PATRICIA CRONE & MA RTIN HINDS

Religious authority in the

rust centuries of Islam

Copyrighted material

University of Cambridge Oriental Publicato

i ns

God'$ caliph

C;.pvrlghted material

God's Caliph
Religious authority in
the first centuries of Islam

P A T R I C I A CRONE
Univenity L..ecturer in blamk HiSiory and
Fellow or Jesul Colleac. Quoro

and
MARTIN HINDS
Univcnity
Fellow or Trinity Hall, Cambridsc

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('none. "atricia. ''M5God's caliph.
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no.

37)

Bihliogfllphy: p.
loclllll..-s iJl\k.\.
I . Caliphate. 2. Islamic Empire-Politics and gOImullen!.
3. IsIrn Dnd stute
I.Wnds. Mortin II, Titlo: Ill. Series
IlI'l66.9.C76

1986

297'.65

IIS-26992

ISIJN "S21 3218S 9 ilardNK:k

ISIJNOHI541115paperback

CJPYnghied manal

CONTENTS

I Introduction

The title

The Umayyad conception of the caliphate

24

Caliphallaw

43

From caliphal to Prophetic sunna

58

The Umayyads

59

The 'Abbiisids

80

Epilogue

97

khalifat Alliih

Appendix I On the date and origin of the caliphate

III

Appendix 2 The letters of ai-Wand II and Yazid I I I

116

Appendix 3 Abu l;Iarnza's comments on the caliphs

129

Appendix 4 al-Ma'miln's letter of designation of 'Ali

al-Ri"a as his successor

133

Workscited

140

lnder

J53

alenal

Copyrighted material

1
Introduction

What was the nature of the early caliphate? Islamicists generally

believe it to have been a purely political institution. According to
Nallino, no caliph ever enjoyed religious authority;l according to
other IslamicislS, some caliphs did lay claim to such authority, but
only by way of secondary development and only with limited
success'. In what follows we shall challenge this belief. It is of course
true that religious authority was the prerogative of scholan rather
than of caliphs in classical Islam, but we shall argue that this is not
how things began. The early caliphate was concei along lines very
different
authority being concentrated in it; it was the caliph who was charged
with the definition of Islamic law, the very core of the religion, and
without allegiance to a caliph no Muslim could achieve salvation. In
short, we shall argue that the early caliphate was conceived along the
lines familiar from Shi'ite Islam.
The conventional Islamicist view of the caliphate is that enshrined
in the bulk of our sources. Practically all the literature informs us
that though the Prophet was God's representative on earth in both
political and religious matters, there ceased to be a single represen
tative in religious matters on the Prophet's death. Political power
passed to the new head of state, the caliph: but religious authority
f rently
remained with the Prophet himself or, dife
1 C. A. Nallino, Appunti lutla natufa dcl "Caliratto" in JCnCre c Jul praunto
"Califattoottomano"', in hil Rocco/tadi Krilli f'ditit i",.ditl, "01. III. Rome 1941;
compare also T. W, Arnold, TM Caliphate', London 1965, p. 14.
2 Thus T. Nagel, RlIlf,.i/Wlg WId XaJi/at, Bonn 1975; D. Sourdcl, 'L'aUlorile
cati6t-nnc dans Ie monde lunnitc' in G, Makdisi, D. Sourdcland J. Sourdct
Thomine (cds.), Latlotiort d'mlt(Nilau lftO)'f'tI figf',' hfam, BYZDII('f', OiIk"" P.ris
1982, pp. 105f; G. Rotter, Dif' Umayyodnr wuIdrr zM'f'ilf' 8iirrf'rkr (680-692),
Wiesbadcn 1982. pp. 3-4, 52, 248ft'.

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God's Caliph

those men who remembered what he had said. These men, the
Companions, transmitted their recollection of his words and deeds
to the next generation, who passed it on to the ne)tt, and so forth,
and whoever learnt what the Prophet had said and done acquired
religious authority thereby. In short, while political power continued
to be concentrated in one man, religious authority was now dispersed
among those people who, owing their authority entirely to their
learning, came to be known as simply the 'ulama', the scholars. As
it happened. however, the first three caliphs (Abu Bakr, 'Umar,
'Uthman) were themselves Companions, so that in practice religious
and political authority continued to be united, ir no longer concen
trated, in the head of state, and during this period the caliphs could
and did issue authoritative rulings on law. But though the fourth
caliph ('Ali) was also a Companion and moreover a kinsman of the
Prophet, he failed to be generally accepted, and on his death the
caliphate passed to men who had converted late and unwillingly (the
Umayyads), so that the happy union of religion and politics now
came to an end. Caliphs and 'ulamii' went their separate ways, to be
briefly reunited only under the pious 'Umar II.
Most Shrites disagree with this view. According to the Imimis and
related-sects. the legitimate head of state ('Ali) inherited not only the
political, but also the religious authority of the Prophet. In practice,
of course, the legitimate head of state after 'Ali was deprived of his
political power by his Sunni rivals, so that he could only function
as a purely religious leader of his Shrite following; but in principle
he was both head of state and ultimate authority on questions of law
and doctrine in Islam.
Modem Islamicists however generally regard the Shi'ites as deviant.
Some take them to have started off as adherents of a political leader
who was not, at first, very dife
f rent
who was gradually transfonned into a religious figurehead.' Others
believe them to have elevated their leader into a religious figurehead
from the start, but to have done so under the influence of foreign
ideas, their model being the supposedly charismatic leadership or
pre-Islamic south Arabia.t Either way, it is the Shi'ites, not the
Sunnls. who are seen as having diverged from the common pattern.
It certainly makes sense to assume that Sunnls and Shi'ites started
J Thus ror.mple 8. Lewis. 1M Arabs jn His/ory. London 1966. p. 71.
4 Thus W. M. Wilt. IJ/QIPI tw1 t hllt"o/IOII 0/ Sodtty. London 1961. pp. 105r.;
ted by Witt in numerous otherpubliC:ltons: aoc:epled by Natel. Rtf'htltl/llftg,
pp. 45r.

CJPYnghted malenal

Introduction

with a common conception of the caliphal office; and given that we

owe practically all our sources to those who were in due course to
become the Sunni majority, it is not surprising that we automatically
assume this conception to have been of the Sunni rather than the
Shi'ite type. There is, however, much evidence to suggest that this
is a mistake.

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2
The title

khalifat Alliih

We take as our starting point the well known fact that the Umayyads
made use of the title khalifat Allah,! an expression which we along
with many others understand to mean 'deputy of Goo',
This translation is scarcely in need of much defence. A

khalifa is

somebody who stands in the place of another, that is a deputy or

a successor depending on whether the other is absent or dead; since
the Muslims assumed God to be alive, khalifal AJliih cannot mean
'God's successor'. However, in order to accomodate the conventional
view that the caliphate is succession to Mul:lammad rather than
deputyship on behalf of God, Goldziher construed it as meaning
successor(ofthe prophet approved) by God',I and this interpretation
has found favour with some. It might now be defended with reference
to Paret's conclusion that Qur'anically kholifo means successor.' Two
Qur'inic verses were customarily invoked by those who called
themselves khofijo( Alliih, that is 2 : 28, in which God announces that

'( am placing a khofijo on earth' with reference to Adam, and

38:2S,

I a. 1 . Ooldziher. M/4flm Slwirs, London 1967-71, vol. II, p. 61of the oriJinal
palinllion : /d., 'Du sens propre des expressions Ombn: de Dieu, Kh,life de Dieu
pour dCsiper In chefs dans J'lslam', hf:w. , Hi"oirt.s hl/6/ON l5 (1897);
D. S. Mu,oliouth, 'The Smse of lhe Tille KllanfDll' in A VoIumt of Orwntal
Slll(/i" PrtunlHlo E. G. 8ro..,." Cambridge 1922; E. TYln,/nslllullomtN droll
publlcmllSlll_, 'lot t (Lt fuJi/at). Plris 19S4, pp. 202, 4l9ft": H. Rinuren, 'Some
RdiJious Aspects of the Caliphate'. Sludits In Iitt History of RtI/6iOlls
(suppitn'lfmuto N_n). IV: '(if,al Jc.irqJllip,lo ",alitd SQtTa, Lridm 1959;
W. M. Witt God's Clliph: Qur'inic Interpretations and Umlyyad alims' in
/rQlf aM IJ/QIf1, ed. C. E. Boswonh, Edinbursh 1971; R. Paret. 'ijlfifll Allih
Vicari us Dei: tin difl"ertnzitrender
thri/I A. AbrI). Lcidm 1974. II is with somt surprise thlt one nota; Hitti'sdaim
that 'such e.travapnt lillts IS /cllaRjal AlfiJil . . . weee evidently first bestowed on
IIMullwaldr.iI' (P. K. Hitti, History of Iitt A,abJ'. London 1961. p. lI7).
2 Goldziher, 'Ou sens proprt', p. ll1.
1 R. Partl, 'Sipilkation coranique de lJolrfa et d'lu\rtl derives de I, radne
IJQ/afo', Studio IIIQIf1leo II (1970).
'

C;lpynghted matanal

The title Khalifat Allah

in which He tells David that 'we have made you a khalifa on earth ';4
ifParet is right that khalifa invariably means successor in the Qur'an,
and if the title

khalifat Allah was actually coined with reference to

these verses, then the title ought indeed to mean 'God's suocessor'
in the sense of ' successor appointed by Him' as Goldziher suggested.
But plainly it did not. Leaving aside the fact that there were exegetes
who disagreed with Paret& and that the provenance of the title is
unknown, the texts leave no doubt that khalifat Allah as applied to
the head of state was understood to mean 'deputy of God'. As Watt
notes, there are passages in both poetry and prose which militate
against Goldziher's interpretation;' paraphrastic titles such as am,n

Allah, 'trustee of God', ra', Allah, 'shepherd of God', sultan Allah,

'the authority of God ' or na'ib Allah, 'lieutenant of God ' also make
it unlikely that khalifat Allah meant anything but 'deputy of God';1
and so does the general tenor of the sources, as will be seen.
Moreover, since 'Uthmiin, the first caliph for whom the title khalifat
Alliih is securely attested, was also known as amin Allah, there is no
reason to assume that kharifat Allah only acquired its exalted
meaning in the course of its evolution;' we may take it that it meant
'deputy of God' from the start.
Now 'deputy of God' is a title which implies a strong claim to
religious authority. This is why we are interested in it, and we wish
to begin by establishing three basic points, First, it is attested not
4 IrkJuUifa means suca:ssor here, Adlm was I sua:csso r to angels orjilin Ind David
to lOme previous king,
S cr, Watt, 'God's Caliph', p. S66, where some uegetic:al views Ire cited.
AI-Bayiwi allO accepts thlt khalr/a means deputy, adding that evny prophet
was I depUly or God (An
...Jr o/-tantR wa-Q.Srdr o/-ta'It,n, Istanbul n.d., vol. I, p.
64, ad2: 28), and the same inte-rpretation is implied in the Slories in which 'Umn
I and 'Umlr II .eject the title or kha/ifar Allifh on the ground thlt it men
exclusively to prophets such as David (cr.
the exegetes exercised great ingenuity to I'loid the interpretltion of kMrifa IS
'oepuly' tor political fUsons, optin, ror far-fetched inte-rpretations such IS that
or' posterity' or'suo.nor' instead (W. M . Wilt, 1M FormDt Ptriadoflslamit.
Thought, Edinburgh 1973, p. 84; the rar-retched interpretation is that adopted
by Paret). But what bothered Inuep:te sudt IS Il-Tabari wlS clearly not politics.
but rather the incompatibility or 2:21 with the doctrine or prophetk '4fM: how
could I deputy orGod, viz. I prophet, be said to ' act corruptly and shed blood'1
(cr. id. 'God's CaJiph', p. 566).
6 Wall, 'God's Caliph', p. S71; Id. FarfMtipt P"iod, p. 84. In what roiloWi we
shall transllte klIoITfat Allifh as 'deputy of God' or leave the expression
untranslated; the reader mayjudge ror himselrhow mlny times '51)((8ISm of the
Prophet approved by God' would be a felicitous rendition.
7 cr. the index.
8 cr. Walt, Farmotipt Period, p. 84, where this possibility is left open. For 'Uthmin
IS ami" Allifh see below, note as.
.

CJPYrighted material

God's

Caliph

just for some Umayyad caliphs, but for all of them, or more precisely
for all of those who lived to rule for more than a year; secondly, it
was an official designation of the Umayyad head of state, not just
a term ofnattery; and thirdly, it was well known to be what the title
of khali/a stood for when used on its own.
t

Atttstations per caliph

Note: tn order not to clutter the text we give only short references

here; full bibliographical details are given in the list of works cited.
We should like to acknowledge our debt to Tyan, whose Cali/at
provided us with many of our attestations.

(I) 'Ulhmon
(a) 'I am the servant of God and His deputy' (Aghani, vol. xvi,
p. 326: '/qd, vol. iv. p. 301').
(b) I beseech you by God and remind you of His right and the
right of His khali/a' (Aghan;, vol. xvi, p. 325).
(c) Perhaps you will see the kholifa of God among you as he was,
one day in a place of joy' (l;Iassin b. Thiibit. no. 20: 10; cr.
'Arafat. 'Background', pp. 276ff.).
(d) 'The deputy of God, he gave them and granted them what there
was of gold, vessels and silver' (Layla alAkhyaliyya. no. 27: 2).
(e) 'They were brought something which cancels the duty to
avenge a deputy of God's (khalifalill 1;'lIoh, Nar b. Muzil)im,
Waq'ar Silfin, p. 229).
'

(2) Mu'iiwiya
(a) 'The earth belongs to God and I am the deputy orGod' (Bal.,
Ans., vol. iv/a, p. 17 vol. iv/I, p. 20, 63; Mas Muriij, vol.
iii. 1861 v, pp. 1041).
(b) 'Your brother, Ibn l;Iarb, is the deputy of God and you are his
vizier' (l;Iiiritha b. Badr to Ziyid b. AbThi in Tab., ser. ii. p.
78).
(e) 'You have lost the khalifal Alliih and been given the khilofal
Allah' ('A.i' or 'A.$im b. Abi Sayti to Yazid 1 on Mu'iiwiya's
death in Jii\lii. Boyan, vol. ii, p. 191; Mas., Muriij, vol. iii,
1912 v, p. 152; 'Jqd, vol. iii, p, 309").
(d) . Mu'iwiya b. Abi Sufyin was a servant whom God deputed
=

CJPYnghted malenal

The rille Khalifat Alldh

(;jrakhlafahu Allah) over the servants . . . and God . . . has now

invested us with what he had' (Yazid I in Ibn Qutayba, [mama,
p. 190).
(e) Mu'iwiya preferred his son Yazjd for khiliJfat Allah 'ala 'ibadihi
(alMu'taQid in Ibn Abi 'Il;ladid, SharJ" vol. xv, p. 178, citing
Tabari; but Tab., ser. iii, p. 2173 11, gives a different version).
(3) YaZld [
(a) Cf. above, 2. c,d,e.
(b) Imtim al-mlLflimin wa-khalifat rabba/'tilamin (Muslim b. 'Uqba
in Ibn Qutayba, [mama, p. 203. cf. p. 202: 'I hope that God,
exalted and mighty is He, will inspire His khalifa and 'abd with
knowledge of what should be done').
(c) 'Woe to you who have separated from the sunna and jamaa
and who have disobeyed the deputy of God' (Syrians to
Hishimites in l;Iamza al-I$fahini. p. 217).
(5) The Sufyanids in general
(a) '0 people of Jordan, you know that Ibn alZubayr isin a state of
dissension, hypocrisy and disobedience against the caliphs of
God' (l:Iassin b. Milik b. 8abdal in 'Iqd, vol. IV, p. 395').
(b) The Umayyads in the presence of Mu'iwiya are addressed as
banI khulafo' Allah (Aghtinl, vol. xx, p. 212; al-Tilbani, Miskin
al-Dirimi', p. 185).

(5) Marwan [
No direct attestation.
(6) 'Abd a/-Malik
(a) For the coinage of 'Abd ai-Malik's reign which refers to
kha/ifat Allah, see Walker, Catalogue, vol. ii, pp. 28, 30f(bronze
coins. undated (but see below, chapter 3, note I; vol. i. p. 24;
Miles, 'MiiJrib and 'Anazah', p. 171; and id 'Some Arab
Sasanian and Related Coins'. p. 192 (miJ,rab and 'anoza
dirhams, undated); Walker, Cala/ogue, vol. i. p. 25 and Salmin,
' Dirham nadir', pp. 163ft'. (Khusraw II plus standing caliph
dirham, dated 75).
.

CJPYnghted malenal

God's Caliph

(b) For the stories in which alHajjij deems God's kharifa superior
to His rasu/with reference to 'Abel alMalik, see below, chapter
3, pp. 28f.
(c) 'To the servant of God, the Commander of the Faithful and
khalifat raM al'alamfn' (letter from al-l;Iajjaj to 'Abel alMalik
in 'Jqd, vol. v, p. 2SI2).
(d) 'God, exalted is He, has said, "fear God as much as you can"
(64: 16). This is [due] to God . . .Then He said, "hear and
obey" (also 64: 16). This [obedience is due) to the servant of
God, thekhalfjaofGod and the noble one/belo...ed (najib/Ilabib)
of God, 'Abel ai-Malik' (speech by all;lajjij in Mas Muru j,
vol. iii, 2088 .... p. 330; '/qd, vol. iv, p. 117; cf. Abu Diwiid,
Sunan, vol. ii, p. SI4, and the mangled version in Ibn 'Asikir,
Tahdhib, "'01. iv, p. 72, in which the caliphal epithets are reduced
to amir a/-mu'minin).
(e) 'You thought that God would betray His religion and His
khiliifa' (al-J;lajjaj after Dayr al-Jamajim in '/qd, vol. iv, p.
1161; Mas., Muruj, vol. iii, 2066 vol. v, p. 30S).
(I) 'God, mighty and exalted is He, has deputed the Commander
of the Faithful 'Abd alMalik over His lands (utakhlafahu
Allah) and been satisfied with him as imam over His servants'
(speech by al-l;Iajjij in Ibn Qutayba, /mama, p. 233).
(8) 'The earth belongs to God who has appointed His khalifa to
it' (Farazdaq, vol. i. p. 2S').
(h) 'Ibn Marwin is on your hump, the khalifa of God who has
mounted you' (camel-driver's song in Aghani, vol. xvi, p. 183;
a variant version refers to al-Walid I, cr. below).
(i) 'God has garlanded you with khilafa and huda' (Janr, p. 4741).
(j) 'The caliph of God through whom rain is sought' (alAkhtal.
Dfwan, p. 101'; also cited in Aghanf, vol. xi, p. 66).
(k) Khalifiit Allah al-murajja (al-'Abbas b. Mul)ammad in Aghanf,
vol. xxiv, p. 217, probably with reference to 'Abel alMalik).
,
(I) 'The deputy of God on his minbar (Ibn Qays al-Ruqayyat, no.
I : 17 (p. 70.
(m) Khalifar al-RalJman (Ri'i, pp. 2281, 229", variants; the text has
.

walf amr Allah).

(7) aJWalfd J
(a) For the stories in which Khiilid al-Qasri deems God's khalifa
superior to His rasiii with reference to al-Walid I. see below,
chapter 3, p. 29.
CJPYnghted matanal

The lille Khalifat Allah

(b) Fa-anta Ii-rabb af-'iilamin khalifa (JaTiT, p. 3848).

(e) 'Vou are the shepherd of God on earth' (Farazdaq, vol. i, p.
3121).
(d) 'The caliph of God through whom clouds of rain are sought'
(Nabighat B. Shayban, p. 284).
(e) 'The khalifa of God through whose slInna rain is sought'
(Akh\al, p. 18S).
(0 'The khalifa of God who has mounted you' (AI-Walid to his
camel in '/qd, vol. iv, p. 424, a variant of 6 (h); ef. Ibn 'Asikir,
Tahdhib, vol. iii, p. 398, where it is JamTI who says it ofal-Walid
I).
(8) Siliaymiin
(a) 'The kharifa ofGod through whom rain is sought' (Farazdaq,
vol. i, p. 361'. Note also Janr, p. 35', where Ayyiib, the son
of Sulayman is prematurely described as khalfJa U'I-Rai}miin).
(b) 'My heir apparent amorrg you and my successor among all of
those over whom God has deputed me (islakhlafani Alliih)
is . . . 'Umar' (Sulaymin's testament in Ibn Qutayba, Imiima,
p. 308; in this document Sulayman styles himself khalifat
al-mwlimin, cf. p. 307).
(9) 'Umar II
(a) 'The khalifa ofGod, and God will preserve him' (Janr, p. 2741;
the title is mentioned again at p. 275').
(b) 'The one who sent the Prophet has placed the khiliifa in the
just imam' (Janr, p. 415').
(10) Yazid II
(a) 'Vazid b. 'Abd ai-Malik is the deputy of God; God had
deputed him over His servants . . . and he was appointed me to
what you see (Ibn Hubayra inMas., MUrUj, vol. iv, 2210 v,
p. 458; Ibn Khallikiin, vol. ii, p. 71).
(b) Kharifal Alliih (Janr, p. 256').
'

(I I) Hishiim
(a) For stories in which the deputy and the messenger of God are
compared with reference to Hisham, see below,chapter 3, p.29.

10

God's Caliph

(b) 'and Hisham, the deputy of God '(alAbaliin Aghiini, vol. xi, p.
305).
(c) 'You are using abusive words for all that you are God's deputy
on earth' (visitor to Hisham in Ibn Kathir, Bidaya, vol. ix. p.
351).
(d) 'You have lied to khalifat alRaman concerning it' (al
Farazdaq or alMufarrigh b. al-Muraqqa'in Aghanf, vol. uii,
p. 21).
(e) ai-imam khalifal Allah alriqa 'I-humam (l;Iaf al-Umawi in Ibn
'Asakir, Tahdhib, vol. iv. p. 392).
(f) Note also khalifat ahl a/ar4, khalifat af-anam (Farazdaq, vol. i,
p. 165', vol. ii, p. 830.1); compare Sulayman's kha/i/at af
muslimfn (above, 8,b).
(12) al-Walid II
(a) Cf. the letter translated below, appendix 2, pp. 116ft'., in which
the caliphal institution is identified as deputyship on behalf of
God and the caliphs are referred to as khulafli' Allah.
(13) Yaz id III
(a) Cf. the letter translated below, appendix 2, pp. I 26ft'., in which
Yazid III identifies all Umayyad caliphs up to and including
Hisham as khulafo' Alliih; by implication he brackets himself
with them.
(14) Marwiin II
(a) Cf. the letter in which Marwan (not yet caliph) states that 'this
caliphate is from God' (Tab ser. ii, p. 1850).
(b) 'God's religion and His khilafa' (Marwan in a letter (penned
by 'Abd al-l;Iamid b. Yal)ya) in Safwat, Rasii'iI, vol. ii, p. 474,
citing Ibn TayfUr, lkhtiyar almaniiim wa'/-manthiir and other
sources).
(c) And in disobedience to the deputy of God a Muslim continually
strikes with the sword in his hand that of his brother' ('Abd
al-l:Iamid b. Yal)ya with reference, probably, to Marwan II, in
his 'Risala fi'Jfitna' in al Tadhkhira af-lJamdiiniyya, bab 31). cr.
below, chapter 3, note 14, where 'Abd al-l;Iamid speaks of
God's rasu! and khalifa.
.

righted matmal

The title Khaliof l

(d) Cf. also the refiection of

IJ

khalifal

khaliaf l
(Ya'qUbi, vol. ii, p. 420, has Ialif al-shay(an, obviously a
whel'.! Oawiid b. 'Ali denounces Marwan as

corruption.)

The Marwiinids in general

(15)

(a) Thiibit Qutna refers to (a'at aJRal}man aw khulafiJ'ihi (Aghilnl,

vol. xiv, p. 271). Cf. also above, 12 and 13.

The Umayyads in general

(16)

(a) According to al-Mada'ini, the Syrians called all their children

Mu'awiya, Yazid and alWalid 'after the caliphs of God'
(Pellal, 'Culle de Mu'awiya', p. 54).

2 The ofllci.1 nature of the title

That

khalifal Allah was an official title of the Umayyad head of state

is clear from the attestations given already. It was not of course the
title commonly used for purposes of address and reference to
individual Umayyad caliphs. For such purposes amlr aJ-mu'minitl,
'commander of the faithful', was adopted, and this title is far more
densely attested in the sources than khalifa; indeed, in the non-Muslim
sources khalifa
the official designation of the caliph's function,'D and what the
attestations just given show is that it stood for khalia
f t

khaliaf t
khaliaf t
it did not stay on the coinage for long, II the Umayyads continued
9 According to Brock, it is only atlIed 0f\C:Jr in 5yriac lilelu. and Ihat in a lale
5Oume: 'Uthmin i5 addrtS5ed as 'caliph or Ihe prophet or God ' in lhe Cllronirlr

ad 12J4 (5. P. Brock, 'Syriac Views or Emergml lslam' in O. H. A . Juynboll

(td.), StwditSOft11l Fiw Crnlur),o/iJl_ic welrt)'. Carbondale and Edwardsville

1982, p. I" and nole 33 thereto). The only Syriac autslation thus renders Ihe

claMical khalifat rasiil Alldh.

10 Similarly, the official designalion ortbc function ofa Frmc:h parish priest is nln.
but his pari5hionen will .aually address him as rt and refer to him as/r prrr.
In his\ctter regardinglhe sUCCts$ion alWalid II rden to Ihe caliph5 as kllu/aft
when he describes their history. function and importance, bUl switches 10 amir
almw'minfn when he addTC$SM. his subjects dirtttly (cr. below. appendix 2).
II The fact Ihat it disappeared rrom the coinage does not mean Ihal 'Abd alMalik
repen led of having called himself khali/at
regarding the kind or propaganda he wished the coina to make.

C;.pvrlghted malarial

J2

God's Caliph

to spell out khalifa as khalifat AI/iih in their public statements until

the very end of the period: for all their political differences, ai-Walid
II, Vazid III and Marwan II were at one on this point. The
appearance of khalifat Allah and variations on this title in court
poetry thus reflects official usage. not poetic inventiveness. Leaving
aside a reference to 'Uthman in a thirteenth-century Syriac source,

khalifar rasul Allah is not attested for the Umayyads at all."

3

KNlIf. - kNlIf., AUiII

It was not just the Umayyads and their poets who took khar,Ja to
stand for khalifat Allah when applied to the head of state; apparently
everybody did so, Thus Yazid b. al-MuhaJlab, in a letter to thecaliph
Sulaymiin, refers to 'Umar h.

al-KhaUiih wa-'Uthman h, 'Ajfiin )',.'a-man

bddahuma min khulafii' Allah, "Umar, 'Uthmiin and the deputies of
God after them', in a completely matter-of-fact way implying that
all caliphs were ipso facto deputies of God, U This agrees with the fact
that even an anti-caliph such as Ibn al-Zubayr was referred to in
poetry as khalifat al-RaIJmiin.14 On the Kharijite side we have the
ferocious speech delivered by Abu J;lamza in the 7405 in which the
iniquitous behaviour of Vazid II (and other Umayyad caliphs) is
described with the sarcastic comment. 'is such supposed to be the
distinguishing characteristic of khulafo' Alliih?'U It is not clear
whether Abu I;famza held even righteous rulers 10 be deputies of
God, but one would certainly infer from this that, like others. he held
the litle of khalifa to siand for khalifal Alliih.11 On the Shi'ile side
12 cr. lbove. note 9.
13 Tlb ser. iii. p. 1334.
14 Wlkr, AkhbiJr a/.qut/ilh, ed. A A M. II,Mlrighi, Cliro 1947-SO, vol. I, p, 263:
A,lultIr, vol. IV, p. 400.
15 cr. below. appendix 3. section 9.
16 'Deputy orood' il nOlln appropriate litle for a Khirijite ruler, and at some
stalC the Khirijilcs duly rejc<::ted the caliphal title altosether (cr. E. A. Salem.
Pol//iral TMor), and InJ/;/U/IOIIS of 1M Kha...iJ. Baltimore 1956, pp. 52f.). But
Ipparently they retained it throughout Ihe Umayyad period. Thus we Ire told
that Qataff b. ai,Fuji'a had been Icknowledged as c:aliph (alDhahabi, Siyar aldm
01nu/xJ16", ed. Sh, IIAm.'uland others, Beirut 198 h vol. IV, p. 152: that he hid
been known as amir olmu'min;n is numismaticilly attested. cr. Walker. C%/ogw,
vol. II, pp. 112(" and well known to the literary tl1ldition). And of Abu l:Iamn
himself we are told thlt he Jive alleailnoe to 'Abdallih b, Yabyi '014 '1,lchll4fo
(Tab.. ser. ii, p. 1943: A61!4ni, vol. XXIII. p. 227). There il nothins to sUlJ'CSt Ihat
heor any other Khirijites took the tille to stand ror somethinlother thin Ichaft/o/
Allah .mona themselves: 'do you not !ICC how the deputyship or God Ind the
imamlte of the Muslims hive been deslroyed'!', as Abu ijalTl7.a exclaims in Ibn
Ahi '1l:Iadid's version or his spccch (below, appendix 3, note 8).
.

'

.,'

CJPYnghted matanal

The title Khalifat Allah

/3

the title is well attested too, as will be seenY Finally, there is a story
to the effect
Allah ft '[-arc/." This story is unlikely to be true, I. and it may not
even date from the Umayyad period. But however this may be, the
point which matters here is that 'Umar II singles out his name, kunya
and the title amlr al-mu'min,n as alternative fonns of address, not
khalifat rosiN Alliih; to the author of this story khalifa apparently also
equalled khaTifal Alliih so that 'Umar had to reject the calipha\ title
altogether.
Having established our three points for the Umayyads. we should
now like to point out that they hold true for the 'Abbasids too. The
title khalifat Allah is attested for Abu '1-'Abbas,1O al-Manur,t1
al-Mahdi,n al-Hadi,u Harun al-Rashid,1t al-Amin, al-Ma'mon,"
U

17 cr. below, note 57,

18 Ibn 'Abd al-I;lakam, Sf'OI 'Uma, b, 'AM ol'A:T::,' ed. A. 'Ubayd. Beirut 1967. p,
54, An apocopated version is cited in al-Qalqashandi. Swbl, olA'!h/J. cd.
M, 'A,R. Ibrihim, Cairo 1913-20, vol. v . p. 445.
19 a. below, p. 7"" Note also that 'Umar II here protesb when an anonymous penon
addresses him as kMHo
f t
addrcued him as IlICh (cr. above, p. 9), On the contrary. Pseudo-Tbn Qutaybl
inrorms us thai Jarir's poem moved him 10 tean. though il still railed to make
him SQuander money on the poet(lmdmo, pp, 3IOf.: limilarly 'Iqd, vol, II, pp, 94tT.
though without the tean),
20 His IOM'q' on a kiter in whkh Abu Muslim requests permission to perform the
J,ojj $.Iys that he will not prevenl him from visiting bo)'1 Alliih ol-J,Driim 011'
leholifolihi (,Iqd, vol. \V, p. 2 1 111).
2 1 AIMan$ur described himself as kha/ifol AII/Jh in a letter of amdn 10 'Abdallih b,
'Ali (1l1Az4i. TO',l1ch ol-Mowi1, ed, A.l;labi'ba, Cairo 1967. p, 168), and AbU
OiwUd spoke of him and the 'Abblsids in generalIS khula/O' A/Uih (Tab ser,
iii, p. 107). For poetic attestations. see Abu Nukhayla in A,nanr. vol. xx, p, ",21
(also quoted elsewhere); al.Sayyid all;limyari, ibid., vol, VII, p, 2. where he is
/choRlot olRJJJ,miin lIo'I-q'im inI poem addremd to alMahdi; Marwin b. Abi
vol. VI. p. 169, where
l;Iafp, Ibid.. vol. x. pp. 86, 91; Mas, Muriij, vol. IV. 12380
he is ono: more lc.Iro!Tfol ol-RoJ,m4n; Ibn alMawli in A,ItdItT, vol. 111, p. 299.
and alMu'ammal in Tab . ser iii.. p. 407: A,/II'Jnr, vol, ""t!, p. 2"'7, both of whom
desclibe al-Mahdi IS the son of leha/ifol AIfh, We owe many of lhex and other
rderences to F, 'Umar, 'Min alqib alkhulafi' al-'abbisiyyin:khalifat Allih
wa-Jill AlIih', Mojol/ol of-jiimi'o ol-mll3ttJ1lliriY}'o 2 (197 1), p. 327; Tyan. Coli/al.
p. 4%n), For a]Man,ur as su/liJn AfJdlrfl ort/ihi, see below. chaplet S. note 176.
22 Bashshir b. Burd. Drlldn . ed. M. alTihir b, 'Ashur, Cairo 1950-, vol. Ill. p, 94
(lehaR/ot Alldil bo)'M 'f-l/qq wo'f-'ad: cited in Alriinf, vol. IU, pp, 2",3. 2",5); Ibn
al-Mawli. A,hanT, vol. 111, p. 299; below. note 6<1; cr. also Mas .. Muriij, vol. IV,
12447 VI, p. 240.
23 Tab,. ser iii. p, 600. ull. (A{/h, , ,lelwlf/OIWhu); A,lriinr. vol. "I". p. 285 (lehilli/al
.

Allah),

24 Abu ']-'Atihiya in Tab.. ser, iii, p. 687. Id, in A,lriini, vols, IV. p. 14: XIX, p. 74;
It 1{athir, Bid4),o, vol. x. pp. 217 (wori/",", rosUJ AUdit lII'o-boqiyoljiNJ lehild/ol
AMh), 221; '/qd. vol. III. p, 293'", For Hirt1n IS lehuff/ot Alliih see also Goldziher.

C;.pvrlghted malarial

14

GOlJ'J

Caliph

al-Mu'taim,U al-Wti.thiq,tI al-Mutawakkil,tt and al-Muntair,JO

that is for every caliph from 750 to 862. and thereafter for al-Mu'tau
in 865.'1 for al-Muhtadi (d. 870).st for alMu'tamid (d. 892).u for

al-Mu'taljiid (d. 902). who described all the 'Abbasids as kltulafo'

AllaJrw, for al'Ta'i',1I and other caliphs of the 8uyid period,1I for
p. 61n. with reference 10 the Arobian Nights. Compare
also Tab ser. iii. p. 663 (fQmnQ 'llull... akramQllu min klli/o/Qtihi ...a-suIIOllihl).
AgI!6JrF. vol. XlI. p. 59.....ccording
.
to Qalqashandi. Sub. vol. I. p. 415. al.....min
was the first caliph to be referred to as such [rather than as amr, QI''''''''''i""1
in Ihe Friday prayer, Ihe fonnula used being QlfaJrumnw tqlilJ obdaJr.a ...a
kllaU/af/Jka; .l..... min w.s thus kllafi/a/ Alldh even in mosques.
For khafi/a/ Allah on alMa'mlins coins. see G. C. Miles, TIlt Numismo/it
His/or, 0/ RQII, New York 19]8. pp. 10]f. . 106(.; S. Shamma Dirhamin
nidirin 'an 'aliqit diniyya'. a/-MQJlu:ikal 4 (197]), p. 46; alMamiin is also
khQfifal Allah on dirhams (now in the British Museum) struck in the nlme of
Taltta [b. Tihir) in Samlrqand in 208, 209 and 210. in Nishapur in 208 and 209,
and in Herat, Zaranj Ind al-MuttammadiYYI in 208 (are obliged to Nicholas
Lowkk for this infonnation). He referred to himself as khaIT/a/ A/fiJII in l letlct
to Tihir rIqd, vol. IV, pp. 2ISf.): and Tihir confinncd that lhil was indeed what
.
b. alOabbik described him as kluJrifa/
he _s(AKhanr. vol. XlI, p. 54).....1!:Ius-yn
o/RalJmiJIf (A,hdnr, vol. VII. p. 301); and he himself spoke of khulaft' AlldIt and
khiliValuirll fl ardihl in hi. letter announcing the "dcsipation of al-RMji as his
sl.lCOeSSOr (sec appcndb; 4).
A"hilllf, vol. XIX, p.7,.: al-Nu....yri,
..
Nihil)'al olarabfl/WlUn QIodttb, Cairo 1923-,
vol. v, p. 1,.8, citin, ....bii
.
TammAm. Compare also Qalquhandi, SuN" vol. VI,
p. 0i02 Va/tItf1mQ al46 '1/4h ild _T, al","'",I"" khiliVatahN).
aJ-Kh'lib II-BIJhdldi. Ta',lkh Ba,hddd. Cliro 19]] vol. xiv, p. 17 (Ihe one
'
who senl the Prophet Mubammad pvc the kJdlii/Q to al/miim o/muI!ladi):
A"h""r, vol. IX, p. 2841 (AII4h ... kluJlrfalihl):
he is khit:i" AI14h fl khalqlhf).
IIFikihi, Akhbd, Makka, Leiden MS, Or. 46], fol. ]49b (_ F. ...... G .....1. Dahas,
...... Critical Edition of Kilub AkhbUr MQk/ca', Exeter Ph.D. dill. 198]. p. 263):
an inlltripdonal Zamum. oriainally in lhe nameof a!Mut.$im and subsequently
in Ihat of alMu'lamid. read omarQ khaff/QI Allah Jtilar afimdm alMuIQ ...ak.kil
'al4'lIiJ11_Fr QI'mu'mlnFn ... Sec liso A"h4nF, vol. XXIII. p. 212' (d.Iso p. 210").
Tab" ser. iii, p. 147S ('tIbd AlliUI M'Q.kharifalultu).
Tab.. ser. iii, p. 1546 ('aM Allah ",'Q-Ichan/alultll: there is a close resemblance
between the IlnSUlae of this baya Ind Ihat of the baya to al-MuntaJir). NOle
.Iso the refcrem:e in a dot\lment of the same ye.r, in connection wilh al M uSla'in,
to the flCt thlt God hid made khiliValaJrll Ii-drnin; .,.- 1O'Q/iJ'al kltuJafiJ'ilri
lart/"- djibU 'aid k4ffal o/umma, ibid" p. I 56S).
Ibn Taahribirdi, a/-NlljVm
caliph is lold by a Hishimite "_IQ khalrfQt rabb al-M_r n ...'liM amm soYJitJ
a/mursa/Fn. "
Fikihi, Mak,ka, MS. fol. ]52b (_ .....1 Dahas, p. 272: o_ra kJwrifal Allah Amad
a//m4m alM"'lamld 'ala 'ilah amr, al"'IIminrn ...{inscription II II-Masjid
al-!:Iarim)).
Tab" ser. m. p. 2177.
.....I-Tii is described u alimdm IJUjfrJl AII4h 'ala khalqihi ...a.khalr/atuhujT aulihi
In In official lcuer written by alSibi on his behalf (Qalqashandi, SubIj, vol. VI,
p. 4 1 ]). '....c;lud
.
al-<llwll, who was more wont to bully Ihan to lIatter this caliph,
dUClibcd him II kltalflal AI/ah ji ardihi to a Filimid embay (alNahrawili,

Mus/im SUN/in vol.

II.

25

26

27

28

29

30

]1

]2

'

33

]4
]S

CJPYnghted matanal

The lille Khalifal Alliih

IS

al-Muqtadi in the late eleventh century,n al-Mustahir in the late

eleventh/early twelfth,U al-M uqtafi in the mid-twelfth.3t al-Niiir in
the late twelfth/early thirteenth,., and ai-Mustanir in the thirteenth.41
The title is also attested for the 'Abbasids in genera1.u As in the
Umayyad period it counted as the official designation of the head
of state. Thus it was used in official letters and on official occasions;u
and al-Ma'mun, followed by al-Muqtadi, restored it to the coinage,"
A manual of court etiquette attributed to al-Ja1:li states that' kings'
o/l'Iiim bio'llim 00)'/ A/liih oJ-horiim. ed, F, Wustenfeld, Ltipzig 1857. p. 168).

The opinion of H, Busse, The Revival or Persian Kingship under the BuyKis'.
in D. S. Richards (ed. ), Islamic Civi/uotiOll 9SO-ll5O, Ollford 1973, p. 63, that
'Aud al-da...la's concept of this title ...as oonlfllry to ' ...hat the caliph and Muslim
theory of stile htld . . . [bulJlypical for lhe emir's opinion of the relalionship
betwttn caliphate Ind kingship', is clearly not correct.)
See Ihe model letten in al-Sibib b. 'Abbid, Rtud'il. ed. 'A.W, 'Azz.iim and Sh.
J t
!;layf, Cairo 1947, pp. 21 (klwlia
alMu'.yyad .1-Shiri1:i, STrat oI-Mu'a),),ad, ed. M . K. l;IuSllyn, C.iro 1949, pp.
76, 154: among the various titles which the caliph had bestowed on the Buyid
Abu Kalijir was yamill kIIart/at Aflah. which reappean as q;:ufm Ichalr/at Afllih
in a Ietler from alMu',yyad, the Filimid din; alMu'ayyad denied Ihat the
'Abbisid was Icharl/at
....
u depuly of God in
his vie
... . cr. below, nole 62).
,
Miles, Ra))"
alislimiyya '. Sumo 28 (1972). p. 155.
alGhll.ili. Fat!O'jl! afbiJ(ini),}'a, cd. 'A.-R. Bada...i. Cairo 1964. p. 169; cr. I.
Goldziher, Strt!im:hri/t dn <:azdn 6tn dit BQ(lm"jja-St!lclt, Leiden 1916. p. 80
and Ihe note thereto. For the $arne caliph as 1c1mliJal aJmu'mlnin (on a dinar dated
5(7). sec all;lu$ayni. 'Dirisit', p. ISS.
Qalqashandi. Sub#!. vol. vi, p. 397, where a letter rrom thaI caliph to the Scljuq
sultan includes mu'iiI klwlT/at AIIM among the latter', tilles.
1;1. al-Bishi, alAlqdb alUllimlyya. Cairo 1957, p, 278; below, note 54. Qalqu
handi. Sub", vol. VlII, p. 273 (...here alNi,ir is described as Ichon/al AlfilhjT ort/ihl
in a leiter rrom hil vizier to the muq(a' of Basra), and vol. II, p. 286(...here hc is 'abd
Alliih ...a-lchuliJaluhu jT 'I'alamin).
AIBbhi. Alqdb. p. 278 (lchofifat Allah fl art!ihl ...o"., ibuJru jTlchalqihl).
C/ T}'on, Cali/at. p. 4471'1. (...here the 'Abbisid, are IehaM'i/ Alluh); compare al50
'Iqd, vol. IV. pp. 24On, 242'. Watt's impression Ihat the title became less rrequently
used under the 'Abbbids is both right and wrong ('God's Caliph', p. 571;
Formot;rt Ptriod. p. 84), It is not true that the caliphs made any 1ess use of iI,
bUI Ihe nature of court poelry changed. The therr.es rehearsed by JarTr and
al.Farazdaq W1:re swept aWly by ne... poetry, so that 'Abbisid di...am yield rew
references evcn though the official concepl of the caliphate remained the same.
cr. above, nOles 19f' 31f., 35, 39; below. nOle 54; E. Tyan. lfUti!utlOllS du droit
public musulmon, vol. II (Sultanat tt cali/al. hereafter Sultanat), Pari, 19.56. p, 116.
According to a model cited by Qalqashandi, $ubJ" vol. VIII, p. 325, letters sent
to govcrnon and others on lhe accession of a ne... caliph should state that God
has selected so-and-50Iilchilii/atihi; lhe modtl letter of congratulation to a caliph
on his accession similarly refen 10Ichi/iVal AIMh and IchalT/o,u milllchu{ajiJ'lhl
(ibid vol. VIII, pp. 393f,; oompare pp. 398f.).
cr. above, notes 2S, n. Some late attestations are epigraphic talBishi, A/qiib,
p. 278).
'

J6

37
38

39
40

41
42

43

44

CJPYnghted matanal

/6

God's Caliph

should be addRssed as khalifat Alliih, amin Alliih and amir at

mu'minin.u And now as then khar,Jat Allah was what the caliphal title
was generally taken to mean We do not rebel against deputies or
God', Abu Oawud told Abu Muslim. 'Mu<Jar produced the
messenger or God, the book or God, the ramily or God and the
deputy or God', a member of the 'Abbasid family announced with
the intention of provoking tribal strife among the 'Abbiisid troops.u
.

Khalifal Alliih is also the title of the Mahdi in eschatological works.41

But the is one difference; whereas khalifal rMiil Alliih seems to have
been unknown to the Umayyads, it makes an appearance under the
'Abbiisids. Thus 'Abdallah b. 'Ali described the caliphate as being
!lrasii( Allah;41 Bashshiir b. Burd speaks of khiliifat Al,madin poetry
addressed to alMahdi;" 'Abd alMalik b. Sali told Harun that he
was khalifat Alliih ....ariUUlihi . . .jf ummatihi wa-aminuhu 'aId

rdiyyalihi;" and even alMa'mun spoke of khildfat rasiilihi," while

alMutawakkil was flattered as kha/ifot Alldhjf 'ibiidihi wu-kha/iful
rasiif Allahflummatihi.n Indeed, by the time of Saladin it had become
good form to refer to . God, His messenger, and their kha/ifo...
Clearly, the 'Abbisids in no way resented this version of their title,
which went hand in glove with their claim to have inherited the
caliphate from their kinsman, the Prophet: thus alMa'mun's letter
characteristically spoke of khildfat rasiilihi wa'/qariiba biM." The
point to note here, however, is that though the caliphs were happy
to become successors of the Prophets, they did not thereby stop
regarding themselves as deputies of God.
45 alJil)i; (aurib.), XilUb aI.'dj. ed. Ahmed ZCki Paeha, Cairo 1914. p. 86.
46 cr. the second rrlerence liven above. nOle 20.
7 Tab., ser. iii. p. 366.
48 Nu'aym b. l;lammid. XlliJb ul-jilan, British Library. Or. 9449. fol. &4a (we owe
this reference 10 Michael Cook); G. van Vloten, 'Zur Abbaacschichte',
Zriluhrl/I .r Ot'UUthett Mor,rttliindisthett GrullJtha/1 52 (1898). p. 219. citin,
alMaqrizi; Ibn Mija. SU/IGII. ed. M. F. 'Abd alBiqi. Cairo 1952-3. vol. II. no.
4OS4 (Xlllfb al-jilU1f. bib 24); Ibn ijanbal. MUJw. Cairo Illl. vol. v. p. 277.
49 Abmad Zaki S.fw.t (ed.), JumluJru/ rasQ'ilaJ-'urub, Cairo 1937. vol. III. p. 9{citin,
al-Siifi).
SO Ba$h$hir. vol. m. p. 74.
51 Iqd. vol. II. p. 154". In the several olher venions of this paIUte Hiriin is klmn/al
rruUJ AI/WI. d. T.b., ser. iii. p. 689; Am.. Ma.qiJ. p. 264; Al)mad Zali SafWlot.
JamItorul khu/ub aI'arab. C.iro 1933. yol. III. p. 91. with further references.
52 Safwal. RasiJ'lI. yol. 111. p. S09.
5) cr. the AlfhiJltF reference liven above, note 29.
54 X..IIN dMliku /l1u Iflllfh ",a.JiranVihi 1I'Q.II.klralr/alihlmll 1-Qi4i .JFi4i1 5Iales
in a letter wrilten on behalf of Saladin 10 the dfM'dtt aIkhiliJ/u in BIIghdad in lhe
lime or .1-NIJir (Qalql5h'ndi. SubIJ. vol. YII. p. 127).
55 SafWloI, Raslf'lI. yol. III. p. 509; nalurally Bashshir's poetry refermi lo mrralh
aINJbT 100 (vol. III, p. 284).

CJPYnghted matanal

The title Khalifat AlIiih

17

It was not only the 'Abbisids who assumed the caliphs to have
retained this function. When the Umayyads of Spain adopted the

khalifat AlIiih." The

Imimis explained that their imams were khulafo' Altiih ft arr!ihi,"
though as might be expected they too stress their right to khiliifat
radii Alliih.Ie Isma 'iii authors likewise identified the imam as deputy
caliphal title, poets promptly spelt it out as

of God and successor of the Prophet alike." An Ism! 'ill convert of

the Musifirid house numismatically proclaimed 'Ali to have been

kharifat Alliih." The founder of the fiiimid dynasty was officially

proclaimed khalifal Allah 'a/a 'I'ii/ami" in the abortive attempt to
establish a fiimid state in Syria,'1 and later Fatimid caliphs were
also described as deputies of God in both poetry and prose." Only
56 'Jqd. 1101. III, p. 5021 (cited by Tyan. Cali/Qt, p. 44Sn.); d. EI', ' ". 'khalif., col.
943b, wiThOUT references. 'Abd .1-R.hmAn III was also IclwltJat al-RaJpr/4", d.
'Jqd. vol. III. p. 52P'; cf. lso p. "94, where Mul;l.mm.d b. 'Abd .1-RabmAII il
"

_Iif AI/IVI.

57 .1-KuJ.yni, I2i-Utvl mill l2i-k4/1, ed. A. A. al-Gh.fflri, vol. I, Tehr.n 13n-81, pp.
193,200; .I-Shaykh .I-Mufid. KiliJbal-irsMd, tr.1. K. A. How.rd, London 1981,
pp. 169, 462. Compare Ibn Bihiiya, KamdJ aJ-dfn, ed. 'A. A I-Ghatliri. Tehr.n
1390, pp. "fr., where Ad.m il identified u kludifat Allah .nd all fund.ment.1
docuirlet c:onecrnin, the im.m.te (bctc te....ed the: caliphate) .re exegetically
derived from Qur. 2 :28. Ibn Sh.brishiib also add_ Ihis YeT1e in proof of the
necessily of lhe imamate (MaNiqib AI Abr Tdlib, N.j.f 1956, vol. I, p. 2 1 1 ) .nd
ciles tr.diti o n nd poetry on lhe im.m in FOeral and 'Ali in rticul.r beinl
(Imonl olher thinp) klu:ttr[QI AI/611 ft ardiJll/bi/6diltf (p. 212; vol. U, pp. 262f.).
58 See foreumple Kula"ni, K4/T, p. 200; MurJd, lrsMd, p. 401 .ndpGufm: al-5h.rIf
II-Murta4i, DTM'dn, ed. R. al-Safrir, Cairo 1958, 1101. I, p. SO". cr.p. "9"-" . 1be
caliph.le is of coune .Iso envisaged .. succcl'ion to Mul}amm.d when 'AIi is
described as hi. M'lZJf, st.ndin, in the lame rel.tion 10 him .s Joshu. unlo
Moses, Ind so on.
59 Al;lm.d b. Yl'qiib, aJ-RisiHa/l '/-iMdma, ed. Ind Ir. S. N. M.lr.amn under the
title TItt Political DlrWof/ /sm6'rfll, Delm.r N,Y, 1977, fol. 86v, wbctc the
im.m is k1wlrfa/ A/hill la'd/a/llc.lralfll(lliJri M'a-fl-rtuiJihi/l ummalihi; Qur. 2: 28
.nd 38:25 on God'. appoinlment of Adam and D.vid a both cited. But
al-Qic;JiII-Nu'min lvoid. boTh lhe caliph.l lille and these: .ell(:l in hildilCUS$ion
or the imam.te (Odd'in! aI-lsIdm, ed. A. 'A. A. F.Wi, Cairo 1951-1, vol. I,
nO$. l6tf.),
60 S. M. Stem, 'The Early Ismi'iJi Mission.1in in NorthWest Pc.sia and in
Khurisin and TranSOUDia', Ihdk/ill o//Iw School o/Orkntl2i A/ri((lll SwdWs 23
(1960), pp. nf.
61 Tab. Jer. iii, p. 2233: cr. H. H.lm, 'Die SOhne Zikr.w.ihs und das ente
fatimidi.:he Kalifat (290/903)" Oit Writ dtts LsJanu 10 (1979), p. 42.
62 A leiter from the Filimkl caliph al-'Aziz to his JOvemor of ElYpt rtfers 10 God
.nd His chosen caliphs (klndu.ta'ihi '/'mlUlt!/a)"" (Qalqash.ncfi. SubI" vol. 11\, p.
"33). praisinl God who /JaM amYr aI-mu'mill11l M'#'",akJw"'!b l/-Ichif4!atilr/
M,#-Ja'al. y)"""u milt IcJwlqlhl M'lJ-amfllaint 'aid '/bddUll (Ibid.. p. 4).4). The
Filimkl caliphs art similarl" God's in the documents ciTed byQalqash.ndi, Subb,
1101. Viti, pp. 237. 240: 1101. IX. pp. 377, 386, AI-Mu'lyyad. the Fllimid chief dd7,
referred 10 the Filimid caliph as khatr/al AIIM (Di"'dn, ed. M. K. l;Iusayn, C.iro
.

