THE DEVELOPMENT OF THE SUI A CONCEPT OF

THE IMAMATE

Vivienne S.M. Angeles*

Introduction

The word ShT'a basically means partisans. They started after the death
of Muhammad and were composed of people who separated from the follow-
ing of the first three successors of Muhammad. 1 The early Shi'a were a very
political group who believed that 'AIT had the right to the caliphate imme-
diately after the death of Muhammad. They emphasized not only 'Ali's
relationship to Muhamrnad 2 but also the old tribal concept of ahl al bayt
(people of the household), the family from whom the chiefs of the tribe
were chosen. Today, historians and scholars of Islam view the founding of
the Shi'a as an important schism in lslam3 ~hich has survived from the early'
period of Islamic history in the Seventh C. to contemporary times.
In its process of formation and growth, the Shi'a have developed
certain doctrines that were to have repercussions on Islamic society as a
whole. Of the Shla doctrines, the concept of the imamah stands out as signi-
ficant for, while it constitutes a fundamental difference between the shi'a
and the majority of the Islamic community, it also gave rise to cleavages
and divisions among the Shi'a. It is because of the resulting effects on the
Muslims that the concept of the imamah merits study. This paper will there-
fore focus on the theoretical concept of the imamah as espoused by the
different groups of the Shift.
This paper relies mainly on the materials written in the English language
available at both the University of Pennsylvania and Temple University libra-
ries. Among the major works are Tabataba'i Shi'ite lslam 4 which not only
deals with the historical development of the Shi'a but also discusses
their essential doctrines from a Shi 'ite point of view. Donaldson's Shi'ite
Religion 5 also provides a historical view of the ShT'a and their teachings. A
part of Donaldson's book is a translation of Majlisi's Hayatu 7 Kulub. Well-

*The author was formerly a faculty member of the Institute of Islamic Studies,
UP. She is currently doing her dissertation at Temple University, Philadelphia, U.S.A.
a,
1Abii Bakr, 1Umar and Uthman. For a brief history of the Shi see Allamah
S.M.H. Tabataba'f, Shi.ite Islam (London: Allen and Unwin, 1975) Chapter I. Also,
Bernard Lewis, The Origins of lsmii'i1ism (Cambridge: W. Heffer, 1940).
2As a nephew, son-in-law and trusted companion.
3Fazlur Rahman, Islam (New York: Doubleday, 1966), p. 207.
4 op. cit.
5D.M. Donaldson, The Shifte Religion (London: Luz~c, 1933).
146 ASIAN STUDIES

hausen, 6 on the other hand, treats the political dynamics of the Shi~ and the
Khawarij, giving an insight into the motivations of these two schismatic
groups. Sachedina's work 7 focusses on the Mahdi as understood among the
Imimis and at t!le same time discusses the teachings of various ShHi factions.
Jafri, in his historical treatment of the Shl~ emphasizes the role of Ja'far al
Sadiq in the development of the Shf'a teachings. He also asserts that explana-
tion of the growth of the ShT'a in terms of their political differences is an
oversimplification of a complex situation. 8 Among the articles that proved
most beneficial to the study are Madelung's article on the imimah in the
Encyclopedia of Islam, 9 Friedlander's "Heterodoxies of the ShTta," 10 as
well as Ivanov's "Isma'ilis and Qarmatians." 11 Madelung's work on the sub-
ject elaborates on the doctrine of the im'Omah among the different Shi"a
groups. Friedlander, on the other hand, deals mainly with the work of Ibn
Hazm on the Sru'a, pointing out the differences, more than the similarities
of ShT'a beliefs. Ivanov deals mainly with the lsmacilis but also attempts to
correct what he considers as misconceptions on the Shf'a which, he believes,
are largely due to the methodological errors of the orientalists. Other articles
that are also helpful to the study are mentioned in the bibliography.
II. The Concept of the Imiimah

