Islamic History: the First 150 Years
Uthman & Crisis of the Early
Caliphate
Session Plan
1.
2.
3.
4.
5.
Perceptions & Perspectives
Uthman ‘s Background
The Shura Committee
Uthman & the Bani Umayya
The Murder of Uthman: Causes &
Consequences
Section I: Perceptions
Perceptions
• Uthman’s caliphate lasted for some 12 years
• In some ways, Uthman’s caliphate marks a turning
point
• The conquests brought about large scale and
important social changes
• Shift from nomadic to sedentary life styles
• Vast expansion of Islamic state
• Accumulation of vast wealth
• It was during Uthman’s caliphate that these issues
began to come to the fore
• Uthman’s caliphate thus marks a transition, in
some senses
• This transitional nature probably accounts for the
wide divergence of subsequent opinion
Perceptions
• Some early writers saw Uthman’s caliphate as being
divided into two periods:
• An early period, lasting some six years or so
• This early period is often viewed as ‘good’, in which Uthman
is portrayed as following his predecessor’s example (or
sunnah)
• A later period (the remainder of his caliphate)
• During this period, Uthman is said to have been
increasingly at the mercy of his Umayyad relatives
• According to this view, this latter period sees Uthman
diverge and fall away from this sunnah
• He is thus said to have favoured his relatives and have
given them preferential treatment, despite the fact that
many of them were relatively late converts to Islam
• Cf. Umar’s concept of sabiqa (or ‘precedence’)
Perceptions
• Such a picture seems, to me, to be overly formulaic
• Moreover, as we explored last time, in reading
early Islamic history we have to account for the
influence of later thought
• The true picture is thus more complicated
• Modern writers offer interpretations
• Gibb, for example, sees the crisis as essentially a
conflict between the Meccan aristocracy and the
‘tribesmen’
• Hinds, in an influential article, argues that these
difficulties caused by the immediately postconquest nature of his time
Perspectives
• As we shall see, Uthman is an important figure in early
Islamic history
• As such, there are a range of views on him within the
Islamic tradition
• Broadly speaking, we can discern three main
perspectives
• The Sunni view: Uthman was a companion of
Muhammad and a legitimate caliph (one of the four
‘rightly guided caliphs’)
• The Shia view: Uthman (along with Abu Bakr and Umar)
had usurped control of the Muslim community from Ali
• The Khawarij view: Uthman had started out as a
legitimate caliph but had gone astray and so had had to
be removed
Section II: Uthman’s Background
Uthman’s Background
• Full name: Uthman ibn Affan ibn Abu’l-`As ibn Umayya
• Uthman thus a member of the wealthy clan of Umayya
• A close relative of Abu Sufyan ibn Harb and many other influential
members of Quraysh
• See the family tree provided
• Unlike most members of his extended family, Uthman was an
early companion of Muhammad
• As such, Uthman was one of the few converts from the Meccan
elite
• Uthman thus had a unique position
• Uthman married two of Muhammad’s daughters, Ruqayya and
after her death, Umm Kulthum
• This gave him a distinct advantage, in terms of social prestige,
over Abu Bakr and Umar
• Known as Dhu al-Nurayn due to this marriage (‘One of Two
Lights’)
Uthman’s Background
• Muhammad himself was aware of Uthman’s particular
status
• Ibn `Asakir relates that Muhammad would cover his bare
legs in Uthman’s presence, which he would not do for Abu
Bakr or Umar
• Uthman does not seem to have been a warlike person
• Exempted from fighting at Badr, said to have run from the
Battle of Uhud (according to Ibn `Asakir’s report)
• He was however a very wealthy individual, and used this
wealth in the service of the Muslim community
• Uthman financed important military operations
• Despite this support, he still seems to have possessed
great wealth
• Uthman was also a useful link for Muhammad to the
Meccan aristocracy, especially in negotiating the treaty of
al-Hudaybiyya
Section III: The Shura Committee
The Shura Committee
• Broadly speaking, shura means ‘consultation’
• In this context, it refers to the group of six senior
companions appointed by Umar to decide upon his
successor
• Umar considered them all to be important members of the
