Case: Serra v. Lappin

3:07-cv-01589 | U.S. District Court for the Northern District of California

Filed Date: July 20, 2007

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Case Summary

On July 20, 2007, former prison inmates filed a complaint against the United States Bureau of Prisons on behalf of a class of federal prisoners who earned wages for prison jobs. The complaint, filed in U.S. District Court for the Northern District of California, Judge Martin Jenkins (retired) alleged that the prison wages (as low as 19 cents per hour) violated the Fifth and Thirteenth Amendments and International Law. The plaintiffs sought declaratory relief and an injunction ordering prison of…

The plaintiffs sought declaratory relief and an injunction ordering prison officials to pay either $25 an hour, $500 per week, or "equitable remuneration" to working prisoners.. They also sought compensatory and punitive monetary damages, attorneys fees and costs, and treble damages for antitrust violations.

The defendants filed a motion to dismiss for lack of subject matter jurisdiction and failure to state a claim. The District Court granted this motion in Serra v. Lappin et al, No.07-01589, 2008 WL 929525 (N.D. Cal. April 3, 2008). Specifically, the court held:

(1) Sovereign immunity ruled out monetary damages claims because the defendants were acting in their official capacities;

(2) Bivens v. Six Unknown Named Agents, 403 U.S. 388 (1971) did not create a right to relief because the defendants were acting in their official capacities;

(3) The plaintiffs failed to present a cognizable Thirteenth Amendment claim because the amendment specifically allows involuntary servitude as part of incarceration for a crime;

(4) The Fifth Amendment protects only existing rights in life, liberty, and property. Because prisoners have no legal entitlement to payment for prison work, there was no interest at stake.

(5) The ICCPR was not a self-executing treaty and Congress had not enacted implementing legislation---thus federal courts lacked the power to enforce it; and

(6) The U.N. Standard Minimum Rules for Prisoners was a "guidance document," not a treaty, and even if it were a treaty, it was not self-executing.

The Court of Appeals, in Serra v. Lappin et al, No. 08-15969, 2010 WL 1407795 (9th Cir. Apr. 9, 2010), affirmed the District Court's order of dismissal, with essentially the same reasoning but elaborating on a few issues:

(1) Federal courts may not apply the "customary law of nations" in the absence of a statute. The Alien Tort Statute, 28 U.S.C. § 1350, which gives original jurisdiction to federal courts "of any civil action by an alien for a tort only, committed in violation of the law of nations or a treaty of the United States," did not apply because the plaintiffs were not "aliens."

(2) Regarding the Fifth Amendment claim, the court noted that the Plaintiffs may have had a claim if they argued that prison officials had deprived them of wages to which they were duly entitled under the federal prison wage system, but this was not the case.

The plaintiffs did not appeal to the Supreme Court. This case is closed.

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Summary Authors

Eric Weiler (5/25/2010)

People

For PACER's information on parties and their attorneys, see: https://www.courtlistener.com/docket/4166654/parties/serra-v-lappin/

Judge(s)

Clifton, Richard R. (Hawaii)

Attorney for Plaintiff

Daar, Randolph Elliott (California)

Davis, Sean Christopher (California)

Attorney for Defendant

Bredenberg, Michael D. (California)

Butler, Michael (California)

Expert/Monitor/Master/Other

Judge(s)

Clifton, Richard R. (Hawaii)

Jenkins, Martin J. (California)

Attorney for Plaintiff

Daar, Randolph Elliott (California)

Davis, Sean Christopher (California)

Dayes, Trey A (California)

Murcko, John (California)

Perelson, Stephan Jay (California)

Serra, J. Tony (California)

Simpich, William Morris (California)

Attorney for Defendant

Bredenberg, Michael D. (California)

Butler, Michael (California)

Fesak, Matthew Lee (California)

Haas, Alexander K (District of Columbia)

Hall, Benjamin E. (California)

Katerberg, Robert J (District of Columbia)

Katsas, Gregory George (District of Columbia)

Keisler, Peter D. (District of Columbia)

Moses, Ndidi N. (California)

Padden, Amy L. (California)