CJPYnghted matanal

18

God's Caliph

the Zaydis sm never to have made use of the title

Among the Khirijites, 'Abd alSalam

b.

khalifar Alliih."

Hashim alYashkuri con

tinued Abu l;Iamza's tradition by enumerating the misdeeds of

alMahdi with a sarcastic comment on such behaviour 'from some
body who lays claim to

khiliifar AI/fih'."

Such taunts notwithstanding, the 'Abbasids stuck to their elevated

title even after their transfer to Mamluk Egypt, where they were duly
rererred to as

khaliJar AlIiih

and

nii'ib AlIiih ;"

when the Ottomans

claimed to have inherited the role, they too became deputies or God."
Meanwhile the title had been adopted by the sultans in the Seljuq
eastU no less than in .Seljuq Rum;18 a scholar such as alTahlawi still
identified the king (sc. the khedive) as

khalf/at Alliih fi art/ihi

in

nineteenthentury Egypt." The expression also made its appearance

rurther afield. 8y the eighteenth century it had come to be used as

19<49. no. 19: 3; cr. al10 no. 2: I )7: ka-I"'at AIItlh 'aJ" kAaff/atihi 'ol'a'J/fIJUlaflJaJ"
}am" w..
..'llDtihi). Hinis poetry al10 refel"J to Hi, deputies on eanh (Tyan,
SwlttllWt. p. 514n.).
6) Not even ProreHOr W. Madelung knows a laydi attestation (letter of 7/9 1984).
In 50 rar as he was I khoa/a, the Zaydiimam of the Yemen was apparently khafi/a
(be it in the sense of depuly or $UCCCS$Or) of the imams who hlld p him
(khoff/af /
a o/ItfIl1O. cr. Qalquhandi. SuM,. vol. vr. pp. 47, 123; vol. VII. p. ))4).
The laydis were however familiar with the idea that anyone who enjoined good
and prohibited evil was khaff/a of God, Hi, book and Hil mes5ellger alike (cr.
lhe reference liven below, chapter 6, nole 12).
64 Khanfa b. Khan'il, To',rkh, ed. S. Zak1r.lr. Damascus 1967-8, yot. II, p.702;
alMahdi had referred 10 himself a$ khaJa/ahu in his letter to the rebel (ibid.,
p. 701).
6' cr. alU-hiri. Zwbdol kash/ aJ'lfKImaliJc, ed. P. Ravaissc. Paris 189<4, p. 89 (huII"a
kha"/af AlliVrjT anllhl "'a'Im "amm ,tuijlihi JOYJ'ld /
o /tfNrJai1n II'O-W/Jrllh /
o 'khil4!a
"arlhu. first ciled by Marlolioulh. 'The Sense of the Title: KIta"fa . p. )27);
Goldziher, Muslim Stwf&J. vol. II, p. 62 (rla'ib AlldJr ft ar(ji}II) ; Tyan, SwJtaNlt
p. 239 (with these and other rererences). Note also Qalqa5handi, SwbIJ, vol. YUI,
p. 108, where the Mamluk sultan alA,hnfNi,ir al-din is addressed, intralja, as
Ja)1khild/a/ AlliJh in I letter from the Narid Mubammad V written in lhe IJ60s;
and vol. lI. p. lJO. where the caliph alMuMain in a "ohd of 141 1 to the Delhi
sultan Mup.ff'ar Shih 1_ MabmUd Shih II?] citn the Qur'inK: phrase iltrl1j4"if'"
/1" .art/ khaa/a"-.
66 Goldtiher. MW$JiItf SlwdiJ, yo!. ii, p. 62; Arnold, Caliphalt, ch. I \ .
67 AIGhazili. NaU,Q/ a/mu/iUI., ed. J. Humi'i. Tehran ])51 (shamsi), p.
1)1 _ F. R. C. Bagley (Ir.). GIw:dlT'l Book (l/ CQWIUIs/or Kin" , London 1964,
p. 77 (this part oflhe Naffllaf aImu/Uk is a mirror by a contemporary ofalGhazili.
not by alGhalili him1f, cf. P. Crone. 'Did al.(ihazili Write I Mirror for
Princes?', forlhcoming in J,uS6lnt1 Stwdi1 of Arabir and IIJam, no. VI);
A. K. S. Lambton, Stat and GoonMlrI/ in Mdjn'QJlJlam, Oxford 1981, p. I))
(Flkhr IIDin Riti).
68 AIBaslli. Alqab, p. 278.
69 Rira Bey Rifi' fllTahliwiJ. Kildb maMhijaJ-illbdbal.mqriY)'O/1mabNrljal.AMb
aJ.'a.rriy)'al Cairo 1912. p. J.S4 (we owe this reference 10 Y. M. Choudri).

CJPYnghted matanal

The title Khalifat Alliih

/9

a royal title in Java," while African rulers had adopted titles such

khalifat A/liil! tdii/iiji ar4ihi and khalifat rabb a/-'ii/amin.lI Indian

and Morocca n princes also liked to style themselves khali/at Alliih
and/or "ii'ib Alliih.7I The idea that kha/ifa stood for khali/at rosu/
Alliih was clearly not unknown: African rulers conflated it with the
more exalted title to make kharifat rasiil rabb al-'iilam;n.1 But it cannot
as

besaid to have made much headway. Apparently it still has not. In May

1984 the then President Numayri was reported to be planning to turn

Sudan into an Islamic republic with himself as , Allah's representative
on earth' [=

khali/or Alliihfi 'l-ard].H

In short. from 'Uthman to Numayri, or in other words from about

644 to about 1984, Muslims of the most diverse political, religious,

geographical and ethnic backgrounds have taken the title of
to stand for

khali/at AI/iih,

khalifa

'deputy of God'. It thus seems natural

to infer that this is what the title always meant. At least, it seems a
little strained to propose that its meaning changed during the twelve
years from 632 to 644 and remained stable for thirteen centuries
thereafter. But if

kharifa meant 'deputy of God' from the start, then

the Shi'ites can hardly be altogether wrong in their claim that the
legitimate head of state (whoever this individual was to the various
parties at the time) inherited both the religious and the political
power of the Prophet. Certainly, the Sunni caliph was to lose his
religious authority to scholars, just as he was to lose his political
power to sultans. But this cannot be how things began.
This inference is so obvious that the reader may well wonder why
it is hardly ever made in the secondary literature.n It is not made
be<:ause the Sunni 'ulama' claim that the caliphal title did change its
meaning in the twelve years between 632 and 644 : originally it stood

kharifar rasii l Alliih, successor of the messenger of God'. they

say, not for khalifat Alliih. KlIalifat rasiil Alliih is the title which Abu
for

Bakr. the first caliph. is said to have adopted, and the sources arc
sprinkled with incidental reminders that this is what he styled
70

71

72
7)
74
75

M. B. Hooker, A COlld.s u8al HUlor), of Soulh-l:.'tUl A.sia, Oxford 1978. p. 72.

d. p. SO.
R. S. O'Fahey. ' The Mal;lnllms of Kinem-Borneo" FOfIIs HislorilN Africo;
Bulltln of In/ormatiOfl, no. 6. Dev:mber 198\, p. 2); R. S. O'Fahey and M. 1.
Abu Salim, Lturd In Dar Filr. Cambridge 198), p. 30.
Goldziher. Mu.dim Studi.s. vol. 11. p. 62n; d also Arnold. Colifat, pp 1 16f.
O'Fahey and Abu Salim. Lturd in Ddr Fur, p. 30.
R. Hall. 'Islamic zeal plunges Sudan into ne
.... tunnoil'. Tht ObMfI".r. Sunday
2Q May 1984, p. 6.
II is made in P. Crone and M. Cook, Hll8oriJm, Cambridge 19n. pp. 28, 17871;
but even TYln IvoKled it for In that he clme close to doing lhc same:.

righted matmal

20

God's Caliph

himself." Indeed, when people (somehow anticipating the claims of

the Umayyads) addressed him as khalifat

Alliih, he explicitly rejected

this version of the title. stating that he was merely the Prophet's
successor and perfectly satisfied with that." A similar story is told
about 'Umar," while another story informs us that 'Umar got tired
of being known as khartfat khalifal 'asiil Allah. 'successor of the
successor of the messenger of God,' and told people to call him
'Commander of the Faithful ' instead;1f thereafter, one infers, the
title was stabilised as khalf/at 'asiil Alliih.
Practically all modem scholars accept the claim of the 'ulamo',
identifying the caliphal title as khan/at 'amI Alliih with little or no
hesitation." Evidently. this places the titulature of the later caliphs
in an altogether different light. The Umayyads, we are left to infer,
changed the title (just as they moved the capital, introduced dynastic
rule, and so forth).' The caliphs did not really inherit religious
76 AbU B.kt is referred to or .ddrend as khDlffat riUW AlliJh in T.b., sef'. i. pp.
IISO, 2751; Ibn Sa'd, al Ta/JaqiJt afkNbriJ, Beirut 1957-60, vol. III. pp. 1M (twice).
117: vol. vm, pp. 148. 470; Ibn 'Aslltir. Ttiriklr mrulilllll DimlUlrq. ed. S. 1
Mun'jjid, vol. i. Dam'KUI 1951. p. 5 1 1 ; Ibn Qutayb.. Itrtdmo. p. 20; W.lti',
Qu4iJJI. vol. II. p. 57; A,Mnr, vol. XVlt. p. 360; 'Iqd, vol. II, p. 66" ; Qalquh.ndi,
$ub/J. vol. VI. pp. 327, 313r.; .nd SO ronh.
n This repon is cited in .1Balidhurf, AlUdb a/'lUhriJf, vol. i. cd.M. I;J.mid.lIih,
C.iro 1959. p. 529; Ibn Sa'd, Ta/JaqiJt. vol. 111. p. 183: Ibn !;I.nbal, Mumad. vol.
t. p. 10; .nd elsewhere, .11 from Nill' b. 'Um.r from Ibn Abi Mul.yk., . Mecc.n
n.ditionist who died in 735, oentury .net Abu Baltr himself.
78 T.b., ser. i. pp. 27<48f., from Jibir .I-Jufi, . Kur.n traditionist who died .bout
148.
79 Tab.. set. i, p. 27<48; B.1.. AIU.. vol. t, p. 528. lne two stories h.ve: been
.m.lgam.ted in the vtTIion cited by Mlfgoliouth from the RaJd'i/ of &dr
alZant411 ('The Sense of the Title XluJ/rja'. pp. 323f.).
80 Thus ever. W'II .nd P.ret. Both reject IS ,poc'Jph.l the story th.t AbU BIb
objected to the title JclttJllfal AllaI/, but neither conside the poMibility thlt the
whole point of creditin, him with the design.tion JchDlf/at r(UU/ AlliJlt WIS to
down,...de the riv.1 title (W.tt, 'God', Caliph', p. 568; Pam, 'ij.rifat A11ih"
p. 221). (W.II', luqestion, For_thY Period. p. 69. th.t Ibn Abi Mul.yka put
the .pocryph.1 story into circulation in order to counter Um.yy.d cl.ims to
divine Slnct;an of their rule on beh.lf of the Zubayrids. of whom he WI!
supponer, is impl.usible in view of the fact th.t lbn .1ZubayrwlI himselfltnown
'1 kllalr
fat tJiRDlJmdn, d. bove. note 14.)
SI Indeed. they ch.nJe'd the title in order to introduce dynastic rule accordins to
ROller (ihJr,ttkrlel, pp. 35f.. 24S). Rotter rejects the .uthenticity of the line
.ttributed to 1;J.55In b. Thibit in which 'Uthmin is referred to IS klralffat Allah
.nd dates it to the second civil Wlf (with referenoe to 'Ararat Backlround', pp.
276ft'.), IfSUinlth.t the title WIS .dopted by Muiwiy. towards the end of his
reign, probably to justify his choice of 5UOCIeSSOr. But thoulh we h.ve no wish
to defend the .uthenticity of.ny ofl;l.55in'l poetry, 'Uthmin .ppun uJcllalrfat
AlfiJIi in sevcn.1 other pauaF', as hIS been seen. while Mu'iwiy ppun as loch
in. poem uttered in praise ofZiyid b. Abihi on the latterl.ppointment to Basra
in 4S/66S. four yean .Ref Mu'iwiy.' ",",ion. Naturally the date of these

righted makrKlI

The title Khali/at Allah

21

authority: it was merely the Umayyads who claimed as much.

Indeed, it could be argued that 'when the Umayyads used this
pretentious title, it was merely intended to convey the unlimited
power of the ruler';" and though contemporary scholars rarely go
so far, the credibility of the claim implied in the title is undermined :
apparent evidence for a specific concept of authority in Islam turns
into evidence for little but Umayyad worldliness, or the growth of
caliphal power in generaP'
It is however reasonable to reject the claim of the ulama'. Klralifat

Allah is a title which, if taken seriously. leaves no room for 'ulama':

if God manifests His will through caliphs here and now, there is no
need to seek guidance from scholars who remember what a prophet
had said in the past. The Umayyads took tbetide very seriously. They
saw themselves as representatives of God on earth in the most literal
sense of the word, as is clear above all from a long letter by ai-Walid
11.14 God has made the earth over to them : amin Allah, 'trustee of
God', is another title regularly attested from the time of 'Uthman
onwards." One is thus not surprised to find that kharifat Allah was
a title of which most scholars disapproved:" deputies of God and
paUliFS CQuld 1150 be queried; indeed.

82
81
S4
85

_ie

it not for 'Abet ai-Malik'. coins, an

Umlyyld Inestations or the !itle lrJta/f[tll Altdll could be dismiued u back
projections of I concept current under the 'Abbisid. But irthe evidence is sood
enouJh for us to ..wept th..t Mu'iwiya made use oflhe title, it is also sood enough
ror us to aocept tkat 'Uthmin did so.
Goldzjher. Muslim SI"'&S, vol. II. p. 61.
See the litenture cited above. chapler I, note 2.
See below, appendi 2.
Cf. l;lusin b, Thibil. no. 160:2 rUthmin); Tab., aero ii. p. 2Q8; A,nw.t, vol. XII.
p. 74(Mu'iwiya); Jarir. p. 355'; RI',. no. 16: 52; Mas MlII'uJ. vol. lII.f2067 ,.. v.
pp, lOSf; Farudaq. vol. I. p. 355 ('Abd al-Mllik); Id vol. I, p, lS3'; Akhlal. p,
ISS' (al-Warld l); Farazdaq. vol. II. pp. 5)41. US' (Hishim); Iqd. vol. tV, p, 450"
(khwzziJn Alfdh ji biJUiIIi M.'II-uman4'uhu 'aid 'iblJdilli); Tab., aero ii, p. 1765
(al-WarKl II), Fornumerous 'Abbisid attestations. K'C below. chapter 5. note 118.
The locus cI.sskus is al-Miwardi. ul-A1}lrlim tll-swl(dnly)'Q. ed, M. Enacr. Bonn
1851, pp. 22f, E. Falllan (tr.). MIIM.',rJi, Its JlllfU" 'Oflt".tlfW1lfIlUX. AIPeB
1915. pp. 29f. (the P.ssaF is Jiv-en in En&iish translation by Lambton. SIOIt tJNI
G""'t"I. p. 87; it is misreplest!lIted by H. A. R, Gibb. Sludiu tIt/ 1M
Ciriliztlliotr a/ I,/tInt. London 1962. p. 158). As usual. Ibn al-Farri' has wordin,
similar 10 that of al-Miwaro.. thouJh he is less disapproving. cr. his ol-A1}lrdm
aI-swlriin1y)'tl. ed, M. H. al-Fiqi, Cairo 1966, p, 27. Cf. also Ibn KkaJdiin. o/-Ju:'
aI-ilwwai milf Irlldb aI-'ilxu (_ II/_Muqaddintll). Biilaq 1284. pp. 159(.. lind
Lambton. up. til.. pp. 142, 186. According tOII-Miwardi. most 'ulll'll'tiJ considered
the title to be unlawful on the around that God is neither abKnt nor dead, Ihough
somt pClllil lted il. II is cleir. hver. Ihat earlier scholars had objected to it on
M are David and other
lhe 1V0und thlt it WI$ 100 exllted : the only Ichulajd' Alli
prophets, 1$ the two 'Uman hid been made 10 eclaim (cf. Marloliouth. ' The
Sense of the Title KIuJIf/II', p. 324; Ibn 'Abd al-l;Iabm. Siruf 'UntIlr b. 'AM
.

86

righted makrKlI

22

God's Caliph

scholars were rivals. By contrast, khafifol rasut Allah is a considerably

more modest designation which, as Nagel notes, makes no claim to
a share in the Rechtleitung of the Muslims;'T successors of the
Prophet and scholars could coexist. Given that there were caliphs
before there were scholars. one is thus inclined to suspect that it was
the scholars rather than the caliphs who changed the original title.
or in other words that the scholars claimed a different meaning for
it in order to accommodate themselves." This suspicion is reinforced
by three further points.
First, those reported to have rejected the title khalifat Alliih add
up to Abu Bakr, 'Umar, 'Umat II and the 'ulama', or in other words
the 'ulama' and their favourite mouthpieces. Statements attributed to
the first two caliphs and 'Umar II are usually statements by the
'ulama' themselves, especially when the statements in question are of
legal or doctrinal significance. Why should statements on the nature
of the caliphate be an exception?
Secondly, our sources claim that Abii Bab and 'Umar rejected the
title of khalifal Allah for that of khalifat rasiil Allah. adding an
apocryphal story about 'Urnar intended to drive home the message
that khalifa means successor. In other words, kharifat rasUi Alliih
makes its appearance in a polemical context.
Thirdly, if the caliphate was conceived as successorship to the
Prophet, why did the title khalifot rasUi Allah more or less disappear?
After Abii Bakr and 'Umar it is not met with until early 'Abbiisid
times. or in other words not until the 'ulama' had acquired influence
at court under a regime conscious of its kinship with the Prophet.
And even then. it failed to acquire much prominence among the
caliphs themselves.
We should like to stress that not aU 'ulamii' were opposed to the use
of kharifat Allah, at least not after they had won the battle for
religious authority; even so eminent a Sunni as alGhazili accepted
his caliph as God's deputy on earth." The title was clearly too
.1'A1:it, p. 54: Our'in. 2:28: 38:25). And Ihis arlumenl is found in the later
lileralure 100: Iccordin, 10 II.Baghlwi. il was Iegilimate 10 refer 10 Adam and
David. bul not 10 anyone aner lhem. as khorifor AI/dh (Qalqashandi, $ubl). vol.
v. p. 445. where alMiward1"s paJSage is also reproduced).
81 Nagel. RtC'h/fti/ung. p. 33.
88 Morony riJhlly suspecu Ihal the modem lileralure is under the sptll of anti
absolutist circles in early Islamic lOCiely whose inlerpretation appean 10 have
lriumphed in the lrea ortheory' (M. G. Morony. lruqo!rtr rh, Muslim ConIlUtJI.
Princelon 198-4. p. 580).
89 For the scholars in seneral. sec above. nole 86; for al,GhatiTi. lbove. note 38

CJPYnghted matanal

The title Kharifat Alliih

11

embedded in the tradition for total rejet:tion to be possible. But the

'ulama' did sucoc:ed in depriving it of its historical primacy. or in other

words. they succeeded in rewriting history. In attributing their own
version of the caliphal title to the first two caliphs they presented an
aspect of the present which they disliked as a deviation from a sacred
past. This is something which they did time and again, and in so doing
they successfully cast the Umayyads as worldly rulers indifferent or
even inimical to Islam: time and again it is by their departure from
supposedly

patriarchal

norms

that

the

Umayyads

condemn

themselves. Contrary to what is often said, it is this manoeuvre rather

than 'Abbisid hostility which accounts for the unfavourable light in
which the Umayyads appear in the sources. For the sources are nol
in fact particularly enthusiastic about the 'Abbiisids, and what is more,
the hostility to the Umayyads is too pervasive to reflect the change
of dynasty: it is not something added after

750 by way of revision

of received history. Naturally there are some stories which renect

'Abbisid dislike ofthe fallen dynasty, just as there are some in which
they suddenly appear in a favourable light; but these are surface
phenomena which do not greatly affet:t the reader's perception of the
caliphs in question. The real bias is that of the scholars who
transmitted the memory of the past. not that of the rulers who took
over while the scholars were thus engaged. Now because the bias is
so

pervasive, it is hard to free oneself of it. Merely 10 discount a bit

of the iniquity certainly does not help: the question is not whether
the Umayyads were more or less iniquitous than made out (presum
ably they were as bad as rulers lend to be), but whether history had
the shape which the scholars attribute to it. In order to answer this
question, and indeed to explain why the scholars came to view history
as they did, we must read the works of the

'ulamii'

without

automatically adopting their perspective. Given that we owe so many

of our sources to them. this is by no means easy. Nonetheless. in what
follows we hope to show that it can in fact be done.
(and contrast note 67, where Pseudo-Ghazili applies this lille to the sultan rather
than the caliph). Ibn Khaldun also accepted that (l1siy4w !l'lIf_flr lIi),(l lcfJjiJlo

InlciIDJq !l'a.JclliI4/a IflW. fl 'I'ibdd litrmfuJII dmilr/ Jiltim (MlMltJddimD,

p. 120).

C;.pvrlghted material

3
The Umayyad conception of the
caliphate

So rar we have established that the caliph seems originally to have

been regarded as the deputy of God on earth and that he was
certainly thus regarded by the Umayyads. We shall now elaborate
on the Umayyad conception of the caliphal function with special
reference to their views on the relationship between themselves and
the Prophet.
It is a striking fact that such documentary evidence as survives from
the Sufyiinid period makes no mention of the messenger of God at
all. The papyri do not refer to him. The Arabic inscriptions of the
Arab-Sasanian coins only invoke Alliih, not his rasiif; and the
Arab-Byzantine bronze coins on which Mul:tammad appears as rariil
Allah, previously dated to the Sufyanid period, have now been placed
in that of the Marwinids.1 Even the two surviving preMarwinid
tombstones fail to mention the rasul, though both mention Allah;'
I

M. Bites, The Arab-Byuntine" Bronze Coinaae of Syril: In Innovltion by

'

"

'Abel II-Mllik ' in A Colloquiwnilf Mmwry ofGtorKt C(ITpmt Milts, New York
1916, p. 2J. This .100y, whicb revises Wilker's dllin., relltes 10 roins wbose
inacriptions include kluJrr/al AII4Ir IS well IS ra.nil A1I4Ir. II is not mentioned by
ROller, Ba"trkriq, bul it does Iffect his findinp II pp. l4f.. where he espouses
lhe view Ihlt these coins were slflll:k by Mu'iwiya, It is of COUnt true Ibil ihe
Inonymous lutbor orthe MrurHtiit ChrOfrkk compoS
!j in the mid-660s knew tblt
Mu'iwiYI bid strvc:k lold Ind silver coins wbich did not find flvour with the
Syriln populltion bccaUIC they lacked I cross (Th. Noldeke, 'Zur Qeschichte dcr
Araber im I . Jlhr. d. H. IUS Syriscben Quellen" billchrift rIn DewIsc-hnI
MrI',tfliWisd'tfl Gtstllschafl 29 (1815), p. 96); but he lells us nothinl of the
wordin. or inscriptions on these coins Ind mikes no reference to bronze coins.
2 $.II-Munlljid, D/riUdl /flo'rlkh oi-lrlt(J(f al_'arabr, 8einlt 1912, pp. 41, 104, As
mi&hl be upected, the documentary evidence preserved in the literary sources is
less reticent. Thus the seal, of'AII Ind Mu'iwiYI on the peaet documents drawn
up bet"'ail them Ire reported to blve borne the inscription ' Mul;llmmed is the
messenger of God' (M. Hinds. 'The Siffin Arbitration AI,alllent', JOtmIlJi of
millc Slut/its \1 (1972), p. 104): indeed. the Prophet is himselhupposed 10 h.ve
hid I rinl with this inSCription : it pasted from him to AbU Bakr. Um.r Ind

righted makrKlI

The Umayyad conception of the caliphate

25

and the same is true of MU'awiya's inscription at Ti'if.' In the

Sufyanid period. apparently, the Prophet had no publicly acknowl
edged role. This is not to say that he did not matter in the Sufyanid
period, though exactly what he was taken to be at the time is far from
clear;4 but it does suggest that he played no legitimatory role in
Sufyanid political theory. The titulature of the Sufyanids suggests the
same: the earth belongs to God, and I am the deputy of God', as
Mu'awiya i s said to have put it.' What the Prophet mayor may not
have been was not from this point of view of any importance.
All this, of course, changed dramatically on the accession of the
Marwanids. In 66/685f. the first known coin identifying Mul;lammad
as rasiJl Alliih was struck at Bishapiir in Fars by a pro-Zubayrid
governor,' and in 7 1 /690f. the message was repeated on another
Arab-Sasanian dirham struck: at the same place, this time by a
supporter of the Umayyads.7 Thereafter reference to Mul;1ammad as

rariH Allah became a standard feature of Arab numismatic

inscriptions.' Further, in 12/69Ir Mul;1ammad and Jesus were both
identified as messengers of God in the two long inscriptions on the
octagonal arcade of the Dome of the Rock in Jerusalem.' During the
'Uthmin (Muslim b. 11-l;Iajjij, oJ$a""" Cliro 1929-30, vol. XlV, pp. 67(. (Iibds
,,/J-zli!/J). Such information can of counc: be dismiucd, IS can the quite
contradictory information about caliphal signet rinp Jiven in alMasWI, Kiliib
at,'tlllbDl wlI'/islirlJ/' ed. M. J. de Ooeje. Leiden 189-4. at tbe end 0( each reign.
'The 'Jqd IUgestS that the fiBt c:aliph (or It least the firsl 'Abbbtd ",Iiph) to have
l lignet rin,referrinl to Mubammad a. rtuii/ AIIM wUIIWithiq, the inscription
bccomin, common from al-Ri4i onward. (vol. v. pp. 122", 1291'1'.); but the
informalHln in Qalqashandi. SwbIf. vol. VI, pp. lS4f.. ",SlS doubl on Ihis too (the
only caliphal sianet rinl to bear this inscription here beinl that of alQihir).
3 G. C. Miles, 'Early Islamic Inscriptions Near n'ifin the l;Iiju'. JoumaJ ofNttU
Eastm SllId$ 7 (1948); republished in a slightly modified form by IIMunljjid,
Dirasilt. pp. 102(.
4 Cf. Crone and Cook, Ha,iUum, pan I.
S cr. abo, chapter 2, p. 6.
6 Walker, Cata/Ofl, vol. I, p. 97.
7 Walker, CaIOlOfI. vol. I, p. 'l08.
8 It OCC\In sucoessively on (a) the Type B imitation IOlidi struck at Damascus in
72 and/or 13 (0. C. Miles. ' "The Earliest Arab Gold CoinaF', Anwrie(J1f
Numismatic SocI, MII.MItfI NOles 1 3 (1967), p. 227: (b) the transitionll dirhlms
struck at Oamucusin the yeaB 73-5{Wllker, Cata/o,w. vol. I. pp. 23-5: Salmin.
'Dirham nidir'): (c) the Standin, Caliph dinars of 74-7 (Miles, op. cit.. pp.
212-14), and (d) theepipphkcoinaF, ....hich apparently started in 77 in the case
of dinln and 78 in the cue of dirhams and on ....hkh thl inscriptions Ire to
be found : 'there is no Ood but A1lih alone', 'MuJ,ammad in the rtuiU of Allih
whom He sent with pidancc Ind the reliJion of truth. that He might make it
vicl:orious over aU reliaions' (an approximltion to Qur'in. 9: 33), Ind 'Allih is
One. Allih is the Everlutins. He did not beFt, nor wu He be,olten' (an
apocopated version of sUrtJt oJileli/ill) (Wilker. Cata/Ofl, vol. II. p. lvii).
9 C. Kessler. "Abd II.Malik'. lntcripeion in the Dome oflhe Rock: I Reconsid
eration '. Jf}tIrNll of Ille Roya/ Asialle Society 1970. pp. 4. 8.

CJPYnghted malenal

26

God's Caliph

governorship of'Abd al-'Aziz b. Marwan. or in other words between

65/685 and 85f./704f., Mul).ammad made his first appearance, once
more as rasu/ Alliih, in the papyrus protocols of Egypt. IO And the
same 'Abd al-'Azjz is also reported to have given orders for all crosses
to be broken and for there to be fixed on the doors of the churches
in Egypt posters stating that 'God did not beget

nor was He

begotten' and that ' Muammad is the great messenger of God and
Jesus also is the messenger of God'. I I
However the Sufyanids may have conceived of MuJ:1ammad, the
M arwanids thus unambiguously identified him as the founder of their
failh. But it is clear from the context in which they made their public
affinnation of his status that they were motivated more by a desi
to establish the credentials of Islam over and above other faiths
(notably Christianity) than by a wish 10 emphasise his continuing
importance within the Islamic world; and though the escalation of
Muammad into a fully-fledged founder-prophet was indeed to
undennine the position oflhe caliphs in the long run, as will be seen,
in the short run it merely contributed to the rupture of relations
between 'Abd ai-Malik and Justinian I I in c. 692, if it did even that. II
There is nothing in all this to infonn us of the caliph's perception
of Mul:tammad from an inner-Islamic point of view.
For such a perception we may turn to a long letter written by
al-Walid II to the garrison cities concerning the designation of his
successors. This letter, to which we have referred already, is the most
detailed document that we possess in respect of what may be tenned
10 Corpus Papyrorum Rai"tri ArchiduciJ Au.miat. 11I Strirs Arabica, vol. 1/1. ed.
A. Grohmann. Vienna 1924, nos. 1-11. pp. )-12; A. Grohmann . . Zum Papyrus
protokoll in friiharabischer Zeit'. Jahrbuch ckr OJf""'irhiM'htll ByUlI/linischtll
G,8tflsdw/t 9 (1%0), pp. l)f.
I I Severus b. alMuqal'l'a, Kilab 8iyar a/-abtl' aJ.JXl/iJrika. ed. C. F. Seybold. Hllm
burg 1912, pp. 121f. ed. C. F. Seybold in Corpus Scriptorum Christianorum
OritntaJium. Script. arab.. ser. iii, 9. fasc. 1-2, Beirut, Paris and Leipzig 1904-10.
p. 131. The original describes Mubammad as afrasuf afkahrr alfadf($ic) 't/fiJh.
12 The question still has nOI been rully resolved. The Muslim accounts preserve a
memory that lhe wording on papyrus protetols was tomehow connected with the
coinage and the rupture in relations (the main texu are Ibn Qutayba. 'U,'UII
af-akhbiJr, Cairo 1925-30. vol. I. pp. 198f.; alBaliidhuri. Futw, a/bu/rilll,l ed.
M. J. de Goe;e. Leiden 1866, p. 240; alBayhaqi. Kitdb af-maJ,iirin ",(!" masd..".
ed. F. Schwally, Giesxn ]902, pp. 498-502; alOamin, lIayat al-l,a,.a,,iJn, BUliq
1284, vol. I, pp. 79-81). On the Byzantine side. TheophanH specifies 'Abd
ai-Malik's strikin, of coin as one of the issues in the rupture of relations with
Justinian II but makes no mention of papyri (ChrOflraphia. ed. C. de Boor.
Leiplil 188l-5, vol. I. p. )65; cf. alllO J. O. Breckenridge, 1M Numismatic
JcOffraphy 0/ Jus/illian /I (68.5-695. 1OS-711 A.D.). New York 1959, p. 7) :
while Nk:qlhoruJ and Mkhael the Syrian make no mention of either papyri or
coinasc in that connection.
_

righted makrKlI

The Umayyad conception of the caliphate

27

the Umayyad theory of state, and its importance (first recognised by

Dennett) is such that we give a full translation of it in appendix 2.
AIWaJid here sketches out a salvation history divided into two eras,
one of prophets and another of caliphs. The first era began in
aboriginal times when God chose Islam as the religion for Himself
and mankind, or, as we might put it, established a religion for
Himselfand mankind which He chose to call Islam. Having done so,
He sent messengers to inform mankind about it, but without success,
or so at least it is implied : there is a lacuna in the text at this point.
but we know this part of the story from the Qur'iin. aocording to
which nation upon nation received a messenger, only to be destroyed
when his message was spumed. In due course, however, the messen
ger Mul)ammad met with success. This messenger did not preach
anything new; on the contrary, he confirmed the message of previous
prophets, God having gathered unto him everything that He had
bestowed on them. But now that God had finally got His message
through, there was no need for further messengers, and God thus
sealed His revelation with him. Mul)ammad represented the culmin
ation of prophethood and on his death the era of the prophets came
to an end. The era of the caliphs began when, on the death of
Mullammad. God raised up deputies to administer the legacy of His
prophets. Specifically, their task was to see to the implementation and
observance of God's sunlla, lJukm, lJudiid, fard'it/ and lJuqiiq,
'normative practice, decree, restrictive statutes, ordinances and
rights ' (as we have chosen to translate the terms in question), and
thus to maintain Islam. The bulk of the letter is devoted to the
supreme importance of obedience to God's caliphs : whoever obeys
will flourish, and whoever disobeys will be punished in both this
world and the next, as we are told time and again.
What is so striking about this letter is that caliphs are in no way
subordinated to prophets (let alone to the Prophet). Prophets and
caliphs alike are seen as God's agents, and both dutifully carry out
the tasks assigned to them, the former by delivering messages and
the latter by putting them into effect. The caliphs are the legatees of
prophets in the sense that they administer something established by
them, but they do not owe their authority to them (let alone to
Mul:tammad on his own). Their authority comes directly from God.
In other words, fonnerly God II,." prophets. now He uses caliphs.
There is no sense here that God has stopped ruling His adherents
directly, or that thecaliphate is a mere Ersatzinstitution, a second-rate
surrogate for the direct guidance which they enjoyed in the days of

CJPYnghted matanal

28

God's Caliph

Mubammadll. Mul;lammad is still a prophet with a small 'p'.

Obviously he was the prophet most relevant to al.WaJid and his
subjects, being a succc:ssful messenger who worked among Arabs and
who created the community of which God had now put alWaIid in
charge. But he was still one out or many, and he stood at the end
of an era, not at the beginning of one. Messengers belonged to the
past ; the present had been made over to caliphs.
There is considerable evidence to suggest that a1Walid'sconception
of the relationship between prophets and caliphs was that espoused
by the Umayyads at large. As regards the Sufyiinids, the absence: of
public reference to Mubammad on the one hand and the adoption
of the title khalifal Altah on the other would suggest a similar (or
possibly more radical) conception. As regards the Marwiinids,
alWalid's views are echoed in letters by Yazid III and Marwin II
in a manner suggesting that his sacred history came out of a standard
file in the bureaucracy"; and they are also reflected in the stories in
which Umayyad governors and others credit God's deputy with a
status higher than that of His messenger.
Of such there are many. Thus all;laijiij is said to have written a
letter to 'Abel alMalik expressing the opinion that God held His
khalifa on earth in higher regard than His rasul (inna kharifat Allah
fiart/ihl (var. wnmalih,l akram 'alayhi min rasulihi i/ayhim), preferring
His khafija over both angels and prophets (alkhalifa 'inda 'liah afflal

min almala'ika almuqarrabin wa'l.anbiya' al-mursalfn; note the

plural here).u He expressed the same view to MUlBrrifb. alMughira

('Abd ai-Malik khafijal Allah wa-huwa akram 'ala Allah min rusulihi;
note the plural again).1t He was also of the opinion that those who
circumambulated the tomb of Mubammad in Medina should rather
circumambulate the palace of 'Abd ai-Malik, since one's deputy is
I) Nigel, RrchtlllllllJf' pculM.
I. In Iddition to the letter by Vllid III trlnlllted in IppendiJl 2, see thlt by 'Abd
Ill;lamTd b. Vlbyi in Saf..,...I, Rrud'II, Yol. II. pp. 552f, This leller, 100, Sllns wilh
In account of how God chose Islam for Himself. lit.. culminltinl with the
prophethood ofMublmmld: Ind Ihouah theera of the Clliphs hIS been omined.
it continues by givins prlisc to God QlfodhT /ammontQ l4ttdohw /i-rilJulihi 14"0Ichar
ttJ
/ tllllfT _t ntJbiY)'lhi (written IS I letter of congrltuiltion on eonquest.
it presumlbly refm to Mlrwin II. in so fir IS it is nol simply I mOOe!.) Note
llso the resonlnces of II-WlrN:! II', fonnulae in the leiter by Mlrwin II in Tlb.,
aer. ii, p. 1850.
1 5 'Iqd. Yolo v, p. 51'.... cr. 53'; simillrly vol. II, p. 3Sot'.
16 IIBalidhuri, AlUdb tJI-wllril[. ms Siileymlni)'1: (Reisiilko.lllp) no, 598. Yol. II, fol.
28b,

righted matmal

The Umayyad conceplion of Ihe caliphale

19

better than one's messt:nger.17 And in the course of a Friday oration

he is said to have asked the rhetorical question whether any member
of the audience would prefer his messenger over his deputy. II Khalid
al-Qasri is reported to have asked the same question in the course
of an address in Mecca at the time of al-Walid l or, according to
another version, Hisham : 'who is mightier, a man's khalifa over his
ahl or his rasiil to them?'." Allegedly, he bluntly stated that God
had a higher regard for the ami"r al-mu'mini"n than for His anbiyii'
(once more in the plural)." The rhetorical question was also put to
Hisham, who is said not to have rejected the inference that God must
have a higher regard for His khalf/a than for His rasal.1 As told, these
stories sound like frivolous, indeed blasphemous, flatteries; but what
they illustrate is precist:ly the point that khalifa and rasiil were once
sn as independent agents of God: this is why they are comparable.
The caliph is here given the edge over the prophet on the ground that
whereas a messenger simply delivers a message, a deputy is authorised
to act on behalf of his employer, and this sounds strained because
it is clear that everyone knew better: what is being offered is simply
a clever argument. The stories presuppose both that the last prophet
had begun to acquire his capital ' P' at the cost of earlier prophets
and subsequent caliphs alike, and that parity between them was the
starting point. In the early days of the dynasty when somebody
reminded MU'awiya that he was mortal 'like previous prophets and
caliphs of God', the speaker took this parity for granted."
17 Ibn .....bi '1I;I.ald. SIwuIJ. vol. xv. p. 242. Ibn 'Abd Rabbih his part or Ihis slory.
bUI not the $CIodalous 5Uggation reprding ....bd
.
.1M.lilts palatt ('Iqd. vol. v.
p. SI).
1 8 Mas. Murii
J. vol. m, 2094 - v , pp. B8f.; 'Iqd, vol. v, p. $21-1; .....bii Diwiid.
S_. vol. II. p. S14; .1.Maqrizi, Q/Nua' 1,t,'/-ttJkMfum fTm4 NytUI &mr
UmayyQ WQ-&mr H4sllim. ed. G. VOli. Leiden 1&88. p. 29. Cf. 00 .1JiI).iJ,
'Risila IT 'Inibita' in Ras4' {/ QI.JaJ,#. ed. A.-S. M. HirUD, Clito 1964 79. '101..
.
Taltdltrb. vol. IV, p. 72.
II. pp. 16[; Ibn ....dkir.
19 Tlb . sc:r. ii. p. 1 199 (aI-w.rld I); A,"""r, vol. XXII. p. 18 (Hishim); d. \l150
M. J. Kister. 'Some Repons Concernina Mecca from Jlhiliyya to Islam '. JowrnQ/
QftN EconOlffi( tlIIdSocial HIJltxya/IN Oriml IS (1 972). p. 91, cilin8 .1Filr.ihi.
AIWard did nol however hive .ny doubt that a 1lObt IchalF
fQ (such IS OlVid)
....... more hiahly reprded by God Ihln . It.MIrfQ ...OO WIS not . Nlbr ("lqd. vol.
l.p. 7\').
20 A,lwini. vol. XXII. p. 17.
21 .1Din.wari,Q/AkhbfJraJ-fiwdi.ed. Guirp", Leiden 1888. p. 346. where Hilhim'5
interlocutor is n.med IS ....bd.llih
.
b. $ayfi; d. also T.b., ser. ii. pp. 1818f where
l1eis Ibn ShQY .oo Khilid .I-Qurii.outraged by the IfCUIDent; .oo .1.M.qrizi.
Nizil, p. 29.
22 OalJlJilt b. QaYI in connection with lhe bGyQ to YlZid 1 in Ibn Qut.yb.. lmUma,
pp. 156f. Note .Iso the .musing slory in T.b. 5er. ii. pp. 206(.; Bal. AIU. vot.
.

righted matmal

God's

JO

Caliph

Fuller evidence, however, is available in Umayyad poetry, most

of it Marwinid. It cannot be said that complete parity obtains
between prophets and caliphs here. The poets speak of the Prophet
rather than prophets. and they automatically assume him to rank
higher than caliphs;1I caliphs only rank higher than the rest of
mankind." Even so, the Prophet's edge is thin. Caliphs are inferior
only in that they do not receive revelation ; and if God had not
restricted the gift of prophecy to prophets, the caliphs would have
been messengers themselves. as we are told with reference to Yazid
IIU and Hisham," (Thomson's claim that alFarazdaq credits 'Abd
ai-Malik with the gift of prophclhood is not however correct.)17
IV/I, p. lo4 vol. IV/I., 109, in wh;chadeleptionofEl)'ptians/l;lim,ilwbo have
beth told not 10 address Mu'iwiYI ukW(fQ becomesotmi6ed that they address
him u rosWl Aildit inste.d.
ThusVuid liwasthebestofthe ..!op!eonearth - thelivin.and thedead - except
ror him Ihroup whom the dDt td-barlyya shone rorth (Farazdaq. vol. II. p. ''12");
apart (rom the Prophet. he was also lhe best orpcople in tenniO(pamlblF(ibld
vol. II, p. 434"); he had nobody above him except God and _tNwwa (ibid. p. 682,
lilt two lines). Hilhlm wu the .on o( the bet! people, MuJ;aammlld and his
CompanKu uotJ)ted (ibid p, 5351). There has been no shepherd Of! earth to
eompare with Sulaymin. nol that is since the c1nth o(the Prophet and 'Uthmln
(ibid., p. 637, ult.); there hu tIIn no shepherd in 111am to compare with Vazld
n. ona:mon:with lhe qualification ' since Mul;Jammad and hilcompanion" (ibid.
p. 1&9').
That much is clear rrom the meier""s pvm in the previoUi nott. In addition,
hOWever, we an: told that 'Abd ".Malik WQ kltayr aJ./xlrlyY4 (Alth,al. p. 74'),
that Sulaymin was lcNJyr aJ1t4J (Fanzdaq, vol. II, p. 623"), and that alWarld
IT wa. kltd)ir aJ-bdrlyya kvlllM (ibid., p. 510'); alRi1 thoupt lhat there was
nobody like himself in Syria, exotJ)t (or the imam (no. 16:47). Ibn Qays
al.Ruqayyll thoup! Mu"ab lhe bat of people. lhe _tr "'-maI",;,,&. excepted
(no. 51: 2). And anu the death o( the Prophet nobody'. cInlh was 10 hiably
lamented u that o(a/l;lajjlj except for those or caliphs (Farudaq, vol. II, p. 529,
ult.; cr. p. 495', wha'e the ..me i. said or alI;lIjjIj'. relatives).
Ir Jesus had not (oretokl and d05 jibed the Prophet, Yuid II would have m
1 ..
talten (or one; and thouah he was not a prophet. he would scill be the eompanion
or one in Pandise. alon, with Abu Bait" 'Umar and 'Uthmln (Farudaq, vol.
I, p, 264'-'): ir there wen: to be a /Ubr aner the m."qf!. it would be Vuid II
thlt God would choote (ibid.. vol. II, p. 8291-1).
Fanzdaq, vol. II. p. 846''', when: IAGri '1'iI", who IsJcaJl-, bUtI'M rtuN/ ,ffllll
uy thai i(the holy ,,"nt ...m sent to other than prophets, Hilhim would be in
receipt or revelation.
W. ThomlOft, 'The Character o( Early Islamic Sect.' in i,tuJU GoJdzihD
M_IDJ VoJ_, ed. S. L6winJCl' and J. Somol}'i, Budapest 1948, p. 92.
If:peAted by Rinurm. 'Some Relipous Aspecu', p. 739, and MortnlY, lrfMI, pp.
04801'. ThornlOn wa. mialed by R. Boucher (ed. and tr.), D/vaIt n,a:doIc, Plril
1170. p. 626 ofthe French kllt, wbert alFarudaq is mlde to uy tltlt the imlm
'qui a (du Seisneur Ie don de)propMtie briwraleurpieFi '; what heactually
uid wu thai ' the one who has bestowed prophecy (Ie. God) broke their SUile'
(with meith" to 'Abd alMalilt', Yktory over Ibn aiAJh'lth, cr. ibid., p. 208"
of the Anbic text Fanrdlq, vol. I, p. 296").
..

23

24

25

26
27

CJPYnghted matanal

The Umayyad conception of the caliphate

31

Indeed, Marwiin I was an imam to whom prostration (sujud) would

have been made were it not for the

nubuwwa.II

As in the letter of

al-Walid II, the caliphs are the legatees ofprophets.II From Abraham
they have inherited every treasury and every prophetic book," and
they fight with the swords ofprophethood, by right of prophethood,'1
above all, of course, the prophethood of Mul;lammad, whose
covenant they implement." But though Mu1;1ammad is now clearly
invoked to legitimate the caliphate, it is to God on the one hand and
'Uthmiin on the other that the caliphs are directly indebted for their
authority. 'The earth belongs to God, who has appointed His khar
rja
to it', as al-Farazdaq put it, echoing Mu'iiwiya." God has garlanded
you with caliphate and guidance', as Janr said.u The caliph is God's
trustee

(amin Allah),"

God's governor, and governor on behalf of

truth." He is God's chosen one, as several poets slate.n But the

reason why God chooses Umayyads rather than others is that the
Umayyads arc kinsmen of 'Uthman. There is no lack of dynastic
legitimism in this poetry, the fact that a particular caliph has inherited
his authority being stressed time and again.1I Ultimately, they have
28
29

flrazdaq, vol. I, p. 11-4".

cr. flrudaq, vol. II, pp. 632" (Sulaymin inherited the {kpcyof] 1SIIbuw).
ws I!JO"
(.orUhii /111"1111 MWtommod .t4Ini biJd QW/4); 'Urwl b. Udhayna, Sltr" ed.
Y. w. a1-Jubiiri. Baahdad 1970, p. 244 (wori/W ,1ISiiI AI/tJH vI'" or).
30 fanttlaq, VQI. II, p. 829".
31 farudaq, vol. II, pp. 681, ult., 682'.
32 Addo)'to oJiDdhC"ahodo oJ-rosUI, u Janr tdls Sullymin (p. -432"): al-Wllid I wu
waIT lioht/ AllAh (ibid., p. 38-4") or wali 'oM M (flrazdlq, vol. II,
p. -418').
33 fanzdaq, vol. I, p. 25'.
)-4 Janr, -47-4'.
35 cr. above, chapter 2, note 85.
J6 Fanrd'q, vol. II, pp. 79-4" (Oftf_ .'ld4t AfJM), 852" (.'afT oJ.I,oqq); Jlnr, pp.
390" (wu141 oJq), 508' (..oIf oJ1}aqq).
37 farudlq, vol. I, p. 296' (in ,merll); vol. II, pp. -431" (Yazid 111 785", cr. UQ1
(Hishim): Janr, p. -492t (alWalid I); Ibn Suny; chin, alAbwa, in A,It6t1r, vol.
I, p. 298" (alWaRd I): Ru'ba b. 11'''",iiij in W. Ahlwardt(ed. and tf.}. s-Iw!ttff
oJ/tr orobiscltt, Dkhttr. vol. III, Berlin 1903, no. 61: 1 95 (p. 113) (Marwln II).
38 fanztllq, vol. I, pp. 88M (you art the sixth ofsix caliphs. fltber, uncle, 'Uthmin,
etc), 169" (you have inherited from Ibn l;Iarb, lbn Marwln and the one lhroup
whom God helped Mubammad), 17-4' (the IOn of two imlms whole rather was
also an imam); vol. II, pp. -418',' (11War-oct inherited the caliphate from .
...
en
anoestors. indudinl'Utbmln), 6.SS" , 656"(Sulaymln inherited thecaliphate from
his rltber/was liven it by God. either ....y not by ,M,b). 70.- (a1WarlCl l
inherited -'k (rom hi. ratber like Solomon from DavMI), 768"" (God caused
l l.II' once mort), 829"
aI-Warld to inherit -nc, the contrut with ,ho.Jb bein, h
(nu-dlll Abr'I-'Af), &-46"-" (B. Mlh"Win inherited the emblems ofpower), 8$2'" (they
did not inherit it A:aJ4Jo"', i.e. rrom a eoUlterai or di,llnt lnoestor), 8531 (they
inherited the caliphate ofl ripdy JUided one). The theme i. much less prominent
in Janr, but cr. pp. 1-49, ult., and 367' {are you not the son of the imams of

righted matmal

32

God's Caliph

inherited it from 'Uthman," a friend and helper of Muammad's,"

who was chosen by a

shiirQ41

and raised up by God Himself,tI and

who was thus a legitimate caliph wrongfully killed.u In raising up

Umayyad caliphs, God gives His deputy something to which He has
a hereditary right." The Umayyads have always been caliphs and
always will be, we are assured." In short, the Umayyads are God's
chosen lineage,
It is clear from this that, as far as the Umayyads were concerned,
the Umayyad period began with 'Uthmin, not with Mu'iwiya. and
this makes sense, given that they never regarded 'Ali as anything but
a pretender. There is a case for adopting the periodisation proposed
by the Umayyads themselves; after all. the classical view that 'Ali was
the fourth caliph reflects doctrinal developments of the ninth century,
not contemporary opinion : in contemporary perspective 'Ali was a
pretender. on a par with the other protagonists of the first civil war."
More importantly in the present contest, however, it is also clear that
the growing prominence of Mubammad was bad for Umayyad
dynastic legitimacy, As long as Muammad belonged to another era,
it was enough to have been chosen by God Himself, but not so when
he had come to initiate the present: at this point some direct link with

Qutaysh, addressed to 'Abd al'Am b, al-Warld: cr. al.Fatazdaq, yol. II, p. 656,"
where it is addressed 10 Sulaymin). Both 5late that the Umayyads have inherited
an ualted buildinJ(Jarit, p. 256'; Fatazdaq. YO!. I, p. 266'). Ibn QaysalRuqayyit
st
um
. that the)' have 'inherited themUlbGr orkIrI14/a' (no. 2 : 1 0). a. also 'Urwa
b. Udhayna, p, 281".
39 In addition to the references Jivm in the plec:eding note, lICe Fatazdaq. yol. I, pp.
27" (the IlIr4,1I of'Uthmin to whkh they ....
u
e the hein). 295, ult. (similarly), 3SI,
penult.; Yol. II, p. 418' (apin stressinJ inheritance rrom 'Uthmin).
40 Farudaq, vol. I, pp. 169"', (the one throuJh whom God helped Mubammaci), ) 12<
(&m aINIb! Q/'mJq(aja 1Oa-lmIMjirJllr.,). 90' (kluJ/fl MuJjQmmad lO'a-1mam J,aqq
and the rounh of the best to tread the around).
41 Farudaq, YOI. I, pp. 265'" ('Utbmin'l power 'lm\1 back 10 a lO'AJly}'4 min Abr
lIaff, he was chosen by lbe Muhljiriin: compare yol. I. p. 86' on lO'AJiyyat thlfnl
'tIrMy" ba'dIl M"; 1"=1); yol. n, p. oi18' (IO'QI'ithli fft(UataitD Ii-'Utllmlln Q/hl,r
kdnat ,ur4tli nab/yyIM aI-WN,akltayyar), 64(;1, 768- (tbe m4JJMa apin).
42 Fatamaq, yol. n. p. 768-.
43 Fatamaq. yol. I. p. 312", 329'; yol. II. pp. 419"', 768f"': Ri'i, no. 58:S4: cf. al50
'Abdallih b. alZabir'l rererence to 80,000 people led by Gabriel (apparently the
Syrian army at the time or alMukhtir) whOle tim was the dr1I or'Uthmin (SlIrr.
cd. Y. alJubiiri. BaJhdad 1974. p. 78).
... This point i. made with panicular clarity by al-Farudaq (yol. 11. p. 768'-',
addressed to alWarld l); and al-Akhtal puts it very succinctly: a'rcU:"", Alli
m mil
4IIt"'" m,aqq" biJrf (p. 7)").

