GreenCustoms
Knowledge Series No. 15
Species, parts and derivatives
exempted from CITES control
Developed by the CITES Secretariat
Questions to answer
• What is eligible for inclusion in CITES?
• Are there CITES-listed species that are exempt from
CITES control? Under what conditions?
• Are there different circumstances for
animals and plants?
• Which populations of CITES-listed
species are exempt? Which parts
and derivatives are exempt?
• What kinds of trade may involve specimens
exempt from usual CITES controls?
2
General applicability - species
• The Convention defines species as meaning any species,
subspecies, or geographically separate population
thereof
• This means that inclusion of animal and plant species
under CITES control can be done at the level of species,
subspecies, or geographically separate populations
• Conversely, listings in the Appendices can be limited to
certain subspecies or geographic populations, thereby
excluding others from CITES controls
3
General applicability - specimen
• The Convention states that any animal or plant, whether
alive or dead, can be a CITES specimen
– For animal species included in Appendices I and II, any readily
recognizable part or derivative is included
– For animal species included in Appendix III, any specified readily
recognizable part or derivative is included
– For plant species included in Appendix I, any readily recognizable
part or derivative is included
– For plant species included in Appendices II and III, any specified
readily recognizable part or derivative is included
4
General applicability
5
General applicability
** The Parties have agreed that for plant species
included in Appendix II, the absence of an annotation
relating to that species indicates that all readily
recognizable parts and derivatives are included
There are currently no Appendix III listings of animals
that specify the inclusion of certain parts and
derivatives, and this is interpreted as meaning all
parts and derivatives of Appendix III animals are
included
6
Domesticated forms
• The Parties have agreed to exclude from CITES controls
certain domesticated forms of species
– The domesticated form of Bos gaurus (App. I) known as Bos frontalis
– The domesticated form of Bos mutus (App. I) known as Bos grunniens
– The domesticated form of Chinchilla spp. (App. I)
– The domesticated form of Equus africanus (App. I), which is known as
Equus asinus
– The domesticated form of Canis lupus (App. I and II) known as Canis
lupus familiaris and Canis lupus dingo
– The domesticated form of Felidae spp.
– The domesticated form of Bubalus arnee (App. III-Nepal), which is
known as Bubalus bubalis
7
Hybrid animals with listed species
• Hybrid animals that have in their recent lineage one or
more specimens of species included in Appendix I or II
are subject to the provisions of the Convention just as if
they were full species
• Recent lineage is generally interpreted to refer to the
previous four generations of the lineage
– For example, a 'Bengal cat' is a cross between a domestic cat
and an Asian Leopard Cat (Prionailurus bengalensis - App. I or II)
• Up to four generations from the cross with a wild Appendix II
specimen, the hybrid is considered a CITES specimen
• After four generations, the hybrid is not considered a CITES
specimen and is excluded from CITES controls
8
Hybrid plants with listed species
• Hybrid plants are subject to the provisions of the
Convention even though not specifically included in the
Appendices, if one or both of their parents are of taxa
included in the Appendices, unless the hybrids are
excluded from CITES controls by a specific annotation in
Appendix II or III
• At present there are annotations which exclude from
CITES controls certain Cactaceae hybrids; and under
certain conditions, hybrids of the orchid genera
Cymbidium, Dendrobium, Phalaenopsis and Vanda; and
hybrids and cultivars of Taxus cuspidata
9
Excluded animal populations
• There are many listings in the Appendices whereby all
species within a taxonomic group are included, with
some species included in Appendix I and the rest
included in Appendix II
• However, there are also several listings whereby a
species is included in part in an Appendix, and in part
outside of CITES controls
• This is due to the CITES definition of 'species'
10
Excluded animal populations
• Antilocapra americana (Appendix I if from Mexico, all
