OCR Specification focus:
‘Uthman ibn Affan (644–656), early successes, growing internal problems, rebellion and the murder of Uthman; Ali ibn Abi Talib (656–661), opposition and arbitration.’
Introduction
The third and fourth Caliphs, Uthman ibn Affan and Ali ibn Abi Talib, ruled during years of rapid expansion but growing internal divisions, shaping Islam’s political and religious trajectory.
Uthman ibn Affan (644–656)
Early Successes
When Uthman became Caliph in 644, the Muslim empire was still consolidating its remarkable conquests under Umar. He oversaw:
Further territorial expansion, including into North Africa, Armenia, and eastern Persia.
A map of the Rashidun Caliphate’s maximum extent c.654, reached under Uthman, showing expansion into North Africa, Armenia, and Persia. This contextualises Uthman’s military successes and the strain of rapid territorial growth. Source
The standardisation of the Qur’an: Uthman ordered a definitive recension of the holy text to prevent regional variations.
A folio from the early “Tashkent Qur’an,” written in Kufic script. Though dated slightly later (8th–9th c.), it illustrates the form of manuscripts linked to Uthman’s standardisation and the visual impact of early Qur’anic codices. Source
Increased focus on naval warfare, establishing a fleet that defeated the Byzantines at the Battle of the Masts (655).
Standardisation of the Qur’an: The process initiated by Uthman to compile a single, authoritative text of the Qur’an, eliminating variant readings across the empire.
This was a defining cultural achievement, ensuring a unified religious foundation for the Muslim community.
Growing Internal Problems
Despite these successes, Uthman’s reign became increasingly troubled. Several key issues fuelled opposition:
Accusations of nepotism: Uthman was from the powerful Umayyad clan, and he appointed many relatives as governors and administrators.
Economic discontent: Wealth from conquests flowed unevenly, with complaints of inequitable distribution.
Governorship disputes: His relatives’ heavy-handed rule, especially in Egypt and Kufa, alienated many.
The empire’s rapid growth intensified strains between the centre and provinces, undermining traditional tribal balance.
These tensions eroded Uthman’s legitimacy in the eyes of many Muslims, who accused him of departing from the earlier simplicity and justice of Abu Bakr and Umar.
Rebellion and Assassination
By the mid-650s, unrest escalated into open rebellion:
Discontented groups in Egypt, Kufa, and Basra coordinated opposition to Uthman’s rule.
Rebels accused him of corruption and demanded reform.
In 656, rebels besieged Uthman’s house in Medina. Despite appeals for compromise, he was murdered while reading the Qur’an.
This assassination marked a dramatic rupture in the early Caliphate, leading to the first major civil war (Fitna).
Ali ibn Abi Talib (656–661)
Succession and Early Opposition
After Uthman’s death, Ali ibn Abi Talib, cousin and son-in-law of the Prophet, was chosen as Caliph. His rule began under immense pressure:
Supporters saw him as the rightful leader by kinship and piety.
Opponents, especially the Umayyads, demanded justice for Uthman’s killers before accepting his authority.
Prominent figures, including Aisha (the Prophet’s widow), opposed him, claiming he failed to punish Uthman’s assassins.
Ali inherited a divided community, with legitimacy questioned from the outset.
The First Fitna
Ali’s caliphate became dominated by the First Fitna (656–661), the first civil war in Islam:
Battle of the Camel (656): Ali’s forces defeated an army led by Aisha, Talha, and Zubayr, who challenged his rule.
Battle of Siffin (657): A major confrontation with Mu’awiya, governor of Syria and Uthman’s kinsman, ended inconclusively. Mu’awiya refused to recognise Ali until Uthman’s murderers were punished.
A map of the First Fitna showing Ali’s and Muʿawiya’s territories and the main battles. It highlights Iraq and Syria as opposing centres of power and clarifies the strategic background to Siffin and arbitration.
Arbitration: The process agreed upon at Siffin in which both sides consented to appoint arbitrators to resolve the conflict, instead of continuing battle.
This arbitration undermined Ali’s position, as many of his supporters felt he had compromised divine authority by submitting to human judgement.
Opposition and the Kharijites
The arbitration process created further divisions:
A radical faction, the Kharijites, broke away, denouncing both Ali and Mu’awiya.