The development of the shPa is characterized by the growth of dif·

ferent groupings espousing their own teachings on the imamah. What gave
rise to the formation of the Shi'a sect was the question of the legitimacy
of succession to Muhammad. Later on it was the very same issue which
caused divisions within the sect. Ibn Hazm notes that if the problem is viewed
only according to the principal question of the Imamate, the Shi'a are divided
into two large sections: the Zaydis and the Imimis. 1 2 The Shi«a groups
that evolved over time numbered much more than these two, some of which
commanded very little following and eventually dispersed. this paper chose
to focus mainly on the concept of the imiimah among the Imimis, Zaydis,
the Khawirij and the Isma'ilis.
6 J. Wellhausen, The Religio-Political Factions in Early Islam (Netherlands: North·.
Holland, 1965).
7Abdulaziz Abdulhussein.Sachedina, Islamic Messianism: Idea of the Mahdi in
TwelverShi'ism (Albany: State University of New York Press, 1981).
8s. Hussain M. Jafri, Origins and Early Development of ShTla Islam (London
and New York: Longman, 1979).
9w. Madelurtg, "lmimah," Encyclopedia of Islam, III (Leiden: Brill, 1971)
U63-1169.
1OW. ,Friedlander, "The Heterodoxies of the Shi 'ites in the Presentation of Ibn
Hazm," Journal of the American Oriental Society, XXVlll (1907) 1-81 and XXIX
(1908) 1·183.
11 w. Ivanov, "Early Shiite Movements,;; Journal of the Bombay Branch of the
Royal Asiatic Society, 17 (1941) 1·23.
12 Friedlander, op. cit., 21.
 THE SHI'A CONCEPT OF THE IMAMATE 147
The basic meaning of imam is one who is imitated ~ ;,z:;:;
(yuwa-
timu bihi). The early Shi'a recognized 'Alf as the first imam but the develop-
ment of the doctrine on the imamah took place in the !lucceeding years. In
fact, sever.al writers contend that it was during the time of Ja'far al Sadiq
when the theological doctrines of the ShT'a were form~1 3 Madelung,
however, is of the opinion that the teachings of Ja'far al Sadiq~e -
to his father, Muhammad al Baqir, whose followings Ja <far inherited. 14
Hodgson 1 5 attributes the notion of naH 16 to the time of Muhammad al
Biqir and added that it was the followers of Ja'far who elaborated on the idea
that the imam should not only be a descendant of 'Ali, but rather, one who
has been designated by the father. The father in turn designates his son to
the imamate. It is difficult to,point out the stage by stage development of the
doctrine or its initial inception because to do so would involve speculation
due to the insufficiency of data. 17 Scholars, however, have ventured to trace
the origins of certain ideas pertaining to the imlimah, like the sinlessness
of the imam Donaldson attributes this idea to Fakr al Dip Rizi (d. A.D.
1210) who dealt with the subject in his commentary on the Qur'an and also
wrote a book Jsmatu'l Nabryyah (Sinlessness of the Prophets). 1 8 This, how-
ever, appears to be a bit late because infallibility was already applied to
Ja'far by his followers. Friedlander, on the other hand, claims that the idea
of ghayba or occultation must have come to the Shl'a through the medium
of Manicheanism 1 9 which ·had adopted this belief. These opinions, however,
are not conclusive and are therefore subject to further studies. Materials do
not point out exactly whp formulated specific imamah ideas but they do
stress the central role of J a 'far al Sadiq in the formulation of the ShT'a tenet
on the imamah. In his lifetime, Ja 'far attracted a circle of thinkers 20 and
engaged in discussions on matters of religion, particularly the notion of the
imiimah. His authority was considered final and many hadiths are attributed
to him by both Sunni and Shl'a. Ya1 cubT notes that it was customary for the
scholars who related hadiths from Ja'far as saying "the learned one" informed
us. 21 Malik ibn Anas referred to him as the "thiqa" (truthful). 22 While l;le
is not the originator of the concept of the imlimah, his elaborations on prin·
13Ivanov, op. cit., 55.
14Madelung, op cit. Jafri traces them further to Ja far's grandfather, Zayn al
Abldht in Jafri, op cit., 282.
15 M. Hodgson, "How did the-Eatly ShT'a Become Sectarian," Jour1111l of the
American Oriental Society, LXXV (1955), 10.
16 Imamate by designation.
17H.A.R. Gibb, in "Shi'a," Shorter Encyclopedia of Islam (Leiden: Brill, 1974),
537; and Ivanov, op cit., also concedes to the difficulty in establishing precise periods for
the formulation of specific Shi a doctrines.
111D.Donaldson, op. cit., 337.
19Friedlander, op. cit., 30.
20M. Hodgson, "Dja'far al Sadik," Encyclopedia ofislam, II, 374.
21 Ya'c6bf, Tarikh II, 381, in Jafri, op. cit., 260.
22 QidTNucminSharh al AkhbQr MS. in Jafri, op. cit., 260.
148 ASIAN STUDIES

ciples embodied in the imamah doctrine are important contributions to Shi'a

teachings on the subject.

Among the principles elaborated on by Ja'far, are na~~ (imamate by

designation), and 'ilm (knowledge). 2 3 Under the principle of nass, an imam,
before his death, designates his successor. His right to designate is vested upon
him by God and it is also with God's guidance that he exercises such right.
The imamate, however, is restricted to the descendants of 'Ali and Fatima.
The other principle requires that the imam possess extensive knowledge of
religious matters which includes both the exoteric and esoteric meanings of
the Qur'an. The two principles are intertwined and emphasize the religious
aspect of the imamate, as well as the function of the imam as the spiritual
leader of the community.

