Mannix v. Phillips; Archer v. Fischer, No. 07-0664 (2d Cir. 2010)

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07-0664-pr; 09-2041-pr Mannix v. Phillips; Archer v. Fischer 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT August Term, 2009 (Argued: July 12, 2010 Decided: August 30, 2010) Docket Nos. 07-0664-pr; 09-2041-pr JOHN MANNIX, Petitioner-Appellant, v. WILLIAM PHILLIPS, Respondent-Appellee. JERMAINE ARCHER, Petitioner-Appellant, -v.BRIAN FISCHER, Respondent-Appellee. Before: RAGGI, WESLEY, HALL, Circuit Judges. Appeals from judgments of the United States District Courts for the Southern and Eastern Districts of New York, denying petitioners petitions, brought pursuant to 28 U.S.C. § 2254, for writs of habeas corpus. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 Petitioners John Mannix and Jermaine Archer contend that, at the time that each of their convictions became final, New York s depraved indifference murder statute, N.Y. Penal Law § 125.25(2), was unconstitutionally vague as applied to them. We hold that the New York state courts determination that the depraved indifference murder statute was not unconstitutionally vague was not contrary to, or an unreasonable application of, clearly established Supreme Court precedent. We further hold, with respect to petitioner Mannix, that legally sufficient evidence supports his conviction. Finally, we hold that even if Mannix s claim based on the prison mailbox rule is properly before this Court, no relief is warranted on this basis. Accordingly, the judgments of the district courts, denying the petitions for writs of habeas corpus, are hereby AFFIRMED. RANDA D. MAHER, Great Neck, New York, for Petitioner-Appellant John Mannix. SHERYL FELDMAN, Assistant District Attorney, for Cyrus R. Vance, Jr., District Attorney, New York County, New York, New York, for Respondent-Appellee William Phillips. SALLY WASSERMAN, New York, New York, for Petitioner-Appellant Jermaine Archer. HOWARD B. GOODMAN (Leonard Joblove, Sholom J. Twersky, Assistant District Attorneys, on the brief), Assistant District Attorney, for Charles J. Hynes, District Attorney, Kings County, Brooklyn, New York, for RespondentAppellee Brian Fischer. 2 1 WESLEY, Circuit Judge: 2 John Mannix appeals from a judgment of the United 3 States District Court for the Southern District of New York 4 (Richard Conway Casey, Judge) denying his petition for a 5 writ of habeas corpus. 6 judgment of the United States District Court for the Eastern 7 District of New York (Joseph F. Bianco, Judge) denying his 8 petition for a writ of habeas corpus. 9 in tandem because both petitioners argue that, at the time 10 their convictions became final, the definition of depraved 11 indifference murder under New York law, see N.Y. Penal Law 12 § 125.25(2), was unconstitutionally vague. Mannix further 13 argues that the evidence was legally insufficient to support 14 his conviction. 1 15 Jermaine Archer appeals from a We heard the appeals The New York state courts rejection of petitioners 16 vagueness claims was not contrary to, or an unreasonable 17 application of, clearly established Supreme Court precedent. 18 28 U.S.C. § 2254(d)(1). At the times petitioners 1 To the extent the district court reached a contrary result based on a report and recommendation from Magistrate Judge Gabriel W. Gorenstein to which it appeared Mannix did not object, Mannix here invokes the prison mailbox rule to argue that he satisfied his objection obligation even if the objections were not received by the district court. 3 1 convictions became final, New York s depraved indifference 2 murder statute, N.Y. Penal Law § 125.25(2), provided them 3 with notice that their conduct was prohibited. 4 statute did not authorize or encourage arbitrary 5 enforcement. 6 And, the Petitioners argue that, at the time that each of their 7 convictions became final, the depraved indifference murder 8 statute, id. § 125.25(2), was constitutionally defective 9 because the differences between that statute and the statute 10 governing reckless manslaughter, or manslaughter in the 11 second degree, id. § 125.15(1), were indiscernible or non- 12 existent. 13 former judge of the United States District Court for the 14 Southern District of New York granting habeas corpus relief 15 from convictions on this ground. 16 Senkowski, No. 02 Civ. 10248, 2003 WL 25719647 (S.D.N.Y. 17 Sept. 22, 2003), rev d on other grounds, 374 F.3d 181 (2d 18 Cir. 2004); Jones v. Keane, No. 02 Civ. 1804, 2002 WL 19 33985141 (S.D.N.Y. May 22, 2002), rev d on other grounds, 20 329 F.3d 290 (2d Cir. 2003). We conclude that the argument 21 lacks merit. 22 manslaughter statutes were distinct at the times that In support, petitioners cite two decisions by a See St. Helen v. The depraved indifference murder and reckless 4 1 petitioners convictions were finalized. 2 an act may violate more than one criminal statute, and the 3 government may prosecute a defendant under either one 4 without raising constitutional vagueness concerns under the 5 Due Process Clause. 6 Protection Clause demands is that the government not 7 discriminate against a class of defendants in the exercise 8 of its prosecutorial discretion. 9 And, in any event, What the Constitution s Equal We also hold that legally sufficient evidence supports 10 Mannix s conviction. 11 question of whether or not, pursuant to the prison mailbox 12 rule, Mannix s objections to the magistrate judge s report 13 and recommendation are properly presented to this Court. 14 Even if this claim is properly before us, Mannix is not 15 entitled to any relief on this basis because the 16 magistrate s report and recommendation were not in error. I. BACKGROUND 17 18 19 Finally, we need not resolve the A. Petitioner John Mannix In the early morning hours of February 26, 2000, in a 20 Manhattan bar, Mannix got into a heated exchange with an 21 individual named Matthew Torruella. 22 F. Supp. 2d 280, 283 (S.D.N.Y. 2005). 5 Mannix v. Phillips, 390 Eventually, the two 1 men ended up in a physical altercation. 