The Rightly Guided Caliphs
Caliph (khalifah) means "successor": the leader of the Muslim community after the Prophet (pbuh). The first four are called al-Khulafa' ar-Rashidun ("the Rightly Guided Caliphs") because they closely followed the Prophet's example.
| Caliph | Rule | Chosen by |
|---|---|---|
| Abu Bakr | 632–634 | Chosen at Saqifah by the leading Companions (the Ansar and Muhajirun) |
| Umar ibn al-Khattab | 634–644 | Nominated by Abu Bakr and accepted by the community |
| Uthman ibn Affan | 644–656 | Chosen by a committee of six (shura) named by Umar |
| Ali ibn Abi Talib | 656–661 | Chosen by the people of Madina after Uthman's murder |
Abu Bakr (632–634)
Election at Saqifah
While the Prophet's burial was being prepared, the Ansar gathered at the hall of the Banu Sa'idah (Saqifah) and were close to choosing Sa'd ibn Ubadah of the Khazraj as leader. Umar, Abu Bakr and Abu Ubaydah went there. Abu Bakr reminded them that the Arabs would only accept a leader from the Quraysh. A speaker for the Ansar then suggested two leaders, one from each group. Umar rejected this because the community needed one head, and Abu Ubaydah said to the Ansar: "You were the first to help Islam, so do not be the first to bring division into it." The Ansar withdrew their claim. Umar took Abu Bakr's hand and pledged loyalty (bay'ah), followed by others, and the next day there was a general pledge in the Prophet's Mosque.
In his first speech Abu Bakr said that he had been given authority although he was no better than anyone present, that the people should help him if he was right and correct him if he was wrong, that the weak would be strong in his eyes until they had their rights, and that they should obey him only as long as he obeyed God and his Messenger. He took the title "successor of the Messenger of God" (khalifat Rasul Allah).
Usamah's expedition
The Prophet (pbuh) had ordered an army under Usamah ibn Zayd to march towards Syria. Many tribes were now leaving Islam and some Companions urged Abu Bakr to keep the army at home. He refused: "How can I hold back an army the Messenger of God sent out?" He gave the soldiers rules that became a model for Muslim armies: do not kill women, children or old men, do not cut down fruit-bearing trees, and do not harm monks in their places of worship. The expedition succeeded and showed that Madina was still strong.
The Ridda wars (the wars of apostasy)
- Refusal to pay zakat. Tribes such as the Asad, Ghatafan, Abs and Murrah said their agreement had ended with the Prophet's death and refused zakat. Abu Bakr said that he would fight even for the smallest part of what had been paid in the Prophet's time. The tribes attacked Madina at night and were beaten back, then defeated at Dhu Qissa and Abraq, after which they submitted and paid.
- Eleven columns. Abu Bakr divided the army into eleven columns, each under an experienced commander, with orders to invite the rebels back to Islam first and fight only if they refused. Within about a year Arabia was under control again.
- The false prophets:
| Claimant | Where | What happened |
|---|---|---|
| al-Aswad al-Ansi | Yemen | Seized Najran and Yemen with tricks and force. Killed by Fayruz, a Persian Muslim, around the time of the Prophet's death. His followers rose again and were defeated |
| Tulayhah | The Asad and Ghatafan, northern Arabia | A famous warrior who accepted Islam in 630 and then claimed prophethood. Defeated by Khalid ibn al-Walid at Buzakhah (632). He later became a Muslim again and fought at Qadisiyyah and Nahawand |
| Sajah | The Tamim | A woman soothsayer who claimed prophethood, joined Musaylimah and married him. Her force was crushed. After his death she became a Muslim |
| Musaylimah | The Hanifah, in Yamama | Wrote to the Prophet claiming to share prophethood and was rejected. He taught a shorter prayer and no fasting or zakat. The most dangerous claimant |
- The Battle of Yamama (late 632 or 633). Two early commanders (Ikrimah and Shurahbil) were beaten by Musaylimah. Khalid ibn al-Walid then led about 13,000 Muslims against a far larger army (accounts give about 40,000). After a hard fight Musaylimah's men fled into a walled garden, where the fighting was so bloody that it is called the "Garden of Death". A Muslim soldier, al-Bara' ibn Malik, opened its gate, and Wahshi (who had killed Hamzah at Uhud) killed Musaylimah. Many huffaz died, which led to the compilation of the Qur'an.
