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APPENDIXES



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Page 341 APPENDIXES

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Page 343 A Contributors to the NRC Project on National Cryptography Policy A.1 COMMITTEE MEMBERS Kenneth W. Dam, Chair, is the Max Pam Professor of American and Foreign Law at the University of Chicago Law School, where he is also director of the John M. Olin Program in Law and Economics. Mr. Dam received his bachelor's degree from the University of Kansas and completed his graduate work at the University of Chicago Law School. During the period from 1985 to 1992, he held the post of corporate vice president for law and external relations at IBM. Mr. Dam served as deputy secretary of state (1982-1985) and as provost of the University of Chicago (1980-1982). Mr. Dam currently serves on the board of Alcoa and on the boards of a number of nonprofit institutions, including the Brookings Institution and the Council on Foreign Relations. He is also co-chairman (with Senator Sam Nunn) of the Aspen Strategy Group. He has written books on the General Agreement on Tariffs and Trade, the international monetary system, U.S. economic policy, and the development of oil resources, as well as many articles on economic policy and antitrust law. W.Y. Smith, Vice Chair, is president emeritus and a trustee of the Institute for Defense Analyses; he was its president from 1985 to 1991. Prior to that he was a fellow at the Woodrow Wilson International Center for Scholars at the Smithsonian Institution, 1983 to 1984. His military posts include deputy commander in chief of the European Command in Germany, 1981

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Page 344 to 1983; chief of staff of SHAPE, Belgium, 1979 to 1981; assistant to the chairman of the Joint Chiefs of Staff, 1975 to 1979; and director of Policy Plans and National Security Affairs at the Office of the Assistant Secretary for International Security Affairs. He has a BS from the U.S. Military Academy, 1948, and an MPA and a PhD from Harvard University, 1961. He is director and treasurer of the Atlantic Council of the United States and a member of the executive committee of the National Security Archives Board of Directors. Lee Bollinger has been provost of Dartmouth College since July 1994. Previously, he was a professor at the University of Michigan Law School from 1973 and served as dean of the law school from 1987 to 1994. In 1983 he was a visiting associate at Clare Hall, Cambridge University. Mr. Bollinger received his bachelor's degree from the University of Oregon and a law degree from Columbia University School of Law. In 1972-1973, he served as a law clerk to Supreme Court Justice Warren E. Burger. His books include Images of a Free Press (University of Chicago Press, 1991) and The Tolerant Society: Freedom of Speech and Extremist Speech in America (Oxford University Press, 1987). He has published numerous articles on freedom of the press and free speech, including ''The First Amendment and National Security" and "The First Amendment and New Communications Technologies." He was co-author of the National Research Council publication "Constitutional Issues in Regulating Televised Presentations of Violence" in 1982. Mr. Bollinger is a fellow of the American Academy of Arts and Sciences. Ann Caracristi was appointed a member of President Clinton's Foreign Intelligence Advisory Board in September 1993. She was deputy director of the National Security Agency from January 1980 to August 1982. Ms. Caracristi holds a BA from Russell Sage College and is a graduate of the Federal Executive Institute. She has received the Department of Defense Distinguished Civilian Service Award, the National Intelligence Distinguished Service Medal, and the United States National Security Award. Currently she is a consultant to the NSA Scientific Advisory Board and a member of the Board of Visitors of the Defense Language Institute Foreign Language Center. She served as a member of the Chief of Naval Operations Executive Panel from October 1982 to September 1991. She was a two-term president of the Association of Former Intelligence Officers from 1989 to 1991. Most recently she was a member of the Commission on the Roles and Capabilities of the U.S. Intelligence Community. Benjamin R. Civiletti has been in private law practice with Venable, Baetjer, Howard & Civiletti in Baltimore and Washington, D.C., since

