Identification of assets - national procedures for ICC proceedings

Australia

Australia - ICC Act 2002 (2016)

Part 4—Other requests by ICC

Division 14—Identification, tracing, and freezing or seizure, of proceeds of crimes within the jurisdiction of the ICC


Subdivision A—Preliminary


81 Application of Division

This Division applies if:

(a) the ICC makes a request to the Attorney General for the identification, tracing, and freezing or seizure, of the proceeds of a crime within the jurisdiction of the ICC; and
(b) the Attorney General is satisfied that a person (in this Division called the defendant):
(i) has been, or is about to be, charged with the crime before the ICC; or
(ii) has been convicted by the ICC of the crime.


Subdivision B—Restraining orders


82 Applying for and making restraining orders

(1) If the request from the ICC referred to in section 81 involves the making of a restraining order, the Attorney-General is to authorise a proceeds of crime authority to apply to a specified court for a restraining order against the property concerned.

(2) The court specified must be a court with proceeds jurisdiction in a State or Territory in which the property, or some or all of the property, is reasonably suspected of being located.

(3) If so authorised, a proceeds of crime authority may apply for such a restraining order against that property in respect of the crime.

(4) Part 2-1 of the Proceeds of Crime Act applies to the application, and to any restraining order made as a result.

(5) It applies as if:
(a) references in that Part to an indictable offence were references to the crime within the jurisdiction of the ICC; and
(b) references in that Part to a court with proceeds jurisdiction were references to the court specified in the authorisation under subsection (1); and
(c) references in that Part to a person charged with an indictable offence were references to a person against whom a criminal proceeding in respect of a crime within the jurisdiction of the ICC has commenced in the ICC; and
(d) references in that Part to it being proposed to charge a person with an indictable offence were references to it being reasonably suspected that criminal proceedings are about to commence against the person in the ICC in respect of a crime within the jurisdiction of the ICC; and
(e) paragraphs 17(1)(e) and (f), subsections 17(3) and (4) and sections 18 to 20, 29, 44 and 45 of that Act were omitted

83 Excluding property from restraining orders

If:

(a) a court makes a restraining order under Part 2 1 of the Proceeds of Crime Act against property in respect of the crime within the jurisdiction of the ICC; and
(b) a person having an interest in the property applies to the court under Division 3 of Part 2 1 of that Act for an order varying the restraining order to exclude the person’s interest from the restraining order;
the court must grant the application if the court is satisfied that:
(c) in a case where the applicant is not the defendant:
(i) the applicant was not, in any way, involved in the commission of the crime; and
(ii) if the applicant acquired the interest at the time of or after the commission, or alleged commission, of the crime—the property was not proceeds of the crime; or
(d) in any case—it is in the public interest to do so having regard to any financial hardship or other consequence of the interest remaining subject to the order.


84 When restraining order ceases to be in force

(1) If, at the end of the period of one month after the making of a restraining order in reliance on the proposed charging of a person with a crime within the jurisdiction of the ICC, the person has not been charged with the crime or a related crime within the jurisdiction of the ICC, the order ceases to be in force at the end of that period.

(2) If:

(a) a restraining order is made in reliance on a person’s conviction of a crime within the jurisdiction of the ICC or the charging of a person with such a crime; or
(b) a restraining order is made in reliance on the proposed charging of a person with a crime within the jurisdiction of the ICC and the person is, within one month after the making of the order, charged with the crime or a related crime within the jurisdiction of the ICC;
the following provisions have effect:
(c) if the charge is withdrawn and the person is not charged with a related crime within the jurisdiction of the ICC within 28 days after the day on which the charge is withdrawn, the restraining order ceases to be in force at the end of that period;
(d) if the person is acquitted of the charge and the person is not charged with a related crime within the jurisdiction of the ICC within 28 days after the day on which the acquittal occurs, the restraining order ceases to be in force at the end of that period;
(e) if some or all of the property subject to the restraining order is forfeited under Part 11, the restraining order, to the extent to which it relates to that property, ceases to be in force when that property is forfeited;
(f) the restraining order ceases to be in force if and when it is revoked.