FataWaq, yol. I. p. 224": Yol. II, p. 709': Nibighat B. Shaybin, p. 123'; 'Abdallih
b. al-Zabir, p. 86".
046 O. W. Madelunl. Dtr Jmom al-Q4Iim ibn Ibrdhrm UIId dit GJalllxn.Jltlr tltr
ZaJdj/tn, Berlin 1965, pp. 223ft'.

45

righted matmal

The Umayyad conception of the caliphate

JJ

him was required. It was all very well to argue that 'Uthmin had been
his friend and helper, and that his own Companions had elected him
caliph, but such arguments did not carry much weight. On the
Prophet had acquired his capital 'P', straight descent from him was
an unbeatable claim.
But though the Prophet had begun to undermine the claim of the
Umayyads to the caliphate by the time the poets start to speak of
him, he still had not affected the nature of the caliphate itself. It is
the nature of the caliphate which concerns us here, and on this point
the poets are of riveting interest. In

essence

their message is that

however important the Prophet may have been in the past and indeed
still is, the caliphs are central to the faith here and now.
The caliphs are central to the faith in two ways. First, they are ' the
tent pegs of our religion' (awtiid Jininif),t? not just in the sense that
they keep the community of believers together, defend it and see to
its adminsitration, but more particularly in the sense that without
them, it would ipso facto cease to be a religious community. 'Were
it not for the caliph and the Qur'an he recites, people would have
no judgements established for them and no communal worship',
Jarir declared." 'He who does not hold rast to God's trustee will not
benefit from the five prayers' (man JamyalclHl bi-omfn Allah mU" arimf'''

fa-taysa bi't-aJa....ii'
.
al-khams yanlaftu), an 'Abbisid poet echoed

with reference to Harun.U Three centuries later al-GhaziJi was

similarly to argue that if the caliphate was deemed to have come to
an end, all religious institutions would be in a slate of suspension and
all acts performed under Islamic law deprived of their validity.5O In
other words, there is no umma without an imam : it is the leader who
constitutes the community, and without him God's ordinances
cannot be implemented.1I It is in this vein that the caliphs are
described as 'the imams of those who pray'," that 'Umar II is told
that he has become an adornment of the abiding minbar,u and that
numerous other caliphs are Hattered with reference (0 thejudgements
established by them."
47 Farazdlq. vol. II. p. 62)'; cr. p. 84''': billi 'tmIdlI" '/-dltI (or Hishim).
48 Jlnr. p. 3". An Iitemitive reading is 'Ind the Qur'in we recite'.
49 Agh4ltF, vol. XIX. p. 74, where the poem. de:sc:iibed as tprM./ gJ-NIZI
Iar
r
ft 'I.Rtultid,

is recited to II-Mu'taJim: IIKhatib al-IbJhdldi. vol. IV, p. I.

Ghazili, FQtjIJ'iJ" ch. 9; al.lihiri (d. 872/t462) liso reren to this argument
(Zubdo, p. 89).
" cr. II-wllid U's Jetter. below Ippendix 2, where it is ror the imp\ementation or
these ordinlnces that the caliphate i. instituted.
H Jarir, p. " 1-.

53 Jlnr. p. 2n". Compare ibid., p. 508" where Hishim is wan gJ-J,aq'l who leads
S-i cr. below, chapter 4.
the pilpiml.

righted matmal

God's Caliph

Secondly, the caliph is 'like the qibla through which every erring
person is guided away from error'.n The role of the imam is not only
to validate the community of believers. but also to be its source of
guidance (hudal, a pn:requisite for salvation. Salvation was seen
primarily as a matter of finding the right path. and what the Prophet
had done was precisely to bring guidance at a time when ' the
waymarks of truth had become effaced'." blam itself was synony
mous with right guidance." and it is above all with such guidance that
the poets associate the caliphate.
Thus it is with khiJafa and hudti that God has invested the caliphs
according to Jarir." The caliph is ' the khalifa of God among His
subjects through whom He guides mankind after fitna .. and 'the
imam in the furthest mosque through whom the hearts of the
perplexed are guided away from error' ... The Umayyads unite people
.

on guidance afier their views have diverged. II. They and their
governors make plain the subul alhudd, 'the paths of guidance '."
'Through you He has guided every confused person', al-Farazdaq
says.n The caliph is imam ai-huM, imam of guidance',". and as such

55 Farazdaq, yol. n, p. 623, ult. (to Sulaymin).

56 a. appendix 2, p. 119.
57 MulJ,ammad wu lenl with IIwJ.J and tiff! aJ-l,Gqq .. the epill'lphic coinalt
proclairns,echoinIQur.9: 33 (d.lbove, nOle 8) ;comP'lRalsothe fonnulltJi'MI6m
'aJII mall fttalHta 'lhlMllJ. uKd in \etten to infidels (flkl/if6b aJ.lc"fir, Qalqashandi,
$MhI" vol. VI, p. 366, wilh sundry eumples in lhe followins PIP: lhere Ire
numerous ally exlmples in the Qurra PlPyri, cf. for exlmple A. Grohmlnn,
hom IIw W""do/A.rabic Papyri, Cairo 1952. pp. 125ft'.; there IR also numerous
S-fwat.
arly eomplel of Muslinu utinl it n
i letttn to Muslim
/tas8U, vol. n, pp. 105, 119, 288, 3(0).
(_
for example U....
n. b. TbIbil, no. 22: 12;
'Ammin 1919, p. 6 1 ; WIlr.
T, Qu<Idh. vol. I, p. 216); be
,
ror eompte IINu'min b. Buhir. SIIr,. ed. Y. W. alJubiid. n.p. 1968, no.
c!. 22:26), what he had broupt beinl lhidd (ibid. no. ": 12) or a miJion in which
lherewas N
t
" and$'?'r8r (,Abba b, Mirdb in Ibn Hishim, a/-S1,aalnz
/lcrwly)'G.
cd. M.IISaqqi and othen. ICCOnd prinlina. Cairo 19!i!i, yol. il. p. 464); and to

, .;"',0/.

58 lIdr, p. ..7..,.

I, p. 289".
60 Farazdlq, yol. II. p. 619'.
59 Faravlaq, yol.

6 1 Alhant, Yo\. IY, p. "25' (hmi'i! b. Yuir). Compare the pauaaa ciled below, note
119.
62 Jarir, p. 90'"' (of aJ-l;Iajj1j); complre Nibishat B. Shaybin, p. 29' on Umlyya

(nIblII tJi-'1a9f).
63 Faranlaq, yol. I, p. 329"; d. also Jlnr, pp. "', ,. (WheR the Tamim who hive
repenled oftheir'Alid sympathies IRsaid 10 ha returned 10 /pw? aJIrwM), 384.
440.. , ..7...
64 'Abd II-Malilr. referred 10 lhe Zubayrid in'llilection .. one directed apinst
tr'imlf'lal aJ.JrwJ.t (Tlb., seT. ii. p. 7..3). A'w B. Tla.hlib remembered aJ,wlrtd I,
al an inN1m Ihidd (AI"""T, YOl. XI, p.2S)'). Yalid II wu likewise praised U In

righted matmal

The Umayyad conceplion of the caliphale

Jj

he is associated with light He is 'guidance and light ',Ii 'the light of

the land '.' and the one 'through whose light every secker of
guidance is guided to hudQ'." He is ' a light which has illuminated
the land for us'," ' the moon by which we are guided ... He sets up
a 'beacon of guidance ' (manara'" Itl-hudQ) wherever he goes." His
kinsmen and governon are similarly 'lights of guidance', full moons,
stars and the like.U He disperses darkness" and makes the blind sec.71
He revives both land and souls,7' being rain (ghaYlh) in both a literal
and a metaphorical sense: one asks for rain no less than for guidance
from him."
iIrIcJm IuMld by Kutblyyir, thouah tbe line is allO saki to have b!
L
Li add "
5
7
E
1 to
'Ab aI-Malik (Kuthayyir 'AzzI, Dr.iIII, edt I. 'Abbis, Beirut 1971, p. 342", cr.
tbe editorial introduction to this poem): Yalid II was allO an imam of JUidance
.
aa:ordinl to II-Farazdaq (vol. n, p. 433': n
i '57 IIJ.1ludi twi,.".." qfa 'l.."...ta::lIr).
So wu Hisbim, ind:
:j the Marwlnid caliphs in acncral, Iccordin, to tbe wne

poet (vol. 57, p. 8461). A poem in which 'Abd al-'ADz b. Marwin is prematurely
dc:sClibed u kllDlffll characteriza him and bis lOn II h'5kJy Intdi too (Kiadi,
GOKmOrI, p. .(6). As 10 often, the Zubayrids \IIere praised in the same terms as
the Umayylds: Mu,'ab b. alZubayr wu In imam of IUidance accordina 10

alMuhalllb's troops (Tab., Kf. ii, p. 821).

6S II-Qutimi, Dfwan, edt I. al-5imarri'i Ind A. MatJiib, Beirut 1960, p. 148" ('Abd
aI-Malik), cr. Qur. 5: SO.
66 alAbali in A,/Wrl, vol. Xl, p. 309': d. FatUd'q, vol. 57, p. 767" (mir a1.I14r).
67 Farl"1aq, vol. I. p. 165' (k.MIr[lIl tIItI 41_4 GJba tjttw'tJrw. bUti k.hr yfIIt4

IfI./wdiJ kull- "qJu_).

68 Akh\al. p. 74'.

69 Farl7daq, vol. IF, p. 704'; d.

abo p. 4))1; Jarir. p. 2S4", (God pve Yalid II a

mulk wII a1-nQr); Nibipat B. Shaybin, p. 49' (Yalid I) u liJbt); Yadd b.
Oabbf. in A,/IIInf. vol. vn, p. 99" (al-Watid II i,.,. ,i?Q'II }#i/pl 'IMti ,. mir

'lIlA mir).

70 Jlrir, p. 4': Jlrir uys mIlCh tbe ume of Khilid II-Qasri in hi' DFw4n, edt
N. M. A. TW, Cairo 1969 70. vol. II, p. 6()611 (al-Siwr-, version, p. 171, omill
the line in quation). Mllblrib b. Ditblr in watT', QwI4/t, Yol. UI, p. 3311 ('Umlr
II). ComP'l allO '/f/d, vol. IY, p. 91''''11, whe al-WaJid I men to what 'Abd
II-Malik hid set up mlrl trIlIII4r aJlsl4m wtNII4mlhf.
71 Farudaq. Yol. ii. p. S4I' (mir- hudd, of al'Abbis b. alWarld) ; Nibi....t. B.
Shaybin,p. 123'; IbnQaysal-Ruq.yyit, no. 2: 12(p. 75). NoteallOthat al-l;fajjif.
Whit is a ni1r If 1-IttdiJ (11'Ajjaj, or..
d
.., edt W. Ahlwardt in 51;;;::Ja&.p1F aJ'
QrllbiJr:_ Dklrler, vol. IF, Berlin 1903, no. 12:66. p. 23).
72 Fanzdlq, vol. 5. pp. 289', 29@. 329"1\; vol. n, pp. 61911, 620", 78S', 830'; Ri'i.
no. 16:5); Qutimi. p. 148".
...
7J Fa
r
t.q, Yol. I, pp. 289', 329""'. 3.52"; Ri'T, no. 16:53.
74 Fan":IIq, yol. ii, pp. 839, penult., "'.5', 889'; Ibn Sunyj citin, alAb'NI.I in
A,,,,,"1, Yol. I, p. 29r.
75 Fanzdlq, vol. 71, pp. S4I', 638', 767" (zltay,lr al-bil4d wa-fliir al-lt/bj1'I-pd_),
831', 1U5', 889': Jarir, p. 274; Ru"ba, no. 39:41 (p. 103); Ibn Sunyj citin,
.I-A\lwlf Ind 'Ao. b. al-Riqi' in AJ.r.aa.r, vol. I, pp. 298'. 300'; 'Abbis b.
Mul;lammad in AlitoJI5I. veSt XXIV. p. 217"; (or al-WarKl Il', I:r
p'Dn u _,....
see WarKl, Sltrr, p. .55'. For thecaliph tbrouab whom rain '
i lOuabt (}'III'" bUtt
" -maIM, see above, chapter 2, pp. 8(., and Ringrtn, 'Some RelipolQl Aspects'.

righted matmal

36

God's Caliph

The caliph is a source or guidance because he is himselr blessed

and rightly guided. 'Uthman was a khalifa,ort mahdiy>",", 'a rightly
guidedcaliph ',as Mu'awiya'smessengers told 'Ali." As raras all;lajjaj
was concerned, Abu Bakr, 'Umar, 'Uthman, Mu'awiya and 'Abd
alMalik were the rour (sic) khulafo' alrashidun almuilladun al
mahdiyyun.17 Similarly. in poetry 'Abd alMalik is almubOrak yahdi
Allah shratahu, 'the blessed one [through whom] God guides His
adherents '.11 SuJayman is the mahdi, the rightly guided one, through
whom God guides whoever is in fear of going astray," and through
whom He disperses darkness;80 he is also the mubOrak and mahdiwho
makes plain the road,.1 and through whom 'God has delivered us
rrom evil'.11 'Umar It was almubiirak almahdi sira,uhu, 'the blessed
one whose conduct is rightly guided ';11 he is also the mahdiin prose. U
Yazid n is al-mubiirak al-maymun siraluhu, 'the blessed one whose
conduct is auspicious'II and to whomGod has given ra'fa,o mahdiyy''' ,
'the mercy of a rightly guided one' ... Hisham is almahdi wa'I-IJakam
alrashid. 'the rightly guided one and the judge who follows the right
path '''' as well as 'the mahdi in whom we seek refuge when
.
frightened ... AI-Walid 1 1 is both the malu/j1' and al-qa'id al-maymun
M:a'l-muhtadO bihi, 'the auspicious leader and the one by whom one
is guided'." 'Stand up. 0 Commander of the Faithful. rash;t'"
malldiy)"'''', as Yazid III was told. though not by a poet.11 In poetry
the Umayyads in general are hudal K'a-mahdiyyun. 'guiding and
rightly guided'.n
Being mahdiyyUn, the caliphs are strongly associated with justice.
The justice of caliphal sunna loosens burdensu and heals: ' through
76 rib. seJ". i. p. 3277; NI,r b. Muzil;lim, Woq'ot $if/f", p. 200.
77 'Iqd, vol. IV, p. 122. Possibly Abu Bakr was Idded by a copyist who rorgot to
revise tbe figure accordingly. but it ilodd that YIZid lind Mlrwin I should hive

79

been omitted.

78 Janr, p. 356'.
80 Flrndlq, Yol. II, p. 620'".

Flrazdaq, vol. II, p. 655".

81 Jlnr. p. 432".
82 Farudaq, YOI. i. p. 326' ijQ-4j6IxJ....'..OtOM ...
,obl-kJrJI4fol oJlItDIrd1mln
rJwr). cr. 11so Yolo II, pp. 638, ult., where he i1 once man: mDhdr,lnd 623", where
he i1 k.hoyr 01414: and mau.llUItJ blJr).
83 Jlnr, p. 275'.
84 Ibn Sa'd, TofHJqol, Yol. v, p. 333 (three times); Nu'aym b. I:fammid. FitOll, rols.
991. lOla (we owe lhis reference to Michlel Cook).
86 Faru.daq. Yolo II. p. .544".
85 Jlnr, p. 390".
87 Jlrir. p. 147'.
88 Jarir, p. S05. penult.
89 Flrazdaq. yol. I. p. 7, ult.
90 Flratdaq, yol. II, p. 510".
91 KltiJb QI'uyiilr ",o'/.I,Dd4'lq, ed. M. J. de Goeje. l...eiden 1871, p. 136.
92 Flrazdlq. vol. I. p. 88', of al-Walid I's predecesson. A goyernor such II Nltr
b. Sayyir was also lIattered al 01-m41ik. o/-milJwl! (Flrazdaq, YOI. I. p. )47, ult.).
93 Farudaq, vol. I, p. 328'; cr. p. 329'.

CJPYnghted matanal

The Umayyad conceplion of th caliphat

37

the justice of your hands you heal the sicknesses of breasts';"

through your justice you have cured everyone who thirsts'.Ii Come
to Islam, justice is with us'. as we are told." Adherents of'Uthman
held this caliph to have been an imiim 'adl;17 MU'awiya was an imam
'adil;'" Abd ai-Malik was flattered as khali/at al-'adJ," an epithet also
attested for 'Umar 11,100 who elsewhere appears as a/.imam al-'add;101
and both Yazid II and Hisham were described as imiim al_'adJ.!OI The
Commander ofthe Faithful is imam"'" wa'adl"'" Itl-bariyya, Jarir said
with reference to 'Abd ai-Malik. III According to al-Farazdaq,

Sulayman made every place of oppression Uawr) a place of justice

radf).!1H Hisham filled the earth withjustice and light. I" He also filled
it with mercy (rama),I" and with light, mercy, justice and rain,
having been placed over the people as a source of security and mercy

(amnia" wa-ramat"").!"
Though maho, is evidently not an eschatological epithet in these
passages, it is hard to avoid the impression that the tenn refers to
a redeemer. The mahdi of court poetry is not simply a person who
walks in the right path, lOI but rather a deliverer from evil - someone
who fills the earth with justice, mercy and light, who heals and who
vivifies. 'He answered our prayer and saved us from evil through the
caliphate of the maho,', as al-Farazdaq said with refercnce to
Sulayman.!01 But this is not a point we wish to pursue in this
94 Farazd'q, vol. I, p. 3!12".

9S Farazdaq, voL I, p. 329';wmpare vol. II, p. 1I39, uh., where we are lold orHi$hlm
that he 'brou&hl lhe _ or lhe IWO 'Uman in whkh there is miflJ' In

mill al.soqlfm.

,
96 Farazdaq. vol. u, p. 62)1. wilh reference 10 lhe death ohll;lajjij and the a""",ion
of Sulaymin. a. p. 63811 (Sulaymin pUI n&hl every qaqd' j6'ir. followed by a
reference to aI.qa4d' btll}aqq); Jarif, p. 43211.
97 Mul;lirib b. Dilhir in Walr.I', Qu44h, vol. Ill, p. 29.
98 'Iqd. vol. I. p. 46t.
99 Jarir. p. 440'.
100 Ibn Sa d TalKlqal. vol. v, p. 387.
101 larir. p. 41" .
102 lariT, pp. 2!16'. S".
103 Jarir, p. 44()1.
104 Farazdaq, vol. II, p. 639'; for other stalements on lhe justice of this caliph. see
above. note 87.
10' Farazdaq, 'Vol. 11. p. 840" (ra'aytwka qQ(/ IMla'ta 'I__r/' 'adJ-- ""/J''';ya tnJIlbasat
al;allfm). Compare Ibid., vol. I, p. 16" "" (amfr aI'MII'mi"r" bl-'adlilti . . . ",aliI
.lIIma mil ddma af.klwlf!al "iI'Im-- HiJh4mU); Jatir. p. !I" (amfr aI-mw'mi"f"
'

qad4 bi-adll-).
106 Farazdaq. vol. II. p. 84" ; cr. p. '14, ult. (rma and 'adJ or the imam).

107 Farazdaq. vol. II. p. 8S2"-".

103 cr. I. GoId-Dher. I"troducliorf 10 IJlamk T1woIy wtd La..., Princeton 1981, p.
197n.
109 Above, note 76.

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38

God's Caliph

chapter.1II What we do wish to stress is that salvation was perceived

as coming through the caliph; and we should like to illustrate this
further with reference to two notions commonly attested in both
poetry and prose.
First, the caliphs (or the caliphal institution) are described as
' refuJC' or stronghold' ('4ma), a word with Qur'inic resonance (cf.

3 : 96, 'he who seeks refuJC in/holds fast to God (ya'(tJ.fimu bi'fliih)
is guided to a straight path ') The metaphor conveys that it was the
caliphs who saved the believers from error in both a political and a
religious sense, or, as others put it, that the caliphs were the pillars
of the religion. 'God . . . created from among His creatures servants
.

whom He placed as tent-pegs for the pillars of His religion; they are
His guardians [ruqaba1 over the land and His deputies [khulafli1 over
the servants, and through them He has turned darkness into light,
united the religion, strengthened that which is certain, granted
victory, and put down the ovennighty', the future Marwin ' told
Mu'iwiya.1 II 'God has made you a refuge ('itma) for His friends and
a 5Ouroe of injury for His enemies . . . through you God, exalted is
He. makes the blind see and guides the enemies [to the truth)'.
'Abdallih b. Mas'ada al-Faziritold the same caliph. conveying much
the same message. ltI ' Through him God protected ('asama) mankind
from perdition', as a poet said of Mu'iwiya in a poem to Yazid 1.111
The caliph was a fortress (4n),1U or ' a cave in which you seek
refuge' (/a'wlina). as Ziyid b. Abihi put it,ln just as he was ' the mahdi
in whom we seek refuge (no/zau) when we are afraid', as Jarir said
of Hishim.11t He was a 'ipna against tyrannY,117 and thus a '4ma for
orphans,llI but above all he was a refuge against that disunity which
inevitably meant dispersal from the paths of guidance. The caliphate,
1 10 We 'hall retum to il below, appendiJ: I .
I I I Ibn Qutayba, Im-lUi, p. 164.
1 1 2 Ibn Quta)'ba, fmA.Ul, p. 158. Compare lhe speech of Abu 'Aswad', wife 10
Mu'iwi)'a : iMII 'lfdltjdallllttJ kllal1/a,-jT'lbUdd OWIrrltfrb" 'alil ,/ib4tJ, ftUltUqd

bib tJ/IftQ/tJr OWI}WItu biktJ tJ/-sltu OWI-YIl'_U bib " .khil'if, ..tJoQIIttJ
'1-kIttJ/rfa fIi-mtl.fltJ/! wtll..-rr/_&t/imh, a/_ttM/d (al-'Abbas b. BakUr
alOabbi, Akhb6r tJ/.wiljiddt min tJ/"ts6' 'tJ/iI M"ilw{ya b. Abr Sufy4lr, ed. S.
alShihlbl, Beirut 1983, p. 1<4 and nate 2 lheieta).

I I ) A,Mnr. vol. XII, p. 1<4-; nate that Mu'iwiya is _In AUdit in the Piec:edinl line.
11<4 Akhtal, p. 18S'; cr. 8a.sh.hir b. Burd. val. ii, p. 304. where he is a lan), mountain
(ItJ..-d, addressed 10 ,1MahOi).
I I S tab., aero ii. p. n.
1 16 Above. nate 88.
1 1 1 Farazdaq, vol. I, p. 321, ull. (jdtJ/1l '(.j/4J; (tJIIiI kftil[iflllllllu btu . fqllrilJ,l
.

..",.'4tr;tJ,-'1-jIl).

I II Janr, p. 211, pmuh. (of Yuid 11).

CJPYnghted matanal

The Umayyad conception of tlu! caliphate

39

or rather obedience to it, was a 'i.rma, maful, multaja', lamm 1i'I-shd/h,

wizr, man'a against /iraq and something which protects people

(yd,fimuhum) against all ikhti/iif and shiqiiq, according to al-Watid
lI .l It It is in this vein that 'Abdallah b. al-Zabir told 'Abd ai-Malik

that ' you have protected us ('Il1Dmtanii) with Bishr', who was al-qa'id

al-maymiin and al-'4ma, the q of which did away with everything

baril. III The caliph was a 'fsma mukhayyira bayna 'l-t/IlliiJa wa'l-rushd
for people, as Zulzul and/or others were later to say with reference
to al-Ma'mun."1 In short, the caliph was a refuge against error.
Whoever clung to his 'jma would be saved, whoever ignored it would
be damned : one would not seek refuge in God and thus be guided
to a straight path without holding fast to His

khalifa.

Secondly, the caliphs (and the caliphal institution) are identified

with God's rope, another Qur'inic concept (cf. 3 :98, and hold you

fast to God's rope

(wa-'tll1imii bj-abl Allah),

together, and do not

scatter'). Thus Mu'awiya was 'an imam and a firm rope for
mankind',ln or, in the words of his son Yazid I,

Al1dh.1tS 'Your

/Jabl min /Jibal

rope is God's rope', al-Farazdaq told Yazid II and

Hisham, stressing that whoever took hold of it would find it

unbreakable.lU Whoever holds fast to your rope [you will find that1

the blindness of his eyes disappears', the same poet said to al-Walid

LI 1i According to al-Walid II, God had a strengthened the strands

of His rope through His caliphs. I" The caliph was thus seen as a

lifeline to God, someone who stands between God and His servants',

as an early author, reputedly al-l;Iasan al-Bri. said with reference

to the imiim al-'adl.III or as . the rope extended between God and His
creation

t,

as al-Mutawakkil was pleased to be told. Itt The concept

119 cr. Ippendix 2. pp. 12Off. Compare liso flfudlq, vol. I, p. 289": the Mlrwini<b
hiVi: made the rdiJion of Mublmmad triumph Ifler iklItU6j'aJ-Nl$. Simillrly ibid.,
p. 61" (God has uniled lhe prayer throush Mlrwin). Cf. also the rdeR'tlCe given
above, note 61.
120 Ibn IIZabir, p. I I I . Compare A,Mnf. vol. XII, p. 74, where Yadd I is told thlt
his rather was _iii Allah throup whom God protected ('0lJIJI"G) people from
hlnn. for al-Wlrld li as '4mD, see A,ltdtJt, vol. IV, p. 1141O;compare 11so Althlal.
p. 185', on al-WITid I.
121 See the references liven below, chlpter 5, note 1S4.
122 'Umar, Alqib., p. 111, cilin. Khizhll aJ.adob, vol. It, p. SIS.
121 'Iqd, vol. IV. p. 8911; Ibn Qutayba. 'Uyim, vol. 11, p. 238: dillCUssed by Rotter.
lJiirrtrb,. p. 249.
124 Flrudaq. vol. ii, pp. 829" (VIOO II), 839' (Hishim). Similarly llrir, p. 506'. to
Hisham.
125 Farazdaq, vol. I. p. 152'.
126 Cf. Ippendix 2, p. 120.
127 'Iqd, vol. I, p. -W--".
128 Tlb seT. iii, p. 1387.

CJPYnghted malenal

40

God's Caliph

of the caliph as God's rope conveys much the same message as that
of the caliph as a refuge: whoever holds fast to this rope is saved,
whoever 'scatters' loses the paths of guidance. And both concepts
underscore the fact that allegiance to a caliph was a precondition for
salvation. Like the pope, the caliph presided over a religious
community outside which no ritual act had any effect.'Were it not
for the caliph and the book he recites. people would have no
judgcmentsestablished for them and no communal worship', as Jarir
said.III Whoever dies without an imam dies a JiihiIi death', as even
classical tradition states. IIO The Prophet had brought guidance in the
past: like the caliphs he was both mahdi and imam af/tudii.1Il But
it was the caliphs who dispensed this guidance here and now. It is in
this vein that Jarir enumerates ntlbtlw)I.'a. khiliifa and huda as more
or less synonymous terms, III while alFarazdaq speaks of the a " ad
alkhiliifa wa'l-salam, 'the staffs of the caliphate and salvation'.m
Mu\lammad might have become sayyid al-mtlrsafin at the expense of
previous prophets and subsequent caliphs alike: but without these
caliphs, the believers still had no access to his legacy.ll
It is for this reason that what looks to us like a choice between
political rivals was in fact a religious one in early Islam. To give
allegiance to an imam was to affiliate oneself to a guide who might

'

129 Above, nOle 48.

130 Ibn I;lanbal. MW/f.ad. Yol. iy, p. 96. Compare mall mala M'O-/O hay'o 'oluy/rl malo
mrtat al-jiJhiliy)'o (Ibn Sa'd, TahaqiJt, vol. y, p. 144): mtJlljQ,aqa a/-j(Jml1o shib"'
/0 1miJ) mala ilId mT/ot ol-ftihllina and man maIo ",aqad /l(mlo yodolru mill hayo
kanot mi/olllhil mIta, qa/d/o (listed by A. J. Wensinck and othen, ClHl("dan("
I Indicts r/.t 10 "adillM muswfmaM, !..eiden L936 69. s.n.'. 'jihiLiyya' and ' bay'a'
respectively; but nOle the avoidance of the word imam in these: the emphasis is
on membenhip oflhe community rather than allegiance to a leader). Cr. also the
dictum 'il is 001 penniued to stay one night without an imam ', cited by Tyan,
$wltflllQl, p. 304.
131 For i,"11m alhlldiJ, see above, note '7. For Mu]:lammad as ulmalrrlf. 5CC l;Iassin
b. TIlibit, no. 13 I : 2; al'Abbas b. Mirdb. DfMUII,ed. Y. al-Jubilrl. Baghdad 1968.
no. 24:8; M. Hinds. ' The Bannen and Battle Cries of the Arabs at Siffin (657
AD)" uJAbltulh 2<4 (1971). p. 1 7 . 0 2 ; Brock. 'Syriac Views', p. 14 (citing Bar
kaye and the Chronicle ad 1234. where Mubammad appean as mhoddyana).
1)2 Jarir, p. 47<4".
1)3 Farudaq. vol. fI, p. 8401.
134 It should beclear from al1 this thaI we cannot agree with Nagel that the 'sun-ogate
institution of the imamate . . . only played . purely negative role for the Umayyad
caliphate' (Rnhtltllllng, p. 50). Nor arewe convinced that the concept ohhe ruler
as deputy of God became more intense under 'Abd ai-Malik. as ROller sUfgnt.
(B"" rkrit,, pp. 24&1l'.). BUl there is cenainly more eyidence for the Marwinids
than tl"leff is for the Suryinidl. nOI leaSI the poetry orlanr and al-FaT1lzdaq: no
other poets, be they earlier or later. adherents of the Umayyads or others.
lUCCeed
ed in describing the caliphal ideal with the overpowerin, eloquence of
those two.

righted makrKlI

The

Umayyad conception of the caliphate

41

or might not be the true representative of God; it was tochoosc one's

umma, The fact that 'Ail and Mu'awiya may well have had identical
beliefs in no way means that contemporaries were faced with a purely
political dilemma, There was only one true imam and one true umma,
so that whoever made the wrong choice would find himself outside
the community where no amount of religious observance would save
him from a Jihili death, Choosing the right imam (or more precisely
proving that the imam chosen was the right one) was a matter of vital
importance for salvation; disputes over his identity thus precipitated
the formation of sects, and declaration of belief in the legitimacy of
one's own came to fonn part of the creed. 'Do you confess that
Mu'iwiya is the caliph?', an Umayyad governor asked ofa Khirijite,
executing him on his refusal to answer in the affirmative,Ui 'What
do you say about MU$'ab?', Khirijites asked of al-Muhallab's
troops, who declared him to be an imam of guidance; 'is he your
leader (wali) in this world and the next . . . are you his followers
(aw/iyd') in life and death , . , what do you say about 'Abd al
Malik , , , are you quit of him in this world and the next, . , are you
his enemies in life and deathT,'3' al-l;Iajjij professed that 'there is no
god but God, who has no partner, that MuJ:tammad is His servant
and messenger, and that he [al-l;Iaiiajl knew of no obedience except
to al-Walid b, 'Abd ai-Malik; on this he would live, on this he would
die, and on this he would be resurrected '.117 In the reign of al-Mahdi
an 'Abbisid naqib died confessing that there is no god but God, that
Islam is God's religion, that MuJ"ammad is the messenger of God,
and that ' 'Ali b, Abi Tilib is the legatee of the messenger of God,
ll'm, and the heir to the imamate after him',lSI An apostate who
converted back to Islam in the time of al-Ma'mun gave proof of his
Muslim beliefs with the creed, ' I confess that there is no god but
God, who has no partner, that the messiah is a servant of God, that
Mul;lammad spoke the truth, and that you are the Commander of the
Faithful',ln 'There is no religion except through you and no world
except with you', as al-Ma'mun was also told,'U The creed which
Bughi, the Turkish slave soldier, had learnt consisted in declaration
of belief in the unity of God, in the messengership of MuiJammad
and in the kinship tie between the Prophet and the caliph on which
13S
136
137
138
139

Tyan, Cali/at, p. 4SS, citing Ibn al-Athir, /(ilmif, vol. lU, p, 346.
Tab., ser. ii. p. 821.
Tyan, Cali/al. p, 4SS. ciling Jbn al-'Asikir. Tahdhib (vol, 'v, p, 71),
Tab., ser, iii, p, S32.
Tyan, Cali/aI, pp, 4ssr,. ciling lhc Iqd.
140 Tyln, Cali/al. p, 456, ciling lhe 'Iqd. and Ibn QUllyba. SM'" p, S49.

C;.pvrlghted material

42

God's Caliph

the latter's legitimacy had come to rest.lf! The classical creeds which
separate Sunnis, Shi'ites and Khirijites of course also contain
declarations of belief in the legitimacy of the caliph or caliphs
acknowledged by the sects in question.
The fact that it was around the caliphate that Muslim sects
crystallised is inexplicable on the assumption that the caliph was
never mort than a political leader; and gjven that the process of
crystallisation began in the first civil war, there is no question of
seeing Umayyad innovations here. If Abii Bakr conceived the
caliphate as a purely political institution, it had changed character
by the time of 'Uthmin, presumably in tandem with the adoption
of the title khalifat Allah. But in fact this is a most implausible
proposition1u. Just as kharifal Allah seems to have been the caliphal
title from the start, so the caliphate must have been min aJ-iiniin, part
of the faith'. from the moment of its inception.

14\ w. M. Pitton, A Ibn lIaniNU and l/w Mj, Leiden 1891, p. 91.
142 Thoup ror prad.K.I purpon this is what Tyln IUge5ted (COIi/OI. pp. 199ft'.).

CJPYnghted matanal

4
Caliphal law

If the deputy of God on earth was seen above all as a guide, what
was the nature of his guidance? Obviously. in part it was political.
The caliph was responsible for the maintenance ofthecommunity, the
suppression of rebels, the conduct of jihad, and so forth; and the
poets make no bones about the fact that guidance frequently took
a militant (onn: where would people be. one of them asks. without
the Marwiinid 'imam of guidance and beaters of skulls?',l The
Umayyads and their governors were God's swords,' and as such they
were invincible: obviously. whoever had God on his side CQuid nol
bedefeated.S But what weareconcemed with hereis theirspiritual role,
and what we wish to demonstrate is that it was seen as consisting
above all in the definition and elaboration of God's ordinances. or
in other words in the definition and elaboration of Islamic law.
In his letter concerning the succession, al-Walid II expressed the
opinion that God had raised up caliphs for the implementation of
His IJukm, sunna. IJudUd.fara'i4 and IJuquq,4 a view which al-l;Iajjaj
had apparently espoused before him.' In the same vein Yazid 111
stated that until the death of Hisham 'the caliphs of God followed
one another as guardians of His religion and judging in it according
to His decree (qatfinaflhi bi-IJukmih,),' while Marwin II described
I Farudaq, vol. n, p. 8461
2 Tab., Kr. ii, p. 78 (or Ziyid b. Abilti); aJ-'Aijij. no. 29: 140. p_ 48 (Yuki I);
Faraubq, vol. I, pp. 2651, 2861; vol. n, pp. 530".695" (Sulaymin, Dishr. Hishim
and al-l,Ilijij); Jlnr, p. S06" (the UmlYYads in gtllClIJ): cr. al!lO A,lWIf. vol. XI.
p. 307; vol. un, p. 330.
3 Flrawbq, vol. I, pp. 251 101 (f6J}ib AUdit ,MY' ffWlIhlUb, laYI4 bi-maghliib MOIl
AlldIt #J1ibvhw).
4 Below. Ippendix 1. p. 120.
5 a. Ibn Qutayba, 1m'l
id, p. 258. where aJ-l,Iajjij writes 10 aI-Warld l/a-'oJ!aylca

brl-lsl4mfa-qa_1m a...adab ...a-S#WUiJtalw _-.lI.,d,,,.,,,,.,

6 BeJow, appendix 2, p. 126.

43
,.1

44

God's Caliph

the caliphate as having been instituted for the implementation of

God's statutes (shara' rdi
nihl).7 We may begin by examining the ways
in which they sought to fulfil this task.
Most obviously, they acted as judges. The caliphal office is
explicitly associated with adjudication in the Qur'an : in 38:25 God
tells David that 'we have appointed you kha/i/a on earth, so judge
among the people with truth' (fa'IJkum bayna 'J-ntis bi'l-IJaqq), and
in 2 1 : 78ff. we see David in action as a judge together with Solomon.
There are numerous references to these verses in poetry. 'Judge
(fa-'lJkum) and be just', al-A\lwa$ told Sulaymiin with reference to
the fact that he had been appointed by God.' He is the caliph. so
accept what he judges for you in truth' (rna qa4iz takum bi-'/-IJaqq),

Janr said.' references to al-qa4iJ' bi-'/-lJaqq or 'ad! being

commonplace. It Without thecaliph people would have nojudgements

(aMarn) established for them, as Jarir says in the famous line quoted
twice already.11 Elsewhere he adds that 'the land rejoices in a "akom
who maintains the ordinances (fara'it/) for us'.lt And the caliphs are
explicitly compared with, David and Solomon : just as God 'made
Solomon to understand ' in the Qur'an. so he gave understanding to
lfalthoma) His caliph. II The caliphs. or at least some of them.
responded by dispensing justice in person, apparently with some
solemnity: when 'Abd ai-Malik acted as qatfi he would have a page
recite poetry on legal justice before turning to the disputants. l( That
the caliphs acted as qat/is was first pointed out by Tyan. U and Tyan's
conclusion is confinned by early l;Iadith. in which they are frequently
displayed in this role. Sometimes we see them give verdicts in
concrete cases," and sometimes we are merely told that such and such
7
8
9
10
II
12
13
14
I!I
16

Tlb., ser. ii. p. 18.

A,,..,r, vol. IV. p. 235 (_ al-Abwa" SIIi'r. ed. A. S. Jamil, Cairo 1970, p. 178).
Jarir, p, 390'.
laTir, pp. 390'-', !I"; farudaq. vol. n. p. 638","; Qulimi, p. r46'-"; cr. also
'Ajjaj, no. 33: 19 (p. 56).
larir. p. 355',
Jafir, p. !106',
farazdaq. vol. n. p. 768"--", wilh rererence 10 alWalid I; Jarir. p. 254", wilh
merence to Yuid II; cr. Qur.. 21: 78r.
A,Mlrr, vol. xxn, p. 124.
E, Tyan. HiJIQ;" f'()IJtuI;sQliOft jwdiciQi" fHJYs d'luQWI, vol. I, Pari. 1938.
p. 134.
'Abd al-Razziq b. Hammim al-S.n'ini. tll-MIqQlllfQf, ed. I;I,R. al-A'mi. Beirut
1970-2, vol. VI, no, I0710(,Abd alMalik and a divorce case): vol. Vllt, nO'. 1S460
(two people submiued a dispule or an unidentified nature to the same caliph),
15489 (a dispult submitted 10 Mu'iwiya): vol. IX, no, 16419 ('Abd ai-Malik and
wills): vol. x, nOI. 18261, 18274r,. I 8298r. (Mu'lwiya, Marwin, 'Abd alMalilt,
'Umar II, Yuid 11 and Hisham in cases or qos.infG).

righted matmal

Caliphallaw

45

a caliph qat!ii bi-dhiilika, adjudicated on the basis of such and such

a rule.17 Either way the Umayyads cast in this role are usually
Mu'awiya, Marwan I. 'Abd ai-Malik and 'Umar II, though Valid
I I and Hisham also appear. II Marwin is however presented as
governor of Medina rather than as caliph (as is 'Umar li on occasion
too), and other caliphs fail to appear altogether. If Even so, the
traditionists clearly agra:d with the poets that adjudication was part
of the caliphal role. In Umayyad times it was part of the role of the

governor too.to
The fact that the caliphs and their agents acled as judges is not
in itself of great significance from the point of view of their role in
the definition of the law. Hindu kings, for example, also acted as
judges for all that they had no role in the formulation of dharma,
the religious law elaborated by the brahmans; kings might or might
not give verdict in accordance with dharma: either way royal orders
had to be obeyed, and neither way did royal orders count as sacred
law.II But caliphal verdicts did count as sacred law, as is clear from
the very fact that they are to be found in l;Iadith. l;Iadith is a record
of authoritative rulings, not of historical ones. Most of the rulings
which f:ladith ascribes to the Umayyads may very well be unhistorical
in the sense that the Umayyads were not in fact its authors.n What
matters is that legal scholars wished to present them as such : at some
point in history Umayyad adjudication was regarded as a source of
authoritative decisions, with the result that Umayyad verdicts were
collected and/or invented. If the Umayyads had not been regarded
as a source of holy law, no verdicts attributed to them would have
been found in l;Iadith at all.
According to l;Iadith, however, it was not only in connection with
adjudication that the Umayyads formulated law. They are also said
17 'Abd al-Razziq. Mlqannaf, yol. YI, nO$. 10633 (Muiwiya. mama,e), l0366f.
(when: Abd aI-Malik n:gn:ts one orhis rulings), 1 1908 ('Abd alMalilr., divorce);
'01. YII. nos. 12301 (Mu'iwiya, divorce), I :wo9('Abd ai-Malik, divorce); yol. Yill.
no. 15665 (Mu'iwiya, lei/abo). a. also P. Crone. 'Jihili and Jewish Law: the
Qasama'. Jt'rI4.laltm Srwit's ill Arabic and Islam 4 (1984). note 171.
18 In addition to the examples given in the Pn:ecdinl notes, see J. Schacht, Tht
OrigillJ af Muhonrmodall ju,ispf'"Udoru, Oxford 1950, pp. 193ft".
19 Ibn l;Ium implies that he has seen traditions involving all the Umayyad caliphs

down to al-Walid II; but the passage is too polcmkal to be taken at face value
(sec the reference given below, note 36).
20 See for example Schacht, Origins, pp. 193, 197, 200, 201: AgnanT, yol. Yill. p. 63;
Yol. XXII, pp. 32f.
21 R. Lingat, Tht CIOS$ical LD... of India, Berkeley, Los Angeles and London 1973.
pp. 224ft".
22 cr. Crone. 'Jiihili and Jewish Law', pp. Issr.

CJPYnghted malenal

God's Caliph

46

to have issued what in Roman tenninology would be known as edicts

or mandates to their governors and judges, laying down the legal
rules which the latter were to apply. The best known example is the
famous letter on fiscal and other legal matters addressed by 'Umar
II to his governors which Gibb misclassified as a rescript," but other
examples survive. Thus Mu'iwiya sent instructions regarding stolen
property to his governor in Medina;" 'Abd ai-Malik wrote instruc
tions, presumably to his governors, concerning slave-girls in whom
defects are found after the sale;15 'Umar I I is depicted as constantly
despatching instructions on this or that aspect of the law to
governors and judges in various places;1I Yazid II wrote to the judge
of Medina (and presumably judges elsewhere too). laying down that
the testimony of stupid people should not be accepted ;" and Hishim
sent instructions to an Egyptian qiiq; on points concerning dowries."
Conversely, governors and judges would write to the caliph for
instruction on difficult legal points. Thus Mul:lammad b. Yiisuf.
governor ofthe Yemen. wrote to 'Abd ai-Malik asking for the correct
procedure to be followed in a case of illicit intercourse.1I AI-l;Iajjij
wrote to him for a ruling on a question of inheritance." When a
difficult question relating to manumission by kiliiba arose in Mecca.
the governor ofMedina (and Mecca)similarly wrote to 'Abd ai-Malik
23 Ibn 'Abel all;lahm, $Tra, pp. 93tr.; d. H. A. R. Gibb, 'The Fiscal Reluipt of
'Umar II', Arablca 2 (19.5.5). In Roman la"" a iUCiipt was the emperor" answer
10 a question addressed to him which toolt the (orm of either tpi.J,ula. a ICp8rate
letter. Of subJtriptio, a reply written at Ihe fool of tbe petition itself (F. Schulz.
HiJtory of Rofl'lOll Ulal $eitfttt, Oxford 1963. p. 1.52). 'Umar lI's lellier was not
an answer to anYlhing. In Roman lenninology it was an edict or mandale (cf.
ibid., pp. 143tr.. I 54).
24 Abd al-Raztiq. MIqIlNlq/. ...01. x, no. 18829.
2.5 WaitT'. Q, vol. ii. p. 267.
26 He insuucu them on the treatment or nonArab converts (al-Balidhuri. Futw,
al-buld4n. p. 426; Ibn 'Abd all;fakam. Futu Mlfr. ed. C. C. Torrey. New Haven
1922. p. ISS; Ibn Sa'd. Tobaqdt. vol. .... p. 384). a theme actually attested in lhe
letter to which we may now refer as 'Umar's edict; on olher fiscal questions (Ibn
Sa'd, Tabaq4f, vol. .... pp. 376. 380). on punishments (Ibid p. 31.5). on qosiimQ
(see the references given in Crone. JihiTi and Jewish Law'. note 167; though the
sources refer to hislc.ittib in IRis contexl. tbe extant edict does not cover itl. and
on marriaJC law in relation to orphans (Kindi. Got,.,.orl. p. 339. wbere the judJC
is named; .Abd al-Rauiq. MlqanNlj, vol. "'i. no. 10370. wbere he il anonymous;
Ibn Abi Shayba, aJ-Mlqalf"q/. ed. A.-Kh. Khin al-Mghini. Hyderabad 1386-.
vol. t.... pp. 140. 160. where he has completely disappeared. a good example or
tbe way in which conlext tends to JCI losl in l;Iadith).
27 Walti'. Qu4dIl. vol. 1, pp. 1.59f.
28 Kindi. Go'tF""01J. p. 348.
29 'AbeI al_Raniq. MIqIlNlq/. ...01. YII. no. 1l38.5.
)0 Walti. QutJdh. vol. t. p. )O!I.
'

CJPVrlghted material

Caliphal law

47

for advice,l! A governor of Ayla wrote to 'UmaT II for rules

concerning runaway slav who steal." and an Egyptian judge wrote
to the same caliph for elucidation on points relating to clientage,
premption and blood-money payable for broken fingers.U A Syrian
judge wrote to Hisham for advice on questions regarding inheritance
and manumission,l4 Judges and sub-governors might also seek
advice from the top-governor of the area, who might solve the
problem or write to the caliph for advice in his tum.1i Ibn !:Iazm even
claims that ' whether the mattcr arose in Medina or elsewhere, neither
governor nor judge would [ever) give judgement without referring it
to the caliph in Syria. and neither would [ever) do more than carry
out the Jatter's instructions'," This is a polemical exaggeration, but
clearly just an exaggeration, not an invention.
Even private persons would submit petitions concerning legal
questions. According to early l;Iadith, a man went to 'Abd ai-Malik
to ask him about various things which he told me about. 'Abd aI-Malik
showed the petition (kiliib) to Qabi$8 [b. Dhu'ayb al-Khuza'i, his
secretary]. It said, "[what does one do to] a slave who slanders a free
man?", Qabi$8 said, "he is given eighty lashes.'l Similarly. a
certain Nifi' b, 'Alqama is said to have written to 'Abd ai-Malik
asking him about the pennissibility of reVOking wills in which
manumissions have been made," and there are also examples
involving 'Umar lI,n (It is the caliphal replies to such petitions from
governors and laymen which are rescripts in Roman tenninology.)
According to Ibn I:fazm. the Malikis were wrong to take pride in
their much-vaunted 'Medinese practice': given that all disputes were
referred to the caliph in the Umayyad period, it consisted of nothing
31 Milik b. AnlS. al-Mu"",,,!a". Cairo n.d., vol. II, p. 146: compare 'Abd al-Rauiq,
MU$Qllruif, vol. VtII. no. 15659, where 'Abd aI-Malik just 'writes' this rule in
31
3)
14

)5

)6

)7
)8

)9

peril.
'Abd alRazUq, Mu.rGlllUJ/, vol. x, no. 18984.
Kindi, GawrntHf. pp. )))r.
Waki', Qu46/r, vol. III, p. 205.
cr. w.ki', QIM$iUr, voL 11, p. 21. For the total dqxnden<%of qUt/U in the Umayyad
period on tbe loverno" who appointed them. sec ibid., vol. I. p. 141.
Ibn }j.allTl, (l1-ll}IcdmfT lqiil a/iim. cd. A. M. Shilr.ir. Cairo 1345-48, vol. IV,
p. 218; fi"t cited by R. Brunschvig. 'Poltmiques medievalcs autour du rile de
Milik', al-Atldafla I S (1950), p. 400.
'Abd al-Razziq, Mu.rCIM(lf, vol. VII, no. 13787.
'Abd al_Raniq, Mu.rQlUla/, vol. IX, no. 16384. Thepenon in question was perhaps
a Meccan scholar (cf. Kha.rrra b. Khayyil. Xi/db aJ-rabaqill, cd. A. O. al-'Umari,
Baghdad 1967, p. 280).
Ibn Abi Shayba, MtqCIMa/, vol. IV, p. 7S (a man married a woman and
consummated tbe marriage, whereupon be round a dercct in her: 50 he wrote to
'Umat II rOt advice).

CJPYnghted malenal

48

God's Caliph

but the decisions of'Abd ai-Malik. al-WaTid I, Sulayman. Vazid II,

Hishiim and even al-WaTid II, plus a little from 'Umar II whose reign
was brief. as everyone could ascertain for himself from the f:ladith
collections." Nine hundred years later Schacht unwittingly followed
Ibn l;Iazm's advice and arrived at the same conclusion: Umayyad
legal practice was the starting point of Islamic law as it exists today."
Unlike Ibn f:lazm. Schacht had his doubts about the authenticity of
the decisions ascribed to the Umayyads, but this is of no importance
here : what matters here is that early scholars automatically assumed
law in the Umayyad period to have been caliphal law.
Caliphal law is not a notion familiar to the classical lawyers. In their
opinion the first four caliphs were qualified to issue rulings on law
because they were Companions, while 'Umar II was qualified to do
so because he was an exceptionally pious caliph who cultivated
Prophetic f:ladith, but no legal competence was vested in the caliphal
office itself: in so far as caliphal rulings had any authority, they owed
it to the same tradition from the Prophet which validated the rulings
oflhe lawyers themselves. One is thus not surprised to find that there
are traditions in which the Umayyad caliphs are described as drawing
their opinions from the 'ulamii'. Far from being consulted by
governors and judges. we are told, it was the caliphs who would write
off for legal advice from judges and other legal scholars. Marwin,
for example, wrote to Zayd b. Thabit for his opinion on a certain
problem and, baving obtained it, duly put it into effect.42 'Abd
aI-Malik wrote to the qii4fof J:fim$ asking him what the punishment
for a homosexual should be.'- AI-WaTid I wrote to al-l;Iaiiaj asking
him to consult the local 'ulamii', and !II' forth." Traditions in which
caliphal rulings are validated with relerence to precedents set by the
'uJamii' or by the Prophet himself are fairly common,n Indeed, there
are even some in which Marwin I and 'Abd ai-Malik are cast as
40 Above, note 28.
41 Schacht. OrigiN, pp. 190ff.
42 'Abd .1R.zziq, M,qolUlaf, vol. VI. no. 10866; Ibn Abi Sh.yba, M,qannaj. vol.
IV. p. 234.
4) W.ki', Qut/dll, vol. Ill, p. 210.
44 'Abd .1.Razziq, MII.f(JfJIIQf. vol. VII. no. 12325. Note al50 the tT.dition in whkh
cue is brought to Marwin. lhe governor orMedin bul in whkh il i5 1bn 'Abbas
who enunci.tes lhe MIle for whkh the tradilian i5 cited; in the !itCOnd version
Marwin h.5 dropped out .ltogether (ibid.. vol. VI. n05. 10568f.).
-'5 'Abd .J.Razdq. M.qunnllj. vol. VI. no. 1(63). cr. n05. 10628. 10632: no. 1 1908,
cr. no. 1 1907: Ibn Hisham. SIra, vol. I. p. 224.

