,467 lmporL processes were
sLopped by Lhe lederal 8evenue for varlous problems, e.g., lncompleLe or lncorrecL
documenLaLlon, lncorrecL enLry ln SlSCCMLx, lncorrecL nomeclaLure and classlflcaLlon of 430
goods, welghL and volume dlscrepancles, fraud and underlnvolclng, eLc. 1hls was
equlvalenL Lo nearly 1,000 cases per audlLor per day, conslderlng LhaL only elghL audlLors
were worklng ln Lhe dry porL aL Lhe Llme (unaflsco, 2008). Such excesslve bureaucracy
was a wldespread phenomenom represenLlng a hlgh cosL Lo Lhe 8razlllan socleLy.

Accordlng Lo Lhe World 8ank's annual survey on dolng buslness, ln 2010, 8razll ranked
129
Lh
ouL of 183 counLrles, havlng fallen Lwo places compared Lo Lhe prevlous year
(World 8ank, 2010). lor example, Lhe survey polnLed ouL LhaL lL Look 120 days Lo open a
buslness ln 8razll and an average company spends 2,600 hours a year on Lax- relaLed
bureaucracy. Meanwhlle, Lhe World 8ank's 2010 LoglsLlcs erformance lndex placed 460
8razll as one of Lhe Lop Len performers among upper mlddle-lncome counLrles havlng
moved from 61
sL
(ouL of 130 counLrles) ln 2007 Lo 41
sL
ln a ranklng of 133 counLrles ln
2010. SlmulLaneously, however, lL performed poorly (82
nd
) ln cusLom efflclency
compared Lo oLher slgnlflcanL economles.
16

Lxcesslve bureaucracy and complexlLy ln Lhe clearance process lncreased demands for
face-Lo-face conLacLs wlLh cusLoms offlclals, ampllfylng Lhe lmporLance of Lhe cusLoms
brokers Lo mlnlmlze cusLoms duLles, solved problems and speed up processes aL Lhe sea-
and dry porLs. lndeed, (08B#6M#+.0 (broker) has become a day-Lo-day vocabulary ln Lhe
8razlllan language wlLh a dlrecL manlfesLaLlon of excesslve bureaucracy - where Lhese 470
acLors were supposed Lo play cruclal roles ln faclllLaLlng Lhe lnLeracLlon beLween sLaLe
and socleLy. A company lnLervlewee, whlch represenLed a mulLlnaLlonal frelghL
forwarder, provlded us an lllusLraLlve example. Whlle ln Lhe uS Lhelr cusLoms brokerage
could be carrled ouL paperlessly from a cenLral, lnland locaLlon, slmllar Lasks ln 8razll
requlred Lhe physlcal presence of agenLs aL each LransporL node where Lhey handled
cargoes. Meanwhlle, when negoLlaLlng raLes wlLh frelghL forwarders or dlrecLly wlLh
carrlers, 8razlllan lmporLers generally demanded free Llme demurrage of 30 days,
compared Lo Lhe Luropean and norLh Amerlcan norm of flve days. Such excesslve Llme
was requlred parLly as a precauLlon agalnsL addlLlonal sLorage cosLs ln Lhe posslble
scenarlo of cargo obsLrucLlon. 8razlllan sea- and dry porLs also suffered Lhe lmpacLs of 480
sLrlkes by offlcers from governmenLal agencles lnvolved ln cargo clearances, such as
Anvlsa, lederal 8evenue and Lhe MlnlsLry of AgrlculLure and LnvlronmenLal Agency.
7

8eLween 2003 and 2007, sLrlkes amounLed Lo 442 days, leadlng Lo ma[or blackouLs, and
Lhus cargo backlogs accumulaLed aL sea- and dry porLs. lor shlppers, Lhls represenLed
slgnlflcanL lnsecurlLy ln Lhelr day-Lo-day operaLlons wlLh cancelled orders, delays and
hlgh loglsLlc cosLs. under such clrcumsLances, 8razlllan shlppers were ofLen forced Lo
resorL Lo lnformal pracLlces. Cne company lnLervlewee referred Lo .#N# (0 G&4O+6"#
(urgency fee), a well-known Lerm where cusLoms offlclals mlghL be lnformally pald Lo
prlorlLlze and speed up Lhe loglsLlcal process. 1hls lllusLraLed how a defflclenL
lnsLlLuLlonal framework could lead Lo excesslve bureaucracy. MeanL Lo faclllLaLe, 490
bureaucracy wenL Loo far wlLh negaLlve lmpllcaLlons Lo buslness and loglsLlcs.