The discussion of the concept of the imamah among the ShT ~ groups
included in this paper will deal with: the idea of succession, the necessity of
an imam, the qualifications of the imam, the sinlessness and infallibility of
the imlim and the concept of the Mahd[

The Imami Concept of the Imamah

The Imamis constitute the majority of the ShT 'a and some writers
consider them as being representative of the middle school. 24 Their central
belief is that it is necessary to recognize the imlim and his designation. 2 5
They trace the imamate from 'Alf, and view the line of succession as estab-
lished both by descent from ~and by naH. This raises the actual mecha-
nisms of appointment but they believe that the assumption of the imlimah
has been determined by God. In the case of ~lf, the Imamis claim that he
was designated by Muhammad in a written will but the Companions "mali-
ciously made this will disappear." 26 This is in conformity with their idea
that the imam is designated by God through the Prophet or another imam
and that God must have sent a revelation to the Companions concerning the
·imams. 27 In addition, the lmmms claim that it was God's practise from the
time of Adam to the time of Muhammad that tl}e prophets should not leave
this world until they have appointed a successor. They consider the first
three caliphs before ~i as usurpers and therefore cannot be recognized as
imllms. After 'Ali, the imamate passed on to his son al Hasan and upon the
latter's death, to his brother, al Husayn. After al Hasan and al Husayn, the
imamate could no longer be ·vested on two brothers, one after the other.
23 Jafri, op. cit., 290-294.
24 Gibb, op. cit., 535.
25 D. Donaldson, "The Shirah Doctrine of the Imamate," Muslim World, 21
(1931), 14-23.
26 Friedlander, op. cit., 21-22.
-27 Majlisi in Donaldson, op. cit., 316.
 THE SHi'A CONCEPT OF THE IMAMATE 149

From al Husayn, the line of succession continued to his descendants by desig-

nation from father to son until the Mahdi? 11 The teachings of the Imimis
on the imamah tend to reflect the elevation of the im'limah to the prophecy,
the only difference is that to them, the imam does not transmit revelation. 2 9

The Imimis affirm the necessity of an imam and stress the point that
the world cannot exist without a hujja (a proof, guarantor) of God. 30 The
imam derives his authority from God because he is the latter's khalifah
(vice regent) and proof. To them, the imam must be divinely guided, he must
be an infallible leader and an authoritative teacher of religion. 31 There can
only be one imam at a time though he may have a silent imllm who is his
successor behind him.

In so far as the qualifications of the imam are concerned, the Im'llmis

put considerable emphasis on the imam's ,spiritual knowledge. The imam is
heir to the knowledge of Muhammad and has perfect knowledge of the
Qur'an in both its batin (esoteric) and zahir (exoteric) meanings. 3 2

The concept of sinlessness and infallibility ('isma) of the imam is funda-

mental to the Imimis because this is what differentiates the im'6m from the
rest of humanity. He must be the most excellent of all the people in his
time 33 and since he is also divinely g\Iided, he is free from sin and error.
The imiim holds the light of God which was passed on to him by the Prophet.
And being such, he has attained such distinctions as the "tree of prophet-
hood, house of mercy, keys of wisdom, essence of knowledge, locus of
apostleship, frequenting place of angels and repository of the secret of
God." 34 The imlim is constantly admonished by God and this is in addition
to the 'belief that he is imbued with perfect knowledge which would enable
him to distinguish evil from good. 3 5 This doctrine of sinlessness and infalli-
bility is traced by the Imi'mis to the· Qur'anic revelation to Abraham." ... I
have appointed thee a leader (imin) for mankind. (Abraham said: and of my
offsprings, will there be leaders?) He said: My covenant includeth not wrong-
doers."36
Another major point of Imimi doctrine is the idea of the Mahdi. Also
known as the Ithni 'Ash 'ads, the Imimis believe that there are twelve im7lms
28Madelung, op. cit., 1167.
29 Ibid., 1166.
30See al Nawbakhti's exposition on the Imimiyyah in Sachedina, op. cit., 49-51.
31 Madelung op. cit., 1166.
3.2Ja'far al Sadiq emphasized this possession of knowledge ('ilm).
33Madelung, op. cit., 1167.
34 Kulayni, Kafi 1:387..in Sachedina, op. cit., 21.
HMaJ"1"1s1. m
. D onaid son, op. crt.
·
36 Qur'an,II:124.
150 ASIAN STUDIES

