The People &c.,
Respondent,
v.
Paul Stuart,
Appellant.
2003 NY Int. 101
In 1999, the Legislature criminalized "stalking." The
crime contemplates an intentional course of conduct with no
legitimate purpose in which the offender targets a particular
person. The conduct must be likely to place the victim in
reasonable fear of material harm, or cause the victim mental or
emotional harm ( see Penal Law § 120.45).[1]
In seeking reversal of
his conviction, defendant contends that the anti-stalking statute
Although defendant had not previously known his victim, a 22-year-old student, he approached her outside a card store and presented her with a bouquet of flowers on Valentine's Day 2000. Complainant refused the gift, but defendant insisted she take it, introduced himself as "Paul," and shook her hand. Ultimately she took the flowers and walked away.
Later that month, defendant stood "shoulder-to- shoulder" next to complainant at a local coffee shop. He asked her to sit down and have a cup of coffee with him. After she declined, defendant asked her to dinner. She refused, telling him that her boyfriend would not appreciate his advances. Undeterred, defendant presented her with a heart-shaped box of chocolates and a portrait of her that he had drawn. On the portrait defendant had inscribed complainant's first name. Disquieted by this unwanted attention, complainant "made it clear" to defendant that she did not want any further contact with him. After he insisted that complainant accept the gifts, she took them and left the coffee shop to go to a library.
Defendant followed her, twice ducking behind trees when
complainant looked over her shoulder. When she got to the
A few days later, complainant went to an athletic club on the second floor of a building near her home. From the street below, passersby could see the club's patrons. Defendant positioned himself where he could see complainant and stare at her while she was working out. Increasingly frightened, she called a friend to meet her at the club and accompany her as she left. Once on the street, they saw defendant handing out flyers. Complainant and her friend then went to a bank to withdraw money. Defendant followed and watched them wait in line at the ATM.
The next day, defendant trailed complainant twice. During a break in her classes, he followed her to a delicatessen where she bought lunch. That evening, he followed her home. Rather than go to her dormitory room, complainant took refuge in a delicatessen on the ground floor of her building, where she telephoned her father and stayed for 40 minutes, afraid to leave. During that entire time, defendant paced outside, staring at her through the windows. When complainant left the deli, defendant was still in the area and began walking toward her.
The following day, defendant watched complainant and
her friend have lunch and tracked the pair while they shopped,
coming within five feet of them. Whenever they looked back at
For almost every day over the ensuing five weeks, defendant followed complainant to various locations, including her dormitory, school and gymnasium, and to stores and restaurants in the neighborhood. When she caught sight of him, defendant would often duck behind a corner and peek out to leer at her. She was frequently accompanied by her friend, who saw defendant following complainant two to three times a week.
Fearful and distraught, complainant again contacted the police and altered her daily patterns, trying to shake defendant off. His intrusive behavior only intensified, and on April 5, 2000, for the first time, he trailed her outside her neighborhood. On that day, complainant went shopping in uptown Manhattan. When taking the subway home, she saw defendant enter her subway car. Defendant did not approach her, but stood several feet away, staring and smirking. Afraid to go home, complainant again spent the night at her friend's house. The following day, she went to the police and filed another report.
The day after that, she saw defendant tracking her once
more. For a fifth time, complainant went to the police station,
where she broke down in tears. Police arrested defendant the
next day and charged him with one count of third-degree stalking
Before trial, defendant moved to dismiss the fourth- degree stalking charges, claiming that Penal Law § 120.45 is unconstitutionally vague both on its face and as applied to him. He argued that the statute fails to provide adequate notice of what conduct it prohibits and does not give sufficient guidance to those charged with enforcing it. The trial court rejected defendant's arguments, concluding that, as applied to him, the statute satisfied the requirements of due process. Defendant waived his right to a jury trial and the court found him guilty of both counts of fourth-degree stalking.[2]
On appeal to the Appellate Term, defendant again argued that Penal Law § 120.45 is unconstitutional on its face and as applied to him. The court affirmed the conviction, holding that the challenged provisions "provide sufficient notice of the conduct proscribed and are written in a manner that does not encourage arbitrary or discriminatory enforcement" (191 Misc 2d 541, 543 [2002]). A Judge of this Court granted defendant leave to appeal, and we now affirm.
