58.1 37
APPEARANCE
U.S. FISH AND WILDLIFE SERVICE – VIOLATIONS OF TITLES 16, 18 AND 25, UNITED 42
STATES CODE AND TITLE 50, CODE OF FEDERAL REGULATIONS
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RULE 1.1 - ADOPTION OF RULES: EFFECTIVE DATE
(a) Pursuant to Rule 57 of the Federal Rules of Criminal Procedure, the following
criminal rules of the United States District Court for the Eastern District of Pennsylvania
are adopted this 29th day of February, 1972 1 and shall become effective the 1st day of
March, 1972. These rules shall apply to all cases pending on that date to the extent feasible.
(b) These Rules may be cited and referred to as "Local Criminal Rules" or
abbreviated as "L.C.R."
(c) Unless otherwise indicated, reference to these rules to the Judge shall mean
the Judge to whom the case is assigned, (or in his or her absence the Emergency Judge) and
to the Magistrate Judge shall mean the United States Magistrate Judge to whom the case is
assigned.
(d) Unless otherwise indicated, reference in these Rules to the United States
Attorney shall also mean the Assistant United States Attorney, Assistant Attorneys General
or Special Government Attorneys assigned to a case.
(e) In cases where defendants proceed pro se, reference to defendant's attorney
applies to defendant.
Effective January 1, 1998.
1 Note: Except as otherwise noted.
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RULE 1.2 - APPLICABILITY AND EFFECT OF LOCAL RULES
The following Local Civil Rules shall be fully applicable in all criminal proceedings: Rule
5.1, Appearances; Rule 5.1.2, Electronic Case Filing; Rule 7.1(g), Motions for
Reconsideration or Reargument; Rule 7.4, Notices, Stipulations; Rule 40.1.1, Emergency
Judge; Rule 40.3, Calendar Control, Operating Procedures; Rule 40.3.1, Calendar Review;
Rule 43.1.l, Attachments for Witnesses; Rule 45.1, Subpoenas for Trial; Rule 45.1.1,
Appearance of a Judicial Office of this Court as a Character Witness; Rule 48.1(a),
Challenges to Array; Rule 67.1, Bail, Sureties and Security; Rule 72.1, United States
Magistrate Judges; Rule 83.3, Broadcasting, Filming and Recording in Courtroom and
Appurtenant Areas; Rule 83.5, Admissions to Practice; Rule 83.5.2, Associate Counsel; Rule
83.6, Rules of Disciplinary Enforcement; and Rule 83.6.1, Expedition of Court Business.
Effective January 1, 1998
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RULE 6.1 - THE GRAND JURY
(a) Empaneling of Grand Jury. The emergency judge shall empanel and charge
each grand jury at the commencement of its terms, and provide whatever services it may
require including a convenient place for its deliberations.
(b) Assignment of Legal Proceedings Arising Out of Grand Jury Matters. At
the time of issuance of the initial affidavit, notice, motion, or grand jury subpoena, the
United States Attorney shall designate in the initial document the matter to which it relates.
This designation shall be accomplished by an endorsement of the subpoena as follows:
In Re: Grand Jury Matter (Calendar Year); (Numerical designation of the matter);
SAMPLE: In Re: Grand Jury Matter 80-1
The subpoena shall note that any affidavit, motion or other document filed of record
with the clerk of court concerning a grand jury matter shall bear that numerical designation
in the caption of the grand jury matter and that papers filed by any person with respect to
any grand jury matter are subject to the secrecy requirements of Rule 6.1(c). At the time of
the filing of the initial affidavit, motion, notice, or other document arising out of a grand
jury matter, the clerk of court shall assign at random from the block of assignment cards
said initial affidavit, notice, motion or other document to the calendar of a judge of this
court. All grand jury matters arising out of an investigation of the same criminal
transaction or series of transactions are deemed related. The assignment of grand jury
numerical designations by the United States Attorney shall be in accordance with the
written statement of policy of the United States Attorney on file in the office of the clerk of
court. Each document filed after the initial document relating to the same grand jury
matter shall be deemed related and assigned to the calendar of the judge to whom the
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initial document was assigned. The relationship shall be determined by the clerk on the
basis of the numerical designation which shall be set forth in the caption of grand jury
matter.
In order to assure that each particular witness or party before the grand jury has
secrecy in respect to the witness’s own matters, the grand jury docket shall identify, as
stated above, each matter only by calendar year and numerical designation of the
investigation; but in respect to each separate witness or party whose matter comes before
the court, all of the affidavits, notices, motions, orders or other documents relating to that
witness or party shall be assigned a separate sequential case number by the clerk of court.
For Example:
80-4-1 (This is the 4th grand jury matter for 1980.
Witness John Smith has been given the designation "1"
in regard to all matters concerning him before this
particular grand jury. Only he and his attorney and the
United States Attorney will receive copies of documents
pertaining to his matters so designated.)
80-4-2 (Same as above except that these matters concern a
different witness or party, designated by the clerk as "2").
80-4 (This is a general designation for any matters in respect
to grand jury #4 that do not particularly apply only to a
separate witness or party.)
1. In the case of motions filed by the government to preclude notice
under 18 U.S.C. § 2705(b), the attorney for the government may take such a motion to the
duty magistrate judge.
(c) Grand Jury Secrecy. In legal proceedings relating to grand jury
investigations, including, but not limited to, motions to quash, limit, modify or enforce a
grand jury subpoena or for a protective order with respect thereto, motions to furnish
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identifying characteristics to the grand jury or its agent, or to compel testimony before the
grand jury, and motions for an order of immunity:
1. The United States (whether acting as a party or as counsel for the
grand jury) shall not disclose the identity of any grand jury witness, person under
investigation or specific grand jury investigative subject area in any affidavit, motion or
other paper filed in the public record, nor in the caption thereof, except in camera, under
seal, or where the paper is already subject to an order of impoundment; provided, however,
that the United States may disclose in such affidavit, motion or other paper, the identity of a
grand jury witness or person under investigation who, pursuant to leave of court, has
previously disclosed his, her or its own identity in relation to the same proceedings in any
publicly filed paper, or where such disclosure has been expressly authorized by an order of
this Court; and provided further that this rule shall not prohibit attorneys for the
government from the use of such matters as are necessary for the performance of their
duties in accordance with Federal Criminal Rule 6(e).
2. No person shall disclose in any affidavit, motion or other paper filed in
the public record, nor in the caption thereof, the identity of any grand jury witness, or
person under investigation or specific grand jury investigative subject area, other than that
of himself, herself, or itself unless in camera, under seal, or where the paper is already
subject to an order of impoundment, except where the grand jury witness or person under
investigation has, pursuant to leave of court, disclosed his, her or its own identity in
relation to the same proceedings in any publicly filed paper, or where such disclosure has
been expressly authorized by an order of this Court.
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3. In order to facilitate implementation of this rule, any motion, affidavit
or other paper relating to matters or proceedings before the grand jury may be filed
anonymously or pseudonymously, with the name or information thus protected provided
to the Court in camera and under seal.
4. In order to facilitate implementation of this rule, and to avoid
inadvertent disclosures of the identity of any grand jury witness, person under
investigation, or specific grand jury investigation subject area, all motions, affidavits or
other papers relative to legal proceedings relating to grand jury investigations shall be
automatically impounded, i.e. filed under seal, by the Clerk of Court. The Clerk of Court
shall thereupon forthwith transmit the motions, affidavits, or other papers to the assigned
judge. Any grand jury witness or person under investigation who desires to have his, her
or its name disclosed upon the public record shall file with the assigned judge a motion for
authorization to make such disclosure. Leave to disclose shall be freely given, subject to
appropriate provision protecting grand jury secrecy as to other persons and matters.