C;.pvrlghted material

Caliphal law

49

Jaqfhs, legal scholars, and/or as tradilionists in their own right.U But

ultimately the fate of Umayyad rulings (other than those of 'Umar
II) was to be rejected rather than retained on a Prophetic ticket. The
l:Iijizis retained them longer than anyone else, and it is largely to
them and their Egyptian pupils that we owe the traditions in which
the Umayyads appear as formulators of law,u though there is also
some Syrian, Basran and even Kufan material.4I In classical law no
caliphs other than the first four and 'Umar II play any role at aiL
It is clear. however. that the classical point of view is the outcome
of a reinterpretation. Originally all caliphs fonnulated law in their
capacity as caliphs. as the Umayyads themselves explained. and it is
also as caliphs that they are usually invoked in early l;Iadith. Caliphs
of God or otherwise, the Umayyads are here seen as authorised to
make religious law on a par with the ROshidiin. Naturally, this point
was beyond Ibn l:Iazm. who adduced his discovery that Me(linese
practice was based on caliphal decisions as a crushing argument
against its validity: what are the decisions of mere caliphs against
those of the scholan who are the true legatees of the Prophet? More
surprisingly. it was also beyond Tyan and Schacht, both of
whom concluded from their findings that law in Islam must once have
beenconceived as secular: howelsecould it have been made and dispen
sed by caliphs?l' Presumably Tyan would have changed his mind if
46 Thus Marwin I and 'Abd alMalik both appear as traditionists in Ibn Sad.
Tabaq4f. vol. v. pp. 43. 224. 226. whee"( we are told that Marwin would consult
the Companions and act in accordance with their apalllent. while 'Abd al-Malilr.
would sit with thefwqQh4' and 'ultlM4' of Medina and remember what they had
Mid. Both 5imilarly appear in Ibn i;lajar, Tahdhrb al-/ahdhrb. Hyderabad 132S-7.
the rormer in vol. x, pp. 91f., the latter in vol. VI, pp. 422f; accordinlto Ibn !:fajar
and al-FaMwl, KI/4b af-mdri/a t/ta'Ila',rkh, ed. A. Q. al-'Umari. BaJhdad
1974-6. vol. I. p. 563, 'Abd al-Malilr. was reclr.oned amonl the (our fuquJUf of
Medina; and when somebody ulr.ed Ibn 'Umar who should be uked (or lepl
opinions when the old men ofQuraysh had died. he lIid that Marwin had a .on
who wa5afaqIlt : ' aslr. him'. Bolh Mu'iwiyaand Marwin lransmil lraditions from
the Prophet in 'Abd alRazziq. MU.JtlIINJ/. vol. I , no. 4 1 1 ; vol. IX. no. 17087; vol.
X, no. 18958.
47 It is because so much of this material is of Mcdinesc origin that Ibn l;Iazm could
usc it to undermine the concept of Mtdwu practice. But 'Abd al.Razziq owed
over a quarter of his traditions on Umayyad rulinls to Inc Meccan Ibn Jurayj,
who had them nol only from Medinesc. but also from Meccan and occasionally
other aUlhorit;es (e.J. vol. VI, nos. 10568, 10633; vol. VIII, no. 1S489). The
Elyptian material (preserved in al-Kindi and Ibn 'Abd al-i;lalr.am) relalcs almost
exclusively to 'Umar II.
48 cr. 'Abdallbzziq, MNItl/. vol. I. no. 1707(Kufan); vol. vl,no. 1 1908(5yrian);
vol. VIII. no. 15664 (Basran).
49 Tyan, OrgtulualiOl1 judiclQ;rt, vol. I, pp. IMfT. (early qa44' had no religious

CJPYnghted malenal

SO

God's CaUph

he had reconsidered this conclusion in the light of his later work,

for he proceeded to write a book in which he stressed the religious
character of caliphal authority more strongly than any scholar to
date." As for Schacht, he evidently had a strong sense that there was
such a thing as caliphal law; yet in deference to the 'u/ama' he almost
invariably

downgraded

it

to mere

'administrative practice',
'administrative regulations' and the like,tI thus casting the Umayyads

as Sa'udi kings who can only make nifiims. But law in Islam was

always regarded as God-given," and it is precisely in discussions of

God-given law that the Umayyads are invoked in early l:Iadith. What
early I:fadith reflects, in olher words, is a stage at which God-given
law was fonnulated by God-given caliphs. This is clear in a number
of ways.
First, there is no distinction in early l:Iadith between caliphs who
could fonnulate legal rules for the extrinsic reason that they were also
Companions or exceptionally pious and later ones who had no right
to interfere with the contents of the law at all. ' ( have lived under
'Umar, 'Uthmin and the later caliphs', a Medinese successor says,
character and only acquired it under Penian influence, especially under tbe
'Abbiskil); Schacht, {""odwtiOlf, p. 17: ''"'11M in iu Islamic context oriainally
had a political rather than lepl connotation; it melted to tbe policy and
administration of the caliph '.
50 ViL the Co/i/o' to which we Ire so putly indebted. But he did not reconsider
(cr. E. 1yan. His'olrt at rcwronisotlOfl judiciDiru n poyu J'lsu""o, Leiden 1960,
pp. 1 1 7f.).
'I He actually speab orUmayyad IeJislation in J. Schacht, 'o'Mio:ismc. tradition
llisme et Inkylote dins II loi reliJieute de l'lslam' in R. BrunJChvi, and G. E.
von GrunelMum (cds.), Cltwkismll t' dtclilt nJtllftldM.J rltutDirt atrIJI_, Paris
19n. p. 142. EI_here, too, we are told that ' tbe caliphJ acted to a lfCllt e.lllent
al the IlwJiven of the community' (Schacht. {"froM,IOft, p. "). But we an:
immediately assured that the UlJUlyyads or course lacked the religiO\lJ luthority
ofthe Prophet Ind thlt their lepl lttivitiet were men: 'administrative Jeaislltion '

(Ibid.).
'2 If the IeJislation of the Qur'in is not Ilw, whit is7 Schacht dcuibes it

IS

an
' essentilily ethical Ind only incidentally lepl body of mams' (On,Uu, pp.
224r.), Ind Wansbrau&h I"m (J. Wansbrau&h, Qwtlllic SUMMI, (hforcl 19n,
p. 17-4). But quite lpan (rom the fact that it does not conti,t of muim. It III,
mSlicll lslamic law could similarly be dex,ibed II C:SItntiaUy ethical Ind only
inddmtally lepl: it all depends on what one unckntands by 'law'. Clearly, law
u defined by the Muslims ....... alwlYS reprded II God-Jiven. One can of COUnt
question the attribution of the Qur'in to MubamrMd; but the fact that
Mu1;lammad mlde law was known already to Sc:beos (Sc:beos (anrib.), HIJtoin
d'Hlracilus, u. F. Mlcler. Pari, 1904, p. 9': he brought the Ishmaelites toaether
under one law Ind prohibited carrion, wine Ind fomkation). Equally, every
trldition attributed 10 him could be dismiued as spurious: but the Constitution
of Medina still vouehsafeJ the fltt thlt he Icted II Idjudicator with divine
luthority (Ibn Hishim. Sfra. vol. p. 504).

C;.pvrlghted malarial

Caliphal law
'and they only beat a slave forty times for

5J

qadhf'.n This Medinese

is using the same idiom as Valid b. al-Muhallab, who spoke of

" Umar, 'Uthmin and later caliphs of God '," and what he is saying
is that since no caliph had ever beaten a slave more than forty times
for this particular crime, doing SO would be contrary to Islamic law.
The first caliphs have already acquired special sanctity in both his
and Yazid b. al-Muhallab's statements, but they are not contrasted
with the Umayyads. What the Umayyads do is here seen as a
continuation of patriarchal practice rather than as a deviation
therefrom, precisely as it is in the work ofa scholar as late as al-Awza'i

ry, too, the first caliphs have acquired

(d. 714).n In Marwiinid poet

special sanctity without thereby undermining the validity of the acts

of the Umayyads : Sulaymiin acted in accordance with the sunna of
the fiiriiq, sc. 'Umar I, and modelled himself on 'Uthmin ;" 'Umar

sira resembled that of his namesake;" Hisham 'brought the

.runna of the two 'Umars';" and the Umayyads in general followed
the Junna of the rasiil." In poetry all the caliphs are a'immat al-hudd,
mahdiyyun and rashidiin, and this is also the impression conveyed by
II's

early l;Iadith. Unlike the court poets, the scholars soon ceased to
accept this as true of conternpory caliphs: accepting the rulings of
'Abd ai-Malik did not necessarily imply acceptance of Hisham as a
source of law; it certainly did not imply acceptance of al-Man$ur as
one.to And in due course the scholars ceased to invoke caliphs
altogether, except for the first fourtl and 'Umar II. But there is no
simple way of explaining how the Umayyad caliphs came ever to be
invoked unless we accept that legal authority once resided in the
caliphal office itself.
Secondly, it is as specialists in caliphal law, not as bearers of a
Prophetic tradition of their own, that the scholars appear ih a number
of these traditions. Thus when Mu'awiya writes to Zayd b. Thibit
for advice, Zayd replies by adducing the decisions of' the two caliphs
before you', i.e. 'Umar and 'Uthmiin.n 'Is there a binding pm::edent
.53 'Abdal-Razziq, MtI.$OIIIIQ/, vol. VII. no. 1379J(adraA:tu'UMar,,Q'U,hmdllM"Q-maII
S4 Above, chapler 2, nOle Il.
bd'dtJlrum (sic) mill aJ-IcfaflJ'
).
56 Farudaq, vol. n, p. 6n.
.5.5 Sehach!, OriKiIu, pp. 70ft".
.57 Jarir, p. .5 1 1 ' .
58 Faramaq, vol. II, p . 839, ull.
59 Farazdaq, vol. I, p. 3JOl.
60 Cf. below, chapler.5. p. 91.
61 Or more precisely lhe fint three aner AbU Baler. cr. below, appendilr. I, p. 112.
62 'Abd a1-Raniq, MtI.$OIIMf, vol. x, no. 19062; but note how the version cited by
Milik. MIIM'Q(fQ', vol. I. p. 333, downandes calipbalauthority: Zayd wrote back
saying 'God knows best! This is a problem on which only _rd', thai is IchNfaflJ',
have given verdicts; I have lived under the two caliphs before you. and they gave
. .

him (sc. the grandfather) hair in the presence of a brother. a third in the presence

CJPYnghted malenal

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God's Caliph

(sunnamMiya)on this?', 'Umar II asksof Sa''id b. al-Musayyab. who

replies that 'Uthmin had once adjudicated in a dispute of this kind.1I
Similarly, when 'Abd ai-Malik is confronted with a problem relating
to kildba, Ma'bad al-Juhan'i informs him that 'Umar and Mu'awiya
had adopted different rules on this point, Mu'awiya's being the
better.1t In all three traditions SllIn
I a is assumed to be caliphal, not
Prophetic precedent, and it is as mcmorisers of such precedents that
the scholars are taken into account. But the transition to the classical
pattern is well illustrated in the tradition in which a scholar refuses
to implement caliphal law on the ground that the Prophet had ruled
something else.II
Thirdly, it is clear that the caliphs were free to make and unmake
$unna as they wished. 'We do not know of anyone who adjudicated
on the basis ofthi! rule before 'Abd ai-Malik', a transmitter remarks
without in any way wishing to depreciate the validity of the rule in
question;H in other words, it was valid because a caliph had made
it, not because it went back to the Prophet or a companion. 'Abd
ai-Malik's rule continued to be applied by his successors, we are told,
but when 'Umar

II

became caliph ' we feared that he would revoke

it'." As it happens, he did not, but he clearly had the right. Even
of a caliph as late as al-Mahd'i we are told by way of compliment
(in a non-legal work) that ' he made sunan not made by any caliph
before him'." Once again the fonnulation of law appears as a
prerogative of the head of state, in accordance with the claims of the
Umayyads themselves.

63

64
65

of two . . . '. And nOle how caliphal .uthorilY is fu"her eroded .1 p. 334. wheff,
byd .ppe.rl .. .n .uthority in his own n&hl r.ther Ih.n mere tr.nsmitter of
ealiphal Wlto'$: 'Milik said th.t he h.d he.rd from Sul'ymin b. V.sir th.t 'Umar
b. 1Kh,"ib, 'Uthmin b. 'Atfin .nd Zayd b. Thibil ,waned third 10 the
..ee of brOlbers. '
c
SC!
anndf.ther in the p,
'Abd .1R.nlq, MtIIIQf.
II vol. x, no. 18245 (for the tr.nsl.tion ofsrmna m&ji),o,
tee M. M. Bravmlnn, TM Spiritual Batk,r(JUlld of EDrfy /Jfam, Le;den 1972, pp.
1 39ft'" esp. p.141), In the 10nl.nd cle.rly I.te tradition ciled ibid., vol. VII, no.
12325, .,.heff, IIw.rld I instrucu .,.I;l.jjij 10 .sk .round lboul a certain problem,
it is limillrly rulin, by 'Uthmin Ihlt the Khol.r consulted comes up wilh,
'Abd .1Razziq. MtIII,II4/ vol. Viti. no. 15664.
'Abd .1.Rlzziq, MQlfnaf, vo\. x, no. 18829: Mu'iwiy. sent instructions
rqardinl Itolen aoodl to his governor of Medina (M.rwin), who paned them
on 10 lhe ,ubJovemor ofthe Vamim. (Uu)'d b. Zuhayr alAnpri), who refused
to apply them, invokinlthe prophet. Abu B.kr, 'Um.r .nd 'Ulhmin. Compare
Schacht, Orill,.", pp. 55, 15S, 208.
'Abd alRazziq, MllftJNlof, vol. IX, no. 16419.

66
61 Ibid.
68 MU'.rrij .l-Sadiisi, Klt4b fmiflftQS(lb QII1Q)'Sh,ed. S. '.Munajjid,Cairo 1960,
p. 12.

C:lPYnghted malenal

CaJiphallaw

53

Finally, it should be noted that the anti-caliph Ibn al-Zubayr also

appears as a legal authority in early l;Iadith, though on a far smaller
scale than the Umayyads;" his aq4iya are referred to elsewhere tOO.70
Whoever was accepted as caliph was thus taken by his followers to
be a source of law regardless of whether he was an Umayyad or other
Qurashi, a companion or a kinsman of the Prophet.
We should like to stress that the Umayyads concerned themselves
with all asts ofthe Shan-'a, not merely with the law of war, fiscality
and other public matters as Schacht believed to be the case." There
is no sense in early l;Iadith that the Umayyads should be invoked
as authorities on public rather than private law; on the contrary, they
regularly lay down rules regarding marriage, succession, manumission
and the like. It is only when it comes to ritual law that they practically
vanish from the material (with the exception of 'Umar II). But it
seems unlikely that ' the imam of those who pray' should have left
ritual law alone. There are in fact some traditions in which Mu'iwiya
is invoked as an authority on prayera and fasting,a and there are
several on 'Abd ai-Malik's manner ofpcrforming the pilgrimage and
prayer;74 conversely, there are also traditions in which caliphs afe
instructed Of corrected in matters of ritual by

'u/amo'.U Besides, the

non-legal literature condemns the Umayyads for having changed the

prayer (not to mention the qibJa), or in other words fOf having laid
down a fonn of prayer which their subjects disliked. a The almost
69 See for example 'Abd al_Rnziq, MIqQllNif. Yol. IX. nos. 16245-6.
10 When 'Abd ai-Malik.'. ,ovemor of Medin. asked whether Ibn al-Zubayr's
verdiculhould be annulled, 'Abd ai-Malik replied thlt they should not on the
Jfound that hedid not resent Jbn al-Zublyr'saqtJi)"o, but rather his bid for power
and that the I!Inulment of aqfiyo i. hlrd to beat (Wlki', QwJdh, Yol. I, p. 130;
d. also vol. II. p. 404, where Ibn al-Zubayr writes to 'Abdlnih b. 'Utba, tellin!
him how to adjudicate, and p. 321, where he objects to I verdict by Shurayb who
nonetheless refuses to chan,.: it).
71 Schlcht, OrigiJu, p. 198 ('Abd II_Ruziq's MQIINJ/wl$ not Iyailable when he
wrote).
72 'Abd II-Rau.iq, MQWla/. vol. II, no. 3687.
73 'Abd II_Rlniq. MlI.ftllUla/. vol. IY, no. 78SO; contrast no. 7834, where he owes
his dictum to the Prophet.
7.. Ibn Sa'd, Tabaq4t, vol. Y, pp. 229f., 2321". Note liso the Kufan tradition in whK:h
Marwin is invoked as In authority c:onccminl the sanctity of mosques ('Abd
al.Rauiq, MIqQIINJ/, yol. I, no. 1107); he also appeln IS In luthority on ritual
law ibid., Yol. IY, no. 83SB, but as the editorial note uplains. al-BlyhaqTs venion
presents Jbn 'Abbis as the luthority rather thin, I. here, simply the trlnsmitter
ofMlrwin's view.
7S 'Abd alRattiq, MlqtJ1lNJ/, Yolo II, nos. 261!, 2691. Note also the tn-dition. Ibid.,
Yol. IY. no. 8664, in which Mlrwin's role is limited to that of I5kin! a Khollr',
opinion on I question of dietary Ilw,
76 l1-Jibi ' Risila fi 'I-nibitl' in his RIJ.J4'il, Yol. II, p. 16.

CJPYrighted malarial

54

God's Caliph

total absence of Umayyad caliphs from early I;fadith on ritual law

is thus likely to mean that it was in this field that their legal
competencc was first rejected.
What then wert the sources of caJiphal law?H According to poetry,

kifiib, sunna and ra'y. The book was the Qur'an, be it in

its present form or otherwise;" but sunna was not the sunna of the
Prophet, t alone something documented in I;fadith, and ra'y was
they

wert

not the acumen of ordinary legal scholars.

As for sunna, it was good practice in general and that of prophets
and caliphs in particular. Among the prophets David and Solomon
have pride of place. ' David is justicc, so judge by his surma '(fa-'kum
bi-sunnafih,). Nibighat B. Shaybin told 'Abd ai-Malik ;1' 'you two
have become among us like David and Solomon, following a sunna
falii sunnat'") by which everyone who follows it is guided " al-Faraz
daq told Ayyub and his father, the caliph Sulaymin." But the
Umayyads followed the SWlna of the Prophet too, according to the
same poet.'1 Among the caliphs, 'Umar and 'Uthmiin arc prominent,
as seen already," but so arc later rulers. 'The family of Marwin acted
sincerely towards God; they are the best. so act in accordance with
their sUMa'. Nibighat B. Shayban told 'Abd ai-Malik;" A'shi of B.
Rabi'a told him much the same." 'Abd aI-Malik was a caliph whose
swtna should be imitated, according to Ibn Qays al-Ruqayyit'u
and the Umayyads in general had left behind 'ordinances

(fara'if/)

and a sunna worthy of recollection' according to al-Farazdaq," who

77 We are concerned with the (ormal rather than the substantive SOUft'e$ henl. The
qlion of the elUent to which they borrowed from their nonMu51im sub,iects
is disc"".d by P. Crone, }tQlI'O'I, P'OOiffdaJ tmd IJlam/c l.,Q""', forthcomina.
78 The Commander ofthe Faithful is defined as someone who 'Ipplies the lJoddand
followl the book ' in I poem add rnsed to 11l;Iajjij (Jlrir, p. 17, penult.), Ind
al.ljajjij himself is said 10 be q4ft- bi'l.Jcllab (ArMtrr, vol. XXII, p. ))2). Jllrir
idenlilies the book as the Qur'in in the line ' were it not for the caliph Ind the
Qur'in he recites . . . ' (Jlrir, p. 3505'), and he also men to the ract that God has
revealed l{arrrJD to the traveller and the poor in it (p. 105'1). For other references
to the book in hi, dr""., ICC pp. 256', <47<4'. For views on the shape of the Qur'in
aboul Ihil time, ICC Wansbrou,h, QIII'4IIk S,IMIW,: Crone and Cook, HQlar/sm,
pp. 17r.
79 Nibiahat B, Shaybin, p. 108'. As noted in the introduction, p. z. the vtTSion given
in A,"""T, vol, VII, p. 1081, has srralihi for IWIMlihi,
81 Farazdaq, vol. I, p. ))()I.
80 Farazdaq, vol. t, p. )081.
8) Nibi,h.t 8, Shlybin, p, lOl',
82 cr. above, p, .51.
8<4 al8alidhuli, AlUab aJruh,4f, vol. Xl (AffOllytlk' arabiKlw ChrOlliA:), ed, W. Ahl
wlrdt, Greifswald IU), pp. 24Of.
805 KMln/a J'llqItuJ4 bi'lW/Mlilri (Ibn Qays alRuqayyil, no. 2: 17).
86 Farazdaq, vol. I, p. ))01.

righted matmal

Caliphal law
also hoped that Sulayman would 'restore to us the

sunan

.5.5
of the

caliphs '.11
It is clear from these passages that sunno was not envisaged as a
set ofconcrete rules, but rather as a general example, an llSwa lJasano
such as that set by the Prophet according to the Qur'an." When the
Umayyads are said to follow the SllIlnO of David, the Prophet, the
Fariiq or later caliphs, the message is that they acted in the spirit of
these people, not that they knew ofactual rulings from them, let alone
rulings transmitted from them in l;Iadith.n This is not to deny that
in practice the Umayyads paid close attention to the verdicts of their
predecessors. Precedent tends to playa major role in the dispensation
of law regardless of whether it is formally binding or not, even under
modem conditions; and like most members ofpre-industrial societies
the Muslims took a conservative view of law. Thus a poet compli
mented 'Abd ai-Malik on not having reversed any of his predecessors'
verdicts, having chosen rather to imitate their action;" and in the
line by al-Faramaq just quoted, legal reform is characteristically
envisaged as legal restoration. But the concept of sWlna was not in
itself an obstacle to legal innovation. Thus we are told that 'Umar
Ii's sira resembled that of 'Umar I, 'who instituted ordinances and
whom the nations took as their example', the implication being that
'Vmar II also instituted laws." As has been seen, caliphal sunna
appears as something capable of change in early l;Iadith too.
87 Farazdaq, vol. I, p. 329'.
88 Qur. 33:21 (/ kdnQ Ialuu,,- fT rasiU1 'IIMI lUWal--l}asa1Ia); cr. Z. 1. Ansari,
. Islamic Juristic TenninololY before Sift'i: a Semantic Analysis with Spedal
Reference to Kufa', Arob/eQ 19 (1972), p. 262.
89 This is obvious when they are pjd to hav.: followed the filMQ of remote flJUm
such a5 David and Solomon, but .noma is allO translatable IS FI1CT'II example
...
ient it referred 10. Thus A'shi ofB. Rlbi'l encouraaed
ev.:o when concrete pw

'AM IIMalik to desisna1e his son alWarld U sUClCeSlOr at the e,;pense of hit
brother 'Abd al-'Azj'z, sayin& that a son hu the best claim to the mulk ofbis father
and that 'Abet II-Malik had himselfinberited his power from 'Uthmin, Ibn l;Iarb
and Marwin:fa-'uh ljaMrtl"- wQ_'mil bi_Nllltil!inI
lQ
(above, note 84): yet, thouah
sUClCeSsion had dynastic since 'Uthmin, it had not always been from rlther
to SOIl. Similarly Mlrwin thouaht that Mu'iwiyl'. desipation of Yuid as his
heir WIS in accordance: with the '"'"110 Wiya mahdiyya of Abu Dab (who had
designated 'Umar u his succesr),
so
thouah the Medinese did not share that view
on the ground that Abu Dab had not desisnatcd I member of his own family
90 A,Mnr, vol. IV, p. 221.
("Iqd, vol. IV, p. 371).
91 Ashbailla mill 'Umar aI-Fariq SrrQttVrv _ 'l-/arlJ'U/ M'O.',_, bill; I_m
(Janr, p. S i l l). Note also the ftuidity of the concept of JIUIIIO in the claims made
by alFlrl.%dlq on behalf of SlIlaymin: he acted in acrordance with the $IUIIIQ
of the Firiiq, but he .110 modelled himself on 'Uthmin. and he was upected to
restore the SIUUUI of the caliphs or Fihr, the Umayyadt in general havin& lefi
behind them a JIUIIIQ worthy of recollection.
.

'

CJPYnghted malenal

56

God', Caliph

ro'y of which the caliphs were possessed. it was

a superhuman insight (ro'y yafiiqu ro'y al-rijiil), as we are told with
reference to Vazjd II," who is also described as an imam" huda" qad
saddada 'Uiih" ra'yahu," Elsewhere it is a super-human understand
ing: as mentioned already, the caliphs were mufahhamun, made to
As regards the

understand by God on a par with Solomon. 'the rightly-guided king'

(al-malik al-mahdi), It is with reference to this notion that a ruling
of Mu'awiya's is deemed better than 'Umar's in an early tradition."
Indeed. al-ijajjaj held 'Abd ai-Malik to be divinely protected against
idle talk and behaviour slips (md.fiim min Harat al-qawl wa-zalal
al-ji'I);" and all the caliphs wert rightly guided (mahdiyyiin), as has
been been seen. In short, the ultimate source of caliphal law was
divine inspiration: being the deputy ofGod on earth. the caliph was
deemed to dispense the guidance of God Himself.
The convergence of the evidence of court poetry and early l:Iadith
is of crucial importance in that it puts paid to the idea that the
Umayyad conception of the caliphal office was peculiar to the
Umayyads themselves. Naturally the caliphs had a special interest
in promoting it, and the poets who broadcast their views were
certainly sycophantic. But the sycophantic element of court poetry
lies in its denial of a discrepancy between ideal and reality, not in
the presentation of the ideal itself. In practice the behaviour of the
Umayyads may at times have been comparable with that of the
Borgia popes; but if a poet flattered the Borgia popes on their power
to bind and loose in heaven and on earth. he would still be making
a correct statement about the attributes of the papal office. whereas
a historian who tried to reconstruct the nature of this office with
reference to the behaviour of its incumbents would go badly astray.
Similarly in the case of the Umayyads. What the poets described was
92 Nibich.t B. Shaybin. p. 68'".
93 Kuthayyir, p. 342". The line is also laid to have been addressed 10 'Abd ai-Malik.
94 Above, note 13. It is al.Faramaq who describes Solomon as a rilhlly luided kinl.
95 'Abd II.Razziq, MIlfDMOf, vol. VIII. no. 1 5664. When asked why he prden

Mu'iwiYI's rule to 'Umlr's, M.bad replies ""11NIll Da'Ud kalW fcllo)' mill
Sulo),mdn/o./Im1/ahimohlJ (var./o-/ahlmahiJ) Sulo),mI". This is clearly corrupt.
The Illusion is to Our'in. 21: 78-9. 'and Dlvid alKi Solomon, when they pve
judaement concerninl the tillaFe . . made Solomon to ulKientand it 1/0/ohhomnulld S"10),I7I611) and unto each we pve jud gement and knowledge '. The
list or MIb.,d's reply must thus have been that althoulh David was better than
Solomon. it WIS Solomon that God made to understand. (ror variants on this
traditkln. see J. van Ess, 'MI'bad al..(juhani', in IJlam...i.JMnsdltlftliC"
Abllandlutllt" Frll: Mtittr. ed. R. Gramlich. Wiesbaden 1974. pp. S5r.)
96 "Iqd, vol. v. p. 25"; reproduced in Sarwlt, Rasd/I. vol. II. p. 259.
"

CJPYnghted matanal

Caliphallaw

57

the generally accepted concept ofthecaliphal office, not one invented

by the Umayyads in the face ofstaunch opposition thereto on the part
of their subjects. as one tends automatically to assume under the
influence of classical notions; on the contrary. even the 'u/ama', the
future rivals of the caliphs. took this concept as their starting point.
Whether the Umayyads themselves were generally accepted is an
altogether different question. Obviously, a great many of their
subjects found them hard to bear, and as an antidote to the flattery
of the poets we offer a translation of part of the famous speech by
AbO. l;Iamza al-Khiriji in which the so-called deputies of God come
across as anything but rightly guided." The Kh.ii.rijites were however
unique in that they rejected not only the Umayyads themselves, but
also the caliphal office which they represented. La ukm" ilia Ii'flah,
as their slogan said: God might have given judgement to David and
Solomon, but he had not given any to his khaff/a." For those who
were to become the Sunni majority. however, the illegitimacy of the
Umayyads did not necessarily invalidate the caliphal ideal. Clearly
it contributed thereto. and the erosion of the calipha! idea! at the
hands of the scholars must have begun in the Umayyad period (one
suspects that al-Walid II's letter had an outmoded ring to it already
at the time of its publication); but it was only under the 'Abb.ii.sids
that the process was completed, leaving the Imimis as the sole
adherents of the original conception. It is to this process of erosion
that we shall devote ourselves in the following chapters.
97 cr. below. appcndiK 3.
98 cr. Qur. 21 :19: Crone and Cook. Hagarism. p. 27.
.

CJPYnghted malenal

5
From caliphal to Prophetic

sunna

Originally. JUIUIa was that established way of doing things which the
Romans called mos majorum, ancestral custom. Classically. it is Mu
ammad's way of doing things as attested in traditions going back:
to him. supplemented by traditions going back: to his Companions
(including such early caliphs as the sect in question recognises),
who are assumed to have perpetuated Mubammad's practice. In its
classical form. the concept of sunno undermines caliphal authority
in three ways. First, the exponents of Prophetic sunna are scholars,
not caliphs: the caliph has no say in its transmission or interpretation
except in so far as he is a scholar himself. Secondly. Prophetic .nmna
takes the fonn of a host of concrete rules: having lost his capacity
to make his own sunno, the caliph cannot simply treat that of the
Prophet as a general example in the spirit of which he should act.
And thirdly. the sunna of the Prophet is resistant to reinterpretation :
the outlook of the scholars is averse to allegory; and since they owe
their authority to knowledge of the Prophet's rules, they are not
qualified to reinterpret or explain away these rules, be it on behalf
of the caliph or others. To this may be added that the rules themselves
are not particularly conducive to caliphal designs, having been made
by scholars in, on the whole, competition with caliphs; but whatever
their contents, their formulation deprives the caliph of any say, qua
caliph, in the definition of Islamic nonns.
According to the scholars. the classical concept of sunna was born
in the lifetime of the Prophet himself: sincere Muslims wished to
model their conduct on that of the Prophet from the start. If this
claim is accepted, the Umayyad concept of the caliphate must have
been an un-Islamic deviation which was never accepted by the
community at large, and this is indeed how it is often presented; but
it should be clear by now that this cannot be correct. Certainly, there
is every reason to believe that MuJ:tammad's followers regarded their

58
CJPYnghted malenal

From ca/ipha/ to Prophetic sunna: the Umayyads

leader as a source of right practice and spoke of his

59

sunna as

something worthy of imitation; but this is by no means to say that

the classical concept of sunna was born in those: days. In pre-Islamic
Arabia every person endowed with a modicum of authority was a
potential source of nonnative practice within his own family, tribe
or wider circle of contacts; why should MuiJammad have been an
exception?l But in classical theory MuiJammad is the only source of
such practice. On the one hand, his precedent overrides all rival ways
of doing things, binds every member of the community and coven
every aspect of life;1 on the other hand, it is properly documented,
so that everyone can study and refer to it, as opposed to loose:ly
equating it with whatever is perceived to be right at any given time:
extra-prophetic authority is thus effectively ruled out. It is this
feature which gives the classical concept its unique strength, and it
is in this sense: that it must be the product of an evolution, as most
Islamicists would now agree.' What we wish to do here is to examine
the major phases of this evolution from the point of view of its effect
on the authority vested in the caliphate.
The Umayyads
In the Umayyad period the expression ' sunna of the Prophet' is most
frequently encountered in the collocation kitiib Alliih wa-sunnat
nabiyyihi. a collocation which in its turn is most frequently encoun
tered in the context of revolt. The sources present every major revolt
I cr. Bravrnann, SpufhMll BDdc,rowui, pp. I 39ft'., where it is penuasily ugued

that .f\ll\a/t were invariablyregarded asloinl baclc to specific personsin pre.lslamic

times thouJh the penons in question were not .Iwa leiiK",bered. For one who
instituted a,JJDllld wilhin his family. see p. 152, where an Um.yy.d nobleman says
Ihal his ralher .ramta lwenly Ihousand dinan for his 'WQmeIlfolk, or in olher woret.
eslablished this as Ihed010CI 10 which they w.:re enlitled by his lWlllO= for another
who hoped to establish aJOO<l exampleJClKraUy. see p. 160, wherethe prelslamic
poet alMulalammK would like 10 leave behind 'a ,JJDllld which will be imitaled'.
2 By way ofcontrut, note the famous story in which the IT.embers of the slniTd ask
'Ali and 'Ulhmin whether they will undertake to follow the Qur'in. Ihe .nuUlA'
of the Prophet and tbe sTr" of lhe finl two taliphs. Whalever the Il1lth of this,
it is clearly in their capacity as polential l1llen Ihat 'Ali and 'Ulhmin are hein&
asked this question: lbe electors wish 10 make sure lhil thinp will continue more
or Iesl as before. 1bere is no sense here that the .hIIfM of the Prophet (or for Ihal
matlCl' Ihat of the sMykMy") i. IOmethin& which every believer undertakes to
obK!rve in eYCT)' aspect ofhis life (ct. Bravmann, Spirillli 8iJck,rovmi, pp. 123ft'.,
where lhe epioode i. discussed and full references Biven).
3 cr. lhe leee
..t d
iscussion by G. H. A. Juynboll, MIIJJim Tradition. CambridJC
1983.

C;.pvrlghted material

60

God's Caliph

from the time of 'Uthmin until the fall of the Umayyads as having
invoked a call to. or an oath of allegiance on, 'the book of God and
the swrna of His Prophet'. On the Shi'ite side the examples include
'Ali at Siffin in 31/6S7f.' al-l;Iusayn in his attempt to gain the
support of Basran ashrdjin 60/680.' the tawwabun in Iraq and the
Jazira in 64/684,' al-Mukhtir in Iraq in the mid-60s/680s.' Zayd b.
'All at Kufa in 121 /738,' and the missionaries of the 'Abbisids in
Khurisin.' On the Khirijite side they include al-Mustawrid b.
'Ullafa in Iraq in 43/663f,10 Suwayd b. Sulaym in the Jazira in
77/696f,1I and 'Abdallah b. Yal;1yi and Abu l;Iamza in the Yemen
and the l;Iijiz in 129-30/746-7f. 1I Among rebels of other colours
we find the provincial opponents of 'Uthmin,l. the followers of
4 T.b., !ler. i, p. 3279.
5 Tlb., seT. ii, p. 240: M'Q-anlad'WJcum lIiJ/dtiJb IIlIiJh WDSUNlQt niJbi),yilli#'mjQiMa
'I'SI#IfI(1 qtMI umllQt M'QobtNl 'lbltFQ qad l4yl)'Qt.
6 Tlb .. Ift'. ii, p. .sos: IImiJ twUl'Qkum iliJ IcItiJb II/llit _.nIMQ1 Nlblyyilll M'Q'I'Q!Db
'"i
qlll.
bi-dW' aItJ ballllll _iliJ jiMd Q/-mll/JUf11I MIIIm
7 Tlb .. Ift'. ii, pp. S69f.: ad'ii/cum (liJ 1e/IIJb AIUJh M'O.R/IIItIQ Nlbi)'}'iJrlf/ ..... QI14 'l'IQIDb
bl-dimd' QIII oJ'Nyt MIII..!' 'QII Q/.q"taja' M'O-J
iMd a/IIIiJ,lIf11I. Similarly pp. 606,
609, 633, 722: Inc:! 8.d . AIlS.. vol. v, pp. 213, 228.
8 Tlb., seT. ii, p. 1687: imt/lnatFWJcum lIiJkftiJIJ AIIM M'Qolll1fltlO tla/JI"},ill;f/"m M'QojihiJd
QI.6Ii1rtlll M'Q'I"f"QII Q/-mlUtQ(j'qf'f1r M'Q'{flJ' Q/-'!riimlll M'O'9QJI'I 1t6dM 'I{Q)"
ba,-rra Qllfilli b(1'JQM-8 MQrodd oJ'm(l;iJJlIrt MQiqfalalmujaMmtu M'Orrapin4-altl
Q/bo)'t - 'Q/d '""" n/lfabo laniJ M'QojahilQ J,aqqan4. a. p. 1700, where he CllIs to
ttic book or God .nc:! the .JUMQ or his Prophet Ind the revival or JUIIQII Inc! the
extinction or innovllions.
9 TIb., ller. ii, p. 1989: ubdyrukum 'QllJ kftab AfUJh 'Q:lQ M'Q-j<J/fQ M'Q'IJIIIMt rrab;y)'iJri
I"m M'Q'I'fiJ 'Q Iff" 44min aliiboyt rtuiJlAlIlJh fl"m
a. pp. 1993 (where the JUtltla
or the Prophet hiS been omitted). 2003: Ak"bar QI-daM'/Q Q/'abb4Ji),fQ M'Q-jTh;
QkhblJr al-"AbMs MQ.M'Oladilrl, ed. 'A.'A. alOuri and A.J. .1Mull.libi, Beirut
1971, pp. 284, 287, 317, 323, 329, 33S, 3-40, 36S.
10 Tlb IleT. ii, p. 40; imwJ rratl'WJcQ lid btab Al/lJh 'Qzza Ma.jal/Q MQ.nwwt Nlblyyill
l
ff'm M'Q'M'Q/lJ)'Ot IIbY Baler Ma'U_ rN/M'{Jn 1111411 'Q/QyllimlJ wlllbarlJ'a min
'Uth""'tI MQ'Aa 1i./tI4tllfhim6fi'ldrtI wQ(arklllimd "ukm alk/tlJb.
1 1 Tlb. ller. ii, p. 984:jQo;_ '11DdIritHJd'U ilaylli kitlJh AIMh M'Qol&WIQt M
j
'l/adilT ttnqQ1MiJ 'a/lJ fllJI'mbtiJ
I
Q/utrIMr bi'/{Qy' MQtaf" oJ"tMJUJ
fI' I4'Qnna
MVI'Iltualluf brt.jtJlHul)')'Q.
11 For'Abdlllih b. Ylbyi II $In'i', see Bal . AIlS. (MS), vol. II, rol. 1 1I7b : nod'iJ illJ
'lIlJh MQlJiJ leltiJbih/ M'QoIWl/lQt /lQbiyy/hl #'m I4'Qomljifnl /JIQII dild i/Q)'Iw1. Q/lJldm
dfmuI6 MaMu rrabiyyund MQ'IKdbo qib/mw M'Q'IQw'iJII im{JnrwuJ
similarly A"ItanT, vol. XXIII, p. 216. which rillhliy hiS i/Q)'lIimd ror ifQ)'Itd). Abu
1;lIml.l' ('111 'NI$ tttJd'iJcum iJiJ leI/db AlliJh M'O'Jllnnat tlQbiY)'illi MIIIqlUm btl
JlfM'I)')'Q M'Q'I'ad}f1 'Ira 'i)')'Q M'O'M'mf al-iJlchmds f1 mQ14'dqnltd 'IIQtT QItIOrQ 'lIiJ1r
bllHl ('/qd, vol. IV, p. 14-'; compare llso Tlb.. Jer. ii, p. 2008: A"Mttl, vol. XXIII,
p. 237). One or Abll I;ilm.u's commlndcn similarly called a Syriln gmeral lo
QIklfdb M'IIIJUtllIO (A"lIdttr. vol. XXIII, p. 24S), Of to QI-SllnnQ MQ'I'QItIlfI MIe/ldb
11I1161r) (Bal.. AIlS. (MS), vol. ii, rol. 19Ob).
13 a. M. Hinds. The Murder or the Cllipb 'Uthmin', Ifftcrnat/onQI Journal oj
MIMlt Elm Stud;tt 3 (1972). p. 453.
.

'

C;lpVrlghted matsnal

From caJiphal lo Prophetic SUMa: Ihe Umayyads

61

Ibn alZubayr in 64/683,I ' Murrif b. alMughira in Iraq and the

Jibal in 77/696f.," Ibn al-Ash'ath in Sistiin and Iraq in the
early eighties/about 700,1' Yazid b. al-Muhallab in Iraq in
101-2/719-20f 11 al-1;Iirith b. Surayj at Balkh in 1 1 61734f. and
later,lI as well as his followers at A mul in 1 1 7/735f.l' and other
separatists in Khuriisan in I 28/145f.10 We do not wish to defend the
authenticity of every single attestation. the very early ones being
particularly suspect, but that it was customary for rebels of the
Umayyad period to make a call to the book of God and the sunna
of the Prophet would be hard to deny; clearly. it was customary for
them to do so whatever their sectarian stance.
What did such a call signify? Given that it was used by rebels of
the most diverse persuasions. it can hardly have signified very much
in concrete terms. This is confinned by the so-called letter of Ibn Ibi<;l
to the caliph 'Abd alMalik, which is more probably a letter by Jibir
b. Zayd to another 'Abd ai-Malik. perhaps a Muhallabid,l1 and
.

AM., vol. iv/b, p. .58; vol. v, p. 188: IHlya'Uhw '016 klftJb AII6h wa-.JJUI/Iaf
NJbiyyihi wll-sTra! aJ-khwla[iJ' al-61J,
i n
l . Earlier, we I told, Ibn al-Zubayr had
called to aJrUfiJ "''fl,hUril
l
(vol. v, p. 188).
1.5 Tab., ser. ii, p. 993: iNt61Uld'Ukwm U6 kif6/) AII411 wa.JWl/laf nabin'ihi ...a-1I6jihiJd
'
man 'QIIida OIl aJlJaqq ...
a'lIa' fhora brt-Jay' "'a'forQ/ca J,ukm aJ-Jci/iJb. Cf. also p.

14 Bal.,

984.
16 Tab., ser. ii, p. 10.58: fubiJyfibta '014 kiftJb Af16h wa-.JU/I/fQ! nabiyyjlf; "'a-khaJ'
a'inunot al(jaI61a "'a-jihdd aJmw,UIrn. cr. also p. 1092.
17 Tab., ser. ii, p. 1398: twbdyfiino 'aJiJ kif6b AII6h "'Q-SWlna/ nob/nih; $I' ..'auld an

18

16 lu/a' aJ-juniid bUlidana Mla-f6 baY4aIQIfU wll-liJ yIIU 'aJa)'/'IIJ ITral aJ-jasiq
a/JfujjiJj. a. abo pp. 1)91, 1)92: and AghlinT, vol. x, p. 43.

Tab., ItT. ii, p. 1.567: [a-da6hwm aJ-l/iJril" il4'ikiltJb wa'/S1WIu u'lbay'a

li'IrUJd. Cf. 1150 pp. 1570, 1571, 1571. 1889f.

19 Tab., ser. ii, p. 1.583.

20 Tab., ser. ii, p. 1931.
2 1 Cf. M. Cook, ENlyMUI/im DotmtJ, Cambridge 1981, pp. 57ff. Cook'sproposition
that the leUer was addrew:d to 'Abd a1Malik b. alMuhallab iV't'S lOme

suppon from the fact Ihil ihe klier, in enumerating the misdeeds of'Uthmin.
mentions thai he pvenled the people ofalSabrayn and 'Umin from selling their
m'ra until lhat or the imAra had been 50Id (Hi
nds Xerax (on which, see Cook,
DotmtJ, p. 4), p. 388; allliawi, KD.1hf aJ-g"wmnuJ a/-jQmi' /iQ/chbiJr alummtJ,
hiriyya MS, la'rikh, no. 346, p. 301; at-Barridi, Ki,lfh a/Juwiihir, Cairo 1302,
p. 160 _ R. Rubinaoci (Ir.), 'II califfo 'Abd alMalik e Iii Ibadili', AMUIi
lklfllli/wia Ulliptrlilario Or!ak di Napol/ NS .5 (19.53). p. 1 12). This might
reasonlbly have been expected to make some impression on a Muhallabid
conscious of his 'Umini origins and connections. II was not however, from
Kinnin that 'Abd ai-Malik wa.s dismiucd in 86 (as conjectumt by Cook, Dma,
p. 63, with ference to Tlb., ser, ii, p. 1 1 82). According 10 Khalifa, Ta'rTkh, p.
410, he had b
ee
.. in charge ofthe Basran '''"rfaunder al-l;Iaijij. a poinl confinned
by al-Farazdaq (d. H. l.ammens i.e chantre des Omiades', Jow11WJl A,iar/que
ser. IX, 4 (1894), p. 172): differently pUI, he had served IS the deputy ofall;llkam
b. Ayyiib. al-l;Iaijij's governor of Basra for most of the time betWttn 7S and 86

CJPYnghted malenal

62

God's Caliph

according to which the call signified that the person who made it was
angry on God's behalf, God having been disobeyed.lI Kilab Alldh
wa-.tUIInal nabjyyihj was thus an oppositional slogan on a par with
al-amr brt-maru! wa'l-nahy 'an al-mrmkar, and what it said was no
more and no less than that the rebel disagreed with governmental
practice, believing himself to have a better idea of what right practice
was.
This explains why it is that the Umayyads and their governors only
made use of the collocation in efforts to make rebels return to the
fold, or in other words in attempts to persuade Ihem that right
practice was to be found with the caliphs after all. Thus, we are told,
al-Mughira b. Shu'ba used to preach to the philo-'Alid J;lujr and his
followers that 'Uthmiin had followed the book of God and the sunna
of His Prophet.1S 'Abd ai-Malik called Ibn al-Ashtar to God (sic)
and the sunna of His Prophet before defeating the Zubayrids.1t
al-J;lajjiij reputedly wrote to the Khiirijite Qatari b. al-Fujii'a that
'you have opposed the book of God and deviated from the sunna
of His Prophet'." 'Umar II instructed his governor of Iraq to call
the ijaruriyya to al-'amal bj-kirab Allah wa-SUMOI nabiyyihi." And
adherents ofthe anti-catipb Ibn al-Zubayf similarly called al-Mukhtir
and his followers to kjriib Alldh wa-SIIIInal rilSUl Alldh before
defeating them.n With the possible exception of'Umar II (to whom
we shall return), the Umayyads did not normally make use of the
collocation, not even in statements designed to present their policies
in the most appealing ofiights.1 Things duly changed, however when

22

(Bal., ..flU., vol. iv/a, p. 59). It WIS undoubtedly rrom this office that he wu
dianiued, ICCOI'dinl to aI-Tahul, in 86. The ract lhat 'Abd alMalilr. held offioc
in the headquarters or the lbi4is in the period 75-86 misht be takm to sugest
lhat the epistle was COJnIXl
I! durin, these yean (rather than in the next period
or Muha'labid asomdancy from 96 to 99).
He who boo:omes anll'Y on God's behalr when He is disobeyed, and is contmt
with God', "" Ind calls 10 Iclt4b AII.!It WQU4 JJ/nISI3I rtDhI)'Yiiti JIVtJ'$IIIUItIl
o/-MW'",iIIi,. bddahN, does not ao to excess. as al8arridrs YCrsion has it (Ja ....t1hir,
p. 164 Rubin.a:i. 'II Qlitfo', p. 1 1 8 ; prbled in al-llkawI. XQ.Jhf, p. 304;
millin, from the HiItds Xmnc, where the venion aiYen i. incomplete).
Tab., K'r. ii. p. Ill.
Tab., ItT. ii. p. 7.).
S.fwat, RQJ4'U. vol. II, p. ,n (citin,al-Muburad, DI-XlIMiI). TIle version Ji
by a'Jlbi (Ibid pp. 18Of.) makes DO rdermc:e to thi. In neither version is the
point picked up in Qllari's rtply .
Tab., ler. ii. p. 1)-47; Ibn Sa'd, TabtJt41. vol. v. p. l.S8; Ibn 'Abd alalr.am. STra,
pp. 83. 90.
Tab., ler. ii. p. 722. cr. also p. 7.2.
We do nol lr.now what Morony hal in mind when he Itlles Ihal in the anennalh
or the second civil war the Umayyads lried to increue their Rliaious authority
by claiminl to rule in ICCOrdance with the Qur'in and $IIIUIIl (Iraq. p. 480).
_

2)
2.
25
26
27
28

From coliphal lo Prophetic .fWUIO: the Umoyyatb

63

an Umayyad rebel acceded to the throne. Like other dissidents, Yarid

III began by calling his followers to the book of God and the sunno
of the Prophet, spelling out by way of concrete infonnation that
succession (al-amr) should be decided by consultation (shura)."
Having done so, he also made use of the collocation in his accession
speech: ' I have rebelled in anger on behalf of God, His Messenger
and His religion, calling to God, to His book. and to the sunna of
His Prophet (,s/) at a time when the wayrnark.s of guidance have been
pulled down and the light of the people of godliness has been
extinguished. 'U He wrote to the people of Iraq promising them that
he would act in accordance with the command of God and the sunno
of His Prophet, following the way of the best of their people in past
times.sl And in his letter of aln/in to aJ.l:lirith b. Surayj he similarly
stated that' we became angry on God's behalf when His lJudUd were
suspended and His servants suffered all sorts of things, when blood
was shed where it was not lawful and property was tak.en without
right; so we wished to act in this community in accordance with the
book of God, exalted and mighty is He, and the sunna of His
Prophet'.11 In short, Yazid III assured his subjects that he had not
rebelled for personal reasons, but rather because God's law had been
violated, something which he now promised to put right."
Plainly, the rebels who called to kitab Allah wa-sunnat nabiyyihi
did not equate SUIUUl with the example of the Prophet as attested in
l;Iadith. Leaving aside the fact that some of them may have been
Qu'inic fundamentalists," they never adduced examples set by the
Prophet which the Umayyads were supposed to have ignored and
which they themselves now promised to observe. Instead, they
29 Tab., ser. ii, p. 1804; 8,1, AIU. (MS), vol.

30

31
32
33

34

II,

rol. 161a.
Tab ser. ii. p. 1834; Bal., AIlS. (MS), vol. II. fol. 169b; 'Iqd, vol. IV, pp. 95r.
Below, appendix 2. p. 128.
Tlb ser. ii. pp. 1861f.
Note Illal Ibn alZubayr also claimed to have rebelled ,Ivujob-- /filM. witll
special referena: 10the Umayyad handlin, ofIlly' (A,Mnr, vol. I, p. 22); and 'Umar
lI soushl to pre-empt Ille ,1rrwiob ohbe Kllirijile SIIawdhab when he wrole, 'it
lias come 10 my allenlion lhal you IIave rebelled ,hlldat,a- lrtiM wlI-li-lllyylhi,
lbi
bUI you IIave no better nshl to do thal lhaD I do' (fab., Ia. ii, p. 1].48).
One would assume Illis 10 be lile calC or lile KllinjileS refetled to above, note
9. Compau 'AbdaUill b. Yai)yi'. call cited lhere with the CI::d of the Sistini
l:Iamza al,Kllriji: rr11/&t4 brtMh raW- -.b(Jlsl4m dJiI _
blMu
f
f!'II
-ilK
"ablJ' wa-bf1'Qur'dn ,...17..
. WII-I)oklllll"" (0. Scarcia, ' to ICambio di !eUere
Ira Hiriin aIRasid e l:Iarnza al-l:Iarili scrondo il "Ta'nOi Sistin "', AMPllikll
htituto Unilltrsitarw OriD/tall! di Ngpoli NS 14 (1964) p. 639). A. Zimmermann
Doles, l:Iamz.l's c.' t Mientifies lhe Qur'in as lhe sole foundation for rilual,
dogma, law and ,ovemmenl (F. W. Zimmermann, 'Koran and Tradition in the
Anli'Qadarile Epi.lle aUribuled 10 'Umar b. 'Abel al'ADz, unpublished paper
presenled al lile colloquium on lhe study of l:Iadilh, Oxrord 1982).
.

