Catawiki & CITESCITES GUIDELINES

Topics

These guidelines discuss the following:

1. CITES rules & regulations2. Applicability of CITES rules3. Article 10 Certificate4. Pre-1947 antiques5. Elephant-Ivory guidelines6. Most commonly-met items

a. Ivoryb. Mammalsc. Reptilesd. Birdse. Sea lifef. Plants & trees

7. Know-how base

In order to help you learn more about CITES regulations, we’ve prepared these guidelines for general information purposes. The information presented is not legal advice, may not be current and is subject to change without notice.

The legislation of your country might be stricter or differ from the information given in these guidelines. Therefore always make sure to check your national legislation on the trade and purchase of protected species and ivory.

At Catawiki we take CITES Regulations very seriously.

CITES Rules & Regulations

CITES legislation is the control mechanism governing the worldwide trade in endangered species. The legislation was enacted within the EU in 1974/5. This legislation is considered retrospective, i.e. it concerns anything made from June 1947 until now (the age ‘threshold’ set by the CITES authorities). Anything before this date is considered an antique (and described as ‘pre-1947’).

Worldwide rulesCITES regulations cover a wide range of wildlife and plant species, including all parts and derivatives (i.e. items made from them).

A species’ population status (‘endangered’, ‘threatened’, ‘stable’ etc.) governs the scope of the protection and restrictions on trade.

National rulesNote: different countries within the EU may also have their own national CITES rules and regulations. Individual States’ Wildlife Authorities should be contacted if in any doubt (see slide 21 for CITES contact details).

Applicability of CITES Rules

CITES vs EU rulesDue to the implementation of the CITES legislation into EU law, there are multiple documents to take into account. It’s important you know where to look.

CITES Appendices & EU Annexes● CITES legislation consists of lists of species that have different levels or types of protection (the ‘Appendices’).● These Appendices have been ‘translated’ into EU regulation (so-called ‘Annexes’).

Non CITES itemsSpecies NOT listed under CITES legislation are usually described as ‘non-CITES’ and can be freely bought and sold.

Pre-1947 antiquesFor CITES purposes, all items dated pre-1947 are classified as antiques and other rules may apply.More information on slide 8.

Applicability of CITES rules

Annex A ● All CITES Appendix I species● Some CITES Appendix II and III species,

for which the EU has adopted stricter domestic measures

● Some non-CITES species

Annex B ● All other CITES Appendix II species● Some CITES Appendix III species● Some non-CITES species

Annex C ● All other CITES Appendix III species

Annex D ● Some CITES Appendix III species for which the EU holds a reservation

● Some non-CITES species

Appendix I

Species most endangered among CITES-listed animals and plants. Trade is only allowed with an Article 10 Certificate (‘Commercial Use’).

Appendix II

Species threatened with extinction if not controlled. International trade in specimens of species may be authorised by the granting of an import/export permit or re-export certificate.

Appendix III

Species included at the request of a party that already regulates trade in the species and that needs the cooperation of other countries. International trade in specimens of species listed in this Appendix is allowed only on presentation of the appropriate permits or certificates.

Applicability of CITES rules

Appendix I / Annex A

An Article 10 Certificate is required (see next slide).

Appendix II / Annex A

An Article 10 Certificate is required (see next slide).

Appendix II / Annex B

EU → non-EU: export permit required / non-EU → EU: import permit required

Note: Wildlife Authorities do not generally issue Export permits without proof of Import permission at the point of entry; and once again, the reverse is true – Import permits often require proof of Export permission!

If an item listed on Annex B is already within the EU, it is good to sell. If it is outside of the EU, it is not advisable to submit it to our auctions – there are extra expenses involved for both buyer and seller, and there is no guarantee that such Export or Import permits will be issued. Fees are generally never refunded.

Appendix III / Annexes C & D

Appendix III and Annexes C and D are export-import related and are in addition to the above (does generally not apply for lots at Catawiki, as they relate mostly to ‘living specimens’).

Article 10 CertificateArticle 10 Certificate, paragraph 19(b): This Certificate permits ‘Commercial Use’ of the item - amongst other things: the sale, purchase, hire and display of the specific item within the bounds of the European Union. Information about how to apply and the costs can be found here.

