A theological sample: the introduction to ash-Sháfi'í's Risála

Semiotic Aspects

Text type and argumentative structure
The subjects treated in the text follow a quasi-temporal progression: beginning with the pre-revelation stage, the author(s) take up the Prophet and his mission and conclude with the product of revelation, the Qur'an, and its paramount role for the believer in his quest for knowledge. The 'texts' emerging from this progression follow a common structural plan: in an introductory sequence, key claims of the text are presented. They are supported by a number of Qur'anic quotations and followed by additional notes or concluding remarks.

   Text 2 conforms most faithfully to this scheme: the first sequence introduces the subject of the text, i.e. the state of mankind before the mission of Muhammad:

   9 - ba'athahú wa-n-násu sinfáni:

The second sequence then elaborates on the first group of humans:

   10 - ahaduhumá: ahlu kitábin, baddalú min ahkámihí, wa-kafarú bi-lláhi, fa-fta'alú kadhiban sághúhu bi-alsinatihim, fa-khalatúhu bi-haqqi lláhi lladhí anzala ilayhim.

After a number of Qur'anic quotes supporting the author's proposition, he returns to his main thesis and describes the second group mentioned in the first sequence. Cohesion is established this time not by pronominal reference (sinfáni -> ahaduhumá), but by explicit recurrence (sinfáni -> wa-sinfun):

wa-sinfun kafarú bi-lláhi fa-btada'ú má lam ya'dhan bihí lláhu, wa-nasabú bi-aydíhim hijáratan wa-khushuban wa-suwarani stahsanúhá, wa-nabazú asmá'ani fta'lúhá, wa-da'awhá álihatan 'abadúhá, fa-idhá stahsanú ghayra má 'abadú minhá alqawhu wa-nasabú bi-aydíhim ghayrahú fa-'abadúhu: fa-úlá'ika l-'arabu.

A short interjection on similar beliefs on the part of the Persians is followed by Qur'anic corroboration. The evidence falls into distinct parts: first pronouncements on false beliefs of the ancient Arabs, then details on Abraham's conflict with his contemporaries on matters of belief and at last an admonition reminding the believer of God's grace. At the end of this passage, the author sums up the common mistakes of pre-revelation humanity:

   22 - qála: fa-kánú qabla inqádhihí íyáhum bi-Muhammadin sallá lláhu 'alayhi: ahla kufrin fí tafarruqihim wa-jtimá'ihim a'zamu l-umúri: l-kufru bi-lláhi, wa-btidá'u má lam ya'dhan bihí lláhu.

The transition to the next text on the Prophet consists of two sequences, both of which take up the two most important themes of the whole preface: praise of God and the validity of the Qur'an:

ta'álá 'ammá yaqúlúna 'ulúwan kabíran, lá iláha ghayruhú, wa-subhánahú wa-bi-hamdihi, rabbu kulli shay'in wa-kháliquhú,

   23 - man hayya minhum fa-ka-má wasafa hálahú hayyan: 'ámilan qá'ilan bi-sakhati rabbihí, muzdádan min ma'siyatihí.

   24 - wa-man máta fa-ka-má wasafa qawlahú wa-'amalahú: sára ilá 'adhábihí.

On the face of it, this and the other texts seem to conform to what Hatim and Mason call 'through-argument': thesis -> substantiation -> conclusion. With the substantiation in this case consisting exclusively of Qur'anic quotations and the validity and importance of the Qur'an as the author's chief concern, the passage seems to be utterly circular and unconvincing. The fundamental importance of the Qur'an is only taken up and argued for (again exclusively on the strength of Qur'anic evidence!) in text 4, after the other subjects have been dealt with - based on the quasi-axiomatic validity of Qur'anic statements.

   Some considerations to put these suspicions into perspective: texts 2 and 3 are compatible with a worldview that does not accord the Qur'an a status as exalted as text 4 seems to imply. In accordance with the 'world-knowledge' and the expectations of the reader/hearer regarding similar texts, argumentation on the basis of the Qur'an is of course perfectly legitimate. From this perspective, the author just chose to concentrate on Qur'anic evidence for the points he wanted to make. Therefore, there is no need to diagnose any inconsistency between texts 2 and 3 on the one hand and text 4 on the other hand. On the contrary, the exclusive use of quotes taken from the Qur'an in text 2 and 3 might be interpreted as something of a testcase intended raise the readers' confidence in this form of argument before proceeding to the juicy bits - text 4, both more central to the author's argument and at the same time more liable to be charged with circularity.

