SyCalUm

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Phase I Variables (polity-based)

General variables

♠ RA ♣ Stephen Dean; Edward A L Turner ♥ these codes were reviewed atSeshat Workshops, Oxford 2014 and 2017

♠ Original name ♣ Umayyad Caliphate ♥

♠ Alternative names ♣ Umayyad Dynasty; Al Hilafa al umawiyya; House of Umayyad ♥ Al-Ḫilāfa al-ʾumawiyya ... this could no be machine read

♠ Peak Date ♣ 724 CE ♥


Temporal bounds

♠ Duration ♣ 661-750 CE ♥ The Umayyad Caliphate was formed in 661 CE by Muawiya ibn Abi Sufyan, following the assassination of Caliph Ali ibn Abi Talib. It ended with the defeat of the Umayyads by the Abbasids in the Third Muslim Civil war in 750 CE. [1]

♠ Degree of centralization ♣ unitary state ♥ unitary state: 680 CE [2]

♠ Supra-polity relations ♣ none ♥

Supra-cultural relations

♠ preceding (quasi)polity ♣ Rashidun Caliphate ♥
♠ relationship to preceding (quasi)polity ♣ continunity ♥
♠ succeeding (quasi)polity ♣ Abbasid Caliphate I ♥
♠ Supracultural entity ♣ Islam ♥
♠ scale of supra-cultural interaction ♣ 9,000,000: 700 CE ♥ km squared.

♠ Capital ♣ Damascus; Harran ♥ Damascus: 661-744 CE; Harran: 744-750 CE ... this could not be machine read Muawiyah established Damascus as the capital during his rule. [3]


♠ Language ♣ Arabic; Coptic; Greek; Persian ♥ "Under the administrations of the Caliphs 'Abu al-Malik and Al-Walid, tax registers, resumes and correspondences were translated from local languages to Arabic. The process of using Arabic as an administrative language radiated outward from the centre, being implemented first in Iraq in 697 CE, then to Syria and Egypt, and Khurasan by 700 CE."[4] "A multitude of languages were spoken in the territories conquered by Islamic conquest, from Basque in Iberia to Aramaic and Armenian,the various Berber language, African Romance, Georgian, Hebrew, Turkic, Kurdish, and others." [5] In Egypt the adoption of Arabic as the language of local government took over 100 years. Initially almost all papyruses were written in Greek. 643 CE saw the first bilingual Greek-Arabic document and 719 the last. Earliest known Arabic only document is dated 709 CE. The last papyrus written in Greek was in 780 CE. [6]

General Description

The Umayyad Caliphate was formed in 661 CE by Muawiya ibn Abi Sufyan following the assassination of Caliph Ali ibn Abi Talib, the cousin of the Prophet Muhammad.[7] It ended with the defeat of the Umayyads by the Abbasids in the Third Fitna (a series of Muslim civil wars) in 750 CE.[8] The Ummayad Caliphs, based in Damascus in Syria, ruled a large territory stretching from the Near East all the way through North Africa and into southern Spain.

Population and political organization

The caliph was a tribal patriarch and head of the ummah, the entire Islamic community. The central government of the Umayyad Caliphate was almost non-existent at the start of the period but entered a more developed stage in the mid-8th century. One of the reasons for this lack of central administration was the exceptionally successful Arab-Muslim army combined with the existence of functioning bureaucracies in the former Sassanid and Byzantine domains, which were left largely intact.[9] Thus, under Muawiya - the first Ummayad Caliph - the ruler was 'surrounded by Arab chiefs' with no other central administration.[10] At Damascus, an administrative system staffed by permanent officials[11] dates from the reigns of al-Malik (685-705 CE) and al-Walid (705-715 CE).[12]
The caliphs, from their residence in Damascus (661-744 CE) and then Harran (744-750 CE), employed a chamberlain to manage visitors and regulate daily affairs,[13] and maintained an office of the chancery[14] with officials called diwans to manage the collection of taxes and payment of salaries.[15] In order to impose their authority over the provinces, which had a combined population of up to 33 million,[16] the Umayyads typically sent civil and military governors (amel and amir).[17] In the regions they conquered, the Ummayads had no choice but to use the resident staff because institutions to train and educate bureaucrats had not yet developed in the Arab Muslim context. In Egypt, for the first century of Umayyad rule, 'all the provincial officials were Christians'.[18] The Umayyad Caliphate was thus an exceptionally multicultural empire with a diverse governmental and cultural heritage.
This diversity was reflected in the number of languages spoken across the territory conquered by Muslims: from Basque in the far west to Berber and African Romance languages along the southern shores of the Mediterranean, and Aramaic, Turkic, Hebrew, Armenian and Kurdish in the east.[19] The use of Arabic as an administrative language began in Iraq in 697 CE, but spread outwards to Syria, Egypt and, by 700 CE, Khurasan in modern-day northeastern Iran.[20] In Egypt, the adoption of Arabic as the language of local government took over 100 years; initially, almost all papyruses were written in Greek. The first known bilingual Greek-Arabic document dates to 643 CE, and the last to 719. The earliest known Egyptian document written exclusively in Arabic is dated to 709 CE, and Greek was still being used up until 780 CE.[21]

Social Complexity variables

♠ RA ♣ Stephen Dean; Edward A L Turner ♥ these codes were reviewed atSeshat Workshops, Oxford 2014 and 2017

Social Scale

♠ Polity territory ♣ 9,000,000: 700 CE ♥ squared kilometers. 6,700,000: 661 CE; 7,850,000: 680 CE; 9,000,000: 700 CE; 11,100,000: 720-750 CE [22]

Actual control of this territory, especially in areas recently conquered means that this estimate should be viewed with some skepticism. Much of the territory was uninhabited desert.

