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The concept of zero knowledge proofs and their applications in various fields, including nuclear disarmament. It explains how zero knowledge proofs can fully convince that a statement is true without yielding any additional knowledge. The document also provides examples of interactive proof systems and hypothesis testing. It is a useful resource for students studying cryptography and related fields.
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(^1) In case you are curious, the factors of 𝑚 are 1, 172, 192, 558, 529, 627, 184, 841, 954, 822, 099 and 328, 963, 108, 995, 562, 790, 517, 498, 071, 717.
The notion of proof is central to so many fields. In mathematics, we want to prove that a certain assertion is correct. In other sciences, we often want to accumulate a preponderance of evidence (or statistical significance) to reject certain hypotheses. In criminal law the prose- cution famously needs to prove its case “beyond a reasonable doubt”. Cryptography turns out to give some new twists on this ancient no- tion. Typically a proof that some assertion X is true, also reveals some information about why X is true. When Hercule Poirot proves that Norman Gale killed Madame Giselle he does so by showing how Gale committed the murder by dressing up as a flight attendant and stabbing Madame Gisselle with a poisoned dart. Could Hercule convince us beyond a reasonable doubt that Gale did the crime without giving any information on how the crime was committed? Can the Russians prove to the U.S. that a sealed box contains an authentic nuclear warhead without revealing anything about its design? Can I prove to you that the number 𝑚 = 385, 608, 108, 395, 369, 363, 400, 501, 273, 594, 475, 104, 405, 448, 848, 047,062, 278, 473, 983 has a prime factor whose last digit is 7 without giving you any infor- mation about 𝑚’s prime factors? We won’t answer the first question, but will show some insights on the latter two.^1 Zero knowledge proofs are proofs that fully convince that a statement is true without yielding any additional knowledge. So, after seeing a zero knowledge proof that 𝑚 has a factor ending with 7 , you’ll be no closer to knowing 𝑚’s factorization than you were before. Zero knowledge proofs were invented by Goldwasser, Micali and Rackoff in 1982 and have since been used in great many settings. How would you achieve such a thing, or even define it? And why on earth would it be useful? This is the topic of this lecture.
Compiled on 11.17.2021 22:
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(^2) To be fair, “only” about 170 million Americans live in the 50 largest metropolitan areas and so arguably many people will survive at least the initial impact of a nuclear war, though it had been estimated that even a “small” nuclear war involving detonation of 100 not too large warheads could have devastating global consequences.
P This chapter will rely on the notion of NP complete- ness , as well as the view of NP as proof systems. For a review of this notion, please see this chapter of my introduction to TCS text.
13.1 APPLICATIONS FOR ZERO KNOWLEDGE PROOFS.
Before we talk about how to achieve zero knowledge, let us discuss some of its potential applications:
13.1.1 Nuclear disarmament The United States and Russia have reached a dangerous and expensive equilibrium where each has about 7000 nuclear warheads, much more than is needed to decimate each others’ population (and the popu- lation of much of the rest of the world).^2 Having so many weapons increases the chance of “leakage” of weapons, or of an accidental launch (which can result in an all out war) through fault in com- munications or rogue commanders. This also threatens the delicate balance of the Non-Proliferation Treaty which at its core is a bargain where non-weapons states agree not to pursue nuclear weapons and the five nuclear weapon states agree to make progress on nuclear dis- armament. These huge quantities of nuclear weapons are not only dangerous, as they increase the chance of a leak or of an individual failure or rogue commander causing a world catastrophe, but also extremely expensive to maintain. For all of these reasons, in 2009, U.S. President Obama called to set as a long term goal a “world without nuclear weapons” and in 2012 spoke concretely about talking to Russia about reducing “not only our strategic nuclear warheads, but also tactical weapons and war- heads in reserve”. On the other side, Russian President Putin has said already in 2000 that he sees “no obstacles that could hamper future deep cuts of strategic offensive armaments”. (Though as of 2018, po- litical winds on both sides have shifted away from disarmament and more toward armament.) There are many reasons why progress on nuclear disarmament has been so slow, and most of them have nothing to do with zero knowl- edge or any other piece of technology. But there are some technical hurdles as well. One of those hurdles is that for the U.S. and Russia to go beyond restricting the number of deployed weapons to significantly reducing the stockpiles , they need to find a way for one country to ver- ifiably prove that it has dismantled warheads. As mentioned in my work with Glaser and Goldston (see also this page), a key stumbling block is that the design of a nuclear warhead is of course highly clas-
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(^4) Integers can be coded as sets in various ways. For example, one can encode 0 as ∅ and if 𝑁 is the set encoding 𝑛, we can encode 𝑛 + 1 using the 𝑛 + 1- element set {𝑁} ∪ 𝑁.