- Other campaigns. Revolts in Bahrain, Oman, Mahrah and Hadramawt were put down by separate columns.
Compilation of the Qur'an
After Yamama, Umar urged Abu Bakr to collect the Qur'an. Abu Bakr at first hesitated, saying he would not do what the Prophet had not done, but was persuaded. Zayd ibn Thabit was also reluctant ("it would have been easier to move a mountain") and accepted the task. He accepted a verse only if it was written and also memorised, backed by two witnesses, and in the order the Prophet had taught. The sheets were kept by Abu Bakr, then Umar, then Hafsah (see chapter 2).
Expansion
- Iraq. Khalid ibn al-Walid wrote to the Persian commander Hurmuz offering Islam, jizya or war. Hurmuz chose war and was beaten at Kazimah (the Battle of the Chains), so called because the Persians were said to be linked together, which trapped them when they fled. Victories followed at Mazar, Walajah and Ullays, and Hirah and Anbar were taken (at Anbar, Khalid filled the moat with the carcasses of old camels so the army could cross).
- Syria. Abu Bakr formed four columns of about 7,000 under Amr ibn al-As, Yazid ibn Abi Sufyan, Shurahbil ibn Hasanah and Abu Ubaydah. Khalid made a fast march from Iraq to join them. Busra fell, and the Byzantines were beaten at Ajnadayn (634). The Muslims were besieging Damascus when Abu Bakr died in August 634.
Abu Bakr's administration
- Consultation with leading Companions on all important matters.
- Provinces under governors who led prayer, commanded troops, collected taxes and judged, with officials for revenue and a judge (qadi).
- Officers chosen on merit, not family or tribe.
- A strict account of public money and a proper treasury (Bayt al-Mal). At his death he asked that his small allowance be repaid from his property.
- Non-Muslims kept their religion and managed their own affairs.
- He was simple and humble, and his firmness saved the state.
Umar ibn al-Khattab (634–644)
Main events
- He took the title Amir al-Mu'minin ("Commander of the Faithful").
- Persia. After the Muslim defeat at the Battle of the Bridge (634, where the commander Abu Ubayd was trampled by a war elephant), the Muslims under Musanna won at Buwayb. Umar then sent Sa'd ibn Abi Waqqas with about 30,000 men, who defeated the Persians and their commander Rustam at Qadisiyyah (about 636), in a three-day battle in which archers dealt with the elephants. The Persian capital Mada'in (Ctesiphon) was taken and the Persians were beaten again at Jalula. The last great Persian army was destroyed at Nahawand (642), called the "victory of victories", and the Sasanian king Yazdgird fled.
- Syria and Palestine. Damascus fell, the Byzantines were beaten at Fihl (Jordan) and then at the great Battle of Yarmuk (636), which lasted six days. Khalid used feigned retreats and small squadrons, and a dust storm helped. The Muslims (about 40,000) defeated a much larger Byzantine army, and Heraclius moved back to Constantinople.
- Jerusalem (637). The patriarch Sophronius agreed to surrender to the Caliph in person. Umar travelled with one servant and one camel, taking turns to ride. The treaty guaranteed the safety of life, property and churches, in return for jizya, and allowed Jews to live in the city again. Umar refused to pray in the Church of the Resurrection, so that Muslims would not later claim it as a mosque, and prayed elsewhere. A mosque was later built on the Temple Mount.
- Egypt. Amr ibn al-As took the fortress of Babylon (Fustat) with Zubayr's help after a long siege and then Alexandria (about 639–642).
- Death. In 644 he was stabbed during morning prayer by Abu Lu'lu'ah, a Persian slave who had asked him to reduce his tax. Umar was buried beside the Prophet. Before dying he appointed a committee of six to choose his successor.
