Key to deciding this case is determining whether the plaintiffs' vagueness claim should be understood as an as-applied challenge or a facial challenge. Because plaintiffs' claim would, if successful, effectively preclude all enforcement of the statute, and because plaintiffs sought to prove their claim chiefly with hypothetical examples of unfair prosecutions that are divorced from their individual facts and circumstances, we deem it a facial challenge. Plaintiffs therefore must show that the gravity knife law is invalid in all applications, including as it was enforced against them in three prior proceedings. Under this strict standard, the challengers' claim will fail if the gravity knife law was constitutionally applied to any one of the challengers. We conclude that Native Leather did not carry its burden. Accordingly, we affirm the judgment of the district court.
BACKGROUND
The State of New York prohibits the possession of a "gravity knife," which is defined as "any knife which has a blade which is released from the handle or sheath thereof by the force of gravity or the application of centrifugal force which, when released, is locked in place by means of a button, spring, lever or other device."
Knowledge that a knife responds to the wrist-flick test is not an element of this crime. See People v. Parrilla ,
To determine whether a knife is a gravity knife, police officers and prosecutors "us[e] the force of a one-handed flick-of-the-wrist to determine whether a knife will open from a closed position," a method known as the wrist-flick test. Copeland v. Vance ,
John Copeland is an artist who lives in Manhattan. In the fall of 2009, Copeland bought a folding knife at a Manhattan retailer and asked two police officers whether the knife was legal. When neither officer could open the knife with the wrist-flick test, they told him it was. Copeland regularly used the knife over the next year. In October 2010, two police officers stopped Copeland when they saw the knife clipped to his pocket. One of the officers applied the wrist-flick test, and the knife fully opened to a locked position on the first attempt. Copeland was arrested and charged with violating the gravity knife law. He later agreed to an adjournment in contemplation of dismissal of the charge.
Pedro Perez is an art dealer who also lives in Manhattan. In April 2008, Perez bought a folding knife from a Manhattan retailer, and he regularly used the knife to cut canvas and open packaging. On April 15, 2010, three police officers stopped Perez in a subway station when they observed the knife clipped to his pants pocket. One of the officers applied the wrist-flick test, and the knife fully opened to a locked position on the first attempt. Perez was arrested and charged with violating the gravity knife law. Perez did not contest the charge, accepted an adjournment in contemplation of dismissal, and agreed to perform seven days of community service.
On September 24, 2012, Copeland, Perez, and Native Leather, along with Knife Rights, Inc. and Knife Rights Foundation, Inc., filed an amended complaint against defendants-appellees D.A. Cyrus R. Vance, Jr. and the City of New York challenging the gravity knife law as void for vagueness. Plaintiffs divide gravity knives into two categories that are not recognized by the statute or case law, but are, they maintain, recognized by the knife industry: the "true gravity knife" and the "common folding knife." True gravity knives, in their view, can be opened by the force of gravity alone (although they also respond to the wrist-flick test). As the blade will slide freely out of the handle, this knife is said to lack a bias toward closure. Plaintiffs' paradigmatic true gravity knife is the formidable-sounding "German paratrooper knife." True gravity knives appear to be quite rare. Plaintiffs assert that no domestic manufacturer produces them, and multiple police officers with significant experience enforcing the gravity knife law declared that they have never encountered one. Plaintiffs concede that true gravity knives can constitutionally be banned.
Plaintiffs' vagueness challenge focuses instead on common folding knives, which, they explain, are knives that are designed to have a bias toward closure. These knives resist opening. They cannot be opened by gravity alone; some additional force must be applied. This category includes folding knives openly sold and owned by many law-abiding people. It also includes the knives plaintiffs carried and sold in 2010. The plaintiffs wish to carry (and, in Native Leather's case, sell) common folding knives again, but claim that they cannot determine which knives are legal. They seek a declaration that the gravity knife law is void for vagueness "as applied to Common Folding Knives" and an injunction restraining the defendants from enforcing the gravity knife law "as to Common Folding Knives." J. App'x 51-52.
