Brandeis University, Center for Global Development and Sustainability

Importance of Caste-Based Headcounts

Author(s): D.P. Singh, Srei Chanda, L.K. Dwivedi, Priyanka Dixit and Somnath Jana
Source: CASTE: A Global Journal on Social Exclusion , April 2023, Vol. 4, No. 1, LATITUDES
OF MARGINALITY IN INDIA (April 2023), pp. 75-91
Published by: Brandeis University, Center for Global Development and Sustainability

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Article

CASTE: A Global Journal on Social Exclusion

Vol. 4 No. 1 pp. 75–91
brandeis.edu/j-caste April 2023
ISSN 2639-4928
DOI: 10.26812/caste.v4i1.497

Importance of Caste-Based Headcounts: An Analysis

of Caste-Specific Demographics Transition in India

D.P. Singh1, Srei Chanda2, L.K. Dwivedi3, Priyanka Dixit4, Somnath Jana5

Abstract

Caste has always been a subject of socio-political segregation in India. Inequality

across caste is prominent for varying health and development outcomes, which
is a subject less researched till date. Four rounds of National Family Health
Surveys (1–4) conducted in the last 25 years are analysed to portray the fertility
and mortality differentials across castes/ tribes. The article signifies, that distinct
inter and intra-caste differences in association with the region of residence are
present that must be taken into consideration while understanding the health
outcomes. Despite a decline in the fertility and child mortality rates in India,
caste-wise differentials suggests that the decline is associated with the socio-
economic position and transition experienced by these groups. Though schemes
and benefits are targeted towards backwards castes, however, sub-castes under
each caste are far from realization of those benefits at equal pace. Realization of
the developmental processes among castes is a matter of proper enumeration and
intricate research that rationalize the distributive and affirmative policies of India.

Keywords
Caste, socio-economic inequality, Total Fertility Rate, child mortality, NFHS, India

1
Professor, School of Research Methodology, Tata Institute for Social Sciences (TISS), Mumbai, India
2
Independent Researcher, Jaipur, Rajasthan, India
3
Professor, Dept. of Survey Research & Data Analytics, International Institute for Population Sciences
(IIPS), Mumbai, India
4
Assistant Professor, School of Health System Studies & School of Research Methodology,
Tata Institute for Social Sciences (TISS), Mumbai, India
5
Doctoral Scholar, International Institute for Population Sciences (IIPS), Mumbai

Corresponding author
Srei Chanda
E-mail: [email protected]

© 2023 D.P. Singh et al.   This is an open access article distributed under the terms of the Creative Commons
Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided
the original author(s) and source are credited.
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76 CASTE: A Global Journal on Social Exclusion Vol. 4, No. 1

Introduction
The ongoing debate on enumeration of population on the basis of caste to measure
development has become pertinent in the political paradigm of India. In the demand of
socio-economic and caste census, several political bodies are asking the government
to start conducting a caste-specific census. A prominent paradigm observes that the
development of social communities is devised on the basis of caste reservation in
India. Caste is a fundamental construct to measure the social stratification in India
(Deshpande, 2001). This has been a source of understanding of the persisting
structural inequality in social and economic dimensions (Borooah et al., 2014). The
fertility and mortality outcome of the population across castes are understudied in
demography. The importance of the caste system is well recognized particularly in
the context of India, and previous literature dated to over 2500 years hold evidence
for the existence of caste as social hierarchy (Macdonell, 1914). The evolution of
the caste system demarcates the social strata, occupational contributions and material
possession in terms of individual and social capital (Borooah et al., 2014; Deshpande,
2001). Eventually, social classification further gets associated with the ideology of
class, which remains closely connected with sociological or related research. In that
context, the research is focused upon a broad classification of caste category such
as forward or unreserved, scheduled castes (SC), scheduled tribe (ST) and other
backward castes (OBC). The knowledge regarding these caste categories is limited as
scant sources provide information across specific castes and sub-castes underlying it.
Since castes and, also necessary to mention, religions are related with socio-economic
status (Kumari & Mohanty, 2020), hence demographic and health outcomes vary to a
great extent in that regard. To date, major demographers or social scientists are forced
to consider caste as an aggregated group in large datasets despite several classifications
constructed within the caste groups mainly due to data inadequacy. Moreover, the
literature available to study the demography of caste in India is severely scattered and
concentrated on a few regions of India (Corrie, 1995; Pallikadavath & Wilson, 2005;
Ramesh, 2008).
The formal demography of caste can be a matter of general interest to social
scientists. Caste has been included in vested political interests till date. In the
development paradigm, a detailed study on caste has hardly been seen. In developed
nations, inequalities observed among social groups has been widely documented (Cai
& Morgan, 2019; Yang & Morgan, 2003). As we are devoid of such scope yet, the
limited understanding of the reserved caste categories as a minority group can be
largely interrogated, henceforth. To fulfill that, one has to argue about subcastes and
their social-economic position in relation to who receives a programmatic benefit in the
country. However, the understanding in demographic outcomes in an Indian context
remains largely unfulfilled with the current database as the last full enumeration of the
population with the indicator of caste was done in 1931 by the Registrar General of
India (RGI, 1931). Castes are categorized primarily into Brahmin, Kayastha, Vaisya,

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Importance of Caste-Based Headcounts 77

