People v. Rubio
People v. Rubio
Opinion of the Court
Defendant Adan Rubio appeals his conviction by plea to possession of a controlled substance with a firearm ( Health & Saf. Code, § 12305 ), a plea entered after the trial court denied his motion to suppress the evidence found in his apartment ( Pen. Code, § 1538.5 ).
FACTUAL AND PROCEDURAL BACKGROUND
On October 19, 2016, at approximately 10:40 p.m., East Palo Alto Police Department Sergeant Clint Simmont received an alert on his "ShotSpotter" application that shots had been fired near 2400 Gonzaga Street. ShotSpotter triangulates the location of gunfire via microphones placed throughout the city. ShotSpotter notified Sergeant Simmont of two separate bursts of gunfire. First came five rounds from the edge of the garage driveway area of 2400 Gonzaga, then one minute later came six rounds at "the edge of the driveway, near the sidewalk." Sergeant Simmont testified that 2400 Gonzaga is located in "Da Vill," known as a high-crime neighborhood. He further testified that he had responded to more murders within a block of that location than anywhere else in East Palo Alto.
*33Sergeant Simmont and a team of four other officers arrived near the location of the shots and parked 60 to 70 feet from the edge of the driveway. Officers Andrea Dion and Rock Stilwell spoke with persons nearby and asked if they had heard gunfire. Two individuals pointed towards a boat in the driveway of 2400 Gonzaga and stated that they saw flashes coming from the other side of the boat. As the officers approached the house with their guns out, they found a spent shell casing on the ground at the top of the driveway near the garage. Sergeant Simmont believed the casing was a .45 caliber round and may have come from a semiautomatic weapon.
Approximately one minute after the officers found the spent shell casing, a man identified as Joshua Bazan walked through the wooden gate of a fence that separated the front and back yards of the house. Sergeant Simmont recognized Bazan from prior contacts and testified that Bazan frequently drinks and yells at police. Sergeant Simmont also testified that Bazan did not reside at 2400 Gonzaga. As he came through the gate, Bazan began yelling obscenities at the officers and assumed a combative position. The officers arrested Bazan and placed him in a patrol car.
After Bazan's arrest, Officer Dion located two additional spent casings behind the open gate that Bazan had passed through. Sergeant Simmont concluded the gunfire had come from near the gate, although he could not testify from which side. Sergeant Simmont testified that he was "investigating whether or not we had a victim or a shooter [who] was hiding out."
Sergeant Simmont pounded loudly on a door attached to the side of the garage and announced police presence four or five times. No one responded, but Sergeant Simmont heard what sounded like someone inside the garage pushing items against the door, and he noticed that the door appeared to be flexing. Sergeant Simmont believed someone was attempting to barricade the door. As Sergeant Simmont was knocking on the door, a man later identified as Sergio Castillo came to a window next to the garage. Sergeant Simmont ordered Castillo to open the door. Castillo indicated that the door was not the door to the garage, but instead was a door to a separate room.
Sergeant Simmont, Officer Lee, and Officer Weigand spoke with several persons at the front door to the residence. When asked whether anyone in the house had been shot, defendant's father, Francisco Rubio Sr., stated he did not know. Sergeant Simmont testified that he asked Francisco Sr. for permission to search the house, which Francisco Sr. granted. Francisco Sr. testified that the officers never asked him for permission to enter the house.
Once inside the house, officers asked Francisco Sr. who was inside the garage, and he responded that his son was. Sergeant Simmont then asked for permission to search the garage, and Francisco Sr. responded, "Sure." Attempting to open the door from the house to the garage, Francisco Sr. found that it was locked, but told the officers he would get the key.
As Francisco Sr. was getting the key, defendant emerged from the garage, opening the door "just enough to slide his body out." Defendant closed the door, which automatically locked behind him, and approached the officers with his hands in his pockets, yelling for them to shoot him. Sergeant Simmont repeatedly ordered defendant to show his hands. Defendant eventually took his hands out of his pockets and, as he did so, threw a key ring into the kitchen sink. Officers arrested defendant and placed him in a patrol car.
