The Theory of the Ummah's Guardianship over Itself

Author: Alireza Salehi

• Abstract

The Theory of the *Ummah's* Guardianship over Itself is the political-governmental theory of Sheikh Mohammad Mahdi Shams al-Din (1353-1421 AH), a Lebanese Shia thinker who tries to combine democracy and Sharia. It is said that the theory of the *Ummah's* guardianship seeks to recognize full rights for citizens subject to a country, regardless of religious, ethnic, and racial distinctions. Due to its emphasis on the people's right to form a government, this theory has similarities with theories such as the Theory of the Agency of Joint Personal Owners and the Theory of the People's Caliphate with the Supervision of the Marja'iyyat, which places them under a grand theory called Theory of the Elective Islamic State.

After proving the necessity of forming a government in Islamic teachings, Shams al-Din considers the desired type of government not to be a *wilai* government (*wilayat al-faqih*), but rather a government with the least amount of dominance and influence, which will be possible in the theory of the *Ummah's* guardianship over itself. The main elements of this theory are: the *Ummah* (people), the *Imarah* (executive branch), the parliament, and the judiciary.

In addition to the traditional sources of Shia jurisprudence, Shams al-Din believes in *ijtihad* in the Mintaqat al-Faragh based on social realities and Maqasid al-Shari'a. Relying on numerous jurisprudential and theological foundations such as the Principle of Non-Guardianship, the flexibility of rulings related to non-worship matters, Separation between Legislative and Administrative Rulings, the secular nature of power, and the necessity of the *Shura*, he has organized the theory of the *Ummah's* guardianship.

The theory of the *Ummah's* guardianship has been criticized by some researchers, and it has been said that everything that Shams al-Din claims to have taken from the *faqih* and given to the *Ummah*, he entrusts to the *faqih* all at once in the matter of the judiciary; because according to this theory, the supreme ruler is the Chief Justice, and the judge must be a *faqih*; therefore, the *Ummah's* options for the head of political *wilayat* will be limited to the *fuqaha*.

A Theory for the Compatibility of Sharia and Democracy

The theory of the *Ummah's* guardianship over itself is one of the theories discussed about how to form a state in Shia jurisprudence, which Mohammad Mahdi Shams al-Din, a Lebanese Shia jurist, is the originator of. In some of his works, including in the Book of the System of Governance and Administration in Islam and the Book on Islamic Political Society, he presents points about how the state is formed in Shia jurisprudence and then promises to present this theory in the future and claims that no one has presented such a theory before him. It has been said that Shams al-Din's goal in presenting this theory was to eliminate the constant struggle between democracy and Sharia and that the law of Sharia should be able to adapt itself to the requirements of the time. The compilation of this theory by Shams al-Din has also been considered a response to the internal conflicts in Lebanon, which he intended to create reconciliation between the parties involved by presenting this theory.

In his last book, entitled Wilayat al-Ummah Ala Nafsiha, Shams al-Din, as he had promised in his previous writings to present the theory of *wilayat al-Ummah* in an independent book, lays the foundations for the elements of this theory. This book was published years after his death in 2019 AD. In this theory, with a jurisprudential approach, he has been seeking to prove the political *wilayat* of the *Ummah* over itself in the face of the Theory of Wilayat al-Faqih. The presentation of the theory of the *Ummah's wilayat* is the result of the transformation of Shams al-Din's thought from complete opposition to democracy in the first edition of the book System of Governance and Administration to the full recognition of democracy based on the *Shura* in the book *Wilayat al-Ummah Ala Nafsiha*. This fundamental transformation in Shams al-Din's thought is the result of living in two different intellectual and cultural spaces in the two countries of Iraq and Lebanon and also under the influence of the Book Tanbih al-Ummah by Mirza Na'ini and the re-reading of the Covenant of Medina.

