Intertextuality in Legal Discourse
Vijay K Bhatia
Department of English, City University of Hong Kong |
With the increasing introduction of multidisciplinary programmes in many
of the universities across the globe, the academic core of English for Specific
and Professional Purpose contexts has become complex and dynamic. One of
the most significant influences of this and similar trends has been the
recent efforts by many institutions to introduce and develop programmes
which develop expertise in more that one discipline. This has also led to
a gradual blurring of boundaries across disciplinary cultures in the world
of academics. A necessary consequence of this development has been that
in almost all professional contexts discourses are becoming increasingly
interdisciplinary, complex, and dynamic (Bhatia, 1998).
The main purpose of this paper is to describe some aspects of the integrity
of a genre (legislative provisions) from a well-established professional
context (the discipline of law) to suggest how disciplinary considerations
may create tensions within and across a range of academic discourse (Myers,
1992). (1) I would like to illustrate this integrity
by giving examples of intertextual patterning within the discourse of law
in order to show how it is used to serve the general function of textual
coherence (Halliday & Hasan, 1976) and how it serves generic and disciplinary
functions of making laws clear, precise, unambiguous and all-inclusive (Bhatia,
1993). This consideration of generic characteristics of specialist discourses
is also meant to point out how we can enhance our effectiveness in specialist
communication and help eliminate potential obstacles in the acquisition
of professional and disciplinary discourse.
Of all the professional and disciplinary texts, legal genres display
an overwhelming use of some of the most typical intertextual and interdiscursive
devices, which often create specific problems in their construction, interpretation
and use, especially when placed in interdisciplinary contexts. Legal specialists,
with their extensive training and experience often find it relatively manageable
to cope with such complexities. Professionals from other disciplinary cultures,
however often find them rather unnerving. In this paper, I will describe
some of these intertextual links in order to show you to what extent I think
they are truly cohesive. By cohesive I mean that they provide the essential
texture to legal texts (Halliday & Hasan, 1985). I will also describe
to what extent I think they serve functions that go far beyond the normal
textual considerations of their genre and become more legal in nature, and
hence, accessible only to the privileged members of the specialist disciplinary
culture.
Legal discourse, especially legislative provisions display a variety
and depth of intertextual and interdiscursive links rarely noticed in any
other discourse. Intertextual links in this professional genre seem to serve
not simply the function of making textual and discoursal connections with
preceding and preceded legislation, but they also seem to signal a variety
of specific legal relationships between legislative provisions in the same
document or in some other related document. As Caldwell, an experienced
parliamentary counsel put it,
. . . very rarely is a new legislative provision entirely free-standing
. . . it is part of a jigsaw puzzle . . . in passing a new provision you
are merely bringing one more piece and so you have to acknowledge that
what you are about to do may affect some other bit of the massive statute
bookÉ(Quoted in Bhatia, 1982, p. 172)
Let me give some more substance to the notion of intertextual links in
legislative discourse.
Intertextuality
In a corpus of legislative discourse based on the British Housing Act
1980, I have found four major kinds of intertextual devices which seem to
serve the following functions: (1) signaling textual authority; (2) providing
terminological explanation; (3) facilitating textual mapping; and (4) defining
legal scope.
Signaling textual authority
Textual authority(2) is signaled in the form of a
typical use of complex prepositional phrases, which may appear to be almost
formulaic to a large extent. A very typical example of this kind of signaling
is the following provision from the British Housing Act 1980 (H.M.S.O.,
1980):
110.5 The applicable local average rate is whichever of the two rates
for the time being declared by the local authority in accordance with subsection
(6a) below is applicable.
110.6 A local authority shall for such period not exceeding six months
and . . . (a) the rate applicable . . . shall be a rate exceeding . . .
b) . . . the rate applicable to the sums left outstanding shall be a
rate exceeding . . . .
In section 110.5, the use of the complex prepositional phrase in accordance
with . . . , it signals a link to the text of the indicated subsections,
it shows that we may expect some obligations for people affected by the
British Housing Act in the indicated subsections, and it also indicates
the nature of the legal relationship we can expect to find there. Our expectation
is then met by the consistent use of the legally binding word shall in
section 110.6. On the other hand, in section 13.4 below, the use of in
pursuance of section 4(2) raises an expectation of rights depending
on the individualÕs choice. This is then confirmed in section 4.2 in the
use of may, which is often used to express rights, rather than obligation.
