Trace the history and describe the methods of formulating the lists of OBCs, both at the State and National levels.

History of Formulating OBC Lists

The journey of identifying and listing Other Backward Classes in India is a complex narrative marked by constitutional provisions, expert commissions, and judicial interventions. This history can be broadly divided into several phases:

• Early Initiatives (Pre-Independence and Post-Independence): Even before independence, some provinces in British India listed "depressed classes." Post-1947, the Indian Constitution, adopted in 1950, recognized "socially and educationally backward classes" (SEBCs) as distinct from Scheduled Castes and Tribes, making them eligible for affirmative action under Articles 15(4) and 16(4).
• First Backward Classes Commission (Kaka Kalelkar Commission, 1953): Constituted under Article 340, this was the first nationwide effort to identify backward classes. It used indicators like caste, traditional occupation, educational backwardness, and representation in government services. The commission identified 2,399 communities as backward, but its recommendations were largely disregarded by the government in 1961 due to disagreements over caste as the sole criterion for backwardness.
• Second Backward Classes Commission (Mandal Commission, 1979): This marked a pivotal moment. Formed by the Janata Party government under Prime Minister Morarji Desai, it was chaired by B.P. Mandal. The commission's mandate was to identify socially or educationally backward classes across India and recommend measures for their advancement, including reservations.
• Mandal Commission Report (1980) and Implementation:
  • The commission used 11 social, educational, and economic indicators to identify OBCs, drawing data from the 1931 census, socio-economic surveys, and state backward class lists.
  • It identified 3,743 castes as socially and educationally backward, constituting about 52% of India's population (excluding SCs/STs).
  • Key recommendation: 27% reservation for OBCs in public sector jobs and higher educational institutions, bringing the total reservation to 49.5% (alongside existing 22.5% for SCs/STs) to adhere to the Supreme Court's 50% reservation cap.
  • The report was submitted in 1980 but remained unimplemented for a decade. In 1990, Prime Minister V.P. Singh announced its implementation, leading to widespread protests and debates.
• Indra Sawhney & Ors. vs. Union of India (1992) (Mandal Case): This landmark Supreme Court judgment upheld the 27% reservation for OBCs but introduced critical modifications:
  • It affirmed caste as a valid indicator of social and educational backwardness.
  • It introduced the concept of the 'creamy layer,' excluding the more affluent members of OBCs from reservation benefits to ensure benefits reach the truly needy.
  • It reiterated the 50% ceiling on total reservations.
  • It ruled against reservations in promotions for OBCs.
  • The judgment directed the Central and State Governments to constitute permanent statutory bodies for entertaining, examining, and recommending upon requests for inclusion/exclusion in the OBC lists.
• Formation of National Commission for Backward Classes (NCBC) and State Commissions: Following the Indra Sawhney judgment, the National Commission for Backward Classes (NCBC) was established as a statutory body in 1993. Similarly, State Backward Classes Commissions were constituted at the state level.
• Constitutional Status to NCBC (102nd Amendment Act, 2018): The NCBC was granted constitutional status through the 102nd Constitutional Amendment Act, 2018, inserting Articles 338B and 342A. Article 338B deals with the NCBC's structure, duties, and powers, while Article 342A empowers the President to specify SEBCs for the Central list in consultation with State Governors.
• Restoration of State Powers (105th Amendment Act, 2021): The 105th Constitutional Amendment Act clarified and reaffirmed the power of state governments to prepare and maintain their own State Lists of SEBCs, which can differ from the Central List.

Methods of Formulating OBC Lists at National Level

The formulation of the Central List of OBCs is a structured process involving the National Commission for Backward Classes (NCBC) and the Union Government:

1. Initiation of Request: Requests for inclusion of a community in the Central OBC list typically originate from state governments, various community organizations, or individuals.
2. Role of the National Commission for Backward Classes (NCBC):
   • The NCBC, now a constitutional body under Article 338B, is responsible for examining requests for inclusion in and exclusion from the Central OBC list.
   • It investigates and monitors all matters relating to the safeguards provided for socially and educationally backward classes.
   • The NCBC constitutes a Bench to examine proposals, conducting thorough socio-economic studies, surveys, and consultations to assess the backwardness of a community.
   • Criteria generally considered for identifying backwardness include:
     • Social Backwardness: Recognition as backward by other castes/communities, reliance on manual labor, low social standing, historical exclusion, and caste-based discrimination.
     • Educational Backwardness: Low literacy rates, high dropout rates, and low proportion of matriculates and graduates compared to state/district averages.
     • Economic Backwardness: Low income, landlessness, engagement in low-prestige occupations, lack of significant resource base, and limited access to economic opportunities.
   • The NCBC then forwards its recommendations (inclusion, exclusion, or modification) to the Union government. Its advice is generally considered binding.
3. Government Review and Approval:
   • The Union Cabinet reviews the NCBC's recommendations.
   • Once approved by the Cabinet, necessary legislation is enacted by Parliament for changes to the Central List of OBCs, as empowered by Article 342A(1).
   • The President then notifies the changes to the list.
4. Exclusion of the Creamy Layer: As mandated by the Indra Sawhney judgment, the concept of the 'creamy layer' is applied at the central level. Individuals belonging to the creamy layer within OBCs are excluded from reservation benefits. The criteria for the creamy layer include an annual family income exceeding ₹8 lakh, holding high-ranking positions in government services, or owning significant property.

Methods of Formulating OBC Lists at State Level

State lists of OBCs are often more extensive and dynamic than the Central List, reflecting regional social hierarchies and specific historical contexts. The process is guided by state-specific legislation and State Backward Classes Commissions:

1. State Backward Classes Commissions:
   • Following the Indra Sawhney judgment, each state and Union Territory was mandated to constitute its own permanent State Backward Classes Commission (e.g., Kerala State Commission for Backward Classes, Karnataka State Commission for Backward Classes, Uttar Pradesh State Commission for Backward Classes).
   • These commissions are typically statutory bodies established through state legislation (e.g., The Karnataka State Commission for Backward Classes Act, 1995).
   • Their primary functions include entertaining and examining requests for inclusion in or exclusion from the State OBC lists, hearing complaints, conducting socio-economic surveys, and tendering advice to the respective state governments.
2. Criteria for Identification:
   • State Commissions generally use criteria similar to the NCBC, focusing on social, educational, and economic backwardness.
   • However, they often incorporate broader and region-specific criteria such as traditional occupation, landlessness, lack of basic amenities, and specific local social hierarchies.
   • For example, a state commission might conduct extensive caste surveys to gather family-level data, as seen with the Karnataka State Commission for Backward Classes.
3. State Government Action:
   • The State Commission submits its recommendations to the State Government.
   • The State Government, generally bound by the commission's advice, then issues notifications or enacts legislation to include, exclude, or modify entries in its State OBC list.
   • The 105th Constitutional Amendment Act, 2021, explicitly reaffirmed the states' power to prepare and maintain their own lists of SEBCs. This means a community might be on a state's OBC list but not on the central list, and vice versa.
4. Application of Creamy Layer: State governments also apply the 'creamy layer' concept to exclude affluent sections from state-level reservation benefits, typically aligning with the criteria set by the Central Government.

Feature	National Level OBC List	State Level OBC List
Constitutional Basis	Article 342A (102nd Amendment), Article 338B	Articles 15(4), 16(4) (105th Amendment)
Authority for Formulation	Parliament (on President's notification, after NCBC recommendation)	State Legislature/Government (on State BC Commission recommendation)
Recommending Body	National Commission for Backward Classes (NCBC)	State Backward Classes Commissions
Scope of Application	Central Government jobs and Central Educational Institutions	State Government jobs and State Educational Institutions
Inclusion/Exclusion Process	NCBC examines, advises Union Govt; Cabinet approves, Parliament legislates, President notifies.	State BC Commission examines, advises State Govt; State Govt issues notification/legislation.
Criteria Flexibility	Generally uniform across India, focused on broader socio-educational-economic indicators.	May be more diverse, incorporating region-specific criteria and local social hierarchies.
Creamy Layer	Applicable (current income limit ₹8 lakh/annum)	Applicable (generally aligns with central norms but may have state-specific nuances)