Tisthammer v. Williams , 49 F. App'x 757 ( 2002 )


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  •                                                                        F I L E D
    United States Court of Appeals
    Tenth Circuit
    UNITED STATES COURT OF APPEALS
    SEP 6 2002
    FOR THE TENTH CIRCUIT
    PATRICK FISHER
    Clerk
    DAVID TISTHAMMER,
    Petitioner-Appellant,
    v.                                                No. 00-2302
    (D.C. No. CIV-99-909 LH/WWD)
    JOE WILLIAMS, Warden, Lea                          (D. N.M.)
    County Correctional Facility;
    ATTORNEY GENERAL FOR
    THE STATE OF NEW MEXICO,
    Respondents-Appellees.
    ORDER AND JUDGMENT           *
    Before BRISCOE and MURPHY , Circuit Judges, and        OBERDORFER , Senior
    District Judge. **
    *
    This order and judgment is not binding precedent, except under the doctrines of
    law of the case, res judicata, and collateral estoppel. The court generally
    disfavors the citation of orders and judgments; nevertheless, an order and
    judgment may be cited under the terms and conditions of 10th Cir. R. 36.3.
    The Honorable Louis F. Oberdorfer, Senior District Judge, United States District
    **
    Court, District of Columbia, sitting by designation.
    I. INTRODUCTION
    David Tisthammer brings this appeal from an order of the district court
    dismissing his 
    28 U.S.C. § 2254
     petition for a writ of habeas corpus. Following a
    jury trial, Tisthammer was convicted in New Mexico state court of two counts of
    aggravated burglary, four counts of burglary, six counts of larceny, six counts of
    conspiracy, and one count of criminal damage to property. After filing a direct
    appeal and post-conviction proceeding in state court, Tisthammer filed the instant
    § 2254 petition raising challenges to the state grand jury proceedings that
    ultimately led to his indictment and conviction. The district court denied
    Tisthammer’s request for habeas relief and dismissed the action with prejudice.
    In a previous order, this court appointed counsel to represent Tisthammer and
    granted a certificate of appealability as to the following two claims: (1) the failure
    to provide Tisthammer an attorney at the time of his state grand jury proceedings
    violated his right to counsel under the Sixth and Fourteenth Amendments; and (2)
    compelling Tisthammer to testify before the grand jury handcuffed and shackled
    violated his Fourteenth Amendment right to due process. Upon review of the
    parties’ briefs and submissions, this court exercises jurisdiction pursuant to 
    28 U.S.C. §§ 1291
     and 2253(c) and    affirms the denial of habeas relief.
    -2-
    II. BACKGROUND
    A. Factual Background
    The investigation and eventual prosecution of Tisthammer began with the
    arrest in Texas on burglary charges of his brother-in-law, Ray Chavez. As part of
    the plea agreement accompanying his guilty plea to the Texas burglary charges,
    Chavez identified Tisthammer as an accomplice in six burglaries that occurred in
    Roosevelt County, New Mexico in October of 1995 and April of 1996. Based on
    Chavez’s allegations, a Roosevelt County Deputy Sheriff filed a criminal
    complaint in county magistrate court charging Tisthammer with twenty offenses
    related to the six burglaries. A magistrate judge issued an arrest warrant for
    Tisthammer based on an affidavit submitted by the deputy sheriff. Tisthammer
    was arrested on June 24, 1996.
    On June 25, 1996, Tisthammer appeared before a magistrate judge. The
    magistrate informed Tisthammer of the charges against him and that he was
    “entitled to talk to a lawyer now, and have one present now, or at any time during
    these proceedings.” When Tisthammer indicated that he was unable to afford a
    lawyer, the magistrate appointed the public defender to represent him.
    Nevertheless, because of a conflict of interest in the public defender’s office, no
    attorney was immediately assigned to represent Tisthammer. The magistrate
    judge detained Tisthammer on a $100,000 bond.
