R-06-12 Adopting Asset Forfeiture & Restricted Fines Procedures ManualRESOLUTION NO. R — — I c°
A RESOLUTION ADOPTING AN ASSET FORFEITURE AND RESTRICTED FINES
PROCEDURES MANUAL
WHEREAS, the Village of Lemont desires to adopt an Asset Forfeiture and Restricted
Fines Procedures Manual;
WHEREAS, the President and Board of Trustees find that adopting the attached Village
of Lemont Asset Forfeiture and Restricted Fines Procedures Manual is in the interest of the
public health, safety and welfare of the residents of Lemont;
NOW, THEREFORE, BE IT RESOLVED BY THE PRESIDENT AND BOARD
OF TRUSTEES as follows:
SECTION 1: That the Village of Lemont Asset Forfeiture and Restricted Fines
Procedure Manual, attached as Exhibit A hereto is hereby adopted.
SECTION 2: This Resolution shall be in full force and effect from and after its passage
as provided by law.
SECTION 3: The Village Clerk of the Village of Lemont shall certify to the adoption of
this Resolution and cause the same to be published in pamphlet form.
PASSED AND APPROVED BY THE PRESIDENT AND BOARD OF TRUSTEES OF
THE VILLAGE OF LEMONT, COUNTIES OF COOK, WILL AND DUPAGE,
ILLINOIS on this 3 day of Je,bra,pLI , 2012.
PRESIDENT AND VILLAGE BOARD MEMBERS:
AYES: NAYS: ABSENT: ABSTAIN
Debby Blatzer V
Paul Chialdikas
Clifford Miklos ✓
Ron Stapleton V
Rick Sniegowski t/
Jeanette Virgilio
ATTEST:
CHARLENE M. SMOLLEN
Village Clerk
1
BRI • '. REAVES
President
Village of Lemont
Asset Forfeiture and Restricted Fines Procedures Manual
Adopted February 13, 201.2
TABLE OF CONTENTS
A. Objective 1
B. Asset Forfeitures 1
1. Federal Department of Justice Forfeitures 1
2. State Article 36 Forfeitures 1
3. Other State Forfeitures 2
C. Restricted Use Fines and Penalties 2
1. Court Supervision 2
2. State DUI Fines 2
D. Accounting Procedures and Internal Control 2
1. Bank Account 2
2. General Ledger Accounts 3
3. Forfeiture Logs 3
4. Cash Receipts 3
5. Expenditures 4
6. Interest 4
7. Monthly Reconciliation 4
E. Department of Justice Annual Reporting Requirements 4
F. Record Retention 4
Village of Lemont
Asset Forfeiture and Restricted Fines Procedures Manual
Adopted February 13, 2012
A. Objective
The Asset Forfeiture and Restricted Fines Procedures Manual provides an outline for asset
forfeiture and restricted fine procedures. This manual shall be reviewed on a yearly basis for
possible revisions by the current Village Treasurer and the Police Department to ensure that the
manual is current with industry standards and practices, Illinois Compiled Statutes and the United
States Department of Justice Requirements.
The responsibility for the administration of the asset forfeiture and restricted fine proceeds
procedures has been delegated to the Village Treasurer and the Police Department Office
Manager, who shall implement the following procedures and internal controls, as prescribed by
the Revenue and Cash Management Policy.
B. Asset Forfeitures
The Village is eligible to participate in the sharing of forfeiture proceeds from the following
sources:
1. Federal Department of Justice (DOJ) Forfeitures
The DOJ program is a nationwide law program under which the Attorney General shares
federally forfeited property with participating state and local law enforcement agencies as
outlined in the Equitable Sharing Agreement. Forfeitures processed under the DOJ
Equitable Sharing Agreement are subject to the rules and regulations set forth in the
Agreement
The Village is eligible to participate in the sharing of forfeiture proceeds under the DOJ
Equitable Sharing Agreement if the Village provided personnel to assist with the
investigation that led to the forfeited assets. The equitable shares allocated to a law
enforcement agency must bear a reasonable relationship to the agency's direct
participation in the investigation or law enforcement effort resulting in the forfeiture.
The DOJ Equitable Sharing Guidelines include specific guidelines for permissible uses of
forfeiture asset proceeds. These include law enforcement investigations, training and
machinery and equipment. Refer to the DOJ Equity Sharing Guidelines for additional
details related to permissible uses, included as Attachment A.
2. Article 36 State Forfeitures
Illinois Compiled Statutes 720 ILCS 5/36 provides the Village with the right to seize
vessels, vehicles and aircraft that are used with the knowledge and consent of the owner in
the commission of crimes that are prohibited under certain sections of this law. Proceeds
are to be used for general law enforcement purposes.
1
Village of. Lemont
Asset Forfeiture and Restricted Fines Procedures Manual
Adopted February 13, 2012
3. State General Forfeitures
The Illinois Compiled Statues 725 ILCS 150 entitled "Drug Asset Forfeiture Procedures
Act" and several subsections of 725 ILCS 5 provide guidelines for asset forfeitures. The
proceeds from these forfeitures are typically restricted to expenditures related to the type
of crime that led to the conviction (i.e., proceeds from forfeitures related to drugs must be
spent for the purpose of training or enforcement purposes relating to drug prevention,
investigation, or prosecution of drug crimes). Amounts distributed to units of local
government by the state include the description of the ILCS section that governs the
proceeds. All proceeds shall be used in accordance with the provisions of the Illinois
Compiled Statutes that applies to the proceeds. See 725 ILCS 150 included as Attachment
B.
C. Restricted Use Fines and Penalties
The Illinois Compiled Statutes provides guidelines for the Village to share in the proceeds of
certain types of additional fines or penalties.
1. Court Supervision Vehicle Replacement Fines
Illinois Compiled Statute 625 ILCS 5/16 -104c requires any person who receives a
disposition of court supervision for a violation to pay a $29 fine. Of this fee, $20 shall be
paid to the law enforcement agency that employed the arresting officer and shall be used
for the acquisition or maintenance of police vehicles. See 625 ILCS 5/16 included as
Attachment C.
2. State DUI Restricted Fines
Illinois Compiled Statute 625 ILCS 5/11 -01 assesses an additional administrative fine for
anyone found guilty of violations related to a DUI. If the Village assisted in the arrest, the
Village will receive $350 for DUI 1 (first offense) and $200 for DUI 2 (second offense).
These amounts are processed through the County Clerk's office. Proceeds shall be used to
purchase law enforcement equipment that will assist in the prevention of alcohol related
criminal violence throughout the state. See ILCS 5/11 included as Attachment D.
D. Accounting Procedures and Internal Controls
1. Bank Account
The Village will maintain a separate bank account for asset forfeiture and restricted fine
proceeds. This will be a pooled cash account for all forfeiture and restricted fine
proceeds.
2
Village of Lemont
Asset Forfeiture and Restricted Fines Procedures Manual
Adopted February 13, 2012
2. General Ledger Accounts
The Village will maintain a separate deferred revenue and revenue general ledger
accounts for the following types of asset forfeiture and restricted fine revenues:
a. Federal Department of Justice Forfeitures
b. State Article 36 Forfeitures
c. State General Forfeitures
d. Court Supervision Vehicle Replacement Fines
e. State DUI Restricted Fines
3. Forfeiture Log
The Police Department will maintain a log and supporting copies of all forms filed with
the applicable departments for consideration of shared revenue participation. These
forms include the DOJ DAG forms and the county court orders. The logs will include the
seizure type, amount, share amount requested, amount received and date received. The
Police Department Office Manager will reconcile the log to the general ledger account on
a monthly basis.
4. Cash Receipts
The Village receives proceeds in the foini of a direct deposit for DOJ proceeds and a
check for all other proceeds. The Village shall contact all payees to verify all payments
are made payable to the Village of Lemont and mailed directly to the Finance
Department. The Finance Department processes the cash receipts as follows:
a. When a DOJ receipt is posted in the forfeiture bank account, the Village receives a
notice from the bank. The Police Department also receives an e -share notification
from the DOJ. The Finance Department will record the receipt in the DOJ deferred
revenue account and forward a copy to the Police Department who is responsible for
updating the DOJ forfeiture log.
b. Checks received at the Police Department are processed through the Police
Department cash register'. The Police Department Office Manager will record the
receipt on the Receipt of Issued Funds form and forward to the Finance Department
for recording. This form identifies the general ledger account to which this receipt
should be recorded. The Police Department Office Manager will also update any
applicable log for the forfeiture accounts.
3
Village of Lemont
Asset Forfeiture and Restricted Fines Procedures Manual
A.dopted February 13, 2012
c. Checks received in the Village Finance Department are processed through the main
cash register . The Finance Department will deposit the checks and record the
receipt in a general ledger transfer account. A copy of the check will be sent to the
Police Department who is responsible for general ledger account coding on the
Receipt of Issued Funds form. The Police Department will send the completed faun
to the Finance Department who will allocate the receipt from the transfer account to
the appropriate general ledger deferred revenue account.
5. Expenditures
The asset forfeiture and restricted fine proceeds are restricted to Police Department
expenditures. When the Police Department incurs an expense that would be eligible for
payment from one of the deferred revenue accounts, the Police Department will submit
the invoice for payment along with a Receipt of Issued Funds form that identifies which
forfeiture or restricted fine general ledger account the expense should be applied to. This
fo.ini must be reviewed by the Village Administrator and the Police Chief, who will verify
the expense complies with the restrictive nature of the forfeiture or restricted fine account.
The Village Treasurer will review to verify that there are sufficient funds available in the
general ledger account. In addition, all expenses must be in compliance with the Village
Purchasing Authority Policy. Upon recording the expenditure, the corresponding amount
will be recognized as revenue.
6. Interest
Interest earned in the pooled forfeiture bank account will be allocated to the general
ledger accounts that share in the pooled account on a proportionate basis.
7. Monthly Reconciliation
On a monthly basis, the Finance Department will reconcile the pooled forfeiture bank
account to the general ledger. A copy of the completed reconciliation will be forwarded
to the Police Department for review.
E. Department of Justice Annual Reporting Requirements
On an annual basis, the police department will prepare the DOJ Equitable Sharing Agreement and
Certification. This must be signed by the Police Chief and the Mayor and filed within 60 days of
the fiscal year -end.
F. Record Retention
The Village shall retain for a period of at least seven years all documents and records pertaining
to participation in the DOJ Equitable Sharing Program and all state . forfeiture programs.
1
see additional cash receipts procedures in the Revenue and Cash Management Procedures and Internal Control Manual
4
Foreword
In the nearly 25 years since the Comprehensive Crime Control Act of 1984 authorized federal
officials to implement a national asset forfeiture program, asset forfeiture has become one of the
most powerful tools for targeting criminals— including drug dealers and white collar criminals —
who prey on the vulnerable for financial gain. Forfeiture statutes are now prevalent throughout
the federal legal code and their use, along with other important anti -crime measures, has had a
significant impact on crime.
One of the most important provisions of asset forfeiture is the authorization to share federal
forfeiture proceeds with cooperating state and local law enforcement agencies. The Department
of Justice Asset Forfeiture Program serves not only to deter crime but also to provide valuable
additional resources to state and local law enforcement agencies. As this is written, the Department
of Justice has shared over $4.5 billion in forfeited assets with more than 8,000 state and local law
enforcement agencies.
A Guide to Equitable Sharing for State and Local Law Enforcement Agencies serves to promote and
maintain the integrity of the equitable sharing program so that it can continue to merit public
confidence and support. For this reason it is supplemented with the National Code of Professional
Conduct for Asset Forfeiture (see Appendix B). All seizing and prosecutorial agencies should ensure
compliance with this Code.
Most importantly, this Guide seeks to assist state and local law enforcement agencies participating
in the program by clarifying the directives they must follow to obtain and use equitably shared
funds. The goal is to make the process as clear as possible so that local communities and the nation
can thrive from reduced crime and from quality law enforcement.
Richard Weber, Chief
Asset Forfeiture and Money Laundering Section.
Criminal Division
Department of Justice
Guide to Equitable Shl77'i;iJ 1 1
I. What Is the Department of Justice Asset Forfeiture Program? 1
II. Which Non - federal Agencies Are Eligible to Participate in the Justice Equitable Sharing
Program? 3
A. State or local law enforcement agencies 3
B. State National Guard agency or unit 4
C. State and local prosecutorial agencies 4
III. How Do Agencies Participate in the Equitable Sharing Program? 6
A. Joint investigation 6
B. Adoption of a state or local seizure 6
IV. What Are the Minimum Monetary Thresholds for Adoptive Forfeitures? 7
V. How Is Property Federally Forfeited? 8
A. Administrative forfeiture 8
B. Judicial forfeiture 8
VI. How Do Agencies Apply For An Equitable Share? 9
A. Completing the Form DAG -71 9
B. Common causes of delay 10
VII. How Is an Agency's Equitable Share Determined? 12
A. Adoptive seizures 12
B. Joint investigations with federal agencies 12
1. Spin -off investigations 12
ii • Guide tr.,
C. Sharing in task force cases 13
1. Formally chartered task forces 13
2. Informal task forces 14
D. Equitable sharing deciding authorities 14
1. Investigative agency 14
2. United States Attorney 14
3. Deputy Attorney General 14
E. Sharing always based on net proceeds 15
VIII. What Are the Uses of Equitably Shared Property? 16
A. Law enforcement uses 16
1. Permissible uses 16
2. Impermissible uses 19
B. Increase and not replace 22
C. Transfer of forfeited real property 22
D. Transfer of forfeited tangible personal property 24
E. Reimbursement of federal costs 25
F. Return of equitably shared funds 25
IX. What Are the Accounting Procedures and Requirements for Shared Cash, Proceeds, and
Tangible Property? 26
A. Bookkeeping procedures and internal controls 26
X. What Are the Reporting and Audit Requirements? 27
A. Federal Equitable Sharing Agreement and Certification Form 27
B. Annual audit 28
C. Record retention 29
XI. What If Agencies Do Not Fulfill the Compliance Requirements? 29
Guide . E gHitable Ssi , • iii
APPENDIX A: What Are the Types of Federal Forfeiture? 31
APPENDIX B: National Code of Professional Conduct for Asset Forfeiture 33
APPENDIX C: Guidelines for Determining a Community -Based Program's Eligibility 35
APPENDIX D: Form DAG -71: Application for Transfer of Federally Forfeited Property 39
APPENDIX E: Equitable Sharing and Agreement Annual Certification Report 43
Cuide ro F`quitab.c Sharing • 1
I. What Is the Department of Justice Asset Forfeiture Program?
The Department of Justice Asset Forfeiture Program (the Program) is a nationwide law
enforcement initiative that removes the tools of crime from criminal organizations, deprives
wrongdoers of the proceeds of their crimes, recovers property that may be used to compensate
victims, and deters crime. The most important objective of the Program is law enforcement.
Equitable sharing further enhances this law enforcement objective by fostering cooperation
among federal, state, and local law enforcement agencies.
Federal law authorizes the Attorney General to share federally forfeited property with partici-
pating state and local law enforcement agencies.' The exercise of this authority is discretionary
and limited by statute. The Attorney General is not required to share property in any case.
The Controlled Substances Act most fully states the intent of Congress in the sharing of for-
feited property. Section 881(e)(3) of Title 21, United States Code, provides that:
The Attorney General shall assure that any property transferred to a State or local
law enforcement agency...
(A) has a value that bears a reasonable relationship to the degree of direct
participation of the State or local agency in the law enforcement effort resulting in
the forfeiture, taking into account the total value of all property forfeited and the
total law enforcement effort as a whole; and with respect to the violation of law on
which the forfeiture is based; and
(B) will serve to encourage further cooperation between the recipient State or local
agency and Federal law enforcement agencies.'
A Guide to Equitable Sharing for State and Local Law Enforcement Agencies applies only to the
sharing of assets that were seized by Department of Justice investigative agencies and federal
agencies participating in the Department of Justice Asset Forfeiture Program and that were for-
feited judicially or administratively to the United States by the United States Attorney's Offices
or Forfeiture Program participants. Participating agencies and components currently approved
include:
U.S. Department of Justice agencies and components:
• Criminal Division, Asset Forfeiture and Money Laundering Section (AFMLS)
• Justice Management Division, Asset Forfeiture Management Staff (AFMS)
• Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF)
• Drug Enforcement Administration (DEA)
21 U.S.C. § 881(e)(1)(A) and (e)(3), 18 U.S.C. § 981(e)(2), and 19 U.S.C. § 1616a.
2 21 U.S.C. § 881(e)(3).
2 • (;uifi
5
• Federal Bureau of Investigation (FBI)
• U.S. Attorney's Offices (USAO)
• U.S. Marshals Service (USMS)
Components outside of the U.S. Department of Justice:
• U.S. Department of Agriculture, Office of Inspector General (USDA -OIG)
• U.S. Department of Defense, Criminal Investigative Service (DCIS)
• U.S. Department of State, Bureau of Diplomatic Security (DSS)
• U.S. Food and Drug Administration, Office of Criminal Investigations (FDA -OCI)
• U.S. Postal Inspection Service ( USPIS)
The FBI, DEA, ATF, and USPIS are the only agencies participating in the Department of Justice
Program that directly adopt seizures by state or local law enforcement agencies. Under limited circum-
stances, the USAOs may directly adopt such seizures.'
As soon as assets are identified for seizure /forfeiture in a federal investigation or an adoptive forfei-
ture, the USAO or seizing agency handling the case should contact the USMS to discuss pre- seizure
planning to determine the necessary resources for property management and disposal requirements.4
Pre - seizure planning is required to seize real property, businesses, or any unusual, complex, or unique
assets (e.g., animals, property contaminated with hazardous material, leasehold agreements, part-
nership interests, valuable arts and antiques, or a large quantity of assets posing potential storage
problems).
The U.S. Department of the Treasury administers its own Asset Forfeiture Program.5 For policies
and participating agencies, please visit the Treasury Executive Office for Asset Forfeiture website at
www.treas.gov/officesienforcernent/teoaff
3 In accordance with Asset Forfeiture Policy Manual (2008), Chap. 1, Sec. VIII.G.
See Pre - Seizure Planning Guide, USMS Pub. No. 106 (June 2000) for further information regarding pre - seizure planning.
5 Participating agencies in the Treasury Asset Forfeiture Program include the Internal Revenue Service (IRS), U.S. Immigration and
Customs Enforcement (ICE), U.S. Customs and Border Protection (CBP), U.S. Secret Service (USSS), and U.S. Coast Guard.
I,
{�CiJLse Et7 h-i: {T.i��� ?'tft Sharing •
II. Which Non - federal Agencies Are Eligible to Participate in the Justice Equitable
Sharing Program?
