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United States v. Apfelbaum

April 28, 1980



Before Adams, Weis and Garth, Circuit Judges.

Author: Garth


This case comes before us on remand from the Supreme Court for further proceedings in conformity with its opinion reversing this court's judgment in United States v. Apfelbaum, 584 F.2d 1264 (3d Cir. 1978). See United States v. Apfelbaum, 445 U.S. 115, 100 S. Ct. 948, 63 L. Ed. 2d 250 (1980).

Stanley Apfelbaum was convicted of two counts of knowingly making false material declarations before a grand jury in violation of 18 U.S.C. ยง 1623 (1976). Apfelbaum, then an administrative assistant to the District Attorney in Philadelphia, had appeared as an immunized witness before a federal grand jury investigating racketeering and extortion in the operation of a Philadelphia automobile dealership. On direct appeal before us, Apfelbaum presented five contentions of error: (1) that his Fifth Amendment privilege was violated when the government introduced at trial immunized grand jury testimony in addition to those statements that formed the basis of the false swearing charge; (2) that his Fifth Amendment privilege was violated because the grand jury that returned the perjury indictment was the same grand jury that heard his immunized testimony initially; (3) that the district court's jury instructions improperly shifted the burden of proof on the issue of intent to Apfelbaum; (4) that the district court erred in ruling that the government could cross-examine Apfelbaum's character witnesses with reference to a newspaper article containing charges that Apfelbaum had attempted to "fix" a case while working for the Philadelphia District Attorney; and (5) that the district court improperly permitted a constructive amendment of the indictment by allowing the government to introduce evidence of the falsity of certain grand jury testimony other than those statements specifically charged in the perjury indictment.

Reaching only the first two of Apfelbaum's contentions, we reversed his conviction. We held that the Fifth Amendment proscribed the use of any immunized grand jury testimony, at a trial for false swearing, with the exception of those false statements that formed the basis of the charge and were included in the indictment.*fn1 The Supreme Court reversed our ruling and held that the use of the immunized testimony was proper. In light of this holding, we must now reach the remaining three claims of error presented by Apfelbaum on his original appeal. We conclude that none of the remaining contentions has merit, and that his conviction must therefore be affirmed.


The first of Apfelbaum's remaining claims challenges the district court's use of the following jury instruction on intent:

So unless the evidence points otherwise, it is reasonable to infer and a jury may conclude that one intends the natural and probable consequences of an act which one standing in like circumstances and possessing like knowledge would reasonably have expected to result from an act knowingly done.

(tr. at 436).

Apfelbaum contends that this instruction, known as the Mann charge after United States v. Mann, 319 F.2d 404 (5th Cir. 1963), cert. denied, 375 U.S. 986, 84 S. Ct. 520, 11 L. Ed. 2d 474 (1964), constitutes a violation of due process under Mullaney v. Wilbur, 421 U.S. 684, 95 S. Ct. 1881, 44 L. Ed. 2d 508 (1975). He contends that the instruction impermissibly tends to shift the burden of persuasion to the defendant to prove that he did not have the specific intent required under the statute, and thus relieves the government of its burden to prove each element of the offense beyond a reasonable doubt.

We recently gave consideration to the Mann charge in United States v. Garrett, 574 F.2d 778 (3d Cir.) cert. denied, 436 U.S. 919, 98 S. Ct. 2265, 56 L. Ed. 2d 759 (1978). We noted that the charge had an unfortunate burden-shifting tendency, but found that several additional instructions given by the court in that case had the effect of counterbalancing any tendency to improperly shift the government's burden. We thus held that "the instructions as a whole fully informed the jury of the government's burden of proof on the question of intent," 574 F.2d at 782 (emphasis in original) and did not constitute reversible error.*fn2 Accordingly, Garrett's conviction was affirmed. To prevent jury confusion in future cases, however, and to avoid needless expenditure of judicial resources at the appellate level, we declared in Garrett that the Mann charge could not be used by the district courts of this Circuit in any trials beginning ninety days after the date of decision, March 28, 1978.

Since Apfelbaum's trial was completed in September, 1977, Garrett's prospective prohibition against a Mann instruction does not apply to his case. Thus, we must review the jury instructions as a whole, as the court in Garrett did, to determine whether the trial judge properly instructed the jury of the government's burden, or, put another way, whether the Mann charge resulted in a fatal taint. Having reviewed the charge as a whole, we find that the district court gave each of the relevant curative instructions found sufficient in Garrett to ...

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