other populations are not included in the Appendices)
11
Excluded animal populations
• Struthio camelus (Appendix I, but only those of Algeria,
Burkina Faso, Cameroon, the Central African Republic,
Chad, Mali, Mauritania, Morocco, the Niger, Nigeria,
Senegal and the Sudan; all other populations are not
included in the Appendices)
12
Excluded animal populations
• Vipera ursinii (Appendix I, but only the populations of
Europe (except from countries which formerly
constituted the USSR); all other populations are not
included in the Appendices)
13
Excluded animal populations
• Ovis canadensis (Appendix II if from Mexico, all other
populations are not included in the Appendices)
14
Excluded animal populations
• Pecari tajacu (Appendix II, but populations of Mexico and
the USA are not included in the Appendices)
15
Excluded animal populations
• All species of the family Cathartidae (New World vultures)
are not included in the Appendices
16
Excluded animal populations
• Agapornis roseicollis, Melopsittacus undulatus,
Nymphicus hollandicus and Psittacula krameri are parrot
species that are not included in the Appendices (all other
parrot species are subject to CITES controls)
17
Excluded plants
• Inclusion of plant species may be
limited to certain populations, and
may also be limited as to the forms
and parts and derivatives that are
included or excluded
Dragon Fruit
Hylocereus undatus
(excluded)
Vanilla bean
(excluded)
18
Excluded plants
• In general for plants included in Appendix II and III, the
following are not covered by CITES:
– Seeds, spores and pollen (including pollinia)*
– Seedling or tissue cultures obtained in vitro
(in glass vessels), in solid or liquid media,
transported in sterile containers
– Cut flowers of artificially propagated plants
– Fruits and parts and derivatives thereof of artificially propagated
plants of the genus Vanilla and of the family Cactaceae are not
covered by CITES
* Does not apply to seeds from Cactaceae exported from Mexico, and to seeds from
Beccariophoenix madagascariensis and Neodypsis decaryi exported from Madagascar
19
Excluded plants
• In general for plants included in Appendix II and III, the
following are not covered by CITES:
– Stems, flowers and parts and derivatives
thereof of naturalized or artificially
propagated plants of the genera Opuntia
subgenus Opuntia and Selenicereus
Cactaceae)
– Finished products of Euphorbia antisyphilitica
packaged and ready for retail trade
20
Excluded plants
• Aloe vera, also referenced as Aloe barbadensis, which is
not included in the Appendices
21
Excluded plants
• Aniba rosaeodora (Appendix II) applies only to logs, sawn
wood, veneer sheets, plywood and essential oil
(excluding finished products packaged and ready for
retail)
Excluded plants
• Dalbergia retusa and Dalbergia stevensonii (Appendix III,
applies only to logs, sawn wood and veneer sheets, but
populations other than that of Guatemala are not included
in the Appendices)
23
Excluded plants
• Cedrela odorata (Appendix III, applies only to logs, sawn
wood and veneer sheets from Colombia, Guatemala and
Peru, all other populations are not included in the
Appendices)
24
Excluded plants
• Panax ginseng (Appendix II, applies only to whole and
sliced roots and parts of roots from the Russian
Federation; all other populations and parts are not
included in the Appendices)
• Panax quinquefolius (Appendix II, applies only to whole
and sliced roots and parts of roots, and all other parts and
derivatives are not subject to the provisions of the
Convention)
Panax powder is not subject
to CITES control
25
Excluded plants
• Dicksonia spp. (Appendix II, applies only to the
populations of the Americas; no other population is
included in the Appendices)
– For populations of the Americas,
all parts and derivatives are included,
except seeds, spores and pollen;
seedling or tissue cultures obtained
in vitro, in solid or liquid media,
transported in sterile containers;
and cut flowers of artificially
propagated plants
26
Excluded plants
• CACTACEAE species Pereskia spp., Pereskiopsis spp. and
Quiabentia spp. are not included in the Appendices
• CACTACEAE, all parts and derivatives are included except:
– Seeds (except those from Mexican cacti originating in Mexico, which
are included) and pollen
– seedling or tissue cultures obtained in vitro, in solid or liquid media,