A. State or local law enforcement agencies
Any state or local law enforcement agency that directly participates in an investigation or prosecution
that results in a federal forfeiture may request an equitable share of the net proceeds of the forfeiture.'
For purposes of equitable sharing, the Department of Justice defines law enforcement agency as a state
or local government organization authorized to engage in as its primary function the investigation
and apprehension, or the prosecution of individuals suspected or convicted of offenses against the
criminal laws of the United States or of any state, county, municipality, or territory of the United States.
Furthermore, a law enforcement agency is primarily composed of or employs individuals designated
or qualified under state statutes as peace officers or those who are authorized to prosecute criminal
violations or to exercise police powers such as making arrests, seizing property, executing warrants and
court orders, and carrying firearms.
A primary function is one that: (1) occupies a clear majority of the agency's working time over a typi-
cal work cycle; and (2) is performed on a regular and recurring basis by the agency and a majority of
its officers, employees, and agents. Functions that are of an emergency, incidental, or temporary nature
are not considered primary even if they should amount to a majority of an agency's working time.
Typically, a law enforcement agency will include city, district, local, county, or state police, sheriff, or
highway patrol departments, and state or local prosecutors' offices. Determinations of agency eligibil-
ity are solely within the discretion of the Department of Justice, Criminal Division.
Department of Justice policy requires shared monies and property to be used for law enforcement
purposes. Sharing will be withheld from any state or local law enforcement agency where state or local
law, regulation, or policy requires federal equitable sharing funds to be transferred to non -law enforce-
ment agencies or expended for non -law enforcement purposes.
No sharing request or recommendation, including shares negotiated in a task force or other agree-
ment, is final until approved by the federal deciding authority.
In accordance with the Crime Victims' Rights Act and the Attorney General's authority, the Department
of Justice gives priority in the distribution of forfeited assets to valid owners, lienholders, federal finan-
cial regulatory agencies, and victims (in that order) through petitions for remission or mitigation or
requests for restoration.' After losses to the above parties have been satisfied, any remaining net pro-
ceeds can be shared with state and local law enforcement agencies.8
e See part VII on how to calculate sharing percentages for participating agencies.
' Remission or mitigation is the return of forfeited property to an owner or lienholder of the property or to a victim of the crime
underlying the forfeiture. See 28 C.F.R. § 9.8 (2008). Restoration is the use of forfeited funds to pay restitution to the victim of a
criminal offense in accordance with a restoration order entered as part of a criminal judgment.
'Sharing is always based on net proceeds. See part HI.E.
4 • Guide to Ji uit Li,.._
B. State National Guard agency or unit
A state National Guard generally does not meet the law enforcement agency criteria for participation
in the Department of Justice Equitable Sharing Program because its primary mission serves a military
or other non -law enforcement purpose. An individual National Guard unit, however, may qualify for
sharing if:
(1) It is a distinct unit of a state National Guard that has counterdrug activities as its primary
mission and receives funding solely for this purpose; or
(2) It is a military police or similar state National Guard unit that provides support to federal law
enforcement agencies in counterdrug activities.
In determining whether a National Guard unit qualifies to participate in the sharing program, the
Department of Justice will consider the following:
(1) The unit directly performs or operationally supports law enforcement functions, e.g.,
marijuana eradication, surveillance, air transport, or field communications, as opposed to
clerical assistance; -
(2) Direct or supporting law enforcement functions occupy a clear majority of the unit's working
time over a typical work cycle and are performed on a regular and recurring basis;
(3) State law vests the unit with peace officer authority, i.e., to investigate criminal activity and
conduct searches, seizures, or arrests; and
(4) State law permits the unit to receive equitably shared funds to finance law enforcement
functions.
The Department of Justice will determine whether individual National Guard units are eligible to
participate in the Equitable Sharing Program on a case -by -case basis. Once a state National Guard unit
has been determined to be eligible, it will participate in the program in the same manner as any other
state or local law enforcement agency, including adherence to reporting and compliance requirements,
procedures to apply for shares of forfeiture properties, and all equitable sharing policies.
C. State and local prosecutorial agencies
State and local prosecutorial agencies are eligible to receive equitable sharing for assistance they pro-
vide in federal forfeiture cases. The following are examples of ways prosecutorial agencies may qualify
for an equitable share:
(1) Providing assistance in the preparation of search and seizure warrants and other documents
relating to the seizure and forfeiture. (Sharing percentage will be based on the degree of
participation in the investigation, usually calculated by the work hours expended.)
(2) Providing a key informant or substantially assisting throughout the investigation that leads
to a federal forfeiture. (Sharing percentage will be based on the degree of participation in the
investigation, usually calculated by the work hours expended.)
Guide ,tu .3;4,._.,..;71..
r,
(3) Cross - designating state or local attorneys to handle the federal forfeiture or related criminal
cases in federal court. (The Department will authorize sharing of up to five percent of the
total net forfeiture proceeds with local prosecutors who cross - designate attorneys to handle
adoptive and /or joint forfeiture cases in federal court as Special Assistant United States
Attorneys. That sharing amount will be deducted from the Federal Government's share.)
(4) Prosecuting criminal cases under state law directly related to a federal forfeiture. (Sharing
percentage will be determined on a case -by -case basis.)
6 • Guide to Equitable Sh
III. How Do Agencies Participate in the Equitable Sharing Program?
A. Joint investigation
Joint investigations are those in which federal agencies work with state or local law enforcement
agencies or foreign countries to enforce federal criminal laws. Joint investigations may originate from
participation on a federal task force or a formal task force comprised of state and local agencies or from
state or local investigations that are developed into federal cases.
B. Adoption of a state or local seizure
An adoption occurs when a state or local law enforcement agency seizes property and requests one of
' the federal seizing agencies9 to adopt the seizure and proceed with federal forfeiture. Federal agencies
may adopt such seized property for forfeiture where the conduct giving rise to the seizure is in viola-
tion of federal law and where federal law provides for forfeiture.
A state or local law enforcement agency requesting federal adoption of a state or local seizure must
comply with all applicable state laws and regulations pertaining to the transfer of seized property to a
federal law enforcement agency, including any requirement for a state judicial order or prosecutorial
consent (e.g., declination letter) for such transfer. When required by state law, a state transfer order
should be obtained for assets seized pursuant to a state search warrant or a warrantless search to which
state jurisdiction has attached. Federal officials should consult with appropriate state or local authori-
ties in adoption situations.
State and local agencies have 30 calendar days from the date the property is seized to request a
federal adoption. The adopting federal agency may waive the 30 -day deadline where the state or local
law enforcement agency requests a waiver in writing, which must include a written explanation of
exceptional circumstances that justify the delay. The lack of personnel to process paperwork will not be
considered an exceptional circumstance that would justify an untimely request for federal adoption.
9 See part I for details on federal agencies that adopt state and local agency seizures.
Guide to .k.i citable Sharing •
IV. What Are the Minimum Monetary Thresholds for Adoptive Forfeitures?
Generally, seized property will not be adopted for federal forfeiture unless the equity in the property
exceeds the following thresholds:
Conveyances
Real Property
All Other Property
Minimum Adoption Thresholds
Vehicles
Vessels
Aircraft
Land and Improvements
Currency
Bank Accounts
Monetary Instruments
Jewelry, etc.
Firearms
$5,000
$10,000
$10,000 :.:..:........
$20,000 or 20 percent of the
appraised value, whichever is
greater
$2,000
May be forfeited regardless of
value
The United States Attorneys, in consultation with federal seizing agencies and state and local law
enforcement, may institute higher or lower district -wide thresholds for judicial forfeiture cases as law
enforcement or management needs require. Department of Justice Asset Forfeiture Program participat-
ing agencies and the Department of the Treasury may set their own thresholds.
Exceptions may be made in individual cases where an overriding law enforcement benefit requires
the seizure of an asset that does not meet the thresholds. In such cases, the thresholds may be waived
when forfeiture will serve a compelling law enforcement interest, such as the forfeiture of a crack
house, a conveyance with hidden compartments, or a vehicle used in alien smuggling that is seized at
an international border. Any downward departure from the monetary thresholds in individual cases
must be approved in writing by a supervisory level official, and an explanation of the reason for the
departure must be noted in the case file. For example, an appropriate basis for a downward depar-
ture is that the owner or person in possession of the property has been arrested or will be criminally
prosecuted.
Lower thresholds may not necessarily result in increased sharing with state and local law enforce-
ment agencies. Because sharing is always based on net proceeds, forfeiture of property with a lower
value may result in no net proceeds to share."
10 See part VILE for a definition of net proceeds.
8 • t_,uith to Equitable Sha
V. How Is Property Federally Forfeited?
Forfeiture is the taking of property derived from a crime, involved in a crime, or that which makes a
crime easier to commit or harder to detect without compensating the owner.
A. Administrative forfeiture
Administrative forfeiture is the process by which federal seizing agencies may declare property for-
feited to the United States without judicial involvement." Seizures must be based on probable cause.
Federal law authorizes the seizing or adopting federal agency to administratively forfeit:
Maximum Administrative Forfeiture Thresholds
Monetary Instruments ( (e.g.,.cash, checks, stocks, bonds)
(e.g., vehicles, vessels, and aircraft Unlimited Value
used to transport illegal drugs)
Other Property
e.g., bank accounts, jewelry, etc.) $500,000 or less
B. Judicial forfeiture
Judicial forfeiture, both civil and criminal, is the process by which property is declared forfeited to
the United States by a court.12 It is required for any property other than monetary instruments and
hauling conveyances if:
(1) the value of the other property exceeds $500,000;
(2) a valid, timely claim has been filed in an administrative forfeiture; or
(3) the property is real estate.
" See Appendix A for additional information on the different types of federal forfeiture.
'2 Id.
Guide i)J quit i +,'t'r: Sharing Y ■ 9
VI. How Do Agencies Apply For An Equitable Share?
After the seizure in a joint investigation or adoption in an adoptive case, a state or local agency may
request a share of the property by submitting a Form DAG -71, Application for Transfer of Federally
Forfeited Property, to the federal seizing agency.13 A separate Form DAG -71 must be completed for each
asset to be shared.14
A. Completing the Form DAG -71
1. In the upper right -hand corner of the Form DAG -71, enter the date, the name of the federal
agency handling the seizure, and the federal agency case number.
2. Leave Part I of the Form DAG -71 blank. It is for federal use only.
3. In Part II, provide the state or local law enforcement agency's name, address, and the
National Crime Information Center (NCIC) code or ORI tracking number. Enter the agency's
name exactly as listed on the NCIC registration or the Equitable Sharing Agreement and
Certification form.
4. The contact person is the person who has knowledge of the case and will be able to answer
questions about the investigation.
5. In Part III under "Asset Requested" and "Property Requested," provide a complete
description of the asset. If the asset is a vehicle, include the VIN, make, model, and type. If
the asset is real property, include the full address and the block and lot number.
6. Place a check in the "Item" block if the agency requests an asset for official use, or place a
check in the "Cash /Proceeds" block if requesting cash or proceeds and include the requested
percentage.
7. In Part IV, state how the shared funds are intended to be used. Check all blocks that are
appropriate and complete "Other" if the intended use is not listed.
8. In Part V, provide all pertinent information about the agency's contribution to the
investigation. Include work hours spent by law enforcement officers on the seizure or
subsequent hours expended in support of the forfeiture. For cases involving multiple assets,
a separate Form DAG -71 needs to be submitted for each asset. Work hours must be stated for
each seizure, not the total number of hours worked on the investigation.
9. Complete Part VI by providing a brief description of the case and a thorough explanation of
the agency's contribution to the investigation. Never assume the deciding authority knows
the details of the case or the agency's role.
13 See Appendix D for a copy of the Form DAG -71 and other supplemental instructions.
14 The Form DAG -71 (see Appendix D) and the Equitable Sharing Agreement and Certification (see Appendix E) are current as of
the date of the printing of this Guide. The most current versions of these forms are available on the Department of Justice Web site
at Ivww.uscloi.gov/criminalialmls/forms.
10 • Guide r) .kj;utal Lc. yi
10. In Part VII.B, the county attorney, city attorney, district attorney, state attorney, or law
enforcement agency counsel can sign as legal counsel.
Sharing requests must be submitted within 60 days after the seizure or within 60 days after the fed-
eral adoption of a state or local seizure. The 60 -day rule may be waived by the federal seizing agency
in exceptional circumstances upon a written request stating the reasons for the late submission of the
equitable sharing request which would justify the waiver. The waiver request must accompany the
Form DAG -71. In judicial forfeitures, an agency may amend its Form DAG -71 within 60 days after
forfeiture to reflect any continued participation in the case.
No sharing request will be considered after the forfeited property has been distributed, deposited
into the Assets Forfeiture Fund, or otherwise disposed of according to law.
B. Common causes of delay
Forfeiture, like all legal proceedings, takes time. Equitable sharing may occur only after the federal
forfeiture has been completed, the United States has taken clear title to the property, the property has
been sold or otherwise disposed of as provided by law, and a final sharing decision has been made by
the appropriate federal official. Listed below are some factors that may delay sharing:
1. If the forfeiture involves victims of crime who may be entitled to remission or restitution,
sharing cannot occur until the victims' claims are resolved. All available funds must be used
to compensate victims before any sharing payments are made.
2. If the forfeiture involves property that must be sold, the sale must be completed and the net
proceeds determined before sharing may occur.
3. If the agency submits an incomplete Form DAG -71, the missing information must be provided
before sharing can occur. For example, if the form does not contain complete or specific
information about the contribution of the local law enforcement agency, such as the number of
hours expended and any unique or indispensable contribution by the local law enforcement
agency, then that information must be provided before sharing will be authorized. Federal
agencies submitting equitable sharing packets must also include federal agency work hours.
Federal investigative work hours are always required in joint cases so that the relative degree
of participation of the agencies can be determined. The equitable sharing deciding authority
cannot evaluate the sharing request without this information.
4. Distribution in equitable sharing cases involving forfeited assets with a total value of
$1 million or more requires the approval of the Deputy Attorney General. Equitable sharing
packages forwarded to AFMLS must include all assets listed in the forfeiture order. For
example, where a forfeiture order includes cash in the amount of $1.5 million, a bank account
containing $500,000, and six other assets such as automobiles and pieces of jewelry worth
$30,000, the Deputy Attorney General is the equitable sharing decision -maker for all eight
assets.
5. The USMS electronically transfers equitable sharing payments to a participating state
or local law enforcement agency's bank account. If the USMS does not have an agency's
LAIlft6
c ;;:z;irt.t 111
banking information, the funds cannot be transferred. To facilitate wire transfers, all
participating agencies must complete and submit an Automated Clearing House (ACH)
Vendor form to the USMS. If an agency's banking information changes, an updated
ACH Vendor form must be submitted. The ACH Vendor form may be downloaded from
www.i:lsd. of .gov /crIn:Linai {afm]s/forms or W INcusrnarshals.gov /assets /es1.l.a're.
6. In cases involving both domestic and international sharing, international sharing must be
completed before domestic sharing can occur. International sharing, which.requires both
Department of Justice and Department of State approval and concurrence by the Department
of the Treasury, often takes additional time to complete.
12 • f:.,
VII. How Is an Agency's Equitable Share Determined?
A. Adoptive seizures
The federal share in adoptive cases where 100 percent of pre- seizure activity was performed by a
state or local agency will generally be 20 percent of the net proceeds.
B. Joint investigations with federal agencies
Equitable shares allocated to a law enforcement agency must bear a reasonable relationship to the
agency's direct participation in the investigation or law enforcement effort resulting in the forfeiture.
The deciding authority ordinarily determines equitable shares by comparing the number of work hours
expended by each agency participating in the seizure. Where the work hours alone do not reflect the
contribution of a law enforcement agency, the deciding authority considers qualitative factors in mak-
ing a sharing allocation. In determining the amount of an adjustment based on qualitative factors, the
deciding authority will consider such factors as:
• the inherent importance of the activity;
• the length of the investigation;
• whether the agency otherwise entitled to an adjustment would already receive a comparatively
large share based on reported work hours;
• whether an agency originated the information leading to the seizure;
• whether an agency provided unique and indispensable assistance;
• whether an agency initially identified the assets for seizure;
• whether an agency seized one or more assets that were forfeited in non - federal proceedings dur-
ing the same investigation; or
• whether the agency could have achieved forfeiture under state law but instead joined forces with
the United States to conduct a more effective investigation or prosecution.
The presence of any of the above qualitative factors may warrant an adjustment in the percentage
awarded to an agency. If, and to what extent, an adjustment is warranted is within the discretion of the
deciding authority and will be done on a case -by -case basis.
If certain criteria are satisfied, state and local law enforcement agencies that are members of a task
force may receive equitable sharing based upon the task force written sharing agreement. In no case
will the federal share be less than 20 percent.
1. Spin -off investigations
In a case where assets are seized in an investigation that is a spin -off of a larger multi - agency inves-
tigation, the deciding authority may approve sharing with an agency that contributed work hours to
both the initial investigation and the spin -off seizure. In limited instances, the deciding authority may
Guude to Epufta'is _rin r 13
determine that an agency which did not participate in the subsequent seizure but provided indispens-
able assistance in the initial investigation that aided investigators in the spin -off investigation is eligible
for a share of the asset from that spin -off case. The determination of an agency's eligibility to share in
assets seized in spin -off investigations will be made on a case -by -case basis.
C. Sharing in task force cases
Many task forces involving federal, state, and local law enforcement agencies have pre- arranged,
written equitable sharing agreements based upon relative numbers of personnel and other contribu-
tions to the task force operation. The following criteria apply to both formal and informal task forces
and these pre - arranged percentages will be honored only when:
• the agreement is in writing, signed, and dated by all participating agencies, and reviewed and
updated annually;
• the pre- arranged sharing percentages fairly reflect overall agency contributions to the task force,
including accounting for any participation by a federal agency;
• the deciding authority is satisfied that the pre- arranged percentages continue to reflect the true
overall agency contributions to the task force, including accounting for any participation by a
federal agency;
• the task force has a well- defined subject area or organization target as its focus, and the specific
seizures are part of the overall investigative function of the task force (e.g., an airport seizure by
an airport interdiction task force is part of an investigation of airport drug smuggling, not simply
an investigation of a particular smuggler); and
• the agreement is made before or at the onset of an investigation; the deciding authority will not
honor informal sharing agreements agreed upon following the conclusion of an investigation.
If the total appraised value of all assets in a single
administrative or judicial forfeiture order is $1 million
or greater, a copy of the task force agreement must be
submitted along with the completed Form DAG -71.