(d) Deputy Clerk to Assist Grand Jury. The Clerk of Court shall designate a
deputy to serve as Clerk to the Grand Jury. Such Deputy Clerk shall keep a docket and
appropriate records relating to grand jury proceedings and assist in providing whatever
services the Grand Jury may require.
(e) Return of Grand Jury Indictments. Grand Jury returns shall be made to the
duty magistrate judge and in his or her absence, to the emergency judge.
Effective September 18, 2018
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RULE 10.1 - ARRAIGNMENT AND PLEA
Arraignments shall be conducted before a Magistrate Judge or Judge. The United
States Attorney shall furnish the Courtroom Deputy of the Judge with a copy of the
indictment for each defendant and the name of the defendant’s attorney if known. The
Courtroom Deputy shall thereupon send a copy of the indictment or information to the
defendant and said attorney together with notice of the time and place of the arraignment,
unless the United States Attorney has reason to believe that defendant will become a
fugitive, in which event a copy shall be served upon the defendant within a reasonable time
after his or her arrest and prior to his or her arraignment before a Magistrate Judge or a
Judge.
When, at the arraignment before a Magistrate Judge, a defendant expresses a desire
to plead guilty, the Magistrate Judge shall refer this matter immediately to the Judge, or in
his or her absence to the Emergency Judge for the purpose of accepting the plea only.
At any preliminary hearing before a Magistrate Judge, the defendant shall be given a
copy of the complaint.
Effective January 1, 1998.
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RULE 12.1 - PRETRIAL MOTION PRACTICE
Motions required under Fed.R.Crim.P. 12 to be raised prior to trial shall be filed
within fourteen (14) days after arraignment, unless otherwise provided by the Court. All
motions shall be filed with the Clerk of Court, copies being sent to the Deputy Clerk of the
Judge, and shall be accompanied by a brief or memorandum of law containing a concise
statement of the legal contentions and authorities relied upon in support of said motion. A
copy of each such motion and memorandum or brief shall be filed of record and served
upon the opposing party. Within seven (7) days after the receipt of such motion, any party
desiring to oppose such motion shall file and serve on the opposing party in the
aforementioned manner an answer and a legal memorandum in opposition thereto. If the
Court determines that oral argument is necessary, it shall advise counsel of the date and
time that such argument is to be provided.
Effective January 1, 1998.
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RULE 16.1 - PRETRIAL DISCOVERY AND INSPECTION
(a) Pretrial Conference. Within seven (7) days after the arraignment, or within
such other period as the Court may set, counsel for the Government and for the defendant
shall confer; and at such conference ("counsel's conference"), upon request of the
defendant, the Government shall comply, or if compliance is then impossible, agree to
comply as soon as possible with the requirements of Fed.R.Crim.P. 16(a)(1)(A-D).
(b) Disclosure of Evidence by the Defendant. If at the counsel's conference
the defendant requests disclosure under subparagraph (a)(1)(C) or (D) of Fed.R.Crim.P. 16,
upon compliance with such request by the Government, the defendant, upon request of the
Government, shall comply with Fed.R.Crim.P. 16(b)(1)(A) and (B).
(c) Regulation of Discovery.
(1) If, in the judgment of the attorney for either party, the requested
discovery is beyond the scope of Rule 16 or if the attorney has reasonable grounds to
believe that a protective order should be entered regarding such a discovery request,
disclosure may be declined. A declination of any requested disclosure shall be in writing,
directed to opposing counsel, and shall specify the types of disclosure that are declined and
the reasons therefor.
(2) If the defendant or the Government desires to contest such
declination or seeks additional discovery not specified in these rules, its attorney shall
promptly confer with opposing counsel with a view to satisfying these requests in a
cooperative atmosphere without recourse to the Court.
(3) In the event that the conference prescribed by subparagraph (c)(2)
does not resolve the dispute concerning discovery of items not specifically mentioned in
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Rule 16, the party seeking disclosure may file a motion for such additional discovery on or
before the date set for filing of pretrial motions under Fed.R.Crim.P. 12 and Local Rule 12.1.
If the requested discovery materials are specifically mandated by Rule 16, then the
declining party must move for a protective order on or before the date set for filing of
pretrial motions under Fed.R.Crim.P. 12 and Local Rule 12.1. The motion papers for
additional discovery or a protective order shall contain:
(A) the statement that the prescribed counsel's
conference was held;
(B) the date of said conference;
(C) the name of opposing counsel with whom the
conference was held;
(D) the statement that agreement could not be
reached concerning the discovery or inspection
that is the subject of the motion; and
(E) a request for a hearing to resolve the dispute, or
a waiver of argument and a suggestion that the
Court rule by reference to the motion papers
alone, or a request that the party be permitted to
make its showing, in whole or in part, in the form
of a written statement to be inspected by the
Judge alone. The answer to any motion under
this subparagraph may contain a request for a
hearing, or a statement of that party's opposition
to any request for an ex parte showing.
(d) Failure to Comply. The failure of a party to comply with this Rule or with
Fed.R.Crim.P. 16 may be brought to the attention of the Court at any time, whereupon the
Court may take such action as is prescribed by Fed.R.Crim.P. 16(d), or such other action
that the Court deems proper under the circumstances.
Effective January 1, 1998.
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RULE 17.1.1 - STATUS CALLS AND PRETRIAL CONFERENCES: COMPLEX CASES
Each Judge may schedule status reports and pretrial conferences as he or she deems
appropriate. Attendance at such reports and conferences shall be mandatory and failure to
attend without just cause shall subject counsel to disciplinary proceedings.
If at any time, it appears to the Judge that the case is a complex one, the Judge may,
with the consent of the parties, adapt to the needs of the case pretrial techniques aimed at
simplifying the issues and reducing trial time, including but not limited to the taking of
depositions of expert or other witnesses, the filing of pretrial memoranda, and pretrial
identification and marking of all exhibits.
Effective January 1, 1998.
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RULE 24.1 - CONTACT WITH JURORS
(a) Before the trial of a case, no attorney, party or witness shall communicate or
cause another to communicate with anyone the lawyer, party or witness knows to be a
member of the venire from which the jury will be selected for the trial of the case.
(b) During the trial of a case, no attorney, party or witness shall communicate
with or cause another to communicate with any member of the jury.
(c) After the conclusion of a trial no attorney, party or witness shall
communicate with or cause another to communicate with any member of the jury without
first receiving permission of the Court.
Effective January 1, 1998.
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RULE 32.1 - LOAN OF PRESENTENCE INVESTIGATION REPORT TO U.S. PAROLE
COMMISSION AND U.S. BUREAU OF PRISONS
Any copy of a presentence report which the court makes available to the
United States Parole Commission or the Bureau of Prisons constitutes a confidential court
document and shall be presumed to remain under the continuing control of the court
during the time it is in the temporary custody of these agencies. Such copy shall be loaned
to the Parole Commission and the Bureau of Prisons only for the purpose of enabling those
agents to carry out their official functions and shall be returned to the court immediately
after such use.
Note: This rule is enacted in order to place a presentence report outside the "agency
record" definition set forth in United States v. Carson, 631 F.2d 1088 (D.C. Cir. 1980).
Effective January 1, 1998.
