ʿALĪ IBN ABĪ ṬĀLIB

ʿALĪ IBN ABĪ ṬĀLIB (c. 599–661 ce) was the cousin and son-in-law of the prophet Muḥammad through his marriage to Fāṭimah. As father of the prophet's two grandsons, al-Ḥasan and al-Ḥusayn, he was forefather of the descendants of the Prophet (known as the shurafā ʾ, sing. sharīf; or sādāt, sing. sayyid) ; fourth of the four "rightly guided" caliphs; and first of the imāms for Shīʿī Muslims—the very term Shīʿa being originally shīʿat ʿAlī, the "partisans of ʿAlī."

ʿAlī is seen within the Islamic tradition as both a heroic warrior and an eloquent saint. Accorded deep veneration by Muslims generally, ʿAlī has also elicited sharply contrasting passions: on the one hand, cursed by official decree in Umayyad mosques for decades after his death; on the other hand, divinized by his extremist followers—the ghulāt —to the present day. The life of this seminal figure of nascent Islam was controversial, and his influence has been, and remains, pervasive.

Life

ʿAlī's life can be viewed in terms of three distinct phases: the first, from his birth (c. 599) to the death of the Prophet (632); the second, from the death of the Prophet to ʿAlī's assumption of the caliphate (656); the third consists of his own brief caliphate (656–661), a period characterized by the first civil wars of Islam.

Life with the Prophet, c. 599–632

Tradition relates that ʿAlī had the unique distinction of being born in the Kaʿbah in Mecca. His mother was Fāṭimah bint Asad; and his father, Abū Ṭālib, son of ʿAbd al-Muṭṭalib, was a leading member of the clan of the Hashimites. Abū Ṭālib took care of the young orphan, Muḥammad, son of his brother ʿAbd Allāh, and he was later to be Muḥammad's chief protector when the message of Islam was openly being preached in Mecca.

When he was about five years old, ʿAlī was taken into Muḥammad's household in order to relieve Abū Ṭālib during a famine. From this time until the death of the Prophet, ʿAlī was constantly at the Prophet's side, first as a member of the household, later as a leading companion, confidant, son-in-law, and scribe. ʿAlī wrote down not only the verses of the Qurʾanic revelation at the Prophet's dictation, but also several letters and treaties. As a warrior, ʿAlī was at the forefront of nearly all the major battles fought under the Prophet's banner, and he always emerged victorious in the single combat duels with which the battles began. His courage and skill as a warrior became legendary. Frequently fighting as standard-bearer, ʿAlī's most famous military success was in the Battle of Khaybar in 629, where victory against the hitherto impregnable fortresses was achieved through his heroic leadership. The Prophet declared, when the Muslims were unable to penetrate the defenses, that he would give his standard to one who "loves God and His Messenger and is loved by God and His Messenger," and through him victory would be granted. He sent for ʿAlī, who led the Muslims to victory. It was at Khaybar that ʿAlī's strength attained legendary status: he is said to have used as a shield a gate that, after the battle, could only be lifted by eight men.

Early merits

ʿAlī is regarded as the first male to enter the religion of Islam, though he was but a youth of nine or ten years old. When the Prophet was instructed by the revelation to warn his near kin (Qurʾān 26:214), he invited the leading members of his clan to a feast, and asked who among them would be "my brother, my executor, and my successor." ʿAlī, then still only about thirteen years old, was the only one who replied, and the Prophet affirmed him in all three respects, adding "Hearken to him and obey him" (Ibn Iṣḥāq, 1968, pp. 117–118).

