Guild of American Luthiers - CITES Lacey Act

American Lutherie

CITES, LACEY ACT, ESA, USFWS AND CUSTOMS REGULATION OF WOOD, SHELL, BONE, IVORY, FOSSIL IVORY, AND FINISHED ITEMS (SUCH AS GUITARS) WHICH CONTAIN ANY OF THESE OR OTHER WILDLIFE OR PLANT PRODUCTS

By Chuck Erikson, the Duke of Pearl, April, 2011

WITH SPECIAL THANKS FOR INPUT OR REVIEW BY:

Kathy Wingert, Wingert Guitars
Natalie Swango, Luthiers Mercantile International
Lance R. Peck, Forgotten Woods, LLC
Craig Hoover, FWS Branch of Operations Chief (Arlington, VA)
George Gruhn, Gruhn Guitars, Inc.
Marilee Brown, FWS Special Agent (Sacramento, CA)
David Berkowitz, Berkowitz Guitars
George A. Balady, APHIS Staff Agriculturist Officer (Riverdale, MD)

NOTE: in using this guide, each Section is designed to deal specifically with importing or exporting, and with plant or wildlife materials. For instance, if you’ll be importing only plant materials (woods), read the Sections which mention “Imports”, “All imports”, or “Imports of plant materials and products”.

DISCLAIMER
Some of this information may not be accurate or current, is presented only as a general guide for educational or entertainment purposes, and is not intended to be legal advice. You are responsible for consulting with your own brokers or attorneys, and for researching the various state, federal and international laws which may apply and which are of course subject to incessant and not always rational or understandable changes.

CONTENTS

SECTION 1
INTRODUCTION, GENERAL NOTES, AND TERM DEFINITIONS

SECTION 2
EXEMPTIONS FOR PERSONAL PROPERTY; PRE-BAN,
PRE-CONVENTION, AND “LEGACY” MATERIALS; AND ANTIQUE ITEMS

SECTION 3
(For imports or exports of animal products)
U.S. FISH & WILDLIFE IMPORT/EXPORT PERMITS OR LICENSES

SECTION 4
(For imports or exports of animal materials or products)
FILLING OUT THE U.S. FISH & WILDLIFE DECLARATION FORM 3-177

SECTION 5
(For exports of plant materials or products)
USDA/APHIS DECLARATION FORMS

SECTION 6
(For imports of plant materials or products)
USDA/APHIS DECLARATION FORMS FOR COMPLYING WITH
CITES AND THE LACEY ACT

SECTION 7
(For all imports)
FILLING OUT THE DEPARTMENT OF HOMELAND SECURITY/U.S. CUSTOMS AND BORDER PROTECTION ENTRY/IMMEDIATE DELIVERY FORM 3461:

SECTION 8
(For 3-177 imports & exports, 3461 imports, PPQ-505 imports, and others)
OBTAINING THE 3-DIGIT “ENTRY FILER CODE” NEEDED IN COMPUTING
THE NUMBER FOR FORM 3177-BOX 6, FORM 3461-BOX 4, and PPQ-505-BOX 2

SECTION 9
(For all exports)
U.S. CENSUS BUREAU REGULATIONS AND
POSTAL CUSTOMS DECLARATION FORM 2976-A

SECTION 10
(For imports and exports)
“HTS” (HARMONIZED TARIFF SCHEDULE) AND “SCHEDULE B”
ITEM CODE CLASSIFICATIONS

SECTION 11
(For all exports)
FILLING OUT U.S. CUSTOMS/NAFTA “CERTIFICATE OF ORIGIN” FORMS

SECTION 12
WHERE TO GET INFORMATION ABOUT REGULATION AND ENFORCEMENT OF CITES-RELATED ISSUES AND PROCEDURES

SECTION 13
HOW TO DETERMINE WHICH CITES WILDLIFE AND PLANT
DOCUMENTS ARE NEEDED

SECTION 14
SOME USEFUL INTRODUCTORY WEBSITES

SECTION 1
INTRODUCTION, GENERAL NOTES, AND TERM DEFINITIONS

Intrastate, interstate, national and international movement or trade which involves natural plant and animal materials and products is heavily regulated by a number of governmental agencies at each of these governmental levels. Both domestically and globally tens of thousands of species have become impacted, threatened or endangered, some only very slightly but others to the point of extinction. Along with individual state fish and game laws the U.S. Endangered Species Act (ESA) and the Lacey Act (16 U.S.C. §§ 3371-3378) establish stiff restrictions in the U.S. at both interstate and national levels.

The ESA is solely concerned with animals and plants that live in fresh or salt water, and has nothing to do with animals or plants found on land (such as trees). The National Oceanic and Atmospheric Administration’s (NOAA) National Marine Fisheries Service (NMFS) and the U.S. Fish and Wildlife Service (USFWS or FWS) share responsibility for implementing the ESA, which currently lists approximately 1,965 species. Of these species, approximately 1,370 are found in part or entirely in the U.S. and its waters; the remainder are foreign species. Generally, USFWS manages ESA’s freshwater species (as well as non-ESA land species), while NMFS has jurisdiction over ESA’s 73 listed saltwater species.

The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) regulates over 33,000 animal and plant species, and applies only at the national level among participating countries (although a country may have stricter domestic measures, such as the ESA). These various regulations are certainly not uniform or standardized, but any movement and/or change of ownership in wildlife or plant materials must comply with all.

To wax philosophical for just a moment: there’s an underlying assumption of “deep ecology” proponents who have been so influential in establishing these laws, that as long as markets exist even for legal antiques or pre-ban listed species it will keep demand alive generally and thus encourage contraband activity. Technically, fully documented pre-ban antiques can be certified and commercially traded – but in practice very few antiques are still accompanied by original documents, and professional appraisal and applying for certification can cost more than an item is worth. There have been numerous instances of illegal material being marketed as legal, such as elephant ivory stained to resemble fossil mastodon; but antiques being used as a cover for illegal trade is not the same thing as antiques themselves driving demand. As far as I know, there's never been a definitive study published which proves that antiques keep demand in general alive – which reduces this argument to nothing more than reasonable sounding but unsupported opinion. But since there's also no published evidence for otherwise well reasoned opposing viewpoints, it remains a war of opinion.

Unfortunately we find ourselves with legislation that's to some extent based on nothing more than speculation, wishful thinking, and emotion, pushed by the popular press, heavily funded, and efficiently lobbied by some very large international activist organizations. When speaking with enforcement agents it’s disconcerting how often the “answers” to serious questions are simply a “stock” recital of the deep ecology mantras. Opinions are not arguments, and because they lack support can't attempt to prove anything; an argument is a supported opinion, with a necessarily logical link between the premises and the conclusion. So in this, as in life, the question should always be “is it true?”, and not “how do I feel about it?”

This article will mainly examine issues relative to “commercial” transactions, one definition of which is found in the U.S. Code of Federal Regulations (CFR):

As applied to fish and wildlife import activities in 50 CFR Part 14.4: Commercial means related to the offering for sale or resale, purchase, trade, barter, or the actual or intended transfer in the pursuit of gain or profit, of any item of wildlife and includes the use of any wildlife article as an exhibit for the purpose of soliciting sales, without regard to quantity or weight. There is a presumption that eight or more similar unused items are for commercial use. The Service or the importer/exporter/owner may rebut this presumption based upon the particular facts and circumstances of each case.

CITES and ESA may have slightly varying definitions of what constitutes “commercial” activity; but any transfer of ownership through a sale and purchase, or involving an exchange of funds or property where a profit results, will most likely be considered a “commercial” transaction.

Musical instruments, other manufactured goods, and antiques or vintage collectibles containing any type of wildlife or plant material in even the tiniest amount are being increasingly and aggressively challenged by port agents at the U.S. border, causing delays in delivery, generating extra fees and paperwork, and sometimes resulting in confiscation and/or destruction of personal items or commercial shipments as well as devastating penalties, even for first-time offenders. There is no “innocent owner exception” for border crossings that, however unintentionally, violate declaration requirements. Most of the laws have been in place for years, but it’s only recently that the musical instrument industry has attracted increased attention from enforcement agencies.

Fines and penalties for non-compliance can be extremely severe ($100,000-500,000 and 1-5 years in jail) especially if it’s determined that violations were done “knowingly” and without exercising “due care” in researching applicable laws; punishment is reduced to forfeiture of goods and perhaps several hundred dollars in fines if it can be shown illegal activity was “unknowing” and that “due care” was reasonably attempted.

The only way to establish evidence of “due care” and protect yourself as a seller, buyer or user is by filing meticulously correct import/export paperwork and asking questions and requesting documentation from your suppliers – create a “paper trail” by keeping notes on who you spoke with and when, and save or print out associated emails and letters. It’s also very important to keep accurately detailed books and save original paperwork for at least six years (indefinitely on any items still in your possession no matter how long ago they were acquired). Lacey Act provisions and a flow chart of penalties and fines for non-compliance on plant products are summed up in an Environmental Investigation Agency document, The U.S. Lacey Act. Penalties are the same for both animal and plant violations.

The latest enforcement phase of the U.S.’s Lacey Act came into effect on April 1, 2010, and requires importers of certain wood products including musical instruments (HST Chapter 92), to declare at the time of importation the scientific name and country of harvest for any wood or other plant material in their products. This is done by using a USDA/APHIS PPQ FORM 505. A recently published factsheet by the USFWS regarding musical instrument issues can be seen here.

In addition, anyone exporting or traveling with an item made from natural materials must also comply with somewhat varying rules for each destination country. U.S. law also demands that an item entering the country must have been compliant with regulations in its country of origin. To avoid trouble, knowledge of U.S. law is only a starting point!