In 1992, the Legislature amended the menacing and harassment statutes in its first effort to penalize stalking-type behavior ( see L 1992, ch 345; see also Governor's Mem Approving L 1992, ch 345, at 2886). Concluding that these amendments were not up to the task and that "stalking behavior * * * ha[d] become more prevalent * * * in recent years," the Legislature in 1999 enacted the "Clinic Access and Anti-Stalking Act" (L 1999, ch 635, § 2), creating a new, separate crime known as stalking. The lawmakers were moved by the "unfortunate reality [] that stalking victims have been intolerably forced to live in fear of their stalkers" and that "[s]talkers who repeatedly follow, phone, write, confront, threaten or otherwise unacceptably intrude upon their victims, often inflict immeasurable emotional and physical harm upon them" ( id.). Accordingly, like the other 49 states and the District of Columbia before it,[3] New York enacted an anti- stalking law to give greater protections to stalking victims and "provide clear recognition of the dangerousness of stalking" ( id.; see also NY Assembly Mem in Support, L 1999, ch 635, at 2012).
The Act, codified at Penal Law § 120.45, provides in relevant part:
"A person is guilty of stalking in the fourth degree when he or she intentionally, and for no legitimate purpose, engages in a course of
conduct directed at a specific person, and knows or reasonably should know that such conduct: (1) is likely to cause reasonable fear of material harm to the physical health, safety or property of such person, a member of such person's immediate family or a third party with whom such person is acquainted; or
(2) causes material harm to the mental or emotional health of such person, where such conduct consists of following, telephoning or initiating communication or contact with such person, a member of such person's immediate family or a third party with whom such person is acquainted, and the actor was previously clearly informed to cease that conduct[.]"
On this appeal, defendant contends that Penal Law
§ 120.45 is unconstitutionally vague both on its face and as
applied to him. As he did in the courts below, he argues that
the statute neither gives people adequate notice of what conduct
it proscribes nor provides adequate guidance to those charged
with enforcing it.[4]
It is axiomatic that a proscriptive law must provide people with reasonable notice of the conduct it prohibits. Defendant's challenge goes to the core of this precept. While he properly couches his argument in due process terms, courts had recognized the concept long before it took on constitutional status under the Fifth and Fourteenth Amendments.
The point was made in this country's jurisprudential
infancy, when almost two centuries ago a court explained that, as
a rule of statutory construction, indefiniteness is a ground for
nullification of penal laws. The court said: "It should be a
principle of every criminal code, and certainly belongs to ours,
Courts soon came to believe that prosecution under a nullified or "void" statute amounts to a constitutional violation ( see Intl. Harvester Co. v Kentucky, 234 US 216 [1914]; see generally Note, Indefinite Criteria, 45 Harv L Rev at 160 n 3). Eventually, the Supreme Court characterized vagueness as a due process infirmity, holding that a "statute which either forbids or requires the doing of an act in terms so vague that men of common intelligence must necessarily guess at its meaning and differ as to its application, violates the first essential of due process of law" ( see Connally v General Const. Co., 269 US 385, 391 [1926]).
Our own decisional law took a similar path. We spoke
early of the need for clear statutory warnings to alert people as
to prohibited conduct ( see People v Phyfe, 136 NY 554, 558-559
[1893]; see also People v Taylor, 192 NY 398, 400 [1908]). By
In addressing vagueness challenges, courts have developed a two-part test.[7] The first essentially restates the classical notice doctrine: To ensure that no person is punished for conduct not reasonably understood to be prohibited, the court must determine whether the statute in question is "sufficiently specific to give a person of ordinary intelligence fair notice that his contemplated conduct is forbidden by the statute" ( People v Nelson, , 69 NY2d 302, 307 [1987]; see also People v Foley, , 94 NY2d 668, 681 [2000]; Grayned v City of Rockford, 408 US 104, 108 [1971]; Papachristou v City of Jacksonville, 405 US 156, 162 [1971]).