starting with Ali and followed by his descendants through his wife Fatimah,
Muhammad's daughter: al Hasan, al Husayn, Zayn al 'Abidin, Muhammad
al Baqir, J a 'far al Sadiq, Musa ibn J a' far, 'Ali al Rid a, Muhammad Taqi
(Jawad), Al Naqi {HadT), Hasan al 'Askariand the Mahdi. The Mahdiis the
last of the imams and was supposed to have gone into ghayba (occulation)
when his father, Hasan al 'Askari, died. There are differing views as to the
identity of the Mahdz: with some claiming that he had not been born and .
others saying that he went into occultation at an early age. Those who claim
that the Mahdrwas born refer to him as the Imam A§r (Imim of the Period)
and Sihib al Zaman (Lord of Age). He is supposed to have been born in
Samarra in 256/868 and was on earth until 260/872 when his father was
killed. He then went into concealment but some Imlimis assert that the
Mahdi appeared to his deputies as necessitated by the occasion. While in
concealment, believers insist that he provides guidance to mankind. Made-
lung, however, sees the doctrine of ghayba in a different light. He views the
idea of the Mahdr as a result of the crisi~ brought about by the death of the
eleventh imam (Hasan al •Askaii) without an apparent son. This crisis was
resolved by the affirmation of the existence of a son and the doctrine of
ghayba or absence. 3 7

Apparently, the doctrine of the twelve im8ms took form only after
872 when the eleventh imam died. Watt offen. the opinion that the two
memben of the Banil Nawbakhti: Abii Sahl and hi~ nephew, Abii Muhammad
a1 Hasan ibn Mlisii al Nawbakhti(who is named an author of Firaq al Shi&)
were presumably the two scholars largely responsible for producing the defi-
nitive form of the doctrine of the twelve imams. Al Nawbakhti discusses the
positions taken by the different Shi'a groups on the subject of the irriamah
after the death of al 'Askari, 3 8 and his work on the messianic imam repre-
sents the earliest Im'iimi teaching on the Mahdr

The Concept of Imamah among the Khawarij

The Khawarij are those who originally followed 'Ali but seceded from
his ranks after their disappointment over 1Alfs handling of the Siffin arbitra-
tion. 3 9 Since then, they have repudiated 'Ali and recognized the imamate of
'Ali only up to the time of the arbitration. 4 0

The Khawarij doctrine on the imamate assert that the establishment of

an imam is obligatory upon the community. They emphasize the concept of
justice and require that the imam must be just. The moment he becomes
37Madelung, op. cit., 1167.
38These central points are discussed in Jafri, op. cit., 42-56.·
39 Martin Hinds, "The Siffm Arbitration," Journal of Semitic Studies, 17 (1972),
93-129 ..
40The arbitration took place in 38/657.
 THE SHi'A CONCEPT OF THE IMAMATE 151

unjust and commits any infraction or violation of Divine Law, the imam
loses his legitimacy and has to be removed, even by force. 41 The Muslims
must dissociate themselves from an unjust imam, otherwise, they will also
be considered infidels. For the Khawirij, this is a situation where regicide
is justified.

On· ~he question of succession, the Khawarij reject the prerogative of

the Qura~ to the imamate. The choice of the imam is accomplished by
election and any believer who is "morally and religiously irreproachable4 2
or the most excellent in the community is eligible to the imamate everi if
he is of slave. origin. 4 3
\

Majority of the Khawarij share the lmimi belief that there can only
be one imiim at a time. The lbidi&, which is one of the sects of the KhaW!rij,
recognize the different types of imams corresponding to the four states or
ways (masaliks) in which the community of believers could fa$::e its enemies;
the state of manifestation (zuhiir) when the members of the ummah (com-
munity of believers) could face its enemies; the state of defense (dif'a) when
it could merely resist a powerful enemy; the state of self-sacrifice (shiri')
when a small group of believers chose to rise against the enemy seeking
martyrdom; and the state of concealment (kitmin), when the believers are
forced to live under the rule of the enemy and to practisetaqiyya (dissimu-
lation).44 The practise of taqiyya is also part of lm'imi teachings and scholars
·trace it to the time of Muhammad al Biiqir.4 5 The lbidi& further assert the
only one who can exercise the temporal functions of the imamate is the
imam of the state of manifestation.

It must be noted that the Khawirij are divided into different sects
but they tend to fmd a common ground in most of their teachings on the
imamate. They elect their own imams and they recognize the legitimacy of
the imamates of Abu Bakr and 'Umar. Only the.first six years of'Uthmin
are acceptable to them, in the same way that they approve of the imamate
of ~r before the Sifim arbitration. After Siffm, 'Ali had become an infidel
to the cause of Islam, thus necessitating the abandonment of cAli by the
Khawirij. They justify this situation with the teaching that an imam who has
strayed from the path loses his legitimacy.

