CITES Appendices I, II and III — Required Documents and Import/Export Checks

What Are CITES Appendices I, II, and III?

The CITES Appendices I, II, and III are lists established under the Washington Convention, or CITES, categorizing wild fauna and flora regulated in international trade based on their risk of extinction or the need for trade control.

Under CITES, not only the wild animals and plants themselves but also their parts, derivatives, and processed products may be subject to regulation. Therefore, it is essential to verify the appendix classification not only for the export and import of animals and plants but also for items such as leather goods, timber, musical instruments, specimens, ornaments, cosmetic raw materials, pharmaceutical raw materials, research samples, food ingredients, antiques, and artworks.

In practice, the key consideration is not simply whether an item is subject to CITES. When it is regulated, the requirements and procedures, including the permissibility of commercial transactions, issuance of CITES Export Permits, CITES Re-export Certificates, CITES Import Permits, Certificates of Export Approval, Certificates of Import Approval, Certificates of Origin, and export quotas, vary depending on whether the item falls under Appendix I, II, or III.

The appendix classification is not merely a risk ranking. The necessary procedures differ depending on factors such as whether the transaction is an export, import, or re-export, the country of origin, whether the specimen is artificially bred or cultivated, whether it was acquired before the treaty's application, whether it is a processed product, and whether the purpose is commercial or non-commercial.

Scope Covered in This Article

This article explains the differences between CITES Appendices I, II, and III, and highlights key points for verification in export and import operations.

Purpose and Background of the System

The CITES Appendices I, II, and III are not simply lists that uniformly prohibit the international trade of wild flora and fauna. They classify species to prohibit, restrict, or regulate trade according to their risk of extinction, the impact of international trade, and each country’s conservation status.

In international trade, specimens may be traded not only as the animals or plants themselves but also in forms such as leather, timber, bone, horns, coral, shells, specimens, extracts, powders, essences, and processed products. Since the species involved often cannot be identified by product name alone, it is necessary to confirm scientific names, country of origin, processing status, and any applicable appendix annotations.

The purpose of confirming the appendix classification is not merely to determine whether controls are strict or lenient. It is essential for assessing whether an Export Permit is required, a CITES Import Permit is necessary, a Re-export Certificate must be submitted, a Certificate of Origin suffices, the trade falls within export quotas, or domestic legal approvals are needed.

Comparison Table of CITES Appendices I, II, and III

Appendix I is the strictest, followed by Appendix II and Appendix III, which are often seen as progressively less restrictive. However, practical application is more complex than a simple ranking. Even within the same appendix, the necessary procedures differ depending on whether it is export, import, or re-export, the country of origin, the destination country, the processing status, the export purpose, and domestic laws.

What is Appendix I?

Appendix I is the strictest category, covering species that are particularly at risk of extinction and are affected or potentially affected by international trade.

Species listed in Appendix I are generally prohibited from commercial international trade. However, exceptions may be granted for academic research, cooperative conservation programs, specimens obtained before the treaty’s implementation, traveling exhibitions, certain cases of artificial breeding or cultivation, among others.

For Appendix I species, not only is a CITES Export Permit required from the exporting country, but a CITES Import Permit or other prior authorization may also be needed from the importing country. Therefore, it is important not to rely solely on the exporter’s judgment, and to confirm early with the importer, relevant authorities in the destination country, freight forwarders, and customs brokers.

Typical examples include tigers, chimpanzees, some elephants, some rhinoceros species, certain sea turtles, and some rare orchids and cacti. However, listings and applicable scope may be revised, so always verify with the latest Appendix information.

What is Appendix II?

Appendix II covers species that are not necessarily currently at high risk of extinction but could become endangered in the future if international trade is not properly regulated.

Under Appendix II, international trade for commercial purposes may be permitted. However, a CITES Export Permit issued by the exporting country’s government or a CITES Re-export Certificate is required for re-exports.

In practice, Appendix II often presents challenges. Unlike Appendix I, which carries a strong impression of “prohibition in principle,” shippers may assume these species can be exported routinely. However, since a CITES Export Permit or similar documentation is mandatory, a last-minute discovery could cause shipment delays or prevent cargo from meeting vessel or flight schedules.

Additionally, some species listed in Appendix II may be subject to annual export quotas set by the exporting country. When quotas apply, managing details such as permitted quantity, shipment quantity, harvest year, lot number, and whether the specimens are wild-caught or artificially bred/cultivated becomes critically important.

Typical examples include certain crocodilians, some lizard species, many orchids, many cacti, some rosewood species, particular shark species, and sturgeon species related to caviar production. These issues commonly arise in shipments of leather goods, timber products, musical instruments, cosmetic ingredients, and health food raw materials.

Confirmation of Appendix II and Export Quotas

Appendix II covers species for which commercial trade may be permitted, but controlling exports on the exporting country’s side is critical. One of the management tools used is the export quota system.

An export quota limits the quantity of certain species or populations that can be exported within a specified period. When export quotas are in place, whether a CITES Export Permit is issued depends not only on the species being listed in Appendix II but also on whether the quantity falls within the quota, the origin of the batch in question, and the consistency between the permitted quantity and the actual export volume.