On September 25, 2013, the district court dismissed the complaint for lack of standing. We affirmed as to the knife advocacy organizations, but held that Copeland, Perez, and Native Leather have standing. Knife Rights, Inc. v. Vance ,
DISCUSSION
I. Standard of Review
"On appeal from a bench trial, we review findings of fact for clear error and conclusions of law de novo ." Fed. Hous. Fin. Agency for Fed. Nat'l Mortg. Ass'n v. Nomura Holding Am., Inc. ,
II. Classifying Plaintiffs' Vagueness Challenge
The first issue on appeal is whether, as the district court held, plaintiffs have the burden to show that the gravity knife law was void for vagueness as applied to them in the 2010 enforcement actions. We conclude that they do.
The Fourteenth Amendment provides that no state shall "deprive any person of life, liberty, or property, without due process of law." U.S. Const. amend. XIV, § 1. A component of the Due Process Clause, "the void-for-vagueness doctrine requires that a penal statute define the criminal offense with sufficient definiteness that ordinary people can understand what conduct is prohibited and in a manner that does not encourage arbitrary and discriminatory enforcement." Kolender v. Lawson ,
A party challenging a statute as void for vagueness must normally show that any prior enforcement action against the challenger was unconstitutional. That is the essence of an ordinary "as-applied" claim, in which the challenger asserts that a law cannot constitutionally be applied to the challenger's individual circumstances. The claim is typically that the statute provided insufficient notice that her conduct was illegal. See, e.g. , Dickerson v. Napolitano ,
A statute may also be challenged as vague "on its face." The claim in a facial challenge is that a statute is so fatally indefinite that it cannot constitutionally be applied to anyone. A facial challenge is "the most difficult challenge to mount successfully" because, as a general matter, "the challenger must establish that no set of circumstances exists under which the Act would be valid." United States v. Salerno ,
Because this standard is so comprehensive, a facial challenger must show that every prior enforcement action against her was unconstitutional. See Holder v. Humanitarian Law Project ,
Not all proponents of a vagueness challenge must show the infirmity of a prior enforcement action, however. A statute can be attacked as vague before it has been enforced against the challenger, see, e.g. , N.Y. State Rifle & Pistol Ass'n v. Cuomo ,
Plaintiffs instead argue that they need not show that the 2010 enforcement actions were unconstitutional because they bring an as-applied challenge that seeks
Courts consider prospective, as-applied vagueness challenges comparatively infrequently. Unlike the ordinary as-applied challenge, where the claim is that a prior enforcement action was invalid, a prospective as-applied challenge seeks to prove that a statute cannot constitutionally be applied to a specific course of conduct that the challenger intends to follow. A recent Supreme Court case is instructive. In Expressions Hair Design v. Schneiderman , the Supreme Court considered a vagueness challenge to New York's credit card surcharge ban, which provides that "[n]o seller in any sales transaction may impose a surcharge on a holder who elects to use a credit card in lieu of payment by cash, check, or similar means." --- U.S. ----,
We agree in principle that someone who intends to engage in a course of conduct that differs from the conduct that gave rise to a prior enforcement action against her should be relieved of the burden to show that the prior proceeding was invalid. That a statute was lawfully applied to one set of facts does not necessarily prove that it may lawfully be applied to a different set of facts. More concretely, we think that someone previously convicted for carrying what is indisputably a gravity knife should be permitted to claim that the gravity knife law cannot lawfully be applied to a different knife that she intends to carry and that responds differently to the wrist-flick test.