Shudras and untouchables. The first three castes are designated as forward caste
categories (Borooah et al., 2014). Other than the forward castes, several other castes
such as SC, ST and several subcastes of OBC are considered in the reserved caste
categories by the Indian constitution. There are several divisions under each caste
depicting the stratification associated with the occupation they are engaged in. Yet, no
national data source is available to enumerate different sections of population on the
basis of their sub-castes at present. The Census of India recognizes that the proportion
of population for SC and ST has increased between 1961-2011. The proportional share
of reserved castes such as OBC has increased between 1999-2009 across religious
categories (Bharti, 2018). Constructs of caste have intruded into religion. A large
section of the Muslim population is considered in the Other Backward Class (OBC)
categories. Moreover, several religious groups are largely represented by particular
castes. For instance, Buddhist or Neo-Buddhists in India are represented by the SC
population (Kulkarni, 1994). The concept of lower or backward castes is associated
with the untouchability leading to social exclusion and marginalization which results in
poor development. As societal change is interwoven into the socio-economic structure
of the population, therefore, the pace of demographic transitions is influenced by the
complex dynamics of it. Demographic processes like change in fertility, mortality or
migration are used to comprehend such changes in the population. The disadvantageous
position of the caste groups with regard to their social and economic context highlights
the demand to understand the inequalities persisting in society through segregated
categories of castes or sub-castes.
A necessary pre-requisite to measure health inequality is to measure the fertility
and mortality outcome of the population. Selection bias in mortality towards low
socio-economic groups has been documented in several literatures, which prompt us
to associate with the wealth and standard of living among the subgroups (Beydoun
et al., 2016; Subramanian et al., 2006). The concept of social segregation is deeply
interwoven with the occupational constructs of the population which determine the adult
or child mortality of any given population (Fujishiro et al., 2017). Standard occupation
and earning lead to better access to education and in turn health facilities. This helps
to decipher a change in fertility or mortality outcomes. Through programmatic
concepts, it can be argued that despite providing reservations and relaxation in several
social welfare schemes, many sub-castes are yet to get considered in the process. An
inability to reap the benefit of it might hinder development at a socio-economic front
rather than the demographic front. In fact, the existence of intra-caste differentials
among minority castes in association with socio-economic factors is potent enough to
influence the access to a social safety net (Goli, Maurya, & Sharma, 2015; Manjula
& Rajasekhar, 2015; Mishra, Veerapandian, & Choudhary, 2021; Pankaj, 2019).
Therefore, a huge disparity within the social sub-groups cannot be solely explained by
the education or occupation interventions alone. A typical disparity in healthcare access
has always been observed among the minor social groups in India. This is evoked by

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78 CASTE: A Global Journal on Social Exclusion Vol. 4, No. 1

the possible difference in health behavior and practice, which can certainly influence
the measure of health of any population such as fertility and mortality. Studies also
argued that the concept of caste remains much more stringent in rural setups, and in
urban areas development percolates more easily across castes due to sanskritization
and westernization (Bharathi, Malghan, & Rahman, 2019; Shah, 2007). The way in
which population across different castes reaps the benefit of development from the
community and society can change the behavior and practice among the population
extensively. Measurement of fertility and mortality among children for a considerable
span of time would reflect the progression of the castes in India. Fertility choice is
maneuvered through social and economic values associated with the individuals, and
mortality is influenced by the unique combination of the socio-cultural and economic
agents at different stages of child growth. Targeted intervention to improve the
mortality and fertility behavior in India could essentially be modified in the social
groups if a barrier is not present or policies are designed effectively. Since population
growth rate influences the social and political dynamics in terms of reservations for
the backward castes, it becomes essential to estimate and explore the level of fertility
and child mortality across castes. The results will be important to understand the
tempo of change in demographic transitions in India in terms of practices adhered to
by social groups.

Data
To measure the different caste-wise fertility and child mortality of the population we
have utilized four rounds of National Family Health Survey (NFHS) data of India.
The Demographic and Health Survey, which is known as National Family Health
Survey (NFHS) is a central to itemize the demographic and specific health parameters
mainly focused upon the reproductive and sexual health of the population since
1992-93 (NFHS-1). Though it could give a broad overview of castes across states of
India, however, the benefit of such information has been remarkable as it allows one
to analyse the differentials in various demographic and social-economic behavior. In
India, the caste distribution shown by the Socio-Economic Caste Census (2011) is 19.7
per cent SC, 8.5 per cent ST, 41.1 per cent OBC and 30.8 per cent Others / General
category. It was a privilege for us, social scientists, to explore the major dimensions
of demography across the caste categories consistently with all four rounds of NFHS
data. Since the survey interrogates specific sub-castes under each broader caste, we
have meticulously identified each type of sub-caste from those four rounds of NFHS
in this study. NFHS-1 (1992-93), NFHS-2 (1998-99), NFHS-3 (2005-06) and NFHS-4
(2015-16) have been conducted among 89,777 ever married women of 13-49 years
in 24 states and NCT Delhi, 90,000 ever married women of 15-49 years in 26 states,
124,385 women aged 15-49 and 74,369 men aged 15-54 in 29 states, 699,686 women
of age 15-49 and 112,122 men of age 15-54 in 29 states and 7 union territories, viz.