2 appeared to come to an end when Mannix pinned Torruella up 3 against a wall and the two men then separated. 4 However, as Mannix was backing away, Torruella sucker- 5 punched him in the face. 6 Mannix was angry, Torruella s companion pulled Torruella 7 into the ladies room at the back of the bar a one-person 8 restroom, approximately four feet by eight feet in size 9 and locked the door. 10 Id. Id. Id. The dispute Id. Apparently recognizing that Moments later, Mannix followed. Id. 11 According to witnesses, Mannix kicked and pounded the 12 bathroom door for between thirty seconds and two minutes. 13 Id. 14 heard something that sounded like a gunshot while Mannix was 15 still in front of the door. 16 testified to hearing loud pounding noises and something that 17 sounded like someone throwing himself against a door. 18 Mannix fatally shot Torruella in the chest through the 19 bathroom door. 20 called the bar and asked if he had hit anyone. 21 he was told that he had, he responded, good, and hung up. 22 Id. At this point, as least one witness indicated that she Id. at 284. Id. at 283-84. Others Id. Mannix then left, but later Id. When An investigating officer determined that the bullet 6 1 hole in the bathroom door was dead center in the middle of 2 the door at approximately chest level. 3 quotation marks omitted). 4 Id. (internal Mannix was charged with depraved indifference murder, 5 N.Y. Penal Law § 125.25(2), and the lesser included offense 6 of reckless manslaughter, id. § 125.15(1). 7 explained to the jury that, if it was satisfied beyond a 8 reasonable doubt of the guilt of the defendant, it could 9 find him guilty of only one of these crimes. The court Trial Tr. 10 1067:17-19. The judge informed the jury that a person is 11 guilty of depraved indifference murder when under 12 circumstances evincing a depraved indifference to human life 13 he recklessly engages in conduct which creates a grave risk 14 of death to another person, and thereby causes the death of 15 that person. 2 Trial Tr. 1068:9-12. The court made it 2 The judge provided the jury with the following definition of recklessness: A person [acts] recklessly with respect to another person s death, when that person engages in conduct which creates a substantial, unjustifiable and grave risk that another person s death will occur, and when he is aware of and consciously disregards that risk. And when that risk is of such nature and degree that disregard of it constitutes 7 1 clear that in order for the jury to find Mannix guilty of 2 depraved indifference murder, it had to decide whether the 3 circumstances surrounding his reckless conduct when 4 objectively viewed, made it so uncaring, so callous, so 5 dangerous and so inhuman as to demonstrate an attitude of 6 total and utter disregard for the life of the person or 7 persons endangered. 8 further instructed: 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Trial Tr. 1069:17-21. The judge Under our law a crime committed recklessly is generally regarded as less serious and blameworthy than a crime committed intentionally. But when reckless conduct is engaged in under circumstances evincing a depraved indifference to human life, the law regards that conduct as so serious, so egregious as to be the equivalent of intentional conduct. Conduct evincing a depraved indifference to human life is much more serious and blameworthy than conduct which is merely reckless. It is conduct which beyond being reckless is so wanton, so deficient of moral sense and concern, so devoid of regard for life or lives of others, as to equal in blameworthiness intentional conduct, which produces the same result. Trial Tr. 1069:1-14. a gross deviation from the standard of conduct that a reasonable person would observe in the situation. Trial Tr. 1068:16-25; see also N.Y. Penal Law § 15.05(3). 8 1 The judge instructed that if the jury did not find Mannix 2 guilty of depraved indifference murder, it should next 3 consider whether the government proved beyond a reasonable 4 doubt that he was guilty of reckless manslaughter. 5 judge explained that a person is guilty of [reckless] 6 manslaughter . . . when that person recklessly causes the 7 death of another person. 8 November 13, 2000, the jury found Mannix guilty of depraved 9 indifference murder. 3 10 Trial Tr. 1070:17-19. The On N.Y. Penal Law § 125.25(2). Mannix appealed, and the appellate division affirmed 11 his conviction. People v. Mannix, 756 N.Y.S.2d 33, 34 (1st 12 Dep t 2003). 13 to [Mannix s] contention, Penal Law § 125.25(2), which 14 defines depraved indifference murder, is not 15 unconstitutionally vague. 16 depraved indifference murder and reckless manslaughter were 17 separate crimes, both facially and as interpreted. 18 The appellate division further noted that, [i]n any event, 19 the Supreme Court of the United States has long recognized The appellate division held that, [c]ontrary Id. 3 The court stated that Id. Petitioner Mannix was sentenced to a term of imprisonment of eighteen years for the depraved indifference murder charge on which he was convicted. 9 1 that when an act violates more than one criminal statute, 2 the [g]overnment may prosecute under either so long as it 3 does not discriminate against any class of defendants. 4 Id. (quoting United States v. Batchelder, 442 U.S. 114, 123- 5 24 (1979)). 6 verdict convicting [Mannix] of depraved indifference murder 7 was based on legally sufficient evidence and was not against 8 the weight of the evidence. 9 Appeals denied Mannix s application for leave to appeal. 10 11 The appellate division also found that [t]he Id. The New York Court of People v. Mannix, 100 N.Y.2d 622 (2003). Mannix filed a pro se petition for a writ of habeas 12 corpus in the Southern District of New York. Mannix, 390 F. 13 Supp. 2d at 282. 14 Magistrate Judge Gorenstein, to whom Mannix argued that the 15 difference between depraved indifference murder and reckless 16 manslaughter is no longer well understood in New York, 17 that the depraved indifference murder statute does not 18 prohibit the proscribed conduct with sufficient 19 definiteness, and that, therefore, the depraved 20 indifference murder statute is unconstitutionally vague. 