Documente Academic
Documente Profesional
Documente Cultură
Ranging from the time of the infallible Imams to the contemporary era, this
book provides a comprehensive overview of Shi‘i religious and political
authority, focusing on Iran and Lebanon, without limiting the discourse to
Khomeini’s version of an Islamic state.
Utilizing untapped Arabic and Persian sources, Hamid Mavani provides a
detailed, nuanced, and diverse theoretical discussion on the doctrine of lea-
dership (Imamate) in Shi‘ism from traditional, theological, philosophical, and
mystical perspectives. This theoretical discussion becomes the foundation for
an analysis of the transmission of the Twelfth Imam’s religious and political
authority vis-á-vis the jurists during his Greater Occultation.
Bringing the often overlooked diversity within the Shi‘i tradition into sharp
focus, Religious Authority and Political Thought in Twelver Shi‘ism discusses
what constitutes an Islamic state, if there is such a notion as an Islamic state.
Hamid Mavani further explores the possibility of creating a space for secu-
larity, facilitating a separation between religion and state, and ensuring equal
rights for all. This book argues that such a development is only possible if
there is a rehabilitation of ijtihad. If this were to materialize, modern religious,
social, economic, political, and cultural challenges could be addressed more
successfully. This book will be of use to scholars and students with interests
ranging from Politics, to Religion, to Middle East Studies.
Professor Mavani’s learned book takes a clear and critical angle that will
clarify and enrich our encounter with political Islam.”
Hamid Dabashi, Hagop Kevorkian Professor of Iranian Studies and
Comparative Literature, Columbia University, USA
“The major contribution of the study is in the field of contemporary Shi’ite
politics. Through a meticulous examination of the classical theological and
traditional sources Dr Hamid Mavani has demonstrated that Shi’ite religious
leadership in Iran and Lebanon is engaged in setting the course of Shi’ite
history in modern times. Contemporary Shi’ite history, as Dr. Mavani has
shown, is an intricate of amalgam of pragmatics and multidimensional
response to the Shi’ite futuristic thought about its role in the unfolding of the
partnership between religion and politics. More pertinently, the study opens a
fresh window of assessing Shi’ite political thought in the context of modern
nation-state. No student of comparative politics and religious leadership
can afford to ignore this stimulating contribution to the study of Shi’ism in
Iran and Lebanon.”
Abdulaziz Sachedina, Professor and Endowed IIIT Chair in
Islamic Studies, George Mason University, USA
“Hamid Mavani examines Twelver Shi‘i views on political activity and lea-
dership during the continued absence of the Hidden Imam from the very
earliest years of the faith to the present. While he addresses the rise of wilayat
al-faqih, the doctrine that underpins the Islamic Republic’s present political
paradigm, he is also careful to detail alternative contemporary views on
authority offered by both Arabs and Iranians, a number of whom are not as
well known to western readers as they might be. Mavani’s contribution is an
excellent, most welcome and very timely reminder of the complexity of past
and, especially, contemporary Twelver Shi‘i discourse in general and Twelver
discourse on political authority in particular.”
Andrew J Newman, Reader in Islamic Studies and Persian,
University of Edinburgh, UK
Routledge Studies in Political Islam
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5. Democracy in Islam
Sayed Khatab and Gary D. Bouma
Hamid Mavani
First published 2013
by Routledge
2 Park Square, Milton Park, Abingdon, Oxfordshire OX14 4RN
Simultaneously published in the USA and Canada
by Routledge
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Typeset in Times
by Taylor & Francis Books
Contents
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Acknowledgments viii
Preface x
Introduction 1
Conclusion 240
Bibliography 247
Index 267
Acknowledgments
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copyeditor who read the manuscript with great care and precision. I am very
grateful to all of them. I convey my thanks to the two blind reviewers for
their insightful remarks and useful critique, which I have tried to incorporate
to the best of my ability. However, I alone am responsible for any flaws and
errors.
I have used M. A. S. Abdel Haleem’s translation of the Qur’an throughout
this work with minor modifications, if warranted. The upper case “I” in the word
“Imam” is used to refer to the infallible Imam in Shi‘ism, whereas the smaller
case “i” is employed in its lexical meaning of a leader (imam) in some minor
or major capacity. Finally, all the dates are given in the Common Era (CE).
My son Ehsaan (12) and daughter Sarah (9) helped me by reading the text
aloud so I could compare it with the copy-edited version to detect any
remaining spelling and/or grammatical errors. I thank them for this and for
their love. My parents have been a constant source of support and encour-
agement in my studies and research from the inception and remain so today,
for which I am grateful. I dedicate this work to the one who has consistently
stood by me during many challenges and heartaches of life and sacrificed
much to see this book come to fruition: my wife Mahbubeh Etehadi.
Note
1 “The Case for Secularity in Islam,” Journal of Islamic Law and Culture, 13/1
(April 2011): 34–46.
Preface
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judged by any standard definition of what the modern state represents, is both
an impossible and inherently self-contradictory concept.”8
Notes
1 The texts, depending upon the approach, use different appellations to refer to the
divine guide. Among them are hujja, ulu al-amr, al-haqiqat al-Muhammadiyya, al-
ta‘ayyun al-awwal, al-tajalli al-awwal, al-‘aql al-awwal, al-ruh al-awwal, al-adam
al-awwal, al-idafa al-ishraqiyya, amr Allah al-wahid, wajh Allah al-wahid, al-rahmat
al-wasi‘a, al-wujud al-munbasit, and al-kalima kun al-wujudiyya.
2 “The moral values are the crucial pivot of the entire overall system, and from
them flows the law. The law is therefore the last part in this chain and governs all
the ‘religious,’ social, political, and economic institutions of the society. Because
law is to be formulated on the basis of the moral values, it will necessarily be
organically related to the latter.” Fazlur Rahman, Islam and Modernity (Chicago:
The University of Chicago Press, 1982), 156.
3 Ali ‘Abedi Shahrudi, Naser Katouziyan, Sadeq Larijani, Muhammad Mojtahed
Shabestari, and Mostefa Malikiyan, Goft o guha-ye falsafe-ye feqh (Qum: Bostan,
2001); and Afshin Matin-asgari, “‘Abdolkarim Sorush and the Secularization of
Islamic Thought in Iran,” Iranian Studies, 30/1–2 (Winter-Spring 1997): 112–13.
4 Tariq Ramadan, Radical Reform: Islamic Ethics and Liberation (New York:
Oxford University Press, 2009), 30–38.
5 Ibid., 31.
6 Such as, Said Arjomand, David Menashri, Hamid Enayat, Nikkie Keddie, Abbas
Amanat, Shahrough Akhavi, Hamid Dabashi, Joseph Eliash, Juan Cole, Farhang
Rajaee, Sami Zubaida, Vanessa Martin, Arshin Adib-Moghaddam, Mohsen
Milani, Ervand Abrahamian, Daniel Brumberg, Homa Katouzian, and Amr
G. E. Sabet.
7 Abdullahi A. An-Na‘im argues that a society can be Islamic but not a state.
Abdullahi A. An-Na‘im, Islam and the Secular State: Negotiating the Future of
Shari‘a (Cambridge: Harvard University Press, 2008), 2.
8 Wael Hallaq, The Impossible State: Islam, Politics, and Modernities Moral
Predicament (Boston: Columbia University Press, 2012), book jacket.
Introduction
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In 632, the Prophet made his first and only obligatory pilgrimage to Makka,
commonly known as the “Farewell Pilgrimage.” During it he informed the
public that his ministry had ended and he would soon be returning to His
Lord. Of great significance for the Shi‘is is his statement at Ghadir Khumm,
in which he introduced Ali as the wali of the Muslim community. The Shi‘is
regard this event and the employment of the term wali in reference to Ali as
incontrovertible proof, testament, and explicit evidence that he had desig-
nated Ali as his successor and trustee. It would be inconceivable, according to
them, for God, the possessor of Beneficence and Wisdom, to allow the Seal of
the Prophets to pass away without making any provision for a successor to
attend to the young community’s religious and temporal concerns. The Sunnis
do not dispute the veracity of this historical incident; however, they interpret
it as no more than an admonition to the assembled Muslims to show the
proper respect and honor due to Muhammad’s cousin and son-in-law, espe-
cially since there was some bickering going on regarding the formula of dis-
tribution of the war spoils adopted by Ali after the expedition to Yemen.
With the termination of prophethood and perfection of the Scripture, there
was no need for further divinely appointed persons. Thus, according to the
Sunnis, the Prophet had not designated a successor or provided a set of prin-
ciples or a method for identifying the community’s ideal leader because the
Qur’an had already invoked shura (consultation) in their affairs. This was
later supplemented with ijma‘ (consensus). These two divergent interpreta-
tions of succession were ultimately crystallized into two major expressions of
Islam: Sunnism and Shi‘ism.
early convert whom Muhammad had chosen to accompany him during his
migration (hijra) from Makka to Madina.
‘Umar, a close confidant of Muhammad and second caliph, was well aware
of the problematic nature of this impromptu assembly. Nevertheless, he believed
that God had averted the evil consequences of not consulting the community
beforehand. Accordingly, he warned the Muslims not to use this format as the
norm when choosing a successor to himself, because any pledge (bay‘a)
offered in such a manner would have no legal validity. Moreover, those parties
who involved themselves in such an undertaking would be sentenced to death:
“It has reached me that one of you has said: By God, if ‘Umar b. al-Khattab
were to die, I would swear allegiance to so-and-so [fulan].1 Let no one be
seduced into saying: The oath of allegiance for Abu Bakr was a falta [hasty
affair], yet it succeeded. It was indeed so, but God has warded off its evil
(waqa sharraha).”2
The central and pivotal evidence advanced by the Shi‘is in favor of Ali’s
succession is the Prophet’s proclamation at Ghadir Khumm that Ali was the
mawla (patron, master, leader, and friend)3 of the community.4 The Shi‘is inter-
pret this word as explicit evidence of Ali’s official designation as the Prophet’s
successor in both the political and religious spheres, and even more so, as
Muhammad was commanded, according to the Shi‘is, to so designate him by
Q. 5:67. The Sunnis accept this incident’s veracity but interpret it as no more
than an attempt to defuse some of the Companion’s discontent and dis-
pleasure with Ali’s distribution of the spoils of war after having returned from
an expedition to Yemen. In their opinion, Muhammad was only reminding
them that his cousin and son-in-law was entitled to a certain amount of
respect and honor. Subsequent Sunni scholars argued that it was unimagin-
able that the overwhelming majority of the Companions could disregard such
a clear and explicit statement of succession: “How is it conceivable that it was
right for the Companions of the Messenger to agree on something unsound
and fail to act according to the statute which had come down to them?”5 The
Shi‘is have responded that numerical strength cannot become the criterion in
a tribal society, where decisions are made by tribal leaders rather than indi-
vidual Muslims. This is also attested to by the Qur’an, which deprecates the
majority’s opinion as a legitimizing tool.6 The Sunnis have asserted that
Muhammad’s directive for Abu Bakr to lead the congregational prayers
during his acute illness toward the end of his life was an implicit appointment
of his successor. The Shi‘is dispute this on the grounds that he had given
explicit instruction to his Companions, including Abu Bakr and ‘Umar, to set
Introduction 3
out on a military campaign against the Byzantines under the leadership of
Usama b. Zayd.
Dr. Ali Shariati (d. 1979), envisioned the issue of succession as one in
which inheres the entirety of Shi‘ism:
principle (asl).11
The Imam’s unique position with respect to his cumulative, inherited
knowledge, as well as his role as the infallible, inerrant guide and leader, all
imply that he is the ultimate authority as regards expounding the religious
law, doctrine, and practice, as well as spiritual mentorship. His authority is
viewed as an extension of Muhammad’s prophetic authority in the sense that
he is the living embodiment of the Qur’an, its interpreter and its executor.
The only difference is that he does not receive revelation; however, they are
described as muhaddath (spoken to by the celestial being via sounds in their
ears [naqr fi-l-asma‘]) or mufahham (instructed by angels; caused to under-
stand) because they receive knowledge transmitted through ilham (inspira-
tion).12 Thus revelation continues but in a different form and, as such, blurs
the concept of finality and seal of prophethood.13 Both the Sunnis and Shi‘is
base their respective worldviews on Islam’s two primary sources: the Qur’an
and the hadith literature (sunna). For the former, the Prophet’s Companions
(Sahaba) constitute the chief medium through which the prophetic message
was preserved and transmitted; for the latter, the sole channel is the unerring
(ma‘sum) divine guides (the Imams), whose accounts of the prophetic message
and interpretations of the Qur’an are considered authoritative. In this sense,
they are extensions of the prophetic authority and personality such that their
authenticated sayings (qawl), actions (fi‘l), and unspoken or tacit approvals
(taqrir) are considered part of the sunna.14
The major differences and disputes within the community demonstrate the
Imamate’s doctrinal importance: “The greatest dispute, indeed, in the com-
munity has been that over the imamate; for no sword has ever been drawn in
Islam on a religious question as it has been drawn at all times on the question
of the imamate.”15 The contemporary scholar Wilferd Madelung writes: “No
event in history has divided Islam more profoundly and durably than the
succession of Muhammad.”16 ‘Abd al-Razzaq Lahiji (d. 1661) maintains that
‘Umar b. al-Khattab brought this difference into the open when he refused to
allow a pen and a piece of paper to be brought to the Prophet, as per the
latter’s request. At this time the Prophet was severely ill and close to death.
