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FC: Justice Dept FAQ on encryption: We need access to plaintext!


From: Declan McCullagh <declan () well com>
Date: Fri, 10 Mar 2000 17:04:15 -0500

I came across this on DoJ's site; the FAQ was updated September 1999. Also see:
  http://www.usdoj.gov/criminal/cybercrime/crypto.html

Summary:

     The Administration's policy is to promote the development and use
     of strong encryption which enhances the privacy of communications
     and stored data while preserving law enforcement's ability to gain
     access to evidence as part of a legally authorized search or
     surveillance. We are willing to look at any options that advance
     these goals, as well as protecting national security, securing
     electronic commerce and preserving U.S. competitiveness. The
     Administration has identified one method to achieve the necessary
     balance -- the use of encryption products that incorporate recovery
     systems. With such products, law enforcement agents can, pursuant
     to lawful process, obtain recovered "plaintext." The Administration
     is open to other approaches.

-Declan

---

http://www.usdoj.gov/criminal/cybercrime/cryptfaq.htm


                         Department of Justice FAQ

                                     on

                             Encryption Policy

                               April 24, 1998
     _________________________________________________________________

                          A. GENERAL POLICY ISSUES

    1. What is the Administration's Policy on Encryption?
    2. Aren't you really trying to force the market where it won't go?
    3. Some bills currently before Congress, such as H.R. 695, would make
       the criminal use of encryption a crime. Isn't this sufficient?
    4. Does the government want to hold everyone's private keys?

                         B. LAW ENFORCEMENT ISSUES


    5. Why does law enforcement oppose the use of encryption? Don't you
       realize that it will make your job easier by stopping crime?
    6. We don't ban cars, do we? Then why are you trying to ban
       encryption?
    7. We lived without wiretaps for centuries -- couldn't we do so
       again?
    8. Aren't you overstating the threat?
    9. Isn't the government's policy unworkable because strong
       unrecoverable encryption is widely available and, therefore,
       criminals will not use data recovery products even if they are
       widely available and commonly used?
   10. Shouldn't we solve this problem by equipping law enforcement with
       the resources necessary to break encryption in particularly
       important cases?
   11. I heard about one group of Internet users that worked together to
       crack a 56-bit encrypted message. If they did it, why can't the
       federal government?
   12. Don't Americans have a right to privacy?
   13. Why does law enforcement want to be able to snoop on everyone's
       private communications?

                          C. CONSTITUTIONAL ISSUES


   14. Wouldn't the use by law enforcement of recovery systems in
       encryption products violate the Fourth Amendment?
   15. What about a mandatory plaintext recovery regime? Wouldn't that
       violate the Fourth Amendment?
   16. Would such a hypothetical mandatory plaintext recovery regime
       violate the Fifth Amendment's prohibition against compulsory
       self-incrimination?
   17. What about the First Amendment? Doesn't the First Amendment
       protect the right of persons to speak in "code"? Wouldn't a
       restriction on encryption products be analogous to placing a
       restriction on the use of a foreign language? Wouldn't restriction
       of available encryption products "chill" free speech?

   ----------------------------------------------------------------------
                         --------------------------

                          A. GENERAL POLICY ISSUES

     1. What is the Administration's Policy on Encryption?

     The Administration's policy is to promote the development and use
     of strong encryption which enhances the privacy of communications
     and stored data while preserving law enforcement's ability to gain
     access to evidence as part of a legally authorized search or
     surveillance. We are willing to look at any options that advance
     these goals, as well as protecting national security, securing
     electronic commerce and preserving U.S. competitiveness. The
     Administration has identified one method to achieve the necessary
     balance -- the use of encryption products that incorporate recovery
     systems. With such products, law enforcement agents can, pursuant
     to lawful process, obtain recovered "plaintext." The Administration
     is open to other approaches.

     2. Aren't you really trying to force the market where it won't go?

     Not at all. Indeed, we know that hardware and software companies
     have begun to develop data recovery products in response to the
     needs of businesses and individuals. For example, dozens of
     companies are now members of the "Key Recovery Alliance," including
     some of the largest computer companies in the United States. That
     such products are economically viable is not surprising. For
     example, companies may need access to encrypted data when employees
     are ill or otherwise unavailable, and individuals may forget their
     keys.