Important notes for Catawiki’s auctions● In the case of Appendix I and/or Annex A Lots, a clear and legible photograph of the Article 10 including paragraph

19(b) (‘Commercial Use’) should be added to the lot’s images ○ Personal details should be blanked out in the interest of privacy. ○ Paragraph 19(b) (‘Commercial Use’) must be readily visible as part of the image of the original Certificate and not

an image of a photocopy. ○ By law, Article 10 Certificates must be in the name of the person owning and selling the item in question.

● Once an Article 10 is issued, it is sent to the owner of the item from the relevant CITES/Wildlife Authority, but it remains the property of the Issuing Authority. The seller must be able to provide the original Certificate when required.

● The seller is required to enclose a photocopy of the Certificate when shipping the item to the buyer, and then return the original Certificate to the Issuing Authority, together with the buyer’s personal details - this is to prevent future fraud. The photocopy proves the change of ownership. If the buyer decides to sell the item on, he/she should forward the photocopy to the Issuing Authority together with an Article 10 Application, in order to obtain a new CITES Article 10 Certificate, making the item once again lawful to sell.

CITES & Catawiki Guidelines

1. Items that were manufactured before 1947 and that are made of, or contain CITES protected species according to Appendix I and/or Annex A, and that did not have any substantial alterations or repairs/restorations after 1947

○ Such items are exempted from the CITES regulations, but

○ for Catawiki to accept such a lot, the lot must be accompanied by an Appraisal Report issued by an Independent Authorised Appraiser. Such an Appraiser is an expert in the relevant field. The Appraisal report must contain the following:

The Appraiser’s official headed paper ii. Image(s) of the item

A full description of the item detailing material, age (ie, pre-1947) and origin

○ Catawiki applies more strict guidelines for items made of, or containing Elephant ivory (see slide 10)We no longer accept any item that is made of, or that contains post-1900 Elephant ivory

2. Items that were manufactured after 1947 or that have had any substantial alterations or repairs/restorations after 1947 and are made of, or now contain CITES protected species i.e. Appendix I and/or Annex A Such items require a CITES Article 10 Certificate (‘Commercial Use’)

We recognise that continuing to list ‘modern day’ ivory for sale at auction could be viewed as in some way contributing to the pressure for poaching. Catawiki has therefore taken the decision to no longer accept any post-1900 elephant ivory in our auctions.

So what does this mean in practice?Does it mean that antique ivory items are no longer permitted? Not at all, but Catawiki’s new Guidelines introduced as of 1st January 2019 have been carefully drafted to guarantee that only certifiably pre-1900 items are listed at auction.

For us to be able to accept lots containing pre-1900 ivory for auction, sellers are now required to obtain an Appraisal Report from a certified Appraiser (or a trusted Expert who is fully able to properly assess and identify the ivory).

Before proceeding further, it is strongly recommended that sellers first submit the item, so our Category Experts can check if the lot in question is suitable, before going to the expense of obtaining an Appraisal Report. In that case our Experts will inform you that your lot is suitable but requires an Appraisal Report before it can be auctioned.

Elephant - Ivory Guidelines 1

For items made of elephant ivory, we ask for an extended Appraisal Report, which must contain the following:

1. The appraiser’s confirmation that he/she has physically inspected the item in question (digital inspections are not acceptable)

2. A full description of the item, to properly and fully identify it3. Size of the item4. Photographs of the item (minimum of 1)5. Species name (for example, elephant)6. The ‘effective’ date of the item, confirming it is from 1900 or earlier7. A statement confirming that the Appraiser has no present or prospective interest (financial or otherwise) in the item8. The report should include the date when the report was completed and signed, the name of the appraiser, together

with the appraiser’s full contact details

A clearly readable photographic image of the report should accompany pre-1900 ivory lots submitted for final approval. Catawiki cannot guarantee that your item will be accepted for our auctions, even if a complete report has been provided.

If further information or advice is required, please contact our Customer Support team.