According to Lahiji, the Prophet knew that he would not recover and thus
wanted to write his last will and testament. ‘Umar, however, argued that he
had been overcome by pain and, thus, had become delirious and, moreover,
that the Qur’an was complete and that this ought to be sufficient for the
Muslims.17 Later Sunni attempts to feign that there was little or no dissent on
the matter of succession by presenting a picture of complete harmony and
Introduction 5
accord among the Companions, especially during the reign of the first two
caliphs, cannot be sustained and are tendentious.18
Numerous works by both Sunni and Shi‘i scholars have been written
in defense of or in opposition to this concept. As a case in point, al-Qadi
al-Baydawi (d. 1286) asserts that “imamate is one of the most crucial issues
dealing with the fundamentals of religion. Dispute or disagreement on this
matter would entail disbelief (kufr) and innovation (bid‘a).”19 Likewise, the
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Hanafi scholar Muhammad b. Mahmud Asrushani (d. 1234 or 35) writes that
anyone who does not accept Abu Bakr’s imamate should be viewed as an
unbeliever (kafir).20 On the Shi‘i side, Shaykh Mufid (d. 1022) opined that the
Sunnis are unbelievers who have been misled (kafir dall) and deserve to dwell
in hellfire for eternity for failing to affirm the divine guides’ wilaya.21 In his
view, so great is the repugnance or revulsion for those who deny the explicit
designation of Ali’s succession that all Shi‘is are forbidden to provide funeral
rites to Sunnis. If, however, one is forced to do so on account of precau-
tionary dissimulation (taqiyya), then one should utter a curse (la‘n) on the
deceased after reciting the fourth glorification (takbir) in the prayer for the
dead (salat al-mayyit).22
The essence of the Imamate’s embryonic form, along with the leitmotifs of
being the Prophet’s legatee (wasi) and inheritor (warith) in spiritual and tem-
poral affairs,23 can be gleaned from Husayn b. Ali’s (the Third Imam) letters.
In response to the Kufans’ and Basrans’ persistent appeals, after Yazid’s
assumption of the caliphate in 680, that he lead and guide them toward the
truth (al-haqq wa-l-huda) and throw off the yoke of Syrian domination, he
writes:
… who is an imam (ma al-imam) except one who acts according to the
Book (al-hakim bi-l-Kitab), one who upholds justice (al-qa’im bi-l-qist),
one who professes the truth (al-da’in bi din al-haqq) and one who dedicates
himself to [the essence of] God (al-habis nafsa-hu ‘ala dhat Allah)?24
We are his family (ahl), those who possess his authority (awliya’), those
who have been made his trustees (awsiya’) and his inheritors (wuratha’);
we are the ones who have more right to his position among the people
(ahaqq al-nas) than anyone else. Yet, our people selfishly laid claim to this
exclusive right of ours and we consented [to what they did] since we hated
disunion and desired the well-being [of the community]. However, we
know that we have a greater claim to that right, which was our entitlement
(mustahaqq ‘alay-na), than those who have seized it.25
6 Introduction
Shi‘i doctrine considers the Imam as one endowed with both religious and
political authority. Yet his religious leadership is not contingent upon his
being accepted as the community’s ruler. As such, his wilaya is independent of
his political office, which means that he is entitled to demand obedience on
the basis of this spiritual authority. This distinction is important to keep in
mind so as not to reduce the Imam’s role to no more than being the com-
munity’s leader, a person whose mandate is primarily political (establishing a
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just and an ethical order) or to view his Imamate as dependent upon being
empowered with the capacity to actualize this political vision.
Definition of Imam
Both Sunnis and Shi‘is employ the word imam in its common ordinary
meaning: the man who leads the congregational prayer or an eminent scholar
(e.g., Sunnis refer to al-imam Fakhr al-Din al-Razi and Shi‘is refer to Shaykh
al-Mufid as al-imam al-faqih al-muhaqqiq). Among the Shi‘is, however, this
term has a specific technical meaning that is not found in Sunni Islam, one
that confers an element of divine grace on the leader and considers him to
be designated by a divine decree.26 For example, ‘Allama Hilli proclaims:
“Imamate is a universal authority (riyasa) in the things of religion and of
the world belonging to some person and derived from (niyaba) the Pro-
phet.”27 Shams al-Din Isfahani (d. 1345) writes: “Imamate means deputizing
a certain person on behalf of the Prophet to implement the Islamic legal rul-
ings and to preserve the social order. The entire community must follow this
person.”28
Sunni theology, which uses imam and khalifa interchangeably, accords them
only a limited scope of power and authority and no divine designation or any
special characteristics. Instead, its focus remained on the leader’s ability to
preserve stability and order, especially from the latter part of the Umayyad
period.29 For example, Abu al-Hasan al-Mawardi’s (d. 1058) definition claims
the “Caliphate is therefore an institution which represents the mission of
Muhammad, and the chief duties of the caliph are the safeguard of religion
and the proper organization of general polity.”30 Sa‘d al-Din al-Taftazani
opines: “[It is] their vicegerency (niyabatuhum) of the Messenger in maintaining
religion so that it is incumbent on all peoples to follow.”31
In summary, there are four major differences between Shi‘i and Sunni
conceptions of Imamate:
1 Shi‘is assert that the Imam’s appointment is like that of the Prophet’s and
thus rests with God; Sunnis assert that this designation rests with the
people or a select council.32
2 Shi‘is assert that the Imamate, like prophethood, is one of the religion’s
fundamentals (usul al-din); Sunnis argue that it is no more than a second-
ary matter of religion (furu‘ al-din). In other words, the latter consider
designating this person to be a matter of collective responsibility (wajib
Introduction 7
kifa’i). Thus, if a qualified person or a group selects an imam, everyone
else is absolved from this duty.33
3 Shi‘is assert that the Imam should be infallible, as was the Prophet; Sunnis
say that whosoever proclaims the declaration of faith with certain conditions
can be an imam; therefore, infallibility is not a requirement.34
4 Shi‘is assert that God designated Ali as the Prophet’s successor, that he is
to be followed by a chain of 11 Imams from the progeny of Husayn b. Ali,
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and that they are all proofs of God; Sunnis claim that God did not expli-
citly designate any successor and that the number of imams is not limited
to 12.35
guidance) are all interrelated and therefore crucial for understanding the
doctrine of Imamate.
tarnished. Contrast the program of action he laid out in his 1970 Najaf lec-
tures on Islamic government with the bewildering assessment made in 1978
by William Sullivan, United States ambassador to Iran during the shah’s
reign: “Khomeini would be likely to return to Iran as a consequence of a
religious-military accommodation and … would play a ‘Gandhi-like’ role.”54
At around the same time he was formulating and articulating his concept
of wilayat al-faqih in Najaf in 1970, his student, close confidant, and spiritual
heir Ayatollah Morteza Motahhari (d. 1980) was elucidating the concepts
of walaya and wilaya in Tehran, albeit from an exclusively mystical perspec-
tive that was free of any contemporary political relevance.55 In contrast,
Khomeini refers to the mystical notions of insan-e kamil (the perfect human)
and jihad-e akbar (the greater struggle) but gives them a political signification
to buttress his arguments for establishing an Islamic government.56
Guidance or Governance?
The dispute over the succession and the many subsequent polemical works
may lead one to conclude that the Imamate is confined to governing and
administering the Muslims’ affairs. In fact, its raison d’être is to provide
authoritative guidance (hidaya), not governance (hukuma), designed to lead
humanity to prosperity, felicity, and perfection in this life and the Afterlife.57
Accordingly, the divine guide is not required to assume a political post to
validate his spiritual station. While one component of his function is related
to administering the divine law as a legitimate ruler, he cannot employ force
or coercion to do so because his status differs from that of a political leader.
Ali refrained from imposing himself and asserted that were it not for the
covenant God made with the scholars to provide guidance, he would never
have entangled himself in politics.58 He exhibited his disdain for political
power and rulership for its own sake, after having objected vociferously to
being passed over in favor of Abu Bakr, ‘Umar, and ‘Uthman, because he
worried that the pre-Islamic tribal values had reasserted themselves and
would prevent him from reforming the community. This explains his reluc-
tance to assume the caliphate after ‘Uthman was murdered.59 On a number of
occasions he is reported to have said that there was no merit in expressing an
opinion when it was known that the people would only ignore it: “La ra’y li-man
la yuta‘.”60
Introduction 11
Muhammad Baqir al-Sadr, however, maintains that the spiritual and poli-
tical domains are organically connected with each other and, as such, cannot
be compartmentalized or considered mutually exclusive:
was their seeming failure to mount military action to overturn the pre-
vailing narrow military sense. But there are many explicit utterances by
the Imams which make it plain that an Imam is always ready to take the
military course, provided he found enough assistance and the capacity to
realize the Islamic objectives beyond the military campaign itself.61
dance between God and humanity forever, and continuously perpetuates the
wilaya.”70
The locus of authority among the Shi‘is undeniably resides in the Prophet
and, by extension, the 12 infallible Imams, who are viewed as the legatees and
inheritors of prophetic charisma and knowledge. In terms of religious
authority and leadership, the messianic Imam’s prolonged concealment and
inaccessibility resulted in a vacuum that was gradually filled by the ulama
who, basing themselves on rational and traditional evidence, claimed to be his
indirect deputies. The traditionalist school of thought, which gained ascen-
dancy and influence at the outset of his occultation in 874 and remained
dominant until the tenth century, asserted that there is no room for reason
and rationality, or any critical and analytical thought, as regards religious
discourse during the Imam’s absence. They cited hadiths attributed to the
Imams that condemned Sunni hermeneutical procedures of analogical
deduction (qiyas) and independent inquiry (ra’y). As a result, even ijtihad
acquired a negative connotation and was used in a pejorative sense by Shi‘i
scholars until the twelfth century on the grounds that it was no more than a
deduction based on conjecture and personal judgment.71
This denunciation of analytical thought created a climate that was not
conducive to engendering a creative and innovative reinterpretation of the
revelatory texts. Instead, the primary focus was on collecting and preserving
the hadiths from the Prophet and the Imams in order to glean guidance from
them. During this undertaking, the texts were not to be engaged with ration-
ally and the validity of the transmitters, who reportedly conveyed them from
the infallible divine guides, was not to be questioned. In the late tenth and
early eleventh centuries, however, traditionalists faced a serious challenge
from Shaykh Mufid, Sharif al-Murtada (d. 1044), and other eminent scholars
whose skillful arguments weakened the traditionalists and brought the
rationalists to the fore. Shaykh Muhammad b. Hasan al-Tusi (d. 1067) is
credited with finding a balance and a synthesis between both schools. This
trend toward reviving ijtihad was cemented by ‘Allama Ibn Mutahhar al-Hilli,
who established its epistemology and legitimacy in his works on usul al-fiqh
by affirming a clear-cut epistemological division of knowledge between certainty
(‘ilm qat‘i) and probability (zann) in Shi‘i jurisprudence. He also insisted upon
the need for mujtahids. Accordingly, Imami scholars from Muhaqqiq al-Hilli
(d. 1277) onward gradually transitioned from the principle of certitude in
deriving legal norms to probable opinion. This was formally embraced in the
fourteenth century by their acceptance of ‘Allama Hilli’s ijtihad.72
Introduction 13
Muhammad Amin al-Astarabadi (d. 1626–27), however, objected to this
development. Basing his claims upon hadiths from the Imams, he called it an
innovation and a prohibited practice on the grounds that rational analysis
and the principles of usul al-fiqh could, at best, produce only personal con-
jectures. Given that certainty can be attained only from the statements
attributed to the infallible Imams (viz., hadiths) that everyone can fathom,
there is no need to develop a special class of scholars or mujtahids. This new
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A skeletal chronology for the pre-modern period would begin with the foun-
dational period (seventh–tenth centuries CE), the period from the Prophet’s
demise, and end with the shift of emphasis from traditionalism to rationalism
in the works of Shaykh Mufid (toward the end of the tenth century). This
rational trend was a logical progression, given the period’s intellectual climate
and the fact that one of the major bodies of hadith literature, that of
Muhammad b. Ya‘qub al-Kulayni (d. 940), had already been compiled. It
appears that the Shi‘i scholars were anticipating the messianic Imam’s quick
return from his occultation. However, his prolonged absence and inaccessi-
bility created a vacuum in leadership and authority that the jurists tried to fill
by serving as his indirect deputies. This period may be called the revision/
critique/appraisal period (eleventh–sixteenth centuries CE), during which the
scholars focused on providing a rational basis to the Islamic disciplines and a
greater impetus to rely on ijtihad, along with the assertion of the ulama’s
authority. The latter occurred when the Safavids proclaimed Shi‘ism the reli-
gion of their empire in 1501. A number of works written in this period deal
with holding the Friday congregational prayer and initiating jihad during the
Twelfth Imam’s occultation. The majority opinion was that the jurists’ scope
of power and authority was circumscribed to hisba, which includes such
functions as issuing legal opinions on juridical issues, implementing the penal
code (hudud) and discretionary penalties (ta‘zir), inviting people to right-
eousness and discouraging them from committing abominable acts, instituting
congregational prayers (especially the Friday prayer), supervising endow-
ments and collecting religious dues, and having limited authority over people
and properties (e.g., a discretionary mandate over children, orphans, people
of unsound mind, endowments, and unclaimed property). In the absence of a
qualified jurist who can assume these responsibilities, the relevant authority
devolves upon those Muslims who possess the ethical attribute of justice
(‘udul al-mu’minin). The basic principle is that under normal circumstances,
no one has any authority (wilaya) over another person or her property. Such
an attitude toward the role of the clergy in politics by many of the religious
scholars aroused Khomeini’s disgust and invective that would characterize
them as superficial, ignorant, and treacherous with a call to the enlightened
clergy to “smash in the teeth of this brainless lot with their iron fist” and
“trample upon their heads with courageous strides.”77
Muhaqqiq Karaki (d. 1533) and Muhaqqiq Ardebili (d. 1585) were the first
scholars to ask whether the jurist has a mandate on political issues. Gradu-
ally, the jurist’s station and prestige reached such a stage that the rulers
Introduction 15
sought their endorsement and approval before assuming the throne or
declaring jihad. Mulla Ahmad Naraqi (d. 1829), the first systematic articulator
of the jurist’s guardianship, cited textual proofs and evidence. His views were
contested by various scholars, among them Shaykh Murtada Ansari (d. 1864).
At the beginning of the seventeenth century, the rationalists’ (Usulis) theo-
logical ascendancy was eclipsed by that of the traditionalists (Akhbaris), who
allowed no scope for reason in matters of religion and rejected the laity’s
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emulation (taqlid) of a jurist. This ended with a triumphal return of the Usulis
toward the end of the eighteenth century.