13.2 DEFINING AND CONSTRUCTING ZERO KNOWLEDGE PROOFS
So, zero knowledge proofs are wonderful objects, but how do we get them? In fact, we haven’t answered the even more basic question of how do we define zero knowledge? We have to start by the most basic task of defining what we mean by a proof. A proof system can be thought of as an algorithm 𝑉 (for “verifier”) that takes as input a statement which is some string 𝑥 and another string 𝜋 known as the proof and outputs 1 if and only if 𝜋 is a valid proof that the statement 𝑥 is correct. For example:
All these proof systems have the property that the verifying algo- rithm 𝑉 is efficient. Indeed, that’s the whole point of a proof 𝜋- it’s a sequence of symbols that makes it easy to verify that the statement is true. To achieve the notion of zero knowledge proofs, Goldwasser and Micali had to consider a generalization of proofs from static sequences of symbols to interactive probabilistic protocols between a prover and a verifier. Let’s start with an informal example. The vast majority of humans have three types of cone cells in their eyes. The reason why we perceive the sky as blue (see also this), despite its color being quite a different spectrum than the blue of the rainbow, is that the projection of the sky’s color to our cones is closest to the projection of blue. It has been suggested that a tiny fraction of the human population might have four functioning cones (in fact, only women, as it would require two X chromosomes and a certain mutation). How would a person prove to another that she is a in fact such a tetrachromat?
Proof of tetrachromacy: Suppose that Alice is a tetrachromat and can dis- tinguish between the colors of two pieces of plastic that would be identical to a trichromat. She wants to
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prove to a trichromat Bob that the two pieces are not identical. She can do this as follows: Alice and Bob will repeat the following experi- ment 𝑛 times: Alice turns her back and Bob tosses a coin and with probability 1/2 leaves the pieces as they are, and with probability 1/2 switches the right piece with the left piece. Alice needs to guess whether Bob switched the pieces or not. If Alice is successful in all of the 𝑛 repetitions then Bob will have 1 − 2−𝑛^ confidence that the pieces are truly different.
A similar “proof” inspired the influential notion of hypothesis test- ing in statistics. Dr. Muriel Bristol said that she prefers the taste of tea when the milk is put first into the cup and tea later, rather than vice versa. The statistician Ronald Fisher did not believe her. William Roach (like Bristol, a chemist, and her future husband) proposed a probabilistic test, whereby eight cups would be poured for Bristol, each randomly chosen to either be “milk first” or “tea first”. Bristol correctly identified all 8 cups. Pondering about this experiment, and the level of confidence that it enabled to reject the “null hypothesis” that Bristol simply guessed randomly led to Fisher’s development of hypothesis testing and the now ubiquitous “𝑝 values”. We now consider a more “mathematical” example along simi- lar lines. Recall that if 𝑥 and 𝑚 are numbers then we say that 𝑥 is a quadratic residue modulo 𝑚 if there is some 𝑠 such that 𝑥 = 𝑠^2 (mod 𝑚). Let us define the function NQR (𝑚, 𝑥) to output 1 if and only if 𝑥 ≠ 𝑠^2 (mod 𝑚) for every 𝑠 ∈ {0, … , 𝑚 − 1}. There is a very simple way to prove statements of the form “ NQR (𝑚, 𝑥) = 0”: just give out 𝑠. However, here is an interactive proof system to prove statements of the form “ NQR (𝑚, 𝑥) = 1”:
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(^5) People have considered the notion of zero knowl- edge systems where soundness holds only with re- spect to efficient provers; these are known as argument systems.