According to Majid Moradi, the author of the Book Political Thought of Mohammad Mahdi Shams al-Din, the theory of the *Ummah's* guardianship over itself is a foundational theory that is separate from other political theories in Islamic thought and has a completely democratic structure and seeks to recognize full rights for citizens subject to a government, regardless of religious, ethnic, and racial distinctions. According to him, this theory provides a high capacity for religious democracy; because it does not ignore the element of the people, nor the element of religion, and while it considers the *wilayat* to belong to the *Ummah*, it reserves a kind of supervision for the *faqih* in the form of Judicial Wilayat. He also believes that in Shams al-Din's thought, a democratic government is the desired Islamic government; although he does not call it democratic and uses a term derived from the text, namely *wilayat*, to support his theory.

Rival and Allied Theories

The theory of the *Ummah's* guardianship over itself has differences and similarities with other theories related to the state in Shia jurisprudence. This theory is based on a positive approach in the principle of establishing the state and the political system in the era of occultation; for this reason, it shares with the theories of *wilayat al-faqih* in this aspect that "establishing a state in the era of occultation is necessary", and in contrast, it is opposed to the Theories of Shia Constitutionalism that consider the formation of any government in the era of occultation to be oppression and usurpation. On the other hand, not considering a special right for the *fuqaha* in the government makes it different from the theories of *wilayat al-faqih* and brings it closer to elective theories such as the Theory of the Agency of Joint Personal Owners, the Theory of the Elective Islamic State, and the Theory of the People's Caliphate with the Supervision of the Marja'iyyat.

Explanation of the Theory

By presenting the theory of the *Ummah's* guardianship, Shams al-Din seeks to answer the basic question of whether the leadership of the Islamic community and political power in it should be in the hands of one person (the Prophet (PBUH), the Imam (AS), or the *faqih*) and the people are only a tool at the disposal of the leadership? Or does the entire Islamic *Ummah* play a role in shaping political power and leading society?

Before answering this question, Shams al-Din first spoke of the necessity and obligation of forming a government in Islamic teachings. In his belief, the issue of government is not part of Islamic Sharia, but rather its result and he mentions numerous rational and textual arguments for this claim. After proving the obligation of forming a government from the perspective of Islamic teachings, he expresses the model of his desired state. In his view, considering that in Islam, the least amount of dominance and power over the people has been accepted, one should be satisfied with forming a minimal state whose duty is only to maintain the general order of society and does not have the right to snoop into people's private lives. According to Shams al-Din, the formation of such a state will be possible in the theory of the *Ummah's* guardianship over itself.

Elements of the Theory

The theory of the *Ummah's* guardianship is based on elements and institutions that distinguish it from other theories. According to what is stated in the book Political Thought of Mohammad Mahdi Shams al-Din, the main elements of this theory are: the *Ummah*, the *Imarah*, the judiciary, and the parliament.

• The Ummah

The most important element of the theory of the *Ummah's wilayat* is the concept of the *Ummah*. In Shams al-Din's belief, in the time of occultation, the *wilayat* of the Imam is directly transferred to the *Ummah*, and the *wajibat kifai* in the field of politics and government are only directed to the *Ummah*, who will be rewarded if they comply and will be guilty if they neglect. Citing the Covenant of Medina that mentions the collection of Muslims and Jews as the *Ummah*, he considers the meaning of the word *Ummah* to be all the citizens of a country without distinguishing religion, race, etc.

• The Institution of Imarah

The institution of *Imarah*, or the executive branch, is one of the basic institutions in the theory of the *Ummah's wilayat*. By distinguishing between the two words *hukm* and *imarah*, Shams al-Din considers *hukm* to mean the law and *imarah* to mean the executive institution of society. In his belief, people have a duty to obey the executive head of society, but the powers of the ruler are also under the control of the *Shura* or the institution that emerges from it.

• The Judiciary

The deep connection of the judiciary with the Sharia in Islamic jurisprudence and the need to adapt the judiciary to the content of belief based on Quran 5:49 has led Shams al-Din to consider the duty of the judiciary to be the responsibility of the *faqih jami al-sharait*; but determining which *faqih* should hold this position is, based on Quran 4:58 which asks the believers to entrust the trust to its people, from the affairs of the people. According to him, people will do this through a suitable electoral system.

• The Parliament

In Shams al-Din's thought, the Shura has a special place, and on this basis, the Islamic system of government in the era of occultation is similar to the Presidential Parliamentary System in his view, of which the Shura Council will be one of the pillars. In Shams al-Din's thought, the representatives of the parliament have the power of legislation and Customary Legislation in the Mintaqat al-Faragh that is related to the issues of relations between human beings with each other and regulatory measures in society.