21 Id. at 288. 22 depraved indifference murder was not supported by legally Judge Casey referred the matter to Mannix also maintained that his conviction for 10 1 sufficient evidence. 2 Id. at 293-295. In a report and recommendation dated May 25, 2005, the 3 magistrate rejected Mannix s argument that the alleged 4 congruence between the depraved indifference murder and the 5 reckless manslaughter statutes rendered his conviction 6 constitutionally infirm. 7 that, [e]ven assuming arguendo that there is no distinction 8 at all between the conduct covered by the depraved 9 indifference murder statute and the conduct covered by the Id. at 292. The judge reasoned 10 manslaughter statute, there is no clearly established 11 federal constitutional principles permitting [the district 12 court] to grant habeas relief. 13 that the appellate division s conclusion that legally 14 sufficient evidence supported Mannix s conviction was not 15 an unreasonable application of Supreme Court law. 16 295. 17 petition for habeas corpus be denied. Id. The court further held Id. at Accordingly, the magistrate recommended that the 18 The magistrate judge provided notice to the parties 19 that they had ten days during which they could object to his 20 report. 21 were filed within that period. 22 no clear error, accepted the magistrate s report and Id. at 296; see also id. at 282. 11 No objections The district court, finding 1 2 recommendation. Id. at 282. On May 18, 2007, Mannix filed a motion for a 3 certificate of appealability in this Court, and included a 4 document entitled Petitioner s Objections to the 5 Magistrate s Report and Recommendation. 6 an accompanying certificate of service never docketed in 7 the district court are dated June 3, 2005. 8 objections been received by the district court on that date, 9 they would have been considered timely. The document, and Had Mannix s 10 On July 9, 2009, a panel of this Court granted, in 11 part, Mannix s motion for a certificate of appealability and 12 certified three questions for appeal: (1) whether the 13 depraved indifference murder statute was unconstitutionally 14 vague at the time petitioner s conviction became final; (2) 15 whether petitioner properly objected to the magistrate s 16 report when the district court did not refer to his 17 objections, but where petitioner attached a copy of his 18 objections to his certificate of appealability papers; and 19 (3) whether petitioner s conviction rests on legally 20 sufficient evidence. 4 4 Mannix raised a number of other issues before the appellate division and before the district court. We do not 12 1 2 B. Petitioner Jermaine Archer On July 20 and 21, 1997, Petitioner Jermaine Archer had 3 several brief street confrontations with Carlos Bethune and 4 Reynaldo Niles. 5 driving his car with Reynaldo s brother, Patrick Niles, in 6 the passenger seat. 7 noticed a van to the right of his car. 8 Bethune, Archer then emerged from around the van, pulled a 9 gun from his waist, and fired three or four shots, in quick On the night of July 21, 1997, Bethune was At one point, Bethune slowed down and According to 10 succession, into Bethune s car before Bethune could drive 11 away. 12 of the neck and killed him. 13 4990 (JFB), 2009 WL 1011591, at *1-2 (E.D.N.Y. Apr. 13, 14 2009). 15 One of these shots struck Patrick Niles in the back Archer v. Fischer, No. 05 Civ. Archer was charged with intentional murder, N.Y. Penal 16 Law § 125.25(1), depraved indifference murder, id. § 17 125.25(2), manslaughter in the first degree, id. § 18 125.20(1), and manslaughter in the second degree, also known 19 as reckless manslaughter, id. § 125.15(1). 20 before a jury. Archer was tried At the close of the trial, the judge discuss these issues here; we address only the issues on which our Court granted a certificate of appealability. 13 1 instructed the jury that it should consider the intentional 2 murder charge first, and consider the offense of depraved 3 indifference murder only if it found petitioner Archer not 4 guilty of intentional murder. 5 instructed that the jury should consider the charge of 6 manslaughter in the first degree only if it concluded Archer 7 was not guilty of depraved indifference murder, and it 8 should consider the reckless manslaughter charge last and 9 only if it found Archer not guilty of all previously 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Similarly, the judge considered charges. With respect to the depraved indifference murder charge, the court explained: A person is guilty of depraved indifference murder in the second degree when, under circumstances evincing a depraved indifference to human life, he recklessly creates a grave and unjustifiable risk of death to another person and thereby causes that person s death. A grave risk of death means a very substantial, very great risk of death. A person acts recklessly regarding a grave and unjustifiable risk of death when he is aware of and consciously disregards a very substantial and unjustifiable risk that death will result from his actions. The risk must be of such [a] nature and degree that the defendant s disregard of it was a gross deviation, meaning a very great, flagrant, obvious departure from the 14 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Trial Tr. 516:2-25, 517:1. 16 meaning of depraved indifference, the court stated that it 17 relates to the dangerous circumstances alleged to have been 18 created by the defendant. 19 court noted that [a] depraved indifference to human life is 20 much more serious and blameworthy than conduct that is 21 merely reckless, because the conduct is much more 22 dangerous. 