13.4 The preceding provisions of this section do not confer any right
on a person required in pursuance of section 4.2 to share the right
to buy . . .
4.2 A secure tenant may . . . require that not more than three
members of his family . . . should have the right to buy with him . . .
The use of under or by virtue of, on the other hand, is more neutral;
however, many legal writers do not always use these expressions so explicitly,
thus causing difficulties in interpretation. The manner in which textual
authority is signalled (see note 2) is summarized in Table 1.
Table 1: Textual Authority
..... under
..... in accordance with
..... in pursuance of
..... by virtue of |
+ |
(the provisions of ) |
+ |
subsection.......
chapter........
section......
paragraph...... |
+ |
of the ..... Act
of the schedule
of ..... instrument |
Providing Terminological Explanation
Terminological explanation is so central to legal writing that even the
most common and ordinary expressions can take on special values in the context
of law. House, flat, residence, injury, hand, defame, reputation, and many
other words may require specialist interpretation because they may have
different meanings in legal texts. So one of the main functions of legal
writing is provide terminological explanation wherever such expressions
are assumed to have deviated from ordinary meaning. The term charity, for
example, has an ordinary meaning for most of us according to the society
in which we live. But in the context of a particular legislative statement
such meanings are often explicitly codified, rather than assumed to be known.
Common understandings of such terms are often vague, flexible and less precise,
but legal interpretation needs more precise definitions, as in the following
section from the Housing Act (H.M.S.O, 1980):
2.1 The right to buy does not arise if the landlord is a housing trust
which is a charity within the meaning of the Charities Act, 1960.
Facilitating Textual Mapping
The third major function of intertextuality in legal discourse is to
signal textual coherence to the reader that text must be interpreted in
the context of something expressed elsewhere. This is often signaled by
the use of en-participle clauses, as in this section from the Housing Act
1980 (H.M.S.O, 1980):
54.3 The continuous period mentioned in subsection . . . (2) above is
the period beginning with the grant of the protected shorthold tenancy
and continuing until either . . . (a) no person is in possession of the
dwelling- house as a protected or statutory tenant; or . . . .
If we compare the last two functions of intertextuality in legislative
expressions (term explanation and textual mapping), we may find quite a
bit of overlap, so much so that at some point they become almost indistinguishable.
Typical realisations of these two functions include expressions from
falling within the meaning of......, which clarifies texts, to referred
to in subsection ......, at the other end, which is used for text-cohering.
There are a number of others somewhere in the middle, such as specified
in section ........., set out in subsection.......... or described
in section .......and mentioned in subsection ....... The overlap
can be summed up in Figure 1.
Figure 1: Terminological Explanation Textual Mapping
Defining Legal Scope
The final category of intertextual link often used in legislative statements
I refer to as those defining legal scope for a provision. Since every single
legislative statement within a particular legal system is seen as part of
the massive statute book, and that none of them is likely to be of universal
application, it is often more than necessary to define the scope of each
of these legislative expressions. This is especially necessary when a provision
may conflict with what has already been legislated. Legislative counsels
often use intertextual devices in order to signal and to resolve such conflicts
or tensions. In the case of section 16.1 of the Housing Act, 1980 (H.M.S.O.,
1980) for instance, the writer simply signals the restricted scope of the
provision in the context of paragraph 11(2) of schedule 2 of the Act.
16.1 The landlord shall be bound to make to the tenant - - -
(a) - - -
(b) . . . a grant of a lease of the dwelling-house for a term not less
than 125 years (subject to paragraph 11 (2) of Schedule 2 to this Act);
. . . .
In section 8.6 of the same Act, an anticipated conflict has not only
been signaled but resolved too by providing that 8.6 will have legislative
effect in spite of the conflicting requirements stated in the Land Registration
Act of 1925 (H.M.S.O, 1980).
8.6 A charge taking effect by virtue of subsection (4) above shall have,
notwithstanding subsection (5) of section 59 of the Land Registration Act
1925, be a land charge for the purposes of that section . . . .
Figure 2 indicates a more complete range intertextual device defining
the scope of legal provisions:
Figure 2: Defining the scope of legal provisions
Conflict Avoiding Textual Links
Some of the most commonly used devices to signal conflicting cases are
as follows:
- Listing of conditions which must be fulfilled for a provision to operate
- Listing of exceptions under which the provision ceases to operate
- Explaining/defining circumstances under which a provision operates
- Extending the scope of the provision
- Restricting the scope of the provision
- Specifying consequences of non-compliance of the provision
Most often these legal conflicts are signaled by the somewhat neutral
complex prepositional phrase subject to, though often it is further
specified by the modification of the noun phrase, such as the following:
. . . subject to the conditions stated in sub-section . . .below
or
. . . subject to the exception mentioned in section . . .
or
. . . subject to the limits imposed by the provision in section . . .