    -3-
    On Friday, July 12, 1996, Tisthammer, while still incarcerated in county
    jail, received a letter from assistant district attorney Kent Peterson informing him
    that he was a target of a grand jury investigation. The letter indicated that the
    grand jury would convene on Monday, July 15th and that Tisthammer had the
    right to testify before the grand jury and to be represented by an attorney during
    that testimony. Because Tisthammer wanted to testify before the grand jury, he
    contacted Thomas Harden, a private attorney on contract with the public defender
    who was representing Tisthammer in other unrelated cases, and asked for
    assistance with his grand jury appearance. Harden told Tisthammer that he could
    not help him because he had not received notification from the public defender’s
    office that he was appointed to represent Tisthammer in this case. Tisthammer
    then tried to reach an attorney in the public defender’s office without success.
    Tisthammer appeared at the grand jury on Monday, July 15th, without an
    attorney. The state presented the testimony of the six burglary victims, two law
    enforcement officers, and Chavez. Chavez testified that he and Tisthammer
    committed all six charged burglaries and that it was Tisthammer who had decided
    which places to burglarize. When it came to Tisthammer’s turn to testify, he
    explained to the prosecutor, Peterson, his counsel situation; Peterson suggested
    that Tisthammer call Harden again. During that phone conversation, Harden
    again insisted that he could not advise Tisthammer because he still had not been
    -4-
    appointed to represent him. Nevertheless, Tisthammer did consult with Harden
    about the questions the prosecutor would likely ask and Harden advised
    Tisthammer to say what he wanted to say and then stop. Harden also talked with
    Peterson about what questions Peterson would ask and what questions
    Tisthammer wanted to be asked. Tisthammer then took the stand to testify.
    When Tisthammer took the stand, Peterson informed Tisthammer that he
    had the right to refuse to answer any questions, if he decided to answer questions
    he could stop answering at any time, any answer he gave could be used against
    him at trial, and he had a right to consult with an attorney before testifying. In
    response, Tisthammer stated that he did not have an attorney present. He further
    noted that although his attorney could not be present because of prior
    engagements, he had talked to his attorney about testifying before the grand jury.
    Peterson then began questioning Tisthammer. At all times when he was present in
    the grand jury room, including the duration of his testimony, Tisthammer was
    handcuffed and shackled.
    Tisthammer testified that Alice Zambrano was his wife and Chavez was his
    brother-in-law. He further testified that he did not commit any of the charged
    burglaries. Peterson then asked Tisthammer if he wished to make a statement
    regarding Chavez’s motives for accusing him. In that regard, Tisthammer
    testified as follows: Chavez had accused Tisthammer to curry favor with the
    -5-
    authorities after Chavez was caught burglarizing homes in Texas; Chavez had
    previously been convicted and imprisoned on burglary charges; and Chavez did
    not like him because of his negative reaction to Chavez’s treatment of
    Tisthammer’s sister-in-law and was making up the story to get him in trouble.
    Peterson then asked Tisthammer where he was at the time of various burglaries.
    Tisthammer testified that he was probably either at work or at home, but that he
    would have to check with his employer or wife to be sure. When Peterson asked
    whether Tisthammer’s wife was in custody for allegedly participating in one of
    the burglaries, Tisthammer responded that his attorney told him to say what he
    wanted to say and then quit, and he wanted to quit. The grand jury indicted
    Tisthammer on all charges.
    B. Procedural Background
    Harden received notice of his appointment to represent Tisthammer the day
    after the grand jury hearing. Harden thereafter filed a motion to dismiss the
    indictment due to the deprivation of Tisthammer’s New Mexico statutory right to
    assistance of counsel during grand jury proceedings. After holding an evidentiary
    hearing at which Tisthammer, Peterson, and Harden testified, the state trial court
    denied the motion to dismiss. The court reasoned that under New Mexico’s
    statutory scheme, counsel would not have had a right to participate in the
    proceedings had he been present and that Tisthammer was advised he could stop
    -6-
    the proceedings if he wanted to consult with counsel, which is the same right he
    would have had if counsel were present.