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RULE 32.2 - SENTENCE LIEN ON BAIL DEPOSIT
Whenever a defendant has been sentenced to pay a fine or a fine and costs, the
sentence shall constitute a lien in favor of the United States on the bail deposit, if any,
which can be removed only by the Judge.
Effective January 1, 1998.
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RULE 32.3 - PRESENTENCE INVESTIGATIONS AND TIME LIMITS
It is hereby ORDERED that the following standing order is adopted for use in
criminal cases in which sentences are imposed under the Sentencing Reform Act of 1984:
1. Sentencing will occur without unnecessary delay and not less than one
hundred (100) days following the date on which a defendant pleads guilty, nolo
contendere, or is found guilty, unless an individual judge directs that the sentence be
imposed on an earlier or later date.
2. At the time the presentence investigation and report are ordered, a
sentencing hearing date will be fixed by the sentencing judge; and, the attorney for the
Government will make available to the probation officer all investigative and file material
relevant to the case. The sentencing hearing date may be continued if necessary.
3. Not less than thirty-five (35) days before the sentencing hearing, the
probation officer must furnish the presentence report to the defendant, the defendant’s
counsel, and the attorney for the Government. The probation officer’s recommendation
for the sentence will not be disclosed unless directed by an individual judge.
4. Within fourteen (14) days after receiving the presentence report, the parties
shall deliver in writing to the probation officer, and to each other, any objections to any
material information, sentencing classifications, sentencing guideline ranges, and policy
statements contained in or omitted from the presentence report. If no objections will be
filed, the probation officer shall be so notified in writing within the aforesaid time limits.
Any objection not filed will be deemed waived unless the Court finds good cause for
allowing it to be raised.
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5. Should the attorney for the Government intend to file a motion for a
downward departure under the United States Sentencing Guidelines Section 5K1.1, or
under a statutory mandatory minimum, the probation officer will be notified in writing on
or before the submission date set for the filing of objections, and be provided with
whatever information supports the motion.
6. Not later than seven (7) days before the sentencing hearing, the probation
officer must submit the presentence report to the Court, together with an addendum
setting forth any unresolved objections, the grounds for these objections, and the
probation officer’s comments on the objections. At the same time, the probation officer
must furnish the revisions of the presentence report and the addendum to the defendant,
the defendant’s counsel, and the attorney for the government.
This rule takes into account the amendments to Rule 32 of the Federal Rules of
Criminal Procedure which have an effective date of December 1, 1994.
Effective January 1, 1998
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RULE 40.1 - PROCEEDINGS IN REMOVAL CASES
In cases where a defendant has been brought before the Magistrate Judge on a
warrant originating in another federal jurisdiction and the defendant has been ordered
held to this Court for removal to the originating jurisdiction pursuant to Rule 40, Federal
Rules of Criminal Procedure, the petition for removal by the United States Attorney shall be
presented to the Magistrate Judge who shall be authorized to issue a warrant or removal.
The petition and any order or warrant of removal by the Magistrate Judge may be by
minute order. In case of a defendant not in custody, the defendant shall be given a copy of
the order of removal, which copy shall specify the place of his or her required appearance
in the prosecuting jurisdiction.
Effective January 1, 1998.
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RULE 41.1 - WIRE INTERCEPTION AND INTERCEPTION OF ORAL COMMUNICATIONS
In addition to the procedural requirements of 18 U.S.C. § 2510 et seq., the following
procedures shall be followed in all criminal cases in which the Government has secured or
wishes to secure evidence pursuant to that statute:
(a) Filing and Docketing of Orders. Applications made, orders, and inventories
pursuant to 18 U.S.C. § 2518(8)(b) shall be filed with and docketed by the Clerk of Court.
The applications, orders and all inventories filed pursuant thereto and the dockets relating
thereto shall be retained by the Clerk of Court in a separate file which shall be impounded
and shall not be available for inspection except by order of Court. Disclosure of any fact
relating to such application, order or inventory to any person not authorized by the statute
or these rules to have access to them shall be a violation of these rules and shall be
punishable by contempt in accordance with 18 U.S.C. § 2518(8)(c).
(b) Assignment of Applications; Motions to Suppress
All applications for wire interceptions shall be assigned on a random basis to each
Judge of the Court, or in his or her absence the Emergency Judge, in accordance with the
provisions of Local Civil Rule 40.1. Any motion by an aggrieved party, as defined in 18
U.S.C. §2510(11), attacking the validity or sufficiency of an order authorizing or approving
the interception of a wire or oral communication issued by a Judge of this Court shall be
heard by the judge. Any other motion attacking such interception shall be heard by the
Judge to whom the case is assigned.
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(c) Transcription of Intercepted Communications. In any case involving the
interception of oral or wire communications, the Judge may by appropriate pretrial order
require the following:
(1) Disclosure to defense counsel within a reasonable time before trial of
the original recordings of such oral or wire communications together with transcripts
identifying the names of the persons who are speaking.
(2) As to any such oral or wire communication which the Government
proposes to use in court, the preparation by the Government of a detailed exhibit
consisting of an accurate transcript of any recording believed to be relevant, identifying so
far as is reasonably possible the names of the persons who are speaking. Within a
reasonable time before trial, the Court may rule preliminarily upon the admissibility of
such evidence, whereupon all communications to be admitted may, as the Court directs, be
recorded on a single tape together with a sufficient number of transcripts for the Court,
counsel and each member of the jury. If only part of a conversation is offered in evidence
by the Government, the Court may require the introduction of all of it which is relevant to
the part proposed to be introduced, if in its discretion fairness so requires, and the defense
may introduce any other parts.
Effective January 1, 1998.
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RULE 44.1 - FILING APPEARANCES OF ATTORNEYS
An attorney representing a defendant in any criminal proceedings pending in this
Court shall file an appearance which shall include the attorney's name, local address, city
(including zip code) and local telephone number. A copy of the appearance shall be served
on the United States Attorney.
The appearance must be filed prior to or simultaneously with the initial Court
appearance or the filing of any motion, brief or other document with this Court, whichever
occurs first. This appearance shall constitute a representation to the Court that counsel so
appearing shall represent the defendant until final disposition of the case in this Court. No
appearances may be withdrawn except by leave of Court.
Effective January 1, 1998.
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RULE 47.1 - MOTIONS FOR JUDGMENT OF ACQUITTAL, NEW TRIAL AND ARREST OF
JUDGMENT
Post-trial motions for a judgment of acquittal, new trial or an arrest of judgment
pursuant to Rule 29, 33 and 34, Federal Rules of Criminal Procedure shall be supported by
memoranda filed within the time provided by such rules, or such additional time as the
Court shall allow.
Effective January 1, 1998
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RULE 50.1- ASSIGNMENT OF CRIMINAL BUSINESS
(a) All criminal cases in this jurisdiction shall be divided into the following
categories:
(1) Antitrust.
(2) Income Tax and other Tax Prosecutions.
(3) Commercial Mail Fraud.
(4) Controlled Substances.
(5) Violations of 18 U.S.C. Chapters 95 and 96 (Sections 1951- 55 and
1961068) and Mail Fraud other than commercial.
(6) General Criminal.
(b) All grand jury litigation shall be designated as follows:
(1) Grand Jury Matters.