transported in sterile containers
– cut flowers of artificially propagated plants
– fruits and parts and derivatives thereof of naturalized or artificially
propagated plants
– separate stem joints (pads) and parts and derivatives thereof of
naturalized or artificially propagated plants of the genus Opuntia
subgenus Opuntia
27
Excluded plants
• Artificially propagated specimens of these CACTACEAE
hybrids and/or cultivars are not subject to the provisions
of the Convention
– Hatiora x graeseri, Schlumbergera x buckleyi, Schlumbergera
russelliana x Schlumbergera truncata, Schlumbergera orssichiana x
Schlumbergera truncata, Schlumbergera opuntioides x
Schlumbergera truncata, and Schlumbergera truncata (cultivars)
– Cactaceae spp. colour mutants
grafted on Harrisia 'Jusbertii',
Hylocereus trigonus or
Hylocereus undatus
– Opuntia microdasys (cultivars)
28
Excluded plants
• Euphorbia spp. – Only succulent
species are included in the Appendices,
and includes all parts and derivatives,
except seeds, spores and pollen;
seedling or tissue cultures obtained in
vitro, in solid or liquid media,
transported in sterile containers; and cut
flowers of artificially propagated plants
29
Excluded plants
• Euphorbia spp. – Artificially propagated specimens of
cultivars of Euphorbia trigona, artificially propagated
specimens of crested, fan-shaped or colour mutants of
Euphorbia lactea, when grafted on artificially propagated
root stock of Euphorbia neriifolia, and artificially
propagated specimens of cultivars of Euphorbia ‘Milii’
when they are traded in shipments of 100 or more plants
and readily recognizable as artificially propagated
specimens, are not subject to the provisions of the
Convention)
30
Excluded plants
Not exempt
Exempt
• Artificially propagated specimens of cultivars of Cyclamen
persicum are not subject to the provisions of the
Convention
• This exemption does not apply to specimens traded as
dormant tubers (these tubers look similar to a small potato)
Excluded plants
• Swietenia macrophylla (Appendix II, applies only to logs,
sawn wood, veneer sheets and plywood from populations
of the Neotropics, all other populations and all other parts
and derivatives are not subject to the provisions of the
Convention)
• Swietenia mahagoni (Appendix II, but applies only to
logs, sawn wood and veneer sheets and all other parts
and derivatives are not subject to the provisions of the
Convention)
32
Excluded plants
• Swietenia humilis (Appendix II, applies to all parts and
derivatives, except seeds, spores and pollen; seedling
or tissue cultures obtained in vitro, in solid or liquid
media, transported in sterile containers; and cut flowers
of artificially propagated plants
33
Excluded plants
• For all of the following Appendix-I species, seedling or tissue
cultures obtained in vitro, in solid or liquid media, and transported
in sterile containers are not subject to the provisions of the
Convention (if artificially propagated according to CITES)
–
–
–
–
–
–
–
–
Aerangis ellisii
Dendrobium cruentum
Laelia jongheana
Laelia lobata
Paphiopedilum spp.
Peristeria elata
Phragmipedium spp.
Renanthera imschootiana
34
Excluded plants
• Picrorhiza kurrooa (Appendix II, applies to all parts and
derivatives except seeds and pollen and finished
products packaged and ready for retail trade, which are
not subject to the provisions of the Convention)
Note: Picrorhiza scrophulariiflora is excluded from the Appendices
Not subject to
CITES controls
Subject to
CITES controls
35
Excluded plants
• Caesalpinia echinata (Appendix II, only applies to logs,
sawn wood, veneer sheets, including unfinished wood
articles used for the fabrication of bows for stringed
musical instruments)
Finished items are not
covered by CITES
36
Excluded plants
• Pterocarpus santalinus (Appendix II, applies only to logs,
wood-chips, powder and extracts and all other parts and
derivatives are not subject to the provisions of the
Convention)
37
Excluded plants
• Hydrastis canadensis (Appendix II, applies only to
underground parts such as roots and rhizomes: whole,
parts and powdered)
38
Excluded plants
• Adonis vernalis, Guaiacum spp., Nardostachys
grandiflora, Podophyllum hexandrum, Taxus wallichiana
(Appendix II, includes all parts and derivatives except
seeds and pollen, and finished products packaged and
ready for retail trade)
Adonis vernalis
Guaiacum spp.