The next phase, the era of constitutionalism in the twentieth century, was
characterized by the ulama’s efforts to limit the ruler’s powers by way of a
constitution to ensure that the legislation approved conformed to Islamic
dictates. The jurists assumed only a supervisory role in this model, because
they opined that all forms of government were imperfect (due to the messianic
Imam’s concealment) and that any form of government may constitute
usurping his exclusive right to govern.
The phase of aspiring to establish an Islamic state began with Khomeini,
who joined the political discourse in 1944 by publishing Kashf al-asrar. In it,
he severely criticized and refuted Ahmad Kasravi, a former clergyman who
had become a vociferous critic of the clerical institution and Islam, not to
mention an ardent supporter of the shah and his arbitrary and despotic mode
of governance. He called for a supervisory role for the jurists, but without any
direct involvement in the state apparatus, to ensure that the country is gov-
erned within the framework of Islam which promotes the maximum public
welfare and benefit. This stance is very similar to the one taken by the Con-
stitutionalists, such as Mirza Hosein Na’ini (d. 1936). With the progression of
time he became a vocal critic of the regime. He berated the shah for granting
immunity to American personnel and their dependents without a reciprocal
arrangement for the Iranians: “Even if the Shah himself were to run over a
dog belonging to an American, he would be prosecuted. But if an American
cook runs over the Shah, the head of state, no one will have the right to
interfere with him.”78 Khomeini was exiled in 1964, first to Turkey and after
a few months later to Najaf, Iraq, which had a long tradition of Shi‘i scho-
larship. In 1970, he presented a series of lectures on his view of an Islamic
state in which authority devolves upon the jurisconsult as the Mahdi’s indirect
deputy, the one entrusted with implementing the Islamic legal rulings and
serving as the public’s guardian and custodian.79 In his Najaf lectures of
1970, Khomeini proclaimed: “The governance of the faqih is a rational and
extrinsic matter; it exists only as a type of appointment, like the appointment of
a guardian for a minor. With respect to duty and position, there is indeed no
difference between the guardian of a nation and the guardian of a minor.”80
This mindset was reinforced after the revolution by such figures as Ayatollah
Ahmed Jannati, chair of the Guardian Council: “The people of Iran are
considered in [view of Islamic] law, as orphans and minors, and Islamic
scholars and clerics are their guardian and parents, who have to see to all of
16 Introduction
their needs.”81 Khomeini further expanded that person’s scope of power and
authority in 1988 with his theory of the jurisconsult’s full-fledged authority,
according to which the jurist enjoyed the same authority as the infallible
divine guides and had the discretionary authority to temporarily abrogate
such primary Islamic injunctions as the daily prayers and the Ramadan fast.
Thus we observe that the ulama’s initial passive and withdrawn attitude
toward politics was followed by one of questioning the monarchy’s legitimacy
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It is for these reasons that walayah, and not the profession of monothe-
ism (tawhid) as in Sunni Islam, appears as the principal “pillar of Islam”
in the classical collections of Shi‘i traditions, both those of the Ithna
‘Ashariyah, or Twelvers (e.g., al-Kulayni, d. 940), and those of the Fati-
mid Isma‘iliyah (e.g., Qadi al-Nu‘man, d. 974), who follow a common
line of imams up to Ja‘far al-Sadiq (d. 765).87
claimed that they had reached consensus on a particular issue. This break
from tradition, this questioning of well-established theological, legal, and
historical positions, resulted in virulent fatwas against him from Ayatollahs
Wahid Khorasani, Fazil Lankarani (d. 2007), Bashir Husayn Najafi, Husayn
Nuri Hamadani, Muhammad Taqi Behjat (d. 2009), Taqi Qummi, Jawad
Tabrizi (d. 2006), and other leading jurists. Tabrizi referred to him as one who
has been misled and thus causes people to deviate from the path of truth,
namely, Shi‘ism. Others accused him of being an apostate and a heretic, an
agent of America scheming to create havoc and disarray within the Shi‘i
world. Ayatollah Behjat denounced him for being a bona fide Wahhabi pre-
pared to compromise Shi‘ism’s integrity in order to accommodate Sunnism.
Supposedly, his ultimate goal was to bring about the Shi‘ism’s disintegration
from within through his strong advocacy of ecumenism between the two
schools in the pursuit of mutual tolerance and understanding. Ayatollah Ali
Sistani allegedly questioned Fadlalla’s scholarly credentials upon his procla-
mation of himself as marja‘.88 Eminent jurists have also tacitly approved the
publication of several books written to refute Fadlalla’s views and method-
ology, by remaining silent during the vitriolic discourse and denigration
launched against him.89
A major catalyst leading to this vociferous campaign of ostracism and
excommunication was his call for greater scrutiny and rigor in examining the
historical sources, especially the incident of Fatima’s reported miscarriage.
Apparently, ‘Umar acted in this rash manner after his persistent demands
that Ali come outside and pledge allegiance to Abu Bakr were ignored. This
campaign against Fadlalla also had other contributing factors: his stance on
the infallibility of the Prophet and the Imams as well as the practice of self-
flagellation during Muharram to commemorate Imam Husayn’s martyrdom
on the plains of Karbala, Iraq.
He held that the divine guides are infallible and insulated from committing
errors while functioning as guides and leaders in transmitting (tabligh) Islam
or in matters that require reflection; however, they may be susceptible to
inadvertent error (khata’) or forgetfulness (sahw) in other matters, such as in
their private lives or in performing the ritual prayers. If this were to happen, it
would not bring any discredit upon them.90 Shaykh Saduq (d. 991) argued
that the prophets and Imams were protected from minor and major sins, but
that such protection did not extend to being distracted while praying.
According to him, the sign of the exaggerators (ghulat) of faith is their denial
that the prophets can be distracted during prayer.91 Fadlalla ruled that
18 Introduction
self-flagellation is prohibited because self-inflicted harm, no matter how
insignificant, is impermissible and, moreover, conveys a negative image of
Islam to the general public. Instead, one ought to keep the Ahl al-Bayt’s92
message alive by showing one’s loyalty and devotion to them by implement-
ing their teachings, way of life and conduct, and virtues in one’s personal life.
He wrote of his awareness that many jurists deem self-flagellation permissible
and that some even consider it recommended.93 His assertion that the ziyarat-e
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by his academic research out of love for the material world and his ego.95 The
Shi‘i community, especially the Shi‘i Khojas, interpreted this admonition as a
binding edict or a legal ruling (fatwa) that had to be implemented on the
grounds of emulation (taqlid).96
The translation into Persian and subsequent circulation of Dr. Hossein
Modarressi Tabataba’i’s English-language Crisis and Consolidation in the
Formative Period of Shi‘ite Thought97 (Darwin Press: 1993) among tradition-
alist scholars in Iran engendered a swift reprimand and rebuke for his critical
analysis of the Imamate and questioning of several sensitive issues (e.g., the
Imams’ infallibility and comprehensive knowledge in the Seen and the
Unseen realms). The severity and profound impact of this censure appear to
have prompted Modarressi to add a foreword to the revised version of the
Persian translation (published in 2007), in which he recounts his adversaries’
unethical practices and lack of civility and states that any traits of arrogance,
self-righteousness, and dogmatism prevent scholars from engaging in an open
discourse without fear of persecution and demonization. He laments this state
of affairs, for it is clearly antithetical to the scholarly climate and culture that
reigned during the early Islamic era, a time when diverse opinions were
embraced under the rubric of ijtihad and the awareness that existing historical
accounts and hadith reports were replete with errors inadvertently made by
the scribes as well as intentional fabrications designed to serve a particular
interest group.98
In his estimation, constructive criticism is imperative and constitutes the
basis upon which knowledge and understanding may be advanced; however, it
should remain confined within the boundaries of professionalism and moral
decency so that it will not degenerate into slander and character assassina-
tion. Intellectuals who never alter their opinions on academic issues are, in all
likelihood, trying to avoid and/or ignore any fresh and critical research or else
are terrified of any potential backlash from the laity. In such a scenario, the
public ends up leading (pishwa) the scholars on the basis of sentiment and
fervor, rather than the scholars leading the laity based on their knowledge,
wisdom, and moderation.99
Some courageous jurists have decided not to capitulate to public pressure.
For example, Ayatollah Muhsin al-Hakim (d. 1970) prohibited striking one-
self with a sword or knife (qam-e zadan) in commemoration of the tragedy of
Karbala,100 and Mulla Habibullah Kashani (d. 1921) was declared an
unbeliever (kafir) merely for ruling that protected religious minorities (ahl
al-dhimma) are ritually pure (tahir).101 Mulla Muhammad Taqi Nuri (d. 1838),
20 Introduction
father of the author of the major hadith work Mustadrak al-wasa’il al-Shi‘a
and a jurist of good repute, was stigmatized as a person of lax morals and
one who engages in debauchery (fasiq) merely for ruling that smoking during
the day while one is fasting does not break (muftir) the fast’s validity.102 Even
though some of these issues are marginal and do not deal with core beliefs, the
public’s anger can be merciless and prone to exploitation by demagogues
against the dissenting jurist. Given this reality, some of them opt to remain
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Sunni–Shi‘i Strife
Recent flare-ups in Sunni–Shi‘i sectarian tension in Kuwait and Bahrain are
due to Shaykh Yasser Habib’s derogatory remarks about Ayesha, one of the
Prophet’s wives, as “an enemy of God.” In 2003 he was imprisoned in Kuwait
for cursing Abu Bakr, ‘Umar, and Ayesha. Upon his release and pardon by
Introduction 21
the amir in early 2004, he fled to England.106 In this recent encounter, the
Kuwaiti government quickly revoked his citizenship, underlining the great
esteem and reverence in which the Sunnis hold Ayesha. The rector of Egypt’s
al-Azhar University also expressed his dismay and revulsion. Ayatollah Ali
Khamenei quickly sought to defuse the crisis by ruling: “We prohibit insulting
the symbols of our Sunni brothers, as well as accusing the wife of the Prophet
of what affects her dignity and honor. Moreover, it is forbidden to insult any
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of the wives of the prophets and especially their master the Great Prophet
[Muhammad].”107
Iran has been at the forefront of attempting to minimize the sectarian ani-
mosity in its external (secondary) discourse to consolidate its strength with
the Sunnis in its confrontation with the West. However, its inner (primary)
discourse favors the intensification of sectarian identity and “otherizing”
all Sunnis, both at home and abroad. For example, the country’s Sunni lea-
ders have often complained of persecution and a lack of religious freedom as
well as government interference in their children’s religious education and in
setting up their seminary curriculum.108 This conflicting stance and dual
policy is also reflected in Khomeini’s Last Will and Testament, which begins
with the oft-repeated hadith of Ghadir Khumm advanced by the Shi‘is as
categorical proof in favor of the Prophet’s explicit designation of Ali as his
successor.109 The unconditional love (mahabba) and obedience (taslim) of the
Imams (walaya), along with dissociating oneself from those who are inimical
to the Ahl al-Bayt (tabarri), are central pivots in the Shi‘i worldview and, as
such, the sectarian fissures will persist. In the past, state leaders have both
magnified and minimized sectarian differences for the purpose of expediency
and promoting vested interests. It is worth noting that Fadlalla of Lebanon
issued a similar decree in March 2008 and again in September 2010 as part of
his efforts to encourage rapprochement and mutual respect by distancing each
party from divisive and fragmentary practices and issues that only increase
mutual hatred and animosity.110
The preachers’ excesses and exaggerations (ghuluww) are frequently moti-
vated by a desire to satisfy and appease the laity, many of whom are steeped
in sectarian polemics, which produces a culture of fervent mutual demoniza-
tion and dehumanization. The Sunnis, who view Shi‘i practices as adulterat-
ing Islam and bordering on polytheism, issue fatwas that the latter are
unbelievers, polytheists, innovators, and unpatriotic because their loyalty is, in
the final analysis, to Iran.111 The Shi‘is reciprocate by condemning them for
usurping Ali’s right of succession and injuring and harassing Fatima, whose
displeasure, in the hadith reports, is said to be equivalent to displeasing the
Prophet. This issuance of fatwas of unbelief against each other is known as
takfir.
In this ongoing polemical discourse, the issues of succession and the Ima-
mate are used to determine whether one is a believer or not. For example,
Muhammad Baqir al-Wahid al-Bihbahani (d. 1205) categorically states that
those who deny (munkir) the Imamate and do not love (mawadda) the divine
22 Introduction
guides are unbelievers who cannot receive zakat or any respect (‘adam
al-ihtiram); in fact, one cannot even bless them when they sneeze.112 In his
estimation, those who deny the divine guides’ wilaya are more evil than
Christians and Jews and one should not associate with them, for:
[O Prophet], you will not find people who truly believe in God and the
Last Day giving their loyalty to those who oppose God and His Mes-
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senger, even though they may be their fathers, sons, brothers, or other
relations. These are the people in whose hearts God has inscribed faith
and whom He has strengthened with His spirit.
(Q. 58:22)
Know, however, that error regarding the status of the Caliphate, whether
or not establishing this office is a (communal) obligation, who qualifies
for it, and related matters, cannot serve as grounds for condemning
people as Unbelievers. Indeed, Ibn Kaysan denied that there was any
religious obligation to have a Caliphate at all; but this does not mean that
he must be branded an Unbeliever. Nor do we pay any attention to those
who exaggerate the matter of the Imamate and equate recognition of the
Imam with faith in God and His Messenger. Nor do we pay any attention
to those who oppose these people and brand them Unbelievers simply on
the basis of their doctrine on Imamate. Both of these positions are
extreme. For neither of the doctrines in question entails any claim that
the Prophet perpetrated lies.125
Amir-Moezzi recounts many of the traditions on wilaya from Usul al-kafi that
are related on the authority of the Fifth and the Sixth Imams and provides a
systematic and penetrating understanding of this concept, which eventually
became an integral part of the shahada (the triple profession of faith in
Shi‘ism).129 The centrality and expansive scope of walaya/wilaya of the
Imam, which defines the worldview and ethos of the Shi‘ism, is the subject of
the next chapter.