♠ Polity Population ♣ [23,000,000-33,000,000]: 700 CE ♥ People. [23,000,000-33,000,000]: 720 CE [23].

♠ Population of the largest settlement ♣ [200,000-400,000]: 700 CE ♥ Ctesiphon.

Ctesiphon in 622 CE: 500,000. [24] How many remained after Seige of Ctesiphon, and its subsequent looting in 637 CE is unknown.

Kairwan in 800 CE: 80,000. [25]

Fustat in 800 CE: 100,000. [26]

Fustat c750 CE: 200,000. [27]

Fustat (earliest period): 10,000 soldiers. [28]

Arab population of Fustat 30,000: 670 CE; 50,000 750 CE. Including slaves, clients and Copts 200,000: 750 CE. [29]

Samarkand in 800 CE had a population of 75,000. [30]

Alexanderia in 622 CE had a population of 94,000, which increased to 95,000 by 800 CE . [31]

Damascus in 800 CE had a population of 65,000. [32]

Hierarchical Complexity

♠ Settlement hierarchy ♣ 6 ♥

For issues with population estimates, especially in the period before large scale conversion to Islam, see the arguments presented in Blankinship's End of the Jihâd State [33]

For detailed coverage of the individual polities below, see Cities of the Middle East and North Africa: A historical encyclopedia [34]

The settlement hierarchy can be divided into six subsets:

1. Metropoles 50,000-150,000 Cairo, Damascus [35]

2. Provincial Centres 20,000-50,000: Antioch, Alexandria [36]
3. Provincial cities 10,000-20,000: Jerusalem [37]
4. Small towns 500-10,000 Gaza, Hebron [38]
5. Villages 200-500
6. Nomadic peoples (i.e Berbers)


♠ Administrative levels ♣ [5-6] ♥

1. Caliph (tribal Patriarch, head of the Umma)

_ Central government line _

2. "in Mu'awiya's time, the caliph was surrounded by Arab chiefs."[39]
3. "in Mu'awiya's time, the caliph was surrounded by Arab chiefs. Now [i.e. some time after Mu'awiya] a chamberlain kept visitors in order and regulated daily business."[40]
4. office of the Chancery staffed by professionals.[41]
5. ... ? ...

"Under the Arab domination the East Roman civil servants continued to work for the government. The Byzantine theologian, John of Damascus, belonged to the well-known family of Mansur and under the first Umayyad Caliph Muawiya the financial administration of the Caliph had been controlled by Sarjun ibn Mansur. These Christians, formerly in the service of the East Roman exchequer, carried through vital financial reforms for the Caliphs. As the East Romans had done in the case of the great imperial army, they divided up the Arab tribes into separate katasters which registered all members of each particular tribe. ... They also had the idea of departing from Byzantine precedent which divided the land among the soldiers and settled them on it as military farmers. But they grouped them together in strongholds which were set up in districts which could supply their economic needs. Thus military establishments were placed in Kufa, Basra and Cairo (al-Fustat) because the troops garrisoned in these places could easily be provisioned from the fertile and highly developed countryside."[42]


_ Provincial line _

2. Amel (civilian governor) and Amir (military governor)
"In the early years after the Islamic conquest both “civil” governors (ʿāmels) and military governors (amīrs) were appointed over towns and districts as circumstances demanded." [43]
Regional military governors (members of Arab tribal coalition). Mu'awiya (661-680 CE) "appointed regional governors over tribal army but did not create a "centralized government apparatus" [44]
Prefects sent from Damascus administered Egypt. [45]
The Egyptian capital had a governor.[46]
3?. Local rulers of Sasanid/Byzantine regions
for example, the "shahr" district under Sasanids had a "king" appointed by the King of Kings.
In the Umayyad period did this official report directly to the caliph's regional governors or to the caliph himself?
4?. Head administrator of local government
E.g. Sasanid local government was run by a shahrab and a mowbed and often an accountant.
5?. Official of a rustag
Reported to the local government bureaucracy?
6?. village headman

It is important to make a distinction between the central government line and provincial line in the administrative hierarchy of the Umayyad Caliphate.

The central government line was non-existent at the beginning and was in a developing stage in the mid-8th century, so there was low administrative hierarchy in the central government throughout this period. However, the provincial line of government was extremely well-developed from the start because the Muslim-Arabs retained the bureaucracies of the Sasanids and Byzantines, and in fact also kept their administrators.