     However, while industry must take the lead in developing
     cryptographic products and services, it is also true that market
     forces alone will not adequately protect public safety and national
     security. For example, market forces alone are not permitted to
     determine whether an airline should be allowed to fly -- the
     government grounds unsafe airlines to protect public safety. Market
     forces alone do not determine whether meat is safe to sell in
     supermarkets and restaurants. Likewise, when the government pursues
     a cryptographic policy, it must take into account the need to
     protect public safety and national security.

     3. Some bills currently before Congress, such as H.R. 695, would
     make the criminal use of encryption a crime. Isn't this sufficient?

     Making the use of encryption a crime if in furtherance of the
     commission of another crime makes an important statement, because
     encryption can pose a significant obstacle to the investigation and
     prosecution of criminal offenses.

     That said, the mere fact that the criminal use of encryption would
     itself be a crime would be unlikely, standing alone, to prevent
     most criminals from using encryption. Moreover, since the encrypted
     data cannot be decrypted without recovery systems -- and the
     plaintext cannot be ascertained -- it would be difficult, if not
     impossible, to prove in most cases that the encryption was used in
     the furtherance of a crime. Finally, such a prohibition would fail
     to address the true public safety threat: that terrorists, child
     pornographers, drug dealers, and any other criminals could render
     useless court-authorized searches and wiretaps.

     4. Does the government want to hold everyone's private keys?

     No, the government does not want to hold the keys of private
     citizens or commercial enterprises.

     Actually, the Administration encourages the design, manufacture,
     and use of encryption products and services that allow for recovery
     of the plaintext of encrypted data, including the development of
     plaintext recovery systems, which permit through a variety of
     technical approaches timely access to plaintext either by the
     owners of data or by law enforcement authorities acting under
     lawful authority. Only the widespread use of such systems will both
     provide greater protection for data and protect public safety.

     The Administration is not advocating any single product,
     technology, or even technical approach, and is certainly not
     insisting upon "escrow" of keys with the government. Key recovery,
     for example, where the encryption key is held by a trusted third
     party, is merely one possible approach, and is by no means the only
     one that would meet law enforcement's goals. Rather, we are
     flexible -- provided that the resulting solutions and arrangements
     preserve the Nation's critical abilities to protect the public
     safety and defend our national security.

                         B. LAW ENFORCEMENT ISSUES

     5. Why does law enforcement oppose the use of encryption? Don't you
     realize that it will make your job easier by stopping crime?

     We do not oppose the use of encryption -- just the opposite,
     because strong encryption can be an extraordinary tool to prevent
     crime. We believe that the use of strong cryptography is critical
     to the development of the "Global Information Infrastructure," or
     the GII. We agree that communications and data must be protected --
     both in transit and in storage -- if the GII is to be used for
     personal communications, financial transactions, medical care, the
     development of new intellectual property, and other applications.

     The widespread use of unrecoverable encryption by criminals,
     however, poses a serious risk to public safety. Encryption may be
     used by terrorist groups, drug cartels, foreign intelligence
     agents, and other criminals to secure their data and
     communications, thus nullifying the effectiveness of search
     warrants and wiretap orders. The Department's goal -- and the
     Administration's policy -- is to promote the development and use of
     strong encryption that enhances the privacy of communications and
     stored data while also preserving law enforcement's current ability
     to gain access to evidence as part of a legally authorized search
     or surveillance.

     At bottom, it is important to recognize that society has an
     important choice to make. On the one hand, it can promote the use
     of unrecoverable encryption, and give a powerful tool to the most
     dangerous elements of our global society. On the other hand, it can
     promote the use of recoverable encryption and other techniques,
     achieve all of the benefits, and help protect society from these
     criminals. Faced with this choice, there is only one responsible
     solution.

     6. We don't ban cars, do we? Then why are you trying to ban
     encryption?

     The Administration generally, and law enforcement particularly, are
     not trying to ban encryption. Law enforcement supports the
     responsible spread of strong encryption. Use of strong encryption
     will help deter crime and promote a safe national information
     infrastructure.