Before continuing any further, it’s important that the terms “wildlife” and “plants” be clearly understood as defined by the main enforcement agency, the United States Fish and Wildlife Service (USFWS or FWS), in CFR 50:

PART 10—GENERAL PROVISIONS
Subpart B—Definitions
Definition of Wildlife: Wildlife means any wild animal, whether alive or dead, including any wild mammal, bird, reptile, amphibian, fish, mollusk (i.e. clam, snail, squid, octopus), crustacean (i.e. crab, lobster, crayfish), insect, sponges, corals, or other invertebrate, whether or not bred, hatched, or born in captivity, and including any part, product (including manufactured products and processed food products), egg, or offspring.

Definition of Plant: Plant means any member of the plant kingdom, including seeds, roots and other parts thereof.

These same regulations further explain that for both animals and plants the above definitions are meant to include:

…the dead body or parts thereof (excluding fossils), whether or not included in a manufactured product or in a processed food product.

The Lacey Act (which applies to interstate activities, but not intrastate) expands the above FWS definition of “plant” to include:

“…any wild member of the plant kingdom, including roots, seeds, trees from either natural or planted forest stands, and any products thereof. Expressly excluded from this definition are “common cultivars” (except trees) and “common food crops.”

Some animal materials used in guitars are exempt from being classified as wildlife if considered to be “domestic”:

CFR Title 50 §14.4:
Domesticated animals includes, but is not limited to, the following domesticated animals that are exempted from the requirements of this subchapter B (except for species obtained from wild populations): Camel (Camelus dromedarius and bactrianus); Cattle (Bos taurus); Sheep (Ovis aries); Water buffalo (Bubalus bubalus) [and others].

CITES (which applies at national and international levels) regulates species listed in one of three Appendices. Appendix I includes species threatened with extinction. Trade in specimens of these species is permitted only in exceptional circumstances. Appendix II includes species not necessarily threatened with extinction, but in which trade must be controlled in order to avoid activities incompatible with their survival. Appendix III contains species that are protected in at least one country, which has asked other CITES Parties for assistance in controlling the trade.

Whether traveling with or shipping any items (such as raw materials, parts, musical instruments, or antiques) which contain animal or plant species listed in CITES Appendices I, II, or III, not just any U.S. border port can be used. The ONLY ports of entry (POE’s) allowed to deal with wildlife shipments (of any sort, not just CITES related) that are commercial or require a species-specific permit are these 18: Anchorage, Atlanta, Baltimore, Boston, Chicago, Dallas-Fort Worth, Honolulu, Houston, Los Angeles, Louisville, Memphis, Miami, New Orleans, New York, Newark, Portland, San Francisco and Seattle. You may need to change travel plans in order to clear through one of these ports. If it can be shown that using an approved port would create a serious financial hardship, exception permits for using a non-approved port can be applied for (which can take substantial time to receive permission). A FWS Q&A on this subject can be found here.

Personal wildlife items or baggage and household effects which do not require permitting may be cleared at any port of entry.

Since May 1, 2010, when filling out import forms and documents APHIS has been requiring that exact quantities for each species of material in a shipment must be tallied and listed separately using only standardized metric units: kg, m, m2, m3. For a guitar, this means calculating exactly how much mahogany is in the neck and kerfing; how much ebony in the fingerboard, bridge, and heelcap; how much rosewood in back, sides, and peghead veneer; how much maple in the bindings; how much of each species of shell used in the inlays. The actual cost for each material must also be declared. Several luthiers have now figured out typical quantities for each model of guitar they make and use these saved files for completing their border clearance documents. Sure it’s a hassle, but it’ll help keep trouble from knocking on your door!

It’s important to understand right from the start that for clearing an export or import shipment involving any wildlife materials more than one federal agency will almost surely be involved: the Department of Homeland Security, U.S. Customs and Border Protection (CBP), the U.S. Census Bureau (Foreign Trade Division), the U.S. Fish & Wildlife Service (USFWS), the U.S. Department of Agriculture (USDA), and the Animal and Plant Health Inspection Service (APHIS). The Homeland Security Act of 2002 transferred most POE Ag inspection functions from APHIS to Customs and Border Protection

Many businesses have for years successfully imported and exported materials, instruments, and antiques using nothing more than Postal customs forms, innocently ignorant of the requirements for other forms, permits, licenses, or certificates. It remains entirely possible that shipments may continue to be cleared and released by Customs without full compliance on all the regulations and paperwork, but this creates several latent and potentially disastrous problems: if ever challenged or investigated, failing to provide a correct document trail will bring “due diligence” into serious legal doubt; instruments and inventories risk later confiscation; the importer/exporter risks severe penalties involving fines and/or jail time; and customers or recipients are also exposed to the same enforcement actions. “Flying under the radar” may have worked for decades, but with intensified governmental focus on guitar industry activities, doing things the old way involves risks that can easily result in both the loss of a business and personal bankruptcy.

The sea of regulations can be murky water even for U.S. Customs and FWS agents, and possibly even more so for brokers and lawyers. During an eight month long FWS investigation last year, I received plenty of wrong or sometimes incomplete information from all those sources, only getting knowledgeable answers (if then) when able to reach top officials, usually in Washington offices. A few of these admitted that many if not most of those working in enforcement at lower levels really don’t understand some of the fine or more obscure points of their own agency’s regulations and protocols. This misinformation can be blamed on a variety of reasons, including unfamiliarity with specialized and rarely referenced sections of the Code or quoting information that can be 10 or 15 years outdated (as much of the cached internet material is). It’s pretty frustrating, since you and I are held legally accountable for understanding and complying with very complex laws even though enforcement agents may not. Even the FWS lady investigating us acknowledged the problem several times. The best response when this happens is to be able to quote directly from specific regulations which the agent can then check for themselves – of course, this means having done your own homework earlier!

Other difficulties are that various agencies can sometimes have little or no communication with each other even though paperwork often needs to be coordinated between them; and that by law any government employee can not legally be held accountable or responsible in court for anything they may tell you, even if printed and signed on an agency’s letterhead! So be warned not to believe everything you’re told by lawyers, brokers, or government workers…do your own homework.

As the major supplier of all things nacreous, we can assure everyone that none of the shells we offer are threatened, endangered, protected, banned, or listed and they’re all openly brought in under our U.S. Fish & Wildlife Import/Export Permit’License. But simply because they’re “wildlife” (fish or animal) products FWS can cause unnecessary hassles, and be subject to various charges such as so-called “inspection fees” (even though any given package may never be opened or actually inspected!).

Our Duke of Pearl website has full information about each shell species we’re involved with including common and Latin (scientific) names, and their country of origin. Almost all shell used in inlay work is either commercially farmed or caught wild by licensed fisheries. On all forms or paperwork it helps to mention that the shell is caught wild, as per this suggested entry for Paua ab. as it might be used in a guitar:

Rosette and edge trim of wild caught New Zealand Paua abalone shell (Haliotis iris)

The Lacey Act requires (see here) that all shipments entering/exiting the U.S. or moving interstate which contain any fish or wildlife (not plant) materials or products be clearly so marked on the outside of the box or container:

§ 3372. Prohibited acts:
(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.

(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.

To be in compliance with “paragraph (2) of section 3376 (a)”, how should this be done (see 50 CFR 14.81 and 82)?

For imports/exports: by either 1) writing on the outside of the box “CONTAINS WILDLIFE PRODUCTS” and attaching a list of the contents which includes both the common and Latin names of the species involved, whether they are venomous or not, their countries of origin, their Harmonized Tariff Code Classification Numbers, and your FWS Import/Export Permit/License Number, or, 2) writing on the box only your FWS Permit/License Number (“FWS LE XXXXXX-X”) and including a detailed list inside the shipment.

For interstate shipments: writing on the outside of the box “CONTAINS WILDLIFE PRODUCTS” (or a FWS Import/Export Permit/License Number, if you have one) and having either on or inside the box an itemized list with common and Latin names, stating whether or not they are venomous, and their country of origin (an FWS Import/Export Permit/License and tariff code are not required since you’re not importing or exporting).

Although I haven’t heard of these interstate shipping regulations being enforced anywhere yet, and it’s extremely doubtful that any carrier or agency is even paying attention, we’re now using a stamp for marking all packages with our FWS Import/Export Permit/License number as mentioned above to avoid FWS showing up at some point and citing us for non-compliance.

But if subsequently questioned at any stage of a transaction or movement, it will speed things up if you then supply a copy of a sales receipt from whoever sold you the shell or other materials (but don’t include this with the shipment’s original paperwork – as with the I.R.S., never volunteer more than the necessary minimum of information when dealing with any government agency).

If still having difficulty getting import or export clearance on materials purchased from a supplier, have the agent contact them and ask for a valid FWS Import/Export Permit/License number and any other information they might want (such as clarification on species information, or country of origin and/or manufacture).

ABBREVIATIONS USED IN THIS ARTICLE

AES	Automated Export System
APHIS	Animal and Plant Health Inspection Service
CBP	U.S. Customs and Border Protection (also: USCBP)
CFR	Code of Federal Regulations
CITES	Convention on International Trade in Endangered Species of Wild Fauna and Flora
DHS	Department of Homeland Security
EEI	Electronic Export Information
EEL	Exemption and Exclusion Legend
ESA	Endangered Species Act
FWS	U.S. Fish & Wildlife Service (also: USFWS)
HTS	Harmonized Tariff Schedule
ITN	Internal Transaction Number
MMPA	Marine Mammal Protection Act
NAFTA	North American Free Trade Agreement
NMFS	National Marine Fisheries Service
NOAA	National Oceanic and Atmospheric Administration
PFC	Proof of Filing Citation
P.O.	Post Office (U.S. Postal System or USPS)
POE	Port of entry
PPQ	Plant Protection and Quarantine
SRN	Shipment Reference Number
USC	U.S. Code
USCBP	U.S. Customs and Border Protection (also: CBP)
USDA	U.S. Department of Agriculture
USFWS	U.S. Fish & Wildlife Service (also: FWS)

When I use a word it means just what I choose it to mean, neither more nor less. Humpty Dumpty

SECTION 2
EXEMPTIONS FOR PERSONAL PROPERTY; PRE-BAN,
PRE-CONVENTION, AND “LEGACY” MATERIALS; AND ANTIQUE ITEMS

As we’ve already discovered in the FWS 50 CFR Part 14 definitions, one factor that defines commercial activity in fish or wildlife materials (but not necessarily in plant products) “…is a presumption that eight or more similar unused items are for commercial use. The Service or the importer/exporter/owner may rebut this presumption based upon the particular facts and circumstances of each case.” Theoretically, a shipment of 9 loose mastodon ivory bridge pins not invoiced as a “set” could be challenged, but a 12-string guitar bridge with a dozen pins would be counted as only a single item!