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Page 345 1981. He is chairman of that firm. Prior to 1981, he was U.S. attorney general from 1979 to 1981, deputy U.S. attorney general from 1978 to 1979, and assistant attorney general for the Criminal Division of the Department of Justice, 1977 and 1978. He has an AB from Johns Hopkins University, 1957, and an LLB from the University of Maryland, 1961. He is chairman of the board of directors of Maryland Healthcorp; a director of MBNA Corporation, MBNA International, Wackenhut Corrections Corporation, and the Bethlehem Steel Corporation; a trustee of Johns Hopkins University; former chairman of Maryland Legal Services Corporation; and a chairman of the Governors Task Force for Funding of Public Education. Colin Crook is the senior technology officer of Citicorp. He has governance and oversight responsibility for technology at Citicorp, including operational management of the global information network. Mr. Crook is a graduate of the United Kingdom's Liverpool Polytechnic, where he earned his degrees (electrical engineering) while working as a computer designer for the Plessey Company. Mr. Crook has held various positions in top management for the Motorola Corporation in the United States and Europe, as well as positions with Rank Precision Industries, Zynar, Ltd., and British Telecom. He also was senior vice president with Data General (USA). Mr. Crook has been a key speaker at international industry conferences, has published in scholarly and professional journals, and has been the subject of numerous interviews. He is a member of the Association for Computing Machinery, the Institute of Electrical and Electronics Engineers, and the Institution of Electrical Engineers (United Kingdom). In 1981, Mr. Crook was elected to the United Kingdom's Royal Academy of Engineering, the youngest person to be so honored at the time. Samuel H. Fuller is currently a vice president and the chief scientist of Digital Equipment Corporation. Prior to joining Digital in 1978, Dr. Fuller was an associate professor of computer science and electrical engineering at Carnegie Mellon University (CMU). While at CMU, he was involved in the performance evaluation and design of several experimental multiprocessor computer systems. His fields of interest include computer science and electrical engineering. Dr. Fuller received his BS from the University of Michigan (1968) and his MS (1969) and PhD (1972) in electrical engineering and computer science from Stanford University. He is a member of the National Academy of Engineering, Institute of Electrical and Electronics Engineers, and Association for Computing Machinery. Dr. Fuller was a founding member of the Computer Science and Telecommunications Board (1986-1992) and served on the steering committee for the Competitiveness Colloquium Follow-up Workshop on Systems Integra-

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Page 346 tion (1989-1991). Dr. Fuller is on the board of directors of Analog Device Inc. and INSO Corporation. Leslie H. Gelb has been president of the Council on Foreign Relations since 1993. He is a trustee of the Carnegie Endowment for International Peace and of Tufts University, a board member of Columbia University's School of International and Public Affairs, and an advisory board member for the Center on Press, Politics and Public Policy at Harvard University's John F. Kennedy School of Government. He is a member of the International Institute for Strategic Studies and a fellow of the American Academy of Arts and Sciences. In 1985, Mr. Gelb shared in the winning of the Pulitzer Prize for explanatory journalism. He was a senior associate for the Carnegie Endowment for International Peace from 1980 to 1981, and from 1977 to 1979, he served as director of the Bureau of Politico-Military Affairs, where he received the Distinguished Honor Award. He was a senior fellow at the Brookings Institution from 1969 to 1973 and also a visiting professor at Georgetown University. He was director of Policy Planning and Arms Control for International Security Affairs at the Department of Defense from 1967 to 1969, where he also served as director of the Pentagon Papers Project. While at the Defense Department, Mr. Gelb won the Pentagon's Distinguished Service Award. Mr. Gelb was executive assistant to U.S. Senator Jacob K. Javits from 1966 to 1967 and an assistant professor at Wesleyan University from 1964 to 1966. Mr. Gelb received a BA from Tufts University in 1959, and his MA in 1961 and PhD in 1964 from Harvard University. He is an author and a co-author of several foreign policy studies. Ronald Graham is director of Information Sciences Research at AT&T Laboratories, which he joined in 1962, and has also been a professor at Rutgers University since 1987. Concurrently, he has been a Regents' Professor of Mathematics at the University of California, Los Angeles, and a frequent visiting professor of computer science at Stanford University and Princeton University. He was a Fairchild Distinguished Scholar at the California Institute of Technology in 1982. Dr. Graham's research is in combinatorics, number theory, graph theory, algorithms, and combinatorial geometry. He has a BS in physics from the University of Alaska, 1958, and an MA and a PhD in mathematics from the University of California, Berkeley, 1962. Dr. Graham was awarded the Polya Prize in combinatorics in 1972 and the Euler Medal in combinatorics in 1994. He is a member of the National Academy of Sciences and a past president of the American Mathematical Society, and he is a fellow of the American Acad-