Sources of the Theory

The issuance of the theory of the *Ummah's wilayat* by Shams al-Din is based on some sources that are beyond the sources of traditional jurisprudence (the Book, the Sunnah, reason, and consensus), especially in the field of theorizing about political governance and the state.

Ijtihad in the Mintaqat al-Faragh

The most important source used by Shams al-Din for theorizing about the form of government is *ijtihad* in the legislative *Mintaqat al-Faragh*, which he does by using the theory of the Mintaqat al-Faragh by his teacher Mohammad Baqir al-Sadr. By expanding the theory of the *Mintaqat al-Faragh* to all areas of social life, he provides a jurisprudential mechanism for theorizing about how to lead society. Shams al-Din initially divides the rulings of the Sharia into two parts: fixed and variable. He considers the fixed divine rulings to belong to the system of worship, the family system, sexual issues, and some of the rulings of transactions and believes that for other than the mentioned cases, including issues related to the political system and the state, there are no fixed rulings in the Sharia; therefore, what is related to the political system and the state, including social, economic, and political relations and foreign relations, are variable and time-bound rulings that, although discussed under the title of justifications in jurisprudence, are not within the fixed religious rulings. According to this basis, Shams al-Din believes that since we have no text in religious texts about the form of government in the era of occultation; this issue falls within the scope of the legislative *Mintaqat al-Faragh*, the determination of which has been delegated to the society.

Social Realities

Paying attention to the realities existing in society, especially Lebanese society, is another source used by Shams al-Din in explaining the theory of the *Ummah's wilayat*. In his belief, theorizing in political jurisprudence should be done in the light of reality, and according to these realities, the reading of texts should be revised. In other words, the realities of society are factors for a new and different understanding of the text. He introduces this kind of *ijtihad* as *ijtihad* in the text and not against the text.

Maqasid al-Shari'a

Paying attention to Maqasid al-Shari'a as a source for transitioning from Individual Jurisprudence to Social Jurisprudence is another source trusted by Shams al-Din in compiling the theory of the *Ummah's* guardianship over itself. In his belief, the lack of comprehensiveness (otherworldliness and neglect of worldly issues) among the Shia, as well as Shia isolationism in relation to the general issues of society, can be repaired with a *maqasidi* approach.

Jurisprudential and Theological Foundations of the Theory

The foundations considered by Shams al-Din for compiling the theory of the *Ummah's wilayat* are: 1) The principle of non-*wilayat*; 2) Suspension of the theological foundations of the old theory of the state in Islam, including *imamat* and *khilafat*; 3) The flexibility of Islamic Sharia and its dynamism in the matter of transactions; 4) Separation of the period of occultation from the period of presence; 5) Separation of legislative rulings from administrative rulings; 6) The desirability of democracy as a mechanism of government and its relationship with the *Shura*; 7) The secular nature of power; 8) The necessity of the *Shura* and consultation.

The Principle of Non-Wilayat

The primary principle of non-*wilayat* or the lack of legitimacy of any dominance of one person over others is a general rule for which there is a need for a definite reason to get out of it, and this definite reason is only proven about the *wilayat* of God and also the Prophet (PBUH) and the Infallible Imam (AS) in the era of presence, and for no other person, including the *fuqaha* in the era of occultation, such a *wilayat* has been proven. Shams al-Din has limited the duty of the *fuqaha* to expressing religious rulings and holding the position of the judiciary and does not accept anything beyond these two cases, including *wilayat* in political power, for them. In this theory, the *faqih*, without any special right, has the right to participate only because he is a member of the *Ummah*.

According to Shams al-Din, *wilayat* in the era of occultation, which belongs to the *Ummah*, is exercised through referring to public opinion. According to him, establishing a state in the era of occultation based on the *Ummah's wilayat* over itself is necessary, and the legitimacy of the political system is based on the will of the nation. Finally, according to Shams al-Din, the state must be in accordance with the nature of the society from which it has sprung, have faith in the minds of the people, and use human experience.

