Paper No.

: 08 Human Population Genetics

Module : 33 Origin and concept of caste: Various theories

Development Team
Prof. Anup Kumar Kapoor
Principal Investigator
Department of Anthropology, University of Delhi

Paper Coordinator Prof. Gautam K. Kshatriya

Department of Anthropology, University of Delhi

Content Writer Dr. Subhendu K Acharya Department of

Anthropology, University of Delhi

Content Reviewer Prof. A.Paparao

Sri Venkateswara University, Tirupati, Andhra Pradesh

Human Population Genetics

Anthropology
Origin and concept of caste: Various theories
 Description of Module

Subject Name Anthropology

Paper Name 08 Human Population Genetics

Module Name/Title Origin and concept of caste: Various theories

Module Id 33

Human Population Genetics

Anthropology
Origin and concept of caste: Various theories
 Content:

1. Introduction

2. Characteristics of caste

3. Theories of caste system

4. Changes in Caste System in India

INTRODUCTION

Various factors define the social stratification called caste which further defines the social hierarchy of
its individuals. This stratification mainly based on power, prestige etc. Caste structure is formed on The
basis of the birth of the individual. In the caste ideology the Brahminic model of Hindu Society faces a
problem of ‘life and death’ derived from the Indian thinking in terms of ‘purity and pollution’. The
purity of life is the absolute truth free from this world and beyond death in a state of mukti (salvation),
whereas impurity is related to death, human waste, dirt etc. in such thinking it is easy to understand
why most of the Hindus are against no-vegetarianism and the use of alcohol. Abstaining keeps them
away from any possible contact with death and impurity. This is the character of the caste theory,
whereas in practice, although ‘pure’ and impure’ are separated in order to protect life from death,
special caste specialists and groups are in fact formed, who charge themselves with impurity to free
others from pollution. It creates the hierarchical classification of the four main ‘verna’ and a number of
jatis or castes which are based on series of gradations of ritual and religious purity, high and low status,
and eating and drinking habits.
The root of English meaning of Jati or Caste comes from the word ‘Casta’ which in Portuguese means
breed, race or kind. Hindu system calls it Jati. The functional role of caste as a unit explains the status
of equal individuals; caste also acts as a system which maintains the characters of the very caste and its
members.
Caste has been perceived as a cultural concept which is based on certain ideas, beliefs and values.
Similarly caste from a structural point of view acts to maintain the status and roles of the involved
population.
Different social scientists have defined caste in various definition.
According to Herbert Risley caste is as “a collection of families bears a common name, claiming a
common descent from a mythical ancestor, human or divine, professing to follow the same hereditary

Human Population Genetics

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Origin and concept of caste: Various theories
 calling and is regarded by those who are competent to give an opinion as forming a single
homogeneous community.”
Ketkar defines caste as “a social group having two characteristics – (i) membership is confined to those
who are born of members and includes all persons so born; (ii) the members are forbidden by an
inexorable social law to marry outside the caste”.
M.N. Srinivas, said, “Caste is a hereditary, endogamous, usually localised group, having a traditional
association with an occupation and a particular position in the local hierarchy of castes. Relations
between castes are governed, among other things, by the concepts of pollution and purity and
generally, maximum commensality occurs within the caste”.
According to Andre Beteille, “Caste may be defined as a small and named group of persons
characterised by endogamy, hereditary membership and a specific style which sometimes includes the
pursuit, by tradition, of a particular occupation and is usually associated with a more or less distinct
ritual status in a hierarchical system based on the concepts of purity and pollution.”
So it can be said that caste is a mechanism that is involved in stratifying society, and formulation of
social groups.
The important characteristics of Caste are as follows:

1. Segmentary Society:
It explains that small social groups called caste formulates the society. Further each of the social group
(castes) is socially well developed. The most important is the birth of an individual defines his or her
affiliation to a caste. That means the caste of the parents becomes the caste of the child. Such form of
affiliation is unalterable which defines the position of an individual in the society for his whole life.
Though the individual gets better in terms of various factors like, education, occupation etc, it does not
elevate his caste status leading to no possibility to social mobility.

But M. N. Srinivas, in his findings shows that an individual elevates himself in hierarchy in a couple of
generation after getting well education or economic prosperity.

