January, 1959
THE ECONOMIC WEEKLY ANNUAL
Concepts and Methods in the Study of Caste
David G Mandelbaum
Is Sociology a science?
Caste studies are often theoretically naive, and purely descriptive. Even when the writer finds a problem, the assumptions and concepts on which his answers depend, are often neither discussed nor evaluated.
Both for the study of change and for equilibrium studies, a theoretical framework is required.
Such ''pure' sociology shows how far the subject has advanced, and can advance, towards the level of
sophistication found in economics and the physical sciences.
T H E new f i e l d data w h i c h have
appeared in the past decade
m a k e a fresh approach to the study
of caste desirable. The new, accelerated developments in caste relations have made fresh analyses
necessary.
There is a large l i t e r a t u r e on the
subject,
I n c l u d i n g some notable
w o r k s o f scholarship. M a n y o f the
earlier studies were m a i n l y interested in the origins of caste and in
the religious
and
philosophical
concepts w h i c h have been entailed
in I n d i a n caste o r g a n i z a t i o n . T h e
more detailed w o r k s on castes and
caste relations were w r i t t e n m a i n l y
by g o v e r n m e n t officers for the use
of a d m i n i s t r a t o r s . These w o r k s are
useful
catalogues,
but r e m a i n
unorganized collections of i n f o r m a t i o n because of t h e i r lack of
unifying
concepts.
I n order t o
understand modern caste societies
and the changes w h i c h are c o m i n g
about in them, it Is necessary for
the field w o r k e r to use a set of
general concepts concerning social
o r g a n i z a t i o n and a set of more
specific concepts concerning caste in
India.
General Concepts
A m o n g the general concepts w h i c h
have been found to be most apt and
f r u i t f u l in the study of caste are
the f o l l o w i n g :
System. Because each u n i t of a
caste order can be f u l l y understood
o n l y i n terms o f i t s relations t o the
other units, it is scientifically econom i c a l to base the study of caste on
the general concept of system, a n d
to use t h a t concept in defining the
dimensions a n d the n a t u r e of the
caste system w h i c h is under study.
A social system, briefly defined, is a
set of groups which act together to
perform a function. That function
is a unified effect on the environment or on the system i t s e l f w h i c h
is n o t produced by a n y single group.
E a c h group is made up of persons
w h o together play s i m i l a r roles in
the w o r k i n g of the system. The
groups are interdependent for the
purposes of their
m u t u a l function
a n d they are interdependent in a
specific order of behaviour t o w a r d
each other. T h a t order includes a
process of social
counterchange.
It is useful, f o r purposes of
analysis to d i s t i n g u i s h between a
social system a n d the related cultural
system.
The actors w h o
participate in reciprocal, regulated
behaviour, together w i t h t h a t behaviour, m a k e up the social system.
The related c u l t u r a l system consists
of the rules a n d standards for their
conduct; it includes the established
roles a n d the requirements of the
roles, together w i t h a l l the impersonal
norms,
expectations, and
references w h i c h the actors use in
t h e i r j o i n t conduct.
Role. Each of the component
groups of a social system is made
up of persons w h o c a r r y out s i m i l a r
roles in the operation of the system,
A role is the set of expectations
applied to a person of a p a r t i c u l a r
social position and role-behaviour is
the action w h i c h flows f r o m these
expectations.
Referenee categories. E a c h person
uses a v a r i e t y of roles according to
the context a n d n a t u r e of the a c t i o n
in w h i c h he is i n v o l v e d . The choice
of one or another role is affected by
his perception of the context of the
action and the nature of the actors.
Related to t h i s la his perception of
h i m s e l f in the a c t i o n scene. B o t h
kinds of perception are the reference
categories f o r behaviour used by the
Individual.
C o m m u n i c a t i o n . A l l social systems
involve communication. That w h i c h
is m e a n i n g f u l f o r the system must
be distinguished f r o m ''noise" w h i c h
is a l w a y s present.
System-shift, B y definition, the
p a r t s of a system are interdependent.