*34The officers retrieved the key defendant had thrown into the sink and attempted to use it to open the door to the garage. When defendant's key did not work, Sergeant Simmont and Officer Stilwell kicked the door open and entered the garage. Sergeant Simmont testified that he was uncertain what was on the other side of the door and that he had no reason to believe anyone had been shot, but he "didn't have anything to rule that out, either."
Upon entering the garage, Sergeant Simmont observed that the garage was a converted apartment. The officers did not find anyone inside the apartment, but did observe "an explosive device on a shelf." The officers also found and collected an operable .45 semiautomatic Smith & Wesson pistol on the shelf in an open closet. Sergeant Simmont noticed that the door he had knocked on earlier from the outside was barricaded by furniture.
The officers cleared the house of all occupants to secure the scene. At around 5:18 a.m., a search warrant was obtained. The officers reentered the residence and executed the warrant. The officers found an operable .357 Smith & Wesson handgun, twenty .40-caliber bullets, 87 live .357-caliber bullets, a body armor vest, six spent .357 Smith & Wesson shell casings, and a plastic twist-off bindle in a shot glass with a clear, rock-like substance. Sergeant Simmont located surveillance equipment with a view of the driveway and a video that showed three people walking down the driveway. Defendant is seen pulling out a revolver and firing six shots into the air. Defendant and two other individuals, Bazan and possibly defendant's brother, are then seen running back through the gate next to the house.
Following the filing of a five-count felony complaint, defendant filed a motion to suppress evidence. At a hearing on the motion to suppress, the prosecution argued that the warrantless entry into defendant's garage was justified under multiple theories: community caretaking, emergency aid, exigent circumstances, and consent. Citing to People v. Ray (1999)
The San Mateo County District Attorney then filed a six-count felony information, charging defendant with discharge of a firearm with gross negligence (§ 246.3, subd. (a) (count one)), possession of a controlled substance with a firearm ( Health & Saf. Code, § 11370.1, subd. (a) (count two)), unlawful possession of a firearm by a felon (§ 29800, subd. (a)(1) (counts three and four)), unlawful possession of ammunition (§ 30305, subd. (a)(1) (count five)), and possession of an explosive ( Health & Saf. Code, § 12305 (count six)), with a special allegation that defendant is ineligible for probation because of two prior offenses (§ 1203, subd. (e)(4)).
Defendant filed a motion to set aside the information pursuant to section 995, alleging that the evidence presented at the preliminary hearing should have been suppressed pursuant to section 1538.5. Defendant also renewed the original motion to suppress evidence. Citing the emergency aid doctrine of the community caretaking exception, the trial court denied defendant's motion to set aside the information and denied the motion to suppress.
Following this second denial of his motion to suppress, defendant entered a plea of no contest to violating Health and Safety Code section 11370.1, as charged in count two, and admitted the special allegation pursuant to section 1203, subdivision (e)(4). The trial court sentenced him to three years of supervised probation, subject *35to conditions including nine months in the county jail or a residential substance abuse treatment program. Defendant filed a timely notice of appeal.