According to Lapidus: the Muslim-Arabs: "Reconstructed the governing apparatuses of the Byzantine and Sasanid empires." [47]

One could therefore speculate the Caliph replaced the Sasanid provincial governors (the Shahrabs) with his own military chiefs and kept the e.g. Sasanid bureaucracy below it intact. In Iraq this may have been a Sasanid district called a shahr, which had its own chief or king and a government (further levels of complexity). A division within a shahr was called a rustag. There was a further division below this called a "deh" run by a village headman. [48]

The Abbasids who followed the Umayyad's formalised a "hierarchy of districts" in Iraq, Iran and Egypt including the bottom unit called "rustag." The Sasanids who preceded the Umayyads also had a "rustag."


♠ Religious levels ♣ 2 ♥

In theory the Caliphate and governors were the head of the Sunni faith, but in practice local religious scholars (ulama) attracted the wider populace as definers of doctrine. Unlike the Orthodox or Catholic faith, the structure of the Islamic faiths were not clearly hierarchical as all were theoretically equal before Allah. The period also saw the rise of the religious sects. [49]

1. Caliph as head of the Sunni Muslim Umma.

2. Imams: successors of the prophet and leaders of the Muslim world.


♠ Military levels ♣ 3: 661-705 CE; 5: 705-750 CE ♥

In the beginning of the Umayyad Caliphate the Army was effectively a tribal institution supported by local auxiliaries and foreign military units that had deserted from the Caliph's enemies. Demarcating a distinct command is effectively impossible as it was non existent. Tribal loyalty determined who men would follow over a title. Following a period of Civil war, the military was reformed under the reign of 'Abd al-Malik (685 CE-705 CE)to a more permanent system. This was not the case with the guards of the provincial cities and the Caliph, as indicated below.

Domestic Guardsmen

The Shurta (police) and the Haras (guards) were responsible for the securing the capital and maintaining the security of the Caliph and his family. [50]

1. Caliph

2. Sahid-al-Shurta (provincial commander)
3. Common guardsman (661 CE-705 CE)

Military

The layout below is an oversimplification. In the earlier period of the Umayyad Caliphate the Caliphs had relied on the service of Arab tribes originally from Arabia, and subsequently settled in garrison cities in newly conquered lands. As the empire expanded this system changed to an increasingly professional army paid for in cash rather than a tribal nation in arms. The was also geographic variation. In Syria, Permanent garrisons differed from the temporary Arabic cohorts used for Jihad campaigns. [51]

661-705 CE

1. Caliph

2. Amir
3. Muqualtila (fighting men)[52]

705-750 CE

1. Amir al-mu' minin (official title of the Caliph)

2. Amir (commander or governor of a province or army)
3. Qa-id (military officer)
4. Arif (leader of a militay unit of ten to fifteen soldiers)
5. Muquatila (Muslim soldiers paid a salary)

Professions

♠ Professional military officers ♣ absent: 661-682 CE; present: 683-750 CE ♥

Military commanders were selected from the tribal nobility, called the Ashraf. The state could shift the ri'asa, or headship of tribes from one family to another, a sort of half formed precursor to professional military commanders. Internally, the structure of command was very fluid.[53]

"Men were appointed to command armies for different reasons: they were loyal to the regime, they could recruit followers and attract men to their service, they could organise the collection and payment of revenues and they were effective and knowledgeable commanders in battle. ... In the main, however, it is unhelpful to think of a hierarchy, of generals, or of an officer class."[54]

♠ Professional soldiers ♣ present ♥ "The armies of the Umayyad and early 'Abbasid period were paid stipends in minted coin. At the beginning of this period, these stipends could be thought of as the hereditary right of those whose names appeared in the diwan registers. During the course of the second/eighth century, the Caliphs and their representatives forced a transformation so that the stipend became a true salary, a payment for work done. Unlike their contemporaries in the West, the soldiers of the Caliphs were never given land grants in lieu of salaries. Sometimes they might be given houses or plots of land on which to build, but not to provide an alternative income. One the rare occasions when larger land grants were given to soldiers it was as a reward for past services, rather than payment for continuing and future ones. Both Umayyads and 'Abbasids normally maintained the separation of the military from tax-collecting: apart from dire emergencies, soldiers were never given the right to collect taxes with which to pay themselves. This was always done by the government diwans."[55]

The Muqatila, translated as fighting men, were the cornerstone of the Umayyad Caliphates armed forces. They in term were registered in Diwans that were based on where the tribes had been garrisoned. The actual number of men who could or would muster during a campaign varied considerably. [56]

"The Arab armies which overran Sasanid Iraq and Iran in the middle decades of the 7th century A.D. comprised essentially the levée en masse of the male, free Muslim Arab cavalrymen (the moqātela), receiving stipends (ʿaṭāʾ) from the dīvān". [57]

♠ Professional priesthood ♣ [absent; present] ♥ If not initially, later developed.

