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No. 03-814
In the Supreme Court
of the United States
WILLARD STEWART, PETITIONER
v.
DUTRA CONSTRUCTION COMPANY
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE
FIRST CIRCUIT
BRIEF FOR THE UNITED STATES AS AMICUS CURIAE SUPPORTING PETITIONER
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THEODORE B. OLSON Solicitor General Counsel of Record |
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HOWARD M. RADZELY Solicitor of Labor |
THOMAS G.
HUNGAR Deputy Solicitor General |
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ALLEN H. FELDMAN Associate
Solicitor |
LISA S. BLATT Assistant to the
Solicitor General |
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MARK S. FLYNN Senior Appellate Attorney |
Department of Justice Washington, D.C.
20530-0001 (202) 514-2217 |
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Department of
Labor Washington, D.C. 20210 |
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QUESTION PRESENTED
To qualify for "seaman" status under the Jones Act, 46 U.S.C. App. 688(a), a
worker must have "an employment-related connection to a vessel in navigation."
Chandris, Inc. v. Latsis, 515 U.S. 347, 357 (1995). The question presented is
what is the legal standard for determining whether a special purpose watercraft
(such as a dredge) is a Jones Act "vessel."
In the Supreme Court of the United States
No. 03-814
WILLARD STEWART, PETITIONER
v.
DUTRA CONSTRUCTION COMPANY
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE
FIRST CIRCUIT
BRIEF FOR THE UNITED STATES AS AMICUS CURIAE SUPPORTING PETITIONER
TABLE OF CONTENTS
Interest of the United States
Statement
Summary of Argument
Argument
Respondent's dredge transported equipment and crew over water and was
therefore a "vessel in navigation"
A. "Vessel"
should be interpreted in accordance with its general maritime meaning of a
watercraft that is a means of transportation on water
B. The court of appeals erred in applying its "primary function" and
"actual transit" test to conclude that respondent's dredge was not a vessel in
navigation
1. The court of appeals' standard was erroneous
2. The
Super Scoop was a vessel in navigation
C.
Classifying a dredge as a vessel is supported by settled maritime law at the
time Congress passed the Jones Act and LHWCA
1.
Pre-enactment case law
2. The
legislative history of the LHWCA
Conclusion
TABLE OF
AUTHORITIES
Cases:
Aitcheson v. The Endless Chain Dredge, 40 F. 253 (E.D. Va. 1889)
Bernard v. Binnings Constr. Co., 741 F.2d 824 (5th Cir. 1984)
Bowers
Hydraulic Dredging Co. v. Federal Contracting Co., 148 F. 280 (S.D.N.Y.
1906), aff'd, 153 F. 870 (2d Cir.), cert. denied, 207 U.S. 587 (1907)
Chandris, Inc. v. Latsis, 515 U.S. 347 (1995)
City of L.A. v. United Dredging Co., 14 F.2d 364, 366 (9th
Cir. 1926)
Cope v. Vallette Dry Dock Co., 119 U.S. 625 (1887)
DiGiovanni v. Traylor Brothers, Inc., 959 F.2d 1119 (1st
Cir.), cert. denied, 506 U.S. 827 (1992)
Director, OWCP v. Greenwich Collieries, 512 U.S. 267
(1994) 18
Ellis v. United States, 206 U.S. 246 (1907)
Evansville & Bowling Green Packet Co. v. Chero Cola Bottling Co.,
271 U.S. 19 (1926)
Foremost, Inc. v. Richardson, 457 U.S. 668 (1982)
Gustafson v. Alloyd Co., 513 U.S. 561 (1995)
Harbor Tug & Barge Co. v. Papai, 520 U.S. 548 (1997)
Hydraulic Steam Dredge No.1, In re, 80 F. 545 (7th Cir. 1897)
Jerome B. Grubart, Inc. v. Great Lakes Dredge & Dock Co., 513 U.S. 527 (1995)
Kolstad v. American Dental Ass'n, 527 U.S. 526 (1999)
Lebron v. National R.R. Passenger Corp., 513 U.S. 374 (1995)
Lorimer v. Great Lakes Dredge & Dry Dock Co., 36 Fed. App.
294 (9th Cir. 2002)
Manuel v. P.A.W. Drilling & Well Serv., Inc., 135 F.3d 344,
351 (5th Cir. 1998)
McCarthy v. The Bark Peking, 716 F.2d 130 (2d Cir. 1983),
cert. denied, 465 U.S. 1078 (1984)
McDermott Int'l, Inc. v. Wilander, 498 U.S. 337 (1991)
McMaster v. One Dredge, 95 F. 832 (D. Or. 1899)
McRae v. Bowers Dredging Co., 86 F. 344 (D. Wash. 1898)
Morehead v. Atkinson-Kiewit, J/V, 97 F.3d 603, 607 (1st Cir.
1996) (en banc), cert. denied, 520 U.S. 1117 (1997)
Nogueira v. New York, New Haven & Hartford R.R., 281 U.S.
128 (1930)
North Am. Dredging Co. v. Pacific Mail S.S. Co., 185 F. 698
(9th Cir. 1911)
Norton v. Warner Co., 321 U.S. 565 (1944)
O'Donnell v. Great Lakes Dredg & Dock Co, 318 U.S. 36 (1943)
Ohio v. Robinette, 519 U.S. 33 (1996)
Richendollar v. Diamond M. Drilling Co., 819 F.2d 124 (5th
Cir.),cert. denied 484 U.S. 944 (1987)
Richmond Dredging Co. v. Standard Am. Dredging Co., 208 F.
862 (9th Cir. 1913)
Rodrique v. Aetna Cas. & Sur. Co., 395 U.S. 352 (1969)
Roper v. United States, 368 U.S. 20 (1961)
Saylor v. Taylor, 77 F. 476 (4th Cir. 1896)
Senko v. La Crosse Dredging Corp., 352 U.S. 370 (1957)
Simms v. Valley Line Co., 709 F.2d 409, 411 (5th Cir. 1983)
Swanson v. Marra Bros., 328 U.S. 1 (1946)
The Alabama, 22 F. 449 (S.D. Ala. 1946)
The Atlantic, 53 F. 607 (D.S.C. Ala. 1894)
The International, 89 F. 484 (3d Cir. 1898)
The Pioneer, 30 F. 206 (E.D.N.Y. 1886)
The Robert W. Parsons, 191 U.S. 17 (1903)
The Starbuck, 61 F. 502 (E.D. Pa. 1894)
The Steam Dredge No. 6, 222 F. 576 (S.D.N.Y. 1915)
The Virginia Ehrman, 97 U.S. 309 (1877)
Warner v.
Faltra, 293 U.S. 155 (1934)
West v. United States, 361 U.S. 118 (1959)
Statutes, regulations, and rule:
Act of July
18, 1866, ch. 201, § 1, 14 Stat. 178
Act of Oct.
27, 1972, Pub. L. No. 92-576, § 18(a)
Jones Act
(Mercahnt Marine), 46 U.S.C. App. 688(a)
Longshore and
Harbor Workers' Compensation Act, 33 U.S.C. 901 et seq.:
33 U.S.C. 902(3)(G)
33 U.S.C. 902(21)
33 U.S.C.
903(a)
33 U.S.C. 905(3)(G)
33 U.S.C. 939
Rev. Stat § 3
(1875 ed.)
