In broad strokes, this case concerns a tort involving a vessel on navigable waters. More specifically, the case involves a diving accident off a recreational vessel anchored in shallow but navigable lake waters. Before the 1970s, it would have been beyond doubt that such facts would place this case squarely in the jurisdiction of the federal courts, because the traditional test for admiralty tort jurisdiction simply asked whether the tort occurred on navigable waters. -
But in 1972, the Supreme Court began refining the situs rule, or locality test, for admiralty tort jurisdiction to weed out “absurd” cases that had little to do with maritime commerce, such as planes crashing into lakes or swimmers colliding into each other. In three subsequent cases, the Court further developed this test, creating a multi-part inquiry designed to address cases at the margin of admiralty jurisdiction. In addition to location, the prevailing test now focuses on whether the incident giving rise to the tort, defined at an “intermediate level of possible generality,” has a “potentially disruptive effect on maritime commerce, and whether the general character of the activity giving rise to the incident bears a substantial relationship to traditional maritime activity.” Tandon v. Captain’s Cove Marina of Bridgeport, Inc.,
Applying this test, the United States District Court for the Northern District of
Standard of Review
“When reviewing a district court’s determination of subject matter jurisdiction pursuant to Rule 12(b)(1), we review factual findings for clear error and legal conclusions de novo.” Tandon,
Factual Background
The district court found that, on July 30, 2011, Petitioner-Appellant Bruce Germain, Claimant-Appellee Matthew Ficarra, and three others left Brewerton, New York, on the shore of Lake Oneida, for an excursion on Germain’s 38-foot motor boat, Game Day. See Ficarra v. Germain,
Around 6:00 p.m., Germain began preparing for the return trip to Brewerton, and Ficarra and the other passengers
Procedural History
On June 16, 2014, Ficarra filed suit against Germain in New York State Supreme Court, asserting claims for negligence under New York law. Ficarra’s complaint alleges, among other things, that Germain was negligent for failing: (1) to operate, captain, anchor, maintain, or control his vessel in a safe and reasonably prudent manner to protect the safety and welfare of his boat’s passengers; (2) to properly and adequately instruct his passengers on safe boating and diving practices; (3) to properly and adequately inspect the area in which his boat was anchored; and (4) to adequately warn his passengers of the dangerous conditions existing at the time of the aforementioned incident.
On July 17, 2014, Germain removed Fi-carra’s negligence suit to the United States District Court for the Northern District of New York. On August 18, 2014, Ficarra moved to remand the action back to state court for lack of subject matter jurisdiction, arguing that the claims alleged in his complaint were not within the scope of admiralty jurisdiction.
On August 14, 2014, Germain filed a petition in the United States District Court for the Northern District of New York seeking exoneration from or limitation of liability under the Limitation of Liability Act of 1851, 46 U.S.C. §§ 30501-12, and Rule F of the Supplemental Rules for Admiralty or Maritime Claims and Asset Forfeiture Actions (“Rule F”).
Both the negligence action and limitation proceeding were then transferred to a different judge on December 29, 2014. In a single memorandum-decision and order, the district court (Sannes, J.) concluded that Ficarra’s claims did not meet the
Germain filed notices of appeal in both actions, but he voluntarily withdrew the notice of appeal in the remanded negligence suit, recognizing that, under 28 U.S.C. § 1447(d), “[a]n order remanding a case to the State court from which it was removed is not reviewable on appeal or otherwise,” unless the case was removed pursuant to 28 U.S.C. §§ 1442 or 1443. Accordingly, the only appeal presently before us is the district court’s dismissal of Germain’s limitation petition.
Discussion
The key issue on appeal is whether federal courts have admiralty jurisdiction over claims for injury to a passenger who jumped from a vessel on open navigable waters. They do. But before we reach this question, we must first address Ficarra’s primary argument that the present appeal is an improper attack on the district court’s remand order. It is not.
I.