There are special regulations and exemptions governing such things as some “personal and household effects” and packaging/crating materials, which won’t be presented here but which are accessible by doing searches through the included links. For instance, see 50 CFR part 23.13(d), part 23.15(d)(7) which explains the CITES requirements for traveling internationally with your personal or household effects that include CITES material. These say that import/export documents aren’t needed unless an item or shipment contains CITES Appendix I materials; a guitar containing CITES I materials like Brazilian rosewood, tortoiseshell, or ivory must be accompanied by a species-specific export permit, such as a preconvention certificate 3-200-32 – but this only applies to the U.S. and doesn’t necessarily protect the owner in other countries. For CITES II materials no permit is needed as long as all other personal exemption requirements are met (such as not involving any type of commercial activity).

Certain CITES listings can be annotated so that they are limited to certain parts or products. For example, many CITES II and III species are annotated to limit the scope of the listing. Materials such as Honduran (Bigleaf) mahogany (Swietenia macrophylla, CITES II) is annotated to cover only “logs, sawn wood, veneer sheets and plywood” and Spanish cedar (Cedrela oderata, CITES III) is annotated to cover only “logs, sawn wood and veneer sheets””, but when contained in manufactured or “finished” products (like a guitar) they remain unregulated, even though they still need to be declared with APHIS (or FWS, for animal products). Even so, some port of entry (POE) CBP Agriculture Specialists have insisted that CITES and/or APHIS phytosanitary permits be produced over and above what the laws call for, and quoting actual CITES regulations doesn’t do a thing to change their minds. In such a situation the choices are: 1) submit paperwork that’s not necessary in order to just get the shipment cleared; 2) try appealing to their superiors; 3) ship through another port where CBP agents aren’t overstepping their authority; 4) alert the US CITES Management Authority so that the field staff can be educated about the scope of a particular CITES listing.

On the other hand, although only a CITES II material, Honduran/Bigleaf mahogany (Swietenia macrophylla) does need a PDQ-505 declaration filed for border clearance. The CITES I-II-II Timber Species Manual says if “…the country of origin is: other than Brazil, the Neotropics, or Nicaragua…the articles are not regulated by CITES; EXIT this manual.” But Honduras is in the Neotropics: see footnote 19, which defines Neotropics as including the “Caribbean, Central America, Mexico, and South America” (Honduras is a Central American country), and the wood is thus regulated.

An excellent and recently updated piece by John Thomas regarding the impact of CITES on traveling musicians is in the online version of the Fall, 2008 Fretboard Journal.

If traveling with or shipping any item which is part of a commercial transaction (anything which involves making a gain or profit), APHIS and/or FWS declarations, licenses, species-specific permits, Import/Export Permits/Licenses, or certificates will be unavoidable, and only certain ports of entry may be used. Personal effects such as guitars need no permits or declarations, but only as long as they don’t contain listed species, and only as long as a border agent doesn’t suspect they might. Because the latter situation is increasingly likely, it would be prudent to have either with you or with the instrument an original purchase receipt which lists all species used and their country of origin. Personal and household items which are not part of a commercial transaction or which do not require a species-specific permit may be imported or exported through any port of entry (POE).

The federal legality of using some unpapered Lacey or CITES Appendix I materials (woods and ivories, but not tortoiseshell) varies depending on whether they stay within the U.S. or move across the international border. As long as these materials were not imported in violation of CITES or obtained illegally they can be freely bought, sold, and used domestically – since CITES applies only to international trade there are no CITES-related requirements for legally acquired CITES-listed species (like Brazilian rosewood) when the activity is solely domestic. However, it is important to note that some CITES-listed species are also domestically regulated by the ESA (for example, Hawksbill sea turtle).

Within the U.S. the burden of proof falls on enforcement agencies to prove an item is illegal – something not possible when a paper trail is lacking. But when the material or product is to be exported, evidence of legality shifts to the exporter – something equally impossible without a paper trail. Thus while remaining in the U.S. no federal permitting is required and the item cannot be declared illegal or contraband, even though questions might be raised about its legality (the above comments based on private emails between David Berkowitz and FWS Division of Management Authority Branch of Permits Chief, Tim Van Norman). “However, the importer/exporter does not bear the full burden of showing legality. For example, if a species is obtained in a country that allows export without documentation, but that species is protected in a third country, the government would have to show that it came from that third country, [while] the importer/exporter would not have to prove that it did not” (quoted from a private note sent by FWS Branch of Operations Chief Craig Hoover).

But…state laws may or may not allow interstate or intrastate transactions, so be sure to check the regulations where you live (or where you intend to ship or transport). State laws are allowed to be tougher than federal but they can not conflict or be more lenient.

Unfortunately, and unfairly, for those owning wildlife or plant materials or products which may be decades or even centuries old, unless a discreet “paper trail” of original invoices, old letters, and/or import/export documents can be produced establishing what’s known as “due diligence” on your part it will be difficult to legally move these materials (or items made from them) across U.S. borders without risking confiscation and destruction, and possibly incurring severe fines or penalties.

It has always been a common practice to scavenge or recycle valuable materials from damaged antiques, musical instruments, and furniture, as well as architectural salvage. Doing so now might get you into trouble if the materials came from species now listed by the ESA. Concerning ESA-listed species in antiques, 16 USC 1539(h) says:

(h) Certain antique articles; importation; port designation; application for return of articles (1) Sections 1533(d) and 1538(a) and (c) of this title do not apply to any article which - (A) is not less than 100 years of age; (B) is composed in whole or in part of any endangered species or threatened species listed under section 1533 of this title; (C) has not been repaired or modified with any part of any such species on or after December 28, 1973; and (D) is entered at a port designated under paragraph (3). (2) Any person who wishes to import an article under the exception provided by this subsection shall submit to the customs officer concerned at the time of entry of the article such documentation as the Secretary of the Treasury, after consultation with the Secretary of the Interior, shall by regulation require as being necessary to establish that the article meets the requirements set forth in paragraph (1)(A), (B), and (C). (3) The Secretary of the Treasury, after consultation with the Secretary of the Interior, shall designate one port within each customs region at which articles described in paragraph (1)(A), (B), and (C) must be entered into the customs territory of the United States.

Here are the ESA-listed species which luthiers need to be aware of, which can not be reworked (or “repurposed”) into another form, or repaired using the same protected material:

Killer Whale (Orcinus orca) and Sperm Whale (Physeter catodon = macrocephalus) ivory teeth and inner ears (otoliths), or jaw bone. Prehistoric whale ivory and bone are also illegal to repurpose. Verifiably antique scrimshaw can be sold commercially across state lines; unregistered items or material can only be sold intrastate as long as not prohibited by state law.

Pacific Walrus (Odobenus rosmarus) ivory tusks and teeth. Raw walrus ivory acquired after December 21, 1972, can be owned but is illegal to buy or sell (unless both parties are Eskimo). Post-law ivory carved or scrimshawed by an Eskimo is legal to buy, possess, and sell. Prehistoric or “fossil” walrus ivory is exempt (as are mammoth and mastodon ivories) and legal to fabricate and trade interstate (or internationally, with a permit – see below).

Green Sea Turtle (Chelonia mydas) and Hawksbill Sea Turtle (Eretmochelys imbricata) tortoiseshell for picks, pickguards, and trim; Loggerhead Sea Turtle (Caretta caretta) very thin tortoiseshell for veneer work.

Black Abalone (Haliotis cracherodii) and White Abalone (Haliotis sorenseni) for inlay and trim, although the White ab. has never been used in instrument work because the shell is too thin and corrugated to allow blanks to be made – it’s mentioned here because CBP and FWS have caused border clearance problems by mistakenly claiming that inlays of regular white M.O.P. oyster (Pinctada maxima) are actually White ab., even though the latter is not as white as the oyster material.

ESA also names “Species of Concern” which are being closely watched but as yet are not listed and remain legal to work with. Those that are of concern in luthiery are:

Green Abalone (Haliotis fulgens), Pink Abalone (Haliotis corrugata), and the Pinto Abalone (Haliotis kamtschatkana). The Pinto is actually too small and thin shelled to be used as inlay material, but as with the White ab. it could be confused with other types of shell and cause problems.

African Elephant (Loxodonta africana) ivory cannot be imported, bought, or sold across U.S. borders or internationally, but it is legal to own, buy, sell or ship within the United States with no permits or registration requirements. Asian Elephant (Elephas maximus) is listed as endangered in the U.S. and by CITES, so cannot be traded either internationally or interstate within the U.S.

Hippopotamus and warthog are Protected but not listed as Endangered, so these ivory tooth and tusk materials can be freely worked and traded across state lines without any documentation or permits. They can be exported from the U.S. using an FWS Permit (see below).

For materials and products made from antique or pre-Convention ESA-listed species, as soon as one of these items is substantially modified or used to make a new product, its exempt status instantly disappears. Unfortunately, even with legitimate documentation the age of the original item does not automatically carry over to the use of its material in another one. Instead, the new article assumes the date of its recent remanufacture, thus now making it post-ban and illegal to sell or to import or export. In fact, if an antique were to only be restored using either old or new patches of the same ESA-listed species, its legal age will be moved forward to the date of the new repair, with the same insane results.

This is the regulatory restriction which prevents guitar picks or pickguards being made from recycled antique tortoiseshell bracelets, combs, and boxes, no matter how old they might be.

