IN THE COURT OF APPEALS OF IOWA

No. 17-0002

Filed September 27, 2017

STATE OF IOWA,

Plaintiff-Appellee,

vs.

STACY LEIGH ROOK,

Defendant-Appellant.

________________________________________________________________

Appeal from the Iowa District Court for Tama County, Mary E. Chicchelly, 

Judge.

The defendant appeals from the district court’s order revoking the 

defendant’s deferred judgment. AFFIRMED. 

Thomas M. McIntee of Waterloo, for appellant.

Thomas J. Miller, Attorney General, and Louis S. Sloven, Assistant 

Attorney General, for appellee.

Considered by Vogel, P.J., and Potterfield and Mullins, JJ.
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POTTERFIELD, Judge.

I. Background Facts and Proceedings.

On September 23, 2014, Stacy Rook was charged by trial information with 

the following: (1) conspiracy to manufacture, deliver, or possess 

methamphetamine (five grams or less); (2) possession of pseudoephedrine as a 

precursor with intent to manufacture, sell, distribute; (3) possession of lithium as 

a precursor with intent to manufacture, sell, distribute; and (4) possession of 

ether as a precursor with intent to manufacture, sell, distribute. All counts were 

in violation of Iowa Code section 124.401 (2014). Rook pleaded guilty to 

possession of pseudoephedrine, and the remaining charges were dropped. At 

sentencing, Rook received a deferred judgment and probation for a period of two 

years. Rook’s conditions of probation required her to abstain from the use or 

possession of illegal drugs or drug paraphernalia and submit to urinalysis or 

breathalyzer testing upon the request of a probation officer. 

On March 24, 2016, the Department of Correctional Services (DCS) filed a 

report of probation violations by Rook. The report detailed several violations of 

Rook’s probation, including three incidents where Rook tested positive for illegal 

substances between August 2015 and January 2016. The report also stated that 

Rook admitted to her probation officer that she had used illegal substances on 

several occasions.

A June DCS report outlined additional probation violations by Rook. The 

supplemental report indicated Rook failed to submit to a random drug test in 

April. Additionally, in May, Rook missed a scheduled appointment, tested 
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positive for methamphetamine, and was charged with simple assault. In June, 

High Risk Unit officers located drug paraphernalia at Rook’s residence. 

Rook began inpatient substance-abuse treatment with the Department of 

Veteran Affairs (VA) in August 2016, and she was discharged in October. Rook 

also participated in outpatient substance-abuse treatment through the VA. 

However, in December, DCS filed an additional report of probation violations 

detailing incidents where Rook tested positive for methamphetamine and failed to 

appear for a random drug test. 

On December 6, the State filed an application for adjudication of guilt and 

sentencing. As part of its application, the State filed a letter from Rook’s clinical 

social worker explaining Rook’s substance-abuse diagnoses and treatment 

through the VA. The matter came on for a hearing on December 22, and counsel 

represented Rook. Rook stipulated to each of the allegations in the application. 

The court engaged in the following colloquy with Rook: 

THE COURT: So I need to inform you of your rights before I 

can accept the stipulation. I need to make sure that you 

understand your rights that you have with the regard to the State’s 

applications. You have a right to a hearing on the State’s 

applications, all of them, not just the first one, but all three of the 

supplemental applications. Do you understand that?

MS. ROOK: Yes, ma’am.

THE COURT: You also have a right to ask questions of the 

State’s witnesses that they would present in supporting their 

applications and ask questions of your own witnesses and 

subpoena witnesses to testify on your behalf. Do you understand 

that you have all of those rights with regard to these applications?

MS. ROOK: Yes, Your Honor.

THE COURT: You also would have the right to ask 

questions of your own witnesses and subpoena witnesses to testify 

on your own behalf, which basically means that if you had

witnesses that were not willing to come to court, that you would ask 

the Court to subpoena them so that they would be required to come 
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to court to support your side of the case. Do understand that you 

also have that right?

MS. ROOK: Yes, I do, Your Honor.

THE COURT: You also have a right to testify on your own 

behalf; however, no one can force you to testify, and the State 

could not call you as a witness in order to prove the violations 

before the court. Do you understand that?

MS. ROOK: Yes, ma’am.

THE COURT: You also have a right to be represented by an 

attorney, and if you could not afford an attorney, the court will 

continue to appoint an attorney to represent you; do you 

understand that?

MS. ROOK: Yes, ma’am.

THE COURT: And do you understand that you have all of 

these rights? Is that yes?

MS. ROOK: Yes, yes, ma’am.

THE COURT: And you understand that by stipulating or 

agreeing that you violated the terms of your deferred judgment 

here, you’re waiving all of these rights?

MS. ROOK: Yes, Your Honor. 

THE COURT: And do you understand that if you have a 

hearing, that the State . . . would have . . . to prove beyond a 

reasonable doubt that you willfully and intentionally violated the 

terms of your sentencing order and probation as set forth in the 

State’s application and all of the supplemental applications thereto?

