Year: 2026
Type: dissertation
Abstract: Disputes in design-build-finance-operate-maintain (DBFOM) public-private partnership (P3) infrastructure concessions are structurally inevitable -driven by the model's long duration, complex risk allocation, and financial interdependencies.Alternative dispute resolution (ADR) mechanisms are now standard in P3 contracts, yet significant inconsistency remains in how these provisions are designed, sequenced, and enforced across jurisdictions.No comprehensive, evidence-based ADR framework tailored to the contractual and operational environment of DBFOM concessions existed prior to this research.This dissertation addresses that gap using a three-phase mixed-methods approach.The first phase involves a systematic literature review following the PRISMA framework, analyzing 75 peerreviewed articles published from 1990 to 2023.This review traces the evolution of ADR scholarship from arbitration-focused practices to multi-tiered, hybrid models and highlights the lack of crossjurisdictional empirical research as the main gap.The second phase is a documentary case study of II twenty DBFOM highway P3 contracts, ten from the United States and ten from Canada, performing a clause-level comparative analysis.This reveals clear jurisdictional differences: Canadian provincial frameworks follow standardized, prescriptive multi-tier ADR sequences, whereas U.S.contracts show state-level fragmentation due to institutional delegation and statutory variation.The third phase involves a qualitative thematic analysis of sixteen semi-structured interviews with construction attorneys, dispute board members, mediators, arbitrators, owner's advisors, and technical consultants, resulting in ten themes and thirty codes.Key findings include strong practitioner support for multi-tiered ADR, a shift in perception of Dispute Review Boards from tools for dispute resolution to dispute prevention, and recognition of senior executive escalation as the most crucial resolution level across roles.Additionally, two structural gaps are identified: first, flowdown of ADR provisions at the concessionaire-to-design-builder interface; second, disputeresolution mechanisms during the operations phase in DBFOM contracts.The three evidence streams come together in a detailed six-tier ADR framework-Steps 0 to 5-featuring eight practice-based refinements, a final tier adaptable to different jurisdictions, an ADR annex for the operations phase, and model flow-down clauses for the design-build subcontract.This framework is ready for immediate use in North American DBFOM concession agreements and provides guidance for public agencies, concessionaires, and legal teams aiming to enhance dispute management throughout the entire concession lifecycle.There is a rich history of ADR methods being used in various construction projects.However, a preliminary review shows limited discussion of these methods in the context of P3 projects, despite their steady increase in use. CHAPTER 2 LITERATURE REVIEWLike all other sectors, the construction industry has experienced its fair share of disputes throughout history that have affected the success of specific projects, often increasing costs or delaying completion.Additionally, the lack of clear dispute-resolution mechanisms has threatened the industry, with many disputes remaining unresolved, underscoring the need for quick, effective mechanisms embedded in contracts that comply with regulatory requirements.The literature review explores global issues faced by the construction sector, drawing on scholarly articles, and investigates potential ways to resolve these disputes efficiently and amicably.and amicably. Definition of P3 Projects and Alternative Dispute Resolution in P3 ProjectsPublic-private partnerships (P3s) are an effective approach to building public infrastructure and delivering social services by combining assets from both the government and the private sector.These collaborations aim to create innovative, efficient solutions that address community needs while leveraging private-sector resources (World Bank Group, 2023).Alternative Dispute Resolution (ADR) comprises various methods for resolving conflicts without resorting to trials or violence.Examples include settlement conferences, arbitration, mediation, and consensus building, among other ADR practices (Global Infrastructure Hub, 2024). Defining Conflicts, Claims, and DisputesWhile the terms conflict, claim, and dispute are often used interchangeably in everyday and professional contexts, they have distinct meanings in construction law and dispute resolution.They
Author: Muiruri, Kevin Mbugua
Institution: University of Washington
Language: English
Subfield: Strategy and Management
Domain: Social Sciences
Open Access status: green
OpenAlex ID: W7213484283