23 24 25 26 27 28 29 30 31 32 33 34 35 standard of conduct that a reasonable person would have followed in the same situation. Although this charge is called murder, it does not require proof of the defendant s intent to kill or even intent to murder anyone. In depraved indifference murder, taking the place of an intent to kill are the defendant s creation of a very great and unjustifiable risk of death, plus his reckless state of mind regarding that risk, plus circumstances evincing a depraved indifference to human life. In further explicating the Trial Tr. 518:24-25, 519:1. Trial Tr. 519:2-5. The court instructed: Circumstances evincing a depraved indifference to human life exist[] when, in the judgment of the jury, beyond a reasonable doubt, the defendant s conduct, beyond being reckless, was so highly and immediately dangerous to life and so wanton, without regard for or caring about the results to human life, and deficient in moral sense or concern, that it warrants the same level of criminal blame as the law imposes on someone who intentionally causes a person s death even though there is no intent to kill. 15 The 1 Trial Tr. 519:5-14. Later in the instructions provided to 2 the jury, the court explained the charge of reckless 3 manslaughter. The judge stated: 4 5 6 7 8 9 10 11 12 13 14 15 16 Trial Tr. 521:24-25, 522:1-7. 17 contrasted reckless manslaughter with depraved indifference 18 murder. 19 viewed as similar in that they both required proof that 20 the defendant recklessly caused someone s death. 21 522:14. 22 the crimes are distinct because manslaughter in the second 23 degree does not require proof of circumstances evincing a 24 depraved indifference . . . to human life. 25 522:17-19. 26 A person is guilty of manslaughter in the second degree when he recklessly causes another person s death. A person acts recklessly regarding someone s death in manslaughter in the second degree when he is aware of and consciously disregards a substantial and unjustifiable risk of death from his actions, and the risk is of such nature and degree that disregarding it is a gross deviation from the standard of conduct of a reasonable person. The court then explicitly The court acknowledged that the crimes might be Trial Tr. However, the court made it clear to the jury that Trial Tr. Archer was convicted of depraved indifference murder. 5 5 Petitioner Archer was sentenced to an indeterminate term of imprisonment of twenty-two years to life for the 16 1 N.Y. Penal Law § 125.25(2). Archer appealed his conviction 2 to the appellate division. 6 While his appeal to the 3 appellate division was pending, Archer made a motion in 4 state supreme court, pursuant to New York Criminal Procedure 5 Law § 440.10, to vacate the judgment of conviction. 7 6 the grounds for this motion was Archer s contention that the 7 depraved indifference murder statute was unconstitutionally 8 vague. 9 holding that the depraved indifference murder statute was One of The state trial court denied his § 440.10 motion, 10 not unconstitutionally vague. Petitioner applied for leave 11 to appeal the denial of his § 440.10 motion; this motion was depraved indifference murder charge. 6 A complicated procedural history ensued between the time of Archer s conviction and the affirmance by the appellate division. These proceedings are summarized in the opinion of the district court. Archer, 2009 WL 1011591, at *4-5. Because this procedural history does not bear on our decision, there is no need to recite it here. 7 New York Criminal Procedure Law § 440.10(1) provides: At any time after the entry of a judgment, the court in which it was entered may, upon motion of the defendant, vacate such judgment upon the ground that: (h) The judgment was obtained in violation of a right of the defendant under the constitution of [New York] [S]tate or of the United States. N.Y. Crim. Proc. Law § 440.10(1)(h). 17 1 denied by the appellate division. 2 appellate division affirmed Archer s conviction. 3 Archer, 784 N.Y.S.2d 567, 567 (2d Dep t 2004). 8 4 sought leave to appeal to the New York Court of Appeals, 5 which was denied. 6 On October 25, 2004, the People v. Archer People v. Archer, 4 N.Y.3d 741 (2004). Archer then petitioned for a writ of habeas corpus in 7 the Eastern District of New York. Archer, 2009 WL 1011591, 8 at *5. 9 New York s depraved indifference murder statute was without The court held that Archer s vagueness challenge to 10 merit. Id. at *24-26. The court concluded that the 11 statute gives the accused fair warning that his conduct was 12 criminal and proscribed since ordinary people would 13 understand that shooting at someone at short range in the 14 vicinity of others would be criminal and put them at risk of 15 a homicide conviction. 16 marks omitted). 17 language of the statute was adequate to prevent arbitrary 18 and discriminatory enforcement. Id. at *25 (internal quotation The court further reasoned that the 8 Id. at *26. The district Petitioner also moved in the appellate division for a writ of error coram nobis, which was denied. People v. Archer, 795 N.Y.S.2d 899 (2d Dep t 2005). He applied for leave to appeal this denial to the New York Court of Appeals, which was also denied. People v. Archer, 5 N.Y.3d 803 (2005). 18 1 judge determined that the jury instructions administered in 2 this case gave the jury sufficient guidelines to prevent 3 arbitrary or discriminatory application of the statute. 4 Id. 5 On October 13, 2009, this Court granted, in part, 6 Archer s motion for a certificate of appealability. 7 certificate issued by this Court was limited to the issue of 8 whether New York s depraved indifference murder statute was 9 unconstitutionally vague as compared to New York s reckless 10 manslaughter statute at the time Archer s conviction became 11 final. 9 II. STANDARD OF REVIEW 12 13 The The Antiterrorism and Effective Death Penalty Act of 14 1996 ( AEDPA ) provides that persons in state custody 15 because of a state court conviction may petition for federal 16 habeas corpus relief if their custody is in violation of 17 the Constitution or laws or treaties of the United 9 As is the case with Mannix, Archer raised numerous other issues before the state and district courts. We limit our discussion to the issue on which we granted a certificate of appealability. 19 1 States. 10 2 460 F.3d 238, 242 (2d Cir. 2006). 3 district courts decisions to deny the petitions for habeas 4 corpus. 5 However, we review the district courts factual findings 6 only for clear error. 