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SUPREME COURT OF THE UNITED STATES
_________________
No. 11–626
_________________
FANE LOZMAN, PETITIONER
v. THE CITY OF
RIVIERA BEACH, FLORIDA
on writ of certiorari to the united states
court of appeals for the eleventh circuit
[January 15, 2013]
Justice Breyer delivered the opinion of the
Court.
The Rules of Construction Act defines a “vessel”
as in- cluding “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. The question
before us is whether petitioner’s floating home (which is not
self-propelled) falls within the terms of that definition.
In answering that question we focus primarily
upon the phrase “capable of being used.” This term encompasses
“practical” possibilities, not “merely . . . theoretical”
ones.
Stewart v.
Dutra Constr. Co.,
543 U.S.
481, 496 (2005). We believe that a reasonable observer, looking
to the home’s physical characteristics and activities, would not
consider it to be designed to any practical degree for carrying
people or things on water. And we consequently conclude that the
floating home is not a “vessel.”
I
In 2002 Fane Lozman, petitioner, bought a
60-foot by 12-foot floating home. App. 37, 71. The home consisted
of a house-like plywood structure with French doors on three sides.
Id., at 38, 44. It contained a sitting room, bedroom,
closet, bathroom, and kitchen, along with a stairway leading to a
second level with office space.
Id., at 45–66. An empty
bilge space underneath the main floor kept it afloat.
Id.,
at 38. (See Appendix,
infra, for a photograph.) After buying
the floating home, Lozman had it towed about 200 miles to North Bay
Village, Florida, where he moored it and then twice more had it
towed between nearby marinas. In 2006 Lozman had the home towed a
further 70 miles to a marina owned by the city of Riviera Beach
(City), respondent, where he kept it docked. Brief for Respondent
5.
After various disputes with Lozman and
unsuccessful efforts to evict him from the marina, the City brought
this federal admiralty lawsuit
in rem against the floating
home. It sought a maritime lien for dockage fees and damages for
trespass. See Federal Maritime Lien Act, 46 U. S. C.
§31342 (authorizing federal maritime lien against vessel to collect
debts owed for the provision of “necessaries to a vessel”); 28
U. S. C. §1333(1) (civil admiralty jurisdiction). See
also
Leon v.
Galceran, 11 Wall. 185 (1871);
The
Rock Island Bridge, 6 Wall. 213, 215 (1867).
Lozman, acting
pro se, asked the District
Court to dismiss the suit on the ground that the court lacked admi-
ralty jurisdiction. See 2 Record, Doc. 64. After summary judgment
proceedings, the court found that the floating home was a “vessel”
and concluded that admiralty jurisdiction was consequently proper.
Pet. for Cert. 42a. The judge then conducted a bench trial on the
merits and awarded the City $3,039.88 for dockage along with $1 in
nominal damages for trespass.
Id., at 49a.
On appeal the Eleventh Circuit affirmed.
Riviera Beach v.
That Certain Unnamed Gray, Two-Story
Vessel Approximately Fifty-Seven Feet in Length, 649 F.3d 1259
(2011). It agreed with the District Court that the home was a
“vessel.” In its view, the home was “capable” of movement over
water and the owner’s subjective intent to remain moored
“indefinitely” at a dock could not show the con- trary.
Id.,
at 1267–1269.
Lozman sought certiorari. In light of
uncertainty among the Circuits about application of the term
“capable” we granted his petition. Compare
De La Rosa v.
St. Charles Gaming Co.,
474 F.3d 185, 187 (CA5 2006) (structure is not a “vessel” where
“physically,” but only “theoretical[ly],” “capable of sailing,” and
owner intends to moor it indef- initely as floating casino), with
Board of Comm’rs of Or- leans Levee Dist. v.
M/V Belle of
Orleans, 535 F.3d 1299, 1311–1312 (CA11 2008) (structure is a
“vessel” where capable of moving over water under tow, “albeit to
her detriment,” despite intent to moor indefinitely). See also 649
F. 3d, at 1267 (rejecting views of Circuits that “ ‘focus
on the intent of the shipowner’ ”).