Ficarra’s primary argument in opposition to Germain’s appeal is that Ger-main’s appeal of the limitation petition’s dismissal is an improper attack on the district court’s remand order, which Ger-main did not—indeed, could not—appeal. In short, and as discussed in greater detail below, because admiralty cases involving petitions for limitation of liability may proceed on dual tracks in state and federal eourt, Germain is entitled to appeal the dismissal of his limitation petition.
The Constitution provides that “[t]he judicial Power shall extend ... to all Cases of admiralty and maritime Jurisdiction.” U.S. Const, art. Ill, § 2. Congress codified this constitutional grant of admiralty and maritime jurisdiction in 28 U.S.C. § 1333(1), which provides that “[t]he district courts shall have original jurisdiction, exclusive of the courts of the States, of ... [a]ny civil case of admiralty or maritime jurisdiction, saving to suitors in all cases all other remedies to which they are otherwise entitled.” The interaction between the exclusivity clause and the saving-to-suitors clause of § 1333(1) has caused much confusion. See, e.g., Lewis v. Lewis & Clark Marine, Inc.,
Adding to the confusion is a separate statute, the Limitation of Liability Act of 1851, 46 U.S.C. §§ 30505-12, which Congress enacted “to encourage shipbuilding and to induce capitalists to invest money in this branch of industry.” Tandon,
More specifically, the Limitation of Liability Act creates “a form of action peculiar to the admiralty and maritime
As this brief discussion reveals, “[s]ome tension exists between the saving to suitors clause and the Limitation Act. One statute gives suitors the right to a choice of remedies, and the other statute gives vessel owners the right to seek limitation of liability in federal court.” Lewis,
[t]he district courts have jurisdiction over actions arising under the Limitation Act, and they have discretion to stay or dismiss Limitation Act proceedings to allow a suitor to pursue his claims in state court. If the district court concludes that the vessel owner’s right to limitation will not be adequately protected — where for example a group of claimants cannot agree on appropriate stipulations or there is uncertainty concerning the adequacy of the fund or the number of claims — the court may proceed to adjudicate the merits, deciding the issues of liability and limitation. But where ... the District Court satisfies itself that a vessel owner’s right to seek limitation will be protected, the decision to dissolve the injunction [staying the state court proceeding] is well within the court’s discretion.
Id. at 454,
Because cases that involve limitation petitions may proceed on dual tracks in state and federal court, there is nothing impermissible about Germain’s present appeal. The district court concluded that admiralty jurisdiction was lacking for either proceeding, a conclusion that necessitated remanding Ficarra’s negligence suit and dismissing Germain’s limitation petition. But since the district court may still be able to adjudicate his limitation petition if admiralty jurisdiction is present, Germain’s appeal of the limitation petition’s dismissal is proper, even if that appeal presses the existence of subject matter jurisdiction, contrary to the premise of the district court’s remand order that jurisdiction was absent.
II.
Having addressed the propriety of the present appeal, we must now decide
that a vessel owner may file a petition for limitation does not mean the district court necessarily has jurisdiction to hear it. Instead, the district court will only have admiralty jurisdiction to hear a petition for limitation if it already has admiralty jurisdiction over the underlying claims that the petition seeks to limit.
Id. As in Tandon, our present task is therefore limited to determining “whether the underlying claims raise a ‘civil case of admiralty or maritime jurisdiction’ that the district court could hear under 28 U.S.C. § 1333(1).” Id.
In answering this question, we first discuss the history of the modern test for admiralty tort jurisdiction, placing that test in the context of the problem it was designed to address. We then apply that test to the facts of this case, bearing in mind this jurisprudential history. Although we disagree with the district court’s application of the modern test, the test is far from a model of clarity and it is more than understandable how the district court, in its thoughtful opinion, could have gone off course.
A.
Traditionally, admiralty jurisdiction “over tort actions was determined largely by the application of a ‘locality’ test.” Sisson v. Ruby,
In 1948, however, Congress expanded this narrow rule when it enacted the Extension of Admiralty Jurisdiction Act, which provides that
[t]he admiralty and maritime jurisdiction of the United States extends to and includes cases of injury or damage, to person or property, caused by a vessel on navigable waters, even though the injury or damage is done or consummated on land.