Hence a change w h i c h affects one
145
part tends to affect the whole system.
Under certain conditions, the change
in the part is anticipated and compensated for in the structure of the
system, under other conditions there
m a y be a shift in the entire s t r u c t u r e
of the system.
The Study of Caste
Some of the concepts w h i c h are
specifically applicable to the study
of caste and w h i c h arc related to
these general concepts are as f o l l o w s :
Culture sphere and local social
system. The basic o r g a n i z i n g p r i n ciples of caste are used by villagers
in most parts of the l a n d . These i n clude the stress on
endogamy, on
hierarchical social
order, on the
social
consequences
of r i t u a l
pollution
and
purity. I t
may
be said metaphorically t h a t these
themes provide the broad rules of
the social game. These rules are
used in local settings. The social
systems of caste are local systems,
each of w h i c h is p a r t l y independent
a n d p a r t l y i n t e r l i n k e d w i t h other
local
systems.
A local
social
system
includes the people of a
village or village cluster w h o together m a i n t a i n a c o m m u n i t y ; it
also includes a n c i l l a r y members
f r o m other villages who participate
in the system for certain purposes,
especially for the purpose of recruitment by m a r r i a g e a n d for m a i n t a i n i n g the i n t e g r i t y of the parts of
the local .system.
The endogamous groups w h i c h
comprise a local system are best
called j a t i s . These are interdependent for the purposes of the system
a n d are arranged, by local opinion,
in a social hierarchy. The r a n k i n g
is made, de jure, according to
r i t u a l c r i t e r i a applied corporately;
the actual r a n k i n g is, de facto, the
outcome of the interplay of r i t u a l
and
secular
factors.
While a
v i l l a g e r usually t h i n k s that there Is
—or ought to be —a c l e a r l y t a b u lated order of jatis-. on w h i c h there
is general v i l l a g e consensus, such a
definitive l i s t i n g does n o t necessar i l y exist, except at the extremes of
the local social order.
Disagreements about relative r a n k i n g , f a r
f r o m u n d e r m i n i n g a local system,
arc? often characteristic of i t .
Variations
in
role-behaviour. A
general characteristic of the "rules
of the g a m e " is t h a t a person must
s h i f t his role-behaviour according to
the context of action a n d the nature
of the others entailed in his a c t i o n ,
A v i l l a g e r s j a t i status sets certain
Dmits to the roles he m a y t a k e tow a r d others and those of others t o w a r d h i m . W i t h i n these l i m i t s , there
are r e g u l a r v a r i a t i o n s according to
age and sex. F r o m the role-variations prescribed for women stem the
practices of hypergamy, whether
forma) o r tacit. I n general, jati-roles
are
more s t r i c t l y defined in the
context
o f hearth a n d home, i n
eating, m a r r i a g e , a n d worship, t h a n
in field and t o w n , In labour, play, or
travel.
V a r i a t i o n s in reference categories,
A person's
choice of appropriate
roles in a social action depends, in
part, on his perception of the social
status of the other actors. One
regular v a r i a t i o n i n this perception
is t h a t a person tends to see finer
social distinctions a m o n g those w h o
arc socially closer to h i m
than
a m o n g those w h o are more d i s t a n t
f r o m h i m i n the social order. A l l
use s i m i l a r groupings i n t o w h i c h
j a t i s are classed.
These m a y be
t e r m e d jaticlusters, jati-sets. and
jati-categories. B u t one's o w n and
closely related j a t i s are generally
placed in the finer as w e l l as in the
broader groupings, w h i l e persons of
d i s t a n t j a t i s tend to be classed only
in the broader groupings.
The v a r n a s are i m p o r t a n t Jaticategories.
T h e y are more theoret i c a l models for society t h a n a c t u a l
definitions of a real local social
order. B u t as models they have
g r e a t importance. F o r one t h i n g ,
they provide a simple t h e o r y f o r
h i g h l y complex social phenomena,
"Noise" a n d comprehension in a
local system. We have mentioned
t w o m a i n sources of "noise," i e,
disagreement and non-understanding,
a m o n g members of a local system.
