In the Matter of the Petition by THE UNIVERSITY OF MISSISSIPPI, Lyceum Building, University, Mississippi 38677 Proposed Revocation of Second-Class Mail Privileges for "BULLETIN OF THE UNIVERSITY OF MISSISSIPPI" P.S. Docket No. 4/112 August 30, 1976 Rudolf Sobernheim Administrative Law Judge APPEARANCES: Ed Davis Noble, Jr., Esq. Assistant Attorney General Peter M. Stockett, Esq. Special Assistant Attorney General Jackson, Mississippi 39205 for Petitioner Grayson M. Poats, Esq. Law Department U. S. Postal Service Washington, D. C. 20260 for Respondent
This is a proceeding initiated by petitioner pursuant to 39 C.F.R. Part 954 to contest the ruling of respondent, represented by the Manager of the Mail Classification Division, Finance Department, U.S. Postal Service (hereinafter referred to as the "Manager") which on 5 September 1975, annulled, subject to the outcome of this proceeding, petitioner's second-class mail privileges in respect of the "BULLETIN OF THE UNIVERSITY OF MISSISSIPPI" (hereinafter sometimes referred to as the "Bulletin").
The Bulletin's status as second-class mail matter was raised as a result of petitioner's re-entry application changing frequency of publication which was made in November 1974 (Test. Beller, p. 6). At that time respondent's mail classification specialist reviewed volume LXXII of the Bulletin. Based on such review, the Manager concluded that, apart from specific technical deficiencies which were noted, the Bulletin was not a periodical publication under the U. S. Supreme Court decision of Houghton v. Payne , 194 U.S. 88 (19040, in particular in that each issue was complete in itself betraying no need of continuation in subsequent issues (Pet. Ex. 3). He so advised the cognizant postmaster ( ibid .) who in turn so advised petitioner (see Pet. Ex. 4, 1st sent.). Petitioner's Director of University Publications responded on 13 March 1975 (Pet. Ex. 4) that petitioner was correcting the technical deficiencies but asserted that no part of the Postal Service regulations (Postal Service Manual (PSM) Part 132) excluded the Bulletin "from being treated as a series of publications for second-class postal rates." He also stated that Houghton v. Payne , supra , was inapplicable "since that case has consistently been interpreted to include college and university bulletins" ( id ., p. 1, in fine ). He described the Bulletin - contrary to the view taken by the Manager, - as "a continuum of interrelated issues which make reference to each other and contain information from previous issues" ( ibid .).
These arguments were unpersuasive and on 5 September 1975 the Manager acted to annul petitioner's second-class mail privileges in respect of the Bulletin. The Manager stated his reasons as follows:
"Section 132.211, Postal Service Manual, provides that only newspapers and other periodical publications may be mailed at the second-class rates. A periodical, as ordinarily understood, is a publication appearing at stated intervals, each number of which contains a variety of original articles by different authors devoted either to general literature of some special branch of learning or to a special class of subjects. Ordinarily, each number is incomplete in itself, and indicates a relation with prior or subsequent numbers of the same series. It implies a continuity of literary character, a connection between the different numbers of the series in the nature of the articles appearing in them, whether they be successive chapters of the same story or novel or essays upon subjects pertaining to general literature. If, for instance, one number were devoted to law, another to medicine, another to religion, another to music, another to painting, etc., the publication could not be considered a periodical, as there is no connection between the subjects and no literary continuity. The preceding definition of a periodical is based on a Supreme Court ruling in the case Houghton v. Payne 194 U.S. 88 (1904) .
Each issue which we reviewed, with the exception of the 'Viewbook' and the 'Financial Aids Information Bulletin,' contains general and academic information and regulations, and course listings and descriptions for the particular school named on the front.
The 'Viewbook' contains brief general information about admissions, fees and programs at the University and is geared toward new students.
The 'Financial Aids Information Bulletin' contains information about loans, student employment, grants and scholarships.
The title 'University of Mississippi Bulletin' does not appear anywhere on the front of the Viewbooks, the two Summer Session issues, or the Financial Aids Bulletin as required by section
132.25a, Postal Service Manual.
There is no continuity between the issues which we have reviewed and each one is complete in itself. They are essentially separate and independent annual publications which would be more appropriately ascribed to the classification scheme providing for the mailing of books and printed matter.