Conflict Resolving Textual Links
In the case of real conflict between provisions, one often finds two
standard devices to signal a resolution of such conflicts. In the case of
the new provision taking priority over the other one, the common device
used is ...... notwithstanding the provisions of section........,
which clearly signals that the new provision will operate in spite of the
conflicting requirements of some older provision. In order to signal the
opposite effect, that is, the new provision has no effect on the one previously
legislated, one may often find the use of....... without prejudice to
the generality of section..... Sometimes, we also find somewhat more
general expressions to this effect, such as the following:
. . . in addition to the powers under section . . .
or
. . . instead of complying with the provisions of section . . .
However, such cases are rare. The parliamentary counsels more often than
not go for established devices to signal conflicts, whether they are potential
are more real.
Concluding Remarks
In this brief paper, I have made an attempt to describe only one of the
genre specific intertextual devices to illustrate that, in addition to their
text-cohering function, they also serve a number of typical legal functions,
some of which give expressions to the demands imposed on the drafting community
as a result of the generic expectations (Swales, 1990) on the part of the
members of the relevant professional community. Textual coherence in applied
linguistics is often viewed as independent of generic considerations and
hence are often treated in literature as a matter of "linguistic"
appropriateness (Halliday & Hasan, 1976) rather than "generic"
effectiveness. With the increase in multidisciplinary and interdisciplinary
exposure in academic contexts, it is becoming all the more necessary that
such generic and disciplinary variations should be taken more seriously,
especially in the context of English for Specific or Professional Purpose
programmes. Ignoring such generic characteristics of specialist discourses
means not only undervaluing effectiveness in specialist communication but
also creating potential obstacles in the acquisition of professional and
disciplinary discourse.
Notes
1. Bhatia (1993, p. 145) introduces the notion of generic
integrity in the context simplification of texts. He claims that most professional
genres are recognisable by members of relevant professional communities
because they invariably display their typical characteristics, either in
terms of lexico-grammatical features, rhetorical structures associated with
a socially recognised communicative purposes. Most of us familiar with daily
newspapers have little difficulty in recognising a news report and distinguishing
it from an editorial, because both of them have their own distinct generic
integrity. However, it is possible to create tension between two genres
by incorporating typical features two different genres into one, as is being
increasingly found in the mixing of promotional genres with a number of
others, including academic genres (see Bhatia, 1998)
2. It is very rare to find legal provisions entirely
freestanding. Whatever one may legislate at one any point in time is likely
to have some effect on aspects of preceding legislation. Legal documents
make use of typical set of lexico-grammatical devices to refer to the text(s)
where relevant legal authority in stated. This complexity of referential
relationships is typically mapped in most legislative provisions and is
signaled by surface-level lexico-grammatical devices.
References
Bhatia, V. K. (1982). An investigation into the formal
and functional characteristics of qualifications in legislative writing
and its application to English for academic legal purposes. Unpublished
Ph.D. thesis, University of Aston, Birmingham, U.K.
Bhatia, V. K. (1993). Analysing genre: Language use
in professional settings. London: Longman.
Bhatia, V. K. (1998). Generic conflicts in academic discourse.
In I. Fortanet, S. Posteguillo, J.C. Palmer, & J. F. Coll (Eds.),
Genre studies in English for academic purposes (pp. 15-28). Castellon,
Spain: Universitat Jaume I-Publicacions.
Halliday, M. A. K., & Hasan , R. (1976). Cohesion
in English. London: Longman.
Halliday, M. A. K., & Hasan, R. (1985). Language,
context, and text: Aspects of language in a social semiotic perspective.
Melbourne: Deakin University Press.
H.M.S.O. (1980). Housing act 1980, Chapter 51. London:
H.M.S.O.
Myers, G. (1992). Textbooks and the sociology of scientific
knowledge. English for Specific Purposes, 11(1), 3-17.
Swales, J. M. (1990). Genre analysis: English in academic
and research settings. Cambridge: Cambridge University Press.
Article
copyright © 1998 by the author.
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