Shi'i Collection

THEFORMATIONOFTHECLASSICALISLAMICWORLD
General Editor: Lawrence I. Conrad
Volume33
Shi'ism
THE FORMATION OF THE CLASS I CAL ISLAMIC WORLD

1 Byzantium before the Rise of Islam Averil Cameron
2 The Sasanian East before the Rise of Islam Shaul Shaked
3 The Arabs and Arabia on the Eve of Islam Frank E. Peters
4 The Life of Mul}ammad Uri Rubin
5 The Expansion of the Early Islamic State Fred M. Donner
6 The Articulation of Islamic State Structures Fred M. Do.nner
7 Problems of Political Cohesion in Early Islam R. Stephen Humphreys
8 Arab-Byzantine Relations in Early Islamic Times Michael Bonner
9 The Turks in the Early Islamic World C.E. Bosworth
10 Patterns of Everyday Life David Waines
11 Production and the Exploitation of Resources Michael G. Morony
12 Manufacturing and Labour Michael G. Morony
13 Trade and Exchange in Early Islam A.L. Udovitch
14 Property and Consumption in Early Islamic Society Baber Johan8en
15 Cities in the Early Islamic World Hugh Kennedy
16 Nomads and the Desert in the Early Islamic World Hugh Kennedy
17 Society and the Individual in Early Islam to be announced
18 Muslims and Others in Early Islamic Society Robert E. Hoyland
19 The Christian Communities in the Early Islamic World Sidney H. Griffith
20 The Jewish Communities of the Early Islamic World David Wauerstein
21 Archaeology and Early Islam Donald Whitcomb
22 Early Islamic Numismatics and Monetary History Michael B ate8
23 Early Islamic Art and Architecture Jonathan Bloom
24 The Qur'an: Style and Contents Andrew Rippin
25 The Qur'an: Formative Interpretation Andrew Rippin
26 The Development of Islamic Ritual G.R. Hawting
27 The Formation of Islamic Law Wael B. Hallaq
28 /fadrth: Origins and Development Harald M otzki
29 Early Islamic Historiographical Traditions Lawrence I. Conrad
30 Early Islamic Theology Jo11ej van Eu
31 Eschatology and Apocalyptic in Early Islam Wilferd M adelung
32 Early Islamic Visions of Community Wad ad al- Qiipf
33 Shr'ism: Origins and Early Development Etan K ohlberg
34 Kharijite Movements in Early Islam Ridwan al-Saiid
35 The Emergence of Islamic Mysticism Bernd Radtke
36 The Islamic Philological Tradition Ramzi Baalbaki
37 Early Arabic Poetry and Poetics Suzanne Stetkevych
38 Early Arabic Prose Literature Fedwa Malti-Douglas
39 The Rise of Islamic Philosophy Everett Rowson
40 The Rise of Arab-Islamic Medicine Lawrence I. Conrad
41 The Exact Sciences in Early Islam Jamil Ragep
42 Magic and Divination in Early Islam Emilie Savage-Smith
43 Learning in the Early Islamic World Glaude Gilliot
44 The Early Islamic Manuscript Tradition Jan Just Witkam
45 Early Islamic North Africa Elizabeth Savage
46 The Formation of al-Andalus I Manuela Marin
47 The Formation of al-Andalus II M. FierrojJ. Samso
48 The Modern Study of Early Islam Lawrence [. Conrad
THEFORMATIONOFTHECLASSICALISLAM ICWORLD
Volume33
Shi'ism
edited by
EtanKohlberg
LONDON AND NEW YORK

First published 2003 by Ashgate Publishing
Published 2016 by Routledge

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US Library of Congress CIP Data

Shi'ism I edited by Etan Kohl berg
p. em.- (The Formation of the Classical Islamic World: Vol33)
Includes bibliographical references and index.
1. Sha 0 'h. I. Kohlberg, Etan. II. Series.
BP193.5 .S516 2002
297.8'2-dc21 2001055339
ISBN 9780860787105 (hbk)
THE FORMATION OF THE CLASSICAL ISLAMIC WORLD- 33

CONTENTS
Acknowledgements ix
General Editor's Preface xiii
Introduction XV
Imam'iya
1. How Did the Early Shi'a Become Sectarian?

Marshall G.S. Hodgson 3
2. Only the Man of God is Human: Theology and Mystical

Anthropology According to Early ImamT Exegesis (Aspects of
Twelver Imamology IV)
Mohammad Ali Amir-Moezzi 17
3. The Death of al- ~ usayn b. 'Ali and Early ShT'I Views of the
Imamate
Douglas Karim Crow 41
4. The Hashimiyyat of al-Kumayt and Hashim! Shi'ism

Wilferd M adelung 87
5. The Crisis of the Imamate and the Institution of Occultation

in Twelver Shi'ism: a Sociohistorical Perspective
Said Amir Arjomand 109
6. The Four Sufara' of the Twelfth Imam: On the Formative

Period of the Twelver Shi'a
Verena Klemm 135
7. Some Remarks on the Imam! Firaq Literature

Wilferd Madelung 153
vi ---------------- CONTENTS
Ghulat
8. The Development of the Term Ghuliit in Muslim Literature

with Special Reference to the Kaysaniyya
W adiid al- Qiif},f 169
9. Bay an b. Sam 'an and the Bayaniyya: Sht<ite Extremists of

U mayyad Iraq
William F. Tucker 195
ZaydTya
10. The Kamiliya: On the Genesis of a Heresiographical Tradition

Josef van Ess 209
11. The Early History of Zaydi Shi'ism in Daylaman and Gilan

M.S. Khan 221
lsma'Tliya
12. The Earliest Isma'Ilis

Farhad Daftary 235
13. lsma'Ilis and Qarmatians

S.M. Stern 267
14. Methods and Forms of the Earliest Isma'Ili Da'wa

Heinz Halm 277
'Abbasids
15. On the Meaning of the 'Abbasid Call to al-Rifjii

Patricia Crone 291
16. The 'Abbasid Dawla: an Essay on the Concept of Revolution

in Early Islam
Jacob Lassner 309
--------- --------- --- CONTENTS --------- -------- vii
17. The Religious Policy of the 'Abbasid Caliph al-Ma'miin

Dominique Sourdel 333
General Index 355

9
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ACKNOWLEDGEMENTS
The chapters in this volume are taken from the sources listed below. The
editor and publishers wish to thank the authors, original publishers or other
copyright holders for permission to use their material as follows:
CHAPTER 1: Marshall G.S. Hodgson, "How Did the Early Shi'a Become Sectar-
ian?", Journal of the American Oriental Society 75 (New Haven, 1955), pp. 1-13.
CHAPTER 2: Translation of: Mohammad Ali Amir-Moezzi, "Seull'homme de Dieu

est humain. Theologie et anthropologie mystique a travers l'exegese imamite an-
cienne (Aspects de l'imamologie duodecimaine IV)", Arabica 45 (Paris, 1998), pp.
193-214. Copyright © 1998 BRILL. Translation by David Bachrach; Copyright ©
2002 Ashgate Publishing Ltd.
CHAPTER 3: Douglas Karim Crow, "The Death of al-l:lusayn b. 'Ali and Early Sh1'1
Views of the Imamate", Al-seriit 12 (London, 1986), pp. 71-116.
CHAPTER 4: Wilferd Madelung, "The Hiishimiyyiit of al-Kumayt and Hashim!

Shi'ism", Studia Islamica 70 (Paris, 1989), pp. 5-26. © 1989 Wilferd Madelung.
(Repr. in Religious and Ethnic Movements in Medieval Islam, Copyright © 1992
Variorum/ Ashgate Publishing Ltd).
CHAPTER 5: Said Amir Arjomand, "The Crisis of the Imamate and the Institution
of Occultation in Twelver Shi'ism: a Sociohistorical Perspective", International
Journal of Middle East Studies 28 (Cambridge, 1996), pp. 491-515. With kind
permission of Cambridge University Press.
CHAPTER 6: Translation of: Verena Klemm, "Die vier Sufarii' des Zwolften Imam.
Zur formativen Periode der ZwolferSI'a", Die Welt des Orients 15 (Gottingen, 1984),
pp. 126-43. Copyright© 1984 Verena Klemm. Translation by Gwendolyn Gold-
bloom; Copyright© 2002 Ashgate Publishing Ltd.
CHAPTER 7: Translation of: Wilferd Madelung, "Bemerkungen zur imamitischen

Firaq-Literatur", Der Islam 43 (Berlin, 1967), pp. 37-52. © 1967 Wilferd Madelung.
Translation by Gwendolyn Goldbloom; Copyright © 2002 Ashgate Publishing Ltd.
CHAPTER 8: Wadad al-Qa<fl, "The Development of the Term Ghuliit in Muslim

Literature with Special Reference to the Kaysaniyya", in Albert Dietrich, ed., Ak-
ten des VII. Kongresses fiir Arabistik und Islamwissenschaft (Abhandlungen der
Akademie der Wissenschaften in Gottingen, Philologisch-historische Klasse, Dritte
Folge, Nr. 98, Gottingen: Vandenhoeck & Ruprecht, 1976), pp. 295-319. Copyright
© 1976 Wadad al-Qa<fl.
X -----------ACKNOWL EDGEMENTS
CHAPTER 9: William F. Tucker, "Bayan b. Sam'an and the Bayaniyya: Shi'ite

Extremists of Umayyad Iraq", Muslim World 65 (Hartford, 1975), pp. 241-53.
CHAPTER 10: Translation of: Josef van Ess, "Die Kamillya. Zur Genese einer
haresiographischen Tradition", Die Welt des !slams 28 (Leiden, 1988), pp. 141-
53. Copyright© 1988 BRILL. Translation by Gwendolyn Goldbloom; copyright©
2002 Ashgate Publishing Ltd.
CHAPTER 11: M.S. Khan, "The Early History of Zaydi Shi'ism in Daylaman and
Gllan", Zeitschrift der Deutschen Morgenliindischen Gesellschaft 125 (Stuttgart,
1975), pp. 301-14. Copyright© 1975 M.S. Khan.
CHAPTER 12: Farhad Daftary, ''The Earliest Isma'llls", Arabica 38 (Leiden, 1991),
pp. 214-45. Copyright @ 1998 BRILL.
CHAPTER 13: S.M. Stern, "Isma'llis and Qarmatians", in S.M. Stern, Studies in
Early lsmii'zlism (Leiden, 1983), pp. 289-98. Copyright© 1983 BRILL.
CHAPTER 14: Translation of: Heinz Halm, "Methoden und Formen der friihesten
ismailitischen Da'wa", in Hans Robert Roemer and Albrecht Noth, eds., Studien
zur Geschichte und Kultur des Vorderen Orients. Festschrift fur Bertold Spuler
zum siebzigsten Geburtstag (Leiden, 1981), pp. 123-36. Copyright© 1981 BRILL.
Translation by Gwendolyn Goldbloom; Copyright© 2002 Ashgate Publishing Ltd.
CHAPTER 15: Patricia Crone, "On the Meaning of the 'Abbasid Call to al-Rir;lii",
in C.E. Bosworth, Charles Issawi, Roger Savory, and A.L. Udovitch, eds., The
Islamic World from Classical to Modern Times: Essays in Honor of Bernard Lewis
(Princeton, 1989), pp. 95-111. Repr. by permission of the Darwin Press.
CHAPTER 16: Jacob Lassner, "The 'Abbasid Dawla: an Essay on the Concept of
Revolution in Early Islam", in F.M. Clover and R.S. Humphreys, eds., Tradition
and Innovation in Late Antiquity (Madison, 1989), pp. 247-70. Copyright© 1989.
Reprinted by permission of the University of Wisconsin Press.
CHAPTER 17: Translation of: Dominique Sourdel, "La politique religieuse du calife
'abbaside al-Ma'mun", Revue des etudes islamiques 30 (Paris, 1962), pp. 27-48.
Translation by David Backrach; Copyright© 2002 Ashgate Publishing Ltd.
Every effort has been made to trace all the copyright holders, but if any
have been inadvertently overlooked the publishers will be pleased to make
the necessary arrangement at the first opportunity.
PUBLISHER'S NOTE
The pagination of articles originally published in English has been main-
tained for this volume. In articles translated into English, the original pagi-
nation has been indicated in the text in bold-face type.
9
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Taylor & Francis
Taylor & Francis Group
http://taylora ndfra nc; s.com
GENERAL EDITOR'S PREFACE
Since the days of lgnaz Goldziher (1850-1921), generally regarded as the