1 U.S.C. 3
16 U.S.C.
916(e)
18 U.S.C.
553(c)(3)
18 U.S.C. 3667
19 U.S.C.
1401(a)
22 U.S.C.
456(c)
26 U.S.C.
5688(c)
28 U.S.C.
1292(a)(3)
33 U.S.C.
1321(a)(3)
33 U.S.C.
1502(18)
33 U.S.C.
1601(a)
33 U.S.C.
2003(a)
33 U.S.C.
2402(11)
33 U.S.C.
2701(37)
42 U.S.C. 201(i)
42 U.S.C. 9601(28)
46 U.S.C. 2101(45)
46 U.S.C. App. 801
47 U.S.C. 153(39)(A)
49 U.S.C. 80301(3)
49 U.S.C. 13102(21)
20 C.F.R. Pts.
701-704
46 C.F.R.
90.05-1(A)(1)
Sup. Ct. R.
14.1(a)
Miscellaneous:
1 Erastus C.
Benedict, The American Admiralty (5th ed. 1925)
Committee of
Standardization and Special Research, A Port Dictionary of Technical Terms
(1940)
69 Cong. Rec. (1927):
p. 5403
p. 5900
p. 5908
Conway's
History of the Ship: The Shipping Revolution (Conway Maritime Press 1992)
Alfred Dudszus & Ernest Henriot, Dictionary of Ship Types (Conway
Maritime Press 1986)
Dutra Super
Scoop (visited May 7, 2004) <http://www.bigdig.com/thtml/equip30.htm>
Robert Force &
Martin J. Norris, The Law of the Seaman: Vol. 1 (5th ed. 2003)
Vol. 2 (4th ed. 1985)
H.R. Rep. No. 1767, 69th Cong., 2d Sess. (1927)
Robert M.
Hughes, The Handbook of Admiralty Law (2d ed. 1920)
1 Steven F.
Friedell, Benedict of Admiralty (7th ed. 2003)
Dan McNichol,
The Big Dig (2000)
9 The
Encyclopedia American (Int'l ed. 2000)
2 U.S. Coast Guard, USCG Marine Safety Maunal (2000)
INTEREST OF THE UNITED STATES
This case presents the question of the appropriate standard for determining
whether a dredge is a "vessel" such that an individual employed on it is a
"seaman" entitled to bring a negligence action under the Jones Act. 46 U.S.C.
App. 688(a). A Jones Act "seaman" is synonymous with a "master or member of a
crew of any vessel" excluded from workers' compensation coverage under the
Longshore and Harbor Workers' Compensation Act (LHWCA), 33 U.S.C. 902(3)(G).
McDermott Int'l, Inc. v. Wilander, 498 U.S. 337, 345-346 (1991). The Jones Act
and the LHWCA are accordingly "mutually exclusive compensation regimes."
Chandris, Inc. v. Latsis, 515 U.S. 347, 355-356 (1995).
The Secretary of Labor administers the LHWCA. 33 U.S.C. 939. The Secretary
has delegated her responsibilities to the Director of the Office of Workers'
Compensation Programs (OWCP), who administers the LHWCA pursuant to regulations
codified at 20 C.F.R. Pts. 701-704. The Director may be a party and participate
in any proceedings under the LHWCA. Because of the mutually exclusive nature of
coverage under the Jones Act and the LHWCA, resolution of the question presented
will define the extent of the LHWCA's coverage in this area and may affect the
administration of the Act by the Director of OWCP. For instance, the Director
has taken the position in his administration of the LHWCA that an employee on a
dredge is a seaman excluded from the LHWCA under 33 U.S.C. 902(3)(G). Br. for
the Director, OWCP, Lorimer v. Great Lakes Dredge & Dry Dock Co., 36 Fed. Appx. 294 (9th Cir. 2002) (No. 70849) (available in 2001 WL 34108609). The
United States therefore has a substantial interest in this case.
STATEMENT
This case concerns the applicability of the Jones Act to an individual
employed on a dredge working in Boston Harbor. For the reasons set forth below,
the United States submits that a watercraft qualifies as a Jones Act vessel (and
its crew as "seamen") if the craft is used or practically capable of being used
as a means of transportation on water, and that the dredge at issue in this case
should be deemed a vessel in navigation for Jones Act purposes.
1. The Jones Act provides that "[a]ny seaman who shall suffer personal injury
in the course of his employment may, at his election, maintain an action for
damages at law, with the right of trial by jury." 46 U.S.C. App. 688(a). The Act
thus provides a worker who is a "seaman" with a negligence cause of action
against his employer. The LHWCA is a workers' compensation statute that applies to certain employees injured in
the course of maritime employment "upon the navigable waters of the United
States" and in adjoining areas. 33 U.S.C. 903(a). The LHWCA defines an
"employee" covered by the Act as "any person engaged in maritime employment,
including any longshoreman or other person engaged in longshoring operations,
and any harbor-worker including a ship repairman, shipbuilder, and ship-breaker,
but such term does not include * * * a master or member of a crew of any
vessel." 33 U.S.C. 902(3)(G) (emphasis added).
The "master or member of a crew of any vessel" excluded from the LHWCA is
synonymous with the "seaman" covered under the Jones Act. In other words, the
phrase "'master or member of a crew' restates who a 'seaman' under the Jones Act
is supposed to be." McDermott Int'l, Inc. v. Wilander, 498 U.S. 337, 348 (1991);
accord Harbor Tug & Barge Co. v. Papai, 520 U.S. 548, 553 (1997) ("[T]he
LHWCA and the Jones Act are 'mutually exclusive'" since the "masters and
crewmembers [excluded under 33 U.S.C. 902(3)(G)] are the seamen entitled to sue
for damages under the Jones Act." (quoting Chandris, Inc. v. Latsis, 515 U.S.
347, 355-356 (1995)). "Thus, it is odd but true that the key requirement for
Jones Act coverage now appears in another statute." Wilander, 498 U.S. at
347.
"The key to seaman status is employment-related connection to a vessel in
navigation." Wilander, 498 U.S. at 355. That requirement has two components: (1)
the "employee's duties must 'contribute[] to the function of the vessel or to
the accomplishment of its mission'" and (2) the employee "must have a connection
to a vessel in navigation (or to an identifiable group of such vessels) that is
substantial in terms of both its duration and its nature." Chandris, 515 U.S. at
368 (citation omitted); Harbor Tug & Barge, 520 U.S. at 554. The requirement
that a seaman have a connection to a vessel in navigation that is substantial in
duration and nature distinguishes sea-based employees, who are covered by the
Jones Act, from land-based maritime workers, who have only a transitory
connection to a vessel in navigation and are covered by the LHWCA. Ibid.
The question whether a worker has the requisite employment-related connection
to a vessel in navigation is a mixed question of law and fact. The court
"define[s] the legal standard," and the jury "finds the facts, and * * * applies
the legal standard." Wilander, 498 U.S. at 356. "If reasonable persons, applying
the proper legal standard, could differ as to whether the employee" is a seaman,
"it is a question for the jury." Ibid. Conversely, "summary judgment or a
directed verdict is mandated where the facts and the law will reasonably support
only one conclusion." Ibid.
2. Respondent employed petitioner as a marine engineer to maintain the
mechanical systems of the Super Scoop, "a large floating platform * * * equipped
with a clam-shell bucket." Pet. App. 16-17. Respondent used the Super Scoop to
dig a cross-harbor trench in the Boston Harbor for the Ted Williams Tunnel. Id.
at 17; see DutraSuper Scoop (visited May 7, 2004) http://www.bigdig.com/thtml/equip30.htm (picture of
Super Scoop in
Boston Harbor); accord Dan McNichol, The Big Dig 56-57 (2000). The Super Scoop
"operates as a dredge, removing silt from the ocean floor and dumping sediment
onto one of two scows that float alongside." Pet. App. 17; see 9 The
Encyclopedia Americana 374 (Int'l ed. 2000) ("Typically, a dredge [has] some
sort of scoop to pick up material and a derricklike mechanism to lift the scoop
with its load and to dump it."). Once the Super Scoop filled her scows, tugboats
towed the scows out to sea where they disposed of the dredged material. Pet.