C9 !"#$!$%$!&"# ,". /&0!#$!-,/ *&/+# &1 .*2 3&*$#

7
Strikes were also common within other sectors, and affected areas such as public transportation, banking,
post offices and the police.
17
Accordlng Lo Wu and Coh (2010), seaporLs ln a number of developlng economles, such
as Shanghal, ChlLLagong and SanLos, achleved efflclency levels surpasslng Lhose ln Lhe C7
naLlons. AlLhough Lhey mlghL noL have Lhe equlpmenL endowmenLs of advanced
economles, Lhey became more compeLlLlve ln Lerms of operaLlonal efflclency. Powever,
ln Lhls respecL, oLher facLors such as energy supply, cosL of fuel, lnland mulLlmodal
connecLlons and cusLoms clearance may also have cerLaln lmpacLs. When selecLlng a 300
seaporL-of-call, shlpplng llnes mlghL conslder lLs lnland connecLlons (ng, 2009).
1herefore, Lhe long Lerm vlablllLy of dry porLs depended on Lhe followlng core aLLrlbuLes:
(l) Lhelr geographlc locaLlon where Lhere were sufflclenL demands and access Lo hlgh
capaclLy corrldors, (ll) Lhelr ablllLy Lo provlde efflclenL and sophlsLlcaLed value-added
servlces, and (lll) Lhelr ablllLy Lo lnLegraLe wlLh seaporLs and shlpplng llnes.

ln reglons where seaporL developmenL has reached an advanced sLage and compeLlLlon
was lnLense, hlnLerland access became declslve ln deflnlng lnLer-seaporL compeLlLlon (cf.
noLLeboom and 8odrlgue, 2003). 8odrlgue eL al. (2010) polnLs Lo Lhree maln crlLerla ln
Lhe deflnlLlon of a dry porL: (l) Lhe 'masslflcaLlon' of cargo flows, (ll) conLalnerlzaLlon, and 310
(lll) Lhe use of dedlcaLed Lermlnals wlLh Lhe use of hlgh capaclLy corrldor
8
. ln Lhls conLexL,
Lo compeLe ln Lhe global markeL, lnland producLlon slLes needed Lo be lnLegraLed wlLh
global supply chalns as much as posslble, ln whlch case Lhe relaLlon beLween sea- and
dry porLs was of ulLmosL lmporLance. Powever, whlle lnsLlLuLlonal deflclency fosLered a
bureaucraLlc role for dry porLs, lL undermlned Lhelr ablllLy Lo dellver loglsLlcal servlces
effecLlvely. 1hrough our lnLervlews, we found LhaL ln Lhe absence of an effecLlve legal
framework, conslderable dry porL operaLors felL less confldenL Lo lnvesL ln lnfrasLrucLure,
lnLermodal faclllLles and equlpmenL
9
.

Moreover, Lhe lederal CovernmenL's road-blas pollcy slnce Lhe 1960s (cf. adllha and 320
ng, 2012) ensured LhaL 8razlllan dry porLs were prlmarlly connecLed Lo seaporLs