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Importance of Caste-Based Headcounts 79

(International Institute for Population Sciences (IIPS), 1995; International Institute

for Population Sciences (IIPS) & ICF, 2017; International Institute for Population
Sciences (IIPS) & ORC Macro, 2000, 2008). As it attempts to capture information over
four consecutive rounds in last two decades and more, the detailed representation of
the survey across different caste categories would unfold detailed trends and patterns
of population across castes in India. The sampling followed is a multistage sampling
with probability proportion based on population size. The missing value indicates
Under 5 Mortality Rate (U5MR) has been used. The overall estimation for fert
the system missing/ skipped, caste not reported indicates that during the survey if a
respondent replied ‘don’t know’ on the question of caste, and others are those who are
is also calculated at the national level. For the study, we have utilized STATA 1
not categorized for a classified caste in the study.
Under
We 5 Mortality
have tried to segregateRate (U5MR)
the castes has been
and sub-castes afterused. Theand
a thorough overall
rigorousestimation f
literature review and perusing a large number of online and offline sources. The
Method
is alsoof calculated
distribution at across
those sub-castes the national level.ofFor
different rounds thehas
surveys study, we have utilized ST
been documented
and then the study has tried to capture the measure of fertility and mortality in India.
CastesMethodology
are divided withforrespect
estimating Fertility
to actual Rates
information on caste categories, language
spoken,Method
religion followed, ethnicity, occupational status, etc., which makes it complex
caste categories considering the exclusive social and economic construct of that
Fertility rate was calculated in two steps. First, using a STATA code to tr
particular group. In the fertility measure, Total Fertility Rate (TFR) and in mortality
Methodology
measure,
history
for estimating
Neonatal Mortality
data in a tableRate (NMR),Fertility
of birth.
RatesRate
Infant Mortality
Second, we using (IMR), and Under
Poisson regression to comput
5 Mortality Rate (U5MR) has been used. The overall estimation for fertility and
mortality
fromis birth
also calculated at the (Schoumaker,
history data national level. For2012).
the study,
Morewe have utilized STATA
specifically,
Fertility
15.1 software. rate was calculated in two steps. First, using a STATA cod
Let, Xi be the random variable that denotes the number of birth (xi be the re
history data in a table of birth. Second, we using Poisson regression to c
Method
assumedfor
Methodology to Estimating
follow a Poisson
Fertilitydistribution
Rates with mean 𝜇𝜇𝑖𝑖
from birth history data (Schoumaker, 2012). More specifically,
Fertility
P(xirate
=xi|𝜇𝜇was
𝑖𝑖) =
calculated in…………………….(1)
two steps. First, using a STATA code to transform the
birth Let, i be
historyXdata in athe
tablerandom variable
of birth. Second, that
we are denotes
using the number
Poisson regression of birth
to compute (xi be
the fertility rates from birth history data (Schoumaker, 2012). More specifically,
the mean 𝜇𝜇𝑖𝑖 = ( fertility rate (𝜆𝜆i)*exposure (ti)), further,
Let, Xi be theto
assumed random
followvariable that denotes
a Poisson the number of
distribution birthmean
with (xi be the
𝜇𝜇realization
𝑖𝑖
of Xi) is assumed to follow a Poisson distribution with mean 𝜇𝑖
log (𝜇𝜇𝑖𝑖) = log (𝜆𝜆i ) + log (ti) ………………………….(2)
P(xi=xi|𝜇𝜇𝑖𝑖) = …………………….(1) (1)
log (𝜆𝜆i ) is linear combination of independent variables , thus ,
the mean 𝜇𝑖 = ( fertility rate (𝜆i)*exposure (ti)), further,
the(𝜇mean
log ) = log𝜇𝜇(𝜆𝑖𝑖 i )=+ (log
fertility rate (𝜆𝜆i)*exposure (ti)), further, (2)
(ti)(𝑐𝑐𝑜𝑜𝑣𝑣𝑎𝑎𝑟𝑟𝑖𝑖𝑎𝑎𝑡𝑡𝑒𝑒𝑠𝑠)
log(𝜆𝜆𝑖 𝑖𝑖)=𝛼𝛼+f (𝑎𝑎𝑔𝑔𝑒𝑒)+f
1 2 ……………………….(3)
log (𝜆i) is linear combination of independent variables , thus ,
log(𝜆
now for𝑖𝑖) five
log 𝑖(𝜇𝜇
)=𝛼+f =1(𝑎𝑔𝑒)+f
log (𝜆𝜆2(𝑐𝑜𝑣𝑎𝑟𝑖𝑎𝑡𝑒𝑠)
years i )age
+ group
log (tiwe ) ………………………….(2) (3)
makes dummy variables, in the form .
now for five years age group we makes dummy variables, in the form .
log (𝜆𝜆
log(𝜇𝜇 i ) is𝑖𝑖)+(𝛼𝛼+∑
𝑖𝑖)=log(𝑡𝑡 linear combination) of independent variables , thus ,
α is the constant term; 𝐴w𝑖 are dummy variables for the six age groups from
20–24α is45–49;
log(𝜆𝜆
to the)=𝛼𝛼+f
𝑖𝑖
constant
and1we term;the𝐴𝐴w
(𝑎𝑎𝑔𝑔𝑒𝑒)+f
have 𝑖𝑖 are
age dummy
2(𝑐𝑐𝑜𝑜𝑣𝑣𝑎𝑎𝑟𝑟𝑖𝑖𝑎𝑎𝑡𝑡𝑒𝑒𝑠𝑠)
first variables
is the for
……………………….(3)
group (15–19) the six
reference age groups
category. from 20

we have the first age group (15–19) is the reference category.

now for five years age groupdownloaded
This content we makes from dummy variables, in the form .
106.215.83.114 on Thu, 18 Apr 2024 12:10:50 +00:00
So, fertility rate (𝜆𝜆i)All
= exp (𝛼𝛼+∑to https://about.jstor.org/terms
use subject )
log(𝜇𝜇𝑖𝑖)=log(𝑡𝑡𝑖𝑖)+(𝛼𝛼+∑ )
Predicting fertility rates for a specific age group (e.g. 20–24 years) is str
 α is the constant term; 𝐴𝐴w𝑖𝑖 are dummy variables for the six age groups from 20–24
A Global Journal on Social Exclusion Vol. 4, No. 1
80
we have the first age group CASTE:
(15–19) is the reference category.