\;:lPYnghted malenal

God's Caliph
specified grievances such as the Umayyad manner of distributing
revenues," the stationing of Syrian troops in Iraq," the keeping of
troops too long in the field," maltreatment ofthe Prophet's family, ..
tyranny and the like,' It was by these acts that the Umayyads had
violated God's book and the sunna of his Prophet, or, as the rebels
paraphrased it, suspended the l)udUd and rendered the sunna dead;"
and no attempt whatever was made to prove that the Prophet had
acted otherwise, To the rebels .nuuaa thus meant much the same as
it did to the Umayyads, that is venerable and acceptable practice practice acceptable to Ihm, The Umayyads saw caliphal practice as
identical with that of the Prophet for the simple reason that they
approved of their own acts, while their opponents conversely saw it
as opposed to that of the Prophet for the simple reason that they
disliked Umayyad policies, To say that someone had followed the

sunna of the Prophet was to say that he was a good man, not to
specify what he had done in concrete tenns." Contrariwise, when
people complained that a governor had acted bi-ghayr alsunna, they
simply meant that he had behaved in a fashion unacceptable to
them," In concrete terms, the ' sunna of the Prophet' meant nothing.
There are incidents in the revolts of Yazid b. alMuhallab and
al-I;firith b. Surayj in which this comes across with particular clarity.
Thus a participant in the revolt of Yazid stated that 'we have called
them {sc. the Umayyads] to the book of God and the sunna of His
Prophet Muammad, may God bless him, and they claim that they
cr. above, notes 5. 8-10, 29.
Thul Yuid b. alMuhaUab, above. note 12.
Thus Zlyd b. 'An, lbove, note 5.
cr. above. notes 3-5.
cr. nota 5 (_;alim). 8 (joboriyytl). 12 (Ihe behlviour or al-I;lajjij).
4() Cr. notes 2, .5, 8, 28.
41 Thus AbU BIIk.r had followed the _ of Ihe Prophec, while 'Umar had Kled
35
36
37
38
39

in ICCOrdince with the book. orGod Ind revived the _ orthe Prophet in the
opinMm ohhe Khlrijites (T.b set. ii. p. &83): by contrlll, 'Uthmin and 'An had
innOYlted and lbandoned Qur'ink: I,Mtm (above., nOie 1). Put rulen had
followed the book of God Ind the _ or lhe f"'rq)bet IOCOrdin, to Zayd b.
'An, bullhey had stopped doin, so, Ind it WIJ for Ihis IUson that be wiabed
to revolt (ibid p. 1700). Similarly. I aood prllClK:e such u thai or eledin8 the
best Muslim ruler without refermce to his tribal stltus wu ra'y rmhld /a-qad
M'!h/ bihi tJISUMQ bddG oJ,tufI1 lcoordin, to lhe Khirijites (ibid p. 985). To
their OPPOIKIIts, of course, il WII neither ra', rmhId nor "'1VId. Whatever one
liked could be SUMQ even ifnobody practised it: lIJIIIJM .r-a waJalcimtGNJ dartUIIl
(WIIti" QwtIIJt, Yol. iii, p. 7 1 : cr. also AbU Dhu'ayb in AIMrrr. vol. VI. p. 277-).
42 O. 'Iqd, vol. II, p. &0", with refe,tllot to 11-l;Iaiiij's80vmlonhipohhe l;Iaramayn:
orMITWin in Medina it WIS aimillrly said that he 14,aqqrbi-lWUfa(ibUI. p. 1 10:
Qalquhandi, Suhb, Yol. I, p. 2.59).
.

..

C;.pyrlghted malarial

From caliphal to Prophetic srmna; the Umayyads

65

have accepted it from us', meaning that it would be unwise to initiate

further hostilities; but Yazid replied, 'do you really believe that the
Umayyads will act in accordance with the book ofGod and thenulna
of the Prophet? They have destroyed that (qad qayya'u dhdUka) ever
since they came into existence'.41 It is plain that this interchange was
not about the Umayyad attitude to Qur'an and sunna but rather
about the rebels' chances of having their concrete demands accepted,
Yazid b. alMuhallab's point being that the alleged Umayyad
willingness to negotiate should not be trusted. Similarly, when ".$im
b. 'Umayr, the governor of Khurasan, agreed with all;lirith b.
Surayj to ask Hishim for the book of God and the sunna of the
Prophet and to rebel if the response was negative,U the issue was
not Qur'in and l;IadHh, but rather Hisham's choice of personnel: '(
am only asking for the book of God, exalted and mighty is He. and
conduct in accordance with the sunno, and the employment of people
of merit and excellence', all;lirith later explained to Na$r b.
Sayyir." In the governorship of the latter, al-l;Iirith had some sort
of manifesto read aloud in the streets" and he made it clear that the
governor of Khurisin ought in his view to be chosen by local men,
i.e. by a shuroY Na$r refused to step down,4I but a sIlUro for. the
election of sub--governors did in fact take place. Na$r and al1;Jirith
nominated two men each, instructing them to nominate candidates of
their own ' who would act in accordance with the book of God', and
to draw up such sunan and siyar as the candidates in question should
follow.u To al-l;Iirith and his followers, the book of God and the
sunnaofthe Prophet thu5stood for local control orIocal govemment.1O
To other rebels in other areas, it stood for something else again.
43 Tab.. ser. ii, pp. 1399f.
44 Tab., ser. ii, p. jj71.
4j Tab., ser. ii, p. 1889.
46 Tab., ser. ii, pp. 1918, 1920. It wa. a klrdb UI}')'Q'ojThl stror a/.l/drUh.
47 Tab., ICr. ii, p. 1918. Af-amr ('authority') normilly stands ror the Clliphate in
the C1Opl'e$$ion o/-QIftT shwd (as in the tradition aIrunr If QWQ}'sh, cr. A. Ara:d
Ind A. Erad, 'aI-ftJ4foflTVlbat aI.xlld/a de Calil al-din IISuyiili'. fsroc/ OrinI/O/
Srs 8 (1978), p. 232), but the context here and 1.1 p. 1919 sirongly SUgesll
that 11-l;Iirith had the lovemorship or Khurisin in mind.
.
11-l;Iirith once more ellis for the
48 Tab.. tl:r. ii, p. 1918; compare p. 1931 . ....MT'e
runr to be shiird Ind it is al-KirminT ....ho
.
reruses.
49 Tab., ser. ii, p. 1918. A1l;Iirith's candidates are unidentifilble, but Na$r chose
Muqiti1 b. Suiaymin, the exqete, and Muqiti1 b. I;Ilyyin Ial-Nabali!. the son
of I distinauilhcd /'JIIIMfd ....ho
.
Mod become: I _14 mvtIIfJlJt
J or the exegete.
Compare bdow, appe
..
d
ix 2.p. 127 and DOte 8j the,do, wl
....
!IC YaDd III envill.JCI
,
Ij
",TIr __ '....
,
,,,..
I sltiird as consistin, orfivrhd' aJ"..
so cr. Tab., Kr. ii. p. 158). wMT'e a1l;Iirith's follow<rs at Amul surrender, lUkin,
ror the book or God and the ..-o or the Prophel plus immunity for the towns

CJPYnghted malenal

66

God's Caliph

In short, the collocation of book and .numa stood for justice.

whateverjustice was perceived to be in each particular case. AIl;lirith
b. Surayj paraphrased his demand for the book of God and conduct
in accordance with the SUMa as one for al-q;yiim bj'JadJ wa'lsunna,
telling Na$r that it was now thirteen years since he had leO: Marw

inkii,." ltI.,jawr, 'in protest against tyranny'.'1 'We only fought for
you in search of justice <ra1alT" I'odl)', erstwhile followers of his
explained when they seceded from him, making their own call to the
book and the sunna, 'we are the righteous party (aJ.ji'a ol'jjdilo)
calling to the truth '."

Sunna in the sense of right and just practice

might well be documented with reference to the past. Yazjd b.

al-Muhallab called not only to the book of God and the swrna of
the Prophet, but also to the sunna of the two 'Uman.n A Khirijite
prisoner taken by al-l;Iajjij objected to all;lajjij's execution of
prisoners and defined the sunna on this point by reference to the book
of God and pre-Islamic poetry." The sunna by which Marwin tried
to justify Mu'iwiya's designation of Yazid I as his successor was
the plecedent set by Abu Bah." And a clever poet invoked the
precedent of the prophet him9Clf to 'Umar II, infonning this
notoriously stingy caliph that the Proph1 used to reward the poets
who praised him." But in all these examples the reference is to the
past as generally remembered and approved, not to a special record
of Prophetic (or for that matter other) precedent transmitted with
particular care on account of its particular authority. Whether
pre-Islamic poetry, the Prophet or later figures are invoked, SWIIUJ
refers to all those nonns which a person comes to regard as bindin,
through interaction with his social peen and for which he will only
seek support in the past if the nonns in question are violated, not
to a code absorbed through a study ofpast models to which reference
will constantly be made as a matter of course. It was people's notions

51
52
53

S5

S6

which Md pardcipaled in the reyolt; both ueslS were annled them, wDt.eupon
a relative or Maala b. Hubl)'T'I was appointed JOYemor. An appointment or
this kind wu presumably amon, the thinp the)' had rou&ht ror: oneorthe lelden
orthe revolt wu I _/d or !;Ilyyin II-Nablli, I mawld or Matqala b. Huba)'T1
(Ibid., p. 1.582).
Tab. 1e1'. ii. p. 1890. NOIe also lhe associltion or killJb and .nlll1IO with rlMki
aJmlI.fmim. lbove. note I.
Tab. tier. ii, p. 1931.
Tab" tier. ii. p. 1392.
Iqd. '0'01. ii, p. 1"/". A knowledF or poetry Ind DYy6M DI"(Utm was apparentl)'
Ipprecialed in ,&jrJ, ct. below, note 17.
Above. ChaptCT". nOIe 89.
I,d. '0'01. II, p. 92'; compare A.,lIdrtl, vol. IV, p. 276, where the Prophet is inyoked
to alWlrld !.

C;.pvrlghted material

From caliphal to Prophetic sunna: the Umayyads

67

of propriety and justice which detennined what was sunna, not the
other way round ; and appeals to the sunna, or to the book and sunna.
or to the book on its own, or simply to God," were so many appeals
to these notions, whatever they were at any given time."
It is because the book of God and the sunna of the Prophet stood
for whatever was perceived to be right and proper in any given case
that an oath of allegiance involving this collocation was a conditional
one: allegiance was pledged as long as propriety and justice were
observed. When Muslim b. 'Uqba reconquered Medina for Yazid I,
he executed two Medinese for their detennination to swear allegiance
on the book of God and the sunna of the Prophet, as opposed to on
the understanding that they were slaves whose lives and property
were at the discretion of the caliph.n lbn 'Umar is said to have paid
written allegiance to 'Abd al.Malik on the ,rulma of God (sic) and
the sunna of his Prophet" But alMukhlir, who had called for the
book of God and the sunna of the Prophet in confrontation with the
57 'Abd alMalik called Ibn ai-Ashlar 10 God and lhe SIIII.IIQ of Hi, Prophel, whi<:h
may be a scribal mistake (above, note 2.); but the Azd of Khurisin pve baya
to 'Abd ai-Malik b. Harmala 'aid kitdh Alldlt 'azza wajalla (Tab. ler. ii, p. 1862);
alKinnini protested that he only wanted 'the book ofGod ' when he look Marw
(ibid., p. 1930); and Qat/taba, advancinglPinst the Syriln troops It Iplhin, filled
I mfI,Jl,a/ on I spear Ind called the erltiUY to mif/l1t&l1td 'l-mllfW(ibid., ller. iii.
p. 5). Note also how klt Alldh 'd-.nIMtJt NIbIyyihl in al-Bartidls version of
Jimr', IeUer to I certain 'Abd IIMalik twice fiaum as 1cilifb Alfah/kitdh ,dbbihim
only in Il-Izkawrs rendition (Blrtidi. lawiJhl" l'(t. 165f. ; 11Id.lwi, KtJSltf, p,
lOS),
58 'By wllal book or by what .tWIIItJ do you consider my Jove of them IJe, the
HbhimitesJ disbonourable for me?', as Kumayt rhelorically asked (al-Kumayt,
Dk H4JiMljjdt, ed. and u, J. Horovitz, Leiden 1904, p, 32 _ 27: no. 2: 13),
meaning that there was no reason wily it should be dishonourable at all. , do
not know in whal book ofGod they find this ri:q and 'a(d" . Mu'iwiya is reponed
to have said, meaninllhat the ri&llU which his subjects claimed in respect oflhem
could be ignored (Ibn 'Abd al-I;fakam, Fl4tiilJ M/fr Wl'fNJkItbdnJM, p. 101).
59 Bal., Alii., vol. IV/b, pp. 38r. : d. Tab" ser, ii, p. "20, where the book ofGod and
lhe JMMd of the Prophet are repl...... by _I 'Umar, Compare Ibn I;fazm.
lamltdrat QIISQb d/-'tJrdb, ed, A.S. M. HirVn, Cairo 1962, p. 27. where a Kindi
gives allesiance to Mu'iwiya 'aJ4 lr.itlb Alldh 'dlId _jolla WtJ-.JIINIt,aniI
II
A/1M:
Mu'iwiya prolested that /4 JMrr- laU. 10 which the KinO. replied .._ta /4

bayo" Idlco.
60 'Iqd, vol.. iv, p. 400 ; al-Bukhiri, lA,nwllrk! t,aditioruntaltotMt01ltJ.ed. L. Kreht

and T. W. JuynboIJ, Ldden 1862-1908, vol. \'1, p. 402; Qalqashandi, SlIbfl. vol.
'II, p, -480 (bas the more traditional lei/db AIIM __I nobiyyih.); Ibn 'AUkir.
TaAdhfb, vol. V" p. S2 (menlions the written fonn); Thomson, 'Early Sects', p,
91 (miues the eJlotptional nature of this oath). For another oath on the J'\UIIItJ
ralhertban the book of God, ICC Ibn 'Alikir. TaJulAlb, vol, 'I, p. "2.: after the
death of' Ali, Ziyicl tecured from Mu'iwiy. an .liik for hisalelf and for I;fujr
b. 'Ao. and his companions. at which lhey swore aUesianee ' on the S\QV\tJ of God.
the '"""'" of His meuenscr, and action in obedienc:z to Him',

CJPYnghted malenal

68

God'j Caliph

Umayyads, contemptuously refused a compact with Ibn alZubayr

on the basis of book and junna: 'you can go and make a compact
with my worst slaveboy on that', he said, spelling out an alternative
bay'a designed to give him a far greater say in Ibn alZubayr's
affairs:" the ' runofthemiU compact' (al-mubaya'a al-'amma) did
not suffice in this case." Conversely, an undertaking to rule in
accordance with the book and the junna amounted to a renunciation
of absolutism. Having explained, in his accession speech. that he had
rebelled in anger on God's behalf. calling to the book of God and
the .run,", of the Prophet, Yazid III proceeded to state that he would
engage in no building works, squander no money on wives and
children, transfer no money from one province to another except in
a limited way and with good reason, keep no troops in the field too
long, destroy nobody's income by overtaxing dhimmis and thus
forcing them to flee, and allow no mighty to oppress the weak ; on
the contrary, he would pay everybody's stipends and maintenance
when they were due and treat remote provincials on a par with
subje<:ts close at hand ; and he would step down if he acted otherwise
(provided that he had been given the opportunity to repent) or if a
more suitable candidate for the job could be found." Observing the

sunna of the Prophet amounted to

following 'the way of your best people in the past' (saM man salafa
min khiyiirikum), as he said in his letter to the people of Iraq,U or
command of God and the

in other words to pay attention to what his subjects took' to be right

practice," Like al-l;Iirith b. Surayj. he held that alamr shura. or in
other words that the caliphate should be elective." To everyone
except the followers of the ahl af-bayt, the book of God and the srmna
of the Prophet stood for a rejection of absolutism, justice being a
matter of consultation, To the followers of the ahf albayt, of course,
it stood for a rejection of the Umayyads only, what they hankered
for being the unlimited power of a different house. But either way,

al-qiyam brl-sunna wa'-'adl had little or nothing to do with prophetic

rules attested in l;Iadith.
61 Tab.. ser. ii, p. 528: cf. Bal., AM., vol. V. pp. 216(.
61 Bat, A/U., vol. v, p. 217.
63 Tab., JtI'. ii, pp. I8).U.; Khar.ra, Tc'rDr:A, pp. 5SOf. : Ami, M(ttI'i/. pp. 57r.: Kit4b
aI.'",.,.., p. ISO; 'Iqd. vol. tv, pp. 95(., -462"".
64 cr. below, appendix 2. p. 128.
65 Note also that in Jibir', leun- to a certain 'Abd alMalik a man who is hiit>'
on God', behalf call. not only 10 1M book of God Ind IM ,f\IPl/I/J of the Prophet,

but also 10 the IVI'IINI orlhe belicti. ann- him (Banidi, 1(ttI6hIT. p. 164; prbled
in Inawi, Ktu/lf. p. 304).
66 Tab.. ser. ii, p. 1804.

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69

When then do we first come across the concept of a Prophetic sunna

endowed with a content of its own ? Allegedly, it is attested as early
as the first civil war in the arbitration document drawn up after the
battle ofSiftin. (Incidentally. the non-Muslim contention that it was
the Syrians who won this battle is corroborated by Umayyad court
poetry).IT But the more plausible version of this document states that
the arbiters should seek guidance in the book of God and, failing
that, in al-sunna al-'Qdila al-jiimi'a ghayr al-mufarriqa, ' the just sunna
which unites people and does not set them apart', not the sunna of
the Prophet.II To later Muslims this was unintelligible. 'Where is that

sunna, where should one seek it. what is its fonn, what is its
fonnulation, what is the basis of its meaning?', as al-Jil).iJ asked
in outrage. concluding that the original reference must have been to
the sunna of the Prophet;1t and another version of the document (8)
duly replaces the offensive expression with a hybrid SWlnal rasUl Alliih
al-jiimi'a. But what the document referred to was clearly a SWlna
conceived in purely pre-Islamic tenns.,.
The arbitration document illustrates a problem familiar to all
students orearly Islamic bistory, viz. that the historical tradition was
updated in the course of its transmission.l1 As it happens, document
A survives. Had it been lost, we should still have argued against the
67 Faratd.q. vol. I, p. 101','; Akblal, pp. 174r; cr. P. Crone, SltIt'ts on Houes,
C.mbridse 1980. notes 30, 103.
68 Hinds, 'Arbilration Aileement', pp. 102ft'.
69 Hinds, Arbilration Agt
:.!II mt. p. 109.
70 cr. the pre-Islamic pmte./.lU/j4mI,Aayr naifarrlqadd ..
c
e
dby Hinds, , Arbitration
Ailee...e
..t', p. 101. The Sbi'ites also undentood the s- in question as a
Prophetic one, cr. Ibn Abi '1-I;1101d, Shm./.l, vol. XVII, p. !I2, whert 'AIr.
n
i structions 10 aJAahtar on the laUer's applinlment to EI)'pI include tbe
.tateIl
K
..t tbat a/radd/14 '/nuVJ(Qur. 4: 62) equals a/-uk.1wJIt blSllNtQliJri'l.jiJmi'tJ
,Aayr aI-mufrurlqa.
71 Comp"rt'lqd, vol. IV, p. 4!17; hereal-Warld II ttlisShuri'a lbat be did not summon
him to uk him about killb AII4II WtJ-$YtIItJ/ MblyyiJrl, but ratber to dilCUlS wine
(similarly. vol. Vl. p. 336); but in A,h4nT, vol. VlI, p. 49. be says tbat he did not
summon him to uk him about 'lim, ad a/tJ/ (rom him onfiqh. or '-r him
tell l;ladith or recite the Our'in. In tbe fint p""'ae he is presumably sayina lb.t
he is not inlertSted in borina talk about pio\ll practice iIIultrated witb melthte
:

oDd sllae
to tbe Our'in ortbe type round in the lheolopcal epistles; in the I
he spells Ollt what a c1assieal lCholar IInderstood by the collocation. Comptart also
Dhahabi, Siyar, vol. v, p. 372; Afltilttr, vol. VD, p. 83. Here alMabdi says that
alWarld II was not a :indIq. Jiven that God wOllki not place His caliphate with
somebody who did not believe in Him; bIlt in the IOnd version oftbis story,
it is al-Mahdi who u)'5 that he was a IiNIlIt and a/,.,", who objectJ on the JfOuod
that God would not appoint IOmeOht who did not btJieve in Him to klUi4/tJ/
af-nubuwwa (as opposed to khU4/tJ/ A1I4II) and amr a/._.

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God's Caliph

authenticity of document B's rendition on the ground that so early

an occurrence of Prophetic sunna as a source in its own right is
implausible in the light of other evidence. This is a less conclusive
argument, but documents like A do not always survive, and there
are passages in the tradition to which it must be applied. We take
it that poetry and documents were more resistant to updating than
the rest of the tradition (though evidently not impervious to it. given
that they were preserved within it, and evidently not always authentic
in the first place either) ; and we treat with special respect un-classical
sounding statements in the SOUlceS on the ground that they are likely
to be survivals. Where such evidence adds up to a consistent picture,
we dismiss classical-sounding statements contradicting it, as for
example 'Umar's long suspect instructions to the qiir/f and similar
material." But inevitably much of our evidence is of a somewhat
indeterminate status : it might be authentic (or at least early) or it
might not be. Where this is the case, we have chosen to err (for the
sake of the argument) on the side of credulity.
Turning now to the theological epistles extant from the Umayyad
and/or early 'Abbisid periods, we find that prophetic SWllfQ is here
usually mentioned in collocation with the book of God, usually with
the same insubstantial meaning of' right practice' as in the parlance
of the Umayyads, their poets and their opponents. Thus the letter
ascribed to al-l;Iasan al-Bqri declares that 'every doctrine which has
no proof from God is an error', all while referring with approval to
the fact that its author has learned from the ancestors who acted
in accordance with God's command, transmitted His wisdom and
followed the .runno of the Prophet' (urannii bi-sunnot rami Alfdh),fI
suuestin, that the author was a Qur'snic fundamentalist for whom
the sole source of sunno was the Qur'in as interpreted by people of
whom he approved. The Qur'sn is also the sale concrete source of
in the letter of Jsbir to a certain 'Abd al_Malik,14 while the
traditions cited in the epistle attributed to 'Umar II can be dismissed
.nmna

72 O. D. Marloliouth, 'Omar's Instructions to the Kadi', JOllnuJI of lilt RoytJ/

AIlDtlc Socitt! 1910; compare 'Umar on k/,Qb and SIWNI' in Wald', QII<{I4Jr, Yol.
H, p. 189 andprwim; Tab., ser. i, p. 11s.i. wheTelhe Prophet himselrexhonl ptOpk
10 .tic1r. to kl" b AIIM M'Q-Jlll'lll(J "fIb;yy;hl; and numerous palSlp of the lame
1r.ind ICattcmt throuahout the sources.
73 H. Rilltl', Studim ZUT Getchichte der itlamilChen Fr6mmip.cil', On IIIom 21
(1983) p. 68.
14 A. noted by 1. Schacht, 'Sur I'exptillion "S_ du Prophel:c'" in MIl";gtl
d'Or/tnlmiJIM offtrll a Hmri MQ.!JI, Tthran 1963. pp. J63r. Note liso how
1r.nowledac of btlll AIIM M'(J'JlllIlll(J rtuG/illj ends up IS 1r.nowledac ofkillll Af/M
in the story told in Wa1r.i', Qwt/i1h, Yol. II. p. 30.
'

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71

as intrusive.n All the epistles are heavily Qur'ank, and in general

SWUla does not in their parlance have anything to do with l;Iadith."
Even so, they are not all completely innocent of it. Thus it is in
response to the question whether his views were based on transmission
from one of the Companions of the Prophet' that the author of

al-1;Iasan's letter declares himself a Qur'anic fundamentalist;" in

other words, Companion 1;Iadith existed though he did not feel
bound by it. One epistle, the Slrat Salim, cites concrete examples of
Prophetic action as well as a Prophetic dictum," while another (the
Ibi4i letter to a certain ShIite fonnerly known as Ibn fbic;!'s second
letter to 'Abel ai-Malik) argues agai nst Shrite l;Iadith in a manner
ruling out the possibility of interpolation." None of the letters can
be precisely dated. however; in fact, such provisional dates as they
have tum partly on the presence or otherwise ofl;ladith in them. They
suggest that 1;Iadith was in the making in the late Umayyad period,
but that is all one can say.
Legal l:ladith, however, similarly suggests that it was in the late
Umayyad period that l:Iadith acquired currency, if Bsain without
providing any finn dates. In early l:Iadith legal questions later to be
resolved by the Prophet are often resolved by jurists Uuqaha') acting
as authorities in their own right. Most of them belong to the mid and
late Umayyad period, though many of their views are likely to have
been ascribed to them after their death. Now their views coexist with
numerous traditions from early caliphs and other Companions,
occasionally even the Prophet, which seem to reflect the same stage
of legal development; and if this is correct, the traditions in question
must have been current in the late Umayyadjearly 'Abbisid periods
too." Elsewhere we are told that 'Abel ai-Malik warned the Medinese
against the flood of unknown ai,adilh coming from Iraq (or more
precisely al-l1UJ.fhriq), telling them to stick to the mrql}afcollected by
'Uthmin, ai-imam aI-1tUIi/iim, and to thefarii'i4similarly collected by
him in collaboration with Zayd b. Thibit.1 Eastern l:Iadith is here
something contrasted with caliphal scripture and law, not with
Prophetic practice preserved by the Medinese; and though 'Abd
ai-Malik may never had said anything ofthe kind, the statement must
7S
76
77
78
79
80
81

cr. Cook. DoKmIl, pp. 12SII'.; Zimmermann, 'Koran and Tradition'.

cr. the discussion in Cook, Do,mIl, cb. 3.
Ritter, 'Sludien', p. 67.
Cook, Doglflll, pp. 99(.
Cook, Dosma, pp. IIII', cf. pp. 5)11'.
cr. Crone, R()"'"', PrOf1wUJI Illld IJlDmlc lAw, ch. 2.
Ibn Sa'd, Taboqa/. vol. v, p. 233.

righted matmal

God's Caliph

72

surely antedate the fall of the Umayyads. In fact, by the late

Umayyad period evcn al-Farazdaq knew of people who related from
the Prophet," while another poet who died in the 7405 spoke of the
Prophet's sunna as something which it was useful to study.u
Distressingly vague though the evidence is, it thus srns reasonable
to conclude that by the end of the Umayyad period the sunna of the

Prophet had acquired a content of its own. This is not to say that
every rule in it was ascribed to the Prophet himsc:lf; on the contrary,

cherished practices and clever opinions ascribed to local sages were

Prophetic .n.mna only in the sense that they were ra'y rashid." But
under the aegis of the Prophet there was now a concrete alternative
to caliphal practice, and this is the point of importance here: by the
late Umayyad period the Prophet had not only acquired his capital
'P', but also sponsored a law conceived in opposition to that of the
Deputy.
Even so, it must be stressed that what the scholars took to be
Prophetic sunna scarcely surfaced in the Umayyad period outside the
circles of the scholars themselves. Practically no traditions, be they
Prophetic or other, are cited in letters or speeches by Umayyad
caliphs, governors or secretaries." None seem to be adduced by
rebels. Scarcely any appear in theological epistles. Hardly any are
cited in accounts about Umayyad judges," judges being required to
82 Farazdaq, vol. II, p. &46'''' (people or learning who relate rrom the Prophet say
that ir prophecy had not come to an end, Hishim would hawe been in receipt or
revelation). Both Hishim and ai-WarM! I were ramiliar with tr.ditionsorthe same
type (whoeYet has been caliph ror three days etcapes hell fire; God counts the
good deeds or a caliph only, not the bad ones), but neither identified them IS
traditions rrom the Prophet (d. lhe mettlK:es Jivm below, chapter 6, notes 60,

61).

8J 'Urwa b. 'Udhayna (d. c. IlO). p. 91": mfMil oJ-ffobf'1-1IIrtIPI[SII1fNJluhuflJ4ila If4jr

Ia'QllunnJrd.
84 O. aboYe, note -41.
8S For a rare example, _ Dhahabi, SiYQr, vol. IY. p. 2-47, where 'Abd ai-Malik cites
a well known Prophetic tradition on the dire rate or those who reruse 10 10 on
campaian ('*' min rmulim la yqhzU QII' ,'I4}ahlrl:u IM:i,.. . . ilia lJbahu 'flall
'a qDbIa 'l-mawI) in an oration deliYe,ed rrom the mlnOOr. saying that he
had heard il rrom Abu Hura)'i'a. Givm alDhahabr. date. his teslimony is not
or course particularly compelling: the conte1 i. 'Abd ai-Malik', Medinese
upbrinJin,and hi' l'q)u.ation as afaqrlr (cr. above. chapter -4. note 46). In another
late 1OUrc:e, Ibn 'Asikir, TIlhdlrIb, vol. IV, p. !II, a1-l;Iajjij cites Prophetic
tradilions complete with isNJds : one, whkh he invoked in hi. """fha, had been
transmitted via "ln4lbas by 'Uthmin to Marwin to' Abd ai-Malik. Compare also
ibid. Yol. III, pp. 287, -4!1O. where 'Abd ai-Malik and Hilhim are told Prophetic
tradition. by others.
Umayyad judan appear as transmitlen or Prophetic Uadith every now and apin
in WakT, QwI4/i. t.s. vol. t, pp. J04. J2-4r.. cr. J)7; Yol. II, pp. I !lft'., 23ft'., 504; vol. III,
pp. 17tr.. 117. But mOlt or the tnoditions cited are nonlepJ, even in the case of
.

86

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73

know the Qur'an, not tradition.n If our records of Islamic civilisation

had stopped in 150, l;Iadith would have appeared to us as a marginal
phenomenon. We would have been familiar with the concept of
SWUUJ, both Prophetic and other, and we would have known that
fuqahO' engaged in the study of the law had begun to acquire some
local standing;" but we would not have ascribed much importance
to tradition. To all this there is only one alleged eltception : the
sources insist that a Prophetic sunna with a content of its own came
to the surface for a brief while under 'Umar II.
'Umar I I is said to have made use of the collocation kitab Allah
wa-sunnat nabiyyihi, not only in connection with the l;Iaruriyya, but
also in statements of policy. Thus he professed himself bent on il}ya'
kildb A.llah wasunnat nabiyyihi," held that no obedience was due to
any governor of his who did not act in accordance with the kitab and

sunno," infonned his governor of Basra that adjudication should be

based primarily on kitdb Allah and secondarily on sunnat rasui
Allah," and stressed the overriding importance of adhering to both."
judaes whodied in theearly'Abbisid period such IS Ibn Shubrumund al.l;lajjij b.
Ar1ih. Companion l:iadilh il rarer, Ihoulh the Icltwlojlf alrtuhidii" ol.moMiyyi1lt
are invoked on a Jepl point in vol. I, p. 295. In K.ind!, G_r_J, oqtwho died
in 83/702f. ciles a legal dicuul1 of'Umar's al p. 319. bUI no Prophetic precedent
is invoked bere until lhe man of alMahdi. in whic a jude: wu dismissed for
'pervertinl SlINWI ra.ri11 Alloll', havinl refused to recol"ise the legal validity of
oJ,bdJ even thouaJ! it was recoaniscd by the Prophet, AbU. Bakr. Umar. 'Uthmin.
Tal"'. aj.Zubayr and othen (p. 372: similary Ibn 'Abd all;fakam. FunlJ, M4r.
p. 244, cr. the glossary at p. 56- ror the verb }aHdu).
87 Ibn Hubayra wanted to know whether lyiJ b. Mu'iwiya, qijr/i of Basra, could
recite the Qur'in and knew any poetry and aY}tdm a/'{Uab. the answer 10 all three
questions being positive (Wakj'. QwJiJJr, vol. I. pp. 351(.). Marwin I wanted to
know whether the q44TofEgypt had memorised the Qurin. knew thefar.fit/and
could write, the answer to aU three questions belnl neplive (Kind!, Gowmor!,
p. 312). When 'Umar'l lovemor of Mecca appointed a tn(IWla u lubaovemor.
he jUSlified it with rererence to the ract that he could te the book and kl)C"W
the far" i4 (alFikihi, AkltMr Mokia, ed. F. Wibtenfekl.. Leipzi. 1859 p. 36).
KnowledaeorJIl/IIIO, let alone _ exemplified in l;Iadith.docs not Kdli lo haw:
been a desideratum.
88 cr. Tab. KT. ii. p. 1571, where we are told tnat the 10Yttnor of Khurisin had
K'PtfuqaM' and fl'UrlJ' to negotiate with aIJ;lirith b. Surayj in the elpectation
that all;lirilh would similarly xnd men to him.
89 Ibn 'Abd all;lakam, STra, p. 18; cr. p. 40; Ibn Sa'd. Ta/JQt, vol. v. pp. 342. 316:
'fqd, vol. IV, p. 43j.
90 Sarwat, Rtu.fil, vol. II, p. 361. citin, Ibn alJalllZi, STral 'Umor b. 'Abd al'A:I:.
ed. M.D. alKhatib, Cairo 1331. p. 72.
91 Waki', QvtIiJJ!. vot. I. p. 17; Bal. AM. (MS), vol. II. fol. 1bo.
92 Ibn 'Abd all;lakam. STra, pp. 69fl'. In this letter, supposedly written on hil
accession, 'Umar II refers to the book and JUIII\O time and again; even so. the
examples of Prophetic nmrlO are all Qur'inic.
.

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God's Caliph

What is more, he made it clear that for him the Prophet's surma had
a content of its own. Thus, we are told, he gave orders for the ahl
aJ-'ilm to disseminate their knowledge in the mosques, complaining
that ' the sunno has been rendered dead ',', and for the ohl al-$oldi}
to be supported by the treasury so that they could devote themselves
to recitation of the Qur'iin and transmission of al,iidilh." He wrote
to Abu Bakr b, (Muammad b. 'Amrh.) ijazm in Medina, telling him
to write down such lJadilh ,asiiJ Allah as he could find there on the
ground that both 'Um and 'ulamii' might disappear," He emphasized
that one should stick to the swnna ofthe Messenger and leave offwhat
had been innovated after him." instructing Abu Bakr b. ijazm to
accept nothing but Prophetic l;Iadith" and elsewhere quoting the alrl

ai-SUMO as saying that sticking to the sWlna brings salvation." In

general, he pronounced himself to be a mere imitator (muqrodj fl.)
rather than an adjudicator (q6tr")." and it was in this spirit that he
allegedly refused to be known as kha/ifal Alliih. I" How much of this
is true? Possibly none of it.
We do not wish to deny that 'Umar II was an unusual caliph. As
little as twenty years after his death even so rabidly anti-Umayyad
a rebel as Abu l;Iamza al-KhariJi refrained from condemning him.
merely saying that though he had good intentions, he failed to carry
them out;"1 and a few year after Abu l;Iamza had exempted him from
hell-fire, the 'Abbasid avengers similarly exempted him from th('
exhumation and posthumousexccution which other Umayyad caliphs
had to undergo,'OI sparing the life of his son and grandson too.III

93 Sa(wlt, RlU6i/. vol. II, p, 3.51. citinl lbn IIJlwzi, STra, p. 94.
94 Sarwlt. Riud'iJ. vol. 11, p, 314, citinl lbn .1J.wzi, $ira, p. 103.
9S Bukhiri. Rnwil, vol, I, p, 31.
96 Slrwlt. RlU6'il. vol. II, pp. 349f, cittnl lbn .Il.wd, $ira, p. 67.
97 Bukhiri, Rtcwif. vol. I, p. 37. But we Ire lold Ihlt thi. bit WIS miuinl tn Ibn
Dinlr's vcnion.
98 s.rw.l. RlU6iJ. vol. u. p. 360 (citin, lbn .Il.wn. Slra. p. 68); d. p. 350 (p. 67),
where there il '4Ina in rollowin, the SWfM.
99 MIS. Mri4, vol. IV, 1217.5 vol. v, p. 42 1 . tbn 'Abd .1l;Ilhm, Slra, p, 42. hIS
hinrrjfidJt formuqlrJ-,lSdo IbnSa'd. T"""q" vol. v, pp. J.4O, 168,lnd AI.A.jurri,
Akhbdr Abf llaff 'Umar b:Abd ai'Azf:, ed. 'A. 'A.R. 'UII)'lin, Beirut 1979, p,
63; but ayoninee mikes lhe rormer !'eldin, prerUible (cr. the continu.tion
.

_/41111 bl-mwblad/' WlJI6kiMf IPIUtlabn.

100 Cf. lbove, ch.pter 2, note 18.

101 a. pptndi,; ), p, 1]0,
102 S. M05Cati Lt mUllere des
dins l'histoire et dans Ies rl'lll'benlS
poeliques. Arrhir> OrkftIDl"(
pp. 89ft".
OlWlid b, 'Ali interceded ror him
103 'Abd 11'Aziz b. 'Umu WIS spired
(A,ft41If, vol. IV, p. 346) 100 wu later to be found Imonl the flll16baof Abu l.'fu
(Abu lur'l, Ta'rrklt, ed, Sh, II-Qujini, Olm.scu$ 1980, p. 569. no. 15679). A.d.m

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75

Shi'ite sources etol his virtues;IOt Christian sources deplore his zeal
for Islam;l" and Sunn'i sources describe him as the mahdi, an epithet
which numerous Umayyad caliphs have in court poetry, but which
only he has retained outside it.IOI We take it that his unusual role
was at least in part forced upon him by his name and date. I.? How
ever this may be, the fact that posterity accepted him as a rightly
guided caliph also means that it fathered a greal many later views on
him. It is by no means implausible that he undertook to rule in
accordance with the book ofGod and the sunna oflhe prophet in the
same sense as Yaz'id III was to do SO,I01 that is by renouncing the
most unpopular aspects of Umayyad policy. Thus we are told of
the scrupulous attention he paid to proper use of public funds,ulI of
his rejection of conventional fripperies associated with calipha!
ceremonial,l1O of his obsession with justice and equality, III of his

104
10j

106

101
108
109

110
III

b. 'Abd al'Aziz b. 'Umar wu spared by 'Abdallah b. 'Ali (Ibn Asikir. Tulldhib.

vol. II, p. 364) and went on to find favour wilh Abu'IAbbas and alMahd'i
(AShmrf, vol. xv, pp. 2861r.).
E. Kohlber" 'Some Imimi Shi'i Interprelation5 or Umayyad History' in
O. H. A. JuynboIJ (ed.), SlwdsOtl IMFint ernt"" of/slamic Sodrly, Carbondale
and Edwardsville 1982, pp. Ij3f.
In;
a. Theophanes, CIt'0#W8,aplria, p. 399; Scverus, Slya, al-abd', p. 144
Michael lhe Syrian, CMOtIi,,, ed. and Ir. J.-8. Chabot, Paris 1899-1910. \'01.
II, pp. 488f.
cr. below, a"PI"",n"dix I, p. 11<4. Sulaymin is also mahdfin both pod!')' and prOK
to the extent that al-Mas'Gdi credits him with the laqab alMahdi (Mas., TtmbIla,
p. 3)5): but al-Mas'iidi's Umayyad alqdb are aU spurious whereas -Umar II was
remembered as the Mahdi in a very real sense.
Below, appendix I.
a. Tab., ser. ii, p. 183j, where one or Yand 111'5 supponen dC'Klibes the laltr
as even better Ihan 'Urnar II.
This comes over Slrongly in his rerusal to accord largesse to poets from miil
Allah/ba),1 Q/-mdl (Aghdnr, vol. VIII, p. 48, vol. Xl, p. 283) and what he did gi\'e
them came in small amounts, from his own 'ofd' in one case (ibid. vol. VIII, p. 48)
and from I whip-round amona hi. untmiJlliil a/-aw/lHi in another <Ibn ' Asikir,
TaJulJtib, vol. v, p. 2jl). We also find him quibblinl about the governor or
Medina's consumption of candle-wax and wicks, and lellinl him that smaller
writina will obviate the need for any inCttUe in the quantity of fa,,amr,llI",ii/f.f
required (Ibn Sa'd. Taboqdl, vol. v. p. 400 ; Ibn 'Abd a'!;Iaklm_ Sfra. pp. 64r.).
And he is said 10 have taken nothing for himself rrom the treasury ('Iqd. vol. IV.
p. 434).
,
tbn 'Abd &I-l;Iakam. SIra, pp. 38ft". (a substantial list or ilems): Waki'_ Q.,q411
vol. II. p. 43 and Ibn Abi '1-l;Iacf'ld, SIItuJ,. vol. XVII, p. 100 (rejection or caliph_I
seatin, arranJCments).
He sou&ht (and received) from al-l;Iasan al-Ra," a treatise on aJ-imam al-'fiJiI
(Saf...at, Ras4'il. vol. II, pp. 378-80, citing the 'Jqdand Ibn atJawnl_ and the poet
Jant saw fit to describe him a. such (d. above_ chapter )_ nole 101): in addilion
to the recurrent concem for 'ad/ and lhe elimination of ;u/m exhibited in the
extensive moralisins correspondence wilh sovemors which is allnbuted 10 him,
note can be made orthe references to Ddlin what purport to be his la"'qral {Safwat,
_

CJPVrlghted material

76

God's Caliph

concern for the poor, the needy, widows and orphans,l It of his open
condemnation of governors such as al-l:faiiij,1U of his conciliation
of the 'Alids and their supporters,ll. and of his redressing of wrongs
perpetrated above all by Marwinids.1 II Indeed the threat posed by
'Umar to the material interests of the Marwinids,ll' together with
his undisguised criticism of his Marwanid predecessorsl17 and his
indication that he might well displace Yazid b. 'Abd ai-Malik from
the Marwinid succession and instead opt for a shiirii,lII would
appear to render the claim that he was poisonedlll more cogent than
Rtua'j(, vol. II, pp. S8O(" cilinl the 'Iqdand other sourotS). He is reponed to h.ve
declared that his aItI ooYI had no more riPl to Grz4q le/ulnG than anybody else.
On hi. even-banded treatment of convau. ICe Ell 1.11. 'mawli' lI!ICtion (e) and
the literature cited there.
1 1 2 WakT, QwIiJJt, vol. iii, p. 33 (eleo by MuQirib b. Dithir). Note too lhe
correspondence cited by Ibn 'Abd IJ.I;lat.am (SlrG, pp. 66f.) rdatin, to a poor
woman in Emt whose: chickcos were beinl slolm.

1 1 3 Safwat, RAttfi/, vol. II. pp. 371(. (citin, Ibn alJawzi and other sources); Ibn 'Abd
aJ,l;Iakam, srra, pp. 16$.; Fuawi, MIfrIj'G. vol. i, pp. 609f.
I I" He pUl l SlOp to the Id,./shD,m of 'Ali on Umlyyed mDIIdblr (Ibn SI'd. Tabaq"',
vol. v, pp. 393f: II-YI'qubi. TG',Tkh. WIt II, p. 366 ; Bal. A/U. (MS), vol. n, fol.
92b ; AliWtIT, vo\. IX, p. 258'). I practioe which hid been inlroduttd by Mu'iwiya
(,Jqd, vol. IV, p. 366): Ind he returned the olsis of Fadlk in the l;Iijh to the
dcHcn.:iants of Fitima (Ibn Sa'd, TGbGqtJ" vol. v, pp. 388ft'. ; Ya'qiibi, TG',ah,
vol. II, p. 366; Bal., FUliJIt, p. 32; 'Iqd, vol. IV, p. "3S).
1 1 5 A,ltiJIJ1, vol. tX. pp. 2SSf. (he took over whit his /uJ,ma Ind and Ghl bayl possessed
II'O-wmmd G'md/Ghvnt aJ,mtq4/i1r1); similarly Ya'qiibi, Tarall. vol. II, p. 366; Ibn
Ahi 1-1;:Iad"1CI, Silo,,,, vol. XVII. p. 98 (he earned the hatred of the Marwinids on
account of the mo;iJ/iIrI perpetrated by them), 100 (he reslOred everything
wronJfully in the hind, of his Gill Ny', .nd he returned to I d/timmF from l;tim,
an estate which hid been taken over by II-'Abbas b. 1Warld b. 'Abd alMllik),
104 (he took a qG/rG away (rom one of the sons ofSullymin b. 'Abel IIMllik).
116

117
118

1 19

Apparently the Sufyinids suft'ered 100 (Ibn Sa'd, Taboq/JI, Wli. V, p. 342).
They Ire reponed 10 have owned half of the amll'/J/ G/-IUMIG (&.1., A/U. (MS),
vol. II, fol. 6611). or bet'l1oeell one half and IWO thirds (Ibn Ahi 1l;tld"ICI, SIuJ,/J,
vol. XVII, p. 103), which 'Umar wanted to go (II least in pan) to the bayl aJ-mdJ.
He Kli formidlble example with himselfand his immediate flmily (ibid. pp. 99,
lOOf.),clampeddownon 'Gf"',diy4'andqaliJ't(lbn Sa'd, Taboq/JI, vol. v, pp. 372f.)
Ind denied the Mlrwinids what earlier caliphs hid eu5l0mlrily liven them (Ibn
Abi '11;:Iad"ICI, ShDr/J. vol. XVII. pp. l04f.).
Ibn Abi'I-t,fId"KI, Shar/J, vol. XVII, p. 103 (the Mlrwinids took I particular dislike
10 'Umar's '(lyb of earlier caliphs/Marwinid asl"".
In one account, the Mlrwinids complained to 'Umar that he was doin,less for
them than his pmietessors had done, to which he replied that, if there WIS Iny
more of Ihal son of talk, he would move to Medina Ind make 'it' (scil. the
caliphate, or suoccuion to the caliphale) shUT", 'the man for the job (sci\. of
orpnisinl this) btlnl al-Qisim b. Mublmmad b. Ahi Bah (Ibn Sa'd, TGbaq""
vol. V, p. )4W): in Inother, he is reponed 10 have said Ihat, if he could have his
own way, he would mike 'iI' sliwa bet'l1oten al-Qbim b. Mu\wnm.d, Sllim b.
'Abda1l1h [b. 'Umar b .
1-Khal1ibJ and Ithe UmayyadJ Ismi'n b. UmaYYI (Ibn
Abi '1t,fad"Ml, SittJrlJ, vol. xv, p. 264).
Tlb., ser. ii. p. 1349 (AbU 'Ubayda); 'Jqd, vol. tV, p. 439; Jbn Il-Jawti, ST'G, pp.
276f.; Ibn Abi '1I;tad"Ml, SliGr/J, vol. XVII, p. 98 (qT111 - probably I reference to the

From caliphal to Prophetic sunna: the Umayyads

77

Wellhausen allowed,'M But did his policies include attention to a

concept ofProphetic sunna which, by all accounts, had only just seen
the light of day in Iraq? This is what matters in the prc:sc:nt context,
and this is also what is questionable,
For one thing, al-Tabari knows him to have spoken of kitiib Alliih
wa-.nmnat nabiyyihi only in the traditional context of negotiation

with rebels, 111 Most of the passages in which he departs from the
traditional pattern are suspect on the ground that they come from

the earlier, but far less stringent biography of 'Umar II by Ibn 'Abd
al-l;Iakam, and more particularly from the late biography by Ibn
al-Jawzi (d, 597/1 200), For another thing, the sources (and above
all Ibn 'Abd al-l;Iakam and Ibn alJawzi) preserve a correspondence
which is far too extensive for a caliph of so short a reign, even granted
that 'Umar II may have interfered with everybody's business on an
unusual scale,lU At least part of it must be apocryphal, and some,
including some with a bearing on SWlna, demonstrably is; indeed. the
letter reproduced by Ibn al-Jawziin which the ahl al-sunna are quoted
on the rewards of sticking to the sunna is what one might call
super-apocryphal without sounding any different from the rest.us

120
121

122

123

report or Abu 'Ubayda). According to Abu 'Ubllyda's account, Sanu Marwin

organised the poi50ning of'Umar becauJe lhey reared Ihat he would ellpropriale
!.heir Qlffw41 and that he would remove Valid rrom the sucuion. this being
proposed in the course of an account where a Khiri)1 deleplton Cllpresses its
doubts aboul Valid, On lhe other hand, lhe account given by lhe 'Jqd Iitribults
the poisoninl to VIZid himself.
J. WclIhau5ell, TM ArQb Kitt&tiom lRtd its FQU, Calculla 1927. p. 3 1 1 .
And note that lboo", othen have him invoke the collocation in hb last speech.
what they repon him as having said here is (....
Q
q
(
lIl min AlIlJh azzQ M'Q-jQIIQ killJb
lID(iq M'Q-.JJUI/UI 'iUJjIQ (A&h4IIr, vol. IX, p, 267; 'Jqd, vol. IV, p, 96), j,, both are God'.
'Umar II ruled ror two and I halfyean, whereas 'Abd ai-Malik Ind Hilhim each
ruled (or twenty. Nonetheless. the reign o( 'Umar II fitls 81 pa in Safwat's
collection o( official letten, to which the numerous letters in Ibn 'AM all:lalr.am
(not used by Safwat) should be added, whereas 'AM ai-Malik's reign fills 1 30
.,.aes. from whK:h the numuous k1ten not written by or to 'AM ai,Malik should
be subted, while thai of Hilhim fills no more than 48.
It is well known that 'Umar II has hcx:.. credited with an epistle apinst Qadaritts
which is utant in Abu Nu'aym's /filyQ/ oJQ'w/iyll' (edited. translated and studied
by J, Vln Ess, A,g
CJttgUfWlimiscMr TMoIOf, Beirut and Wiesbaden 19n). This
epistle oonsists of an early tellt (8) and later additions (RJ by a reviser who
probably worked in ninthtury Khurisin and who attributed the revised
version to 'Umar II (d', Zimmennann, ' Koran and Tradition '). The reviscrquolts
the alii oJ as saying that oJ/'tI bl'1JWUIQ MjiJh (R3 in Zimmc:nnann's
numeration). Ibn a)lawns biography of'Umar II illCludes a short version ofthis
epistle (Safwat, Ra.M'il, vol II, pp. 360(. ; re(el'Ttd to above, note 57), This version
preserves Rl--5. H)--I I, but only one line or 8 (line m in Zimmermann',
numeration), the rest being without parallel in Abu NU'tym. In other words, an
early lUI generated accretions and these accretions in due oourse swamped the
tUI. TlIe lellt having been ralsely Iscribed to 'Umar II, 'Umar I I ended up as lhe
author or lhese accretions aner the tut had hcx:n lost,

CJPYnghted malenal

79

From caliphal to Prophetic SlInna: the Umoy}'ads

of the huge mass of legal traditions ascribed to 'Omar I in classical

works. He is explicitly said to have modelled his policies on those
of his namesake,lao and on questions such as the fiscal status of
converts the two 'Vmars did indeed lay down very similar rules if
we go by l;Iadith.m Yet 'Vmar II never invokes the precedent of
'Vmar I in his writings on this question. When his governors point
out that his rules are bad for the treasury, that people are converting
in order to escape their taxes, that they ought to be tested for
circumcision, and so on, he replies that god sent Muammad to
preach

(dd"iy"'''), not to collect

(khalinllll);UI in other words, he

taxes

UiibiY''')

or to circumcise

responds by invoking the general

example of the Prophet. not the specific rules which 'Vmar 1 is

supposed to have fixed once and for all. It would thus sm that the
famous traditions enunciating these rules did not exist at the time.