    Tisthammer did not testify at trial and did not present an alibi defense. The
    state did not use his grand jury testimony against him, and he did not assert on
    appeal that his decision not to testify was motivated by fear of being impeached
    by his grand jury testimony. The only defense presented at trial was an attack on
    the credibility of Chavez. At the close of evidence, the trial court dismissed one
    of the counts of criminal damage; the jury convicted Tisthammer on the remaining
    nineteen counts of the indictment.
    On direct appeal, Tisthammer argued that the indictment should have been
    dismissed because he was denied his statutory right to counsel.        See State v.
    Tisthammer , 
    966 P.2d 760
    , 762-63 (N.M. Ct. App. 1998). Although the New
    Mexico Court of Appeals concluded that Tisthammer was entitled to counsel
    during his grand jury proceedings pursuant to the Public Defender Act, 
    N.M. Stat. Ann. §§ 31-15-1
     to -12 (1973, as amended through 1993), it also concluded that
    the denial of counsel was harmless in this particular case.       Tisthammer , 
    966 P.2d at 764-65
    . In reaching this conclusion, the court stated as follows:
    Even if Defendant had appeared with counsel before the grand jury,
    the role an attorney can play in that proceeding is so limited that
    Defendant has not shown the requisite degree of prejudice. In short,
    we are at a loss as to how the presence of counsel could have
    changed the grand jury’s vote.
    -7-
    An attorney appearing with a target witness before the grand
    jury can only advise the witness.     See [N.M. Stat. Ann.] § 31-6-4(C).
    The attorney cannot object to questions, cannot speak to the
    prosecutor or to the grand jury members, and when advising the
    target witness, must take care that the attorney is not overheard.   See
    id. Moreover, a grand jury hearing does not determine guilt or
    innocence, but rather only makes a probable cause determination. It
    would require sheer speculation for us to hold that, had counsel been
    present with Defendant during his testimony, the grand jury would
    not have returned an indictment.
    Defendant argues that he was prejudiced because his attorney
    could have presented an alibi or submitted questions for the
    prosecutor to ask if his attorney had been present with him in the
    grand jury room. However, even at trial, Defendant never presented
    an alibi. Moreover, Defendant was able to consult with Harden prior
    to testifying. Harden also spoke to the prosecutor and asked what
    questions would be asked and requested some questions for the
    prosecutor to ask. In accordance with Harden’s request, the
    prosecutor asked Defendant to explain Chavez’s motive for
    implicating Defendant in the burglaries. Also, Defendant was
    advised by his attorney to say what he wanted to say and not to
    answer additional questions. Defendant followed this advice during
    his examination and refused to answer additional questions. Thus, as
    the trial court noted, the presence of counsel at the grand jury
    hearing would have accomplished little more than what was done
    here.
    Additionally, Defendant has not made any assertion that the
    State used his “uncounseled” grand jury testimony against him at
    trial. In fact, Defendant did not testify at trial. Nor has Defendant
    suggested that his decision not to testify at trial was motivated by
    fear that he could be impeached by his prior grand jury testimony.
    Finally, given that dismissal of a grand jury indictment is a rare
    occurrence, we hold that the circumstances in this case do not require
    such a serious measure. We expressly do not exclude the possibility
    that under different facts, an indictment might have to be dismissed.
    However, given the minimal nature of the standard of proof required
    for indictment, and given the attorney’s limited ability to help a
    defendant by his presence in the grand jury room, we cannot say that
    a denial of counsel at the grand jury rises to the level of structural
    defect . . . . Given the obvious lack of any impact upon Defendant in
    -8-
    this particular case from appearing without counsel, dismissal was
    not required under the facts of this case.
    Id. (citations omitted). The New Mexico Supreme Court denied Tisthammer’s
    request for a writ of certiorari.   State v. Tisthammer , 
    967 P.2d 447
     (N.M. 1998).