II
At the outset we consider one threshold
matter. The District Court ordered the floating home sold to
satisfy the City’s judgment. The City bought the home at public
auction and subsequently had it destroyed. And, after the parties
filed their merits briefs, we ordered further briefing on the
question of mootness in light of the home’s destruction. 567
U. S. ___ (2012). The parties now have pointed out that, prior
to the home’s sale, the District Court ordered the City to post a
$25,000 bond “to secure Mr. Lozman’s value in the vessel.” 1
Record, Doc. 20, p. 2. The bond ensures that Lozman can obtain
monetary relief if he ultimately prevails. We consequently agree
with the parties that the case is not moot.
III
A
We focus primarily upon the statutory phrase
“capable of being used . . . as a means of transportation
on water.” 1 U. S. C. §3. The Court of Appeals found that
the home was “capable” of transportation because it could float, it
could proceed under tow, and its shore connections (power cable,
water hose, rope lines) did not “ ‘rende[r]’ ” it
“ ‘practically incapable of transportation or
movement.’ ” 649 F. 3d, at 1266 (quoting
Belle of
Orleans,
supra, at 1312, in turn quoting
Stewart,
543 U. S., at 494). At least for argument’s sake we agree with
the Court of Appeals about the last-mentioned point, namely that
Lozman’s shore connections did not “ ‘render’ ” the home
“ ‘practically incapable of transportation.’ ” But unlike
the Eleventh Circuit, we do not find these considerations (even
when combined with the home’s other characteristics) sufficient to
show that Lozman’s home was a “vessel.”
The Court of Appeals recognized that it had
applied the term “capable” broadly. 649 F. 3d, at 1266.
Indeed, it pointed with approval to language in an earlier case,
Burks v.
American River Transp. Co., 679 F.2d 69
(1982), in which the Fifth Circuit said:
“ ‘No doubt the three men in a tub
would also fit within our definition, and one probably could make a
convincing case for Jonah inside the whale.’ ” 649 F. 3d,
at 1269 (brackets omitted) (quoting
Burks,
supra, at
75).
But the Eleventh Circuit’s interpretation is too
broad. Not
every floating structure is a “vessel.” To state
the obvious, a wooden washtub, a plastic dishpan, a swimming
platform on pontoons, a large fishing net, a door taken off its
hinges, or Pinocchio (when inside the whale) are not “vessels,”
even if they are “artificial contrivance[s]” capable of floating,
moving under tow, and incidentally carrying even a fair-sized item
or two when they do so. Rather, the statute applies to an
“artificial contrivance . . . capable of being used
. . .
as a means of transportation on water.” 1
U. S. C. §3 (emphasis added). “[T]ransportation” involves
the “conveyance (of things or persons) from one place to another.”
18 Oxford English Dictionary 424 (2d ed. 1989) (OED). Accord, N.
Webster, An American Dictionary of the English Language 1406 (C.
Goodrich & N. Porter eds. 1873) (“[t]he act of transporting,
carrying, or conveying from one place to another”). And we must
apply this definition in a “practical,” not a “theoretical,” way.
Stewart,
supra, at 496. Consequently, in our view a
structure does not fall within the scope of this statutory phrase
unless a reasonable observer, looking to the home’s phys- ical
characteristics and activities, would consider it designed to a
practical degree for carrying people or things over water.
B
Though our criterion is general, the facts of
this case illustrate more specifically what we have in mind. But
for the fact that it floats, nothing about Lozman’s home suggests
that it was designed to any practical degree to transport persons
or things over water. It had no rudder or other steering mechanism.
649 F. 3d
, at 1269. Its hull was unraked,
ibid.,
and it had a rectangular bottom 10 inches below the water. Brief
for Petitioner 27; App. 37. It had no special capacity to generate
or store electricity but could obtain that utility only through
ongoing connections with the land.
Id., at 40. Its small
rooms looked like ordinary nonmaritime living quarters. And those
inside those rooms looked out upon the world, not through
watertight portholes, but through French doors or ordinary windows.
Id., at 44–66.
Although lack of self-propulsion is not
dispositive,
e.g., The Robert W. Parsons,
191 U.S.
17, 31 (1903), it may be a relevant physical characteristic.
And Lozman’s home differs significantly from an ordinary houseboat
in that it has no ability to propel itself. Cf. 33 CFR §173.3
(2012) (“Houseboat means a
motorized vessel . . .
designed primarily for multi-purpose accommodation spaces with low
freeboard and little or no foredeck or cockpit” (emphasis added)).
