FWS Lacey Act Civil Penalty Notice Response

The situation

Ahmed, 39, owns a small guitar parts import business (Tonewood Supply Co.) sourcing exotic guitar tonewoods from suppliers in Madagascar, India, and Brazil. In February 2026 he received a FWS Notice of Civil Penalty: $18,500 for importing 340 kg of Madagascar rosewood fingerboard blanks allegedly imported in violation of CITES Appendix II documentation requirements and Madagascar's domestic export law.

Ahmed has 45 days to respond. His supplier told him the wood was legally harvested and export permits were in order. Ahmed doesn't know whether the export permits his supplier provided satisfy both the US CITES requirements AND Madagascar's domestic export law, which is what the Lacey Act requires.

(a) FWS must prove TWO elements, not one. The Lacey Act requires FWS to prove: (1) the Madagascar rosewood violated CITES Appendix II requirements OR Madagascar's domestic export law; AND (2) that Ahmed "knew" the wood was illegally sourced, or that he acted with negligence in failing to verify the source. FWS often has difficulty proving the foreign law element in cases where export documentation was presented at import. If FWS cannot establish which specific Madagascar domestic regulation was violated, the civil penalty doesn't stand.

(b) Ahmed's CITES export permit is potentially a defense. Madagascar rosewood has been listed under CITES Appendix II since 2013, which means an export permit from Madagascar's CITES Management Authority is required. If Ahmed's supplier provided a valid CITES export permit at the time of shipment, this may satisfy the documentation requirement. The question is whether the permit covered these exact shipments and species volumes.

(c) Good faith reliance is a defense to the civil penalty. For non-criminal Lacey Act civil penalties, courts and administrative ALJs have recognized that a respondent who acted in "good faith reliance" on supplier documentation may avoid or reduce civil penalties. Ahmed should document every communication with his supplier about wood sourcing legality, every CITES permit he received, and every declaration he filed with FWS at the port of entry.

(d) The FWS attorney quoted him $15,000. Most of what a wildlife law attorney does for a straightforward civil Lacey Act penalty case: (1) review the FWS investigation file (Ahmed is entitled to request this); (2) identify what specific foreign law FWS alleges was violated and check whether that law actually prohibits what Ahmed imported; (3) draft a written response with the good-faith-reliance narrative and documentary evidence. Ahmed can do steps 1 and 2 with guidance.

Who receives this

Small importers of regulated biological materials who have received a FWS Lacey Act civil penalty notice. Key segments: (1) exotic wood importers and musical instrument manufacturers (tonewood, fingerboards, instrument components, rosewood, ebony, bubinga covered under CITES II); (2) exotic reptile and live animal importers (ball pythons, chameleons, tortoises, CITES II listings); (3) shell, coral, and marine product importers (decorative coral, seahorses, dried starfish, CITES listings); (4) taxidermy and antique wildlife product dealers (ivory, rhino horn components, pre-Convention antiques, the pre-Act exemption is complex); (5) plant material importers (cycads, cacti, orchids, CITES Appendix I and II).

Why the agency will not advise you

FWS Office of Law Enforcement cannot advise respondents on how to contest its own civil penalty notices. The FWS OHA conducts hearings independently but cannot provide respondent strategy. Wildlife law attorneys are a small, specialized bar concentrated in Washington DC and a few wildlife trade centers. The Lacey Act's two-element structure (US law + predicate foreign law) makes the legal analysis genuinely complex, but most cases turn on documentary evidence already in the importer's possession.

Key facts, with sources

• The Lacey Act (16 U.S.C. §§ 3371–3378) makes it unlawful to import, export, transport, sell, receive, acquire, or purchase wildlife, fish, or plants taken, possessed, transported, or sold in violation of any federal, state, tribal, or foreign law. Critically, the Lacey Act requires proof of TWO elements: (1) that the wildlife was taken/possessed in violation of a specific law (federal, state, or foreign); AND (2) that the defendant 'knew' of the violation (for criminal charges) or acted negligently (for the civil penalty tier). Civil penalties of up to $10,000 per violation can be imposed without criminal intent, they require only that the importer 'should have known' that the source wildlife was illegally taken. This creates significant exposure for small importers who rely on supplier certifications. Source: Lacey Act — U.S. Fish and Wildlife Service · Lacey Act Enforcement — FWS Office of Law Enforcement
• FWS enforces the Lacey Act against a wide range of small business importers. The Gibson Guitar case (2012) normalized Lacey Act enforcement against companies that relied on supplier representations about wood sourcing legality. Subsequent enforcement has targeted: exotic hardwood importers (rosewood under CITES Appendix II since 2017); fish importers (seahorse, shark fin); exotic pet importers (reptiles covered by CITES); shell and coral importers (CITES Appendix II or III species); and musical instrument manufacturers who purchase tonewoods from overseas suppliers without verifying the specific foreign export law compliance. August 2025: FWS issued civil penalty inflationary adjustments under the Federal Civil Penalties Inflation Adjustment Act of Improvements Act of 2015, Lacey Act civil penalty maximums increased. Source: FWS Civil Penalty Adjustment — Federal Register 2025 · CITES Appendix Listings — UNEP-WCMC
• When FWS determines a civil Lacey Act violation occurred, it issues a 'Notice of Civil Penalty and Order' specifying the amount and giving the respondent 45 days to: (1) pay the penalty; or (2) request a formal hearing before the FWS Office of Hearings and Appeals (OHA). Hearings are conducted under 43 CFR Part 4, the Interior Department's administrative hearing rules. OHA ALJs are independent of FWS OLE, but OHA cannot advise respondents on how to contest an FWS enforcement action. At the hearing, FWS must prove (1) the predicate foreign or state law violation and (2) the respondent's knowledge or negligence. The respondent can present evidence that the source-country law was complied with, that documentation was obtained in good faith, or that FWS cannot establish the predicate violation. Source: FWS Office of Hearings and Appeals — Administrative Hearing Procedures · Wildlife Import Declarations — USFWS Form 3-177

When to bring in a professional

Self-serve responses fit routine cases: clear facts, amounts a business can absorb, and a deadline still ahead of you. Bring in a licensed professional when the amount at stake is large relative to their fee, the facts are genuinely disputed, criminal exposure is possible, or the deadline has already passed. A short paid consultation to sanity-check your plan is often worth it even when you handle the filing yourself.

All sources for this guide

1. Lacey Act — U.S. Fish and Wildlife Service
2. Lacey Act Enforcement — FWS Office of Law Enforcement
3. FWS Civil Penalty Adjustment — Federal Register 2025
4. CITES Appendix Listings — UNEP-WCMC
5. FWS Office of Hearings and Appeals — Administrative Hearing Procedures
6. Wildlife Import Declarations — USFWS Form 3-177