16 USC 3372 Prohibited acts of the Lacey Act

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§ 3372

TITLE 16—CONSERVATION

(A) common cultivars, except trees, and
common food crops (including roots, seeds,
parts, or products thereof);
(B) a scientific specimen of plant genetic
material (including roots, seeds, germplasm,
parts, or products thereof) that is to be used
only for laboratory or field research; and
(C) any plant that is to remain planted or
to be planted or replanted.
(3) EXCEPTIONS TO APPLICATION OF EXCLUSIONS.—The exclusions made by subparagraphs
(B) and (C) of paragraph (2) do not apply if the
plant is listed—
(A) in an appendix to the Convention on
International Trade in Endangered Species
of Wild Fauna and Flora (27 UST 1087; TIAS
8249);
(B) as an endangered or threatened species
under the Endangered Species Act of 1973 (16
U.S.C. 1531 et seq.); or
(C) pursuant to any State law that provides for the conservation of species that are
indigenous to the State and are threatened
with extinction.
(g) PROHIBITED WILDLIFE SPECIES.—The term
‘‘prohibited wildlife species’’ means any live species of lion, tiger, leopard, cheetah, jaguar, or
cougar or any hybrid of such species.
(h) The term ‘‘Secretary’’ means, except as
otherwise provided in this chapter, the Secretary of the Interior or the Secretary of Commerce, as program responsibilities are vested
pursuant to the provisions of Reorganization
Plan Numbered 4 of 1970 (84 Stat. 2090); except
that with respect to the provisions of this chapter which pertain to the importation or exportation of plants, the term also means the Secretary of Agriculture.
(i) The term ‘‘State’’ means any of the several
States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands,
Guam, Northern Mariana Islands, American
Samoa, and any other territory, commonwealth,
or possession of the United States.
(j) TAKEN AND TAKING.—
(1) TAKEN.—The term ‘‘taken’’ means captured, killed, or collected and, with respect to
a plant, also means harvested, cut, logged, or
removed.
(2) TAKING.—The term ‘‘taking’’ means the
act by which fish, wildlife, or plants are taken.
(k) The term ‘‘transport’’ means to move, convey, carry, or ship by any means, or to deliver
or receive for the purpose of movement, conveyance, carriage, or shipment.
(Pub. L. 97–79, § 2, Nov. 16, 1981, 95 Stat. 1073;
Pub. L. 108–191, § 2, Dec. 19, 2003, 117 Stat. 2871;
Pub. L. 110–234, title VIII, § 8204(a), May 22, 2008,
122 Stat. 1291; Pub. L. 110–246, § 4(a), title VIII,
§ 8204(a), June 18, 2008, 122 Stat. 1664, 2052.)
REFERENCES IN TEXT
This chapter, referred to in the provision preceding
par. (a), and in par. (h), was in the original ‘‘this Act’’
and ‘‘the Act’’, meaning Pub. L. 97–79, Nov. 16, 1981, 95
Stat. 1073, which is classified principally to this chapter. For complete classification of this Act to the Code,
see Short Title note set out below and Tables.
The Endangered Species Act of 1973, referred to in
subsec. (f)(3)(B), is Pub. L. 93–205, Dec. 28, 1973, 87 Stat.
884, which is classified principally to chapter 35 (§ 1531