Sunni Islam did not have the equivalent of a professional priest. The leader of the daily prayers was given a special title and a person widely thought to be learned would be awarded a title of Imam, but this did not connote a hierarchy of belief. The Caliph was in theory the head of the entire religious community made up of all Muslims. Certain originators of judiciary schools were awarded special titles, but these rare individuals were not the equivalent of saints. The increasing fractured nature of Sunni and Shi'ite religious controversy led to a divergence in the use of titles to members of the umma. [58]


Bureaucracy characteristics

♠ Full-time bureaucrats ♣ absent: 661-685 CE; present: 685-750 CE ♥ The administrative system was staffed by permanent officials. [59] from the reign of al-Malik (685-705 CE) and al-Walid (705-715 CE) [60]. In Mu'awiya's reign, the caliph was surrounded by Arab chiefs.

♠ Examination system ♣ absent ♥ [61]

There was no formal system to test a scribe's suitability for the civil service.

♠ Merit promotion ♣ present ♥ In the early period the conquering Arabs had no choice but to hire the best educated available because institutions to educate Muslim-Arabs had not been established. For example. in Egypt "during the first hundred years, all the provincial officials were Christians." [62] From the Copts, Orthodox Greeks and Jews the Arabs "drew the bureaucrats they needed to administer the country." [63]

Or?

kinship and connections were the most important part in determining promotion. Alternatively, skilled writers could seek patronage of the caliph directly, leading to a fiscal reward for skill. However, to gain access to such a network required the right background and social network.

However?

There may not have been an explicit policy to promote on merit but the officials who ran the bureaucracies of the Caliphate were not picked based on their Muslim-Arab heritage. Both Arab and non-Arab were appointed as administrators.[64] Arab-Muslims did not have the personnel to staff an empire and relied on local bureaucrats, who therefore kept their positions based on their skills rather than removed because they were conquered people.
From the end of the 7th century "the business of government was conducted by professional administrators (both Arab and non-Arab) rather than by councils of Arab chiefs." However, the non-Arabs (except in Persia?) came to work in Arabic. "In the first decades of the Arab empire, administration had been carried out by Greek- and Persian-speaking officials inherited from the older Empires. By 700, however, a new generation of Arabic-speaking clients came to power - an indication of a broad process of Arabization in the region."
Caliph Umar (717-720 CE) "believed that the domination of one ethnic caste over other peoples was un-Islamic. The peoples who filled the armies and staffed the administration, the merchants and artisans who took a leading part in the propagation of Islam, would all have to be accepted as participants in the empire. The antagonisms between Arab and non-Arab would have to be dissolved into a universal Muslim unity." [65]
However, the Abbasids "returned to the principles of Umar II, The Abbasids swept away Arab caste supremacy and accepted the universal equality of Muslims." [66]

♠ Specialized government buildings ♣ present ♥ Records of the government were housed in archives. [67]


Law

♠ Formal legal code ♣ present ♥ [68]

In the Umayyad Caliphate the law code was an almagram of Roman law, indigenous law, Arab tribal law and ancient Near Eastern laws alongside the feelings of the Qadis, who were full time judiciary officials representing the Caliph.[69]

♠ Judges ♣ absent ♥ We code present for specialist judges. If judges were "multicompetent state officials" it does not appear they are specialists who only judge law. For similar case e.g. the Roman Principate.

Judges were "multicompetent state officials dealing with justice, police, tax, and finance issues." [70]

Judges were appointed by the Caliph and were called Qadi. [71] Caliphal appointment of judges from 642 CE.[72]

In Egypt "a judge (qadi) arbitrated civil and criminal cases." [73]

♠ Courts ♣ absent ♥ Court proceedings took place either in a Judge's own residence, the main mosque of the city or in the palace.[74]

♠ Professional Lawyers ♣ inferred absent ♥ no specialist court or judge so lawyer unlikely to be a specialist? This needs to be checked by an expert.

"In legal matters, Patricia Crone points out, "there is no trace of the Prophetic tradition until about 770" and it was the lawyers in particular who created the stories about Mohammed simply to back up their own arguments in law. "Numerous Prophetic traditions can be shown to have originated as statements made by the lawyers themselves ... it was the lawyers who determined what the Prophet said, not the other way around." Bukhari is said to have accumulated as many as 600,000 traditions, of which he only accepted as authentic 7,000, or just over one per cent!" [75] -- these are religious scholars not lawyers as this variable codes? lawyers do "red tape", defend, prosecute, submit claims etc.

Specialized Buildings: polity owned

♠ irrigation systems ♣ present ♥ [76] Existing networks were present in conquered areas in Egypt, Iraq and Syria. The Ummayyad's also created new networks for palaces and the imperial capital at Damascus.
♠ drinking water supply systems ♣ present ♥ Canals, aqueducts and qanats were used alongside mechanical water driven machinery (norias) to raise water to higher levels as well as the animal powered saqiyas. Water was crucial in Mosques because of the cleansing rituals. Drinking fountains were called Sabil.[77]
♠ markets ♣ present ♥ [78] Map of Middle East region shows locations of "Annual market fairs." [79] Markets established for army to sell troops weapons, sometimes grain, which they were expected to buy with their own money.[80]
♠ food storage sites ♣ present ♥ [81]

