CITES Appendices I, II, and III – Structure & Application
Purpose: To explain how the three CITES Appendices function, what level of trade control each imposes, and how they apply in practice—especially to plant species and agarwood.
Appendix I – Species Threatened with Extinction
Definition: Appendix I includes species threatened with extinction and affected by international trade. Commercial international trade in wild-sourced specimens is generally prohibited.
Trade Rules:
- Commercial trade: Not permitted (with very limited exceptions)
- Non-commercial trade: Highly restricted
- Both export and import permits required
Typical Characteristics:
- Extremely small or declining populations
- Severe threats from trade and habitat loss
- Highest level of international protection
Plant Examples:
- Certain orchids and cycads
Professional Insight: Appendix I does not mean zero use forever, but it signals the highest conservation risk and strongest controls.
Appendix II – Species Not Necessarily Threatened with Extinction
Definition: Appendix II includes species that are not yet threatened with extinction, but may become so unless trade is strictly regulated.
Trade Rules:
- Commercial trade: Permitted with controls
- Export permit required
- Import permit generally not required (unless stricter national measures apply)
Key Requirement:
- Non-Detriment Finding (NDF) confirming trade will not harm species survival
Why Most Plant Species Are in Appendix II:
- Trade-driven pressure rather than absolute rarity
- Ability to manage sustainably through regulation
Agarwood Status:
- Aquilaria spp. and Gyrinops spp. are listed in Appendix II
- Trade is legal when sourced from approved plantations or compliant systems
Appendix III – Species Protected in at Least One Country
Definition: Appendix III includes species listed unilaterally by a country that needs international cooperation to control trade.
Trade Rules:
- Export permit required from the listing country
- Certificate of origin required from other countries
Purpose:
- Prevent circumvention of national protections
- Act as an early-warning and monitoring mechanism
Professional Insight: Appendix III listings often precede proposals for Appendix II or I.
Comparative Overview
| Appendix | Conservation Risk | Trade Status | Key Permit Requirement |
|---|---|---|---|
| I | Highest | Trade largely prohibited | Export + Import permits |
| II | Moderate / Managed | Trade permitted with controls | Export permit + NDF |
| III | National concern | Trade monitored | Export permit or certificate |
Practical Implications for Traders & Regulators
- Appendix I: Avoid commercial sourcing; focus on conservation or research
- Appendix II: Build robust traceability and NDF support
- Appendix III: Monitor origin carefully and prepare for possible up-listing
Learning Outputs
- Ability to correctly distinguish CITES Appendices I, II, and III
- Understanding of permit requirements per Appendix
- Ability to explain why agarwood trade is legal under Appendix II when compliant