2. Hierarchy:
The Indian caste system is a good explanation to social; hierarchy.

Social superiority and inferiority are defined as per Caste status. While Brahmins occupy the top
hierarchical position, Sudras are at the lower. Kshatriyas being in the second position in hierarchy
followed by Vaisyas formulate the total caste system in India. Though there are untouchables in the
society they do not formulate the Caste system. Most importantly, though the position and hierarchy is
clearly defined the happenings of social tension are not common. In this process religion and such
practices play a pivotal role.
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Origin and concept of caste: Various theories
 3. Endogamy:
Endogamy is the most fundamental character of the caste system that directs a member of a particular
caste to marry within his or he own caste or sub caste. The violation brings social ostracism or loss of
membership. But on the other hand, in certain cases hypergamy or hypogamy is accepted with riders.

4. Hereditary Status:
Caste hierarchy is affiliated to the membership of the individual to the caste and the membership is
defined by birth of the individual. So caste is a business of those who are born in their respective caste
groups.

5. Hereditary Occupation:
The caste system is conceived on the basis of occupation. Affiliated persons to a particular caste
practise an occupation which is already prescribed for that caste group. For example, Kshatriyas are
meant for rule and administration as well as protection of the society against outside attack. Similarly
Brahmins act as priests, barber, washer man do provides services.

6. Restriction on Food and Drink:

Having or sharing food is an important character of caste structure and hierarchy. It is the caste
hierarchy that defines whom an individual belonging from a particular caste will dine or drink with.
For example Brahmins do not take any cooked food from Sudras as it leads to pollution. At the same
time a higher caste can contextually have food or drink from Kshatriyas.

7. Cultural Difference:
The caste hierarchy has defined the cultural practices among different castes by further defining, their
occupation, pattern of marriage, sanctity and holiness etc.; to be true to own religious status and
practices of own caste. So the living practices of different castes are different. As Prof. GS Ghurye
says, ‘caste is a small and complete world for the individual with differentiating from others’.

8. Social Segregation:
Defining differentiating aspects in caste with respect to Social segregation, Ghurye says-

“Segregation of individual castes or of groups of castes in village is most obvious mark of civil
privileges and disabilities, and it has prevailed in a more or less definite form all over India”.

It has been observed that the social segregation is more severe in southern India than northern India. In
traditional village societal system, it can be observed that the service castes as well as untouchables are

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Origin and concept of caste: Various theories
 socially segregated and are isolated from higher caste groups and are let to settle at the outskirts in rear
end of the village.

9. The Concept of Pollution:

Pollution is a highly contagious issue and plays an significant role in maintaining the caste distances. It
carries a lot of stigma with respect to the person belonging from lower caste. Even the shadow of the
service caste is a matter of avoidance for the upper caste.

10. A Particular Name:

Caste and sub caste names are very specific and those names are the identity of the individual
belonging from the caste. Similarly, the name of the caste is also based on his or her occupation which
explains what particular job the person practises.

11. Jati Panchayat:

The status and role of Caste conventions or Jati Panchayats is very important in preserving, revealing
and protecting the laws. Though this varies in various name in various parts like Kuldriya and Jokhila
in MP and Rajasthan respectively, their functions are almost similar i.e. maintaining the Caste system.

12. Taboo:
Practising Taboo is a social mechanism and prohibition that maintains the issues like good and bad in
the society. Though it is the biggest source of superstition,, it mainly aims to isolate the caste from rest
as per the restriction or prohibition, for example, to share space with Sudras or Untouchables.

Theories behind caste system:

There are many theories behind the formation of the caste system. But the exact and original one is is
unknown to everyone. Whatever it may be it can be said that
the caste system began in India. The origin of caste system is
often understood of starting after the Aryan invasion or after
the establishment of indo Aryan societal system.

Racial Theory:
Anthropologist Dr. D.N. Mazumdar gave the racial theory of
caste in India. As per him caste system started in India after
the Aryans entered.

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Origin and concept of caste: Various theories
 As Mazumdar says the concept of Verna or colour came to use by these people. The other practice that
came to practice is the ‘Dasa Varna’. The difference between Aryans and Dasas has been highly
strongly discussed in Rig Veda. This literature has discussed various racial features between Aryans
and non Aryans like, colour, features, practices, speeches. It is further said that mentions have been
made many time regarding Brahmin, Kshatriya and Vis in rig Vedic literature. The reference to Sudra
is just once in it.

In the hierarchy, Brahman and Kshatriya occupy the first two position. Similarly, in social hierarchy
these two groups were identified as priests-with knowledge, Rulers- the warriors. The other caste Vis
or Vaisya referred to common people while Sudras are the service providers. Though Rig Veda has
little mention about the caste hierarchy, but it is believed that Brahmins were conferred the top position
in the society.