Pharo, William George (California)

Prose, Susan Begesse (California)

Raab, Michael S. (District of Columbia)

Russoneillo, Joseph P. (California)

Schools, Scott N (South Carolina)

Soloway, Alan M. (California)

Wichers, Christine J. (California)

Expert/Monitor/Master/Other

Garvey, Vincent M. (District of Columbia)

Attorney Contact Information via CourtListener

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Documents in the Clearinghouse

	Document
3:07-cv-01589	Docket Serra v. Lappin et al	April 13, 2010	April 13, 2010 Docket
08-15969	Docket - Court of Appeals Serra v. Lappin et al U.S. Court of Appeals for the Ninth Circuit	May 4, 2010	May 4, 2010 Docket
21 3:07-cv-01589	Complaint Serra v. Lappin et al	July 20, 2007	July 20, 2007 Complaint
17-1 3:07-cv-05189	Memorandum In Support Of Moving Defendants' Motion To Dismiss For Lack Of Subject Matter Jurisdiction And Failure To State A Claim Serra v Lappin et al	Oct. 15, 2007	Oct. 15, 2007 Pleading / Motion / Brief
21 3:07-cv-01589	First Amended Complaint Serra v. Lappin et al	Oct. 29, 2007	Oct. 29, 2007 Complaint
26 3:07-cv-01589	Plaintiffs' Opposition To Defendants' Motion To Dismiss For Lack Of Subject Matter Jurisdiction Serra v Lappin et al	Jan. 24, 2008	Jan. 24, 2008 Pleading / Motion / Brief
32 3:07-cv-01589	District Court Order Granting Defendant's Motion To Dismiss For Lack Of Subject Matter Jurisdiction Serra v. Lappin et al	April 3, 2008	April 3, 2008 Order/Opinion 2008 WL 2008
08-15969	Appellants' (Plaintiffs) Brief Re District Court's Order To Dismiss For Lack Of Subject Matter Jurisdiction Serra v Lappin et al U.S. Court of Appeals for the Ninth Circuit	July 25, 2008	July 25, 2008 Pleading / Motion / Brief
08-15969	Appellees' (Defendants) Reply Brief Re District Court's Order To Dismiss For Lack Of Subject Matter Jurisdiction Serra v. Lappin et al	Sept. 17, 2008	Sept. 17, 2008 Pleading / Motion / Brief
08-15969	Appellants' (Plaintiffs) Reply Brief Re District Court's Order To Dismiss For Lack Of Subject Matter Jurisdiction Serra v. Lappin et al	Nov. 13, 2008	Nov. 13, 2008 Pleading / Motion / Brief

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Docket

See docket on RECAP: https://www.courtlistener.com/docket/4166654/serra-v-lappin/

Last updated Feb. 20, 2024, 3:03 a.m.