(c) Except for the assignment of grand jury matters, where it appears from the
designation form filed by counsel, or from the indictment, information or other pleading in
a criminal case, that a defendant resides in or that events which are the subject matter of
the indictment occurred in the counties of Berks, Lancaster, Lehigh or Northampton, said
case shall be assigned or reassigned for trial and pretrial procedures to a judge stationed in
Reading, Lancaster, Easton or Allentown, who shall be given appropriate credit by category
for any case so assigned, reassigned or transferred and, unless otherwise directed by the
court, all trial and pre-trial procedures with respect thereto shall be held in Reading,
Lancaster, Easton or Allentown. All other cases, unless otherwise directed by the court,
shall be tried in Philadelphia. As each case is filed, it shall be assigned to a judge, who shall
thereafter have charge of the case for all purposes. In respect to grand jury matters, the
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assignment of the judge shall not in any way be dependent upon the location of the
residence of anyone, or the location of any incident or a transaction which is the subject of
the grand jury investigation.
(d) The assignment shall take place in the following manner:
(1) There shall be a separate block of assignment cards for each category
of criminal cases and for grand jury matters. In each block of assignment cards, the name of
each active judge shall appear an equal number of times in a non-sequential manner except
that the name of the chief judge shall appear one-half the number of times of each of the
other active judges. The sequences of judges' names within each block shall be kept secret
and no person shall directly or indirectly ascertain or divulge or attempt to ascertain or
divulge the name of the judge to whom any case may be assigned before the assignment.
The case number shall be stamped on the assignment card at the time of filing and
assignment, and all assignment cards shall be preserved.
(2) The assignment clerk shall stamp on the indictment information,
complaint, petition, or other initial paper of every case filed, and on the file jacket, the
number of the case and the initials (or other designation) of the judge to whom it is
assigned. The numbering and assignment of each case shall be completed before
processing of the next case is begun.
(3) At the time of filing any criminal indictment or information, counsel
for the government shall indicate whether a case is related to any other prior or pending
action in this court. Criminal cases are deemed related if a defendant or defendants are
alleged to have participated in the same action or transaction, or in the same series of acts
or transaction, constituting an offense or offenses.
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(4) If the fact of relationship is indicated on the appropriate form at the
time of filing, the assignment clerk shall assign the case to the same judge to whom the
earlier numbered related case is assigned. If the judge receiving the later case determines
that the relationship does not exist, the judge shall refer the case to the assignment clerk
for reassignment by random selection in the same manner as if it were a newly filed case.
(5) If the relationship does not become known until after the case is
assigned, the judge receiving the later case may refer it to the Chief Judge for reassignment
to the judge to whom the earlier related case is assigned. If the Chief Judge determines that
the cases are related, the Chief Judge shall transfer the later case to the judge to whom the
earlier case is assigned. Otherwise, the Chief Judge shall return the later case to the judge
to whom it was originally assigned.
Effective: February 1, 2010
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RULE 50.2 - UNITED STATES MAGISTRATE JUDGES
I. In criminal matters, each United States magistrate judge of this district is
authorized to exercise all powers and perform all duties conferred or imposed upon them
or United States commissioners by law, by the Federal Rules of Criminal Procedure, by the
Local Criminal Rules, or by orders or decisions of the United States Supreme Court, Third
Circuit Court of Appeals, or the United States District Court for the Eastern District of
Pennsylvania. These shall include, but are not limited to, all powers and duties conferred
or imposed upon them under:
(a) The following statutes: 18 U.S.C § 3041, Powers of Courts and
Magistrates; 18 U.S.C. § 3060, Preliminary Examination; 18 U.S.C. §§ 3121-3127, Pen
Registers and Trap and Trace Devices; 18 U.S.C. §§ 3141-3156, Release and Detention
Pending Judicial Proceedings; 18 U.S.C. §§ 3181-3196, Extradition; 18 U.S.C. §§ 3401-
3402, Trial by United States Magistrates; 18 U.S.C. §§ 4100-4115, Transfer to or From
Foreign Countries; 28 U.S.C. § 636, Jurisdiction, Powers, and Temporary Assignment.
(b) The following Federal Rules of Criminal Procedure: Fed. R. Crim. P.3,
The Complaint; Fed. R. Crim. P. 4, Arrest Warrant or Summons Upon Complaint; Fed. R.
Crim. P. 5, Initial Appearance Before the Magistrate Judge; Fed. R. Crim. P. 5.1,
Preliminary Examination; Fed. R. Crim. P. 6, The Grand Jury; Fed. R. Crim. P.9, Warrant
or Summons Upon Indictment or Information; Fed. R. Crim. P. 17, Subpoena; Fed. R.
Crim. P. 32.1, Revocation or Modification of Probation or Supervised Release; Fed. R.
Crim. P. 40, Commitment to Another District; Fed. R. Crim. P. 41, Search and Seizure;
Fed. R. Crim. P. 54, Application and Exception; Fed. R. Crim. P.58, Procedure for
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Misdemeanors and Other Petty Offenses.
(c) The following Local Rules of Criminal Procedure: L.R.Crim.P. 6.1, The
Grand Jury; L.R.Crim.P. 10.1, Arraignment and Plea; L.R.Crim.P. 58.1, Forfeiture of
Collateral in Lieu of Appearance and Mandatory Court Appearance.
II. In a criminal matter, each United States magistrate judge of this district is
authorized to exercise the following powers and duties when requested by the district
judge assigned to the criminal matter:
(a) Supervise the criminal calendar, conduct status calls, conferences, and
hear and determine any pretrial motion or matter permitted by 28 U.S.C. § 636(b)(1)(A).
(b) Hear and submit proposed findings of fact and recommendations for
any motion permitted by 28 U.S.C. § 636(b)(1) (B).
(c) Select a petit jury with the express voluntary consent and waiver of all
counsel, the government, and the defendant.
(d) Perform such additional duties as are legally proper.
III. Criminal matters shall be assigned to the United States magistrate judge of
this district under the following procedures:
(a) (Felony Cases) Upon the return of an indictment, or the filing of an
information, all felony cases shall be assigned by the Clerk to a duty magistrate judge for
the purpose of conducting an arraignment unless the district judge assigned to that case
otherwise directs.
(b) (Misdemeanor cases) Upon the filing of an information, complaint,
violation notice, or return of an indictment, all misdemeanor cases shall be assigned by the
Clerk to a particular magistrate judge who shall proceed in accordance with the provisions
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of 18 U.S.C. § 3401 and the applicable Rules of Criminal Procedure.
IV. Reconsideration and Appeal in Criminal Matters.
(a) Reconsideration of pretrial matters - 28 U.S.C. § 636(b)(1)(A).
A defendant or the government may object to a magistrate judge’s
order determining a motion or matter under 28 U.S.C. § 636 (b)(1)(A) within fourteen (14)
days after issuance of the magistrate judge’s order, unless a different time is prescribed by
the magistrate judge or a judge. The party objecting shall file with the Clerk of Court, and
serve on the magistrate judge and all parties, a brief, along with a written statement of
objections which shall specifically designate the order, or part thereof, subject to the
objections and the basis for such objections. The District Court may upon the filing of
objections or sua sponte reconsider, affirm, reject, modify, or recommit any pretrial
motion or matter handled by a magistrate judge.
(b) Review of Proposed Findings and Recommendations - 28 U.S.C. §
636(b)(1)(B).
A defendant or the government may object to a magistrate judge’s
proposed findings, recommendations or report under 28 U.S.C. § 636(b)(1)(B) within
fourteen (14) days after being served with a copy thereof by following the procedure set
forth in 28 U.S.C. § 636(b)(1) (C). The party objecting shall file with the Clerk of Court and
serve on the magistrate judge and all parties, a brief, along with written objections which
shall specifically identify the portions of the proposed findings, recommendations or report
to which objections are made and the basis for such objections.
