Understanding the Framework
The Indian Constitution provides a framework for the identification and specification of certain disadvantaged communities – Scheduled Castes (SCs), Scheduled Tribes (STs), and Socially and Educationally Backward Classes (SEBCs) – for the purpose of extending affirmative action and protective safeguards. This identification process is crucial as it determines which groups are eligible for reservations in services, educational institutions, and legislative bodies, as well as various welfare schemes. Articles 341, 342, and 342A (along with their amendments) outline the specific procedures, roles of the President and Parliament, and criteria for drawing up these lists, which are fundamental to India's social justice paradigm. The evolution of these provisions, particularly for OBCs, reflects a dynamic interplay between executive, legislative, and judicial branches.
Core Constitutional Provisions
Role of the President:
The President, after consultation with the Governor of a State (or Administrator of a Union Territory), may by public notification specify the castes, races or tribes or parts of or groups within castes, races or tribes which shall, for the purposes of this Constitution, be deemed to be Scheduled Castes in relation to that State or Union Territory.
This initial notification by the President is the starting point for declaring a community as an SC. (Source: The Constitution of India, Article 341).
Role of Parliament:
Parliament may by law include in or exclude from the list of Scheduled Castes specified in a notification issued under clause (1) any caste, race or tribe or part of or group within any caste, race or tribe.
Importantly, Parliament's power is exclusive in this regard; once a notification has been issued by the President, any subsequent inclusion or exclusion from the list can only be done through a law made by Parliament, not by another presidential notification. (Source: Laxmikanth, Indian Polity).
State-specific Nature of SC Lists:
A caste, race, or tribe, or part of or group within them, is specified as a Scheduled Caste only for particular states or Union Territories.
This implies that a caste may be specified as a Scheduled Caste in one state but may not be so in another state or Union Territory. This is due to the varying social, economic, and historical contexts of backwardness and untouchability across different regions.
Criteria for Specification:
The Constitution itself does not lay down specific criteria for the identification of SCs. However, based on the historical context and judicial interpretations, the primary criterion for identifying a community as Scheduled Caste has been the extreme social, educational, and economic backwardness arising out of the traditional practice of untouchability.
The first list of Scheduled Castes was notified through the Constitution (Scheduled Castes) Order, 1950, issued by the President. This order initially confined the benefits to Hindus, but later amendments (e.g., in 1956 and 1990) extended it to Sikhs and Buddhists, respectively. Christians and Muslims of Scheduled Caste origin are not included in the list, a point of ongoing debate and litigation. (Source: Constitution (Scheduled Castes) Order, 1950; Reports of the National Commission for Scheduled Castes).
Article 342 of the Constitution deals with the identification and specification of Scheduled Tribes. Its provisions largely mirror those of Article 341.
Role of the President:
The President, after consultation with the Governor of a State (or Administrator of a Union Territory), may by public notification specify the tribes or tribal communities or parts of or groups within tribes or tribal communities which shall, for the purposes of this Constitution, be deemed to be Scheduled Tribes in relation to that State or Union Territory.
Role of Parliament:
Similar to SCs, Parliament may by law include in or exclude from the list specified by the President any tribe or tribal community or part of or group within any tribe or tribal community. (Source: The Constitution of India, Article 342).
Criteria for Specification:
The criteria generally accepted for the identification of Scheduled Tribes, as recommended by the Lokur Committee (1965), include:
- Indications of primitive traits: Characteristics suggesting a pre-agricultural level of technology or a very low level of development.
- Distinctive culture: Unique cultural practices, traditions, and belief systems that set them apart.
- Geographical isolation: Living in remote and inaccessible areas, often away from mainstream populations.
- Shyness of contact with the community at large: A tendency to avoid interaction with outsiders or mainstream society.
- Backwardness: Overall socio-economic backwardness, including low literacy rates, poor health indicators, and lack of modern amenities.
The first list of Scheduled Tribes was notified through the Constitution (Scheduled Tribes) Order, 1950, issued by the President. (Source: Lokur Committee Report, 1965; Ministry of Tribal Affairs; Constitution (Scheduled Tribes) Order, 1950).
The identification and specification of SEBCs, commonly known as OBCs, has undergone significant evolution, culminating in constitutional status.