et seq.) of this title. For complete classification of this
Act to the Code, see Short Title note set out under section 1531 of this title and Tables.
Reorganization Plan No. 4 of 1970 (84 Stat. 2090), referred to in par. (h), is set out in the Appendix to Title
5, Government Organization and Employees.
CODIFICATION
Pub. L. 110–234 and Pub. L. 110–246 made identical
amendments to this section. The amendments by Pub.
L. 110–234 were repealed by section 4(a) of Pub. L.
110–246.
AMENDMENTS
2008—Subsec. (f). Pub. L. 110–246, § 8204(a)(1), amended
subsec. (f) generally. Prior to amendment, subsec. (f)
read as follows: ‘‘The terms ‘plant’ and ‘plants’ mean
any wild member of the plant kingdom, including
roots, seeds, and other parts thereof (but excluding
common food crops and cultivars) which is indigenous
to any State and which is either (A) listed on an appendix to the Convention on International Trade in Endangered Species of Wild Fauna and Flora, or (B) listed
pursuant to any State law that provides for the conservation of species threatened with extinction.’’
Subsec. (h). Pub. L. 110–246, § 8204(a)(2), substituted
‘‘plants, the term also means’’ for ‘‘plants the term
means’’.
Subsec. (j). Pub. L. 110–246, § 8204(a)(3), amended subsec. (j) generally. Prior to amendment, subsec. (j) read
as follows: ‘‘The term ‘taken’ means captured, killed,
or collected.’’
2003—Subsecs. (g) to (k). Pub. L. 108–191 added subsec.
(g) and redesignated former subsecs. (g) to (j) as (h) to
(k), respectively.
EFFECTIVE DATE OF 2008 AMENDMENT
Amendment of this section and repeal of Pub. L.
110–234 by Pub. L. 110–246 effective May 22, 2008, the
date of enactment of Pub. L. 110–234, see section 4 of
Pub. L. 110–246, set out as an Effective Date note under
section 8701 of Title 7, Agriculture.
SHORT TITLE OF 2003 AMENDMENT
Pub. L. 108–191, § 1, Dec. 19, 2003, 117 Stat. 2871, provided that: ‘‘This Act [amending this section and section 3372 of this title and enacting provisions set out as
a note under section 3372 of this title] may be cited as
the ‘Captive Wildlife Safety Act’.’’
SHORT TITLE
Pub. L. 97–79, § 1, Nov. 16, 1981, 95 Stat. 1073, provided:
‘‘That this Act [enacting this chapter, amending section 1540 of this title and section 42 of Title 18, Crimes
and Criminal Procedure, repealing sections 667e and 851
to 856 of this title and sections 43, 44, 3054, and 3112 of
Title 18, and enacting provisions set out as a note
under section 1540 of this title] may be cited as the
‘Lacey Act Amendments of 1981’.’’

§ 3372. Prohibited acts
(a) Offenses other than marking offenses
It is unlawful for any person—
(1) to import, export, transport, sell, receive,
acquire, or purchase any fish or wildlife or
plant taken, possessed, transported, or sold in
violation of any law, treaty, or regulation of
the United States or in violation of any Indian
tribal law;
(2) to import, export, transport, sell, receive,
acquire, or purchase in interstate or foreign
commerce—
(A) any fish or wildlife taken, possessed,
transported, or sold in violation of any law
or regulation of any State or in violation of
any foreign law;

§ 3372

TITLE 16—CONSERVATION
(B) any plant—
(i) taken, possessed, transported, or sold
in violation of any law or regulation of
any State, or any foreign law, that protects plants or that regulates—
(I) the theft of plants;
(II) the taking of plants from a park,
forest reserve, or other officially protected area;
(III) the taking of plants from an officially designated area; or
(IV) the taking of plants without, or
contrary to, required authorization;
(ii) taken, possessed, transported, or sold
without the payment of appropriate royalties, taxes, or stumpage fees required for
the plant by any law or regulation of any
State or any foreign law; or
(iii) taken, possessed, transported, or
sold in violation of any limitation under
any law or regulation of any State, or
under any foreign law, governing the export or transshipment of plants; or

(C) any prohibited wildlife species (subject
to subsection (e));
(3) within the special maritime and territorial jurisdiction of the United States (as defined in section 7 of title 18)—
(A) to possess any fish or wildlife taken,
possessed, transported, or sold in violation
of any law or regulation of any State or in
violation of any foreign law or Indian tribal
law, or
(B) to possess any plant—
(i) taken, possessed, transported, or sold
in violation of any law or regulation of
any State, or any foreign law, that protects plants or that regulates—
(I) the theft of plants;
(II) the taking of plants from a park,
forest reserve, or other officially protected area;
(III) the taking of plants from an officially designated area; or
(IV) the taking of plants without, or
contrary to, required authorization;
(ii) taken, possessed, transported, or sold
without the payment of appropriate royalties, taxes, or stumpage fees required for
the plant by any law or regulation of any
State or any foreign law; or
(iii) taken, possessed, transported, or
sold in violation of any limitation under
any law or regulation of any State, or
under any foreign law, governing the export or transshipment of plants; or
(4) to attempt to commit any act described
in paragraphs (1) through (3).
(b) Marking offenses
It is unlawful for any person to import, export,
or transport in interstate commerce any container or package containing any fish or wildlife
unless the container or package has previously
been plainly marked, labeled, or tagged in accordance with the regulations issued pursuant
to paragraph (2) of section 3376(a) of this title.