46 U.S.C. § 30101(a). As the Supreme Court explained, “[t]he purpose of the Act was to end concern over the sometimes confusing line between land and water, by investing admiralty with jurisdiction over ‘all cases’ where the injury was caused by a ship or other vessel on navigable water, even if such injury occurred on land.” Grubart,
“After this congressional modification to gather the odd case into admiralty,” a series of four Supreme Court cases tinkered with the traditional locality test to “keep[ ] a different class of odd cases out.” Id. (emphasis added). In the first case, Executive Jet Aviation, Inc. v. City of Cleveland, a plane crashed into Lake Erie after its jet engines inhaled a flock of seagulls shortly after takeoff from Burke Lakefront Airport in Cleveland, Ohio.
In light of this concern, the Court decided to pull back on the locality test, at least in the aviation context. The Court noted that, “[ujnlike waterborne vessels, [aircraft] are not restrained by one-dimensional geographic and physical boundaries. For this elementary reason, [the Court] conclude[d] that the mere fact that the alleged wrong ‘occurs’ or ‘is located’ on or over navigable waters — whatever that means in an aviation context — is not of itself sufficient to turn an airplane negligence case into a ‘maritime tort.’ ” Exec. Jet,
Although the Court clearly limited Executive Jet’s, holding to the “aviation context,” that did not stop lower courts from extending its reasoning — particularly the maritime nexus requirement — to other circumstances, an extension the Court expressly endorsed in Foremost Insurance Co. v. Richardson, 457 U.S. 668,
Eight years later, this footnote would morph into the modern multi-part test for admiralty tort jurisdiction. In Sisson v. Ruby, the Court was called upon to decide whether admiralty jurisdiction extends to tort claims arising after a defective washer/dryer caught fire on a pleasure boat docked at a marina, with the resulting fire burning the pleasure boat, other boats docked nearby, and the marina itself.
The Court explained that the first part of the connection “inquiry does not turn on the actual effects on maritime commerce” of a particular incident; “[r]ather, a court must assess the general features of the type of incident involved to determine whether such an incident is likely to disrupt commercial activity.” Id. at 363,
The Court further explained that, under the second part of the connection inquiry, “the relevant ‘activity1 is defined not by the particular circumstances of the incident, but by the general conduct from which the incident arose.” Id. at 364,
Finally, in Jerome B. Grubart, Inc. v. Great Lakes Dredge & Dock Co., the Court considered whether admiralty jurisdiction extended to claims related to flooding in the downtown Chicago Loop after operators of a crane sitting on a barge in the Chicago River drove piles into the riverbed above an underwater tunnel, allegedly weakening the tunnel and causing the flooding.
The Grubart Court further explained that the first connection prong “turns ... on a description of the incident at an intermediate level of possible generality,” id. at 538,
In contrast, the second connection prong turns on “whether the general character of the activity giving rise to the incident shows a substantial relationship to traditional maritime activity,” and courts should “ask whether a tortfeasor’s activity, commercial or noncommercial, on navigable waters is so closely related to activity traditionally subject to admiralty law that the reasons for applying special admiralty rules would apply in the suit at hand.” Id. at 539-40,
In affirming the complicated Sisson test, however, the Grubart Court also cautioned that Sisson should be viewed as “a test to weed out torts without a maritime connection,” not “an arbitrary exercise for eliminating jurisdiction over even vessel-related torts connected to traditional maritime commerce.” Id. at 542,
To drive this point home, the Court devoted considerable attention to the criticism that “[i]f the activity at issue [in Grubart] [was] considered maritime related, ... then virtually ‘every activity involving a vessel on navigable waters’ would be. ‘a traditional maritime activity sufficient to invoke maritime jurisdiction.’ ” Id. at 542,
In the cases after Executive Jet, the Court stressed the need for a maritime connection, but found one in the navigation or berthing of pleasure boats, despite the fact that the pleasure boat activity took place near shore, where States have a strong interest in applying their own tort law, or was not on all fours with the maritime shipping and commerce that has traditionally made up the business of most maritime courts. Although we agree with petitioners that these cases do not say that every tort involving a vessel on navigable waters falls within the scope of admiralty jurisdiction no matter what, they do show that ordinarily that will be so.