'Bulletin of the University of Mississippi' is not a periodical publication and is not entitled to retain second-class mail privileges. (See Northwest Missouri State University, Case P.S. Docket No. 3/42, March 6, 1975 and the George Washington University, Case P.S. Docket No. 3/142, August 28, 1975.)"
On 28 October 1975 petitioner filed with the Docket Clerk of the Office of Administrative Law Judges of the U. S. Postal Service "Petitioner's Brief in Opposition to Revocation of Second Class Mail Privileges" which represents both a petition for review of the Manager's ruling and a legal brief in support thereof. In due course, respondent filed its answer, alleging that the Bulletin "is comprised of a series of catalogues, brochures and other University of Mississippi publications, each of which is complete in itself, and published annually" and that the public character of the information published therein by itself does not entitle petitioner to second-class mail privileges therefor under PSM 132.212 nd 132.22.
Petitioner thereafter requested that the hearing herein be held at a place more convenient to it than Washington, D.C. In order to minimize expense for both parties, the motion was granted and the hearing transferred to Jackson, Mississippi, but respondent was permitted to present the testimony of its mail classification specialist in written form prior to the hearing.
The hearing was held on 18 February 1976. The testimony of witnesses for petitioner was heard and documentary evidence received. Petitioner was given permission at the hearing to submit at a later date the affidavit of its Director of University Publications and of copies of the 1976 summer session issue of the Bulletin. These items are received in evidence as part of the record in this proceeding.
Subsequent to the hearing respondent filed its brief but petitioner filed no further brief after the hearing and is presumed to rest on its initial brief, referred to above.
1. The University of Mississippi (hereinafter referred to as the "University") was originally chartered in 1844 and is currently established by Chapter 115, sec. 37-115-1 et seq . of the Mississippi Code of 1972. It is an institution of higher learning (T 14), composed of an undergraduate and graduate school as well as a number of professional schools.
2. Among other publications the University publishes the Bulletin the second-class mail status of which is in issue in this proceeding. The University has had second-class mail privileges for its Bulletin for over 70 years (T 25-26).
3. In the course of this proceeding the parties placed the following volumes of the Bulletin in evidence as representative thereof:
Volume LXXII (August 1973 - March 1974)
Volume LXXIII (August 1974 - March 1975)
Volume LXXIV, No. 2 (November 1975) and No. 4 (March 1976)
4. Although the issues of the Bulletin reflect some technical irregularities, these are not in issue in this proceeding. There is also no question that the Bulletin is the work of numerous authors, each responsible for a segment of the information found therein (Pet. Ex. 2) and that it disseminates information of a public character.
5. Volume LXXII of the Bulletin (Resp. Ex. 1) was composed of twelve (12) issues, although originally planned only for eleven (11). After the first issue the University apparently decided to add a pamphlet on financial aids as an additional issue during September 1973.
a. Of the twelve issues nine cover particular segments of the University: the Schools of Law, Pharmacy, Business Administration, Engineering and Education, the College of Liberal Arts, the Graduate School and the Summer Session. In addition the University published a General Catalog for Undergraduates.
b. Three issues were in the nature of illustrated pamphlets: the viewbook (introducing the University), the financial aids pamphlet, and "Your Summer Place", a viewbook - to use that phrase - for the summer session. All three pamphlets are complete texts describing and illustrating their subjects, though in brief.
c. The catalogues are well illustrated by that for the School of Law (Resp. Ex. 1, vol. LXXII, No. 1). This is a 32-page booklet, in flexible covers, which contains a title page, list of the University's trustees, table of contents, academic calendar and faculty roster (6 pp.), general information on the law school, its admission policies, the expense of attending and financial assistance to students (6 pp.), academic honors bestowed by the school (1 p.), a description of its graduate program, academic requirements and curriculum (7 pp.), a course catalog (7 pp.) and indices and a list of recipients of awards and prizes during the previous school year (5 pp.).
d. All of the other catalogs follow this model, although the size of the publication obviously varied.
e. Only the General Catalog for Undergraduates (Resp. Ex. 1, vol. LXXII, No. 6) deviated partially from that pattern.
(i) It assertedly not only serves as a catalog of courses of undergraduate instruction (69 out of 219 pages) but also as a general reference book on university life and organization (139 out of 219 pp.). This material is divided into five parts: The University, Governing Policies and Regulations, Student Services, Student Life and Career Preparation for the Undergraduate. The remaining pages of the General Catalog are taken up by the academic calendar and index.