Notes
1 Most likely referring to Ali.
2 Wilferd Madelung, The Succession to Muhammad (Cambridge: Cambridge
University Press, 1997), 30.
3 S. Hussain M. Jafri, Origins and Early Development of Shi‘a Islam (London:
Longman Group and Librairie du Liban, 1979), 19.
4 Muhammad Mahdi Shamsuddin (d. 2001) provides a new orientation to this event’s
significance by emphasizing the announcement’s political dimension: Ghadir Khumm
was intended to provide a formula by which the community could establish a just
and equitable government and social order. Muhammad Mahdi Shamsuddin,
Dirasat wa mawaqif fi-l-din wa-l-siyasa wa-l-mujtama‘ (Beirut: al- Mu’assasat
al-dawla li-l-dirasat wa-l-nashr, 1999), 2:357.
5 Sa‘a al-Din al-Taftazani, A Commentary on the Creed of Najm al-Din al-Nasafi,
trans. Earl Edgar Elder (New York: Columbia University Press, 1950), 143.
6 People are prone to conjecture (Q. 6:116), lacking in profound knowledge (5:103,
7:187, and 49:4), and ungrateful (Q. 7:17; 12:38). al-Hasan b. Mutahhar al-Hilli,
Kashf al-murad fi sharh al-Tajrid al-i‘tiqad, edited with footnotes by Ja‘far Sob-
hani (Qum: Mu’assasat al-Imam al-Sadiq, 2003), 239–42. See also Khalid Y.
Blankinship, “Imarah, Khilafah, and Imamah: The Origins of the Succession to
the Prophet Muhammad,” in Lynda Clarke (ed.), Shi‘ite Heritage: Essays on
Classical and Modern Traditions (New York: Global Publications, 2001), 36.
7 Ali Shariati, Ali: Selection and/or Election (Houston: Free Islamic Literatures,
Inc., n.d.), 1.
8 Mohammad Ali Amir-Moezzi, The Divine Guide in Early Shi‘ism: The Sources of
Esotericism in Islam, trans. David Streight (Albany: SUNY, 1994), 23.
9 On the various definitions and significance of “imam” in Sunni Islam and the
ancient schools of Islamic law, see Norman Calder, “The Structure of Authority
in Imami Shi‘i Jurisprudence,” Ph.D. Dissertation (London: SOAS, 1980), 1–23
and Muhammad Rafii Yunus, “The Necessity of Imamah According to Twelver-
Shi‘ism: With Special Reference to Tajrid al-I‘tiqad of Nasir al-Din al-Tusi,”
M.A. Thesis (Montreal: McGill University, 1976), 8–26.
10 Muhammad Taqi al-Majlisi, ‘Allama Muhammad Baqir al-Majlisi’s father,
regards dissociation (bara‘a) from the Sunnis as part of usul al-din. See his
Lawami‘ (Qum: Matbu‘at Isma‘iliyyan, 1994), 4:400.
26 Introduction
11 For a discussion on the progressive shift and modification in the conception of
the Imamate in Sunni Islam from the time of Shafi‘i to Baqillani, see Calder,
“The Structure of Authority in Imami Shi‘i Jurisprudence,” 34–40. The Imam’s
duties were confined to the executive domain, and the umma was promoted as
Islam’s custodian, guarantor, and exponent.
12 Muhammad b. Ya‘qub b. Ishaq al-Kulayni, al-Usul min al-kafi (Arabic with Per-
sian commentary and translation), edited and translated by S. Jawad Mustafawi
(Tehran: Daftar-e nashr-e farhang-e ahl-e bayt, n.d.) (4th volume is edited and
translated by Hashem Rasuli, Tehran: Entesharat-e masjed-e chaharda ma‘sum,
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29 Wadad al-Qadi, “The Term ‘Khalifa’ in Early Exegetical Literature,” Die Welt
des Islams, 28/1–4 (1988): 409.
30 Qamar-ud-din Khan, Al-Mawardi’s Theory of the State (Lahore: Islamic Book
Foundation, 1983), 3.
31 Taftazani, A Commentary on the Creed of Najm al-Din al-Nasafi, 143.
32 Hilli, Kashf al-murad, ed. Sobhani, 187–88.
33 For a critical and exhaustive analysis of this subject, refer to ‘Abd al-Husayn al-
Amini, al-Ghadir fi-l-Kitab wa-l-sunna wa-l-adab (Tehran: Dar al-kutub al-Islamiyya,
1987), 7:141–52.
34 Hilli, Kashf al-murad, ed. Sobhani, 184–86.
35 Mahmud Heydari Agha’i et al., Ta’rikh-e tashayyo‘ (Qum: Pazhuheshgah-e
howze va daneshga, 2006), 18–20.
36 Kulayni, Kafi, 1:252, hadith no. 10 (Kitab al-hujja, Bab anna al-ard la takhlu min
hujja). The Imam is “the mystical pole (qotb) of the world; if he ceased to exist,
the world of man would collapse. Man cannot survive as man if he loses his polar
dimension.” Roberts Avens, “Corbin’s Interpretation of Imamology and Sufism,”
Hamdard Islamicus, 11/2 (Summer 1988): 69.
37 Mulla Sadra, Sharh Usul al-kafi and Mafatih al-ghayb (Tehran: Maktabat al-
mahmudi, 1971), 467. His commentary is partial and ends with Kitab al-hujja,
Bab anna al-a’imma wulat amr Allah wa khazanah.
38 Khan, Al-Mawardi’s Theory, 33–38.
39 In Sunni Islam, this is established strictly on traditional grounds.
40 Hilli, al-Babu l-Hadi ‘Ashar, 62–63.
41 Ibid., 40–41.
42 Ibid., 40.
43 Hilli, Kashf al-murad, ed. Sobhani, fn. 1, 56–57.
44 A. Kevin Reinhart, Before Revelation: The Boundaries of Muslim Moral Thought
(Albany: SUNY, 1995), 7.
45 Amir-Moezzi, The Divine Guide, 19. According to Amir-Moezzi, Shaykh Mufid
is an example of an Imami scholar who rationalizes Shi‘i doctrine from its origi-
nal esoteric nature. See the excellent study by Martin J. McDermott, The Theology
of al-Shaykh al-Mufid (Beirut: Dar el-Machreq, 1978).
46 Heydar Amoli (d. 1385) laments that Shi‘i scholars and laypeople have ignored
Shi‘ism’s esoteric tradition for so long that “statements of this kind have never
reached their ears or been uttered by their tongues.” Heydar Amoli, Kitab Nass
al-nusus fi sharh Fusus al-hikam, ed. Henry Corbin and Osman Yahia (Tehran
and Paris: Département d’Iranologie de l’Institut Franco-Iranien de Recherche,
1975), 267.
47 Kulayni, Kafi, 1:20, hadith no. 12 (Kitab al-‘aql wa-l-jahl).
48 Ibid., 1:29, hadith no. 24 (Kitab al-‘aql wa-l-jahl).
49 Ibid., 1:79, hadith no. 8 (Kitab fadl al-‘ilm, Bab al-radd ila-l-Kitab wa-l-sunna wa
anna-hu laysa shay’ min al-halal wa-l-haram).
50 See footnote nos. 22, 32, and 36, pp. 110 and 112 in Andrew J. Newman, The
Formative Period of Twelver Shi‘ism: Hadith as Discourse between Qum and
Baghdad (Richmond, Surrey, UK: Curzon Press, 2000).
28 Introduction
51 Mohammad A. Amir-Moezzi, “Only the Man of God is Human: Theology and
Mystical Anthropology According to Early Imami Exegesis,” in Etan Kohlberg
(ed.), Shi‘ism (Burlington: Ashgate, 2003), 22, fn. 17.
52 Amir-Moezzi, The Divine Guide, 19.
53 Baqer Moin, “Khomeini’s Search for Perfection: Theory and Reality,” in Ali
Rahnema (ed.), Pioneers of Islamic Revival (London: Zed Books Ltd., 1988), 76.
54 Zbigniew Brzezinski, Power and Principle (New York: Farrar, Straus & Giroux,
1983), 368.
55 Morteza Motahhari, valaha va velayatha (Tehran: Entesharat-e Sadra, 2003).
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It is He who has sent this Scripture down to you [O Prophet]. Some of its
verses are definite (muhkam) in meaning—these are the cornerstone of the
Scripture—and others are ambiguous [or allegorical or symbolic] (muta-
shabih) … only God knows the true meaning and those firmly grounded in
knowledge. They say: “We believe in it: it is all from our Lord.”
(Q. 3:7)
the Book of God is sufficient for us.” The Shi‘is view both of these with mis-
giving and apprehension, for they hold that ‘Umar suspected that the Prophet
might designate Ali as his successor.4
Asma Afsaruddin argues that the basis of support for the selection of Abu
Bakr and the ensuing pro-Alid opposition was based on “the Qur’anic para-
digm of sabiqa and fadl/fadila to establish the legitimacy of the claims of their
respective candidates to leadership of the polity and kinship had little role to
play in this enterprise at this stage, but would acquire growing importance in
the subsequent period.”5 However, the Arab society of that time was deeply
anchored in tribal values according to which the kinship and ancient nobi-
lity ascribed to a certain clan or family were the primary marks of identity
and source of authority. Moreover, even the Quraysh invoked kinship at the
Saqifa gathering. During ‘Uthman’s reign one observes the large-scale reas-
sertion of the pre-Islamic concept of authority. Afsaruddin, although aware of
the tentativeness of her findings, is nevertheless confident that the validity of
her thesis can be sustained via the collective weight of the evidence: “Admit-
tedly, the evidence garnered from these diverse sources is to a degree circum-
stantial; cumulatively, however, the weight of this evidence is significant and
cannot be easily discounted.”6 Moshe Sharon, who posits a similar theory,
asserts that the kinship factor only became prominent in the middle of the
seventh century, about 80 years before the timing suggested by Afsaruddin.7
Wilferd Madelung and Amir-Moezzi have contested and challenged these
claims.
In this chapter, I intend to underline the centrality of wilaya/walaya in the
formulation of the Shi‘i religious ethos and in defining their worldview. This
concept, which has been part of their nomenclature from the outset, espe-
cially after the Battle of Siffin in 657, continues to dominate the Shi‘i ethos.
Its expansive and broad meaning includes both the political and spiritual
domains and “denotes an all-encompassing bond of spiritual loyalty that
describes, simultaneously, a Shi‘ite believer’s allegiance to God, the Prophet,
the Imam and the community of Shi‘ite believers, collectively.”8
Two diametrically opposite conceptions of post-Muhammadan authority
existed at this time. Those who supported Abu Bakr, the school of khilafa
(caliph), assumed that the Prophet’s strictly religious role ended with the
Qur’an’s completion and Islam’s perfection. Thus, there was no more need for
prophethood and revelation: “Today, I have perfected your religion for you,
completed My blessing upon you, and chosen as your religion islam: total
The Ethos of Shi‘ism 35
devotion to God” (Q. 5:3). In contrast, the school of the Imamate held that
(a) the role of his successor comprised both a religious and a political aspect,
for this individual would be the authoritative expositor and elucidator of the
Qur’anic teachings and (b) be entrusted with continuing the Prophet’s mission
of radically transforming those tribal values and norms that conflicted with
the Qur’anic worldview. Given that the Prophet only had a few years to
initiate major reform in a deeply anchored tribal society with age-old tradi-
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tions, such people stated that continued sound leadership was needed to pre-
vent any backsliding. As such, the candidate could only be appointed by the
Prophet based upon divine directive.
Interestingly, Dr. Ali Shariati writes that although both modes of succes-
sion are appropriate and have textual support, the Sunni option would be
suitable only after the community has attained a degree of maturity that
would allow each member to make an independent evaluation of the candi-
date(s) and to overcome their traditional obedience to tribal leaders. In other
words, the ten years allotted to the Prophet to reform society after his
migration to Madina was grossly insufficient to uproot the pre-Islamic and
tribal practices that severely curtailed personal autonomy. He writes that “the
elections which were held immediately after the death of the Prophet in
Saqifeh, should have taken place 250 years later.”9
The Shi‘ites are those who follow ‘Ali only. They hold that his caliphate
and imamate were based on designation and appointment, either open or
hidden. They maintain also that the imamate must remain in ‘Ali’s
The Ethos of Shi‘ism 37
family; if it were to go outside of it, this would be either because of a
wrong on the part of another, or because of dissimulation on the part of
the rightful imam. According to them the imamate is not a civil matter,
validly settled by the will of the people appointing an imam of their own
choosing: it is a fundamental matter and a basic element of religion.
Messengers of God may not ignore and disregard it, nor leave it to the
choice of the common people.20
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Another usage of shi‘a refers to those who believe that Ali and the other
Imams were invested with the Imamate by the Prophet’s explicit designa-
tion.25 Finally, the same term sometimes refers to those who embraced the
meanings given here and also believed that the Imams were infallible and
entitled to unconditional love and obedience, and that dissociating themselves
from the Imams’ opponents (regardless of the extent of this opposition) was
necessary. This requirement was relaxed under the principle of taqiyya (dis-
simulation) in situations where displaying these sentiments would result in
persecution and imprisonment.26
In summary, the term shi‘a is used with multiple meanings in an incre-
mental progression: a supporter or helper in a general sense with its lexical
meaning; a follower or supporter of Ali with the belief that he is superior to
all other Companions; a conviction that Ali is also the community’s temporal
and religious leader (Imam) due to his explicit designation by the Prophet;
belief in the Imamate of the other 11 Imams is also based on divine decree;
38 The Ethos of Shi‘ism
belief in the infallibility of all the Imams and befriending and supporting their
followers, and dissociating themselves from the Imams’ enemies.