Id. at 543,
We recently applied the Executive Jet line of cases in Tandon, which involved a brawl on a marina dock, with some of the brawlers falling into the surrounding navigable waters — the type of “perverse and casuistic borderline situation[ ]” that could have satisfied the locality test and that the modern test was designed to exclude. Tandon,
After summarizing the Executive Jet line of cases, we restated the Grubart test as follows:
First, we ask whether the alleged tort meets the location test: that is, whetherit occurred on navigable water or was caused by a vessel on navigable water. Second, we ask whether the alleged tort meets both subparts of the connection test: that is, whether the general type of incident involved has a potentially disruptive effect on maritime commerce, and whether the general character of the activity giving rise to the incident bears a substantial relationship to traditional maritime activity. Only if the location test and both subparts of the connection test are met will admiralty tort jurisdiction be proper under 28 U.S.C. § 1333(1).
Id. at 248 (citation omitted). Later in that opinion, we explained that “[t]he first part of the connection test looks to the nature of the incident that immediately caused the underlying injury; the second part, by contrast, looks to the nature of the broader activity giving rise to that incident.” Id. at 250-51.
Applying the first part of the connection test, we noted that “[t]he overall purpose of the exercise is to determine ‘whether the incident could be seen within a class of incidents that pose[ ] more than a fanciful risk to commercial shipping.’ ” Id. at 249 (quoting Grubart,
After so defining the incident, “[w]e conclude[d] that this type of incident does not realistically pose a threat to maritime commerce,” for four reasons: (1) “a fistfight on and around a dock cannot immediately disrupt navigation”; (2) “a fistfight on a dock cannot immediately damage nearby commercial vessels”; (3) “the class of incidents we considered] [t]here include[d] only fights on permanent docks” that “d[id] not pose the same risks to maritime commerce as a fistfight occurring on a vessel on navigable water”; and (4) “the class of incidents we considered] [t]here involve[d] only physical altercations among recreational visitors, not persons engaged in maritime employment.” Id. at 249-50. Because we concluded that the incident failed to satisfy the first part of the Grubart connection inquiry, we ended our analysis there. Id. at 253 n.10.
Responding to the argument that “the struggling bodies could themselves pose a navigational hazard,” id. at 251, we noted that, “[a]t worst, an incident of this sort might temporarily prevent commercial vessels from mooring at the permanent dock around which the fight occurred. But the potential impact of such a temporary disruption is simply too meager to support jurisdiction,” id. at 252 (citation omitted). And in response to the argument that “a fight on a dock surrounded by navigable water may require emergency responders to come to the dock by boat and leave by boat, potentially snarling naval traffic in nearby waters[,] [w]e recognize[d] that other courts have found the potentially disruptive impact of a maritime emergency response enough to satisfy the first part of the connection test in some cases,” but “[t]hose cases ... generally dealt with incidents occurring either aboard a vessel or else in open water.” Id. We further acknowledged that “[w]here such an incident takes place on a vessel or in open water far from the shore, the potential danger to commercial shipping posed by a maritime emergency response may be more significant.” Id.
B.
The alleged tort here involves a vessel on navigable waters — factors the Supreme Court has reminded us will ordinarily place a case within the bounds of admiralty
1.