Second, the court must determine whether the enactment
provides officials with clear standards for enforcement
( see Nelson, 69 NY2d at 307; Kolender v Lawson, 461 US 352, 357
A defendant may challenge a statute as being
unconstitutionally vague on its face or as applied. Here,
defendant has done both. As the term implies, an as-applied
challenge calls on the court to consider whether a statute can be
constitutionally applied to the defendant under the facts of the
case ( see People v Parker, , 41 NY2d 21, 24 [1976]; Chapman v
United States, 500 US 453, 467 [1991]; Fallon, As-Applied and
Facial Challenges and Third Party Standing, 113 Harv L Rev 1321,
1321 [2000]). By contrast, a facial challenge requires the court
to examine the words of the statute on a cold page and without
reference to the defendant's conduct. In pursuing a facial
Because facial challenges to statutes are generally
disfavored ( see e.g. Nat'l Endowment for the Arts, 524 US at 580)
and legislative enactments carry a strong presumption of
constitutionality ( see Brady v State, , 80 NY2d 596, 602 1992];
Bright, 71 NY2d at 382), a court's task when presented with both
a facial and as-applied argument is first to decide whether the
assailed statute is impermissibly vague as applied to the
defendant ( see Ulster Home Care, Inc. v Vacco, , 96 NY2d 505, 510
[2001]; Nelson, 69 NY2d at 308; Hoffman Estates, 455 US at 495;
It follows, therefore, that if a defendant makes an as- applied vagueness challenge and the court repudiates it, the facial validity of the statute is confirmed ( see Hoffman Estates, 455 US at 505). That is so because, in rejecting the as-applied challenge, the court will have necessarily concluded that there is at least one person -- the defendant -- to whom the statute may be applied constitutionally ( see id. ["We hold that (legislation) is not facially * * * vague if it * * * is reasonably clear in its application to the complainant"]). It would thus be impossible for a defendant to establish the statute's unconstitutionality in all of its applications.[9]
Although we have not said it in so many words, our most
In her concurrence, the Chief Judge argues that the "no
valid applications" rule is wrong, and that it is unwise for the
With these principles in mind, we begin by addressing whether Penal Law § 120.45 is unconstitutionally vague as applied to defendant.[11] The statute contains a preamble followed by three subsections.[12] The preamble provides that a person is guilty of stalking in the fourth degree if he (1) intentionally and for no legitimate purpose (2) engages in a course of conduct directed at a specific person (3) when he knows or reasonably should know that his conduct will have either of two consequences: first, that it is likely to cause reasonable fear of material harm to the victim's (or other specified third- party's) physical health, safety or property ( see subsection [1]); and second, that the conduct causes material harm to the victim's mental or emotional health and consists of following, telephoning or initiating communication with the victim (or other specified third-party) after being clearly told to stop ( see subsection [2]).
Defendant's principal attack is on the words "no
legitimate purpose." He argues that the Legislature's failure to
We note at the outset that the statute does contain a
mens rea requirement of intent, in that a person cannot be guilty
of stalking by accident, inadvertence or chance encounter.
Before a person can be convicted, he must have intended to engage
in a course of conduct targeted at a specific person. Defendant
argues that this intent requirement is not enough; he claims that
the statute must contain a requirement that the offender intend a
specific result, such as fear or harm. We disagree. In People v
Nelson (69 2 302), this Court upheld a jostling statute as
against a vagueness challenge even though the statute did not
specifically require larcenous intent. Like the statute before
us today, it prohibited "a certain intentional course of conduct
regardless of the wrongdoer's underlying purpose or motive" ( id.
at 307-308 [emphasis added]). We observed that the jostling
statute "clearly delineates specific conduct easily avoided by
the innocent-minded" and thus "should present no difficulty for a
citizen to comprehend that he must refrain from acting with the
intent to bring his hand into the proximity of a stranger's
pocket or handbag unnecessarily" ( id. at 307). Similarly,
defendant could not reasonably have failed to realize that his
The Legislature's decision to require intent as to a particular course of conduct -- as opposed to a specific result - - was purposeful. In following the lead taken by the drafters of the Model Anti-Stalking Code,[13] the Legislature enacted Penal Law § 120.45 recognizing that many stalkers are mentally or emotionally disturbed and that trying to discern their specific motivations would prove difficult, if not impossible. The statute thus focuses on what the offenders do, not what they mean by it or what they intend as their ultimate goal. In this manner, the law could properly reach those "delusional stalkers who believe either that their victims are in love with them or that they can win their victims' love by pursuing them" (Note, Anti-Stalking Laws: Do they Adequately Protect Stalking Victims?, 21 Harv Women's L J 229, 254 [1998]). If the Legislature had required that the stalker intend to frighten or harm the victim, the statute would be debilitated and a great many victims endangered. Stalkers would be free to continue as long as they harbored the notion that they stood to win, rather than harm, their prey. We cannot tell how many stalkers intend no harm. The Legislature did not want to give them license.
In considering defendant's conduct, we cannot conclude
The anti-stalking statute also requires that the
offender know or reasonably should know that his conduct is
likely to cause reasonable fear of material harm to the victim's
physical health, safety or property ( see Penal Law § 120.45[1]).