App. 17.
The Super Scoop had "navigation lights, ballast tanks, and a dining area for
the crew." Pet. App. 17. The Super Scoop's chief officer was referred to as
"captain," and the employees working on it as "crew." C.A. App. 254-255 (Def's
Admis. Resp. Nos. 17, 21). Crew members generally were required to wear life
jackets while working on the Super Scoop and were transported to and from it by
boat. Ibid. (Def's Admis. Resp. Nos. 19, 20). The Coast Guard classified the
Super Scoop as an industrial vessel, and respondent was required to register her
with the Coast Guard and comply with safety regulations issued by the Coast
Guard and the United States Department of Transportation. Pet. App. 17.
In
addition, the American Bureau of Shipping had issued a load-line certificate to
the Super Scoop. Ibid.; C.A. App. 268 (certificate); see Committee on
Standardization and Special Research, A Port Dictionary of Technical Terms
133
(1940) ("The term load-line means a line or mark to indicate maximum depth to
which a vessel may be loaded safely.").
The Super Scoop had limited means of self-propulsion. Crew members used
anchors and cables to move the Super Scoop, and during her operations in the
Boston Harbor she typically moved once every two hours, covering a distance of
30 to 50 feet. Pet. App. 17; C.A. App. 252 (Def's Admis. Resp. No. 5) ("[O]n
most days during the time that the Superscoop was performing dredging it would
be moved a short distance by use of its anchors."). For movement over longer
distances, the Super Scoop was towed by another vessel, as when she was towed
from her home base in California, through the Panama Canal, and up the Eastern
seaboard to Boston Harbor. Ibid. (Def's Admis. Resp. No. 4).
In 1993, during the course of petitioner's employment on the
Super Scoop,
petitioner boarded one of the adjacent scows to make repairs. Pet. App. 18. The
Super Scoop's crew proceeded to move the scow while petitioner was working,
causing it to collide with the Super Scoop. Jolted by the impact, petitioner
fell to a deck below and sustained serious injuries. Ibid.
3. Petitioner filed suit in the United States District Court for the District
of Massachusetts under the Jones Act, 46 U.S.C. App. 688(a), alleging that he
was a seaman injured by respondent's negligence. He also filed an alternative
claim (in the event that he was found not to be a seaman) under Section 5(b) of
the LHWCA, 33 U.S.C. 905(b), which authorizes employees covered by that Act to
sue a "vessel" owner as a third party for an injury caused by the owner's
negligence. Pet. App. 3.
Respondent moved for summary judgment on the Jones Act claim, arguing that
petitioner was not a seaman. Respondent acknowledged that petitioner was "a
member of the [Super Scoop's] crew," Pet. App. 21, and that his "duties
contributed to the function" of the Super Scoop, C.A. App. 38 (Def's Mem. in
Support of Sum. J.), but argued that the Super Scoop was not a vessel in
navigation. Respondent relied upon the First Circuit's decision in DiGiovanni v.
Traylor Brothers, 959 F.2d 1119 (en banc), cert. denied, 506 U.S. 827 (1992),
which held that "if a barge or other float's 'purpose or primary business is not
navigation or commerce,' then workers assigned thereto for its shore enterprise
are to be considered seamen only when it is in actual navigation or transit" at
the time of the plaintiff's injury. Id. at 1123 (quoting Bernard v. Binnings
Constr. Co., 741 F.2d 824, 829 (5th Cir. 1984)). The district court entered
summary judgment in favor of respondent, holding that the Super Scoop was not a
vessel in navigation because "the primary purpose of this thing, of this [Super
Scoop] is dredging, not transportation" and "[t]he fact that it moves people
across the water is incidental to its primary purpose." Pet. App. 66.
4. a. On petitioner's interlocutory appeal pursuant to 28 U.S.C. 1292(a)(3),
the court of appeals affirmed. Pet. App. 15-29. The court concluded that it was
bound by DiGiovanni, id. at 22-25, and held that "a dredge like the [Super
Scoop] comes within the * * * court's holding in DiGiovanni," id. at 26. The
court rejected petitioner's argument that "dredging itself is a form of
navigation and transportation" because "to dredge, the Super Scoop must
transport the clamshell bucket and associated equipment across the harbor, and
must cause the dredge material to be carried out to sea." Id. at 26-27. The
court of appeals reasoned that the analysis in DiGiovanni "focuses on primary
functions and, at bottom, dredging is primarily a form of construction" and that
"[a]ny navigation or transportation that may be required is incidental to this
primary function." Id. at 27. The court concluded that the Super Scoop was a
"floating stage[] used primarily as [an] extension[] of the land for purpose of
securing heavy equipment to construct a passage across the sea," and therefore
was not "a vessel in navigation within the jurisprudence of the Jones Act."
Ibid.
The court of appeals also rejected petitioner's reliance on the court's
recognition in DiGiovanni that workers connected to a structure whose primary
purpose is not navigation may nonetheless be considered seamen if the structure
"'is in actual navigation or transit' at the time an injury occurred." Pet. App.
28 (quoting 959 F.2d at 1123). The court found it "irrelevant" that petitioner
was injured on the scow while the scow was in motion because petitioner's
"status as a seaman depends upon the movement vel non of the Super Scoop" at the
time of injury. Ibid.
b. On remand, the district court entered summary judgment in favor of
respondent on petitioner's alternative claim that respondent was liable for
negligence as an owner of a "vessel" under the LHWCA, 33 U.S.C. 905(b). Pet.
App. 4. The court of appeals observed that respondent had conceded that the
Super Scoop was a "vessel" for purposes of Section 905(b), explaining that "the LHWCA's definition of 'vessel' is 'significantly more inclusive than that used
for evaluating seaman status under the Jones Act.'" Id. at 5 (quoting Morehead
v. Atkinson-Kiewit, 97 F.3d 603, 607 (1st Cir. 1996) (en banc)). The court
nonetheless affirmed the district court's conclusion that respondent's alleged
negligence was committed in respondent's capacity as an employer and thus
respondent was not liable as an owner of a vessel under 33 U.S.C. 905(b). Pet.
App. 5-14.
SUMMARY OF ARGUMENT
A. The term "vessel" should be given its generally established maritime
meaning at the time Congress passed both the Jones Act in 1920 and the LHWCA
shortly thereafter in 1927. At that time, a "vessel" was commonly defined with
reference to the generic definition of the term to "include[] every description
of watercraft or other artificial contrivance used, or capable of being used, as
a means of transportation on water." 1 U.S.C. 3. Congress also passed both
statutes against the background of maritime case law similarly construing the
term "vessel" to include all floating structures that have a transportation
function or practical capability and that do not serve in effect as an extension
of land.
There is no reason for a different construction of the term "vessel" for
purposes of the Jones Act and the LHWCA. Indeed, shortly after passage of the
LHWCA, this Court in Norton v. Warner Co., 321 U.S. 565, 571 & n.4 (1944),
relied on 1 U.S.C. 3 and general maritime case law in holding that a barge was a
vessel for purposes of the seaman exclusion under the LHWCA "even when [the
barge] has no motive power of its own, since it is a means of transportation on
water."
B. The court of appeals erred in determining that respondent's dredge, the
Super Scoop, was not a vessel in navigation for purposes of determining
petitioner's status as a seaman under the Jones Act. The term "vessel" does not
require a watercraft to have as its "primary" purpose a transportation function.
Rather, the correct test under 1 U.S.C. 3 and general maritime law is whether
the craft serves or is practically capable of serving a waterborne
transportation function such that it is not merely in effect an extension of
land. Nor does a watercraft's status as a vessel depend on whether the craft is
"in transit" at the time a worker is injured. Adoption of such a regime would
produce inequitable, unpredictable, and arbitrary results as it would cause
workers regularly exposed to the perils of navigation to move in and out of
seaman status depending on the fortuitous circumstance of whether the watercraft
was in motion at the time of injury.