But plaintiffs have not asserted a prospective, as-applied challenge. Unlike the "narrow" challenge to New York's credit card surcharge ban,
Plaintiffs' manner of proof also shows that their claim is not a prospective as-applied challenge, but a challenge to the gravity knife law on its face. A party asserting a prospective as-applied challenge must tailor the proof to the specific conduct that she would pursue but for fear of
If this were a true prospective as-applied challenge, we would therefore expect plaintiffs to have offered proof that specific knives they wished to possess responded inconsistently, if at all, to the wrist-flick test. They did not. Plaintiffs instead seek to show that the gravity knife law is vague by positing hypothetical unfair enforcement actions in which the statute could not be constitutionally applied. For example, they invite us to consider the prosecution of someone who, after attempting to flick open a knife several times, concludes that it is legal and purchases it, only to be immediately stopped by an officer who succeeds in flicking it open. This type of "proof" is simply not cognizable in an as-applied challenge. See
To be sure, plaintiffs label their challenge "as applied," and, in a bid to avoid the rule that a statute is not vague on its face unless it is vague in all applications, disclaim a full-fledged facial challenge. But plaintiffs use the term "as applied" in an idiosyncratic way. They do not mean that the statute cannot lawfully be applied to their personal facts and circumstances, but that the statute cannot lawfully be applied to a broad class of knives that could be carried by anyone. Cf. Dickerson ,
And so we reject plaintiffs' contention that they need not show that the gravity knife law was unconstitutionally applied to them in 2010. As plaintiffs conceded below, in an ordinary facial vagueness claim, the challenger must show that the statute is invalid in all respects. See Salerno ,
The district court held that the plaintiffs did not show that the gravity knife statute was unconstitutionally applied to them in 2010. On appeal, plaintiffs do little to directly confront this holding, relying primarily on more general contentions that the statute provides insufficient notice of which knives are legal. We conclude that the gravity knife law was constitutionally enforced against at least one of the plaintiffs in 2010.
A. The Void for Vagueness Doctrine
As noted above, "[a] statute can be impermissibly vague for either of two independent reasons. First, if it fails to provide people of ordinary intelligence a reasonable opportunity to understand what conduct it prohibits. Second, if it authorizes or even encourages arbitrary and discriminatory enforcement." Hill ,
Whether a statute is unconstitutionally vague is an "objective" inquiry in which we must determine "whether the law presents an ordinary person with sufficient notice of or the opportunity to understand what conduct is prohibited or proscribed, not whether a particular plaintiff actually received a warning that alerted him or her to the danger of being held to account for the behavior in question." Dickerson ,
B. Whether an Ordinary Person Had Notice that Plaintiffs' Knives Were Banned
Although arbitrary enforcement is "the more important aspect of vagueness doctrine,"
Plaintiffs first argue that notice is wanting because the defendants in 2010 unexpectedly began to apply the statute to common folding knives that could be opened with the wrist-flick test. This argument is meritless. The record shows that the gravity knife law has been enforced against individuals who possess folding knives for decades prior to 2010 and that the wrist-flick test has been the diagnostic tool for separating legal knives from illegal ones. Indeed, a booster of the gravity knife law reportedly opened a knife with a flick of the wrist (rather than the force of gravity) to demonstrate the dangers of gravity knives in 1957 .
Plaintiffs also contend that an ordinary person would not understand that the statutory phrase "application of centrifugal force,"
Plaintiffs' more substantial arguments concern the purported indeterminacy of the wrist-flick test. They argue that even if an ordinary person had sufficient notice that the wrist-flick test is the measure of illegality under the gravity knife law, there is nonetheless no way to reliably identify legal folding knives. This uncertainty, they claim, is a result of two features of the wrist-flick test. First, the test only confirms illegality. A positive result is strong evidence that the knife is illegal, but, because a knife need not always positively respond to the wrist-flick test to be a gravity knife, see People v. Cabrera ,
To the extent plaintiffs argue that the gravity knife law is unconstitutional because the wrist-flick test only measures illegality, the argument must be rejected. Legislatures may functionally define crimes. See Powell ,
Yet Powell does not entirely answer plaintiffs' contention that the wrist-flick test's potential to yield variable results creates serious notice problems. In Powell , the Supreme Court had an intermediate option to invalidating the statute on constitutional grounds: imposing a limiting construction. Powell argued that the statute was vague because it did not specify whether the term "person" in the phrase "capable of being concealed on the person" referred to the person mailing the gun, the person receiving it, or a hypothetical average person. See