Administration and achievements
| Area | Reforms |
|---|---|
| Government | A council of leading Companions (Majlis-i-Shura) and a larger body of Emigrants, Helpers and tribal representatives for special occasions. The empire was divided into provinces under governors (walis), with districts under officials (amils). Appointees had to write a promise to live simply and list their property, so it could be checked when they left office, and secret reports were kept on officers. Governors could be dismissed |
| Treasury and the diwan | The Bayt al-Mal (public treasury) and a register (diwan) that paid salaries and pensions, ranked by closeness to the Prophet, early conversion and service. Women, children and slaves also had a share. The diwan also handled the revenue from jizya, kharaj (land tax), fay and ushr |
| Justice | Judges (qadis) appointed separately from governors and independent of them. Umar was displeased when a judge stood up out of respect for him as a defendant |
| Taxation | Land tax (kharaj), jizya from non-Muslims who were protected and exempt from military service, and zakat from Muslims. Conquered lands were left with their farmers and taxed, not shared among soldiers |
| Cities and roads | Basra, Kufa (Iraq) and Fustat (Egypt), as garrison cities for the army and centres for spreading Islam. Roads, outposts, mosques and schools were built and teachers sent to villages |
| Calendar | The Hijri calendar (from the Hijrah, 622) |
| Welfare | Pensions for the old, allowances for the poor and children, and a census. Food was arranged in the Year of Ashes famine (639) |
| Prayers | Introduced congregational tarawih prayers in Ramadan |
| Army | Cavalry and infantry kept in cantonments, away from the settled population |
| Non-Muslim subjects | Looked after, and their affairs settled with their own representatives. Umar expelled the Jewish and Christian communities of Najran and Khaybar, who refused to follow his order (as part of his policy for Arabia) |
Style of leadership. He was just, strict and humble. He walked the streets at night to find the needy, lived simply ("only a dress for summer and one for winter, and the income of an ordinary Qurayshi") and called himself Amir al-Mu'minin. He insisted that governors be honest and not live in luxury. He punished his own son for drinking wine.
Uthman ibn Affan (644–656)
Election
Umar named six senior Companions: Ali, Uthman, Zubayr, Abdur Rahman ibn Awf, Talha and Sa'd ibn Abi Waqqas. Abdur Rahman withdrew and consulted each of them and many others in Madina. He asked both Uthman and Ali whether they would rule by the Qur'an, the Sunnah and the example of the first two Caliphs. Uthman said yes, and Ali said he would follow the Qur'an and Sunnah but use his own judgement. Most people favoured Uthman and he was chosen in 644 (24 AH).
Expansion east and at sea
- Persia and the east: revolts in the first years were put down by the armies of Kufa and Basra, and by about 650 Muslim forces had reached Herat, Merv, Balkh and Kabul. Armenia and Azerbaijan came under Muslim rule.
- Egypt revolted with Byzantine help (Alexandria was retaken by Amr in 646), and North Africa was raided as far as Tunisia (647).
- Navy. Mu'awiyah, governor of Syria, built the first Muslim fleet. Cyprus was taken in 649 and the Byzantine fleet was beaten at the Battle of the Masts (655).
Achievements and administration
- The standard Qur'an. After Hudhayfah ibn al-Yaman reported different readings in the armies fighting in Armenia and Azerbaijan, Uthman had Hafsah's pages copied by a committee headed by Zayd ibn Thabit (with Abdur Rahman ibn al-Harith, Abdullah ibn al-Zubayr and Sa'id ibn al-As). Where they disagreed the Quraysh dialect was followed. The copies were read aloud in the Prophet's Mosque, sent to the chief cities with teachers, and other versions were burned. He is called Jami' al-Qur'an, and the text is the Uthmanic text.
- Public works. The Prophet's Mosque was enlarged; a dam and flood banks protected Madina; wells, markets, guest houses and pasture land were provided; a port was built at Jeddah.
- Administration. He kept Umar's system, added officials for finance and an inspector of markets, held public hearings after Friday prayers, and raised allowances. He allowed Arabs to buy land in the conquered provinces, which Umar had restricted.
- Character. Generous, gentle and modest, and one of the richest Companions.
Difficulties and the revolt
Causes.
- His gentle nature: he did not always check his governors, who sometimes ignored him.