Subdivision C—Production orders relating to crimes within the jurisdiction of the ICC


85 Requests for production orders

(1) If:

(a) the request from the ICC referred to in section 81 involves the issue of a production order requiring that a property tracking document be produced or made available for inspection in accordance with Australian law; and
(b) the Attorney General is satisfied that:
(i) the request relates to an investigation being conducted by the Prosecutor or a proceeding before the ICC; and
(ii) there are reasonable grounds for suspecting that a property tracking document in relation to the crime is located in Australia;
the Attorney General may authorise an authorised officer of an enforcement agency to apply to a magistrate of a specified State or Territory for a production order under the Proceeds of Crime Act in respect of the crime for the purpose of obtaining possession of the property tracking document.

(2) The State or Territory specified must be a State or Territory in which the document is, or some or all of the documents are, reasonably suspected of being located.


86 Applying for and making production orders

(1) If so authorised, the authorised officer may apply for such a production order against the property in respect of the crime.

(2) Part 3 2 of the Proceeds of Crime Act applies to the application, and to any production order made as a result.

(3) It applies as if:

(a) references in that Part to an indictable offence or to a serious offence were references to the crime within the jurisdiction of the ICC; and
(b) references in that Part to a magistrate were references to a magistrate of the State or Territory specified in the authorised officer’s authorisation under subsection 85(1); and
(c) subparagraphs 202(5)(a)(ii) and (iii) and (c)(ii) and (iii), paragraph 202(5)(e) and subsection 205(1) of that Act were omitted.


87 Retaining produced documents

(1) An authorised officer who takes possession of a document under a production order made in respect of a crime within the jurisdiction of the ICC may retain the document pending a written direction from the Attorney General as to how to deal with the document.

(2) Directions from the Attorney General may include a direction that the document be sent to the ICC.


Subdivision D—Notices to financial institutions


88 Giving notices to financial institutions

(1) The Attorney General or a senior Departmental officer may give a written notice to a financial institution requiring the institution to provide to an authorised officer any information or documents relevant to any one or more of the following:

(a) determining whether an account is held by a specified person with the financial institution;
(b) determining whether a particular person is a signatory to an account;
(c) if a person holds an account with the institution, the current balance of the account;
(d) details of transactions on such an account over a specified period of up to 6 months;
(e) details of any related accounts (including names of those who hold those accounts);
(f) a transaction conducted by the financial institution on behalf of a specified person.

(2) The Attorney General or the senior Departmental officer must not issue the notice unless he or she reasonably believes that giving the notice is required:

(a) to determine whether to take any action under this Division, or under the Proceeds of Crime Act in connection with the operation of this Division; or
(b) in relation to proceedings under this Division, or under the Proceeds of Crime Act in connection with the operation of this Division.

(3) In this section:
senior Departmental officer has the same meaning as in the Proceeds of Crime Act.


89 Contents of notices to financial institutions

The notice must:

(a) state that the officer giving the notice believes that the notice is required:
(i) to determine whether to take any action under this Division, or under the Proceeds of Crime Act in connection with the operation of this Division; or
(ii) in relation to proceedings under this Division, or under the Proceeds of Crime Act in connection with the operation of this Division;
(as the case requires); and
(b) specify the name of the financial institution; and
(c) specify the kind of information or documents required to be provided; and
(d) specify the form and manner in which that information or those documents are to be provided; and
(e) state that the information or documents must be provided within 14 days after the day on which the notice is received; and
(f) if the notice specifies that information about the notice must not be disclosed—set out the effect of section 92 (disclosing existence or nature of a notice); and
(g) set out the effect of section 93 (failing to comply with a notice).


90 Protection from suits etc. for those complying with notices

(1) No action, suit or proceeding lies against:

(a) a financial institution; or
(b) an officer, employee or agent of the institution acting in the course of that person’s employment or agency;

in relation to any action taken by the institution or person under a notice under section 88 or in the mistaken belief that action was required under the notice.

(2) A financial institution which, or an employee or agent of a financial institution who, provides information under a notice under section 88 is taken, for the purposes of Part 10.2 of the Criminal Code (offences relating to money laundering), not to have been in possession of that information at any time.


91 Making false statements in applications

A person is guilty of an offence if:

(a) the person makes a statement (whether orally, in a document or in any other way); and
(b) the statement:
(i) is false or misleading; or
(ii) omits any matter or thing without which the statement is misleading; and
(c) the statement is made in, or in connection with, a notice under section 88.

Penalty: Imprisonment for 12 months or 60 penalty units, or both.


92 Disclosing existence or nature of notice
A person is guilty of an offence if:

(a) the person is given a notice under section 88; and
(b) the notice states that information about the notice must not be disclosed; and
(c) the person discloses the existence or nature of the notice.