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Page 347 emy of Arts and Sciences, the New York Academy of Sciences, and the American Association for the Advancement of Science. Martin Hellman is a professor of electrical engineering at Stanford University, where he has been since 1971. Previously, he was an assistant professor at the Massachusetts Institute of Technology from 1969 to 1971 and a staff member at the IBM T.J. Watson Research Center from 1968 to 1969. Dr. Hellman's specialties are information and communication theory, cryptography and data security, and international security. His BE is from New York University and his MS and PhD in electrical engineering are from Stanford University. He is a fellow of the Institute of Electrical and Electronics Engineers and the Institute of Mathematical Statistics. Ambassador Julius Katz is president of Hills & Company, International Consultants. The firm provides clients with strategic advice and risk analysis on trade and investment interests abroad. Ambassador Katz held the position of deputy U.S. trade representative from 1989 to 1993. During this period, he was the U.S chief negotiator for the North American Free Trade Agreement. He also had senior management responsibility for bilateral and regional negotiations with Europe and the Western Hemisphere and for the multilateral trade negotiations known as the Uruguay Round. Ambassador Katz previously worked as a public policy consultant and from 1987 to 1989 was chairman of the Government Research Corporation in Washington, D.C. From 1980 to 1985, he worked in the financial services industry, where he was chairman of Donaldson, Lufkin & Jenrette Futures Inc. Ambassador Katz joined the U.S. Department of State in 1950 and on his retirement from the State Department after 30 years of service held the position of assistant secretary of state for economic and business affairs. While at the State Department, Ambassador Katz led numerous U.S. delegations in negotiations on trade, commodity, and transport matters. Peter G. Neumann is principal scientist in the Computer Science Laboratory at SRI, where he has worked since 1971. His projects have involved computer systems security, high assurance, human safety, and reliability. He was a member of the Air Force Studies Board database security study and of the National Research Council's System Security Study Committee that produced the report Computers at Risk (National Academy Press, 1991). He also served on an expert panel for the U.S. House Judiciary Committee's Subcommittee on Civil and Constitutional Rights. Dr. Neumann received his AB, SM, and PhD from Harvard University in 1954, 1955, and 1961, respectively. In 1960 he received a Dr. rerum naturarum from the Technische Hochschule, Darmstadt, Germany, where