So, fertility rate (𝜆𝜆i) = exp (𝛼𝛼+∑ )

is then fertility
Predicting equal to ratesthefor exponential
a specific age ofgroup
the (e.g.
sum20–24of the
years)constant
is and
Predicting fertility rates for a specific age group (e.g. 20–24 years) is straig
straightforward. The dummy variable A is equal to 1 for the specific age group and
0 for corresponding age is group
the other age groups; the rate is (20-24).
then equal to the exponential of the sum of the
dummy variable A equal to 1 for the specific age group and 0 for the other age g
constant and the coefficient of the corresponding age group (20-24).
𝜆𝜆20−24=[𝛼𝛼+𝛽𝛽20−24]

So TFR = 5*{exp(𝛼𝛼)+(exp (𝛼𝛼+∑ )}

Methodology to Compute Child Mortality Rates

We calculate child mortality rate using the STATA package SYNCMRATES, which
Methodology
calculate to rates
child mortality computeusing child mortality
DHS data by simple rates
direct method (Masset,
2016). The child mortality rate is calculated as the quotient of the numerator divided
by the denominator for each type where, numerators is defined as the number of deaths
We calculate
to live-born childa specified
children during mortalityage rate
range using the STATA
and specified package
time period. NMR is SYNCMR
measured by considering deaths at ages 0 to 30 days, including deaths reported at age
zero child
months. mortality
Similarly, IMRrates using atDHS
is measured ages 0data
to 11 by simple
months, and thedirect
U5MR method
is (Ma
measured at ages 0 to 4 years, including deaths reported at ages 0 to 59 months. The
denominator considered
mortality rate isiscalculated
the number asof surviving children
the quotient of atthe
thenumerator
beginning ofdivided
a by th
specified age range during the specified period of time.
type where, numerators is defined as the number of deaths to live-
Results
specified age range and specified time period. NMR is measured by cons
Pattern of Fertility among Castes/Sub-Castes at National and Selected State
Level
to 30 days, including deaths reported at age zero months. Similarly, IMR
Table 1 depicts the distribution of study samples interviewed across different caste
categories in four rounds
11 months, includingof NFHS
deathsrepresented
reportedat the household
at ages 0 to level. In NFHS,
99 days and the U5MR
the total number of subcastes identified is 32. In NFHS-1, the percentage share of
prominent upper or forward caste found to be Brahmin (7.3 per cent), Upper Caste
4 years, including deaths reported at ages 0 to 59 months and 0 to 99
(2.36 per cent), Kayastha (1.3 per cent), and Rajput (4.7 per cent). Beside upper castes,
other castes are marked are Jat-Gurjar (3.1 per cent), Yadav (1.9 per cent), Kurmi (3.86
considered
per cent), is the
Service Caste, i.e. number of surviving
Kumhar (3.17 per cent), SCchildren at the
(4.92 per cent), ST beginning
(3.25 per of a spe
cent), Musahar (0.14 per cent), Walmiki (0.46 per cent). Religious minorities such
the specified
as Muslims share 5.3 period
per cent of time.
of the sample. In NFHS-2, the proportional share of
the forward castes in the sample is found to be lesser to the proportional share of the
forward caste found in NFHS-1. More than 40 per cent of the sample shows a missing
Results
data about the particular castes they belong to. The extra castes named in this round are
OBC open (0.07 per cent), Ansari Julaha (0.41 per cent), and language (0.5 per cent).
Religious representation of the caste shows Muslims are 3.37 per cent and Christian
Pattern
0.7 per of fertility
cent. Around among
4.3 per cent did notcastes/ sub-castes
report their caste and at
42.6national and selected sta
per cent claimed
missing, explaining no knowledge of their castes. In the NFHS-3 and NFHS-4, the

Table 1 depicts the distribution of study samples interviewed across diff

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four rounds of All
NFHS
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18 Apr 2024 12:10:50 household level. In NFHS, the to
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identified is 32. In NFHS-1, the percentage share of prominent upper or