    Tisthammer raised, inter alia , the following two claims in his state habeas
    corpus petition, neither of which had been raised before: (1) he was denied his
    Sixth and Fourteenth Amendment right to counsel when he was not provided with
    the assistance of counsel during his grand jury proceedings; and (2) he was denied
    his Fourteenth Amendment right to due process when he was forced to appear
    before the grand jury handcuffed and shackled. The state habeas court did not
    address either of these claims on the merits. As to the right-to-counsel claim, the
    court erroneously concluded that this claim had already been considered by the
    New Mexico Court of Appeals and denied the claim on the ground that
    Tisthammer was not entitled to a “successive determination of issues previously
    determined.” The state habeas court made no mention of Tisthammer’s shackling
    claim. Tisthammer filed a petition for a writ of certiorari in the New Mexico
    Supreme Court, seeking review of the state district court’s denial of habeas relief.
    Notably, however, there is no reference to the shackling claim in Tisthammer’s
    petition for a writ of certiorari. The New Mexico Supreme Court denied the
    petition for a writ of certiorari without comment.
    -9-
    Tisthammer filed the instant 
    28 U.S.C. § 2254
     habeas corpus petition on
    August 12, 1999, raising both the assistance-of-counsel and shackling claims.
    The matter was referred to a magistrate judge for initial proceedings pursuant to
    
    28 U.S.C. § 636
    (b)(1)(B). The magistrate judge expressed doubt as to whether
    the Constitution mandated counsel at a grand jury proceeding, even though
    Tisthammer had already appeared in court and been informed of the charges
    against him, but denied relief on the right-to-counsel claim on the ground that the
    denial of counsel was harmless. Although the decision of the New Mexico Court
    of Appeals on direct appeal related solely to Tisthammer’s claim regarding his
    statutory right to counsel, the magistrate judge concluded that the analysis of
    harmless error was equally compelling as to his constitutional claim. The
    magistrate further concluded that Tisthammer suffered no prejudice from his
    shackling. Upon de novo review, the district court adopted the magistrate judge’s
    report and recommendation in full and dismissed Tisthammer’s § 2254 habeas
    petition with prejudice.
    III. ANALYSIS
    A. Standard of Review
    Because Tisthammer filed his § 2254 habeas corpus petition in 1999, it is
    governed by the provisions of the Antiterrorism and Effective Death Penalty Act
    -10-
    of 1996 (“AEDPA”).       Wallace v. Ward , 
    191 F.3d 1235
    , 1240 (10th Cir. 1999).
    Nevertheless, because neither of the claims advanced in Tisthammer’s § 2254
    habeas petition was decided on the merits by New Mexico state courts, “we may
    exercise our independent judgment in deciding the claim[s].”         Battenfield v.
    Gibson , 
    236 F.3d 1215
    , 1220 (10th Cir. 2001). “In doing so, we review the
    federal district court’s conclusions of law de novo and its findings of fact, if any,
    for clear error.”   
    Id.
     State court findings of fact are presumed correct. 
    28 U.S.C. § 2254
    (e)(1).
    B. Right to Counsel at Grand Jury Hearing
    The respondents concede on appeal that Tisthammer had a federal
    constitutional right to counsel when he appeared before the grand jury.        1
    1
    The respondents recognize that a witness does not ordinarily have a
    constitutional right to counsel for an appearance before a grand jury because the
    witness has not, at that point, been formally charged and that the Supreme Court
    has never held that a grand jury witness even has the right to have an attorney
    present outside of the grand jury room.        See United States v. Mandujano , 
    425 U.S. 564
    , 581 (1976); Conn v. Gabbert , 
    526 U.S. 286
    , 292 (1999). The respondents
    nevertheless concede that
    in this case the normal procedure was not followed. . . . Officer
    Gates filed a criminal complaint against [Tisthammer], and
    [Tisthammer] had his first appearance before the [state] Magistrate
    Judge before he was brought before the grand jury. At his first
    appearance . . . [Tisthammer] was informed of the charges pending
    against him and his right to have an attorney. [Tisthammer] therefore
    had . . . a constitutional right to counsel under     Kirby v. Illinois , [
    406 U.S. 682
    , 688-89 (1972) (plurality opinion] when he appeared at the
    grand jury.
    (continued...)