DISCUSSION
" '[I]t is a "basic principle of Fourth Amendment law" that searches and seizures inside a home without a warrant are presumptively unreasonable.' " ( People v. Romeo (2015)
Defendant argues that the officers' actions here were not justified by any exception to the Fourth Amendment warrant requirement. "On appeal, a reviewing court must affirm the trial court's determinations of the factual questions if they are supported by substantial evidence, but must take the ultimate responsibility for deciding the legal question according to its independent judgment." ( People v. Duncan (1986)
In denying defendant's motion to suppress, the magistrate relied on People v. Ray, supra ,
Six members of our Supreme Court agreed that the entry was proper but disagreed among themselves as to precisely which exception to the warrant requirement applied. Three justices felt that the relevant exception was "exigent circumstances," defined " 'to include "an emergency situation requiring swift action to prevent imminent danger to life or serious damage to property...." [Citation.] The action must be "prompted by the motive of preserving life or property and [must] reasonably appear[ ] to the actor to be necessary for that purpose." ' " ( People v. Ray, supra , 21 Cal.4th at p. 481,
According to the lead opinion, " 'the community caretaker exception is only invoked when the police are not engaged in crime-solving activities.' " ( People v. Ray, supra , 21 Cal.4th at p. 471,
Given the generality of this standard, it is hardly surprising that courts in many cases with diverse factual situations have upheld and rejected application of the community caretaking exception. One element common to all of these cases is that the law enforcement officers must not have used the caretaking exception as a pretext for other law enforcement activities. " '[T]he defining characteristic of community caretaking functions is that they are totally unrelated to the criminal investigation duties of the police.' " ( People v. Ray, supra , 21 Cal.4th at p. 471,
While the facts in none of the cases are precisely the same, several support application of the community caretaking exception here. In Ray itself, the officers were aware only that a door to the residence had been open all day and that through it could be seen that the home was in shambles, and no one responded to their repeated knocks. Their concern justified entry to conduct a security check " 'to see if anyone inside might be injured, disabled, or unable to obtain help' and to determine whether a burglary had been committed or was in progress." ( People v. Ray, supra , 21 Cal.4th at p. 468,
Several decisions of the United States Supreme Court confirm this approach. In *37Brigham City v. Stuart (2006)
In Ryburn v. Huff (2012)
*38( Ryburn , at p. 474,
Although in the present case the officers were not aware of a specific, known individual who might be in danger or might pose an imminent threat to others, as in some of these cases, the California Supreme Court's decisions in both Ray and Stamper establish that if the circumstances suggest that such a person may be inside a dwelling, police may reasonably enter to determine whether in fact such a person is present.
Under the approach required by these authorities, the officers' forced entry into defendant's garage apartment in the present case was reasonable. As the prosecutor and the Attorney General have summarized the situation, "1) there were shots fired from multiple locations in the driveway; 2) a verbally aggressive person exited the gate of the residence and took a fighting stance; 3) Sergeant Simmont recognized that the person did not live at the residence; 4) shell casings were observed outside the residence; 5) the shell casings appeared to lead to a door going into the garage; 6) when he knocked and announced his presence, Sergeant Simmont heard movement inside that sounded like someone barricading the door; 7) the sounds led officers to believe someone may have been held captive on the other side of the door; 8) [defendant] was acting erratically and refused to show his hands; and 9) the neighborhood was known as a high crime area."
As the trial court put these facts together, "what the defense is asking is for this court to second guess the actions of an officer in the field who knows that shots have been fired, sees physical evidence of the location where the firearm was discharged, hears movement within the home that he seeks entry to that is consistent with a reasonable fear that a victim of a shooting may be being secreted within the residence based on his prior experience, further that that activity to barricade the door was upon his request to enter as opposed to a verbal response saying, no, *39you can't come in. There's physical activity suggesting an attempt to barricade the door. And then the appearance of Mr. Bazan ... and his oppositional behavior in a manner where he had no right of possession over the premises ... heightened the exigent moment with regard to the decision making an officer must make in the field where firearms are being or have very recently been discharged. Accordingly, ... Sergeant Simmont's actions fall within the emergency [aid] doctrine [of the] community caretaking exception to the Fourth Amendment warrant requirement."
We agree with this analysis. In our view, the community caretaker exception applies. We add, as the Court of Appeal did in People v. Stamper,
DISPOSITION
The judgment is affirmed.
I CONCUR:
BROWN, J.
Unless otherwise specified, all further statutory references are to the Penal Code.
We review the propriety of the magistrate's decision, not that of the superior court that affirmed the magistrate's decision. (People v. Thompson (1990)
Dissenting Opinion
If a man lives in a high crime neighborhood and somebody discharges a firearm outside his home, may the police break down his door and enter his apartment when he refuses to invite them in to investigate? The majority seems to think so, but the Fourth Amendment answers a resounding "no"-at least not without circumstances, not present here, that would cause a reasonable person to believe that someone in the apartment stood in need of aid, or that some other exception to the warrant requirement applied.