41 Madelung, op. cit., 1167.

42 G. Levi llella Vida, "Khawaridj," Encyclopedia of Islam, IV, (1978), 1076.
43 Madelung, op. cit., 1168.
44 Madelung, op. cit., 1168.
45 This was given final form during the time of Ja1far 11 Sadiq. See Jafri, op. cit.,
299 and also I. Goldhizer; "Das Prinzip der Takja im Islam," Zeitschrift der Deutschen
Mor~enlandischen Gesselschaft, LX (1906), 213-20.
152 ASIAN STUDIES

The Zaydi Concept of the Imamah

The Zaydis are followers of Zayd ibn 'Ali ibn Husayn who recognize
the latter as imam instead of Muhammad al Baqir's son, Ja'far al Sadiq.
Upon the death of Muhammad al Biqir, there were disagreements regarding
succession and the majority followed Ja'far al Sadiq. This majority eventually
became the lmamis or the Ithna lAsh 'iiris while the followers of Zayd be-
came known as the Zaydis who, in turn, were later divided into two: the
Jariidis who followed Zayd but were also followers of Muhammad al Biiqir
and the Batriyah who recognized the imamate of Zayd but did not follow al
Baqir.46 The Jariidis did not recognize the imamate of Abii Bakr, 'Umar
and 'Uthmin. The Jariidis assert that the Prophet Muhammad designated
'Alf by specifying his qualifications although he did not mention him by
name.4 7 Madelung asserts that the designation claimed was by na~~ which
is also Imami idea. 48 The Zaydis believe that the Companions had erred
when they chose a wrong person as Caliph after the death of Muhammad
because God had willed lAir to be Muhammad's successor.49 The beliefs
of the Jarlidis came to prevail among the Zaydis from the third/ninth century
omyards. 50

The Zaydis agree with the lmamis on the idea of the imamate as an
exclusive privilege of the descendants of 'Ali and Fatimah. They trace succes-
sion either from the line of al Hasan or al Husayn, who,- together with their
father 'Ali have been invested with religious authority by Muhammad.

The teachings of the Zaydis on the imamate appear to be close to that

of the lmamis. Like the latter, they subscribe to the doctrine that the estab-
lishment of the imam is obligatory upon the community and it is the duty
of the believer to have knowledge of the im1im.

To be qualified for the imamate, the Zaydis require knowledge of reli-

gious matters, the ability to render independent judgment in law, piety,
moral integrity and courage. 51 They also believed that the position is limited
to the most excellent among the members of the community.

The legitimacy of the imamate is attained through a formal call to alle-

giance and not through an election.Apparently, this claim to the imamate was
a topic of discussions between Zayd and his brother Muhammad al Baqir.

46 Madelung, op. cit., 1168.

47 Friedlander, op. cit., 22.
48 Madelung, op. cit., 1168.
49 Friedlander, op. cit., 22.
50 Madelung, op. cit., 1166.
51 Madclung, ap. cit .. 1166.
 THE SHTA CONCEPT OF THF. IMAMAT£ 153

Zayd held that the im'iim was obligated to justify his cause if necessary by
force of arms. Muhammad al Baqir objected to this on the grounds that if
it were so, then their father Zayn al Abfdih would not have been an im~m
because he never took up arms to assert his right. 5 2 The early Zaydi doctrine
appears to accept usurpation of the im!imate by force. There was also a time
when they argued for the existence of two imams but the prevailing doctrine
upheld the idea of one imiim at a time. 53

The Zaydis do not attribute divinity to their imam and they limit the
manifestation of God in the im'iim as merely possessing divine guidance. 54

The Ism7i'ili Concept of the Imiimah

The question of who would succeed Ja tfar al Sadiq brought about

another cleavage among the Shita. The lsma'ilis uphold the imamate of
lsma'il and they claim that even if he died earlier than his father Ja'far,
he had already been designated by the latter as imlim through the principle
of nan. 55 They deviated from the Imliinis •in their idea of succession to
Jatfar and claim that after ~ma'il, his son Muhammad al Tamm inherited
the imamate. The lsmacilis believe that Muhammad al Tamm is the first
concealed irriam. After al Tamm, the line of succession continued to his
son Jatfar al Musaddiq, then to the latter's son Muhammad al Habib who was
the last of the concealed imams. These concealed imams in lsma tili teachirig
are not in ghayba or occultation. Rather, they are merely out of public view,
in a state of masti1r but actually present in that particular time and place.
Being in a state of ghayba means absence from the physical world. 56 Mu-
hammad al Habib was succeeded by his son Ubayd Allah (the Mahdi Of the
Fatimids). 57 Even if they separated from the Imliinis, the lsmli'ilis retained
a basic Imimi teaching which calls for a permanent need for an imam who is
sinless and infallible to lead mankind. 53