11 28 U.S.C. § 2254(a); see Hawkins v. Costello, We review de novo the Jenkins v. Artuz, 294 F.3d 284, 290 (2d Cir. 2002). Id. 7 In order to obtain relief, the petitioners must show 8 that the resolutions of the merits of their claims in the 9 state courts were contrary to, or involved an unreasonable 10 Before a federal court can consider a petition for a writ of habeas corpus, the petitioner must have exhausted all available state judicial remedies. 28 U.S.C. § 2254(b)(1)(A). Exhaustion requires that a petitioner fairly present federal claims to the state courts in order to give the State the opportunity to pass upon and correct alleged violations of its prisoners federal rights. Duncan v. Henry, 513 U.S. 364, 365 (1995) (internal quotation marks and brackets omitted). [I]t is not sufficient merely that the federal habeas applicant has been through the state courts. Picard v. Connor, 404 U.S. 270, 275-76 (1971). A claim is regarded as procedurally defaulted for the purposes of federal habeas review where the petitioner failed to exhaust state remedies and the court to which the petitioner would be required to present his claims in order to meet the exhaustion requirement would now find the claims procedurally barred. Reyes v. Keane, 118 F.3d 136, 140 (2d Cir. 1997) (internal quotation marks and emphasis omitted). 11 Moreover, the state courts factual findings are presumed correct unless petitioners rebut the presumption with clear and convincing evidence. 28 U.S.C. § 2254(e)(1). 20 1 application of, clearly established Federal law, as 2 determined by the Supreme Court of the United States, or 3 that they were based on an unreasonable determination of 4 the facts in light of the evidence presented in the State 5 court proceeding[s]. 12 6 decision is contrary to Supreme Court precedent if the state 7 court applie[d] a rule that contradicts that precedent, or 8 reached a different result than the Supreme Court on facts 9 that are materially indistinguishable. 28 U.S.C. § 2254(d)(1)-(2). A Williams v. 10 Taylor, 529 U.S. 362, 405-06 (2000). 11 evaluating whether the states courts applications of 12 clearly established federal law were objectively 13 unreasonable. 14 conclude that neither Mannix nor Archer is entitled to 15 relief from his state court conviction. Id. at 409. We are charged with Applying these standards, we 12 For purposes of AEDPA, a claim is deemed to have been adjudicated on the merits, 28 U.S.C. § 2254(d), if the state court rendered a decision finally resolving the [petitioner s] claim[], with res judicata effect, that is based on the substance of the claim advanced, rather than on a procedural, or other, ground. Sellan v. Kuhlman, 261 F.3d 303, 311 (2d Cir. 2001). A state court decision will be deemed an adjudication on the merits as long as there is nothing in its decision to indicate that the claims were decided on anything but substantive grounds. Aparicio v. Artuz, 269 F.3d 78, 94 (2d Cir. 2001). 21 III. DISCUSSION 1 2 3 A. Threshold Procedural Requirements Respondents submit that we should not address the 4 merits of petitioners vagueness challenges to New York s 5 depraved indifference murder statute for procedural reasons. 6 As to Mannix, respondent argues that he waived his habeas 7 claims by failing to file timely objections to the 8 magistrate judge s report and recommendation in the district 9 court. See Small v. Sec y of Health & Human Servs., 892 10 F.2d 15, 16 (2d Cir. 1989); see also Thomas v. Arn, 474 U.S. 11 140, 155 (1985). 12 magistrate s report were never received by the district 13 court. 14 court was not on notice of Mannix s objections at the time 15 it accepted the report and recommendation of the magistrate 16 judge. 17 objections ha[d] been filed ). 18 that his objections were timely filed under the prison 19 mailbox rule because he delivered them to prison officials 20 on June 3, 2005. 21 (1988); Fed. R. App. P. 4(c)(1). 22 Mannix concedes that his objections to the And, it is clear from the record that the district Mannix, 390 F. Supp. 2d at 282 (noting that [n]o Nonetheless, Mannix contends See Houston v. Lack, 487 U.S. 266, 270 We need not specifically decide whether the prison 22 1 mailbox rule applies in the context of objections to a 2 report and recommendation, cf. Noble v. Kelly, 246 F.3d 93, 3 97 (2d Cir. 2001), or whether Mannix s objections were 4 waived through lack of diligence on his part, compare Huizar 5 v. Carey, 273 F.3d 1220, 1223 (9th Cir. 2001), with Allen v. 6 Culliver, 471 F.3d 1196, 1198 (11th Cir. 2006), because the 7 waiver rule is nonjurisdictional, Spence v. 8 Superintendent, Great Meadow Corr. Facility, 219 F.3d 162, 9 174 (2d Cir. 2000), and we conclude, in any event, that 10 11 Mannix s claims fail on the merits. As to Archer, respondent asserts that his claim should 12 be deemed exhausted and procedurally defaulted. See, e.g., 13 Coleman v. Thompson, 501 U.S. 722, 729-30 (1991). 14 maintains that the state waived its procedural default 15 defense by failing to raise it in the district court. 16 Before AEDPA, it was well established that procedural 17 default is normally a defense that the State is obligated to 18 raise and preserve if it is not to lose the right to assert 19 the defense thereafter. 20 (1997) (internal quotation marks and brackets omitted). 21 Under AEDPA, however, [a] State shall not be deemed to have 22 waived the exhaustion requirement or be estopped from Archer Trest v. Cain, 522 U.S. 87, 89 23 1 reliance upon the requirement unless the State, through 2 counsel, expressly waives the requirement. 3 § 2254(b)(3); see also Lurie v. Wittner, 228 F.3d 113, 123 4 (2d Cir. 2000). 5 28 U.S.C. Again, we need not decide whether AEDPA disfavors a 6 state s waiver of its procedural default defense when that 7 default is based on petitioner s failure properly to 8 exhaust, compare Franklin v. Johnson, 290 F.3d 1223, 1231 9 (9th Cir. 2002), with McNair v. Campbell, 416 F.3d 1291, 10 1305-06 & n.13 (11th Cir. 2005), because, Archer s claim, 11 like Mannix s, fails in any event on the merits, see 28 12 U.S.C. § 2254(b)(2); see also Zarvela v. Artuz, 364 F.3d 13 415, 417 (2d Cir. 2004). 