Nardostachys
grandiflora
Podophyllum
hexandrum
39
Excluded plants
• Taxus chinensis, Taxus cuspidata, Taxus fuana and
Taxus sumatrana and infraspecific taxa of these species
(Appendix II, includes all parts and derivatives except
seeds and pollen, and finished products packaged and
ready for retail trade)
40
Excluded plants
• Bulnesia sarmientoi (Appendix II, applies only to logs,
sawn wood, veneer sheets, plywood, powder and
extracts, and all other parts and derivatives are not
subject to the provisions of the Convention)
41
Excluded plants
• Hoodia spp. (Appendix II, applies to all
parts and derivatives except those bearing
a label “Produced from Hoodia spp.
material obtained through controlled
harvesting and production in collaboration
with the CITES Management Authorities of
Botswana/Namibia/South Africa under
agreement no. BW/NA/ZA xxxxxx”)
• However, this system has not yet been
implemented, so no parts and derivatives
of Hoodia spp, are currently exempted
42
Personal and household effects
Travelling exhibits
Coral sand and fragments
Fossil coral
43
Personal and household effects
• The provisions of CITES do not apply to specimens that
are personal or household effects, except for:
– Appendix I specimens are acquired by the owner outside his
State of usual residence, and are being imported into that State
– Appendix II specimens acquired by the owner outside his State of
usual residence and in a State where removal from the wild
occurred, and which are being imported into the owner's State of
usual residence, and the State of export requires export permits
(unless the specimens are determined by the Management
Authority to be pre-Convention specimens)
• When the exemption does not apply, CITES documents
are required
44
Personal and household effects
• Parties have agreed to not require export permits or reexport certificates, for personal or household effects
which are dead specimens, parts or derivatives of
Appendix-II species except
– where they have been advised that the other Party involved in
the trade requires such documents; or
– for the following, where the quantity exceeds the specified limits:
• Caviar of sturgeon species (Acipenseriformes spp.) – up to a
maximum of 125 grams per person whereby the container has to
be labelled in accordance with Resolution Conf. 12.7 (Rev.
CoP14)
45
Personal and household effects
• Rainsticks of Cactaceae spp. – up to three specimens per
person
• Specimens of crocodilian species – up to four specimens
per person
• Queen conch (Strombus gigas) shells – up to three
specimens per person
• Seahorses (Hippocampus spp.) – up to four specimens per
person
• Giant clam (Tridacnidae spp.) shells – up to three
specimens, each of which may be one intact shell or two
matching halves, not exceeding 3 kg per person
46
Travelling exhibits
• A Management Authority may waive CITES requirements
and allow the movement without permits or certificates of
specimens which form part of a travelling zoo, circus,
menagerie, plant exhibition or other travelling exhibition
provided that:
– the exporter or importer registers full details of such specimens
with that Management Authority
– the specimens are either captive-bred or pre-Convention
– the Management Authority is satisfied that any living specimen
will be transported and cared for as to minimize the risk of injury,
damage to health or cruel treatment
47
Excluded coral specimens
• The Parties have agreed that coral sand and coral
fragments are not readily recognizable and not covered
by the provisions of CITES
– Coral sand is material consisting entirely or in part of finely
crushed fragments of dead coral no larger than 2 mm in diameter
and which are not identifiable to the level of genus
– Coral fragments (including gravel and rubble)
are unconsolidated fragments of broken
finger-like dead coral and other material
between 2 and 30 mm in diameter,
which is not identifiable to the level
of genus
48
Excluded fossils
• Fossils of Heliopora coerulea (blue coral), Scleractinia
spp. (stony corals), Tubiporidae spp. (organ-pipe corals),
Milleporidae spp. (fire corals) and Stylasteridae spp. (lace
corals) are not subject to the provisions of CITES
Fossilized coral made into jewellery
49
Summary
• Inclusion of animal and plant species under CITES
control can be done at the level of species, subspecies,
or geographically separate populations
• Certain parts and derivatives of Appendix II plants, and
Appendix III plants and animals, can be included in the
Appendices, to the exclusion of all others
• Finished products made with Appendix II and Appendix III
plants are generally included in CITES, unless specifically
excluded
50
Summary
• Under certain conditions, hybrid animals and some hybrid
plants containing CITES-listed species may be excluded
from CITES controls
• Certain items that cannot be readily recognizable, such
as coral sand and fragments, and coral fossils, are
excluded from CITES controls (no document required)
• Under certain circumstances, personal and household
effects, and specimens in travelling exhibits, may be
excluded from CITES controls (no document required)
51
CITES Secretariat
Geneva
www.cites.org
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