1. Formally chartered task forces
The Department of Justice will generally honor written sharing agreements by formal task forces that
are legal entities entitled to receive and spend money. A formal task force may receive a sharing dis-
bursement by indicating its NCIC /ORI tracking number or equitable sharing tracking number assigned
by AFMLS on the Form DAG -71. Alternatively, separate disbursements may be made to the members
of a formally chartered task force based on its agreed sharing percentages.
14 ■ Guide to.F,a
able Sizar
2. Informal task forces
The Department of Justice will generally honor written sharing agreements by informal task forces
when the informal task force itself is a permanent or semi - permanent entity established to conduct a
long -term investigation of multiple targets committing similar violations in a particular location or of
a single target engaged in multiple criminal activities over a lengthy period of time such that multiple
forfeiture cases over the life of the task force are likely. If the informal task force and its pre- arranged
percentages are acceptable, separate sharing amounts will be disbursed to each individual law enforce-
ment agency in the task force. No funds will be disbursed to the informal task force itself. A joint
investigation of a specific target or organization does not constitute an informal task force simply
because it is labeled as such. So -called task force agreements based merely on jurisdictional boundaries
will not be honored.
For example, an acceptable investigation of multiple targets includes a long -term interdiction opera-
tion at a local airport. An acceptable investigation of a single-target might be a long -term investigation
of a major drug trafficking organization where participating agencies work on different aspects of the
investigation.
D. Equitable sharing deciding authorities
1. Investigative agency
If the total appraised value of all the assets forfeited in a single administrative forfeiture order is less
than $1 million, the investigative agency determines the appropriate equitable share for each asset and
requesting agency.
2. United States Attorney
If the total appraised value of all the assets forfeited in a single judicial forfeiture order is less than
$1 million, the United States Attorney determines the appropriate equitable share for each asset and
requesting agency.
3. Deputy Attorney General15
In either multi - district cases, cases involving the equitable transfer of real property, or cases where
the total appraised value of all the assets forfeited in a single administrative or judicial forfeiture order
is $1 million or more, the Deputy Attorney General determines the appropriate equitable share of each.
asset. In determining whether the $1 million threshold has been reached, the federal seizing agency
and the United States Attorney processing a sharing request must combine the current "Asset Value"
listed in the Consolidated Asset Tracking System (CATS) of each of the assets included in the forfeiture
order or declaration of forfeiture. If the total value for all of the assets is $1 million or greater, the
Deputy Attorney General is the equitable sharing decision -maker for all of the assets. Property
forfeited under a single judicial order cannot be split up or separated so that only those individual
15 By order dated June 5, 1995, the Deputy Attorney General delegated his authority to make final equitable sharing decisions
to the Assistant Attorney General for the Criminal Division in cases where the seizing agency, the United States Attorney, and
AFMLS agree on the allocation of forfeited property.
i_f7..i e. to Equitable `4i4:rinx II 15
pieces of property with values greater than $1 million are sent to the Deputy Attorney General for
sharing decisions.
E. Sharing always based on net proceeds
Equitable sharing is based on the net proceeds of the forfeiture, which is calculated as follows:
Gross receipts From forfeiture or the sale of forfeited property
Less
Qualified third -party interests (e.g., valid liens or mortgages)
Money paid to victims (persons who incurred a monetary loss of a
specific amount as a direct result of the offense underlying the forfeiture,
or a related offense)
Federal case- related expenses (e.g., advertising costs, out -of- pocket
investigative or litigation expenses)
Federal property management and disposition expenses (e.g., appraisal,
storage, security, sale)
Any award paid to a federal informant
Payments for the services of experts and consultants with whom the
Department of Justice has contracted to assist in asset identification,
seizure, management, forfeiture, or disposition, wherever it is feasible
and economically practicable to directly trace such costs and allocate
them on a reasonable and consistent basis among the assets subject to
forfeiture
International sharing
Any reimbursements relating to the seizure from the Assets Forfeiture
Fund to the requesting agency (e.g., overtime, leased space)
Equals
L
Net Proceeds of the Forfeiture
Federal law mandates that sharing is discretionary. Therefore, any equitable sharing payments to be
disbursed to state and local law enforcement agencies that amount to less than $50.00 after all expenses
are paid will be extinguished and the funds will remain in the Assets Forfeiture Fund.
16 ■Guide to tquittible Sim
VIII. What Are the Uses of Equitably Shared Property?
A. Law enforcement uses
Except as noted in this Guide, equitably shared funds shall be used by law enforcement agencies for
law enforcement purposes only. Subject to laws, rules, regulations, and orders of the state or local juris-
diction governing the use of public funds available for law enforcement purposes, the expenses noted
below are pre- approved as permissible uses of shared funds and property.
To avoid a conflict of interest or the appearance of a conflict of interest, any employee of any federal,
state, or local governmental agency (or members of his or her immediate family or those residing in
his or her household) who was involved in the investigation which led to the forfeiture of the prop-
erty to be sold by the USMS contractor is prohibited from purchasing, either directly or indirectly,
forfeited property. Additionally, Department of Justice employees and contractors may not, without
prior written approval of a designated agency official, directly or indirectly purchase property that has
been forfeited to the United States; or personally use such property that has been directly or indirectly
purchased from the United States by a member of his or her immediate family.
The fact that shared property was forfeited as a result of a particular federal violation does not limit
its use. For example, when an agency receives a share of property that was forfeited for a federal drug
'violation, the recipient is not limited in its use of the property in the recipient agency's drug enforce-
ment program. Among the following uses, priority should be given to supporting community policing
activities, training, and law enforcement operations:
1. Permissible uses
a. Law enforcement investigations —the support of investigations and operations that may
result in furthering the law enforcement goals and mission, e.g., payment of overtime for
officers and investigators; payments to informants; "buy" "flash," or reward money; and
the purchase of evidence.
b. Law enforcement training —the training of officers, investigators, prosecutors, and
law enforcement support personnel in any area that is necessary to perform official
law enforcement duties. Priority consideration should be given to training in: (1) asset
forfeiture in general (statutory requirements, policies, procedures, case law); (2) the
Fourth Amendment (search and seizure, probable cause, drafting affidavits, confidential
informant reliability); (3) ethics and the National Code of Professional Conduct for Asset
Forfeiture,16 (4) due process; (5) protecting the rights of innocent third parties (individuals
and lienholders); (6) use of computers and other equipment in support of law enforcement
duties; and (7) this Guide.
c. Law enforcement and detention facilities —the costs associated with the purchase, lease,
construction, expansion, improvement, or operation of law enforcement or detention
facilities used or managed by the recipient agency. For example, the costs of leasing,
16 See Appendix B for a copy of the National Code of Professional Conduct for Asset Forfeiture.
3uituble Sharing • 17
operating, and furnishing an off -site undercover narcotics facility is a permissible use
of shared funds. Capital improvements should not be made on leased property or
space since the law enforcement agency will not benefit from the improvements upon
termination of the lease; improvement costs are generally covered in the terms of the lease.
Approval from AFMLS is required prior to making such capital expenditures.
d. Law enforcement equipment —the costs associated with the purchase, lease, maintenance,
or operation of law enforcement equipment for use by law enforcement personnel that
supports law enforcement activities. For example, furniture, file cabinets, office supplies,
telecommunications equipment, copiers, safes, fitness equipment, computers, computer
accessories and software, body armor, uniforms, firearms, radios, cellular telephones,
electronic surveillance equipment, and vehicles (e.g., patrol cars and surveillance vehicles).
e. Law enforcement travel and transportation —the costs associated with travel and
transportation to perform or in support of law enforcement duties and activities. All
related costs must be in accordance with the agency's state per diem and must not create
the appearance of extravagance or impropriety.
f. Law enforcement awards and memorials —the cost of award plaques and certificates for
law enforcement personnel, provided that the plaque or certificate is in recognition of a
law enforcement achievement, activity, or the completion of law enforcement training, and
the cost does not create the appearance of extravagance or impropriety. Shared funds may
not be used to pay cash awards.
Shared funds may be used to pay the costs for modest commemorative plaques,
displays, or memorials that serve to recognize or memorialize a law enforcement officer's
contributions, such as a memorial plaque or stone at a police department facility in honor
of officers killed in the line of duty.
g. Drug and gang education and awareness programs —the costs associated with
conducting drug or gang education and awareness programs by law enforcement
agencies. Such costs include meeting costs, anti -drug abuse literature costs, travel
expenses, and salaries for officers working in a drug education program such as DARE.
h. Matching funds —the costs associated with paying a state or local law enforcement
agency's matching contribution or share in a federal grant program, provided that the
grant funds are used for a permissible law enforcement purpose in accordance with this
Guide or where such use is authorized by federal law.
i. Pro rata funding —a law enforcement agency's percentage of the costs associated with
supporting multi - agency items or facilities. For example, if a town purchases a new
computerized payroll system, and the police department payroll represents 20 percent
of the total use of the payroll system, then the police department may use shared money
to fund its pro rata share (20 percent) of the operating and maintenance expenses of the
system.
18 ■ Guide to l i "u: :table y
Asset accounting and tracking —the costs associated with the accounting, auditing, and
tracking of expenditures for federally shared cash, proceeds, and tangible property. For
example, the use of shared funds to pay the fees associated with the contracting of a
bookkeeper is permissible.
The OMB Single Audit Act requires any agency that expends more than $500,000 in
federal funds in an agency's fiscal year to complete an external audit. The use of forfeiture
funds to perform this audit is permissible.
k. Language assistance services — In connection with their law enforcement activities and
operations, recipient agencies are encouraged to consider the need for language services
for persons with limited English proficiency and, consistent with the provisions of this
Guide, may use shared funds to provide such services. Examples of such permissible uses
include the costs of language training for law enforcement personnel and 911 operators,
contracting for interpretation services, and printing law enforcement documents in foreign
languages.
1. Transfers to other law enforcement agencies —Cash transfers of shared funds from one
state or local law enforcement agency to another are permitted. In order to receive a cash
transfer of shared funds, the law enforcement agency must be in compliance with the
Agreement, Certification and Audit provisions of this Guide (see part X). All cash transfers
must be used in accordance with the permissible use provisions of this Guide. The agency
transferring the funds is responsible for verifying that the recipient agency is eligible to
receive sharing. The transfer must be reported on the Equitable Sharing Agreement and
Certification form filed by both the donor and recipient agencies.
m. Support of community -based programs —A state or local law enforcement agency or
prosecutor's office may use up to 15 percent of the total of shared monies received by
that agency in the last two fiscal years for the costs associated with drug abuse treatment,
drug and crime prevention education, housing and job skills programs, or other nonprofit
community -based programs or activities that are formally approved by the chief law
enforcement officer (e.g., chief, sheriff, prosecutor). All expenditures must be supportive
of and consistent with a law enforcement effort, policy, and /or initiative.
Cash transfers to community -based programs are not permitted. State and local
law enforcement agencies are prohibited from making cash transfers or donations to
support community -based programs. Instead, agencies may directly purchase supplies,
equipment, and /or services for eligible community -based programs, or reimburse such
programs for eligible expenditures with a valid, itemized receipt. See Appendix C for
guidelines to determine a community -based program's eligibility.
n. Windfall situations —Where the total amount of federal equitable sharing received within
one fiscal year represents over 25 percent of a state or local law enforcement agency's
annual budget, recipient agencies may utilize the amount over 25 percent to provide
additional support to community -based programs as referenced in letter m above. For
(r "t.i 2a,t
thi ..... c +r i' ,- • 19
example, if an agency's annual appropriated budget is $1 million and the agency receives
a total of $300,000 in equitable sharing funds during the fiscal year, the amount above
$250,000 (25 percent of the agency's budget), or $50,000, is considered a "windfall." The
agency, in its discretion, may use all or part of this money in addition to the 15 percent
permitted under section m above. In windfall situations, AFMLS may require additional
auditing and /or reporting regarding the agency's handling and expenditure of funds.
2. Impermissible uses
a. Salaries— Equitable sharing monies may not be used to pay the salaries and benefits of
current, permanent law enforcement personnel, except in limited circumstances. The
purpose of this rule is to protect the integrity of the asset forfeiture and equitable sharing
programs so that the prospect of receiving equitable sharing monies does not influence, or
appear to influence, law enforcement decisions.
Exception: Equitable sharing funds may be used to pay the salaries and benefits of law
enforcement officers in the following limited situations:
(1) Express statutory authorization —When federal law expressly permits state and
local law enforcement agencies to use equitably shared funds to pay the salaries
and benefits of local law enforcement officers or as matching funds in federal
grant programs, such use is permissible. For example, the Community Oriented
Policing Services (COPS) program established by the Violent Crime Control and
Law Enforcement Act of 1994, allows state and local law enforcement agencies to
use equitably shared funds to meet the local match requirements of that program,
including grants for salaries and benefits.
(2) Overtime of officers and investigators— Shared funds may be used to pay the
overtime of officers and investigators involved in law enforcement operations. This
policy is applicable to all officers and is not limited to those working on drug - related
investigations.
(3) New positions and temporary or not -to- exceed one year appointments— Shared
funds may be' used to pay the first year's salary and benefits of an individual
hired for a new sworn law enforcement position that supplements the current
law enforcement work force. After the first year, the salary and benefits for that
position must be paid entirely from the agency's appropriated funds. Shared funds
may also be used to pay the salaries of temporary (less than one year) positions
or not -to- exceed one year appointments. This exception applies strictly to sworn
law enforcement positions. Shared funds may not be used to provide funding for
unsworn, support personnel (e.g., administrative, secretarial, or clerical positions).
20 • Guide to . ! ir,Ltt... Shin-
(4) Salary of an officer hired to replace an officer assigned to a task force —When a law
enforcement agency assigns a law enforcement officer to a task force" for a period of
at least one year or the life of the task force and hires a new law enforcement officer
to replace the officer so assigned, the agency may pay the salary and benefits of the
replacement officer from equitably shared funds so long as the replacement officer
does not engage in the seizure of assets or narcotics law enforcement as a principal
duty.
18
A principal duty is a duty that the officer is expected to perform regularly. In order to pay the
replacement officer's salary with equitably shared funds, the task force must be a law enforcement
entity constituted under federal, state, or local law that is primarily engaged in specific and targeted
law enforcement activities involving more than one law enforcement agency. In addition, the chief
administrative officer of the law enforcement agency assigning an officer must not maintain direct
day -to -day operational control of the task force although he or she may participate in the policy -level
control of such task force.
When a law enforcement agency has assigned an officer and paid for the replacement as specified
above, and it becomes necessary to return the officer from the task force, the law enforcement agency
may continue to use forfeited funds to pay for the salary and benefits of the replacement officer for a
, 'period not to exceed six months.19
(5)
Specialized programs —A law enforcement agency may pay the salary and benefits
of a law enforcement officer assigned to specific approved specialized programs
which do not generally involve traditional law enforcement functions. Officers
assigned to programs such as DARE do not routinely perform narcotics law
enforcement or seizure duties. Accordingly, there is little risk that their conduct will
actually influence law enforcement priorities or create a conflict of interest.
b. Use of forfeited property by non -law enforcement personnel— Non -law enforcement
agency personnel are not permitted to use shared vehicles, forfeited property, or items
purchased with shared funds.
" For example, groups of state and local law enforcement agencies frequently establish separate units under the command of an
experienced officer. All assigned agents have full law enforcement power within the combined area of the constituent agencies.
The chief of police of any one constituent agency does not exercise day -to -day individual command authority over the task force
but may sit as a member of a Steering Committee, Board of Directors, or other supervisory authority which sets general task force
policies.
18 For example, Officer Y is assigned to a task force. The agency may then hire Officer Z and may pay Officer Z's salary from
asset forfeiture funds. Officer Z may not be assigned to a narcotics unit and he may not be assigned to a unit that identifies assets
for seizure. If during Officer Z's routine patrol duties, he stops a vehicle found to contain narcotics and cash, the agency may
continue to pay Officer Z's salary from asset forfeiture funds.
18 This provision is designed to afford law enforcement agencies the opportunity to rearrange staffing assignments without
suffering severe financial hardships and also recognizes that the hiring process can take time.
Ffa7i:.' ,FhTifj • 21
c. Payment of education - related costs — Shared funds may not be used for scholarships,
financial aid, or non -law enforcement classes. Only tuition for law enforcement classes
necessary to the performance of an officer's official duties is permitted.
d. Uses contrary to the laws of the state or local jurisdiction — Shared funds and property
may not be used for any purpose that would constitute an illegal or improper use of state
or local law enforcement funds or property under the laws, rules, regulations, and orders
of the state or local jurisdiction of which the agency is a part.
e. Non - official government use of shared assets —Any use that creates the appearance
that shared funds are being used for political or personal purposes is not permitted. For
example, the use of shared funds for a sheriff's campaign paraphernalia is impermissible.
f. Purchase of food and beverages— Shared funds generally may not be used to pay for
food and beverages (alcoholic and non - alcoholic) for consumption by law enforcement
personnel or their guests, except for the limited circumstances listed below:
g.
(1) Conference package policy— Shared funds may be used to purchase food and
beverages provided as part of a conference package. For example, a hotel provides
complimentary coffee and bagels for breakfast with the rental of its conference
room for an authorized training event. The same conference package rule applies
to food or beverages served at a banquet or party to recognize law enforcement
achievements.
(2) Meals during local operations— Shared funds may also be used to purchase food
and beverages if state or local law or rules governing reimbursement of expenses
permit officers to be reimbursed for such expenses, e.g., meals purchased while an
officer is on official travel, attending a training conference, or engaged in a disaster
operation, such as earthquake or hurricane relief.
Extravagant expenditures — Receiving agencies should use federal sharing monies
prudently and in such a manner as to avoid any appearance of extravagance, waste, or
impropriety. For example, tickets to social events, hospitality suites at conferences, or
meals outside of the per diem are impermissible uses of shared funds.
3. General guidance concerning use
a. Windfall situation —In a windfall situation, where an agency receives equitable sharing
funds totaling more than 25 percent of its budget in a fiscal year, the agency may be
subject to additional audit and reporting requirements.
b. Use of interest income— Interest earned on forfeited cash or proceeds must be deposited
into the agency's equitable sharing revenue account and used for law enforcement
purposes and is subject to the same use restrictions as shared cash or proceeds.