The expansive scope of the Imams’ authority and their glorification, along
with the right to their followers’ complete obedience and devotion, both of
which inhere in wilaya/walaya, suggest that the early Shi‘is viewed this posi-
tion as encompassing both the political and religious spheres (with great
emphasis placed on their access to esoteric and hidden knowledge needed to
initiate their disciples into the mysteries of the faith). Amir-Moezzi provides
evidence from various historiographical works where the expression “din Ali
(religion of Ali)” refers only to Ali, whereas the word sunna refers to such
other role models as Abu Bakr and ‘Umar.28 This claim of prophetic heritage
and exclusive selection by the Prophet is evidenced in the protests made by
Ali, his wife Fatima, and their sons Hasan and Husayn (the Second and the
Third Imams, respectively, according to Twelver Shi‘is) to the rulers that their
rights had been compromised and their authority usurped. In addition,
some of their companions (e.g., ‘Abdalla b. Ja‘far, ‘Ammar Yasir, Asbagh
b. Nubata, and Qays b. Sa‘d) vociferously objected to the impromptu meeting
held at the Saqifa and the ensuing selection of Abu Bakr. The emphasis
placed on the successor’s identity and mode of selection has resulted in sev-
eral discourses concerning the origins of Shi‘ism, all of which are closely tied
to various political events and, over time, assumed a political coloring. The
spectrum of opinions range from a conviction that Shi‘ism was an integral
part of Islamic culture during the Prophet’s time and is identical with “origi-
nal Islam,” to it being an innovation designed to sabotage Islam and cause
irreparable damage to it from within.
For instance, past and contemporary Shi‘i polemicists marshal proofs and
evidence from the Prophet’s hadith, such as the one he related at the begin-
ning of his ministry when inviting his pagan relatives to embrace Islam (da‘wa
dhu al-‘ashira). In it, he called Ali his akhi wa warithi wa waziri wa wasiyyi wa
khalifati (my brother, my legatee and minister, my trustee and successor),
after none of his guests responded to his call for assistance. Other famous
hadiths are: Ghadir, manzilat Harun (the position of Aaron), mubahala
(mutual imprecation), and thaqalayn (the two precious weights). Viewing the
The Ethos of Shi‘ism 39
Prophet’s public promotion of Ali as an exemplary person with noble virtues
and entrusting him with important duties on the basis of kinship and blood
relationship (nasab), marriage (musahara), and the bond of brotherhood
(mu’akhat),29 made Shi‘ism a natural outcome, one that had its seeds in
Muhammad’s own words and deeds:
Within the framework of the Islamic Call, Shi‘ism is thus embodied in the
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that wilaya was considered one of Islam’s pillars (arkan): prayers, fasting,
pilgrimage, zakat, and wilaya.35 Khilafa is reserved for those whom God has
designated and appointed, such as the prophets, to provide public guidance at
the individual and social levels, whereas wilaya taqwini (an acquired author-
ity) is attained after the perfection of one’s spiritual state by serving God and
humanity.
As a result of having gained close proximity to the Divine, He empowers
the individual with a discretionary authority over human beings and the
cosmos that is to be utilized in conformity with the Divine pleasure.36 An
example of an individual who possessed such authority but was not a divine
guide is the person who told Solomon, when he asked if anyone could bring
the Queen of Sheba’s throne to him before her arrival: “I will bring it to you
in the twinkling of an eye” (Q. 27:40). The implication and ramification of
such closeness is given in the following hadith, which depicts a complete
concord between the Divine and the human will:
(i) Mawadda/Mahabba/Hubb/Walaya
The foundation of God’s creation is based on love and, as such, one of His
names is al-Wadud, namely, the one who loves. A disciple once asked the
Sixth Imam, Ja‘far al-Sadiq, whether the religion of Islam had a component
that dealt with love. He responded that the entirety of religion was about
love.38 In a tradition reported on the Fifth Imam’s authority, Muhammad
Baqir, religion is equated to love and vice versa: “fa al-din huwa al-hubb
wa-l-hubb huwa al-din.”39 As S. H. Nasr notes, the intense love for the divine
guides permeates the Shi‘i worldview: “In the Sunni world Islamic esotericism
manifests itself almost exclusively as Sufism, whereas in the Shi‘ite world, in
addition to a Sufism similar to that found in the Sunni world, there is an
esoteric element based upon love (mahabba) which colors the whole structure
of the religion.”40 One of the meanings of walaya41 in the context of the
The Ethos of Shi‘ism 41
Imams is expressing one’s love for them by assisting them and protecting
them from any harm and distress.
There is consensus among the Sunnis and Shi‘is that love, affection, rever-
ence, and respect for Muhammad and his progeny are mandated by the
Qur’an and the Prophet’s sunna.42 However, the love and affection for the
Prophet’s family permeates the Shi‘i ethos and is one of the criteria used to
determine the integrity and soundness of one’s faith and acts. In other words,
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it has become a litmus test to enable one to attain salvation. As it was the
norm and practice of all prophets and angels to love the divine guides, this
became a way to attain proximity to God and receive His pleasure.43 Even
inanimate objects express their praise and love for his progeny.44 The degree
of love increases as one obtains a spiritually enlightened understanding
(ma‘rifa) of the infallible leaders. At the same time, one’s belief (iman) cannot
attain perfection without dissociating oneself from those who are inimical to
the Imams.
The evidence for this fundamental necessity of loving the divine guides is
sought by way of a proof-text from the Qur’an: “Say [O Prophet]: ‘I ask no
reward from you for this, only the affection due to kin (al-mawadda fi-l-
qurba)’” (Q. 42:23). When this verse was revealed, the community asked
Muhammad who these “near relatives” (qurba) were. He replied that they
were Ali, Fatima, Hasan, and Husayn.45 It is further argued that one’s love
for them entails unconditional and absolute submission to them in order to
benefit from their exoteric and esoteric guidance. This Qur’anic directive fol-
lows the pattern practiced by previous prophets who sought no reward for
their ministry.46 The difference between the previous prophets and Muham-
mad is that the former sought their reward exclusively from God and did not
request recompense in the form of love and submission to their near kinship
(qurba). The Prophet, on the other hand, sought this so that a benefit would
accrue to his followers for loving and submitting to the divine guides, a gain
that returns to the person concerned (fa-huwa la-kum47) because these figures
are a source of guidance and salvation for the community.
This love’s centrality and affinity are further underlined in numerous
hadiths found in early Shi‘i works that list it as a criterion of the validity of
one’s faith and enmity toward the Imams as a sign of unbelief (hubbu-hu
iman wa bughdu-hu kufr48). Obedience and love for them expresses one’s
obedience and love for God and His Messenger (“man ata‘a Ali fa-qad ata‘ani
wa man ata‘ani fa-qad ata‘a Allah”49 and “man ahabba-hu fa-qad ahabbani wa
man ahabbani fa-qad ahabb Allah”50); it is the best form of worship (“hubb
Ali afdal al-‘ibada”51) and a condition for accepting one’s righteous deeds
(“man ahabba-hu tuqbalu salatu-hu wa siyamu-hu wa qiyamu-hu”52); it con-
firms that one is born to a lawfully wedded couple, which is related by Abu
Bakr and known as hadith al-khayma;53 it provides the beneficiary with glad
tidings of prosperity in both worlds;54 it is instrumental for conferring ease
and comfort at the time of death, when the soul is removed from the body,
and during the period between death and resurrection (barzakh);55 and it is a
42 The Ethos of Shi‘ism
guarantee that they will be resurrected with the prophets and enjoy the same
stature.56
In essence, love for the divine guides assures that one will experience true
life (yuhya hayat57) in this transient world as well as success and prosperity in
the afterlife:
One who dies while possessing the love of the progeny of Muhammad
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dies the death of a martyr (shahid). One who dies while possessing the
love of the progeny of Muhammad dies the death of one who has been
forgiven. One who dies while possessing the love of the progeny of
Muhammad dies the death of one whose repentance has been accepted.
One who dies while possessing the love of the progeny of Muhammad
dies the death of a believer (mu’min) with perfect faith (mustakmil al-iman).
One who dies while possessing the love of the progeny of Muhammad,
the angel of death informs him of his entry to paradise after which he is
questioned by the two angels—Munkar and Nakir.58:
At the same time, harboring hatred or ill-will toward the Imams constitutes a
cardinal sin, one that the hadiths regard as unpardonable and tantamount to
warring against God and His Messenger:
One who dies while hating the progeny of Muhammad dies a death of a
disbeliever (kafir). One who dies while hating the progeny of Muhammad
will not even smell the fragrance of paradise. One who dies while hating
the progeny of Muhammad will come on the Day of Judgment with this
stamped between his eyes, hopeless of the Mercy of God.59
(ii) Khilafa
A khalifa is defined, both etymologically and lexically, as one who assumes
the role of deputy and succeeds a person in his role and function. Raghib
Isfahani (d. 1108/09), who attests to such a meaning, says that khilafa is
“deputization from someone else.”62 In the Qur’an, its plural forms (viz.,
khala’if and khulafa’) carry a very similar connotation: “Do you find it so
strange that a message should come from your Lord, through a man in your
The Ethos of Shi‘ism 43
midst, to warn you? Remember how He made you heirs [khulafa’] after Noah’s
people, and increased your stature: remember God’s bounties, so that you
may prosper” (Q. 7:69). Likewise, the hadith literature has preserved instances
where this term is invoked with a similar signification. The Prophet is repor-
ted to have prayed: “O God, have mercy on my successors (khulafa’i).”63
When asked who they are, he replied: “They are the ones who will come after
me and relate my traditions and conduct … ”64
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This term, however, acquired a new meaning upon his death: the Muslim
community’s next leader and commander, as expressed in the formula khalifat
al-rasul (successor of the Messenger), which was contracted to khalifa. The
Qur’an uses khalifat Allah (deputy of God) to designate one whom God has
appointed to carry out a divine mission, whether he be a prophet or his suc-
cessor: “O David, We have appointed you a vicegerent on earth. Judge fairly
between people. Do not follow your desires, lest they divert you from God’s
path” (Q. 38:26). However, Wadad al-Qadi makes a persuasive case that at
least until the latter part of the Umayyad period the exegetes “did not equate
the Qur’anic khalifa with the head of the Islamic State.”65
The Imam functions as the Prophet’s deputy or successor in temporal and
religious affairs. Scholars who analyze the Imamate from a theological per-
spective stress this person’s temporal function and equate it with khilafa;
in the early hadith reports, however, this person’s scope of function and
authority is wide and expansive. Moreover, this term also denotes the divine
mandate, which is akin to prophethood but does not include legislative
authority.66 This shift of emphasis from the religious to the temporal is
observable especially from the time of Shaykh Mufid, when an attempt was
made to respond to the Mu‘tazili’s challenges and, in the process, Mu‘tazili
ideas were incorporated.67 The demystification of the Imamate led to the
de-emphasis of the Imam’s esoteric character and narrowed the scope of his
activities to providing guidance and leadership in temporal affairs. This trend
was continued in polemic works by Shi‘is who sought to demonstrate that Ali
was the only Companion who deserved to be the caliph after the Prophet’s
demise. In other words, the Imamate’s principal components (viz., walaya and
wilaya) were set aside and marginalized from the second half of the tenth
century onward. In this regard, Amir-Moezzi observes:
… Do they know the value of the Imamate and its position in the com-
munity that their selection could be allowable in this matter? Verily, the
Imamate is too sublime among values, too great among ranks, too high
among stations, too impenetrable on all sides, too profound among the
depths, for people to reach it with their intellects, or to grasp it with their
opinions, or to establish an Imam by their choice. Verily, the Imamate is
that in which Allah, to Whom belong Might and Majesty, has dis-
tinguished Ibrahim, the Intimate Friend (al-Khalil), after Prophethood
and Intimacy, as a third degree, and an eminence with which he hon-
oured him and by which He raised his renown, and He said: “Behold!
I make you an Imam for the people.” Then the Intimate Friend said out of
delight in this: “And of my seed.” Allah, the Blessed, the Sublime, said:
“My covenant shall not reach the evil-doers” (al-Baqara, 2:124). Thus, this
verse has abolished the leadership (imama) of all evil-doers till the Day of
Resurrection, and it has become for the select ones. Then Allah, the
Sublime, bestowed honours on him, by establishing it in his seed, the ones
who are selected and purified (by Allah). …
Verily, the Imamate is the position of the Prophets, and the heritage
of the successors. Indeed, the Imamate is the vicegerency (khilafa) of
Allah and the vicegerency of the Messenger, and the station of Amir
al-mu’minin and the inheritance of al-Hasan and al-Husayn.
Truly, the Imamate is the reins of the religion, the state of order of the
Muslims, the rectitude of the world, and the might of the believers. Verily,
the Imamate is Islam’s growing root, and its lofty branch. Through the
Imam the prayer, zakat, fasting, hajj and jihad (exerting oneself, striving
in the way of Allah, whether by means of one’s property, one’s life, one’s
knowledge, or by any other means) are perfected, the general wealth (of
the Muslims, fay‘) and charity (sadaqat) are increased, the restrictions
and the commands are put into practice, and the frontier-posts and
borders are protected. …
… Where can someone like this be found? Do you imagine that this
can be found anywhere else but in the progeny of the Messenger? By
Allah, they have lied to themselves, they have promised to themselves the
impossible, they have climbed up to a difficult and dangerous height,
(and) their feet will slip and fall to the bottom. They want to appoint an
Imam with (their) convulsed, unproductive and defective mind, and (their)
misguided opinions. Nothing accrued to them but remoteness from him … 69
The Ethos of Shi‘ism 45
(iii) Al-Wilayat al-Mutlaqa (Tashri‘i and Takwini):70 Legislative
and Creative Authority
When Our clear revelations are recited to them, those who do not expect
to meet with Us say, “Bring [us] a different Qur’an, or change it.” [O
Prophet] say, “It is not for me to change it of my own accord; I only
follow what is revealed to me, for I fear the torment of an awesome Day,
if I were to disobey my Lord.”
