[Title 28 CFR 16.98]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 28 - JUDICIAL ADMINISTRATION]
[Chapter I - DEPARTMENT OF JUSTICE]
[Part 16 - PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION]
[Subpart E - Exemption of Records Systems Under the Privacy Act]
[Sec. 16.98 - Exemption of the Drug Enforcement Administration (DEA)--limited access.]
[From the U.S. Government Printing Office]


28JUDICIAL ADMINISTRATION12002-07-012002-07-01false16.98Sec. 16.98JUDICIAL ADMINISTRATIONDEPARTMENT OF JUSTICEPRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATIONExemption of Records Systems Under the Privacy Act
Sec. 16.98  Exemption of the Drug Enforcement Administration (DEA)--limited access.

    (a) The following systems of records are exempt from 5 U.S.C. 
552a(c)(3) and (d):
    (1) Automated Records and Consummated Orders System/Diversion 
Analysis and Detection System (ARCOS/DADS) (Justice/DEA-003)
    (2) Controlled Substances Act Registration Records (Justice/DEA-005)
    (3) Registration Status/Investigatory Records (Justice/DEA-012)
    (b) These exemptions apply only to the extent that information in 
these systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(2). 
Exemptions from the particular subsections are justified for the 
following reasons:
    (1) From subsection (c)(3) because release of the disclosure 
accounting would enable the subject of an investigation to gain valuable 
information concerning the nature and scope of the investigation and 
seriously hamper the regulatory functions of the DEA.
    (2) From subsection (d) because access to records contained in these 
systems may provide the subject of an investigation information that 
could enable him to avoid compliance with the Drug Abuse Prevention and 
Control Act of 1970 (Pub. L. 91-513).
    (c) Systems of records identified in paragraphs (c)(1) through 
(c)(6) below are exempted pursuant to the provisions of 5 U.S.C. 
552a(j)(2) from subsections (c)(3) and (4), (d), (e)(1), (2) and (3), 
(e)(5), (e)(8) and (g) of 5 U.S.C. 552a. In addition, systems of records 
identified in paragraphs (c)(1), (c)(3), (c)(4), and (c)(5) below are 
also exempted pursuant to the provisions of 5 U.S.C. 552a(k)(2) from 
subsections (c)(3), (d) and (e)(1). Finally, systems of records 
identified in paragraphs (c)(1), (c)(2), (c) (3) and (c)(5) below are 
also exempted pursuant to the provisions of 5 U.S.C. 552a(k)(1) from 
subsections (c)(3), (d) and (e)(1):
    (1) Air Intelligence Program (Justice/DEA-001)
    (2) Investigative Reporting and Filing System (Justice/DEA-008)
    (3) Planning and Inspection Division Records (Justice/DEA-010)
    (4) Operations Files (Justice/DEA-011)
    (5) Security Files (Justice/DEA-013)
    (6) System to Retrieve Information from Drug Evidence (Stride/
Ballistics) (Justice/DEA-014)
    (d) Exemptions apply to the following systems of records only to the 
extent that information in the systems is subject to exemption pursuant 
to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2): Air Intelligence Program 
(Justice/DEA-001); Planning and Inspection Division Records (Justice/
DEA-010); and Security Files (Justice/DEA-013). Exemptions apply to the 
Investigative Reporting and Filing System (Justice/DEA-008) only to the 
extent that information in the system is subject to exemption pursuant 
to 5 U.S.C. 552a(j) (2) and (k)(1). Exemptions apply to the Operations 
Files (Justice/DEA-011) only to the extent that information in the 
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and 
(k)(2). Exemptions apply to the System to Retrieve Information from Drug 
Evidence (STRIDE/Ballistics) (Justice/DEA-014) only to the extent that 
information in the system is subject to exemption pursuant to 5 U.S.C. 
552a(j)(2). Exemption from the particular subsections are justified for 
the following reasons:
    (1) From subsection (c)(3) because release of disclosure accounting 
would provide to the subjects of an investigation significant 
information concerning the nature of the investigation