Importance of Caste-Based Headcounts 81

upper caste represents similar share in the sample except Kayastha, which is found to
be 1.12 per cent in NFHS-3 and 0.4 per cent in NFHS-4. However, Naidu-Nadar/ Kapu
Nair caste, which is a prominent upper caste in Karnataka and some southern states
show a higher share in NFHS-4 (5 per cent) when compared to other rounds of NFHS.
The backward castes like Yadav, Kurmi, Kumhar, SC, ST, Khan Pathan, and Ansari
Julaha indicate a substantial share in the total sample of NFHS-4. It was also found
that Yadav, service caste, i.e. Kumhar, SC, ST, Ansari Julaha and Khan Pathan show
an increase in the sample share from the NFHS-3 to 4. The share of respondents who
didn’t report their caste is 5 per cent in NFHS-3 and NFHS-4. Despite a high missing
response in the previous rounds, in NFHS-4 it dips to 32.7 per cent.
Table 1: Distribution of the caste categories among households selected in across National
Family Health Survey of India-1, 2, 3, 4
NFHS1 NFHS2 NFHS3 NFHS4
Caste Group N Percent N Percent N Percent N Percent
Brahmin 6,454 7.29 5,643 6.19 5,882 5.39 26490 4.4
Upper caste 2,092 2.36 980 1.07 894 0.82 2545 0.4
Kaystha 1,180 1.33 1,025 1.12 1,224 1.12 2332 0.4
Rajput 4,173 4.71 4,142 4.54 3,404 3.12 17571 2.9
Naidu Nadar Kapu Nair 1,034 1.17 1,764 1.93 1,856 1.7 30258 5
Bania 2,319 2.62 2,024 2.22 3,408 3.13 18271 3
Maratha 41 0.05 1,393 1.53 1,595 1.46 10597 1.8
Jat-gurjar 2,783 3.14 2,512 2.75 2,139 1.96 9940 1.7
Yadav 1,681 1.9 2,660 2.92 2,908 2.67 25559 4.2
Kurmi 3,415 3.86 1,679 1.84 2,136 1.96 16014 2.7
Service caste -KUMHAR+ 2,805 3.17 3,398 3.73 3,527 3.23 33244 5.5
Vishkarma 1,042 1.18 1,658 1.82 2,161 1.98 10505 1.7
Muslim 4,699 5.31 3,074 3.37 3,128 2.87 20669 3.4
Khatik Dusadh 953 1.08 1,496 1.64 1,657 1.52 12799 2.1
SC 4,357 4.92 4,361 4.78 5,490 5.03 51761 8.6
ST 2,874 3.25 2,441 2.68 3,703 3.4 31706 5.3
Fisherman 524 0.59 589 0.65 469 0.43 3314 0.6
Lodhi-others 159 0.18 306 0.34 749 0.69 4986 0.8
Mixed caste-Bengali, Bhagat 2,369 2.68 4,093 4.49 755 0.69 6341 1.1
Musahar 121 0.14 97 0.11 101 0.09 1241 0.2
Walmiki 406 0.46 570 0.63 685 0.63 3266 0.5
OBC open 62 0.07 83 0.08 997 0.2
Sindhi 157 0.18 184 0.20 105 0.1 693 0.1
Khan Pathan 518 0.58 813 0.89 1,340 1.23 9483 1.6
Buddhist Boudha 687 0.78 147 0.16 168 0.15 1523 0.3
Ansari Julaha 374 0.41 1,211 1.11 8938 1.5
Sikh 1,447 1.63 596 0.65 664 0.61 6158 1
Jain 365 0.41 289 0.32 404 0.37 1198 0.2
Christian 2,780 3.14 621 0.68 809 0.74 4214 0.7
Language 457 0.50 518 0.48 1590 0.3
Caste not reported 5,627 6.35 3,920 4.30 5,514 5.06 30396 5.1
Missing 31,497 35.57 37,828 41.48 50,354 46.18 196910 32.7
Total 88559 91196 109041 601509

N.B. Not classified group is many castes name with small number which could not be specified to the
above major groups.

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82 CASTE: A Global Journal on Social Exclusion Vol. 4, No. 1

Figure 1 shows the TFR of study sample across selected sub-caste/ caste
groups in India.1 The figure has included Brahmin and upper castes from forward
caste, Maratha, Jat-Gurjar, and Yadav from backward castes, Kumhar, Walmiki, and
Vishkarma from the service castes, and Muslim, mixed castes—Bengali and Bhagat
and Buddhist Boudha from the remaining sections of the castes. Mixed castes are
those social subgroups involved in multiple and/or a wide range of occupations for
instance-agricultural activities, service sectors, or any other occupational types.
Despite belonging to the same social subgroup, they represent a diverse economic
status. Results also indicate that Maratha had TFR more than five (5) during NFHS-1
and other selected castes clustered between TFR 3-4. Over the course of the survey,
the change in the TFR of the castes has shown a variation and in NFHS-4 though the
fertility showed a convergent pattern, yet the range of TFR that is represented by these
castes haveFigure
shown a wide variation.
1: Estimates of fertility (Total Fertility Rate) across castes in 4 rounds of NFHS (1-4) in India

5 Brahmin
Upper caste
Maratha
4
Jat-gurjar
Yadav
3
Service caste -KUMHAR+
Walmiki
2 Vishkarma
Muslim

1 Mixed caste-Bengali, Bhagat

Buddhist Boudha
Christian
0
NFHS1 NFHS2 NFHS3 NFHS4
TFR

Figure 1: Estimates of fertility (Total Fertility Rate) across castes in 4 rounds of

NFHS (1-4) in India

Pattern of Child Mortality among Castes/ Sub-castes at National and

Selected State Level
Figure 2 represents the estimation in neonatal mortality across selected castes in 4 25

rounds of NFHS. A clear decline in the NMR has been observed across rounds of
NFHS. In NFHS-4, the neonatal mortality shows a convergence. The highest NMR is
represented by the mixed caste Bengali and Bhagat in NFHS-1 (70) in NFHS-1 and it
declined to NMR 20 in NFHS-4 representing a sharp decline after NFHS-3. The upper
caste has a relatively lower NMR than previous mixed caste, however, the pattern of
decline in NMR has been observed to be similar to those. The decline in NMR for the
Christian, Maratha along with upper caste in NFHS-4 was found to be remarkable
in perspective to the NMR found in the previous rounds for these castes. Among the
1
The National Family Health Survey (NFHS)-4 (2015-16) collects data at the district level that
has aimed around 1000 HHs. As a result, the large sample size has been considered for the
survey than its previous rounds, which gave state level estimations.