(Q. 10:15)
The Qur’an also proclaims that Muhammad speaks only what has been
revealed to him: “By the setting star! Your companion has not strayed; he is
not deluded; he does not speak from his own desire. It is only a revelation
that is sent to him” (Q. 53:1–4). He enjoys a limited scope of authority how-
ever, in that God does take his preference into consideration. For instance, it
is reported that God desired to legislate five daily prayers of two units (rak‘a)
each, whereas Muhammad was hoping for a revelation that would increase
the noon (zuhr), afternoon (‘asr), and night prayers (‘isha’) by two units and
the evening prayer (maghrib) by one. God accommodated his wish on account
of his nobility and grandeur.71
Another area in which his legislative authority can be actualized is the
administration of political, social, and economic affairs. This is based on the
Qur’anic verse that mentions the ulu al-amr72 and another one that gives
Muhammad’s right upon Muslims priority over their own rights upon them-
selves: “The Prophet is closer to the believers or has a higher claim (awla)73
on them than their own selves, and his wives are like their mothers”
(Q. 33:6).74 Accordingly, he was entitled to adjudicate on issues that would
crop up among Muslims and expect them to accept his judgment uncondi-
tionally: “By your Lord, they will not be true believers until they let you
46 The Ethos of Shi‘ism
decide between them in all matters of dispute, and find no resistance in their
souls to your decision, accepting them totally” (Q. 4:65).
something true. At the same time, however, sound hadiths do direct the
community to use the Qur’an in order to distinguish between true and false
hadiths. Those that conform to it ought to be accepted; those that do not
ought to be “struck against the wall,” meaning categorically rejected. These
two apparently conflicting admonitions suggest that analyzing the hadiths
must be a nuanced activity, one done with care and diligence by considering
various factors: whether it is of particular or universal import, comprehensive
or context-bound in its applicability; constant or variable, esoteric or exoteric,
and muhkam (explicit and clear-cut) or mutashabih (allegorical, metaphorical
or symbolic).
This approach can be supported by the Qur’an, which calls upon people to
evaluate the truthfulness of any report and not to accept or reject it without
sufficient investigation, for doing so will only result in remorse and regret:
“Believers, if a troublemaker brings you news, check it first, in case you wrong
others unwittingly and later regret what you have done” (Q. 49:6). Another
Qur’anic verse advanced to attest to the possibility that such apparently irra-
tional or unintelligible hadiths might have an esoteric or a hidden meaning
that need to be excavated is: “But they are denying that whereof they have no
knowledge [‘ilm], and whose interpretation [ta’wil] has not yet come to them.
In the same way, those before them refused to believe—see what was the end
of those evildoers!” (Q. 10:39).83
The story of Jesus is normally cited to support a universal wilaya, because
he could restore human life by breathing his spirit into it and cure the sick by
God’s will: “I have come to you with a sign from your Lord: I will make
[akhluqu] a bird for you out of clay, then breathe [anfakhu] into it and, with
God’s permission, it will become a real bird. I will heal [ubri’u] the blind and
the leper, and bring the dead back to life [uhyi] with God’s permission”
(Q. 3:49).84 It is interesting to observe that in this verse Jesus refers to himself
as a miracle worker, albeit with God’s blessing: “ … how, by My leave, you
fashioned (takhluqu) the shape of a bird out of clay, breathed (tanfakhu) into
it, and it became, by My leave, a bird; how by My leave, you healed (tubri’u)
the blind person and the leper; how by My leave, you brought the dead back to
life (tukhriju al-mawta); … ” (Q. 5:110). At the same time, the Qur’an
underlines that God is the ultimate Sovereign, Omniscient, and Omnipotent:
“Say [O Prophet], ‘I have no control over benefit or harm, even to myself,
except as God may please: if I had knowledge of what is hidden, I would have
abundant good things and no harm could touch me. I am no more than a
bearer of warning and good news to those who believe’” (Q. 7:188).
48 The Ethos of Shi‘ism
A distinction is made here: al-wilayat al-takwiniyya as it relates to God is
dhati (essential), whereas it is ‘aradi (accidental, namely, with God’s permis-
sion [bi-idhn Allah]) for the prophets and Imams. The Qur’an mentions other
prophets who had this creative authority to perform miracles: Joseph, Moses,
Solomon, and Muhammad.85 An interesting dialogue between the Sixth
divine guide, Ja‘far al-Sadiq, and a blind man named Abu Basir relates that
the former confirms his ability to revive the dead and cure the leper and the
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blind by God’s will. The Sixth Imam rubbed his hand over this man’s face
and eyes, and his eyesight was restored.86
For the sake of explication, wilaya can be divided into 1487 subjects.
“So believe in God, in His Messenger, and in the light We have sent down.”
(Q. 64:8)
The infallible divine guides are endowed with a special soul and emanate
from God’s Light. In one sense, they are the Light of God: “There was
nothing else except God. Then He created the five [Muhammad, Ali, Fatima,
Hasan, and Husayn] from the Light of His Glory … ”89 This light is trans-
mitted from generation to generation in the loins of Adam’s progeny. After it
reached ‘Abd al-Muttallib, it was divided between ‘Abdalla (Muhammad’s
father) and Abu Talib (Ali’s father). This light enables the divine guides to
inspire and influence people’s hearts in order to bring them closer to God. In
response to Abu Khalid al-Kabuli’s inquiry about “So believe in God, in His
Messenger, and in the light We have sent down” (Q. 64:8), the Fifth Imam,
al-Baqir, replied:
I swear by God that the light (al-nur) is the light of the Imams from the
household of the Prophet till the Day of Resurrection … The brilliance of
the light of the Imam in the hearts of the believers is greater than that of
the sun. It is the Imam who illumines the hearts of the believers. God
prevents the brilliance of that light from reaching the hearts of whom-
soever He wills; this being the explanation for the darkness of their
hearts.90
Similar hadiths indicate that their true followers received some aspect of this
light and thus were guided aright, whereas their enemies were deprived of
this light and, consequently, went astray: “ … The one to whom God gives no
light has no light at all” (Q. 24:40).91 This division into antagonistic and
dualist groups is a recurring theme.
The way to attain cognizance and understanding of God is to comprehend
this light: “Knowing me (i.e., Ali) is through the Light. Knowing God is
identical to knowing me by the Light and this is the pure religion (“ma‘rifati
bi-l-nuraniyya wa ma‘rifat Allah ‘azz wa jall ma‘rifati bi-l-nuraniyya wa huwa
The Ethos of Shi‘ism 49
al-din al-khalis”92). In his exegesis of “The earth will shine with the light of its
Lord” (Q. 39:69), Ali b. Ibrahim al-Qummi (d. 941) relates that Imam Sadiq
had interpreted “the light of his Lord” to mean “the light of the Imam of the
Earth.”93 As this light’s94 exalted nature makes it impossible to fathom the
precise nature of these luminous individuals, the divine guides related esoteric
knowledge only to those select disciples (ashab al-sirr95) who had the capacity
and were already initiated to comprehend their status. This is related in a
story about ‘Umar’s question to Abu Dharr as to the identity of the person
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who was with the Prophet in the mosque. The latter replied that he could not
recognize that person’s true nature. Upon going inside, ‘Umar saw that
Muhammad was with Ali and, in astonishment, related the conversation to
Muhammad. Muhammad told him that Abu Dharr had spoken the truth,
because “no one can have full cognizance of Ali except God and His Mes-
senger.”96 In another tradition, the Prophet states that “no one can recognize
God except I and you (Ali); no one can recognize me except God and you;
no one can recognize you except God and I (“Ya Ali ma ‘arafa Allah illa ana
wa anta, wa ma ‘arafa-ni illa Allah wa anta, wa ma ‘arafa-ka illa Allah
wa ana”).97
The infallible divine guides, who were the first creations after Muhammad,
are also viewed as the best, the perfect, and the most noble (ashraf and afdal)
of all of His creations (except for Muhammad) because they were the first to
recognize His divine Unicity and Majesty.98 They are the Creator’s purpose
(final cause) for creating the world, which was done for their sake (‘illat
al-gha’i al-khilqa—“li ajli-him”): “O Ali, were it not for us (i.e., the divine
guides), God would not have created Adam or Eve, paradise or hell-fire
and heavens or the earth” (Ya Ali, law la nahnu [i.e., the divine guides] ma
khalaqa Allah Adam wa la Hawwa’ wa la janna wa la-l-nar wa la-l-sama’ wa
la-l-ard).99 In one tradition, Ibn ‘Abbas relates that the Prophet told him that
he and Ali had been created from one light (nur wahid)100 40,000 years before
Adam and the Divine Throne. God created humanity and the universe on
account of His love for Muhammad and his progeny.101 In his al-I‘tiqadat,
Shaykh Saduq relates a hadith that “God did not create anyone superior to
the Prophet and the Imams. They are the most loved by Him and the most
noble. … ”102
The presence of these luminous lights is essential for the world’s continued
existence. In this regard, prophethood (nubuwwa) ended with Muhammad;
however, the need for a wali continues until the end of time, and thus a proof
(hujja) from God must always be present:
“The Most Excellent Names belong to God: use them to call on Him and keep
away from those who distort them.”
(Q. 7:180)
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The name (al-ism) is derived from the mark (al-sima) and is an indication or a
sign. This appellation, which has both a general and a universal application,
refers to the named item (mussamma), whether it is a word formulation, an
existent, or something else. But when a linguistic meaning is applied, the
universal sign or mark is transformed into a specific mark that refers to the
named item. The mark’s universal meaning, one that is not restricted to
the word, can be gleaned from a hadith reported on the Eighth Imam’s
authority: “When someone says ‘bi ism Allah’ it means, I put on myself one
mark (or sign) of God’s marks and that mark is worship (al-‘ibada). Faddal
(the narrator) asked him: ‘What is that mark (sima)?’ The Imam replied: ‘The
indication or sign (al-‘alama).’”105 In other words, the name manifests the
named item. Each and every existent manifests, to the degree of its own
essence, the name of one of His attributes to the extent of its capacity to
function as a vehicle of self-manifestation. It is also a mark and a sign of one
action (fi‘l) among His actions (af‘al).
The beautiful names of God comprise the attributes of His essence (sifat
dhat), such as all-knowing (al-‘alim), powerful (al-qadir), living (al-hayy);
of His action (sifat fi‘l), such as creator (al-khaliq), sustainer (al-raziq);
and glorification and sanctification (tamjid and taqdis), such as sanctified
(al-quddus) and self-sufficient (al-ghani). All of these must be manifested in
the outer world, and only by means of the resulting existents can the proper-
ties of God’s names become apparent and understood through intellectual
constructs. However, as His true reality transcends all human constructs and
formulations, the attribute of His essence can be discerned only by means of
the self-manifestation of the attributes of those existents whose properties
(e.g., creation, sustenance, and mercy) are manifested in the outer world. Such
attributes can be derived from the relationship between Him and the cosmos.
Namely, observing created beings (makhluq) enables people to deduce the
existence of a creator (khaliq).
God’s essence is disclosed in the universe’s attributes and actions, for He is
omnipresent in His creatures, signs, attributes, and acts. Thus all existents self-
manifest His attributes, acts, signs, and names, and thereby indicate their
Creator’s beautiful and perfect nature. Ali is reported to have said: “I do not
see anything except with the presence [cause] of God” (“ma ra’aytu shay’ illa
wa ra’aytu Allah qabla-hu”106) and “[He] is present in things but not as a
compound. [He] is absent from it but not vanished” (“dakhil fi-l-ashya’ la
The Ethos of Shi‘ism 51
bi-l-mumazaja, wa kharij ‘anha la bi-l-muzayala”107). The Fourth Imam, Zayn
al-‘Abidin, is reported to have made the following supplication, “You are
disclosed to me in everything such that I see you manifested in everything …
and you are apparent in everything” (“anta al-ladhi ta‘arrafta ilayya fi kull
shay’ fa-ra’aytu-ka zahir fi kull shay’ … Wa anta al-zahir li-kull shay’”108), on
the Day of ‘Arafa.
Although all existents are the “locus of manifestation” (mazahir) of God’s
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4 Intercession (shafa‘a)
“Your Lord is God who created the heavens and earth in six Days, then
established Himself on the Throne, governing everything; there is no one that
can intercede with Him, unless He has given permission.”
(Q. 10:3)
The Imams are endowed with the privilege of shafa‘a tashri‘i (intercession in
legislation) and shafa‘a takwini (intercession in creation) on behalf of creation
to secure goodness and repel harm. The former is employed to petition God
to forgive and overlook those infractions related to His rights (huquq Allah);
the latter acts as an intermediary between God and His creation in dispersing
and diffusing divine bounties, mercy, grace, and sustenance, including the act
of creation. This meaning is related in a hadith reported on Ali’s authority:
“The earth was created for the sake of the seven—you receive sustenance
through them, help and assistance is rendered to you on account of them, and
rainfall comes through [their intercession]—they include Salman al-Farsi,
Miqdad, Abu Dharr, ‘Ammar, and Hudhayfa. I am their leader, and they
send benedictions upon Fatima” (“khuliqat al-ard li sab‘a, bi-him turzaqun,
wa bi-him tunsarun, wa bi-him tumtarun, min-hum Salman al-Farsi wa-l-Miqdad
wa Abu Dharr wa ‘Ammar wa Hudhayfa, wa ana imamu-hum wa hum
al-ladhina sallu ‘ala Fatima”110). As a consequence, there must always be a
hujja so that the Earth can survive and keep the cause of its existence.