     The more fundamental point raised by the analogy to the rise of the
     automobile is that society "managed" the automobile, not by letting
     it develop completely unfettered and without regard to public
     safety concerns, but first by recognizing that cars could cause
     substantial damage to the public safety, and then by regulating the
     design, manufacture, and use of cars to protect the public safety.
     Cars must be inspected for safety on a regular basis. Cars are
     subject to minimum gasoline mileage requirements and maximum
     pollutant emission requirements. Cars built today must include seat
     belts and air bags. Indeed, the laws of every jurisdiction in the
     United States closely regulate every aspect of driving cars on the
     public streets and highways, from driver's licenses to regulation
     of speed to direction and flow of traffic. Congress and the state
     legislatures recognized the public safety and health threats posed
     by the technology of automotive transportation, even as they
     recognized the dramatic benefits of mobility, productivity, and
     industrialization that the automobile brought with it. Elected
     government representatives of the people have consistently
     acknowledged and acted on their sworn responsibilities by assessing
     the public safety issues at stake and then regulating the
     technology accordingly.

     Perhaps most analogous to the policy issues posed by encryption is
     the practice, begun by most states about a hundred years ago, of
     requiring cars to be registered and to bear license plates. More
     recently, federal law has required all vehicles to bear a vehicle
     identification number, or VIN. As you may recall, it was the VIN in
     the Oklahoma City bombing case that led the FBI to the truck rental
     office at which Timothy McVeigh rented the truck he used. We now
     recognize that license plates and VIN's afford victims of
     accidents, victims of car theft, and law enforcement officials with
     an essential means of identifying vehicles and obtaining
     information on the movements of criminals. Just as legislatures in
     the early 1900's acted to manage the risks posed by automotive
     technology, government leaders today, as the 21st century
     approaches, must bring the same sensitivity to the need to preserve
     and advance public safety as encryption use expands in the
     information age. And such a regulatory scheme, if constructed
     properly, will, like license plates, have benefits for businesses
     and consumers as well.

     Of course, no analogy is perfect. Computers are not cars, and
     plaintext recovery is not a speed limit. But the broader point is
     an important one: The Framers of our Constitution determined that
     individuals would not have an absolute right of privacy. The
     Constitution recognizes that there are certain circumstances in
     which it is appropriate for law enforcement to obtain information
     that an individual wants to keep private: for example, when a judge
     finds probable cause to believe that such information is ***
     evidence of a crime. Decisions as to where that line should be
     drawn are political and legal ones, not scientific or business
     ones; they should be made by the Congress, the Executive, and the
     courts, not by programmers or marketers. Policy should regulate
     technology; technology should not regulate policy. Just as in the
     first part of the twentieth century, when the law had to take
     account of the changes in society brought about by the automobile,
     the law will have to take account of the changes brought about by
     encryption.

     7. We lived without wiretaps for centuries -- couldn't we do so
     again?

     Court-authorized wiretaps have proven to be one of the most
     successful law-enforcement tools in preventing and prosecuting
     serious crimes, including terrorism. The inability of law
     enforcement to conduct effective wiretaps would have a tremendous
     impact, especially as the use of "traditional investigative
     techniques" is no substitute for wiretaps. In fact, under 18 U.S.C.
     § 2518(1)(c), such techniques must have been tried, be expected to
     fail, or be too dangerous to use, before a wiretap order may be
     issued. In other words, wiretaps may only be used when necessary.
     As society has becoming increasingly reliant on wire communication,
     law enforcement's need to access the contents of those
     communications in appropriate circumstances has also increased.

     It is also important to recognize that widespread use of
     unrecoverable encryption will not merely negate wiretaps: the
     effect of encryption on court-authorized searches and seizures of
     computer data will also be significant. As society becomes more
     dependent on computers, evidence (and the fruits) of crime
     increasingly will be found in stored computer data, which can be
     searched and seized pursuant to court authorized warrants. But if
     unbreakable encryption proliferates, this critical law enforcement
     tool could also be nullified. And this would affect not only our
     ability to prosecute cases of terrorism and drug trafficking, but
     any case that relies on documents, such as fraud and child
     pornography cases.

     If American society is to be protected as it rightfully expects and
     demands, law enforcement agents must have investigative tools that
     work. To the extent society is unwilling to grant law enforcement
     such tools, it must be willing to accept fewer successful
     investigations, fewer successful prosecutions, and, consequently,
     more crime that goes unprosecuted.

