Contents

Acknowledgements    
Abbreviations List        

1     The Thesis Narrative  
1.1       The Research Background and Aim
1.2      The Research Steps
1.3      The Empirical Enquiries and Findings
1.4      The New York Convention 1958: Background and Legislative History
1.5      The UNCITRAL Model Law: General Legislative History  
1.6      Research Questions and Enquiries      
1.6.1    The Connections between the Research Questions  
1.6.2   The Choice of Bribery and Corruption, Insolvency, and Patent Laws  
1.7       Perspectives and Addressees
1.8       The Research Framework
1.9       Delimitations  
1.10      Summary of the Methods Used            
1.11       Thesis Outline – The Structure
1.12      The Contributions     

2     Methods and Methodologies   
2.1         Introduction     
2.2        Methodologies – The Four Pillars of Research Methods            
2.2.1      Part Descriptive            
2.2.2     Traditional Legal Dogmatic – Problems Orientated       
2.2.3     Part Comparative         
2.2.4     Empirical – Quantitative and Qualitative           
2.3        Relationship between the Methods Used in Each of the Chapters
2.4        Materials, Sources, and Analytical Tools
2.5        Search Engines

3    The Realm of Public Policy
3.1         Introduction
3.2        General Perception and Understanding
3.3        The Variations of Public Policy over Time and Demographics  
3.4        Types of Public Policies
3.4.1      Domestic or National and International Public Policies
3.4.2     Transnational or Truly International Public Policy
3.4.3     The Two Categories of Public Policy: Substantive and Procedural             
3.5         A Comparison of the Different Classifications of Public Policies
3.6         Concluding Remarks   

4   The Swamp of Arbitrability  
4.1         Introduction     
4.2        The Arbitrability or Inarbitrability Complexities
4.3        The Three Main Factors Affecting Arbitrability 
4.3.1      Private Rights versus Courts’ Protection of Public Interests     
4.3.2      Jurisdictional Basis Argument 
4.3.3      Condition of Validity of Arbitration Agreement Inclination
4.4         The Two Categories of Arbitrability       
4.4.1       Objective Arbitrability or Arbitrability Ratione Materiae
4.4.2      Subjective Arbitrability or Arbitrability Ratione Personae
4.5         The Four Stages of Arbitrability
4.6         Concluding Remarks

5   US Arbitrability: A Gateway Issue, a Matter of Jurisdiction
5.1          Introduction
5.2         Why Examine the Gateway Question?
5.3         The American Arbitrability Locus
5.4         Who Decides Who Will Decide the Issue of Arbitrability?
5.4.1       Clear and Unmistakable Evidence
5.4.2      Federal Pro-Arbitration Policy in Contradiction?
5.4.3      The Limitation of Arbitrability Scope Continues
5.4.4      The Parties’ Intention Must Be Clear
5.4.5      US Arbitration Law Recast?
5.4.6      The Dichotomy Settled, For Now
5.5         Concluding Remarks

6    Public Policy and Arbitrability under the New York Convention 1958 and the UNCITRAL Model Law  
6.1          Introduction
6.2         Constructions 
6.2.1       Procedural Public Policy: Articles V(1)(b) and (d)
6.2.2      Substantive Public Policy: Article V(2)(b)
6.2.2.1    Interpretation Rules
6.2.2.2   Discretionary Power
6.2.2.3   Virtually Universal Acceptance of Enforcing Country's Public Policy
6.2.2.4    What Public Policy?
6.2.2.5    A Transition towards Transnational Public Policy
6.2.2.6    Courts’ Own Construction of Substantive Public Policy and Other Significant Features
6.3          Interpreting Public Policy
6.3.1        Minimalist versus Maximalist
6.3.2        Protectionism
6.4           Arbitrability under the New York Convention 1958
6.4.1         Commercial Relationship: Article I(3)
6.4.2        Arbitral Jurisdiction: Article II(1)
6.4.3        Null and Void, Inoperative or Incapable of Being Performed: Article II(3)
6.4.4        Objective Arbitrability: Article V(2)(a)
6.4.5        Incapacity and Invalidity: Article V(1)(a)
6.4.6        In Front of an Enforcing National Court at the Seat of Arbitration
6.4.7        In Front of an Enforcing National Court at the Place of Enforcement    238
6.5           The UNCITRAL Model Law
6.5.1         The Silence of the Model Law on Arbitrability
6.5.2         Public Policy under the Model Law
6.5.3         Article 34 and Article 36: Sword and Shield
6.6            Concluding Remarks
6.6.1          The Public Policy Exception
6.6.1.1        Interpretation
6.6.1.2       National Sovereignty
6.6.1.3       Interpretation Approaches: Minimalist versus Maximalist
6.6.1.4       The Model Law
6.6.2          Arbitrability Defence
6.6.2.1       The Silence of the Model Law on Arbitrability