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(c) Sale and purchase of guiding and outfitting
services and invalid licenses and permits
(1) Sale
It is deemed to be a sale of fish or wildlife in
violation of this chapter for a person for
money or other consideration to offer or provide—
(A) guiding, outfitting, or other services;
or
(B) a hunting or fishing license or permit;
for the illegal taking, acquiring, receiving,
transporting, or possessing of fish or wildlife.
(2) Purchase
It is deemed to be a purchase of fish or wildlife in violation of this chapter for a person to
obtain for money or other consideration—
(A) guiding, outfitting, or other services;
or
(B) a hunting or fishing license or permit;
for the illegal taking, acquiring, receiving,
transporting, or possessing of fish or wildlife.
(d) False labeling offenses
It is unlawful for any person to make or submit any false record, account, or label for, or
any false identification of, any fish, wildlife, or
plant which has been, or is intended to be—
(1) imported, exported, transported, sold,
purchased, or received from any foreign country; or
(2) transported in interstate or foreign commerce.
(e) Nonapplicability of prohibited wildlife species offense
(1) In general
Subsection (a)(2)(C) does not apply to importation, exportation, transportation, sale, receipt, acquisition, or purchase of an animal of
a prohibited wildlife species, by a person that,
under regulations prescribed under paragraph
(3), is described in paragraph (2) with respect
to that species.
(2) Persons described
A person is described in this paragraph, if
the person—
(A) is licensed or registered, and inspected,
by the Animal and Plant Health Inspection
Service or any other Federal agency with respect to that species;
(B) is a State college, university, or agency, State-licensed wildlife rehabilitator, or
State-licensed veterinarian;
(C) is an accredited wildlife sanctuary that
cares for prohibited wildlife species and—
(i) is a corporation that is exempt from
taxation under section 501(a) of title 26 and
described
in
sections
501(c)(3)
and
170(b)(1)(A)(vi) of such title;
(ii) does not commercially trade in animals listed in section 3371(g) of this title,
including offspring, parts, and byproducts
of such animals;
(iii) does not propagate animals listed in
section 3371(g) of this title; and
(iv) does not allow direct contact between the public and animals; or
(D) has custody of the animal solely for
the purpose of expeditiously transporting

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TITLE 16—CONSERVATION

the animal to a person described in this
paragraph with respect to the species.
(3) Regulations
Not later than 180 days after December 19,
2003, the Secretary, in cooperation with the
Director of the Animal and Plant Health Inspection Service, shall promulgate regulations
describing the persons described in paragraph
(2).
(4) State authority
Nothing in this subsection preempts or supersedes the authority of a State to regulate
wildlife species within that State.
(5) Authorization of appropriations
There is authorized to be appropriated to
carry out subsection (a)(2)(C) $3,000,000 for
each of fiscal years 2004 through 2008.
(f) Plant declarations
(1) Import declaration
Effective 180 days from the date of enactment of this subsection, and except as provided in paragraph (3), it shall be unlawful for
any person to import any plant unless the person files upon importation a declaration that
contains—
(A) the scientific name of any plant (including the genus and species of the plant)
contained in the importation;
(B) a description of—
(i) the value of the importation; and
(ii) the quantity, including the unit of
measure, of the plant; and
(C) the name of the country from which
the plant was taken.
(2) Declaration relating to plant products
Until the date on which the Secretary promulgates a regulation under paragraph (6), a
declaration relating to a plant product shall—
(A) in the case in which the species of
plant used to produce the plant product that
is the subject of the importation varies, and
the species used to produce the plant product is unknown, contain the name of each
species of plant that may have been used to
produce the plant product;
(B) in the case in which the species of
plant used to produce the plant product that
is the subject of the importation is commonly taken from more than one country,
and the country from which the plant was
taken and used to produce the plant product
is unknown, contain the name of each country from which the plant may have been
taken; and
(C) in the case in which a paper or paperboard plant product includes recycled plant
product, contain the average percent recycled content without regard for the species
or country of origin of the recycled plant
product, in addition to the information for
the non-recycled plant content otherwise required by this subsection.
(3) Exclusions
Paragraphs (1) and (2) shall not apply to
plants used exclusively as packaging material
to support, protect, or carry another item, un-