8
Their emphasis on massification and dedicated terminals was strongly challenged by scholars who focused
on the development of dry ports in developing economies and peripheral regions. For instance, see Monios
and Wilmsmeier (2012), Ng and Gujar (2009a), Ng and Cetin (2012) and Wilmsmeier et al. (2011).
9
During our interviews, some respondents also considered market circumstances to be the a key driving
force in their investment decisions.
18
prlmarlly by road. Among Lhe 32 dry porLs belng lnvesLlgaLed ln Lhls sLudy, only Lwo used
rall ln a conslsLenL and meanlngful manner. Anapolls dry porL was a ma[or excepLlon
wlLh rall accounLlng for 87 of LoLal conLalners belng LransporLed. lndeed, mosL oLher
dry porLs elLher dld noL have sufflclenL cargoes or lacked lnfrasLrucLural condlLlons for
Lhe effecLlve lmplemenLaLlon of rall LransporLaLlon. Accordlng Lo lndusLrlal lnformaLlon,
a shlpper musL conLracL wlLh Lhe rall operaLor for regular weekly or monLhly servlces
wlLh aL leasL flve 20-1Lu wagons per shlpmenL, l.e., 100 1Lus per monLh, for aL leasL one
year. CurrenLly, very few shlppers, whlch malnly conslsLed of small- and medlum-slzed
flrms, capable Lo meeL such demandlng prerequlslLe. 1hls was noL helped by Lhe facL 330
LhaL rall LransporLaLlon belng malnly used for movlng agrlculLural producLs and mlnerals
(whlch were ofLen bulky), wlLh rall operaLors havlng few lncenLlves Lo provlde servlces
for conLalners
10
.

AL Lhe same Llme, Lhe adversarlal relaLlon beLween sea- and dry porLs Lended Lo hold
cargoes aL Lhe Lermlnals, Lhus affecLlng smooLh loglsLlcal process. lnLervlewees from Lhe
dry porLs furLher conflrmed LhaL Lhelr relaLlon wlLh seaporLs was mosLly compeLlLlve and,
Lo say Lhe leasL, 'unfrlendly'. lor lnsLance, ln Mlnas Cerls, wlLh one excepLlon, Lhere was
very llLLle lndlcaLlon of any collaboraLlon beLween sea- and dry porLs. 1he laLLer focused
on obLalnlng Lhe deferral of lCMS, a sLaLe Lax served Lo encourage Lhe use of dry porLs ln 340
Mlnas Cerals. Anapolls dry porL, locaLed aL over 1,000 km away from Lhe seaporL of
SanLos, polnLed aL slmllar obsLrucLlons creaLed by SanLos, noLaby resLrlcLlve Llme and
procedures for cargo loadlng, addlLlonal fees and even lobbylng Lo avold cargo Lransfers
!"# u1A. lndeed, Lhe slLuaLlon became so bad LhaL some dry porLs even [olned forces Lo
neuLrallze such a behavlour.

Powever, an lmporLanL flndlng of our sLudy was LhaL Lhe lnsLlLuLlonal 8.#.G8 PG% had
dlfferenL lmpacLs on operaLors whlch owned boLh sea- and dry porLs, of whlch such an
arrangemenL enabled Lhese operaLors Lo lmpose greaLer conLrol over Lhe supply chaln
and markeL power. 1hese lncluded MulLlLermlnals ln 8lo de !anerlo and Lhe ury orLs of 330
!ulz de lora and 8esende, Llbra Lermlnals ln SanLos whlch own Lhe LlbraporL ln

10
One of these few services was the express container rail service provided by MRS Logistica operating on
fixed routes, frequencies and transit-times.
19
Camplnas, and SanLos-8rasll whlch recenLly acqulred MesqulLa, a LransporLaLlon flrm
LhaL also operaLed dry porLs. ln Lhese cases, cooperaLlon beLween sea- and dry porLs
exlsLs. ln facL, desplLe lnsLlLuLlonal dlfflculLles, wlLh Lhe currenL economlc scenarlo, Lhey
conLlnued Lo lnvesL and expand. ln Lhe absence of publlc dlrecLlon and clear rules, Lhese
domlnaLlng groups would deLermlne Lhe shape of Lhe 8razlllan dry porL neLworks ln Lhe
fuLure. WheLher such developmenL wlll sulL Lhe counLry's long Lerm developmenL goals
ls sub[ecL Lo furLher research.