7    The Correlation between Public Policy and Arbitrability
7.1      Introduction
7.2     The Legislatures and the Judiciaries
7.3     The Overlap amid Mandatory Laws and Public Policy
7.4      Public Policy as a Limitation on Arbitrability
7.5      Arbitrability as a Matter of Public Policy
7.6      New York Convention 1958 and Mandatory Law
7.7      Concluding Remarks

8     Gathering the Data, Analysis, and Understanding the Results
8.1       Introduction
8.2      The Searches and the Search Engines
8.2.1     Kluwer Arbitration
8.2.2    Westlaw International 
8.2.3   The Search Terms and Key Words
8.2.4   The Search Methods and Commands 
8.3      The Search Results
8.3.1    The Number of Hits in Westlaw International
8.3.2   The Number of Hits in Kluwer Arbitration
8.4      The Final Tally of Relevant Court Decisions
8.5      Analytical Tools: Microsoft Excel Spreadsheet Software
8.6      Data Analysis and Results Presentations
8.6.1    Enforcement Frequency
8.6.2   Enforcement Rate over Time and Correlation with Other Variables
8.6.3   Enforcement Rate Per Jurisdiction, Jurisdictions, Groups, and Law Systems
8.7       Concluding Remarks

9     Concluding Reflections
9.1       The Overview
9.2      The Public Policy Concept
9.3      The Public Policy Exception
9.3.1     Article V(2)(b) and Its Interpretation Approaches
9.3.2   The Public Policy Exception under the Model Law
9.4       Arbitrability
9.4.1    The US Perception of Arbitrability
9.4.2   The Arbitrability Defence under the New York Convention 1958
9.5      The Correlation between Public Policy and Arbitrability
9.6      The Pro-Enforcement Approach Consensus Hypothesis
9.7       Some Thoughts on the Possible Ways Forward
9.8      Ideas for Further Work

Annexes            
Summary        
Annex A: List of the 70 Study Cases    
Annex B: Raw Data       

Bibliography    
Books, Chapters, Monographs, Articles
Court Decisions Referred to in the Text
Online Sources
Reports and Journals
International Legal Instruments, etc.
Other

Index

Jur. Dr. Victoria Bùi is a barrister and legal scholar with extensive experience in international arbitration and procedural law. She has represented governments, major corporations, and individual litigants, and continues to provide specialist legal consultancy in construction, energy, finance, and private international law.

 Advance Praise

Dr. Bùi’s book offers a clear and thorough examination of the public policy exception and arbitrability defence under the New York Convention. Combining rigorous doctrinal analysis with a well-executed empirical review of national court decisions, it brings notable clarity to a complex area. Informed by her practical experience, she presents these issues in a way that reflects the realities of arbitration and enforcement.
This strong balance of scholarly depth and practical relevance makes this book a valuable and highly usable resource for academics, practitioners, arbitrators, and courts.
—Prof. Dr. Eric Bylander, Uppsala University, Faculty of Law

In this monograph, Bùi succeeds in bridging sophisticated theoretical inquiry with pragmatic utility. Her careful dissection of the public policy exception and arbitrability defence—supported by empirical data—offers a nuanced and evidence-based understanding of how these concepts are applied across jurisdictions. It is a work that advances academic discourse while also equipping practitioners and arbitrators with clearer guidance in navigating enforcement challenges.
—Prof. Dr. Steffen Hindelang, Uppsala University, Faculty of Law