less the packaging material itself is the item
being imported.
(4) Review
Not later than two years after the date of
enactment of this subsection, the Secretary
shall review the implementation of each requirement imposed by paragraphs (1) and (2)
and the effect of the exclusion provided by
paragraph (3). In conducting the review, the
Secretary shall provide public notice and an
opportunity for comment.
(5) Report
Not later than 180 days after the date on
which the Secretary completes the review
under paragraph (4), the Secretary shall submit to the appropriate committees of Congress
a report containing—
(A) an evaluation of—
(i) the effectiveness of each type of information required under paragraphs (1) and
(2) in assisting enforcement of this section;
and
(ii) the potential to harmonize each requirement imposed by paragraphs (1) and
(2) with other applicable import regulations in existence as of the date of the report;
(B) recommendations for such legislation
as the Secretary determines to be appropriate to assist in the identification of
plants that are imported into the United
States in violation of this section; and
(C) an analysis of the effect of subsection
(a) and this subsection on—
(i) the cost of legal plant imports; and
(ii) the extent and methodology of illegal
logging practices and trafficking.
(6) Promulgation of regulations
Not later than 180 days after the date on
which the Secretary completes the review
under paragraph (4), the Secretary may promulgate regulations—
(A) to limit the applicability of any requirement imposed by paragraph (2) to specific plant products;
(B) to make any other necessary modification to any requirement imposed by paragraph (2), as determined by the Secretary
based on the review; and
(C) to limit the scope of the exclusion provided by paragraph (3), if the limitations in
scope are warranted as a result of the review.
(Pub. L. 97–79, § 3, Nov. 16, 1981, 95 Stat. 1074;
Pub. L. 100–653, title I, § 101, Nov. 14, 1988, 102
Stat. 3825; Pub. L. 108–191, § 3(a), Dec. 19, 2003, 117
Stat. 2871; Pub. L. 110–234, title VIII, § 8204(b),
May 22, 2008, 122 Stat. 1292; Pub. L. 110–246, § 4(a),
title VIII, § 8204(b), June 18, 2008, 122 Stat. 1664,
2053.)
REFERENCES IN TEXT
This chapter, referred to in subsec. (c), was in the
original ‘‘this Act’’, meaning Pub. L. 97–79, Nov. 16,
1981, 95 Stat. 1073, which is classified principally to this
chapter. For complete classification of this Act to the
Code, see Short Title note set out under section 3371 of
this title and Tables.
The date of enactment of this subsection, referred to
in subsec. (f)(1), (4), is the date of enactment of Pub. L.
110–246, which was approved June 18, 2008.

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TITLE 16—CONSERVATION
CODIFICATION

Pub. L. 110–234 and Pub. L. 110–246 made identical
amendments to this section. The amendments by Pub.
L. 110–234 were repealed by section 4(a) of Pub. L.
110–246.
AMENDMENTS
2008—Subsec. (a)(2)(B). Pub. L. 110–246, § 8204(b)(1)(A),
added subpar. (B) and struck out former subpar. (B)
which read as follows: ‘‘any plant taken, possessed,
transported, or sold in violation of any law or regulation of any State; or’’.
Subsec. (a)(3)(B). Pub. L. 110–246, § 8204(b)(1)(B), added
subpar. (B) and struck out former subpar. (B) which
read as follows: ‘‘to possess any plant taken, possessed,
transported, or sold in violation of any law or regulation of any State; or’’.
Subsec. (f). Pub. L. 110–246, § 8204(b)(2), added subsec.
(f).
2003—Subsec. (a)(2)(C). Pub. L. 108–191, § 3(a)(1)(A),
added subpar. (C).
Subsec. (a)(3)(B). Pub. L. 108–191, § 3(a)(1)(B), inserted
‘‘or’’ after semicolon at end.
Subsec. (a)(4). Pub. L. 108–191, § 3(a)(1)(C), substituted
‘‘paragraphs (1) through (3)’’ for ‘‘paragraphs (1)
through (4)’’.
Subsec. (e). Pub. L. 108–191, § 3(a)(2), added subsec. (e).
1988—Subsec. (a)(1). Pub. L. 100–653, § 101(1), substituted ‘‘taken, possessed, transported, or sold’’ for
‘‘taken or possessed’’.
Subsec. (a)(4), (5). Pub. L. 100–653, § 101(2), redesignated par. (5) as (4) and struck out former par. (4),
which made it unlawful for any person having imported, exported, transported, sold, purchased, or received any fish or wildlife or plant imported from any
foreign country or transported in interstate or foreign
commerce, to make or submit any false record, account, label, or identification thereof.
Subsecs. (c), (d). Pub. L. 100–653, § 101(3), added subsecs. (c) and (d).
EFFECTIVE DATE OF 2008 AMENDMENT
Amendment of this section and repeal of Pub. L.
110–234 by Pub. L. 110–246 effective May 22, 2008, the
date of enactment of Pub. L. 110–234, see section 4 of
Pub. L. 110–246, set out as an Effective Date note under
section 8701 of Title 7, Agriculture.
EFFECTIVE DATE OF 2003 AMENDMENT
Pub. L. 108–191, § 3(b), Dec. 19, 2003, 117 Stat. 2872, provided that: ‘‘Section 3(a)(2)(C) of the Lacey Act Amendments of 1981 [16 U.S.C. 3372(a)(2)(C)] (as added by subsection (a)(1)(A)(iii)) shall apply beginning on the effective date of regulations promulgated under section
3(e)(3) of that Act [16 U.S.C. 3372(e)(3)] (as added by subsection (a)(2)) [Sept. 17, 2007, see 72 F.R. 45938].’’