Lozman’s home was able to travel over water only by being towed.
Prior to its arrest, that home’s travel by tow over water took
place on only four occasions over a period of seven years.
Supra, at 2. And when the home was towed a significant
distance in 2006, the towing company had a second boat follow
behind to prevent the home from swinging dangerously from side to
side. App. 104.
The home has no other feature that might suggest
a design to transport over water anything other than its own
furnishings and related personal effects. In a word, we can find
nothing about the home that could lead a reasonable observer to
consider it designed to a practical degree for “transportation on
water.”
C
Our view of the statute is consistent with its
text, precedent, and relevant purposes. For one thing, the
statute’s language, read naturally, lends itself to that
interpretation. We concede that the statute uses the word “every,”
referring to “
every description of watercraft or other
artificial contrivance.” 1 U. S. C. §3 (emphasis added).
But the term “contrivance” refers to “something contrived for, or
employed in contriving to effect a purpose.” 3 OED 850 (def. 7).
The term “craft” explains that purpose as “water carriage and
transport.”
Id., at 1104 (def. V(9)(b)) (de- fining “craft”
as a “vesse[l] . . . for” that purpose). The ad-dition of
the word “water” to “craft,” yielding the term “watercraft,”
emphasizes the point. And the next few words, “used, or capable of
being used, as a means of transportation on water,” drive the point
home.
For another thing, the bulk of precedent
supports our conclusion. In
Evansville & Bowling Green
Packet Co. v.
Chero Cola Bottling Co.,
271 U.S.
19 (1926), the Court held that a wharfboat was
not a
“vessel.” The wharfboat floated next to a dock; it was used to
transfer cargo from ship to dock and ship to ship; and it was
connected to the dock with cables, utility lines, and a ramp.
Id., at 21. At the same time, it was capable of being towed.
And it was towed each winter to a harbor to avoid river ice.
Id., at 20–21. The Court reasoned that, despite the annual
movement under tow, the wharfboat “was not used to carry freight
from one place to another,” nor did it “encounter perils of
navigation to which craft used for transportation are exposed.”
Id., at 22. (See Appendix,
infra, for photograph of a
period wharfboat).
The Court’s reasoning in
Stewart also
supports our conclusion. We there considered the application of the
statutory definition to a dredge. 543 U. S., at 494. The
dredge was “a massive floating platform” from which a suspended
clamshell bucket would “remov[e] silt from the ocean floor,”
depositing it “onto one of two scows” floating alongside the
dredge.
Id., at 484. Like more traditional “seagoing
vessels,” the dredge had,
e.g., “a captain and crew,
navigational lights, ballast tanks, and a crew dining area.”
Ibid. Unlike more ordinary vessels, it could navigate only
by “manipulating its anchors and cables” or by being towed.
Ibid. Nonetheless it did move. In fact it moved over water
“every couple of hours.”
Id., at 485.
We held that the dredge was a “vessel.” We wrote
that §3’s definition “merely codified the meaning that the term
‘vessel’ had acquired in general maritime law.”
Id., at 490.
We added that the question of the “watercraft’s use ‘as a means of
transportation on water’ is . . . practical,” and not
“merely . . . theoretical.”
Id., at 496. And we
pointed to cases holding that dredges ordinarily “served a
waterborne transportation function,” namely that “in performing
their work they carried machinery, equipment, and crew over water.”
Id., at 491–492 (citing,
e.g., Butler v.
Ellis, 45 F.2d 951, 955 (CA4 1930)).
As the Court of Appeals pointed out, in
Stewart we also wrote that §3 “does not require that a
watercraft be used
primarily for that [transportation]
purpose,” 543 U. S., at 495; that a “watercraft need not be in
motion to qualify as a vessel,”
ibid.; and that a structure
may qualify as a vessel even if attached—but not “permanently”
attached—to the land or ocean floor.
Id., at 493–494. We did
not take these statements, however, as implying a universal set of
sufficient conditions for application of the definition. Rather,
they say, and they mean, that the statutory definition
may
(or may not) apply—not that it
automatically must
apply—where a structure has some other
primary purpose,
where it is stationary at relevant times, and where it is
attached—but not permanently attached—to land.
