Developed by the CITES Secretariat

1. GreenCustomsKnowledge Series No. 15 Developed by the CITES Secretariat Species, parts and derivatives exempted from CITES control

2. 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?

3. 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

4. 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

5. General applicability

6. 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

7. 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

8. 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

9. 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

10. 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'

11. Excluded animal populations • Antilocapra americana (Appendix I if from Mexico, all other populations are not included in the Appendices)

12. 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

13. 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

14. Excluded animal populations • Ovis canadensis (Appendix II if from Mexico, all other populations are not included in the Appendices)

15. Pecari tajacu (Appendix II, but populations of Mexico and the USA are not included in the Appendices) Excluded animal populations 15

16. All species of the family Cathartidae (New World vultures) are not included in the Appendices Excluded animal populations 16

17. 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) Excluded animal populations 17

18. 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)

19. 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

20. 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 Opuntiasubgenus Opuntia and SelenicereusCactaceae) Finished products of Euphorbia antisyphiliticapackaged and ready for retail trade 20

21. Excluded plants • Aloe vera, also referenced as Aloe barbadensis,which is not included in the Appendices

22. 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)

23. 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) Excluded plants 23

24. 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

25. 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

26. 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 obtainedin vitro, in solid or liquid media, transported in sterile containers; and cut flowers of artificially propagated plants

27. 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 Opuntiasubgenus Opuntia

28. 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, andSchlumbergera truncata(cultivars) • Cactaceae spp. colour mutants grafted on Harrisia 'Jusbertii', Hylocereus trigonus orHylocereus undatus • Opuntia microdasys(cultivars)

29. Excluded plants • Euphorbiaspp. – 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

30. Excluded plants • Euphorbiaspp. – 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)

31. Not exempt Exempt Excluded plants • 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)

32. 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)

33. 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

34. 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

35. Not subject to CITES controls Subject to CITES controls 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

36. 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

37. 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)

38. Hydrastis canadensis (Appendix II, applies only to underground parts such as roots and rhizomes: whole, parts and powdered) Excluded plants 38

39. Nardostachys grandiflora Podophyllum hexandrum Guaiacum spp. Adonis vernalis 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)

40. 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

41. 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)

42. 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

43. Personal and household effects Travelling exhibits Coral sand and fragments Fossil coral

44. 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

45. Personal and household effects Parties have agreed to not require export permits or re-export 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

46. 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

47. 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

48. 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

49. Fossilized coral made into jewellery 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

50. 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