     8. Aren't you overstating the threat?

     Not at all. Law enforcement has already confronted encryption in
     high-profile espionage, terrorist, and criminal cases. For example:

     * An international terrorist was plotting to blow up 11 U.S.-owned
     commercial airliners in the Far East. His laptop computer, which
     was seized during his arrest in Manila, contained encrypted files
     concerning this terrorist plot.

     * A subject in a child pornography case used encryption in
     transmitting obscene and pornographic images of children over the
     Internet.

     * A major international drug trafficking subject recently used a
     telephone encryption device to frustrate court-approved electronic
     surveillance.

     And this is just the tip of the iceberg. Convicted spy Aldrich
     Ames, for example, was told by the Russian Intelligence Service to
     encrypt computer file information that was to be passed to it.

     There have also been numerous other cases where law enforcement,
     through the use of electronic surveillance, has not only solved and
     successfully prosecuted serious crimes but has also been able to
     prevent life-threatening criminal acts. For example, terrorists in
     New York were plotting to bomb the United Nations building, the
     Lincoln and Holland Tunnels, and the main federal building in New
     York City as well as conduct assassinations of political figures.
     Court-authorized electronic surveillance enabled the FBI to disrupt
     the plot as explosives were being mixed. Ultimately, the evidence
     obtained was used to convict the conspirators. In another example,
     electronic surveillance was used to stop and then convict two men
     who intended to kidnap, molest, and kill a child. In all of these
     cases, the use of unrecoverable encryption might have seriously
     jeopardized public safety and resulted in the loss of life.

     As encryption proliferates and becomes an ordinary component of
     mass market items, and as the prevalence of encryption products
     increases to the point of regularly denying law enforcement access
     to intercepted communications or physical evidence, the threat to
     public safety will increase greatly.

     9. Isn't the government's policy unworkable because strong
     unrecoverable encryption is widely available and, therefore,
     criminals will not use data recovery products even if they are
     widely available and commonly used?

     No policy will guarantee that, in every case, law enforcement's
     needs are met -- some criminals won't use recoverable encryption
     under any circumstances. However, many criminals will use
     encryption that permits access by law enforcement, if that is the
     type of encryption that is commonly used and included in
     over-the-counter software. Criminals use telephones today, even
     though they are aware that telephones can be tapped. What we want
     to avoid is a situation where common street-corner drug dealers
     reguarly without thinking make their record books and notes utterly
     unreadable by law enforcement at the click of a mouse button. In
     this regard, we hope that the availability of highly reliable
     encryption that provides recovery systems will reduce the demand
     for other types of encryption, and increase the likelihood that
     criminals will use recoverable encryption.

     10. Shouldn't we solve this problem by equipping law enforcement
     with the resources necessary to break encryption in particularly
     important cases?

     Additional resources alone will not solve this problem. It is not
     possible to build machines with any reasonable resources that would
     permit law enforcement to break even 56-bit DES encryption in the
     time necessary to be useful in real cases. Obviously, stronger
     encryption would be even more difficult to crack. In many cases, it
     might be difficult even to determine the type of encryption used.

     This is especially significant in investigations, which can be
     extremely time-critical. Particularly in the case of wiretaps,
     decrypting messages weeks or months after interception will not
     protect the public. Wiretaps are used only in the most critical
     cases, and often provide crucial information just before a crime is
     to occur. Near real-time access is necessary, as days or weeks are
     too long to wait to find out that a terrorist attack is about to
     occur.

     Even if the FBI were able to build a supercomputer that could
     periodically crack a single message encoded with 56-bit DES, each
     wiretap or search can result in thousands of messages or files to
     be decoded. Cracking all of those messages is unrealistic. And,
     obviously, it would be impossible to supply such a supercomputer to
     every state and local law enforcement agency around the country. It
     will always be easier and cheaper to devise stronger cryptographic
     methods than to build computers powerful enough to break these
     methods in a reasonable period of time.

     11. I heard about one group of Internet users that worked together
     to crack a 56-bit encrypted message. If they did it, why can't the
     federal government?

     That example actually underscores the problems that accompany a
     "brute force" approach. The successful group actually used over
     14,000 computers and took over four months -- over ten million
     hours of computer time -- to decrypt one single message. That is
     not practical for law enforcement, especially if, for example, we
     are trying to prevent a terrorist attack or find a kidnap victim.
     Significantly, the time needed to decrypt a message rises
     exponentially as the length of the encryption key increases. If the
     message had been encrypted with a 64-bit key, it would take 10,000
     Pentium computers on average 58 years to crack a single message.