After all, a washtub is normally not a “vessel”
though it does not have water transportation as its primary
purpose, it may be stationary much of the time, and it might be
attached—but not permanently attached—to land. More to the point,
water transportation was not the
primary purpose of either
Stewart’s dredge or
Evansville’s wharfboat; neither
structure was “in motion” at relevant times; and both were
sometimes attached (though not permanently attached) to the ocean
bottom or to land. Nonetheless
Stewart’s dredge fell within
the statute’s definition while
Evansville’s wharfboat did
not.
The basic difference, we believe, is that the
dredge was regularly, but not primarily, used (and designed in part
to be used) to transport workers and equipment over water while the
wharfboat was not designed (to any practical degree) to serve a
transportation function and did not do so. Compare
Cope v.
Vallette Dry Dock Co.,
119 U.S.
625 (1887) (floating drydock not a “vessel” because permanently
fixed to wharf), with
Jerome B. Grubart, Inc. v.
Great
Lakes Dredge & Dock Co.,
513 U.S.
527, 535 (1995) (barge sometimes attached to river bottom to
use as a work platform remains a “vessel” when “at other times it
was used for transportation”). See also
ibid. (citing
Great Lakes Dredge & Dock Co. v.
Chicago,
3 F.3d 225, 229 (CA7 1993) (“[A] craft is a ‘vessel’ if its
purpose is to some reasonable degree ‘the transportation of
passengers, cargo, or equipment from place to place across
navigable waters’ ”));
Cope,
supra, at 630
(describing “hopper-barge,” as potentially a “vessel” because it is
a “navigable structure[,] used for the purpose of transportation”);
cf. 1 Benedict on Admiralty §164, p. 10–6 (7th rev. ed. 2012)
(maritime jurisdiction proper if “the craft is a navigable
structure intended for maritime transportation”).
Lower court cases also tend, on balance, to
support our conclusion. See,
e.g.,
Bernard v.
Binnings Constr. Co., 741 F.2d 824, 828, n. 13, 832, n.
25 (CA5 1984) (work punt lacking features objectively indicating a
transportation function not a “vessel,” for “our decisions make
clear that the mere capacity to float or move across navigable
waters does not necessarily make a structure a vessel”);
Ruddiman v.
A Scow Platform, 38 F. 158 (SDNY 1889)
(scow, though “capable of being towed . . . though not
without some difficulty, from its clumsy structure” just a floating
box, not a “vessel,” because “it was not designed or used for the
purpose of navigation,” not engaged “in the transportation of
persons or cargo,” and had “no motive power, no rudder, no sails”).
See also 1 T. Schoenbaum, Admi- ralty and Maritime Law §3–6, p. 155
(5th ed. 2011) (courts have found that “floating dry-dock[s],”
“floating platforms, barges, or rafts used for construction or
repair of piers, docks, bridges, pipelines and other” similar
facilities are not “vessels”); E. Benedict, American Admiralty
§215, p. 116 (3d rev. ed. 1898) (defining “vessel” as a
“ ‘machine adapted to transportation over rivers, seas, and
oceans’ ”).
We recognize that some lower court opinions can
be read as endorsing the “anything that floats” approach. See
Miami River Boat Yard, Inc. v.
60’ Houseboat, 390
F.2d 596, 597 (CA5 1968) (so-called “houseboat” lacking
self-propulsion);
Sea Village Marina, LLC v.
A 1980
Carlcraft Houseboat, No. 09–3292, 2009 WL 3379923, *5–*6 (D NJ,
Oct. 19, 2009) (following
Miami River Boat Yard);
Hudson
Harbor 79th Street Boat Basin, Inc. v.
Sea Casa,
469 F. Supp. 987, 989 (SDNY 1979) (same). Cf.
Holmes v.
Atlantic Sounding Co.,
437 F.3d 441 (CA5 2006) (floating dormitory);
Summerlin
v.
Massman Constr. Co., 199 F.2d 715 (CA4 1952) (derrick
anchored in the river engaged in building a bridge is a vessel).
For the reasons we have stated, we find such an approach
inappropriate and inconsistent with our precedents.