The situation is entirely different for antique or pre-Convention Brazilian rosewood. BW is listed in CITES Appendix I; but since it isn’t listed by ESA, pre-Convention items and materials can be freely modified, reworked, repaired, and repurposed without losing their antique or pre-ban status.

For papered pre-ban listed woods or items that will be cut up or sold as is, or used to make something else, to preserve their future exportability an FWS Form 3-200-32 can be filed to get a Pre-Convention Certificate/species-specific permit on the original pieces. This certificate is then used when showing FWS that the original material was remanufactured into other “pre-ban” pieces or products. For Brazilian rosewood, the number of items involved can be entered on Lines 13(a) and (b) of the application form; or state the metric volume of the wood and then in an additional note estimate the number of guitar parts to be made from it. For all other woods enter the same type of information on Line 12, or for non-commercial (personal) items use Line 11. Once filed, this information will be readily available for comparison so with material being cut up don’t try to create more pieces than claimed, and don’t later try to export the original item intact!

When recycling old pre-ban non-ESA listed materials after getting a Pre-Convention Certificate, it might be wise to take as many clear and detailed photos as possible both before and during the salvaging process, and save most of your cut-off scraps so that if ever questioned about a particular item you’ll be able to exactly match its color and grain to your pictures and scraps of the pre-ban object, proving where it came from.

Remember, APHIS has nothing to do with any of this, and if the use is truly domestic (within the U.S.) then FWS also doesn’t care and no CITES documentation is needed.

There are exceptions for bona fide antiques, although these can also be technically required to have original paperwork, something usually impossible for items which have been around for a century or more! In some instances, acceptable certification can be gained using a written age estimate from a legitimate “recognized” authority.

Here are the regulations establishing the above restrictions in using or remanufacturing older ESA-listed plant or animal materials (bold italics supplied):

Title 19 CFR 10.53 – Antiques
(e) Antique articles otherwise prohibited entry by the Endangered Species Act of 1973 (16 U.S.C. 1521, et seq.) may be entered if: (1) The article is composed in whole or in part of any endangered or threatened species listed in 50 CFR 17.11 [animals] or 17.12 [plants], (2) The article is not less than 100 years of age, (3) The article has not been repaired or modified with any part of any such endangered or threatened species, on or after December 28, 1973, (4) The article is entered at a port designated in 12.26 of this chapter, (5) A Declaration for Importation or Exportation of Fish or Wildlife (USFWS Form 3177) is filed at the time of entry with the port director who will forward the form to the U.S. Fish and Wildlife Service, and (6) The importer meets the requirements of paragraph (a) of this section.

Title 50, CFR 14.22 Certain antique articles.
Any person may import at any Customs Service port designated for such purpose, any article (other than scrimshaw, defined in 16 U.S.C 1539(f)(1)(B) and 50 CFR 217.12 as any art form that involves the etching or engraving of designs upon, or the carving of figures, patterns, or designs from, any bone or tooth of any marine mammal of the order Cetacea) that is at least 100 years old, is composed in whole or in part of any endangered or threatened species listed under §17.11 or §17.12 of this subchapter, and has not been repaired or modified with any part of any endangered or threatened species on or after December 28, 1973.

FWS has species-specific permits available through their Law Enforcement Offices. Here are the CITES pre-Convention or ESA pre-Act Exemption Certificates or species-specific permits which are available from FWS:

For wildlife, complete FWS Form 3–200–23 and submit to the U.S. Management Authority. Cost is $100.00.

For plants, or for exporting Brazilian rosewood (Dalbergia nigra) which is verifiably vintage or antique (pre 6/11/1992) as either wood or guitars, submit FWS Form 3-200-32. The cost is $50.00-200.00 (depending on whether applying for a single shipment, personal property, or for setting up a “Master File”). Currently the approval process can take up to 6 months to finalize.

For fossil walrus ivory, native Eskimo carved, or raw walrus ivory predating Dec. 21, 1972, use FWS Form 3-200-27. The cost is $100.00, and it will take 30-45 days to get a response.

African elephant ivory removed from the wild after February 4, 1977, is not considered to be Pre-Convention; and worked African elephant ivory may only be re-exported for non-commercial purposes. To re-export such items, submit FWS Form 3-200-73. Cost is $75.00. Raw ivory tusks may not be re-exported. Mammoth and mastodon ivories can be freely traded without any permits.

A recently published FWS Factsheet gives information on the following exceptions, along with charts for determining which species-specific permits, certificates, or forms will be needed for import, export, or re-export activities:

For a Pre-Convention (CITES) item, you must state that it was acquired (removed from the wild or held in captivity or a controlled environment) before the date CITES applied to it. The listing date can be found at the CITES website.

For a Pre-Act, ESA (Endangered Species Act) item, you must state that it was acquired or held in a controlled environment on or before (a) December 28, 1973 or the date when the species was listed, and (b) has not entered into commerce (e.g., been bought, sold, or offered for sale by you or anyone else) since December 28, 1973, or the date when listed.

For a Pre-Act, MMPA (Marine Mammal Protection Act) item, you must state that it was taken prior to December 21, 1972.

For an Antique, ESA (composed in whole or in part of any endangered or threatened species) item, you must state that it was manufactured or removed from the wild over 100 years ago, and has not been repaired or modified with any part of any such species on or after December 28, 1973.

What must ALWAYS be avoided is getting involved with wildlife material which comes from endangered (“listed”) plants and animals and lacks a paper trail. Genuine antiques might be O.K.; but materials or products of recent or undocumented origins, having falsified paperwork, or coming from unscrupulous dealers will eventually put both you and your customers at risk. It also defeats the original and legitimate purpose of these wildlife laws: to protect species which are dangerously close to extinction. Establish a high ethic for your activities and then stick with it, and above all make sure you “know your dealer”!

If you see a man approaching you with an obvious intent of doing you good, you should run for your life. Henry David Thoreau

SECTION 3
(For imports or exports of animal products)
U.S. FISH & WILDLIFE IMPORT/EXPORT PERMITS OR LICENSES

If all your materials purchasing and sales activities are confined to U.S. companies or customers, there’s no need to apply for an FWS permit or license or to fill out FWS forms. But if importing or exporting wildlife materials (or products containing them), it will be necessary to get an FWS Import/Export Permit/License and then for every shipment to fill out an FWS Declaration Form 3-177. As of 2011 this License fee is $100.00, which must be paid and renewed every year. Although FWS is supposed to mail you an annual reminder, you still remain legally responsible for keeping the License updated even if no reminder notice is received, so it’s a good idea to mark the renewal date on your calendar.

A main focus of U.S. Customs and FWS is on wild animal and plant materials, including any products from the limited commercial farming of otherwise wild species (such as the marine shells used in inlay work), rather than traditional domestic animals and plants. Thus, products from cow, horse, pig, sheep, etc. don’t generate much scrutiny as long as declared properly with their appropriate tariff classifications, and these shipments can be cleared “informally” if under $2,000.00 in value for imports or $2,500.00 for exports.

There will be a mandatory “inspection fee” charged on any given shipment that contains any fish or wildlife material (see note in the next section), whether it’s one tiny item or a container load.

NOTE: Regulations demand that “any shipment requiring a permit” may not be cleared informally regardless of how small it might be (no de minimis exceptions: Q&A no. 9); BUT although shipments containing any amount of wildlife products do require a FWS Import/Export Permit/License, this “permit” is not what the law is referring to – formal clearance is necessary only when species-specific permits are involved (such as those discussed previously in Section 2), or the value exceeds those stated above.

Although mentioned earlier, it’s important to reemphasize that when shipping or traveling only 18 ports of entry to the U.S. are authorized to process any wildlife or plant shipments which are commercial or require a species-specific permit: Anchorage, Atlanta, Baltimore, Boston, Chicago, Dallas-Fort Worth, Honolulu, Houston, Los Angeles, Louisville, Memphis, Miami, New Orleans, New York, Newark, Portland, San Francisco and Seattle. If using one of these ports will create substantial financial hardship, an exception permit can be applied for which would allow clearance at a non-approved port. Non-commercial shipments which do not require a species-specific permit, such as personal or household effects, may use any port.

SECTION 4
(For imports or exports of animal materials or products)
FILLING OUT THE U.S. FISH & WILDLIFE DECLARATION FORM 3-177

For animal materials Form 3-177 and instructions are downloadable in Adobe Acrobat Reader (version 4.0 or higher). The Box 6 “Customs Document Number” refers to the “Entry Number” which must be used in Box 4 of the separate U.S. Customs Form 3461, as well as Box 2 of USDA/APHIS Form PPQ-505 (for importing only of plant materials) and others (see SECTION 5 and SECTION 6). Computing this number (your task) requires first requesting and being issued a 3-character “Entry Filer Code” from U.S. Customs – unfortunately not something that a small business is qualified to receive and which thus must be handled by a brokerage service (see SECTION 8).

Filling out a Form 3-177 will automatically incur an “inspection” fee for every shipment (regardless of size or value), currently $91.00 (2011) but which will be going up to $93.00 in 2012, $95.00 in 2013 and etc. This and other FWS fees can be viewed here.

It’s should also be realized that although Customs and FWS regulations, forms, instructions, and websites lead us to believe there’s only one acceptable and inflexible way to fill out paperwork and to get clearance on an import or export shipment, that’s not the way things actually work “on the ground”, as per the following two examples:

New York and a few other ports of entry have developed their own proprietary and eccentric demands as to how electronic and paperwork Forms submissions are handled, although these may be contrary to protocol published on their own agency’s federal websites. According to the government’s own “eDecs” site, any import shipment must have Forms 3-177 and 3461 filed electronically at its specific POE before the shipment arrives on U.S. soil, supposedly so that authorities will be ready for processing it as soon as it gets there – but the N.Y. inspectors are too busy to even look at any electronic submissions, instead requiring that you Next Day ship them paper copies of the Forms; only after receiving the paperwork will they bother to look at the electronic submission.