     And a new message would require law enforcement to start again from
     scratch because each message may be encrypted with a different key.
     During 1995, for example, federal and state courts authorized more
     than a thousand electronic surveillance court orders, resulting in
     over two million intercepted communications, each of which could
     require separate decryption. Given such numbers, brute force
     attacks are not a feasible solution. This commitment of time and
     resources is unavailable for every wiretap and every search and
     seizure executed at federal, state, and local levels.

     Additionally, law enforcement agencies at the federal, state, and
     local level are finding that searches in routine cases now commonly
     result in the seizure of electronically stored information. Because
     storage devices have increased in capacity and decreased in price,
     the quantity of data seized in "ordinary" cases continues to
     increase dramatically. If all of these communications and stored
     files were encrypted with unrecoverable cryptographic systems,
     brute force attacks would not provide a meaningful and timely
     solution. Thus, even if tens of thousands of computers were
     obtained and coordinated (an expensive undertaking, to say the
     least), the approximately 17,000 federal, state, and local law
     enforcement agencies could not be given timely access to the
     evidence needed to prevent and solve crimes.

     12. Don't Americans have a right to privacy?

     Privacy is an extremely important value to be protected, and people
     sometimes lose sight of the fact that law enforcement is
     responsible, in part, for protecting privacy in a variety of
     circumstances. For example, we prosecute violations of the wiretap
     statute, as well as cases where data confidentiality has been
     breached. See, e.g., 18 U.S.C. § 1030(a)(2). But our society has
     never recognized an absolute right to privacy. Rather, the Fourth
     Amendment strikes a careful balance, permitting government invasion
     of privacy to protect public safety and to prosecute crimes, but
     only when law enforcement can make the necessary showing, such as
     demonstrating "probable cause" to a neutral and detached
     magistrate. For example, most people would think it was justifiable
     for the police to search a man's bedroom pursuant to a search
     warrant -- normally one of the most private places in one's life --
     if there were probable cause to believe that he had murdered
     someone there. In the Information Age, unbreakable encryption would
     upset this delicate constitutional balance, which is one of the
     bedrock principles of our legal system, by effectively nullifying a
     court's issuance of a search warrant or wiretap order.

     13. Why does law enforcement want to be able to snoop on everyone's
     private communications?

     Government should not be able to access arbitrarily the plaintext
     of encrypted communications of citizens or businesses. Law
     enforcement should obtain access pursuant to legal procedures such
     as those set out by 18 U.S.C. § 2518, i.e., only as part of a
     legally authorized investigation, and only after making the
     necessary legal showing. The same constitutional protections --
     such as the requirement that a search warrant or Title III order be
     obtained from a neutral judicial official, upon determination of
     probable cause -- that preserve every American's privacy interests
     today will continue to prevent unauthorized intrusions in a key
     recovery regime.

                          C. CONSTITUTIONAL ISSUES

     14. Wouldn't the use by law enforcement of recovery systems in
     encryption products violate the Fourth Amendment?

     It is difficult to understand how use of recovery systems under the
     present, voluntary regime might violate the Fourth Amendment. As
     with any kind of stored and transmitted data, it is axiomatic that
     the government may obtain both encrypted text and decryption keys
     pursuant to lawful process, which may include a wiretap order, a
     search warrant issued upon probable cause, a subpoena, or the
     consent of the party possessing the particular item. Each of these
     procedures comports with the Fourth Amendment, and voluntary data
     recovery products do not change this analysis. Additionally, if an
     individual's encryption key were stored with a third party,
     Congress could require by legislation that, to compel production of
     the key, law enforcement would have to meet a standard higher than
     that required by the Fourth Amendment, much as the Electronic
     Communications Privacy Act requires a court order to obtain
     transactional data.

     15. What about a mandatory plaintext recovery regime? Wouldn't that
     violate the Fourth Amendment?

     The Administration does not advocate a mandatory approach, and
     believes that a voluntary solution is preferable. Nonetheless, many
     have asked about the constitutionality of hypothetical legislation
     prohibiting the manufacture, distribution and import of encryption
     products that do not contain plaintext recovery technologies, so
     that the capability to decrypt encrypted data and communications is
     available to law enforcement upon presentation of valid legal
     authority.