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and thus would present the same impediments to law enforcement as those 
enumerated in paragraph (d)(3) regarding exemption from subsection (d).
    (2) From subsection (c)(4) to the extent that it is not applicable 
because an exemption is being claimed from subsection (d).
    (3) From the access provisions of subsection (d) because access to 
records in this system of records would present a serious impediment to 
law enforcement. Specifically, it could inform the record subject of an 
actual or potential criminal, civil, or regulatory investigation of the 
existence of that investigation; of the nature and scope of the 
information and evidence obtained as to his activities; of the identity 
of confidential sources, witnesses, and law enforcement personnel; and 
of information that may enable the subject to avoid detection or 
apprehension. Similarly, it may alert collateral suspects yet 
unprosecuted in closed cases. It could prevent the successful completion 
of the investigation; endanger the life, health, or physical safety of 
confidential sources, witnesses, and law enforcement personnel, and/or 
lead to the improper influencing of witnesses, the destruction of 
evidence, or the fabrication of testimony; or it may simply reveal a 
sensitive investigative technique. In addition, granting access to such 
information could result in the disclosure of confidential/security-
sensitive or other information that would constitute an unwarranted 
invasion of the personal privacy of third parties. Finally, access to 
the records could result in the release of properly classified 
information which would compromise the national defense or disrupt 
foreign policy. From the amendment provisions of subsection (d) because 
amendment of the records would interfere with ongoing investigations and 
law enforcement activities and impose an impossible administrative 
burden by requiring investigations to be continuously reinvestigated.
    (4) From subsection (e)(1) because the application of this provision 
could impair investigations and interfere with the law enforcement 
responsibilities of the DEA for the following reasons:
    (i) It is not possible to detect relevance or necessity of specific 
information in the early stages of a civil, criminal or other law 
enforcement investigation, case, or matter, including investigations 
during which DEA may obtain properly classified information. Relevance 
and necessity are questions of judgment and timing, and it is only after 
the information is evaluated that the relevance and necessity of such 
information can be established.
    (ii) During the DEA's investigative activities DEA may detect the 
violation of either drug-related or non-drug related laws. In the 
interests of effective law enforcement, it is necessary that DEA retain 
all information obtained because it can aid in establishing patterns of 
activity and provide valuable leads for Federal and other law 
enforcement agencies or otherwise assist such agencies in discharging 
their law enforcement responsibilities. Such information may include 
properly classified information, the retention of which could be in the 
interests of national defense and/or foreign policy.
    (5) From subsection (e)(2) because, in some instances, the 
application of this provision would present a serious impediment to law 
enforcement for the following reasons:
    (i) The subject of an investigation would be placed on notice as to 
the existence of an investigation and would therefore be able to avoid 
detection or apprehension, to improperly influence witnesses, to destroy 
evidence, or to fabricate testimony.
    (ii) In certain circumstances the subject of an investigation cannot 
be required to provide information to investigators, and information 
relating to a subject's illegal acts must be obtained from other 
sources.
    (iii) In any investigation it is necessary to obtain evidence from a 
variety of sources other than the subject of the investigation in order 
to verify the evidence necessary for successful prosecution.
    (6) From subsection (e)(3) because the requirements thereof would 
constitute a serious impediment to law enforcement in that they could 
compromise the existence of an actual or potential confidential 
investigation and/or permit the record subject to speculate on the 
identity of a potential confidential source, and endanger the life, 
health or