Transport infrastructure

♠ Roads ♣ present ♥ In cities like Damascus the roads were paved. [82] Streets in Fustat including the paved road "Darb al-Balat" (Pavement Street).[83]
♠ Bridges ♣ present ♥ Boat bridge over river Nile.[84] "Bridge building and renovation was an essential part of imperial building programs in the Islamic lands ... Many early bridges were decorated with stone plaques that commerated their patron." [85]
♠ Canals ♣ present ♥ In Egypt, re-excavation of a Roman canal that linked to the Red Sea (Rashidun Period) that was maintained until 774-775 CE when it was blocked by the Abbasid caliph al-Mansur. [86]
♠ Ports ♣ present ♥ The Persian Gulf and the Mediterranean coast had numerous ports. These were often pre-existing facilities taken over during the Islamic conquest. [87]

Special purpose sites

♠ Mines or quarries ♣ inferred present ♥

Information

Writing System

♠ Mnemonic devices ♣ present ♥ [88]
♠ Nonwritten records ♣ inferred present ♥
♠ Written records ♣ present ♥ e.g. those found in archives built by the Caliphate. [89]
♠ Script ♣ present ♥
♠ Non-phonetic writing ♣ absent ♥
♠ Phonetic alphabetic writing ♣ present ♥ Classical Arabic. [90]

Kinds of Written Documents

♠ Lists, tables, and classifications ♣ present ♥ The Ilm al-Miqat astrological literature led to the creation of vast tables, ranging from simple tables to measure solar or stellar altitudes effect on prayer time. [91]
♠ Calendar ♣ present ♥ Arabic folk astronomy had been recorded by the third and fourth centuries. [92]
♠ Sacred Texts ♣ present♥ Qur'an. [93]
♠ Religious literature ♣ present ♥ The Hadith literature was a vast collection of writing relating the words, deeds and tacit approval attributed to to the Prophet Muhammad. [94]
♠ Practical literature ♣ present ♥ Manuals relating to various practical applications, from statecraft to proper management of land. [95]
♠ History ♣ present ♥ [96] Abu-Ja'far Muhammed (d. 923 CE) wrote the definitive historical work of the period, the Ta'risk al-rusul wa-l-muluk, which for the next three centuries was held in the highest esteem. He relied on earlier writers and compliers of events from the preceding Umayyad period who had had access to vast records and correspondences of the state, allowing for a large degree of evidence and checking of sources.[97]
♠ Philosophy ♣ present ♥ [98] John of Damascus c675-749 CE. "Polymath whose fields of interest and contribution included law, theology, philosophy, and music."[99]
♠ Scientific literature ♣ present ♥ Works on Physics, Mathematics and Applied Science, such as Mechanical Technology survive from the period, as well as translations of Greek and Persian works.[100]
♠ Fiction ♣ present ♥ Fables and Legends, Poetry and works of eroticism. A notable example being the Hadith love poetry and the works of Dhu 'l-Rummah [101] In Egypt the prefect Marwan appointed in 685 CE "surrounded himself with poets."[102]


Money

♠ Articles ♣ present ♥
♠ Tokens ♣ ♥ Unknown.
♠ Precious metals ♣ inferred present ♥
♠ Foreign coins ♣ present ♥ e.g. from India, Afghanistan when they came under control of the Caliphate. [103]
♠ Indigenous coins ♣ absent: 661-699 CE; present: 700-750 CE ♥ [104] The first Umayyad coins were imitations of Roman and Sasanid coins. In the reign of Abd Malik, a distinctly Islamic coin was issued with Arabic script and a uniform size and shape. [105] There were two principle coinages in circulation, the gold Dinar and the silver dirham. This was in part a legacy of the conquest of Byzantine and Sasanid territories where the two coins were the major form of currency.
♠ Paper currency ♣ absent ♥

Postal System

♠ Couriers ♣ present ♥ [106]
♠ Postal stations ♣ present ♥ The Umayyad had a department of the state running the post office, called the Barīd. The system was based on a group of mounted couriers and a large network of inns and stables connecting the capitol of Damascus to other cities, covering an distance of 4,000 miles from Algiers to Kabul. [107] [108] "The Muslim conquerors adop­ted many ancient institutions, including the postal system, which they called barīd. Although there is some controversy over whether it was primarily the Byzantine or Sasanid model that was followed (see, e.g. EI2, s.v. Barīd; Camb. Hist. Iran III/1, p. 564), it is probable that elements of both were taken over (Mez, p. 466). In the eastern part of the empire at least, ancient Persian practices and terminology seem to have prevailed."[109] For a detailed portrayal of Postal systems in the Pre-Modern Islamic world, see Adam J. Silverstein's work on the subject. [110]
♠ General postal service ♣ suspected unknown ♥ Unknown whether this was accessible to private individuals as a general postal service. The Umayyad had a department of the state running the post office, called the Barid. The system was based on a group of mounted couriers and a large network of inns and stables connecting the capitol of Damascus to other cities, covering an distance of 4,000 miles from Algiers to Kabul. [111] [112] "The Muslim conquerors adop­ted many ancient institutions, including the postal system, which they called barīd. Although there is some controversy over whether it was primarily the Byzantine or Sasanid model that was followed (see, e.g. EI2, s.v. Barīd; Camb. Hist. Iran III/1, p. 564), it is probable that elements of both were taken over (Mez, p. 466). In the eastern part of the empire at least, ancient Persian practices and terminology seem to have prevailed."[113] For a detailed portrayal of Postal systems in the Pre-Modern Islamic world, see Adam J. Silverstein's work on the subject. [114]