     A discussion of the constitutionality of such hypothetical
     legislation must be prefaced with several caveats. First, the
     constitutional issues that such a regime would present are
     undoubtedly novel ones. Indeed, the spectacular growth of the
     digital world has created many confounding legal issues that the
     Congress, the courts, the Administration, and our society at large
     are wrestling with. If history is any guide, changes in technology
     can lead to changes in our understanding of applicable
     constitutional doctrine. Moreover, these issues are particularly
     difficult to address in the abstract, because mandatory plaintext
     recovery could take a variety of forms. Nonetheless, and with these
     caveats, it is the best judgment of the Department of Justice that
     a mandatory plaintext recovery regime, if appropriately structured,
     could comport with constitutional doctrine.

     The Fourth Amendment does not provide an absolute right of privacy,
     but protects reasonable expectations of privacy by prohibiting
     unreasonable searches and requiring that a warrant issue only upon
     a finding of probable cause by a neutral and detached magistrate. A
     well-designed plaintext recovery regime would ensure that users'
     reasonable expectations of privacy were preserved. Any legislation
     in this area, whether or not it imposed plaintext recovery
     requirements, should not lessen the showing the government must
     make to obtain access to plaintext. If a search warrant for data
     was required before, it should be required under any new regime. By
     requiring the government to meet current constitutional thresholds
     to obtain plaintext, such a regime would, in our view, comply with
     the Fourth Amendment. Moreover, Congress could require under such a
     regime that even if law enforcement obtains a search warrant for
     data or communications, it would need additional authority, such as
     a court order, to obtain the key or other information necessary to
     perform any decryption if the information is encrypted.

     16. Would such a hypothetical mandatory plaintext recovery regime
     violate the Fifth Amendment's prohibition against compulsory
     self-incrimination?

     Again, it must be clearly stated that the Administration does not
     advocate a mandatory plaintext recovery regime. The Administration
     believes that a voluntary solution is preferable.

     However, in response to questions about the Fifth Amendment, we
     note that the Fifth Amendment generally prohibits only disclosures
     that are compelled, testimonial, and incriminating. If a
     manufacturer of an encryption product were required to maintain
     information sufficient to allow law enforcement access to
     plaintext, we believe that there would be no violation of the Fifth
     Amendment because no disclosure at all would be compelled from the
     user of the encryption product. If, on the other hand, a mandatory
     plaintext recovery regime required the user of an encryption
     product to store his key (or other information needed for recovery)
     with a third party in advance of using the product, we do not
     believe that such an arguably compelled disclosure would be
     testimonial as that term has been interpreted by the Supreme Court.
     In Doe v. United States, 489 U.S. 201 (1988), the Court held that
     an order compelling a person to execute a form consenting to
     disclosure of foreign bank accounts did not violate the Fifth
     Amendment because the form was not testimonial. The compelled
     disclosure of decryption information to a third party would not
     seem to be any more testimonial. Moreover, we doubt whether such a
     disclosure would be incriminating, because unless and until the
     encryption product is used in the commission of a crime, the key
     would pose no threat of incrimination against the user.

     17. What about the First Amendment? Doesn't the First Amendment
     protect the right of persons to speak in "code"? Wouldn't a
     restriction on encryption products be analogous to placing a
     restriction on the use of a foreign language? Wouldn't restriction
     of available encryption products "chill" free speech?

     Again, the Administration prefers a voluntary solution.
     Nevertheless, many ask about whether a mandatory plaintext recovery
     regime would in some manner violate the First Amendment.

     A First Amendment argument that encrypted speech is like a foreign
     language rests on the faulty premise that the creation or
     dissemination of ciphertext itself is constitutionally protected.
     But, unlike a foreign language, the ciphertext that is created by
     strong encryption products cannot be understood by the viewer or
     listener. When it is heard, such as on a wiretap of a telephone,
     ciphertext simply takes the form of unintelligible static. In
     written form, ciphertext may be in the form of letters, numerals
     and symbols, but no human being can read or "understand" it: it
     does not contain characters or words or symbols that represent or
     correspond to any other characters, words or symbols. Accordingly,
     ciphertext is not like a foreign language, the use of which can
     convey unique meaning and nuance to the listener or reader. Thus,
     ciphertext itself -- as opposed to the underlying plaintext -- has
     none of the properties of protected "speech" that the Supreme Court
     has traditionally identified, and, accordingly, the dissemination
     of ciphertext should not be entitled to First Amendment protection.