- 29 -
(c) Appeal of Misdemeanor Convictions - 18 U.S.C. §3402.
A defendant may appeal from a magistrate judge’s judgment of
conviction of a misdemeanor under 18 U.S.C. §3402 within fourteen (14) days after the
entry of judgment. The party appealing shall file with the Clerk of Court, and serve on the
magistrate judge and all parties, a brief, along with a notice of appeal which shall set forth
the basis for such appeal. The scope of appeal shall be the same as in an appeal from the
District Court to the Court of Appeals.
Effective January 1, 1999
- 30 -
RULE 53.1 - RELEASE OF INFORMATION BY ATTORNEYS AND COURT HOUSE
PERSONNEL IN CRIMINAL CASES
(a) The Duty of Attorneys.
(1) It is the duty of the lawyer not to release or authorize the release of
information or opinion for dissemination by any means of public communication, in
connection with pending or imminent criminal litigation with which the lawyer is
associated, if there is a reasonable likelihood that such dissemination will interfere with a
fair trial or otherwise prejudice the due administration of justice.
(2) With respect to a grand jury or other pending investigation of any
criminal matter, a lawyer participating in the investigation shall refrain from making any
extrajudicial statement for dissemination by any means of public communication, that goes
beyond the public record or that is not necessary to inform the public that the investigation
is underway, to describe the general scope of the investigation, to obtain assistance in the
apprehension of a suspect, to warn the public of any dangers, or otherwise to aid in the
investigation.
(3) From the time of arrest, issuance of an arrest warrant or the filing of a
complaint, information, or indictment in any criminal matter until the commencement of
trial or disposition without trial, a lawyer associated with the prosecution or defense shall
not release or authorize the release of any extrajudicial statement for dissemination by any
means of public communication, relating to that matter and concerning:
- 31 -
A. The prior criminal record (including arrests, indictments, or
other charges of crime), or the character or reputation of the accused, except that the
lawyer may make a factual statement of the accused's name, age, residence, occupation,
and family status, and if the accused has not been apprehended, a lawyer associated with
the prosecution may release any information necessary to aid in his or her apprehension or
to warn the public of any dangers the accused may present;
B. The existence of contents of any confession, admission, or
statement given by the accused, or the refusal or failure of the accused to make any
statement;
C. The performance of any examinations or tests or the accused's
refusal or failure to submit to an examination or test;
D. The identity, testimony, or credibility of prospective witnesses,
except that the lawyer may announce the identity of the victim if the announcement is not
otherwise prohibited by law;
E. The possibility of a plea of guilty to the offense charged or a
lesser offense;
F. Any opinion as to the accused's guilt or innocence
or as to the merits of the case or the evidence in the case.
The foregoing shall not be construed to preclude the lawyer
during this period, in the proper discharge of the lawyer’s official or professional
obligations, from announcing the fact and circumstances of arrest (including time and place
of arrest, resistance, pursuit, and use of weapons), the identity of the investigation and
arresting officer or agency, and length of the investigation; from making an announcement
- 32 -
at the time of seizure of any physical evidence other than a confession, admission or
statement, which is limited to a description of the evidence seized; from disclosing the
nature, substance, or text of the charge, including a brief description of the offense charged;
from quoting or referring without comment to public records of the court in the case; from
announcing the scheduling or result of any stage in the judicial process; from requesting
assistance in obtaining evidence; or from announcing without further comment that the
accused denies the charges made against him, her or it.
(4) During the trial of any criminal matter, including the period of
selection of the jury, no lawyer associated with the prosecution or defense shall give or
authorize any extrajudicial statement or interview, relating to the trial or the parties or
issues in the trial for dissemination by any means of public communication, except that the
lawyer may quote from or refer without comment to public records of the court in the case.
(5) After the completion of a trial or disposition without trial of any
criminal matter, and prior to the imposition of sentence, a lawyer associated with the
prosecution or defense shall refrain from making or authorizing any extrajudicial
statement for dissemination by any means of public communication if there is a reasonable
likelihood that such dissemination will affect the imposition of sentence.
(6) Nothing in this rule is intended to preclude the formulation or
application of more restrictive rules relating to the release of information about juvenile or
other offenders, to preclude the holding of a hearing or the lawful issuance of reports by
legislative, administrative, or investigative bodies, or to preclude any lawyer from replying
to charges of misconduct that are publicly made against him or her.
- 33 -
(b) The Duty of Courthouse Personnel. All courthouse personnel, including
among others, marshals, deputy marshals, court clerks, law clerks, bailiffs, court reporters,
and secretaries are prohibited from disclosing any information relating to a pending
criminal case that is not part of the public records, unless authorized by the court. The rule
precludes disclosure of any information whether acquired at a formal or informal
proceeding.
Effective January 1, 1998.
- 34 -
Rule 53.2 - Electronic Case File Privacy
In compliance with the policy of the Judicial Conference of the United States, and the E-
Government Act of 2002, and in order to promote electronic access to documents in the
criminal case files while also protecting personal privacy and other legitimate interests,
parties shall refrain from including, or shall partially redact where inclusion is necessary,
the following personal data identifiers from all documents filed with the court, including
exhibits thereto, whether filed electronically or in paper, unless otherwise ordered by the
court:
a. Social Security numbers. If an individual’s Social Security number must be
included, only the last four digits of that number should be used.
b. Names of minor children. If the involvement of a minor child must be
mentioned, only the initials of the child should be used.
c. Dates of birth. If an individual’s date of birth must be included, only the
year should be used.
d. Financial account numbers. If financial account numbers are relevant, only
the last four digits of the number should be used.
e. Home addresses. If a home address must be included, only the city and
state should be listed.
In compliance with the E-Government Act of 2002, a party wishing to file a
document containing the personal data identifiers listed above may file an unredacted
document under seal. This document shall be retained by the court as part of the record.
The court, may, however, still require the party to file a redacted copy for the public file.
Trial exhibits may be safeguarded by means other than redaction, and the court may
modify this rule to fit the requirements of particular cases.
- 35 -
The responsibility for redacting these personal identifiers rests solely with
counsel and the parties. The Clerk need not review filings for compliance with this rule.
Effective October 1, 2004
- 36 -
RULE 58.1 - FORFEITURE OF COLLATERAL IN LIEU OF APPEARANCE AND
MANDATORY COURT APPEARANCE
(A) For petty offenses listed in the general or special schedules discussed below,
whether originating under the applicable state statute by virtue of the Assimilated Crimes
Act (18 U.S.C. § 13) occurring within the territorial jurisdiction of the United States
Magistrate Judge, including areas within the boundaries of the United States military
installations, bases, hospitals and outposts, it is hereby ordered that collateral may be
posted in lieu of the appearance of the offender. Upon the failure of the person charged
with an offense or offenses to appear before the designated United States Magistrate Judge
for trial of the offenses listed below (except those offenses designated by an asterisk (*)
which require the mandatory appearance of the person charged) the collateral in the
amount listed in the general special schedules shall be forfeited to the United States and the
posting of said collateral shall signify that the offender does not contest the charge nor
request a hearing before the designated United States Magistrate Judge. Either the Clerk or
Magistrate Judge shall certify the record of any conviction of a traffic violation as required
by the applicable state statute to the proper state authority.
Where an asterisk (*) is inserted next to the listed violation, no forfeiture will
be permitted and the person charged must appear before the designated United States
Magistrate Judge. No forfeiture will be permitted on violations contributing to an accident
with personal injury, or property damage in excess of $100.00. No forfeiture of collateral
will be permitted for a subsequent offense or offenses not arising out of the same facts or
sequence of events resulting in the original offense or offenses.