Intertextuality
Apart from their argumentative value, the Qur'anic evidence presented by the author forms one of a number of intertextual links connecting this work to the whole of Islamic literature in general and specifically to modes of argument exhibited by other legal texts in particular. Together with explicit quotes of legal authorities like Mujáhid and structural features shared with other texts, these intertextual references place the Risála squarely inside a specific literary tradition.

   Certain genres of classical Islamic literature pose a particular challenge for linguistic analysis: the mechanics of the Isnád apparently presents the reader with an 'inbuilt' and explicit marker for intertextual relations. It connects a given text to a whole chain of tradition both in terms of literary form and conceptual content. Unfortunately, it is also fraught with problems: does it indicate a stage in the progression of Islamic literature from an oral to a written stage? Do the names listed in an Isnád represent an authentic tradition? Moreover, texts invariable change in the course of teaching, reading and transmission, possibly diluting the 'original' author's intention. The text becomes part of a textual and conceptual 'continuum' and cannot be pinpointed and characterised on the basis of purely textual evidence.

   Qur'anic references not only provide a link between this and other texts, they contribute to both formal cohesion and argumentative coherence of the preface. Its constituting texts are bound together by a common mode of argument (through-argumentation), a common source of evidence for the author's claims (the Qur'an) and the recurrence of praise and blessing formulae and admonitions dotting the whole passage. Thus, references to the Book not only serve to support isolated strands of the argument, they prepare the reader for the ultimate conclusion of the author, i.e. his confidence in the Qur'an as THE source of knowledge.

Communicative aspects

Tenor
Due again to the prominence of Qur'anic quotations, may of them directly addressing the reader, the tenor of the Risála's preface is difficult to pinpoint. Three groups of passages can be distinguished:

• Qur'anic references, exhibiting a highly 'personalised' mode of address
• commentaries and conclusions drawn by the author, devoid of direct appeals to the reader and set apart by their high degree of detachment and distance
• prayers, blessings and admonitions voiced by the author; these invariably have the author speak as 'we' in the name of the whole community while at the same time remaining formulaic enough so as to avoid an impression of real 'involvement'

Taken together, the components of the preface exhibit a high degree of formality, very much in keeping with the dignity of the subject matter and in spite of his apparent appeals to the audience. In fact, the author seems to address two wholly different audiences at the same time: on the one hand, he strikes a detached, but polite exhortatory and didactic pose in relation to his readers/students; on the other hand, he displays a high degree of deference towards his second addressee, God, who is constantly referred to as the dispenser of grace and knowledge and, more importantly, as the receiver of the numerous prayers and blessings scattered throughout the preface.

Mode
Scholarly writings such as ash-Sháfi'í's Risála, were for the most part not written for a reading audience alone. They were read aloud to the teacher and other students - they were a didactic instrument, residing in a fuzzy zone between oral and written text. The didactic and persuasive thrust of the preface would fit both environments. Mainly paratactic passages of a highly parallel and formulaic nature such as the exhortations and prayers, e.g. in paragraphs 1,2, 39 and 40, appear side by side with more involved syntactic structures such as

   25 - fa-lammá balagha l-kitábu ajalahú, fa-haqqa qadá'u lláhu bi-izhári dínihí lladhí stafá, ba'da sti'lá'i ma'siyatihí llatí lam yarda -- : fataha abwába samáwátihí bi-rahmatihí, ka-má lam yazal yajrí -- fí sábiqi 'ilmihí 'inda nuzúli qadá'ihí fí l-qurúni l-kháliyati -- : qadá'uhú.

or

   47 - fa-nas'alu lláha l-mubtadi'a laná bi-ni'amihí qabla stihqáqihá, l-mudímahá 'alayná, ma'a taqsíriná fí l-ityáni 'alá má awjaba bihí min shukrihí bihá, l-já'ilaná fí khayri ummatin ukhrijat li-n-nási: an yarzuqaná fahman fí kitábihí, thumma sunnati nabíyihí, wa-qawlan wa-'amalan yu'addí bihí 'anná hawwahú, wa-yújibu laná náfilata mazídihí.

Parallelisms and paratactic structures would favour the assumption that the Risála was written to be recited/read aloud, while hypotactic passages point to its use as a written source to be read at leisure.