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Importance of Caste-Based Headcounts 83

Yadav caste, the decline was not found to be very significant. Walmiki does not show
Figure 2: Estimates of Neo-natal Mortality Rates across selected castes in 4 rounds of NFHS (1-4) in India
any noticeable improvement in the NMR across all the rounds of NFHS.
80

70
Brahmin
60 Maratha
Jat-Gurjar
50
Yadav
40 Service Caste -KUMHAR+
Walmiki
30
Vishkarma

20 Muslim
Mixed Caste-Bengali, Bhagat
10 Buddhist Boudha
Christian
0
NFHS1 NFHS2 NFHS3 NFHS4
NMR

Figure 2: Estimates of Neo-natal Mortality Rates across selected castes in 4

rounds of 3:NFHS
Figure (1-4)
Estimates in Mortality
of Infant India Rates (IMR) across selected castes in 4 rounds of NFHS (1-4) in India

100

90

80 Brahmin
Upper Caste
70 26
Maratha
60 Jat-Gurjar
Yadav
50
Service Caste -KUMHAR+

40 Walmiki
Vishkarma
30 Muslim
Mixed Caste-Bengali, Bhagat
20
Buddhist Boudha
10 Christian

0
NFHS1 NFHS2 NFHS3 NFHS4
IMR

Figure 3: Estimates of Infant Mortality Rates (IMR) across selected castes in 4

rounds of NFHS (1-4) in India

Figure 3 represents the estimated infant mortality rates of the selected caste across
four rounds of NFHS in India. The pattern of decline in infant mortality has been
found to be distinct and no noticeable convergence has been observed here across
the rounds of NFHS. During NFHS-1 to 3, the IMR has shown a sustained decline, 28

while in NFHS-4 these castes show a sharp decline in IMR. Other than upper caste,
Christian and Maratha, which show a sharp decline in IMR during NFHS-3 to NFHS-
4, no other caste is noticed with a significant change in IMR. Figure 4 represents the

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 84 CASTE: A Global Journal on Social Exclusion Vol. 4, No. 1

estimates of under 5 mortality rates across castes in four rounds of NFHS in India.
The level of decline in U5MR from NFHS-1 to 4 shows a divergence in the mortality
pattern. Castes such as Walmiki and Maratha who were positioned relatively lower in
the U5MR in NFHS-1 are declined to the lowest. Jat-Gurjar, Mixed castes, namely,
Bengali Bhagat and Muslim have found to achieve a similar level of U5MR in NFHS-
4 though they
Figure were at
4: Estimates different
of Under5 levels
Mortality of mortality
Rates (U5MR) incastes
across selected NFHS-2 &of3.
in 4 rounds NFHS (1-4) in India

100

90
Brahmin
80 Upper Caste
70 Maratha
Jat-Gurjar
60
Yadav
50
Walmiki
40 Service Caste -KUMHAR+

30 Vishkarma
Muslim
20
Mixed Caste-Bengali, Bhagat
10
Buddhist Boudha
0 Christian
NFHS1 NFHS2 NFHS3 NFHS4
U5MR

Figure 4: Estimates of Under 5 Mortality Rates (U5MR) across selected castes in 4

rounds of NFHS (1-4) in India
Annexure:

Table 2: Estimates of fertility (Total Fertility Rate) across castes in 4 rounds of NFHS (1-4) for India
Discussion
India TFR
Caste
Kaystha
This studyNFHS13.6
is the NFHS2
first ever
2.7
NFHS3
1.7
attempt
NFHS4 to envisage the demographic outcomes of population
1.6
Rajput
segregated
Naidu Nadar Kapu Nair
3.4
3.2
by castes
2.9
2.4
in2.6
1.6
India.2
At this juncture when many castes claim reservations,
1.7

adherence for distributive and affirmative actions, this research would provide a 29

classic example of the fertility and mortality trends of the population belonging to
the particular caste over around 25 years. Our study finds a long-term transition in
fertility and child mortality across different caste categories in India. First, forward
castes have displayed a significant and large decline in fertility along with the religious
subgroups or castes such as Sikh, Jain, Christian, and Sindhi. The TFR of these castes
have reached way below the replacement level of fertility, which suggests a greater
focus required to maintain the population size in the long-term. Second, decline
in child mortality in terms of NMR, IMR, and U5MR have shown a decline and
convergence for the selected castes. However, there is no uniform decline observed in
child mortality among forward castes and religious castes. Muslim and other Islamic
castes have shown better child mortality outcomes, although the fertility outcome of
those did not show a decline relative to the backward caste categories in the study
period. Last, there remains an intra-caste inequality while looking at the fertility and
mortality rates across four rounds of NFHS found in the study.
The differentials in demographic outcomes among reserved/ backward and
unreserved caste are often measured in terms of development indicators such as
education, employment, minimum wages, health care access, etc. Forward castes have

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Importance of Caste-Based Headcounts 85

an upper hand in possessing material resources, better opportunities to modify life