22 • Guide to Equitable Shoring
c. Anticipated shared property should not be budgeted— Agencies should not "spend it
before you get it" or budget anticipated receipts. Receiving agencies may not commit to
the spending of sharing monies for a certain purpose in advance. For example, if a local
law enforcement agency files a Form DAG -71 to request a 50 percent share of $100,000,
the $50,000 should not be obligated or budgeted for two reasons: (1) the completion of the
forfeiture is uncertain; and (2) the amount of the sharing that will ultimately be approved
is also uncertain.
d. Shared monies should not be retained unnecessarily— Shared monies normally should
be expended for their designated use or other permissible law enforcement purpose as
they are received. Shared monies may be retained in a holding account for up to three
years to satisfy future needs or retained longer for major long -term expenditures such as
capital improvements.
e. Use of proceeds from sale of shared property— Proceeds from the sale of shared property,
facilities, equipment, and other items acquired with shared funds must be deposited into
the agency's equitable sharing revenue account and are subject to the same permissible use
restrictions and reporting requirements as shared cash or proceeds, in accordance with the
provisions of this Guide.
B. Increase and not replace
Sharing must be used to increase or supplement the resources of the receiving state or local law
enforcement agency or any other ultimate recipient agency. Shared resources shall not be used to
replace or supplant the appropriated resources of the recipient. The recipient agency must benefit
directly from the sharing. In determining whether supplantation has occurred, the Department of
Justice will examine the law enforcement agency's budget as a whole and allow agencies to use equita-
ble sharing funds for any permissible purpose as long as shared funds increase the entire law enforce-
ment budget. The Department of Justice may terminate sharing. with law enforcement agencies that
are not permitted by their governing authorities to benefit directly from equitable sharing.
Example of Improper Supplantation: A police department receives $100,000 in federal sharing money
only to have its budget cut $100,000 by the city council. In this instance, the police department has
received no direct benefit from equitable sharing whatsoever. Rather, the city as a whole has received
the benefit of the sharing.
C. Transfer of forfeited real property
The transfer of federally forfeited real property is permitted only in the following three situations:
1. Through the equitable sharing process, real property may be transferred to a state or local
agency which substantially participated in the investigation that led to the seizure of the
property. The agency must demonstrate a compelling law enforcement need for the property
and outline its intended use on the DAG -71 form. The agency must also sign a memorandum
of understanding with regard to the use of the property and agree to pay any federal costs/
expenses as well as the federal share before the transfer will be approved.
Guide to Equitable Sharing • 23
Example: A state police department assists in the seizure of a farm where drugs were grown.
The agency may request the property instead of the proceeds from its sale if the agency has a
compelling need, such as a law enforcement training facility or a police substation.
2. The Weed and Seed Initiative20 authorizes the transfer of federally forfeited real property
through state or local law enforcement agencies to private, nonprofit organizations to support
drug abuse treatment, drug and crime prevention and education, housing, and job skills
programs, or other community -based programs. The requirements of the Weed and. Seed
Initiative are as follows:
a. The initial recipient of the property must be a state or local law enforcement agency which
participated in the investigation that resulted in the forfeiture;
b. The ultimate recipient must be an appropriate nonprofit organization, which agrees to
use the property in compliance with the initiative and agrees that if the property ceases to
be used for its intended purposes for a specified time period, title may revert back to the
United States.
c . Any state or local agency with a claim to an equitable share of the property must agree to
waive the claim.
d. A Form DAG -71 must be submitted by the initial recipient to the USAO identifying the
property to be transferred to the nonprofit organization pursuant to the Weed and Seed
Initiative.
e. The USAO must submit a "Request for Transfer of Real Property Pursuant to the Weed
and Seed Initiative" and a draft Memorandum of Understanding along with the Form
DAG -71 to AFMLS.
AFMLS will submit the completed package to the Deputy Attorney General for approval
of the transfer.
Generally, title to real property will be transferred to the
state or local law enforcement agency. If the initial recipient
state or local law enforcement agency is not authorized
to take title to the real property, then either the state or
local government agency authorized to accept title on
behalf of the law enforcement agency will receive title, or
under certain circumstances, the Department of Housing
and Urban Development may be able to take title to the
property for re- transfer to the .Weed and Seed recipient.
Questions on transfers pursuant to the Weed and Seed Initiative should be directed to AFMLS.
20 See Asset Forfeiture Policy Manual (2008), Chap. 6, Sec. VIII.
24 • Guide to ! l Sliar
3. A governor of a state in which a forfeited property is located may request that the property be
transferred to that state for recreational or historic purposes or for the preservation of natural
conditions. See 21 U.S.C. § 881(e)(4)(B). The Deputy Attorney General must approve these
transfers.
D. Transfer of forfeited tangible personal property
1. Any forfeited tangible property (any property other than real estate) transferred to a state
or local agency for official use must be used for law enforcement purposes only. Moreover,
such transferred property is subject to the rules applicable to similar property purchased by
a state or local agency with appropriated funds. Finally, forfeited luxury motor vehicles —an
automobile with a National Automotive Dealers Association (NADA) wholesale value
of $50,000 or more —may be placed in official use only for undercover law enforcement
purposes.
Example: A federally forfeited SUV is assigned to a state or local law enforcement official who
is not authorized to use a government vehicle under local rule. This is impermissible because
the forfeited SUV would be subject to the same use restrictions as purchased vehicles.
Example: A federally forfeited luxury car worth more than $50,000 is assigned to a law
enforcement official who is authorized to use a government vehicle, but the luxury vehicle
is used for routine law enforcement work. This is impermissible because a luxury vehicle is
being used for purposes other than undercover work, thereby misusing government resources
and creating an appearance of impropriety.
2. The recipient law enforcement agency may, at its discretion, transfer the tangible property
to another governmental department or agency to support drug abuse treatment, drug and
crime prevention and education, housing, and job skills programs, or other community -based
programs. Such governmental department or agency may, in turn, transfer any tangible
property so received to a private, nonprofit community organization to be used for such
purposes.
Tangible property transferred for official law enforcement use
must be used for at least two years. If, however, the property
becomes unsuitable for the stated purpose before the end of the
two -year period, it maybe sold with approval from AFMLS and
the proceeds deposited in the agency's federal equitable sharing
revenue account and used in compliance with this Guide.
(uide i Equitable uitaHe Shari ag ® 25
E. Reimbursement of federal costs
State and local law enforcement agencies that receive real property or tangible personal property
must pay the Department of Justice Assets Forfeiture Fund for any liens, costs related to storage or
maintenance, costs of shares to other agencies, and the federal share. If the agency is unable to pay
these expenses with appropriated or equitably shared funds, these costs can be charged against the
agency's equitable share of other assets in the case. If the requesting agency is unable to pay the fed-
eral share, costs, and the shares of other agencies, the property will be sold and the proceeds equitably
distributed to participating agencies.
F. Return of equitably shared funds
On occasion, a criminal conviction, forfeiture order, or equitable sharing decision may be reversed
after the equitable sharing payments have been disbursed to state and local law enforcement agencies.
In such cases, it may be necessary for the shared funds to be returned to the United States. The state
and local agency recipients will be notified of the reversal by the Department of Justice component that
rendered the equitable sharing decision. When such a return of funds is necessary, the recipient state or
local agency will have the option of either: (A) returning the funds via a check to the USMS or (B) hav-
ing an equivalent amount off -set against future equitable sharing. When an agency elects to have the
funds off -set against future sharing, it must contact the USMS District Office in writing.
26 • Guide to <<;.;.i tbic Slum.
IX. What Are the Accounting Procedures and Requirements for Shared Cash,
Proceeds, and Tangible Property?
All participating state and local law enforcement agencies must implement standard accounting pro-
cedures and internal controls (e.g., tracking share requests and receipts, electronically depositing shares
into a separate revenue account or accounting code) to track equitably shared monies and tangible
property. Those procedures must be consistent with those set forth below.
A. Bookkeeping procedures and internal controls
The state or local participating law enforcement agency must:
1. Establish a separate revenue account or accounting code through the agency's finance
department for the proceeds from the Department of Justice Equitable Sharing Program.
This account or accounting code will be used solely for funds from the Department of Justice
Equitable Sharing Program. No other funds may be included in this account or with this
accounting code.
This bank account information must be provided to the USMS on the ACH Vendor form.
The process of electronic payments, known as E- Share, provides a fast, efficient, and
secure method of making equitable sharing payments. Participation in the program is
mandatory. The form may be downloaded from w w.usmarshals.gov / assets.eshare or
\vww.0 sd.oj. gov /crirn.i.nal.afin.is.
2. Not commingle Department of Justice equitable sharing funds with funds from any other
source. Corrective measures must be taken if this occurs.
3. Deposit any interest income earned on equitably shared funds in the same revenue account or
under the accounting code established solely for the shared funds.
4. Maintain a log and copies of all Forms DAG -71 forwarded to the Department of Justice. A
consecutive numbering system should be used for control purposes. The log should contain
seizure type (property or currency), amount, share amount requested, amount received, and
date received.
5. Update the log when an E -Share notification is received. The amount received may differ
from the amount requested.
6. Establish an internal procedure to recommend expenditures from the revenue account. In
many small agencies, the chief of police determines the purposes for which the funds are
used. In larger agencies, committees have been formed to make recommendations for
expenditures to the agency head. The agency head must authorize all expenditures from the
federal sharing revenue account.
7 Use tangible property placed into official use for a law enforcement purpose for at least two
years following the transfer. After two years, the property may be sold for the benefit of the
law enforcement agency. All proceeds from the sale of such property must be deposited into
Guide to Equitable .g • 27
the agency's equitable sharing account. Agencies requesting to sell property prior to two years
must obtain approval from AFMLS.
. Use purchased or acquired luxury automobiles only for undercover assignments.
9. Obtain approval for expenditures from the governing body, such as the town council or city
manager's office, if appropriate.
10. Upon final approval, issue contracts or purchase orders to formally disburse deposited assets
for goods or services. Deduct purchase orders and contracts from the account balance.
11. Maintain a record of all expenditures from the revenue account or accounting code. These
expenditures must be in accordance with this Guide.
12. Issue quarterly and yearly reports that detail the actual amounts and uses of the federal asset
sharing funds and propertywithin their jurisdiction, if appropriate.
X. What Are the Reporting and Audit Requirements?
To ensure effective management, promote public confidence in the integrity of the Equitable Sharing
Program, and protect the Asset Forfeiture Program against potential waste, fraud, and abuse, the
Department of Justice has established for participating law enforcement agencies reporting require-
ments that include the annual submission of the Equitable Sharing Agreement and Certification form
and, if applicable, an audit report. A state or local law enforcement agency must be in compliance
with the reporting requirements set forth in this Guide to receive any distribution of money or property
under the Equitable Sharing Program. An agency is considered to be in compliance once the Equitable
Sharing Agreement and Certification form is submitted electronically and the signed Affidavit/
Signature page is received within the required deadlines.
A. Federal Equitable Sharing Agreement and Certification Form
As a prerequisite to participating in the Department of Justice Equitable Sharing Program, a state or
local law enforcement agency must annually submit to AFMLS a signed Equitable Sharing Agreement
and Certification form. (See Appendix E.) The agreement must be signed by the head of the law
enforcement agency and a designated official of the governing body.21 By signing the Affidavit, the
signatories agree to be bound by the statutes and guidelines that regulate the equitable sharing
program and certify that the law enforcement agency will comply with these guidelines and statutes.
State and local law enforcement agencies must submit this form within 60 days after the end of an
agency's fiscal year, regardless of whether funds were received or maintained during the fiscal year.
The report must be completed electronically and emailed to aca.submitOl'usdoj.gov.
Once the agency has emailed the form, the Affidavit /Signature page must be printed, signed, and
faxed to AFMLS:
21 For purposes of the Equitable Sharing Agreement and Certification form, a governing body is an institution or organization that
has budgetary oversight over the law enforcement agency. A law enforcement official should not sign for the governing body
unless the official has budgetary oversight over the agency.
28 e aide to Eip.i etfhb: ,.
New participants will check the "New Participant" button on the form, enter the agency's fiscal
year end date, current fiscal year budget information, and proceed to the Affidavit /Signature page.
Existing participants will check the "Existing Participant" button on the form and complete the Annual
Certification Report and the Affidavit /Signature page. Participating agencies must notify AFMLS
of any change in administration at the law enforcement agency and /or its governing body by check-
ing the "Change in Administration" button and resubmitting the Agreement and Certification form
electronically.
Where the agency or organization submitting the Agreement is a multi- agency task force, Table A of
the Equitable Sharing Agreement and Certification form must be completed providing a list of the task
force members or participating law enforcement agencies. If the task force distributes or transfers any
equitably shared monies or property to any member or participating state or local law enforcement
agency, it must ensure that each such recipient agency has a valid Equitable Sharing Agreement and
Certification form on file with AFMLS.
If equitable sharing receipts are deposited in an interest bearing account, interest income must be
reported on the certification section of the form. Agencies are not required to use interest bearing
accounts. If an agency enters a zero in the "interest income accrued," it must check the non- interest-
bearing account box.
If the reporting law enforcement agency uses any funds for "other law enforcement expenses,"
"transfers to other law enforcement agencies," "permissible use transfers," or "matching grants," the
tables in the certification section of the form must be completed with all requested information. The
total values will auto - populate into the certification section of the form.
Agencies that do not receive federal equitable sharing funds or property during a fiscal year must
submit the Equitable Sharing Agreement and Certification form listing "0" receipts. The head of the
law enforcement agency and a designated official of the governing body must sign the Affidavit page of
the Equitable Sharing Agreement and Certification form.
B. Annual audit
State and local law enforcement agencies that receive federally shared cash, proceeds, or tangible
property are required to perform an audit consistent with the Single Audit Act Amendments of 1996
and OMB Circular A -133, Audits of States, Local Governments and Non -Profit Organizations. Per those
guidelines, agencies that expend more than $500,000 in federal funds (e.g., Justice and /or Treasury forfei-
ture funds, grants, cooperative agreements) per fiscal year are required to conduct an external audit. In
such circumstances, an independent accounting firm may be contracted to perform the required audit.
Copies of this audit must be retained by the law enforcement agency. Forfeiture funds may be used to
pay the fees associated with conducting such audits.
The Government Auditing Standards, issued by the U.S. General Accounting Office, must be followed
by auditors and audit organizations conducting the required independent financial audit. These stan-
dards pertain to the auditor's professional qualifications, the quality of the audit effort, and the charac-
teristics of professional and meaningful audit reports.
C ;.t de to Equitable `ha, • 29
C. Record retention
State and local law enforcement agencies shall retain for a period of at least five years all documents
and records pertaining to their participation in the Department of Justice Equitable Sharing Program
and their receipt and expenditure or use of shared cash, proceeds, real property, or tangible personal
property, including but not limited to Forms DAG -71, Equitable Sharing Agreement and Certification
forms, accounting and bookkeeping documents, logs and records, bank records and statements, and
audit reports.
XI. What If Agencies Do Not Fulfill the Compliance Requirements?
This Guide describes the sharing process and is binding upon all state and local agencies seeking fed-
eral sharing transfers.
At the time agencies receive shared funds, they will be asked to certify that the cash or property
shared will be used consistent with the Form DAG -71 or as otherwise authorized and consistent with
the policies set forth in this Guide. Noncompliance with the policies of this Guide may subject recipient
agencies to one or more of the following sanctions:
1. Denial of an agency's sharing request;
2. Temporary or permanent exclusion from further participation in the equitable sharing
program;
3. Offsets from future sharing in amounts equal to impermissible uses;
4. Civil enforcement actions in U.S. District Court for breach of contract; or
5. Where warranted, federal criminal prosecution for false statements under 18 U.S.C. § 1001,
fraud involving theft of federal program funds under 18 U.S.C. § 666, or other sections of the
criminal code, as applicable.
No equitable sharing funds or property will be distributed to any state or local law enforcement
agency that is not in compliance with the annual reporting requirements outlined in this Guide. A law
enforcement agency that has requested an equitable share of federally forfeited money or property in
accordance with the provisions of the Guide but is not in compliance with the reporting requirements
will be notified in writing by AFMLS and will be given 60 calendar days to come into compliance. If
the requesting agency comes into compliance within the 60 -day period, it will receive any withheld
sharing funds or property.
Additional time to comply may be granted upon request. However, if the agency fails to become
compliant within one year, the agency's sharing requests will be denied and extinguished, and any
equitable sharing money and /or property being held will be deposited into the Department of Justice
Assets Forfeiture Fund. Any such denial and the deposit of money and /or property into the Assets
Forfeiture Fund shall be final and irrevocable. Any sharing requests for money and /or property not yet
forfeited are not affected.
Guide to E.(ju
.� ircr • 31
APPENDIX A:
What Are the Types of Federal Forfeiture?
Forfeiture is the taking of property derived from a crime, involved in a crime, or that which makes a
crime easier to commit or harder to detect.
A. Administrative Forfeiture
Administrative forfeiture is the process by which property may be forfeited to the United States with-
out judicial involvement. Federal seizing agencies perform administrative forfeitures. Seizures must
be based on probable cause. The authority for a seizing agency to start an administrative forfeiture
action is found in 19 U.S.C. § 1607.
Administrative forfeiture can be used to seize and forfeit the following:
• any amount of currency;
• personal property valued at $500,000 or less, including cars, guns, and boats;
• hauling conveyances of unlimited value.
Real property cannot be forfeited administratively.
If the property owner files a claim, the administrative forfeiture process stops and the Government
must bring a forfeiture action in federal court or return the property to the claimant. The seizing
agency forwards the claim to the United States Attorney's Office for action.
B. Judicial Forfeiture
Judicial forfeiture, civil and criminal, is the process by which property may be forfeited to the United
States by filing a forfeiture action in federal court.
• Criminal Forfeiture
Criminal forfeiture is an action brought as part of the criminal prosecution of a defendant that
includes the forfeiture of property used or derived from the crime. If the defendant is convicted, the
judge or the jury may find that the property is forfeitable. Forfeiture is limited to the property inter -.
ests of the defendant and only to property involved in the particular counts on which the defendant is
convicted. Only the defendant's interest can be forfeited in a criminal case because criminal forfeiture
is part of the sentence in the criminal case. For example, if the defendant used someone else's car to
commit a crime and the owner of the car was not indicted for the crime in which the car was used, the
car cannot be forfeited in the criminal case. Instead, a civil forfeiture case can be filed against the car.
If a third party claims an interest in the property that the Government seeks to forfeit criminally, the
issue is determined in an ancillary hearing before the court only after the criminal trial is completed,
the defendant convicted, and a preliminary order of forfeiture is entered. Once the interests of third
32 • Guide to Ea trz table SlLrn
parties are resolved, the court issues a final order of forfeiture. The order of forfeiture might not hap-
pen for months or years, even if the forfeiture is uncontested, resulting in a delay in the disposal of the
property.