Nothing in the requirement that the vessel be "in navigation" (Chandris, 515
U.S. at 373) supports the court of appeals' focus on a watercraft's "primary"
function or its engraftment of an "in transit" requirement for "vessel" (and
thus "seaman") status. A watercraft that serves a transportation function is a
vessel, and once she is placed in service, she remains in navigation until such
time as the vessel is removed from service for a significant period of time. Id.
at 373-374.
Summary judgment for respondent was in error because the undisputed facts
demonstrate that the Super Scoop was a vessel in navigation at the time of
petitioner's injury. She served as a "means of transportation on water," 1 U.S.C. 3, as she transported equipment and crew across the Boston Harbor to
perform her work of dredging. It is implausible to characterize the Super Scoop
as an essentially land-based structure, because her ability to transport
machinery over water from her home port to the site of the dredging project, as
well as to carry equipment and crew along the course of the project, were
essential to her ability to dredge. Because the Super Scoop regularly moved
across the navigable waters of the Boston Harbor, her workers were exposed to
the perils of navigation such as the type of collision with another vessel that
occurred in this case.
C. The conclusion that the Super Scoop is a vessel is supported by the
settled view, at the time Congress passed both the LHWCA and Jones Act, that
dredges were vessels. Indeed, this Court held in Ellis v. United States, 206
U.S. 246, 259 (1907), that "floating dredges" operating in Boston Harbor were
"vessels" whose workers were "seamen as that name commonly is used." There is no
indication in either statute that Congress intended to depart from that decision
or the numerous similar decisions of the lower courts holding dredges to be
vessels given their waterborne transportation of equipment and crew. Quite to
the contrary, the legislative history of the LHWCA indicates that Congress
understood that dredges were vessels whose workers were seamen entitled to sue
under the Jones Act.
ARGUMENT
RESPONDENT'S DREDGE TRANSPORTED EQUIPMENT AND CREW OVER WATER AND WAS
THEREFORE A "VESSEL IN NAVIGATION"
The court of appeals held that, for purposes of coverage under the Jones Act,
"a vessel in navigation" includes only those watercraft whose "primary" purpose
is navigation or transportation, unless the watercraft at issue was "in actual
navigation or transit" at the time of the injury. Pet. App. 27. The court of
appeals' decision departs from two well-established principles of maritime law
at the time of the passage of the LHWCA in 1927 and the Jones Act in 1920.
First, the general maritime definition of a vessel includes a watercraft that is
a means of transportation on water, regardless of her "primary" purpose or state
of transit at any given point in time. Second, maritime law has long considered
a dredge to be a vessel whose critical purpose and function is waterborne
transportation of crew and equipment. Because the dredge at issue in this case,
the Super Scoop, transported machinery to Boston Harbor for the "Big Dig"
project and transported crew and equipment as she dredged a trench, the dredge
was a vessel in navigation under the Jones Act.
A. "Vessel" Should Be Interpreted In Accordance With Its General Maritime
Meaning Of A Watercraft That Is A Means Of Transportation On Water
Although Congress did not define the term "seaman" when it enacted the Jones
Act in 1920, it gave "content" to the term in 1927 when it passed the LHWCA and
excluded from the Act's coverage a "master or member of a crew of any vessel,"
33 U.S.C. 902(3)(G), a phrase Congress intended to encompass Jones Act seamen,
i.e., those workers with an "employment-related connection to a vessel in
navigation." Chandris, 515 U.S. at 357. Neither the Jones Act nor the LHWCA
provides a meaningful definition of "vessel."
The term "vessel," however, is a
maritime term of art, and in the absence of a contrary indication Congress can
be assumed to have intended it to have its established meaning "under the
general maritime law." Wilander, 498 U.S. at 342; see Director, OWCP v.
Greenwich Collieries, 512 U.S. 267, 275 (1994) (interpreting "burden of proof"
"to have the meaning generally accepted in the legal community at the time of
enactment"). Thus, the term "vessel" should be given its generally established
meaning as of the time that Congress passed the Jones Act in 1920 and
"refine[d]" its meaning in 1927 through passage of the LHWCA. Wilander, 498 U.S.
at 347; see id. at 342 (assessing state of maritime law at time of Jones Act,
and concluding that it did not require a seaman's duties to aid in the
navigation of the vessel), 348 (determining that the LHWCA did not change
existing maritime rule).
1. The statutory definition of vessel
The appropriate starting point for determining whether a watercraft is a
"vessel" is the general definition set forth in 1 U.S.C. 3, entitled "'Vessel',
as including all means of water transportation." Under this Rules of
Construction definition, "[t]he word 'vessel' includes every description of
watercraft or other artificial contrivance used, or capable of being used, as a
means of transportation on water." 1 U.S.C. 3. That definition was first used by
Congress in an anti-smuggling statute, Act of July 18, 1866, ch. 201, § 1, 14
Stat. 178, and was incorporated into Section 3 of the Revised Statutes in 1874,
well before the passage of both the Jones Act and the LHWCA. Congress has
regularly employed the definition in 1 U.S.C. 3 "for the purpose of determining
the scope of various shipping and maritime transportation laws." Foremost Ins.
Co. v. Richardson, 457 U.S. 668, 676 (1982).
There is no indication in either the Jones Act or the LHWCA that Congress
intended to depart from the generic definition of vessel in Title 1. To the
contrary, this Court has already applied 1 U.S.C. 3 in a case arising under the
LHWCA. In Norton v. Warner Co., supra, the Court held that a bargeman was a
"member of the crew of a[] vessel," 33 U.S.C. 902(3)(G), and was therefore a
"seaman" excluded from coverage of the Act. The barge in that case "had no
motive power of its own, and was moved either by towing or for shorter
distances, by the winding up of a cable," and "never went to sea but was
confined in its operation to waters within a radius of thirty miles of
Philadelphia." 321 U.S. at 567. Citing 1 U.S.C. 3 and various general maritime
decisions, the Court held that "a barge is a vessel within the meaning of the
Act even when it has no motive power of its own, since it is a means of
transportation on water." 321 U.S. at 571 & n.4 (emphasis added). Norton
accordingly stands for the proposition that the 1 U.S.C. 3 definition of
"vessel" supplies the applicable standard for determining the scope of coverage
of the LHWCA (and thus the Jones Act as well).
2. The traditional maritime law understanding of "vessel"
The statutory definition of "vessel" is consistent with the use of the term
at maritime law to include all watercraft that have a transportation function or
practical capability and to exclude watercraft that function as an extension of
land. 1 Steven F. Friedell, Benedict on Admiralty § 165, at 10-10 (7th ed. 2003)
("There is no legally significant difference between the statutory definition of
the term 'vessel' and the meaning attributed to it by the general maritime law
as obtaining in this country."). Thus, it was well-settled by the time of the
passage of the Jones Act and the LHWCA that the salient factor in determining
whether a structure was a vessel was whether the structure was "an instrument of
naval transportation." 1 Erastus C. Benedict, The American Admiralty § 53, at 74
(5th ed. 1925); Robert M. Hughes, The Handbook of Admiralty Law § 5, at 14 (2d
ed. 1920) ("The character of craft included in the admiralty jurisdiction is any
movable floating structure capable of navigation and designed for
navigation.").
For instance, in Cope v. Vallette Dry Dock Co., 119 U.S. 625, 627 (1887),
this Court held that a drydock, a "fixed structure" "permanently moored" to
shore, was not a vessel subject to maritime salvage, because the drydock "was
not designed for navigation, and could not be practically used therefor." The
Court also observed that a ferry bridge, hinged or chained to a wharf, and a
floating meeting house, kept in place by surrounding pilings were "in the same
category." Ibid.; cf. Rodrigue v. Aetna Cas. & Sur. Co., 395 U.S. 352,
359-360 (1969) (treating fixed artificial island drilling platforms not as
vessels subject to admiralty law).