When in 622 the Prophet migrated from Mecca to Medina, ʿAlī offered to take the place of the Prophet, sleeping in his bed on the night the Prophet departed, thus risking his life in order to thwart an assassination attempt by the Prophet's enemies. ʿAlī then joined the Prophet and the Muslims in Medina, after having distributed to their owners in Mecca all the property held in trust by Muḥammad. In Medina, the Prophet instituted a pact of brotherhood between the emigrants from Mecca and the "helpers," the Muslims of Medina; he himself adopted ʿAlī as his brother (Ibn Iṣḥāq, 1968, p. 234),

The Prophet gave ʿAlī the honor of marrying his daughter, Fāṭimah—considered, with her mother, Muḥammad's first wife, Khadījah, as the paradigm of saintly womanhood in Islam. The Prophet's ahl al-bayt (people of the House), the members of which the Qurʾān refers to in 33:33 as being purified of all defilement, was indicated by the Prophet as consisting of himself, ʿAlī, Fāṭimah, and their two sons, al-Ḥasan and al-Ḥusayn. (Shīʿī sources add to this group the imām s, and attribute to all members of this category the status of inerrancy [ʿiṣmah ], while certain Sunnī sources deem the Prophet's wives to be the referents of Qurʾān 33:33.) It was in his capacity as leading member of the Prophet's ahl al-bayt that ʿAlī was instructed to recite the Sūrah al-Barāʾa (The immunity, IX) to the pilgrims at Mecca in 631, even though Abū Bakr was leading the pilgrimage. It was ʿAlī who the Prophet instructed to destroy the idols in the Kaʿbah when Mecca was conquered in 629. When the Prophet died in 632, ʿAlī washed his body and led the funeral rites.

ʿAlī according to the Prophet

Numerous sayings attributed to the Prophet affirm ʿAlī's high spiritual rank. Shīʿī and Sunnī sources alike affirm the following sayings: "I am the city of knowledge, and ʿAlī is its gate" (al-Ḥākim, 2002, p. 929); "Looking at ʿAlī is an act of worship" (al-Suyūṭī, 1970, p. 97); "Verily, ʿAlī is from me, and I am from him, and he is the spiritual guardian (walī) of every believer after me." (al-Nasāʾī, 1998, p. 129); and "ʿAlī is with the Qurʾān and the Qurʾān is with ʿAlī" (al-Ḥākim, 2002, p. 927). The Prophet is also recorded as having said to ʿAlī the following: "You have, in relation to me, the rank of Aaron in relation to Moses—except that there is no prophet after me" (al-Nasāʾī, 1998, p. 76). Several verses of the Qurʾān were commented upon by the Prophet with reference to ʿAlī. For example, in connection with 13:7 ("Verily thou art a warner, and for every people there is a guide") the Prophet was reported as saying, "I am the warner…you are the guide, O ʿAlī. After me, the rightly guided shall be guided by you" (al-Suyūṭī, 1896, vol. 4, p. 45).

The most important and oft-debated prophetic saying relating to ʿAlī, however, was expressed during the sermon of Ghadīr Khumm. This was delivered after the Prophet's final pilgrimage to Mecca in 632 ce, at a pool midway between Mecca and Medina, known as Ghadīr Khumm. He assembled all the pilgrims, had a pulpit erected, and delivered an address to the thousands assembled. The address culminated in the statement: "For whomever I am the mawlā [guardian, master, close friend], ʿAlī is his mawlā." For Shīʿah, this is regarded as a clear designation (naṣṣ ) of ʿAlī as successor to the Prophet; for Sunnīs it indicates the special proximity of ʿAlī to the Prophet, but not his nomination as successor in political terms. That the reference to ʿAlī as mawlā (in some versions, as walī ) is of the highest spiritual significance, however, is not seriously disputed. The debate that continues to this day hinges on the implications of ʿAlī's spiritual authority, his walāyah.

The Caliphate of Abū Bakr, ʿUmar, and ʿUthmān, 632–656

ʿAlī was not consulted during the political crisis that was precipitated by the death of the Prophet and that resulted in the election of the first caliph, Abū Bakr; his absence at this crucial event set the tone for ʿAlī's role in public affairs until his own assumption of the caliphate twenty-two years later. He refrained from recognition of Abū Bakr for six months, that is, until after the death of Fāṭimah, between whom and Abū Bakr there was a major disagreement. Her claim on the orchard of Fadak as part of her inheritance from the Prophet was rejected by Abū Bakr on the basis of a saying attributed to the Prophet to the effect that the Prophets do not leave any inheritance.