- 37 -
All offenses which occur in Hopewell Village National Historic Site, Elverson, Pa.,
and in the Blue Marsh Lake Recreation Area which require a mandatory court appearance
shall be presented to the United States Magistrate Judge at Reading, Pa.
(B) General Schedule. The general schedule which has been approved by the
court specifies the collateral which may be posted for designated petty offenses in violation
of laws of the United States (including the Assimilated Crimes Act, where applicable).
Section 1 (specified Federal Statutes) applies to all property within the Eastern District of
Pennsylvania. Section 2 (Assimilated Crimes Act offenses under specified Pennsylvania
statutes) applies to all property within the special maritime and territorial jurisdiction of
the United States (see 18 U.S.C. § 7) located in the Eastern District of Pennsylvania. Copies
of this schedule shall be available for public inspection at the office of the Clerk of Court,
and may be made available for public inspection at the headquarters of each agency issuing
violation notices pursuant to this Rule at each site or property upon which such violation
notices are issued.
(C) Special Schedules. The below listed agencies have filed special schedules of
offenses pursuant to Federal regulations enacted by them, and listing the collateral which
may be posted for each offense. These agencies are: Army Corps of Engineers, the National
Park Service, the General Services Administration, the Veterans Administration and the
United States Fish and Wildlife Services. Each of these special schedules has been
approved by the court and applies to all property within the Eastern District of
Pennsylvania under the charge and control of the filing agency. Additional agencies may
from time to time after the adoption of this amendment apply to the court for approval of a
special schedule which, if approved by the court, will become effective as set forth in
- 38 -
paragraph (D) below. Copies of all special schedules shall be available for public inspection
at the office of the Clerk of Court. Copies of each special schedule may also be available for
public inspection at the headquarters of the filing agency within the Eastern District of
Pennsylvania and at each site or property upon which it applies.
(D) Effective Date. The effective date of the General Schedule or any special
schedule or any amendments thereto, shall become effective upon the approval of the
court, and the filing of the same with the Clerk of Court, unless otherwise set forth by the
court in its order approving the same.
Effective January 1, 1998.
- 39 -
IN THE UNITED STATES DISTRICT COURT
FOR THE EASTERN DISTRICT OF PENNSYLVANIA
IN RE: LOCAL RULE OF
CRIMINAL PROCEDURE 58.1
ORDER
AND NOW, this 18th day of March, 2002, it is hereby ORDERED, pursuant to the
Resolution of the Judges of this Court, that the attached amendments to the Forfeiture of
Collateral Schedule, made applicable in this district by Local Rule of Criminal Procedure 58.
1, are adopted effective immediately.
JAMES T. GILES
Chief Judge
- 40 -
IN THE UNITED STATES DISTRICT COURT
FOR THE EASTERN DISTRICT OF PENNSYLVANIA
RESOLUTION OF
BOARD OF JUDGES
BE IT RESOLVED AND ENACTED by the Board of Judges of the United States
District Court for the Eastern District of Pennsylvania, that Local Criminal Rule 58.1 is
Hereby amended by repealing the existing General Schedule Section 1 : Federal Statutes
and replacing it with the attached Schedule.
It is noted that General Schedule Section 2: Assimilated Crimes and the
Special Schedule for Blue Marsh Lake Recreation Area remain unchanged.
_________________________________
James T. Giles, Chief Judge
UNITED STATES DISTRICT COURT
EASTERN DISTRICT OF PENNSYLVANIA
U.S. FISH AND WILDLIFE SERVICE
VIOLATIONS OF TITLES 16, 18, AND 25, UNITED STATES CODE
AND
TITLE 50, CODE OF FEDERAL REGULATIONS
LIST OF MINIMUM FINES APPLICABLE THERETO PURSUANT TO
RULES OF THE UNITED STATES DISTRICT COURT
FOR THE EASTERN DISTRICT OF PENNSYLVANIA
====================================================
**Fines May Be Doubled for Second and Subsequent Violations**
Persons charged with violations of any offense listed below may, in lieu of
appearance, post collateral in the dollar amount indicated for the offense,
waive appearance before a Magistrate, and consent to forfeiture of
collateral. Persons charged with offenses not listed must appear for trial.
Revised February, 2012
Table of Contents
(1) American Antiquities Act Page 3
(2) Archaeological Resources Protection Act Page 3
(3) Bald and Golden Eagle Protection Act Page 3
(4) Migratory Bird Treaty Act Page 4
(5) Migratory Bird Hunting Stamp Act Page 4
(6) Airborn Hunting Act Page 5
(7) Marine Mammal Protection Act Page 5
(8) Endangered Species Act Page 6
(9) Lacey Act Page 7
(10) African Elephant Conservation Act Page 8
(11) Federal Cave Resources Protection Act Page 9
(12) Wild Bird Conservation Act Page 9
(13) Rhinoceros and Tiger Conservation Act Page 10
(14) Assimilative Crimes Act Page 10
(15) Native American Graves Protection Page 10
and Repatriation Act
(16) General FWS Permit Regulations (50 CFR 13) Page 10
(17) Regulations for Importation, Exportation, Page 11
and Transportation of Wildlife (50 CFR 14)
(18) Captive Wildlife Safety Act Page 13
(19) Wild and Exotic Bird Regulations Page 13
(20) Injurious Wildlife Regulations Page 13
(21) Endangered & Threatened Wildlife & Plant Page 14
Regulations
(22) Marine Mammal regulations Page 17
(23) Airborne Hunting Regulations Page 17
(24) Migratory Bird Hunting Regulations Page 18
(25) Migratory Bird Permit Regulations Page 23
(26) Bald and Golden Eagle Protection Regulations Page 25
(27) CITES Regulations Page 26
(28) Plant Import and Export Regulations Page 27
(29) Wildlife Refuge Administration Act Page 27
- NWR Administrative Provisions
(30) National Recreational Areas Act and National Page 28
Wildlife Refuge Administration Act
- NWR Public Entry and Use
(31) National Recreational Areas Act and National Page 28
Wildlife Refuge Administration Act
- NWR Prohibited Acts
(32) National Recreational Areas Act and National Page 33
Wildlife Refuge Administration Act
- NWR Trapping Regulations
(33) National Recreational Areas Act and National Page 33
Wildlife Refuge Administration Act
- Hunting & Fishing Regulations
(34) National Fish Hatchery Act Page 34
Wildlife/Property Forfeiture Order Page 36
-2-
OFFENSE DESCRIPTION CITE COLLATERAL
1) American Antiquities Act (16 U.S.C. § 433)
Appropriate, excavate, injure, or destroy historic 16 U.S.C. § 433 $500.00
or pre-historic ruin or monument or any object of + Restoration Cost
antiquity.
2) Archaeological Resource Protection Act (16 U.S.C. §§ 470aa et. seq.)
Knowingly excavate, remove, damage, alter, deface 16 U.S.C. § 470ee(a) $1,500.00
or the attempt thereof, any archaeological resource + Restoration Cost
on public or Indian lands without a permit or
exception.
Sell, purchase, exchange, transport, receive, or 16 U.S.C. § 470ee(b) $1,000.00
offer to sell, purchase, or exchange any + Restoration Cost
archaeological resource excavated from public
or Indian lands in violation of 16 U.S.C. § 470ee(a)
or any other provision of Federal law.