Working through the Grubart test, the district court began by noting that “the parties agree the location test has been met since the alleged tort occurred on a navigable body of water, Oneida Lake.” Ficarra,
Turning to the first step of the connection test — whether the general type of incident involved has a potentially dis: ruptive effect on maritime commerce — the district court set forth a general description of the incident, which, as noted, must be described at an “intermediate level of possible generality.” Grubart,
This description is hardly a fit of “whimsy,” Grubart,
First, the Supreme Court has consistently stated that it does not matter for purposes of admiralty tort jurisdiction whether the vessel involved was used for commercial or recreational purposes. See Foremost,
Second, the Supreme Court has never indicated that it matters whether the navigable waters at issue were shallow or deep. That the Court has not discussed the depth of navigable waters is unsurprising because “[t]he basic test of navigability for purposes of admiralty jurisdiction is the formula of The Daniel Ball, [
We noted in Tandon that, “in considering the type of incident involved, the location of the incident may be relevant,”
Third, the district court also relied on Tandon’s observation that “the roles of the persons involved ... can be relevant to the potential effect on maritime commerce.” Ficarra,
Accordingly, we think a more appropriate description of the incident, described at an intermediate level of possible generality and general enough to capture the possible effects of similar incidents on maritime commerce, is injury to a passenger who jumped from a vessel on open navigable waters. “This description accurately captures the nature of the event giving rise to this suit, and the type of risks that the incident could pose to maritime commerce.” Id. at 249.
“[L]ook[ing] not to the particular facts of the case before us — i.e., whether maritime commerce was actually disrupted here^ — but to whether similar occurrences are likely to be disruptive,” id. we conclude that the incident satisfies the first connection prong. First, the district court concluded that the incident would not pose more than a fanciful threat to maritime commerce largely because the location of the incident was in “shallow, recreational bays — waters unsuitable for commercial shipping. Therefore, even if the crew of the vessel was distracted by the passenger jumping overboard, there would be no risk of collision with commercial vessels.” Ficarra,
Moreover, the Supreme Court has taken an expansive view of the possible commercial effects caused by collisions of even small recreational vessels on navigable waters, regardless of the precise location of those vessels in relation to commercial traffic. In Foremost, for example, the Court “supported [its] finding of potential disruption ... with a description of the likely effects of a collision at the mouth of the St. Lawrence Seaway, an area heavily traveled by commercial vessels, even though the place where the collision actually had occurred apparently was ‘seldom, if ever, used for commercial traffic.’ ” Sisson,
Second, the district court rejected Ger-main’s argument “that this type of incident may still potentially disrupt maritime commerce because an injured passenger in navigable waters invites rescue.” Ficarra,
But the incident on open navigable waters here is more comparable to a rescue at sea than a rescue at or near a dock. One of the reasons we held in Tandon that rescue of brawlers on or near a dock was unlikely to ensnarl maritime traffic was that “[e]mergency responders may have to travel by boat to reach persons injured near a permanent dock, but they will never have to travel far. And once the emergency responders arrive at the scene, they can moor their vessel at the permanent dock, rather than having to focus simultaneously on navigating their vessel and rescuing the injured.”
Based on similar reasoning, at least three circuits have relied on the potentially disruptive effect of a maritime emergency response to sustain admiralty jurisdiction, even when the activity or vessels at issue were recreational. See, e.g., In re Mission Bay Jet Sports, LLC,
We therefore conclude that the general type of incident involved here — injury to a passenger who jumped from a vessel on open navigable waters — has a potentially disruptive effect on maritime commerce.
2.
The district court further concluded that even if it went to the next step — • whether the general character of the activity giving rise to the incident shows a substantial relationship to traditional maritime activity — “admiralty jurisdiction would still not lie.” Ficarra,
Under this second step, the district court properly began by “describ[ing] the ‘general character’ of the alleged tortfea-sor’s activity which gave rise to the incident.” Id. (quoting Grubart,
We believe a more accurate description of the “general character” of Germain’s activity was the transport and care of passengers on board a vessel on navigable waters, which more generally captures the many aspects of Germain’s activity that Ficarra alleges gave rise to his injury (e.g., Germain’s failure to: operate, captain, anchor, maintain, or control his boat in a manner necessary to protect the safety of his passengers; instruct passengers on safe boating and diving; inspect the area where the boat was anchored; and warn passengers about the conditions where the boat was anchored). And contrary to the district court’s suggestion, the activity in question need not be “on all fours with the maritime shipping and commerce that has traditionally made up the business of most maritime courts,” particularly when the activity in question concerns a vessel on navigable waters. Grubart,
In any event, we conclude that the activities at issue here — whether it is the more general transport and care of passengers on a vessel on navigable waters or the
In sum, we hold that the claims related to the alleged facts here fall within the scope of admiralty tort jurisdiction. First, the underlying claim meets the location test as it occurred on navigable waters. Second, the underlying claim meets both parts of the connection test: (1) The general type of incident — injury to a passenger who jumped from a vessel on open navigable waters- — -has a potentially disruptive effect on maritime commerce; and (2) the general character of the activity giving rise to the incident — whether described as the transport and care of passengers on a vessel on navigable waters or the anchoring of a vessel without warning of the attendant dangers- — bears a substantial relationship to traditional maritime activity.