Insertion by 102nd Amendment Act, 2018:
The Constitution (One Hundred and Second Amendment) Act, 2018, inserted Article 342A into the Constitution. This amendment simultaneously granted constitutional status to the National Commission for Backward Classes (NCBC) by amending Article 338B and defined "Socially and Educationally Backward Classes" in Article 366(26C). The amendment was aimed at providing a constitutional framework for the identification of SEBCs, similar to SCs and STs.
Article 342A(1) - President's Power (Central List):
Article 342A(1) states that the President, after consultation with the Governor of a State (or Administrator of a Union Territory), may by public notification specify the Socially and Educationally Backward Classes in relation to that State or Union Territory for the purposes of the Constitution.
This power pertains to the Central List of SEBCs, which is used for reservations in central government jobs and central educational institutions.
Article 342A(2) - Parliament's Power (Central List):
Article 342A(2) states that Parliament may by law include in or exclude from the Central List of SEBCs specified in a notification issued under clause (1) any caste, race, or tribe or part of or group within them. (Source: The Constitution of India, Article 342A (prior to 105th Amendment)).
105th Constitutional Amendment Act, 2021:
Context: The 102nd Amendment (2018) was interpreted by the Supreme Court in the Jaishri Laxmanrao Patil v. Chief Minister (Maharashtra) case, 2021 (Maratha reservation case). The SC ruled that after the 102nd Amendment, only the President (and by extension, Parliament) had the power to identify SEBCs for the Central List, and States lost their power to identify SEBCs for their own State Lists. This severely impacted states' ability to grant reservations to locally identified backward classes.
Response: To restore the states' power, the Constitution (One Hundred and Fifth Amendment) Act, 2021, was enacted.
Key Changes:
- Amended Article 342A: It amended Clause (1) of Article 342A to clarify that the President's power applies only to the Central List of SEBCs. It also added a new Clause (3) to Article 342A, explicitly stating that "Notwithstanding anything contained in clauses (1) and (2), every State and Union territory may, by law, prepare and maintain its own list of Socially and Educationally Backward Classes for their own purposes."
- Amended Article 338B and 366(26C): Consequential amendments were made to Article 338B (functions of NCBC) and Article 366 (definitions) to align them with the restored power of states.
Significance: This amendment ensures a dual system of identification: a Central List (by President/Parliament) and separate State Lists (by State/UTs), thereby preserving the federal structure in matters of reservation and addressing the judicial interpretation that had curtailed states' powers. (Source: PIB, Ministry of Social Justice & Empowerment, August 2021; Supreme Court judgment in Jaishri Laxmanrao Patil, 2021; The Constitution (One Hundred and Fifth Amendment) Act, 2021).
Criteria for Identification of SEBCs:
Historically, the criteria for identifying SEBCs have been more complex and subject to evolving socio-economic conditions, unlike the relatively fixed criteria for SCs (untouchability) and STs (primitive traits).
The Mandal Commission (1979-80) used a combination of social, educational, and economic indicators to identify OBCs, providing 11 indicators grouped under social, educational, and economic criteria. Subsequent committees and the National Commission for Backward Classes (NCBC) have refined these criteria, often focusing on social and educational backwardness as primary determinants, with economic backwardness serving as an additional factor or for specific sub-categorization (e.g., creamy layer). (Source: Mandal Commission Report; Indra Sawhney & Ors. v. Union of India, 1992).
Summary: Identification Process
| Category | Constitutional Article | Initial Specification Authority | Subsequent Changes Authority | Nature of List/Criteria | Key Committees/Orders |
|---|---|---|---|---|---|
| SCs | 341 | President (by public notification, consultation with Governor) | Parliament (by law) | State/UT specific; based on untouchability, extreme social/edu/eco backwardness | Constitution (SC) Order, 1950 |
| STs | 342 | President (by public notification, consultation with Governor) | Parliament (by law) | State/UT specific; based on primitive traits, distinct culture, isolation, shyness, backwardness | Lokur Committee (1965), Constitution (ST) Order, 1950 |
| SEBCs | 342A | Central List: President (by public notification, consultation with Governor) | Central List: Parliament (by law) | State/UT List: States/UTs (by law) | Mandal Commission (1979-80), 102nd Amendment (2018), 105th Amendment (2021) |
Prelims-Ready Notes
Scheduled Castes (SC)
- Article 341.
- President initially specifies by public notification after consulting Governor.
- Parliament alone can modify the list (include/exclude) by law.
- Lists are state/UT specific.
- Criteria: Extreme social, educational, economic backwardness primarily due to untouchability.