    -11-
    Accordingly, the narrow question before this court is whether the denial of
    counsel in this particular case was harmless. We conclude that it was.
    Tisthammer asserts that prejudice is presumed and a harmlessness analysis
    is, therefore, unnecessary because there was a complete denial of counsel during
    the grand jury proceedings.    See United States v. Cronic , 
    466 U.S. 648
    , 659
    (1984) (“The presumption that counsel’s assistance is essential requires us to
    conclude that a trial is unfair if the accused is denied counsel at a critical stage of
    his trial.”); see also Brecht v. Abrahamson , 
    507 U.S. 619
    , 629 (1993) (concluding
    that structural errors, including the complete deprivation of counsel “defy analysis
    by harmless-error standards” (quotation omitted)). We conclude a deprivation of
    counsel at the grand jury proceeding like that at issue here is not subject to the
    Cronic presumption, but is instead governed by the Supreme Court’s decision in
    Coleman v. Alabama , 
    399 U.S. 1
     (1970). In Coleman , the Court held a
    preliminary hearing was a critical stage in the prosecution   2
    and that the denial of
    1
    (...continued)
    This court is not bound by the respondents’ legal concession that Tisthammer had
    a constitutional right to counsel at the time he appeared before the grand jury.
    Koch v. United States Dep’t of Interior , 
    47 F.3d 1015
    , 1018 (10th Cir. 1995).
    Nevertheless, because the respondents’ concession has deprived this court of the
    benefit of adversary briefing on this important question and because we ultimately
    agree with the district court that any alleged constitutional violation is harmless,
    we find it unnecessary to decide the question in this case.
    2
    In support of its conclusion that the preliminary hearing under Alabama law was
    a critical stage of the criminal proceeding at which a defendant was entitled to the
    (continued...)
    -12-
    counsel at the hearing violated the Sixth Amendment.       Id. at 10 (plurality
    opinion). The Court nevertheless concluded that the deprivation was subject to
    harmless error analysis and remanded the case to state court for such an analysis.
    Id. at 11.
    We agree with respondents that this case is far more analogous to      Coleman
    than it is to Cronic . There is nothing in the record to indicate that the grand jury
    proceeding in New Mexico is somehow more critical than Alabama’s pre-trial
    preliminary hearing. In fact, as discussed at some length in the opinion of the
    New Mexico Court of Appeals on direct appeal, the role of defense counsel is
    exceedingly limited.   See Tisthammer , 
    966 P.2d at 765
    . Accordingly, assuming
    2
    (...continued)
    assistance of counsel, the Supreme Court noted as follows:
    Plainly the guiding hand of counsel at the preliminary hearing is
    essential to protect the indigent accused against an erroneous or
    improper prosecution. First, the lawyer’s skilled examination and
    cross-examination of witnesses may expose fatal weaknesses in the
    State’s case that may lead the magistrate to refuse to bind the
    accused over. Second, in any event, the skilled interrogation of
    witnesses by an experienced lawyer can fashion a vital impeachment
    tool for use in cross-examination of the State’s witnesses at the trial,
    or preserve testimony favorable to the accused of a witness who does
    not appear at the trial. Third, trained counsel can more effectively
    discover the case the State has against his client and make possible
    the preparation of a proper defense to meet that case at the trial.
    Fourth, counsel can also be influential at the preliminary hearing in
    making effective arguments for the accused on such matters as the
    necessity for an early psychiatric examination or bail.
    Coleman v. Alabama , 
    399 U.S. 1
    , 9 (1970) (plurality opinion).
    -13-
    without deciding that a grand jury proceeding following the filing of a criminal
    complaint and first appearance constitutes a critical stage, the denial of counsel at
    the grand jury hearing is subject to review for harmless error.      3
    Having concluded that the denial of counsel at the grand jury proceeding is
    subject to harmless error analysis, this case is easily resolved. Pursuant to    Brecht
    we analyze whether the constitutional error had a “substantial and injurious
    effect” on the proceedings. 