     A second form of First Amendment argument focuses not on the
     ciphertext, but on the underlying plaintext. Under this theory, a
     prohibition on the manufacture or distribution of nonrecoverable
     encryption products would inhibit an alleged constitutional right
     of persons to obscure their communications in any manner they see
     fit. Even if legislation would impose such a practical limitation
     on the manner in which speakers may obscure their underlying
     communications, it could be drafted so as to pass muster as a
     permissible time, place and manner restriction -- particularly
     since any such restriction on the "tools" of speech would be
     unrelated to any communicative impact of the underlying plaintext
     and the controls would leave open ample and robust alternative
     channels or methods for obscuring the underlying plaintext.

     A related argument is that a communications infrastructure in which
     recoverable encryption is the de facto standard will impermissibly
     chill a significant quantum of speech because individuals'
     knowledge of law enforcement's ability to overhear and decipher
     communications and data will unduly deter them from communicating.
     But under such a system, the government would have no greater
     access to the content of private parties' communications than it
     currently has, and it is well-settled that the government's
     exercise of its established statutory powers to intercept and seize
     communications does not create such a "chilling" effect on speech
     as to transgress the First Amendment, so long as that power is
     exercised consistent with the Fourth Amendment, and for valid
     reasons authorized by statute, such as to discover evidence of
     criminal wrongdoing. See, e.g., United States v. Ramsey, 503 F.2d
     524, 526 n.5 (7th Cir. 1974) (Stevens, J.) (rejecting argument that
     "the very existence of wiretapping authority has a chilling effect
     on free speech and, therefore, . . . violates the First
     Amendment"); accord United States v. Moody, 977 F.2d 1425, 1432
     (11th Cir. 1992).

     A final type of First Amendment argument often heard is that a
     restriction on the manufacture and distribution of certain types of
     encryption products would impermissibly restrict the ability of
     cryptographers, and others, to disseminate the computer code that
     is used by computers to transform plaintext into ciphertext. But
     that argument is based on the mistaken premise that dissemination
     of the code embedded in encryption products itself is necessarily a
     form of expression protected by the First Amendment. Most such code
     is in the form of "object code." Object code is simply an immense
     string of "0"s and "1"s, representing a bewildering concatenation
     of thousands or millions of high and low voltage electrical
     impulses. As such, machine-"readable" cryptographic object codes
     can reveal to possible "readers" neither the ideas they embody, nor
     the manner in which the ideas are expressed. And this is especially
     true where such object code is embedded in a product such as a
     semiconductor chip, so that even the "0"s and "1"s cannot be
     discerned. Therefore, a restriction on the dissemination of
     encryption products containing object code would not violate the
     First Amendment.

     Somewhat more complicated questions might be raised if such
     legislation were to reach encryption products in the form of source
     code -- i.e., the instructions to the computer that human beings
     write and revise. Some persons do disseminate source code for
     communicative purposes. Nevertheless, we believe that a restriction
     on the dissemination of certain encryption products could be
     constitutional even as applied to those relatively infrequent cases
     in which such products are in the form of software that is
     disseminated for communicative reasons, because such a restriction
     could satisfy the "intermediate" scrutiny that the First Amendment
     provides for incidental restrictions on communicative conduct. As
     we have argued in litigation in the export-control context, such
     intermediate scrutiny would be appropriate because the government's
     reason for regulating source-code software would not be based on
     any informational value that its dissemination might have. (Indeed,
     such legislation would not restrict the publication of any ideas
     reflected in such source code.) Instead, regulation would be
     premised on the fact that such software -- like all of the
     "encryption products" that would be regulated -- has physical,
     functional properties that can cause a computer to encrypt
     information and thereby place plaintext beyond the technical
     capabilities of law enforcement to recover.



   Go to . . . CCIPS Home Page || Justice Department Home Pages
     _________________________________________________________________


    Last Updated September 17, 1999

   usdoj-crm/mis/mdf
     _________________________________________________________________

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