The same must be true of the many other traditions attribuled to

'Vmar I, or to the Prophet himself, on questions which 'Vmar II is
said to have resolved as an authority in his own right; and one story
could be taken to concede as much: we are told that when 'Vmar
,

II resolved to follow the Slra of 'Vmar I, he wrote to a grandson of

that caliph for "Omar's letters and decisions concerning Muslims

and dhirnrnl
S ' (kutub 'Urnar wa-qa4iiuhuflaliI aJ-qibJa wa-ahl al-'ah4),
which obviously implies that infonnation about his administration
was not generally available.ln (Whether he succeeded in getting hold
of them is not c1ear.)Uf We are also tok) that he disliked the caliphal

role of answering questions about the law and told his governor of
Basra to stop sending him people asking about the

sunna and to ask

al-l:Iasan al-Bri instead ('but don't let al-l:Iasan read this letter'),
yet another story to the etrect that however much he may have talked
about the sunna of the Prophet, he did not k.now what it was in

130
131
132
133

134

alBaJri cites tbe Prophet's lreatment of tbe M.gians of Hajar to him (compare
Cook, Dor-. pp. 99r.).
cr. the references given below. note IH.
a. D. C. Dennett, CIHIV6SiOff und 1M PoJl Tax jlf Early IJ/QItI, Cambridge Mass.
1950, esp. pp. 32/f. 8<\f.
Tab., !Cr. ii. p. 1354; Ibn Sa'd, TabaqiJl. vol. v. p. 384.
Ibn 'Abd aJ.l,iakam, Slra. p. 122;Safwat, RtuiJ'j(, vol. II, p. 375, citingJbn .1-llWli;
Ajurrl, Akhbifr, p. 70; cr. Ibn s,,'d, TobtJqiJl. VQI. v, p. 396; Bal.. An!. (MS), vol.
n, fol. 75a, wbere be simply writes fOf Siral 'Umar.
In TbD ll-Jawzi" and 11-.JJutri the arandson's response is a long hell-fire sennon,
a reminder that 'Umu I IiVl in a difftfmt time and worked with different men,
and advice to rely on God alone: it sounds like I refusal to comply (especially
if the final raja"lll'tu is read rajatl.lla). But Ibn 'Abd al-l;llkam cuts out the hellfire
sermon, and Ibn Sa'd cuts out mOil of the reply, including the reference to the
books.

righted matmal

From calipha/ to Prophetic sunna: the 'Abbdsids

8/

such as al-Mdi, a/-mahdi, al-rashid and al-amin, which court poets

had bestowed on the Umayyads, now reappeared as regnal titles of
the 'Abbisids, now as then with a strong redemptive overtone.1n
Like the Umayyads, the 'Abbasids were the best ofcrcation after the
Prophet,In almost prophets themselves,l44 and chosen by GocIlU to
be heirs of the prophets,l4I but of the Prophet above all. W Unlike
the Umayyads, they were also kinsmen of the Prophet, It. to whose
legacy they had a hereditary right,u, and thus able to pride themselves

142

l4)

]44

1-45

1-46

in 'A.-'A.aJ-Oiiri. 'al-Fikra .1m.Miry. bayna 'I-da...... .l-'.bbisiyy

. ....'1.$1'
..
al-'abbisI '1._.1' in Sluda
i ArabiCd tl fslamica: FtstsclI'iflf fJ,s6n 'Abb4J, cd,
w.
1-QiQi, Beirut 1981, pp. 124, 127f,). AI-M.n$ur was likewise M.Mi .nd
Qi'im (ibid., p. 130), So w.s his son. aI-MaMi (ibid.. pp. 129.: AglWnr. 001. III,
pp. 25)" , 286, penult.), Hiriin w.s' the one who w.scalkd rd.JIr1d' 1II'(Nrwluiiy
(Abu '1'Atihiy. in A,Mnr. vol. XVIII, p, 240"; MI5., Mllriij, '101. II, 758 _ '101.
II. p, 338; cr. also Aglldnr, vol. XVIII, p. 248" , when: he is aJimam a/-rdJIIld).
Al-Ma'mun WaJ aJ-lmdm aJmatl,flk aJmoJtdra/rdJlI1d($arwll. Ras6iJ. vol. Ill. p.
420. ull.}, and to him his prtdcces50n wen: a'imIna r4sJtidUtt (ibid.. pp. 389, 412).
a. B. Lewis, 'The Rtgnal Titles orthe Fint Abbasid Caliphs'. Dr. ZaJclr HlUiJin
Prtst1llalion VoIlIfM, New Delhi 1968: and the mon: ICCCltl and fuller discussion
in Durl, 'Fikra'. N.gel's views on the n:gnal lilles of Abu '1Abbas skould be
n:vised in the liaht oCtbe:se two works (cr. RtClilltilllttf, p. 91). To lhe .lIest.lions
mentioned by Lewis of the appellation of o/-sajJaJJ havina been .pplied to
'Abdallih b, 'Alican now be added Ajbar Maclimu4, ed. E. Lafuente y Aklntara.
Madrid ] 867, p, 46 (dismiueo:l by Moscati. 'M.",Cf'I:, p. 95) and Ibn Asikir.
TaMhfb, vol, IV, p, 391.
Cf. Goldziher, Mwfim SluditJ, vol. II. pp. 55f. 'You h.ve nothing between
yourself .nd yOllr lord, e"ahed is His n.me, ucept the nab' al-IIudQ', as
.......kkil was told (Agh4nl. vol. x. p. 228").
.1Mllt
Foka'OMlJitu btJ 'rJa '/,aSWI ,asVl, as Hiriin was tokl: bm notc that Hin1n was
otrended by this verse. thouah he generally did not mind being praised in the same
terms as prophets (A,/raIrI, vol. XIII. p, 144").
W.ki, Qu44h, vol. II. p, 153, when: Hiriin is ol-imdlil aJ-naqraja, IS J.rir h.d
once characterised .1W.rld l (p. 492'): Ibn K.thir, Bid4yo. vol. x. p, 268. when:
al-M.mun is lold that 11111"," ahJ baYI 4rafM- AII.Jh min ba)lI/'ibddiJti.
Cf. 'Iqd. vol. II. p.I6C1-', when:.IM.n$ur is'aJl1inllmi"Solomon.Job.nd Joseph;
AgIIIJ1l1, vol. XI. p. 340. when: qd$ protests to .1M.'miin by the One who
ak,lIMllk" bNkhiid/o ...a-...QffOlluUul mi
rlltll al"wbw_o; .nd T.b. ser. iii. p,
1 1 12. where aI-M.'mun states that God has made the caliphs inheril malll'l1,ftll
.

0/''"'''''
''' '' ''0.

147

B 1'Abbis have inherited the 1,,11 of Mubamm.d (A,Mllr. vol. XX. p, 238'):
the Comm.nder of the Faithful and hi' family .n: w4ritlrii '/-Mbr(ibid" '101. Iii,
p. 29)"); they h.ve inherited khil4fat AII.Jh rrom kll4lam aJ_bly6' (ibid., vol.
u, p. 5-4''''); God pl.ced the 1,,11 of the Prophet with His klia/1fo lqd, vol. IV.
p. 242""); aI-MaMi was the son of the one who _rllM 'l-ltlJbr (ibid.. '101. I. p.

148

""').

Ibn 'amm alrGJWI. ibn 'amm MwI,ammad. as poets would dutifully describe them

(Ful.yb in A,II61IT, '101. IV, p, 36011; Amj.. ibid., '101. XVIII, p, 21-4": .Iso ciled
in Ibn 'Asikir, TaJwIhfb, vol. III. p. 63).
1.9 NOlwithstandingthe fact th.t llOlTle Syrians h.d been under the impression that
the Um.yyads wen: the sole n:1.tives.nd ieptces oftbe Prophet (Bal., Alii., '101,
III, pp. 159f: Mas., MwrWj. vol. III, 1 1 845 _ v, p. 83).

righted matmal

82

God s Caliph
'

on the fact that they 'did not make the rasii/ secondary in importance
to (diina) the khalifa'.1M But the caliphal institution and/or the caliph

himself continued to be seen as guidance and light,iii rain (ghayth),ln

a source ofhealinglU and a refuge against error,lIt God's rope'" and
the pillar of Islam,lu In short, the caliph remained indispensable for
the attainment of salvation : he was ' the imam through obedience to
whom one escapes the centre of the fire on the day of judgement',
as al-Sayyid al-J:limyari said ofal-Man$ur. lu 'He who does not take
refuge with God's trustee will not benefit from the five prayers', as
Hiirlin and al-Mu'ta$im were told,Ul ln a passage echoing al-Walid
II's sacred history Ibn al-Muqaffa' refers to the fact that God's
religion is maintained by His prophets, deputies and friends on
earth' (anbiyii'uhu ....a-khula
.
fo'uhu wa-awliyji'uhu Ii art!ihl);u, and
even a scholar such as Abu YOsuf held that ' God. , . has instituted

the holders of authority as deputies on earth and given them a light

to illuminate for the subjects those of their affairs which are obscure

to them and to clarify those duties about which they are in doubt. '110
'1-I;IId""KI, Shar", "'01. xv, p, 240. citing Abu 'Uthmin (K. al-libi;).
The caliphs Ire dlun,oQ 'I-niir It'a I-hwtJd (Aglt4lrl, vol. III. p. 294'); they Ire fi,6'
Ind nur (ibid., vol. v. p. 30)', cr. pp. 304', )291'), lirdj af-naMr and badr al-.u/m
(ibid. "'01. VII. p. 19S"): they sel up the belcon of guid.nce (ibid. "'01. Xl.... p.
19910); they h....e nural-khiM/a flqd, ...01. I. p. 16)': "'01. v. p. 9110): compare nUr
amir ol-mu'minfn (Safwal, Rtuil'if. "'01. III, p. 424).

150 Ibn Abi

lSI

'

1'2 Agnilnr, vol. XIII, p. 146" (Hirlin); compare Abu 'I-'Alihiya on the same caliph,
ibid., ...01. XVIII, p. 240': 1150 cited in Mas. Mllriij. vol. II, 7S8 - ...01. II, p. )37.
IS) cr. AgMnl. vol. v. p. 30)', where B. 11'Abbis arc not just t/i,d' ItI-quJiib and
nwr_ but also Ih/fll.
154 The .... or Ibrihim allmim in I:larrin w.s 'qmot ol-din (Bal.. AIU.. "'01. III,
p. 126, ult. with fUr1her references). God had made the 'Abbisids the kah/and
"in or His religion according to Abu 'I'Abbas (Tab., ser. iii. p. 29). alMI'miin
was a 'isma to people whkh diSiinluished between al-4allJla ...a'lnuhd('fqd. "'01.
VI. p. )714 where the line is attributed to Zulzul; AgMnr, VQI. XXIII. p. )9'. and
"'01. VII. p. 16S", whcrc it isauributed to Ibn .l-Ba_iband l;Iusayn b. ajJ.")al;al;lik
rcspectily, and where mukhayYira hiS been replaced by m_,,i:o). AI-Withiq
was also a '/,fma IrIklwlq (ARIulnI, vol. VII, p. I S9'). And alMu'tau held that God
h.d made kJ.;/dlotailu fjdfnihi 'ima" (.bo. chapter 2. note ) I).
ISS For .1Mutawakkil, see the rererence given above. chapter 3. nOle 128. for
al-Mlnfilr's description of the caliphate .. "abI Allah ol-malTn wa'l1rwoIWtU
'1.It"l4tnqd. see Tab. 5eT. iii. p. 447.
1 .56 Abu '1'Atihiy. in AXhiinr, "'01. XX, pp. 301'. 302", 304.. ... 30" U'd 'omud
.

ol-lllum).
Wlkl'. QutJdh. "'01. II, p. 71.
IS8 cr. above. ch.pter ), nOle 49.
lS9 Safwal. Rasil'U, vol. III, p. 54, eitinglbn Tayfiir's unpublished

IS7

Ikhtiyiir al-man?Um

ol-manthUr.
160 AbU YusuL Kitilb alkhordj, ed. J 'Abbis, lkirut, Cairo and London 1985. p. 71.
There is . full trandation of this passage in Goldziher, Mwl/m StudkJ, vol. II.
p_ 68: Lambton, Statt and GOt'trnmtlff. p. .56: B. Lewis, IJlomjram Iitt PropMl

righted matmal

From caliphal to Prophetic SWlna: the 'AbbdJids

83

Like the Umayyads, Abu Yusuf perceived the guiding light in legal
terms, its main function being to maintain the I}udiid, uphold rights
and restablish good practices instituted by righteous men (il}yii'
al-mnan allali sannaha al-qawm aJ_$iilU,iin),11l a statement apt to
suggest to the unwary that the relationship between caliphate and
law had scarcely changed,
There are indeed passages in which the 'Abbisids speak of
Prophetic sunna in its traditional sense of acceptable practice. Like
Yazid III, they owed their power to a revolt which had involved a
call to the book of God and the SUMQ of the Prophet;l" and like
him, they referred to this fact on their accession: they would rule their
subjects in accordance with the book of God and the sira/sunna of
the messenger ofGod, Diwiid b. 'An said, speaking on behalf of Abu
'1'Abbas.ln This clearly meant that they pledged themselves to
adherence to what their subjects perceived to be justice, not to
observance of a Prophetic SWlna embodied in I;ladith: the followers
of the 'Abbisids had made an oath of allegiance on justice Cad!), as
Sharik b. Shaykh paraphrased it,1I4 or on the observance of justice
and the restablishment of good practices (iqiimal al-'adJ wa-il}yii'

al-sunan), as Ziyid b. Silil;1 put it.l" When, on the death of Abu

'1'Abbis, 'lsi b. 'Ali said that 'God honoured him with Hiscaliphate
and re-established the sWlna of the Prophet through him we are
t,

hardly to take it that the SUIJIUJ of the Prophet stood for anything
concrete. 1M The expression is also used in its pre-classical sense
elsewhere.til
Nonetheless, it is clear that

$UIIIUl

as exemplified in l:Iadith was

M to tM tGptlUt 0/ CQlUlotItillopl, New York etc. 1974, vol. I, pp.

I 54f.; A. Ben Sbcmesh. TlVCatiOlt I1I /slom, vol. III, Leickn and London 1969, p.

l8.

161 Ibid.
162 cr. above, note 9.
163 Tlb., Kr. iii, p. 31 (s/ra); YI'qubi, Ta'rDclr, vol. II. p. 420 and Ibn Abi ,.I;lad"KI..

SJuuIJ, vol. VII. p. 1 .54 (.nIMQ). Tbe IWO lenni ...eze practically synonymous II tbe
time: (Bravmann. SpiritwaJ Brr'*lrowtd. pp. 134ft". ; BnYnWln'. opinion thai J',al
RarW AIIM, 'tbe prooedun:/practioe of tbe: Prophet', hH not yet acquired tbc

of 'bioaraph, or tbe: Prophet. is (:Orroboratcd by tbc flct that Ibn

liOiq'. biOJrlPhy ohbe Prophet was not oriJinally known IS sftal RJuNJ All4It,
cr. the Irticle by Hindi melle<! to below, note 2(1).
Bal.. AN., vol. Ill, p. 171.
Bal., AN., vol. 111. p. 168.
Bal., AN., vol. III, pp. 186f.
NOle in panicuJar 'lqd, vol. IV, p. 240,I-.a, where Mubammad b. 'Abd ai-Malik
alZayyil states thlt caliphl have a nabt to ,Ia Ind "IZf from lheir lubjc:d.l,
while the subjects have a nabt to 'adJ, ,ti/a aDd ilJy4' 01_ a/f6/iJIa from the
caliphs.
meaninl

164
165

166
167

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God's Caliph

something with which the 'Abbasids had to coexist from the start.
Abu Muslim had been confronted with Pharisaic aiib al-J,adi,h who

wished to test his knowledge ofiqh on his appearance in Khurasan ;111

j
and when government came to be conducted from Iraq, it soon

became a matter of public knowledge that people there professed to

have discovered what sunna was in concrete tenns. Seen through the
eyes of al-Manijr, this comes across as an exciting development in
scholarship with a minor political pay-off, Already before his
accession, we are told, he 'had roamed the earth . . . written (downJ
l;Iadith and acted as a transmitter in mosques';'" and after his
accession too he 'remained well known for seeking
allla,'.m He displayed particular interest in such

'i1m, jiqh and

sunan as the

scholars could trace back to his own ancestors: thus the Meccan
j
scholar Ibn Juray, who was short of cash, was lucky to have in his
possession an unrivalled collection of I,adith Ibn 'Abb4J;17l and the
nuuhddyikh of Banii Hashim self-<:onsciously donned rose-coloured

(muwa" ad) robes of il,riim when perfonning the pilgrimage in

accordance with a tradition in which 'Ali, acting as spokesman of

the Hiishimites, puts 'Umar in his place on questions of sunna.17t
Fuqahii had accompanied AbU Ja'far and other Hishimites on a
journey to Abii Muslim in Khurasan on the accession of Abu
'I-'Abbiis;m and when AbU JaTar had become al-Manur. he
'

admitted Ibn Tahman, the author of a book on sunonli " jiqll, to

his majlis and paid him an aUowance.174 But pace Nagel, none oflhis
seems to have influenced his concept of the caliphal office or his style
of governmentY' In public al-Manur apparently never referred to
168 811.. AIU., Yolo III. p. 1)2.
169 al-Maqdili. Klt6b aIbad' wtlf-ltirDch. ed. C. Huart. Paris 1899-1919. Yol. VI. p.
90. To al-Maqdisi. a Mu'tazilite, this WiU one or a]-Man,ur'. bad qUllities.
170 Sal., Ani., Yol. III. p. 183.
171 Kha\ib. aa,1uI6d. Yol. x. p. 400. NOle thlt ll-Mln,ur WIS not ordinlrily interested
in 1Jttd.ds. which he dismissed II otiose fJasllw (Yol. x. p. 4(4).
172 Tlb. ser. iii. p. -452; compare II-Shill'i. KilQb af-wnm. BilIiq 1321-6. vol. II, p.
126'.t1: Ibn Bibiiya. MtJIf fiJ y fIrM1n.. cd. 1;1. M. II-Kharsin, Tehran
1390 shamsi. Yolo II. p. 215; we owe the last two rererences Ind our undentandinl
or the first to Michael Cook.
173 Sal.. AIlS'. Yol. Ill. p. 151. cr. ISS.
17-4 Khalib. aa,lrddd. Yol. VI. p. 110; Ibn II-Nadim. FUrrb/. ed. R. Tajaddud. Tehran
1971. p. 28-4. On Ibn Tahmin. see now M. T. Mallick, Lire Ind Work orTbrihim
b. Tlhmin (a Traditioni.t of 2nd/8th Century)" JartltJ/ 0/ I PaJclJ/tJIf
HbloriC'(J1 Sodtly 2-4 (1976). Millick believes that his KitiJb lIl-SIUUUI is 10 be
identified with his Kilob af-mruhyakha (for which see Rft1W tit f'lTlSIIIIII dts
Mruflucrl/s AraMs 22 (1976), pp. 2-41-300; subsequently republished with fuller
apparatus in Dlmascus 1983 by Majmd aI-flqM al-'flrabiyya).
175 cr. NiseI. Rtrlruftilurtt. esp. pp. 91ff. N'&e1111O wron&ly conveYlthe impression

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85

the sunna ofthe Prophet, the Companions or others, nor does he seem
to have quoted l;Iadith to his subjects. /nnama ami sulran Allah jT
arc!ihi. ' I am simply the authority of God on His earth ', he said,
echoing Umayyad statements to the same effect. 111 To him, as to his
Umayyad predecessors, obedience to God's deputy on earth was the
beginning and end of the matter.177
It must be said that al-Man$ur's stance was surprisingly nonchalant,
especially in view of the fact that he had been walned by Ibn
al-Muqaffa'. Il' ln his RisaJajT'l-lalJiiba Ibn al-Muqaffa' refers to the
kiliib and SlOlna on several occasions, usually in tandem, but without
leaving any doubt that both were now regarded as autonomous
sources of law.1n Sunna is here something exemplified in alhiir,
traces ' or' past decisions' ;lH more precisely, it is precedents attested
for the Prophet or the a'immal aJ-huda afier him (whoever they may
be), as opposed to rulings by the Umayyads, whom Ibn al-Muqaffa'
dismisses as mere amirs.lIt Now contrary to what one might have
expected, Ibn al-Muqaffa' was not worried by the fact that private

116

that the J_ in whkh al-Man,ur was interested was Prophetic in the technical
sense of the word. One ",,*,#111 did quote a Prophetk tradition to him (Bal..
AM., vol. m, p. 262), while another invoked the Prophet'sexample (Ibid. p. 200) :
but neither Ibn Tahmin', JIIIUIII/1 'I-fiqll nOf Ibn Jurayj'. collection of 1,tJdf/1I b.
'AbMr nt<usarily went back to the Prophet (tboup Ibn Tlhmin's Klf4iJ
t h); and the ,""",'(Urad
01 mprllyoJduJ docs contain a !ood deal orProphetic l;Iadl
clothes were based on the authority of'Ali, Nasel also sees proof or al-Man,ur's
l
C:II)' uttered by him on the death of the
esteo:m fot the J_ in a Line IUppu
proto-Mu'tazilite 'Amt b. 'Ubayd: 'when men disputed about a $WIIXI, he made
lhe I,odrlll plain with wildom and elep.noe' (RIIt1til""" p. 100). But learlnl
aside the fact Ihat Ihis line is miMinl from the version of the poem given in the
Flllris/ (p. 203; contrast Ibn Qullyba, 'Uyiirl, Yol. I, p. 2(9). 'Amr b. 'Ubayd is
more likely to have been a Qut'inic fundamentalist than a believer in tnc validity
or!:Iadilh (and the ddM brl-Qur'011 ofthe pot'" has been mistranslated by Nagel):
and lauaia '/-I/lllh
lIl presumably means no more than that he spoke cle.rl),.
Tab.. ser. iii, p. 426; Bal., AIIJ.. YOl. til, p. 268: 'Iqt!, vol. IV, p. 99, with special
tere'C'M to the rid that in that capacity he WIS treasurer of God's nt41 and/ay .
a. Tab., set. iii, p. 4()4. It is thus hard to accept the claim that 'the main reature
oflal-Mansur'J] policy was to esllblish "Orthodox)''' based on the Ql,Jrin and
tnc SJIMQ' (F. Omar, 'AbMriyy5/, BaJhdad 1916, p. 132).
cr. S. D. Goitein, StJUkJ Ut IJltllflic Hislory tJIId 11IJtirufiOftJ, Leiden 1966, ch. 8;
E. I. J. Rosenthal, PoIilicoJ 11IGlllIII Ut Mtvlin:ollslom, Cambridge 1968, pp. 12ft'.
Ibn alMuqalJa', RisdloJn-, ed. C. Pellat under the titk Ibfl aI-Muqafftf,
"Conseilleut" du Calife, Paris 1916, I 11, 25, 35, 55.
Ibn .I-Muqaffa', RiJ4/a, 17, 37. In his glossary Pellat sugests that Ibn
al-Muqaffa' used the word a,lIor to include both tcriptural and non-scriptural
precedent, and t 1 1 could be liken to IUgest this; but in g31 he speaks or JMy'
malm;, ",Ut aJ-JaJoJ, which can SCll'ttly include the Qur'in. To translate alMr
by 'disposition tcriptuaire' as if it had flo/hi,., 10 do with tradition docs JeC'"
a bit e"treme.
Ibn al-Muqaffa', RisiJla, 35.

111

178
119
180

181

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God'$ Ca/jph

scholars had engaged in the definition of the law: this he simply took
for granted, yet another indication that the scholars had been active
for some time. But he was alanned by the failure of the caliph to
intervene in their work. In the absence of caliphal control, he said,
the law was both arbitrary and lacking in uniformity, which was true
enough : a story set in Kufa about this time has a man receive three
different answers to the same simple question from three different
Kufan/aqihs. 11t Accordingly, Ibn al-Muqaffa' said, the caliph should
review these conflicting rules, draw up a code of the ones which he
endorsed, forbid adjudication on the basis of the discarded ones, and
leave it to his successors to revise the code from time to time.llt This
would have restored to the caliph control over most of the law.
An early Andalusian source claims that al-Man$iir commissioned
the Muwaua', a short legal manual, from the Medinan jurist Milik
b. Anas,ll4 while other sources say that he (or al-Mahdi, or Hiriln)
resolved to impose the Muwaua' on his Muslim subjects as the sole
authoritative legal work, only to be dissuaded by Milik on the
ground that differing legal practices were too developed at the local
level for such a measure to be politic or even feasible.iii A similar
objection was raised by Milik in a report in which al-Man$iir is said
to have told him, ' I should like to unify this 'i/m so that I can have
it recorded and sent to the army commanders and judges in order
that they [may) make themselves acquainted with it. He who later
on acts contrary to it, I shall have him beheaded! ' : Milik's response
was that any attempt to divert people from their local ways of doing
182 W":i', Qv4"", YO\. U1, p. 46. The thm: !cpl uperu ....
e
re Abu l;ianir., Ibn
Shubrum. and Ibn Abi Layll.
III Ibn .1.Muq.K., RUMG, 1]6.
1&4 'Abd .1M.lik b. f;I.bib (d. 85) or 854), Tarllr.lt. MS Bodley, M.rsh. 288, p. 161
(4mQTMIl bl1WlI/' mtlWdffG'IIti). cited by M. J. KiSler, On "Concessions" .nd
Condl.lCl: . Study in Early lIadftlt' in G. H. A. Juynboll (ed.), StuthtSOft 1M First
Cmt'"Y of III_Ie 5.ty, C.rbond.le .nd EdrdIYille 1982, pp. 9], 2:W-.
185 .Ir.barf, aIMllltlaJclwh ml" kltdb dMy/ aI.mudhayyuJ min IG'rllr.lr uJ'laI}4bD
1t'Q'/riJbi'TiI in hi. Ta'rllr.lt, 1Cf. iii, p. 2519 (Ibn Sa d from .J.Wiqidi). In IbrAhim
b. l;i.mmid1 report cited IbUJ. the caliph is .1-Mahdi .nd the MIIWQf(a' is not
referred to by n.me. In .1-Gh.zlli. 1,,)'4' '1I1iim aIdIn. C.iro 1282. yol. I. p. 24,
the caliph is Hiriin .nd Milik inyokes the Prophet'e tradition Ilcltti/df aI1UIIIff(I
r(cited by Goitein. SIwt/WS, p, 164n). Furthcreumpln.re cited in A. Amin,
Qu;IJ '1-I1I41P1, yo!. I, Cairo 19)), pp. 21Of. Schacht dismiued thex ieportJ as
'

'

.necdotes (Ell. UI. Milik b. An.s, col. 206b) eJlpressinl Muslim rejection of
the same Persi.n ide. of codification which he cl.imed to dilCem behind Ibn
.1Muq.Ir.... .dvim ('Foreip! Elements in Ancient III.mit Law', JOID'1IQ/ of
CompGTGt u,lJlatltHl, third klia, )2 (1950), parts iii .nd iv, p. 11; Mhnoinl
tit /'AeGiM",. ''''trftGtiO#talt tit Droll COffIpari ) (1955), part iy, p. 140).

C;.pyrlghted material

From caliphal to Prophetic sunna .- the 'Abbasids

87

things would be regarded askufr. 1M Nowifal-Manu.rdid commission

or select the MUKlaua' as a first step in following the advice of Ibn
al-Muqaffa', then the choice was a poor one: Malik was no substitute
for a panel of jurists such as that brought together by Justinian for
the codification of Roman law (a point which Malik himself in effect
makes in the reports just referred to);111 and in practice, and for
whatever reason, neither al-Manur nor his successors implemented
the advice by promulgating a sole authoritative code of the realm.
The possibility that al-Manur felt too insecure in his power for so
momentous an undertakinglU is not inconsistent with Milik's
reported view that it would be seen as kufr. It may also be that he
simply did not realise that his power was being undermined, though
it should be noted that Ibn al-Muqaffa' was not the only person to

givewarningsofdanger: thus M usa b. 'lsa al-Kisrawi, acontemporary

ofIbn al-Muqaffa', wrote a book 'on the inconsistencies ofthose who
maintain that qillfjs do not have to abide by the instructions of the
imams and caliphs in their performance of their official duties '.II'

Whatever the truth of the matter, the newly developed concept of

sunna scarcely impinged on his conduct of public affairs.
Given its importance to al-Manor as a cultural phenomenon and
to Ibn al-Muqaffa' as a political one, it is not however surprising that
the new concept of sunna went public under al-Manur's son and
successor, al-Mahdi. According to the vizier Abu 'UbaydaU.iih, God
had made al-Mahdi 'the one who conducts the affairs of His servants
and His lands, and the bringer to life of His sunan' ;1" in a verse by
Marw.iin b. Abi 1:;18f$8, it is the Prophet's sunna rather than God's
sunan that al-Mahdi revives;1fl and in the estimation of Mu'arrij
al-Sados!, it was al-Mahdi's own .nman which were worthy offame. I"

186 Juynboll, Muslim Tradition, p. 63, cilin8 Ibn Abi l;Iitim, Taqdimot ol-mdri/o
/i-leitOb oJ-p." ""til-ta'rI11, Hyderabad 1952, p. 29.
187 Note particularly alTabari. Mlllltakhab, p. 2519, wbere MAlik says that he has
done hi. best in tbe Ma",rib, while a1-Shim has had aI-Awzj'i. and as for tbe
people of Jr.q,fa..m.n aid oJ'Jr4tq.
188 As sugested by Crooc. Slows on Hotss, p. 70.
1119 Kit"'",,'v'l(jllr man :a'_ 411 14lIiyo l1liyaqtadiyo '1-qwI6JtfTMa(iJ'imlhim
bfl-"Imma ""a'I-kltuJaf4'. FihriJr, p. 142; first adduced by Schacht. 'Ousicismc:'.
p. 1 59n; oompare 'Jqd. vol. i. p. 98.... wbere 'Umar II MY. that iqtidiJ' hfl-a'imma
is one of tbe qualities r.t("11' in a perfect q4l!f.
190 Safwat. lWs4'iI. vol. III. p. 161, citinll ibn Tayfur, Kil/1b almlI1f:fUm ",,"I-_tlM.
e
191 Aghif1l1. vol. x. p. 89. Goldziher was orlhc opinion thal lhis poem could nOI h....
been dedicaled to any Umayyad. except 'Umar II (Muslim Stvdis. vol. n, p. 56);
we must be, to differ.
192 Above, chapter 4, note 61; tbe examples aiven speciry his rodd aJ-ma:faJim .nd
his allocation of various kinds of stipend.

righted matmal

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God's Caliph

All this is very much in keeping with the Umayyad way of speaking :
God's sunna is that represented by His Prophet and perpetuated by
His caliph, sunna meaning little more than what is right. But the
Umayyads had not been in the habit of speaking quite so much about
sunna as were the 'Abbisids, and al-Mahdi himself made it clear that
he envisaaed Prophetic SUMO, at least in part, as something exempli
fied in ijadHh: in a Jetter dated 159, composed by the vizier Abu
'Ubaydallih and concerned with the descendants of Ziyid b. Abihi,
he secured for himself the distinction of being the first ' Abbasid
caliph on record as having cited Prophetic tradition in a public

statement.I n In adopting Ziyad b. Abihi as his brother, he said,

Mu'awiya had contravened the book of God and the sunna of the
Prophet and failed to observe a sunna hiidiya and qudwa mat/iya
coming from the imams of truth (a highly charged tenn which here
seems to designate those who had transmitted the precedents in

question), namely the Prophetic rule that the child belonp to the
marriage bed and the Prophetic prohibition of fictitious kinship ties;
both traditions are cited in full, though without jsnads.lt In the
following year al-Mahdi once more cited Prophetic l;{adHh in a
public letter, this time one addresed to the Khirijite 'Abd ai-Salam
al-Yashkuri: in withdrawing his obedience from the caliph and in
slandering 'ATi, he said, 'Abd ai-Salam had disobeyed God and His
Prophet, there being a yaqin rat/I" wa-J,adi,h fadiq from the Prophet
stating that 'everyone whose master I am has 'Ali as his master
too '.It' We leave aside what particular motives al-Mahdi may have
had for according so emphatic a public recognition to the sunna
which his father had cultivated on the side:l" We take it that if
al-Mahdi had not done so, one or the other of his succesSOr! would
soon have done something similar.
AI-M ahdihaving taken the lead. however, Hiruncertainly followed
suit. This caliph appointed as his chief qa<!f (apparently the first of
the kind) the l;Ianafi Abu Yusuf, a scholar who composed for him
the famous work in which the sunna on taxation is illustrated with
reference to some 300 traditions going back to various early figures,
19) Tlb., ller. iii, pp. 479ft'.
194 Af'''''ofad fff./"d.Jh (d'. Schacht. Or;gill!, pp. 18If.); mall Idda'd ifd gho)" oblhi aw
jllt ifdglla)'r _""armi/a-'(Jfo),1Ii fdrl(JI Allah, tit (d'. Crone, Ronwn. Prot,jnC'1iIJ
ruuJ l!fQlff/C' lAw. ch. 21.

t9 Khlrrr. TorlU. p. 702.

t96 This question wu diSC'Ussed by M. llinds in 'The Early A.bbisid Clliphl lnd
Sunnl' Plp!:rp,CS(lIled II therolloquium on the Itudyorl;ladith. Odord 1982:
Hinds hopes to publish the relevlnt part in modified (om e\lIewhere.

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From caliphal 10 Prophelic sunna: Ihe 'Abbtisids

including the Prophet, that is the Kitabal-kharaj.U7 And JuqahQ now

seem to have formed a regular cadre ofthe state apparatus, in which
capacity their duties included accompanying the caliph on pilgrima
and witnessing the signing of important documents,'" as well as
answering such queries from qa41s as the caliph continued to
receive;UI apparently, they even had their own unirorm.:tfIO In his
letter of appointment to Harthama b. A'yan, governor of Khuriisan,
Harun stated that Harthama should make the book of God his guide
in everything he did ;10' if in doubt, he should consult the local experts
in God's book and thefiqh of God's religion. or alternatively refer
the matter to his imam, that is Harlin himself, so that God might
show the latter His opinion.lol In other words, legal experts who had
made their appearance outside the state apparatus now took
precedence over the God-inspired state itself. In the last year of his
reign Haliin corresponded with l;Iarnza al-Khariji, a colourful rebel
in Sistin whom he called to the book of God and the SWlnQ of the
Prophet in the traditional fashion.101 l:Iamza responded by pointing
to the book of God and His (sc. God's) SUno/VI: l;Iamza was a Qur'iinic
fundamentalist,lO. to whom guidance was incarnate partly in the
frozen fonn of a book and partly in the ongoing form of the 'way
or those guided by God in their hearts'.'" l;Iamza thus subscribed
to the old doctrine that guidance was available here and now (except
that it was not available rrom caliphs in his view). Hiriin, by
contrast, made it plain that sunan hadiya which the Prophet had
'

197 AbU Viisurs attitude 10 l;lad1th as a IOUrce of law in this work is diseuued by
A. Ben Slw:mcsh, TaxtJtilHf in /Jlam, vol. Ill, Ldden and London 1969, pp. Iff

who does however exaaerate the number oftradition5 in question (sec: the indelt
in the edition by I. Abbis).
198 They witnessed the document or amdn rOf tbe I;lasanid Vabyi b. 'Abdallih in
176 together with judges and Hishimitcs (Tab., sef, iii. p. 614; cr. allO Kildb
al'uyiin. p. 293). They took part in the drawinl up and witnessin, or the 50lemn
documentsohl'C""sion durin, the pilJrimage or 186, apin 10aether withjudtts
and otbers (Tab ser. m. pp. 6S4; Kitdb QPIIJW!, p. 304). Eycry time: alRashid
went on pil!rimaF he was aocompanied by I hundred fuqaM' and their IOns
(Tab ser. iii, p. 741).
199 cr. WatT, QIIf/dIr, vol. II, p. 142I
ltJ IOIlntJ
200 a. A,"""f. vol. VI, p. 291 (kdMyc(lammu bJ.'jmQma SOli''''' 'tJld qtJitIIUIWl
.

__ytJibtuu /ibM

al.JuqtJhd'
201 Tab.. ser. iii, p. 717.

tJqbtJ/tJ Abii Yiisu[tJI.qd41blo(Jf1}dbl1rJ aliitJi.qtJIanu.

202 U-yllriJ'tJhll AlJdIt 'tJ:ztJ lI'o-jalJa rtiy.

203 Scarcia. 'Scambio". p. 6)4.
204 Scarcia, 'Scambio', p. 636: cr. above, note )4.
lOS Sabfl _ IItJd6 '11M qtJibahvm (Scarcia, ' Scambio', p. 636: we arc indebted to
Zimmermann. 'Koran and Tradition', note 140, for our undetsllndinl of
l;Ianwfs posilion).

righted matmal

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God's Caliph

made clear were to be found in l;Iadith from him and other figures
of the past.IOI In this interchange 'Abbasid history has come full
..de: an 'Abbisid is here calling to the book of God and the sunna
of the Prophet in the sense of something authenticated by l;Iadith,
whereas the rebel speaks the language which the 'Abblisids themselves
had spoken in the past.
From Harim onwards, references to the sunna of the Prophet in
its classical sense become commonplace in 'Abbasid statements, and
this is scarcely surprising. By 767 the classical account of the
Prophet's life, Ibn Isl;taq's MaghOzi. had been written,"' while at the
same time the classical schools of law were under fonnation: Abu
l;Ianifa died in 150/767, Malik in 179/795, and by the reign of
alMa'mun. alShifi'j had fonnulated his jurisprudential doctrine.
Given that the 'Abbisids had failed to control all this, they had to
toe the line.
h might be argued that they could toe the line with impunity until
alShifi'i's doctrines had won acceptance. It is plain that preShifi'ite
sunna was what Schacht called ' living sunna' rather than a dead one,
that is to say it was the putative practice of the Prophet as continued
by later generations rather than one sealed in the lifetime of the
Prophet himself. Sunna was defined by the Prophet and later a'immat
alhudlJ/qawm.rlJlil}un, as Ibn al-Muqaffa' and Abu Yusufsaid,l08 and
a great deal of it was still sunno in the sense of being ra'y rashid. In
principle the imams of guidance/righteous people could well have
continued to include 'Abbisid caliphs on a par with scholars, and
the 'Abbisids could thus have continued to be seen as following the
srmna of their pious forebears all while establishing their own very
206 cr. Zimmc'IIIAnn, 'Koran and Tradition', nott 140. In his commenuon lhe pAper

by Hinds al lhe colloquium for lhe 'tudy of Ijadith, O.rord 1912, Zi

mmc
.
... ann
pointed out thai since I;famza's letter is line-byline riPOSlt to Hiliin', his
rejection or _ as authenticated by l;Iadith sugesU thai Hiriin lubtcribed to
ii, and thai l;firUn in fact meres to a ljadilh in thi. lelter, however implicilly.
Hirun invokes the Qur'lnic statement thai obedience 10 the Prophet equals
obedience 10 God (Qur. : 81). conlinues by rererrinl to God', book and the SUItGIt
WIIO which MutJammad had made clear, and concludes by invitinl l;famza to
obey lhe book of God and lhe .fMIUJQ of Hi, mennJrf by obeyinl the caliph.
Thi. prauppotel that obedie,," 10 the caliph equalled obedimu 10 the Prophel,
and thus 11$0 to God, .U&ltSlinl thai Hirun had in milK! lhe I...dilion died by
AbU Yiisuflo lhe Cffl lhll he who obeys the imam obeys the Prophet (KIuu4j,
p. 80).
201 a. M. Hinds, "'Maahizi" and "Si..." in Elrly Islamic Scholanhip' in lA ,,
dII propltitt MoItotfvt, CoIJoqw SlrtUbourr (octobrt 1980), Pari. 1983, on
the aripnll title of Ibn bl;iiq', work.
208 cr. above, noles 161, 181.

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From caliphalto Prophetic sunna: the 'Abbiisids

much as the Umayyads had done: it was only with al-Shafi'j that
sunna ceased to be something which could be made here and now.
In practice, however, this argument is not correct. On the one
hand; living sunna was not very alive, or rather it was only alive to
scholars. Whoever Ibn al-MuqaJra"s a'immat al-huda may have
been,"' Abu Yusurs qawm iililJiin included no caliph later than
'Umar II, while the last caliph to be cited as an authority on law in
the Muannaf of Abd al-Razzaq (d. 2 1 1 /826) is Hishiim.1IO No
'Abbisid caliph is invoked as an authority in legal l;Iadith, the
incomparable nature of al-Mahdfs sWlan notwithstanding. III The
fact that the Umayyads had to be expunged from the record (with
the exception of 'Uthman and 'Umar II) was bad for such sense of
caliphal law as survived: in principle the 'Abbasids could have made
living sunna, but in practice theCa'noo -ofcaliphal law had been closed,
It was only scholars such as Abu l;Ianifa or the aptly named Rabi'at
al-Ra'y who wert still in a position to institute sunan, and for such
scholars al-Shifi 'j's theories were indeed a threat. Eut for the caliphs,
they did not make much difference.
On the other hand, even living sunna was very detailed. It was easy
enough for the Umayyads to follow the sunna of David, Solomon,
the Prophet or past caliphs, given that the sunan in question rarely
had much concrete existence; it was an altogether different matter
to follow or restore the sunna of the Prophet and the early caliphs
once l;Iadith had got underway. Having been deprived of the
authority to institute new SWlan, the 'Abbasid caliphs also found that
the past which they wert supposed to imitate consisted of narrowly
defined rules, nol of vague ancestral practice compatible with any
interpretation which they might wish to put on it. In practice, their
hands had thus been tied.
To this must be added the point mentioned already, viz, that since
Prophetic sunna was defined in the main by private scholars rather
than by public servants, its rules were frequently and indeed inten
tionally unhelpful to the state. This is not to say that the scholars
'

as legitimatt by the
'Abbisidsat this stage was 'Ali, SU&F$ling Ihal tht Q'imtnQ includtd pnwnsothtr
than caliphs, t.,. worthy forebears of the dynasty such as Ibn Abbis, But bert
1$ dsewhere in the Risjj/Q, Ibn al-Muqaffa is prudt'lltly vagut.
210 Abd alRazziq, Maf, vol, x, no, 18298.
211 The ntat W't tel to it is Kindi, G"'Q'1, p. 370, whcrt Ibn Lahi'a, an ElYPtian
judge sa)'1 thit a\-ManJiir wrott to him sayin, an"C/hu Iii y(Jjil!Il/,.llj(J.. ..I1l
1tf.lJiimii pu/l!qQr-- .Q/jj ...iUitil (1ie). However thi, is to be undtrstood. it cltarly
represents tht Commander of the Faithful as an authority of law; but no IJadith
collection saw fit to includt it.
2Q9 Presumably the only nonAbbisid caliph

recognised

righted makrKlI

91

God's Caliph

advocated disobedience to the caliph ; on the contrary, l;Iadith is

quietist, But though the subjects had to obey the caliph, the caliph
in his turn had to abide by rules which in matters such as taxation,
penal law, the fixing of prices and the like comiued him to a policy
very different from what he might otherwise have had in mind:
humane though it is, Abu Yusufs Kiliib al-khariij could scarcely be
recommended as a rational approach to the problem of taxation.
Naturally the caliph could ignore the sunna and he frequently did:
but what is a deputy of God who is forced to contravene God's law?
The scholarly conception of Prophetic sunna was thus a threat to
caliphal authority from the moment of its appearance. The only way
in which the caliphs could have survived with such a law would have
been by reserving the right to act as its ultimate arbiters, or in other
words by selecting from the works of the scholars such rules as they
wished to recognise, depriving the rest of validity, very much as Ibn
al-Muqaffa' had suggested. Though al-Manur did not apparently
respond to his proposal, there are suggestions that both he and other
caliphs saw themselves as arbiters of this kind not so much as caliphs,
but rather as kinsmen of the Prophet (a quality which the Umayyad
caliphs had conveniently lacked). As has been seen, al-Manur
displayed a special interest in l;Iadith transmitted to and from
Hiishimites. AI-Mahdi explained that in his capacity as kinsman of
the Prophet he had restored the sunna ignored by Mu'awiyall1; on
another occasion he settled a question concerning the sunna of
moustaches with reference to a tradition going back, via his father
and grandfather, to Ibn 'Abbas.1II Similarly al-Ma'miin explained
that of all people who followed the sunna of the Prophet he was the
best equipped to act in accordance with it, partly because of his
position in God's religion (.fc. his being khalifat Allah], partly because
of his succession to Mul)ammad [.fC, his being khalifal rasUl Allah)
and partly because of his kinship with the Prophet.1I4 But though
the 'Abbasids would assert their special position vs-a-vis
i
the sunna
in connection with this or that policy of theirs. they never claimed
to have ultimate control of the law as such, nor could they have done
so without rec:laiming the entirety of spiritual authority once vested
in the caliphate. The law was the sum total of God's guidance, not
merely matters of relevance to courts, for all that Ibn al-Muqaffa'
only considered it as such in his

Risiila: it dealt with every aspect of

212 cr. llbove. note 193.

213 W.tT. Qu4d/I. vol. II, p. 130.
214 Bat., FUIUIJ. p. 32. cited by $arwat. Ra.fdiI. vol.

lit,

p. 509.

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God's Caliph

On the face orit al-Ma'mun sought his resouJ'ts for a restoration

ofcaliphal authority in Shrism, first by designating the eighth imam
of the Imimi Shrites as his successor, and next by assuming for
himself the prerogatives of this imam. displaying the religious
authority which he had won thereby in the institution of the m;na,1II
But though the erosion of the original concept of the caliphate within
mainstream Islam on the one hand and the Hishimite descent of the
'Abbisids on the other both predisposed al-Ma'mun to seek a Shrite
aegis for his ventures, it was in fact an Umayyad caliphate which he
tried to restore (just as it was an Umayyad Dome of the Rock which
he tried to claim for himself in Jerusalem),
It may admittedly be argued that his designation of 'Ali al-Ri4i
had little or nothing to do with his concept of calipha! authority:
a recently uncovered document claims that he nominated the
'Alid in the belief that the end of the world was at hand,tl' If this
is accepted. there is no question of regarding his choice ofai-Ri4i and
his institution of the m;na as two different strategies towards the
same objective of regaining religious authority for the caliphate, In
return his choice of al-Ril;lii would highlight the threadbare nature
of 'Abbisid legitimacy after the fourth civil war: for if the caliph
thought that he could only avert wholesale massacre ofhis kinsmen
on the day ofjudgement by handing over to an 'Alid. then the caliph
himself had evidently stopped believing that the 'Abbiisids had a right
to rule, Loss of legitimacy and loss of religious authority went hand
in hand under the Umayyads and the 'Abbisids alike : the designation
of al-Ric;ti might be a reaction primarily to the fonner. the institution
of the mina primarily to the latter, But there is reason to be sceptical
about this claim, forit was precisely in connection with the designation
of al-Ric;li that Umayyad concepts of the caliphate resurfaced, Thus
the title ofkhalifat A/liih returned to the coinage. its first reappearance
there being on coins issued in alRieji's name : and the message
behind this come-back can hardly have been other than that the title
was now meant to be taken as seriously as it had been in the days
of'Abd ai-Malik: MuIJammad rasiU A/Nih. a/Ma'miin khalifat Alliih,
as the inscriptions proclaim, neatly restoring the old parity between
2 1 8 cr, F, Olbrieti, alMo'rnWt t ,Ii 'Alidl, I...eipvg 1929; D, Sourdel, ' La. potilique
retipeuse du Cllire 'Ibbuide II-MI'mun" Rt'IIt drs tludrs 1!larniqw! JO (1962):
Pitton, A,,_d Ibn IIC/tIbo/ ami 1M MjMa; W, Madeluna. 'New Documents
conceminS II-MI'mun, al-FII,tI b, Slhl Ind 'Ali II-RK,Ia' in Sludio Arahica tl
I!//JI/'Iieo: Ft!/n:ltrij'l/or IIJs6n 'Abb43, ed, W, It-Qi4i, Beirut 1981.
219 Mldelun" 'New Documenu', pp, }431f,

C;.pvrlghted material

From caUphal to Prophetic sunna: lhe 'AbMsids

95

messenger and deputy.lto And at the same time al-Ma'mun made

heavy use of Umayyad epistolary style in the letter he sent out from
Khurisan announcing his choice of al-Ric;li as his successor.
This letter, of which we offer a translation in appendix 4, is so close
to that ofal-Walid II in terms of both structure and terminology that
one suspects that it was directly modelled thereon (and al-Walid II
is in fact known to have sent a copy of his to Khurisan).1tI Like
al-Walid II, al-Ma'mUn begins with a review of sacred history divided
into an era of prophets and another of caliphs. The era of prophets
began when God chose Islam as His own religion and sent messengers
with it until in due course the prophethood reached Mul)ammad,
who here as in al-Walid's letter preaches the same as all the previous
prophets and completes God's message to mankind. The era of the
caliphs began when, on Mubammad's death, God set up the
caliphate for the maintenance ofHisJaro'i4and "udUdand the shard''''
and sunan ofIslam, as well as for the conduct ofjihlid. As in ai-Walid's
letter this is followed by a section stressing the importance of
obedience to God's kharifa, though al-Ma'mUn has less to say about
this than does al-Walid and, unlike him, also refers to the caliph's
responsibilities in respect of his subjects. Here as there the caliphate
is something which brings together the disunited, while the covenant
of succession is a refuge and part of the completion of Islam. Both
caliphs stress that they have had no greater preocc:upation than the
succession since their accession, and both conclude with a paragraph
on the benefits which will arise from giving allegiance. Leaving aside
Qur'inic citations not used by al-Walid and the circumstantial detail
regarding al-Ric;li and the 'Abbisid retinue. al-Ma'mUn's letter
differs significantly from that of al-Walid only in that it refers to the
kiliib/kitiib Alliih and sunna/sunnat nabiyyihi, as well as to the sunan
of Islam, where al-Walid speaks only of the sunna ofGod, and further
in that it cites a tradition, more precisely a Companion tradition
(from 'Umar I) on the responsibility of caliphs for their subjects. The
message is otherwise precisely the same as that of al-Walid : it is
through the caliphs that God's ordinances are maintained. The letter
220

Cf, above, ehapler 2, nole 26, According 10 Shahan, Islamic HUlor,. vol. II, p,
47, alMa'miln ga Ihe caliphal title 'a twisl to sianify thaI the ruler was God's
deputy on eanh, instead of lhe simple earlier meaning of SU<.'ttSf
SO ' in order 10
give his authorily greater semblance of religious function', But al-Ma'miln did
nol twist the lille. and his useofit wudearly farmore programmalic Ihan Shahan
suggesu: whaler inlerprelalion one adopt. of hi. religious policy, he ccnainly
did not inlend simply 10 beautify the caliphale with some religious cosmetics,

221

Cf, .ppelldix

2, p, 117,

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96

God's Caliph

thus amounts to a restoration of the Umayyad concept of the

caliphate rather than to preparation for the end of the world.
The failure of the experiment with al-Ric;li notwithstanding,
a1-Ma'mun remained faithful to this concept. The caliph observes
God's book and protects the legacy of the prophets (once more in
the plural), as well as the J,aTfm ai-din, as we are told by al-Ma'mun's
secretary, once more in tenns reminiscent of al-Walid's; He is aJ-qii'im
bj-aqqihi, the one who undertakes God's right'.111 And al-Ma'mun
reaffinned this point on his institution of the mil]na. 'God has made
it incumbent upon the imams of the Muslims. their caliphs, to strive
for the maintenance of the religion of God with which He has
entrusted them, the heritage of prophethood of which He has made
them legatees, and the transmission of knowledge which He has
committed to their care ... " he said, this time spelling out the
implications thereof in no uncertain tenns: the Commander of the
Faithful knows that the great multitudes, the mass of insignificant folk
and vulgar public who in all regions and countries are without insight
and deep reftection ... are people ignorant of God and too blind to
see Him ...because of the weakness of their views. the deficiency of

their understanding and their turning aside from reftection and

recollection'.m Through the mil]na al-Ma'mun thus intended to
resume the old caliphal role of curing spiritual blindness. But the

miJ,na was a failure too. Ibn Abi Du'id was no substitute for
al-Farazdaq, and the vulgar masses did not want the cure: under the
leadership of Ibn l;Ianbal they rejected caliphal guidance in religious
matters once and for all.
222 SarwII, Rasd'lI, vol. Ill, p. 398, citing Al)mld b. Yii5ur in Ilc/uij'ifr ol-nuur.WrI
1\-a'J-nuurtmw.
223 Tab. ser. iii, pp. 11 m.; Pltlon, A"-d IbIt 1101160/, p. 57.
.