ln areas of hlgh demand for dry porL servlces, lnadequaLe plannlng, Lhe lack of hlgh 360
capaclLy corrldors and road-blas pollcy had creaLed a slLuaLlon where, lnsLead of havlng
large dry porLs aL sLraLeglc locaLlons along hlgh capaclLy corrldors served by rall, a large
number of small-slzed dry porLs wlLh llmlLed markeL scope exlsLed. lor example, Lhe
average slze of dry porLs ln 8razll was 13 acres, compared Lo 393 and 3,088 acres ln uk
and uS, respecLlvely. 1hls was lllusLraLed by Lhe SLaLe of Sao aulo, where mosL of lLs 23
dry porLs were locaLed wlLhln or near Lhe meLropollLan areas. 1hls creaLed a slLuaLlon
where dry porLs dld noL provlde Lhe galns of scale and envlronmenLal galns resulLlng
from opLlmal locaLlon and lnLermodal LransporL lnLegraLlng road and rall LransporLaLlon.

1he fragmenLed naLure of supply chalns ln 8razll was also noLed ln Lhe lederal 370
CovernmenL's lnablllLy Lo puL lnLo pracLlce a recenLly passed law, namely Lhe CperaLor
of MulLlmodal 1ransporL (CM1)
11
, whlch would requlre Lhe enLlre supply chaln Lo use
Lwo or more LransporL modes from orlgln Lo desLlnaLlon under one slngle operaLor and
LransporL blll. As noLed by keedl (2010a), Lhls lssue was ln Lhe hands of lederal
CovernmenL, wlLh nelLher Lhe CenLral 8ank nor Lhe lederal 8evenue recoglnzlng CM1
whlch sLlll faced conslderable uncerLalnLles concernlng lnsurance pollcles coverlng Lhe
enLlre loglsLlcal process wlLh so many sLakeholders belng lnvolved. Accordlng Lo Lhe

11
The legislation concerning multimodal transport operations comprises mainly Law 9.611/98 about
Multimodal Cargo Transport; Decree 3.411/00 Regulates Law 9.611/98; Decree 5.276/04 amends
Articles 2 and 3 of Decree 3.411/00; Decree 1.563/95 About the implementation of the Partial Agreement
for the Facilitation of Multimodal Transport between Brazil, Argentina, Paraguay and Uruguay, of 30
December 1994; and Resolution 794/04 about the accreditation of Multimodal Transport Operators.
Currently, there are about 800 such operators in Brazil.
20
orLs SecreLarlaL, Lhe maln lncenLlve blocklng Lhe lmplemenLaLlon of CM1 was
operaLlonal relaLed Lo Lhe deLermlnaLlon of responslblllLles for cargo damages and Lhe
lndeflnlLlon concernlng Lhe appllcaLlon of cusLom duLles across sLaLe [urlsdlcLlons. 380