By contrast, in The Robert W. Parsons, 191 U.S. 17, 29-34 (1903), the Court
held that a canal boat drawn by horse power was a vessel subject to admiralty
jurisdiction, and in so ruling explained that "neither size, form, equipment,
nor means of propulsion are determinative factors upon the question of
jurisdiction, which regards only the purpose for which the craft was
constructed, and the business in which it is engaged." Id. at 30. The craft's
"purpose" and "business," the Court explained, must be that of navigation, id.
at 31, i.e., any carriage of persons or property on water. Thus, the Court
observed that the term had been broadly held to include "steamers * * * engaged
in carrying freight and passengers * * *, a barge, without sails or rudder, used
for transporting grain, [and] a floating elevator." Id. at 30 (citations
omitted). The Court concluded that a canal boat, a structure "engaged in
commerce and navigation," id. at 31, was distinct from land-like structures such
as a "dry dock," "ferry bridge or sailors' floating meeting house," which were
"no more used for the purposes of navigation than a wharf or a warehouse
projecting into or upon the water, id. at 34.
B. The Court Of Appeals Erred In Applying Its "Primary Function" and "Actual
Transit" Test To Conclude That Respondent's Dredge Was Not A Vessel In
Navigation
The court of appeals entered summary judgment on the question of the
Super
Scoop's vessel status by employing a standard under which a floating watercraft
is not a vessel in navigation unless its "primary" function is navigation or
transportation, or it is "in actual navigation or transit" at the time of a
worker's injury. Pet. App. 23, 27. Applying that standard, the court of appeals
concluded that the Super Scoop was not a vessel in navigation even though it
"moved with some regularity across navigable waters" and "possessed the commonly
understood characteristics of a vessel," such as compliance with the regulations
of the Coast Guard that apply to vessels. Id. at 26 n.3, 27. The court of
appeals reached that result by reasoning that "dredging is primarily a form of
construction" and that "[a]ny navigation or transportation that may be required
is incidental to this primary function." Id. at 27. That analysis was flawed in
several respects.
1. The court of appeals' standard was erroneous
Nothing in the statutory definition of vessel in 1 U.S.C. 3 or the general
understanding of the term at maritime law at the time Congress passed the Jones
Act and the LHWCA requires a court to determine a watercraft's "primary"
function or whether the craft "is in transit" at a particular point in time.
Pet. App. 27. Under the statutory definition and the settled meaning of the term
before the passage of the Jones Act and the LHWCA, the correct test is instead a
simple, bright-line inquiry into whether the watercraft has a waterborne
transportation function or practical capability. A watercraft that meets that
test is a vessel, and she is not deprived of that status simply because she
performs other functions, such as serving as a workplace or work platform for
workers to perform their duties (such as fishing or diving for treasure or
salvage). Manuel v. P.A.W. Drilling & Well Serv., Inc., 135 F.3d 344, 351
(5th Cir. 1998) ("[A] vessel can serve the dual function of transporting cargo,
equipment, or persons across navigable waters and acting as a work
platform.").
The fact that a watercraft may be temporarily stationary likewise does not
change the fundamental character of the watercraft as a waterborne means of
transportation. Thus, in Jerome B. Grubart, Inc. v. Great Lakes Dredge &
Dock Co., 513 U.S. 527, 535 (1995), the Court held that an anchored barge was
within federal admiralty jurisdiction: "Even though the barge was fastened to
the river bottom and was in use as a work platform at the times in question, at
other times it was used for transportation." Cf. Senko v. LaCrosse Dredging
Corp., 352 U.S. 370, 372 (1957) (upholding finding that worker on dredge was
seaman under Jones Act even though "the dredge was anchored to the shore at the
time of petitioner's injury" and "this dredge, like most dredges, was not
frequently in transit"; vessel status was not at issue). Nothing in the
statutory definition, the general maritime law, the Jones Act, or the LHWCA
provides any justification for limiting "vessel" status to a watercraft whose
"primary" function is navigation. A focus on a watercraft's "primary" purpose
(and whether its transportation function is "incidental" to that purpose),
moreover, would add a layer of unnecessary complexity for courts adjudicating
claims under both statutes, as well as for the Department of Labor that
administers the "master or member of a crew" exclusion under the LHWCA.
This Court has construed the Jones Act and the LHWCA to require an
employment-related connection to a vessel "in navigation," Wilander, 498 U.S.C.
at 354; Chandris, 515 U.S. at 373, but the "in navigation" requirement also does
not require a vessel to be "in transit" at the time of a worker's injury or to
have as its "primary" purpose that of navigation. The "in navigation"
requirement does not "narrowly or literally" require a vessel to be in motion or
"navigating in an operational sense" at a given point in time; rather, it
requires a vessel generally to have been placed in, and to remain in, service. 1
Robert Force & Martin J. Norris, The Law of Seamen § 2:17, at 2-91 (5th ed.
2003) (Law of Seamen).
Thus, "a vessel does not cease to be a vessel when she is not voyaging, but
is at anchor, berthed, or at dockside." Chandris, 515 U.S. at 373 (quoting
DiGiovanni, 959 F.2d at 1121). Rather, the vessel is "in navigation, although
moored to a dock, if it remains in readiness for another voyage." Id. at 374
(quoting 2 Law of Seamen § 30.13, at 364 (4th ed. 1985)). Indeed, a vessel
remains "in navigation" when placed in drydock or a shipyard for minor repairs.
Ibid.; 1 Law of Seamen, 2-91.
Accordingly, a watercraft that serves as a means
of transportation on water is a vessel and she remains in navigation as long as
she is in service, notwithstanding the fact that at various times she serves as
a stationary workplace for her crew.
The court of appeals' focus on whether a watercraft is "in actual navigation
or transit" at the time of injury also conflicts with the "fundamentally status
based" inquiry under the Jones Act. Chandris, 515 U.S. at 361. "In evaluating
the employment-related connection of a maritime worker to a vessel in
navigation, courts should not employ a 'snapshot' test for seaman status,
inspecting only the situation as it exists at the instant of injury; a more
enduring relationship is contemplated in the jurisprudence." Id. at 363
(internal quotation marks omitted). A contrary regime would "engraft[] upon the
statutory classification of 'seamen' a judicial gloss so protean, elusive, or
arbitrary as to permit a worker to walk into and out of coverage in the course
of his regular duties." Ibid. (internal quotation marks omitted). Indeed,
Chandris also makes clear that "maritime workers who obtain seaman status" do
not automatically lose their status simply because they are injured off the
ship. 515 U.S. at 360. A fortiori, a worker with a sufficient connection to a
watercraft that is a vessel does not lose his seaman status simply because the
craft is not in movement at the time of the injury.
The standard employed by the court of appeals, however, permits a craft to
move in and out of vessel status depending on whether the craft is in transit,
even though the worker may be performing the exact same functions and exposed to
the same water-based risks whether or not the craft is in motion at the time of
an accident. DiGiovanni, 959 F.2d at 1128 (Torruella, J., dissenting)
(majority's standard would "lead to much uncertainty as the same object may be a
vessel or non-vessel from moment to moment" and the "same person, doing the same
work, on the same object will receive different legal treatment depending on a
totally fortuitous condition"). Thus, had petitioner been injured on the Super
Scoop while it was in transit anywhere in the Boston Harbor, he would apparently
have been considered a seaman. The court of appeals' regime therefore undermines
the "interests of employers and maritime workers alike in being able to predict
who will be covered by the Jones Act (and, perhaps more importantly for purposes
of the employers' workers' compensation obligations, who will be covered by the LHWCA) before a particular work day begins."