And, in the case of subsection (2), the statute specifies that
the offender must follow, telephone or initiate communication
with the victim after being told to stop. These provisions are
important because they eliminate the concern that a particular
course of conduct will be deemed criminal based merely on the
subjective fear or sensibilities of the alleged victim. The fear
must be reasonable and not idiosyncratic; the harm (or likely
harm) must be material. These are objective terms easily
understood. As was true with the jostling statute in Nelson, the
anti-stalking law is "easily followed by most citizens of this
State, provides objective criteria * * * [and] is not dependent
In turning to the words "no legitimate purpose," we note that People v Shack (, 86 NY2d 529) involved a constitutional attack on an almost identical phrase. There, the defendant challenged Penal Law § 240.30(2), which provides that "[a] person is guilty of aggravated harassment in the second degree when, with intent to harass, annoy, threaten or alarm another person, he * * * [m]akes a telephone call, whether or not a conversation ensues, with no purpose of legitimate communication" ( Shack, 86 NY2d at 533 [emphasis added]). As defendant does here, Shack argued that "the subjective term 'legitimate' * * * is incapable of precise definition" ( id. at 538). We rejected his claim, holding that common understanding and practices clarified the meaning of the phrase as being "the absence of expression of ideas or thoughts other than threats and/or intimidating or coercive utterances" ( id.). We noted that the words "no purpose of legitimate communication" should not be considered in isolation because they are but one element of a statute that fully defines the prohibited act ( id. at 539). Considered in light of "the clear and understandable elements of the criminal conduct" ( id. at 538-539), we concluded that the statute gave Shack adequate notice and law enforcement authorities sufficient guidance.
Here, too, we are satisfied that an ordinary
Besides the "no legitimate purpose" element, the statute contains lucid provisos clearly applicable to defendant's conduct: The course of conduct must be intentional; it must be aimed at a specific person; and the offender must know (or have reason to know) that his conduct will (or likely will) instill reasonable fear of material harm in the victim. In the case of subsection (2), the offender must have been told to cease his conduct after having followed, telephoned or initiated communication with the victim. Defendant has offered no explanation for having inflicted himself on complainant, nor has he attempted to show that his intrusive behavior involved some valid purpose other than hounding her to the point of harm. This is not legitimate, and defendant has given us no reason to conclude that it could have been anything but illegitimate. Lastly, he has not argued to this Court that complainant was never in fear, reasonable or otherwise, or that she suffered no harm, whether it be material or not.
We therefore conclude that sections 120.45(1) and (2) of the Penal Law, as applied to defendant's conduct, are not unconstitutionally vague. It follows that, because there exists at least one constitutional application of the statute, it is not invalid on its face ( see Hoffman Estates, 455 US at 499, 505).
Accordingly, the order of the Appellate Term should be affirmed.
Kaye, Chief Judge (concurring in result):
I join in the Court's rejection of defendant's as- applied vagueness challenge. Additionally, I agree with the Court's rejection of defendant's facial challenge because the language of the statute provides persons of ordinary intelligence with fair notice of what is proscribed and does not permit arbitrary or discriminatory enforcement by the police. That is all that is required to resolve this case, in accordance with a long line of precedents of this Court and others throughout the State that have for decades entertained as-applied and facial challenges to statutes.
What I cannot accept is the rule now imposed that -- in a vagueness challenge -- a statute must be found constitutional on its face whenever an as-applied challenge fails. The Court's last sentence says it all: "because there exists at least one constitutional application of the statute, it is not invalid on its face" (Slip Op at 26). Thus, either a statute will be found constitutional as applied and a facial challenge thereby fails on the merits (as here), or a statute will be found unconstitutional as applied and the Court -- having resolved the controversy before it -- does not need to reach the facial challenge.
The Court's rule is taken from United States v Salerno
(481 US 739, 745 [1987]), which opined that, in order to prevail
on most facial claims, "the challenger must establish that no set
A statute is unconstitutionally vague when either of
two separate circumstances exist: (1) the statute fails to
provide sufficient notice, such that "a person of ordinary
intelligence" * * * "could not reasonably understand [what
conduct is lawful and what is] * * * proscribed," or (2) the
statute is written in a manner that permits or encourages
arbitrary or discriminatory enforcement ( People v Bright, , 71 NY2d 376, 382 [1988]). The first prong thus presumes that the statute
In Bright, after striking down the statute on its face,
we then went on to determine that even if it had not been vague
on its face, the statute would still have been vague as applied
insofar as "transportation facility" was "defined in such a
broad, all-encompassing manner so as to include some facilities
that are more analogous to the public street than to a specific
area of restricted public access that gives notice of its
prohibition against loitering" (71 2 at 386). Because the two
facilities involved in Bright -- the Long Island Railroad Station
Similarly, in Coates v Cincinnati (402 US 611 1971]),
the Supreme Court struck down as vague on its face an ordinance
prohibiting persons assembled on a sidewalk from "conduct[ing]
themselves in a manner annoying to persons passing by." The
Court explained that "[i]t is said that the ordinance is broad
enough to encompass many types of conduct clearly within the
city's constitutional power to prohibit. And so, indeed, it is.