D9 .!#-%##!&"#
lL was clear LhaL 8razlllan dry porLs were affecLed, dlrecL or lndlrecLly, by lnsLlLuLlonal
reforms aL varlous hlerarchles. AL Lhe naLlonal level, Lhere were broad pollLlcal and
economlc reforms lnLroduced wlLh Lhe ConsLlLuLlonal 8eform (1988). AL Lhe secLoral
level, dry porLs were affecLed by Lhe orL ModernlsaLlon Law. AL Lhe local level, Lhey
were affecLed by Lhe laws LhaL esLabllshed lLs legal form and funcLlons over Llme.
neverLheless, whlle lnsLlLuLlonal changes esLabllshed Lhe foundaLlons for necessary
bureaucraLlc processes and loglsLlcal modernlsaLlon, Lhey were also Lhe causal facLors of 390
a mulLlLude of problems affecLlng dry porL developmenL, lnLenslfylng Lhelr bureaucraLlc
role whlle undermlnlng loglsLlcal one. ln summary, lnsLlLuLlons affecLed Lhe roles of
8razlllan dry porLs !"#: (l) Lhe relaLlonshlp beLween sea- and dry porLs, (ll) lnfluenclng
company declslons and sLraLegles, and (lll) Lhrough lLs dlrecL lmpacLs on Lhe acLlvlLles of
sea- and dry porLs, whlle aL Lhe same Llme lnfluenclng Lhe declslons of companles and
oLher users of Lhese faclllLles. Cruclally, lnsLlLuLlonal defflclency ln 8razll had deLrlmenLal
effecLs Lo Lhe lnLegraLlon beLween sea- and dry porLs, wlLh negaLlve consequences Lo
overall economlc developmenL and Lhe compeLlLlveness of domesLlc producLs ln Lhe
lnLernaLlonal markeL.
600
llrsL, Lhe exlsLlng regulaLory framework falled Lo provlde lncenLlves for cooperaLlon
beLween sea- and dry porLs. Where dry porLs could posslbly lncrease Lhe efflclency of
seaporLs, an adversarlal relaLlon beLween Lhem creaLed a fragmenLed supply chaln wlLh
seaporLs belng placed ln domlnaLlng poslLlons and served as sLorage faclllLles (raLher
Lhan LranslL polnLs). Pence, Lhe absence of a level playlng fleld creaLed an lncenLlve for
powerful groups Lo galn compeLlLlve advanLage Lhrough verLlcal lnLegraLlon. ln oLher
words, where legal and lnsLlLuLlonal frameworks falled Lo provlde lncenLlves for
lnLegraLlon, prlvaLe operaLors would drlve LhaL lnLegraLlon Lhrough Lhe conLrol of sea-
and dry porLs. 1he problem of lnLegraLlon was furLher compllcaLed by Lhe presence of
21
mulLlple publlc agencles and regulaLory bodles lnvolved ln Lhe LransporL process. We 610
argued LhaL Lhls lssue should be undersLood from a hlsLorlcal perspecLlve, where Lhe
segmenLaLlon of regulaLlon of dlfferenL porL Lypes was an anachronlsm LhaL affecLed
sysLemlc efflclency due Lo fragmenLed and dlsconnecLed plannlng and Lhe lack of
lnLegraLed coordlnaLlon among dlfferenL publlc admlnlsLraLlon enLlLles.

Moreover, excesslve bureaucracy wlLhln seaporLs, Lhe devasLaLlng lmpacL of sLrlkes and
Lhe complexlLy of clearance processes wlLh mulLlple Laxes, bonded reglmes, Lrade
resLrlcLlons, all creaLed an envlronmenL where unpredlcLablllLy leads Lo hlgher lnvenLory
levels and demands for exLended free Llme for cargo movemenL. lL also led Lo
congesLlon and affecL Lhe Lransfer of cargoes beLween sea- and dry porLs. ln Lurn, Lhls 620
lmpacLed Lhe behavlour of shlppers who placed addlLlonal emphasls on proxlmlLy and
face-Lo-face conLacLs so as Lo overcome excesslve bureaucracy. A slmllar slLuaLlon was
also found ln oLher developlng economles, noLably lndla (cf. ng and Cu[ar, 2009a, ng
and 1ongzon, 2010, ng and CeLln, 2012). A declslve manlfesLaLlon of Lhese dlfflculLles
and bureaucraLlc problems was Lhe lncreaslngly promlnenL roles of cusLoms brokers,
who were ulLlmaLely Lhe declslon-makers ln Lhe arblLraLlon beLween sea- and dry porLs
as Lhe places for loglsLlcal servlces and cusLoms clearance.