This book makes a substantial contribution to the field of international arbitration, offering clear and evidence-based insights into the operation of the public policy exception and arbitrability under the New York Convention. By systematically analysing national court decisions, the work provides a level of clarity and predictability that is highly valuable for practitioners, arbitrators, and courts. Beyond its academic merit, the study serves as an authoritative reference for those seeking to understand the practical application of these doctrines and to navigate the enforcement of arbitral awards with greater confidence and consistency.
—Professor Dr. Kaj Hobér, 3 Verulam Buildings

Victoria Bui's book is an inspiration and a delight. She dares to grapple with the impossible question: what is public policy? And her answer is nuanced and learned, much enriched by her international background and experience. She quotes widely from case law and legislation, and she also refers to modern issues such as the Covid-19 pandemic, abortion and #MeToo. For those wanting to understand the different types of public policy, it is helpful to have a clear explanation of the "Public Policy Pyramid" and "Public Policy Circles". From there, we move on to a detailed explanation of "The Swamp of Arbitrability", with a special chapter on "US Arbitrability", before launching into an impressive empirical analysis of public policy under Chapter V of the New York Convention. This book is an essential addition to any arbitration practitioner's library.
—James Hope, Partner, Vinge, Advokat (Sweden), Solicitor Advocate (England and Wales) Sweden

Victoria Bui’s thesis provides an interesting and practical analysis of the public policy and arbitrability defences under the New York Convention. By combining comparative doctrine with rare empirical data on how courts apply these grounds in practice, it offers international arbitration counsel concrete insight into the real enforcement risks across jurisdictions. Its demonstration of a strong pro-enforcement consensus—despite wide doctrinal variation—makes this study a valuable, reliable resource for lawyers navigating cross-border award enforcement.
—Rasmus Lüning, Partner, White & Case Advokat AB 

Bui's research and its results are a good basis on which to build in order to achieve a better understanding of how national courts interpret and apply the New York Convention, and to draw conclusions about the extent to which and why there is an interpretative consensus.  [...] The research fills a vacuum and serves as a good introduction and opening for further empirical research in the field of arbitration law. The research can be recommended both to practising lawyers working in the field of arbitration law, including arbitrators to manage risks regarding obstacles to the recognition and enforcement of arbitral awards, and to academics as a basis for further empirical research in the field."
​—Robin Ollus, Senior Associate,  Castren and Snellman

Victoria Bùi has produced a work of exceptional practical relevance on one of the most difficult yet critically important subjects in international arbitration. Public policy and arbitrability are areas that practitioners and arbitrators routinely confront, yet the guidance available is often opaque and fragmented. What distinguishes this book is the author’s ability to make a notoriously difficult subject clear, accessible, and directly useful for those dealing with real disputes. The extensive research provides a helpful baseline as of the date of publication on the materials available at that time, enhancing the work’s authority and practical value. Her analysis is grounded, well-structured, and responsive to the challenges faced in practice. This is a timely and valuable contribution that will serve the arbitration community for years to come.
—John Tackaberry KC, 39 Essex Street Chambers

Dr. Bùi’s book represents an exceptional contribution to the study of international arbitration, distinguished by its combination of academic depth, methodological clarity, and practical relevance. Her analysis of the public policy exception and arbitrability under the New York Convention is both conceptually rigorous and impressively comprehensive, engaging with doctrinal debates while also challenging long-standing assumptions in the field. What sets this work apart is its empirical component: by systematically examining national court decisions across jurisdictions, Bùi provides a rare evidence-based perspective on how these defences are actually applied in practice. This not only enriches scholarly understanding but also offers valuable guidance to practitioners, arbitrators, and policymakers navigating the complexities of cross-border enforcement. It is a study of exemplary analytical quality and genuine practical significance—one that will undoubtedly influence both academic discourse and the day-to-day work of international arbitration.
—Prof. Dr. Alan Uzelac, Faculty of Law, Zagreb University