Warfare variables

♠ RA ♣ Stephen Dean; Edward A L Turner ♥ these codes were reviewed atSeshat Workshops, Oxford 2014 and 2017

Military Technologies

Military use of Metals

♠ Copper ♣ absent ♥
♠ Bronze ♣ present ♥
♠ Iron ♣ present ♥ [115]
♠ Steel ♣ present ♥ "It is believed that Indian steel was exported in the early centuries A.D. and was known even in the time of Alexander. By the sixth century there is more definite evidence of the manufacture of Damascene swords and the steel used for this purpose came from India."[116] Use of Damascene steel certainly by 540 CE: "This unique type of steel was a major technological innovation and Iran played an important role in its production over the centuries. Circumstantial evidence suggests that a trade in a special steel, conceivably the ingots from which damascene steel was made, was underway in the Parthian and Sasanian period. Sometime after 115 A.D. the Parthians were importing iron (steel) from some point to the east" [117]

Projectiles

♠ Javelins ♣ suspected unknown ♥
♠ Atlatl ♣ absent ♥ New World weapon
♠ Slings ♣ present ♥ Poem about a siege mentions "the evil man that loads the sling". [118]
♠ Self bow ♣ present ♥ 'Arab' and Persian' bows mentioned in sources, both composite bows. [119] Unlike Medieval Europe, archery was seen as a noble pursuit. Bows were present, but no evidence of compound steppe bows appears until the Abbasid period. More esoteric weaponry such as fire arrows were also present and reportedly used to ignite dwellings. Volunteers and informal levies were reported to have used slings, makeshift spears and other unconventional weapons. The large scale conquests during the period attracted large numbers of volunteers armed with an array of weapons taken from the conquered. [120]
♠ Composite bow ♣ present ♥ Only composite bows mentioned in the sources. [121]
♠ Crossbow ♣ absent ♥ Only composite bows mentioned in the sources. [122]
♠ Tension siege engines ♣ present ♥ Torsion engines in use in Arabic warfare in this period. [123] "A fragment of a wall painting depicting the use of a traction trebuchet at the siege of Penjikent (700-725) in modern Tajikistan. This unique painting is contemporary with Tang China, displaying how the traction trebuchet was used along the Silk Road."[124]
♠ Sling siege engines ♣ present ♥ The manjaniq, a swing beam engine similiar to the Western Trebuchet.[125]
♠ Gunpowder siege artillery ♣ absent ♥ Not in use untill the 14th century. [126]
♠ Handheld firearms ♣ absent ♥ Not in use until the 15th century. [127]

Handheld weapons

♠ War clubs ♣ present ♥ Maces in Umayyad period. [128]
♠ Battle axes ♣ ♥
♠ Daggers ♣ ♥
♠ Swords ♣ present ♥ [129]
♠ Spears ♣ present ♥ [130]
♠ Polearms ♣ suspected unknown ♥

Animals used in warfare

♠ Dogs ♣ suspected unknown ♥
♠ Donkeys ♣ present ♥ Donkey used in logistics [131] Horses and Camels were key part of the wars of the Umayyad Caliphate. Donkeys and other beast of burden were used in a logistical capacity.
♠ Horses ♣ present ♥ Horses used for cavalry. [132]
♠ Camels ♣ present ♥ Camels used by Umayyad armies. [133]
♠ Elephants ♣ suspected unknown ♥

Armor

♠ Wood, bark, etc ♣ present ♥ Shields were smaller than their European counterparts and made of leather and wood. [134]
♠ Leather, cloth ♣ present ♥ Reconstructing the exact military equipment of armies during the Umayyad Caliphate is problematic as the amount of surviving visual evidence is lacking. As such, sources are primarily literary and focus on notable equipment of unusual rarity or value. In Muslim armies a full equipage was rare and body armour even more so. Coats of mail was available to the Caliphate armies, but only to a small number of elite military members. Besides mail there is some evidence of lamellar leggings and breastplates. Helmets and shields were more widely available. Shields were smaller than their European counterparts and made of leather and wood. [135]
♠ Shields ♣ present ♥ Shields were smaller than their European counterparts and made of leather and wood [136] Leather shields.[137]
♠ Helmets ♣ present ♥ [138] "A poem describes the defensive armament of the Arab warrior in the following terms. 'We wore helmets and Yemeni leather shields ... and glittering coats of mail having visible folds about the belt.' The helmets were fabricated of hammered iron or cast bronze and were either of Byzantine or Persian design; they were no doubt imported. Metal helmets were very expensive and were affordable only by the wealthy. Those of lesser standing usually had only a thick cloth turban for head protection. Later it became the Arab habit to wrap a cloth turban around the metal helmet worn underneath."[139]
♠ Breastplates ♣ present ♥ [140]
♠ Limb protection ♣ present ♥ [141]
♠ Chainmail ♣ present ♥ "The early Islamic sources treat the coast of mail as a standard piece of military equipment."[142] However in 704 CE use was not common. "When Qutayba b. Muslim was appointed governor of Khurasan ... it was said that there were only 350 coats of mail (dir'an) in the entire province, which is not very many for a military force of some 50,000 men."[143] Chain-mail.[144]
♠ Scaled armor ♣ present ♥ [145]
♠ Laminar armor ♣ unknown ♥ [146]
♠ Plate armor ♣ absent ♥