Elephant - Ivory Guidelines 2

Most commonly seen items

On the next slides you will find information about several animal and plant species that are most commonly seen on Catawiki.

a. Ivoryb. Mammalsc. Reptilesd. Birdse. Sea lifef. Plants

a) Ivory 1Ivory can be used in a variety of different objects, which can include but are not limited to:

● Fashion & jewellery, e.g.:○ Ivory cufflinks○ Ivory pendant○ Ivory brooch

● Kitchen utensils, e.g.:○ Cutlery with ivory handles○ Ivory chopsticks

● Instruments, e.g.: ○ Ivory piano keys

Rhinoceros (Worldwide ban on rhinoceros products!)Regardless of any possible future changes to the legislation Catawiki does not accept any products made of rhino horn

ElephantWe no longer accept any post-1900 elephant ivory. Any pre-1900 elephant ivory requires an Appraisal Report as described in the Catawiki elephant ivory guidelines

MammothCITES: No certificate requiredHowever, documentary proof is required, confirming the material is mammoth ivory and not elephant ivory, e.g. in form of an invoice, certificate of authenticity, appraisal report

OxCITES: No certificate requiredHowever, documentary proof is required, confirming the material is ox horn and not rhinoceros horn, e.g. in form of an invoice, certificate of authenticity, appraisal report

a) Ivory 2Ivory can be used in a variety of different objects, which can include but are not limited to:

● Board games & figures, e.g.: ○ Chess pieces

● Antiques, e.g.:○ African ivory statue○ Ivory handled walking stick○ Japanese netsuke (orig. garment toggles)○ Miniature with parts of ivory○ Hand fan with ivory handle & spines

● Scientific instruments, e.g.:○ Ivory travel compass

HippopotamusCITES Appendix II applies, no Certificate required for trade within the EU

WalrusCITES Appendix III, Annex B applies, no Certificate required for trade within the EU

Sperm whaleCITES Appendix I applies, Article 10 Certificate (‘Commercial Use’) required

Grizzly bearCITES Appendix I, Annex A applies, Article 10 (‘Commercial Use’) Certificate required for trade within the EU

Polar, brown & black bearCITES Appendix II, Annex B, no Certificate required for trade within the EU

African lionCITES Appendix II, Annex B applies, no Certificate required for trade within the EU (applies to all parts of lion incl. skull, claws, bones and teeth)

Cheetah, leopard, jaguar & tigerCITES Appendix I, Annex A applies, Article 10 Certificate (‘Commercial Use’) required

Puma & cougar/mountain lionCITES Appendix II, Annex B applies, no Certificate required for trade within the EU

b) Mammals

Items consisting of or containing the skin, bone, teeth or other parts of these animals can often be found in:

● Fashion, e.g.:○ Fur coats○ Fur hats

● Design, e.g.:○ Chair with lion skin○ Puma skin rug

CrocodileCITES Appendix II, Annex B applies, no Certificate required for trade within the EU, with few exceptions, check: www.speciesplus.net

SnakeCITES Appendix II, Annex B applies, no Certificate required for trade within the EU, with few exceptions, check: www.speciesplus.net

c) Reptiles

Items consisting of or containing the skin, bone, teeth or other parts of these animals can often be found in:

● Watches, e.g.:○ Tortoise shell case of pocket watch○ Crocodile skin wristband

● Fashion, e.g.:○ Snakeskin bag○ Crocodile shoes○ Turtle shell hair pin

Tortoise & turtleCITES Appendix I and II apply – may require Certificate – often difficult to identify, therefore important to check www.speciesplus.net

Birds of preyAll birds of prey (incl. owls)

Annex A applies, Article 10 Certificate (‘Commercial Use’) required, with few exceptions, check: www.speciesplus.net

OstrichCITES Appendix II, Annex B applies - may require Certificate depending on the species, therefore important to check: www.speciesplus.net

Birds of paradiseCITES Appendix II, Annex B applies, no Certificate required for trade within the EU

Macaw & cockatooCITES Appendix I, Annex A applies, Article 10 Certificate (‘Commercial Use’) required, with few exceptions, check: www.speciesplus.net

d) Birds

Items consisting of or containing the skin, bone, feathers or other parts of these animals can often be found as items such as:

● Fashion, e.g.:○ Ostrich skin bag○ Ostrich skin shoes

● Taxidermy, e.g.:○ Mounted macaw

● Curio, e.g.:○ Painted ostrich egg

Giant clamCITES Appendix II, Annex B applies, no Certificate required for trade within the EU

SawfishCITES Appendix I, Annex A, Article 10 Certificate (‘Commercial Use’) required, with few exceptions, check: www.speciesplus.net