C.
At oral argument, Germain urged us to adopt a simpler rule and hold that admiralty jurisdiction extends to all torts originating on a vessel on navigable waters. We agree that, in general, courts should strive to adopt clear legal rules, particularly in the context of jurisdiction — fewer things are more wasteful to litigate than where you can litigate. Cf. Grubart,
Lower courts have exerted considerable effort to make sense of the. test, while lamenting its complexity and lack of clarity. See, e.g., Bird,
But the Supreme Court is well aware of the modern test’s difficulties and the advantages of a simpler rule, both of which Justice Thomas fully set forth in his concurring opinion in Grubart. See
Conclusion
For the foregoing reasons, we conclude that Germain’s appeal of the dismissal of his petition seeking exoneration from or limitation of liability was proper, and we also conclude that the district court has jurisdiction over that petition. We therefore REVERSE and REMAND for further proceedings consistent with this opinion.
Notes
. As discussed in the procedural history section, the present appeal concerns one of two separate but related actions that the district court collectively addressed in a single memorandum-decision and order. Because of the semi-consolidated nature of the two actions and their overlapping issues, the district court relied on “uncontroverted facts in the complaints in each case,” i.e., the negligence complaint and the limitation petition (which in turn referenced the negligence complaint), and it also considered the facts presented in the parties’ affidavits that were filed in both actions. See Ficarra v. Germain,
. As in Tandon, “[w]e use the term ‘passenger’ throughout in its broad general sense of 'a person who travels in a conveyance ... without participating in its operation,’ ”
. "Although dove is fairly common in [American English] (on the analogy of drove), dived is the predominant past-tense form — and the preferable one.” Bryan A. Garner, Garner’s Modem American Usage 269 (3d ed. 2009).
. At oral argument, Ficarra’s attorney disputed whether Ficarra had been taken back to Brewerton by boat, but he candidly admitted that he could not provide a record citation for his view of events. We rely on the facts found by the district court, which are not clearly erroneous. In any event, whether Ficarra was actually taken back to Brewerton by boat or other means does not affect our analysis.
.As in Tandon, "we adhere to the more common practice of using the terms 'petition' and petitioner’ ” under the Limitation of Liability Act rather than "complaint” and "plaintiff.”
. The district court also rejected Germain's untimely argument for diversity jurisdiction, see Ficarra,
. We say arguably because the Court did not decide precisely where the tort (as opposed to the crash) occurred for purposes of applying the locality test. See Exec. Jet,
. As one district court later pointed out, "[s]ince the mouth of the St. Lawrence Seaway is miles wide and the colliding pleasure boats were small, [Foremost’s] example of a potential disruptive effect upon maritime commerce takes the concept about as far as it can go.” Roane v. Greenwich Swim Comm.,
. The location part of the modern test effectively incorporates the traditional locality rule, which does not turn on the involvement of a vessel, see The Plymouth,
. Whimsy, like beauty, is often in the eye of the beholder, but the Court provided no additional guidance as to how lower courts should select the right level of generality.
. If the shallow waters were in fact unsuitable for commercial shipping, we do not see how the navigability component of the location test would be satisfied because, as noted,
. In concluding that Germain’s activity-lacked a substantial relationship to traditional maritime activity, the district court relied on two cases that have been called into doubt: Delta Country Ventures, Inc. v. Magana,