founder of Islamic studies as a field of modern scholarship, the formative
period in Islamic history has remained a prominent theme for research. In
Goldziher's time it was possible for scholars to work with the whole of the
field and practically all of its available sources, but more recently the in-
creasing sophistication of scholarly methodologies, a broad diversification
in research interests, and a phenomenal burgeoning of the catalogued and
published source material available for study have combined to generate an
increasing "compartmentalisation" of research into very specific areas, each
with its own interests, priorities, agendas, methodologies, and controversies.
While this has undoubtedly led to a deepening and broadening of our un-
derstanding in all of these areas, and hence is to be welcomed, it has also
tended to isolate scholarship in one subject from research in other areas, and
even more so from colleagues outside of Arab-Islamic studies, not to mention
students and others seeking to familiarise themselves with a particular topic
for the first time.
The Formation of the Classical Islamic World is a reference series that
seeks to address this problem by making available a critical selection of the
published research that has served to stimulate and define the way modern
scholarship has come to understand the formative period of Islamic history,
for these purposes taken to mean approximately AD 600-950. Each of the
volumes in the series is edited by an expert on its subject, who has chosen a
number of studies that taken together serve as a cogent introduction to the
state of current knowledge on the topic, the issues and problems particular
to it, and the range of scholarly opinion informing it. Articles originally pub-
lished in languages other than English have been translated, and editors have
provided critical introductions and select bibliographies for further reading.
A variety of criteria, varying by topic and in accordance with the judge-
ments of the editors, have determined the contents of these volumes. In some
cases an article has been included because it represents the best of current
scholarship, the "cutting edge" work from which future research seems most
likely to profit. Other articles-certainly no less valuable contributions-
have been taken up for the skillful way in which they synthesise the state of
scholarly knowledge. Yet others are older studies that-if in some ways now
superseded-nevertheless merit attention for their illustration of thinking
or conclusions that have long been important, or for the decisive stimulus
xiv - - - - - GENERAL EDITOR'S PREFACE - - - - - - -
they have provided to scholarly discussion. Some volumes cover themes

that have emerged fairly recently, and here it has been necessary to include
articles from outside the period covered by the series, as illustrations of
paradigms and methodologies t~at may prove useful as research develops.
Chapters from single author monographs have been considered only in very
exceptional cases, and a certain emphasis has been encouraged on important
studies that are less readily available than others.
In the present state of the field of early Arab-Islamic studies, in which
it is routine for heated controversy to rage over what scholars a generation
ago would have regarded as matters of simple fact, it is clearly essential for
a series such as this to convey some sense of the richness and variety of the
approaches and perspectives represented in the available literature. An ef-
fort has thus been made to gain broad international participation in editorial
capacities, and to secure the collaboration of colleagues representing differ-
ing points of view. Throughout the series, however, the range of possible
options for inclusion has been very large, and it is of course impossible to
accommodate all of the outstanding research that has served to advance a
particular subject. A representative selection of such work does, however,
appear in the bibliography compiled by the editor of each volume at the end
of the introduction.
The interests and priorities of the editors, and indeed, of the General Ed-
itor, will doubtless be evident throughout. Hopefully, however, the various
volumes will be found to achieve well-rounded and representative synthe-
ses useful not as the definitive word on their subjects-if, in fact, one can
speak of such a thing in the present state of research-but as introductions
comprising well-considered points of departure for more detailed inquiry.
A series pursued on this scale is only feasible with the good will and
cooperation of colleagues in many areas of expertise. The General Editor
would like to express his gratitude to the volume edit~rs for the investment of
their time and talents in an age when work of this kind is grossly undervalued,
to the translators who have taken such care with the articles entrusted to
them, and to Dr John Smedley and his staff at Ashgate for their support,
assistance and guidance throughout.
Lawrence I. Conrad
INTRODUCTION
Early Shi'ism in History and Research
Etan Kohlberg
Sh'i'ism in Early Islamic History

From the beginning of Islamic history, various movements have claimed to
represent the true spirit of original Islam. While Sunnl Islam eventually
became predominant, competing groups never ceased to vie for the hearts
and minds of the believers. By far the most significant are those collec-
tively referred to as Shl'a. This name is short for shf'at 'Alf, "'Ali's fac-
tion", which was first used during the caliphate of 'All ibn Abl 'faJib to
distinguish his supporters from the partisans of the murdered third caliph,
who were known as shf'at 'Uthmiin. 1 Yet "Shl'a" came to be used in a
broader sense to refer to those who hold that legitimate authority rests with
a member of the Prophet's family (ah'l al-bayt). Beyond this general prin-
ciple, Shl'ism has produced a bewildering array of groups and subgroups.
Some had a major influence on the course of Islamic history while others
played a relatively minor role; some boasted a large following while others
enjoyed the support of only few adherents; only some survived the vicissi-
tudes of time. The great majority of these groups came into being during
the formative period of Islamic history and thus clearly belong within this
series.
The course of Shl'ism was largely determined by a number of key events
during the first Islamic century. The most crucial issue concerned the succes-
sion to the Prophet. Sunnis believe that Mu~ammad did not appoint an heir;
virtually all Shl'Is, in contrast, maintain that he wished to be succeeded by
his cousin and son-in-law 'Ali ibn AbiTalib. Yet after Mu~ammad's death, it
was his father-in-law Abu Bakr who was chosen as the first caliph. Abu Bakr
(r. 11-13/632-34) was followed by 'Umar ibn al-KhaHab (r. 13-23/634-44)
and 'Uthman ibn 'Affan (r. 23-35/644-56), and only after 'Uthman's assas-
sination did 'Ali attain power. 'Ali's brief reign was marred by internecine
strife, and after his murder in 40/661 power devolved on Mu'awiya as the
first caliph of the Umayyad dynasty. Some six months after Mu'awiya's
death (Rajah 60/ April-May 680), 'Ali's younger son al-J:Iusayn set out from
1
W. Madelung, "Slu--{ a", EI 2 , IX, 420.
xvi --------------INTR ODUCTION------ -------------
Medina to Iraq at the head of a band of supporters with the aim of chal-
lenging Umayyad rule. An Umayyad army met them at Karbala' (about 100
kilometers southwest of Baghdad), and in the ensuing battle al-J:Iusayn and
over twenty members of his family met their death. This massacre became
a focal point for the martyrdom motif: al-ijusayn was seen as having de-
liberately chosen death in order to defend the religion of God. Al-ijusayn's
surviving son 'All (known as Zayn al-'Abidln) withdrew to Medina and, to-
gether with his followers, initiated the period of passivity ( qu 'tid-literally
"sitting"). The view advocated by this group was that it was best to let God
determine the moment for the realization of their goals. Following upon this
renouncement of any immediate claim to political power, they began to de-
velop more vigorously the religious aspect of their message. In this way they
laid the foundations for the development of the lmamlya as a distinct Shl'l
movement. 2 .
Two pivotal figures in this development are Zayn al-'Abidln's son Mu-
~ammad al-Baqir (d. ca. 115/733) and al-Baqir's son Ja'far al-$adiq (d.
148/765), subsequently regarded by the lmamlya as the fifth and sixth Imam
respectively. At the centre of Imam! doctrine as it developed under their
leadership stands the principle of devotion ( waliiya) to an Imam (leader)
who is a descendant of 'All and his wife Fatima (the Prophet's daughter).
Adherence to this principle is considered a foundation of faith. 'All him-
self was appointed by the Prophet by a clear and unambiguous designation
(na~~), which thus possessed divine sanction. The identity of all other Imams
was also divinely preordained. Beginning with al-ijusayn ibn 'All, the right
to rule passes by succession from father to son. By the early fourth/tenth
century, the number of Imams was finally fixed at twelve-hence the name
"Twelvers" by which the Imamls became known. According to Imam! be-
lief, after the death in 260/874 of the eleventh Imam, al-ijasan al-'Askarl,
his son went into occultation (ghayba). This ghayba is divided into two pe-
riods: a Lesser Occultation, lasting from 260/874 to 329/941, during which
the Imam was represented by four successive agents ( sufarii ', sing. safir);
and a Greater Occultation, which will last until the Imam's return ( raj'a)
as the Mahdl (rightly guided, messianic leader).
The Imams' special position is based not only on their membership of
the Prophet's family, but also derives from their unique characteristics: they
2
The term "lmarnrya" is only attested in the mid-third/ninth century. See E. Kohlberg,
"From lrnamiyya to Ithna-'ashariyya", Bulletin of the School of Oriental and African
Studies 39 (1976), 521-34, at 521 n. 2; repr. in his Belief and Law in /mamf Shi'ism
(Aldershot, 1991 ).
INTRODUCTION - - - - - - - xvii
possess virtually unlimited knowledge, part of which they inherited from

their forefathers, and the rest of which they acquired through reading se-
cret writings and through dreams, in which the words of the angels were
transmitted to them. Because of their role as guides of the faithful, the
Imams are immune from error and sin, that is, they possess 'i§ma. The
only difference between them and Mu~ammad is that they are not prophets.
This means that they were not the recipients of a direct revelation ( wa~y);
for in contrast to a prophet they do not see angels in their dreams, but
merely hear them. The belief that Mul)ammad was the seal (i.e. the last)
of the prophets is common to Imamis and Sunnis; but in contrast to the
Sunnis, the Imamis in their law give the Imam a status identical to that
of the Prophet. In other words, while both Sunnis and Imamis regard the
Prophet's utterances and actions as the second source of Islamic law after
the Qur'an, the Imamis add to this source the utterances and actions of the
Imams. The Prophet and the Imams will have an important role to perform
on the Day of Judgment: they will intercede for their community with God,
and by virtue of their intercession even a believer who has sinned will enter
Paradise.
The obverse side of the ImamI loyalty to the Imams is their utter rejection
(bara'a) of their opponents. These opponents are identified above all with
those held responsible for preventing 'Ali's accession to power, but they
also include those who fought 'Ali during his years in power and those who
persecuted his adherents after his death. Furthermore, the overwhelming
majority of the Companions (§a~aba)-those among the first generation of
Islam who knew or met the Prophet-supported the first three caliphs or at
least did not oppose their election; the principle of rejection is thus extended
to include them too. The doctrine of bara'a has far-reaching implications.
From the religious point of view, it means that the Companions, whom the
Sunnis consider as representing the Golden Age of Islam, are condemned
by the Imamiya as sinners and even as unbelievers. The Sunnis attach
importance to the Companions above all as being the only entirely reliable
source of information about the sayings and deeds of the Prophet. The
ImamIs, in contrast, disqualify them as witnesses in this matter, not only
because of their sins, but also because of their deficient knowledge of the
law. Their place is taken by the Imams. By its very nature, the doctrine
of rejection raises the issue of the attitude to be adopted towards the Sunni
world. On the one hand, it is difficult to regard the Sunnis as unbelievers of
the same order as the Jews or the Christians; on the other hand, since the
Sunnis do not believe in the Imams, they cannot be regarded as believers.
XVlll INTRODUCTION - - - - - - - - - -
This problem is resolved by dividing mankind into three groups: believers,