- Constitution (Scheduled Castes) Order, 1950.
Scheduled Tribes (ST)
- Article 342.
- President initially specifies by public notification after consulting Governor.
- Parliament alone can modify the list (include/exclude) by law.
- Lists are state/UT specific.
- Criteria (Lokur Committee, 1965): Primitive traits, distinctive culture, geographical isolation, shyness of contact, backwardness.
- Constitution (Scheduled Tribes) Order, 1950.
Socially & Educationally Backward Classes (SEBCs)/OBCs
- Article 342A (inserted by 102nd Amendment Act, 2018).
- Central List: President specifies (consulting Governor), Parliament modifies by law.
- 105th Constitutional Amendment Act, 2021:
- Amended Art 342A (added clause 3), 338B, 366(26C).
- Restored State/UT power to identify and maintain their own State Lists.
- Reversed SC ruling in Jaishri Laxmanrao Patil (Maratha reservation case).
- Criteria: Social, educational, economic backwardness (Mandal Commission).
Mains-Ready Analytical Insights
Major Debates/Discussions
- Criteria for Identification: Evolution of 'backwardness' – complex for SEBCs, unlike SCs (untouchability) and STs (primitive traits). Debate on caste vs. class, exclusion of "creamy layer".
- Exclusion/Inclusion Demands: Constant pressure for inclusion (e.g., Marathas, Jats, Patidars), leading to agitation. Difficulty in excluding advanced groups ("over-inclusion").
- Role of Courts vs. Executive/Legislature: Judicial pronouncements (Indra Sawhney, M. Nagaraj, Jaishri Laxmanrao Patil) have shaped policy, sometimes leading to perceived judicial overreach. Legislature often responds with constitutional amendments (102nd, 105th) to assert prerogative or clarify ambiguities.
Federalism & State Autonomy (Post-102nd and 105th Amendments)
The 102nd Amendment's initial interpretation (taking away states' power to identify OBCs) created a significant federal imbalance, curtailing states' legislative autonomy in a crucial social policy area.
The 105th Amendment restored this balance, reinforcing the federal principle that states should have the power to identify their own backward classes for state-specific purposes. This is a crucial aspect of cooperative federalism.
Historical Trends & Amendments
Pre-Independence
Concept of 'Depressed Classes' and 'Aboriginal Tribes' under British rule.
Post-Independence
Constitutional articulation of SCs and STs (Articles 341, 342) and 1950 Orders.
Mandal Commission Era (1979-90)
Expansion to include OBCs, 27% reservation. Indra Sawhney judgment (1992) affirmed, introduced 50% ceiling and creamy layer.
Constitutional Amendments
77th, 81st, 82nd, 85th, 102nd, 105th – responding to judicial interpretations, strengthening reservation provisions, clarifying identification powers (especially OBCs).
Continuous Demand for Inclusion
Ongoing mobilization for inclusion reflects enduring relevance and perceived benefits of affirmative action.
Current Affairs and Recent Developments
- 105th Constitutional Amendment Act, 2021: Most critical recent development. Reversed Supreme Court's Jaishri Laxmanrao Patil judgment (May 2021), restoring states' power to identify OBCs for their own lists.
- Socio-Economic Caste Census (SECC) Debates: Ongoing discussions for a comprehensive SECC, particularly from states, arguing current OBC data is outdated. Union Government has not taken up a caste census (excluding SC/ST).
- State-level Reservation Demands: Post-105th Amendment, states (e.g., Maharashtra, Karnataka, Telangana) are actively reviewing/formulating policies for communities demanding OBC status, leveraging restored power.
UPSC Previous Year Questions (PYQs)
Prelims MCQs
The Parliament of India can place a particular caste in the list of Scheduled Castes and Scheduled Tribes, but the final decision rests with the:
- (a) President of India
- (b) Governor of the concerned State
- (c) Supreme Court of India
- (d) National Commission for Scheduled Castes/Tribes
Answer: (a)
Hint: While Parliament makes the law, the initial specification and final notification, in essence, remains the President's prerogative under Article 341(1) and 342(1), acting on the advice of the council of ministers. For inclusion/exclusion by law, Parliament acts, but the overall constitutional power of specification lies with the President. This question focuses on the "final decision" of placing, which is completed by presidential notification.
Consider the following statements:
- The Constitution (One Hundred and Second Amendment) Act, 2018, inserted Article 338B and Article 342A in the Constitution.