Baltimore has a reputation for being more lax than other ports of entry, such as allowing any old number or shipment “title” to be entered in the FWS Form 3-177 Box 6 even though the 11 digit number that’s supposedly required to go there is a very tightly controlled and specifically calculated one which should be based on a 3-digit Entry Filer Code issued by U.S. Customs to a broker or importer. Also, although most ports of entry require the U.S. Customs Form 3461 to be submitted for any import (and its Box 4 needs the same number entered as on 3-177’s Box 6), inspectors at Baltimore will clear a shipment without it. Thus, a few freight handling companies which are savvy to these processing idiosyncrasies know how to creatively (and it’s assumed, legally) fill out these Forms to make it appear that a shipment is clearing through Baltimore even though it never actually goes to that city, making clearance easier and faster! (From personal communication with the international shipping manager of an east coast company.) The only problem is that if this in any way involves falsifying the paperwork it becomes a federal offense and puts you at great risk – not something that can be recommended.

If it can be understood, it’s not finished yet. Paul Herbig

SECTION 5
(For exports of plant materials or products)
USDA/APHIS DECLARATION FORMS

When exporting plant materials or products in any form (such as parts or completed products), it will be necessary to use one or more of these USDA/APHIS declaration forms, including the PPQ 621 shown in SECTION 6:

PPQ 572: Application for Inspection and Certification of Domestic Plants and Plant Products for Export. No fees involved. No Phytosanitary Export Certificate can be issued until an application is completed. PPQ-572 is designed to provide the information needed to complete PPQ Forms 577, 578, and 579, and to serve as a worksheet for the certifying official conducting the inspection. Although this form is required by regulation, in practice, alternative methods are used to obtain the necessary information for inspection and certification. When a PPQ Form 572 is used by an exporter as an application, the exporter should complete only the Description of Consignment section. Certifying officials are supposed carefully check that extraneous information was not included on the form by the exporter.

Wood products such as plywood, wood veneer, and unfinished furniture or parts might require a PPQ 578 Export Certificate, but only if Forms 577 or 579 cannot be used. It’s possible that port authorities may try to demand a 578 for guitars, but they would be mistaken and can be successfully challenged.

PPQ-578 (see Figure 3-9-1 on page 137): Export Certificate, Processed Plant Products. No fees involved.
PPQ Form 578 is an accountability certificate used to certify some types of processed plant commodities. Its purpose is to assist U.S. applicants whose shipments may be placed in jeopardy if such a document is not issued. It was created by PPQ to fill a void where no other government certification existed, and may only be issued for those processed products listed in the Commodities Eligible for a PPQ 578 section of EXCERPT (paid subscription needed for access).

Phytosanitary Certificates (577 & 579) are usually for “fresh” plant material – fruits and vegetables, cut flowers, live plants, etc., but are included here because there seems to be confusion in the guitar industry about their use, and also sometimes with customs brokers, and POE inspectors (all of whom can be challenged about using it).

PPQ 577: Phytosanitary Certificate. No fees involved.
The Phytosanitary Certificate, PPQ Form 577, is used to certify that the domestic plants or plant products have been inspected according to appropriate procedures, and they are considered to be free from quarantine pests, practically free from other injurious pests, and conform to the current phytosanitary regulations of the importing country.

PPQ 579: Phytosanitary Certificate for Reexport. No fees involved.
The Phytosanitary Certificate for Reexport, PPQ Form 579, certifies that, based on the original foreign phytosanitary certificate and/or an additional inspection, the plants or plant products officially entered the United States, are considered to conform to the current phytosanitary regulations of the importing country, and have not been subjected to the risk of infestation of infection during storage in the United States.

Full details about the procedures, definitions, restrictions, and allowances for importing and re-exporting woods can be found in the USDA/APHIS Cites I-II-III Timber Species Manual. Section 1 is the Introduction, 2 is Importation, and 3 is Re-exportation.

For a list of document fees involved in exporting plant materials, see here.

To determine declaration requirements on plant products of countries other than the U.S., these two databases are available:

1) USDA’s Animal and Plant Health Inspection Service (APHIS) and Plant Protection and Quarantine (PPQ) track and certify compliance with plant health standards of importing countries. An account can be set up by an organization for the use of its members on USDA’s Phytosanitary Certificate Issuance & Tracking System (PCIT).

2) The phytosanitary certificate requirements of more than 250 countries are listed and updated by the Export Certification Project (EXCERPT) at the Center for Environmental and Regulatory Information Systems (CERIS), part of the Entomology Department at Purdue University. Full access to the EXCERPT database is by annual subscription but free public access is planned in the near future.

These various declaration requirements allow border agents to verify whether a physical inspection of the wood involved agrees with what is being declared in the documents. In practice, until such time as any wood (or animal product) is actually physically examined at a POE, inspection agents are free to assume it may be a listed species until the shipper or recipient can prove otherwise.

CITES I, II, and III species all require general licenses and/or species-specific permitting, such as the FWS Import/Export Permit (for animal materials) or the APHIS PPQ Forms 585 and 621 (for plant materials – see next section); and shipments containing wildlife can only be cleared at 18 specified ports of entry (not all ports). A shipment which contains wildlife material or requires any type of species-specific permitting must go through a “formal clearance” procedure, regardless of its size or value (Q&A no. 9):

9. Is there a de minimis exception?
The statute does not provide for any de minimis exceptions, either to the substantive prohibitions or to the declaration requirement.

SECTION 6
(For imports of plant materials or products)
USDA/APHIS DECLARATION FORMS FOR COMPLYING WITH
CITES AND THE LACEY ACT

At ports of entry, CBP and APHIS agents are present to inspect plant material shipments, but FWS may enter the scene as an enforcement agency on plant violations which are discovered. If there’s any doubt about FWS’s involvement in actively enforcing plant product violations, on November 17, 2009 it was none other than U.S. Fish and Wildlife officials who raided Gibson’s facilities in Nashville and seized raw wood, guitars, and computers. Thus, FWS is involved in enforcement regardless of whether or not the port of entry clearance forms involved are the FWS Declaration Form 3-177 (for animal wildlife) or other non-FWS forms such as the APHIS PPQ Forms 505, 585 or 621 (plant wildlife – see details below).

The APHIS PPQ 505 is used only for importing plant materials, and it’s absolutely critical that required species-specific permits and other declaration forms for the shipment be completed prior to the shipment arriving at a port of entry. [For information on exporting plant products (woods) see the USDA “CITES I-II-II Timber Species Manual”: as of April 2011, “Re-exportation of CITES Protected Timber Species” begins on page 3-1, and “Determine Which Documents Are Needed” begins on page 3-20. See also SECTION 13].

These forms can be tricky to figure out, such as being self-referencing and taking you back where you started, or saying a form needs to be filed but then not supplying specific details of how to do that. Since an import/export broker must handle the paperwork anyway it would be best to consult them about exactly what forms might be needed. But it still pays to be as familiar as possible with all the regulations and forms because many of the “experts” at brokerage firms don’t really know what they’re doing when it comes to wildlife or plant declarations and dealing with musical instruments or antiques, and it helps if you can suggest details they may not be aware of, or can at least ask the right provocative questions.

PPQ 505: Plant and Plant Product Declaration Form. No fees involved.
As far as the Lacey Act is concerned, a PPQ Form 505 is required for all Lacey Act material being imported into the U.S. – no Lacey Act documentation is required for exports. Full details on APHIS's Lacey requirements can be found here. This reporting is not limited to only listed (protected/endangered/threatened, or CITES Class I, II, and III) species, but the form requires a declaration for all plant species regardless of their protected or non-protected status:

You are required to complete this form if you are importing any of the following: Any wild member of the plant kingdom, including roots, seeds, parts, or products thereof, and including trees from either natural or planted forest stands, except: 1. Common cultivars, except trees, and common food crops (including roots, seeds, parts, or products thereof).

Interestingly, Congress chose not to define an official purpose for these Lacey Act declaration requirements, but declarations can serve several purposes including but not limited to data acquisition (for the U.S. Census Bureau) and general accountability. Prior to the recent amendments Lacey had already required similar declarations for imports (as well as exports) of wildlife.

For plant materials and products a number of USDA/APHIS species-specific permit application forms are available, including:

PPQ 585: Application for Permit to Import Timber or Timber Products (logs and lumber). No fees involved.

PPQ 621: Application for Application for Protected Plant Permit to Engage in the Business of Importing, Exporting, or Re-exporting Protected Plants (CITES). The cost is $70.00.

A different USDA import permit is required for any animal material (such as some bone, ivory, or leather) that could possibly introduce exotic animal diseases into the U.S. However, no permitting or restrictions apply to products or materials made from amphibians, fish, reptiles, aquatic species, and shellfish (such as mother of pearl and abalone shell) which meet the standards shown in “Guidelines for Importation #1104”.

Along with the APHIS plant declaration forms, any animal products involved in a shipment must be separately declared on FWS Form 3-177; if limited to only shell materials or inlays, then all that’s required by USDA/APHIS is to have the following statement included somewhere in the entry documents (such as on the Commercial Invoice or Customs Declaration forms):

NOTE: This shipment may enter the U.S. without USDA import permits or restrictions. Products do not include any equine, ruminant, swine or avian species or their materials (such as in transport media or stabilizers), and have not been inoculated with or exposed to any livestock or poultry disease agents or antigens.

Shall the throne of iniquity have fellowship with thee, who frameth mischief by a law? Psalms 94:20

SECTION 7
(For all imports)
FILLING OUT THE DEPARTMENT OF HOMELAND SECURITY/U.S. CUSTOMS AND BORDER PROTECTION ENTRY/IMMEDIATE DELIVERY FORM 3461

When submitting an “eDecs” (see discussion in SECTION 4) electronic request for pre-shipment import clearance from FWS, the mandatory Form 3461 (see instructions here) is also supposed to be included. Although the FWS Form 3-177 and the U.S. Customs Form 3461 supposedly need to be submitted (pre-filed) before a shipment enters the U.S., the reality is that U.S. Customs at some ports of entry (such as in New York) actually require the submission to be made only after the shipment has arrived on U.S. soil; thus you really need to call the specific entry port’s FWS/Customs office to determine their filing preferences, or just trust the broker you’re using.