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physical safety or either actual or potential confidential informants 
and witnesses, and of investigators/law enforcement personnel. In 
addition, the notification requirement of subsection (e)(3) could impede 
collection of that information from the record subject, making it 
necessary to collect the information solely from third party sources and 
thereby inhibiting law enforcement efforts.
    (7) From subsection (e)(5) because in the collection of information 
for law enforcement purposes it is impossible to determine in advance 
what information is accurate, relevant, timely and complete. With the 
passage of time, seemingly irrelevant or untimely information may 
acquire new significance as further investigation brings new details to 
light and the accuracy of such information can only be determined in a 
court of law. The restrictions imposed by subsection (e)(5) would 
restrict the ability of trained investigators and intelligence analysts 
to exercise their judgment in reporting on investigations and impede the 
development of criminal intelligence necessary for effective law 
enforcement.
    (8) From subsection (e)(8) because the application of this provision 
could prematurely reveal an ongoing criminal investigation to the 
subject of the investigation, and could reveal investigative techniques, 
procedures, or evidence.
    (9) From subsection (g) to the extent that this system is exempt 
from the access and amendment provisions of subsection (d) pursuant to 
subsections (j)(2), (k)(1) and (k)(2) of the Privacy Act.
    (e) The following systems of records are exempt from 5 U.S.C. 552a 
(d)(1) and (e)(1):
    (1) Grants of Confidentiality Files (GCF) (Justice/DEA-017), and
    (2) DEA Applicant Investigations (Justice/DEA-018).
    (f) These exemptions apply only to the extent that information in 
these systems is subject to exception pursuant to 5 U.S.C. 552a(k)(5). 
Exemptions from the particular subsections are justified for the 
following reasons:
    (1) From subsection (d)(1) because many persons are contacted who, 
without an assurance of anonymity, refuse to provide information 
concerning an applicant for a grant of confidentiality with DEA. By 
permitting access to information which may reveal the identity of the 
source of that information--after a promise of confidentiality has been 
given--DEA would breach the promised confidentiality. Ultimately, such 
breaches would restrict the free flow of information which is vital to a 
determination of an applicant's qualifications for a grant.
    (2) From subsection (e)(1) because in the collection of information 
for investigative and evaluation purposes, it is impossible to determine 
in advance what exact information may be of assistance in determining 
the qualifications and suitability of a candidate. Information which may 
appear irrelevant, when combined with other apparently irrelevant 
information, can on occasion provide a composite picture of an applicant 
which assists in determining whether a grant of confidentiality is 
warranted.
    (g) The following system of records is exempted pursuant to the 
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d), 
(e) (1), (2) and (3), (e)(5), (e)(8) and (g) of 5 U.S.C. 552a. In 
addition, this system of records is exempted pursuant to the provisions 
of 5 U.S.C. 552a (k)(1) and (k)(2) from subsections (c)(3), (d), and 
(e)(1):

Freedom of Information/Privacy Act Records (Justice/DEA-006)

    (h) These exemptions apply only to the extent that information in 
this system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), 
(k)(1), and (k)(2). Exemptions from the particular subsections are 
justified for the following reasons:
    (1) From subsection (c)(3) for the reasons given in paragraphs 
(b)(1) and (d)(1).
    (2) From subsection (c)(4) to the extent that is not applicable 
because an exemption is being claimed from subsection (d).
    (3) From subsection (d) for the reasons given in paragraphs (b)(2), 
(d)(3), and (f)(1).
    (4) From subsection (e)(1) for reasons given in paragraphs (d)(4) 
and (f)(2).
    (5) From subsection (e)(2) for reasons given in paragraph (d)(5).

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    (6) From subsection (e)(3) for reasons given in paragraph (d)(6).
    (7) From subsection (e)(5) for reasons given in paragraph (d)(7).
    (8) From subsection (e)(8) for the reasons given in paragraph 
(d)(8).
    (9) From subsection (g) to the extent that this system is exempt 
from the access and amendment provisions of subsection (d) pursuant to 
subsections (j)(2), (k)(1) and (k)(2) of the Privacy Act.

[Order No. 88-94, 59 FR 29717, June 9, 1994, as amended by Order No. 
127-97, 62 FR 2903, Jan. 21, 1997]