Further, our examination of the purposes of
major federal maritime statutes reveals little reason to classify
floating homes as “vessels.” Admiralty law, for example, provides
special attachment procedures lest a vessel avoid liability by
sailing away. 46 U. S. C. §§31341–31343 (2006 ed. and
Supp. IV). Liability statutes such as the Jones Act recognize that
sailors face the special “ ‘perils of the sea.’ ”
Chandris, Inc. v.
Latsis,
515
U.S. 347, 354, 373 (1995) (referring to “ ‘vessel[s] in
navigation’ ”). Certain admiralty tort doctrines can encourage
shipowners to engage in port-related commerce.
E.g., 46
U. S. C. §30505;
Executive Jet Aviation, Inc. v.
Cleveland,
409 U.S.
249, 269–270 (1972). And maritime safety statutes subject
vessels to U. S. Coast Guard inspections.
E.g., 46
U. S. C. §3301.
Lozman, however, cannot easily escape liability
by sailing away in his home. He faces no special sea dangers. He
does not significantly engage in port-related commerce. And the
Solicitor General tells us that to adopt a version of the “anything
that floats” test would place unneces- sary and undesirable
inspection burdens upon the Coast Guard. Brief for United States as
Amicus Curiae 29, n. 11.
Finally, our conclusion is consistent with state
laws in States where floating home owners have congregated in
communities. See Brief for Seattle Floating Homes As- sociation
et al. as
Amici Curiae 1. A Washington State
environmental statute, for example, defines a floating home (for
regulatory purposes) as “a single-family dwelling unit constructed
on a float, that is moored, anchored, or otherwise secured in
waters, and is not a vessel, even though it may be capable of being
towed.” Wash. Rev. Code Ann. §90.58.270(5)(b)(ii) (Supp. 2012). A
California statute defines a floating home (for tax purposes) as “a
floating structure” that is “designed and built to be used, or is
modified to be used, as a stationary waterborne residential
dwelling,” and which (unlike a typical houseboat), has no
independent power generation, and is dependent on shore utilities.
Cal. Health & Safety Code Ann. §18075.55(d) (West 2006). These
States, we are told, treat structures that meet their “floating
home” definitions like ordinary land-based homes rather than like
vessels. Brief for Seattle Floating Homes Association 2.
Consistency of interpretation of related state and federal laws is
a virtue in that it helps to create simplicity making the law
easier to understand and to follow for lawyers and for nonlawyers
alike. And that consideration here supports our conclusion.
D
The City and supporting
amici make
several important arguments that warrant our response. First, they
ar- gue against use of any purpose-based test lest we introduce
into “vessel” determinations a subjective element—namely, the
owner’s intent. That element, they say, is often “unverifiable” and
too easily manipulated. Its introduction would “foment
unpredictability and invite gamesmanship.” Brief for Respondent
33.
We agree with the City about the need to
eliminate the consideration of evidence of subjective intent. But
we cannot agree that the need requires abandonment of all criteria
based on “purpose.” Cf.
Stewart, 543 U. S., at 495
(discussing transportation purpose). Indeed, it is difficult, if
not impossible, to determine the use of a human “contrivance”
without some consideration of human purposes. At the same time, we
have sought to avoid subjective elements, such as owner’s intent,
by permitting consideration only of objective evidence of a
waterborne transportation purpose. That is why we have referred to
the views of a reasonable observer.
Supra, at 1
. And
it is why we have looked to the physical attributes and behavior of
the structure, as objective manifestations of any relevant purpose,
and not to the subjective intent of the owner.
Supra, at
5–6
. We note that various admiralty treatises refer to the
use of purpose-based tests without any suggestion that
administration of those tests has introduced too much subjectivity
into the vessel-determination process. 1 Benedict on Admiralty
§164; 1 Admiralty and Maritime Law §3–6.
Second, the City, with support of
amici,
argues against the use of criteria that are too abstract, complex,
or open-ended. Brief for Respondent 28–29. A court’s jurisdiction,
e.g., admiralty jurisdiction, may turn on application of the
term “vessel.” And jurisdictional tests, often applied at the
outset of a case, should be “as simple as possible.”
Hertz
Corp. v.
Friend, 559 U. S. ___, ___ (2010) (slip
op., at 1).