Whale & dolphinCITES Appendix I, Annex A applies, Article 10 Certificate (‘Commercial Use’) required, with few exceptions, check: www.speciesplus.net

e) Sea life 1

Items consisting of or containing parts of these animals or corals can often be found in items such as:

● Fossils or taxidermy, e.g:○ Swordfish, marlin or sawfish rostrums

● Antiques, e.g.:○ Cane of whale bone○ Whale bone tool set

Swordfish & marlinCITES Appendix II, Annex B, no Certificate required for sale within the EU

Sea turtleTaxidermy specimens: CITES Appendix I or II applies - may require CertificateTurtle shells: CITES Appendix I, Article 10 Certificate (‘Commercial Use’) required, with few exceptions, check: www.speciesplus.net

e) Sea life 2

Items consisting of or containing parts of these animals or corals can often be found in items such as:

● Jewellery, e.g.:○ Coral necklace

● Fashion, e.g.:○ Seal fur coat

SealCITES Appendix II, Annex B in the EU, with a few exceptions which are Appendix I - may require Certificate

Be aware: EU-wide ban in seal products! With the exception of seal products derived from hunts conducted by Inuit or indigenous communities and hunts conducted for Marine Resource Management. Regardless of any possible future changes to the legislation, Catawiki only accepts these products if provided with authorised documentary proof of provenance.

CoralRed coral: CITES: No certificate requiredBlue coral, black Coral & white Coral: CITES Appendix II, Annex B no Certificate required for trade within the EU with few exceptions, check: www.speciesplus.net

Ebonies & mahoganiesDiospyros & Swietenia species

CITES Appendix II and III, Annex B and C apply – may require Article 10 Certificate - check www.speciesplus.net

Guatemalan or Mexican firAbies guatemalensis

CITES Appendix I, Annex A applies, Article 10 Certificate (‘Commercial Use’) required

Chilean pine (‘Monkey puzzle tree’)Araucaria araucana

CITES Appendix I, Annex A applies, Article 10 Certificate (‘Commercial Use’) required

f) Plants & Trees 1

Items consisting of or containing parts of these plants and trees are often offered up in the following auctions:

● Design, e.g.:○ Mahogany wooden cabinet○ Cradle made of fir

● Kitchen utensils, e.g.:○ Mahogany coffee grinder

● Board games & figures, e.g.: ○ Pine chess game

Guaitecas Cypress & Patagonian CypressChilean Cedar - Pilgerodendron uviferumChilean False Larch - Fitzroya cupressoides

CITES Appendix I, Annex A, applies, Article 10 Certificate (‘Commercial Use’) required

f) Plants & Trees 2

Items consisting of or containing parts of these plants and trees are often offered up in the following auctions:

● Musical instruments, e.g.:○ Guitar of cypress wood○ Flute of rosewood

● Antiques, e.g.:○ Yew jewellery box

● Automobilia, e.g.:○ Mascot with yew base Yews

Taxus sp.

CITES Appendix II, Annex B applies, no Certificate required for trade within the EU

Rosewood‘Dalbergia’ species: CITES Appendix II and III, Annex B and C/D apply – may require Article 10 Certificate‘Dalbergia nigra’ species: Appendix I, Annex A applies, Article 10 Certificate (‘Commercial Use’) required

Know-how base

EU CITES RegulationsFor the EU Internal Regulations re. CITES Annexes A, B, C and D, again go to:http://ec.europa.eu/environment/CITES/pdf/trade_regulations/short_ref_guide.pdf - see Page 16

Article 10 CertificateFor an English language application for an Article 10 Certificate, go to:https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/704851/form-fed1012.pdf

CITES list and updatesFor a constantly updated list of CITES listed species: www.speciesplus.net (consult Wikipedia to find the Latin species’ name) or http://checklist.cites.org

For regular CITES email updates including species-listing, go to https://www.CITES.org/

The CITES rules and regulations are subject to regular change and update.

It’s important to keep up-to-date with such changes.

Remember: what is lawful today may not be so tomorrow.

EU CITES Authorities For the list of current CITES Authorities within the EU, go tohttp://ec.europa.eu/environment/CITES/pdf/trade_regulations/short_ref_guide.pdf