The Fourth Amendment draws a " 'firm line at the entrance of the house.' " ( People v. Bennett (1998)
The Attorney General urges two exceptions to the Fourth Amendment's warrant requirement as justifying the warrantless intrusion in this case, but he is wrong on both counts. The emergency aid exception of People v. Ray (1999)
I. Emergency Aid Doctrine
The emergency aid exception to the warrant requirement allows police to "enter a home without a warrant when they have an objectively reasonable basis for believing that an occupant is seriously injured or imminently threatened with such injury." ( Brigham City v. Stuart (2006)
Missing in this case are specific and articulable facts that would lead a reasonable person to conclude shots fired outside defendant's garage apartment required breaking down the door to rescue someone inside his home. ShotSpotter data and percipient witness observations placed all of the gunfire outside the home, in or near the driveway and the gate to the backyard. There were no bullet holes in windows or siding to suggest that any of the shots fired outside the home had penetrated into the garage. There were no drops of blood on the ground to suggest anybody in range of the gunshots had been hit. Police talked to eyewitnesses but heard no reports of a scuffle, or of any other sounds or sights suggesting anyone had been threatened or injured. When police asked Francisco Rubio, Sr. if anyone had been shot, he responded "I don't think so." (Any lack of definitiveness in this answer is easily explained by the fact that he had been asleep until awoken by the sound of gunfire; getting out of bed to investigate, he saw nobody.)
Other than the simple fact that shots were fired outside defendant's home, the Attorney General points only to the ample evidence that two people in this high-crime neighborhood distrusted the police. First, the response to Sergeant Simmont's pounding on the outside door of defendant's apartment, announcing police presence, was an evident attempt to barricade the door from the inside. Then, a man who did not live at the house and who had a habit of "making his dissatisfaction [with] the police known" emerged from the backyard in a belligerent manner. Finally, defendant responded to the continued police attempts to gain access to his apartment by coming out into the kitchen with his hands in his pockets, daring the police in a loud voice to shoot him.
These facts certainly justify the police in detaining defendant and Joshua Bazan in handcuffs while they continue their investigation, but they do not support an inference that an injured person remains in the garage. Bazan had no reported link to the home, so his presence outside it says nothing about what is happening inside. Is Bazan a friend or foe of the inhabitants? Is he responsible for the shots fired? At this point, the police did not know. They did know, or at least had strong evidence to suggest, that the only reported occupant of the garage wanted no contact with them, and that he feared police would break down his door and would shoot him. But defendant's evident distrust of police and preference to avoid interacting with them does not plausibly support an inference that somebody else was in his apartment and suffering from a gunshot wound. Even after they detained Bazan and defendant, the police learned nothing to substantiate their original suspicion that an injured person might be in the garage. And with nothing more than an "unparticularized suspicion[ ]" that emergency aid might be necessary, the police may not breach the firm line the Fourth Amendment draws at the entrance to defendant's home. ( Duncan , supra , 42 Cal.3d at pp. 97-98,
Unlike the majority, I find no authority in Ray, supra ,
After rejecting the emergency aid doctrine as grounds for police entry into the apparently burglarized apartment in Ray , the lead opinion goes on to endorse warrantless entry on a different theory. The opinion accepts the prosecution's argument that there is a non-emergency variant of the community caretaking exception, and that this broader conception of community caretaking excuses the police from having obtained a warrant. ( Ray, supra , 21 Cal.4th at p. 473,
Not only does the Ray lead opinion's second theory fail to command a majority, it has no application to the facts of defendant's case. Here, nobody argues that circumstances short of an emergency required police attention. Sergeant Simmont was not, for example, trying to protect defendant's property from potential burglars. Moreover, the lead opinion in Ray teaches that the community caretaking exception only justifies intrusions for purposes other than emergency aid if the police are not investigating a crime. "Any intention of engaging in crime-solving activities will defeat the community caretaking exception even in cases of mixed motives." ( Ray, supra , 21 Cal.4th at p. 477,
In sum, the warrantless intrusion into defendant's home finds no authority in Ray -neither Ray 's application of the traditional emergency aid doctrine nor its new, non-emergency variant of community caretaking. The majority suggests otherwise by quoting language from Ray 's lead opinion, that the police's "concern justified entry 'to conduct a security check "to see if anyone inside might be injured, disabled, or unable to obtain help" and to determine whether a burglary had been committed or was in progress.' " (Maj. opn., ante , at p. 36.) But the quoted language is the subjective explanation the police gave for their conduct. (See Ray, supra , 21 Cal.4th at p. 468,