Muslims and unbelievers. The believers are the Imamls, whereas the Muslims
are those who acknowledge God's unity and Mu~ammad's message, without
however adhering to the principle of devotion to an Imam. 3
In contrast to the lmamls, other Shl'ls were unwilling to give up the
armed struggle against the U mayyads. Such were the Tawwabiin ( "Peni-
tents"), a group of Kufans who bitterly regretted their failure to come to
al-ij:usayn's aid at Karbala'. 4 Almost all of them were killed in 65/685
fighting the U mayyads at 'Ayn al-Warda, near the Syrian border. Their
cause was taken up by al-Mukhtar ibn Abl 'Ubayd al-Thaqafi, who claimed
to be acting on behalf of Mu~ammad ibn al-ijanafiya, a son of 'All not
by Fatima but by a woman from the tribe of ij:anlfa. Al-Mukhtar, who
was in control of al-Kiifa for some two years, fell in 67/687- His sup-
porters were later called Kaysanlya. This title also refers more generally
to all sects which evolved out of al-Mukhtar's movement and traced the
imamate through Ibn al-ijanafiya. 5 Although the Kaysanlya as a move-
ment did not survive beyond the second/eighth century, some of their ideas
took root among other Shl'l groups. Thus they were the first to claim that
the Imam-in the Kaysanl case, Ibn al-J:Ianafiya-had not died but had
gone into occultation pending his return as the MahdL As we have seen,
this belief was subsequently adopted by the Imaml Shrls with respect to
the Twelfth Imam. 6 Some Kaysanls held beliefs which were condemned
by their opponents as "exaggeration" (or "extremism", ghuluww), for ex-
ample, the belief in the divinity of Ibn al-ij:anafiya. Such beliefs were
also found among other early Shl'l groups, known collectively as ghulat
(lit., "exaggerators"). Notions associated with the ghulat include-in addi-
3
E. Kohlberg, "The Evolution of the Slu""""a", The Jerusalem Quarterly 27 (1983), 109-
26, at llQ-17; repr. (with a different pagination) in his Belief and Law in !mama Sha'ism,
1-22, at 2-10.
4
G.R. Hawting, "Two Citations of the Qur'an in 'Historical' Sources for Early Islam",
in G.R. Hawting and Abdul-Kader A. Shareef, eds., Approaches to the Qur'an (London
and New York, 1993), 260-68, at 264-65.
5
Some heresiographers equated the Kaysaniya with the Saba'iya (or Saba 'iya), a group
named after 'Abd Allah ibn Saba'. See Josef van Ess, "Das Kitab al-irga' des l:lasan b.
Mu}:lamrnad b. al-J:Ianafiyya", Arabica 21 {1974), 20-52; 22 (1975), 48-51, at 31-35. For
the conflicting reports about the origin and beliefs of Ibn Saba' see Israel Friedlaender,
"'Abdallah b. Saba, der Begriinder der Sl'a, und sein jiidischer Ursprung", Zeitschrift fiir
Assyriologie 23 {1909), 296-327; 24 {1910), 1-46; Heinz Halm, Die islamische Gnosis. Die
extreme Schia und die 'Aiawiten (Zurich and Munich, 1982), 33-42.
For the Kaysanrya see Wadad al-Qa~I, ai-Kaysanfya /f I-ta 'rakh wa-1-adab (Beirut,
6
1974); Halm, Gnosis, 43-83; W. Madelung, "Kaysaniyya", EI 2 , IV, 836-38.

- - - - - - - - - - INTRODUCTION xix
tion to the deification of the Imams-metempsychosis ( taniisukh) and anti-

nomian ism.
There appear to have been links between the Kaysanlya and the Hashim-
lya, the movement which brought the 'Abbasids into power. According to
the claim made by the early 'Abbasids, before his death (ca. 98/716-17)
Ibn al-ljanaffya's son Abu Hashim named the head of the 'Abbasid family,
Mul)ammad ibn 'All, as his successor. 7 Under the second 'Abbasid caliph
al-Manl?lir (r. 136-58/754-75), the 'Abbasids based their right to rule on
a broad definition of ahl al-bayt, one that included the Prophet's uncle al-
'Abbas. They claimed that al-'Abbas had precedence over Fatima since
Arab custom grants the paternal uncles of a deceased man greater rights of
inheritance than the daughters. 8 The next step was undertaken under al-
Mahdl (r. 158-69/775-85): it was now maintained that al-'Abbas had been
the immediate successor of Mul)ammad. This idea, however, was short-lived,
though the notion that the 'Abbasids had inherited their rule by virtue of
al-'Abbas's kinship with the Prophet continued to be used for propaganda
purposes. By the time of Hartin al-Rashld (r. 170-93/786-809) the 'Abbasids
had moved in the direction of the proto-Sunnls and had finally distanced
themselves from the Shl'l milieu in which their movement had originated. 9
Among the early Shl'a, the activist line is associated in particular with
Zayd, a son of 'All Zayn al-'Abidln. Zayd led an abortive revolt in al-Kufa
against the Umayyad caliph Hisham ibn 'Abd al-Malik and fell in battle
(in the year 122/740). His son Yal)ya fled to Khurasan but was captured
by the Umayyads. He was released and later died in Marw fighting against
government troops (125/743). Zayd is the eponymous founder of the Zaydl
branch of Shl'ism, which had its beginnings in al-Kufa in the second half
of the second/eighth century. The Zaydls succeeded in establishing two
states, one in the Caspian provinces in northern Persia, and the other in the
Yemen. 10 Most of the Zaydlya, like the lmamlya, believe that the Imams
7
Moshe Sharon, Black Banners from the East: the Establishment of the 1Abbasid State-
Incubation of a Revolt (Jerusalem and Leiden, 1983), 111-40; G.R. Hawting, The First
Dynasty of Islam: the Umayyad Caliphate AD 661-150 (London, 1986; 2nd ed., London,
2000), 109-11.
8
Sharon, Black Banners, 82-99; Muhammad Qasim Zaman, Religion and Politics under
the Early 'Abbiisids: the Emergence of the Proto-Sunnf Elite (Leiden, 1997), 44-45.
9
Qasim Zaman, Religion and Politics, 46-48, 56-59.
1
°Cornelius van Arendonk, De Opkomst van het Zaidietische lmamaat in Yemen (Lei-
den, 1919); trans. Jacques Ryckmans as Les debuts de l'imamat zaidite au Yemen (Lei-
den, 1960); Wilferd Madelung, Der Imam al-Qiisim ibn Ibrahim und die Glaubenslehre der
Zaiditen (Berlin, 1965).
XX INTRODUCTION - - - - - - - - -
must be descended from 'All and Fatima. Yet the Zaydls differ from the
Imamls on a number of major points. Thus the Zaydl Imam is not divinely
protected from sin and error. Moreover, where the Imamls were committed
to a single line of Imams from the descendants of al-ijusayn, the Zaydis
could choose any descendant of al-ijasan or al-ijusayn who was qualified by
religious learning. In contrast to the lmamis, the Zaydis regarded it as the
Imam's duty to fight for the faith. While agreeing with the Imamiya that 'Ali
had been designated by the Prophet as his successor, most Zaydls rejected
the ImamI thesis that the designation had been clear and unambiguous. As
a result, their attitude to the Companions was less hostile. 11
A number of years after Zayd's uprising, another anti-Umayyad revolt
broke out, led by 'Abd Allah ibn Mu'awiya, who was a descendant of 'Ali's
older brother Ja'far ibn Abl 'falib. His rebellion began in Mu~arram 127/Oc-
tober 744; some sources say he was acting as a representative of the ahl
al-bayt, while others maintain that he was working on his own behalf. 12 Fol-
lowing the failure of his uprising in al-Kufa he moved to Persia. Abu Muslim,
leader of the 'Abbasid military apparatus in Khurasan, saw in him a danger-
ous rival and had him put to death (in 129/746-47 or 130/747-48).1 3 Many
of Ibn Mu'awiya's followers, known as the Janal).lya, held extremist beliefs,
such as the incarnation ( ~uliiQ of God in their leader .14
The struggle against the established government continued among vari-
ous Shl'l groups after the coming to power of the 'Abbasids. In 145/762 a
massive revolt against al-Man~ur was organized in Medina by Mul}ammad
ibn 'Abd Allah al-Nafs al-Zaklya ("the Pure Soul"), a great-grandson of
'All's elder son al-Ijasan. 15 This revolt, as also the almost simultaneous
uprising in al-B~ra by al-Nafs al-Zaklya's brother Ibrahim, were crushed
by the 'Abbasids. Another abortive uprising against al-Man~ur was led in
al-Kufa in 138/755 by Abu 1-Khattab, a confidant of Ja'far al-~adiq and
the eponymous founder of the extremist Khattablya. 16 During the caliphate
11
Wilferd Madelung, Religious Trends in Early Islamic Iran (Albany, 1988), 86-87.
12
William Tucker, "'AbdAllah ibn Mu'awiya and the Janal).iyya: Rebels and Ideologues
of the Late Umayyad Period", Studia Islamica 51 {1980), 39-57, at 42.
13
/bid., 44-46.
14
/bid., 51-53.
15
See Tilman Nagel, "Ein friiher Bericht iiber den Aufstand von Mul).ammad b. 'Ab-
dallah im Jahre 145 h", Der Islam 46 {1970), 227-62; Jacob Lassner, The Shaping of
'Abbasid Rule (Princeton, 1980), 69-78; Josef van Ess, Theologie und Gesellschaft im 2.
und 3. Jahrhundert Hidschra. Eine Geschichte des religiosen Denkens im fruhen Islam
(Berlin and New York, 1991-97), II, 677-87.
16
Halm, Gnosis, 199-200. The KhaHabrya are counted among the ghulat since many
------------------INTRODUCTION xxi
of al-Hadi (r. 169-70/785-86) the I:Iasanid al-I:fusayn ibn 'Ali ibn al-I:Iasan
"Sa}:lib Fakhkh" rebelled in Medina (in 169/786) and died fighting govern-
ment troops. 17 Yet another insurrection was led by Abu 1-Saraya, who was
put to death in 200/815. 18
The early 'Abbasid period saw the beginnings of a major Shi'i movement,
the Isma'iliya. Its origins go back to the split in the Imami community over
the succession to the Imam J a 'far al-Sadiq. Whereas the Imamiya recognized
Musa al-Ka~im as the next Imam, this was disputed by two groups, later
regarded as the earliest Isma'ilis. According to one of these groups, known
as the "pure Isma'iliya" ( al-ismii'tlfya al-khiili§a), J a'far was succeeded by
his son lsma'il, who would eventually return as the Mahdi. This group
denied that Isma'il had predeceased his father and held that J a'far had
announced Isma'il's death merely as a ruse to protect him. A second group,
known as the Mubarakiya, maintained that in contrast lsma'il had died
during the lifetime of his father and that Ja'far's successor was Isma'il's son
Mu}:lammad. Virtually nothing is known about the subsequent history of
these groups until shortly after the middle of the third/ninth century, when
a unified Isma'ili movement emerged, paving the way for the establishment
of the Qarmati state in Ba}:lrayn and the Fatimid state in North Africa.
At the basis of the doctrine of the pre-Fatimid Isma'Ili movement of the
second half of the third/ninth century was the distinction between the exter-
nal, or exoteric (?iihir) and the inward, or esoteric ( bii!in) aspects of religion.
The early Isma'ilis held that the biitin contained the eternal, immutable
truths, which were made apparent through ta'wfl (esoteric interpretation).
The Isma'Ilis also developed a cyclical interpretation of the religious history
of mankind. This history progresses through seven eras, each inaugurated by
an enunciator ( nii#q) prophet who brings a revealed message. Each of the
first six niitiqs-Adam, Noah, Abraham, Moses, Jesus and Mu}:lammad-
was followed by a fundament (asas) or silent one (§amit), who reveals the
batin of the message, and by seven Imams. The seventh Imam in each era be-
comes the natiq of the following era. From the beginning of the fourth/tenth
century, this cosmology was superseded by a new cosmology of Neoplatonic
origin. 19
of their members deified Ja'far al-$adiq and regarded Abu 1-KhaHab as a prophet. See
Wilferd Madelung, "KhaHabiyya", EI 2 , IV, 1132-33.
17
1. Veccia Vaglieri, "al-l:lusayn b. 'Au, $a:tpb Fakhkh", E/ 2 , III, 615-17.
18
H.A.R. Gibb, "Abu '1-Saraya", EI 2 , I, 149-50; J. van Ess, Theologie und Gesellschaft,
III, 150-53.
19
W. Madelung, "lsma'iliyya", EI 2 , IV, 198-99, 203-204. For further details see Farhad
xxii INTRODUCTION
Trends of Research
The Muslim world which the Europeans came to know-as adversaries or