For example, when the same raw material is shipped in multiple shipments, when a sample shipment precedes the main shipment, or when stock items are divided and exported in smaller lots, it is essential to carefully manage the quantities on the Export Permit and the actual shipment. Exceeding the quota or discrepancies between the permitted and shipped quantities could cause problems with Export Permits and import procedures in the destination country.

What is Appendix III?

Appendix III covers species for which a particular signatory country seeks international cooperation from other signatories in controlling trade to protect those species within its own borders.

For Appendix III, it is important to identify both which country has listed the species in Appendix III and the country of origin of the cargo. When exporting a species originating from the listing country, relevant CITES Export Permits issued by that government will be required. Conversely, if the species originates from a country other than the listing country, a Certificate of Origin may be necessary.

Compared to Appendices I and II, Appendix III is often considered less stringent, but in practice it can cause misunderstandings. This is especially the case when the country of origin, shipping country, manufacturing country, and transit countries differ, making it critical to carefully verify which documents are required.

Typical examples include specific mammals, birds, reptiles, and timber species listed by individual countries. Since Appendix III is determined based on the relation to the listing country, confirmation of the scientific name and country of origin is essential, not just the trade name.

Concept of Certificate of Origin under Appendix III

The term "Certificate of Origin" under Appendix III does not necessarily mean the general Certificate of Origin commonly used in commercial transactions. For species listed in Appendix III under CITES, a CITES procedural Certificate of Origin may be required to demonstrate that the cargo originates from a country other than the listing country.

In practice, it is necessary to verify whether a general trade Certificate of Origin is sufficient, or if a form and certification involving the CITES management authority are required, as well as which agency issues it in the export country. Because management authorities, issuing formats, and submission methods may vary by country, confirming with the counterpart country and the export country side is especially important for Appendix III cases.

Considerations for Required Documents by CITES Appendix Category

The required documents under each CITES appendix vary depending on whether it is for export, import, or re-export. The general considerations are as follows.

This table provides a general overview. Actual required documents depend on factors such as the type of cargo, CITES appendix category, country of origin, exporting and importing countries, purpose of export, processing status, and domestic laws. In particular, since some importing countries may impose domestic regulations more stringent than CITES, confirming requirements with the counterpart country is also necessary.

Comparison with Other Systems

Decision-Making Process

When verifying the applicable CITES Appendix classification, follow this order:

1. Confirm whether the cargo contains any plant or animal-derived materials.
2. Check the scientific name as accurately as possible, rather than relying only on the product name.
3. Determine whether the item is listed in CITES Appendix I, II, or III.
4. Verify if the scope includes the whole organism, parts, derivatives, or processed products.
5. Confirm the country of origin, export country, manufacturing country, and any transit countries.
6. Identify whether the shipment is an export, import, or re-export.
7. Check if the purpose is commercial or non-commercial, such as exhibition, research, repair, or return.
8. If listed in Appendix II, confirm whether export quotas or permit quantity controls apply.
9. If listed in Appendix III, confirm whether the specimen originates from the country that listed it or from another country.
10. Confirm the required CITES Export Permit, CITES Re-export Certificate, CITES Import Permit, and Certificate of Origin.
11. Check for relevant domestic documents such as Certificates of Export Approval, Certificates of Import Approval, Certificates of Prior Confirmation, and Import Permit Notices.
12. Confirm whether originals of these documents are required for export or import customs clearance.
13. Verify if there are any additional regulations imposed by the importing country.

It is risky for freight forwarders or customs brokers to make final determinations regarding CITES appendix applicability independently. It is important to cooperate with the cargo owner, manufacturer, supplier, application authorities, and the importer in the destination country, proceeding with verification based on the scientific name and country of origin.

Situations Where the System Applies

Application Criteria and Possible Exemptions

Common Practical Issues

Example 1: Exporting Musical Instruments Made with Appendix II Timber

When exporting musical instruments or components made from rare woods such as rosewood from Japan, a description limited to “Instrument” or “Wooden Parts” is insufficient to determine CITES Appendix applicability.

Even if the species falls under Appendix II, commercial trade may be permitted, leading shippers to assume the cargo can be exported as usual. However, it may be necessary to verify CITES Export Permits or export quotas, and discovering this requirement just before shipment can cause booking changes, flight cancellations, or delays in exhibition deliveries.

In practice, it is important to confirm details such as the wood species, scientific name, country of origin, manufacturing year, location of use within the component, scope of regulated parts or derivatives, and import requirements of the destination country. Checking CITES applicability based on each wooden component used, rather than the instrument as a whole, is critical.

Example 2: Confusing the Listing Country and Country of Origin for Appendix III Species

Under Appendix III, a country requests international cooperation to protect species within its borders. Therefore, even for the same species, the required documentation may vary depending on whether the listing country is treated as the country of origin or if the country of origin is outside the listing country.