Naval technology

♠ Small vessels (canoes, etc) ♣ inferred present ♥
♠ Merchant ships pressed into service ♣ present ♥ [147]
♠ Specialized military vessels ♣ present ♥ Around 646 CE Muawiyah 'started building a fleet for sea raids. Arabs from Egypt now raided the African Exarchate.' [148] The ships were largely crewed by Coptic Christians, and in the Siege of Constantinople (717-718 CE) the crews defected en-masse. The forces were further weakened by the Byzantium empire's use of Greek fire. The Naval commitments of the Umayyad Caliphate largely mimicked their opponents, as the ships were of pre-existing design. [149] Boatyard established on Rawdah (in Egypt) in 673 CE[150] - did this have a military function?.

Fortifications

♠ Settlements in a defensive position ♣ inferred present ♥
♠ Wooden palisades ♣ present ♥ e.g. use of spiked wooden barriers. [151]
♠ Earth ramparts ♣ present ♥ "a clear line of continuity can be followed from the Roman military architecture of the second to fourth centuries AD to the Umayyad period, with very important intermediary provided by some presumably sixth century villae or palaces. The latter mark the abandonment of the military function, but not of its general layout. Yet this line of continuity is essentially related to the external part of the buildings, that is the enclosure wall or rampart."[152]
♠ Ditch ♣ present ♥ In 684 CE deep trench dug around Fustat, in Egypt, by a governor in revolt.[153]
♠ Moat ♣ present ♥ Siege of Al-Wasit, last Umayyad stronghold in Iraq: "In the first such encounter Umayyad forces were defeated, and they retreated to the moat that surrounded the western section of the city."[154]
♠ Stone walls (non-mortared) ♣ suspected unknown ♥
♠ Stone walls (mortared) ♣ present ♥ As used around Baghdad. [155] Note: technology to make fortifications was present, but in the case of large cities it was not implemented as the Caliphs preferred battles over long sieges, and because of concerns that citizens would use them for protection during revolts. The defense of the Caliphate came from a nation in arms rather than siege craft, and the stabilization of the frontiers in Anatolia had not taken place until the Abbasid Caliphate. The fortifications given below were largely the result of captured fortresses rather than new designs.
♠ Fortified camps ♣ suspected unknown ♥
♠ Complex fortifications ♣ present ♥ As with the walls and gates around Baghdad. [156]
♠ Long walls ♣ ♥
♠ Modern fortifications ♣ absent ♥

Phase II Variables (polity-based)

Institutional Variables

♠ RA ♣ Jill Levine; Edward A L Turner ♥ these codes were reviewed atSeshat Workshops, Oxford 2014 and 2017

Limits on Power of the Chief Executive

Power distributed

♠ Constraint on executive by government ♣ ♥
♠ Constraint on executive by non-government ♣ ♥
♠ Impeachment ♣ inferred absent ♥ The Kharijites who were in opposition to the Umayyads and Abbasids believed that "Should an elected caliph commit an impious act ... he was to be impeached and dismissed."[157] General reference, not sure how academic, and not sure which period, but which states as a whole what I’ve read in fragments elsewhere: "The caliphs were limited in power by the Quran, which they should have followed, as it directed all of their actions ... Moreover, the caliphs were limited in their actions by the Ulema, the special class of religious specialists, including Islamic lawyers, judges, and scholars. These so-called narrators of the Quran had effectively limited the powers of the caliphs by claiming the supremacy of their powers over the caliphs. ... Moreover, as the caliphs were not considered to be rightful and just rulers, strictly following the Quran, the Sunni Islamic lawyers stipulated that on these occasions, the Umma had the right to disobey, impeach, or remove such rulers by all possible means, including revolutionary ones. That stipulation highlighted the nature of the caliphs as only temporary rulers subject to the Quran (the Ulema would explain any issues in the people's lives that were missing from the Quran)."[158] Better coded as informal impeachment?

Social Mobility

Status

Elite status

♠ elite status is hereditary ♣ present ♥ Umayyad caliphs were a dynastic line.