Political Theory:
The political theory of caste is more convinced that Brahmans are the formulators of this whole caste
system and further moulding it as per their needs. They placed themselves at the top of the hierarchy.
Prof. GS Ghurye said, “Caste is a Brahminic child of Indo-Aryan culture cradled in the land of the
Ganges and thence transferred to other parts of India”.

This political theory says the caste hybridisation or the coming up of Caste Sankaras is illegitimate and
out groups in caste system. According to this theory, the Brahmans are identified as Dwijas. Along
with Brahmans Kshatriya and Sudras were also identified as Dwijas or twice burn castes. It was
defined that these three castes had went through the process of
rebirth while the Sudras are considered once born. Here it is worth
mentioning that the term jati henceforth started to define
substructure in Varna system though the word is simultaneously
used for Varna.

Another most important aspect is increase in supremacy of

Brahmans in society. The acts and social roles of other three
castes were set by Brahmans. The concept that Brahmans born
from the great words of the god, with Kshatriyas from His arms
and Vaisyas from His thighs and Sudras from the feet was
conceived.

The high influence of Brahminical tradition started to develop

complicated practices with respect to religion and worship in
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 order to maintain higher hold on the society. Caste rigidity started to be realised. Strict rules were
incorporated in religious practices and social divisions. Distinctive division between purity and
impurity started to come up.

Occupational Theory:
The occupational theory defines caste in the line of social or societal function further leading to various
occupational groups being defined as caste or sub castes like, blacksmith, goldsmith, barber, washer
man etc. That means this theory defines the individual’s position and status in society based on his or
her work pattern as placed in societal hierarchy of superiority and inferiority. Newsfield in his
observation on caste said, “Function and function alone is responsible for the origin of caste structure
in India”.

Traditional Theory:
The traditional theory of caste system brings in the divine origin of caste system. It refers to the
formulation of caste system by the divine creator , Brahma in his process of creation of world and a
human society. Dr. DN Mazumdar says, “if, however we take the divine origin of the Varna as an
allegorical explanation of the functional division of society, the theory assumes practical significance”.

Further Denzil Ibetson defines caste as the customized forms of guilds. He opines that while tribes,
guilds and religion interacted with each other Caste came to the form. By adopting specific professions
in a fixed format, the tribes were transformed to guilds. Taking the queue from the priests, the tertiary
position in the society the other guilds started to practise similar practices like endogamy with giving
rise to a caste in a period of time.

Religious Theory:
The religious theory of caste is mainly advocated by Hocart and Senart. Hocart defined social
stratification as a result of religious principles and customs. He generalised that the predominant role of
religious prist and the kings with a godly figure played a pivotal role in formation of various functional
organelles in the society. Senart, taking the clue from religious prohibition, said the caste system
originated with particular local god who accepts a particular food as offerings. Believers of different
deities are parts of different groups.

Evolutionary Theory:
Evolutionally theory with the assumption of social evolution as the very process explains the caste
system is an outcome of long process of social evolutionary process rather than any other way.

This theory defines following factors as few influential ones in caste formulation process:

Human Population Genetics

Anthropology
Origin and concept of caste: Various theories
 (i) Common occupations running through generations
(ii) The Brahminical desire for puritanism
(iii) Absence of strict state control
(iv) The liberal ruller giving space for various customs to prevail than common code
(v) The concept of Karma as the driving practice with strong faith in reincarnation
(vi) Ancestor worship, Ideas of exclusive family and the sacramental meal
(vii) Growing confrontational practices and intolerance between the patriarchal and the matriarchal
systems
(viii) Confrontation of various racial groups, increased social prejudices
(ix) Heavily customed social policies without stability
(x) Communication barrier
(xi) Largely stagnant social system
(xii) Attack by intruders.
(xiii) Lack of modernisation in structure of the society
Theory of Sanskritization

The theory of sanskritization was given by MN Srinibas. As Srinibas defines sanskritization as a

process by which a ‘low’ Hindu caste or other tribal group changes its customs, ritual, ideology and
way of life in the direction of a high and frequently, ‘twice born’ caste. Generally such changes are
followed by a claim to a higher position in the caste hierarchy than that traditionally conceded to
claimant caste by the local community. The claim is usually made over a period of time, in fact, a
generation or two, before the ‘arrival’ is conceded. Occasionally a caste claims a position which its
neighbours are not willing to concede. This type of agreement between claimed and conceded status
may be not only in the realm of opinion but also in the more important realm of institutionalised
practice. Thus Harijan castes in Mysore do not accept cooked food and drinking water from the Smiths
who are certainly one of the touchable caste and therefore superior to Harijans.