- The 102nd Amendment Act granted constitutional status to the National Commission for Backward Classes (NCBC).
- The 105th Constitutional Amendment Act, 2021, clarified that the power to identify Socially and Educationally Backward Classes (SEBCs) for State lists rests with the respective States and Union Territories.
Which of the statements given above are correct?
- (a) 1 and 2 only
- (b) 2 and 3 only
- (c) 1 and 3 only
- (d) 1, 2 and 3
Answer: (d)
Hint: All three statements are correct. The 102nd Amendment inserted 338B and 342A, and gave NCBC constitutional status. The 105th Amendment restored states' power for their own lists.
Which of the following constitutional amendments is related to the identification of Socially and Educationally Backward Classes (SEBCs)?
- (a) 81st Amendment Act
- (b) 89th Amendment Act
- (c) 102nd Amendment Act
- (d) 103rd Amendment Act
Answer: (c)
Hint: The 102nd Amendment Act, 2018, inserted Article 342A, providing a constitutional basis for the identification of SEBCs.
Mains Questions
Discuss the significance of the 105th Constitutional Amendment Act, 2021. How does it impact the federal structure of India in the context of identification of backward classes? (15 marks)
Direction:
- Introduction: Briefly state the purpose of the 105th Amendment (reversing SC ruling on 102nd Amendment).
- Significance: Restores states' power to identify SEBCs for their own purposes (state lists); Addresses the lacuna created by Jaishri Laxmanrao Patil judgment; Ensures state-specific reservation policies can continue; Facilitates redressal of localized demands.
- Impact on Federal Structure: Restoration of Balance (judiciary, executive, legislature dynamic); Cooperative Federalism (states' legislative autonomy); Avoids Centralization; Potential for Variation (acknowledges varying backwardness).
- Conclusion: Emphasize that the amendment strengthens federalism by upholding the legislative competence of states in a critical area of social justice.
The 102nd Constitutional Amendment Act is a significant step towards institutionalizing reservation for the Socially and Educationally Backward Classes. Discuss its provisions and implications for the identification process of OBCs. (15 marks)
Direction:
- Introduction: Briefly state the 102nd Amendment's purpose (constitutional status to NCBC and Art 342A).
- Provisions: Insertion of Article 338B (NCBC constitutional status, functions); Insertion of Article 342A (President's power for Central List, Parliament's power for modification); Definition of SEBCs in Art 366(26C).
- Implications for Identification: Constitutionalization; Centralized Authority (initial interpretation before 105th Amendment); Role of NCBC; Clarity and Uniformity (desired).
- Post-105th Amendment Perspective (Crucial update): Acknowledge that 105th Amendment subsequently clarified centralization was only for Central List, and states retained power for their own lists.
- Conclusion: Summarize how 102nd Amendment marked a significant institutional shift, leading to further legislative action due to its interpretation.
Examine the criteria adopted for the identification of Scheduled Castes and Scheduled Tribes in India. Discuss the ongoing debates surrounding these criteria and the process of their inclusion/exclusion. (15 marks)
Direction:
- Introduction: Briefly state the constitutional mandate for identifying SCs/STs.
- Criteria for SCs: Primary: Untouchability; Other indicators; Reference: Constitution (SC) Order, 1950.
- Criteria for STs: Five indicators (Lokur Committee); Reference: Constitution (ST) Order, 1950.
- Process of Inclusion/Exclusion (Common for both): President's initial notification; Parliament's exclusive power to modify by law; State-specific nature.
- Ongoing Debates: Inclusion of Converts (SC); Exclusion of "Advanced" Groups (SCs/STs) / Creamy layer; Accuracy of Criteria; Politicization; Data Deficiencies.
- Conclusion: Emphasize importance of periodically reviewing criteria and processes for ensuring benefits reach most marginalized, respecting constitutional principles.
Trend Analysis: UPSC Questions
Prelims Trends
- Factual Recall: Strong emphasis on specific articles (341, 342, 342A), relevant constitutional amendments (102nd, 105th), and distinct roles of President/Parliament.
- Key Committees/Orders: Questions often refer to Lokur Committee for STs and the 1950 Orders.
- Distinguishing Features: Testing knowledge about state-specific vs. central lists, and evolution of OBC identification.
- Recent Amendments: 102nd and 105th Amendments are high-priority areas, testing their core implications.