Using FedEx or U.P.S. as the carrier allows their in-house brokerage services to take care of much of the paperwork protocol so that shipments should be cleared fairly quickly and easily; but shipments made through the postal system can become a bit more complicated. Then why use the P.O.? Well, at least in Mexico and some Asian countries such as Vietnam, South Korea, and Indonesia using any carrier other than the P.O. can expose your shipment to all sorts of bureaucratic hanky-panky and extortion demands by port officials, which can possibly hold a shipment up for weeks or months while negotiating a reasonable bribe; and once you’ve caved in to this corruption your name will go on the wall and it’ll happen every time!

In order for a shipment containing any wildlife products to legally enter the U.S. it must be cleared by FWS when it arrives at an approved U.S. port or airport Customs facility. But when using the Postal Service™, it becomes almost impossible to specify an exact date of entry – a date which is required to be stated in Box 1 of both FWS Form 3-177 and U.S. Customs Form 3461. Because of this, the paperwork needs to be filed as soon as possible after the package arrives at the U.S. port of entry. This means that you or your broker needs to be immediately contacted by someone at the Postal Customs facility so that you can immediately complete and correctly date the eDecs submission of Forms 3-177 and 3461. The only way this will happen is if you’ve had your shipper mark boldly on the box something such as:

“ATTENTION: FWS CLEARANCE NEEDED!
(your FWS Import/Export Permit/License number)
PLEASE IMMEDIATELY CONTACT (your name)
PHONE/FAX: (your numbers)
EMAIL: (your email address)
THANKS!

If this isn’t done the postal Customs inspectors will very often just go ahead and pass the shipment on for delivery to you without bothering to notify FWS, creating even more official hassles. In the (most probable) event that the shipment shows up on your doorstep anyway without having had proper FWS clearance, a bureaucratic “honor system” goes into effect which involves: 1) not opening or tampering with the shipment; 2) filing the correctly dated Forms 3-177 and 3461; 3) directly contacting FWS to let them know the parcel is available for inspection at your address (which should be entered as the “Bonded Location of Inspection” in Box 10 of Form 3-177 and “Location of Goods” in Box 14 of Form 3461). FWS will then either send someone to your place to open and inspect the package, or (most likely) have you send it to the nearest approved POE where it will be processed and shipped back to you (all at your cost).

It takes 12 pages of instructions to navigate Form 3461’s 27 boxes, some of which use codes that need to be either looked up in other lists or appendices (which are sometimes not located where they should be in the “Instructions” sheets and can be difficult to find) or constructed according to rigid formulas.

Box 3 requires a code (from the “Appendix A” list) specifying the type of entry. For most people in the stringed instrument industry, this depends on whether the shipment will be subject to “FORMAL” or “INFORMAL” entry clearance procedures. If the import shipment has a value in excess of $2,000.00 or requires any type of license or species-specific permit it will be a formal entry and the code will be “01” (“Consumption Entries, Free and Dutiable”); if under $2,000.00 it will be informal and use the code “11” (“Informal Entries, Free and Dutiable”), but only if the shipment does not require a license or species-specific permit.

When declaring the Port of Entry in box 5, instead of the port name a 4-digit numerical code must be entered from a list.

Box 26 requires you to devise a unique code for the foreign manufacturer who made the products in the shipment. This code can be up to 15 characters long and is composed of 5 sections based on words and numbers derived from the manufacturer’s address in compliance with the 5 pages of instructions available as a Microsoft Word document.

The most troublesome section is box 4, where an 11-digit “Entry Number” needs to be generated for each shipment according to a complex formula, with the first 3 digits being a proprietary “Entry Filer Code” which must have been previously issued to you by U.S. Customs (see the following discussion).

SECTION 8
(For 3-177 imports & exports, 3461 imports, PPQ-505 imports, and others)
OBTAINING THE 3-DIGIT “ENTRY FILER CODE” NEEDED IN COMPUTING THE NUMBER FOR FORM 3177-BOX 6, FORM 3461-BOX 4, and PPQ-505-BOX 2

For any shipment to be cleared it must have a unique 3 character (alphabetic, numeric, or alphanumeric) Entry Filer Code as assigned by CBP to all licensed brokers or importers/exporters. This code is then always used as the first three characters of a special 11 digit number which must be computed according to an extremely complex formula for each shipment. CBP will assign this Entry Filer Code to professional brokers and large volume importers, but unfortunately for most small businesses the “large volume” threshold is defined as at least 15 shipments per month with a minimum annual value of $1,000,000.00! The only exception for smaller entities is if they already own a special Automated Broker Interface (ABI) software program used in electronic (internet) filings, one not available directly from Customs but through independent vendors and at a cost of approximately $50,000.00.

For smaller businesses that still prefer to do their own Customs clearance paperwork without hiring a broker or buying the ABI software, an alternate procedure for getting a Customs-issued Entry Filer Code number is (supposedly) available (see the above link):

Title 19: Customs Duties
   PART 142—ENTRY PROCESS
      Subpart A—Entry Documentation
         § 142.3a Entry numbers.
            (e) Alternative procedure. If an importer does not have an assigned entry filer code, or if the Assistant Commissioner,             Office of International Trade, or his designee, in accordance with paragraph (d) of this section refuses to allow use of an
            assigned entry filer code, the importer or broker shall obtain forms with a CBP assigned pre-printed machine readable             entry number with a computed check digit. These forms will be available for sale by CBP and must be obtained and used             before the merchandise may be released from CBP custody.

Although this “alternative procedure” is technically one that can be used to get single-shipment entry filer code numbers, in actual practice very few CBP agents or employees are even aware that it exists. Normally these are issued for one-time-only use, such as when a shipment has arrived at the port, or is brought in by a traveler, and needs to be cleared quickly. As long as the item is otherwise legally admissible a number can be purchased and issued on the spot to help in immediately clearing it through Customs. Multiple use is discouraged but not actually prohibited, but CBP is not at all friendly toward the idea of individuals or small businesses using it to repeatedly clear shipments.

According to a Customs ABI Client Representative we spoke to in Washington, DC, if it’s discovered that this rarely used courtesy service is being “abused” for regular commercial shipments the agency will take steps to have the regulations amended to end that practice.

For anyone who cares to try, you must first locate your shipment’s port of entry, then call that port’s Broker Permit and License Administration and ask to purchase “entry forms with a CBP-assigned pre-printed machine readable entry number and computed check digit”. Request that a filer code be issued, and that it “be cleared with headquarters”. If refused, which is probable since most agents aren’t familiar with issuing filer codes, ask to speak with the “BMO” (Broker Management Officer) and repeat the request. Good luck!

ANOTHER OPTION: In order to file your own paperwork and bypass paying for brokerage services, for a nominal fee it’s possible to file electronically through vendors who have already bought ABI software and possess a CBP-issued Entry Filer Code number of their own. This is supposedly cheaper than using a broker, and there’s a list of these vendors on the CBP Automated Systems Home Page; click on the link for Automated Broker Interface (ABI) and begin shopping for a vendor.

This ABI Software Vendors List and introductory letter opens as a Word document. Keep in mind that using a vendor’s ABI software program means that you will not be in direct contact with CBP if or when issues arise. For dealing with CBP directly, you would need to have your own ABI software, or at least your own CBP-issued Entry Filer Code Number. Otherwise, it’s back to just using a standard brokerage service.

All vendors on the list have passed stringent tests to be approved but some are better or cheaper than others, so contact a number of them and ask questions. Those vendors with the most options available will also be the most expensive, so select one who has only the features your business really needs.

Since the newest CBP system for handling entry summaries is “ACE” and it’s being phased in to be mandatory within the next year or two, choose a vendor who already has this program (or ask if they will be adding it soon). It would be easier to start with ACE than to learn an older system and then be forced to switch and relearn later. Also, Make sure a vendor has the “ISF” (Importer Security Filing) feature.

Woe unto them who decree unrighteous decrees, and who write grievousness which they have prescribed… Isaiah 10:1

SECTION 9
(For all exports)
U.S. CENSUS BUREAU REGULATIONS AND
POSTAL CUSTOMS DECLARATION FORM 2976-A

It is now unavoidably necessary that Electronic Export Infor¬mation (EEI) must be filed with the U.S. Census Bureau through an “Automated Export System” (AES) on their “AESDirect” website when sending anything out of the U.S. (per Schedule B Export Codes) and the shipment is:

1) Valued at more than $2,500.00 or
2) Requires an export license under U.S. law (such as an FWS Import/Export Permit/License).

Once the EEI has been submitted, AES provides an alphanumeric Internal Transaction Number (ITN), which confirms that EEI was successfully filed.

Mailpieces presented to the Postal Service™ must bear a Proof of Filing Citation (PFC), which consists of the letters “AES” followed by the ITN. Each shipment also needs to have a 17-character “Shipment Reference Number” (SRN) generated according to very complex rules and formulas. When filing on-line as a U.S. based exporter shipping through the U.S. Mail, for “Port of Export” just enter: 8000.

If the value is less than $2,500.00 and no license (such as a USFWS Import/Export Permit/License) is required, use either of these two EEL codes when filling out the usps.com Shipping Form, the paper postal Customs Form No. 2976-A (line 11, Exemption or Exclusion Legend/EEL), Proof of Filing Citation/PFC), or the PayPal Shipping customs declaration form:

Exemption for Shipments to Canada: NOEEI 30.36
Exemption for Low-Value Shipments: NOEEI 30.37(a)

BUT, to repeat the bad news yet again…aside from being too complicated for small businesses to deal with, import and export paperwork will not receive a PFC unless the submission also includes as part of form’s Block 11 number a unique 3 character Entry Filer Code as assigned by CBP (as mentioned earlier). This number is available only to professional brokers and large volume importers, so individuals and small businesses are forced to pay for brokerage services or to use an ABI vendor service (see preceding section).