If the property subject to forfeiture is no longer available, the court can enter a money judgment or
order the forfeiture of substitute assets.
• Civil Forfeiture
Civil forfeiture is a proceeding brought against the property rather than against the person who com-
mitted the offense. Civil forfeiture does not require either criminal charges against the owner of the
property or a criminal conviction.
To obtain a federal forfeiture, the Government must prove the forfeiture and the connection between
the property and the crime by a preponderance of the evidence. Forfeiture may be applicable to prop-
erty that is traceable as proceeds of the offense, that facilitated the offense, or that was involved in
money laundering. All claims of interest or ownership in the property, such as property owned by
third . parties, are resolved in a single trial.
C7di1ee tr:> Equitab'le
e33
APPENDIX B:
National Code of Professional Conduct for Asset Forfeiture
1. Law enforcement is the principal objective of forfeiture. Potential revenue must not be
allowed to jeopardize the effective investigation and prosecution of criminal offenses, officer
safety the integrity of ongoing investigations, or the due process rights of citizens.
2. The Constitution and Federal Statutes prohibit the improper use of personal characteristics
such as race, color, national origin, gender, or religion to target individuals for law
enforcement action.
3. No prosecutor's or sworn law enforcement officer's employment or salary shall be made to
depend upon the level of seizures or forfeitures he or she achieves.
4. Whenever practicable, and in all cases involving real property, a judicial finding or probable
cause shall be secured when property is seized for forfeiture. Seizing agencies shall strictly
comply with all applicable legal requirements governing seizure practice and procedures.
5. If no judicial finding of probable cause is secured, the seizure shall be approved in writing by
a prosecuting or agency attorney or by a supervisory -level official.
6. Seizing entities shall have a manual detailing the statutory grounds for forfeiture. This
manual will include procedures for prompt notice to interest holders, the expeditious release
of seized property where appropriate, and the prompt resolution of claims of innocent
ownership.
7. Seizing entities retaining forfeited property for official law enforcement use shall ensure
that the property is subject to internal controls consistent with those applicable to property
acquired through the normal appropriations processes of that entity.
8. Unless otherwise provided by law, forfeiture proceeds shall be maintained in a separate
fund or account subject to appropriate accounting controls and annual financial audits of all
deposits and expenditures.
9. Seizing agencies shall strive to ensure that seized property is protected and its value
preserved.
10. Seizing entities shall avoid any appearance of impropriety in the sale or acquisition of
forfeited property.
ui.rable Sharing • 35
APPENDIX C:
Guidelines for Determining a Community -Based Program's Eligibility
To ensure that recipient law enforcement agencies administer these guidelines for determining a com-
munity -based program's eligibility in accordance with the federal law and Department of Justice policy,
an agency's chief law enforcement officer must ensure his or her agency's adherence to the following
requirements governing eligibility, background, and compliance of applicants to be eligible to benefit
from shared funds. The federal investigating agencies and the United States Attorney's Offices also are
tasked with helping to ensure applicants' suitability to receive guidelines for shared funds use expen-
ditures. Once completed, the chief law enforcement officer's certification that an applicant is eligible to
benefit from shared funds will remain effective for one year.
I. Eligibility
For an applicant to benefit from permissible use expenditures, the chief law enforcement officer shall
determine that the applicant fulfills the following eligibility requirements:
A. Type of Entity
The applicant must be either:
(1) a state, county, or local governmental department or agency; or
(2) a private, nonprofit organization, pursuant to 26 U.S.C. § 501(c)(3) or (4).
B. Activity of Entity
The applicant also must be primarily engaged in providing a program that is both:
(1) community- based; and
(2) supportive of and consistent with a law enforcement effort, policy, or initiative.
Such programs include, but are not limited to, the following:
(1) drug abuse treatment;
(2) drug and crime prevention education;
(3) providing housing; or
(4) providing job skills.
In order to assist chief law enforcement officers in determining whether a potential recipient of ben-
efits under the guidelines for supporting community -based programs with shared funds is eligible,
36 • ia< r' 'ail.: 57w
the Department of Justice provides the following non - exclusive list of examples of activities that it has
approved in the past as qualifying to benefit from equitable sharing:
(1) establish a detoxification center;
(2) fund a Police Athletic League's "Summer Playstreets" program for crime and drug prevention;
(3) fund a city parks department's anti -gang initiative;
(4) fund "Law Enforcement Explorer Posts," a Boy Scouts program promoting law enforcement
training and community service;
fund a "Crime Stoppers" program providing reward money and assistance to neighborhood
watch groups including training on observance and effective witness skills:
(6) purchase a computer for teaching job skills and drug and alcohol awareness to probationers;
(7) fund programs for incarcerated youth, parents of murdered children, and domestic violence
victims; and
(8) fund a methadone clinic.
Considering each of these approved activities, the Department of Justice based its approval on the
activity's nexus to a law enforcement interest, whether:
(1) direct (e.g., paying rewards for key information);
(2) preventative (e.g., funding a methadone clinic, drug awareness program, anti -gang initiative,
and probationer training); or
(3) developmental in promoting community policing (e.g., incorporating law enforcement
awareness in a Boy Scout program).
II. Background and Compliance with Law and Policy
A. Certification by Applicant
(5)
An applicant for benefits to support community -based programs with shared funds must certify in
writing the following aspects of its background and compliance with federal law and Department of
Justice guidelines:
(1) The applicant fulfills the basic eligibility requirements set forth in parts I.A and B above.
(2) The applicant agrees:
a. to account separately for all guidelines for shared funds use benefits received; and
b. to subject such accounting to the standard accounting requirements and practices
employed under state or local law for recipients of federal, state, or local funds.
}a 4.
Guide to (- „�Li.7i !lilt:' Sharing • 37
(3) The applicant is in compliance with the federal civil rights laws.
(4) The applicant is in compliance with federal laws that apply to the applicant.
(5) No officer, director, trustee, or fiduciary of the applicant has been:
a. convicted of a felony offense under federal or state law; or
b. convicted of any drug offense.
(6) No shared benefits will be used for political or personal purposes.
(7) No shared benefits will be used for any purpose that would constitute an improper or illegal
use under the laws, rules, regulations, or orders of the state or local jurisdiction in which the
applicant is located or operates.
The applicant's certification must be signed by the head of the applicant entity and must be submitted
to the chief law enforcement officer who will approve expenditures on the applicant's behalf. The chief
law enforcement officer shall maintain this certification as a record as long as the applicant may benefit
from shared funds, and thereafter, for as long as the chief law enforcement officer is required to main-
tain records under applicable state or local laws or regulations.
Any applicant that cannot certify its compliance with number 5 above (criminal record of principals)
should provide the chief law enforcement officer with a detailed explanation of the aspects in which,
and the reasons why, certification is not possible. A chief law enforcement officer who wishes to pro-
vide support to an applicant that cannot certify compliance with number 5 above shall provide an
explanation for his or her position, along with a copy of the applicant's explanation, as an attachment to
the law enforcement agency's Form DAG -71 (Application of Transfer of Federally Forfeited Property)
to the Asset Forfeiture and Money Laundering Section (AFMLS), Criminal Division, Department of
Justice. AFMLS will make the final decision on whether the provision of guidelines for shared funds
use benefits is appropriate.
An applicant for benefits under these guidelines that cannot certify the other aspects of its back-
ground and compliance with federal law and Department of Justice guidelines (numbers 1-4, 6 and 7
above) will be denied guidelines for shared funds use benefits.
B. Statement by Chief Law Enforcement Officer
The chief law enforcement officer shall explain in writing why the applicant's receipt of permissible
use benefits for the particular activity or use is supportive of and consistent with a law enforcement
effort, policy, and /or initiative within the guidelines to support community -based programs. The chief
law enforcement officer also shall maintain this written statement as a record as specified in section II.A
above.
38 • Guide to Efyuita
C. Inquiry by the Chief Law Enforcement Officer
A chief law enforcement officer is also responsible for determining whether an applicant for benefits
under these guidelines or its principals (e.g., officer, director, trustee, or fiduciary) currently is the sub-
ject of federal, state, or local criminal investigation. Accordingly, a chief law enforcement officer shall:
(1) utilize all investigative resources available (e.g., National Crime Information Computer) to
determine the applicant's status and provide the findings to the federal investigative agency on
the Form DAG -71; and
(2) fully identify the applicant and its principals on the Form DAG•71.
D. Inquiry by the Federal Investigating Agency
The federal investigative agency that receives the Form DAG-71 shall use the information identifying
the applicant and its principals to conduct further checks of whether the applicant or its principals cur-
rently are the subject of a federal, state, or local criminal investigation. The federal investigative agency
also shall provide this identifying information to the United States Attorney in the district where the
applicant is located, and where the applicant is operating, and to the chief law enforcement officer
involved (unless non - disclosure is required to safeguard a federal investigation in progress).
E. Inquiry by the United States Attorney
The United States Attorney in the district where an applicant or one of its principals is located, or
where it or one of its principals is operating, shall determine whether the applicant or principal cur-
rently is the subject of grand jury proceedings or other prosecutorial scrutiny in that district, and the
United States Attorney shall notify the federal investigative agency of the findings, and also shall notify
the chief law enforcement officer involved (unless non - disclosure is required by federal law or to safe-
guard a federal investigation in progress).
ide to .":quit' tnng • 39
APPENDIX D:
Form DAG -71: Application for Transfer of Federally Forfeited Property
U.S. Department of Justice Application
(For Use
Date: I I I
Investigative Agency: I I
Case Number-
for Transfer of Federally Forfeited Property
By United States Law Enforcement Agencies Only)
For Federal Use Only.
(For Additional lnformation - See Instructions)
• All assets transferred must be used for the law enforcement
purpose stated in the request.
• Deadline for submission of this request is sixty (60) days
following the seizure.
• The requesting agency will be responsible for reimbursing the
Federal Government its costs and may be responsible, in a
single -asset case, for reimbursi� the federal share.
Asset it
Seizure Date:
Judicial District:
Case Type: Adoption: ❑ Joint: ❑
(Check One)
II.
Requesting Agency Name: J�
Address: 0
NCIC Code: Date: 1 1 I I 1 I 1 1 I,,,��,,��V.'
Contact Person:' 1phone Number: ( )
.
III.
Asset Requested: 0 Other assets in this case (Attach fish
>�� r ,eq,
Property Description: C Request Type:
❑ Item ❑ Cash /Proceeds %
.
IV. Specific Intended Law Enfarc en t s : .'C)
❑ Salaries AC' D 4 blase of Equipment
❑ Purchase of Vehicl lace Into Official
( (If other than cash)
❑ Other (Please explain):
Use
V.
Contribution (If any r to A ihru E is yes, provide
A. Did your ag y originate the information leading
B. Were any other assets seized under state law?
C. Were extraordinary expenses incurred?
D. Did your agency supply any unique or indispensable
E. Are there any assets located in foreign countries
F. How many hours were expended?
details in Part VI): Yes No
to the seizure? ❑ ❑
❑ ❑
❑ ❑
assistance? ❑ ❑
associated with this case? ❑ ❑
hours ❑ ❑
FORM DAG -71
DEC.90
40 • Guide t0 ctu itabie Sitar.
Case Number:
U.S. Department of Justice Application for Transfer of Federally Forfeited Property
(Page 2)
VI. Additional space for detailed answers (Indicate Part to which answer(s) apply)
oy
ei
kvi
(If more space is required, use a> rate ((paper and attach.) Attachment: ❑ Yes El No
VII. Certifications: � 55
A. The requester certifies that the information is true and accurate, that the property transferred will be used
for the law enforcement p e stated, and that all monies received pursuant to this request will be deposited
and accounted for con ' t with applicable state laws, regulations, and orders. The requester agrees to report
on the actual use of stably transferred property upon request. The requester agrees to pay fees and expenses
necessary to effect tr sfer of title not later than the time of transfer. The requester understands that if it is
unable to pay the necessary fees and expenses at the time of transfer, the asset will be sold and the maximum
percent of net sale proceeds will be forwarded in lieu of the asset.
Signature/Title Date
B. As legal counsel, I have reviewed this Application for Transfer of Federally Forfeited Property and 1 certify that
the contract person identified in Part 11 has the authority to accept forfeited property and is the official to whom
transfer documents and /or money should be delivered.
Signature/Title Date
Address:
Telephone Number: ( )
Guide tc: ;E t,itubie Sharin • 41
General iostructions
•
1)A(a -71
Part T:
Part II:
Part 111:
I.':.ar1• IV:
I *arl. V:
:Part VI: Space for additional iulor117a.tion..
U.S. DEPARTMENT OF JUSTICE
ICE
instructions for Completing Form DAG -1i
Application for Transfer of Federally Forfeited Property
Transfer of fedeerally forfeited property is governed by the Departmelnt of justice Atte.?rliey General's
(d .;1.1t1L�.c31`k $. Intl and 1otfclt -d r'ropctly (GO dcltttes).
Requesting state or local law enforcement agency (Agency) head or designee must complete: be
DAG -71 . (Note: incomplete or inaccurate information is the most common cause of delay in processing.)
For international transfer of federally forfeited property, contact the Asset Forfeiture Office, Criminal
Division, Department of Justice, Washington D.C.
A separate: DA.G-7 1 must be completed for each asset (or proceeds) requested.
The deadline for submitting the DA(3 -71 to the federal investigative agency processing the forfeiture
(federal agency,) is 60 days from the date of the last seizure. in the ease. DAG -71 will be
considered if submitted alter the deadline.
in a one -asset case where the Agency requests the tangib
return costs and the apprapriate federal equitable share,
return the costs and federal share, the property w- 11 uln
proportionally. (Upon adequate justification, sran t
ieu of proceeds, the Agency .rust
States....fth.e Agency is unable to
and the proceeds distributed
ranted by the deciding official.)
For federal. use only. (Note: A.sset Iaitlr icr a, federal inv .- t.igative agetrcy case number or uniform
identifier.)
Provide lamination nation rec3u
processing this forfeitei
dot: mews, andfor 0
Provide as cdtiNte �p,��fv,.t ty descripi.ion. as possible. Include serial or vehicle identification ,Jwnher.
You must cheek eith'r . eltn" (if requesting the asset) or "C as11iPi oceeds" (if requesting a .percentage
of the asset). Atta 4 �t of any other assets in this case.
Tay law, pert aage requested must be based on the `degree of direct law enforcement effort by the state
or local agency resulting in the forfeiture, taking into aceountthe total value of all property forfeited and
total law enforcement effort, incl.l,ding. any related criminal prosecution with respect to the violation. of
lacy on which the forfeiture is based," (21 C .s:C'. S$1(e)(3)).
code is not known, contact the federal agency responsible fo:r
i•son is the person wbo has authority to accept property and transfer
flat:
Indicate specific intended law enforce
Pursuant to the Guidelines, all prope.rt
enforcement purpose(s) approved.
purpose(s) for requested cash, proceeds or tangible property.
including cash and proceeds, most be used :for• the specific law
Answea• all items A -R If an answer to A tlrru E is yes, provide details in Block. VI.
Part VII: Neeucy head or his designee and appropriate legal office must certify that information provided in
Blocks I-VI is true and accurate.
42 • Gu; e . =r:.. i ring
SUPPLEMEN'Ai INSTRUCTIONS FOR `ViUL ll ,iy' 1 +'TS •
Where multiple asset_~ arc seized un the same date; in the same case, an.i:l the same request is made for each asset, preparation.
of paperwork, can be simplified by using the following method:
(1) Complete one original of the: I)AG -71. In Block 1.1, Asset Retltiestc.il; triter ' ee asset n7arka;sl by an. `:x' on the
attached list."
(2) 1'r • . a list 1' all assets seized in the ease, as shown in the sample below
(3)
Photocopy the DAG - -71 and the list as many times as needed, You. will need one copy for each asset.
Enter an "x" in the appropriate place -next to one asset on. each copy of the list. That copy will Sere as the
- inal - DAG -71 for the asset walked with an "x.."
(5) P rovi.Cle original signatures on all 1)AG -71 s.
Below is a sample of sueh a list:
.Asset. 117 No.
(Fed. Use Only)..
_ 93DEA.00078) ' 32,009 &Jima n/a
kk�7
93D 1000790 1993 Q -xi( an, 345YG89:FE9332
LISTING OF ASV
CASE NO
Asset Description6 -g
Serial Number
93DEA000791 .onic cellular phone 678954321
X. 9313.1: A000792 X 92 Jeep Cherokee. ed 7771.IG9OQRW772
93DEA000793 Electronic Equipment:
113M PS'l. computer 8833113M76321
60 M13 hard drive 954673021
Ok.idata. primer 7:i543297(
Note :: Tins list can also fulfill the requirement to provide a list of ail assets seized in a case.
Guide ,. r "= c:crifr. -Ede Sharing 111. 143
APPENDIX E:
Equitable Sharing and Agreement Annual Certification Report
Equitable Sharing
Agreement and
Certification
B Ftnnibet 1123 -0011
ires 7 -31 -2011
0 Police Department 0 Sheriffs Office Task Force (Complete Table A, page2)
0 Prosecutor's Office 0 Other (specify)
Agency Name:
NM/OM/Tracking Number:I .._ _,.._I._. ( ._.
Street Address;
City:
Contact: Title:
Contact Phone:
Contact e-mail:
first:
State:
Last Fiscal Year End (mm /dd /yyyy):
0 New Participant:
n Existing Participant:
0 Change in Administration:
U Amended Form:
Contact Fax:
Zip:
Last:
Read the Equitable Sharing Agreement (page eiand si
Complete the Annual Certification Repd
(page 4), and sign the Affidavit (page
Select to report change to Agen cQover
year. Read the Equitable ShafAgree page 4) and sign the Affidavit (page 5).
Revise the Annual Certi 'c Re �t 1Z3d the Equitable Sharing Agreement (page
4), and sign the AffidaK ge 5).\
Annual CextZfica n Report
tFi
G, \�l
Affidavit (page 5)
able Sharing Agreement
ody head DURING the current fiscal
Summary of Equitable
g ASFrti'
Justice Funds
Treasury Funds
1
Beginning Equitable Sharing glance ((11ust match
Ending Equitable Sharing Fug alagcegi prior FY)
1 /
2
Federal Sharing Fu € ived b.
3
4
Federal Sharing Funds Recehrd from Other Law Enforcement
Agencies and Task Forc bmplete Table B, page 2)
Other Income
6
6
Interest Income Accrued
0 Check box if non - interest- bearing account.
Total Equitable Sharing Funds (total of lines 1 - 5)
$0.00
$0.00
7
Federal Sharing Funds Spent (total of lines a - n below)
$0,00
$0.00
8
Ending Balance (subtract line 7 from line 6)
$0.00
$0.00
Page 1 of 5
January 2009
Version 1.5
44 • C tt:t t: to tdtei%; L 1 : .