Because the gravity knife law is a state statute, we must defer to the interpretation given to it by the state courts. See Morales ,
But we must evaluate plaintiffs' notice argument as applied to the plaintiffs' facts and circumstances and not in the abstract. See VIP of Berlin ,
We conclude that Native Leather did not make this showing. As a seller of knives, Native Leather was responsible for ensuring that its merchandise was legal, and it possessed more resources and sophistication to make that judgment than someone who uses a knife in her trade. See Flipside ,
Native Leather's lack of diligence significantly limits its ability to show that the statute provided insufficient notice that it sold banned knives, because it prevents it from offering evidence that the knives had responded differently to the wrist-flick test prior to the D.A.'s tests. Evidence that Native Leather had scrupulously tested the seized knives and found that they did not respond to the wrist-flick test would certainly have been relevant to its notice argument. Native Leather also made no showing that, for example, the government's testers had any unusual skill, or that the government retained any knives that responded but poorly (if at all) to the wrist-flick test. In sum, Native Leather offered no evidence that any of its seized knives responded inconsistently to the wrist-flick test, much less that all of them did, as the demanding standard for facial challenges requires. See
Native Leather makes much of the fact that the investigators arrived at the one-in-ten failure rate on the day they began to test its inventory, but it points to no evidence that any of the knives retained by the defendants in fact responded to the wrist-flick test at such a dismal rate. We therefore need not consider whether applying the gravity knife law to such a knife raises any notice concerns. Native Leather also protests that Walsh and employees of the independent monitor occasionally had different results when testing its knives with the wrist-flick test. However, the record as to any variation in the outcomes of the wrist-flick test is sparse, and thus it is not apparent to us precisely how these knives responded. In any event, although inconsistent results might give rise to notice concerns, minor variation in the application of the wrist-flick test only suggests that the gravity knife law-like most laws-can give rise to close cases, and "[t]he problem that poses is addressed, not by the doctrine of vagueness, but by the requirement of proof beyond a reasonable doubt." Williams ,
Plaintiffs also place great weight on the results of the in-court knife demonstration, which, they claim, shows that the wrist-flick test produces divergent results. However, we find no clear error in the district court's decision to credit a prosecutor's testimony that one of the demonstrators used an exaggerated technique that did not resemble the wrist-flick test used by
Plaintiffs also rely on two trial court decisions that declined to apply the gravity knife law to folding knives out of concern that the law would reach seemingly innocent conduct. See United States v. Irizarry ,
We thus conclude that the gravity knife law provided constitutionally sufficient notice that Native Leather's knives were illegal. As a result, we need not decide whether the gravity knife law provided adequate notice that the individual plaintiffs' knives were banned, and we express no view as to those cases. See Flipside ,
C. Whether the Gravity Knife Law Provides Adequate Standards to Law Enforcement
We next consider whether the gravity knife law satisfies "the requirement that a legislature establish minimal guidelines to govern law enforcement." Kolender ,
Courts considering as-applied vagueness challenges may determine either (1) that a statute as a general matter provides sufficiently clear standards to eliminate the risk of arbitrary enforcement or (2) that, even in the absence of such standards, the conduct at issue falls within the core of the statute's prohibition, so that the enforcement before the court was not the result of the unfettered latitude that law enforcement officers and factfinders might have in other, hypothetical applications of the statute.
Farrell ,
Amici curiae separately attempt to show that the gravity knife law invited arbitrary enforcement with evidence that the defendants have exempted certain prominent retailers from aspects of the law. Citing five recent cases in which defendants received substantial prison sentences for possession of a gravity knife, they further contend that the defendants use the statute as a tool to harass "those they deem undesirable." Br. of Amici Curiae Legal Aid Society at 7. Defendants, for their part, provide no meaningful account of why banned gravity knives continue to be widely available in New York City retailers, and respond to the discriminatory enforcement contention by pointing out that the plaintiffs in this case have a "spotless pedigree." D.A. Br. 46 n.35.