    507 U.S. at 638
     (quotation omitted). After
    conducting a de novo review of the entire record, this court concludes that the
    respondents have demonstrated that the errors were harmless for substantially
    those reasons set out by the New Mexico Court of Appeals in concluding that the
    denial of Tisthammer’s New Mexico statutory right to counsel was harmless.             See
    Tisthammer , 
    966 P.2d at 764-65
    . In so doing, this court is fully cognizant that the
    standards utilized to analyze the two claims are different.       Compare 
    id. at 764
    (noting that Tisthammer had not met his burden of demonstrating prejudice),        with
    3
    This court joins the Sixth and Eleventh Circuits and specifically rejects
    Tisthammer’s assertion that Cronic has impliedly overruled Coleman . See
    Hammonds v. Newsome , 
    816 F.2d 611
    , 613 (11th Cir. 1987);          Takacs v. Engle , 
    768 F.2d 122
    , 124 (6th Cir. 1985); cf. Rodriguez de Quijas v. Shearson/Am. Express,
    Inc. , 
    490 U.S. 477
    , 484 (1989) (“If a precedent of this Court has direct
    application in a case, yet appears to rest on reasons rejected in some other line of
    decisions, the Court of Appeals should follow the case which directly controls,
    leaving to this Court the prerogative of overruling its own decisions.”). In fact,
    this court recently recognized in dicta the continuing validity of    Coleman . See
    United States v. Pearson , 
    203 F.3d 1243
    , 1261 (10th Cir. 2000).
    -14-
    Brecht , 
    507 U.S. at 640
     (Stevens, J., concurring) (noting that burden is on
    respondents to demonstrate that the constitutional error did not have a substantial
    and injurious effect on the jury’s deliberations). We nevertheless conclude that
    the factors identified by the state court demonstrate that Tisthammer suffered no
    prejudice as a result of the absence of counsel.
    C. Shackling Claim
    Tisthammer asserts that he was denied his right to due process when he was
    compelled to wear shackles and handcuffs while testifying before the grand jury.
    We begin by noting that because Tisthammer has not properly exhausted this
    claim in state court and because New Mexico has not expressly waived the
    exhaustion requirement we cannot grant him relief.     See 
    28 U.S.C. § 2254
    (b)(1)(A) (providing that a habeas corpus petition on behalf of a state
    prisoner “shall not be granted” unless the petitioner has exhausted his state court
    remedies); see also 
    id.
     § 2254(b)(3) (“A State shall not be deemed to have waived
    the exhaustion requirement or be estopped from reliance upon the requirement
    unless the State, through counsel, expressly waives the requirement.”).
    Tisthammer raised this claim for the first time in his state habeas petition. The
    state district court did not address the claim. In his petition for writ of certiorari
    to the New Mexico Supreme Court seeking review of the denial of his state
    habeas petition, Tisthammer did not raise the shackling claim. Accordingly,
    -15-
    Tisthammer has not properly exhausted the claim.         See O’Sullivan v. Boerckel ,
    
    526 U.S. 838
    , 848 (1999) (holding that “a prisoner who fails to present his claims
    in a petition for discretionary review to a state court of last resort” has not
    properly exhausted the claim).     4
    Despite Tisthammer’s failure to properly exhaust this claim in state court,
    this court may deny relief on the merits.     See 
    28 U.S.C. § 2254
    (b)(2). We begin
    by noting that Tisthammer does not cite a single case granting post-conviction
    relief based on a claim the petitioner was shackled during grand jury
    proceedings.   5
    The opinion of the Supreme Court in    United States v. Mechanik ,
    4
    It is likely that the shackling issue is procedurally barred.      See Duncan v. Kerby ,
    
    851 P.2d 466
    , 468 (N.M. 1993) (holding that New Mexico post-conviction
    procedures are not a substitute for direct appeal and that, absent extraordinary
    circumstances, issues that could have been raised on direct appeal will not be
    considered in post-conviction review);         Jackson v. Shanks , 
    143 F.3d 1313
    , 1318
    (10th Cir. 1998) (“Our review of New Mexico cases indicates that New Mexico
    courts have consistently and even handedly applied the rule waiving issues not
    raised on direct appeal for purposes of post-conviction relief.”);       Coleman v.