Freedom is the result that Shams al-Din takes from proving the *Ummah's wilayat* over itself and negating the *wilayat* of human beings over each other. According to him, the situation of man in relation to himself and also in relation to others is based on freedom; in the sense that no human being has the right to restrict the freedom of others. In his belief, this principle stems from the responsibility that God has placed on man in relation to his destiny, and being responsible is not realized without *wilayat* over oneself.

Suspension of the Theological Foundations of the Old Theories of the Islamic State (Imamat and Khilafat)

In Shams al-Din's belief, the political theory of contemporary Islamic thought, both among Sunnis and among Shias, is completely abstract; because it is based on theological grounds that do not exist today. According to him, the theory of *khilafat* as a jurisprudential heritage of Sunnis has been unoriginal from the beginning; because it is rooted in Ash'ari or Mu'tazili theology, and the theory of *imamat*, although it is an original theory in the history of Islam; but it ended after the end of the Lesser Occultation.

The Flexibility of Rulings Related to Non-Worship Matters

Based on the division of Sharia rulings into worship and transaction matters, Shams al-Din believes that the stability and immutability of rulings are specific to worship, and outside the field of worship, the laws of life are transformed, and those laws must be revised with the change of time and place. He also places the subject of the political system in the field of non-worship, which acquires the capacity for different models, and the only valid condition in it is not being incompatible with Islam.

Separation between Legislative and Administrative Rulings

Shams al-Din's intention of administrative rulings is the rulings that have been issued by the Infallible (AS) not as a preacher of the Sharia, but as a ruler. He does not consider many of these kinds of rulings to be generalizable to all times and believes that they should be revised based on the circumstances.

The Secular Nature of Power

Shams al-Din considers the issue of the state and power to be a secular matter that does not belong in the realm of sacredness. He believes in the separation of the realm of religion from the realm of the state and that even the government of the Infallible can be criticized; because it is a human and earthly matter. On this basis, he delegates the duty of forming a government to the *Ummah*.

The Necessity of the Shura

In Shams al-Din's view, consultation is obligatory on the *Ummah* and the ruler in the era of occultation. Citing Quran 3:159 and Quran 42:38, he believes that consultation is a religious ruling, and there is no doubt that it is related to the affairs of the government and society, not individual and private affairs. He also considers the election of the ruler, except in the case of the Infallible, to be subject to the *Shura*. From Shams al-Din's point of view, the only difference between the infallible and non-infallible ruler on the subject of the *Shura* is that the Infallible (AS) also has the right to govern by virtue of his infallibility, but the mechanism of his government must be based on the *Shura*; but the non-infallible must also take the source of the legitimacy of his power from the *Shura*, and there is no other mechanism for the legitimacy of the political ruler in the present era.

Criticism and Review of the Theory

Majid Moradi, a researcher of political thoughts, believes that despite all of Shams al-Din's efforts, this theory has not been able to provide a solid theoretical foundation for the *Ummah's wilayat* and has not gone beyond the limits of the Theory of the Elective Wilayat of the Faqih. According to Moradi, everything that Shams al-Din claims to have taken from the *faqih* and given to the *Ummah*, he suddenly entrusts to the *faqih* all at once in the matter of the judiciary; because according to this theory, the supreme ruler is the Chief Justice, and the judge must be a *faqih*; therefore, the *Ummah's* options for the head of political *wilayat* will be limited to the *fuqaha*.

Some other political researchers also believe that this theory, by distancing itself from the Shia theory of appointment and by being influenced by the arguments of the Sunnis, in the matter of appointing a successor to the Infallible Imams, tends towards the theory of election. These people consider Shams al-Din's theoretical foundations and arguments to be incomplete for proving the *Ummah's wilayat* and believe that these arguments ultimately lead to the praise of consultation and do not refer to the role of the people in determining the ruler in any way.

Study Resources

Template:Main About the theory of the *Ummah's* guardianship over itself, in addition to the books and articles of Mohammad Mahdi Shams al-Din, books, articles, and theses have been written, of which the most important are the Book Political Thought of Mohammad Mahdi Shams al-Din written by Majid Moradi and the book The Elective Islamic State and Democracy by Ali Akbar Kamali.