8razlllan LransporL lnfrasLrucLures were also affecLed by Lhe road-blased pollcy
esLabllshed by Lhe lederal CovernmenL slnce Lhe 1960s. AlLhough Lhe prlvaLlzaLlon of 630
rall had broughL slgnlflcanL lmprovemenLs, Lhe neLwork remalned dedlcaLed Lo Lhe
movemenL of prlmary, bulky commodlLles, wlLh conLalners belng almosL enLlrely edged
ouL. 1hls could be explalned by, aL leasL, Lwo lnsLlLuLlon-relaLed facLors, namely Lhe lack
of lncenLlves for conLalner LransporLaLlon by rall operaLors and Lhe conLrol of Lhe rall
neLwork by powerful groups wlLh vesLed lnLeresL ln commodlLy exporLs. lor lnsLance,
Cv8u, Lhe leadlng lron ore exporLer, caboLage LransporLaLlon and leadlng provler of
lnLegraLed loglsLlcal servlces, conLrolled mosL of Lhe rall lnfrasLrucLure, seaporL Lermlnals
and Lhe dry porL of uberlndla (Mlnas Cerals). AnoLher example was 8eLlm dry porL ln
Mlnas Cerals whlch was conLrolled by uslfasL (under Lhe uslmlnas Croup) - a leadlng
sLeel producer wlLh a sLrong fooLhold ln LransporL lnfrasLrucLure, lncludlng seaporL 640
Lermlnals and dry porLs. LocaLed near Lhe sLaLe's caplLal, 8eLlm dry porL mlghL be
22
sLrongly poslLloned Lo parLner wlLh Lhe rall operaLor dellverlng slgnlflcanL economles of
scale. Powever, wlLh uslfasL ownlng a large Lrucklng fleeL and belng a ma[or exporLer of
commodlLles, Lhere seemed few lncenLlves Lo favour Lhe lnLroducLlon of rall conLalner
LransporLaLlon.

lrom Lhe above analysls, lL ls posslble Lo summarlze how lnsLlLuLlonal defflclencles
lmpacL on dry porL developmenL, leadlng Lo an enhanced bureaucraLlc role for dry porLs
and Lhe undermlnlng of lLs loglsLlcal role, as lllusLraLed ln Lable 1.
630
(lnSL81 1A8LL 1 A8Cu1 PL8L)


E9 -&"-/%#!&"#
8y lnvesLlgaLlng Lhe developmenL of 8razlllan dry porLs, Lhls paper relLeraLes Lhe lmpacLs
of lnsLlLuLlons on LransporL and reglonal developmenL ln developlng economles.
lnsLlLuLlonal deflclency ln 8razll mlghL boLh encourage Lhe use of dry porLs and
undermlne lLs developmenL. Cn Lhe one hand, excesslve bureaucracy and compllcaLed
lmporL/exporL processes mlghL encourage companles Lo use dry porLs locaLed nearby,
where face-Lo-face conLacL may faclllLaLe cusLome clearance. Cn Lhe oLher hand, 660
lnsLlLuLlonal deflclency creaLed an envlronmenL whlch hlndered Lhe developmenL of dry
porLs and lnLegraLlon wlLh seaporLs. ComplemenLary Lo earller sLudles ln lndla (ng and
CeLln, 2012, ng and Cu[ar, 2009a and 2009b), Lhls sLudy posed furLher counLer-
argumenL on Lhe necessarlly close relaLlon beLween sea- and dry porLs based on Lhe so-
called 'porL reglonallzaLlon' (noLLeboom and 8odrlgue, 2003 and 2009, 8odrlgue eL al.,
2010). As Lrade lncreased and Lhe economy modernlzed, 8razlllan dry porLs experlenced
lnadequaLe supporL from lLs lnsLlLuLlonal framework for almosL Lwo decades.
unforLunaLely, Lhls process was domlnaLed by powerful lobby groups wlLh vesLed
lnLeresLs and pollLlcal feuds, aL hlgh cosLs Lo buslness and socleLy aL large. 1hls sLudy
relnforced slmllar sLudles ln oLher developlng economles and perlpheral reglons (for 670
example: ng and CeLln, 2012, Monlos and Wllmsmeler, 2012) where lnsLlLuLlonal
frameworks and LransporLaLlon sLruggled Lo keep pace wlLh demands due Lo acceleraLed
economlc growLh. Slmllar Lo ng and allls (2012), Lhls sLudy demonsLraLed Lhe
23
slgnlflcance of undersLandlng how and why lnsLlLuLlons ln counLry-speclflc conLexLs
mlghL lnLeracL Lo affecL reform and developmenL of LransporL lnfrasLrucLures.