One is about the consignment of a
p a r t i c u l a r j a t i to a certain reference
category. A n o t h e r is about the
relative r a n k i n g o f j a t i s , especially
in the middle
ranges of a social
order,
These disagreements have
n o t generally i m p a i r e d the operat i o n o f local social systems i n a n y
serious w a y , and have, in c e r t a i n
respects, strengthened the system.
I n the f o r m e r matter, the m e t i c u l ous a t t e n t i o n of a person to the
social characteristics of the people
o f his o w n j a t i m a i n t a i n s the j a t i
as a relatively f i r m and integral
unit.
H i s general
disregard o f
v a r i a t i o n s a m o n g groups socially
d i s t a n t f r o m h i m makes i t p o s s i b l e
f o r h i m to deal economically w i t h a
wide d i v e r s i t y of persons a n d groups.
I n the l a t t e r m a t t e r , the c o m m o n
disputes about r a n k i n g and prerogatives of r a n k reinforce the villager's
concept t h a t r a n k and its prerogatives are i m p o r t a n t and w o r t h y of a
struggle. T h i s holds
for those at
the lowest r a n k s as w e l l as for
those of the higher echelons.
In
this w a y , the n o t i o n of h i e r a r c h y has
been c o n s t a n t l y reinforced, even
t h o u g h m a n y believe t h a t t h e i r o w n
group deserves higher r a n k t h a n i t
is accorded.
N o t infrequently, people of the
higher j a t i s in a local system use a
different dialect f r o m those at the
lower levels. B u t all understand a
c o m m o n language f o r their common,
systemic purposes. S i m i l a r l y , there
are
often
differences in culture
a m o n g the groups of a local system.
Those of the higher r a n k s practice
more " S a n s k r i t i c ' ways as interpreted f r o m the s c r i p t u r a l t r a d i t i o n , and
those of the lower j a t i s observe more
customs of
the locaily-focusscd,
v e r n a c u l a r t r a d i t i o n , such as being
possessed by deity or w i e l d i n g a
sacrificial blade.
People of the highest r a n k s comm o n l y f o l l o w some of the ways of
the v e r n a c u l a r t r a d i t i o n , those of
the lowest c o m m o n l y practise some
S a n s k r i t l c customs.
There is no
necessary clash between the t w o
t r a d i t i o n s , a l t h o u g h social conflict,
frequently arises when one group
begins to t a k e on certain S a n s k r t i c
customs, w h i c h those of higher
groups consider to be their own prerogatives.
The c o m m o n language or casteconduct is usually used also by
those groups of a local system, such
as M u s l i m s a n d Christians, whose
religious ideology rejects caste. T h e y
u s e t h a t language when operating
w i t h i n the local system and m a y
disregard i t i n certain contexts, a s
w i t h i n the mosque.
As between
one language
area
a n d another, sometimes even as be147
tween one village a n d the next,
there m a y be notable differences in
the composition of the local social
order. Despite such "noise" people
of different regions can share communication
and
understanding:
about social order because a l l share
an understanding of the f r a m e w o r k
of caste organization created by the
basic operating principles.
Steady state, dynamic balance,
a n d system change. There p r i n c i ples have remained constant, in a
r e l a t i v e l y steady state, for some
t i m e . B u t the social position of
p a r t i c u l a r descent groups has v a r i e d
in the same period, m a k i n g for social flexibility in the system. Rising social m o b i l i t y , when successf u l , has been achieved by a g r o u p
t h r o u g h f o l l o w i n g w e l l defined patterns.
The maintenance of a steady cult u r a l f r a m e a n d mobile social com*
ponents is the result of local social
counterchange together w i t h the
constant effect of the s c r i p t u r a l
t r a d i t i o n , its exemplars a n d carriers.
