CITES Appendices I, II and III, Explained

CITES does not decide how close a species is to extinction. It decides which papers are required before a specimen crosses a border.

Key takeaways

CITES, the Convention on International Trade in Endangered Species of Wild Fauna and Flora, regulates international trade. It was adopted in 1973 and entered into force in 1975.
Appendix I lists species threatened with extinction. Commercial international trade is generally prohibited. The limited movements that are allowed need both an export permit and an import permit.
Appendix II lists species that are not necessarily threatened now, but could become so if trade is not controlled. The Convention requires an export permit. It does not itself require an import permit, though a country may add one.
Appendix III lists species that one country has asked other parties to help it control. An export permit is required from the listing country. A certificate of origin is required from other countries.
An IUCN category measures extinction risk. A CITES appendix is a trade rule. A species can be Critically Endangered and unlisted, or Least Concern and on Appendix II.

A fundraising line that says a species is “CITES protected” has not yet said what that protection does. The convention does not ban hunting inside a country, and it does not assign the categories Critically Endangered, Endangered or Vulnerable. Those categories belong to the IUCN Red List.

What CITES does is narrower and, for that reason, checkable. It tells customs which documents must exist before an animal, a plant, or a specified part or product moves from one country to another. The appendix decides how heavy that paperwork is.

The three appendices

Appendix I is the strictest. These species are threatened with extinction and are, or may be, affected by trade. International commercial trade is not permitted. A non-commercial movement, such as a scientific transfer, needs a permit from the exporting country and a permit from the importing country. The science authority on each side has to advise that the transaction will not be detrimental.

Appendix II is the large list. Trade is allowed, but only if the exporting country has determined that it will not harm the survival of the species in the wild and that the specimen was obtained legally. Appendix III is a request by one country, not a global finding that the species is threatened. Other parties then help by demanding the right paper when the specimen is traded.

What each appendix asks for at the border

Appendix	What the listing means	Papers the Convention requires
I	Threatened with extinction; commercial international trade generally prohibited	Export permit and import permit
II	Trade must be controlled so that it does not become a threat	Export permit; import permit only if the destination country adds one
III	One country has asked for help controlling trade from its territory	Export permit if leaving the listing country; certificate of origin otherwise
Annotation	The listing may cover only some parts, or exclude others, such as certain seeds or finished products	Read the annotation before treating the whole animal or plant as listed

National law can be stricter than the Convention. This is the Convention’s own minimum.

Why this is not the Red List

The Red List asks how likely a species is to go extinct. CITES asks whether an international shipment needs a permit. The answers diverge on purpose. A widely traded timber or a heavily exported reptile may sit on Appendix II while its Red List category is still Least Concern. A rare frog with no international market may be Critically Endangered and absent from CITES.

Look up the appendix and the annotation, not only the common name.
Check the source code: wild, captive-bred, ranched and confiscated specimens are not handled as the same thing.
A captive-bred animal is not automatically exempt. Source code C still travels with the permit rules that apply to that appendix.
Personal-effects exemptions exist, but they are narrow and they do not cover Appendix I souvenirs bought on holiday.

What a donor should not infer

WildCare Trust uses CITES as a description of a trade rule, not as a slogan. A project that says it “supports CITES species” has not said whether it works on habitat, on enforcement at a border, or on care of animals already seized. Those are different jobs.

Frequently asked questions

Does Appendix I mean the species is extinct in the wild?

No. Extinct in the Wild is an IUCN category. Appendix I means the species is threatened with extinction and international commercial trade is generally not allowed.

Can a country ban trade that CITES would allow?

Yes. Parties may adopt stricter domestic measures. The Convention sets a floor for international shipments, not a ceiling on national law.

Who issues the permits?

Each party designates a management authority to issue permits and a scientific authority to advise whether a proposed export would be detrimental. The names differ by country.

Are look-alike species listed too?

Yes. A species may be listed because its specimens are hard to tell from those of a listed species, so that traders cannot hide one inside the name of the other.

Sources and further reading

Convention on International Trade in Endangered Species of Wild Fauna and Flora, Articles II to VII
CITES Appendices I, II and III, as amended by the Conference of the Parties
CITES glossary of source codes and purpose-of-transaction codes
IUCN Red List categories and criteria, for the separate question of extinction risk

General information for donors, not legal, tax or medical advice. Figures are indicative and vary by country, supplier and season.