14 15 16 17 B. 18 for depraved indifference murder should be vacated on the 19 ground that the statute under which they were convicted was 20 void for vagueness. 21 state courts unreasonably applied clearly established 22 federal law in concluding that New York s depraved 23 indifference murder statute was not void for vagueness as Petitioners Vagueness Challenges to their Convictions for Depraved Indifference Murder Both Mannix and Archer contend that their convictions Petitioners cannot demonstrate that the 24 1 applied to them. 2 i. 3 28 U.S.C. § 2254(d). The Vagueness Doctrine The void-for-vagueness doctrine derives from the 4 constitutional guarantee of due process, which requires that 5 a penal statute define a criminal offense [1] with 6 sufficient definiteness that ordinary people can understand 7 what conduct is prohibited and [2] in a manner that does not 8 encourage arbitrary and discriminatory enforcement. 9 Skilling v. United States, 130 S. Ct. 2896, 2927-28 (2010) 10 (alterations in original) (quoting Kolender v. Lawson, 461 11 U.S. 352, 357 (1983)). 12 is whether the statute, either standing alone or as 13 construed, made it reasonably clear at the relevant time 14 that the defendant s conduct was criminal. 15 v. Lanier, 520 U.S. 259, 267 (1997). 16 enforcement prong requires that a statute give minimal 17 guidelines to law enforcement authorities, so as not to 18 permit a standardless sweep that allows policemen, 19 prosecutors, and juries to pursue their personal 20 predilections. 21 quotation marks and brackets omitted). 22 provide explicit standards, it need not achieve The touchstone of the notice prong United States The arbitrary Kolender, 461 U.S. at 358 (internal 25 Although a law must 1 meticulous specificity, which would come at the cost of 2 flexibility and reasonable breadth. 3 Napolitano, 604 F.3d 732, 747 (2d Cir. 2010) (internal 4 quotation marks omitted). 5 Dickerson v. The Supreme Court has made it clear that when the law 6 unambiguously specif[ies] the activity proscribed, the 7 fact that this proscribed conduct may violate more than one 8 statute does not render the statute void for vagueness. 9 United States v. Batchelder, 442 U.S. 114, 123 (1979). To 10 the contrary, when an act violates more than one criminal 11 statute, the [g]overnment may prosecute under either so long 12 as it does not discriminate against any class of 13 defendants. Id. at 123-24 . 14 When, as here, the challenged law does not threaten 15 First Amendment interests, we generally evaluate a vagueness 16 claim only as applied to the facts of the particular case. 17 See Maynard v. Cartwright, 486 U.S. 356, 361 (1988); United 18 States v. Nadi, 996 F.2d 548, 550 (2d Cir. 1993); see also 19 Dickerson, 604 F.3d at 743-45. 20 engages in some conduct that is clearly proscribed cannot 21 complain of the vagueness of the law as applied to the 22 conduct of others, Because [a] plaintiff who Vill. of Hoffman Estates v. Flipside, 26 1 Hoffman Estates, Inc., 455 U.S. 489, 495 (1982), we will 2 uphold a statute against an as-applied challenge if the 3 particular enforcement at issue [is] consistent with the 4 core concerns underlying the [statute], Dickerson, 604 5 F.3d at 748 (alterations in original) (quoting Farrell v. 6 Burke, 449 F.3d 470, 493 (2d Cir. 2006)). 7 [o]ne to whose conduct a statute clearly applies may not 8 successfully challenge it for vagueness. 9 417 U.S. 733, 756 (1974). 10 ii. Put another way, Parker v. Levy, New York s Depraved Indifference Murder Statute 11 New York s depraved indifference murder statute 12 provides that a person is guilty of murder in the second 13 degree when: Under circumstances evincing a depraved 14 indifference to human life, he recklessly engages in conduct 15 which creates a grave risk of death to another person, and 16 thereby causes the death of another person. 17 § 125.25(2). 18 the times that each of their convictions became final, 19 recklessness was the required mental state for depraved 20 indifference murder. 21 (1983). 22 jury, based on its review of the circumstances of the crime. N.Y. Penal Law At the times of petitioners trials, and at People v. Register, 60 N.Y.2d 270, 274 Depravity and indifference were assessed by the 27 1 Id. at 274-75. In other words, a jury was required to 2 evaluate the facts attendant to the crime, and the 3 defendant s behavior in committing the crime, to make a 4 determination as to whether those facts and behavior evinced 5 a depraved indifference to human life. 6 Court of Appeals explained, it was within the jury s 7 province to make a qualitative judgment whether defendant s 8 act was of such gravity that it placed the crime upon the 9 same level as the taking of life by premeditated design. As the New York It 10 had to determine from the evidence if defendant s conduct, 11 though reckless, was equal in blameworthiness to intentional 12 murder. Id. 13 During the relevant time period, depraved 14 indifference referred to objective circumstances 15 surrounding the offenses committed. 16 definition of depraved indifference murder was well 17 understood. 18 ommitted); see also People v. Johnson, 87 N.Y.2d 357, 361 19 (1996); People v. Cole, 85 N.Y.2d 990, 992 (1995). 20 Register, which governs petitioners appeals, the New York 21 Court of Appeals explained that depraved indifference murder 22 is not and never has been considered as a substitute for Id. at 276. And, the Id. at 279 (internal quotation marks 28 In 1 intentional homicide. 2 reasoned, depraved indifference murder is distinguishable 3 from manslaughter . . . by the objective circumstances in 4 which the act occurs. 5 60 N.Y.2d at 279. Moreover, it Id. at 278. Subsequent to petitioners convictions becoming final, 6 this interpretation of the depraved indifference murder 7 statute changed. 8 its prior precedent and held that depraved indifference to 9 human life is a culpable mental state. The New York Court of Appeals overturned People v. Feingold, 10 7 N.Y.3d 288, 294 (2006). As now understood by the New York 11 Court of Appeals, a one-on-one shooting or knifing (or 12 similar killing) can almost never qualify as depraved 13 indifference murder. 