Summary of Shared Monies Spent
Justice Funds Treasury Funds
a
Total spent on salaries for new, temporary, not -to- exceed
one year, employees
b
Total spent on overtime
q
c
Total spent on informant and "buy money"
d
e
Total spent on travel and training
Total spent on communications and computers
f
Total spent on firearms and weapons
9
Total spent on body armor and protective gear
h
Total spent on electronic surveillance equipment
k
Total spent on building and improvements
Total spent on other law enforcement expenses (complete
Table C, page 3)
Total transfers to other state and local law enforcement
agencies (complete Table D, page 3)
Total 15% Expenditures in Support of Community -based
Programs (complete Table E, page 3)
/
m
Total 25% Windfall Transfers to Other Government Agenci
(complete Table F, page 3)
t.
n
Total spent on matching grants (complete Table G c'e 3)
Az m'
to rt +@
$0.00
$0.00
Miscellaneous Dam
o
p
Agency's budget for current fi�ar
Jurisdiction's budget for ntfisc a
are'
q
Appraised Value of d>�'Asset eived
Table A: Members of Task Force
Agency Name
Address
Table B: Equitable Sharing Funds Received from other Agencies
Transferring Agency Name, City, and State
Agency Name
Agency Address
Page 2 of 5
Justice Funds
Treasury Funds
January 2009
Version 1.5
Guide to `. (1 itable ;; t;-;,1 • 45
Table
i
C: Other Law Enforcement Expenses
Description of Expense
Justice Funds
i
Treasury Funds
Table
�.___ -- _.. __
D: Equitable Sharing Funds Transferred to Other Agencies
Receiving Agency Name, City, and State Justice Funds
Treasury Funds
........_..._.
Agency Name
Agency Address
Table
:E: 15% Expenditures in Support of Community -based Programs
Justice Funds
jRecipient
-__-
Table
F: 25% Win II Transfers to Other Government Agencies
Recipient 0 C Justice Funds Treasury Funds
Table G: Matching Grants
Matching Grant Name C„} °- Justice Funds Treasury Funds
Table H Civil Rights Cases
Name of Case �J
i R
Type of Discrimination
r � Race
Alleged
„ Color
National
• Origin
F-„ Gender
Status
0 Settled
0 Pending
[] Disability
I Age.
$ Other
Paperwork Reduction Act. Notice
Under the Paperwork Reduction Act, a person is not required to respond to a collection of information unless it
displays a valid OMB control nurnbei. We try.to create accurate and easily understood forms that impose the least
possible burden on you to complete, The estimated average time to complete this form is 30 minutes, If you have
comments regarding the accuracy of this estimate, or suggestions for making this form simpler, please write to the
Asset Forfeiture and Money Maundering Section, Program Unit, Ie100 New York Avenue, N,W,, Second Floor,
Washington, DC 2000.5,
Page 3 of 5 January2009
Version 1.5
46 • to Equitable Sharing
Equitable Sharing Agreement
This Federal Equitable. Sharing Agreement, entered into among 0) the Federal Government, 2) the above-stated
law enforcement agency ("Agency"), and (3) the governing body, sets forth the requirements for participation in
the federal equitable sharing program and the restrictions upon the use of federally forfeited cash, property,
proceeds, and any interest earned thereon, which are equitably shared with participating law enforcement
agencies. By its signatures, the Agency agrees that it will be bound by the statutes and guidelines that regulate
shared assets and the following requirements for participation in the lederalequitable sharing program. Receipt
of the signed Equitable Sharing Agreement and Certification (this 'Document") is a prerequisite to receiving any
equitably sharecl cash, property, or proceeds,
1. Submission: This Document must be submitted to aca,stibmit@usdoi.gov within 60 days of the end of the
Agency's fiscal year, Th.ls Document must be submitted electronically with the Affidavit/Signature, page (page 5)
submitted by fax. This will constitute submission to the Department ofJustice and the Department of Treasury,
2, Signatories. This agreement must be signed. by the head of the Agency and the head of the governing body.
Examples of Agency heads includee police chief, sheriff, director, commissioner, superintendent, administrator;
chairperson, secretary, city -attorney, county attorney, district attorney, prosecuting attorney, state attorney,
commonwealth attorney, and attorney general. The governing body's head is the person whotalocates funds or
approves the budgetfor the Agency. Examples of governing body heads Include city mana Alayor, city
council chairperson, county executive, county council chairperson, director, se , ad trator,
commissioner, and governor, 3. Uses, Any shared asset shall be used for law enforcement purposes iet- tor
''Ovith the statutes and
guidelines that govern the federal equitable. sharing program as sikie.h in thtrent edition of the
Department ofJustice's Guide to Equitable Sharing (Justice Guid intent of the Treasury's Guide to
Equitable Sharing for Foreign Countries and Federal, State, anti401- ent Agencies (Treasury Guide).
4. Transfers. Before the Agency transfers cash, propertk_ rocee6 other state or local law enforcement
agencies, it must first verify with the Department ofJustia or t partment of Treasury, depending on the
source of the funds, that the receiving agency is aferi,yral e sharing program participant and has a
current Equitable Sharing Agreement and Certl a..bon
5. Internal Controls, The Agency agre
from the Department ofJustice and th
other sources must not be comrnin
separate revenue account or
Treasury forfeiture funds. inte e
fund account.
41C101.1 arately for federal equitable sharing funds received
the Treasury. Funds from state and local forfeitures and
quitable sharing funds. The Agency shall establish a
tate, local, Department ofiustice, and Department of the
erated must be accounted for in the appropriate federal forfeiture
The Agency agrees that such acc
employed for other public m
Justice Guide and the Trea t
ring will be subject to the standard accounting requirements and practices
s supplemented by requirements set forth in the current edition of the
tide,
The misuse or misapplication of shared resources or the supplantation of existing resources with sharecl assets is
prohibited. Failure to comply with any provision of this agreement shall subject the recipient agency to the
sanctions stipulated in the current edition of the justice or Treasury Guides, depending on the source of the
funds/property.
6. Audit Report. Audits will be conducted as provided by the Single Audit Act Amendments of 1996 and OMB
Circular A-133, The Department ofiustice and Department of the Treasury reserve the right to conduct periodic.
random audits.
Page 4 of 5
January 2009
Version 1.5
Guide to 1:q aitable Sharing • 47
Affidavit
Under penalty of perjury, the undersigned officials certify that they have read and understand their obligations under
th:e Equitable. Sharing Agreement and that the information submitted in conjunction with this :Document is an accurate
accoUnting of funds received and spent by the Agency under the Jus-tice aid/or Treasury Guides during the reporting
period and that the recipient Agency is in compliancewith the National•Code of Professional Conduct for 'Met Forfeiture.
The undersigned certify that the recipient agency is in compliance with the rionciis.almination requirements of the
following laws and their Depart Mem of Justice implementing regulations: Title VI of the Civil flights Act of 1964 (42 U.S,C,
§-2000d et seq.), Title IX of the Education Amendments of 1972 ao U.S § 1631 et seq,), Section 504 of the Rehabilitation
Act of 1973 (29 U.SC. § 794), anti the Age Discrimination Act of 1975 (42 U.S.C. § 6101 et seq.),, which prohibit
discrimination on the basis of racg, color, national origin, disability, a age in any federally assisted program or activity; or
on the ha Os of so in any federally assisted education program or activity,.
Agency Head
Signature:
Na nva:
Date:
Final Instructions:
Step 1: Click button
Step 2: Click butt
Step 3: E-mail
Step 4: Fax a
Note: The Agency wil
Date:
iTeve LW format foryour records
o sa ML forma
ttachment to aca.subm
4-&711-*Z. 1442
usdojgov
r.ofTHJS PAGE ONLY to (202) 616-1344
be in compliance until the e-rnall and the fax of this page are received.
OR A60,10. USE 0.M. I
Entotad by ,., ..... .,.. _.
Eni:Oed on
FYEnd
NCIO Agency:.
Stfiter. Colitact:
E-Man:
Page 5 of 5
Phone
• •
January 2009
W.9'93;111.5
725 ILCS 150/ Drug Asset Forfeiture Procedure Act.
Illinois Compiled Statutes
Information maintained by the Legislative Reference Bureau
Updating the database of the Illinois Compiled Statutes (ILCS) is an ongoing process. Recent laws
may not yet be included in the ILCS database, but they are found on this site as Public. Acts soon
after they become law. For information concerning the relationship between statutes and Public
Acts, refer to the Guide.
Page I of 8
Because the statute database is maintained primarily for legislative drafting purposes, statutory
changes are sometimes included in the statute database before they take effect. If the source note
at the end of a Section of the statutes includes a Public Act that has not yet taken effect, the version
of the law that is currently in effect may have already been removed from the database and you
should refer to that Public Act to see the changes made to the current law.
CRIMINAL PROCEDURE
(725 ILCS 150/) Drug Asset Forfeiture Procedure Act.
(725 ILCS 150/1) (from Ch. 56 1/2, par. 1671)
Sec. 1. Short Title. This Act shall be known and may be
cited as the Drug Asset Forfeiture Procedure Act.
(Source: P.A. 86- 1382.)
(725 ILCS 150/2) (from Ch. 56 1/2, par. 1672)
Sec. 2. Legislative Declaration. The General Assembly
finds that the civil forfeiture of property which is used or
intended to be used in, is attributable to or facilitates the
manufacture, sale, transportation, distribution, possession or
use of substances in certain violations of the Illinois
Controlled Substances Act, the Cannabis Control Act, or the
Methamphetamine Control and Community Protection Act will have
a significant beneficial effect in deterring the rising
incidence of the abuse and trafficking of such substances
within this State. While forfeiture may secure for State and
local units of government some resources for deterring drug
abuse and drug trafficking, forfeiture is not intended to be
an alternative means of funding the administration of criminal
justice. The General Assembly further finds that the federal
narcotics civil forfeiture statute upon which this Act is
based has been very successful in deterring the use and
distribution of controlled substances within this State and
throughout the country. It is therefore the intent of the
General Assembly that the forfeiture provisions of this Act be
construed in light of the federal forfeiture provisions
contained in 21 U.S.C. 881 as interpreted by the federal
courts, except to the extent that the provisions of this Act
expressly differ therefrom.
(Source: P.A. 94 -556, eff. 9- 11 -05.)
(725 ILCS 150/3) (from Ch. 56 1/2, par. 1673)
Sec. 3. Applicability. The provisions of this Act are
applicable to all property forfeitable under the Illinois
Controlled Substances Act, the Cannabis Control Act, the
Illinois Food, Drug and Cosmetic Act, or the Methamphetamine
Control and Community Protection Act.
(Source: P.A. 96 -573, eff. 8- 18 -09.)
m _ _ HT _\ T c -TT r,C, 1 cn i>,.,,,. ,. ...,o+ x`.., -F ; +„ro Ar(.na(lnrc Art htm
725 ILCS 150/ Drug Asset Forfeiture Procedure Act. Page 2 of 8
(725 ILCS 150/3.5)
Sec. 3.5. Preliminary. Review.
(a) Within 14 days of the seizure, the State shall seek .a
preliminary determination from the circuit court as to whether
there is probable cause that the property may be subject to
forfeiture.
(b) The rules of evidence shall not apply to any
proceeding conducted under this Section.
(c) The court may conduct the review under subsection (a)
simultaneously with a proceeding pursuant to Section 109 -1 of
the Code of Criminal Procedure of 1963 for a related criminal
offense if a prosecution is commenced by information or
complaint.
(d) The court may accept a finding of probable cause at a
preliminary hearing following the filing of an information or
complaint charging a related criminal offense or following the
return of indictment by a grand jury charging the related
offense as sufficient evidence of probable cause as required
under subsection (a).
(e) Upon making a finding of probable cause as required
under this Section, and after taking into account the
respective interests of all known claimants to the property
including the State, the circuit court shall enter a
restraining order or injunction, or take other appropriate
action, as necessary to ensure that the property is not
removed from the court's jurisdiction and is not concealed,
destroyed, or otherwise disposed of by the property owner or
interest holder before a forfeiture hearing is conducted.
(Source: P.A. 97 -544, eff. 1- 1 -12.)
(725 ILCS 150/4) (from Ch. 56 1/2, par. 1674)
Sec. 4. Notice to Owner or Interest Holder.
(A) Whenever notice of pending forfeiture or service of an
in rem complaint is required under the provisions of this Act,
such notice or service shall be given as follows:
(1) If the owner's or interest holder's name and
current address are known, then by either personal service
or mailing a copy of the notice by certified mail, return
receipt requested, to that address. For purposes of notice
under this Section, if a person has been arrested for the
conduct giving rise to the forfeiture, then the address
provided to the arresting agency at the time of arrest
shall be deemed to be that person's known address.
Provided, however, if an owner or interest holder's
address changes prior to the effective date of the notice
of pending forfeiture, the owner or interest holder shall
promptly .notify the seizing agency of the change in
address or, if the owner or interest holder's address
changes subsequent to the effective date of the notice of
pending forfeiture, the owner or interest holder shall
promptly notify the State's Attorney of the change in
address; or
(2) If the property seized is a conveyance, to the
address reflected in the office of the agency or official
in which title or interest to the conveyance is required
by law to be recorded, then by mailing a copy of the
notice by certified mail, return receipt requested, to
that address; or
(3) If the owner's or interest holder's address is
ri _. /in.%T '7'1C IT /''o l Cr, A n.,04 Arrsnnriiira A n+ htm
1 /10/')(11')
725 ILCS 150/ Drug Asset Forfeiture Procedure Act. Page 3 of 8
not known, and is not on record as provided in paragraph
(2), then by publication for 3 successive weeks in a
newspaper of general circulation in the county in which
the seizure occurred.
(B) Notice served under this Act is effective upon
personal service, the last date of publication, or the mailing
of written notice, whichever is earlier.
(Source: P.A. 86 -1382; 87 -614.)
(725 ILCS 150/5) (from Ch. 56 1/2, par. 1675)
Sec. 5. Notice to State's Attorney. The law enforcement
agency seizing property for forfeiture under the Illinois
Controlled Substances Act, the Cannabis Control Act, or the
Methamphetamine Control and Community Protection Act shall,
within 52 days of seizure, notify the State's Attorney for the
county in which an act or omission giving rise to the
forfeiture occurred or in which the property was seized of the
seizure of the property and the facts and circumstances giving
rise to the seizure and shall provide the State's Attorney
with the inventory of the property and its estimated value.
When the property seized for forfeiture is a vehicle, the law
enforcement agency seizing the property shall immediately
notify the Secretary of State that forfeiture proceedings are
pending regarding such vehicle.
(Source: P.A. 94 -556, eff. 9- 11 -05.)
(725 ILCS 150/6) (from Ch. 56 1/2, par. 1676)
Sec. 6. Non - Judicial Forfeiture. If non -real property that
exceeds $150,000 in value excluding the value of any
conveyance, or if real property is seized under the provisions
of the Illinois Controlled Substances Act, the Cannabis
Control Act, or the Methamphetamine Control and Community
Protection Act, the State's Attorney shall institute judicial
in rem forfeiture proceedings as described in Section 9 of
this Act within 45 days from receipt of notice of seizure from
the . seizing agency under Section 5 of this Act. However, if
non -real property that does not exceed $150,000 in value
excluding the value of any conveyance is seized, the following
procedure shall be used:
(A) If, after review of the facts surrounding the seizure,
the State's Attorney is of the opinion that the seized
property is subject to forfeiture, then within 45 days of the
receipt of notice of seizure from the seizing agency, the
State's Attorney shall cause notice of pending forfeiture to
be given to the owner of the property and all known interest
holders of the property in accordance with Section 4 of this
Act.
(B) The notice of pending forfeiture must include a
description of the property, the estimated value of the
property, the date and place of seizure, the conduct giving
rise to forfeiture or the violation of law alleged, and a
summary of procedures and procedural rights applicable to the
forfeiture action.
(C) (1) Any person claiming an interest in property which
is the subject of notice under subsection (A) of Section 6
of this Act, may, within 45 days after the effective date
of notice as described in Section 4 of this Act, file a
verified claim with the State's Attorney expressing his or
her interest in the property. The claim must set forth:
1A• / /R• \T Arrtrvn4\TnrTAl411rA\7 /G TT (''Q 1 G(1_ T11,1 n A ooA4 Tinr4 fr. a ArnrA 1nrA A.41,4,,, 1 /1 O /')111')
725 ILCS 150/ Drug Asset Forfeiture Procedure Act. Page 4 of 8
(i) the caption of the proceedings as set forth
on the notice of pending forfeiture and the name of
the claimant;
(ii) the address at which the claimant will
accept mail;
(iii) the nature and extent of the claimant's
interest in the property;
(iv) the date, identity of the transferor, and
circumstances of the claimant's acquisition of the
interest in the property;
(v) the name and address of all other persons
known to have an interest in the property;
(vi) the specific provision of law relied on in
asserting the property is not subject to forfeiture;
(vii) all essential facts supporting each
assertion; and
(viii) the relief sought.
(2) If a claimant files the claim and deposits with
the State's Attorney a cost bond, in the form of a
cashier's check payable to the clerk of the court, in the
sum of 10 percent of the reasonable value of the property
as alleged by the State's Attorney or the sum of $100,
whichever is greater, upon condition that, in the case of
forfeiture, the claimant must pay all costs and expenses
of forfeiture proceedings, then the State's Attorney shall
institute judicial in rem forfeiture proceedings and
deposit the cost bond with the clerk of the court as
described in Section 9 of this Act within 45 days after
receipt of the claim and cost bond. In lieu of a cost
bond, a person claiming interest in the seized property
may file, under penalty of perjury, an indigency
affidavit.
(3) If none of the seized property is forfeited in
the judicial in rem proceeding, the clerk of the court
shall return to the claimant, unless the court orders
otherwise, 90% of the sum which has been deposited and
shall retain as costs 10% of the money deposited. If any
of the seized property is forfeited under the judicial
forfeiture proceeding, the clerk of the court shall
transfer 90% of the sum which has been deposited to the
State's Attorney prosecuting the civil forfeiture to be
applied to the costs of prosecution and the clerk shall
retain as costs 10% of the sum deposited.
(D) If no claim is filed or bond given within the 45 day
period as described in subsection (C) of Section 6 of this
Act, the State's Attorney shall declare the property forfeited
and shall promptly notify the owner and all known interest
holders of the property and the Director of the Illinois
Department of State Police of the declaration of forfeiture
and the Director shall dispose of the property in accordance
with law.