It’s tempting for small businesses to just avoid dealing with all the hassle and expense by disregarding the entire system and hoping to escape notice, declaring false export values of under $2,500.00, or by splitting larger orders into multiple small shipments. Ignoring the system and falsifying information are illegal and will get you in deep trouble. It’s not illegal to split a large shipment into smaller lots – just make sure no species-specific permit/license is required (as for wildlife and plant materials) and then be sure to ship them at least 10 days apart and invoice each box separately. Shipments sent too close together and to the same address will probably be noticed and aggregated at the POE into a single “installment” shipment with a combined value requiring formal entry procedures, the same as if intended to be handled that way:

3. Installment Shipments [on p. 37]. Installments of a shipment covered by a single order or contract and shipped from one consignor to one consignee may be included in one invoice if the installments arrive at the port of entry by any means of transportation within a period not to exceed 10 consecutive days.

SECTION 10
(For imports and exports)
“HTS” (HARMONIZED TARIFF SCHEDULE) AND “SCHEDULE B”
ITEM CODE CLASSIFICATIONS

All, and this means ALL, items imported or exported must be assigned very specific identification numbers according to nationally or internationally recognized tariff systems. Both the 10 digit Harmonized Tariff Schedule (HTS) and Schedule B classification numbers are based on simpler 4 and 6 digit “HS” numbers as used internationally and by NAFTA (and not shown here). In the U.S. only the 10 digit numbers may be used, although there are two separate lists for import and export classifications in which the numbers for any given item may or may not be the same (the export system contains more detailed classification categories, while the import system is slightly simpler).

In practice, when exporting from the U.S. it’s acceptable when filing the AES/Census Bureau’s EEI to use either the HTS or the Schedule B code numbers; but when importing into the U.S. only the HTS numbers can be used on any Customs or FWS documents (that’s just the way it is – it doesn’t have to make sense!). The below links on the alphabetical lists may only get you to the basic 6-digit code, in which case you would use that information to search for the full 10-digit number by “drilling down” through the successive section and chapter links:

HTS (import or export) section and chapter listing.
HTS (import or export) alphabetical list of items.
AES Schedule B (export only) section and chapter listing.
AES Schedule B (export only) alphabetical list of items.

The first two digits in any classification number refer to the regulations Chapter for an item (“03” is Chapter 3, “92” is Chapter 92, etc.). Some specific import or export HTS and corresponding export only Schedule B item classifications are:

Import or export HTS: 0507.10.0000 (export only Schedule B: 0507.10.0000): Only mastodon or fossil ivories but not elephant, unworked or simply prepared but not cut to shape, and scraps from these allowable ivories.

Import or export HTS: 0507.90.0000 (export only Schedule B: 0507.90.0000): Tortoiseshell, horns, antlers, hooves, claws, and beaks, unworked or simply prepared but not cut to shape, and scraps. WARNING: FWS may or may not allow these to be imported/exported, so make sure you know what the law is on any given species.

Import or export HTS: 0508.00.0000 (export only Schedule B: 0508.00.0000): Shells of molluscs, unworked or simply prepared but not cut to shape, and shell scraps.

Import or export HTS: 4420.90.8000 (export only Schedule B: 4420.90.8000):
Inlaid wood articles.

Import or export HTS: 9202.90.2000 (export only Schedule B: 9202.90.3000): Acoustic guitars, under $100 excluding the value of the case.

Import or export HTS: 9202.90.4000 (export only Schedule B: 9202.90.3000): Acoustic guitars, over $100 excluding the value of the case.

Import or export HTS: 9207.90.0040 (export only Schedule B: 9207.90.0040): Amplified or electric guitars.

Import or export HTS: 9209.92.6000 (export only Schedule B: 9209.92.0000): Bows, and any parts for bows or bowed string instruments.

Import or export HTS: 9209.92.8000 (export only Schedule B: 9209.92.0000): Guitar parts and accessories (including cut inlays or instrument parts).

Import or export HTS: 9601.10.0000 (export only Schedule B: 9601.10.0000): Worked ivory and articles of ivory (only mastodon or fossilized ivories, but not elephant).

Import or export HTS: 9601.90.2000 (export only Schedule B: 9601.90.0000): Articles of worked shell (how Duke of Pearl products are classified).

Import or export HTS: 9601.90.6000 (export only Schedule B: 9601.90.0000): Articles of tortoiseshell, bone, horn, antlers, hoof, quill, coral, or any combination thereof. WARNING: FWS may or may not allow these to be imported/exported, so make sure you know what the law is on any given species.

Import or export HTS: 9606.29.4000 (export only Schedule B: 9606292000):
M.O.P. buttons.

Import or export HTS: 9706.00.0020 (export only Schedule B: 9706.00.0000): Antiques, silverware, over 100 years old.

Import or export HTS: 9706.00.0060 (export only Schedule B: 9706.00.0000): Antiques (not furniture), of any material other than silver, over 100 years old.

SECTION 11
(For all exports)
FILLING OUT U.S. CUSTOMS/NAFTA “CERTIFICATE OF ORIGIN” FORMS

As a U.S. based manufacturer of shell inlays or parts which you are then supplying to a guitar manufacturer in the North American Free Trade Agreement (NAFTA) countries of Canada or Mexico: Here's what needs to be done on your Certificate of Origin (CBP_Form_434.pdf):

Box 2: Enter dates of your choice -- a 1 year maximum is allowed (such as 5-12-2009 to 5-11-2010)

Box 3: Your company’s name, address, and Tax I.D. number

Box 5: A list of specific parts, which should also include: types of shell used (both the common and Latin names), a notation that the shell is wild-caught or farmed, and the shell’s country of origin. For example: “Fretboard inlays of wild-caught Mexican Green abalone (Haliotis fulgens)”.

Box 6: Enter this number for all shell parts: 9209.92.0000

Box 7: Enter for all: B

Box 8: Enter for all: Yes

Box 10: Enter for all: US

Box 11a-f: Your company’s info & signature

Here’s an example of how an item’s tariff classification changes as it moves through various stages of manufacture: although the raw shell materials used in making products for Duke of Pearl originate in various countries as HTS item 0508.00.0000 (“unworked shell”), processing it in our S. Korean, Indonesian, Vietnamese, or Chinese shops converts it into another form which needs to be imported into the U.S. as an HTS 9601.90.2000 item (“worked shell”). But once our products have been again remanufactured by your company into cut guitar or other stringed instrument inlay shapes at a U.S. facility the new items are now once more converted for export purposes into a Schedule B 9209.92.0000 article (“guitar parts and accessories”). This last conversion is all that counts as far as the classification for parts made by your manufacturing company, so at that point if exporting your product there is no need to mention Duke of Pearl in your Customs paperwork.

If you are supplying parts to a U.S. based guitar or instrument manufacturing company they will not need Customs paperwork from you, since the inlays you supply are going to be remanufactured or incorporated at their facility into yet another new product (an instrument) which generates yet a different converted tariff classification, allowing them to fill out any export form themselves as follows:

As a U.S. manufacturer of guitars (or any other instruments) using shell inlays which are being supplied to you by another company: Here's what needs to be done on your Certificate of Origin when shipping to the NAFTA countries of Canada or Mexico:

Box 1: Your guitar company’s name, address, and Tax I.D. number

Box 2: Enter dates of your choice — a 1 year maximum is allowed (such as 5-12-2009 to 5-11-2010)

Box 3: Enter “Same” (since your guitar company is both the “Exporter” and the “Producer” of your finished instruments)

Box 4: Your foreign customer’s info

Box 5: A list of the instruments being shipped

Box 6: The export Schedule B number 9202.90.4000 (for acoustic guitars) or 9207.90.0040 (for amplified or electric guitars)

Box 7: Enter for all: B

Box 8: Enter for all: Yes

Box 9: Net costs calculated as per federal/NAFTA regulations and formulas

Box 10: Enter for all: US

Box 11a-f: Your guitar company’s info & signature

SECTION 12
WHERE TO GET INFORMATION ABOUT REGULATION AND
ENFORCEMENT OF CITES-RELATED ISSUES AND PROCEDURES

GOVERNMENT OFFICES TO CONTACT FOR INFORMATION ABOUT CITES:

Type of information	Office to contact
(a) *CITES administrative and management issues:* (1) CITES documents, including application forms and procedures; lists of registered scientific institutions and operations breeding Appendix-I wildlife for commercial purposes; and reservations (2) Information on the CoP (3) List of CITES species (4) Names and addresses of other countries' Management and Scientific Authority offices (5) Notifications, resolutions, and decisions (6) Standing Committee documents and issues (7) State and tribal export programs	U.S. Management Authority U.S. Fish and Wildlife Service 4401 North Fairfax Drive, Suite 212 Arlington, Virginia 22203 Toll Free: (800) 358-2104/permit questions Tel: (703) 358-2095/other questions Fax: (703) 358-2281/permits Fax: (703) 358-2298/other issues E-mail: managementauthority@fws.gov Website: http://www.fws.gov/international and http://www.fws.gov/permits
(b) *Scientific issues:* (1) Animals and Plants Committees documents and issues (2) Findings of non-detriment and suitability of facilities, and other scientific findings (3) Listing of species in the Appendices and relevant resolutions (4) Names and addresses of other countries' Scientific Authority offices and scientists involved with CITES-related issues (5) Nomenclatural issues	U.S. Scientific Authority U.S. Fish and Wildlife Service 4401 North Fairfax Drive, Suite 110 Arlington, Virginia 22203 Tel: (703) 358-1708 Fax: (703) 358-2276 E-mail: scientificauthority@fws.gov Website: http://www.fws.gov/international
(c) Wildlife clearance procedures: (1) CITES replacement tags (2) Information about wildlife port office locations (3) Information bulletins (4) Inspection and clearance of wildlife shipments involving import, introduction from the sea, export, and re-export, and filing a Declaration of Importation or Exportation of Fish or Wildlife (Form 3–177) (5) Validation, certification, or cancellation of CITES wildlife documents	Law Enforcement U.S. Fish and Wildlife Service 4401 North Fairfax Drive, Mail Stop LE–3000 Arlington, Virginia 22203 Tel: (703) 358-1949 Fax: (703) 358-2271 Website: http://www.fws.gov/le
(d) APHIS plant clearance procedures: (1) Information about plant port office locations (2) Inspection and clearance of plant shipments involving: (i) Import and introduction from the sea of living plants (ii) Export and re-export of living and nonliving plants (3) Validation or cancellation of CITES plant documents for the type of shipments listed in paragraph (d)(2) of this section	U.S. Department of Agriculture APHIS/PPQ 4700 River Road Riverdale, Maryland 20737–1236 Toll Free: (877) 770-5990/permit questions Tel: (301) 734-8891/other CITES issues Fax: (301) 734-5786/permit questions Fax: (301) 734-5276/other CITES issues Website: http://www.aphis.usda.gov/plant_health
(e) CBP plant clearance procedures: (1) Inspection and clearance of plant shipments involving: (i) Import and introduction from the sea of nonliving plants (ii) Import of living plants from Canada at designated border ports (7 CFR 319.37–14(b) and 50 CFR 24.12(d)) (2) Cancellation of CITES plant documents for the type of shipments listed in paragraph (e)(1) of this section	Department of Homeland Security U.S. Customs and Border Protection Office of Field Operations Agriculture Programs and Liaison 1300 Pennsylvania Avenue, NW, Room 2.5 B Washington, DC 20229 Tel: (202) 344-3298 Fax: (202) 344-1442
(f) General information on CITES: (1) CITES export quota information (2) CITES' Guidelines for transport and preparation for shipment of live wild animals and plants (3) Information about the Secretariat (4) Names and addresses of other countries' Management and Scientific Authority offices (5) Official documents, including resolutions, decisions, notifications, CoP documents, and committee documents (6) Official list of CITES species and species database (7) Text of the Convention	CITES Secretariat Website: http://www.cites.org

REGIONAL U.S. FISH & WILDLIFE INSPECTION OFFICES TO CONTACT FOR INFORMATION ABOUT
PERMITS AND LICENSES:

Anchorage -Designated Mail: P.O. Box 190045 Anchorage, Alaska 99519 Physical: 4600 Postmark Drive, Suite NB207 Anchorage, Alaska 99502 Phone: (907) 271-6198 Fax: (907) 271-6199	Dunseith RR1, Box 115 Dunseith, North Dakota 58329 Phone: (701) 263-4462 Fax: (701) 263-4463	Newark - Designated 1210 Corbin Street, 1st Floor Elizabeth, New Jersey 07201 Phone: (908) 787-1321 Fax: (908) 787-1334
Atlanta - Designated 4341 International Parkway, Suite #104 Atlanta, Georgia 30354 Phone: (404) 763-7959 Fax: (404) 366-7031	El Paso Mail: P.O. Box 10061 El Paso, Texas 79995 Physical: 3600 E. Paisano (BOTA), #142A El Paso, Texas 79905 Phone: (915) 872-4765 Fax: (915) 532-4776	Nogales 9 N. Grand Avenue, #2229 A Nogales, Arizona 85621 Phone: (520) 287-4633 Fax: (520) 287-3877
Baltimore - Designated Mail: P.O. Box 778 Hanover, Maryland 21076 Physical: BWI Air Cargo Complex Building F, Suite 1500 Baltimore, Maryland 21240 Phone: (410) 694-9590 Fax: (410) 694-9594	Guam 415 Chalan San Antonio Road Baltej Pavillion, Suite 209 Tamuning, Guam 96913 Phone: (671) 647-6064 Fax: (671) 647-6068	Pembina 10980 Interstate 29 North @ Border Pembina Port of Entry Pembina, North Dakota 58271 Phone: (701) 825-6366 Fax: (701) 825-6368
Blaine 9925 Pacific Highway Blaine, Washington 98230 Phone: (360) 332-5388 Fax: (360 )332-3010	Honolulu- Designated 3375 Koapaka St., #B296 Honolulu, Hawaii 96819 Phone: (808) 861-8525 Fax: (808) 861-8515	Port Huron 2321 Pine Grove Avenue, Suite 2201 Port Huron, Michigan 48060 Phone: (810) 985-9160 Fax: (810) 985-9163
Boston - Designated 70 Everett Avenue, Suite 315 Chelsea, Massachusetts 02150 Phone: (617) 889-6616 Fax: (617) 889-1980	Houston - Designated 16639 W. Hardy Houston, Texas 77060 Cargo Office Phone: (281) 230-7225 Fax: (281) 230-7227 Seaport Office Phone: (713) 673-0805 Fax: (713) 673-0830	Portland - Designated P.O. Box 55206 Portland, Oregon 97238 Phone: (503) 231-6135 Fax: (503) 231-6133
Brownsville 1500 E. Elizabeth St. #239 Brownsville, Texas 78520 Phone: (956) 504-2035 Fax: (956) 504-2289	Laredo 220 W. Hillside, Suite #3 Laredo, Texas 78041 Phone: (956) 726-2234 Fax: (956) 726-3718	Puerto Rico GSA Center 651 Federal Dr., Suite 372-12 Guaynabo, Puerto Rico 00965 Phone: (787) 749-4338 Fax: (787) 749-4340
Buffalo 405 N. French Road #120 B Amherst, New York 14228 Phone: (716) 691-3635 Fax: (716) 691-3990	Los Angeles -Designated 370 Amapola Ave., #114 Torrance, California 90501 Phone: (310) 328-6307 Fax: (310) 328-6399	San Diego 610 West Ash St., Suite 1103 San Diego, California 92101 Phone: (619) 557-5794 Fax: (619) 557-2997
Champlain 237 West Service Road Champlain, New York 12919 Phone: (518) 298-4825 Fax: (518) 298-4708	Louisville- Designated 601 W. Broadway, Suite 115-A Louisville, Kentucky 40202 Phone: (502) 582-5989 Fax: (502) 582-5981	San Francisco - Designated 1633 Old Bayshore Highway, Suite. 248 Burlingame, California 94010 Phone: (650) 876-9078 Fax: (650) 876-9701
Chicago - Designated 10600 Higgins Road, Suite 200 Rosemont, Illinois 60018 Phone: (847) 298-3250 Ext: 10 Fax: (847) 298-7669	Memphis- Designated 3150 Tchulahoma Rd., Suite #6 Memphis, Tennessee 38118 Phone: (901) 544-3694 Fax: (901) 544-3696	Seattle- Designated 19339D 28th Avenue South Seattle, Washington 98188 Phone: (206) 764-3463 Fax: (206) 764-3485
Dallas/Ft. Worth - Designated Mail: P.O. Box 610069 DFW Airport, Texas 75261 Physical: 1639 West 23, Suite 105 DFW Airport, Texas 75261 Phone: (972) 574-3254	Miami - Designated Mail: 10426 NW 31 Terrace Miami, Florida 33172 Physical: 6105 NW 18th St., Room 405 Miami, Florida 33122 Phone:(305) 526-2994 or 2620 Fax:(305) 526-7480	Sweetgrass P.O. Box 165 39825 Interstate 15 Sweetgrass, Montana 59484 Phone:(406) 335-4350 Fax:(406) 335-4351
Denver Denver International Airport P.O. Box 492098 Denver, Colorado 80249 Phone: (303) 342-7430 Fax: (303) 342-7433	Minneapolis/St. Paul 7150 Humphrey Drive, Suite 2186 Minneapolis, Minnesota 55450 Phone: (612) 726-6302 Fax: (612) 726-6303	Tampa 8710 West Hillsborough Ave., #366 Tampa, Florida 33615 Phone: (813) 348-1500 or 1523 Fax: (813) 348-1534 or (813) 872-7869
Detroit 2599 World Gateway Place, Bldg. 830 Detroit, Michigan 48242 Phone: (734) 247-6800 Fax: (734) 247-6805	New Orleans - Designated 2424 Edenborn, Room 100 Metairie, Louisiana 70001 Phone: (504) 219-8870	Dulles 23703-C Air Freight Lane, Suite 210 Dulles, Virginia 20166 Phone: (703) 661-8560 Fax: (703) 661-8561
New York - Designated 70 E. Sunrise Hwy. #419 Valley Stream, New York 11580 Phone: (516) 825-3950

Last Updated: August 23, 2010

SECTION 13
HOW TO DETERMINE WHICH CITES WILDLIFE AND PLANT
DOCUMENTS ARE NEEDED

23.18 What CITES documents are required to export Appendix-I wildlife materials (CFR 50 § 23.18)?
Answer the questions in the following decision tree to find the section in this part that applies to the type of CITES document you need to export Appendix-I wildlife. See §23.20(d) for CITES exemption documents or §23.92 for specimens that are exempt from the requirements of CITES and do not need CITES documents.

Decision Tree for Export of Appendix - I Wildlife

§ 23.19 What CITES documents are required to export Appendix-I plants (CFR 50 § 23.19)?
Answer the questions in the following decision tree to find the section in this part that applies to the type of CITES document you need to export Appendix-I plants. See §23.20(d) for CITES exemption documents or §23.92 for specimens that are exempt from the requirements of CITES and do not need CITES documents.

SECTION 14
SOME USEFUL INTRODUCTORY WEBSITES

THE LACEY ACT: FAQ’S
http://www.eia-global.org/PDF/EIA.LaceyReport.English.pdf

FULL DETAILS ON APHIS'S LACEY REQUIREMENTS
http://www.aphis.usda.gov/plant_health/lacey_act/index.shtml

Of making many books there is no end; and much study is a weariness of the flesh. Ecclesiastes 12:12

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