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Page 348 he was a Fulbright scholar for 2 years. From 1976 to 1994, he was editor of SIGSOFT Software Engineering Notes for the Association for Computing Machinery (ACM), and since 1985 he has been chairman of the ACM Committee on Computers and Public Policy. Dr. Neumann was awarded an ACM Outstanding Contribution Award in 1992 and the first SRI Exceptional Performance Award for Leadership in Community Service, also in 1992. He is a fellow of the Institute of Electrical and Electronics Engineers, the ACM, and the American Association for the Advancement of Science. Raymond Ozzie is the founder and president of Iris Associates, the developer of Lotus Notes. Iris, which began operations in 1984, is a wholly owned subsidiary of Lotus Development Corporation and IBM Corporation. Before founding Iris, Mr. Ozzie worked at Lotus, where he was the lead architect and developer of Lotus' Symphony product. Prior to Lotus, he was an engineering manager at Software Arts, the developer of the first electronic spreadsheet, VisiCalc. Mr. Ozzie received his degree in computer science in 1978 from the University of Illinois in Urbana-Champaign, where he did research in distributed computing and was a systems programmer for PLATO, a pioneering distributed computerbased education and collaboration system connecting students and researchers at hundreds of locations worldwide. Edward C. Schmults was senior vice president of external affairs and general counsel of GTE Corporation from 1984 to 1995. Previously he served as a deputy attorney general of the United States from 1981 to 1984, deputy counsel to the President from 1975 to 1976, and undersecretary of the Treasury Department from 1974 to 1975. Mr. Schmults was a partner of the New York law firm of White & Case from 1965 to 1973 and from 1977 to 1981. He sits on the board of directors of the GreenPoint Bank, the Germany Fund, and the Central European Equity Fund and is chairman of the board of trustees of the Refugee Policy Group. He served with the U.S. Marine Corps from 1953 to 1955. Mr. Schmults has a BS from Yale University and a JD from Harvard University, 1958. Elliot M. Stone has been executive director of the Massachusetts Health Data Consortium since it was established in 1978 as a private, nonprofit corporation and a nonpartisan setting for the collection and analysis of the state's large health care databases. The consortium publishes annual reports and sets data standards for a broad constituency of health care organizations and business coalitions. Previously, Mr. Stone served as director of the state's Center for Health Statistics in the Massachusetts Department of Public Health. Mr. Stone has been an advisor to the

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Page 349 Agency for Health Care Policy & Research, the National Center for Healthcare Statistics, the Health Care Financing Administration, and the Robert Wood Johnson Foundation. He is an active member of the National Association of Health Data Organizations and the Association for Health Services Research. Mr. Stone received his BA and MS degrees from Boston University. He was a member of the Institute of Medicine study that produced the report Health Data in the Information Age: Use, Disclosure, and Privacy (National Academy Press, 1994). Willis H. Ware is a member (emeritus) of the Corporate Research Staff at the RAND Corporation. His career has spanned all aspects of computer science—hardware, software, architecture, software development, federal agency and military applications, real-time systems, networks, management of computer-intensive projects, and public policy. In the late 1960s he developed a research interest in the security of computer systems and networks, and shortly thereafter, a corresponding interest in the personal privacy consequences of record-keeping systems. He has written extensively on both topics. He was the first chairman of the American Federation of Information Processing Societies (AFIPS) and in the early 1970s chaired the Secretary's Advisory Committee on Automated Personal Data Systems of the Department of Health, Education, and Welfare. Its report was the foundation for the Federal Privacy Act of 1974. Subsequently, he was appointed to the Privacy Protection Study Commission by President Ford and served as both commissioner and vice chairman. Its report remains the most extensive examination of private sector record-keeping practices. He currently chairs the statutory Computer System Security and Privacy Advisory Board. Dr. Ware received his BS from the University of Pennsylvania, an SM from the Massachusetts Institute of Technology, and a PhD from Princeton University—all in electrical engineering. He is a fellow of the Institute of Electrical and Electronics Engineers, the Association for Computing Machinery, and the American Association for the Advancement of Science, and he was elected to the National Academy of Engineering in 1985. A.2 ADDITIONAL CONTRIBUTORS TO THE PROJECT The following individuals provided the committee with briefings, discussion, position papers, personal views, and background materials. They are listed alphabetically. Individuals who explicitly requested complete anonymity are not listed. Edward Allen, Federal Bureau of Investigation; Edward J. Appel, National Security Council; John A. Armstrong, IBM (retired); Wendell Bailey,