    Thompson , 
    501 U.S. 722
    , 735 n.1 (1991) (holding that if the court to which a
    petitioner must present his claims in order to meet the exhaustion requirement
    would now find those claims procedurally barred, there is a procedural default for
    the purposes of federal habeas review). Because it would be necessary to request
    supplemental briefing were this court to raise the procedural bar issue       sua sponte ,
    see Hardiman v. Reynolds , 
    971 F.2d 500
    , 505 (10th Cir. 1992), and because we
    easily conclude infra that Tisthammer’s shackling during his grand jury
    appearance did not have a substantial and injurious effect on his criminal
    proceedings, this court chooses to dispose of this issue on the merits.
    5
    Tisthammer, instead, relies on a single case from a New York state trial court
    granting a pre-trial motion to dismiss an indictment because of shackling during
    grand jury proceedings, People v. Marquez , 
    593 N.Y.S.2d 745
    , 747 (N.Y. Sup. Ct.
    (continued...)
    -16-
    
    475 U.S. 66
    , 72-73 (1986), discussing at length the substantial societal costs
    attendant to vacating an otherwise valid conviction based solely on violations of
    the Federal Rules of Criminal Procedure at the grand jury stage, most likely
    demonstrates why there are no such cases. As was true in         Mechanik , the jury’s
    finding that Tisthammer was guilty beyond a reasonable doubt alleviates the
    concern that the grand jury’s finding of probable cause to charge was tainted by
    the shackling.
    In an attempt to overcome     Mechanik , Tisthammer notes that it only
    involved a violation of the Federal Rules of Criminal Procedure, rather than a
    constitutional violation as alleged here. Tisthammer further notes that this court
    has held that when “the claimed errors [go] beyond the question of whether the
    grand jury had sufficient evidence upon which to return an indictment and
    essentially threatened the defendant’s rights to fundamental fairness, the issue is
    justiciable notwithstanding a subsequent guilty verdict by a petit jury.”      United
    States v. Lopez-Gutierrez , 83 F.3 1235, 1245 (10th Cir. 1996) (quotation omitted);
    see also United States v. Wiseman     , 
    172 F.3d 1196
    , 1206 (10th Cir. 1999).
    Assuming without deciding that these direct appeal cases apply in the post-
    5
    (...continued)
    1993), and two federal cases granting habeas relief where the petitioner was
    shackled during trial, Rhoden v. Rowland , 
    172 F.3d 633
    , 637-38 (9th Cir. 1999);
    Elledge v. Dugger , 
    823 F.2d 1439
    , 1450-52, modified on other grounds , 
    833 F.2d 250
     (11th Cir. 1987).
    -17-
    conviction context, this court concludes that, under the particular facts of this
    case, Tisthammer’s shackling during his brief appearance before the grand jury
    did not “transgress[] [his] right to fundamental fairness.”     Lopez-Gutierrez , 83
    F.3d at 1245. In this regard, Tisthammer simply argues that “[t]he restraints were
    particularly prejudicial in this case where [his] success depended on the grand
    jury’s view of his credibility.” The balancing of his credibility with that of
    Chavez, however, relates to the question of whether there was sufficient evidence
    to indict, the exact situation addressed in    Mechanik , albeit in the context of a
    rules violation. The petit jury’s determination at trial, pursuant to the standard of
    proof beyond a reasonable doubt, that Chavez was credible and Tisthammer was
    not, leads us to conclude that the shackling did not have a “substantial and
    injurious effect” on the grand jury proceedings.      Brecht , 
    507 U.S. at 638
    (quotation omitted).
    -18-
    IV. CONCLUSION
    For those reasons set out above, the order of the United States District
    Court for the District of New Mexico denying Tisthammer’s § 2254 habeas corpus
    petition is hereby AFFIRMED .
    ENTERED FOR THE COURT
    Michael R. Murphy
    Circuit Judge
    -19-