(Source: P.A. 97 -544, eff. 1- 1 -12.)
(725 ILCS 150/7) (from Ch. 56 1/2, par. 1677)
Sec. 7. Presumptions. The following situations shall give
rise to a presumption that the property described therein was
furnished or intended to be furnished in exchange for a
substance in violation of the Illinois Controlled Substances
Act, the Cannabis Control Act, or the Methamphetamine Control
f;1A•/ /R• \T , mrnnt \fnrfa ;tnra \775 TT ('C 1 SA_ nrna AQSOt Fnrfeiture Procedure Act_htm
1/19/2012
725 ILCS 150/ Drug Asset Forfeiture Procedure Act. Page 5 of 8
and Community Protection Act, or is the proceeds of such an
exchange, and therefore forfeitable under this Act, such
presumptions being rebuttable by a preponderance of the
evidence:
(1) All moneys, coin, or currency found in close proximity
to forfeitable substances, to forfeitable drug manufacturing
or distributing paraphernalia, or to forfeitable records of
the importation, manufacture or distribution of substances;
(2) All property acquired or caused to be acquired by a
person either between the dates of occurrence of two or more
acts in felony violation of the Illinois Controlled Substances
Act, the Cannabis Control Act, or the Methamphetamine Control
and Community Protection Act, or an act committed in another
state, territory or country which would be punishable as a
felony under the Illinois Controlled Substances Act, the
Cannabis Control Act, or the Methamphetamine Control and
Community Protection Act, committed by that person within 5
years of each other, or all property acquired by such person
within a reasonable amount of time after the commission of
such acts if:
(a) At least one of the above acts was committed
after the effective date of this Act; and
(b) At least one of the acts is or was punishable as
a Class X, Class 1, or Class 2 felony; and
(c) There was no likely source for such property
other than a violation of the above Acts.
(Source: P.A. 94 -556, eff. 9- 11 -05.)
(725 ILCS 150/8) (from Ch. 56 1/2, par. 1678)
Sec. 8. Exemptions from forfeiture. A property interest is
exempt from forfeiture under this Section if its owner or
interest holder establishes by a preponderance of evidence
that the owner or interest holder:
(A)(i) in the case of personal property, is not legally
accountable for the conduct giving rise to the forfeiture, did
not acquiesce in it, and did not know and could not reasonably
have known of the conduct or that the conduct was likely to
occur, or
(ii) in the case of real property, is not legally
accountable for the conduct giving rise to the forfeiture, or
did not solicit, conspire, or attempt to commit the conduct
giving rise to the forfeiture; and
(B) had not acquired and did not stand to acquire
substantial proceeds from the conduct giving rise to its
forfeiture other than as an interest holder in an arms length
commercial transaction; and
(C) with respect to conveyances, did not hold the property
jointly or in common with a person whose conduct gave rise to
the forfeiture; and
(D) does not hold the property for the benefit of or as
nominee for any person whose conduct gave rise to its
forfeiture, and, if the owner or interest holder acquired the
interest through any such person, the owner or interest holder
acquired it as a bona fide purchaser for value without
knowingly taking part in the conduct giving rise to the
forfeiture; and
(E) that the owner or interest holder acquired the
interest:
(i) before the commencement of the conduct giving rise to
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725 1LCS 150/ Drug Asset Forfeiture Procedure Act. Page 6 of 8
its forfeiture and the person whose conduct gave rise to its
forfeiture did not have the authority to convey the interest
to a bona fide purchaser for value at the time of the conduct;
or
(ii) after the commencement of the conduct giving rise to
its forfeiture, and the owner or interest holder acquired the
interest as a mortgagee, secured creditor, lienholder, or bona
fide purchaser for value without knowledge of the conduct
which gave rise to the forfeiture; and
(a) in the case of personal property, without knowledge of
the seizure of the property for forfeiture; or
(b) in the case of real estate, before the .filing in the
office of the Recorder of Deeds of the county in which the
real estate is located of a notice of seizure for forfeiture
or a lis pendens notice.
(Source: P.A. 86- 1382.)
(725 ILCS 150/9) (from Ch. 56 1/2, par. 1679)
Sec. 9.. Judicial in rem procedures. If property seized
under the provisions of the Illinois Controlled Substances
Act, the Cannabis Control Act, or the Methamphetamine Control
and Community Protection Act is non -real property that exceeds
$20,000 in value excluding the value of any conveyance, or is
real property, or a claimant has filed a claim and a cost bond
under subsection (C) of Section 6 of this Act, the following
judicial in rem procedures shall apply:
(A) If, after a review of the facts surrounding the
seizure, the State's Attorney is of the opinion that the
seized property is subject to forfeiture, then within. 45 days
of the receipt of notice of seizure by the seizing agency or
the filing of the claim and cost bond, whichever is later, the
State's Attorney shall institute judicial forfeiture
proceedings by filing a verified complaint for forfeiture and,
if the claimant has filed a claim and cost bond, by depositing
the cost bond with the clerk of the court. When authorized by
law, a forfeiture must be ordered by a court on an action in
rem brought by a State's Attorney under a verified complaint
for forfeiture.
(B) During the probable cause portion of the judicial in
rem proceeding wherein the State presents its case -in- chief,
the court must receive and consider, among other things, all
relevant hearsay evidence and information. The laws of
evidence relating to civil actions shall apply to all other
portions of the judicial in rem proceeding.
(C) Only an owner of or interest holder in the property
may file an answer asserting a claim against the property in
the action in rem. For purposes of this Section, the owner or
interest holder shall be referred to as claimant.
(D) The answer must be signed by the owner or interest
holder under penalty of perjury and must set forth:
(i) the caption of the proceedings as set forth on
the notice of pending forfeiture and the name of the.
claimant;
(ii) the address at which the claimant will accept
mail;
(iii) the nature and extent of the claimant's
interest in the property;
(iv) the date, identity of transferor, and
circumstances of the claimant's acquisition of the
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725 ILCS 150/ Drug Asset Forfeiture Procedure Act. Page 7 of 8
interest in the property;
(v) the name and address of all other persons known
to have an interest in the property;
(vi) the specific provisions of Section 8 of this Act
relied on in asserting it is not subject to forfeiture;
(vii) all essential facts supporting each assertion;
and
(viii) the precise relief sought.
(E) The answer must be filed with the court within 45 days
after service of the civil in rem complaint.
(F) The hearing must be held within 60 days after filing
of the answer unless continued for good cause.
(G) The State shall show the existence of probable cause
for forfeiture of the property. If the State shows probable
cause, the claimant has the burden of showing by a
preponderance of the evidence that the claimant's interest in
the property is not subject to forfeiture.
(H) If the State does not show existence of probable cause
or a claimant has established by a preponderance of evidence
that the claimant has an interest that is exempt under Section
8 of this Act, the court shall order the interest in the
property returned or conveyed to the claimant and shall order
all other property forfeited to the State. If the State does
show existence of probable cause and the claimant does not
establish by a preponderance of evidence that the claimant has
an interest that is exempt under Section 8 of this Act, the
court shall order all property forfeited to the State.
(I) A defendant convicted in any criminal proceeding is
precluded from later denying the essential allegations of the
criminal offense of which the defendant was convicted in any
proceeding under this Act regardless of the pendency of an
appeal from that conviction. However, evidence of the pendency
of an appeal is admissible.
(J) An acquittal or dismissal in a criminal proceeding
shall not preclude civil proceedings under this Act; however,
for good cause shown, on a motion by the State's Attorney, the
court may stay civil forfeiture proceedings during the
criminal trial for a related criminal indictment or
information alleging a violation of the Illinois Controlled
Substances Act, the Cannabis Control Act, or the
Methamphetamine Control and Community Protection Act. Such a
stay shall not be available pending an appeal. Property
subject to forfeiture under the Illinois Controlled Substances
Act, the Cannabis Control Act, or the Methamphetamine Control
and Community Protection Act shall not be subject to return or
release by a court exercising jurisdiction over a criminal
case involving the seizure of such property unless such return
or release is consented to by the State's Attorney.
(K) All property declared forfeited under this Act vests
in this State on the commission of the conduct giving rise to
forfeiture together with the proceeds of the property after
that time. Any such property or proceeds subsequently
transferred to any person remain subject to .forfeiture and
thereafter shall be ordered forfeited unless the transferee
claims and establishes in a hearing under the provisions of
this Act that the transferee's interest is exempt under
Section 8 of this Act._
(L) A civil action under this Act must be commenced within
5 years after the last conduct giving rise to forfeiture
became known or should have become known or 5 years after the
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725 ILCS 150/ Drug Asset Forfeiture Procedure Act. Page 8 of 8
forfeitable property is discovered, whichever is later,
excluding any time during which either the property or
claimant is out of the State or in confinement or during which
criminal proceedings relating to the same conduct are in
progress.
(Source: P.A. 94 -556, eff. 9- 11 -05.)
(725 ILCS 150/10) (from Ch. 56 1/2, par. 1680)
Sec. 10. Stay of time periods. If property is seized for
evidence and for forfeiture, the time periods for instituting
judicial and non - judicial forfeiture proceedings shall not
begin'until the property is no longer necessary for evidence.
(Source: P.A. 86- 1382.j
(725 ILCS 150/11) (from Ch. 56 1/2, par. 1681)
Sec. 11. Settlement of Claims. Notwithstanding other
provisions of this Act, the State's Attorney and a claimant of
seized property may enter into an agreed -upon settlement
concerning the seized property in such an amount and upon such
terms as are set out in writing in a settlement agreement.
(Source: P.A. 86- 1382.)
(725 ILCS 150/12) (from Ch. 56 1/2, par. 1682)
Sec. 12. Nothing in this Act shall apply to property which
constitutes reasonable bona fide attorney's fees paid to an
attorney for services rendered or to be rendered in the
forfeiture proceeding or criminal proceeding relating directly
thereto where such property was paid before its seizure,
before the issuance of any seizure warrant or court order
prohibiting transfer of the property and where the attorney,
at the time he or she received the property did not know that
it was property subject to forfeiture under this Act.
(Source: P.A. 86- 1382.)
(725 ILCS 150/13) (from Ch. 56 1/2, par. 1683)
Sec. 13. Construction. It shall be the intent of the
General Assembly that the forfeiture provisions of this Act be
liberally construed so as to effect their remedial purpose.
The forfeiture of property and other remedies hereunder shall
be considered to be in addition, and not exclusive of any
sentence or other remedy provided by law.
(Source: P.A. 86- 1382.)
(725 ILCS 150/14) (from Ch. 56 1/2, par. 1684)
Sec. 14. Judicial Review. If property has been declared
forfeited under Section 6 of this Act, any person who has an
interest in the property declared forfeited may, within 30
days of the effective date of the notice of the declaration of
forfeiture, file a claim and cost bond as described in
subsection (C) of Section 6 of this Act. If a claim and cost
bond is filed under this Section, then the procedures
described in Section 9 of this Act shall apply.
(Source: P.A. 87 -614.)
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625 ILCS 5/ Illinois Vehicle Code. Page 1 of l 0
Illinois Compiled Statutes
Information maintained by the Legislative Reference Bureau
Updating the database of the Illinois Compiled Statutes (ILCS) is an ongoing process. Recent laws
may not yet be included in the ILCS database, but they are found on this site as Public Acts soon
after they become law. For information concerning the relationship between statutes and Public
Acts, refer to the Guide.
Because the statute database is maintained primarily for legislative drafting purposes, statutory
changes are sometimes included in the statute database before they take effect. If the source note
at the end of a Section of the statutes includes a Public Act that has not yet taken effect, the version
of the law that is currently in effect may have already been removed from the database and you
should refer to that Public Act to see the changes made to the current law.
VEHICLES
(625 ILCS 5/) Illinois Vehicle Code.
(625 ILCS 5 /Ch. 16 heading)
CHAPTER 16. ENFORCEMENT, PENALTIES AND DISPOSITION
OF FINES AND FORFEITURES, AND CRIMINAL CASES
(625 ILCS 5 /Ch. 16 Art. I heading)
ARTICLE I. ENFORCEMENT, PENALTIES AND
DISPOSITION OF FINES AND FORFEITURES
(625 ILCS 5/16 -101) (from Ch. 95 1/2, par. 16 -101)
Sec. 16 -101. Applicability. The provisions of this Chapter
shall be applicable to the enforcement of this entire Code,
except where another penalty is set forth in a specific
Chapter which is applicable to that Chapter or a designated
part or Section thereof.
(Source: P.A. 82- 1011.)
(625 ILCS 5/16 -102) (from Ch. 95 1/2, par. 16 -102)
Sec. 16 -102. Arrests - Investigations - Prosecutions.
(a) The State Police shall patrol the public highways and
make arrests for violation of the provisions of this Act.
(b) The Secretary of State, through the investigators
provided for in this Act shall investigate and report
violations of the provisions of this Act in relation to the
equipment and operation of vehicles as provided for in Section
2 -115 and for such purposes these investigators have and may
exercise throughout the State all of the powers of police
officers.
(c) The State's Attorney of the county in which the
violation occurs shall prosecute all violations except when
the violation occurs within the corporate limits of a
municipality, the municipal attorney may prosecute if written
permission to do so is obtained from the State's Attorney.
(d) The State's Attorney of the county in which the
violation occurs may not grant to the municipal attorney
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625 ILCS 5/ Illinois Vehicle Code. Page 2 of 10
permission to prosecute if the offense charged is a felony
under Section 11 -501 of this Code. The municipality may,
however, charge an offender with a municipal misdemeanor
offense if the State's Attorney rejects or denies felony
charges for the•conduct that comprises the charge.
(Source: P.A. 94 -111, eff. 1 -1 -06; 94 -740, eff. 5- 8 -06.)
(625 ILCS 5/16 - 102.5)
Sec. 16- 102.5. Enforcement by municipality.
(a) If a municipality adopts an ordinance similar to
subsection (f) of Section 3 -413 or Section 11- 1304.5 of this
Code, any person that a municipality designates to enforce
ordinances regulating the standing or parking of vehicles
shall have the authority to enforce the provisions of
subsection (f) of Section 3 -413 or Section 11- 1304.5 of this
Code or the similar local ordinance. However, the authority to
enforce subsection (f) of Section 3 -413 or Section 11- 1304.5
of this Code or a similar local ordinance shall not be given
to an appointed volunteer or private or public entity under
contract to enforce person with disabilities parking laws.
(b) To enforce the provisions of subsection (f) of. Section
3 -413 or Section 11- 1304.5 of this Code or a similar local
ordinance, a municipality shall impose a fine not exceeding
$25.
(Source: P.A. 90 -513, eff. 8- 22 -97; 90 -655, eff. 7- 30 -98; 91-
487, eff. 1- 1 -00.)
(625 ILCS 5/16 -103) (from Ch. 95 1/2, par. 16 -103)
Sec. 16 -103. Arrest outside county where violation
committed.
Whenever a defendant is arrested upon a warrant charging a
violation of this Act in a county other than that in which
such warrant was issued, the arresting officer, immediately
upon the request of the defendant, shall take such defendant
before a circuit judge or associate circuit judge in the
county in which the arrest was made who shall admit the
defendant to bail for his appearance before the court named in
the warrant. On taking such bail the circuit judge or
associate circuit judge shall certify such fact on the warrant
and deliver the warrant and undertaking of bail or other
security, or the drivers license of such defendant if
deposited, under the law relating to such licenses, in lieu of
such security, to the officer having charge of the defendant.
Such officer shall then immediately discharge the defendant
from arrest and without delay deliver such warrant and such
undertaking of bail, or other security or drivers license to
the court before which the defendant is required to appear.
(Source: P.A. 77- 1280.)
(625 ILCS 5/16 -104) (from Ch. 95 1/2, par. 16 -104)
Sec. 16 -104. Penalties. Every person convicted of a
violation of any provision of this Code for which another
penalty is not provided shall, for a first or second
conviction thereof, be guilty of a petty offense and, for a
third or subsequent conviction within one year after the first
conviction, be guilty of a Class C misdemeanor.
(Source: P.A. 91 -357, eff. 7- 29 -99.)
(625 ILCS 5/16 -104a) (from Ch. 95 1/2, par. 16 -104a)
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625 1LCS 5/ Illinois Vehicle Code. Page 3 of 10
Sec. 16 -104a. Additional penalty for certain violations.
(a) There is added to every fine imposed upon conviction
of an offense reportable to the Secretary of State under the
provisions of subdivision (a)(2) of Section 6 -204 of this Act
an additional penalty of $4 for each $40, or fraction thereof,
of fine imposed. Each such additional penalty received shall
be remitted within one month to the State Treasurer to be
deposited into the Drivers Education Fund, unless the
additional penalty is subject to disbursement by the circuit
clerk under Section 27.5 of the Clerks of Courts Act. Such
additional amounts shall be assessed by the court and shall be
collected by the Clerk of the Circuit Court in addition to the
fine and costs in the case. Such additional penalty shall not
be considered a part of the fine for purposes of any reduction
made in the fine for time served either before or after
sentencing. Not later than March 1 bf each year the Clerk of
the Circuit Court shall submit to the State Comptroller a
report of the amount of funds remitted by him to the State
Treasurer under this Section during the preceding calendar
year. Except as otherwise provided by Supreme Court Rules, if
a court in sentencing an offender levies a gross amount for
fine, costs, fees and penalties, the amount of the additional
penalty provided for herein shall be computed on the amount
remaining after deducting from the gross amount levied all
fees of the Circuit Clerk, the State's Attorney and the
Sheriff. After deducting from the gross amount levied the fees
and additional penalty provided for herein, less any other
additional penalties provided by law, the clerk shall remit
the net balance remaining to the entity authorized by law to
receive the fine imposed in the case. For purposes of this
Section "fees of the Circuit Clerk" shall include, if
applicable, the fee provided for under Section 27.3a of the
Clerks of Courts Act and the fee, if applicable, payable to
the county in which the violation occurred pursuant to Section
5 -1101 of the Counties Code.
When bail is forfeited for failure to appear in connection
with an offense reportable to the Secretary of State under
subdivision (a)(2) of Section 6 -204 of this Act, and no fine
is imposed ex parte, $4 of every $40 cash deposit, or fraction
thereof, given to secure appearance shall be remitted within
one month to the State Treasurer to be deposited into the
Drivers Education Fund, unless the bail is subject to
disbursement by the circuit clerk under Section 27.5 of the
Clerks of Courts Act.