Harbor Tug & Barge, 520 U.S. at
558 (quoting Chandris, 515 U.S. at 363).
2. The Super Scoop was a vessel in navigation
The court of appeals erred in holding that no trier of fact could conclude
that the Super Scoop was a vessel in navigation. The undisputed facts show the
contrary: the Super Scoop was a watercraft that was in service as a "means of
transportation on water." 1 U.S.C. 3. Respondent used the Super Scoop not only
as a means of transporting equipment from worksite to worksite but also as a
means of transporting equipment and crew as she moved through the Boston Harbor
to conduct the dredging operations. As the First Circuit recognized, the Super
Scoop's "function was to move through Boston Harbor, from East Boston to South
Boston, digging the ocean bottom as it moved." Pet. App. 2 (decision following
remand, emphasis added); accord Dan McNichol, The Big Dig 56 (2000) ("The
Super
Scoop's mission: to begin digging a 50-foot-deep, 100-foot-wide, 3/4-mile-long
trench below the surface of Boston Harbor."). To that end, "[t]he Super Scoop
typically move[d] once every two hours, covering a distance of thirty to fifty
feet." Pet. App. 17; see generally 9 The Encyclopedia Americana, supra, at 374
("After the dredge has removed all of the material it can reach," and spuds
holding the dredge in place are raised, "the dredge is moved ahead 5 to 10 feet
* * * to the next position by pulling on anchor lines, by placing the dipper
ahead and drawing in on it, or by using a tug."). That "mobility was essential
to the work it was designed and built to perform." Manuel, 135 F.3d at 351.
The court of appeals thus erred in concluding that the
Super Scoop served as
an "extension of land" because "at bottom, dredging is primarily a form of
construction." Pet. App. 27. That reasoning erroneously conflates the status of
a vessel as a waterborne means of transportation with the particular use or
purpose for which the vessel and her equipment and workers are employed. "The
art of dredging refers to the submarine excavation of soils (sediment) and
bedrock, and a dredger can be regarded as a vessel incorporating specialised
machinery for such an operation." Conway's History of the Ship: The Shipping
Revolution 147 (Conway Maritime Press 1992); accord 9 The Encyclopedia
Americana, supra, at 373 (A dredge is "a barge or other vessel equipped for
digging mud, sand, rock, and other deposits from the bottoms of waterways. The
major purpose of dredging is to maintain clear channels."); Alfred Dudszus &
Ernest Henriot, Dictionary of Ship Types 94 (Conway Maritime Press 1986) (giving
history of a dredger and defining it as "[a] vessel designed for scouring and
deepening channels and anchorages * * *; it carried machinery powered by men or
natural forces to enable it to carry out its tasks").
Here, respondent may have been engaged in a project relating to the
construction of the Ted Williams Tunnel, but it used a vessel to complete the
job. The Super Scoop operated away from shore and its mobility over water was
essential to its purpose and use. It cannot be said that the Super Scoop
"performed no function that might not have been performed as well by an
appropriate structure on the land and by a floating stage or platform
permanently attached to the land." Evansville & Bowling Green Packet Co. v. Chero Cola Bottling Co., 271 U.S. 19, 22 (1926). Quite to the contrary, it is
difficult to imagine how the Super Scoop would have been of any utility to
respondent without the ability to transport its machinery, equipment, and crew
across the Boston Harbor.
Presumably for the above reasons, respondent concedes that the
Super Scoop is
a "vessel" whose owner may be liable for negligence to longshoremen under 33 U.S.C. 905(b). Pet. App. 5; Br. in Opp. 4-5. But the term "vessel" should have
the same meaning in the seaman exclusion of Section 902(3)(G) of the same Act,
under the presumption that "identical words used in different parts of the same
act are intended to have the same meaning." Gustafson v. Alloyd Co., 513 U.S.
561, 570 (1995). The First Circuit has suggested that Section 905(b) may have a
broader scope than the seaman exclusion under Section 902(3)(G) because the
latter provision, as construed by this Court in Wilander, 498 U.S. at 354,
requires a vessel to be "in navigation." Morehead, 97 F.3d at 607 & n.3.
Presumably, however, Section 905(b) similarly carries with it an "in navigation"
requirement. See Richendollar v. Diamond M. Drilling Co., 819 F.2d 124, 125,
127-128 (5th Cir.) (holding that a jackup drilling rig "positioned [in shipyard]
on blocks, on land" that "was approximately 85% complete" on date of accident
was "not a vessel within the admiralty jurisdiction of the federal courts and
thus not covered by Section 905(b)"), cert. denied, 484 U.S. 944 (1987). In any
event, any such distinction would not aid respondent in this case. At the time
of petitioner's injury, the Super Scoop was plainly "in navigation" since she
was fully operational in her mission to dig a trench across the Boston
Harbor.
The conclusion that the Super Scoop is a vessel in navigation also is fully
consistent with the "clear distinction" Congress drew between "land-based
workers" under the LHWCA, "whose employment does not regularly expose them to
the perils of the sea," Chandris, 515 U.S. at 368, and "sea-based maritime
workers" under the Jones Act, who "owe their allegiance to a vessel and not
solely to a land-based employer," Wilander, 498 U.S. at 348. Petitioner spent
"[n]inety-nine percent of his time while on the job" aboard the Super Scoop
(C.A. App. 27 (Def's Mem. in Support of Sum. J.)) in navigable waters of the
United States and was subject to the same risks of injury as other seamen.
Indeed, petitioner was injured in a traditional maritime accident when the Super
Scoop collided with one of its scows in the Boston Harbor. Compare The Virginia Ehrman, 97 U.S. 309, 310 (1878) (owner of a steam-dredge was an owner of a
vessel who was entitled to recover under admiralty law when it collided with two
other vessels while dredge was "carefully and skillfully anchored, with three
anchors properly set to keep her in position to prosecute her work"). Moreover,
because petitioner worked as a marine engineer on the Super Scoop while she
moved equipment and crew across the Boston Harbor, petitioner "encounter[ed]
perils of navigation to which craft used for transportation are exposed."
Evansville, 271 U.S. at 22.
C. Classifying A Dredge As A Vessel Is Supported By Settled Maritime Law At
The Time Congress Passed The Jones Act and LHWCA
1. Pre-enactment case law
Congress passed both the Jones Act and the LHWCA against the settled
background principle that dredges were vessels whose workers could be seamen. In
Ellis, supra, the Court found that workers on dredges and scows used to dig a
portion of a 35-foot channel in the Boston Harbor were "seamen as that name
commonly is used" and therefore were excluded from a statute limiting the daily
work hours of certain "laborers and mechanics." 206 U.S. at 259. The Court held
that "[t]he scows and floating dredges were vessels" that "were within the
admiralty jurisdiction of the United States." Ibid. (emphasis added). The Court
relied upon, inter alia, Section 3 of the Revised Statutes (1875 ed.) (now
codified as 1 U.S.C. 3) and the Court's decision in The Robert W. Parsons,
supra. See 206 U.S. at 259.
The Court in Ellis, 206 U.S. at 259, also relied on "[a] number of cases as
to dredges in the circuit and district courts" referenced in Bowers Hydraulic
Dredging Co. v. Federal Contracting Co., 148 F. 290 (S.D.N.Y. 1906). That case
in turn had listed eight decisions cited for the proposition that "it is settled
law that a court of admiralty has jurisdiction over dredges." Id. at 292. Those
decisions uniformly treated dredges as vessels. One such case, Saylor v. Taylor,
77 F. 476, 477 (4th Cir. 1896), was also cited with approval in Ellis (206 U.S.
at 260), and held that a mud dredge with "no natural powers of propulsion" was a
vessel under Section 3 of the Revised Statutes whose workers were entitled to a
maritime lien for their services. The Fourth Circuit explained that the dredge's
occupation was to "transport from place to place the steam shovel placed upon
her * * * and the engine and hands employed on her, and to maintain them afloat
in her work of deepening channels in navigable waters."