14 601 (2006) (quoting People v. Payne, 3 N.Y.3d 266, 272 15 (2004)). 16 (2002) (observing that requirements that conduct causing 17 death be aimed at no one in particular and must endanger 18 indiscriminately the lives of many were entirely obsolete 19 under then-existing New York law (internal quotation marks 20 and alteration omitted)). 21 petitioners, this change in construction is of little import 22 in evaluating these petitions for habeas corpus relief based Policano v. Herbert, 7 N.Y.3d 588, But see People v. Sanchez, 98 N.Y.2d 373, 383 Contrary to the assertions of 29 1 on vagueness, for on habeas review, we must look to New York 2 law as it existed when Mannix and Archer s convictions 3 became final. 4 Cir. 2009); see also Policano v. Herbert, 453 F.3d 79, 83 5 (2d. Cir. 2006)(Raggi, J., dissenting from denial of 6 rehearing en banc). 7 iii. Petitioners Vagueness Challenges Lack Merit 8 9 See Henry v. Ricks, 578 F.3d 134, 141 (2d We have no difficulty concluding that Mannix and Archer were both on notice that their conduct shooting into an 10 enclosed space when each petitioner knew people were inside 11 was criminal. 12 108 (1972). 13 indifference murder statute, as interpreted at the relevant 14 time, could trap the innocent by not providing fair 15 warning. 16 was any risk that either man was unaware that his conduct 17 was proscribed, such that their vagueness challenges would 18 survive as-applied review. 19 455 U.S. at 495; accord Nadi, 996 F.2d at 550. 20 Grayned v. City of Rockford, 408 U.S. 104, It cannot be said that the depraved Id. And, it certainly cannot be said that there See Vill. of Hoffman Estates, Through the time petitioners convictions became final, 21 New York courts consistently held that firing into a crowd 22 or enclosed space is a quintessential case of depraved 30 1 indifference murder. 2 214 (2005) (observing that [q]uintessential examples of 3 depraved indifference murder include firing into a crowd 4 (citing People v. Jernatowski, 238 N.Y. 188, 192 (1924) 5 (upholding depraved indifference murder conviction where 6 defendant fired two or more shots into the house where he 7 knew there were human beings ))); accord Payne, 3 N.Y.3d at 8 271; People v. Gonzalez, 1 N.Y.3d 464, 467 (2004); see also 9 People v. Brown, 575 N.Y.S.2d 460, 460 (1st Dep t 1991) 10 (upholding depraved indifference murder conviction where 11 defendant fired shot through closed door). 12 See People v. Suarez, 6 N.Y.3d 202, Relying on two decisions from the Southern District of 13 New York, Mannix and Archer argue that the depraved 14 indifference murder statute, as applied to them, encouraged 15 arbitrary enforcement because their conduct was 16 indistinguishable from conduct proscribed by the reckless 17 manslaughter statute. 18 *8; Jones, 2002 WL 33985141, at *5. 19 reject the premise of petitioners argument. 20 Register, depraved indifference murder was defined as 21 distinct from, and requiring an element in addition to, the 22 lesser included offense of reckless manslaughter. See St. Helen, 2003 WL 25719647, at 31 At the outset, we Under See 1 Sanchez, 98 N.Y.2d at 380 ( Register requires a 2 significantly heightened recklessness, distinguishing it 3 from manslaughter . . . . ); see also Payne, 3 N.Y.3d at 271 4 ( [T]he reckless conduct must be so wanton, so deficient in 5 a moral sense of concern, so devoid of regard for the life 6 or lives of others, and so blameworthy as to warrant the 7 same criminal liability as that which the law imposes upon a 8 person who intentionally causes the death of another. 9 (quoting Gonzalez, 1 N.Y.3d at 469)); Register, 60 N.Y.2d at 10 276 (holding that the depraved mind murder statute requires 11 in addition [to reckless manslaughter] not only that the 12 conduct which results in death present a grave risk of death 13 but that it also occur [u]nder circumstances evincing a 14 depraved indifference to human life and construing the 15 latter as an additional requirement (second alteration in 16 original) (quoting N.Y. Penal Law § 125.25(2))). 17 [I]t is not the province of a federal habeas court to 18 reexamine state-court determinations on state-law 19 questions. 20 [S]tate courts are the ultimate expositors of state law. 21 Mullaney v. Wilbur, 421 U.S. 684, 691 (1975). 22 bound by the New York Court of Appeals construction of Estelle v. McGuire, 502 U.S. 62, 67-68 (1991). 32 As we are 1 state law at the time petitioners convictions became final, 2 we conclude that the depraved indifference murder and 3 reckless manslaughter statutes define distinct offenses. 4 Even if Mannix and Archer were right that they could 5 have properly been convicted under either statute, their 6 vagueness claims would still fail. 7 correctly recognized, no clearly established constitutional 8 prohibition of statutory vagueness is violated when two 9 statutes proscribe the same conduct and a defendant is As the district courts 10 charged under the one subjecting him to greater punishment. 11 Quite to the contrary, the Supreme Court has held that even 12 if two statutes overlap and have identical standards of 13 proof, this, in and of itself, would not render them void 14 for vagueness. 15 an act violates more than one criminal statute, the 16 [g]overnment may prosecute under either so long as it does 17 not discriminate against any class of defendants, an equal 18 protection, not due process, concern. 19 Petitioners raise no such discrimination claim here. 20 we conclude that their vagueness arguments are foreclosed by 21 Batchelder's clear holding that a defendant has no 22 constitutional right to elect which of two applicable . . . Batchelder, 442 U.S. at 124. 33 Rather, when Id. at 123-24. Thus, 1 statutes shall be the basis of his indictment and 2 prosecution. 