The city is free to prevent people from * * * engaging in
countless * * * forms of antisocial conduct. It can do so
through the enactment and enforcement of ordinances directed with
reasonable specificity toward the conduct to be prohibited. * * *
It cannot constitutionally do so through the enactment and
enforcement of an ordinance whose violation may entirely depend
This makes sense because vagueness is different. Insofar as a statute's language may be read to cover both criminal and innocent conduct -- and thus may in some circumstances be constitutional as applied and in others unconstitutional -- it may fail to provide fair notice as to just what conduct is in fact meant to be prohibited, rendering it unconstitutional on its face. It is only in this sense -- that no one can define the limits of the situations that a statute is meant to proscribe, even though some may know with certainty that their conduct is included within the vast universe of what is prohibited -- that it may be said that a facially vague statute is vague in all its conceivable applications.
In other words, a facially vague statute fails to give
anyone notice of its limits, even though everyone might
understand its core, and even though it may not be
unconstitutional as applied to this core. A vague statute grants
the police "too much discretion in every case," regardless of
whether that discretion is applied "wisely or poorly in a
particular case. * * * And if every application of the ordinance
Insofar as the Court now concludes that defendants may not mount a facial challenge when they should have known that their conduct was meant to be proscribed by the challenged statute, its analysis mistakenly focuses exclusively on the first prong of the vagueness test while ignoring the second. Indeed, a focus on the second, "more important" ( Kolender, 461 US at 358), prong makes clear why the Court's rule is hard to sustain. Were vagueness to be defined merely in terms of whether a statute provides fair notice of what is prohibited, it would be easy to conceive of the failure of an as-applied challenge when the conduct of the particular defendant fit "squarely within the 'hard core' of the statute's proscriptions" ( Broadrick v Oklahoma, 413 US 601, 608 [1973]). But the second prong mandates that a statute not permit or encourage arbitrary or discriminatory enforcement by the police. The test is not whether an officer actually exercised discretion arbitrarily in a given case.
Thus understood, an analysis of the second prong "as applied" to a defendant has no discernible meaning; the very nature of a second-prong analysis is inherently a facial one. Indeed, the Court's so-called "as-applied" analysis -- focusing as it does on the language of the statute as commonly understood; properly construing "no legitimate purpose" to mean "the absence of a reason or justification to engage someone, other than to hound, frighten, intimidate or threaten" (Slip Op at 25); and concluding that the statute is not "in any way vague" (Slip Op at 23) -- seems to me to be in truth a facial analysis.
Finally, the Court asserts that, under its rule, facial challenges may nevertheless succeed -- as in Bright -- when a statute is "so vague that it fail[s] to specify any standard of conduct * * * and place[s] 'complete discretion in the hands of the police'" (Slip Op at 16 [citation omitted]). A statute is vague when a person of ordinary intelligence cannot reasonably understand what conduct is proscribed or when it is written in a manner that permits or encourages arbitrary or discriminatory enforcement. To begin to distinguish among gradations of vagueness so as to determine not merely that a statute fails this constitutional test but rather that it is "so vague" as to be facially invalid creates an unworkable standard.
Thus, in the end the Court's rule is that failure of an
as-applied challenge to the constitutionality of a statute on
vagueness grounds automatically constitutes failure of a facial
1 The Penal Law divides the crime of stalking into four degrees, depending on aggravating circumstances. Fourth-degree stalking, of which defendant stands convicted, is a class B misdemeanor (Penal Law § 120.45). Third-degree stalking is a class A misdemeanor (Penal Law § 120.50); second-degree stalking is a class E felony (Penal Law § 120.55); and first-degree stalking is a class D felony (Penal Law § 120.60).
2 The prosecution dropped the harassment charge and defendant was acquitted of the third-degree stalking charge.
3 For a list of all the jurisdictions and their anti-stalking statutes, see David, Is Pennsylvania's Stalking Law Constitutional?, 56 U Pitt L Rev 205, 205-206 n 1 (1994).