chances and achieve improved economic wellbeing. A desire towards children has been
on the decline among the upward castes in India. In contrast, the reserved and deprived
castes, which are often considered to be minority, are unable to decline the fertility to
maintain their kinship as a motive to conserve their socio-economic status(Chamie,
1977). This study shows a similar pattern in such contexts illustrating a higher TFR
among the reserved/ backward castes at a national level. This pattern can be well
explained by the fertility model given by Bongaarts in 1978. Primarily, the proportion
of population getting married or age at marriage can be a vital factor to explain
the fertility pattern. The increase in the age at marriage mainly due to educational
improvement and higher opportunities for the employment of women has supported
the decline in fertility among forward castes. The study has depicted that SCs and STs
are observed to have a lower median age at marriage, mainly due to cultural norms and
lower educational attainment (Saxena & Mohanty, 2013). Moreover, improvement in
child marriage among the backward castes in the Empowered Action Group states of
India such as UP, Bihar, Rajasthan, etc., has been found to be lower than that of forward
castes and OBC measured through the NFHS-3 (2005-06) data. Development to the
backward castes has been supported by other literature that suggests the SC group of
Musahar has seen an increase in child population by 1.5 per cent in 2001-11. Increase
in fertility in this caste community could be explained by the lower development,
untouchability, and marginalization practiced in the society (Singh, 2016).
Marriage and social mobility can explain the fertility behavior of the population
sub-groups. Inter-caste marriage among the forward castes results in similar fertility
behavior in the population. There remains a concept of sub-sub-caste within a
prominent caste. Marriage within such sub-castes might not help to escalate better
health behavior and hence, demographic outcomes. Studies also provide evidence
that among illiterate or low educated individuals, homogamy has been found to be
higher in rural areas, whereas, it is contrasting for those residing in urban areas in
India (Borkotoky & Gupta, 2016). In a particular state, the fertility decline is also
explained by the proportion of Schedule Castes, Muslim and urban population out of
the total population (Das & Mohanty, 2012). The presence of cultural norms, taboos,
beliefs among the backward classes such as ST women would increase the likelihood
of conception at a younger age (Singh et al., 2020). Women empowerment has been
a crucial tool in the fertility transitions in India (Panandiker & Umashankar, 1994).
Mehrotra (2006) argued that upper castes don’t generally follow endogamy. Caste
mobility in that situation becomes a possibility. Considering the religious caste such
as Muslim, several scholars mention that this religious caste is known to maintain
horizontal equality as per the textual norms of Islam, however, in South Asia it adopted
vertical hierarchy (Akbar, 2017). It changes along with the change in associated
geography and neighbouring communities. Ansari Jualaha is a caste which is basically
positioned lower among Muslims. But in Bihar, they are placed at the middle position
in the caste hierarchy of Muslims (Akbar, 2017). The social position of the caste and
diversity across region could improvise the demographic behavior significantly.

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86 CASTE: A Global Journal on Social Exclusion Vol. 4, No. 1

The geographical location of the castes in turn decides the decline in TFR in a great
extent. The heterogeneity of any particular caste in larger caste categories should also
be considered, when we measure the changes. For instance, Jat Gujjar are categorized
to be OBC and ST in the few designated states of India. The analysis shows a decline
in the fertility rate among Jat Gujjar, however, the overall child mortality is found to
be high. On an obvious note, ST population residing in the rural areas would have a
lesser chance to access basic resources and improve rigid cultural norms. The sample
distribution of the Jat-Gujjar community in our study has shown the proportional
distribution for urban sample as varying between 12-19 per cent. Therefore, a section
of this caste community faces several deprivations and remains far away from
developmental benefits. However, the transfer of certain behavior from urban to rural
community of any particular castes has been claimed to be rapid (Shah, 2007). As
a result, imbibing practices such as family planning, childcare, immunization, etc.,
should be more easily transferred among the population. Since the concept of caste is
rural (Shah, 2007), hence, the structural composition of the castes in the villages of
any state can decipher the social and demographic attitude of the population.
Further, evidence from NFHS-4 data shows that a relatively higher proportion
of under 20 years aged SC/ST women are giving birth to their first child (40 per
cent) than non-SC/ST mothers of under 20 years (35 per cent) (Bora, Raushan, &
Lutz, 2019). Hence, there remains a higher likelihood for under five deaths among
reserved caste categories. Difference in the time of child mortality among Dalits and
Adivasis explains the deficiency in the accessible services in several parts of India
(Ram, Singh, & Yadav, 2016). Child mortality differentials are already noted to be
true for the Hindus and Muslims at a national level. Bhat & Zavier (2005) argued
about the presence of major concentration or clustering of Muslims in a formation
of ghetto and mostly in the urban areas. Access to health facilities is most crucial to
control child mortality than the fertility of population. Living in urban areas offers a
higher chance to acquire knowledge, access and development. While backward castes
such as ST, fisherman, Musahar, etc., have shown to be residing mostly in the rural
areas or urban fringes representing lower developmental outcomes. Linguistic castes
show mixed caste categories and hence, demographic outcomes are conclusive enough
to be discussed. However, decline in child mortality outcome among Bengalis and
Bhagats can be explained on the basis of educational achievement, better access to
public health facilities and by observing fertility transitions for a lengthy period of
time (Dyson & Moore, 1983).
Caste inequality varies across states in India. The northern states are known for
a higher intra-caste inequality, leading to greater chaos in population (George, 2015).
Intra-caste inequality can result in differentials in the fertility and mortality transitions
in the last 25 years. Our study finds that several castes such as Yadav, Kurmi, etc.,
secure a higher socio-economic position and achieve the benefit far more prominently
than any other in the OBC categories. Therefore, it can be deduced from this study

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Importance of Caste-Based Headcounts 87

that lower position subgroups within a caste still experience a low development due
to a persistent gap in the availability and accessibility of the schemes, programmes
and policies. Receiving support from the government is compromised as we observe
power hegemony within a caste. Often, castes, which are the most downtrodden, suffer
the most in terms of primary healthcare services in rural areas. Our study shows that
castes such as Vishkarma, Khatik Dusadh, Musahar, etc., placed in lower strata of
caste hierarchy show a higher rate for child mortality. The mortality outcome of OBC
open and other OBCs have been found to be lower from the few upper castes. It is
due to OBCs placed at a higher position than SCs or STs, and thus reap the benefit
from developmental programmes. That signifies a greater monopoly in terms of social
inclusion and access to basic resources by the OBCs (George, 2015).
This article could capture the indicators by segregating the caste with the utmost
effort. The categorization of the caste in a particular reserved category in a particular
state is subject to the particular socio-economic status of the respective state. Our study
could not capture the change in the population share of caste groups in the representative
sampling as NFHS do not consider the sub-castes in the sampling frame. We were also
limited to identifying those particular socio-economic status in reference to selected
states while performing the analysis. It opens a scope for further detailed analysis in
this particular issue. Data set identifying the castes or communities in particular along
with the other socio-economic determinants, health outcomes and wellbeing measure
could capture the inequality in the population more comprehensively. Numerous
individuals could not have reported the castes or sub-castes perhaps due to lack of
awareness or low education or socio-political reasons. As a result, a large proportion
of the sample has been placed into missing and not reported categories. To be able to
capture this information would enrich our study in a great extent.