For the lsma'ilis, the imamate revolves around the number seven which
also corresponds to their cyclical view of history. 59 They assert that in each
prophetic era, the prophet is represented by his wasi or asas, During ~e time
of Muhammad, his asa was i\li. The lsma'ilis consider lsmatil as the seventh

S.2 D.M. Donaldson, "The Shi'ah Doctrine of the Imamate,"- Muslim World, 21
(1931), 17.
53 T. Arnold, The Caliphate (London: Luzac, 1965) 181.
54Gibb, op. cit., 535.
55 Ivanov, op. cit., 58.
56 s. H. Nasr, Ideals and Realities of Islam (Boston: Beacon Press, 1972), 159.
57 Friedlander, op. cit., Appendix B.
58]dadelung op.. cit., 116"7
59w. Madelung "Ismi Uiyya "Encyclopedia of Islam, IV, 203.
154 ASIAN STUDIES

imam, and explain his death as mere disappearance. The pre-Fatimid Isma'ilis
expected him to return as the seventh speaker-prophet. 60 In their attempt
to provide a continuity of the imamate from the "disappearance" death of
Ismli1il to the rise of the Fatimids to power, there were frequent changes in
lsmacili teachings on the imamate. After the Fatimid caliphate, two branches
of Ismarilism came about: the Tayyibi Ismii'ilism which recognize<} al Tayyib,
the son of the Fatimid al rAmir (d.524/1130) as imam; and the Nizari hma-
1ilism which claimed the imamate of Nizir, the son of the Fatimid al Mustan-
sir (d. 487/1094) as. imam. 61 This branch stayed in Iran until the nineteenth
century when they moved to India. 6 2

On the whole, the basic qualities of the imam as espoused by the ShTa
centers on piety and the spiritual purity of the imiim. The ShT 1a also concur
in considering ~i as the first imam As noted earlier, the Zaydis deviated
from the notion of the imam as accepted by the majority at the time of al
Baqir. Instead they asserted that after Husayn, who was the third imam,
the imamate belongs to any qualified descendant of Hasan or Hu11ayn who
calls his allegiance and rises against the illegitimate rulers. 6 3 For the lmamis,
the line of succession follows the descent of Husayn. Both of them reject
the concept of an elected imamate.

Also common among the ShT ca groups is the belief on the Mahdi al-
though they have different notions of who the Mahdi is. These differences
generated the appearance of numerous persons claiming to be the promised
Mahdi. Al Mukhtar claimed that it was Muhammad ibn Hanafiyya who was
the promised Mahdf: In contemporary times, there are still people who claim
to be the Mahdi. The Shi ~ faced frequent criticisms on their conception of
the Mahdi but their response has always been that the critics do not really
understand the concept.

III. The Mu~azili Influence on the ShTa Concept of the Imamah

Some of the Mu 'tazili ideas on the imamate are similar to the views of
several Shi'a groups. The Mu 'tazilis agree with the Zaydis on the recognition
of the imamate as the legitimate leadership of the community. Like the
Khawlirij, they also emphasize the importance of justice as a qualification
for the imamate as well as the idea that it is the duty of the community to
remove an unjust imam. The Murtazili concept of justice, however, implied
correct belief in accordance with their doctrine and submission to Divine law
in both private life and government. 64
601bid.
61 Madelung, op. cit., 1168-69.
62 Nasr, op. cit., 159.
63 Madelung, op. cit., 1166.
64Madelung, op. cit., 1165.
 THE SHI'A CONCEPT OF THE JMAMATE 1SS

The early Mu 'tazili also agreed with the Khawarij that succession to
the imamate should not be limited to the Quraysh, but later Mu'tazili doc-
trine held that no non-Qurayshite could become an imam if one from the
Quraysh was available. Like the Imamis, the Mu1 tazilis also subscribe to the
idea of one imam at a time. 6 5

Madelung emphasized that on the whole, there appears to be more con-

tradictions in the teachings of the Shi~ and the Mu 'tazilis rather than similari-
ties. One of these has to do with the lmami conception of the imam as one
who can .intercede on behalf of his followers to spare them from eternal
punishment. The Imamis see salvation as dependent upon a person's loyalty
and obedience to the imam. The Muttazilis, on the other hand, believe in the
unconditional punishment of sinners. 66 The attempts of representatives of
these two groups to integrate each other's teachings can be traced to the in-
teraction of the Mu 'tazili and Shi 'a thinkers, especially in the school of
Baghdad. 6 7 Some Mu ctazili scholars joined the Imimis and adopted the
latter's basic doctrine of the imamate while retaining their Mu 'tazili theo-
logy.6s