§ 3373. Penalties and sanctions
(a) Civil penalties
(1) Any person who engages in conduct prohibited by any provision of this chapter (other than
subsections (b), (d), and (f) of section 3372 of this
title) and in the exercise of due care should
know that the fish or wildlife or plants were
taken, possessed, transported, or sold in violation of, or in a manner unlawful under, any underlying law, treaty, or regulation, and any person who knowingly violates subsection (d) or (f)
of section 3372 of this title, may be assessed a
civil penalty by the Secretary of not more than
$10,000 for each such violation: Provided, That
when the violation involves fish or wildlife or
plants with a market value of less than $350, and
involves only the transportation, acquisition, or
receipt of fish or wildlife or plants taken or pos-

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sessed in violation of any law, treaty, or regulation of the United States, any Indian tribal law,
any foreign law, or any law or regulation of any
State, the penalty assessed shall not exceed the
maximum provided for violation of said law,
treaty, or regulation, or $10,000, whichever is
less.
(2) Any person who violates subsection (b) or
(f) of section 3372 of this title, except as provided
in paragraph (1), may be assessed a civil penalty
by the Secretary of not more than $250.
(3) For purposes of paragraphs (1) and (2), any
reference to a provision of this chapter or to a
section of this chapter shall be treated as including any regulation issued to carry out any
such provision or section.
(4) No civil penalty may be assessed under this
subsection unless the person accused of the violation is given notice and opportunity for a
hearing with respect to the violation. Each violation shall be a separate offense and the offense
shall be deemed to have been committed not
only in the district where the violation first occurred, but also in any district in which a person
may have taken or been in possession of the said
fish or wildlife or plants.
(5) Any civil penalty assessed under this subsection may be remitted or mitigated by the
Secretary.
(6) In determining the amount of any penalty
assessed pursuant to paragraphs (1) and (2), the
Secretary shall take into account the nature,
circumstances, extent, and gravity of the prohibited act committed, and with respect to the
violator, the degree of culpability, ability to
pay, and such other matters as justice may require.
(b) Hearings
Hearings held during proceedings for the assessment of civil penalties shall be conducted in
accordance with section 554 of title 5. The administrative law judge may issue subpenas for
the attendance and testimony of witnesses and
the production of relevant papers, books, or documents, and may administer oaths. Witnesses
summoned shall be paid the same fees and mileage that are paid to witnesses in the courts of
the United States. In case of contumacy or refusal to obey a subpena issued pursuant to this
paragraph and served upon any person, the district court of the United States for any district
in which such person is found, resides, or transacts business, upon application by the United
States and after notice to such person, shall
have jurisdiction to issue an order requiring
such person to appear and give testimony before
the administrative law judge or to appear and
produce documents before the administrative
law judge, or both, and any failure to obey such
order of the court may be punished by such
court as a contempt thereof.
(c) Review of civil penalty
Any person against whom a civil penalty is assessed under this section may obtain review
thereof in the appropriate District Court of the
United States by filing a complaint in such
court within 30 days after the date of such order
and by simultaneously serving a copy of the
complaint by certified mail on the Secretary,
the Attorney General, and the appropriate