CJPYnghted malenal

99

Epilogue

who transmit his traditions and his sunna, teaching them to the
people, in a l;Iadith familiar to Sunnis and Shi'ites alike,ll But the
caliphal title was apparently too closely associated with political
power for this evolution to be completed,
In the case of the heretics, however, there was nothing in al
Ma'mun's failure to force them to change their views on the
caliphate; or rather there was nothing therein to force them to change
their theoretical stance regarding this institution. In practice the
caliphate ceased to matter much to the majority of Sunnis and
Shi'ites alike. The Sunnis having stripped the head of state of his
religious authority, the Shi'ites lost such real interest in replacing him
with an imam of their own as they had managed to retain so far,
devoting themselves to the elaboration of their own law and doctrine
instead; only utopianists such as the Ism3'ilis refused to concede that
political power and religious authority had parted company for good,
But in principle the imam of the Imamis and their Isma'i1i offshoot
alike remained both head of state and spiritual fountainhead. That
the Imimi conception of the caliphate should be seen as an archaism
rather than an innovation has been suggested already, and the case
for this view may now be summarised as follows.
First, the Imimis and Isma'i1is identify the legitimate head of state
as deputy of God on earth,I4 They also identify him as the Prophet's
successor: like the 'Abbisid caliph, the imam is khalifa fi'lldh Iddla
ft khaliqolihi wolirasillihift ummatihi,II and given the descent of the
imams from the Prophet, this is as one might expect. Both sects
generally prefer the title of imam to that of kharifa, possibly because
the deputy of God is Qur'anically associated with bloodshed. and
thus fallibility,l' but undoubtedly also because he is historically
13 a1-Rimhunnuzi. oJ-Mw,addilh jJ/iI ba)'IIII '/rdwf ""'(1/,,,,,'81, ed. M."A.al
Khatib, Beirul 1971, p. 163; Ibn Bibiiya, Ma'6n1'/hb&-, ed. 'A. A.II-Ghll!iri,
Tehran 1379, p. 375 (omils lhe leachina).
I .. Cr. the references given above, chapter 2, nOles 57. S9-62.
IS Ahmad b. Ya'qiib, RiJd/a, fol. 86v. Compare above chapler 2, p. 16 (Hirun);
nOles 53 (alMutawakkil), and 58, 59 (olher Imimi and Ismi'm examples of the

imam as lhe Prophet's succesr).

so
16 This was cenainly an embarra ssment to ShTite no 1m than Sunni exeFles (cr.
above, chapter 2, nOle 5). Thus alTiisi finds it necessary to slreulhat the anselic
commenl reprding bloodshed does "0/ refer to the behaviour of prophets and
infallible imams, but rather 10 that of the rest of mankind, mankind beinl the
Icharl/a (successor) announced by God in Ihis verse (alTiisi, alTibydlt fl'aj"$fr
a/Qur'&I, ed. A.I;I.Qafir al'Amili and A.Sh.alAmin, Najar 1957-63, vol. II,
pp. 131, 1).4, ad 2:28); alternatively, Ihc ansels were referrinl to the behaviour
oftheJiNl who had previoUJIyoccupied the CIInh (ibid., p. 132: similarly al-Qummi,
Tafsir, ed. T.al-Mii$Rwi alJazi'iri, Naj.f 1386-7, vol. I, pp. )6(., where the
Ichaff/a is however resolulCly idcnti6cd as God's J,ujja on canh).

JPYrighted material

I()()

God's CaUph

associated with real control or the entire Muslim world, I' Justas no
separatist ruler could be a caliph. so a purely theoretical ruler could
only aspire to be one; when the Fiitimids officially proclaimed
themselves caliphs, it was precisely with a view to bringing the entire
Muslim world under their sway," But however this l1}ay be, the point
or significance here is that both sects apply to their own rulers a title
first securely attested ror 'Uthmiin, Clearly, they took over this title
as Muslim Gemeingut,lf
Secondly, the imams or the Imiimis and Ismii'ilis are intrinsic to
the attainment or salvation, Like the Umayyad and early 'Abbasid
caliphs they are a'immat al-huda1O and imams or justicell who guide
people away rrom perdition," God guiding people through them;U
and like them, they are and/or maintain the waymarks and beacons
or truth and guidance,u being light," shining suns, guiding stars,
17 JUII as 'Ali il the only amlr a/''''tI'millf1l in ImimI literature, so he tends to be
the onl)' /cluJlIfa, In principle all twelve imams were caliphs: the Prophet himxlf
predicted that theft would be twelvccaliphs after him (Ibn Shahrilhiib, MQllQqih,
vol, I, pp, 2S1 f,). But in practjce this is rorlOllen, for we are also toid thll there
havc only been four caliphs on elnh, Adlm, David, Aaron and 'Ali: those who
deny that 'Ali is the founh arc in for a nasty 5Urprise on the day of judgement
when it is announced that 'Ali is /chilli/a' Alldh/T art/ill' (Ibid., vol. II, pp. 26If.).
18 Khirijite or Zaydibreakawl)'S never adopted the caliphal title. be it because they
rejected it altoFtbcr or because they felt iI would have been nonsensical; it was
clearly becaU5C it would have bttn nonsensical that the Spanish Umanads
initially railed to do so: the Fllimkis had to devalue the title before they adopted
it.and it was felt to be an empty one even aner they had done so (d. F. Gabrieli.
'Omanadcs d'spagne et Abbasklcs" Studla /slQlf1ica 31 (1970), pp. 98tr.; and
note the absence ofcaliphal!ainWnC'f' here). Admilled ly.it was felt 10 bean empty
one primarily becaU5C the Spanilh Umanads did not control tbe hoi)' places
rather than because the)' dki nOI control lbe entire Muslim world; convenel)'.
it was control ofthesc places rather than world dominion which pve the Ottoman
caliphale a certain plausibility.just as it is control of the ..me places which gives
the Sa'Udi monarchs I quui<aliphal role today (as noted b)' M. Ruthven, /s/Qlf1
In'M World. Hannondswotth 1984. p. 30). BUI leaving aside the fact that this
is likely to be a scwndary development, the imams o(the Imlmis were not rulen
anywhere at all: they merely resirkd in Medina.
19 On a par with tbe title amualmtlmilrlir, said fint to have been adopted by 'Umar.
20 Sec ror uamplc Kulayni. K4/,t
no. 2: 12S and /HUsl,": T)'an.SI.I{'QIIQ', p. SISn.
21 a. Umm alKhayr on 'Ali in I;)abbi. WajidiJl, p. 29; 'Iqd, vol. 11, p. 117: and
Qalqalhandi, $wbIt.vol. I. p. 250. Sec also Kulayni.K4/t.vol. I. p. 178; Mu'a),yad,
or""iJn. no. 16:7.
22 Kulayni, K4/T, vol. i , p. 200.
23 Nu'min b. Bashir. Shr,. no. 22:26; Kulayni, K4/T.vol. I. p. 176.
24 Kulayni.KiJfi. vol. I. pp. 182.203; Oabbi. WiJfit/4" p. 67, on 'Ali (also in '/qd,
vol. 11. p. 102): Muanad.0;""011. no. 12:22: Ibn Shahrishiib, Mandqib, vol. II,
pp. 293. 297.
2S Sec for uample Kulayni, K4/T. vol. I. pp. 194( 200; MU'anad, Dr....an. nos.
II : 36; 12:22: I3: 18 and passiJPI: d. also U. Rubin. ' Ple-(J;istcnc:c: and Ught.
Aspects o( the Concept of Nur Mw,'"MIlJrI'. /sratl O'1I'al S,rMis 5 (1975).
.

Epilogue

101

lamps and the like, which dispel darkness" and make the blind see,17
salvation being essentially a matter of finding the right path.II They
are pillars of the religion,lt rain (gaylh)H and life to mankind;'1 they
heal jn they are the rope of God to which one should clingU and a
refuge for His servants.1t The imam is God's trustee (amiir Allah)"
and somebody who stands between God and His creation.at Whoever
dies without allegiance to such an imam dies a Jahili death according
to Shi'ite no less than Sunnl l;Iadith;11 without faith in the imams
one does not count as a believer.u 'He who does not hold fast to
God's trustee will not benefit from the five prayers' is a line which,
though originally addressed to Hariin ai-Rashid, appears in Imami
literature on 'Afi too.n
Thirdly, the imam of the Imamis and Isma'ilis occ upies the same
role vi.Ni-vis the law as did the Umayyad caliph. The imam 'makes
26 Kula),ni,KiiJi,vol. I. pp. 196.200,204; Kuma)'t,pp. 64, 149 _ 46, 101(nos. 2: 110;
5:27); cr. also p. IS = I2f. (no. 1:54); Abmad b. Va'qiib. R.OOla. fol. 101v.:
Mu'ayyad, Dt""6II, no." :; 52 :4-6.
27 Mu'ayyad. DTwQn, no. I : 152.
28 For particularly striking passages illustrating this point, see Kulayni, Kii/T, vol..
II, pp. 182,208: Abmad b. Va'qiib, R.i.JaJa, fob. 84r.-85r.
29 Kulayni, Kdfl, vol. I, p. 204 (da'a'im a1-1!1dm); Kumayt, p. 2 .. 3, no. I: 5 (qa",'a'id
aJ-IJ/dm).
30 Kulayni, K6ji, p. 200; Kumayt,pp. 3.9,99 &0 3, 7, 71 (no. 1:7,27; 3:97); cr. p.
154 _ 105 (no. 6: 18).
31 Kulayni, KUjF, vol. I, p. 204.
32 Kumayt, pp. 3, 4 .. 3, 4 (no. I :9, II); Mu'ayyad, Dldll,no. 37 :..3).
33 Cf. Ibn Shahrishiib, Maniiqib, vol. II, pp. 273f., where several tradilions
idmtifying the imams as IJabi AIiUJr and aI'w",'a al-wuthq4 are brought to&ether.
34 Kulayni,K4/T, vol. I, p. 2OO(-/:c1If1-'Jbdtf):compare Kumayt, p. 3 _ 1 (no. I:7),
where lhey Ire a ma'''''4 ror lhe guardians or orphans; Ibn Bibu)'l, MtllJItr, p.
371,where ""alaya' 'Ali' is "4,. Aliiih; Mu'ayyad, DTwiill, no. 2: 125, where they
an! '4ma mIUI 10dJr0 billim min aI-radQ; compare also DOS. 4: 22; 36: 5; 59:42.
35 Kulayni,K4jT, v ol. I, p. 200 (amflt AI/411ft khaJqiJII); cr. pp, 223,291, where the
same is said of Mul;!lmmad and 'Ali; simillrly Ibn Shahrishiib, MaII4qib. vol.
I, p. 212; vol. II, p. 257: Tyan,SuI,_" p. 514n,rilina Hini' on al-Mu'iu. II amrll

Alldh hayna'ibddihl).
36 Yaqlimu maqdm Allan bG)TKI'ibddihi, IS alMu'ayyad pul il (Dr
..
'4II , n. 37: 25),
But there does not appear t o be any Uma)'yad pi"-.kr!1 r(K lhe tenn "Iljja; and

the well known Imimi and Ismi'ili notion that God never leaves mankind. without
a "ujju (j.t.. I prophet or an imam) is only implkil in the Umayyad material.
37 Kulayni, K4/i, vol. I, pp. 376f: Ibn Shahrishiib, Malliiqib, vol. I. p. 212,with a
verse by IalSayyidJ all;lim),ari paraphrasing this tradition; Nu'min,DtiNim, vol.
I, nos. 43, 48f.; Atunad b. Vaqiib, RisaJa, fol., 83r.; Strolhmann, Stoaf!rtdu /kr
Zaldi/trI, p. 5.
38 Kulayni.K4fl. vol. I, p. 180; compare Ibn al!;Iajjij in Ibn Shahrishiib. MaMqib,
vol. Ill, p. 302: anta 'I/mdm alladhTlu..../d ""aldyatulIlHltdj1'I.'adll'lc1I,'a"",,;d
mw'taqudr. cr, also Al;!mad b, YI'qiib, Ri.J41a, roL 99r.
39 Ibn Shahrishiib, MtJn&flb, vol. II, p. 257,where it is riled IS from an anonymous
poel (",aqa/a sh8ir iiA:har) in a section on Ghadir Khumm. For its aUlhorship
and original context. see chapler 3, note 49.

righted matmal

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God's Caliph

known what is forbidden and what is allowed';" he 'allows what

God has allowed, forbids what God had forbidden, maintains God's
l,udiid and defends God's religion ',41 and in him is 'the completion
of the prayer, zakal, fasting, pilgrimage and jihad, the augmentation
of the booty and the alms taxes, the execution of the l,udud and
al,kam, and the defence of the borders and outlying areas '.41 In
lmimi and bma' i l i l;Iadith it is the imams who appear as authorities
just as it is Umayyad caliphs who appear as such elsewhere." Jarir's
'were it not for the caliph and the book he recites, people would
have no judgements established for them, and no communal worship'
it so utterly Shrite in sentiment that the Shi'ites could have claimed
him as one of their own if all his most Shi'ite sounding poetry had
not been uttered in praise of Umayyads.
Finally, the imam of the Imimisand Isma' ilis is distinguished from
the rest of mankind in various ways also attested for the Umayyads.
Thus he is superior to all other people, ranking below prophets
only.u The Umayyads wrongly claim such superiority, al-Kumayt
says, just as they wrongly claim to have inherited the power which
they have in fact USUIped.41 Like the Umayyad caliph, he is rightly
guided. Thus 'Ali was ai-imam al-hiidi al-rOJhidu and imamuna
al-mahdi,n He was hiidi)"," mahdiyy""," an expression also used in
a satirical vein of al-l;Iusayn,4' who was al-mahdi ibn al-mahdi to his
40

41
42
4]

44

Kullyni, xajI, vol. I. p. 178; cr. Kumlyt . p. II 9 (no. I :34. where they Ire
muiIIw" "'a-mw,ri",Iin), Ind the poem in Ibn Shlrishub. MWfdqlb, vol. III. p. 27S
(/la}'Jr.1/IfI al-tw,rlm lI'a"-tw,m).
KullynT. Kd/l. vol. I, p. 2OO;ef. Ibn BabUYI. Madill. p. 133 {/MQ '1f1lh . . ,fara4a
'ala)'I/llqdmDl aludiid}.
Kullyni. Kd/f. vol. I. p. 200.
And note thll lhe imams too I re presented as havinl stUled lelll poinu in
response 10 petitions submit ted to them by privlle persons: 'one of our
companions wrote a petition(kirdb) to Abll Ja'fat the Second, Istin, him lboul
I man who has unlawful intercourse with I woman ...He wrote in his own hand
Ind with his own seal ...(Kullyni, Kdft, voJ.vii, p. 16]; compare lbove, chlpler
4, p. 47).
Jbn II-ij:lnlfiyya WIS ibtt kllo)'r 01-,.03 IxIda '/nobl{Kulhayyir 'Azza in Ibn Sa'd.
faboqiJt. vol. Y. p. 107); Ihe Hishimittli were superior loal"dskullillim (KumlY!.
p. 53
42. no. 2:87).
]] (no. 2: nf.; cr. 2: 28). Compare lbove. chapter ], p. )I.
Kumly! . p. 41
Ibn Shahrishiib, MtINiqih. vol.II, p. 302.
Ibn Shlhrishiib. Mmtdqib. vol.ii. p. 296.
Olbbi, Wqfiddt. p. 24(1150 cited in 'Iqd. Yol.n. p. 109': Ind Qalqashandi. $IIM,
vol.I. p. 258. with the Iddition Ihat he auides with his list").The Prophet also
dexdbed 'Ali IS such (Ibn IIAthir. Uld alsl/6IHlfl mdrifal oltaJ1dbo. Cairo
1285-6. vol. IY, p. ]1). ij:ujr b. 'Adi asked God to mike 'Ali hadi)'o umma"
maltdiy,. (NI$r b.Muzitlim. Wm(al Siff{t,t p.l81).
Aqtii", "..ar,a Wi)" malN/jy,.- ful.ya .."" lalqd }odHa '/."obiy}l'", IS I
member of the aovemmenll roops It Karbali' is supposed to hive said (Tlb.
ser. ii. p. 350).
_

4S

46
47
41

49

CJPYrlghted material

Epilogue

/OJ

followers." Zayd b. 'All was mahdi too.n So of course was Ibn

al-l:;Ianafiyya in the opinion ofMukhtir, and he was perhaps the first
Mahdi in the sense of a specific and long-awaited redeemer figure,
though Sulaymin and 'Umar II were soon to follow suit,lI as were
other 'Alids in due course. But all the imams were mahdiyyun
according to the Isma'i1is.n Still, most Shi'ite literature being late,
the epithet mahtli is here less commonly used of the imams than of
the redeemer at the end of time, as it is in classical Sunni literature
too. Further, the imam shares with Umayyad caliphs the quality of
mufahham, made to understand on a par with Solomon in the
Qur'in.it He also had superhuman knowledge." and in this respect
he is better endowed than his Umayyad counterpart. who only had
superhuman ra'y." He is also divinely protected against error
(ma'iim), and in this respect too he is better endowed than the
Umayyads, who nonetheless came close to acquiring the same
quality. Thus, as has been seen, the Umayyad caliphate was a '4ma
against error to which one should hold fast as one holds fast to God's
rope ;'7'Abd aI-Malik was ma'iim min khatal al-qawl It 'a-talal al:fi'I;"
and 'Ubaydallah al-'Anban spoke to al-Mahdi of al-khulafo' alTab., ser. ii, pp. 546.
51 Mas., Mwril), vol. IV, 2222 v, p. 470; 'Iqd, vol IV, p. 413"; alMubarrad,
aJ-Xdmil, cd. W. Wright, Leipzia 1864-92, p. 110; Maqriii, Nizfl', p. 5; Ibn
'Aiikir, TulJltrb, vol. JV, p. 426, where a pro-Umayyad poet say. that 'I never
51W a mahaT crucified on a tree trunk.'
52 Cf. 1', .u. 'almahdi', col. 112b. Ibn al-l;Ianafiyya was the Mahdi foretold by
Ka'b alAtabir according to Kuthayyir 'Azza (AgMnT, vol. IX, p. 16). For
Sulaymin, ICC above, chapter 3, p. 36; he WI. the Mlbdi roretold by the Torah
and the Psalms and by rabbis Ind sooth5lyen (Flranbq vol. I. p. 32,..... For
'Umar II, whose physical features foretold that be was tbe Mahdi, ICC below,
appendix I, p. 114.
53 Atamad b. Va'qilb, Rird}a, fol. IOlr.
54 El", J.D. 'imama', p 1167a; Kulayni, Kdj1. vol. I. pp. 270.; E. Kohlber" ' Tbe
Tenn MwJ,addOflt in Twelver Shi'is.m' SI.mu. OrlIQIIQ Mf"mQrlot: D. H. Bo"f"IIt
LHdicalQ, Jerusalem 1979, p. 401"1. For the UmaYYlds, ICC the references given
abo, chapter 4, note 11. The Imimiucem to hive roraollen the Qur'inic oMain
of the term mufahhom. In Murd, IrJluld, pp. 1401'., we are told that 'Ali judaed
aner the manner orOavid, that i s 'accordina to inspiration' (ilhiim, on which sec
Kohlberg, op. dl., p. 40); but there is no rc:fercllOe to Oavkl and Solomon in their
definitions of mw/alrllam.
55 El", J.D. 'imama', p. 11671. Their 'ilm is merllioncd liready by al.Kumayt (p.
6. no. 1 :22; it is a gift from the Omniscient).
7
56 cr. the references Biven above, chapter 4, notes 92-3.
57 cr. above, chlpter 3, pp. 3Sf.
58 cr. the rererence aiven above, chapter 4, note 96. Compare also ammQ bdda
/Cl/aJ,4 '/Iflh (//fI T, olmw'mlnTn . . . wo-'aJmna i4hw d'Iilahw (Abil Bakr b. l;Iazm
to 'Umar II in Ibn Sad. Tabaqfll, vol. v, p. 390); ",ooOmr, almw'm/"i" )'G.J'ulu
'/lahal-'mo ...a'I-tawj1q(Hishim in Tlb. set. ii, p, 1749); ...a-btl/4h tawj1q (//fIrr
al-rmlminfn tI'Q-'qmolwhu (II-Ma'miln in Safwlt. RG.Jl'iI, vol. III, p. 509).
so

L..JPYng

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God's Caliph

104

mrl'O.fam bihim wtil-ma'filmUn, though the khulafli'

in question were

scholars rather than rulers." Popular sentiment in Umayyad Syria

had it that whoever had been caliph for three days would escape hell
fire," God counting only the good deeds of a caliph, not the bad
ones," a sentiment which might easily have issued in a denial of the
existence of the uncounted deeds. For all that in Sunnl Islam

;.fma

is reserved for prophets,lI it was hardly the Imimis who invented the
concept. It is conspicuously absent from al-Kumayt's poetry, and
when it makes its appearance elsewhere, it is defined with reference
to the same Qur'inic verses to which the Umayyads and their poets
had alluded.u Even so, it was undoubtedly more important for the
Imimis than for adherents of the Umayyads to exempt the imams
from error and sin, given that the

ahl al-bayt

were Qur'inically

defined as purified.N
'We are two families of Quraysh who will be worshipped instead
of God, we and Banii Umayya', Ibn al-l;Ianafiyya is supposed to have
said." Early Muslims thus recognized that though adherents of the
Umayyads and the Hishimites sponsored dife
f rent
at one in their conception of the caliphate itself. It is because the same
concept of the caliphate was involved that opportunistic poets could
praise Umayyads and Hashimites in exactly the same terms." The

$9 cr. lhe rd'erenct pY'tn IboY't. nOl e 10. Compil'e M",Mllm j'taf_tll mill sluur

So_ar (AI-Sayy id 11-!;Iim Ylri 10 IIMln$ur ....ilh

.
refert:noe 10 BI ni! A\lmld in
WitT, 0'''', vol. II, p. 77); Wto ."...- mill 'ibdd AIf411 odroleol""," 'i.prwJI AI/db
(11.MI m
' iln in 'Iqd. vol. IV, p. 107'1). A/I,Gmd 1r116It Ill/Gdlrl}ltg/II ... Ill'i.prwJ
Ii*llM'liyd'iill (11Mu'la tim in Qalqa sh lndi, $ubb. 1101. VI, p. ).
60 Tlb Ief. ii. p. 17.7. where th e ca liph Hi shim refm to td-lJodftil olloJhi ,0M'iJhll
'/-IIdf t o this dl'ecl, sayin, th lt h e will stop believin, i n it i f Il-Wlrld (II) is to
.

be calipb.
.
Ii-Wlrld I cites I J,adflh ,..,lI4ddithWJ4 blhi oitl g/_Shdm
61 'Iqd. vol. i, pp. 70(.,....hen:
10 thi s ell'ect I nd concludes (with th e h elp of IlZuhnl th lt ' peop lea r e seducinl
UJ (rom ou r n:li pon',
62 EI', UI. "ifnll'.
63 Ibn SibilYI, Mda"l, p. 132: ....hen
.
'Alib, 11!:Iusayn i sIIted whit i s th emelning
oftJ/mdfWr!, h e n:plieshl'_'{'''''''QfIM bl-lJubI AlltlJI wtJlJubI AlliJJI mn.,o' IQur'iJII
(d', 3:98) ....hile
.
Hi shim b. 11!;Iltam in response to th e sam eq uestion Idduces
.

):96.
64 cr. Qur. . 33:33:

INttJIPId ywrdu 'flair /i}'IIdIthiba 'ollkum ol-rljJ ohl ol-boyt

IWI-JiIItohhl,okum 10thY,.-. Cf, Tlb., ser. ii, p, 1715 .....hen:
.
IISayy id 11!;Iim Ylri
duc:tibes Zlyd b, 'Ali IS 1ll_,Wthar; K ully ni, Klfl, 1101, I, p. 200, ....hen:
.
the
im .m i. _roitlru, mill o/ rJhumjb. (Th e im lm is llso pure (rmqojfa. muhodltdhab.
moJ,4) i n Kum ly t. but only w ith n:fel'CTlCC to Fnc:l lol)', cf, pp. 55, 83_ 41. 61,

nos. 2:79; 3:37.)

65 Ibn Sad . TiJboqdl, 1101.. II. p. 94 (IWO versions); Gh lZili. FtNjdI/J. p, 206.
66 Th us II.Flfl%dlq praised Zay n Il,l,btdin I nd theohf oJ.boyt IS the besl of the
tdtI td-4Tf. the im lm s of piou s people, flin, liah t ilIum inlting d lrtnc:s5 I nd I
n:(UF (11FI raz.daq, Diwlll, Bei rut 1960, vol. II. pp. 17111'.; the po<:ih. which i s

CJPYnghted malenal

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God's Caliph

he was no more of an absolutist ruler than the Messenger had been,

and contemporaries could hardly have anticipated that the nature of
the state was soon to change.
Change it did, however, As the conquests slowed down on the one
hand and the number of Muslims increased on the other. the former
conquerors increasingly found themselves reduced to subjects
deprived of a say in the running of public affairs. In principle. of
course, nobody could possibly object to delegating public affairs to a
representative of God Himself on earth: Imami literature eloquently
describes how wonderful it would be to do precisely that. But in
practice it amounted to a total surrender of power to a ruler who
was by definition always in the right; and the sheer might of the
caliphate both forced and tempted the Umayyads to make increasing
use of this power over and above the frequently impossible and
certainly always contradictory wishes of their subjects. In short. when
the Deputy began to wield the power ascribed to him, this power was
felt to be oppressive: once the initial sense of exhilaration was over.
constitutional crises were bound to set in.7t
Now from one point of view one might have expected the ultimate
outcome of these crises to have been a rejection of absolutist rule for
some sort of consultative government, or in other words the
creation of institutional checks on the exercise ofcaliphal power. The
widespread insistence that the caliphate be elective (al-amr .rhiirii), the
endless demands for observance of k;(iib and .umna, good practice
and past models, the constant objections to Umayyad fiscal policy,
and the general readiness to take up anns against what was perceiVed
to be oppressive rule. all these are features indicative of so stubborn
a detennination to keep government under control that one might
have credited it with a good chance of success. But from another
point of view it is not of course surprising that no representative
bodies ever did emerge. The caliph's resources were far too massive
for anyone to have much leverage against him. Mu'awiya paid
careful attention to consultation with the tribal nobility, and all
caliphs had to engage in a certain amount of horse-trading in order
to have their successors accepted; but no caliphs had to negotiate
in order to get revenue, taxes being paid overwhelmingly by non
Muslims. Practically everyone of importance in the Umayyad state
adopted aRer the conquest or the Fertile Crescen t had beaun: this point too is
discussed in appendix I.
72 We 0'We the term 'constitutional crisis' and all the thought which it IUgests to
Dr F. W. Zimmerm.nn.

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Epilogue

/07

owed the bulk of his income to dhimmis too, but through the
intermediary of the state; disputes over fiscal policy were accordingly
disputes over the distribution of public revenues among those
entitled to a share. not over the allocation of the tax burden among
those obliged to pay.7J The tribal nobility did have political power
independently of the state in the form of tribal followings. but
these were ephemeral assets under conditions of settlement in the
urbanised and socially stratified Middle East, and by the second half
of the Umayyad period this nobility had duly begun to disappear
from the public scene.H Owing both their power and their income
to the state, the generals and governors who replaced it were even
less likely to win concessions from the caliph, as Yazid b. al-Muhallab
discovered at the cost of his life. In short, for all the activism
bequeathed by the Arab tribal past, the leverage which medieval
dukes and barons had against the impoverished kings of western
Europe simply was not available.
Even if activism had sufficed to put shackles on the caliph, it is
hard to believe that the outcome would have been other than political
collapse. On the one hand, an area so huge as that controlled by the
Umayyads could scarcely be held together for any period of time by
any form of government other than the imperial one towards which
the Umayyads were moving; and on the other hand, the tribesmen
and ex-tribesmen who made up their subjects were so unruly that
throughout most of the period repressive government in the style of
al-I:fajjiij was required for the maintenance of a semblance of order.
To this should perhaps be added that the opponents of absolutism
rarely proposed any com.:rete form of machinery for the limitation
of power. Yazid III declared himself willing to step down ifhe failed
to implement his programme and/or a more suitable candidate could
be found, but he did not say who was going to review his progress
or how they were to proceed if they deemed it to be poor. Khiirijite
73 For the nature of such disputes in the first civil war. at the beginninl of the
Umayyad period, sec M. Hinds. 'Kilfan Political Alignmenu and their Back
ground in the Mid-Seventh Century A.D.', In/r:'1IlJ/jOf'UJi JOilma/ of MiddI, EoJ/
S/udks 2 (1971); id., 'The Murder of the Caliph 'U1lJ.min'. For thar nature in

74

the third civil war, at the end of this period, see the accesion
s
speech by Yuid
III summarized above, chapter :S, p. 63. Taxation was noc In issue ucept in so
far as it related to dhi".".is (especially dhj".".is tryinS to pin rccoiJIition as
Muslims, cr. Wellhausen. ,frllb Kingdom, ch. :S): Ind as fir as YIZid III was
con cerned, over-talation of dhiJnmTs was of political importanee only in so far
IS it led to de-population of the lands on which his Muslim adherents were
dependent for their income.
Cf. Crone, SIavr:s, chs. :S, 7.

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God's Caliph

works also disregard all practical problems posed by Kharijile

political ideals; there is a total lack of institutional machinery behind
the Muslim concept of consensus; and pre-Mongol Muslim society
is in general characterized by a predominance of infonnal over
fonnal organization. Still. we are not entirely sure about the
relevance of this point. By the late Umayyad period al-l;Iarith b.
Surayj and Na$r b. Sayyar had a good idea of how to set up a shard,
and soapparentlydid Vazid III himself: all parties involved designated
men of integrity to act as electors.li Representative bodies could
presumably have developed from these modest beginnings if the
opportunity had been there. The fact that the opponents of caliphal
absolutism ended up by satisfying themselves with purely theoretical
propositions may thus be a straightforward result of the caliphal
ability to ignore their demands.
Given that the caliph's exercise of power could not be controlled,
the opponents of Umayyad absolutism had two courses of action
open to them. On the one hand, they could oppose the ruling dynasty
in the belief that government would cease to be oppressive if there
was a change of personnel. This was the course adopted by various
followers of the ahl al-bayJ such as the shla of the 'Abbiisids and 'Ali:
and the remarkable fidelity of the Imamis to the original conception
of the caliphate turns on the fact that they never put their belief to
the test: had Ja'far al-Sadiq been so unwise as to let himself be elected
caliph in the aftennath of the 'Abbisid revolution, even his adherents
would soon have repented of their views.lI Alternatively, the oppo
nents of caliphal absolutism could limit the area afec
f ted
wi thdrawing from caliphal control all matters of religious significance,
above all the definition of God's law. This was the solution adopted
by the future Sunnis, and its feasibility turns on the fact that rulers
cannot in fact shape the beliefs and private lives of their subjects
unless the latter believe they have a right to do so. Calipha! power
thus remained absolutist, but it affected politics alone. Of course,
given that the Sunni solution deprived the caliph of a say in the
definition of the law all while insisting that he abide by this law, it

could be said that the scholars succeeded in turning an absolutist

7S cr. lbove. chlpte:r S. nole: 49.
76 He: was invilc:d by Abu Slllma 10 participale in I sll{lriJ, but wisc:ly declinc:d
(C. Clhc:n 'Poinls d e vue sur II "Rcvolulion 'Ibbisidc:"', RfWt Hisloriqw 230
(1963), p. 330). bmi1lism did of course survive lhe: crc:alion oran Ismi'ilT scale,
bUI not on the whole ImonllM subjecls orthis Sllte:: lhe: 8c:rbc:n orNonh Arricl
wc:re soon disillusionc:d, Ind 1M Egyptilns chose: ne:ver to conve:rt.

CJPYnghted matanal

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109

monarch into a constitutional one. H But in the absence of machinery

for the protection of the constitution, they only did so in a purely
theoretical sense: in constitutional theory the caliphate was an
elective office too, for all that it was plainly hereditary in practice.
But though caliphal absolutism remained. the victory of the scholars
had profound political effects.
The historically significant point is that a ruler who has no say at
all in the definition of the law by which his subjects have chosen to
live cannot rule those subjects in any but a purely military sense.
When the Jews elaborated their all-embracing religious law, it was
precisely with a view to surviving as a community of their own under
alien rulers, their own state having been lost. When the Muslims took
refuge in a similar law, the state from which they had distanced
themselves likewise had to be manned with outsiders in order to go
on. In Hindu India, where brahmanic dominance similarly led to the
fonnation of an all-embracing holy law withdrawn from royal
control, the state became practically redundant.71 In all three cases
the prevailing attitude to power was one of quietism: rulers must be
obeyed whether they are right or wrong, observant of the law or not.
From this point of view no ruler could complain of the laws in
question. But rulers were obeyed as outsiders to the community, not
as representatives of it, except (in Islam) in their performance of ritual
duties such as leadership of the prayer or conduct of jihad, the latter
being an activity particularly apt to restore moral continuity between
the ruler and his subjects. The state was thus something which sat
on top of society, not something which was rooted in it; and given
that there was minimal interaction between the two. there was also
minimal political development: dynasties came and went. bUI it was
only the dynasties that changed.
From the point of view or the political development of the Islamic
world, the victory of the 'ulama' was thus a costly one. A less
stultifying solution tolhe problem posed by God's deputy on earth
would have been a division of labour whereby all law of public
relevance remained with the Deputy, while private and ritual law
passed to scholars willing to collaborate wilh him. a situation
familiar from elsewhere.1f But where all aspects of life are covered
77 We owe Ihi1 poinl lo Dr F. W. Zimmennann.
78 Cf. J. Hall. POM"" and Ubmiu. Oxford 1985. ch. 3.
79 Such a division of labour was characlerislic or Rome before the Dominale and
or premodem conlinenlal Europe. In classical Greece and China Ihe stale also
took over a limiled area or Ihe law. though no privale scholan emerged to lake
over the Te$t.

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God's

Caliph

by a single sacred law, such a solution is impossible. God's law was

indivisible, and collaboration between His rival representatives was
ruled out until one or the other side had won. (There were of course
collaborative scholars such as Abu Yiisuf; but such scholars tended
to lose their standing among their peers.)" As it was the 'uJamii' won.
Islamic history would certainly have been different,
more dynamic in political tenns if the Deputies had managed to
defeat them, The fact that all aspects of life were rolled together in a
single Godgiven packet in the Islamic view of things was of crucial
importance for the fonnation of a new civilisation in an area in which
civilisation cannot be said to have been in short supply; the same fact
lies behind the ideological intransigence oftslam viNlvisthe Western
world today. It is a fact which throughout history has given Islam
extraordinary powers of survival; but at the same time it has always
interfered with the capacity of Muslims to organize themselves.
80 er. Goitcin, 'Attiludes towards Government in Islam and Judaism' in his
S/!ldkJ, pp. 2O.5r.

CJPYnghted malenal

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Appendix I

it was 'Ati who was

imam aJIJaqq;' and

so

on. It The fact that

al-l;Iu{ay'a's verse is unflattering to Abu Bakr is not of course a

guarantee of its authenticity; Abu Bakr is not always clearly
identified elsewhere as a head of state; and at any rate an in8uential
politican could well have been turned into a head of state by
Marwanid times as long as nobody had an interest in remembering
otherwise (as did the Umayyads in the case of SitUn), But in the
absence of positive evidence: for the conjecture, there is too much to
explain away.
There are nonetheless some suggestive passages in which Abu Bakr
seems to have been forgotten. Thus, as mentioned already, Yazid b.
alMuhallab spoke o f " Umar, 'Uthman and the caliphs of God after
them'. as if the line of caliphs had started with 'Umar.1I Similarly,
a Medinese successor said that '( have lived under 'Umar, 'Uthman
and the later caliphs, and they only beat a slave forty times for qadhf',
meaning that this was the right punishment given that no caliph had
acted otherwise. II And Zayd b. Thabit cited calipha! precedent to
Mu'awiya with the comment that ' I have lived under the two caliphs
before you', for all that Zayd, a Companion of the Prophet, could
scarcely have missed the caliphate of Abu Bakr.u Apparently Abu
Bakr did not count as a kharifa to any of these individuals, He
certainly did not count as an authority to anyone engaged in the
elaboration of the law: traditions ascribing legal doctrines to Abu
Bakr are practically nonxistent.14 I f h e was head of state, he would
thus appear to have been one of a different type from his successors.
Now it is well known from the many richly documented messianic
movements of recent times that reality often forces the participants
in such movements to take considerable liberty with their doctrinal
script: the herald assumes the role of messiah, or is taken by some
to be him; the messiah decides to be only a herald, or to abandon
the script altogether for a while; several leaders are active, the
allocation of roles between them being anything but clear, and so on.
Abu Bakr may well have been an example of this: as head of state
Kumayt, p. 156 107f. (no. I: Iff.).
10 cr. Nibiahal B. Ja'dl in 'Iqd, vol. II, p. 971: alOll;il;iik b. Firiiz alDaylamiin RaJ.
A/I.J., vol. Iv/b, p. 27.
I I cr. above, chapler 2, nole 13.
12 cr. above, chapler 4, note SJ.
13 cr. above, chapler 4, nOle 62; contrasl 'Abd alRazziq, MIq(UlMj, vol. x, no.
11829, where a subgovemor refuses to apply Mu'iwiya's inSlrUClions on the
around Ihilihe Prophel, Abu Bakr, 'Umar and 'Ulhmin had acted otherwise.
14 For one whkh BtU close, see 'Abd alRattiq, M/qQIUIQj, vol. I, no. IISI.
9

..

C;.pvrlghted material

On the date and origin of the cali

phate

//5

is a fact that the Byzantine emperor had come to be seen as God's

representative on earth by the late sixth century," and that here as
in Islam there was a predilection for David and Solomon as
prototypes of the ideal ruler.J.t (Indeed, even the western view that
Peter was vicar of God on earth seems to have reached the Islamic
Middle East at an early stage.)S1 That Sasanid kingship was what one
might call caesaropapist is well known.31 But all that this amounts
to is no more than that the Muslim concept of power was in line with
that current in the nonMuslim world. It is an odd idea that a state
founded by a prophet should have needed the example of secular
empires in order to develop theocracy; and pace Tyan and others,
the caliphate clearly did fuse religion and politics from the start,
whereas they were only twins on the other side. Neither the Persian
nor the Byzantine emperor was on a par with the khaffja, who was
intrinsic to the acquisition of worldly prosperity and heavenly bliss
alike. What is more, we do not have the right relationship between
religion, politics and law in either empire. The Byzantine basileus was
indeed the ultimate source of law, but he was so in his capacity as
Roman, i.e. essentially preChristian, emperor, and the law in
question was a secular one irrelevant to the attainment of Christian
salvation. Conversely, Zoroastrian law, though religious, was not
formulated by the Shihinshih. The imperial models may well have
influenced the development of the caliphate in various ways: but
when Mu'awiya is accused of being kisra 'I'arab*' and of having
turned the caliphate into something hiraqliyya and kisrawiyya,lI
what is meant is that he accumulated power at the expense of his
subjects by introducing dynastic succession and the like, not that he
introduced theocracy. There is no imperial model behind the office
of khaffjat Allah. It is only the Samaritans who offer the right fusion
of political power and religious authority in conjunction with a holy
law, and they do have the merit of speaking of IJly/t yhwh.1t But this
could conceivably be an instance of Islamic contamination. and the
Arabs may have invented their khaffjal Allah on their own.
3) cr. A. Cameron. 'Images or Authority: Elites and Icons in ute Shah.Century

34

Byuntium' in M. MUllett and R. Scott (edl.), BYlollfium and 1M Clauicol

TradiliQft, Binningham 1981, p. 213,cf. p. 217.

Ibid., p. 221.

35 a. the poem wronaIy ascribed to alWarld lI, Shfr,

p. 160,'.

36 cr. most recently S. Shaked, 'From Iran to Islam: Notes on Some Themes in

Transmission', Jtru.ro/O1l SlumtS in Arabic and Islam, " (198-4), pp. 37ft'.
37 B.a.1., AIU. vol. Iv/a, p. 125.
)8 Ibn Qutayba, 'mUma. p. 162: IiQi;, RQsd'U, vol. II, p. 1 1 .
)9 CrODe and Cook, Hagarism, p. 178, nole 7 1 .
.

righted matmal

Appendix 2
The letters of al-Walid II and Yazld III

The Letln or aI-Walid II

AI-Walid Irs letter concerning the designation of his successors is

preserved in the chronicle of al-Tabari (sec. ii. pp. 17S6ff. suh onno
125; also reproduced in Safwat. Rasa'iI, vol. ii, pp. 44Str.), and
apparently there alone. It was first singled out as a document or some
importance by Dennett, who also offered a summary translation (or
more precisely a loose paraphrase) which is very deficient in places
(D. C. Dennett, ' Marwan ibn Muhammad : the Passing of the
Umayyad Caliphate', Harvard Ph.D. diss. 1939. pp. 169ff. ; partially
reproduced in M. Khadduri, The Islamic Conception of Justice,
Baltimore and London 1984, p. 26). More recently the letter has been
discussed by Nagel (Rechrieitung, pp. 82fT) and Khadduri (Justice.
pp. 25ft'.). All three scholars assume it to be authentic, and so do we,
For one thing. it is hard to see why anyone should have felt tempted
to forge the tet ofa succession document equally devoid of religious
significance and historical effect. For another. a forger active in the
'Abbisid period (and he could scarcely have been active before it)
would have required etraordinary historical insight to produce a
document in which the importance of the caliphal institution is
stressed. but its Umayyad incumbents are taken for granted, Further.
the fact that al-Ma'mun produced a succession document along very
similar lines'(see appendix 4) shows that the inshii' did indeed come
out of a bureaucratic file: and since the 'Abbasids before al-Ma'rniin
do not appear to have made use of this type ofinshii', we must assume
either that it antedated the 'Abbasids or that it originated in the time
of al-Ma'mun. It does not seem likely that al-Ma'mun's secretary
would have amused himself by penning elaborate succession docu
ments in the name ofUmayyad caliphs (nor would one have assumed
him to have had sufficient historical sense to omit t;ladith. be it
.

116
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The letters of 01- Walfd II and Yazid III

117

Prophetic or other; but ofJ:ladith there is none). We are thus entitled

to assume that the inshii' antedated the 'Abbasids and that the leHer
was written by Samal on behalf of al-Wafid II precisely as the letter
states. (The name Samal is peculiar and should perhaps be read
Simak though there do not appear to be any variant readings of it;
it could scarcely be a corruption of Salim (b. 'Abd al-Raman, $al)ib
diwiin al-rosii'i/, cf. Tab., ser. ii, p. 1750].) Given that we only have
al-Tabar?s version, it is hard to say whether it is based on a written
copy of the letter or on an oral version thereof, but one would have
thought it to be based on a document. The letter is long and so close
to al-Ma'mun's in formulation that if it was copied from somebody
who had simply heard it read aloud, the person in question must have
had an extraordinary memory. AI-Taban says that he has it from
'All, sc. al-Mada'ini, 'from his aforementioned shuyukh', according
to whom two men came to Na$r [b. Sayyar] with the letter wa-huwa
amma ba'da[ . . . Jere, a fonnulation apt to suggest that he is repro
ducing the text of the copy sent to Khurasan.
The text is corrupt in places and not always easily amended. In
our attempt to restore meaning to it we have greatly benefitted from
the fact that Professor Isan 'Abbas was willing to place his expertise
at our disposal. Even in its amended version, however, the letter does
not lend itself to translation. The style is involved and overloaded:
as the scribe piles warning upon warning, both syntu and logic are
stretched to breaking point. Exactly what he has in mind at any
particular point is often less than clear, and those who heard the letter
read aloud must frequently have lost the thread ; on the other hand
they must have felt that the overall message was being positively
hammered into them: the caliphs are God's own instrument and
everyone must obey them; obedience will be amply rewarded,
whereas disobedience and dissension have dire consequences in both
this world and the next. We hope that our cumbrous English version
retains some of the same effect.
Both Dennett and Nagel saw evidence in this letter that the
Umayyadsdenied the doctrine offree will(' Marwan h. Muhammad "
p. 172; Rechtleitung, p. 71 and note I thereto), and Khadduri
even claims that the letter was intended as a reply to Qadarite
critics of the Umayyad regime (Justice, p. 25). But we must beg
to differ. There is indeed a strong sense in it that God is re
sponsible for everything, not least for the success of His caliphs and
the downfall of their enemies, but there is not anything remotely
resembling a thought on the relationship between the divine and the

CJPYnghted matanal

The letters of alWalid II and Yazid III

119

straight path,' Ultimately the grace of God (as manifested) in His

prophethood reached Mu1;tammad, at a time when knowledge had
become obliterated and people had become blind, having acquired
different desires' and gone their separate ways, the waymarks of truth
having become effaced, Through him God made guidance clear and
dispelled blindness. and through him He saved (people] from going
astray and perishing, He elucidated' the religion through him. and He
made him a mercy to mankind,' Through him He sealed His revelation,
He gathered unto him everything with which He had honoured the
prophets before him, and He made him follow their tracks,' confinning
the truth of that which He had revealed together with them, preserving
it,!' calling to it and enjoying it,ll

1, In due course there were those from among his nation who
responded to him and became adherents of the religion with which
God had honoured them, They conflnned the truth of that which
previous prophets of God [had preached). where their people used to

call them liars, accepted their sincere advice where they used to reject
it, protected their sacred things from the desecration which they used
to commit. and venerated those things which they used to hold in
contempt, No member of Mul;lammad's nalion would hear someone
give the lie to one of God's prophets concerning that with which God
had scnt him,II or impugn him in what he said or hurt him by calling
him stupid, arguing against him orll denying that which God had sent

1758 down with him,I' / / without deeming his blood to be lawful for it and
cutting off such ties as he might have with himu .. even if they were
their fathers. their sons or their clansmen ",It

Qllr''''', Edinburgh 1970, pp, 127ft',), Unfortunately al-Ma'mun's leller is much

moner at this point (cf, appendix 4),

4 Ifflalf lriya alpan, cr, Qur.. 17: jj; 29: 4j; 41 : 34.
j Sird( MlIJlaqi'M, cr. Qur., 2: 136, 209; ):96; j : 18, and pGJ$im.
6 Tashtfl Mina/-JurM'd. The temptation to read hwdif for hCl*'dis strong, but compare
KumaY', p.!i4 40 (no. 2:7) : wa-lr.ay!a qmdlwhwm /ruda. ll'a'/-hall'iJ"lumiJ bihiM
MutaJlrtfibu).
7 Reading anluJja for abhaja, following Safwat, RaJd'/I, vol. II, p. 448.
S RaI}nt(J" 1fI-'O/QlP/in, d. Qur., 2 1 : 107.
9 Wa-qaifa bihi 'ala olharihiM, 'he caused their tracks 10 be relraoed through him',
_

cf. Qur., 2 : 8 1 ; 5:50; j7:27.

10 Cf. Qur., j : j2.

I I Compare the similar account in ai-Rashid's leiter toConstanline. Safwal, RasiJ'i1,

12
13
14
1j

16

vol. 111, pp. 2jSf.

i
as the object of yasma'1I (or J'llJI7fa'II).
Reading MwJcadhdJJb-"
Reading all' for IdJJ, following O. Similarly IbrlhIm.
U-man tmla/a '/1M 'a/ayhi ma'airll. We omit 'a/aJ'hi, followin, 0, on the Found
that the text has previously used Mdahu alone (compare Qur. 2: 2Q9).
We omit thefa-IQIPIyabqa krprea:ding iIIiJ. following 8M and O. The alternative
translation would be: '50 no unbeliever remained without thereby rendering his
blood lawful and cutting off ,uch relationships as he might ha with him '.
Wa-in kiJnii dbtJ'airwm aw aW'airwrt QW 'ashualairwm. 1M sudden shift from
singular to plural arises from the fact that this is a Qur'inic quotation, if a slightly
deviant one (cf. Qur. 5S:22).
'

C;lpynghted malenal

Appendix 2

J20

[The era of the caliphs]

3. Then God deputed His caliphs over the path of His prophethood

("G14 mitthdj nubvwwari/,,)

(that is] when He took back His Prophet

and sealed His revelation with him - for the implementation of His
decree (ukm), the establishment of His normative practice (SIIMQ) and
restrictive statutes (lIdiM1), and for the observance of His ordinances

(farifit/) and His rights (uquq), supporting Islam, consolidating that

by which it is rendered firm,!' strenathenins the strands of His rope,lI

keepinS [people] away from His forbidden things.11 providing for

equity ('adt) among His servants and putting His lands to right. (doing

all of these things) through them.II

nne importance of obedience to the caliphs)

... God (blessed and exalted is He) says, "and jf God had not kept
back the people, some by means of others. surely the earth would have
been corrupted; but God is bounteous to mankind".11
So the caliphs ofGod followed one another, in charge of that which

God had callsed them to inherit from His prophetsll and over which

He had deputed them. Nobody can dispute their risltt without God
cuting him down. and nobody can separate from their polity (jamaa)
without God destroying him, nor can anyone hold their government
in contempt or query the decree of God (qa4Q' Allah) conrning them

(tc.

the caliphs) without God placing him in their power and sivins

them mastery over him. thus making an example and a warning to

othen.1I This is how God has acted towards anyone who has departed
from the obedience to which He has ordered (people) to cling, adhere
and devote themselves, and through which it is that heaven and earth
came to be supported. God (blessed and exalted is He) has said... then
He lined Himself to heaven when it was smoke. and said to it and to

1759

earth. 'come willinsJy or unwillinsJy'. They said. 'we come /I

willinsJy'''.1t
And God (exalted is His invocation) has said. . . when your Lord said
to the ansels. ' I am placing a deputy

(kharifa)

on earth ', they said,

are you placing in it someone who will act corruptly and shed blood

while we are celebrating Your praise and sanctifyins You?'. He said,

..
., know what you know not 11
.

17 Readin. t4Jlulrdu for '4JII,r,-, followinl BM.

18 cr. Qur l: 98. 108.

19 I!arrmilli. for all that one would haveupected maIp,lmi/li(the word used below).
2Q We have taken the liberty or not rrputinl 'throuah them' seyen times (as does
the tUI).
21 Qur 2: 252.
22 Uterally ' from the matter of His prophets (min amr tlltbi),d'lh,).
2] cr. Qur., 2:62.
24 Qur.. 4 1 : 10.
25 Qur . 2: 28.
.