4 We note that vagueness challenges to stalking statutes have almost uniformly been rejected by reviewing courts ( see State v Randall, 669 So2d 223 [Ala Ct Crim App 1995]; Peterson v State, 930 P2d 414 [Alaska Ct App 1996] [dictum]; People v Ewing, 76 Cal App 4th 199 [Cal Ct App 1999] [and cases cited at 206, n2]; People v Baer, 973 P2d 1225 [Colo 1999]; State v Marsala, 688 A2d 336 [Conn Ct App], cert denied 690 A2d 400 [Conn 1997]; United States v Smith, 685 A2d 380 [DC 1997]; Snowden v State, 677 A2d 33 [Del 1996]; Bouters v State, 659 So2d 235 [Fla 1995]; Johnson v State, 449 SE2d 94 [Ga 1994]; People v Bailey, 657 NE2d 953 [Ill 1995]; State v Rucker, 987 P2d 1080 [Kan 1999] [as amended]; Monhollen v Commonwealth, 947 SW2d 61 [Ky 1997]; Galloway v State, 781 A2d 851 [Md Ct App 2001], cert denied 535 US 990 [2002]; Staley v Jones, 239 F3d 769 [6th Cir 2001] [adjudicating a challenge to Michigan's anti-stalking law]; State v Orsello, 554 NW2d 70 [Minn 1996] [upholding anti-stalking statute by construing it to require a specific intent]; State v Martel, 902 P2d 14 [Mont 1995]; State v Porelle, 822 A2d 562 [NH 2003]; State v Cardell, 723 A2d 111 [NJ App Div 1999]; State v Duran, 966 P2d 768 [NM Ct App] [reversing the defendant's conviction on other grounds], cert denied 972 P2d 352 [NM 1998]; City of Akron v Andrews, 2000 Ohio App LEXIS 158 [Ohio Ct App 2000]; State v Saunders, 886 P2d 496 [Okla Ct Crim App 1994]; Delgado v Souders, 46 P3d 729 [Ore 2002] [as amended]; Commonwealth v Schierscher, 668 A2d 164 [Pa Super Ct 1995]; State v Fonseca, 670 A2d 1237 [RI 1996]; State v McGill, 536 NW2d 89 [SD 1995]; Salt Lake City v Lopez, 935 P2d 1259 [Utah Ct App 1997]; Parker v Commonwealth, 485 SE2d 150 [Va Ct App 1997], cert denied 523 US 1071 1998]; State v Lee, 957 P2d 741 [Wash 1998]; State v Ruesch, 571 NW2d 898 [Wis Ct App 1997]; Luplow v State, 897 P2d 463 [Wyo 1995]; but see Commonwealth v Kwiatkowski, 637 NE2d 854 [Mass 1994] [reversing the defendant's conviction, but construing the statute to resolve any ambiguity in the requirement that the defendant "repeatedly" harass his victim, and directing that the redeemed statute be applied in future cases]; Long v Texas, 931 SW2d 285 [Tex Ct Crim App 1996]).
5 Before Berck, this Court had struck down statutes based on vagueness challenges but did not expressly rely on the due process clause ( see People v Firth, , 3 NY2d 472 [1957] [speeding statute]; People v Diaz, , 4 NY2d 469 [1958] [loitering statute]).
6 In other instances, lower courts have struck down criminal statutes or ordinances on grounds of unconstitutional vagueness ( see e.g. Bakery Salvage Corp. v City of Buffalo, 175 AD2d 608 [4th Dept 1991] [noxious or offensive odor]; Carpinelli v City of Kingston, 175 AD2d 509 [3rd Dept 1991] [prohibition against more than two commissioners having the same political opinion on state and national issues]; Russell v Town of Pittsford, 94 AD2d 410 [4th Dept 1983] [request to purchase from a peddler]; Adventures in Cinema, Inc. v Congdon, 59 AD2d 52 [3d Dept 1977] [film presentations that persons under the age of seventeen would not be permitted to attend]; People v Iftikhar, 185 Misc 2d 565 [Crim Ct, Queens County 2000] [any uniform, shield, button, wreaths, numbers or other insignia or emblem in any way resembling that worn by members of the police force]; People v Mazzochetti, 181 Misc 2d 701 [Just Ct, Monroe County 1998] [fence]; People v Geel, 180 Misc 2d 272 [Just Ct, Rensselaer County 1999] [loud or raucous noises likely to annoy or disturb people]; People v Donato, 179 Misc 2d [New Rochelle City Ct 1998] [pet animals making unnecessary noise]; Citizens for a Safer Community v City of Rochester, 164 Misc 2d 822 [Sup Ct, Monroe County 1994] [air gun]; People v Peterson, 145 Misc 2d [Nassau Dist Ct 1989][absence of definitions for the terms commercial vehicle and passenger vehicle in Motor Vehicle and Traffic Law]; People v Fulvio, 136 Misc 2d 334 [Crim Ct, Bronx County 1987] [surcharge]; People v Sposito, 126 Misc 2d 185 [Dist Ct, Suffolk County 1984] [dead storage]; People v Christian, 96 Misc 2d 1109 [Crim Ct, Kings County 1978] [no sidewalk vendor shall operate within twenty feet of any other vendor]; People v Buscemi, 89 Misc 2d 174 [Suffolk Dist Ct 1977] [restrain in statute prohibiting unlawful imprisonment]; People v Heslop, 62 Misc 2d 620 [Tompkins County Ct 1970] [requirement that postal carriers driving private vehicles in delivering mail must affix a sign reading US MAIL to the roof of their vehicle]; Sa-Blue, Inc. v Village of Port Chester, 42 Misc 2d 360 [Sup Ct, Westchester County 1963] [prohibition against dancing and entertainment in restaurants and taverns after 1:00 AM]). We have no occasion to address the correctness of these decisions or their analyses.