allies, conquerors or subjects-was chiefly that of Sunn1 Islam. Sunni in-
stitutions, customs and beliefs thus became at least partially known. In
contrast, Shl'1 Islam, which was largely concentrated in areas far removed
from Western penetration, remained for the most part a mystery. Western
discovery of the Shl'1 world has been a prolonged process, and one that is still
ongoing. As shown in what follows, research on each of the major branches
of Shl'ism took a different route and developed at a different pace.
The lmiimfya
Barring a few isolated references by Crusader writers to some Imamf beliefs,

Imam! Shl'ism remained largely unknown in the medieval and early modern
West. Things first began to change with the establishment of the Safavid
dynasty. This dynasty, which assumed power in 907/1501, adopted Imami
Shi'ism as the state religion and actively pursued a policy of Shl'itization
of the Persian population. In the wake of growing contacts with the West,
European travellers visited Persia, and wrote some valuable eyewitness ac-
counts. Thus Pere Raphael du Mans (1613-96), who for many years headed
the recently established Capuchin monastery in I~fahan, devotes a lengthy
section in his book Estat de la Perse en 1660 (State of Persia in 1660) to a
description of Imam! Shi'1 doctrines, legal practices and festivals. 20 Another
astute observer of the Iranian scene was the French Huguenot traveller Jean
(Sir John) Chardin, who was in Persia between 1666 and 1670 and again
between 1672 and 1677. 21
Beginning in the seventeenth century, scholars in European universities
developed an interest in 'Air ibn Abr Talib, not so much as the founder of
Shi'ism, but primarily as a leading literary and political figure of early Islam.
Jacobus Golius (1596-1667), a pioneer of Arabic studies in the Netherlands,
Daftary, The /sma'llfs: Their History and Doctrines (Cambridge, 1990), 91-143; idem, A
Short History of the Ismailis: Traditions of a Muslim Community (Edinburgh, 1998),
21-62.
20
Raphael du Mans, Estat de Ia Perse en 1660, ed. Ch. Schefer (Paris, 1890), 48-94.
21
Sir John Chardin's Travels in Persia, with an introduction by Percy Sykes (London,
1927), xiii-xiv.
- - - - - - - - - - INTRODUCTION - - - - - - - xxiii
included in his anthology some proverbs ascribed to 'Ali, 22 and sayings of

'Ali were later published by Simon Ockley (London, 1717), Cornelius van
Waenen (Oxford, 1806) and William Yule (Edinburgh, 1832). 23 The German
Arabist Johann Jakob Reiske (1716-74) saw in 'Ali a paragon of virtue and
compared him to the philosopher-king Marcus Aurelius (r. 161-80). 24
The nineteenth century saw an increase in studies on the origins of the
Imamiya, although these studies were for the most part based on non-Imam!
sources. A favourite thesis at the time was that lmami Shi'ism was of Per-
sian origin. Gobineau {1816-82), for example, portrayed it as utterly alien
to the spirit of original Islam. He singled out two elements in support of
his view: first, the veneration of the Imams; second, the assumption by the
Persian mullahs of the role of priests, with the attendant prerogative of in-
terpreting the Qur'an to the uninitiated. Gobineau maintained that these
mullahs were the direct descendants of the Zoroastrian mobeds and that the
entire corpus of lmami Shi'I tradition was a fabrication designed to buttress
their position. 25 In his view, Shl'ism was a new version of the Sassanid re-
ligion and a manifestation of Persian protest against the Arab occupation
of their land. 26 The Dutch scholar Reinhart Dozy (1820-83) also argued
that the Shi'Is were basically a Persian sect, and that the veneration of the
Imams was in line with the Persian idolization of their kings. 27 The fallacy
of these views was pointed out by Julius Wellhausen (1844-1918) and Ignaz
Goldziher (1850-1921). 28 Wellhausen, relying primarily on the traditions of
22
Jacobus Golius, Shadhrat al-adab min kaliim al- 'Arab wa-ba 't;l amthal 'All al-khalfja
wa-Lamiyat al- 'ajam Ii-I- Tughra'awa-khu!ba li-1-shaykh al-ra '"iS(= Proverbia quaedam Alis
imperatoris Muslemici et carmen Toghrai poetae docti nee non dissertatio quaedam Aben
Sinae] (Leiden, 1629).
23
Carl Brockelmann, Geschichte der arabischen Literatur, Supplement (Leiden, 1937-
42), I, 75.
24
Johann Fiick, Die arabischen Studien in Europa (Leipzig, 1955), 116. See further
E. Kohlberg, "Western Studies of Shi.""'a Islam", in Martin Kramer, ed., Shi'ism, Re-
sistance, and Revolution (Boulder, 1987), 31-44; repr. in his Belief and Law in !mama
Sha'ism.
25
Joseph Arthur cornte de Gobineau, Trois ans en Asie {1855-1858} {Paris, 1922), II,
36-40.
26
Idem, Les religions et les philosophies dans I'Asie Centrale, 3rd ed. (Paris, 1900), 59.
27
Reinhart Dozy, Essai sur l'histoire de l'Islamisme, trans. Victor Chauvin (Leiden and
Paris, 1879), 220-21. See also August Muller, Der Islam im Morgen- und Abendland
(Berlin, 1885-87), I, 327.
28
Julius Wellhausen, Die religios-politischen Oppositionsparteien im alten Islam (Berlin,
1901), 89-91; trans. R.C. Ostle and S.M. Walzer as The Religio-Political Factions in Early
Islam (Amsterdam, 1975), 149-51; lgnaz Goldziher, Vorlesungen uber den Islam (Heidel-
berg, 1910), 241-42; trans. Andras and Ruth Hamori as Introduction to Islamic Theology
XXIV INTRODUCTION
Abu Mikhnaf preserved in the History of al-Tabar!, was the first to write
29
a detailed account of early Shcism until the end of the Umayyad period.
Goldziher, in turn, devoted most of the fifth chapter of his Vorlesungen to
a clear and concise presentation of Shi'I beliefs. 30 Among other matters,
Goldziher pointed out that Imami Shcism came to adopt many of the the-
ological positions of the Mu'tazila. 31 He also rectified fallacies about the
Imamiya which were current in his day. One was that unlike the Sunnis,
who recognize both the Qur'an and the Prophetic Sunna as a source of be-
lief and law, the Imami Shl'Is confine themselves to the Qur'an and reject
the Sunna; 32 another is that Imami Shi'ism represents a reaction in favour
of intellectual freedom, in contrast to the narrow and rigid orthodoxy of
Sunnism. 33
From the latter half of the twentieth century, and particularly following
the Islamic revolution in Iran in 1979, there has been a dramatic increase in
studies devoted to lmami Shi'ism, including the earliest phases of its history.
These studies have benefited greatly from the growing availability of lmami
texts, published mostly in Iran and Lebanon. Some authors have dealt with
and Law (Princeton, 1981), 211-12. Goldziher did, however attribute to Iranian influence
what he terms "the inhuman idea" of the physical-and not merely moral-impurity of
non-believers. See his "lslamisme et parsisme", Actes du premier congres international
d'histoire des religions, I (Paris, 1900), 119-47, at 143; repr. in his Gesammelte Schriften,
ed. Joseph de Somogyi (Hildesheim, 1967-73), IV, 232-60; also his Vorlesungen, 245; =
Introduction, 215-16. For a recent study of the similarities between Zoroastrianism and
Shi"""i ideas on spiritual authority see Philip G. Kreyenbroek, "On the Concept of Spir-
itual Authority in Zoroastrianism", Jerusalem Studies in Arabic and Islam 17 (1994),
1-15.
29
This account forms the second part of his Die religios-politischen Oppositionsparteien
im alten Islam.
30
Goldziher, Vorlesungen, 208-58; = Introduction, 174-229. Most of the chapter deals
with lmami Shi"""ism, although the Zayruya and Isma'lliya are also briefly discussed. Goldz-
iher's first major contribution to Sln--{i studies was his "Beitrage zur Literaturgeschichte
der Si'a und der sunnitischen Polemik", Sitzungsberichte der kaiserlichen Akademie der
Wissenschaften 78 (1874), 439-524; repr. in his Gesammelte Schriften, I, 261-346. This
article deals mostly with later periods.
Goldziher, Vorlesungen, 233-36; = Introduction, 202-204. More recent studies on this
31
subject include Wilferd Madelung, "lmamism and Mu'tazilite Theology", in T. Fahd, ed.,
Le shf'isme imiimite: colloque de Strasbourg (Paris, 1970), 13-29; repr. in his Religious
Schools and Sects in Medieval Islam (London, 1985); idem, "The Shiite and Kharijite
Contribution to Pre-Ash'arite Kaliim", in Parviz Morewedge, ed., Islamic Philosophical
Theology (Albany, 1979), 120-39; repr. in his Religious Schools and Sects in Medieval
Islam.
32
Goldziher, Vorlesungen, 240-41; =Introduction, 210-11.
Goldziher, Vorlesungen, 242-45; = Introduction, 212-15.
33
INTRODUCTION - - - - - - - XXV
early lmami history and doctrine within a broader framework. Studies in