Mains Trends
- Analytical & Contextual: Questions require critical analysis of the identification process in light of socio-political implications, constitutional principles, and federal dynamics.
- Interplay of Branches: Significant focus on dynamic relationship between judiciary, legislature, and executive.
- Federalism: Implications of identification powers on federal structure (especially for OBCs, post-102nd and 105th Amendments) are prominent.
- Ongoing Debates: Discussions around criteria, inclusion/exclusion demands, and creamy layer are frequently asked.
- The trend is towards questions demanding a holistic understanding of constitutional, legal, social, and political dimensions.
Practice Questions
Original MCQs for Prelims
Consider the following statements regarding the identification of Scheduled Castes (SCs) and Scheduled Tribes (STs) in India:
- The criteria for specification of STs includes "shyness of contact with the community at large" as recommended by the Lokur Committee.
- Once a caste or tribe is specified by the President in a public notification, it can only be removed from the list by a law passed by Parliament.
- A community identified as a Scheduled Caste in one state automatically qualifies as a Scheduled Caste in all other states of the Indian Union.
Which of the statements given above is/are correct?
- (a) 1 and 2 only
- (b) 2 and 3 only
- (c) 1 and 3 only
- (d) 1, 2 and 3
Answer: (a)
Explanation: Statement 1 is correct (Lokur Committee criteria). Statement 2 is correct (Parliament's exclusive power post-presidential notification). Statement 3 is incorrect; SC/ST lists are state/UT specific, meaning a caste/tribe may be SC/ST in one state but not in another.
With reference to the identification of Socially and Educationally Backward Classes (SEBCs) in India, consider the following statements:
- Article 342A was inserted into the Constitution by the 105th Constitutional Amendment Act, 2021.
- The President's power under Article 342A(1) is specifically for the creation of the Central List of SEBCs.
- After the 105th Amendment, states have the power to prepare and maintain their own State List of SEBCs for their purposes.
Which of the statements given above is/are correct?
- (a) 1 and 2 only
- (b) 2 and 3 only
- (c) 1 and 3 only
- (d) 1, 2 and 3
Answer: (b)
Explanation: Statement 1 is incorrect; Article 342A was inserted by the 102nd Amendment Act, 2018. The 105th Amendment only clarified its scope. Statements 2 and 3 are correct as per the current constitutional position post-105th Amendment.
Original Descriptive Questions for Mains
"The constitutional framework for identifying Scheduled Castes, Scheduled Tribes, and Socially and Educationally Backward Classes reflects a delicate balance between parliamentary supremacy, presidential power, and judicial review." Elucidate this statement, tracing the evolution of the identification process, particularly for OBCs, and highlight its federal implications. (15 marks)
Key Points/Structure:
- Introduction: Briefly state the significance of identifying these groups for affirmative action.
- Balance of Powers: Presidential Power (initial specification); Parliamentary Supremacy (exclusive power to include/exclude by law); Judicial Review (interpretations, principles, prompting legislative action).
- Evolution of OBC Identification: Pre-102nd Amendment (statutory body, Mandal Commission); 102nd Amendment (constitutional status to NCBC, initial interpretation of centralizing power); Judicial ruling (Maratha quota case); 105th Amendment (reversal, restoring state power, dual lists).
- Federal Implications: The 105th Amendment's role in preserving state autonomy; Maintaining diversity in lists; Avoidance of overburdening central mechanism; Impact on cooperative federalism.
- Conclusion: Summarize the dynamic interplay, emphasizing continuous effort to refine identification while upholding federal balance.
Examine the challenges in applying uniform criteria for the identification of Socially and Educationally Backward Classes (SEBCs) across different states of India. Discuss how the recent 105th Constitutional Amendment Act, 2021 addresses some of these challenges, while also pointing out any residual issues. (10 marks)
Key Points/Structure:
- Introduction: Briefly mention the challenge of identifying SEBCs due to diverse socio-economic conditions.
- Challenges in Uniform Criteria Application: Diversity of Backwardness; Political Economy of Reservations; Data Gaps; Methodological Debates.
- How 105th Amendment Addresses Challenges: Restoration of State Autonomy; Federalism reinforcement; Reduces Central Burden; Flexibility.
- Residual Issues/Challenges: Inter-State Migration; Over-inclusion/Under-inclusion; Political Interference; Need for Robust Data.
- Conclusion: Conclude that 105th Amendment is a significant step, but continuous vigilance, data-driven policy, and judicial oversight are crucial.