7 The void-for-vagueness doctrine has been considered in civil cases as well as criminal ones ( see e.g. Saratoga Water Servs v Saratoga County Water Auth., , 83 NY2d 205, 213-214 1994]; Nat'l Endowment for the Arts v Finley, 524 US 569, 580 [1998]).
8 The case before us does not implicate First Amendment rights and defendant does not argue that the First Amendment overbreadth doctrine applies. Indeed, as the Supreme Court said when considering a vagueness challenge in Chapman v United States, "First Amendment freedoms are not infringed [by the statute at issue], so the vagueness claim must be evaluated as the statute is applied to the facts of this case" (500 US at 467; see also New York v Ferber, 458 US 747, 768-773 [1982]; Broadrick v Oklahoma, 413 US 601, 610-616 [1973]). By allowing a facial challenge after an unsuccessful as-applied challenge ( see concurring opn, at 3-5), the concurrence explicitly would hold that a facial challenge on vagueness grounds can succeed even when the statute is not invalid in all its applications, but merely covers "a substantial amount of innocent conduct" ( id. at 3). The concurrence thus improvidently imports overbreadth analysis into a vagueness case. We cautioned against this approach in Schulman v NYC HHC (38 2 234, 242 [1975]), where we noted that we have not "extend[ed] [the overbreadth doctrine] beyond the reach of the First Amendment." Indeed, the concurrence's approach would go even beyond overbreadth analysis in vagueness cases by striking down statutes that cover "innocent" -- but presumably not constitutionally protected -- conduct. The overbreadth doctrine, however, calls for striking down a statute only when it covers a substantial amount of conduct protected by the First Amendment ( see Ferber, 458 US at 768-770; Broadrick, 413 US at 612).
9 The concurrence misconstrues our analysis by suggesting that a defendant on notice will be unable to raise a facial challenge ( see concurring opn, at 6). This, however, is not the test. A defendant on notice may indeed challenge the statute facially where it is so vague that it leaves the police with arbitrary rather than enforceable standards in every application. Furthermore, we note that defendants are on notice when they should have known that their conduct was prohibited; not, as the concurrence suggests, when "they should have known that their conduct was meant to be proscribed by the challenged statute" ( id. at 6 [emphasis added]).
10 The Chief Judge has written a concurring opinion in which she raises concerns as to the proper analysis in cases of this type, and disagrees with the Court's approach. Because her observations are cogent and important, it is appropriate that we address the concurrence in detail. To begin with, we cannot agree that the Court's approach forecloses the possibility of successful facial challenges in the future ( see concurring opn, at 1-2). If a defendant can show that the statute is so vague that it specifies no standard of conduct at all or leaves the police with arbitrary rather than proper standards for enforcement, we would, most assuredly, address and sustain a facial challenge because under those circumstances the statute could never be applied constitutionally. As the Chief Judge aptly points out, the defendants in Bright (and NY Trap Rock Corp.) made successful facial challenges, and we note that the challenges prevailed precisely because the statutes gave the police "complete discretion" ( Bright, 71 NY2d at 376). Nothing in our analysis prevents defendants from making similar arguments in proper cases. We agree that it may sometimes be difficult to discern the point at which a statute is so vague as to justify a finding of facial invalidity, but this by no means involves an "unworkable standard" ( see concurring opn, at 7). We simply apply the very same test that we employed in Bright and Trap Rock. It was no less workable in those cases than it will be in any future ones.
Under the concurrence, however, we are given no guidance as to when we should entertain a facial challenge. The concurrence does not tell us, for example, when (or why) we should reach the merits of a facial challenge after having rejected the defendant's as-applied challenge, nor when (or why) we should reach the merits of a facial challenge after having sustained the defendant's as-applied challenge. Indeed, in the case before us the concurrence has apparently concluded that the statute is facially valid, but unlike the majority offers no criterion as to when or why it is ever appropriate to reach this constitutional question (or why it has chosen to do so in this particular case). We appreciate that there is some disagreement on the general subject and commentators have debated it at length ( see e.g. Hill, Some Realism About Facial Invalidation of Statutes, 30 Hofstra L Rev 647 [2002]; Fallon, As-Applied and Facial Challenges and Third Party Standing, 113 Harv L Rev 1321 [2000]; Note, Stranger in a Strange Land: The Use of Overbreadth in Abortion Jurisprudence, 99 Colum L Rev 173 [1999]; Dorf, Facial Challenges to State and Federal Statutes, 46 Stan L Rev 235 [1994]), but we believe our approach is the more practical and eminently more predictable one in dealing with this difficult problem.