Another such case was
the Third Circuit's decision in The International, 89 F. 484 (1898), which
likewise held that a dredge was a vessel under Section 3 of the Revised Statutes
because the dredge's "permanent home was on navigable water, and it was intended
and adapted for navigation and transportation by water of its crew, supplies and
machinery, from point to point, in carrying on the work of deepening and
removing obstruction from channels and harbors in aid of navigation and
commerce." Id. at 485.
The remaining decisions cited in
Bowers Hydraulic Dredging Co. are to similar
effect. See McMaster v. One Dredge, 95 F. 832, 834 (D. Or. 1899) ("a dredge
capable of being moved from place to place on navigable waters, and of the
transportation to place of machinery, or sand and gravel taken from the bottom
of rivers, is a vessel, and * * * subject to [an admiralty] lien" for materials
and supplies); McRae v. Bowers Dredging Co., 86 F. 344, 348 (D. Wash. 1898)
(dredge is a maritime vessel subject to a lien for wages earned by its workers;
dredge "has mobility, and her element is the water. She can be used afloat, and
not otherwise. She has carrying capacity, and her employment has direct
reference to commerce and navigation"); The Starbuck, 61 F. 502 (E.D. Pa. 1894)
("That a dredge and her scows are to be treated as one concern, and are subject
to the admiralty jurisdiction has been several times decided, and I think
rightly."); The Atlantic, 53 F. 607, 608 (D. S.C. 1893) ("Dredges and scows are
subject to a maritime lien for services rendered."); Aitcheson v. The Endless Chain Dredge, 40 F. 253,
254 (E.D. Va. 1889) ("As to the question whether a steam-dredge, which is a
floating scow fitted with steam appliances, buckets, and scoop, for deepening
channels of navigation and like purposes, is a subject of admiralty
jurisdiction, there have been repeated decisions in the United States and Great
Britain in the affirmative."); The Pioneer, 30 F. 206, 207 (E.D.N.Y. 1886)
(dredge was "used in naval transportation when she transported from place to
place the steam-shovel and engine and maintained the same afloat on navigable
water"); The Alabama, 22 F. 449, 451 (S.D. Ala. 1884) (finding that a dredge and
her two scows were together engaged in the business of "transportation by
water-craft" and that dredge alone is a vessel because it "navigated from one
place to another" and "remov[ed] obstructions in the way of commerce by
water").
Congress in passing both the Jones Act and the LHWCA was presumably aware of
the Court's decision in Ellis and the numerous decisions of the lower courts
holding that dredges were vessels. Congress accordingly must have intended that
a dredge could be a vessel whose workers were seamen excluded under the LHWCA
and therefore covered under the Jones Act. Bowen v. Massachusetts, 487 U.S. 879,
896 (1988) (interpreting statute in light of "well-settled presumption that
Congress understands the state of existing law when it legislates"); see Wilander, 498 U.S. at 342 ("[W]e assume that when a statute uses [a maritime
term of art], Congress intended it to have its established meaning.").
2. The legislative history of the LHWCA
Classifying a dredge as a vessel is also consistent with the legislative
history of the LHWCA. The bill that became the LHWCA, S. 3170, "originally
excluded a master or members of a crew of a vessel, but was amended so as to
extend to them the benefits of compensation." Nogueira v. New York, New Haven
& Hartford R.R., 281 U.S. 128, 136 (1930); see H.R. Rep. No. 1767, 69th
Cong. 2d Sess. 20 (1927). The House thus reported a bill that would have
included seamen by extending the coverage of the Act to "any maritime employment
performed * * * [a]s master or member of a crew of a barge, lighter, tug,
dredge, vessel, or other ocean, lake, river, canal, harbor, or floating craft."
Id. at 2 (emphasis added). As the House Report explains, the bill was drafted
"so as to provide the benefits of compensation to seamen, or, to use the
language of the bill, 'to masters and members of the crew.'" Id. at 20. After
the seamen affected by the bill expressed their bitter opposition to their
inclusion in the Act and preference for retaining their remedies under the Jones
Act, the House amended the bill, and Congress passed the final bill to exclude
"a master or a member of a crew of any vessel." 68 Cong. Rec. 5403, 5900, 5908
(1927); Nogueira, 281 U.S. at 134; Warner v. Goltra, 293 U.S. 155, 160
(1934).
Although the final language of the Act excluded seamen by employing the
phrase "any vessel" instead of the earlier phrase "a barge, lighter, tug,
dredge, vessel, or other ocean, lake, river, canal, harbor, or floating craft,"
Congress presumably intended that the shorter and equally comprehensive phrase
"any vessel" would encompass all of the illustrative watercraft included in the
House version of the bill, such as barges, tugs, and dredges. In enacting the LHWCA's exclusion of "a master or member of a crew of any vessel," Congress
intended to remove from LHWCA coverage the same class of workers-seamen-that had
been initially included in the bill reported by the House Judiciary Committee.
E.g., 69 Cong. Rec. at 5403 (responding to question about committee report's
statement that the bill provides compensation benefits to seamen, Rep. Graham
stated that "[t]his is an amendment taking the seamen out"). Because the
language in the final bill defining seamen was considered to be synonymous with
that in the reported bill, the reported bill's reference to a "dredge" is a
clear indication that Congress understood that the phrase "any vessel" in the
final enactment would include a watercraft such as a dredge. That conclusion is
particularly warranted in light of the generally established view under maritime
law at the time of the LHWCA's enactment that dredges were vessels. See pp.
24-27, supra.
CONCLUSION
The judgment of the court of appeals should be reversed.
Respectfully submitted.
THEODORE B. OLSON Solicitor General
THOMAS G. HUNGAR
Deputy
Solicitor General
LISA S. BLATT Assistant to the Solicitor
General
HOWARD M. RADZELY
Solicitor of Labor
ALLEN H. FELDMAN Associate Solicitor
MARK S. FLYNN
Senior Appellate Attorney Department of
Labor
MAY 2004
Footnotes
The Coast Guard's certificate of inspection provided that the
Super Scoop
was required to be unmanned while in oceans but that the "vessel may carry up to
10 industrial personnel when operating on protected waters in Boston Harbor
between East Boston and South Boston." C.A. App. 266 (12/12/91 Certificate of
Inspection). The certificate also authorized the Super Scoop to carry up to 466
short tons of deck cargo. Ibid.
The Jones Act does not employ the term "vessel." 46 U.S.C. App. 688(a). The
LHWCA contains a definition of "vessel" that provides:
Unless the context requires otherwise, the term "vessel" means any vessel
upon which or in connection with which any person entitled to benefits under
this chapter suffers injury or death arising out of or in the course of his
employment, and said vessel's owner, owner pro hac vice, agent, operator,
charter or bare boat charterer, master, officer, or crew member.
33 U.S.C. 902(21). Unlike the master or crew member provision of 33 U.S.C.
902(3)(G), which was enacted as part of the original 1927 Act, the quoted
definition was adopted as part of the 1972 Amendments to the Act (Act of Oct.
27, 1972, Pub. L. No. 92-576, § 18(a), 86 Stat. 1263) in conjunction with the
third-party vessel owner provision of 33 U.S.C. 905(b). The definition
elaborates on the persons who can be held responsible for the negligent
operation of a vessel, but provides no guidance on the requisite elements of a
"vessel" itself. McCarthy v. The Bark Peking, 716 F.2d 130, 133 (2d Cir. 1983)
(LHWCA's definition of vessel is "circular" and "[o]bviously * * * does not
provide precise guidance"), cert. denied, 465 U.S. 1078 (1984).