Other California cases applying the emergency aid doctrine are no more helpful to the Attorney General. In People v. Stamper (1980)
Similarly, in Tamborino v. Superior Court (1986)
The Attorney General also relies on two federal cases that are distinguishable in that both involve police who see evidence that a person in the home has been injured and that violence is ongoing in the home. In Brigham City,
More analogous is a case from a sister state whose supreme court refused to apply the emergency aid doctrine even where there was evidence linking gunfire to a room the police entered. In People v. Davis (1993)
The majority cites one case that involves police entry into a home without signs of blood or reports of violence within the home. But Ryburn v. Huff (2012)
*44Brosseau v. Haugen (2004)
Questions of qualified immunity aside, Ryburn is also factually distinguishable. In Ryburn , the police entered through an open door, behind a woman whose son had credibly threatened to " 'shoot up' " his school, and after the woman ran into the house upon being asked whether there were guns inside. ( Ryburn, supra , 565 U.S. at pp. 470-471,
Although the police had no evidence linking anyone inside defendant's apartment to the reports of shooting outside it, they did have evidence that someone in the garage sought to deny them entry. But defendant, as much as any American, has "the right ... to retreat into his own home and there be free from unreasonable governmental intrusion." ( Silverman,
*45II. Exigent Circumstances
The Attorney General also argues that the police action in this case comes within the exigent circumstances exception to the warrant requirement. Because warrantless entry into a home is presumptively unreasonable, the government bears the burden of establishing exigent circumstances ( Troyer, supra , 51 Cal.4th at p. 606,
The Attorney General argues exigent circumstances based, in part, on the officers' reasonable belief that an injured person in the garage needed immediate aid. This is a reframing, under a different label, of the emergency aid argument. (See, e.g., Tamborino , supra , 41 Cal.3d at p. 925,
But the Attorney General also argues exigent circumstances in that an armed shooter might be in the garage apartment even after defendant has left it. Sergeant Simmont could reasonably conclude "there was a possibility a firefight ... had occurred," and that shooters "may be inside the residence," the Attorney General asserts. (Italics added.) Police may have harbored a "suspicion that activities intended to be hidden were continuing in the home," as the Attorney General alleges, but none of this conjecture rises to the level of probable cause to believe that a shooting suspect was in the garage, and the Attorney General does not argue otherwise.
This shortfall is fatal, for "to fall within the exigent circumstances exception to the warrant requirement, an arrest or detention within a home or dwelling must be supported by both probable cause and the existence of exigent circumstances." ( People v. Lujano (2014)
Here, the totality of the circumstances fails to establish that when the police entered defendant's apartment they had probable cause to believe a shooter would be found there. Although ample evidence established that a shooting had occurred outside the apartment, no witnesses or other evidence placed a gunman inside the residence at any time before the police broke down defendant's door. Indeed, no evidence placed anyone but defendant in the garage at any point that evening, so that once defendant had come into the kitchen, police had no reason to believe anybody-shooter or otherwise-remained in the garage. With Bazan and defendant in handcuffs, the very idea that a shooter remained at large was speculative. This case is therefore clearly distinguishable from Stamper , the primary case on which the Attorney General relies. In Stamper , *46police received a report of gunshots within the residence and then heard with their own ears the sound of a shotgun being chambered inside the residence. ( Stamper, supra , 106 Cal.App.3d at p. 304,
In sum, lacking probable cause to believe a shooting suspect would be found in defendant's apartment, the police could not rely on exigent circumstances to justify breaking down his door and entering his home to look for a shooter.
* * * * *
The majority cites Ryburn for the proposition that "judges should be cautious about second-guessing a police officer's assessment, made on the scene, of the danger presented by a particular situation." (Maj. opn., ante , at p. 38, citing Ryburn , supra , 565 U.S. at pp. 476-477,
At stake are bedrock principles of constitutional law. First, " 'the "physical entry of the home is the chief evil against which the wording of the Fourth Amendment is directed." ' " ( Thompson , supra , 38 Cal.4th at p. 817,
Because I believe today's decision obscures that line, I respectfully DISSENT.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.