'

C;.pvrlghted malarial

The lellers of a/Wafid If and Yazfd II/

111

5. So through the caliphate God has preserved such servants of His

as He has preserved on earth: to it He has assigned them. and it is
through obedience to those whom He has appointed to it that those
who have been given to understand and realise il(s importance)"
attain happiness. God (blessed and exalted is He) knows that nothing
has any mainstay or soundness save by the obedience through which
He preserves His truth, puts His commands into effect. turns [people)
away from acts of disobedience to Him, makes [theml stop short of
His forbidden things and protects His sacred things. So he who holds
to the obedience which has been apportioned to him is a friend of God
and obeys His commands, attaining rectitude and being singled out
for good fortune in [both] this world and the next. But he who leaves
off it. forsakes it and is refractory towards God in respect of it loses
his share, disobeys his Lord and forfeits both) this world and the world
to come.U He becomes one of those overwhelmed by miserylt and
overcome by aberrant things which lead their victims to the foulest
places of water and the vilest places of slaughter in respect of the
humiliation and retribution which God will inflict on them in this
world. And He will cause them to undergo all the chastisement and
grief which He has prepared for them (in the next)."
6. Obedience is the head of this matter, illl summit, illl apex, its halter,
its foundation, illl refuge and illl mainstay, afier the declaration of
beli ef in the unity of God with which God has distinguished between
His believers. Through obedience the suoxssful" attain their stations
from God and gain a right to reward from Him; and through
disobedience others obtain those of His punishments which He metes
out to them. that chastisement of His which He inflicts upon them.
1760 and that anger of His which he causes to befall them.II / / In
abandonmentll and neglect of obedience, in depanure from it, lack
of attention to it and carelessness of it." God destroys (all) those who
stray and disobey, who are blind and go to excess, and who leave the
26
27
2!
29

Readinl wjltiMahd (er wlhimaM) M'Qmq.,;rahd.

cr. Qur., 22:!!.

Cf. Qur., 2J:!08.

Readi n,fond (/addg falntm forfond 'iltdaJrwmr/ndoJw rollowin, Sarwat, RtU4J'i1,

vel. II, p. 4SOn.).

30 Afmujfil,iiII, a lenn used tw elve times in the: Qur'in, always in the: phrase wfd'Jw
j
hllm Qf.rmliI,im.
J] We have resorted to fairly draslK: emendations here, readin, WQbtf.malIYQ ndfQ
l
milt 'P*lbiJIi M'Q-yuI!iqqu
glwJ)'nJrum mil ,...J,ilfw b/him ""4im4t/h{ M'Q')'IQ'/bwlilm
alQ)'hjm mill swJch{ihi. 1lte tCAt makes no sense u it stands, and thouAh less drastic
emendations are possible, we eannot think or any other which will preserve the
parallelism.
32 Rudin! _hltark ""llrQ for M'Q.ywtlzaJu btl-ll'a, cr. 8M and 0; IIoimilarly

IbriMm.
33 Readinl lubodhdhul for tabadtbJ.

CJPYnghted malenal

The letters of al-Walid II and Yazid III

123

splitting up of the unity of its adherents and their coming to disagJee

on that over which God has brought them together, for which his
friends yearn and to which he incites them. God will show them nought
in this matter but that which harms them and gives the lie to their
ambitions; and they shall find that through that which He has dec
..eed
for His friends, God has made firm the settlement of their affairsu and
banished from them those who wish to introduce colTuption and
unfaithful conduct among them, or to enfeeble that which God has
strengthened or to rely on that from which God has turned away.n

8. So through these things" God has perfected for His caliphs and
His pious party, to whom He hasentrusted obedience to Him, the good
things to which He has accustomed them.4f and He has appointed for
them (part] ofHis power to strengthen, ennoble. elevate and consolidate
so that they may accomplish their end." The maUer oflhi! covenant
is part of the completion of Islam and the perfection of those mighty
favours by which God makes His people obliged to Him. and [also]
part oflhat which God has made in it 1st. in Islam?] - for the person
at whose hands He brings it about and at whose tongue He decrees
ii, making it suoceS5ful for him whom He has appointed to this
position - a most valuable treasure from His point of view and, from
the point of view of the Musims,
l
the most excellent manifestation
of the favour which He manifests among them" and of the safeguard
which He extends to them, of His power on which they rely. and of
His refuge in which they enter. Through His refuge God has given
them power to resist and through it He preserves them from all
destruction, gathen them in from all disunion, subdues the people of
J 762 hypocrisy and renders them immune /1 to all dissension and schism.

9,

So give praise to God, your Lord, who takes pity upon you and
does you good in your affain for that which He has guided you to
in this covenant. God has made it IS(. the covenant] something in
which you can trust, on which you can rely, from which you can attain
tranquillity and in the shade of which you can seek sheiter.1I Through
it He shows you the right path wherever you turn your necks. wherever
you direct your faces, and wherever your forelocks meetU in matters
of your religion and this world. In this there is a momentous grace
46

Reading 'aqd for the 'lIqad adopted by tnt Letden editors..

....alfd 'Uah 'anhll minhd. though the 'aM" i5 missing.
47 Reading flmd (a
48 BiMi, a general reference to ....hat has just been mentioned.
49 Aan" 'lfailht'awwado/rllm. We have opted ror ' good things on the ground that
'the best' cannot be perfected.
SO This dause is implicit in sabbaba lahwm, cr. Lane, uxit:on. S.tI..
SI Literally 'the most excellent impres5 in that ....hich He impresses upon them '.
S2 Reading afya'ihi for a/ntll1ihi, 'brancha ', on the ground that the preposition i$
IT rather than hi.
S) Viz. .... herever you are together.
'

righted matmal

124

Appendix 2
and a great favour from Godu bestowinr' ampleness of health and
safety, as is recognised by those ofintelligenceM and good intentions
who pay dose attention to the consequences of their acts and who are
cognisant of (he beacon of the paths of rectitude. So you have reason
to thank God in respect orall those ways" in which He has preserved
your religion and the state of your polity (amrjomaotikum). and you
are competent to know the essence of His binding right(s} in this matter
and to praise Him for that which He has resolved for you. So let the
importance and worth of this in your estimation be in proportion to
the favour which God has beslowed upon you in it, God willing. There
is no strength save in God."

10. Moreover. ever since God deputed him, the Commander of the
Faithful has not had a greater preoccupation or concern than this
covenant, on account of his knowledge of ils pre-eminent role in the
atrair(s] of the Muslims and those things in it which God has shown
them for which they are thankful. He (.I'c. the Commander of the
Faithful] ennobles them by that" which he decrees for them, and he
chooses to exert himselfin this mailer (both] for himself and for them.
On his own and their behalf he asks for a decision regarding it from
his God and Master. the all.powerful in whose hand is the decision
and with whom are all invisible things." and he asks Him to help him
1763 to achievt that which II is most righteous for him in particular and
for the Muslims in general.
II. The Commander of the Faithful has deemed it best to appoint two
heirs." so that you may be in the same position as those who were
before you. enjoying" a respite of ample hope and inner tranquillity,
a f\ourishing state ofconcord," and a knowledge of the state of affairs
which God has established as a protection, rescue. goodness and life
for his people and as a humiliation. loss and restraint for every
hypocrite and godless person who desires the destruction of this
religion and the corruption of its adherents.
[The designation of all;lakam and 'Uthmin]
12. So the Commander oflhe Faithful has appointed to it all;lakam.
son of the Commander of the Faithful, and after him 'Uthman, son
54 Bald' QII, cr. Qur" 8: 17; d. also 7: 1)7; 14:6.
55 Literally just ' in',
56 DlwlI.ii '1-QIb4b, where the Qur'in hu iiJii 'loQlbOb (in fjftecm places).
57 ITMd . . ",in dlraJjkll, I general rererence to whit had just been said.
!58 Qur., 18:)7.
59 Literally 'i n thlt'.
60 cr. Qur.. pan;"'.
61 Literally 'to mike I covenlnt lfler I covenant'.
62 Literally just 'in'.
.

63 cr. Qur.. 8: I .

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The letlers of al Walid 1/ and Yazid II/

125

of the Commander of the Faithful." Both of them are persons of

whom the Commander of the FaitMul hopes that God has created
them for this purpose and fashioned them for it, perfecting in them
the most goodly virtues of those whom He appoints to it in respect
of plenitude of insight, soundness of religion, superabundance of
manliness and knowledge of what is right." And the Commander of
the FaitMul has spared no effort or good action on your behalf or his
own in this matter.
13.

So give allegiance to aH
l akam, son of the Commander of the
Faithful, and to his brother afier him, [undertaking tol hear and to
obey. In so doing, reflect upon (the reward of] the best of what God
used to show you and bestow on you and accustom you to, and what
He has acquainted you with in similar situations in the past by way
of extensive prosperity, general good and mighty bounty, into the
ampleness," security, blessing, safety and protection of which you
have passed. This is a mailer which you have deemed slow in coming
and to which you have tried to hurry. You have praised God for
1764 causing it to come 10 pass and for decreeing il for you, II and you
have burst out with thanks regarding it," deeming it to be a good
fortune for you. You hasten towards it, and you exert yourselves in
the fulfilment ofGod'sdaim upon you; for so much ofGed's blessing,
generosity and good apportioning has come to you in the past that"
you are disposed to want it and desire it in the measure that Ged has
favoured and benefitted you with it.
14. Further, if something sbould befall one of his two successors, tbe

Commander of the Faithful is entitled to put in his place and position

whoever he may wish to put there from among community or his
sons" and give priority to him over the survivor if be so wishes, or
to place him .fier him. So know that and understand it. We ask God,
apart from whom there is no god, and who has knowledge of the
unseen and the visible," the merciful and the compassionate, to bless
the Commander of the Faithful and you in that which He has decreed
64 According to the Aghani, vol. VII, p. 7011 alWarld gave precedence to Uthmin.

This is an inference rrom a widely cited poem attributed to alWarld himselr, which
is cited there too and acoordins to which 'we hope ror 'Uthmin after alWarrd '.
But one version adds 'or !-Jakam', and the poem is not by alWalid in any case
(cf. his Shi'" pp. 147r., where rull references are siven).

65 WaflJ' a/ra'y _-#"I,a/ aJd/'n wa-jQZa/ a/muruwwa lOla'/.nuirija bjJil, a/,unllir.

Reading ralchd'ihi for rajd'ihi.

67 AJ,dalhlum fihi $huk,.", an expression conV1:ying suddenness and impulsivity.
Ajdaylum is possible, ir less likely.
66

68 Literall)" there has come to you in the past or God's grace . . . what '.

69 It is notable that al-Walid considcn the poaibility of selecting a SUOOC:lI0r from

among his ummG, viz. IOmebody who need not apparentlybc an Umayyad or even
70

a Qurashi.

'Alim aJghayb ...tll-shahilda. cr. Qur., 6:73; 23:94.

CJPYnghted matanal

J26

Appendix 2
at his tongue and determined to this effect,7I and 10 make its oulcome
well-being, happiness, and joy. For thaI is in His hand; nobody but
He controls it, and rrom Him alone can it be petitioned.

13. Peace and the mercy or God be upon you. Written by Samal,
Tuesday, 2 1 Rajab. in the year 125 1= 20 May, 743].'

The letter of YoW III

Vazid HI's letter to the people of Iraq is 10 be found in al-Tabari

(ser. ii, pp. 1843ff sub anna 126; also reproduced in $afwat. Rasa'i/,
vol. ii, pp. 46Stf.), and al-Baliidhuri (Am. (MS). vol. ii, fols. 1 70a-b,
where the dale is given as 28 Rajab, 126 = 15 May 744. and the scribe
is named as Thibit b. Sulaymin b. Sa' id (read Sa'd), i.e. the chief
of Yazid's diwdn a/-,asti'i/ (see Tab., ser ii. p. 847 , The two versions
differ considerably in a number of places, and at least one of them,
possibly both, must be based on oral sources. Our translation renders
al-Tabarrs text (for which al-Mada'ini is once more named as the
.

authority); we indicate only significant variants in al-Baliidhun"s

version.
1843 'God chose Islam as a religion, approved or it and purified it, and He
stipulated in it certain dues which He enjoined, and He prohibited
(other) things which He made forbidden. in order to test His servants
in respect of their obedience and disobedience. He perfected in it every
good virtue and great bounty. Then Heft took charge of it, preserving
it and acting as guardian of those who observed His J,udUd, protecting
them and making them cognisant of the meril of Islam. God does not
honour with the caliphate anyone who observes the command of God
and draws near to Him, whereupon someone opposes him with a
COYenant or attemptsll 10 take away what God has given him, or a
violator violates, but that [such a person's) guile is (rendered) very
weak and his cunning most defective, so that God may complete what
He has given to [the caliph) and store up a recompense and reward
for him, making his enemy most prone to lose his way and most apt
to forfeit his acts. So the caliphs of God followed one another as
1844 guardians of His religion, judging in it according to His decree, II
following the book in it. In all this they received from Him by way
of His support and help that which completed the favours bestowed
71 Note th at alWarld is tatina out a double insurance polky; he wants God to bless
the decision (thus acknowledainl th lt it is his own) ruuJ he crediu it to God
Himxlf (thus obviltina1he need for I b1cssin&).
72 n_ tawallillnl. B. adds AIIOII. Yet one wouki have expected the Jetter to
introduce the caliphs It this point (tlnunmo ",-aJldhv kMlrfataltv or somethina
dmilar): the kJrild/a Ippelrs in the rol\owinaline IS somcthin,llready introduced.
73 Rudina J,u,.twilu with B. and Sarwlt for bi-I,wliil.

righted matmal

The leiters of a/- Walid II and Yazfd III

127

upon them, and God was pleased with them for it (i.!!. the caliphate)

until Hishim died. It

Then the office" passed to the enemy ofGod1f al-Warid. the violator
of sacred things on a scale not perpetrated by either a Muslim or an
unbeliever (since both would desire] to preserve themselves from
committing such things. And when (neW1 of that) spread abroad and
it became publicly known and misfortune was intensified and blood
spilt on his account. and assets were taken wrongfully, along with
(other) abominations which God will not let people commit for long,

1 went to him with1T the expectation that he would mend his waysll
and apologise to God and to the Muslims, disavowing his behaviour
and the acts of disobedience to God which he had dared to commit.
seeking from God the completion of that which I had in mind by way
of setting straight the pillar of the religion and holding to that which
is pleasing among its people. Ultimately. I came tol' an anny (of men)
whose breasts were enraged against the enemy of God, on account of
what they had secn of his behaviour. forM' [this) enemy of God could
not see any of God's statutes without wanting to change them and act
contrary to what God has revealed." He did this publicly, generally
and quite openly. God placed no screen around it and [did) not [cause)
anyone to doubt it. J mentioned to them what I loathed and what I
feared by way of corruption of both the religion and this world, and

I spurred them on to put their religion to rights and protect it, they
(at first) bcingdoubtful ahout that, having feared that they were merely
saving themselves in what they were undertaking until I called upon
them to change it.
Then they hastened to res.pond and God sent a deputation made
up of the best" of those of them possessed of religion and what is
pleasing, and I sent 'Abd al-'Aziz b. al-l;Iajjaj b. 'Abd ai-Malik in
charge of them. (He went forth with them] until he met the enemy of
God near a viUageU called al-Bakhri'. Theycalled upon him" to set up
a shurii in which the Muslims" might consider for themselves whom

74 This sentence is missinl in B.

7S AJ-amr, cr. chapter S, note 47.
76 'Aduww Allah, to be contrasted with kharifat A/fah.
n B. reads bdOO in place or mOa.

78 /",i;ar ",wrilja'Glihl.
79 B. reads wii
[aqlw in place of ataytw.

80 From this point to the end of the paraJraph, B:a

acco

unt is much brierer and

different in much or its \Vordin..

81 /. a scriptural definition or JMril'{; but B. reads 1,..,"1,".. . . . am, Allah "'a-JIUIGII
82
83

84
8S

nabiyyihi.
Readinl biklwyrihim in place ofywkhbiruhWll1 (the telU of B. dift'en at this point).
B. adds min qwril llimf.
B. reads fa-ddilhu in place or[a-dda,,hu.
B. reads fwqahil' a/",u.slimfn ,,a(WJaJ,iluhWll1.

righted matmal

J28

Appmdix 2

to invest [with authority) from among those they agreed on: but the
enemy of God did not agree to that." So, in ignorance of God. he
1845 hastened to attack them. but found // that God is mighty and wise
and that His grip is strong and painfu1.'l So God killed him for his
evil behaviour and those of his agnates too who were with him.
fanning his vile retinue. They did not reach ten [in number). and the
rest of those who were with him accepted the truth to which they were
called." So God eJllinguished hisjamrat' and reieved
l
His servants of
him: good riddance to him and those who follow his path ! J have
desired to infonn you of that, and to do 50 quickly, so that you may
praise God and give thanks to Him. You are now in a prime position,
since your rulen are from among your best men and equity is spread
out for you, nothing being done contrary to it among you.
So multiply your praise of your Lord for that and take the oath of
allegiance" 110 the Commander of the Faithfulrl with Man$ur b.
Jumhur," with whom I am satisfied for you," on the undentanding
that the compact of God and His covenant and the mightiest of what
has been compacted and covenanted on any one of His creation are
upon you. Listen to and obey me and whoever I may depute to SUcced
me from those upon whom the community agltes. You have the same
undertaking from me: I shall act among you in aocoro..nce with the
command of God and the .runna of His prophet, and I shan follow
the way of the best of those who have gone before you. We ask God,
our Lord and Masler, for the best of His granting of sua:ess and the
best of His declee'.
116
117
1111
119
90

III
112
III

8. omits the second part of this !tCnlence (rrom 'whom to invest . . . ').
B. omiu this senltnee.
B. omiu this sentence.

Apparently I play on the two senses or the tenn: 'bUrning coal' and 'band '.
Reading Myl 'w (with 9. and S-rwat) in place or liJbl'ii.
This is rrom B.
Who had been appointed by Yuld to tbe governorship or Iraq.
From this point to the end or the paragraph. B.'1 acrount is much brierer than
that or Tab. and then: is practically no coincidence or wording.

CJPYnghted matanal

130

Appendix 3
3, 'Umar took charge afier him. He proceeded according to the mode

of conduct (sira) of him who had gone before him. He collected the
lay', assigned stipends. established am.rar and dir.dns, gathered the
people in night prayer in the month of Rama4in,1 gave out eighty
stripes for wine-<irinking, and campaigned in enemy territory. Then
he passed on his way. on the path of his companion. having lefi it (i.e.
the matter of the caliphate) to be detennined by consultation, may
God's mercy be upon him.
... Then 'Uthmin took charge. For sill yean he proo:eded in a way
which fell short of the mode ofconduct of his two companions. Then
he [acted in a manner which] annulled what he had done earlier, and
passed on his way.
S. Then 'An b. Abi Tilib took charge. He acted in a proper manner
until he established arbitration concerning the book of God and had
doubts about His religion. [Thereafier) he did not achieve any goal
in respect of what was right. nor did he erect any beacon for that.
6. 1'hcn there took charge Mu'iiwiya b. Abi Sufyin, who had been

cuned by the Messenger of God and was the son of one so cursed.
He made the servants of God slaves, the property of God something
to be taken by turns.' and His religion a cause of corruption. Then
he passed on his way. deviating from what was right, deceiving in
religion.

7. Then there took charge his son Yazid, part of [the object orr the
curse of the Messenger of God. a sinner in respect of his belly and his
private parts. He kept to the path of his father. neither acknowledging
what ought to be acknowledged nor disavowing what ought to be
disavowed.
8. Then Marwin and the Banii Marwin took charge. They shed
forbidden blood and devoured forbidden property. As for ' Abd
alMalik, he made al!:iajjiij an imam of his, leading to hellfire. As for
alWaIid, he was a stupid fool, at a loss in [his) waywardness. abusing
it (i.e. the caliphate) with benighted senselessness. And Sulaymin.
what was Sulaymin ?! His concern was with his belly and his private
parts. So curse them. may God cune them ! Except that 'Umarh. 'Abd
al,'Ariz was from [among) them: he had [good) intentions and did not
act [upon them!'; he fell short of what he intended.
I

QI)'tJm $hah, ,anIII(jdJr. i.e. holding the night prayers which

lar6",'", (see EfI, 1.1>.).

came

to be called

2 DIiv.'aI'-. d. Qur $9: 7. Note that all;bsan al-Ba,ri is credited with havins said
.

orlhe Umayyads /tltlkMdhIi '/Md AI14JJ Icltawa/"- WD-Icitlfb AII4JJ _hal-- ""Q.m4/
AI/lilt tiJlwaI" (Ibn Asikir. TaluiJlib. vol. IY, p. 79).
] Readinl/a4F4 in place of11114 (ICC Lane uxlCOft, s. Y. ra4a4),
.. O. the word. attributed to 'Umayr b. l}ibi': hlveJlMl1i "''DI_ tJ/'a!wa-IcId/ll
",'a-Iaylallt. . . (Tab.. Kr. ii, p. 869; Ibn Asikir. TaMhlb. YOt. IV, p. $7 (where
the words are wrongly ucribcd to his rather .
,

righted matmal

Abii Jfamza's comments on the caliphs

131

9. Then there took charge after him Yazid b. 'Abd ai-Malik, a sinner
in whom right judgement was not perceived. God has said concerning
orphans, 'Then, if you perceive in them rightjudgemenl, deliver their
property to them ':' and the affair of Mul;1ammad's nation is of grealer
moment than the property of the orphan. [Yazid) was suspected of
wickedness in respect of his belly and his private parts. Two items of
apparel were woven for him and he wore one as a ridii' and the other
as an iziir.' Then he sat l;Iabiba on his right and Sallima on his left
and said, 'Sing to me, l;Iababaj give me to drink, Salliima'.' Then,
when he had become drunk and the wine had taken a hold on him,
he rent his two gannents, which had been acquired for one thousand
dinars - [dinars) on account of which skins had been flayed, hair
shaved off, and veils torn away: he took what he spent on (those two
gannentsj unlawfully and wrongfully. Then he turned to one of [the
girls) and said Surely I shall fly!' Most ccnainly! Fly to hellfire! Is
such supposed to be the distinguishing characteristic of the caliphs of
God?!'

10. )Then the squint-eyed Hisham took charge. He scattered stipends

about and appropriated thelay': he made all ofthclay' ofthe Muslims
that was pleasant and salubrious into (something promoting] his (own]
glory - may he enjoy no pleasure!).' I was present at (the reading out
of] a letter which Hisham wrote to you concerning a droughtl which
had occurred. With it (i.e. the letter) he pleased you and angered his
Lord, [for) in it he mentioned that he left (the matter of] the alms taxll
to you. This made the rich among you richer and the poor poorer,
5 Qur., 4: 5.
6 Iz4r signifies 'waist-wrapper', while ,U/4' aignifies ' prment covennl the upper

half or the body' (une, uxlcOl'l, J.t'v.; d. El', I.V. 'Iibis').

7 For the background of these two SllvegiriS, see AlhanT, vols. VIII, pp. 334-351
and xv, pp. 122-146, where, however, no rererence is made to this panicular
incident. It 5:illS that it was II-Wlfid II who WIS lbove 111 Biven to telrinl off
hil prments Ind plunBinl nlked into I pool of wine (ibid., vol. 111, p. 301).
8 A-fa-hdkadM .fifal khulaja' Alldh; IlAzdi omits the initial a-, while the Iqd (vol.
IV, pp. 146(., whose compilCT, hlvin, said thlt he will 'Plrt us whit Abu l;Iamza
had to say about the cIIiphs. nonethcleu cannot resist the temptation to relly
this piece of scandal lbout /uJdtf b. /N/dtf min '"dad a/khuJaj'il' 'iMakum) relds
/a.h4dhiJr/ .fifaf khN/tJja' Alldh laa/d. The versions Ippelrinl in IIJi"i AIIrilnF,
Ibn Abi '1-l;Iaald and II-laawi flilto preserve any rererence to khulaja' Alldh It
this point; but Ibn Abi '1-l;Ilald does record thlt elsewhere in his w:rmon AbU
l;Iarnza said: a/d llUflWnQ i/ll khiM/al A.llilh _-;"'.dlllal aJ-rmulimItt k4y/" IM/r"'?
(Sltar, vol. v. p. 1 17).
9 This bracketed passage occurs only in II-Ia.wi.
iO COlt
ally IJatma in II-Ialwi: the copyist of BII. reads kh.(ma, while the editor
or .I-Azdi reads ....ilfa. 1be whole section rrom the beginnins of this sentence to
the end or the paragraph is missins rrom the venions given by II-Ji"i Ind Ibn
Abi '1-I;IId"td ; it is given in I ditferent contu.1 by the A,hanr(voI. XXIII, p. 237),
where 'lllw fl thimdrikum stands in place of I.tarma (cr. Tlb., JeT. ii, p. 20(9).
I I $adoqilt (Bal. Ind a1-Azdi)/.JQ4aqa (II-Ialwi); but the A,hilnr(see the PIec;e(iinS
nole) reads kharilj (d. Tab., JeT. ii, p. 20(9).

righted makrKlI

Appendix 3

131

and you said, 'May God reward him with good.' Nay! May God
reward him with evil! He was miserly with his wealth and niggardly
in his religion.
II. fThen the sinner al-Wafid b. Yazid took charge. He drank wine
openly and he deliberately made manifest what is abominable. Then
Yuid b. al-Wafidlt rose against him and killed him: God has said".
'So We make the evildoers friends of each other for what they have
earned.' Then Marwin b. Mul;Jammad took charge and claimed the
caliphate. He abraded faces, put out eyes, and cut off hands and feet.
How amazing is your satisfaction with the sons of Umayya, the sons
of the raliq,U the sons of the accursed one! Curse him (i.e. Marwin),
may God curse him !1.1I
12. These BanD. Umayya are parties of waywardl1C5s. Their might is
selr-magnification. They arrest on suspicion, make d
e
....
e
e
s capriciously.
kill in anser. and judge by passing over crimes without punishment."
'They take the alms ta from the incorrect source and make it over to
the wrong people. God has made clear the eight categories (of
recipient, of .Judaqat). U Then there came a ninth category which had
no right to them. lit set itsdf in the midst of lthose who did have a
right] and said, 'The land is our land. the property is our property,
and the people are our slaves ').11 It took all. That is the party which
dec.ees other than what God has sent down. land God has said, 'Who
so decl'tt5 not according to what God has sent down, they are the
unbelievers, the evildoers and the sinners'. It The(se) people have acted
as unbelievers. by God, in the most barefaced manner." So cune them,
may God curse them!!."
12 Readinl alWarld ' in place or' Khllid.
1 3 Qur.. 6: 129 (the kadhaJiks piedinJ

qlJla '1fIJh has

been

disreprded as

dilloJf8phy).
14 I.e. one broupt within the pale of Islam a.ainlt his will (Lane. LrxiCOfl. ,.11.).
in this case presumably lhe Marwinki forbear al-l;Iakam b. Am '1-',.1" .
IS The whole of this bracketed plralflph OIXun only in alllkawi.
16 Raj . alJiil- and allzkawT Jive the sinsular form ,hsjWtJ (Ihe edilor olal-A%di
rtads ,haq4'). while the A61W1r and Ibn Abi '(l;Iaald give lhe plural j/tsft'4t. For
IOme enmp!esofUmayyad,httja'4, lee aJJibi;, Rtu4'iI. vol. II, pp. I I , 14: Waki',
Qu4dh, yo l ii, p. 36; AghiJnl, yol. XXI, p. )12.
.

1 1 Qur., 9:60.

1 8 This bracketed passage occun only in alllkawi.

19 Ste Qur. S:-48-SI.
20 Readinlk.l.h.m. $.1:4 as ka!ra/'" fO/'4' (we art indebled 10 Professor Ibsln 'Abbis
ror Ihis sugeslion).
21 This bracketed passaae occun only in alllkawi.
.

righted rna nal

J34

Appendix 4
[God's Messengers)1

363 1, To continue: God, great and mighty is He, selected Islam as a

religion and selected for it from [among] His servants messenaers to
direct and lead (othenj to it, the first of (these messenaenl conveying
the good news to the last of them, and those of them who came later
confinning the veracity of those who had gone before. Ullimately the
prophethood ofGod reached Mul;lammad,at a timeofinterval between
messengers,' obliteration of knowledge, cessation of revelation, and
proximityofthe Hour, Through him God sealed the prophets, making
him their witness, (and

so) preserving them;1 and to him He revealed

His mighty book - falsehood comes not to it from before it nor from

behind it, a revelation from One all-wise. all-laudable ',' in which there
is what' He penniued and prohibited, promised and threatened.
warned of and cautioned about, and enjoined and forbade, so that He
might havt the conclusive argument' over His creation, and 'so that
whosoever perishes may do so by a clear sign, and by a clear sign may
he livewho lives; surely God isall-hearing, all-knowing'.' [Mul;1ammad]
transmitted God's message' on His behalf, and caUed to His path,lfint
of all] with the wisdom, good admonition and disputation 'in the
better way'l' which He had enjoined upon him, and then with holy
war and severity, until God look him back unto Himself, and chose
for him what is with Him (i.e. in Paradise), may God bless him.

{The Caliphatc]ll
1. Whenthe prophethoodcametoanend.andwith Mul;lammad - may
God bless and preserve him - God sealed revelation and the message,

2 Cf.f 1-20ral-Warld'.letter, and note in p8rticullrtheclolt limilarity orwordin,

there: AII4It jaJltJ fkil,4nt (nllher than 41tJfiJ) '1/J1;Jm . . . '
'uaja . . . . . .t.!f 'II/lIMt kardmiJ, AIItV! fl tJNb.twwtJtlill I/.!f MIIiJ4mffIOd. . . 'olD ';lir duriu mill ai'ibn . "'a-khtJ,_ biIIl wolJy., ,
1 cr. Qur., 05: 22,
4 O. the end of the tint Plragraph of atWarKl'I 1etter, where Ood preKr'l'eS what
He has revealed with them.
05 Qur" 41 :42
6 Followin, Sib, b. alJaWli'1 bimil tJJ,.oJltJ in prereltllCC to al-Qalquhandi'.
/(l-oJ,ol/tJ and 10 accommodatin, the '.!f'1d pronouns in the rollowin, phrue
wa-tJmtJt"tJ billi wtJ-rtaM 'mtJiu.
7 Af-/pI
.Jj4 tJl-WliJluJ: cf. Qur., 6: 1.50.
II Qur" 8:404.
9 Sibl b. al-Jawzi reads risil/6tilli in place or risil/tJt.
10 BN/tJ.lltiyam,stllf. the whole sentence from 'called' up to thil point bein,calqued
on Qur., 16: 126; note that the openin, puIIF or alWalid'l ldler allO conta.ina
the phraK 1111,,,, lllya tJJ,son <see note 4 thereto).
I I cr. HH oralWarld's letter, where the ncuity orobeyin, the caliph il strated
and his duties t'is-.dis his IUbjects are not.
.

. .

righted matmal

alMa'mun's leiter of designation of'AIi al-Ri4a

135

He made the mainstay of the religion and the ordering of the

government (amr) of the Muslims [reside) in the caliphate. (in all) its
fullness and might, and [in) the implementation of that 10 which God
is entitled in (respect of] it (i.e. the caliphate) through that obedience
with which God's ordinances (farii'i4) and restrictive statutes (hudud),
as well as the laws (shard'!") of Islam and its nonns (Sunan). art
established and his enemy is rought.1I It is incumbent upon the caliphs
ofGod to obey Him regarding such of His religion and of His servants
as arc placed by Him in their keeping and care: and it is incumbent
upon the Muslims to obey their caliphs and to help them to establish
God's justice and His equity. to make the highways safe and prevent
bloodshed, and to create a state of concord" and unity of fellowship.
Remissness in that" (occasions) disturbance of the ropen of the
Muslims, disorder among them, variance within their confessional
entity," oppression of their religion, superiority of their enemy,
diversity in what they profess, and the forfeiture of this world and the
world to corneY

364

4. It is incumbent upon him whom God has deputed on His earth and
has entrusted with authority" over His creation that he [exert himself
for God and)lI prefer that in which God's pleasure and obedience to
Him (are occasioned), act justly in thai with which God may acquaint
him and about which He may question him, judge with what is right.
and act with justice in that with which God has charged and invested
him. God, great and mighty is He, says to His prophet David, may
peace be upon him. II
o David, we have made you a kha/ifa on earth : $0 judge between
people justly, and follow not caprice, lest it lead you astray from
the way of God. Surely those who go astray from the way of
God there awaits them terrible chastisement, for that they have
forgotten the day of reckoning."
-

1 2 While alWarld's leiter refers to the nmIIQ/JIIII(II1 ofGod, here the nman are those
of Islam.
1 3 SaIDJ, Nl aIbay,,: cr. alWarlds letter 7 and note 43 thereto.
14 Sibl b. allawzi reads ...a-fllchild/d/liJ/iko when al-Qalqashandi reads "''a-/Tikhldl
dM./iko.
1 5 SibJ b. alJawzi reads umr where al-Qalqashandi reads J,obI. In alWarld', leiter,
the caliphs sirenathcn the strands of God's rope (13); cr. Qur., 3:98, 108.
1 6 Ilchlilaj millolilrim.
1 7 11tere is fairlydosecorrespondencc between thissentenoe and the fourth lefllenoe
of 5 of al-Warld's letter.
1 8 Reading WQ-'ltamDtUJlrll (deleting the hamlQt a/-qDf on the alif and reading a
$/wddt. on the ld', in place of the typographical erron in the text as it appcan

in the Swbl,).

19 This addition is gi\-en by Sibt b. aJ-JaWli.

20 Qur., 38:25.

CJPYnghted malenal

137

al-Ma'miin's lelrer of designation oJ' AIf aJ-Ri4ii

untwisted the rope (mar,) of the people of schism and enmity, [those
given to) striving for disunity and looking out for" sedition.
[The exertions of al-Ma'miln himseJf]u
6, The Commander of the Faithful has not ceased [to exert himself in

this regard}" since the caliphate passed to him and he experienced its
dry and bitter taste, the weight ofits load and the severity of its burden,
and what is incumbent upon him who takes it upon himself by way
ofcleaving to obedience to God and fearing His punishment in respect
365 of that with which He has charged him, He has wearied II his body.
has caused his eye to be sleepless. and has given prolonged thought
to that [matter) in which [there are at stake) the might of the religion,
the subduing of polytheists. the well-being of the umma, the spreading
ofjustice. and the maintaining of the book and the sunna; and [all of]
that has denied him tranquillity and repose in a life of ease,H (He has
done so) cognisant of that about which God will question him and
desiring to meet God in a state of sincerity to Himll in respect of His
religion and His servants, choosing for the succession by his covenant
and for the care of the umma after him the most excellent person
possible in terms of religion, piety and knowledge and the one from
whom the most can be hoped forin implementing God'scommandment
and right. [He has done so] communing with God in a desire for His
blessing in that [regard] and asking Him day and night to inspire him
with that in which His pleasure and obedience to Him [are to be found],
employing his mind and insight in his quest and his search amon'
his ahf boY1 from the descendants of' Abdallah b, al-'Abbas and 'Ali
b, Abi Tii.lib, satisfying himself with what he knew of those whose
situation and persuasion (madhhab) he knew [already)" and exerting
effort and energy in enquiring about those whose circumstances were
not known to him, until he penetrated deeply into their affain with
his perception, put information about them to the test before his own
eyes, and discovered by interrogation what they were about ,
27 Prererring Sib\ b, al]awzi's al lartlblnq to II-Qalqll$handi" alraftl,
28 cr. 10 of alWarld', leiter, where 'ever since God deputed him, the Commander
'

of the Faithful has not had a greater prroecupation or coneern than this
covenant. , ,
29 Added by us: as Safwal poinu out. the sense is obvious (rom the context
JO Sibl b, al]awzi readJo al/
# !; K'a'l-da'a M'a-maltn';;' alay$h where alQalqashandi
reads Q/-khaf4K'a'l-dda bi-hOlli),}'al'Q),Jh, The senlence u a whole 10 some utent
reflects I I of alWartd's leiter,
31 Sib, b, al lawzi reads munj.lt' where al-Qalquhandi reads mU/l4fu,ohu,
"

32 Preferring Sibl b. a]]awzi',fl to alQalqashandi's min,

33 Sibl b, al-Jawzi'sreading mllqttqi"'flman 'alimaljdlahll M'(J-madhhabahilminhilln
'aid 1J,oqq iI",.- is judged by Gabrieli to be 'assai piu confuso' Ihan al
Qalqashandfs mllqla,fi"'- flman 'alima J,iiIQhll M'Qmodhlmbahll minhum 'alii

'j/mihi,

CJPYnghted matanal

al-Ma'miin's letter of designation o/, Ali al-Rit/O

139

after him, in the name of God and His blessing and the goodness of
His deCl" for His ligion and His servants, an oath for which you
(willingly) streich out your hands and to which your hearts are
joyously disposed. (Do so) being cognisant of what the Commander
ofthe Faithful has thereby desired, having preferred in it (i.e. the giving
of allegiance) obedience to God and regard for himself as well as for
you. (Do so) thanking God for Hiscounsel, with which He has inspired
the Commander of the Faithful in (the matter of] taking care of you,
and for His solicitude for your guidance (rwhd) and well-being (.fD/dIj),
and hoping for the benefit of that,n by way of the uniting of your
fellowship, the sparing of your blood, the bringing of you logether
after dispersal, the defence of your frontier-ways of access, the
strength of your religion, the subduing" of your enemy, and the good
state of your affairs. Hasten to obedience to God and obedience to
the Commander of the Faithful. It is a matter in which, i( you hasten
10 it and praise God (or it, you will know good fortune, God willing.44
42 PreferrinlSibt b. alJn'1:Is '4"14*" dM/iJca to a1-QalqashaDdi's '4'iJDIwfl dM/iJca.
43 Preferrlnl Sib1 b, aJJawzi's qam' to al.Qalqashandi's ,tlfNrr,
44 Sib\ b. alJawzi adds, 'Written by his (own) hand on 7 Ramaq.in. 201 1_ 29
March, 817)',

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righted matmal

INDEX

'Abbisids. !..Qt 1 1 3
aDd the caliph'l litk:, 13-16. L8
and SutlNl, & 80-96
'''bd al,'Aziz b. al-l;Iajjij b. 'Abd
ai-Malik. 111
'Abd al'Aziz b. Marwin. 26
'Abd al'ADz b. 'Urnar, 74'
'Abdallah b. al-'Abbis, ill
'Abd.llih b. Yal;lyi. liD
'Abd II-Malik. 21. 41 10l
and the caliphal title, 1r., I I

IsfaqIh, 48r.
ma'fiint, ,S6
'Abd ai-Malik b. al-Muhall.b. 61"
'Abd ai-Salim al-Yashlturi. !j. 88
Abraham, 11
absolutism. 68, 106-9
Abu " 'Abbas. LJ
Abu Bakr. L 19f. l1. 1 1 1-l1. 129
Abu Bair b. Mul;lammad b. l:Iazm, :u
Abil l:larru:a al-KhiriJl. 1.2. n. & 1!.
129-32
Abu i:lanifa, 90. 21
Abu Muslim. Ii. M
Abu 'Ubaydallih. 88
Abu Yiisur, 82r, &8., 20. 21. 22. I Ul
Adam, !. 17", '", 22". !(lO"
Adam b. '''bd ai'AzIz b. 'Urnaf, 74'"
'adl. justice, 36r. 80, U 100. 12O
'Adud al-dawla.
Arrican rulef$, 19
'Ali, ll. f!Q. 100", LJQ. 111
'Ali 'Abd al-Riziq, 91
"Ali al-RiQi. 946. 133-9
al-Amin, L3
amFn Alldh, God', trustee .1 Ii.
17K, 1', 21. 31. ll. 38"'. 39'",
80'", 82. 101. 1 13

ami, Qf-mu'minfn,

!l.

L6

al-Awn'i, il
al-Azhar, 97, 98
al-BiOini, 97
Bughi,
David, 1. 17", 21", a. 100", ill
and Solomon, ] 56",

ll. H, lli

dhamw, 4.S

Fi1imids, 14"', !1. LOO

Ghadir Khumm tradition, 78, [881
gJuly/h, il. 81. t!ll. I I ]
al-Ghaziti, u.. ll. 97
Goldzihcr, 4r.
guidance, s hwdd

l,abl Alltlh, God's rope, ]9r., 82. LOl.

lO.l. UO

al-Hidi ('Abbisid), Ll
al-Hidi (Zaydi), 98
al-l;Iajjij, 2l..!!. LXI
al-l;Iakarn (b. II.Warld], 124r.
l;Ianua al-KhlnJi, U
al-l;Iinth b. Surayj. 61. 6J.. 64-6, 73M,
llllI

Hartharna b. A'yan, U
HiOin aI-Rashid, U. 8&-90
al-l;IlIIn al-8a,ri. :m. I1. 7S"I,
130'
Hindu kings and law, U lO!I'
Hisham, 9f" U 2l. w
hud4, luklance, 1L ]4[, &2. 1.00
al-I:haayn, 60
Ibn II-Alh'ath, 61
Ibn al-l;Ianafiyya, LO.l. \.Of

153

Index

154

Ibn I;Ilnbal, 97
Ibn l;Iazm. !1.. 42
Ibn bbiq. \Kl
Ibn JuraY;. M

alMuhtadI, Jj

Ibn Tlhmin. U
Ibn 'Umlt. 61

alMuqllfi, 1..5.
Mild b. 'T.. alKisrawi, 81
Mu"ab lb. al.Zubayr), fJ
alMUllaltfi, 97

trtwjDddId. IJj

alMulthtir, & 62.. 67r LQ.3

Ibn II.Muqlil'l'. 12. 8S-7. 901'. 9:2

alMunlltir, L!
alMuqladi, 15

Ibn II.ZubaYf. !1. 2QM, ll.. 6Of g 68.

Vmd', 93
in
d
" /s'j
...
"
., oI.Jrud4, imlm(s) of

alMuslln,if, 1..5.

lUidancc. H. !l. a 80'". 81.

901' 100:

Imlmil, 99-10$, L06

'.:,ma, )8f., 14". 82'M, (98), 101M,
10)f. I I ), 136
luni'm., 17,99-103, 108", I I )

Jl'flr al.$idiq, Ul8.

j411i1r death, 4Of. lOJ

JI'II. L.9.
judaes, Iff fIItICs
justice, Iff '0111

Us/fjs" tUW/ AII6A, U. Ii. 19f,

L2. I..I.. !L a. 100'.,

LlI1f
kltlb AIIM! _.n;:;ul /Iilblyyilti, the
boolt of God and the .1WV14 of His

ill

alMu'tadid. Jj
alMu'lImid, Jj

Mu!arri( b. al.Muat!ira, ZI.. 6J

alMu'IIJim, I.!.. 97
alMula_UiI, l!. Ii. 97
alMu'tazz, Jj

Nu'aym b, tJunmld. 98
Numayri. 1.9.
Ifiir, 1iat!I, ll. no loor.. UK"

Khilid II-Qlsri, 29'

Propbe1,

aIMullawrid b. 'unara, 60.

alMullqhir, II

/IfJ'ib AflaII, !!. l2.

alNifir, 1.S
Nqr b, Sayylr, 65r, 108, ill

Justinian 11, 26

Khirijites,

'968, ll. 7L 11. It

IiJht. 3ft IIMr

alMabdi, !1. & 87f 92f., 98
.

the Mahdi, I'dw6. MSltdi,,,w., Ii. 36r.,

!iI,7S, 80'''. n. IOU, l I )f
Mililt. 86f, IlO
Munlult EI)'pt, Munluu, 1..8. 97
alMa'mo'n. !l. 1i. !L 92. 1 16{
1IJ-19
al-Man,ilr, 1 3,54-7,92
Man,llr b. Jumhllr, 128

Ottomana,

I.l. 97, loon

"" Pro"""

in early documents, 24-6

venus caliphs. 27-32

as im4m 1II-1rwIoJ,
IS mtJiJI,
P>OVheIS aod caliphs. 27-)2, 94r.
Q.darism, 1 1 7r.
qdi/fJ, ....r, 46/'. !Q. 72(,
Qari b. aIFujl'a, 62

quietism. L09.
Qur'in, .5{

Mlrwin I, 7, !S, 4Ir, 1lO

Marwin II. lor., 21. U2
Marwlnids, 1 1 , 25(., LlO.
MediDele practice, 47(.
l'Ii, 97

MU'iwiya. !L U. 1lO
and lhe caliphal title, 6(.,
coin. or, 2!.'.

mwfaitlwlm. ,....). L.O.3

Mubamrnad. Sff the Prophet

Rabtat al.Ra'y, 2J
,6f AIIM, God's lbepbmi, t. 9:

,6shd/,ashr4,
i
Rbhidiin. 36. 11.
81''', 98, 1.02
,a')" H. l.Ol
rescripts, 46, "
rope. SN f1abI AIJ6It

S.ladin, L6
Sllim b. 'Abd alRabmin. ill

Samil, ll1
Schachl. . 4!H'.
Seljuqs, 1.8

C;.pvrlghted material

Index
a1-Shifi'T, 2Q, 91, 9), III

JJrWlJ, .R. il 6t 16. !.!It U1

SlJf'1JI docuJT\eflt. 6i
$iffin, victon It, 1 1 1, ill
silJlel rinp, 24'
Solomon. linn, 44, 11 811", 91,

101. 1 1 $
SufyinidJ., 'L 24(.
Sulroymin. 2. LlO
su/fi1ll AfJiJJt, I I I
Suwlyd b. SUllym,

and _. g. 71-80

aa

!"hElller,

114

Umayyads. 44r.. 8)1"

and tbe caliphal title, 6-1l. 2Of.

hostile portrayal of, 21
and Jabrism, 1 17f.

of Spain, LL 10011

1. t 2'''. & lL Lln

and the caliphaJ title. t . U. 2Il!!.
and the oriJins of the caJiphal office.

'Uthmln,

60

III
and Umayyad IeJitimism,

II'Ti'i', L4

the tDww4bWr, 60.

aI'Tahliwi, 18
Thibit b. Sullymin b. SaId,

Thomson, In

L26

TYln, .. fi

'Umar, t
Ind tbe

155

tide, 2Q, 22
22. 1 L4

Ind
,
and meuianism. III
'Umlt II. t a LlO

and tbe caliphal title. !1 11

ll-3

al-Warld I, 8r, 22. UO

aIWard II. UJ. 127. U2
leiter or, ll. 26-8. l8r.. fl. ill,
1 16-26, 134-18nn
al-Wlthiq, L4

Yuid I, L Lln
YazXl lI. '! W
Yuid III, !.Q. 1. 61. 107r.. ill
leiter or il.. 1*
8
Yuid b. al-Muhallab, !.b a M. 616.
107, ll2!
Zaye! b. 'Ar" & 1.Dl
Zayd b. Thlbit, !t a 11. ill
Zaydil, !.!.. 100"

156

God', Caliph

U N I V ERSITY OF C A M B R I D G E
ORIENTAL P U B L I C .... TIONS PUBLISHED FOR T H E
FACULTY O F ORIENTAL STUDIES

A'f'''Of's' C_'1I1ory

011

P/a/o', Rtpublic, edited and translated by E.U.

Rosenthal

2 Fil:Ktrold', ' Soldmdtr ond IIbsd/I', edited by AJ. ArbeIT)'

J "tOfa Sail/ale",; TIlt JfI/IlIM Family Slorrhoust, translaled and edited by G.W.
Saraenl
4 TIlt AI'f'lfan Hymll 10 MI/bra. edited and translaled by Ilya Gershevitch
!i TIl, FlI.Jul o/Madanl 0/ oJF6r6bl, edited and translated by O.M. Dunlop (out or
print)
6 Dun Kar,". POf'lo/Malto, textschosen and transllled by AJ. Arberry;introduclion.
nOles and alouary by P. Grtth
7 TIlt Political Writngs
i
o/OvoU Sorai. by 1.R. McEwan
8 Fimmciol Admmulro/ion IlIUkr 1M ranI Dynasty, by D.C. Twitchell
9 NtoIilhkCQII/KNpnlofSOlllh India: II Stlldy O/Iht Duran Ashmowrds. by F.R.
Alkhin
. Yuklthi, by
10 1M JOpalll't b!lithl'"': If Study O/ Iht Writ;"gJ 0/ Fuln,:tI..tI
Clrmen Blacker
1 1 kordJ 0/ H(IIf Itdml"lstral/OII. Vol. I His/orical Autumenr, by M. Loe_
12 Rtcords of Hrm Arlml"lJmulrHI. Vol. II Dlt, by M. Loewe
13 1M Lmrtuogt 0/ '"drtljil of Orclla: It Study 0/ Early Bra! B4 PrOJt, by R.S.
Mc:Gr.:.or
14 Jt!p(J,,', FlrJI Gtntral EltctiOll, 1890, by R.H.P. Mason
15 It Col/tel/OIl ojToltJ/rom Ujl: It Sludy and TrQl"lol/on of' Ujl Shii/ Monoga/ar;',
by D.E. Mills
...
ls" Tht_J. by E.I.J. Rosenthal
16 S/udia Stml/lttl, Vol. I )t
17 Sludia StmiliUl, Vol. II hi_if: 17ItmtJ, by E.U. Rosenthal
18 A NtJloriall Colltel/011 of C"riJ/oIirDI TUIJ, Vol. I Syriac Ttx/, by blise
AbramoWliki and Alan E. Goodman
19 It NtJ/orian Coi//IOtI 0/ ChriJloIorlctll Tt.1I1I, Vol. II J,rlrtHiwctlon TrOllS/mloff.
Indull. by Luise Abramowski and Alan E. Goodman
20 17It Syrloc VtrJlrHI 0/ /Itt PShJNon"oJ My/"oIogltal Schol14. by Sebastian
Brock
21 Wtlltr RiI"lJ and '"igtl/IOft Prarlicrl In Lah}, by A.M.A. Maktan
22 Tht Commf'II/ary of Rabbi Dodd Kimlri on PJoinu c.1Ixd, edited and translated
by Joshua Baker and Ernest W. Nicholson
23 Ja/ill al-df" al-Suy"!'. Vol. 1 Biography (JIId borIr.graulld, by E.M. Sartain
24 Ja/dJ ol-drll a/S"yii(r. Vol. II "1t/TalIaddulh blnrmat ollaJa", Arabic text by E.M.
Sar1ain
25 Or/gm and ,"" Jf't'I'J'- Sludif'J /n Jf't'I'islr-C/"lJtialf Rr/tJI/OfIJ ill Third Cf'lI/ury
Poltllf"" by N.R.M. de Lange
26 Thf" flfJtJlack!'Uf"iJ.Ja'.- A rf'JuNa/ion 0/''''' ltxl. by John O. Smith
27 ShahMlM Sol" and Ifb P'l,)"('rbooIc, by Sieran C. Reir
28 Mori Ogol and Ilrf' Modt,ni:ollon ofJOpaMJt Cu/lurf', by Richard John Bownn8
29 1"1If' Rt/HI LandJ: All ifllJtlRolion into oriJiIU 0/f'orly M'Jopotamlon mYlholol)'.
by J.V. Kinnier Wilson
30 S#ladi11 : TM po/lti(1 Qf 1M Holy War, by Makolm CalMron L)'Qns and OavMi
lackson
31 KhQlontJt BudJlriJl T,.1IIJ. rc...ised edition. ediled by H.W. Bailey
32 'ntC'r",C'II1t8 ,'''' Htbr,... BiblC': wayJ IN HOfIQUr of.1.). ROJ"I/hal, edited by I.A.
Emenon and S.C. Rcir

righted matmal

Printed in the United Kingdom

hy Lightning Soun:c UK Ltd.

98()400000 I BI46-6

This new study examines how religious authority was distributed in catly lslam.
It argues the case that. as in Shi'ism, it WM concentrated in the head of state.
rather than dispelsed among leamed laymen as in Sunnism. Originally the caliph
was both head of state and ultimate source of religious law; the SWUli pattern
replcsthts the outcome of a conflict betv.-een the caliph and catly scholars who.
as spokesmen of the community. asswned religious IcadeTship for themselves.
Many blamicists have assumed the Shi'ite conctpt of the imamate to be a
deviant development. In contrast, Patricia Crone and Martin Hinds argue that it
is an archaism preserving the concept of religious authority with which all
Muslims began.
The cover illustration shows the reverse of a dirham dated 75AH1694-5 AD, in
the caliphate of 'Abd aJMalik b. Marwin. probably struck in Damascus. The
standing figurc is the Caliph himsel bearded and wearing Arab hcad-dress.
with his right hand resting on his swordhilt
omiT o/-mu minin (Commander of the Faithful), the right-hand Icha/[f]fat A//(ih
(Caliph of God). Note also the star and crescent in each of the four segments.
Photograph reproduced by pennission of the State Historical Museum, Moscow.

ISBN

0-521-54111-5