We agree with the last-mentioned sentiment. And
we also understand that our approach is neither perfectly pre-cise
nor always determinative. Satisfaction of a design-based or
purpose-related criterion, for example, is not always sufficient
for application of the statutory word “vessel.” A craft whose
physical characteristics and activities objectively evidence a
waterborne transportation purpose or function may still be rendered
a nonvessel by later physical alterations. For example, an owner
might take a structure that is otherwise a vessel (even the
Queen Mary) and connect it permanently to the land for use,
say, as a hotel. See
Stewart,
supra, at
493–494
. Further, changes over time may produce a new form,
i.e., a newly designed structure—in which case it may be the
new de-sign that is relevant. See
Kathriner v.
Unisea,
Inc., 975 F.2d 657, 660 (CA9 1992) (floating
processing plant was no longer a vessel where a “large opening [had
been] cut into her hull”).
Nor is satisfaction of the criterion always a
necessary condition, see Part IV,
infra. It is conceivable
that an owner might
actually use a floating structure not
designed to any practical degree for transportation as, say, a
ferry boat, regularly transporting goods and persons over
water.
Nonetheless, we believe the criterion we have
used, taken together with our example of its application here,
should offer guidance in a significant number of borderline cases
where “capacity” to transport over water is in doubt. Moreover,
borderline cases will always exist; they require a method for
resolution; we believe the method we have used is workable; and,
unlike, say, an “anything that floats” test, it is consistent with
statutory text, purpose, and precedent. Nor do we believe that the
dissent’s approach would prove any more workable. For example, the
dissent suggests a relevant distinction between an own- er’s
“clothes and personal effects” and “large appliances (like an oven
or a refrigerator).”
Post, at 8 (opinion of Sotomayor, J.).
But a transportation function need not turn on the size of the
items in question, and we believe the line between items being
transported from place to place (
e.g., cargo) and items that
are mere appurtenances is the one more likely to be relevant. Cf.
Benedict, American Admiralty §222, at 121 (“A ship is usually
described as consisting of the ship, her tackle, apparel, and
furniture . . .”).
Finally, the dissent and the Solicitor General
(as
amicus for Lozman) argue that a remand is warranted for
further factfinding. See
post, at 10–12; Brief for United
States as
Amicus Curiae 29–31. But neither the City nor
Lozman makes such a request. Brief for Respondent 18, 49, 52. And
the only potentially relevant factual dispute the dis- sent points
to is that the home suffered serious damage during a tow.
Post, at 10–11. But this would add support to our ultimate
conclusion that this floating home was not a vessel. We
consequently see nothing to be gained by a remand.
IV
Although we have focused on the phrase
“
capable of be- ing used” for transportation over water, the
statute also includes as a “vessel” a structure that is
actually “used” for that transportation. 1
U. S. C. §3 (emphasis added). And the City argues that,
irrespective of its design, Lozman’s floating home was
actually so used. Brief for Respondent 32. We are not
persuaded by its argument.
We are willing to assume for argument’s sake
that sometimes it is possible actually to use for water
transportation a structure that is in no practical way designed for
that purpose. See
supra, at 12–13. But even so, the City
cannot show the actual use for which it argues. Lozman’s floating
home moved only under tow. Before its arrest, it moved significant
distances only twice in seven years. And when it moved, it carried,
not passengers or cargo, but at the very most (giving the benefit
of any factual ambiguity to the City) only its own furnishings, its
owner’s personal effects, and personnel present to assure the
home’s safety. 649 F. 3d, at 1268; Brief for Respondent 32;
Tr. of Oral Arg. 37–38. This is far too little
actual “use”
to bring the floating home within the terms of the statute. See
Evansville, 271 U. S., at 20–21 (wharfboat not a
“vessel” even though “[e]ach winter” it “was towed to [a] harbor to
protect it from ice”); see also
Roper v.
United
States,
368 U.S.
20, 23 (1961) (“Unlike a barge, the S. S.
Harry
Lane was not moved in order to transport commodities from one
location to another”). See also
supra, at 6–11.
V
For these reasons, the judgment of the Court
of Appeals is reversed.
It is so ordered.
APPENDIX
Petitioner’s floating home. App. 69.
50- by 200-foot wharf boat in Evansville,
Indiana, on Nov. 13, 1918. H. R. Doc. No. 1521, 65th Cong., 3d
Sess., Illustration No. 13 (1918).