MS. ROOK: Yes, Your Honor.

(Emphasis added). The court also allowed a recess for counsel to review the 

State’s application with Rook. The court stated, “I’m going to take a break here 

for a few minutes and allow you an opportunity to review the applications as well 

as the reports with your client so that she understands what it is that she’s 

agreeing to here.” Following the recess, the court confirmed with Rook that she 

wanted to proceed, verified the stipulation was voluntary, and reviewed each of 

the State’s allegations to confirm its accuracy. Rook confirmed all of the 

allegations, and the court found Rook “willfully and intentionally violated the 

terms of her sentencing order.” 
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At the disposition phase of the hearing, Dawn Larson, Rook’s community 

treatment coordinator testified on behalf of the State. Larson discussed Rook’s 

mental-health diagnosis and treatment with a psychiatrist at the VA. Larson 

testified that Rook had ten drug-related violations during her probation, and that 

Larson discussed with Rook the possibility of losing her deferred judgment. 

Following the hearing, the court revoked Rook’s deferred judgment, 

adjudicated Rook guilty of the underlying offense, and sentenced Rook to an 

indeterminate term of incarceration of up to five years. The court suspended the 

sentence, placed Rook on probation, and required Rook to reside at a residential 

treatment facility as a condition of her probation. Rook appealed the court’s 

adjudication of guilt and sentencing order, claiming ineffective assistance of 

counsel during the proceedings.

II. Standard of Review. 

We review claims of ineffective assistance of counsel de novo. State v. 

Thorndike, 860 N.W.2d 316, 319 (Iowa 2015).

III. Discussion. 

Rook claims counsel was ineffective during the probation-revocation 

hearing. First, Rook argues counsel was ineffective for failing to verify a factual 

basis for the stipulation and to ensure Rook’s stipulation was knowing, intelligent, 

and voluntary. Second, Rook argues counsel had a duty to investigate Rook’s 

mental-health condition in more detail in order to pursue a diminished-capacity 

defense to avoid revocation of Rook’s deferred judgment. 

To prove her claims of ineffective assistance of counsel, Rook must prove 

by a preponderance of the evidence that (1) counsel failed to perform an 
6

essential duty and (2) she suffered prejudice as a result. See State v. Morgan, 

877 N.W.2d 133, 136 (Iowa Ct. App. 2016). The claim fails if either prong is not 

proved. Id. When a defendant chooses to raise an ineffective-assistance-ofcounsel claim on direct appeal, we may either determine the record is adequate 

and decide the claim or find the record is inadequate and preserve the claim for 

possible postconviction proceedings. See State v. Neitzel, 801 N.W.2d 612, 624 

(Iowa Ct. App. 2011).

To prove the first prong of this claim, Rook must show counsel’s 

performance fell outside the normal range of competency. See State v. Straw, 

709 N.W.2d 128, 133 (Iowa 2006). Starting “with the presumption that the 

attorney performed her duties in a competent manner,” “we measure counsel’s 

performance against the standard of a reasonably competent practitioner.” State 

v. Maxwell, 743 N.W.2d 185, 195 195–96 (Iowa 2008). Although counsel is not 

required to predict changes in the law, counsel must “exercise reasonable 

diligence in deciding whether an issue is ‘worth raising.’” State v. Westeen, 591 

N.W.2d 203, 210 (Iowa 1999) (quoting State v. Schoelerman, 315 N.W.2d 67, 72 

(Iowa 1982)). In accord with these principles, we have held that counsel has no 

duty to raise an issue that has no merit. State v. Schaer, 757 N.W.2d 630, 637 

(Iowa 2008); State v. Bearse, 748 N.W.2d 211, 215 (Iowa 2008) (“Counsel 

cannot fail to perform an essential duty by merely failing to make a meritless 

objection.”). 

To revoke an individual’s probation, whether the probation was ordered as 

part of a deferred judgment or a suspended sentence, the court may hold a 

probation-revocation hearing based on probable cause of a violation of the 
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conditions of probation. See Iowa Code §§ 907.3(1)(b), 908.11 (setting forth

deferred judgment and probation procedure). The court then imposes a

disposition if a probation violation is proven by a preponderance of the evidence.

Id. (citing Morrissey v. Brewer, 408 U.S. 471, 485-87 (1972)). Probation

revocation is a civil proceeding and not a stage of criminal prosecution. Gagnon 

v. Scarpelli, 411 U.S. 778, 782 (1973). Because revocation is not a stage of 

criminal prosecution, the rules of criminal procedure do not apply and “the 

proceedings can be informal, even summary.” Calvert v. State, 310 N.W.2d 185, 

187 (Iowa 1981). The “full panoply of rights due a defendant” in a criminal 

proceeding do not apply to probation revocations. Morrissey, 408 U.S. at 480. It 

is only necessary that proof of a violation of the terms and conditions of a 

probation agreement be supported by a preponderance of the evidence to justify 

a revocation. Rheuport v. State, 238 N.W.2d 770, 772 (Iowa 1976). A 

preponderance of the evidence will support the revocation of a deferred 

judgment, as well as a probation violation, after a conviction. See State v. Kirby, 