On the Day of Judgment, the shafa‘a will be available to all people who
accepted the truth brought by the divine guides. One hadith relates the
meaning of rahim from the exegesis attributed to the Eleventh Imam, Hasan
al-‘Askari. In it, he is reported to have said that only 1 percent of God’s
mercy (rahma) has been dispersed among His creation in this world, and that
it finds expression in the love between the human/animal mother and her
child/offspring. On the Day of Judgment, the entirety of God’s rahma will be
52 The Ethos of Shi‘ism
diffused and accessible, such that Muhammad’s community will successfully
intercede on behalf of its neighbors, associates, and acquaintances irrespective
of their faith or lack thereof.111
Hadiths found in the early works report that many of the previous prophets
sought the divine guides’ intercession for help when confronted with a crisis,
and that it was due to the latter’s honor that God decided to knead the clay
out of which He fashioned humanity with His own Hand and breathed into it
from His Spirit. Noah was rescued from the flood when he appealed to God
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through these luminous entities, and Ibrahim prayed to God for the fire to
become cool by asking for it in the name of Muhammad’s progeny. Moses
communicated with God, and Jesus performed miracles and was saved from
crucifixion by being allowed to ascend to heaven, on account of the divine
guides’ intercession.112 God created the world due to His love for the awliya’,
and it is because of their teachings and initiatory knowledge that the angels
and humanity worship God.
The Imams receive revelation (wahy122), but not in the form in which it des-
cended upon the prophets. Instead, God inspires them by means of another
process and, as such, they are referred to as muhaddath, persons spoken to by
angels via sounds in their ears (naqr fi-l-asma‘) and supported by the Holy
Spirit (ruh al-qudus) whenever they desire to know something.123 Imami
scholars distinguish between a messenger who brings a new law and scripture
(rasul); a non-lawgiving prophet (nabi) who is entrusted with explicating and
advancing his immediate predecessor’s message; and the Imam, who receives
inspiration as a muhaddath to guide people in exoteric and esoteric issues. The
The Ethos of Shi‘ism 53
Imams can hear, but not see, the angel who brings this inspiration. On the
Night of Power, which occurs during Ramadan, they receive additional
information about that which is to unfold in the subsequent year as well as
detailed elaborations on other issues. In addition, the Imams make a spiritual
ascension to the Divine Throne to increase their knowledge, especially on
Fridays.
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The Imams provide inner guidance to their followers on how to refine their
souls by esoteric means. This is in contrast to the outer guidance they dis-
pense on issues related to the law and the shari‘a. They develop a bond
with their true followers, those who have accepted their wilaya and are in
communion with them. Further, their guidance covers the entirety of God’s
creation.
Every religion comprises a zahir (exterior) and a batin (interior) dimension.
The chain of prophets and scriptures fall into the former category, and the
uninterrupted chain of Imams, whose presence is mandatory for life on Earth
to continue, constitute the latter. The faithful who submit to their wilaya and
love them are given the privilege of being initiated by the Imams and guided
into the mysteries of the Divine Being and religion:
The person upon whose shoulders lies the responsibility for the guidance
of a community through Divine Command, in the same way that he is
the guide of man’s external life and acts, is also the guide for the spiritual
life, and the inner dimension of human life and religious practice depends
upon his guidance.125
8 Miracles and Charismata [special divine graces and favors] (mu‘jizat and
karamat)
The term mu‘jizat is normally applied to the miracles performed by the pro-
phets, and karamat to those performed by the saints of God. This distinction
is especially apparent in the works of kalam, where it is discussed in separate
categories. The Imams perform miracles as a testimony of their high rank and
stature. Some of the works on Imamate detail the miracles attributed to
them.126 Sharif Murtada severely rebukes those traditionists who exaggerate
the divine guides’ supernatural powers, such as the ability to walk on clouds
and other fanciful accounts.127
In pre-existential time, God made a pact with the distinguished prophets (ulu
al-‘azm) and the rest of humanity to worship only Him and to testify to their
54 The Ethos of Shi‘ism
devotion and love for the Prophet and his progeny. The scriptural evid-
ence cited for this episode is “[O Prophet], when your Lord took out the off-
spring from the loins of the Children of Adam and made them bear witness
about themselves, He said, ‘Am I not your Lord?’ and they replied, ‘Yes we
bear witness.’ So you cannot say on the Day of Resurrection, ‘We were not
aware of this’” (Q. 7:172). Various related hadiths state: “God took the pre-
temporal pact from the prophets on the wilaya of Ali and the covenant was
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made with the prophets by virtue of the wilaya of Ali” (“inna Allah akhadha
mithaq al-nabiyyin ‘ala wilayat Ali wa akhadha ‘ahd al-nabiyyin bi wilayat
Ali”128). The primordial covenant on love and fidelity (walaya) to the divine
guides was taken from the entire creation.129
‘Allama ‘Abd al-Husayn Amini (d. 1970), author of the momentous multi-
volume al-Ghadir, provides a detailed discussion and analysis of this subject
with rational (‘aqli) and textual (naqli) proofs. He adduces 19 Qur’anic verses
and 70 hadiths, which are subjected to a scrupulous investigation of the
hadiths’ chain of transmission (isnad) and text (matn). Citing both Sunni and
Shi‘i scholars who confirm his views, he uses poetry to corroborate them fur-
ther and concludes that the primordial covenant refers to one’s affirmation of
servitude to God (rububiyya), prophethood (nubuwwa), and wilaya.130
This event is also referred to as yawm al-mithaq (the day of the pre-temporal
pact), yawm al-jam‘ (the day of humanity’s gathering), yawm al-shahid (the
day of witness), yawm al-mashhud (the day of being witnessed), yawm al-‘ard
al-awwal (the day of the first presentation), yawm al-khalq al-awwal (the day
of the first creation), yawm al-taklif al-awwal (the day of the first obliga-
tion), yawm al-ba‘th al-awwal (the day of the first mission), yawm al-iqrar (the
day of affirmation), yawm al-wilaya (the day of wilaya), yawm al-bala’ (the
day of trial), ‘alam al-dharr (the world of particles), ‘alam alast (the world of
testimony), and ‘alam al-azilla (the world of shadows).131
10 The Presentation of Deeds to the Prophet and His Progeny (‘ard al-a‘mal)
Every week, the infallible leaders receive a full account of the deeds of their
faithful followers who submit to their wilaya. They become joyful and happy
when the deeds performed are positive, and saddened and sorrowful when the
deeds are negative.132 The Sixth Imam, when asked about the interpretation
of Qur’an, 9:105, “Say [O Prophet], ‘Take action! God will see your actions—as
will His Messenger and the believers … ,” replied that this refers to the Imams.133
11 The Infallible Guides are Witnesses Over the Deeds of the Community
The infallible leaders will be the proof (hujja) of God on the Day of Judgment
over the faithful by virtue of the following Qur’anic verse: “We have made
you [believers] into a just community, so that you may bear witness (shahid)
[to the truth] before others and so that the Messenger may bear witness
(shahid) [to it] before you” (Q. 2:143). On that day, every community will be
The Ethos of Shi‘ism 55
summoned to appear before the Imam of their respective time, who will act as
a proof: “On the Day when We summon each community, along with its
leader … ” (Q. 17:71).
The status of the divine guides is so exalted that God created the universe out
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of His love for them. They were created from the superior clay of heaven
(‘illiyyin) and are from the original Light (nur) of God.134 In contrast, their
opponents were created from the sijjin, which is from hell, and is composed of
salty, brackish water.135
Adam and the angels were commanded to prostrate to them, thereby ack-
nowledging their grand status, and to affirm their wilaya. One who affirms their
wilaya is akin to one who has affirmed the wilaya of all the prophets sent by
God, whereas one who accepts the wilaya of Muhammad but rejects his
infallible progeny is akin to one who accepts the wilaya of all the previous
prophets but rejects the wilaya of the last Prophet.136
14 The Divine Guides’ Relationship with God, the Prophets, and the Other
Existents before and after Creation
The infallible guides have a special and unique relationship with God, for
their luminous lights were created before anything else and from a special
56 The Ethos of Shi‘ism
heavenly material (‘illiyyin). Thus they are the firm rope of God (habl Allah
al-matin143) and have been given special knowledge of the greatest names
(al-ism al-a‘zam).144 In addition, they have a relationship with the prophets by
virtue of communicating with their spirits and having inherited their knowl-
edge.145 Gabriel is reported to have told Muhammad: “God created Ali with
the other prophets esoterically and created him with you exoterically (Inna
Allah ba‘atha Ali ma‘a al-anbiya’ batin wa ba‘atha-hu ma‘a-ka zahir).”146
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They are also the mediators between God and the prophets, as their names
are invoked before a miracle is performed. As a case in point, it is asserted
that God forgave Adam’s lapse when he petitioned God for forgiveness in the
name of the luminous entities, that Moses parted the Red Sea by invoking
their names, and that Jesus revived the dead by appealing to God in the name
of the 14 infallibles. The earlier prophets gave glad tidings to their respective
communities on the future coming of Prophet Muhammad and his progeny.
The infallible divine guides have a close and intimate relationship with
everyone who has accepted their wilaya and are sincerely devoted to them.
Their light shines in their hearts with a light that is more intense than that of
the stars. They guide the faithful like a compassionate father, such that the
analogy is made that one who cuts off his link with them is like an orphan.147
The above categories are interrelated and intertwined. The division was
made only to illustrate and explicate the complex nature of wilaya found in
early Twelver Shi‘i hadith literature. Later Imami scholars, who took great
pains to provide Qur’anic references and rational arguments to prove that
ascribing certain supernatural powers to the divine guides was neither exag-
geration nor extremism (ghuluww),148 accused the Sunnis of exaggerating
some of the caliphs’ virtues.149 Shi‘i scholars vigorously denounced all reports
that sought to divinize and glorify the Imams and/or all those that attributed
divine attributes to them, especially from the tenth century onward, as having
been fabricated by extremist Shi‘is (ghulat). However, such hadiths do exist in
the early corpus of Shi‘i works on hadith, exegesis, and theology by Saffar,
Qummi, ‘Ayyashi, Saduq, Kulayni, and other scholars.
Hodgson, Watt, Amir-Moezzi, and Ayoub make a persuasive case that
there was no separation or distinction between “extremist” and “moderate”
Shi‘ism for the first two centuries. Thus, the former may be considered a precursor
and progenitor of the latter when the scholars opted to distance themselves from
such exaggerated reports and formally disciplined the former on the grounds that
they had transgressed the limits of Islam. Hodgson writes: “[T]he conventional
approach to the Ghulat—that they were the left wing of the Shi‘a, a posited
Twelver ‘moderation’ being its center, and the mild Zaydis its right wing—is
hardly acceptable, certainly for the earlier period which is most fully described
by the heresiographers.”150 Amir-Moezzi labeled these two categories as “non-
rational esoteric” and “theologico-legal-rational” trends, respectively, with the
latter becoming dominant and the norm after having diluted (but not com-
pletely expunged) those hadith reports that elevated the Imams’ status to a
cosmic level.151 It is in this context that one should note an astute observation
The Ethos of Shi‘ism 57
made by Ayatollah ‘Abdalla Mamaqani (d. 1932): “We have stated on many
occasions that the accusations of extremism leveled by the early [scholars]
(al-qudama’) do not deserve to be taken into consideration since many aspects
that are essential to Imami doctrine (daruriyyat al-madhhab) were held by
them to be extremist.”152
The virtues and excellences mentioned in the Qur’an and hadith that the
divine guides enjoy are gifts bestowed (mawhub) upon them by God and thus
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are not acquired (iktisab). However, they can be regarded as an ideal and a
paradigm that can inspire other people to strive for a higher rank of excel-
lence in their own lives: “The Messenger of God is an excellent model (uswa
hasana)” (Q. 33:21). Accordingly, every conscious human being can poten-
tially ascend to a higher status, depending upon the extent to which he/she
polishes his/her cosmic mirror (heart). The prophets and divine guides, who
have actualized the names of God latent in all people, thus become points of
reference worthy of emulation. In the Sixth Imam’s own words: “It is because
of us that God is known and worshipped. We are the proofs that lead to God,
and were it not for us God would not have been worshipped (Bi-na ‘urifa
Allah wa bi-na ‘ubida Allah nahnu al-adilla’ ‘ala Allah wa law-la-na ma ‘ubida
Allah”);153 “He who knows us knows God, and he who knows us not, knows
not God (man ‘arafana faqad ‘arafa Allah wa man ankarana faqad ankara
Allah);” and “Without God, we would not be known, and without us, God
would not be known (law la Allah ma ‘urifna wa law la nahnu ma ‘urifa
Allah).”154
Morteza Motahhari succinctly summarizes the essence of this chapter: all
the various forms of wilaya/walaya reside in the person of the Imam: wilayat
al-mahabba (the Imams are entitled to unconditional love and affection and,
as such, their devotees have been charged to discharge this obligation);
wilayat al-Imama (the Imams have been designated to provide guidance and
leadership to the people in religious and spiritual matters since they are the
authoritative and infallible guides); wilayat al-za‘ama (the exclusive authority
and mandate over the Muslims’ socio-political affairs or in temporal matters);
wilayat al-ghayb (unseen) and malakuti (divine) (the Imams have been gifted
with comprehensive authority over the entire creation of God like Prophet
Muhammad and other previous prophets).
Scholars adopted different approaches to engage in a systematic study of
this central doctrine of Imamate and wilaya/walaya. The detailed rational and
traditional arguments were gradually articulated and refined with care and
diligence, bearing in mind that for the Shi‘is it was the very foundation of
their faith. Rejecting the merit and validity of Imamate is equivalent to
rejecting the prophecy of all the prophets.
Notes
1 Mahmoud Ayoub, The Crisis of Muslim History: Religion and Politics in Early
Islam (Oxford: Oneworld Publications, 2003), 17 and 22. Tabari relates on Sayf
58 The Ethos of Shi‘ism
b. ‘Umar’s authority that Ali was so eager to pledge allegiance to Abu Bakr that
in his haste he arrived dressed only in his shirt. Madelung, The Succession to
Muhammad, 1–2 and Marshall Hodgson, “How did the Early Shi‘a Become
Sectarian,” Journal of the American Oriental Society 75/1 (1955): 1.
2 Ardent supporters of Ali, like Salman al-Farsi and Abu Dharr, viewed his suc-
cession in religious as opposed to political terms. Maria M. Dakake, The Char-
ismatic Community: Shi‘i Identity in Early Islam (Albany: State University of
New York Press, 2007), 6.