this category include important works by Corbin (1903-78), 34 Momen, 35
Halm, 36 Richard 37 and, most recently, van Ess, who devotes considerable
space in his monumental Theologie und Gesellschaft to a description and
analysis of the major figures and tenets of early Shl'ism. 38 Others have
concentrated specifically on the early period. One of the first books of this
kind is The Origins and Early Development of Shi'a Islam by the Indian-
born scholar Syed Husain M. Jafri. 39 His account, which takes the story up
to the period of Ja'far al-$adiq, is based primarily on Ibn Sa'd {d. 230/845),
al-Baladhuri (d. 279/892-93) and al-'fabari (d. 310/923), all of whom were
Sunni authors.
A central concern of scholars dealing with the formative period of Imami
Shl'ism has been the nature of early Shl'ism and the growth of Imami Shl'I
thought. Here the studies of Hodgson {Chapter 1), Madelung {Chapter
4) and Amir-Moezzi (Chapter 2) are of particular significance. Hodgson's
much-quoted article is one of the first attempts to reconstruct the growth of
religious and sectarian dimensions in the early Shl'a. 40 According to Hodg-
son, Shl'ism began as a minority movement giving precedence to 'Ali and his
family, without espousing any particular religious doctrines. Two elements
joined to turn this movement into a sect which eventually became known as
"Imamiya". The first, introduced in the late first/seventh century, was what
Hodgson calls "primitive Shiite speculation" of the type later known as ghu-
34
Henry Corbin, Histoire de Ia philosophie islamique I: des origines jusqu 'a Ia mort
d'Averroes {1198}, avec la collaboration de Seyyed Hossein Nasr et Osman Yahya (Paris,
1964), 41-109; trans. Liadain Sherrard as History of Islamic Philosophy (London, 1993),
23-74; idem, En Islam iranien: aspects spirituels et philosophiques (Paris, 1971-72), I.
Corbin was interested mainly in later texts and focused primarily on the esoteric aspects
of Imami Slu--&ism.
35
Moojan Momen, An Introduction to Shi'i Islam (New Haven, 1985), 1-85. Mo-
men's study largely supplants Dwight M. Donaldson's older-though still useful-book
The Shi'ite Religion {London, 1933).
36
Heinz Halm, Die Schia (Darmstadt, 1988), 1-56; trans. Janet Watson as Shiism {Edin-
burgh, 1991), 1-46; idem, Der schiitische Islam. Von der Religion zur Revolution (Munich,
1994), 15-50; trans. Allison Brown as Shi'a Islam: From Religion to Revolution (Princeton,
1997), 3-37.
37
Yann Richard, L 'islam chi 'ite: croyances et ideologies (Paris, 1991 ), 29-68; trans.
Antonia Nevill as Shi'ite Islam: Polity, Ideology, and Creed (Oxford, 1995), 15-48.
38
Van Ess, Theologie und Gesellschaft, I, 233-403; II, 423-29, 485-87, 663-64, 716-18;
III, 9-19, 28-30, 93-98, 150-58, 196-97 and index, s.v. "Si'a". At I, 397-403, van Ess
discusses possible Stoic and Jewish influences on early Slu--&I theology.
39
London, 1979.
40
See also Hodgson's The VenttJ.re of Islam (Chicago and London, 1974), I, 256-79.
XXVI -------------- INTRODUCTION --------------------
luww. The second element, which emerged under Mul)ammad al-Baqir 41 and
crystallized under his son Ja'far al-$adiq, consisted of the principles of na~~
(designation) and 'ilm (knowledge). According to these principles, the Imam
is appointed by God and possesses superhuman knowledge. His divinely
sanctioned authority was thus assured regardless of whether he wielded ac-
tual political power.
The main thesis of Madelung's article is that according to the early Sh~a,
the right to rule belonged to the Banii Hashim, that is, to all descendants
of Mu~ammad's great-grandfather Hashim ibn 'Abd Manaf. 42 This is what
the term ahl al-bayt referred to in the early period. The restriction of the
right to rule to a specific line of Imams from among the descendants of
Fatima started a1nong Kiifan Sh~fs. This process was speeded up when
the 'Abbasids presented themselves as the sole legitimate representatives of
the Prophet's kin. In his analysis of the term ahl al-bayt, Madelung bases
himself primarily on verses by the Shf'f poet al-Kumayt ibn Zayd al-Asadf
(60-126/680-743).
Amir-Moezzi is the author of the first book-length analysis of the doctrine
of the imamate. 43 In his book, as also in the study reproduced here, he
presents a novel perspective on the beginnings of Imamf Sh~ism. The early
Imamfya are shown to have adhered to an esoteric doctrine founded on the
role of the Imam, who was regarded as possessing both supernatural powers
and knowledge of the two levels of reality: the manifest and the hidden.
In the view of the early Imamfya, the world is determined by a perpetual
combat between the forces of good and evil, represented respectively by the
Imam and his followers and by their enemies. This combat began before the
creation of the physical world and will continue until the final victory of the
Mahdf.
As already noted, one of the defining moments of Sh~f history is the
death of al-ijusayn at Karbala'. Imamf perceptions of this event are treated
by Mahmoud Ayoub in his Redemptive Suffering in Isliim. 44 This is also the
41
He is the subject of a recent book by Arzina R. Lalani entitled Early Shf{f Thought:
the Teachings of Imam Mu!Jammad al-Baqir (London, 2000).
42
In his The Succession to Mul:wmmad: a Study of the Early Caliphate (Cambridge,
1997), 16-18, Madelung suggests that Mu.}:lammad himself may have wished to be suc-
ceeded by a member of his family.
43
Mohammad Ali Amir-Moezzi, Le guide divin dans le shf{isme originel: aux sources
de l'esoterisme en Islam (Paris and Lagrasse, 1992); trans. David Streight as The Divine
Guide in Early Shf{ism: the Sources of Esotericism in Islam (Albany, 1994).
44
Mahmoud Ayoub, Redemptive Suffering in Islam: a Study of the Devotional Aspects
of {Ashura' in Twelver Shf{ism (The Hague, 1978).
INTRODUCTION - - - - - - - xxvii
subject of Crow's article (Chapter 3). Crow identifies two major interpreta-
tions of this event within the early Shl'I community. The first emphasized
the similarity between al- IJ usayn and Jesus, particularly as regards the do-
cetic notion that al-}Jusayn, like Jesus, did not suffer and was not killed but
was raised to heaven. According to the second interpretation, al-ijusayn
suffered and was killed, but is alive in heaven and will wreak revenge in the
future. It was the latter view which eventually prevailed.
Another major topic of investigation concerns the events leading up to
and immediately following the disappearance in 260/874 of the Twelfth
Imam. An account of these events, based on both Shl'I and Sunni sources,
is provided by Hussain. 45 In a more recent study, Modarressi describes the
birth of Shl'ism as a political movement, its gradual transformation into a
legal and theological school, and the growth of Imam! Shl'ism in the early
'Abbasid period. 46 The author discusses the place of ghuluww within Imami
Shl'ism, arguing that the only essential difference between the early Shl'Is
and many Sunnis was that while the Sunnis accepted Imams such as al-Baqir
and al-$adiq as religious authorities, the Shi'Is also insisted on absolute obe-
dience to them and believed that they were protected against error in reli-
gion. In the second part of the book, Modarressi surveys the life and works
of the Imam! theologian Abii Ja'far ibn Qiba (d. 319/931) and notes that his
major contribution to Imami thought was his effort to formulate a theory
of the imamate that would take into account the occultation of the Twelfth
Imam.
A sociological viewpoint on some of these issues is offered by Arjomand
(Chapter 5). He identifies three distinct periods in the early history of
Imam! Shl'ism. First, a period of revolutionary chiliasm (126-203/744-818),
which was characterized by a combination of the idea of occultation with the
manifestation of the apocalyptic Qa'im ("redresser"). The second period,
lasting from 203/818 to 260/874, is that of the crisis of the imamate and the
emergence of the professional religious scholars ( 'ulamii '). The crisis was
brought about when a succession of minors became Imams. This led to the
hierarchical organization of the Imami community being taken over by the
'ulamii'. These scholars, many of them Persian, sublimated the chiliastic
tendencies among Imam! Shi'Is by projecting them into the future reign of
45
Jassim M. Hussain, The Occultation of the Twelfth Imam: a Historical Background
(London, 1982).
46
Hossein Modarressi, Crisis and Consolidation in the Formative Period of Shi'ite Islam:
Abu Ja 'far ibn Qiba al-Riizf and his Contribution to Imiimite Shf ite Thought (Princeton,
1
1993).
xxviii -------------INTROD UCTION
the Qa'im. The third period coincides with the Lesser Occultation. Here
leadership of the community was in the hands of two groups: 'ulamii' loyal
to the seat of the Imam, and politically powerful Imami families who were
in the service of the 'Abbasids. Among these families, the Nawbakhtis were
particularly important. Abu Sahl Isma'I1 ibn 'Ali al-Nawbakhti {d. 311/923)
helped to turn the occultation of the Imam into a permanent feature of
the Imami hierarchical organization and a central ingredient in the doctrine
of the imamate. A theology of occultation was developed, which aimed at
removing chiliastic aspirations by delaying the return of the Mahdi to an
indefinite future date.
The period of the Lesser Occultation, discussed in the final part of Ar-
jomand's study, is at the centre of Klemm's article (Chapter 6). Klemm
surveys the earliest material about the four agents of the Twelfth Imam and
summarizes the traditional descriptions of their role. She concludes that it
was Abu 1-Qasim al-ijusayn ibn RawQ al-Nawbakhti, regarded by the Imamls
as the third safir, who first claimed to be such an agent; the first and second
safirs were given this title posthumously in order to establish that the office
of sifiira had come into being immediately following the occultation of the
Twelfth Imam.
Literary-historical questions are another major topic of research. One
item concerns the u~iil (sing. a§l, "source"), which consist of utterances of
various Imams committed to writing for the first time. Several studies have
been devoted to a description and analysis of this earliest form of ImamI
tradition. 47 Another issue concerns early Imami Qur'an exegesis. The con-
tents and character of this literary form are examined by Bar-Asher in his
Scripture and Exegesis. 48 Two early ImamI heresiographies are discussed
47
See I:Iusayn al-Jalatr, Dirasa l;&awl al-u{liil al-arba'imi'a (Tehran, 1394/1974); E.
Kohlberg, "Al-U~fi1 al-arba'umi'a", Jerusalem Studies in Arabic and Islam 10 (1987),
128-66; repr. in lris Belief and Law in Imiimf Shf'ism.
48
Meir M. Bar-Asher, Scripture and Exegesis in Early /miimf Shiism (Leiden, 1999). See
further idem, "The Qur'an Commentary Ascribed to Imam I:Iasan al-'Askan_,, Jerusalem
Studies in Arabic and Islam 24 (2000), 358-79. Studies on the Imamr attitude to the
Qur'an include the chapter on sectarian exegesis in Goldziher's Die Richtungen der is-
lamischen Koranauslegung (Leiden, 1920; repr. 1952), 263-309; Joseph Eliash, "'The Srite
Qur'an': a Reconsideration of Goldziher's Interpretation", Arabica 16 (1969), 15-24; Etan
Kohlberg, "Some Notes on the lrnarnite Attitude to the Qur'an", in S.M. Stern, A. Hourani
and V. Brown, eds., Islamic Philosophy and the Classical Tradition: Essays Presented to
R. Walzer (Oxford, 1972), 209-24; Hossein Modarressi, "Early Debates on the Integrity
of the Qur'an", Studia Islamica 77 (1993), 5-39; Mahmoud Ayoub, "The Speaking Qur'an
and the Silent Qur'an: a Study of the Principles and Development of lmamr Slu--<r tafslr",
in Andrew Rippin, ed., Approaches to the History of the Interpretation of the Qur'an (Ox-
------------------INTRODUCTION xxix
in the second article by Madelung included in this volume (Chapter 7);