Field
On the most general level, the Risála belongs to the field of religious discourse, it appeals to a reader/hearer who shares most of the assumptions the author makes and who is familiar with his mode of argumentation based on the scripture. Even though the Risála as a whole belongs to the field of legal literature, the preface appeals to a wider audience and apparently requires no familiarity with legal literature or specific doctrines; the issues the author treats here are of a general religious nature and affect every single believer. Only in text 4, in which the author specifies the obligations of religious scholars, we find conspicuous instances of technical jargon: 'nass' and 'istinbát' in paragraph 45 and again 'nass' and 'istidlál' in the following paragraph. Ash-Sháfi'í accommodates both a general and a specialized audience (legal scholars) by his stringent appeals to incontestable sources (the scripture) and shared beliefs regarding the prophet and his mission.

Register
In terms of register, the preface clearly belongs to the realm of didactic religious discourse, skilfully (in my opinion) varying between detached-didactic and involved-emotive passages. The author's position alternates between distanced authority in his concise comments and conclusions and emotional fraternization in his numerous pleas and prayers in the name of the whole community - without however crossing the border towards chumminess. He is at the same time teacher and humble believer; his claim to authority rests both on his scholarly capabilities and his piety.

Pragmatic Aspects

As mentioned before, admonition and persuasion are in my opinion the author's main purposes in the preface to the Risála: admonition to heed God's word and to remember the acts of grace he lavished unto mankind and persuasion to accept the author's stance towards the Qur'an as the main source of religious and legal knowledge. His exhortatory intention seems to underlie his choice of religiously charged language, his recourse of prayer-like passages including the audience by using the 1st person plural and his numerous Qur'anic references. They both support his argument and evoke a highly charged, 'awe-inspiring' tone. At the same time, he directly appeals to the believers and exhorts them to model their lives on Qur'anic precepts.

   The persuasive thrust is upheld by switching between argumentative summaries, appeals and quotes: the pervasive 'sermonizing' tone of the text discourages dissent by cleverly blending shared religious doctrines and beliefs with the author's own conclusions. Attacks against them take on the appearance of attacks against core beliefs of the community. Potentially controversial contentions are on the other hand toned down and 'hidden away' in parenthetical additions towards the very end of the preface, e.g.

   47 - [...] wa-ikhlásu n-níyati li-lláhi fí stidráki 'ilmihí: nassan wa-stinbátan [...]

and

   46 - fa-inna man adraka 'ilma ahkámi lláhi fí kitábihí nassan wa-stidlálan, wa-waffaqahú lláhu [...]

which I take to be core concepts of the preface.

   These tactics present a startling contrast to the almost overweening self-confidence with which al-Kindí confronts his readers; the author seems to be perfectly aware of the constraints operating in a highly contested field such as Islamic law. Before springing possibly startling ideas on the reader, ash-Sháfi'í prepares him with an extensive barrage of incontestable content. According to my reading, the text is structured in a way that attempts to make the author's ideas unassailable by associating it with unobjectionable beliefs and by diverting attention from them.

Problems

Role of religion
Religious conventions, invocations, Qur'anic references and the like take on a particular significance in texts like the Risála; it sometimes seems that they are entirely made up from a toolbox of religious phrases and modes of argument. Comparing this text with the preface to al-Kindí's Al-falsafat al-úlá, it seems more and more futile to prove any imputed use of overtly religious language or forms of argument in his text; the contrast is too startling. On a more general note, I am quite unsure regarding the status of religious references (the widespread use of religious formulae and scriptural quotations) in both texts: do they have an function over and above merely reasserting the 'common ground' of author and audience? Do they form part of certain literary conventions or do they have any additional relevance?

Intertextuality in an Islamic literary environment
I have already alluded to the specific problems of intertextuality in texts framed by Isnáds above. While it seems obvious that they are intended to support claims to authority and authenticity a text may make, their status is far from clear. It seems to me that there are two different approaches to this issue: to either disregard the 'Isnád-factor' completely in my accounts of intertextual relations on account of their dubious nature or to take them at face value: as a device tracing literary traditions the author(s) would want to be part of, justified or not. I would probably opt for the second course of action. The potential of the Isnád as the most explicit marker we have for literary influences (short of explicit quotes) seems to be too tempting not to take it into account.

Frameworks for text types
The most important prerequisite for my intended comparison between source and target texts is a viable model for 'text types' and 'text functions' that would allow me to classify both original and translated text and to assess their shortcomings compared to that 'text type' - the tertium comparationis, so to speak. I am still looking for such a model that could help me to transform the unsystematic and rather anecdotal evidence I have been presenting in this and the previous paper into something more scientific - something a linguist would accept as 'evidence'.