Theory of Dominant caste

Understanding dominant caste is crucial to the understanding of rural social life in India. A caste may
be said to be ‘dominant’ when it preponderates numerically over other castes, and when it also wields
preponderant economic and political power. A large and powerful caste group can be more easily
dominant if its position in the local community is not too low. Occasionally a caste is dominant in a
group of neighbouring villages if not over a district or two, and in such cases, local dominance is
linked with regional dominance.

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Origin and concept of caste: Various theories
 When a caste enjoys one form of dominance, it is frequently able to acquire other forms as well in
course of time. Thus a caste which numerically strong and wealthy will be able to move up in the ritual
hierarchy if it sanscritizes its ritual and way of life and also loudly and persistently proclaims itself to
be what it wanted to be.

It is further not worthy that the Indian caste system is a social institution in itself than simply being a
Hindu practice. Most importantly, cast system is not a simple Indian concept it is also practised in
other parts of the world. The feudal medieval Europe also functioned like a caste based system.

Theory of fission and fusion

These two theories are the latest and land mark theories in the process of explaining caste system. The
first theory i.e. theory of fission was
proposed by Iravati Karve that most
castes are tribe in origin. Like a tribe, a
caste is an extended kin group
traditionally spread over a definite
geographical region. And, as in a tribe,
members of a caste which used to be or
still is regulated by a caste which used to
be or still is regulated by a caste council.
Karve’s idea of caste system is that caste system is not an outcome of Aryan tradition rather it was
there in pre Aryan time. As Karve defined the caste as a caste cluster rather than caste like Brahmins is
a caste cluster along with sub castes as the castes. She further explained that castes in the caste clusters
could successfully elevated themselves to the same social rank through time and continued to maintain
their endogamous character. So she said these groups in a caste cluster can be culturally different
significantly along with without any genetically diffident.

Changes in Caste System in India

Changes in Caste System:

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Origin and concept of caste: Various theories
 With the changes in the social economic arena, there has been a substantial change in the caste system
in different parts of India.
Conceptually the Change pattern in the caste system can be identified as structural, functional band
attitudinal.

Structural Changes in caste system:

(i) Declining Brahminical supremacy in society
New socio economic structure has brought a significant change to the position of Brahmins and their
tertiary positioning in the society. The economic prosperity has brought significant liberty and
confidence other caste groups including untouchables to grow and come forward. This process has put
Brahmins to an equal substratum along with the other caste from a higher position they once enjoyed.
(ii) Changes in the Caste hierarchy:
Though Caste still plays a significant role in Indian social system, there has been a phenomenal change
in the practice front of Caste hierarchy. It is no longer maintained in the strict form as it was there
previously. Various factors like urbanisation, expansion of occupation, advancement in agricultural
technology etc has narrowed down the gap between various castes. Further the caste system has given
rise to class system in urban set ups.

(iii) Empowerment of untouchables:

Various policies have been brought up by Government of India to protect the rights of these
underprivileged groups of the society. Further rights based organisations have been working for the
providing social justice to them. Various promotional practices and welfare programs by has also
brought socio economic development. So, all such practices have led to the status upliftment of these
groups.

Changes in Caste system: Functional:

(i) New practices in status fixation:
The basic condition of social status in caste system is defined by birth. The change in social system
like education, economy like factors has redefined the regulation of status fixation.

(ii) Change with regard to occupation:

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 In previous social condition, the individual was bound to follow the caste occupation, no matter he or
she bring any luck to his life. In recent time, caste is no more the condition to pursue an occupation.
Persons from different caste are free to get involved in a occupational practice as per the wish.

(iii) Changes in marriage restrictions:

Changes on the front of marriage are a defining condition for changing caste system. The strict rules of
endogamy have got diluted. The members of higher caste are getting married lo members of groups
who are once perceived as outcaste or untouchables. Marital taboos are being broken by changing
socio-educational upliftment.

(iv) Change in commensality:

The rules regarding commensality in traditional system were too rigid. The practices like avoidance to
eat or drink with lower cast is no longer a sincere practice even among Brahmins.

(v) Changing practices regarding pollution and purity:

Perceptions regarding purity have shifted from religious, sate base practices to public and personal
hygiene. Similarly, taboos regarding food like no vegetarian are no longer such strictly followed.

(vi) Change in the life style:

Economic, educational and social changes have brought substantial change in life style of individual
irrespective caste barrier. Previously, the caste base life style which was the caste identity has been
diluted.