It is difficult to trace exactly the Mu 'tazili influence on the Shi 'a

teachings on the imamate ·but the frequency of contacts among their scholars
and thinkers must have contributed to the formulation of both Shi 'a and
Mu 'tazili doctrines on the imamate. Watt notes that it was not just the con-
tacts and discussions but also the writing of books on the imamate by the
Imimis which were directed against Mu 'tazili teachings on the subject. 69
An apparent source of conflict was the Imimi difficulty of merging Muctazili
ideas witfr-their existing beliefs. Another is the Imami's having elevated the
imamate to the level of prophecy.

IV. The Sunni Concept of the Imamate as Compared to that of the Shi'a

The question of the nature and degree of authority ascribed to the

imamate constitutes a fundamental difference between the Sht'"'a and the
Sunni sects. While both accept the obligatory nature of the imam on the
part of the community, the Sunni emphasizes that the successor of Muham-
mad, who is called the khalifah is subordinate to religious law. The imam
according to the Sunnis exercise his authority as a ruler of the community;
it is incumbent upon him to implement religious law but he is not himself
the religious authority. The Shi''a on the other hand assert that aside from
65/bid., 1166.
66 Madelung, "lmamism and Mu'tazilite Theology," Le Shi~sme Imamite (Paris,
1970), 13:- 30.
67Watt, op. cit., 288-293.
68Madelung, "lmamism... "
69 Watt, op. cil.
156 ASIAN STUDIES

being a ruler, the imam must also be the supreme religious authority, whose
virtues of sinlessness and infallibility puts him in a position to decide issues
that are theological in nature. The Shl'a see the imiim as the repository of
religious knowledge and interpreter of the religious sciences. Contrary to
the Sunni, the responsibility of the Caliph resides largely in his safeguard-
ing religion from heterodoxy and destructive innovations.

Mawardi's Ahkiim al Sultaniyya 70 is one of the treatises which repre-

sent the Sunni position on the Caliphate. 7 1 The rights and duties of the
Caliph as embodied in that document emphasize the actual exercise of poli-
tical power.

There are also differences in the Sunni and Shi'a qualifications for the
imamate. The Shi'a, with the exception of the Khawarij, insist on ~If and his
descendants as having the rightful claim to the imamate. The Sunni on the
other hand requires that the imam be a descendant of the Quraysh tribe
but he need not necessarily come from the immediate family of Muhammad.
In addition, the Sunni demands that the imam must be knowledgeable on
the law and must be just since his primary task is to administer justice. 7 2
He must also possess 'ilm (knowledge) which can enable him to perform
ijtihlld (independent reasoning) and pass judgment; he must be physically
and morally fit; he must be able to protect Islamic territory and carry on
jihiid (religious war). 7 3 The Khawiirij share Sunni views otl. the proper qualifi-
cations for the imam. The majority of the Shi'a, on the other hand, appear
to put more emphasis on the moral and religious qualifications of the imam,
and this has to do with the Shica position on the functions of the imam,
particularly in terms of his being a religious authority and repository .of reli-
gious knowledge. When 'Ali was the caliph, a number ofhis critics considered
him lacking in political skill than what his predecessors .or his opponent
Mu'awiyya possessed. Nevertheless, the followers of 'Ali and the succeeding
Shi'a groups exhalted his piety and his extensive knowledge of the Qur'iin
and Sunnah.

The Sunni believes that the proper procedpres of choosing the caliph
is either by appointment by his immediate predecessor or elected by the
religious community. The Sunni emphasizes ijmii' or the consensus of the
community in matters of choosing the imam. It is only after the caliph has
received the bay~ (allegiance) of the community that he assumes legitimacy
as caliph. The Imiimi and lsmii1ili idea of succession through the descent
from •Ali and through designation does not follow the concept of ijma as
70 Al Mawardi, AhkOm al Sultaniyyah (Cairo: Al Matba'at, n. d.).
71 Caliphate is normally used to refer to the Sunni institution, whereas, in the
case of the Shi~, it is imamate.
72 This is based on the Qur'an, IV:lOS and IV:58.
73 Al Mawardl; op. cit., 4.
 THE SHi'A CONCEPT OF' THE IMAMATE 157