Muslim community
• It is noteworthy that they are all senior companions of
Muhammad (cf. Umar’s policy of sabiqa)
• Abdur Rahman ibn Awf (one of the ‘10 promised
paradise’)
• Uthman ibn Affan
• Ali ibn Abi Talib (Muhammad’s son-in-law)
• Sa’d ibn Abi Waqqas (a senior companion)
• al-Zubayr ibn Awwam (an early companion and the
Prophet’s cousin)
• Talha ibn Ubaydallah (an early companion)
The Shura Committee
• Umar seems to have decided upon this course of
action quite early on
• However, the individual members were chosen on
his deathbed
• Umar convinced that all Quraysh had a right to
caliphate
• And, that it should be decided by consultation
• However, important to note that this does not mean
public election
• Rather, the decision here was restricted to
important members of the community
• In later Islamic political theory, these were the ahl
al-hall wa al-aqd (‘Those who loosen and bind’)
The Shura Committee
• Abdur Rahman ibn Awf said to have given up
his claim in return for a casting vote
• Uthman and Ali were the two main
candidates
• Debate continued for 3 days
• Let’s look at Tabari’s report of the event
now…
• See the Handout for the passage
The Shura Committee
• `Abd al-Rahman questioned Ali & Uthman in public
about what your might call their ‘policies’
‘”God’s agreement and covenant is binding on you. Will
you indeed act in accordance with the Book of God [i.e.
the Quran], the practice [sunna] of His Messenger and
the example of the two caliphs after him?”
• To which Ali is reported to have said:
‘I hope to do this and act thus to the best of my ability’
• The translation here does not fully draw out the
significance of the reply, which was felt to be
somewhat equivocal support for Abu Bakr & Umar
The Shura Committee
• Uthman responded with a simple, unequivocal ‘yes’
• These passges are all drawn from Tabari I. 2786
• It was on this basis that Abd al-Rahman gave the caliphate
to Uthman
• This point is drawn out more forcefully by Tabari in an
alternative version
• Ali’s response is more forceful:
– ‘Indeed no, but [only] based on my own effort in all this and in
accordance with my own ability’ (I. 2793)
• Uthman’s first act was to decide on the fate of Ubaydullah
ibn Umar, who had murdered 3 people he suspected of
being involved in his father’s murder
• Uthman paid the blood money on his behalf and freed him
• Very much against the advice of Ali
A Brief Pause
• Turn to the person next to you and spend
a couple of minutes summarising the
lecture thus far.
• Questions?
Section IV: Uthman & The Banu Umayya
The Caliphate
• Uthman’s understanding seems to have been affected by
the circumstances of his election
• Madelung argues he was quite unprepared for his election
and it as a direct act of God
• Madelung interprets a number of important acts in this light
• Official Titles
• Abu Bakr called himself ‘Successor of the Messenger of
God’ (Khalifat Rasul Allah)
• Umar called himself ‘Sucessor of the Successor of the
Messenger of God’ (Khalifat Khalifat Rasul Allah)
• Possibly feeling that this was too cumbersome, he then
adopted ‘Commander of the Faithful’ (Amir al-Muminin)
• Uthman seems to have styled himself ‘Deputy of God’
(Khalifat Allah)
• He also used Amir al-Muminin
Khalifa
• The word Khalifa basically means ‘successor’ or ‘deputy’
and is used in the Quran in a number of senses
• Adam is called a Khalifa (2:28) and here the term most
probably means ‘deputy’
• In 38:25 David is also described as Khalifa (probably with
the same meaning)
• The Umayyad caliphs all either used Amir al-Muminin or
Khalifat Allah
• Generally speaking, the mature Sunni view is that the term
khalifat Allah is an abbreviation of Khalifat Rasul Allah
• This difference is important
• If Uthman meant ‘successor’ then his policy would
presumably be more restricted
• If the term meant ‘Deputy of God’ then Uthman presumably
felt he had a wider ranging authority
• This topic is one of lively current debate and exploring this
question further would make a good essay topic
Land
• Uthman seems to have approached the distribution of land
and wealth in a different manner to his predecessors
• Al-Baladhuri relates an interesting story on this point
• At a certain point, Ali, Talha, Sa’d and `Abd al-Rahman