This disagreement was but one overt expression of a fundamental difference of conception in regard to the spiritual and political prerogatives of the ahl al-bayt, a difference later to be elaborated in terms of the Sunnī-Shīʿī divergence. The earliest historical sources indicate that ʿAlī never ceased to believe that, on the basis of his kinship with the Prophet and his unique merits, he was the most appropriate person to succeed the Prophet. The relationship between ʿAlī and his predecessors in the caliphate is one of the most sensitive issues in Islamic history, and it has been subject to tendentious reporting in the sources. Sunnī works tend to overlook or downplay the disagreements between ʿAlī and the first three caliphs in the effort to present as harmonious a picture as possible of what later was to be labeled the period of the four orthodox or "rightly guided" caliphs (al-khulafā ʾ al-rāshidūn ). By contrast, Shīʿī works on the whole accuse the first three caliphs of usurping the authority granted by the Prophet to ʿAlī, and exaggerate the differences of opinion between ʿAlī and his predecessors. However, it is clear that, on the one hand, ʿAlī adopted a policy of passive acceptance of the rule of the first two caliphs, coupled with a withdrawal from public affairs—in marked contrast to his prominent role in all the major events in the Prophet's lifetime; and on the other hand, he voiced his disagreement with his predecessors over certain policies and decisions.

Such disagreement became more intense during the rule of the third caliph, ʿUthmān ibn ʿAffān, who was elected by the council or shūrā, which ʿUmar established shortly before his death in 644. This council was charged with the task of selecting ʿUmar's successor from six of the leading companions. At this council, evidence is given of ʿAlī's disagreement with at least certain aspects of the policies of the first two caliphs. Upon being asked by ʿAbd al-Raḥmān ibn ʿAwf, the head of the council—who had the deciding vote in case the six were equally divided—whether he was willing to assume the caliphate on the basis of the Qurʾān, the sunnah (conduct) of the Prophet, and the precedent of Abū Bakr and ʿUmar, ʿAlī replied by saying he would rule solely on the basis of the Qurʾān and the sunnah of the Prophet. When ʿUthmān was asked the same question he replied unconditionally in the affirmative and was duly appointed caliph.

The caliphate of ʿUthmān (r. 644–656) became increasingly compromised, principally by the corruption that characterized the rule of his governors—most of whom were fellow members of the Umayyad clan. ʿAlī, along with several leading companions, such as Abū Dharr al-Ghifārī, Talḥa ibn ʿUbayd Allāh, al-Zubayr ibn al-ʿAwwām, and ʿĀʾisha, had severely criticized the policies of ʿUthmān and the actions of his governors. ʿAlī played a leading role as mediator between the rebels and the caliph, indicating to the latter the just nature of many of the grievances being presented. His efforts failed, however, and opposition to ʿUthmān turned into outright revolt; the caliph was besieged in his home, and, despite the efforts of ʿAlī and his sons to protect him, ʿUthmān was killed by the rebels. ʿAlī was then prevailed upon by the rebels and other factions in Medina to assume power, which he did, albeit reluctantly according both to early reports and to his own sermons, as recorded in the Nahj al-balāghah.

The Caliphate of ʿAlī, 656–661

ʿAlī's short caliphate of just over five years was marked in political terms by the eruption of civil wars within the early Muslim polity; it was characterized in ethical terms by ʿAlī's unflinching adherence to strict Islamic principles, frequently at the expense of worldly success. This aspect of his rule became apparent from the very beginning. When advised by his cousin and close confidant, Ibn al-ʿAbbās, to temporarily confirm in power all of ʿUthmān's governors, and then replace them later with his own appointees when his own power was consolidated, ʿAlī adamantly refused to compromise on principles. This attitude ensured that ʿAlī's rule would be challenged by the governors whom he dismissed.