They believed true Muslims should reject any leader who strayed from justice, adopting the slogan “Judgement belongs to God alone.”
Ali was forced into conflict with them, defeating them at the Battle of Nahrawan (658).
Assassination of Ali
By 661, Ali’s authority had weakened considerably. His opponents gained strength, while internal disillusionment grew.
Ali moved his capital to Kufa to consolidate support in Iraq.
In 661, he was assassinated by a Kharijite while praying in Kufa’s mosque.
His death ended the rule of the Rightly Guided Caliphs and cleared the path for Mu’awiya to establish the Umayyad dynasty, transforming the caliphate into a dynastic monarchy.
Significance
Uthman’s assassination shattered the unity of the early Muslim community, setting a precedent for violent political conflict.
Ali’s caliphate highlighted the deepening divide between tribal politics, religious legitimacy, and justice.
The emergence of factions (Ali’s supporters, the Umayyads, and the Kharijites) created long-lasting divisions in the Muslim world.
These events laid the foundations for the Sunni-Shi’a split, as many came to regard Ali and his descendants as the only legitimate leaders of Islam.
FAQ
Uthman’s recension ensured a single, authoritative text across the empire, which became the foundation for Islamic legal, theological, and linguistic study.
It reduced disputes about variant readings and preserved the Qur’an’s integrity. Later scholars such as grammarians and jurists relied on this unified text to systematise religious law and Arabic language study, influencing Islamic civilisation for centuries.
Ali was renowned for his bravery in battles such as Badr and Khaybar, and as the Prophet’s cousin and son-in-law, he carried immense symbolic authority.
Many viewed him as embodying both martial skill and piety, making him a natural candidate for leadership. This reputation helped him secure the loyalty of many in Kufa and Iraq, who saw him as the rightful Caliph.
The provinces experienced instability, as governors appointed by Uthman were often expelled or challenged by local populations.
In Egypt, rebel forces became a key base of opposition.
In Iraq, especially in Kufa and Basra, rival factions vied for influence, leading to unrest.
This weakening of central authority made it difficult for Ali to establish firm control over the expanding empire.
The Kharijites believed that accepting human arbitration over divine judgement contradicted the Qur’an. Their slogan, “Judgement belongs to God alone,” captured this principle.
They considered both Ali and Mu’awiya illegitimate, as neither had upheld what they saw as God’s absolute justice. This radical stance led them to form a separate, militant movement that destabilised Ali’s rule further.
The battle, fought near Basra in 656, was significant as it was the first time Muslims fought a major civil war against each other.
Ali’s victory secured short-term control but deepened divisions. The involvement of Aisha, the Prophet’s widow, intensified the sense of crisis, as Muslims had to confront the reality of revered figures taking opposing sides in battle.
This contributed to long-lasting tensions within the Muslim community.
Practice Questions
Question 1 (2 marks)
Identify two reasons why Uthman ibn Affan faced opposition during his caliphate.
Mark Scheme:
Award 1 mark for each valid reason identified (maximum 2).
Possible answers include:
Accusations of nepotism (appointing Umayyad relatives to key positions).
Unequal distribution of wealth from conquests.
Heavy-handed rule by governors, particularly in Egypt and Kufa.
Perception that Uthman departed from the simplicity and justice of earlier Caliphs.
Question 2 (6 marks)
Explain why the arbitration following the Battle of Siffin (657) weakened Ali ibn Abi Talib’s position as Caliph.
Mark Scheme:
Level 1 (1–2 marks): Limited knowledge; simple description of the arbitration without explanation.
Level 2 (3–4 marks): Some understanding; explanation of one or two factors with limited detail.
Level 3 (5–6 marks): Clear and developed explanation of multiple factors with supporting detail.
Indicative content:
The arbitration undermined Ali’s authority because many of his supporters believed he had compromised divine authority by submitting to human judgement.
Mu’awiya used the arbitration to strengthen his own claim and portray Ali as weak.
The process created internal divisions, leading to the emergence of the Kharijites, who rejected Ali’s leadership altogether.
Overall, the arbitration caused loss of legitimacy and fragmentation of Ali’s support base.