3 Madelung, The Succession to Muhammad, 16 and Q. 3:33–34, 19:58, 6:84–89,
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and 2:318–21 (Kitab al-hujja, Bab fihi nutaf wa jawami‘ min al-riwaya fi-l-wilaya).
88 Sometimes referred to as al-haqiqat al-Muhammadiyya or al-haqiqat al-‘Alawiyya.
89 Kulayni, Kafi, 1:276 (Kitab al-hujja, Bab anna al-a’imma nur Allah), hadith no. 1.
“God is the light of the heavens and the earth … ” (Q. 24:35).
90 Ibid. and Amir-Moezzi, The Spirituality of Shi‘i Islam, 273–74.
91 Majlisi, Bihar, 65:44–45, hadith no. 90.
92 Futuni, Tafsir mir’at al-anwar, 58.
93 Ibid.
94 No one should attempt to draw a comparison or parallel between the divine
guides and others: “la yuqasu bi-na ahad min ‘ibad Allah,” Majlisi, Bihar, 65:44,
hadith no. 90 and Futuni, Tafsir mir’at al-anwar, 6.
95 “Law ‘alima Abu Dharr ma fi qalb Salman la-qatala-hu” (If Abu Dharr were to
know what resides in the heart of Salman, he would kill him), Kulayni, Kafi,
2:254, hadith no. 2 (Kitab al-hujja, Bab fi-ma ja’a anna haditha-hum sa‘b mustas‘ab);
and Majlisi, Bihar, 25:246.
96 Futuni, Tafsir mir’at al-anwar, 8.
97 ‘Abd al-Husayn al-Amini, “ al-Asma’ al-husna,” unpublished manuscript, 15;
Majlisi, Bihar, 39:84. Another variant states: “Ya Ali, ma ‘arafa Allah haqq
ma‘rifati-hi ghayri wa ghayra-ka, wa ma ‘arafa-ka haqq ma‘rifati-ka ghayr Allah
wa ghayri,” in Ibn Shahr Ashub, Manaqib Al Abi Talib (Najaf: Haydariyya,
1956), 3:60; Majlisi, Bihar, 39:84.
98 There are three opinions on the infallible Imams’ station and rank: (1) they are
superior to all of the prophets and messengers, except Muhammad; (2) they are
superior to all of the prophets, except for the distinguished prophets (the ulu
al-‘azm); and (3) all of the prophets and messengers are more distinguished than
them. Both Shaykh Mufid and Sharif Murtada favor the first opinion. The latter
argues that since one’s need to confirm one’s belief in the Imams is mandatory to
attain iman and distance from kufr, it is therefore a higher station than that of all
of the other prophets. Futuni, Tafsir mir’at al-anwar, 20. Q. 2:124, in which
Ibrahim is given the rank of imam after having fulfilled a divine test, is also
advanced to prove that Imamate is a higher rank than prophethood, given that he
was already a prophet before being designated an imam. In the esoteric sense,
Imamate is equivalent to wilaya over the people; see Tabataba’i, Mizan, 1:272.
A hadith attributed to the Sixth Imam states: “Before appointing Abraham as
prophet, God Almighty appointed him His servant. Before ennobling him with
His friendship, He bestowed on him the rank of messengerhood. Before granting
him the rank of Imamate, He made him His sincere and devoted friend. It was
therefore after Abraham had attained a whole series of high ranks that he was
given the station of Imamate,” ibid., 1:276 quoting from Kulayni, Kafi.
99 Ali b. Ibrahim al-Qummi, Tafsir al-Qummi (Qum: Mu’assasa dar al-kitab, 1984),
1:18.
100 Futuni, Tafsir mir’at al-anwar, 30; Majlisi, Bihar, 57:192.
101 Ibid.
102 Muhammad b. Ali b. Babawayh al-Qummi (Shaykh Saduq), Risalat al-I‘tiqadat,
trans. Asaf A. A. Fyzee (London: Oxford University Press, 1942), 84.
The Ethos of Shi‘ism 63
103 Kulayni, Kafi, 1:253–54, Kitab al-hujja hadith no. 3 (Bab law lam yabqa fi-l-ard
illa rajulan la-kana ahadu-huma al-hujja).
104 God’s names are manifested in the entirety of His creation (including inanimate
objects), and in this sense they are all signs (ayat) of God. The name of God and
God are one and the same (‘ayniyya): “al-ism huwa al-musamma” (the name is
identical to the named). The names of God are enumerated as follows: names of
essence (asma’ al-dhat), attributes (asma’ al-sifat) and actions (asma’ al-af‘al), and
the principal (ummahat al-asma’). Nobody shares in the reality of His immutable
attributes; however, the names (asma’) are an intellectual appreciation or under-
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standing of the divine attributes and, consequently, can be applied to His crea-
tures. Muhammad b. Ali b. Babawayh al-Qummi (Shaykh Saduq), al-Tawhid,
edited with footnotes by Hashim al-Husayni al-Tehrani (Qum: Jama‘at al-
mudarrisin, 1995), 185–223, Bab 29 (Asma’ Allah ta‘ala). See also Jalal al-Din
Ashtiyani, Sharh-e muqaddame-ye Qaysari bar Fusus al-hikam (Qum: Bostan-e
ketab, 2001), 258. In total, 99 of God’s names are related in multiple hadith
reports. See Saduq, al-Tawhid, 194–223.
105 Muhammad b. Ali b. Babawayh al-Qummi (Shaykh Saduq), Ma‘ani al-akhbar,
ed. Ali Akbar al-Ghaffari (Tehran: Entesharat-e Islami, 1982), 3; al-Qummi,
Tehrani, al-Tawhid, 229–30, hadith no. 1.
106 Mulla Hadi Sabzawari, Sharh al-Asma’ al-husna (Qum: Maktaba basirati, n.d.),
1:4, 78, 189, and 2:21.
107 Ibid., 2:96. Another variant is dakhil fi-l-ashya’ la ka-shay’ fi shay’ dakhil, wa
kharij min al-ashya’ la ka-shay’ min shay’ kharij. Tabataba’i, Mizan, 8:263;
Kulayni, Kafi, 1:83, hadith no. 2 (Kitab al-Tawhid, Bab anna-hu la yu‘rafu illa bi-hi);
Saduq, Tawhid, 285 and 306; Saduq, Ma‘ani al-akhbar, 1:239, hadith no. 217.
108 Ibid.
109 Kulayni, Kafi, 1:196, hadith no. 4 (Kitab al-tawhid, Bab al-nawadir); Majlisi,
Bihar, 25:5, hadith no. 7; al-Nadr Muhammad b. Mas‘ud b. ‘Ayyash al-Sulami al-
‘Ayyashi, Kitab al-tafsir, ed. Hashem al-Rasuli al-Mahallati (Tehran: al-Maktabat
al-‘ilmiyyat al-Islamiyya, n.d.), 2:42 (“nahnu wa-l-lah al-asma’ al-husna al-lati la
yaqbalu Allah min al-‘ibad ‘amal illa bi ma‘rifati-na”) as interpretation of the
verse: fa ad‘u-hu bi-ha (Q. 7:180). The divine guides are also referred to as “kalimat
Allah” (words of God) in hadith reports, Shaykh Saduq, Man la yahduruh al-
faqih, ed. Ali Akbar Ghaffari (Qum: Jami‘at al-mudarrisin, 1984), 2:592 (Bab
mawdi‘ qabr amir al-mu’minin … ); Majlisi, Bihar, 24:173, and in some of the
ziyarat they are addressed as “kalimat Allah” (“al-salam ‘alay-ka ya kalimat
Allah” in Bihar, 100:307), “kalimat Allah al-tamma” (Kanz al-‘ummal, 1:108)
and “kalimat al-Rahman” (Bihar, 100:278). In the ziyara of the Twelfth Imam:
“ … wa azhir kalimata-ka al-tamma … fi ardi-ka,” in Taqi al-Din Ibrahim
b. Muhammad al-‘Amili al-Kaf‘ami, al-Balad al-amin wa-l-dir‘ al-hasin (Beirut:
Mu’assasat al-a‘lami, 1997), 404; Bihar, 99:82. In the supplication celebrating the
Twelfth Imam’s birth: “ … fa-tammat kalimatu-ka sidq wa ‘adl la mubaddila
li-kalimati-ka wa la mu‘aqqiba li-ayati-ka,” in Kaf‘ami, al-Balad al-amin, 264.
110 Muhammad b. Muhammad b. al-Nu‘man al-Mufid, al-Ikhtisas with introduction
by Muhammad Mahdi Hasan al-Khurasani (Qum: Maktaba basirati, n.d.), 4.
Other examples are hadith qudsi: “khalaqtu-ka li-ajli wa khalaqtu al-khalq la-ka,”
and “law la-ka la-ma khalaqtu al-aflak,” Shustari, Ihqaq, 1:430–31.
111 Mufid, Ikhtisas, 25, hadith no. 4. Qudrat Allah Husayni Shahmuradi analyzes the
exegesis attributed to the Eleventh Imam and concludes that it is authentic and
properly ascribed to him. See ‘Abd al-Husayn al-Amini, Tafsir-e Fatihat al-kitab,
trans. Qudrat Allah Husayni Shahmuradi (Tehran, n.p, n.d.), 193–204.
112 Futuni, Tafsir mir’at al-anwar, 31. Shafa‘a here is used in the sense of “tawassul”
(resorting to intermediaries by way of petitionary prayer), which is a form of
shafa‘a.
64 The Ethos of Shi‘ism
113 “Ya‘lamuna ‘ilm ma kana wa ma yakun,” Kulayni, Kafi, 1:388–91 (Kitab al-hujja,
Bab anna al-a’imma ya‘lamuna ‘ilm ma kana wa ma yakunu wa anna-hu la yakhfa
‘alay-him al-shay’).
114 Ibid., 1:382–83 (Kitab al-hujja, Bab anna al-a’imma idha sha’u an ya‘lamu ‘alimu).
115 Ibid., 1:329–31.
116 Ibid., 1:344–50. For greater elaboration on these written sources, see Amir-Moezzi,
The Divine Guide, 73–74.
117 Ibid., 1:372–74.
118 Ibid., 1:350–72.
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119 Kulayni, Kafi, 1:383–87 (Kitab al-hujja, Bab anna al-a’imma ya‘lamuna mata
yamutuna wa anna-hum la yamutuna illa bi ikhtiyar min-hum).
120 The scope of knowledge in the section on wilaya is far broader than it is in the
section on khilafa, because knowledge in the latter section pertains only to tem-
poral affairs (e.g., knowledge of the Qur’an, sunna of the Prophet, and matters
pertaining to society). The divine guides are also referred to as “firmly grounded
in knowledge [rasikhun fi-l-‘ilm] (Q. 3:7). Ibid, 1:321–31.
121 Ibid., 2:13–15. Also see Etan Kohlberg, “The Term Muhaddath in Twelver
Shi‘ism,” Studia Orientalia memoriae D.H. Baneth (Jerusalem: The Magnes Press,
1979), 39–47.
122 Wahy is used in different contexts and meanings; however, when applied to the
revelation (wahy) received by the prophets, it has a specific meaning. Even the
bees receive wahy (Q. 16:68), as was the mother of Moses (Q. 28:7). For further
information, see Tabataba’i, Mizan, 2:135; 12:312; 15:346, 347; and 18:75, 18:7.
123 Kulayni, Kafi, 2:15–20; Majlisi, Bihar, 26:17.
124 The divine guides are referred to as hudat (Kulayni, Kafi, 1:272–73), ‘alamat
(ibid., 1:296) and ayat (ibid., 1:296–97).
125 Tabataba’i, Shi‘ite Islam, 212.
126 Hashim b. Sulayman al-Bahrani, Madinat al-Ma‘ajiz, ed. ‘Izzatulla al-Mawla’i
al-Hamadani (Qum: Mu’assasat al-ma‘arif al-Islamiyya, 1992); Majlisi, Bihar,
vol. 41; and Shustari, Ihqaq, vol. 8.
127 Amir-Moezzi, The Divine Guide, 150, fn. 74.
128 al-Saffar al-Qummi, Basa’ir, 93, Bab 8, hadith no. 4.
129 Majlisi, Bihar, 17:383.
130 ‘Abd al-Husayn Amini, “Primordial Covenant,” 1–32, unpublished manuscript.
131 Ibid., 5.
132 Kulayni, Kafi, 1:318–19 (Bab ‘ard al-a‘mal … ), Muhammad Husayn al-Tabataba’i,
al-Mizan fi tafsir al-Qur’an, trans. Saeed Akhtar Rizvi (Tehran: WOFIS, 1973),
1:270 in reference to “Say [Prophet], ‘Take action! God will see your actions—as
will His Messenger and the believers—and then you will be returned to Him who
knows what is seen and unseen and He will tell you what you have been doing”
(Q. 9:105).
133 Ibid., hadith no. 2; al-Saffar al-Qummi, Basa’ir, 259–60.
134 al-Saffar al-Qummi, Basa’ir, 34–35, 37; Kulayni, Kafi, 2:232–34 (Bab khalq abdan
al-a’imma … ), 3:2–8 (Bab tinat al-mu’min wa-l-kafir).
135 al-Saffar al-Qummi, Basa’ir, 38–40, 44, 191.
136 Futuni, Tafsir mir’at al-anwar, 20, 24.
137 al-Saffar al-Qummi, Basa’ir, Bab 18, 414–18.
138 Majlisi, Bihar, 97:291.
139 ‘Abd al-Husayn Sharaf al-Din, al-Muraja‘at, ed. Husayn al-Radi (Qum:
Jam‘iyyat al-Islamiyya, 1982), 93; Shustari, Ihqaq, 2:299; 7:140–41, 162; 18:236–38,
496; in a ziyara, Ali is addressed as follows: “al-Salam ‘ala mizan al-a‘mal,”
Majlisi, Bihar, 97:330.
140 Shustari, Ihqaq, 7:140–51,158–62, 236–38; 18:496; Amini, Ghadir, 2:323, 10:279.
141 Majlisi, Bihar, 29:42–43; Shustari, Ihqaq, 7:152.
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