622 N.W.2d 506, 510 (Iowa 2001). Revocations are reviewed for abuse of 

discretion, and it has been asserted that an admission will satisfy the 

requirement. Dolan, 496 N.W.2d at 279–80. Even the defendant’s silence in 

response to a direct question can be considered as supporting a probation 

revocation. Calvert v. State, 310 N.W.2d 185, 189 (Iowa 1981). In the instant 

case, there was an unqualified admission to the violation made in response to a 

direct question. The revocation was supported by a preponderance of the 

evidence, and there was no abuse of discretion. See State v. Kline, No. 12-

0366, 2013 WL 3291865, at *2 (Iowa Ct. App. June 26, 2013). 
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 However, certain due process rights are still guaranteed to the 

defendant. Id. at 487–89. The minimum requirements of due process require: 

(a) written notice of the claimed violations of [probation]; (b) 

disclosure to the [defendant] of evidence against him; (c) 

opportunity to be heard in person and to present witnesses and 

documentary evidence; (d) the right to confront and cross-examine 

adverse witnesses (unless the hearing officer specifically finds 

good cause for not allowing confrontation); (e) a ‘neutral and 

detached’ hearing body such as a traditional parole board, 

members of which need not be judicial officers or lawyers; and (f) a 

written statement by the factfinders as to the evidence relied on and 

reasons for revoking [probation].

Id. at 489; see also Calvert, 310 N.W.2d at 188 (explaining due process 

requirements); Patterson v. State, 294 N.W.2d 683, 684 (Iowa 1980) (holding 

principles established in Morrissey apply to probation revocation proceedings). 

These requirements may be waived by the petitioner. Patterson, 294 N.W.2d at 

684. Rook does not claim her due process protections were not provided to her.

A. Factual Support for Violations.

Rook argues counsel was ineffective for failing to ensure the stipulation 

was knowingly, intelligently, and voluntarily made1and for allowing Rook to 

stipulate to facts unsupported by a factual basis, citing Rhoades v. State. 848

N.W.2d 22, 29 (Iowa 2014). Rhoads, however, addresses the factual basis to 

support a defendant’s guilty plea—not the factual stipulation in a probation 

revocation hearing. Id. Here, Rook did not enter a guilty plea at the deferred

 

1 Rook argues the court erred by accepting the stipulation without finding the stipulation 

was knowing, intelligent, and voluntary. Counsel did not present this argument at the 

district court level. Therefore, it is not preserved. See State v. Howse, 875 N.W.2d 684, 

688 (Iowa 2016); see also Boyle v. Alum–Line, Inc., 710 N.W.2d 741, 751 n.4 (Iowa 

2006) (“When a district court fails to rule on an issue properly raised by a party, the party 

who raised the issue must file a motion requesting a ruling in order to preserve error for 

appeal.”). 
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judgment probation-revocation hearing2; she stipulated to the facts contained in 

the State’s application. See Morrissey, 408 U.S. at 480. Rook made an 

“unqualified admissions” in response to direct questions. See Kline, 2013 WL 

3291865, at *2 (holding the probation revocation was supported by a 

preponderance of the evidence when the defendant made an unqualified 

admission to the probation violation). 

The record supported the facts contained in Rook’s stipulation. Rook 

admitted to using illegal substances or testing positive for illegal substances ten 

times during her probation. During the hearing, the court explained in detail to 

Rook the process of the hearing, the consequences of stipulating to the facts of 

the application, and Rook’s right to testify on her own behalf. The court allowed 

defense counsel an opportunity to review the application with Rook in more detail 

during a recess. The court then asked Rook again if she understood the nature 

of the stipulation after defense counsel reviewed the application with Rook. The 

court reviewed each fact supporting the application with Rook to verify its 

accuracy, and Rook admitted to each fact in the application. The court then 

accepted Rook’s stipulation. Rook had multiple opportunities to challenge the 

State’s factual assertions if they were untrue. Abstaining from illegal substances 

is a condition to Rook’s probation. There was clear support for the stipulated 

facts in the record. Rook’s counsel was not ineffective for pursuing a defense 

that has no merit. See Schaer, 757 N.W.2d at 637; Bearse, 748 N.W.2d at 215. 

 

2 Rook pleaded guilty to the underlying offense in 2014. 
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B. Mental Health Status.

Rook next argues counsel was ineffective for failing to investigate Rook’s 

mental-health issues to provide a diminished capacity defense to prevent 

revocation of the deferred judgment. Rook argues there was not an adequate 

investigation into her mental-health history. The VA social worker wrote a letter 

to the court explaining Rook’s diagnosis and treatment, and the community 

service officer testified that Rook struggled with bi-polar disorder. Rook’s 

mental-health status was evident from the record made. Counsel was not 

ineffective. See Schaer, 757 N.W.2d at 637.

AFFIRMED.