(vii) Shifting relationship pattern at inter caste level:

The inter caste relationship between various castes which was rigid has become flexible in past
decades. The upper caste dominance has decreased due to increased socio economic equality on the
economic, education, rights and justice like fronts. . The uplift of lower and socially marginalised
groups has increased their confidence to stand at equal space with other majorities. Broadly, it has
helped to change the caste equation and inter-caste relation. Further such changes are tending to bring
the vertical relation between upper caste and lower caste to horizontal level.

(viii) Weakened power of caste Panchayats:

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Origin and concept of caste: Various theories
 The previous dominance of upper caste panchayat has lost its ground with growth of public legal
system. Similarly the entry of marginalised group into judiciary system has brought more power to
such groups.

(ix) Removal of educational barriers:

The previous restriction of education only to Brahmins and upper caste has broken. Education has
become a right for all which has help caste groups in lower position to get educated and liberated from
age old socio cultural vagaries.

(x) Social empowerment and changing power system:

The change in power structure from up to down has broken down in recent period. With all round
social and cultural growth, various groups are getting empowered who were once marginalised.

(xi) Increasing efforts for Caste identity:

Caste consciousness is the slogan of modern India. Different castes have been working for caste
identity and upliftment.

(xii) Changing pattern of Jajamani system:

With the growth of education, the age old traditional beliefs and practices are fast moving out of the
society. So also the traditional practices like Jajamani system is also getting depleted.

Attitudinal Changes:
(i) Declining nature of belief in ascriptive status:
The socio economic liberalisation has broken the hereditary occupation based social status. It has
enabled the underprivileged to come to the mainstream and be a part of decision making process rather
than a doormat and powerless section of the society.

(ii) Philosophical transition:

The traditional philosophical practices have got transformation with increased inclusiveness. The
philosophy that has formulated the caste system has been doubted and out rightly rejected by various
major groups. New philosophy that takes all people hand in hand with a liberal stand against strict
caste hierarchy has evolved.

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 Summary
Caste is a collection of families bears a common name, claiming a common descent from a mythical
ancestor, human or divine, professing to follow the same hereditary calling and is regarded by those
who are competent to give an opinion as forming a single homogeneous community (Herbert Risley).
Ketkar defines caste as “a social group having two characteristics – (i) membership is confined to those
who are born of members and includes all persons so born; (ii) the members are forbidden by an
inexorable social law to marry outside the caste”. As per M.N. Srinivas, Caste is a hereditary,
endogamous, usually localised group, having a traditional association with an occupation and a
particular position in the local hierarchy of castes. Relations between castes are governed, among other
things, by the concepts of pollution and purity and generally, maximum commensality occurs within
the caste. Caste which further defines the social hierarchy of its individuals based on power, prestige
etc. Caste structure is formed on the basis of the birth of the individual. The caste theory in practice
differentiates ‘pure’ from impure’ in order to protect life from death. It creates the hierarchical
classification of the four main ‘verna’ and a number of jatis or castes which are based on series of
gradations of ritual and religious purity, high and low status, and eating and drinking habits. The
functional role of caste as a unit explains the status of equal individuals; caste also acts as a system
which maintains the characters of the very caste and its members. Caste has been perceived as a
cultural concept which is based on certain ideas, beliefs and values. Similarly caste from a structural
point of view acts to maintain the status and roles of the involved population. Caste explains the
segmentation character of the society that small social groups called caste formulates the society.
Social superiority and inferiority are defined as per Caste status. . While Brahmins occupy the top
hierarchical position, Sudras are at the lower. Kshatriyas are in the second position in hierarchy
followed by Vaisyas formulate the total caste system in India. Endogamy is the most fundamental
character of the caste system that directs a member of a particular caste to marry within his or he own
caste or sub caste. The caste system is conceived on the basis of occupation. Having or sharing food is
an important character of caste structure and hierarchy. As Prof. GS Ghurye says, ‘caste is a small and
complete world for the individual with differentiating from others’. The origin of caste system is often
understood of starting after the Aryan invasion or after the establishment of indo Aryan societal

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Origin and concept of caste: Various theories
 system. There are various theories regarding caste system like, racial theory, political theory,
occupational theory, traditional theory, religious theory, evolutionary theory, theory of sanscritisation,
theory of dominant caste, theory of fission and fusion. With the changes in the social economic arena,
there has been a substantial change in the caste system in different parts of India. Conceptually the
Change pattern in the caste system can be identified as structural, functional band attitudinal.

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Origin and concept of caste: Various theories