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Page 350 National Cable Television Association; Stewart Baker, Steptoe and Johnson; Richard C. Barth, Motorola; Bill Bauriedel; David C. Bedard; Sheldon R. Bentley, Boeing Computer Services; Jerry Berman, Center for Democracy and Technology; Tom Berson, Anagram Laboratories; Rose Biancinello, Department of State; Robert Blandford; Matt Blaze; Eric Blossom; William Earl Boebert, Sandia National Laboratories; Barry Briggs, Lotus Development Corporation; David Brin; Ken Bronstein, HewlettPackard; Clinton Brooks, National Security Agency; Melinda Brown, Lotus Development Corporation; Robert E. Bruccoleri, Bristol-Myers Squibb Pharmaceutical Research Institute; James Carr, U.S. District Court of Toledo; Vinton G. Cerf, MCI Telecommunications Corporation; Jesse Choper, University of California, Berkeley; Anthony Clark, House Science Committee; Judi Clark; Floyd I. Clarke, MacAndrews & Forbes; David Cohen, Central Intelligence Agency; Leroy L. Cook, MITRE Corporation; Daniel Corcoran, Electronic Data Systems; Aaron W. Cross, IBM; William Crowell, National Security Agency; Walter Curtis, National Semiconductor Corporation; David Decker, GTE Laboratories; Philippe Dejean, Service Central de la Sécurité des Systèmes d'Information, Service du Premier Ministre (France); James X. Dempsey, Center for National Security Studies; Dorothy Denning, Georgetown University; Whitfield Diffie, Sun Microsystems; M. Nanette DiTosto, U.S. Council for International Business; Esther Dyson, EDventure Holdings Inc.; Robert I. Eachus; Carl Ellison, CyberCash Inc.; Glenn Everhart; Lincoln D. Faurer, National Security Agency (retired); C. William Ferguson, Semaphore Corporation; Robert Fielding, National Security Agency; Hal Finney; Clifford S. Fishman, Catholic University of America; William Flanagan, Lotus Development Corporation; Martin L. Fogelman; Greg Frazier, House Intelligence Committee; Paul Freedenberg, Baker and Botts; Louis Freeh, Federal Bureau of Investigation; Roger E. French, Digital Equipment Corporation; A. Michael Froomkin, University of Miami Law School; Robert Gallagher, Department of Commerce; Roby Gamboa; Richard Garwin, IBM T.J. Watson Research Center; Toby Gati, Department of State; Jeffrey Gaynor, Department of Defense; Kenneth Geide, Federal Bureau of Investigation; Thomas A. Gilbert, Network Systems Corporation; Louis Giles, National Security Agency; John Gilmore, Cygnus Support; Ronald Goldstock, Kroll Associates; Jamie S. Gorelick, Department of Justice; Rebecca Gould, Business Software Alliance; Graham Greenleaf, University of New South Wales; William F. Hagerty IV, Management Advisory Group; Keith Hall, Department of Defense; Bruce Hamilton; Martha Harris, Department of State; Matthew D. Healy, Yale Center for Medical Informatics; Bruce Heiman, Business Software Alliance; David A. Hendon, Department of Trade and Industry (United Kingdom); David Henry, National Security Agency;