(ii) The testimony of the University's witnesses referred frequently to the need for all students to consult the General Catalog in order to acquaint themselves with all of the University regulations (T 23, 31, 42-43, 55) and to the students' responsibility for being aware of the frequent changes therein (T 23; see also e . g . Resp. Ex. 2, vol. LXXIII, No. 8, p. 65). It also, however, appears from the record that the students are informed of such matters by a daily bulletin, distributed directly on campus and not by mail (T 44-45), and that at least in each issue of volume LXXII the students were for this purpose expressly referred to the M-book, "a manual for students describing student activities and University policies and regulations" (Resp. Ex. 1, vol. LXXII, Nos. 1, 3-8, 10 and 11, inside the front cover).
6. Volume LXXIII of the Bulletin (Resp. Ex. 2) consisted of ten (10) issues. The viewbook and summer session announcements (Resp. Ex. 1, vol. LXXII, Nos. 2 and 9) were omitted.
a. The volume included four catalogs following the same pattern as those forming part of volume LXXII (Resp. Ex. 1; FF 5c to e, supra ):
the Law School Catalog (vol. LXXIII, No. 1) the General Catalog for Undergraduates (vol. LXXIII, No. 8) the Graduate School Catalog (vol. LXXIII, No. 9) the Summer Session Catalog (vol. LXXIII, No. 10)
b. The 1974-75 catalogs reproduce to a large extent prior material but, as petitioner's witnesses pointed out, numerous change in detail were made to update the later issues (T 48-49, 53-54).
c. In addition to the four catalogs volume LXXIII of the Bulletin included a financial aids pamphlet, changed in format but not in basic content from that of the prior year, and five dean's brochures (T 28), describing in general terms the organization and programs of the Schools of Engineering, Education, Pharmacy and Business Administration and of the College of Liberal Arts. The details of the degrees, academic requirements and courses of instruction of these schools were published in the General Catalog for Undergraduates, expanded in volume LXXIII, to 398 pages (Resp. Ex. 2, vol. LXXIII, No. 8).
7. In 1975 the University decided to reorganize the Bulletin. Accepting respondent's point of view it eliminated the financial aids pamphlet and the brochures about the professional schools and the College of Liberal Arts as not fitting the definition of a periodical (T 28). It considered the same to be true in respect of the viewbook (T 29). Thus reconstituted volume LXXIV of the Bulletin consisted of four issues published in August and November 1975 and in February and March 1976 (Pet. Ex. 1, vol. LXXIV, No. 2, inside cover). The four volumes were (T 17):
The Law School Catalog
The Undergraduate Catalog (Pet. Ex. 1)
The Graduate School Catalog
The Summer Session Catalog (Pet. Ex. 5)
a. The Undergraduate Catalog, published as No. 2 of volume LXXIV (Pet. Ex. 1) follows the pattern of the same catalog in volume LXXIII (Resp. Ex. 2, vol. LXXIII, No. 8) and in volume LXXII (Resp. Ex. 2, vol. LXXII, No. 6) except that the courses of instruction for all schools and the liberal arts college are listed in a single section rather than as part of the section describing the school or college. Narrower printing margins have reduced the size of the volume from 388 to 309 pages. The issue, like its predecessor, adopts the stitch-back book format.
b. The summer session issue of volume LXXIV of the Bulletin appeared in the entirely different guise of a tabloid newspaper, about 16 by 11 1/2 inches in size and printed on newsprint (T 63) on the University's own presses to save money (T 64; Pet. Ex. 5). Its front page has a colorful "Jugendstil" design and it consists of two sections. The first (of 8 pages) contains the general information on the summer session at undergraduate and graduate levels and the academic calendar. The second (of 32 pages) provides the course catalogue for all summer session courses by colleges or schools and fields of instruction, with the number, title, hours of the course, the instructor's name and a thumbnail sketch of its contents.
8. The issues of the Bulletin are sent to a permanent mailing list of largely public agencies within and without the state (T 57) but each addressee does not receive every issue of the Bulletin (T 61). Otherwise, Bulletin issues are primarily mailed to prospective or actual students who are interested in a particular course of studies covered in the specific Bulletin issue (T 62).