The concurrence uses Coates (402 US 611) to illustrate how a defendant can lose an as-applied challenge to a statute that was facially unconstitutional. Under our analysis, however -- and under the analysis employed by the Coates Court -- Coates would not have lost his as-applied challenge. Given that the statute was unconstitutional on its face, it could not possibly have been applied constitutionally to any single defendant. As the Court said, states may penalize certain conduct, but may not "do so through the enactment and enforcement of an ordinance whose violation may entirely depend on whether or not a policeman is annoyed" ( id. at 614). Thus, while Coates's conduct may (or may not) have been punishable under a valid statute ( see id. at 616 [opinion of the Court]; id. at 617 [opinion of Black, J.]), all convictions under the vague statute were invalid.
That approach, and the one we follow today, rules out what would otherwise result in odd or troubling scenarios (if we were to adopt the concurrence's rationale). Take for example the defendant who makes only an as-applied vagueness challenge. If we reject it, the statute would be constitutional as applied to that defendant, but its facial validity would not have been considered. Eventually, however, another defendant could raise a facial challenge to the same statute. Under the concurrence's approach, we could properly entertain it and, indeed, strike down the statute on its face. Thus, the defendant's conviction in the first case will have been upheld based on a statute later found unconstitutional on its face. Even though this sequence may occur in instances where the defendant in the initial case fails to preserve certain arguments for review which the later defendant properly raises, there is a critical difference here. By rejecting the as-applied challenge in the first case, the Court would necessarily have held that the statute provides police adequate guidance for enforcement (the second prong of the vagueness test). The second case, therefore, far from deciding a question not presented in the first litigation, would actually invite the Court to eviscerate the first decision by concluding that the very same statute does not in fact provide the police with adequate guidance.
Lastly, the concurrence is mistaken when it says that the approach we follow today originated in United States v Salerno (481 US 739 [1987]) ( see concurring opn, at 2). In fact, five years before that case the Supreme Court had set forth the very same rule in Hoffman Estates v The Flipside (455 US 489, 494-495, 497 [1982]) and did so again in Members of City Council of Los Angeles v Taxpayers for Vincent (466 US 789, 796 1984]). Moreover, contrary to the concurrence's assertion, the Supreme Court has never repudiated this rule or overruled any of these cases. To the extent the concurrence relies on City of Chicago v Morales (527 US 41 [1999]) for that proposition, we note that Justice Stevens was joined by only two members of the Court when he objected to the "no valid applications" rule ( see id. at 51- 56).
11 Defendant's argument that he may challenge the anti- stalking statute on its face because it infringes "upon a liberty interest protected by the Fourteenth Amendment Due Process Clause" ( see Morales, 527 US at 53-54 [plurality opn]) is not preserved for our review.
12 Subsection (3) of Penal Law § 120.45 is not before us.
13 See National Institute of Justice, Project to Develop a Model Anti-Stalking Code for the States 43-48 (1993).
14 Notably, McGowan v Burstein (, 71 NY2d 729 [1988]), and Matter of Wood v Irving (, 85 NY2d 238 [1995]) -- cited by the Court (Slip Op at 17) -- are civil cases ( see Kolender v Lawson, 461 US 352, 358 n 8 [1983] ["where a statute imposes criminal penalties, the standard of certainty is higher," citing Winters v New York, 333 US 507, 515 (1948)]).
15 See City of Chicago v Morales (527 US 41, 55 n 22 [1999] [Stevens, J.] [plurality opinion] [pointing out that the Salerno "no-conceivable-circumstances" formulation was dictum and that such a standard had "never been the decisive factor in any decision of this Court, including Salerno itself," and concluding that a facial challenger need not "establish that no set of circumstances exists under which the Act would be valid"]); Kolender (461 US at 358 n 8 [explaining that the Supreme Court has "invalidate[d] a criminal statute on its face even when it could conceivably have had some valid application," citing e.g. Lanzetta v New Jersey, 306 US 451 (1939)]). See also Dorf, Facial Challenges to State and Federal Statutes (46 Stan L Rev 235, 236, 238 [1994] [observing that the rule in Salerno "neither accurately reflects the Court's practice with respect to facial challenges, nor is it consistent with a wide array of legal principles"]).