Conclusion
Caste has been a measure of social inequality which has been envisaged by the
demographic outcome in our study. The decline in fertility and child mortality is
associated with the underlying deep-rooted socio-economic inequality that persists
heavily in our society. The forward castes are more likely to reap the benefits
of development earlier than the backward castes. However, a decline in fertility
would impose negative socio-economic consequences. Moreover, few selected sub-
castes within a major caste show skewed patterns of development as they cornered
themselves with bargaining power and privilege to control the position, resources and
benefits. Thus, equity must be evoked through state machinery such as programmes
and policies to improve the benefits of the backward castes in India as well as to
balance the unequal decline in the birth and death rates among the forward castes.
Counting and identifying the caste would be comprehensive to design target-based
programmes and policies.

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88 CASTE: A Global Journal on Social Exclusion Vol. 4, No. 1

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Importance of Caste-Based Headcounts 91

Annexure
Table 2: Estimates of fertility (Total Fertility Rate) across castes in 4 rounds of NFHS (1-4) for
India
India TFR
Caste NFHS1 NFHS2 NFHS3 NFHS4
Kaystha 3.6 2.7 1.7 1.6
Rajput 3.4 2.9 2.6 2
Naidu Nadar Kapu Nair 3.2 2.4 1.6 1.7
Bania 3.5 2.8 2.9 2.2
Kurmi 3.5 2.7 2.4 1.9
Khatik Dusadh 3.2 3.3 3.4 3.1
SC 3.4 2.9 3.3 2.3
ST 3.5 2.9 2.9 2.3
Fisherman 3.7 2.7 3.2 2.2
Lodhi-others 3.1 3.4 3.2 2.7
Musahar 3.4 3.5 5.9 4.8
OBC open 2.5 2.4 1.5
Sindhi 3.1 2.8 1.6 1.7
Khan Pathan 3.4 3.8 3.4 2.5
Ansari Julaha 3.5 2.8 3.1 2.7
Sikh 3.3 2.7 2.2 1.6
Jain 3.1 2.7 1.5 1.3
Language 2.9 1.8 1.7
Caste not reported 3.4 3.2 2.8 2
Missing 3.4 2.8 2.5 2.1
Table 3: Estimates of Neonatal Mortality Rates (NMR), Infant Mortality Rate (IMR), Under 5
Mortality Rate (U5MR) across castes in 4 rounds of NFHS (1-4) for India
India NMR IMR U5MR
Caste
NFHS1 NFHS2 NFHS3 NFHS 4 NFHS1 NFHS2 NFHS3 NFHS 4 NFHS1 NFHS2 NFHS3 NFHS 4
group final
Kaystha 66.3 60.1 45.3 26.3 61.3 74.8 55.7 34.1 69.2 67.9 63.1 48.4
Rajput 68.7 61.2 44.8 30 75.2 71.3 63.9 42.3 81.2 78.5 76.1 51.2
Naidu Nadar
63.2 60.3 47.7 18.1 69.7 63.5 57.5 24.7 76.9 73.6 68.2 36
Kapu Nair
Bania 59.6 54.6 45.8 28 77.2 72.1 65.1 39 85.6 84.2 79.6 49.4
Kurmi 59.7 56.3 42.8 23.7 72.3 67.3 59.9 31.5 77.5 76.3 69.5 39.3
Khatik Dusadh 58.9 51.3 46.3 49.7 77.5 73.2 68.6 66.2 89.6 85.6 81.7 77.4
SC 65.2 58.4 55 35.2 79.6 74.1 68.2 48.9 85.4 91.3 84.2 58.1
ST 63.2 56.9 48.7 31.2 76.3 72.3 69.7 42.3 81.2 84.2 76.2 66.6
Fisherman 60.2 53.1 46.2 30.7 70.5 66.3 60.9 39.2 90 85.6 81.5 43.7
Lodhi-Others 55.3 51.9 45.2 44.6 82.1 78.1 73.5 62.1 95.6 90.5 85.7 79.1
Musahar 60.3 56.2 47.7 45.1 80.5 79.3 63.6 57.8 102.5 95.6 89.4 81.2
OBC Open 49.7 40.1 27.2 18.6 74.1 66.5 56.2 26.1 75.4 70.1 56.2 29.6
Sindhi 63.5 31.2 22.8 16 55.3 39.7 22.8 16 62.3 50.2 22.8 16
Khan Pathan 59.4 49.3 45 29.9 79.6 73.2 67.7 49.5 89.8 86.3 82.4 54.6
Ansari Julaha 55.2 47.5 36.1 31.9 78.9 70.5 65.7 44.4 89.4 84.1 67.4 55.6
Sikh 52.3 44.6 32.2 25.5 52.3 47.6 38.4 36.1 83.2 69.8 43.9 38.7
Jain 42.6 37.6 26.9 11.7 48.7 39.6 25.4 16.1 53.2 40.1 15.6 16.1
Language 50.2 44.6 36 34 60.1 55.6 42 47.8 78.2 63.2 43.3 61.6
Caste Not
55.6 50.4 44 21.4 67.6 67.2 59.6 31.8 91.3 86.6 79.9 38.2
Reported
Missing 59.8 52.3 42.7 27.7 66.5 61.3 53.7 38.8 96.3 89.1 83.6 48.9

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