Sell, purchase, exchange, transport, receive, or 16 U.S.C. § 470ee(c) $1,000.00
offer to sell, purchase, or exchange in interstate or + Restoration Cost
foreign commerce, any archaeological resource
excavated, removed, sold, purchased, exchanged,
transported, or received in violation of any provision,
rule, regulation, ordinance, or permit in effect under
state or local law.
3) Bald and Golden Eagle Protection Act (16 U.S.C. §§ 668-668d)
Whoever, knowingly, or with wanton disregard for 16 U.S.C. § 668 $1,000.00
the consequences of his act, take, possess, sell,
purchase, barter, offer to sell, purchase or barter,
transport, export or import at any time or in any
manner, any bald eagle or any golden eagle alive
or dead, or any part, nest or egg thereof.
Per item/specimen $500.00
-3-
OFFENSE DESCRIPTION CITE COLLATERAL
4) Migratory Bird Treaty Act (16 U.S.C. §§ 703-711)
Take, pursue, hunt, capture, kill, or the attempt 16 U.S.C. § 703 $350.00
thereof, possess, sell, barter, purchase, ship,
export, import, carry, transport, offer, or cause
thereof, migratory birds, their parts, nests, or
eggs, except as may be permitted. Per item/specimen $50.00
Take by aid of baiting, or on or over any 16 U.S.C. § 704(b)(1) $500.00
baited area.
Per item/specimen $100.00
Place or direct the placement of bait on or adjacent 16 U.S.C. § 704(b)(2) $1,000.00
to an area for the purpose of causing, inducing, or
allowing any person to take or attempt to take any
migratory game bird by the aid of baiting on or
over the baited area. Per item/specimen $200.00
Ship, transport, carry in interstate or foreign 16 U.S.C. § 705 $500.00
commerce, any bird, part, nest, or egg thereof,
captured, killed, taken, shipped, transported, or
carried contrary to the law of the place where
captured, killed, taken, shipped, transported, or
carried. Per item/specimen $50.00
5) Migratory Bird Hunting and Conservation Stamp Act (16 U.S.C. §§ 718 et seq.)
Hunt migratory waterfowl without duck stamp. 16 U.S.C. § 718a $150.00
Hunt migratory waterfowl with unsigned duck 16 U.S.C. § 718b $50.00
stamp.
Loan, or transfer migratory waterfowl stamp to 16 U.S.C. § 718e(a) $150.00
another, or use stamp validated by another.
Alter, mutilate, imitate, or counterfeit duck stamp. 16 U.S.C. § 718e(b) $500.00
-4-
OFFENSE DESCRIPTION CITE COLLATERAL
6) Airborne Hunting Act (16 U.S.C. § 742j-1)
Shoot from an aircraft for purposes of capturing or 16 U.S.C. § 742j-1(a)(1) $1,000.00
killing wildlife.
Per item/specimen $100.00
Use aircraft to harass wildlife. 16 U.S.C. § 742j-1(a)(2) $500.00
Participate in using aircraft to shoot/harass 16 U.S.C. § 742j-1(a)(3) $500.00
wildlife.
7) Marine Mammal Protection Act (16 U.S.C. §§ 1361-1407)
Unlawful take of a marine mammal. 16 U.S.C. § 1372(a) $2,000.00
Per item/specimen $250.00
Unlawful importation or inhumane taking. 16 U.S.C. § 1372(b)
Non-Commercial $150.00
Commercial $500.00
Per item/specimen $100.00
(Commercial)
Unlawful importation of illegally taken marine 16 U.S.C. § 1372(c)(1)
mammal.
Non-Commercial $300.00
Commercial $750.00
Per item/specimen $100.00
(Commercial)
Unlawful importation of marine mammal product. 16 U.S.C. § 1372(c)(2)
Non-Commercial $150.00
Commercial $500.00
Per item/specimen $100.00
(Commercial)
-5-
OFFENSE DESCRIPTION CITE COLLATERAL
Unlawful importation of fish taken in a manner 16 U.S.C. § 1372(c)(3)
potentially harmful to marine mammals.
Non-Commercial $150.00
Commercial $500.00
Per item/specimen $100.00
(Commercial)
8) Endangered Species Act (16 U.S.C. §§ 1531-1543)
Import or export endangered wildlife. 16 U.S.C. § 1538(a)(1)(A) $1,000.00
Per item/specimen $200.00
Take, an endangered species within the U.S. 16 U.S.C. § 1538(a)(1)(B) $2,500.00
Per item/specimen $250.00
Take an endangered species upon the high seas. 16 U.S.C. § 1538(a)(1)(C) $2,000.00
Per item/specimen $200.00
Possess, sell, deliver, carry, transport, or ship 16 U.S.C. § 1538(a)(1)(D) $1,000.00
unlawfully taken endangered wildlife.
Per item/specimen $200.00
Deliver, receive, carry, transport, or ship endangered 16 U.S.C. § 1538(a)(1)(E) $1,000.00
wildlife in interstate/foreign commerce for
commercial purposes.
Per item/specimen $200.00
Sell/offer for sale in interstate or foreign commerce 16 U.S.C. § 1538(a)(1)(F) $1,000.00
any endangered species.
Per item/specimen $200.00
Violate any regulation promulgated for such species 16 U.S.C. § 1538(a)(1)(G) $1,000.00
or for any listed threatened species.
Per item/specimen $200.00
Violate regulations pertaining to any endangered 16 U.S.C. §§ 1538(a)(2)(A) $500.00
plant species.
-6-
OFFENSE DESCRIPTION CITE COLLATERAL
Violate regulations pertaining to threatened plants. 16 U.S.C. § 1538(a)(2)(E) $350.00
Per item/specimen $50.00
Violation of Convention. 16 U.S.C. § 1538(c) See Part 23
Engage in business as an importer/exporter 16 U.S.C. § 1538(d)(1)(A) $500.00
of wildlife without authorization.
Fail to file a declaration for the importation of fish, 16 U.S.C. § 1538(e)
wildlife or plants as required.
Non-Commercial $150.00
Commercial $400.00
Violate designated port requirements. 16 U.S.C. § 1538(f)(1)
Non-Commercial $150.00
Commercial $400.00
9) Lacey Act (18 U.S.C. § 42, 16 U.S.C. §§ 3371-3378)
Importation into the U.S. or territories, or shipment 18 U.S.C. § 42(a)(1) $750.00
between the states or territories, of species listed
as injurious.
Per specimen $50.00
Importation of any wild animal or bird under 18 U.S.C. § 42(c) $500.00
inhumane or unhealthful conditions.
Per item/specimen $50.00
Import, export, transport, sell, receive, acquire, or 16 U.S.C. § 3372(a)(1) $750.00
purchase any fish, wildlife, or plant, taken,
possessed, transported, or sold in violation of any
law, treaty, or regulation of the U.S. or in violation
of any Indian tribal law.
Per item/specimen $100.00
-7-
OFFENSE DESCRIPTION CITE COLLATERAL
It is unlawful for any person to: 16 U.S.C. § 3372(a)(2)
Import, export, transport, sell, receive, acquire, or
purchase in interstate or foreign commerce:
any fish or wildlife taken, possessed, transported, 16 U.S.C. § 3372(a)(2)(A) $750.00
or sold in violation of any law or regulation of any
State or in violation of any foreign law.
Per item/specimen $100.00
any plant taken, possessed, transported, or sold in 16 U.S.C. §§ 3372(a)(2)(B)(i) $500.00
violation of any law or regulation of any State or thru 3372(a)(2)(B)(iii)
foreign law.