these are the Kitiib firaq al-shf'a by al-~asan ibn Musa al-Nawbakhti (d.
between 300 and 310/912-22) and the Kitiib al-maqiiliit wa-l-firaq by Sa'd
ibn 'AbdAllah al-Qummi (d. 299/911-12 or 301/913-14). These works treat
the splits within Shl'ism from an Imam! point of view; in other words, the
pristine Imam! community is seen as having fallen prey to deviations and
desertions. The two texts exhibit considerable overlap, and the particular
problem addressed by Madelung concerns the relationship between them.
There is finally a recent book by Newman focusing on three collections of
Imam! traditions composed during the Lesser Occultation. 49 Newman's aim
is to show that the contents of these works were dictated by the specific
contemporaneous political-religious circumstances under which they were
compiled.
The Ghuliit
As we have seen in the previous section, the ghuliit have on occasion been
dealt with in connection with the early Imamlya. Yet there are also studies
which treat the ghuliit as an independent subject of inquiry. Two such
studies are represented in this volume.
Wadad al-Qaql's article (Chapter 8) focuses on the divers meanings of the
term ghuliit. Her view is that this concept underwent three major changes.
In the first/seventh century the term referred to the belief that 'All had
not died and· would return; those who held this belief were known as the
Saba'lya, and their views were propagated by followers of al-Mukhtar. In the
second/eighth century the ghuliit were defined from the perspective of Imam!
Shl'I authors as those who upheld tenets such as deification of the Imams and
metempsychosis. In the third/ninth century, finally, Sunnl writers regarded
anyone who drastically deviated from the accepted religious tenets as a ghiilf.
Tucker's study (Chapter 9) is one of several articles in which he analyses
some early ghuliit movements, pointing out their major beliefs and tracing
possible outside influences. 50 Tucker assumes that various extremist views
attributed to Bayan ibn Sam'an are a fabrication. He points out that Bayan
was the first non-' Alid to lay claim to the imamate and notes that Bay an's
allegation that an 'Alid had designated him to be Imam established an im-
portant precedent, paving the way for later similar claims.
ford, 1988), 177-98; Arnir-Moezzi, Le guide divin, 200-27; = The Divine Guide, 79-91.
49
Andrew J. Newman, The Formative Period of Twelver Shl 1ism: lfadath as Discourse
Between Qum and Baghdad (Richmond, 2000).
50
See the Bibliography.
XXX - - - - - - - INTRODUCTION
The most comprehensive account of the ghuliit is provided by Halm in

Die islamische Gnosis. Halm uses this term to refer to a particular type of
gnosticism, which had its roots among the Shra in Iraq. He traces the growth
of the various ghuliit movements up to the appearance of the Nu~ayriya
'Alawiya, identified as the only ghuliit sect to have survived until our own
times. 5 1
The Zaydfya
The history of the Zaydiya and the growth of ZaydT thought, law and doctrine
have become increasingly well known as a result of studies by Strothmann, 52
Griffini, 53 van Arendonk, 54 Madelung 55 and others. The two articles repro-
duced here, by Khan and van Ess, deal with different facets of early Zaydi
history. Khan's study (Chapter 11) delineates the main events in the history
of the first Zaydi state, beginning with the revolt of al-~asan ibn Zayd (d.
270/884) against the Tahirids and leading to the establishment of an inde-
pendent 'Alid kingdom in Tabaristan and Gilan. Van Ess, in turn (Chapter
10), focuses on the Kamiliya, whose origins go back to the first half of the
second/eighth century. The Kamiliya were counted as Zaydis, even though
at the time there was as yet no clearly identifiable group called "Zaydlya". In
repudiating Abu Bakr and 'Umar for not acknowledging 'Ali, the Kamiliya
shared the view of some Zaydi groups; at the same time, they diverged from
the Shi'I consensus in condemning 'Ali, who should in their view have fought
for his rights immediately after the Prophet's death. Van Ess takes this con-
demnation to mean that 'Ali had committed an error, but later rectified it
by fighting Mu 'awiya. Such a position can still be accommodated within the
framework of the Zaydiya. 56 Van Ess is thus able to show that the clear-cut
lines of division that the heresiographers present do not always conform to
historical reality (as far as it can be reconstructed).
A question addressed by several authors concerns works attributed to
Zayd. Griffini accepted the authenticity of Kitiib majmii' al-fiqh, a collection
of largely legal traditions existing in a shorter and a longer version, which
51
Halm, Gnosis, 284.
52
Rudolf Strothmann, Das Staatsrecht der Zaiditen (Strassburg, 1912}; idem, Kultus
der Zaiditen (Strassburg, 1912); idem, "Die Literatur der Zaiditen", Der Islam 1 {1910),
354-68; 2 (1911), 49-78; idem, ''Das Problem der literarischen Personlichkeit Zaid b. 'All",
Der Islam 13 {1923), 1-52.
53
E. Griffini, Corpus Juris di Zaid ibn 'Aif (Milan, 1919).
54
Van Arendonk, De opkomst van het Zaidietische /mamaat in Yemen.
55
Madelung, Der Imam a/.Qasim ibn /brahfm.
56
See also van Ess, Theologie und Gesellschajt, I, 269-72.
INTRODUCTION xxxi
Zaydi tradition ascribes to Zayd; and he was followed in this by Sezgin. 57

However, Madelung-following Strothmann 58 and Bergstrasser 59-has cast
doubt on Griffini's conclusions, maintaining that the work reflects Kufan
legal tradition and that Zayd is thus unlikely to have had any significant
part in it; the author may have been Abu Khalid al-Wasit"f, who appears as
its sole transmitter. 60
Another important figure of the early Zaydlya is al-Qasim ibn Ibrahim
al-Rassi (d. 246/860). Works by this author were among the first Zayditexts
to be published in the West. 61 In his monograph on al-Qasim, Madelung
pointed out that al-Qasim 's teachings had been systematized by his grandson
al-Hadi ilal-~aqq (d. 298/911), founder of the Zaydi imamate in the Yemen;
among the Caspian Zaydis, the prevalent legal doctrine was that founded by
the Imam al-~asan ibn 'Ali al-N~ir ila 1-~aqq al-Utrush (d. 304/917). 62
According to Madelung, al-Qasim was influenced by the Mu'tazila in certain
aspects of his doctrine but was not himself a Mu'tazili. 63 Madelung also ar-
57
Fuat Sezgin, Geschichte des arabischen Schrifttums (Leiden, 1967-proceeding), I, 553-
56.
58
Strothmann, "Das Problem der literarischen Personlichkeit Zaid b. 'All", 18-46.
59
G. Bergstrasser, review of Griffini's edition of the Corpus juris in Orientalistische
Literaturzeitung 25 (1922), 114-23.
60
Madelung, Der Imam al-Qiisim ibn Ibrahim, 53-61; idem, "Zayd b. 'Alrb. al-l:lusayn",
E/ 2 , XI, 473-74.
61
See Ignazio Di Matteo, "Confutazione contra i cristiani della Zaydita al-Qasim b.
lbrahrm", Rivista degli Studi Orientali 9 {1921-23), 301-64 (including an edition and
Italian translation of Kitiib al-radd 'alii 1-na!Jiirii); Michelangelo Guidi, al-Radd 'alii 1-
zindaq al-Ia 'an Ibn al-Muqaffa 1 (Rome, 1927). Several other treatises have been published
by Mu}_lammad 'lmara in his Rasii'il al-'adl wa-1-tawl)fd (Cairo, 1971), I, 95-159; and again
by Sayf al-Din al-Katib, Rasa'il al-'adl wa-1-tawl)fd (Beirut, 1980).
62
Madelung, Der Imam ai-Qasim ibn lbriihfm, 153-222; idem, "Die Sra", in Helmut
Gatje, ed., Grundrift der arabischen Philologie, II: Literaturwissenschaft (Wiesbaden,
1987), 358-73, at 359-60. For al-Qasim see also Strothmann, "Die Literatur der Zaiditen",
49-60, 76-78.
63
Madelung, Der Imam ai-Qasim ibn lbriihi'm, 97, 106, 110-14, 118-19, 153. Madelung's
views on this topic were challenged by Binyamin Abrahamov in a number of publications,
including the introduction to his edition of al-Qasim ibn Ibrahim's Kitiib al-dalfl al-kab'ir
( al-lfasim b. /braham on the Proof of God's Existence (Leiden, 1990), 11-14, 21-22, 32-36,
45-59; cf. Madelung, "Imam al-Qasim ibn Ibrahim and Mu'tazilism", in Ulla Ehrensvard
and Christopher Toll, eds., On Both Sides of al-Mandab: Ethiopian, South-Arabic and
Islamic Studies Presented to Oscar Lofgren on his Ninetieth Birthday (Stockholm, 1989),
39-48, at 47-48, and his review of Abrahamov's book in Journal of the Royal Asiatic
Society, Third Series, 2 (1992), 267-70). Abrahamov edited further works by al-Qasim;
see B. Abrahamov, The Theological Epistles of al-lfiisim ibn /braham (in Hebrew), Ph.D.
dissertation (Tel Aviv University, 1981); idem, Anthropomorphism and Interpretation of
xxxii INTRODUCTION
gued against the authenticity of a number of works attributed to al-Qasim. 64