For example, when cargo involves different export countries, manufacturing countries, countries of origin, and transit countries, there is a risk of incorrectly assuming that a standard Certificate of Origin is sufficient without verifying which country is listed in Appendix III and what qualifies as the cargo’s country of origin under CITES.

In practice, it is important to separately identify the listing country, country of origin, export country, and manufacturing country to determine whether a CITES Certificate of Origin is required or if Export Permits and related documents are needed based on the listing country as the country of origin. Appendix III is not simply a minor category; misidentifying the relationships between countries can easily lead to incorrect documentation.

Example 3: Sending Research Samples for Non-Commercial Purposes

When universities, research institutions, museums, or corporate research departments send animal or plant specimens or samples overseas, there is sometimes a mistaken belief that CITES procedures are unnecessary because the shipment is for non-commercial purposes.

However, under CITES, considerations include not only whether the purpose is commercial, but also the species involved, the Appendix classification, whether there is international movement, the method of acquisition, and the receiving country's import requirements. For Appendix I species, even non-commercial use may require permits from both the exporting and importing countries. For Appendix II, a CITES Export Permit or Re-export Certificate may be necessary.

In practice, it is important to verify details such as the research purpose, receiving institution, scientific name, quantity, preservation condition, acquisition method, transport method, and whether the destination country’s CITES Import Permit or other advance procedures are in place. It is essential not to ship these materials using only standard international courier documents.

Examples of Representative Affected Cargo

Cargo items that often raise concerns regarding CITES appendices include the following:

• Bags, wallets, belts, shoes made from crocodile, lizard, or snake leather
• Lumber, furniture, musical instruments, components made from rosewood, ebony, mahogany, etc.
• Plants such as orchids, cacti, aloe; seedlings, seeds, cut flowers, and processed products
• Decorative items made from ivory, tortoiseshell, coral, shells, bones, horns, etc.
• Taxidermy, specimens, research samples, educational materials
• Foods such as caviar derived from sturgeon
• Cosmetics, health foods, pharmaceutical ingredients containing animal or plant derivatives
• Exhibition samples, promotional items, personal belongings, repair goods, returned items

These cargoes may generally be described in trade documents as "Bag," "Wooden Parts," "Sample," "Decoration," "Cosmetics," "Instrument," etc. However, under CITES, the focus is not on the product name but on the actual animal or plant species contained, their scientific name, country of origin, and processing status.

Common Misconceptions

Items Freight Forwarders and Customs Brokers Should Verify

Freight forwarders and customs brokers need to verify the potential applicability of CITES Appendices when receiving export, import, or re-export instructions from the cargo owner.

The Appendices Are Subject to Revision

The CITES Appendices are not fixed lists. Species listed in Appendices I and II may be added, deleted, transferred between categories, or subject to annotation changes through decisions of the Conference of the Parties. Appendix III listings are made when a specific Party requests cooperation from other Parties for trade control of species protected within its jurisdiction.

Therefore, cargo that was exportable or importable in the past may not be handled under the same procedures today. This is especially important for timber, reptile leather, shark species, plants, cosmetic ingredients, and health supplement ingredients, where regulatory scope and annotations may have changed.

In practice, it is crucial not to rely solely on past handling records, outdated internal documents, or supplier explanations. Instead, always verify the latest CITES lists, guidance from the Ministry of Economy, Trade and Industry and the Ministry of the Environment, as well as regulatory measures in the destination country.

Relation to the CITES Overview, Export Permit, and Re-export Certificate Articles

The CITES Overview article covers the purpose of the Washington Convention, the covered flora and fauna and products, and the overall system framework.

This article focuses specifically on the classifications of Appendices I, II, and III, clarifying how practical procedures differ depending on the applicable category.

For the initial export of CITES-regulated cargo from Japan, refer to the CITES Export Permit article, which details the application documents, B/L or AWB numbers, presentation of originals at export customs clearance, and customs verification sections.

When re-exporting CITES-regulated cargo that was previously imported into Japan from a third country, the CITES Re-export Certificate article should be consulted for information on import documents, Certificates of Import Approval, Import Permit Notices, sales certificates, transfer certificates, and domestic distribution routes.

Summary

The CITES Appendices I, II, and III categorize wild fauna and flora subject to the Washington Convention according to the strictness of regulations and the need for international trade control.

Appendix I represents the strictest category, where international trade for commercial purposes is generally prohibited. Appendix II allows commercial trade in some cases but requires CITES Export Permits or Re-export Certificates, with export quotas posing issues in certain instances. Appendix III involves challenges related to Export Permits or Certificates of Origin depending on the relationship between the listing country and the country of origin.

In practice, it is important not to rely solely on product names but to verify scientific names, country of origin, appendix classification, processing status, acquisition circumstances, whether it is an export or re-export, and import regulations of the destination country.

For freight forwarders and customs brokers, verifying the CITES appendix classification is not just specialized knowledge but a critical operational check that directly impacts shipment feasibility, customs clearance, and import permission in the destination country. Understanding the differences among Appendices I, II, and III and confirming the necessary documents and procedures early on are fundamental to safely handling CITES-regulated cargo.