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Page 351 Richard Hertling, Senate Judiciary Committee; R.S. (Bob) Heuman; Mack Hicks, Bank of America; Richard Hill; K. Mignon Hoffman, Boeing Computer Services; Lance Hoffman, George Washington University; Robert Hood, Congressman Newt Gingrich's Office; Eric Hughes; Deborah Hurley, Organization for Economic Cooperation and Development; Rick Jinelsky, Hewlett-Packard; Michael Paul Johnson; Thomas Kalil, National Economic Council; Raymond Kammer, National Institute of Standards and Technology; Phil Karn; Sally Katzen, Office of Management and Budget; Elizabeth Kaufman, Citibank; Stephen T. Kent, BBN Communications; Gordon Kettler, General Motors; Raymond Khan, General Motors; Joseph Kielman, Federal Bureau of Investigation; Steve Killion, Federal Bureau of Investigation; Julie Krueger, Atmel Corporation; Susan Landau, University of Massachusetts, Amherst; P.E. (Pat) Lanthier, Pacific Bell; Tony Lauck; Joshua Lederberg, Rockefeller University; Ronald Lee, National Security Agency; James Leinweber, University of Wisconsin, Madison; Blaise Liffick, Computer Professionals for Social Responsibility; Steven B. Lipner, MITRE Corporation; Myles Losch; Robert Lucky, Bell Communications Research; Deborah Malamud, University of Michigan Law School; Noel Matchett, Information Security Inc.; Timothy May; Bruce McConnell, Office of Management and Budget; Kirk McConnell, Senate Armed Services Committee; Kate McGee, Oracle Corporation; F. Lynn McNulty, McNulty and Associates; Catherine Medich, CommerceNet; Ken Mendelson, House Judiciary Committee; Douglas Miller, Software Publishers Association; John Millis, House Select Committee on Intelligence; William Mockler, Drug Enforcement Administration; Vera A. Murray, IBM; Michael Nelson, Office of Science and Technology Policy; Robert Nieves, Drug Enforcement Administration; Edward O'Malley, OSO Group; Christopher Padilla, AT&T Government Affairs; Donn Parker, SRI International Inc.; Kumar Patel, University of California, Los Angeles; Bill Patterson; Nick Patterson, Renaissance Technologies; Craig Paul, University of Kansas; Paul J.J. Payack, Network Systems Corporation; Mona Peglow, Novell; David Pensak, DuPont Corporation; Henry H. Perritt, Jr., Villanova University; John Pescatore, International Data Corporation Government; Charles C. Philipp, Department of Energy; John Pignataro, New York City Police Department; John Podesta, The White House; Carl Pomerance, University of Georgia; William Poulos, Electronic Data Systems; William Press, Harvard College; Robert Prestel, National Security Agency (retired); Todd Quinto, Tufts University; Jim Ray; Alfred Reifman, Congressional Research Service; Robert Rich, National Security Agency (retired); Ed Roback, National Institute of

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Page 352 Standards and Technology; Bruce Roberts, Unisys; Cesare Rosati, Department of State; Sholom Rosen, Citibank; Howard Rosenblum, National Security Agency (retired); Marc Rotenberg, Electronic Privacy Information Center; Lee D. Rothstein, VeriTech; Ira Rubenstein, Microsoft Corporation; Clint Sare; John Scheibel, House Foreign Affairs Committee; Roger Schell, Novell; Jeff Schiller, Massachusetts Institute of Technology; James Schindler, Hewlett-Packard; Kurt Schneckenburger; William Richard Scruggs, Department of Justice; Raymond R. Semko, Department of Energy; William S. Sessions, Sessions & Sessions, L.C.; Edward Sheehan, Electronic Data Systems; Alan Shipman, Enterprise Integration Technology, CommerceNet; Gursharan Sidhu, Apple Computer; Cheryl Simmons, Computer and Communications Industry Association; Lori S. Sinton, National Semiconductor Corporation; Landgrave T. Smith, Jr., Institute for Defense Analyses; Peter Smith, member of Parliament, United Kingdom; Teresa Smith, Central Intelligence Agency; Oliver Smoot, Information Technology Industry Council; Carl Snyder, Hewlett-Packard; Bill Sommerfeld; George Spix, Microsoft Corporation; Edward Springer, Office of Management and Budget; Ross Stapleton-Gray, TeleDiplomacy Inc.; Vicki Steam, Discovery Communications Inc.; Shari Steele, Electronic Frontier Foundation; John D. Steinbruner, Brookings Institution; Barry Steinhardt, American Civil Liberties Union; Ivan Sutherland, Sun Microsystems Laboratories; Raymond Tate, National Security Agency (retired); Duane Thompson; George B. Trubow, John Marshall Law School; Roger Ulbrich, Chevron Corporation; Paul Walker, House Armed Services Committee; Stephen Walker, Trusted Information Systems Inc.; Lester Waters, Microsoft Corporation; Daniel Weitzner, Center for Democracy and Technology; William Whitehurst, IBM; Daniel Whiteman, General Motors; Randy Whiting, Hewlett-Packard; Philip Wilcox, Department of State; Janice Williams, Central Intelligence Agency; Charity Wilson, Senate Judiciary Committee; Joan D. Winston, Office of Technology Assessment; R. James Woolsey, Shey & Gardner.