3 548 F.3d 571, 579 (7th Cir. 2008) (stating that Congress 4 may lawfully punish the same action under two separate 5 statutes without running afoul of the Due Process Clause ); 6 United States v. Malik, 385 F.3d 758, 760 (7th Cir. 2004) 7 (concluding that [w]hen the same acts violate multiple 8 laws, the prosecutor is free to choose the one with the 9 highest sentence ). 13 Id. at 125; see also United States v. Carmel, 10 Petitioners nevertheless submit that when the New York 11 Court of Appeals overruled Register, and declared depraved 12 indifference to be a culpable mental state in Feingold, the 13 court conceded that the interpretation of the depraved 14 indifference murder statute was unconstitutionally vague at 15 the time their convictions were finalized. 13 As applied to The Supreme Court has never suggested that the classic example of overlapping crimes greater and lesser included offenses - raises any due process vagueness concerns. Rather, it is the Double Jeopardy Clause that protects a defendant from conviction of both such crimes. See Brown v. Ohio, 432 U.S. 161, 168-69 (1977) (treating greater and lesser offenses as the same for purposes of double jeopardy); Aparicio v. Artuz, 269 F.3d 78, 96 (2d Cir. 2001) (holding that double jeopardy proscribes multiple prosecutions not only for same offense but when one offense is a lesser included offense of the other ). 34 1 these habeas petitioners, the change in the interpretation 2 of the statute warrants no such conclusion. 3 change which does not apply retroactively, see Henry, 578 4 F.3d at 139-41 neither diminished the notice given to 5 petitioners that their conduct was proscribed by New York 6 law nor authorized arbitrary enforcement of the depraved 7 indifference statute, see generally Farrell, 449 F.3d at 8 484-85. 9 meaning of New York s depraved indifference murder statute 10 was clear at the relevant time, it is also true that some 11 ambiguity in a statute s meaning is constitutionally 12 tolerable. 13 (2d Cir. 1999); accord Grayned, 408 U.S. at 110 (declining 14 to require mathematical certainty or meticulous 15 specificity for statutes to survive vagueness review). 16 Even if we were to consider petitioners conduct under the 17 law as it now stands, a rational jury could reasonably have 18 found each man guilty of depraved indifference murder. 19 Shooting into an enclosed space whether a small bathroom 20 or a car knowing that people are inside, is conduct that 21 evinces a mental state of depraved indifference to human 22 life. Indeed, this Moreover, although we are of the view that the United States v. Chestaro, 197 F.3d 600, 605 Feingold, 7 N.Y.3d at 294; see also Register, 60 35 1 N.Y.2d at 282 (Jasen, J., dissenting). 2 Accordingly, we hold that the state courts did not 3 unreasonably apply federal law in concluding (1) that, at 4 the time their convictions became final, petitioners Mannix 5 and Archer were on notice that their shootings were 6 proscribed by law; and (2) that the depraved indifference 7 murder statute did not encourage arbitrary enforcement. 8 Petitioners have failed to identify any principle of clearly 9 established federal law suggesting that New York s depraved 10 indifference murder statute was void for vagueness as 11 applied to their cases. 12 the conclusion that the state s decision to charge 13 petitioners for depraved indifference murder, rather than 14 15 16 17 18 19 only reckless manslaughter, does not warrant habeas relief. 20 evidence supporting his conviction is plainly without 21 merit. 14 C. To the contrary, Batchelder compels Legal Sufficiency of the Evidence Supporting Petitioner Mannix s Conviction Mannix s challenge to the legal sufficiency of the Mannix cannot demonstrate that no rational trier 14 As we have noted on countless occasions, we must consider the evidence in the light most favorable to the prosecution and make all inferences in its favor. Moreover, petitioner bears a very heavy burden in convincing a federal habeas court to grant a petition on the grounds of 36 1 of fact could have found proof of guilt beyond a reasonable 2 doubt. 3 F.3d 836, 839 (2d Cir. 1997) (internal quotation marks 4 omitted). 5 evidence our presumption that the state court s 6 determination of this factual issue was correct. 7 v. Artuz, 230 F.3d 25, 31 (2d Cir. 2000). Einaugler v. Supreme Court of State of N.J., 109 Nor can Mannix rebut by clear and convincing See Leslie 8 At trial, the people s theory was that Mannix was angry 9 at Torruella because he sucker-punched him in the face and 10 that, bent on retaliation, he recklessly fired the fatal 11 shot through the bathroom door. 12 found, [t]he evidence warranted the conclusion that 13 [petitioner] knowingly and deliberately fired a pistol 14 through a door into a small, enclosed space containing the 15 victim and a bystander. 16 Mannix bases his sufficiency challenge, in part, on the fact 17 that no one saw the gun discharge and no one saw him 18 point the gun at the door or fire it. 19 However, shortly after he shot Torruella and left the bar, 20 Mannix called the bar, inquired if he had hit anyone, and As the appellate division Mannix, 756 N.Y.S.2d at 34. Mannix Br. at 55. insufficiency of the evidence. Fama v. Comm r of Corr. Servs., 235 F.3d 804, 811 (2d Cir. 2000)(citation ommitted). 37 1 when he learned that he had, replied: good. 2 N.Y.S.2d at 34. 3 Mannix, 756 We agree with the district court that the evidence was 4 easily sufficient for a jury to conclude that Mannix fired 5 the shot into the ladies room recklessly and not 6 accidentally. 7 evidence adduced at trial revealed that the bullet that 8 killed Torruella was fired through the center of the door at 9 chest level. Mannix, 390 F. Supp. 2d at 294. Indeed, Accordingly, we find that legally sufficient 10 evidence supports Mannix s conviction. 11 Mannix is not entitled to habeas relief on this basis. 12 IV. CONCLUSION 13 We have considered all of petitioners arguments on 14 appeal, and find them to be without merit. 15 judgments of the United States District Courts for the 16 Southern and Eastern Districts of New York, denying the 17 petitions for writs of habeas corpus, 28 U.S.C. § 2254, are 18 hereby affirmed. 38 Accordingly, the

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