- Appointments of relatives from the Umayyad clan as governors (Mu'awiyah in Syria, Abdullah ibn Sa'd in Egypt, Abdullah ibn Amir in Basra and Walid ibn Uqbah in Kufa; Marwan ibn al-Hakam as secretary). Critics called this favouritism. (Umar had already appointed Mu'awiyah.)
- Anger over gifts and shares of state money to relatives.
- Complaints over the burning of other copies of the Qur'an.
- Rivalry between the Hashimite and Umayyad clans, tension between Arabs and non-Arabs, and agitators such as Abdullah ibn Saba'.
- Some also felt he was too old and was badly advised.
Uthman's defence was that his appointments were for the sake of loyalty and unity, that the Qur'an had to be protected from disputes, and that he had acted openly and with the Companions' agreement.
The revolt (656). Groups from Kufa, Basra and Egypt came to Madina, nominally for the pilgrimage. Ali mediated, and Uthman agreed to replace the governor of Egypt with Muhammad ibn Abi Bakr. On the way home the Egyptians were said to have caught a messenger carrying a letter with Uthman's seal ordering their punishment. Uthman denied knowing about it, but the rebels returned and besieged his house for about fifty days. Hasan and Husayn (sent by Ali) and Abdullah ibn al-Zubayr guarded the door, but he forbade fighting so that no Muslim blood would be shed. He was killed on a Friday in Dhu'l-Hijjah 35 AH while reading the Qur'an, and his wife Na'ilah was wounded trying to protect him. This began the first civil war (fitnah).
Ali ibn Abi Talib (656–661)
Election and first policies
After Uthman's murder, Ali at first refused the office. Talha, Zubayr, the Ansar and the people of Madina urged him until he accepted, and there was a general pledge in the Prophet's Mosque on 25 Dhu'l-Hijjah 35 AH. He tried to restore order: he dismissed the governors Uthman had appointed (despite advice to wait) and moved the capital to Kufa. Mu'awiyah refused to step down and demanded that Uthman's killers be punished first. Ali answered that he would deal with them once order was restored.
The Battle of the Camel (656)
Aishah, Talha and Zubayr demanded justice for Uthman's murderers and raised a force at Basra. Ali (with Hasan raising troops at Kufa) tried to negotiate, and peace was close, but extremists on both sides attacked at night and the battle began. Aishah's camel was the centre of the fighting. Talha and Zubayr were killed, and Ali's army won. He treated Aishah with honour and sent her safely to Madina, escorted by her brother Muhammad ibn Abi Bakr. She withdrew from politics. This was the first battle between Muslims.
The Battle of Siffin (657) and the arbitration
- Mu'awiyah (who showed Uthman's bloodstained shirt and Na'ilah's severed fingers) raised a large army. The two armies met at Siffin, on the Euphrates, for months of skirmishes and then a major battle in Safar 37 AH (657).
- When Mu'awiyah's side was losing, on the advice of Amr ibn al-As his soldiers raised copies of the Qur'an on their spears and asked that the Qur'an decide. Ali's soldiers insisted on a halt.
- Arbitrators were chosen: Abu Musa al-Ash'ari (for Ali) and Amr ibn al-As (for Mu'awiyah). They met at Dumat al-Jandal. Abu Musa announced that both rivals should be set aside, but Amr then confirmed Mu'awiyah. Many saw this as a trick, and Ali's authority was weakened.
The Kharijites and Nahrawan (658)
Some of Ali's army, about 3,000 to 4,000, said that arbitration was wrong because "judgement belongs to God alone". They left (khawarij, "those who go out") and gathered at Nahrawan. Ali first appealed to them and many returned. He then fought and defeated the hard core at Nahrawan (658), but his army was tired and refused to march on Syria. Mu'awiyah captured Egypt, and the empire was divided between the two rivals.
Death (661)
Three Kharijites planned to kill Ali, Mu'awiyah and Amr ibn al-As. Abd ar-Rahman ibn Muljam struck Ali with a poisoned sword in the mosque at Kufa during prayer in Ramadan, and Ali died two days later (661, aged about 63). His son Hasan made peace with Mu'awiyah and the Umayyad dynasty began.