Many Zaydi texts are still in manuscript form. One reason is that in
the Yemen, where the majority of Zaydi manuscripts are to be found, books
began to be printed later than in most other Arab countries. 65
The I smii 'flfya
Of the various Shri sects, the lsma'llis were the object of the worst distor-
tions among European writers of the seventeenth to nineteenth centuries.
Crusader legends about the so-called Assassins (a misnomer for the Nizari
lsma'l1Is) 66 maintained their popularity, and even serious students oflsma'll-
ism such as Silvestre de Sacy (1758-1838) often relied on hostile Sunni
sources. 67 One of the first studies of the early lsma'lliya was published
by Dozy as part of his general history of lslam. 68 His compatriot Michael
Jan de Goeje (1836-1909) wrote a book devoted entirely to the Isma'llis,
and in particular to the Qarmatis of Ba~rayn. 69 In the first half of the
twentieth century, the study of the Isma'Iliya received a major boost thanks
to the Russian Vladimir lvanow (1886-1970), who settled in Bombay and,
in collaboration with lsma'lli scholars, began to produce studies based on
Isma'lli manuscripts. Some of these studies dealt with the earliest period. 70
the Qur'iin in the Theology of ai-Qiisim ibn /briihfm: Kitab ai-Mustarshid, ed. with trans-
lation, introduction and notes (Leiden, 1996).
64
Madelung, Der Imam ai-Qasim ibn /braham, 96-103.
65
Idem, "Die Sra", 358.
66
Bernard Lewis, The Assassins: a Radical Sect in Islam (London, 1967}, 1-19; Daftary,
The /smatflas, 4-13.
67
De Sacy's work on the early Isma'rnya formed a part of his groundbreaking study of
the Druze religion. See his Expose de Ia religion des Druzes (Paris, 1838), I, Introduction,
63-246.
68
Dozy, Essai sur l'histoire de l'islamisme, 257-313. See also Dozy's Histoire des musul-
mans d'Espagne, ed. E. Levi-Proven<;al (Leiden, 1932), II, 117-25.
69
M.J. de Goeje, Memoire sur les Carmathes du Bahrai'n et les Fatimides (Leiden, 1862;
2nd ed., Leiden, 1886).
70
See especially V. Ivanow, The Alleged Founder of lsmailism (Bombay, 1946); a second,
revised edition entitled Ibn ai-Qaddah {The Alleged Founder of Ismailism) was published
in Bombay in 1957. Ivanow also studied the so-called Umm al-kitab (in his "Notes sur
l"Ummu'l-Kitab' des lsmaeliens de l'Asie centrale" (Revue des etudes islamiques 6 (1932),
419-81) and subsequently published the Persian text (in his "Ummu '1-kitab", Der Islam
23 (1936), 1-132}. lvanow recognized the fact that although the Umm al-kitab was pre-
served by the lsma'ili community it was not actually of Isma'rn provenance. The text
has since been shown to be a product of early Kufan ghuluww (see Halm, Gnosis, 113-
24).
INTRODUCTION xxxiii
lvanow also compiled the first detailed catalogue of lsma'lli works. 71 His
interest in the Isma'Iliya was shared by Henry Corbin, who devoted some of
his numerous studies on this movement to the early period {though, as in
the case of the Imamiya, he was particularly interested in later texts). 72
The study of the early Isma'Ilis has made significant strides in the last
decades. Bernard Lewis, who had written an account of the movement's
origins, 73 returned to the subject in the second chapter of his Assassins. 74
Samuel M. Stern (1920-69) devoted a number of articles to early Isma'Ili
history and beliefs. 75 In one of these articles (Chapter 13) he points to
Mu}:lammad al-Nasaff (d. 332/943) as the first who introduced Neoplatonist
ideas to the lsma'Iliya, and holds that his system lay at the basis of the
writings of the Isma'Ili missionary ( da'f) Abu Ya'qub al-Sijistani. One of
Stern's achievements was the partial reconstruction of the original cosmology
of the lsma'Iliya on the basis of fragmentary evidence in later sources. 76
This subject was also examined in great detail by Halm. 77 Another topic
which Halm studied was early Isma'Ili propaganda (Chapter 14). Since this
propaganda aimed at the destruction of the existing political order, it had
to use conspiratorial means. Thus Isma'lli missionaries ( du 'at) appeared as
craftsmen or merchants; they carried books containing secret knowledge, and
used hints or allusions as an important weapon in their arsenal. The mission
( da 'wa) was particularly active within the ~Imam! Shi'I milieu. The reason
for this, according to Halm, was that many Imami Shi'Is were unhappy with
the quietist stance of their Imams and were uneasy about the occultation of
71
V. lvanow, A Guide to Ismaili Literature (London, 1933). A second, amplified version
entitled Ismaili Literature: a Bibliographical Survey appeared in Tehran in 1963. A more
comprehensive catalogue is Ismail K. Poonawala's Biobibliography of Ismii 1lll Literature
(Malibu, 1977); its first chapter deals with pre-Fatimid and Fatimid authors.
72
See for example Corbin, Histoire de Ia philosophie islamique, I, llQ-36; = History
of Islamic Philosophy, 74-93. The enthusiasm of both scholars for lsma'ilf studies comes
out well in the Correspondance Corbin-Ivanow: lettres echangees entre Henry Corbin et
Vladimir Ivanow de 1947 a 1966, publiees par Sabine Schmidtke (Paris, 1999).
73
Bemard Lewis, The Origins of Ismii 11lism: a Study of the Historical Background of
the Fatimid Caliphate (Cambridge, 1940; repr. New York, 1975).
74
Idem, The Assassins, 20-37.
75
Many of these studies are collected in his Studies in Early Ismii 11lism, published
posthumously (Jerusalem and Leiden, 1983).
76
S.M. Stem, "The Earliest Cosmological Doctrines of Isma'ilism", in Studies in Early
Ismii 1ilism, 3-29.
77
H. Halm, Kosmologie und Heilslehre der fruhen lsmii 1iliya (Wiesbaden, 1978), 18-127;
idem, "The Cosmology of the Pre-Fatimid Isma'iliyya", in Farhad Daftary, ed., Mediaeval
Isma 1ili History and Thought (Cambridge, 1996), 75-83.
xxxiv INTRODUCTION
the Twelfth Imam.

The hierarchical structure of the Fatimid mission was elucidated by
'Abbas Hamdani, 78 while Wilferd Madelung produced studies on the early
history of the Qarmatis of Ba~rayn, on the early lsma'Ili teachings on the
imamate and on the sources of Isma'Ili law. 79 Paul Walker studied the ideas
and teachings of Abu Ya'qub al-Sijistan~ 0 and, together with Madelung,
published two early lsma'Ili texts (with an English translation). The first
is the "Chapter on Satan" ( Biib al-shayfiin) from the Kitiib al-shajara by
the Khurasani dii'f Abu Tammam, who flourished in the first half of the
fourth/tenth century; this is a description of the 72 heretical sects of Islam,
divided into three groups of 24 sects each. 81 The second is the Kitiib al-
munii?ariit, a personal memoir by the lsma'Ili missionary Ibn al-Haytham
recording his meetings and conversations with Abu 'Abd Allah (known as
"al-Shi'I") and his brother Abu 1-'Abbas, both of whom led the Fatimid
revolution in North Africa. 82 This book was published by the Institute of
lsmaili Studies in London, which has been actively promoting scholarship on
(among other subjects) Isma'Ili history and thought. The head of its depart-
ment of academic research and publications, Farhad Daftary, has published
a number of seminal studies on the early lsma'Iliya. 83 One of these (Chapter
12) surveys the history of pre-Fatimid lsma'Ilism, extending from the ori-
gins of the proto-Isma'Iliya in the middle of the second/eighth century to the
establishment of the Fatimid caliphate in 297/909. Daftary maintains that
the term "Qaramita" (Qarmatis) designates the earliest lsma'Ilis and shows
that the Qarmatis held that Mu~ammad ibn Isma'Il was the Qa'im. The au-
78
'Abbas Hamdarn, "Evolution of the Organisational Structure of the Fa~imf Da'wah:
the Yemeni and Persian Contribution", Arabian Studies 3 (1976), 85-114. Hamdani is
one of a group of lsma'rn scholars who have done much to further our knowledge of the
Isma'rnya; see Daftary, The Ismii'zlzs, 28.
79
Madelung, "Fatimiden und Ba}:lrainqarmaten", Der Islam 34 (1959}, 34-88; trans.
Azizeh Azodi as "The Fatimids and the Qarma~fs of Ba}:lrayn", in Farhad Daftary, ed.,
Mediaeval Isma 'iii History and Thought, 21-73; idem, "Das lmamat in der friihen ismaili-
tischen Lehre", Der Islam 37 (1961), 43-135; idem, "The Sources of Isma'rn Law", Journal
of Near Eastern Studies 35 (1976), 29-40; repr. in his Religious Schools and Sects.
80
Paul E. Walker, Early Philosophical Shiism: the Ismaili Neoplatonism of Abu Ya 'qiib
al-Sijistiinf (Cambridge, 1993); idem, Abu Ya 'qub al-Sijistiinf: Intellectual Missionary
(London and New York, 1996).
81
Kitab al-shajara: an Ismaili Heresiography: the 'Biib al-shayfiin' from Abu Tammiim 's
Kitiib al-shajara, ed. and trans. Wilferd Madelung and Paul E. Walker (Leiden, 1998).
82
The Advent of the Fatimids: a Contemporary Shi'i Witness, ed. and trans. Wilferd
Madelung and Paul E. Walker (London, 2000).
83
See the Bibliography.
INTRODUCTION XXXV
thor depicts the anti-Isma'lii version of the beginnings of Isma'liism, showing

that elements of this version may be regarded as historically sound. There
follows a description of the clandestine activities of the Isma'll1 mission in
the second half of the third/ninth century and the split in the Isma'li1 move-
ment as a result of the doctrinal reform of the first Fatimid caliph, 'Ubayd
Allah al-Mahd1 (d. 322/934). The article ends with a brief description of the
Isma'111 religious system.
The 'Abbasids
The 'Abbasid revolution has given rise to a considerable scholarly literature.