Penalty: Imprisonment for 2 years or 120 penalty units, or both.


93 Failing to comply with a notice

A person is guilty of an offence if:

(a) the person is given a notice under section 88; and
(b) the person fails to comply with the notice.

Penalty: Imprisonment for 6 months or 30 penalty units, or both.

Note: Sections 137.1 and 137.2 of the Criminal Code also create offences for providing false or misleading information or documents.


Subdivision E—Monitoring orders relating to crimes within the jurisdiction of the ICC


94 Requests for monitoring orders

(1) If:

(a) the request from the ICC referred to in section 81 involves the issue of an order directing a financial institution to give information about transactions conducted through an account with the financial institution in Australia; and
(b) the Attorney General is satisfied that:
(i) the request relates to an investigation being conducted by the Prosecutor or a proceeding before the ICC; and
(ii) information about transactions conducted through the account with the financial institution in Australia is reasonably suspected of being relevant to the investigation or proceedings;
the Attorney General may authorise an authorised officer of an enforcement agency to apply to a judge of a specified court for a monitoring order under the Proceeds of Crime Act in respect of the crime within the jurisdiction of the ICC for the purpose of obtaining the information requested by the ICC.

(2) The court specified must be a court of a State or Territory that has jurisdiction to deal with criminal matters on indictment.


95 Applying for and making monitoring orders

(1) If so authorised, the authorised officer may apply for such a monitoring order against the account in respect of the crime.

(2) Part 3 4 of the Proceeds of Crime Act applies to the application, and to any monitoring order made as a result.

(3) It applies as if:

(a) references in that Part to a serious offence were references to a crime within the jurisdiction of the ICC; and
(b) disclosing the existence or the operation of the order for the purpose of complying with a person’s obligations under section 96 of this Act were a purpose specified in subsection 223(4) of the Proceeds of Crime Act.


96 Passing on information given under monitoring orders

If an enforcement agency is given information under a monitoring order made in relation to a crime within the jurisdiction of the ICC, the enforcement agency must, as soon as practicable after receiving the information, pass the information on to:

(a) the Attorney General; or
(b) an APS employee in the Attorney General’s Department specified by the Attorney General by written notice to the enforcement agency.


Subdivision F—Search warrants relating to proceeds of crime and property tracking documents


97 Requests for search warrants

(1) If:

(a) the request from the ICC referred to in section 81 involves the issue of a search warrant relating to the proceeds of the crime within the jurisdiction of the ICC or a property tracking document; and
(b) the Attorney General is satisfied that:
(i) the request relates to an investigation being conducted by the Prosecutor or a proceeding before the ICC; and
(ii) proceeds of the crime, or a property tracking document in relation to the crime, is reasonably suspected of being located in Australia;
the Attorney General may authorise an authorised officer of an enforcement agency to apply to a magistrate of a specified State or Territory for a search warrant under the Proceeds of Crime Act in relation to the proceeds or document.

(2) The State or Territory specified must be a State or Territory in which:

(a) the proceeds, or some or all of the proceeds, are reasonably suspected of being located; or
(b) the document is, or some or all of the documents are, reasonably suspected of being located.

98 Applying for and issuing search warrants

(1) If so authorised, the authorised officer may apply for such a search warrant, in relation to those proceeds or that document, in respect of the crime.

(2) Part 3 5 of the Proceeds of Crime Act applies to the application, and to any search warrant issued as a result.

(3) It applies as if:

(a) references in that Part to a property tracking document were references to a property tracking document relating to the crime; and
(b) references in that Part to a magistrate were references to a magistrate of the State or Territory specified in the authorised officer’s authorisation under subsection 97(1); and
(c) paragraph 228(1)(d) and sections 256 to 258 of that Act were omitted.


99 Seizure of other property and documents

(1) A search warrant issued under Part 3 5 of the Proceeds of Crime Act in relation to a crime within the jurisdiction of the ICC authorises an authorised officer to seize property or a thing that he or she finds and believes on reasonable grounds to be:

(a) proceeds of the crime or a property tracking document in relation to the crime, although not of the kind specified in the warrant; or
(b) proceeds of, or a property tracking document in relation to, another crime within the jurisdiction of the ICC in relation to which a search warrant issued under that Part is in force; or
(c) something that:
(i) is relevant to a proceeding in the ICC in respect of the crime within the jurisdiction of the ICC; or
(ii) will afford evidence as to the commission of an Australian criminal offence.
(2) However, this section only applies if the authorised officer believes on reasonable grounds that it is necessary to seize the property or thing in order to prevent its concealment, loss or destruction or its use in committing an offence.