We are troubled by these signs that the defendants selectively enforce the gravity knife law and are not entirely satisfied by the defendants' responses. But a pattern of discriminatory enforcement, without more, would not show that the statute is unconstitutionally vague. What makes a statute unconstitutionally vague is that the statute, as drafted by the legislature and interpreted by the courts, invites arbitrary enforcement. See Kolender ,
Whatever flaws infect the gravity knife law, a totally subjective element is not among them. The gravity knife law has an objective "incriminating fact": either the knife flicks open to a locked position or it does not. See Williams ,
This is not to say that defendants' enforcement priorities are immune from scrutiny. It has long been the law that selective enforcement of a facially neutral statute can violate the Equal Protection Clause of the Fourteenth Amendment. See United States v. Armstrong ,
For the foregoing reasons, we conclude that at least one plaintiff did not show that the gravity knife law was unconstitutionally vague as applied to it in a prior proceeding. That alone requires us to reject plaintiffs' facial challenge. See Diaz ,
IV. Whether the Gravity Knife Law Unconstitutionally Imposes Strict Liability
Finally, amici curiae argue that the gravity knife law is unconstitutional because it imposes strict liability on possession of an everyday item and because possession of a gravity knife can, in some circumstances, be charged as a felony. See Parrilla ,
Amici may be arguing that the lack of a mens rea merely exacerbates the statute's vagueness problems. To be sure, "[a] scienter requirement may mitigate a law's vagueness, especially where the defendant alleges inadequate notice," Rubin ,
Amici might also be understood to argue that, independent of the vagueness claim, the statute's lack of a mens rea itself violates the Due Process Clause. Whether the Constitution sometimes requires
But the Supreme Court has been at pains not to constitutionalize mens rea . See, e.g. , Smith v. California ,
Amici 's argument to the contrary relies chiefly on cases interpreting federal statutes. These decisions teach that a court should infer a mens rea requirement into federal statutes that forbid possession of "apparently innocent," even if "potentially harmful," devices, including ones as destructive as machine guns. Staples ,
CONCLUSION
Although we conclude that plaintiffs' facial challenge to the gravity knife law is unsuccessful, we note that legitimate questions have been raised about the statute's implementation. The statute's reliance on a functional test and imposition of strict liability on what can be a common, if dangerous,
For these reasons, we believe that the legislative and executive branches may wish to give further attention to the gravity knife law. Heeding the Supreme Court's admonition that facial challenges are disfavored because they "threaten to short circuit the democratic process," Wash. State Grange ,
The judgment of the district court is AFFIRMED .
Notes
At least for now. The Governor of New York recently vetoed two attempts to amend the gravity knife law, one of which would have used a design-based definition, and the other of which would have eliminated the centrifugal force clause.
These general principles are more flexible in vagueness cases involving the First Amendment or fundamental rights. See Farrell v. Burke ,
Plaintiffs, relying on Dimaya , --- U.S. ----,
We observe that the defendants do not argue that plaintiffs' concession that the statute can validly be applied to true gravity knives dooms their entire claim. Cf. N.Y. State Rifle & Pistol Ass'n ,
Emma Harrison, Group Seeks Ban on Gravity Knife , N.Y. Times , Dec. 19, 1957 ("Judge Cone selected a sleek, silverish object from weapons that the committee had on display. He flicked his wrist sharply downward and the long blade shot forth and anchored firmly in position. 'You see,' he said, 'the blade leaps out with a flip of the wrist and circumvents the law on switchblade knives.' ").
See People v. Herbin ,
Plaintiffs argue that the New York Court of Appeals has held that the gravity knife law reaches only those knives that "readily" respond to the wrist-flick test. People v. Dreyden ,
Plaintiffs also invoke the possibility of a knife loosening over time, as apparently happened to Copeland's knife. For the reasons discussed below, it is unnecessary for us to decide whether Copeland had constitutionally sufficient notice that his knife was unlawful to possess. Accordingly, we do not resolve whether a future defendant to an enforcement action presenting similar facts may successfully contest her prosecution on an as-applied basis.
And has been for some time. In 1962, one commentator summarized the constitutional status of mens rea with the quip "[m ]ens rea is an important requirement, but it is not a constitutional requirement, except sometimes." Herbert L. Packer, Mens Rea and the Supreme Court ,