came to complain
• Uthman answered that he used his wealth to support his
family
‘Did not Abu Bakr and Umar have kin and maternal relations?’ he
answered: ‘Abu Bakr and Umar sought reward in the hereafter by
withholding from their kin, and I seek reward by giving to my kin’
(Ansab al-Ahsraf V.28)
• Some writers, such as Madelung, argue that this was an
outgrowth of Uthman’s view of his own role
• Uthman also granted his cousin Marwan ibn al-Hakam (the
future caliph and father of Abd al-Malik) a fifth of the war
booty of Africa
• This fifth (khums in Arabic) is allotted by the Quran to the
Prophet for the running of the Islamic state
Land
• He also seems to have given money from the public
treasury to his close relatives
• al-Baladhuri’s report:
‘He took the sums of money and borrowed money from the treasury
saying: Abu Bakr and Umar left what belonged to them of this
money, but I take it and distribute it to my kin from it. The people
criticised him for that’ (Ansab al-Ashraf V.25)
• The estate at the Oasis of Fadak (which Abu bakr and Umar
had counted as public land) was given to Marwan ibn alHakam
• Another similar estate in the Mahzur valley of Medina was
given to Marwan’s brother al-Harith (see family tree)
• Uthman also made alterations to the existing use of former
crown lands (sawafi)
• Prior to the conquests, these lands had belonged to the
Byzantine and Persian crowns.
Land
• Umar held that these lands should be used as the
communal property of the garrison cities
• Thus the sawaf of Kufa should be used as the
communal property of Kufa, to pay their subsidies
• Grants from these lands were also given to
prominent companions, such as Abdullah ibn
Masud, Sa’d ibn Abi Waqqas and others
• Uthman then allowed the exchange of privately
owned land in Arabia for former crown land in Iraq
• Grants from this land was then given to prominent
Medinans who had fought at al-Qadisiya
Governing the Provinces
• One of the major contemporary criticisms of Uthman was
that of nepotism
• Although these charges can be viewed in a number of
ways, many members of the wider Bani Umayya were
appointed governors by Uthman
• Thus shortly after his accession, Ali ibn Adi ibn Rabia (of
Abd Shams) was made governor of Mecca
• Amr ibn al-As was dismissed from Egypt and replaced by
Abdullah ibn Sa’d
• Abu Musa al-Ash`ari, a respected companion, was
dismissed from Basra, which was then given to Uthman’s
maternal cousin, Abdullah ibn Amir ibn Kurayz (Abd Shams)
• Abdullah was also given control over Bahrain and Uman,
along with their military forces
• This was surprising given Abdullah’s youth, being only 25 at
the time
Governing the Provinces
• al-Walid ibn Uqba appointed to the governorship of Kufa (in Iraq) in
26 AH
• As we have seen, at this time, Kufa was one of the largest and most
important garrison cities (amsar)
• Tabari reports that al-Walid initially governed well, until being
accused of public drunkenness and eventually removed (I. 2840 –
2850)
• Tabari reports that Ali flogged al-Walid himself
• Another relative, Sa’id ibn al-As, made governor in al-Walid’s place
• Mu`awiya ibn Abi Sufyan appointed governor of Syria by Umar
• Uthman confirmed him in his governorship and augmented his
province by adding to it Qinnasrin, Hims and Upper Mesopotamia
• This meant that Mu`awiya had a very large province and army under
his personal command
• Indeed, during Uthman’s reign, Mu`awiya led numerous raids against
Byzantine territory, penetrating to some 100 miles from
Constantinople
• As we shall see, Mu`awiya’s control of Syria and its armies were to
important later on
Opposition
• These measures provoked opposition
• Sa’id ibn al-As is said to have commented that that Iraq was
a ‘garden of Quraysh’
• During an absence in Medina, serious rioting prompted
Uthman to dismiss Sa’id and reinstate Abu Musa al-Ash`ari
• A number of prominent companions began to express their
discontent
• Many of these seem to have been particular supporters of
Ali and the Bani Hashim
• Or, they were claimed as such by later Shiite writers
• Ammar ibn Yasir, a prominent early convert of humble
origins, was reportedly beaten by supporters of Uthman
• Abdullah ibn Masud, another prominent companion, seems
to have been similarly treated