100 Return of seized property to third parties

(1) A person who claims an interest in property (other than a property tracking document) that has been seized under a search warrant issued under Part 3 5 of the Proceeds of Crime Act in relation to a crime within the jurisdiction of the ICC may apply to a court for an order that the property be returned to the person.

(2) The court must be a court of the State or Territory in which the warrant was issued that has proceeds jurisdiction.

(3) The court must order the head of the authorised officer’s enforcement agency to return the property to the applicant if the court is satisfied that:

(a) the applicant is entitled to possession of the property; and
(b) the property is not proceeds of the relevant crime within the jurisdiction of the ICC; and
(c) the person who is believed or alleged to have committed the relevant crime within the jurisdiction of the ICC has no interest in the property.

(4) If the court makes such an order, the head of the authorised officer’s enforcement agency must arrange for the property to be returned to the applicant.

(5) This section does not apply to property that has been seized because it may afford evidence as to the commission of an Australian criminal offence.


101 Dealing with seized property (other than property tracking documents)
Property covered by this section

(1) Property (other than a property tracking document) must be dealt with in accordance with this section if:

(a) it has been seized under a search warrant issued, pursuant to an authorisation under section 97, under Part 3 5 of the Proceeds of Crime Act in relation to a crime within the jurisdiction of the ICC; and
(b) it has not been seized under paragraph 99(1)(c).
General rule—property to be returned after 30 days

(2) If, at the end of the period of 30 days after the day on which the property was seized:

(a) a forfeiture order in relation to the property has been registered in a court under Part 11; and
(b) a restraining order has not been made under Subdivision B in respect of the property in relation to the crime within the jurisdiction of the ICC;
the head of the enforcement agency whose authorised officer seized the property must, unless subsection (3), (5) or (7) applies, arrange for the property to be returned to the person from whose possession it was seized as soon as practicable after the end of that period.
Effect of restraining orders being registered or obtained

(3) If, before the end of that period, a restraining order is made under Subdivision B in respect of the property in relation to the crime within the jurisdiction of the ICC, the head of the enforcement agency whose authorised officer seized the property:

(a) if there is in force, at the end of that period, a direction by a court that the Official Trustee take custody and control of the property—must arrange for the property to be given to the Official Trustee in accordance with the direction; or
(b) if there is in force at the end of that period an order under subsection (6) in relation to the property—must arrange for the property to be retained until it is dealt with in accordance with another provision of this Act or the Proceeds of Crime Act.

(4) If the property is subject to a direction of a kind referred to in paragraph (3)(a), the Proceeds of Crime Act applies to the property as if it were controlled property within the meaning of that Act.
Retaining property despite restraining orders

(5) If, at a time when the property is in the possession of the head of the enforcement agency whose authorised officer seized the property, a restraining order has been made under Subdivision B in respect of the property in relation to the crime within the jurisdiction of the ICC, the head of the enforcement agency may apply to the court in which the restraining order was registered, or by which the restraining order was made, for an order that the head of the enforcement agency retain possession of the property.

(6) If the court is satisfied that the head of the enforcement agency requires the property to be dealt with in accordance with a request under section 81 that the restraining order be obtained, the court may make an order that the head of the enforcement agency may retain the property for so long as the property is so required.
Effect of forfeiture orders by the ICC being registered or obtained

(7) If, while the property is in the possession of the head of the enforcement agency whose authorised officer seized it, a forfeiture order in respect of the property is registered in a court under Part 11, the head of the enforcement agency must deal with the property as required by the forfeiture order.


102 Dealing with seized property tracking documents

(1) An authorised officer who takes possession of a property tracking document under a warrant issued in respect of a crime within the jurisdiction of the ICC may retain the document for a period not exceeding one month pending a written direction from the Attorney General as to how to deal with the document.

(2) Directions from the Attorney General may include a direction that the document be sent to the ICC.

Rome Statute

Article 93 Other forms of cooperation

1. States Parties shall, in accordance with the provisions of this Part and under procedures of national law, comply with requests by the Court to provide the following assistance in relation to investigations or prosecutions:

(k) The identification, tracing and freezing or seizure of proceeds, property and assets and instrumentalities of crimes for the purpose of eventual forfeiture, without prejudice to the rights of bona fide third parties; and