Per item/specimen $50.00
any prohibited wildlife species. 16 U.S.C. § 3372(a)(2)(C) $1,000.00
Per item/specimen $250.00
Within the special maritime and territorial jurisdiction 16 U.S.C. § 3372(a)(3)
of the U.S.:
possess any fish or wildlife taken, possessed, 16 U.S.C. § 3372(a)(3)(A) $500.00
transported, or sold in violation of any law or
regulation of any state or in violation of any foreign
law or Indian tribal law.
Per item/specimen $100.00
possess any plant taken, possessed, transported, or 16 U.S.C. § 3372(a)(3)(B)(i) $500.00
sold in violation of any law or regulation of any State Thru 3372(a)(3)(B)(iii)
or any foreign law
Per item/specimen $50.00
Attempt to commit any act described in 3372(a) 16 U.S.C. §3372(a)(4) $500.00
paragraphs (l) through (4).
Per item/specimen $50.00
10) African Elephant Conservation Act (16 U.S.C. §§ 420l-4245)
Import or export elephant ivory contrary to 16 U.S.C. § 4223(1)
-8-
OFFENSE DESCRIPTION CITE COLLATERAL
16 U.S.C. § 4221 and 16 U.S.C. §4222 thru 4223(5)
Non-Commercial $100.00
Commercial $500.00
Per item (commercial) $100.00
11) Federal Cave Resources Protection Act (16 U.S.C. §§ 4301-4310)
Without authorization, knowingly destroys, disturbs, 16 U.S.C. § 4306(a)(1) $500.00
defaces, mars, alters, removes or harms any + Restoration Cost
significant cave or alters the free movement of any
animal or plant life into or out of a significant
cave located on Federal lands, or enters a significant
cave with the intention of committing any crime
described in this paragraph.
Possess, consume, sell, barter or exchange, any cave 16 U.S.C. § 4306(a)(2) $350.00
resource from a significant cave knowing or having
reason to know such resource was removed from a
significant cave on Federal lands.
Counsel, solicit, procure or employ any other person 16 U.S.C. § 4306(a)(3) $350.00
to violate any provision of this section.
12) Wild Bird Conservation Act (16 U.S.C. § 4901-4916)
Import any exotic bird in violation of any 16 U.S.C. § 4910(a)(1)(A) $350.00
prohibition, suspension, or quota on importation.
Per item/specimen $ 50.00
Import a non-approved species of exotic bird. 16 U.S.C. § 4910(a)(1)(B) $350.00
Per item/specimen $ 50.00
Violate any regulation of this chapter. 16 U.S.C. § 4910(a)(1)(C) $350.00
Per item/specimen $ 50.00
-9-
OFFENSE DESCRIPTION CITE COLLATERAL
13) Rhinoceros and Tiger Conservation Act (16 U.S.C. §§ 5301-5306)
Sell, import or export any product, item or substance 16 U.S.C. § 5305(a) $500.00
intended for human consumption or application
containing, or labeled or advertised as containing,
any substance derived from any species of
rhinoceros or tiger.
Per item/specimen $ 50.00
14) Assimilative Crimes Act (l8 U.S.C. § l3)
Violations of state fish and game statutes and 18 U.S.C. § 13 $300.00
regulations within the special maritime and
territorial jurisdiction of the United States.
15) Native American Graves Protection and Repatriation Act (25 U.S.C. § 3001 &
18 U.S.C. § 1170)
Knowingly sell, purchase, use for profit, or transport 18 U.S.C. § 1170(a) $2,000.00
for sale or profit, the human remains of a + Restoration/
Native American without the right of possession to Repatriation Cost
those remains.
Knowingly sell, purchase, use for profit, or transport 18 U.S.C. § 1170(b) $1,000.00
for sale or profit any Native American cultural items +Restoration/
obtained unlawfully. Repatriation Cost
16) General Fish and Wildlife Service Permit Regulations (16 U.S.C. § 704; 16 U.S.C. § 668a;
16 U.S.C. § l538(d); 16 U.S.C. § 3373; 50 C.F. R., Part 13)
Engage in activity for which a permit is required 50 C.F.R. § 13.1 $300.00
without having a valid permit.
Unauthorized transfer of a permit. 50 C.F.R. § 13.25 $200.00
- 10 -
OFFENSE DESCRIPTION CITE COLLATERAL
Failure to maintain wildlife possessed pursuant to a 50 C.F.R. § 13.41 $300.00
permit, under humane and healthful conditions.
Failure to adhere to specific authorization of a 50 C.F.R. § 13.42 $150.00
permit.
Alteration of a permit. 50 C.F.R. § 13.43 $350.00
Failure to display a permit or present for 50 C.F.R. § 13.44 $200.00
inspection.
Failure to file reports required by FWS permit. 50 C.F.R. § 13.45 $200.00
Failure to maintain records required by FWS. 50 C.F.R. § 13.46 $200.00
Failure to allow entry to premise for the purpose of 50 C.F.R. § 13.47 $500.00
inspecting activity authorized by FWS permit.
Failure to comply with permit conditions. 50 C.F.R. § 13.48 $200.00
17) Regulations for Importation, Exportation & Transportation of Wildlife
(16 U.S.C. § 3371; 16 U.S.C. §1538; 50 C.F.R., Part 14)
Import or export wildlife at non-designated port 50 C.F.R. § 14.11
of entry.
Non-Commercial $150.00
Commercial $400.00
Knowingly unload an in-transit shipment within 50 C.F.R. § 14.14(b) $350.00
the U.S.
Violation of non-designated port conditions. 50 C.F.R. §§ 14.31 $250.00
thru 14.33
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OFFENSE DESCRIPTION CITE COLLATERAL
Fail to allow detention and inspection of imported 50 C.F.R. § 14.51
or exported wildlife.
Non-Commercial $150.00
Commercial $400.00
Failure to obtain FWS clearance prior to release 50 C.F.R. § 14.52(a)
by US Customs of imported/exported wildlife.
Non-Commercial $150.00
Commercial $400.00
Failure to provide 48 hour prior notice of arrival of 50 C.F.R. § 14.54(a) $300.00
live or perishable wildlife shipments.
Fail to file completed importation declaration as 50 C.F.R. § 14.61
required.
Non-Commercial $150.00
Commercial $400.00
Fail to file completed exportation declaration as 50 C.F.R. § 14.63
required.
Non-Commercial $150.00
Commercial $400.00
Fail to mark a wildlife container shipped in 50 C.F.R. § 14.81
interstate commerce.
Non-Commercial $150.00
Commercial $250.00
Engage in business as importer/exporter of 50 C.F.R. § 14.91 $500.00
wildlife without obtaining import/export license.
Failure to pay license fees, inspection fees, or 50 C.F.R. §§ 14.94(a) $400.00
other associated costs for wildlife shipments. thru 14.94)d)
Import/transport wildlife under inhumane/ 50 C.F.R. § 14.103 $500.00
unhealthful conditions or in violation of other legal
requirements.
Per item/specimen $50.00
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OFFENSE DESCRIPTION CITE COLLATERAL
Violate humane transport regulations. 50 C.F.R. §§ 14.104 $200.00
thru 14.172
Per item/specimen $50.00
18) Captive Wildlife Safety Act Regulations (50 C.F.R. Part 14)
Import, export, transport, sell, receive, acquire, or 50 C.F.R. § 14.253 $500.00
purchase, in interstate or foreign commerce, any live
prohibited wildlife.
Per specimen $100.00
19) Regulations for the Importation o