ECF Number	Description	Date	Link Date / Link
1	COMPLAINT FOR CLASS ACTION; summons issued against Harley Lappin, B. G. Compton, Robert F. McFadden (Filing fee $ 350, receipt number 34611004356). Filed by J. Tony Serra. (slh, COURT STAFF) (Filed on 3/20/2007) (Entered: 03/22/2007)	March 20, 2007	March 20, 2007 PACER
2	ADR SCHEDULING ORDER: Case Management Statement due by 6/20/2007. Case Management Conference set for 6/27/2007 01:30 PM. (Attachments: # 1 EMC Standing Order# 2 Standing Order)(slh, COURT STAFF) (Filed on 3/20/2007) (Entered: 03/22/2007) 1 EMC Standing Order View on PACER 2 Standing Order View on PACER	March 20, 2007	March 20, 2007 PACER
3	CLERK'S NOTICE Case Management Conference reset for 8/22/2007 01:30 PM. Case Management Statement due by 8/15/2007. (bpf, COURT STAFF) (Filed on 6/15/2007) (Entered: 06/15/2007)	June 15, 2007	June 15, 2007 PACER
4	FIRST AMENDED COMPLAINT against Harley Lappin, B. G. Compton, Robert F. McFadden. Filed by Jeanine Santiago, Victor Cordero, J. Tony Serra. (slh, COURT STAFF) (Filed on 7/20/2007) Additional attachment(s) added on 11/7/2007 (sv, COURT STAFF). (Entered: 07/25/2007)	July 20, 2007	July 20, 2007 RECAP
5	Summons Returned Unexecuted by J. Tony Serra as to Harley Lappin, B. G. Compton, Robert F. McFadden. (slh, COURT STAFF) (Filed on 7/20/2007) (Entered: 07/25/2007)	July 20, 2007	July 20, 2007 PACER
6	CERTIFICATE OF SERVICE by Jeanine Santiago, Victor Cordero, J. Tony Serra (Murcko, John) (Filed on 8/15/2007) (Entered: 08/15/2007)	Aug. 15, 2007	Aug. 15, 2007 PACER
7	Letter dated 8/20/07 from John Murcko and Joann Swanson re continuance of matter from 8/22/07 to 11/14/07. (slh, COURT STAFF) (Filed on 8/20/2007) (Entered: 08/21/2007)	Aug. 20, 2007	Aug. 20, 2007 PACER
8	Order extending Case Management Conference. Case Management Statement due by 11/7/2007. Case Management Conference set for 11/14/2007 01:30 PM.. Signed by Judge Edward M. Chen on 8/21/07. (bpf, COURT STAFF) (Filed on 8/21/2007) (Entered: 08/21/2007)	Aug. 21, 2007	Aug. 21, 2007 PACER
9	CONSENT to Proceed Before a US Magistrate Judge by Jeanine Santiago, Victor Cordero, J. Tony Serra.. (Murcko, John) (Filed on 8/30/2007) (Entered: 08/30/2007)	Aug. 30, 2007	Aug. 30, 2007 PACER
10	CERTIFICATE OF SERVICE by Jeanine Santiago, Victor Cordero, J. Tony Serra (Murcko, John) (Filed on 9/10/2007) (Entered: 09/10/2007)	Sept. 10, 2007	Sept. 10, 2007 PACER
11	NOTICE of Appearance by Robert J. Katerberg on Behalf of Defendants Harley Lappin and Robert F. McFadden in Their Official Capacities (Katerberg, Robert) (Filed on 10/4/2007) (Entered: 10/04/2007)	Oct. 4, 2007	Oct. 4, 2007 PACER
12	Declination to Proceed Before a U.S. Magistrate Judge by Harley Lappin, Robert F. McFadden. (Katerberg, Robert) (Filed on 10/4/2007) (Entered: 10/04/2007)	Oct. 4, 2007	Oct. 4, 2007 PACER
13	CLERK'S NOTICE of Impending Reassignment to U.S. District Judge (bpf, COURT STAFF) (Filed on 10/5/2007) (Entered: 10/05/2007)	Oct. 5, 2007	Oct. 5, 2007 PACER
14	ORDER REASSIGNING CASE. Case reassigned to Judge Martin J. Jenkins for all further proceedings. Judge Edward M. Chen no longer assigned to the case.. Signed by Executive Committee on 10/12/07. (as, COURT STAFF) (Filed on 10/12/2007) (Entered: 10/12/2007)	Oct. 12, 2007	Oct. 12, 2007 PACER