Ali's administration and character
Ali kept Umar's system, watched the treasury closely, checked the markets, built cantonments and treated non-Muslims with care. He was known for his knowledge of the Qur'an and law, bravery, justice, simplicity and honesty. Shi'a Muslims regard him as the first Imam.
Leadership: what the four had in common
- Consultation (shura) and choice by the community or nomination after consultation. Caliphate was not inherited.
- Justice and equality under law; the Caliph was accountable to the people.
- Simple living and no royal court.
- Rule according to the Qur'an and Sunnah; when these were silent they asked leading Companions.
- Expansion and defence, with the protection of non-Muslim subjects (dhimmis), who kept their religion, courts and property.
- Care for the poor and widows through the treasury.
Examples to use in an answer
| Principle | Example |
|---|---|
| Accountable to the people | Abu Bakr's first speech ("correct me if I am wrong"). An old woman asked Umar how he had made a shirt from his share of cloth, and he explained that his son had given his own share. A woman corrected Umar when he wanted to limit dowries, citing the Qur'an (4:20), and he thanked God that there were people who would correct him |
| Accessible | Umar forbade governors to keep doorkeepers. Uthman heard complaints after Friday prayers. Ali walked the streets of Kufa |
| Treasury as a trust | Umar took only a summer and a winter garment and an ordinary income. Abu Bakr asked for his allowance to be repaid from his property at his death. Uthman took nothing |
| Independent judges | Umar rebuked a judge who stood up when he appeared in court. Ali took a Jew to court over a stolen armour, and the judge refused his son's evidence |
| Equality before the law | Umar made the Ghassanid chief Jabalah accept the consequences of striking a pilgrim at the Ka'bah rather than be treated as a king |
| Gentle but firm | Abu Bakr and zakat; Umar and the governors; Uthman refused to fight Muslims; Ali spared the Kharijites until they attacked |
Difficulties they met
| Caliph | Main difficulty |
|---|---|
| Abu Bakr | Revolts of tribes and false prophets; a short time |
| Umar | Managing a rapidly growing empire; plague and famine; the problem of paying armies |
| Uthman | Criticism of favouritism, discontent in the provinces, and murder |
| Ali | Civil war, rebels, and the Kharijites; the failure of the arbitration, which weakened his position |
Importance as models today
- A model of just, accountable government, consultation and humility in office.
- Their policies (treasuries, welfare, courts, the calendar) show how Islamic principles can build a state.
- Relations with other states: treaties (for example with the people of Jerusalem), protection of non-Muslims, and the rules of conduct in war (not to harm civilians, crops or places of worship), which Muslim communities use as an example for fair dealings with other states.
- Their difficulties are lessons about unity, and the dangers of favouritism and division.
Model answers for the (b) [4] questions
- How did Abu Bakr live up to the title "as-Siddiq"? He upheld the truth of the Prophet's message: he fought the false prophets, insisted on zakat and had the Qur'an collected.
- How does Umar's conduct at Jerusalem set an example? He came simply, with one servant and one camel, guaranteed life, property and churches, refused to turn a church into a mosque, and showed respect for all faiths.
- What can be learned from Umar's murder? A leader must do what is right despite danger, refuse unjust demands and trust God as the giver and taker of life.
- How justified was the criticism of Uthman for burning the copies of the Qur'an? Not justified: he protected the text from errors and disputes and kept the community together.
- Why did Uthman face difficulties? Favouritism towards relatives, leniency with governors, discontent in the provinces and the forged-letter affair.
- What was the most serious consequence of the arbitration? It weakened Ali, led to the Kharijites and left Mu'awiyah stronger and ruling Egypt as well as Syria.
Outline. Achievements: conquests (Yarmuk, Qadisiyyah, Jerusalem, Egypt); provincial government, the diwan and Bayt al-Mal, qadis, Hijri calendar, garrison cities, welfare. Leadership: just, humble, strict with governors, consulted others, equality before law. Limits: the rapid growth strained the state, and his death was followed by problems under Uthman. Judgement: an excellent model of just and accountable leadership.