Social m o b i l i t y , t h o u g h theoretica l l y denied by certain of the systemic canons, has nonetheless been
an i m p o r t a n t , " a n t i c i p a t e d " process
w i t h i n local systems. B u t recent,
forces f l o w i n g f r o m u r b a n , Indus-'
trial,
and g o v e r n m e n t a l centres
have introduced new influences a n d
conditions i n t o caste. B o t h c u l t u r a l
a n d social systems of caste are
changing, but the c o m m o n n o t i o n
t h a t caste is d i s i n t e g r a t i n g m a y be
misleading. Just as an o r g a n i s m
does not disintegrate when it develops f r o m one stage to another, of
as the A m e r i c a n people d i d n o t disintegrate p o l i t i c a l l y
when
they
changed f r o m one government to
another at the t i m e of the A m e r i can revoiutlon, so the social o r g a nisation of I n d i a n peoples is changing, but not d i s i n t e g r a t i n g .
Field Methods and Techniques
The methods best
suited to the
study of the problems entailed i n ;
caste depend not only on the p a r t i cular aspects of the subject in w h i c h
the student is interested, b u t also
on the general development of the
subject.
In the analysis of caste we are
s t i l l , for the most part, in the first
of four developmental stages. This
m a y be called the " n a t u r a l h i s t o r y
stage in w h i c h observers s t u d y a
p a r t i c u l a r set of people a n d their
social organization. T h e y report
THE ECONOMIC WEEKLY ANNUAL
January, 1959
the m a i n contours of the society veloping 750 h p, it is one of the
according to some b r o a d l y defined most p o w e r f u l diesel locomotives of
(sometimes undefined) outline. As t h i s type, w i t h a m a x i m u m speed of
various reports are collated and 56 miles an hour or 44 miles if
drawing a train.
compared, the general contours of
the field are seen and f o r m u l a t e d .
F o r m u l a t e d also at thus point are
some
tentative
hypotheses about
caste function and dynamics. These
hypotheses can be tested by sampling-statistical
techniques,
using
questionnaires, sampling polls and
other devices for collecting, coding,
a n d a n a l y z i n g a broad spectrum of
responses.
The next step, for w h i c h we are
almost ready, is one in w h i c h social
scientists continue the n a t u r a l hist o r y , "open-mind*' approach but
w i t h increasing f o r m u l a t i o n o f rel e v a n t hypotheses and the s t a t i s t i cal testing of them. The questionnaire-statistical techniques can, if
crudely used, lead to sadly deficient
and wasteful efforts. B u t they are
also essential a n d f r u i t f u l tools for
research provided t h a t the researcher has enough scientific k n o w ledge to k n o w what questions to
ask and provided t h a t he is scientifically sophisticated enough to recognize the
difference
between a
response given on paper or to a
stranger standing w i t h pencil poised,
a n d an action response to a s t i m u lus in the context of one's real life.
I n the t h i r d stage, the constant
themes and dimensions of the field
are w e l l enough k n o w n so t h a t hypothesis b u i l d i n g and testing engages more of research effort.
The
n a t u r a l h i s t o r y approach should not
therefore be abandoned, since it is
the w a y i n w h i c h heretofore u n recognised relations best become
perceived.
T h i s research cycle m a y c u l m i nate in a creative, synthesizing
stage in w h i c h various hypotheses
a n d different series of data are
b r o u g h t i n t o meaningful relation. A t
t h a t point, as w i t h D a r w i n i a n evol u t i o n , the w a y is opened for scientific exploration and theorizing in
new directions.
Diesel Locomotives from USSR
TWENTYNINE
s h u n t i n g diesel
locomotives for I n d i a have been
m a n u f a c t u r e d at the Diesel "Locomotive B u i l d i n g W o r k s a t Lugansk,
U k r a i n e . They are being shipped to
the B h i l a i Steel Mills.
The L u g a n s k engineers designed a
completely new type of diesel locom o t i v e f o r tropical conditions. De148
The locomotives are being shipped
f r o m the Soviet U n i o n i n separate
units. T h e y w i l l be assembled at
V i s a k h a p a t n a m by a special t e a m
o f w o r k e r s f r o m the L u g a n s k plant.