The Battle of al-Jamal

The first challenge to ʿAlī's rule arose from two senior companions of the Prophet, Ṭalḥa ibn ʿUbayd Allāh and al-Zubayr ibn al-ʿAwwām, together with ʿĀʾisha, one of the widows of the Prophet, and some of the governors ousted by ʿAlī. They accused ʿAlī of failing to punish the murderers of ʿUthmān; certain reports indicate that a charge of complicity in the murder was also made by some in this group. They mounted a revolt against him in the name of vengeance for the murdered caliph. ʿAlī reminded Ṭalḥa and al-Zubayr that they had pledged allegiance to him, and were now breaking their oaths, and he insisted that he would bring the murderers to justice as soon as he could find them. The ensuing battle, which took place near Basra on 15 Jumādā I 36 (December 8, 656), was the first civil war of Islam. It was named al-Jamal (the camel) after the camel litter of ʿĀʾisha, which became the focus of the fighting. It resulted in the victory of ʿAlī's army, the death of Ṭalḥa (killed treacherously by his own ally, Marwān ibn al-Ḥakam, who held Ṭalḥa personally responsible for the murder of the caliph), the death of al-Zubayr (killed also by one of his allies, after fleeing from the battlefield), and the surrender of ʿĀʾisha.

Muʿāwiya and the Battle of Ṣiffīn

Having defeated the Baṣran rebels, ʿAlī now turned to face the far more serious threat posed by Muʿāwiya, governor of Syria. Like Ṭalḥa and al-Zubayr, Muʿāwiya used the cry of vengeance for the murdered caliph as the pretext for his opposition to ʿAlī. In their exchange of letters, ʿAlī reminded Muʿāwiya that he was obliged to accept the election of ʿAlī, based as it was on the collective decision of the Anṣār (Medinan companions) and the Muhājirūn (Meccan companions). Muʿāwiya's response was to insist that he, as ʿUthmān's kin, had the right of retaliation prescribed in the Qurʾān (17:33). Meanwhile, in a clear indication of the real motive of his opposition, he enlisted the help of the former governor of Egypt, ʿAmr ibn al-ʿĀṣ, who had been deposed by ʿUthmān and then became the chief inciter of the rebels against the besieged caliph. Following minor skirmishes, all-out battle at Ṣiffīn began on 8 Ṣafar 37 (July 26, 657). After some days, and much bloodshed on both sides, ʿAlī's army was on the point of victory. Muʿāwiya, on the advice of ʿAmr, resorted to the strategy of hoisting copies of the Qurʾān on spears and calling for arbitration according to God's word. Though clearly a ruse, many in ʿAlī's army who were lukewarm in their support for his cause laid down their arms; led by Ashʿath ibn Qays, the most powerful tribal chief of Kūfah, they insisted on accepting this call for arbitration. ʿAlī was also compelled by the same elements within his ranks to appoint Abū Mūsā al-Ashʿarī—whose loyalty to ʿAlī was in question—as his representative in the arbitration. Muʿāwiya appointed ʿAmr as his representative.

Arbitration and the "seceders"

The text of the arbitration agreement was drawn up on 15 Ṣafar 37 (August 2, 657). It called merely for the arbitrators to arrive at a decision binding on all, doing so on the basis of the Qurʾān, and to resort to the prophetic sunnah (conduct) if they were unable to find the necessary ruling in the Qurʾān. They were to seek peace, but apart from that, no other matter for arbitration was specifically mentioned. The arbitrators met at Dūmat al-Jandal for about three weeks in the spring of 658. This meeting was held against the background of increasing discontent in the ranks of ʿAlī's army. Many of those who had initially supported the arbitration now felt that it was not only an error to have resorted to arbitration, but a sin; it was tantamount to leaving to men a right that pertained only to God, whence their cry: "No judgment but that of God" (Lā ḥukm illā li-Llāh ). Although ʿAlī succeeded in bringing most of the malcontents back into the fold at this stage, the seeds of a wider rebellion were sowed.