Similar definitions are employed in other statutes. See 16 U.S.C. 916(e);
18 U.S.C. 553(c)(3); 18 U.S.C. 3667; 19 U.S.C. 1401(a); 22 U.S.C. 456(c); 26
U.S.C. 5688(c); 33 U.S.C. 1321(a)(3); 33 U.S.C. 1502(18); 33 U.S.C. 1601(1); 33
U.S.C. 2003(a); 33 U.S.C. 2402(11); 33 U.S.C. 2701(37); 42 U.S.C. 201(i); 42
U.S.C. 9601(28); 46 U.S.C. App. 801; 47 U.S.C. 153(39)(A); 49 U.S.C. 80301(3);
49 U.S.C. 13102(21).
The definition of "vessel" does not sweep in every structure theoretically
capable of serving in some fashion as a conveyance over water at some point. In
Evansville & Bowling Green Packet Co. v. Chero Cola Bottling Co., 271 U.S.
19, 22 (1926), the Court held that a wharfboat secured to the shore by cables
was not a vessel under 1 U.S.C. 3 because the wharfboat "was not practically
capable of being used as a means of transportation." The Court further
explained:
It served * * * as an office, warehouse and wharf, and was not taken from
place to place. The connections with the water, electric light and telephone
systems of the city evidence a permanent location. It performed no function that
might not have been performed as well by an appropriate structure on the land
and by a floating stage or platform permanently attached to the land. It did not
encounter perils of navigation to which craft used for transportation are
exposed.
Ibid. Similarly, the Coast Guard, which regulates vessels as defined in 1 U.S.C. 3 (see 46 U.S.C. 2101(45)), has explained that a "vessel taken out of
transportation and permanently moored (or a PMV) falls somewhere between a
statutory definition of a vessel and a building or land structure and is deemed
to be substantially a land structure" that is best regulated by "appropriate
standards enforced by local building codes, fire marshals and other
jurisdictions." 2 U.S. Coast Guard, USCG Marine Safety Manual B4-44 (2000)
(internal quotation marks omitted). "Some examples of such PMVs are showboats,
theaters, hotels, gaming sites, restaurants, museums, and business offices on a
barge." Ibid.
"At some point, however, repairs become sufficiently significant that the
vessel can no longer be considered in navigation." Chandris, 515 U.S. at 374;
see, e.g., West v. United States, 361 U.S. 118, 122 (1959) ("The Mary Austin, as
anyone could see, was not in maritime service. She was undergoing major repairs
and complete renovation."); Roper v. United States, 368 U.S. 20, 21, 23 (1961)
(SS Harry Lane had "withdrawn from navigation" when she "was deactivated from
service and 'mothballed'" and "lost her Coast Guard safety certification as well
as her license to operate."); cf. 46 C.F.R. 90.05-1(a)(1) (exempting from Coast
Guard regulations "[a]ny vessel while laid up and dismantled and out of
commission").
The question presented seeks the Court's resolution of "[w]hat is the legal
standard for determining whether a special purpose watercraft (such as a dredge)
is a Jones Act 'vessel'" (Pet. i) and does not expressly mention the "in
navigation" requirement. The phrase "Jones Act 'vessel'" is best understood,
however, as synonymous with a "vessel in navigation." In any event, because (a)
the court of appeals framed the issue as whether the Super Scoop was a "vessel
in navigation" (Pet. App. 20-29), (b) the body of the petition raises the issue
(Pet. 6-7 n.3), and (c) the "in navigation" requirement is so intertwined with
the vessel-status of a watercraft, the issue of whether the Super Scoop was "in
navigation" is fairly encompassed within the question presented. Sup. Ct. R.
14.1(a); e.g., Kolstad v. American Dental Ass'n, 527 U.S. 526, 540 (1999);
Ohio
v. Robinette, 519 U.S. 33, 38 (1996); Lebron v. National R.R. Passenger Corp.,
513 U.S. 374, 382 (1995).
This Court often has used the phrase "perils of the sea" to describe the
hazards to which seaman are exposed. E.g., Harbor Tug & Barge, 520 U.S. at
560 (emphasis added). That phrase, of course, encompasses the hazards posed by
being away from shore in "navigable waters" of the United States. Swanson v. Marra Bros., 328 U.S. 1, 7 (1946); see, e.g.,
Senko, 352 U.S. at 372-374
(Mississippi River); O'Donnell v. Great Lakes Dredge & Dock Co., 318 U.S.
36, 38 (1943) (Lake Michigan); Norton, 321 U.S. at 567 (vessel "never went to
sea").
The court observed:
[I]t seems a stretch of the imagination to class the deck hands of a mud
dredge in the quiet waters of a Potomac creek with the bold and skillful
mariners who breast the angry waves of the Atlantic; but such and so
far-reaching are the principles which underlie the jurisdiction of the courts of
admiralty that they adapt themselves to all the new kinds of property and new
sets of operatives and new conditions which are brought into existence in the
progress of the world.
Saylor v. Taylor, 77 F. at 479.
There were additional decisions pre-dating the Jones Act and the LHWCA that
had held a dredge to be a vessel. E.g., Richmond Dredging Co. v. Standard Am.
Dredging Co., 208 F. 862, 866 (9th Cir. 1913) (holding that a dredge "is the
subject of admiralty jurisdiction"); North Am. Dredging Co. v. Pacific Mail S.S.
Co., 185 F. 698, 702 (9th Cir. 1911) ("A floating dredger capable of carrying
her own machinery and implements and working crew, when employed as an aid to
commerce in deepening navigable channels and harbors, is subject to the maritime
law."); The Steam Dredge No. 6, 222 F. 576 (S.D.N.Y. 1915) ("though the dredge
had no motive power, * * * she nevertheless was used at the time of the mishap
in deepening the waterway for vessels engaged in interstate commerce and was
carrying her machinery from place to place, and was therefore subject to
maritime liens and risks"); see Hughes, supra, at 15 (observing that there are
"many cases extending the jurisdiction over dredges," including "those which
lift the mud by dippers, and deposit it in scows to be towed away"); see also City of L.A. v. United Dredging Co., 14 F.2d 364, 366 (9th Cir. 1926) (dredges
are vessels, and engineers employed upon them are "clearly seamen" within the
meaning of federal statutes, and thus beyond the authority of city licensing
ordinances) (cited with approval in Norton, 321 U.S. at 571); cf. In re
Hydraulic Steam Dredge No. 1, 80 F. 545, 556 (7th Cir. 1897) (declining to
resolve whether the term "vessel" encompassed a steam dredge that discharged
material through pipes upon shore for the creation of a land embankment but
concluding contract at issue was not maritime in nature).
As indicated in the text, some of the early decisions involved dredges
that had deepened or widened harbors and rivers for navigation by other vessels,
whereas the Super Scoop was deepening and widening the Boston Harbor for the
placement of a vehicular tunnel. None of the early decisions, however, indicates
that the vessel status of a dredge depended on its use in aiding the
transportation function of other vessels, and the statutory definition in 1 U.S.C. 3 imposes no such requirement. Rather, the inquiry is whether the dredge
is a means of water transportation. McMaster, 95 F. at 833 ("The reason * * *
for holding that the dredge [i]s a vessel * * * is because she [i]s constructed
so as to move from place to place upon navigable waters."). Moreover, any
standard that would turn on the specific purpose for which the dredge was
deepening or widening a body of navigable water would create the type of
"snapshot" regime eschewed in Chandris, 515 U.S. 363, by making a dredge's
vessel status vary from project to project, even though a worker's connection to
the vessel, and risks from the perils of navigation, may remain the same.
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