(b) In addition to any other fine or penalty required by
law for a person convicted of a violation of Section 11 -503 or
11 -601.5 of this Code or a similar provision of a local
ordinance, the court may, in its discretion, require the
person to pay an additional criminal penalty that shall be
distributed in its entirety to a public agency that provided
an emergency response related to the person's violation. The
criminal penalty may not exceed $100 per public agency for
each emergency response provided for a first violation of
Section 11 -503 or 11 -601.5 of this Code or a similar provision
of a local ordinance. The criminal penalty may not exceed $500
per public agency for each emergency response provided for a
second or subsequent violation of Section 11 -503 or 11 -601.5
of this Code or a similar provision of a local ordinance. As
used in this subsection, "emergency response" means any
incident requiring a response by a police officer, an
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625 ILCS 5/ Illinois Vehicle Code. Page 4 of l 0
ambulance, a firefighter carried on the rolls of a regularly
constituted fire department or fire protection district, a
firefighter of a volunteer fire department, or a member if a
recognized not - for - profit rescue or emergency medical service
provider.
(Source: P.A. 96 -1173, eff. 7- 22 -10.)
(625 ILCS 5/16 -104b)
Sec. 16 -104b. Amounts for Trauma Center Fund. In counties
that have elected not to distribute moneys under the
disbursement formulas in Sections 27.5 and 27.6 of the Clerks
of Courts Act, the Circuit Clerk of the County, when
collecting fees, fines, costs, additional penalties, bail
balances assessed or forfeited, and any other amount imposed
upon a conviction of or an order of supervision for a
violation of laws or ordinances regulating the movement of
traffic that amounts to $55 or more, shall remit $5 of the
total amount collected, less 2 1/2% of the $5 to help defray
the administrative costs incurred by the Clerk, except that
upon a conviction or order of supervision for driving under
the influence of alcohol or drugs the Clerk shall remit $105
of the total amount collected ($5 for a traffic violation that
amounts to $55 or more and an additional fee of $100 to be
collected by the Circuit Clerk for a conviction or order of
supervision for driving under the influence of alcohol or
drugs), less the 2 1/2 %, within 60 days to the State Treasurer
to be deposited into the Trauma Center Fund. Of the amounts
deposited into the Trauma Center Fund under this Section, 50%
shall be disbursed to the Department of Public Health and 50%
shall be disbursed to the Department of Healthcare and Family
Services. Not later than March 1 of each year the Circuit
Clerk shall submit a report of the amount of funds remitted to
the State Treasurer under this Section during the preceding
calendar year.
(Source: P.A. 95 -331, eff. 8- 21 -07.)
(625 ILCS 5/16 -104c)
Sec. 16 -104c. Court supervision fees.
(a) Any person who receives a disposition of court
supervision for a violation of any provision of this Code or a
similar provision of a local ordinance shall pay an additional
fee of $29, which shall be disbursed as follows:
(1) if an officer of the Department of State Police
arrested the person for the violation, $20 of the $29 fee
shall be deposited into the State Police Vehicle Fund in
the State treasury; or
(2) if an officer of any law enforcement agency in
the State other than the Department of State Police
arrested the person for the violation, $20 of the $29 fee
shall be paid to the law enforcement agency that employed
the arresting officer and shall be used for the
acquisition or maintenance of police vehicles; and
(3) $9 of the $29 fee shall be deposited into the
Drivers Education Fund.
(b) In addition to the fee provided for in subsection (a),
a person who receives a disposition of court supervision for
any violation of this Code or a similar provision of a local
ordinance shall also pay an additional fee of $6, if not
waived by the court. Of this $6 fee, $5.50 shall be deposited
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625 ILCS 5/ Illinois Vehicle Code. Page 5 of 10
into the Circuit Court Clerk Operation and Administrative Fund
created by the Clerk of the Circuit Court and 50 cents shall
be deposited into the Prisoner Review Board Vehicle and
Equipment Fund in the State treasury.
(c) The Prisoner Review Board Vehicle and Equipment Fund
is created as a special fund in the State treasury. The
Prisoner Review Board shall, subject to appropriation by the
General Assembly and approval by the Secretary, use all moneys
in the Prisoner Review Board Vehicle and Equipment Fund for
the purchase and operation of vehicles and equipment.
(Source: P.A. 95 -428, eff. 8- 24 -07; 96 -625, eff. 1- 1 -10.)
(625 ILCS 5/16 -104d)
Sec. 16 -104d. Additional fee; serious traffic violation.
Any person who is convicted of, pleads guilty to, or is placed
on supervision for a serious traffic violation, as defined in
Section 1- 187.001 of this Code, a violation of Section 11 -501
of this Code, or a violation of a similar provision of a local
ordinance shall pay an additional fee of $35. Of that fee, $15
shall be deposited into the Fire Prevention Fund in the State
treasury, $15 shall be deposited into the Fire Truck Revolving
Loan Fund in the State treasury, and $5 shall be deposited
into the Circuit Court Clerk Operation and Administrative Fund
created by the Clerk of the Circuit Court.
This Section becomes inoperative 7 years after the
effective date of this amendatory Act of the 95th General
Assembly.
(Source: P.A. 95 -154, eff. 10- 13 -07; 96 -286, eff. 8- 11 -09; 96-
1175, eff. 9- 20 -10.)
(625 ILCS 5/16 -104e)
Sec. 16 -104e. Minimum penalty for traffic offenses. Unless
otherwise disposed of prior to a court appearance in the same
matter under Supreme Court Rule 529, a person who, after a
court appearance in the same matter, is found guilty of or
pleads guilty to, including any person receiving a disposition
of court supervision, a violation of this Code or a similar
provision of a local ordinance shall pay a fine that may not
be waived. Nothing in this Section shall prevent the court
from ordering that the fine be paid within a specified period
of time or in installments under Section 5 -9 -1 of the Unified
Code of Corrections.
(Source: P.A. 96 -1462, eff. 1- 1 -11.)
(625 I.LCS 5/16 -105) (from Ch. 95 1/2, par. 16 -105)
Sec. 16 -105. Disposition of fines and forfeitures.
(a) Except as provided in Section 15 -113 and Section 16-
104a of this Act and except for those amounts required to be
paid into the Traffic and Criminal Conviction Surcharge Fund
in the State Treasury pursuant to Section 9.1 of the Illinois
Police Training Act and Section 5 -9 -1 of the Unified Code of
Corrections and except those amounts subject to disbursement
by the circuit clerk under Section 27.5 of the Clerks of
Courts Act, fines and penalties recovered under the provisions
of Chapters 11 through 16 inclusive of this Code shall be paid
and used as follows:
1. For offenses committed upon a highway within the
limits of a city, village, or incorporated town or under
the jurisdiction of any park district, to the treasurer of
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625 1LCS 5/ Illinois Vehicle Code. Page 6 of 10
the particular city, village, incorporated town or park
district, if the violator was arrested by the authorities
of the city, village, incorporated town or park district,
provided the police officers and officials of cities,
villages, incorporated towns and park districts shall
seasonably prosecute for all fines and penalties under
this Code. If the violation is prosecuted by the
authorities of the county, any fines or penalties
recovered shall be paid to the county treasurer. Provided
further that if the violator was arrested by the State
Police, fines and penalties recovered under the provisions
of paragraph (a) of Section 15 -113 of this Code or
paragraph (e) of Section 15 -316 of this Code shall be paid
over to the Department of State Police which shall
thereupon remit the amount of the fines and penalties so
received to the State Treasurer who shall deposit the
amount so remitted in the special fund in the State
treasury known as the Road Fund except that if the
violation is prosecuted by the State's Attorney, 10% of
the fine or penalty recovered shall be paid to the State's
Attorney as a fee of his office and the balance shall be
paid over to the Department of State Police for remittance
to and deposit by the State Treasurer as hereinabove
provided.
2. Except as provided in paragraph 4, for offenses
committed upon any highway outside the limits of a city,
village, incorporated town or park district, to the county
treasurer of the county where the offense was committed
except if such offense was committed on a highway
maintained by or under the supervision of a township,
township district, or a road district to the Treasurer
thereof for deposit in the road and bridge fund of such
township or other district; Provided, that fines and
penalties recovered under the provisions of paragraph (a)
of Section 15 -113, paragraph (d) of Section 3 -401, or
paragraph (e) of Section 15 -316 of this Code shall be paid
over to the Department of State Police which shall
thereupon remit the amount of the fines and penalties so
received to the State Treasurer who shall deposit the
amount so remitted in the special fund in the State
treasury known as the Road Fund except that if the
violation is prosecuted by the State's Attorney, 10% of
the fine or penalty recovered shall be paid to the State's
Attorney as a fee of his office and the balance shall be
paid over to the Department of State Police for remittance
to and deposit by the State Treasurer as hereinabove
provided.
3. Notwithstanding subsections 1 and 2 of this
paragraph, for violations of overweight and overload
limits found in Sections 15 -101 through 15 -203 of this
Code, which are committed upon the highways belonging to
the Illinois State Toll Highway Authority, fines and
penalties shall be paid over to the Illinois State Toll.
Highway Authority for deposit with the State Treasurer
into that special fund known as the Illinois State Toll
Highway Authority Fund, except that if the violation is
prosecuted by the State's Attorney, 10% of the fine or
penalty recovered shall be paid to the State's Attorney as
a fee of his office and the balance shall be paid over to
the Illinois State Toll Highway Authority for remittance
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625 ILCS 5/ Illinois Vehicle Code. Page 7 of 10
to and deposit by the State Treasurer as hereinabove
provided.
4. With regard to violations of overweight and
overload limits found in Sections 15 -101 through 15 -203 of
this Code committed by operators of vehicles registered as
Special Hauling Vehicles, for offenses committed upon a
highway within the limits of a city, village, or
incorporated town or under the jurisdiction of any park
district, all fines and penalties shall be paid over or
retained as required in paragraph 1. However, with regard
to the above offenses committed by operators of vehicles
registered as Special Hauling Vehicles upon any highway
outside the limits of a city, village, incorporated town
or park district, fines and penalties shall be paid over
or retained by the entity having jurisdiction over the
road or highway upon which the offense occurred, except
that if the violation is prosecuted by the State's
Attorney, 10% of the fine or penalty recovered shall be
paid to the State's Attorney as a fee of his office.
(b) Failure, refusal or neglect on the part of any
judicial or other officer or employee receiving or having
custody of any such fine or forfeiture either before or after
a deposit with the proper official as defined in paragraph (a)
of this Section, shall constitute misconduct in office and
shall be grounds for removal therefrom.
(Source: P.A. 96 -34, eff. 1- 1 -10.)
(625 ILCS 5/16- 105.5)
Sec. 16- 105.5. Payment to municipality. All revenues
derived from the issuance of citations for violations of
subsection .(f) of Section 3 -413 of this Code or a similar
local ordinance that are required to be paid to a municipality
under this Code shall be deposited into the general fund of
the municipality.
(Source: P.A. 90 -513, eff. 8- 22 -97.)
(625 ILCS 5/16 -106) (from Ch. 95 1/2, par. 16 -106)
Sec. 16 -106. For offenses committed under the provisions
of this Act or the ordinances of any municipality, park
district or county which involve the regulation of the
ownership, use or operation of vehicles, the police officers
and officials of such municipalities and park districts, and
sheriffs shall, when issuing a traffic ticket, other citation,
or Notice to Appear in lieu of either, in counties other than
Cook, also issue written notice to the accused in
substantially the following form:
AVOID MULTIPLE COURT APPEARANCES
If you intend to plead "not guilty" to this charge, or if,
in addition, you intend to demand a trial by jury, so notify
the clerk of the court at least 5 days (excluding Saturdays,
Sundays or holidays) before the day set for your appearance. A
new appearance date will be set, and arrangements will be made
to have the arresting officer present on that new date.
Failure to notify the clerk of either your intention to plead
"not guilty" or your intention to demand a jury trial, may
result in your having to return to court, if you plead "not
guilty" on the date originally set for your court appearance.
Upon timely receipt of notice that the accused intends to
plead "not guilty ", the clerk shall set a new appearance date
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625 ILCS 5/ Illinois Vehicle Code. Page 8 of 10
not less than 7 days nor more than 49 days after the original
appearance date set by the arresting officer, .and notify all
parties of the new date and the time for appearance. If the
accused fails to notify the clerk as provided above; the
arresting officer's failure to appear on the date originally
set for appearance may, in counties other than Cook, be
considered good cause for a continuance.
(Source: P.A. 81 -781.)
(625 ILCS 5/16- 106.3)
Sec. 16- 106.3. Erroneous appearance date. In any case
alleging a violation of this Code or similar local ordinance
which would be chargeable as a misdemeanor, a case shall not
be dismissed due to an error by the arresting officer or the
clerk of the court, or both, in setting a person's first
appearance date, subject to the right of speedy trial provided
under Section 103 -5 of the Code of Criminal Procedure of 1963.
(Source: P.A. 96 -694, eff. 1- 1 -10.)
(625 ILCS 5/16- 106.5)
Sec. 16- 106.5. Pilot project; notice of violation to
owner.
(a) A pilot project is created that shall be in operation
from January 1, 2002 through December 31, 2003 in the counties
of DuPage, Kendall, and Sangamon. Under the pilot project,
when a traffic citation is issued for a violation of this Code
to a person who is under the age of 18 years, who is a
resident of the county in which the traffic citation was
issued, and who is not the registered owner of the vehicle
named in the traffic citation, the circuit clerk of the county
in which the traffic citation was issued shall, within 10 days
after the traffic citation is filed with the circuit clerk,
send notice of the issuance of the traffic citation to the
registered owner of the vehicle. The notice must include:
(1) the date and time the violation was alleged to
have been committed;
(2) the location where the violation was alleged to
have been committed;
(3) the name of the person cited for committing the
alleged violation;
(4) the violation alleged to have been committed; and
(5) the date and time of any required court
appearance by the person cited for committing the alleged
violation.
(b) On or before March 31, 2004, the Department of State
Police shall report to the General Assembly on the
effectiveness of the pilot project.
(Source: P.A. 92- 344, eff. 8- 10 -01.)
(625 ILCS 5/16 -107) (from Ch. 95 1/2, par. 16 -107)
Sec. 16 -107. Appearance of parent or guardian of minor in
certain court proceedings - Judicial discretion.
(a) Whenever an unemancipated minor is required to appear
in court pursuant to a citation for violation of any Section
or any subsection of any Section of this Act specified in
subsection (b) of this Section, the court may require that a
parent or guardian of the minor accompany the minor and appear
before the court with the minor, unless, in the discretion of
the court, such appearance would be unreasonably burdensome
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625 ILCS 5/ Illinois Vehicle Code. Page 9 of 10
under the circumstances.
(b) This Section shall apply whenever an unemancipated
minor is charged with violation of any of the following
Sections and subsections of this Act:
1) Sections 3 -701, 3 -702 and 3 -703;
2) Sections 4 -102, 4- 103, 4 -104 and 4 -105;
3) Section 6 -101, subsections (a), (b) and (c) of
Section 6 -104, and Sections 6 -113, 6 -301, 6 -302, 6-303 and
6 -304;
4) Sections 11 -203 and 11 -204, subsection (b) of
Section 11 -305, Sections 11 -311, 11 -312, 11 -401, 11 -402,
11 -403, 11 -404, 11 -407, 11 -409, 11 -501, 11 -502, 11 -503,
11 -504, 11 -506, subsection (b) of Section 11 -601, Sections
11 -704, 11 -707, 11 -1007, 11 -1403, 11 -1404 and subsection
(a) of Section 11 -1414.
(Source: P.A. 95 -310, eff. 1- 1 -08.)
(625 ILCS 5/16 -108)
Sec. 16 -108. Claims of diplomatic immunity.
(a) This Section applies only to an individual that
displays to a police officer a driver's license issued by the
U.S. Department of State or that otherwise claims immunities
or privileges under Title 22, Chapter 6 of the United States
Code with respect to the individual's violation of Section 9 -3
or Section 9 -3.2 of the Criminal Code of 1961 or his or her
violation of a traffic regulation governing the movement of
vehicles under this Code or a similar provision of a local
ordinance.
(b) If a driver subject to this Section is stopped by a
police officer that has probable cause to believe that the
driver has committed a violation described in subsection (a)
of this Section, . the police officer shall:
(1) as soon as practicable contact the U.S.
Department of State office in order to verify the driver's
status and immunity, if any;
(2) record all relevant information from any driver's
license or identification card, including a driver's
license or identification card issued by the U.S.
Department of State; and
(3) within 5 workdays after the date of the stop,
forward the following to the Secretary of State
Illinois:
(A) a vehicle accident report, if the driver was
involved in a vehicle accident;
(B) if a citation or charge was issued to the
driver, a copy of the citation or charge; and
(C) if a citation or charge was not issued to the
driver, a written report of the incident.
(c) Upon receiving material submitted under paragraph (3)
of subsection (b) of this Section, the Secretary of State
shall:
(1) file each vehicle accident report, citation or
charge, and incident report received;
(2) keep convenient records or make suitable
notations showing each:
(A) conviction;
(B) disposition of court supervision for any
violation of Section 11 -501 of this Code; and
(C) vehicle accident; and
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625 ILCS 5/ Illinois Vehicle Code. Page 10 of 10
(3) send a copy of each document and record described
in paragraph (2) of this subsection (c) to the Bureau of
Diplomatic Security, Office of Foreign Missions, of the
U.S. Department of State.
(d) This Section does not prohibit or limit the
application of any law to a criminal or motor vehicle
violation by an individual who has or claims immunities or
privileges under Title 22, Chapter 6 of the United States
Code.
(Source: P.A. 92 -160, eff. 7- 25 -01.)
(625 ILCS 5 /Ch. 16 Art. II heading)
ARTICLE II. PARTIES IN CRIMINAL CASES
(625 ILCS 5/16 -201) (from Ch. 95 1/2, par 16 -201)
Sec. 16 -201. Parties to a crime.
Every person who commits, attempts to commit, conspires to
commit, or aids, or abets in the commission of any act
declared to be a crime, whether individually or in connection
with one or more other persons or as principal, agent or
accessory, shall be guilty of such offense, and every person
who falsely, fraudulently, forcibly, or wilfully induces,
causes, coerces, requires, permits, or directs another to
violate any provision of this Act is likewise guilty of such
offense.
(Source: P.A. 76- 1586.)
(625 ILCS 5/16 -202) (from Ch. 95 1/2, par. 16 -202)
Sec. 16 -202. Offenses by persons owning or controlling
vehicles. It is unlawful for the owner, or any other person,
employing or otherwise directing the driver of any vehicle to
require or knowingly to permit the operation of such vehicle
upon a highway in any manner contrary to law.
(Source: P.A. 76- 1586.)
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