Where lnsLlLuLlons were efflclenL and bureaucracy ceased Lo be an lmpedlmenL Lo cargo
flows, dry porLs could become essenLlal loglsLlcal componenLs. Meanwhlle, an evenLual
lmprovemenL ln Lhe efflclency of seaporL servlces, Lhe removal of problems of
lnfrasLrucLure affecLlng Lhe loglsLlcal lnLegraLlon of sea- and dry porLs and Lhe soluLlon Lo 680
lnsLlLuLlonal problems ls llkely Lo undermlne Lhe vlablllLy of some dry porLs whlle
enhanclng Lhe role of oLhers whlch are sLraLeglcally locaLed Lo capLure hlnLerland
markeLs and capable of provldlng efflclenL lnLermodal lnLegraLlon wlLh seaporLs and
alrporLs. 1hus, Lhe long Lerm vlablllLy of dry porLs largely depends on Lhelr ablllLy Lo
respond Lo markeL forces and add value Lo supply chalns.

Cur focus on lnsLlLuLlonal aspecLs has lefL unaLLended some lssues concernlng Lhe roles
of dry porLs. Conslderlng Lhe envlronmenLal and economlc galns provlded by large, and
well-poslLed, dry porLs connecLed by hlgh capaclLy corrldors, furLher research ls requlred
Lo undersLand Lhe emergence of hub dry porLs ln areas of hlgh demands and Lhe lmpacLs 690
of Lhese cenLrallzed sLrucLures on compeLlLlon. Moreover, furLher research ls requlred Lo
undersLand Lhe neLwork formaLlon ln Lhe conLexL of deflclenL lnfrasLrucLure and
plannlng and ln Lhe absence of hlgh capaclLy corrldors. We also need Lo comprehenslvely
undersLand Lhe lmpacL of lnsLlLuLlons and bureaucracy Lo dry porLs ln oLher geographlcal
conLexLs. 1he auLhors draw parLlcular aLLenLlon here Lo Lhe speclal case of landlocked
counLrles and perlpheral reglons (cf. Monlos and Wllmsmeler, 2012) where porL
hlnLerland connecLlons comprlse mulLlple naLlonal [urlsdlcLlons and slgnlflcanLly greaLer
lnsLlLuLlonal challenges. We genulnely belleve LhaL Lhls sLudy has provlded consLrucLlve
lnslghL for developlng economles regardlng Lhe role of Lhe lnsLlLuLlonal seLLlngs when
pursulng slmllar paLh of LransporL and reglonal developmenL. 700


,-;"&?/+.0>+"$#
1hls sLudy ls supporLed by Lhe Pong kong 8esearch CranL Councll (8CC) under Lhe
pro[ecL enLlLled: /04"%+#' #8Q220.&"08 "+ 806.%&#' &01%&28R B#.M?(0B0+(0+6Q #+(
24
"+8.".G."%+#' 02A0((0(+088 %1 B%&. (0!0'%B20+. (olyu 3488/11P). We would llke Lo
Lhank all lnLervlewees and revlewers ln provldlng very useful lnformaLlon and
commenLs, respecLlvely. usual dlsclalmers apply.

710
*+1+*+"-+#
A8L8A, Assoclao 8rasllelra dos orLos Secos, I%A&0 -%&.%8 I06%8,
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# /04"208 D(G#+0"&%8 F8B06"#"8 +# /04";% >0.&%B%'".#+# (# *#"N#(# I#+."8.#R U%+#8
(0 -&%6088#20+.% (0 FNB%&.#:;% 0 J0+.&% (0 K%4L8."6# 0 H+(E8.&"#8 D'1#+(04#(#8, xll
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aulo, 8razll.
Pall, .A. (1986): =%!0&+"+4 .M0 F6%+%2QR 3M0 -%'"."68 %1 I.#.0 H+.0&!0+."%+ "+ *&".#"+ #+(
Y&#+60, ollLy, Cambrldge.
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WaLerfronL, F6%+%2"6 =0%4&#BMQ, 79(3): 347-363.
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per worker Lhan oLhers? ZG#&.0&'Q S%G&+#' %1 F6%+%2"68 114(1): 83-116.
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25
!acobs, W. and Pall, .v. (2007). WhaL condlLlons supply chaln sLraLegles of porLs? 1he
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