Religion and Normative Ideology

♠ RA ♣ Enrico Cioni ♥ these codes were reviewed atSeshat Workshops, Oxford 2014 and 2017

Deification of Rulers

♠ Rulers are legitimated by gods ♣ present ♥ “In a departure from the principle of tawhid and thus from the belief that God governs the entire world, all spheres of life in the Islamic state are expected to be organized in accordance with Islamic revelation. In other words, political authority in Islam has always to be grounded in divine legitimacy.” [159] "It used to be accepted that the Umayyads claimed only secular authority, but Crone and Hinds in their book God’s Caliph have demonstrated that the Umayyad caliphs did claim a religious authority; the ruler was God’s Caliph ( khalīfat Allāh ) and had the authority to make decisions about Islamic law and practice.[160]

♠ Rulers are gods ♣ absent ♥ Islam is monotheistic [161]

Normative Ideological Aspects of Equity and Prosociality

♠ Ideological reinforcement of equality ♣ present ♥ “In Islam all men are equal, whatever their colour, language, race or nationality. Islam addresses itself to the conscience of humanity and banishes all false barriers of race, status and wealth.”[162]

♠ Ideological thought equates rulers and commoners ♣ present ♥ “In Islam all men are equal, whatever their colour, language, race or nationality. Islam addresses itself to the conscience of humanity and banishes all false barriers of race, status and wealth.”[163]
♠ Ideological thought equates elites and commoners ♣ present ♥ “In Islam all men are equal, whatever their colour, language, race or nationality. Islam addresses itself to the conscience of humanity and banishes all false barriers of race, status and wealth.”[164]

♠ Ideology reinforces prosociality ♣ present ♥ “The third pillar is almsgiving, obligatory charity or welfare money for the poor (zakat). For most purposes, this involves the payment each year of two and a half per cent of one’s capital or accumulated wealth and assets, excluding such items as primary residence, car and professional tools. Only certain people are qualified to receive obligatory charity. There are, of course, other forms of charity over and above the obligatory zakat, which can be donated to such recipients as seem appropriate.//Islam stands for brotherhood and social justice and it asserts that the poor and the needy have rights to the wealth of the rich. Payment of almsgiving represents the duty to care for the community’s social welfare. It is a great sin not to share one’s wealth with the needy and to let them suffer from hunger and disease. Zakat is a duty enjoined by God and undertaken by Muslims in the interest of society as a whole. However, it is also of humanitarian and socio-political value as well as being motivated by spiritual and moral concerns. It is an effective instrument for cultivating the spirit of social responsibility on the part of the contributor and the feeling of security and belonging on the part of the recipient. The Qur’an says ‘Those who spend their wealth by night and day, in private and public shall be rewarded by their Lord. No fear shall come upon them, neither shall they grieve’ (2:274).” [165] “Charity does not consist merely of offering help to the needy; rather it includes anything one does which is of good to others. A hadith of the Prophet mentions that charity includes removing thorns from the road and smiling at one’s brother. And open-handedness in spending and giving are to be practised not only towards the poor but also towards one’s family, relatives, friends, neighbours, guests and even strangers. Generosity and hospitality are thus highly valued qualities among Muslims in every part of the world. Allah’s command to help each other in goodness is not only limited to Muslims, but it covers the whole of mankind in matters that bring virtue to all human beings.” [166]

♠ production of public goods ♣ present ♥ “The Arabic word waqf (pl. awqaf) means “the holding and preservation of a certain property for the confined benefit of a philanthropy with prohibiting any use or disposition of the property outside that specific purpose.” The definition indicates the perpetual nature of waqf as it broadly relates to land and buildings, although there is waqf of books, agricultural machinery, cattle, shares and stocks, and cash. [...] In the history of Islam, the first religious waqf was the mosque of Quba' in Medina. It was built upon the arrival of the Prophet Muhammad in 622. Six months later it was followed by the Mosque of the Prophet in the center of Medina. Mosques, as well as real estate that provides revenues for mosque maintenance and expenses, are in the category of religious waqf.//Philanthropic waqf aims at supporting the poor segments of society and the public interest of the community by funding such institutions as hospitals, orphanages, nursing homes, libraries, scientific research, education, public services, and care of animals and the environment. There are alsoawqaf for interest-free loans to small businesses and for maintenance of parks, roads, bridges, and dams. This started during the time of the Prophet Muhammad. On advice from the Prophet, 'Uthman, a well-to-do Companion, bought the Well of Rumah and made it into waqf, to provide everybody with free drinking water. This was followed by the waqf of 'Umar. When he asked the Prophet what to do with a palm orchard he acquired in the city of Khaybar, the Prophet said, “If you like, you may hold the property as waqf and give its fruits as charity.” [167]

Moralizing Supernatural Powers

♠ Moral concern is primary ♣ present ♥
♠ Moralizing enforcement is certain ♣ present ♥
♠ Moralizing norms are broad ♣ present ♥
♠ Moralizing enforcement is targeted ♣ present ♥
♠ Moralizing enforcement of rulers ♣ present ♥
♠ Moralizing religion adopted by elites ♣ present ♥
♠ Moralizing religion adopted by commoners ♣ present ♥
♠ Moralizing enforcement in afterlife ♣ present ♥
♠ Moralizing enforcement in this life ♣ present ♥
♠ Moralizing enforcement is agentic ♣ present ♥

These data were reviewed by expert advisors and consultants. For a detailed description of these data, refer to the relevant Analytic Narratives, reference tables, and acknowledgements page. [168] [169] [170]

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