The arbitration process was almost immediately undermined by the proposal of ʿAmr that the issue of ʿUthmān's innocence of deviant innovations be decided before anything else. This effectively changed the focus of the arbitration, for once it was decided that ʿUthmān had been wrongfully killed, the legitimacy of Muʿāwiya's claim for revenge was upheld; it was thus implicit that ʿAlī was wrong in preventing this right of lex talionis from being exercised, and thus forfeited his right to rule. ʿAlī's representative, Abū Mūsā, failed to see through this strategy and, though the decision on ʿUthmān's innocence was supposed to be kept secret, it became widely known, resulting in the dismissal of the whole arbitration process by ʿAlī. When ʿAlī then proceeded to call his men to arms, he was confronted by the growing ranks of the "seceders" (al-Khawārij ). Despite ʿAlī's insistence that the arbitration was now effectively abandoned, the seceders demanded that he repent of the "sin" of having accepted it in the first place. Through dialogue a large number of the seceders were reconciled, but the hard core resisted and resolved to fight to the finish.

Given the murderous tactics used by this group against ʿAlī's supporters, and their declaration that all those who opposed them were kāfirs (unbelievers), whose blood was licit, ʿAlī had no choice but to fight them, despite his great reluctance to engage so many of the apparently pious "Qurʾān-readers" (al-qurrā ʾ) in their ranks. After further dialogue, which reduced their ranks considerably, the Khawārij numbered no more than 1,500 men, led by ʿAbd Allāh ibn Wahb. The resulting battle at Nahrawān (probably in Dhū al-Ḥijjah 37/May 658, but reports are contradictory; see Madelung, 1997, pp. 254–255) is said to have resulted in their all but total annihilation.

The final stage of the arbitration was held at Adhruḥ in Shaʿbān 38 (January 659). Largely irrelevant, as ʿAlī had already denounced the process and was preparing to resume hostilities, it ended in fiasco. Abū Mūsā and ʿAmr agreed to depose both their candidates and to allow a new consultative body to elect the caliph. The former held to the agreement, deposing ʿAlī, while ʿAmr simply confirmed his candidate, Muʿāwiya, as the new caliph. Although ʿAlī attempted to mount a fresh campaign against Muʿāwiya's forces, there was little enthusiasm in his ranks. Before the morning prayer of 19 Ramaḍān 40 (January 28, 661) at the congregational mosque in Kūfah, ʿAlī was struck by the poisoned sword of Ibn Muljam, one of the surviving Khawārij, who was intent on avenging his slain companions at Nahrawān. ʿAlī died two days later.

ʿAlĪ and Shiism

ʿAlī is considered to be the first imām or spiritual leader of all the various branches of Shīʿī Islam—the majority Ithnāʿasharīs, the Ismāʿīlīs, the Zaydīs, and other smaller sects. Although the theologically elaborated definition of the function of the imamate came much later, this function is seen in Shiism as embodied in the person of ʿAlī. The three principal functions of the Shīʿī imām —spiritual guidance of the believers, interpretation of revelation and law, and political rule—were implicit or explicit in the pronouncements, attitudes, and actions of ʿAlī. Thus the later Shīʿī doctrine of the imamate can be seen as a systematic articulation, in idealized form, of the actual conduct of ʿAlī. His historic refusal to abide by the precedent of the first two caliphs, noted above, was "a cornerstone in the development of Shīʿī legal thought…the idea expressed by ʿAlī in the Shūrā took at least 50 years to become manifest in a distinguishable independent form, and was not fully developed until the imamate of Jaʿfar al-Ṣādiq" (Jafri, 1978, pp. 75–76).