Fact or Fiction: CITES and the ESA
Endangered Species Bulletin, by Tim Van Norman

In my position as Chief of the Branch of Pemlits in the Service's Division of International Affairs, I often speak with people who would like to import or export animals and plants. They may want to import

Many people think that CITES Appendix I and II directly equate to ESA listings as endangered and threatened, and that Appendix III is a special vulnerable category much like those that some states have for their protected wildlife. This is not true. Species listings under CITES and the ESA involve different processes and standards. The listing of a species in Appendix I or II requires a vote of the CITES Parties and international agreement that CITES listing criteria are met, including consideration of whether the species "is or may be affected by trade." The listing of a species under the ESA is done through a U.S. public rulemaking process based on ESA listing standards. Confusion occurs because some species are listed by both CITES and the ESA, while others are only listed by one of them. The following table highlights that there is no direct correlation between how- a species is listed under CITES and how it is listed under the ESA.

Misconception #2: CITES only protects endangered species.

The second misconception originates from the name of the Convention. The word Endangered is featured prominently in the title: Convention on International Trade in Endangered Species of Wild Fauna and Flora. So, people assume that only very rare endangered animals and plants are listed by the treaty. This is not true. CITES provides three levels of protection. Appendix-I species are threatened with extinction. Most CITES species are listed in Appendix II; these are species not currently threatened with extinction, but that may become so unless trade is closely controlled. Appendix II also encompasses "look-alike" species: species that are difficult to distinguish in trade from species listed for conservation reasons.

Even an abundant species may be listed in Appendix II, and many Appendix-II species are widely traded. For example, all parrots, parakeets, macaws, lories, and cockatoos (except the budgerigar, cockatiel, peach-faced lovebird, and rose-ringed parakeet) are listed in CITES. Most are in Appendix II, but a few are listed in Appendix I. Since some parrots species are available in pet stores in the U.S., parrot owners are often surprised to find they need CITES permits to travel internationally with their pet birds.

Misconception #3: CITES only protects wild specimens.

The word Wild in the title of the treaty also confuses permit applicants who think only wild-collected animals and plants require CITES permits. This is not the case. CITES regulates wild and captive-bred animals and wild and artificially propagated plants. When CITES Parties agree to place a species on one of the Appendices, they are recognizing that the demands of international trade are adversely affecting populations in the species' native habitat. The treaty protects all specimens of a listed species to ensure that wild populations are not being adversely impacted by trade in captive specimens. A number of species listed under CITES are captive-bred or artificially propagated, and are readily available in stores or nurseries. These specimens still need CITES permits or certificates to be traded internationally.

In summary, both CITES and the ESA were established to protect species and maintain viable populations in the wild. Through the years, both have made significant contributions to species conservation, often in different ways. Looking at some common misconceptions helps us to better understand the differences between these two important conservation measures.

Tim Van Norman (tim_vannorman@ fws.gov) is Chief of the Branch of Permits-International in the Division of Management Authority in the Service's International Affairs Program in Arlington, Virginia.

Status (Includes Native and Non-Native No. of Species) Species Examples

Appendix I 511 Asian elephant (Elephas maximus),
and Endangered whooping crane (Grus americana),
green pitcher plant
(Sarracenia oreophila)

Appendix I 32 Black howler monkey
and Threatened (Alouatta pigra), loggerhead
sea turtle (Caretta caretta),
Mesa Verde cactus (Sclerocactus
mesae-verdae)

Appendix I 492 Asiatic black bear
only (no ESA) (Ursus thibetanus),
Andros ground iguana
(Cyclura cychlura),
Drury tropical lady's slipper
(Paphiopedilum drury)

Appendix II 86 South American tapir
and Endangered (Tapirus terrestris),
Hawaiian hawk (Buteo
solitarius), Elfin tree
fern (Cyathea dryopteroides)

Appendix II 51 Mexican spotted owl (Strix
and Threatened occidentalis lucida), yacare
caiman (Caiman yacare), eastern
prairie fringed orchid
(Platanthera leucophaea)

Appendix II -30,500 * African lion (Panthera leo),
only (no ESA) grey parrot (Psittacus
erithacus), reticulated
python (Python reticulatus)

Appendix III 10 Barbary deer (Cervus
and Endangered elaphus barbarus), pink
pigeon (Columba mayen)

Appendix III 1 White-breasted guineafowl
and Threatened (Agelastes meleagrides)

Appendix III 231 Walrus (Odobenus rosmarus),
only (no ESA) king vulture (Sarcoramphus
papa), tropical rattlesnake
(Crotalus durissus)

Endangered 958 African wild dog (Lycaon
only (no CITES) pictus), Alabama redbelly
turtle (Pseudemys alabamensis),
scrub mint (Dicerandra
frutescens)

Threatened 244 Koala (Phascolarctos cinereus),
only (no CITES) spectacled eider (Somateria
fischen), island rush rose
(Helianthemum greener)

* Almost all orchids and cacti are listed by CITES,
accounting for the majority of Appendix-II species.

General Overview-ESA and
CITES Permit Requirements

Regulated Activities

ESA * Import or export

* Take of wildlife (within
the United States, within
the territorial seas of the
United States, or upon the
high seas)

* Interstate or foreign
commerce

* Sell or offer for sale

CITES * Import or export
* Introduction from the sea

Permit Findings

ESA * Proposed activity will enhance
propagation or survival of the
species, or be for scientific research,
economic hardship, or
incidental take

* Proposed activity will be for zoological,
exhibition, education, and other purposes
consistent with the ESA (only threatened
species)

* Issuance of the permit will not jeopardize
the continued existence of the species

* Specimen was legally acquired

* Expertise and facilities are adequate to
successfully accomplish the objectives
of the proposed activity

CITES * Proposed activity is not detrimental to the
survival of the species

* Specimen was legally acquired and traded under CITES

* Live specimen will be prepared and shipped humanely