Opposition
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Abu Dharr al-Ghifari
A prominent and early Bedouin convert
Of an ascetic bent
He is reported to have publicly denounced the large fortunes of
many people
His agitation seems to have caused discontent and Uthman
sent him to Syria
He continued his agitation there and Mu’`awiya eventually
returned him to Medina
There is a divergence of opinion in some of the sources about
his treatment
Some sources state that he was treated well during his return
journey
Others state that he was tied to a camel and treated harshly
He then left and went to al-Rabadhah (just outside of Medina),
where he died soon afterwards
See Handout provided
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Opposition
More importantly, a number of senior
companions began to withdraw their support
Talha ibn Ubaydullah withdrew his support
and seems to have criticised Uthman sharply
Abd al-Rahman ibn Awf is reported to have
become extremely discontented and in his last
years refused to speak to Uthman
He is also reported as refusing to let Uthman
bury him
Section V: The Murder of Uthman
The Death of Uthman
• With the dismissal of Amr ibn al-As from the governorship of
Egypt, discontent became open rebellion
• The sources refer to letters sent to the provinces encouraging
revolt from Talha ibn Ubaydullah and Aisha bint Abi Bakr
(Muhammad’s widow)
• A group of Egyptian soldiers marched on Medina, calling on
Uthman to repent for his misdeeds
• They were joined by others from Kufa, where they laid siege to
Uthman’s house
• Uthman at first seems to have acceded to their demands, but
once they left he seems to have been persuaded by Marwan to
change his mind
• This drew the rebels back to Medina, where a second siege then
began
• Attempts at negotiating a solution wore on for some time, but
eventually came to nought
• On 17 Dhu’l-Hijja, the peace was broken when a freedman of
Marwan killed one of the besiegers
The Death of Uthman
• Uthman’s house was then attacked
• Uthman ordered his guards to lay down their arms and leave
• According to the sources, these included sons of the some of the
most prominent companions, such as
• Abdullah ibn al-Zubayr
• al-Hasan ibn Ali
• al-Husayn ibn Ali
• The sources state that Uthman was murdered by Muhammad ibn
Abi Bar, Kinana ibn Bishr, Sudan ibn Humran and Amr ibn alHamiq
• Muhammad was Abu Bakr’s son, and since his father’s death had
been raised by Ali (his mother had married Ali)
• Uthman was said to have been murdered whilst reciting the
Quran
• And, this image of a pious old man, murdered unjustly is the
predominant image of the Sunni tradition
Consequences
• The murder of Uthman marked a major turning point in
early Islamic history
• Although there had been problems, up to this point that
had not boiled over into armed conflict
• Also, although Umar had been murdered, Uthman’s
death had been caused by other Muslims
• This set a very dangerous precedent
• The deed sent shockwaves around the Muslim world
• It also caused a deep split amongst Muslims
• A wide range of views
• Some groups believed that Uthman had to be removed
for his alleged wickedness
• Others felt that he had been killed unlawfully
• In some ways, the question of Uthman’s murder
became the key defining issue of the time
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Consequences
In the immediate aftermath, Ali was elected
caliph in Medina
However, unlike his predecessors, Ali’s
election was concluded hastily, in somewhat
confused circumstances
That said, he seems to have received the
unanimous support of the Medinan and
Meccan aristocracy
Most of the other provincial governors seem to
have quickly acknowledged his authority
All except Mu`awiya, the governor Syria
We will look more at this in the next session
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Assessment
In assessing Uthman’s caliphate, it is
important to understand the nature of the
times he faced
During the course of some 25 years (after
Muhammad’s death) the Muslim state had
expanded dramatically from a small, seminomadic polity to a large imperial power
This created social, economic and political
tensions
Moreover, the growing need for centralised
government also played an important role