This literature is surveyed by Stephen Humphreys; 84 the aim here is merely
to mention briefly some of the studies dealing specifically with the nature of
the connection between the 'Abbasids and the Shl'a.
Two such studies were written over one hundred years ago by the Dutch
scholar Gerlof van Vloten. 85 Van Vloten noted the account of the designa-
tion by Abu Hashim of Mu~ammad ibn 'Ali to succeed him as chief of the
Hashim1ya, but did not commit himself on whether this designation is to
be accepted as historically true. 86 He stressed that although the 'Abbasid
movement made use of messianic themes associated with extremist Sh~ism,
it also appealed to the moderate Shl'a of Khurasan. 87 Julius Wellhausen,
too, pointed out the links between the 'Abbasid da'wa and Shl'ism. 88
More than half a century later, the subject was tackled by Claude Ca-
hen. In his view, Shl'ism in the early second/eighth century was not yet
an organized sect, and the demands which the 'Abbasids raised appealed
to the common denominator on which all Shl'Is could agree. These de-
mands were: rule by an appropriate member of the ahl al-bayt; government
in accordance with the Qur'an and Sunna; vengeance for the martyrs of
84
R. Stephen Humphreys, Islamic History: a Framework for Inquiry, rev. ed. (Princeton,
1991), 104-27.
85
G. van Vloten, De Opkomst der Abbasiden in Chorasan (Leiden, 1890; repr. Philadel-
phia, 1977); idem, "Recherches sur la domination arabe, le chiitisme et les croyances mes-
sianiques sous le Khalifat des Omayades", Verhandelingen der K oninklijke Akademie van
Wetenschappen te Amsterdam; Afdeeling Letterkunde, Deel I, no. 3 (Amsterdam, 1894).
86
Van Vloten, "Recherches", 45.
87
Idem, 45-47.
88
J. Wellhausen, Das arabische Reich und sein Sturz (Berlin, 1902), 311-15; trans.
Margaret Graham Weir as The Arab Kingdom and its Fall (Calcutta, 1927; repr. Beirut,
1963), 499-505. Wellhausen noted that the 'Abbasid revolution was not a purely Iranian
uprising, and that the da 'wa in Khurasan was largely headed by Arabs.
XXXVI --------------INTRODUCTION-------------------
the Prophet's family. 89 The most detailed analyses of the relationship be-
tween the 'Abbasids and the Shi'a were undertaken by Nagel, who stressed
the revolutionaries' call for a member of the ahl al-bayt, 90 by 'Umar, 91 and
by Sharon. 92 Finally, Muhammad Qasim Zaman has traced the process of
gradual dissociation of the 'Abbasid caliphs from their close links with the
Shi'a. 93
The 'Abbasid-Shi'I connection is, broadly speaking, also the topic of
the three concluding studies in this volume. In her article (Chapter 15),
Crone analyses the meaning of the 'Abbasid call for "al-Riqa". She demon-
strates that this term refers to someone chosen by consultation and commu-
nal agreement (shiira), and maintains that the 'Abbasids did not advocate
a particular person from among the ahl al-bayt because they did not have
a specific candidate in mind. She concludes that (a) the account that Abu
Hashim bequeathed the imamate to Mu~ammad ibn 'Ali is spurious; (b)
the Hashimiya movement owes its title to the eponymous ancestor of the
Prophet's house, the claim that this title refers to Abu Hashim being a later
'Abbasid invention; (c) the shift from a call for election by consultation to
a claim for power based on hereditary rights ( wa~fya) may have been initi-
ated by Ibrahim ibn Mu~ammad, brother of the first 'Abbasid caliph Abu
1- 'Abbas al-Safla~.
A different angle on some of the issues raised by Crone is offered by Lass-
ner (Chapter 16). According to his analysis, during the revolutionary phase
the 'Abbasids (at least among their closest followers) based their claims on
the testament of Abu Hashim but concealed their own identity until the
proclamation of al-Saffa~ as caliph in 132/7 49. A quarter-century after they
had achieved power they introduced an ideological shift and appealed to a
broad concept of the ahl al-bayt, intending to cool messianic ardour and
distance themselves from their beginnings as leaders of an extremist sect.
Lassner rejects the view that the 'Abbasid revolution was a triumph of Ira-
89
Claude Cahen, "Points de vue sur la 'Revolution 'Abbaside' ", Revue historique 230
(1963), 295-338, at 321-22, republished in his Les peuples musulmans dans l'histoire
medievale (Damascus, 1977), 105-60, at 138-40; summarized in Stephen Humphreys, Is-
lamic History, 124.
90
Tilman Nagel, Untersuchungen zur Entstehung des abbasidischen K alifates (Bonn,
1972), particularly at 70-116; idem, Rechtleitung und Kalifat. Versuch iiber eine Grund-
frage der islamischen Geschichte (Bonn, 1975), 88-90.
91
Faruq 'Umar, Tabl'at ai-da 'wa al- 'abbasfya (Beirut, 1389/1970); idem, AI- 'Abbasfyiin
al-awa'il (Beirut, 1970-73).
92
Moshe Sharon, Black Banners from the East.
93
Qasim Zaman, Religion and Politics.
INTRODUCTION xxxvii
nians over Arab aristocracy; instead, he maintains that the 'Abbasids saw
themselves as regenerating Islamic society, and rewrote history in order to
fit the new ideology.
Sourdel's article (Chapter 17) deals with the policies of al-Ma'mun (r.
198-218/813-33) towards the 'Alids. 94 The author wishes to show that the
caliph's attitude was consistent throughout his reign. His aim was to bring
about a reconciliation between 'Abbasids and 'Alids, and he tried to achieve
this by adopting largely Zaydi tenets on the imamate. 95
Concluding Remarks
The study of Shi'ism, particularly its early history and beliefs, has finally
come into its own and is today one of the fastest-growing and most promis-
ing fields of research. Much of the credit for this advance belongs to Shi'I
scholars, whether living in the West or in the Muslim world. 96 There is
considerable scope for further investigation, 97 be it of the social aspects of
early Shi'ism, the evolution of its legal systems, the relationships among its
various components, or the connections between Shi'ism and Sunnism on the
one hand and Shi'ism and other religions on the other .98
94
For this issue see also F. Gabrieli, AI-Ma'mun e gli 'Alidi (Leipzig, 1929); W.
Madelung, "New Documents Concerning al-Ma'miln, al-Fa<;ll b. Sahl and 'Ali al-Ri<;la",
in Wadad al-Qa<;li, ed., Studia Arabica et Islamica: Festschrift for Il;uan 'Abbas on his
Sixtieth Birthday (Beirut, 1981), 333-46; John Abdallah Nawas, Al-Ma'mun: Mi~na and
Caliphate (Nijmegen, 1992), 29-30, 43-50; Tayeb El-Hibri, Reinterpreting Islamic Histori-
ography: Harun al-Rashfd and the Narrative of the 'Abbasid Caliphate (Cambridge, 1999),
97-98, 101, 133.
95
For a similar view see Nagel, Rechtleitung und Kalifat, 394-99.
96
Examples of contributions by lmami Shi.""'i and Isma'ill scholars living in the West are
given above. Within the Muslim world, much work has been carried out by lrnami Shris
studying their own heritage. One outstanding example is the Dharf'a ila ta~anfj al-shf'a
by Agha Buzurg al-'fihraru (d. 1970). This comprehensive bibliography of lmami texts
is an indispensable tool for all students of Imami literature. Many important studies of
early Imami Shrism are to be found in the journal Turathuna published in Qumm (it
first appeared in 1405/1985). Lebanese and Iranian specialists are responsible for some
first-rate editions of Shi"""'i texts.
97
Aided no doubt by the increasing number of compact discs on which much of the early
literature is recorded.
98
1 would like to thank Prof. Lawrence I. Conrad and Dr. John Smedley for their helpful
comments on an earlier version of this Introduction.
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THEFORMATIONOFTHECLASSICALISLAMICWORLD

General Editor: Lawrence I. Conrad

General Editor: Lawrence I. Conrad

General Editor: Lawrence I. Conrad

LONDON AND NEW YORK

Published 2016 by Routledge

Routledge is an imprint of the Taylor & Francis Group, an informa business

British Library CIP Data

US Library of Congress CIP Data

ISBN 9780860787105 (hbk)

THE FORMATION OF THE CLASSICAL ISLAMIC WORLD- 33

General Editor's Preface xiii

1. How Did the Early Shi'a Become Sectarian?

2. Only the Man of God is Human: Theology and Mystical

4. The Hashimiyyat of al-Kumayt and Hashim! Shi'ism

5. The Crisis of the Imamate and the Institution of Occultation

6. The Four Sufara' of the Twelfth Imam: On the Formative

7. Some Remarks on the Imam! Firaq Literature

8. The Development of the Term Ghuliit in Muslim Literature

9. Bay an b. Sam 'an and the Bayaniyya: Sht<ite Extremists of

10. The Kamiliya: On the Genesis of a Heresiographical Tradition

11. The Early History of Zaydi Shi'ism in Daylaman and Gilan

12. The Earliest Isma'Ilis

13. lsma'Ilis and Qarmatians

14. Methods and Forms of the Earliest Isma'Ili Da'wa

15. On the Meaning of the 'Abbasid Call to al-Rifjii

16. The 'Abbasid Dawla: an Essay on the Concept of Revolution

17. The Religious Policy of the 'Abbasid Caliph al-Ma'miin

General Index 355

CHAPTER 2: Translation of: Mohammad Ali Amir-Moezzi, "Seull'homme de Dieu

CHAPTER 4: Wilferd Madelung, "The Hiishimiyyiit of al-Kumayt and Hashim!

CHAPTER 7: Translation of: Wilferd Madelung, "Bemerkungen zur imamitischen

CHAPTER 8: Wadad al-Qa<fl, "The Development of the Term Ghuliit in Muslim

CHAPTER 9: William F. Tucker, "Bayan b. Sam'an and the Bayaniyya: Shi'ite

Since the days of lgnaz Goldziher (1850-1921), generally regarded as the

they have provided to scholarly discussion. Some volumes cover themes

Sh'i'ism in Early Islamic History

possess virtually unlimited knowledge, part of which they inherited from

This problem is resolved by dividing mankind into three groups: believers,

1974); Halm, Gnosis, 43-83; W. Madelung, "Kaysaniyya", EI 2 , IV, 836-38.

tion to the deification of the Imams-metempsychosis ( taniisukh) and anti-

The Muslim world which the Europeans came to know-as adversaries or

Barring a few isolated references by Crusader writers to some Imamf beliefs,

included in his anthology some proverbs ascribed to 'Ali, 22 and sayings of

early lmami history and doctrine within a broader framework. Studies in

in the second article by Madelung included in this volume (Chapter 7);

The most comprehensive account of the ghuliit is provided by Halm in

Zaydi tradition ascribes to Zayd; and he was followed in this by Sezgin. 57

gued against the authenticity of a number of works attributed to al-Qasim. 64

The I smii 'flfya

the Twelfth Imam.

thor depicts the anti-Isma'lii version of the beginnings of Isma'liism, showing

The 'Abbasid revolution has given rise to a considerable scholarly literature.

Wellhausen, Julius. Die religios-politischen Oppositionsparteien im alten Islam.

Redemptive Suffering in Islam: a Study of the Devotional Aspects of

"The Shiite and Kharijite Contribution to Pre-Ash'arite Kaliim", in

"Le probleme de Ia vision de Dieu ( ru 'ya) d 'apres quelques auteurs

and Munich, 1982.

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