15	CLERK'S NOTICE - Case Management Conference set for 11/27/2007 AT 2:00 P.M. before the Honorable Martin J. Jenkins. (ls, COURT STAFF) (Filed on 10/15/2007) (Entered: 10/15/2007)	Oct. 15, 2007	Oct. 15, 2007 PACER
16	NOTICE of Appearance by Robert J. Katerberg on Behalf of Defendant Robert E. McFadden in his Individual Capacity (Katerberg, Robert) (Filed on 10/15/2007) (Entered: 10/15/2007)	Oct. 15, 2007	Oct. 15, 2007 PACER
17	MOTION to Dismiss for Lack of Subject Matter Jurisdiction and Failure to State a Claim Upon Which Relief May Be Granted filed by Harley Lappin, Robert F. McFadden. Motion Hearing set for 11/20/2007 09:30 AM in Courtroom 11, 19th Floor, San Francisco. (Attachments: # 1 Memorandum in Support of Motion# 2 Proposed Order)(Katerberg, Robert) (Filed on 10/15/2007) (Entered: 10/15/2007) 1 Memorandum in Support of Motion View on PACER 2 Proposed Order View on PACER	Oct. 15, 2007	Oct. 15, 2007 PACER
18	Declaration of Robert J. Katerberg in Support of Moving Defendants' Motion to Dismiss filed byHarley Lappin, Robert F. McFadden. (Attachments: # 1 Exhibit Certification of Scope of Employment)(Katerberg, Robert) (Filed on 10/15/2007) (Entered: 10/15/2007) 1 Exhibit Certification of Scope of Employment View on PACER	Oct. 15, 2007	Oct. 15, 2007 PACER
19	CLERK'S NOTICE to submit First amended Complaint by PDF (sv, COURT STAFF) (Filed on 10/25/2007) (Entered: 10/25/2007)	Oct. 25, 2007	Oct. 25, 2007 PACER
20	Proposed Order to Continue Motion to Dismiss and Case Management Conference by Jeanine Santiago, Victor Cordero, J. Tony Serra. (Murcko, John) (Filed on 10/29/2007) (Entered: 10/29/2007)	Oct. 29, 2007	Oct. 29, 2007 PACER
21	AMENDED COMPLAINT against all defendants. Filed byJeanine Santiago, Victor Cordero, J. Tony Serra. (Murcko, John) (Filed on 10/29/2007) (Entered: 10/29/2007)	Oct. 29, 2007	Oct. 29, 2007 PACER
22	Proposed Order AMENDED by Jeanine Santiago, Victor Cordero, J. Tony Serra. (Murcko, John) (Filed on 10/29/2007) (Entered: 10/29/2007)	Oct. 29, 2007	Oct. 29, 2007 PACER
23	ORDER continuing the Initial Case Management Conference to 3/25/2008 02:00 PM and the Motion Hearing to 2/26/2008 09:30 AM in Courtroom 11, 19th Floor, San Francisco. Signed by Judge Martin J. Jenkins on 10/30/07. (rbe, COURT STAFF) (Filed on 10/30/2007) (Entered: 10/30/2007)	Oct. 30, 2007	Oct. 30, 2007 RECAP
24	Proposed Order re Briefing Schedule by Jeanine Santiago, Victor Cordero, J. Tony Serra. (Murcko, John) (Filed on 10/31/2007) (Entered: 10/31/2007)	Oct. 31, 2007	Oct. 31, 2007 PACER
25	STIPULATION AND ORDER continuing the briefing schedule. Signed by Judge Martin J. Jenkins on 11/01/07. (rbe, COURT STAFF) (Filed on 11/5/2007) (Entered: 11/05/2007)	Nov. 5, 2007	Nov. 5, 2007 RECAP
26	Memorandum in Opposition re 17 MOTION to Dismiss for Lack of Subject Matter Jurisdiction and Failure to State a Claim Upon Which Relief May Be Granted filed byJeanine Santiago, Victor Cordero, J. Tony Serra. (Murcko, John) (Filed on 1/24/2008) (Entered: 01/24/2008)	Jan. 24, 2008	Jan. 24, 2008 PACER
27	REPLY to Response to Motion re 17 MOTION to Dismiss for Lack of Subject Matter Jurisdiction and Failure to State a Claim Upon Which Relief May Be Granted filed byHarley Lappin, Robert F. McFadden. (Katerberg, Robert) (Filed on 2/1/2008) (Entered: 02/01/2008)	Feb. 1, 2008	Feb. 1, 2008 PACER