9. The affidavit of the University's Director of Publications summarizes the reorganization of the Bulletin and the reduction to four issues. Pamphlets formerly part of the Bulletin but removed therefrom in volume LXXIV are now being mailed as first class matter. The Bulletin, reduced to the remaining issues, is regularly published four times a year, composed of a variety of articles by different authors, and the individual issues are in his view incomplete in themselves and related to prior or subsequent numbers of the same Bulletin series.
10. On the basis of the foregoing detailed findings of fact and the record as a whole I find:
a. Volume LXXII of the Bulletin includes three and volume LXXIII includes six issues which concededly cannot properly be considered being incomplete in themselves and related to prior or subsequent issues of the annual volume of which they are part. In the case of volume LXXIII a majority of its eleven (11) issues are in that category.
b. The remaining issues of volumes LXXII and LXXIII as well as the issues of volume LXXIV are catalogs, each of a school or college of the University or of a group of schools or colleges containing general information in respect thereof as well as a list of courses either with or without a thumbnail sketch of their contents. Such books or booklets are distinct and separate from each other, each covering a particular subject (one or more schools or colleges of the University) as fully as the author or authors thereof desire to present the same. Each of these issues is primarily addressed to a separate audience, be it of enrolled or prospective law students, graduate or undergraduate students or those attending the summer session.
c. The connecting link seen by petitioner between the catalog issues of the Bulletin is the implied reference in each issue to the General Catalog or Undergraduate Catalog as the repository for the applicable policies and regulations with knowledge whereof each student is charged. But that link is far too tenuous to establish factually between the issues of the Bulletin, including volume LXXIV, the link which exists between issues of a periodical each of which contains distinctly separate articles and which neither momentarily nor for a period of time exhaust the subject thereof. The fact that a book contains reference to other books does not make them part of a periodical publication.
d. As a matter of fact each annual volume of the Bulletin is composed of a series of books or booklets, linked by running numbering and a common title. Even if each catalog were considered in the nature of a periodical its predecessors and successors in each series would be the same catalog for the preceding or the following years.
11. To the extent that petitioner through the affidavit of its Director of University Publications or in its petition urges me to find otherwise as a matter of fact, such request, direct or implied, is denied.
1. It is well established that it is not sufficient that a periodical publication of a regularly incorporated institution of learning provide for its readers information of a public character. Such a publication must meet the requirements laid down in Houghton v. Payne , supra , for periodical publications. See for discussion of this point the initial decision in Northwest Missouri State University , P.S. Docket No. 3/42, affirmed by the Judicial Officer on 4 August 1975.
2. It is equally well established by the decisions of the administrative law judges and the Judicial Officer of the United States Postal Service that bulletins published by colleges and universities, consisting of catalogs of its faculties, component colleges, or schools and in many instances, though not of necessity, of miscellaneous pamphlets or announcements, do not constitute periodical publications which their publishers may mail at second-class postage rates. Northwest Missouri State University , supra ; The George Washington University , P.S. Docket No. 3/142 (1976); Michigan State University , P.S. Docket No. 3/180 (1976); for recent initial decisions, presently on appeal to the Judicial Officer, see New York University , P.S. Docket No. 4/81 (1976); Yale University , P.S. Docket No. 4/107 (1976); The Brigham Young University , P.S. Docket No. 4/158 (1976); University of North Carolina - Chapel Hill , P.S. Docket No. 4/153 (1976). Altogether initial decisions in thirty-six cases and Postal Service decisions in 9 cases from March 1975 to the date hereof have adhered to the rule initially adopted in Northwest Missouri State University , supra .
3. The ruling of the Manager does not violate any postal statute or regulations. Far from establishing a new classification system, as petitioner argues (Br. pp. 13 et seq .), the Manager has correctly sought to uphold and enforce the existing classification system by revoking the second-class mail privileges heretofore improvidently granted to colleges and universities for publications of the character of petitioner's Bulletin. Neither lapse of time (see Shepard's Citations, Inc. , P.S. Docket No. 1/88 (1974)) nor pending legislation not adopted by the Congress (see the initial decision in New York University , P.S. Docket No. 4/81 (1976)) limit the duty of the administrative law judges of the United States Postal Service to enforce existing postal law impartially. Not to do so here would create the discrimination which petitioner in its brief condemns.
4. Accordingly, the decision of the Manager was correct and is upheld.