understood in Sunni jurisprudence. In other words, the Shi'a doctrine of

designation by God implies the acceptance of the community and carries
further the assumption that the designated imam is imposed upon the com·
munity.
V. Conclusion
After the demise of the prophet Muhammad there were no specific pro-
visions regarding succession to the caliphate. As a result, conflicts imme-
diately shook up the early Islamic community. The fact that Muhammad
did not give any specific instructions for an election naturally gave rise to
rival claims to the caliphate or imamate by opposing factions. The problem
started when the followers of cAlf believed that it was 1Ali and nobody else
who had the right to succeed Muhammad. But the question was not settled
with the installation of 'Ali as the fourth caliph, rather, it proved to be only
an inital manifestation of the deeper conflicts over the issue of succession.
According to Wellhausen "Airs claims to the caliphate showed that he was
desirous of power, and that the Khawirij sect viewed the actions of 'Ali,
particularly at Siffin as an indication that he had deviated from the right
path. 74 (Airs having been elected to the caliphate, however, appeared to be
more the result of the fact that he was among the remaining trusted com-
panions of Muhammad rather than his having been a member of the Prophet's
household. It seems that from the beginning, the family and followers of Ali
conceived of a dynastic principle of succession but since Muhammad had no
male heir, they asserted that belonging to the household of Muhammad was
sufficient enough as a legitimate prerequisite for succession.

It is not easy to ascertain the motives behind the conflicts that resulted
out of the issue of succession to the leadership of the Islamic community.
Gibb noted that the motive of the early Shra was primarily political and that
they were interested in obtaining temporal rule. 7 5 One wonders what moti-
vated the movement of al Mukhtar who claimed the right of succession for
Muhammad ibn Hanafiyya 76 who, they believed had as much right to the
imamate as al Hasan and al Husayn. The followers of this movement came
to be known later as Kaysllnis. The movement of al Mukhtar raised questions
as to who specifically among the descendants of 'Ali ~ad the right to the
imamate. The issue came up again in the time of the fifth imim. At that time,
the majority of the Shi 'a accepted Muhammad al Baqir while a minority,
known as the Zaydis, claimed the right of Zayd. The succession of Jacfar al
Sadiq raised the same question, with the Shl'a splitting further into the
Imimis and the Isma\lis.

74Wellhausen, ~p. cit.

75 Gibb, op. cit., 534.
76 Son of Ali by a Hanafi woman. Lewis traces the frrst use of the word MadhT
·in a messianic context to this movement. See Bernard Lewis, The Origins of Isma~lism
(Cambridge: W. Heffer and Sons, Ltd., 1940), 25.
158 ASIAN STUDIES

The history of the Shi1a witnessed the formation of various groups

with their own claims to the imamate. Aside from the groups discussed in
this paper, there were the Ghulats, w.ho held the reputation of being extre-
mists, the Kaysanis, the JanTdis, the Waqifis who rejected the imamate of
Ali al Rida, and several others, each differed from the other in certain
aspects of their teachings on the imamate. While the Sunni doctrine on the
imamate sought to preserve the unity of the ummah under the historical
caliphat~ against the threat posed by the claims of the opposition move-
ment, 7 7 the development of the doctrine among the Shra groups did not
reflecythe same goal. Instead, there was a continuing divergence of ideas as
well as calls to loyalty to specific persons. One can surmise that the goal was
more to strengthen the position of one group against that of the other. From
the standpoint of the non-Muslim, the struggle for power and its consolida-
tion are absolutely political matters but in a situation where the political and
religious powers are so intertwined, there are no clear dividing lines between
spiritual and temporal powers. What we could look into is where the emphasis
lies - in the political or in the spiritual aspects. The formation of the Shi'a
reflects an emphasis on the political side although they sought to combine
in the person of the imam the spiritual and political roles of Muhammad,
except his prophetic function. Starting initially as partisans of 'Ali, the Shi'a
have grown into an important schism in Islam which commands following,
particularly in Iran and Iraq. Particular Shi'a groups have their respective
followings. in specific geographic areas like the Imlimis or Ithna 'Ash 'aris
predominantly in Iran and Iraq; the Ismarilis with a substantial following in
India and Pakistan, and the Zaydis in Yemen.

In countries which were formerly Christian, writers note influences of

this religion on some aspects of the doctrine on the imamate. The new
converts to Islam carried over their earlier beliefs and ideas. It can be said
that the development of distinctive shra doctrines on. the imamate was a
product of cultural contacts and the offshoot of discussions among the
various scholars and thinkers Shi'a, Mu'tazili, as well as Sunni. Shi'a concept
of the imamate evolved as a matter of practical necessity to wrest leadership
of the Islamic community. It found its justification in various teachings of
the religion and in the Qur;an. While Shjla concepts of the imamate did not
deal with specific mechanics of the institution of the caliphate (or imamate),
these concepts nevertheless provided guidelines and principles upon which
the relationship among the faithful may be conducted.

77Madelung, op. cit., 1164.

 THE SHi'A CONCEPT OF THE IMAMATE 159

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