28	Minute Entry: Motion Hearing held on 2/26/2008 before Martin J. Jenkins (Date Filed: 2/26/2008) re 17 MOTION to Dismiss for Lack of Subject Matter Jurisdiction and Failure to State a Claim Upon Which Relief May Be Granted filed by Robert F. McFadden, Harley Lappin. (Court Reporter Lydia Zinn.) (mat, COURT STAFF) (Date Filed: 2/26/2008) (Entered: 02/26/2008)	Feb. 26, 2008	Feb. 26, 2008 PACER
29	ADR Clerks Notice re: Non-Compliance with Court Order. (tjs, COURT STAFF) (Filed on 3/5/2008) (Entered: 03/05/2008)	March 5, 2008	March 5, 2008 PACER
30	STIPULATION and Order to Continue Case Management Conference and Associated Deadlines by Harley Lappin, Robert F. McFadden. (Katerberg, Robert) (Filed on 3/6/2008) (Entered: 03/06/2008)	March 6, 2008	March 6, 2008 PACER
31	CLERK'S NOTICE Vacating Initial Case Management Conference. (mat, COURT STAFF) (Filed on 3/7/2008) (Entered: 03/07/2008)	March 7, 2008	March 7, 2008 PACER
32	ORDER by Judge Martin J. Jenkins granting 17 Motion to Dismiss (mjjlc1, COURT STAFF) (Filed on 4/3/2008) (Entered: 04/03/2008)	April 3, 2008	April 3, 2008 RECAP
33	JUDGMENT ***Civil Case Terminated. (mat, COURT STAFF) (Filed on 4/3/2008) (Entered: 04/04/2008)	April 3, 2008	April 3, 2008 PACER
34	NOTICE OF APPEAL as to 32 Order on Motion to Dismiss, 33 Judgment by Jeanine Santiago, Victor Cordero, J. Tony Serra. Filing fee $ 455, receipt number 34611018272. (slh, COURT STAFF) (Filed on 4/17/2008) (USCA Case No. 08-15969) (Entered: 04/18/2008)	April 17, 2008	April 17, 2008 PACER
35	DESIGNATION of Record on Appeal by Jeanine Santiago, Victor Cordero, J. Tony Serra re 34 Notice of Appeal (Murcko, John) (Filed on 4/25/2008) (Entered: 04/25/2008)	April 25, 2008	April 25, 2008 PACER
36	USCA Case Number 08-15969 for 34 Notice of Appeal. (slh, COURT STAFF) (Filed on 4/25/2008) (Entered: 04/29/2008)	April 25, 2008	April 25, 2008 PACER
37	TRANSCRIPT DESIGNATION by Jeanine Santiago, Victor Cordero, J. Tony Serra for proceedings held on 2/26/08 (C/R Lydia Zinn). (slh, COURT STAFF) (Filed on 4/28/2008) (Entered: 04/29/2008)	April 28, 2008	April 28, 2008 PACER
38	Transcript of Proceedings held on 2/26/08, before Judge Jenkins (C/R: Lydia Zinn) (slh, COURT STAFF) (Filed on 5/7/2008) (Entered: 05/08/2008)	May 7, 2008	May 7, 2008 PACER
39	Certificate of Record Mailed to USCA re 34 Notice of Appeal. (slh, COURT STAFF) (Filed on 11/4/2008) (Entered: 11/04/2008)	Nov. 4, 2008	Nov. 4, 2008 PACER
40	Receipt for Certificate of Record re 34 Notice of Appeal. (slh, COURT STAFF) (Filed on 11/10/2008) (Entered: 11/12/2008)	Nov. 10, 2008	Nov. 10, 2008 PACER
41	USCA Opinion as to 34 Notice of Appeal filed by Jeanine Santiago, J. Tony Serra, Victor Cordero; affirmed. (slh, COURT STAFF) (Filed on 4/13/2010) (Entered: 04/13/2010)	April 13, 2010	April 13, 2010 PACER
42	MANDATE of USCA as to 34 Notice of Appeal filed by Jeanine Santiago, J. Tony Serra, Victor Cordero. (slh, COURT STAFF) (Filed on 5/12/2010) (Entered: 05/12/2010)	May 12, 2010	May 12, 2010 PACER
43	CLERKS Letter Spreading Mandate to Counsel. (slh, COURT STAFF) (Filed on 5/12/2010) (Entered: 05/12/2010)	May 12, 2010	May 12, 2010 PACER