soundness condition holds even if the prover uses a non efficient strategy.^5 We say that a proof system has an efficient prover if there is an NP-type proof system Π for 𝐿 (that is some efficient algorithm Π such that there exists 𝜋 with Π(𝑥, 𝜋) = 1 iff 𝑥 ∈ 𝐿 and such that Π(𝑥, 𝜋) = 1 implies that |𝜋| ≤ 𝑝𝑜𝑙𝑦(|𝑥|), such that the strategy for 𝑃 can be implemented efficiently given any static proof 𝜋 for 𝑥 in this system.
R Remark 13.3 — Notation for strategies. Up until now, we always considered cryptographic protocols where Alice and Bob trusted one another, but were worried about some adversary controlling the channel between them. Now we are in a somewhat more “suspicious” setting where the parties do not fully trust one an- other. In such protocols there is always a “prescribed” or honest strategy that a particular party should fol- low, but we generally don’t want the other parties’ security to rely on someone else’s good intention, and hence analyze also the case where a party uses an arbi- trary malicious strategy. We sometimes also consider the honest but curious case where the adversary is passive and only collects information, but does not deviate from the prescribed strategy. Protocols typically only guarantee security for party A when it behaves honestly - a party can always chose to violate its own security and there is not much we can (or should?) do about it.
13.3 DEFINING ZERO KNOWLEDGE
So far we merely defined the notion of an interactive proof system, but we need to define what it means for a proof to be zero knowledge. Before we attempt a definition, let us consider an example. Going back to the notion of quadratic residuosity, suppose that 𝑥 and 𝑚 are public and Alice knows 𝑠 such that 𝑥 = 𝑠^2 (mod 𝑚). She wants to convince Bob that this is the case. However she prefers not to reveal 𝑠. Can she convince Bob that such an 𝑠 exists without revealing any information about it? Here is a way to do so:
Protocol ZK-QR: Public input for Alice and Bob: 𝑥, 𝑚; Alice’s private input is 𝑠 such that 𝑥 = 𝑠^2 (mod 𝑚).
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If 𝑥 was not a quadratic residue then no matter how 𝑥′^ was chosen, either 𝑥′^ or 𝑥′𝑥−1^ is not a residue and hence Bob will reject the proof with probability at least 1/2. By repeating this 𝑛 times, we can reduce the probability of Bob accepting the proof of a non residue to 2 −𝑛. On the other hand, we claim that we didn’t really reveal anything about 𝑠. Indeed, if Bob chooses 𝑏 = 0, then the two messages (𝑥′, 𝑠𝑠′) he sees can be thought of as a random quadratic residue 𝑥′^ and its root. If Bob chooses 𝑏 = 1 then after dividing by 𝑥 (which he could have done by himself) he still gets a random residue 𝑥″^ and its root 𝑠′. In both cases, the distribution of these two messages is completely in- dependent of 𝑠, and hence intuitively yields no additional information about it beyond whatever Bob knew before. To define zero knowledge mathematically we follow the following intuition:
A proof system is zero knowledge if the verifier did not learn anything after the interaction that he could not have learned on his own.
Despite the name “zero knowledge”, we do not claim that the ver- ifier does not know anything about the private input 𝑥. For example, if 1𝑚 = 𝑝 ⋅ 𝑞 for two primes 𝑝, 𝑞, then each 𝑠 ∈ ℤ∗𝑚 has at most four square roots, and if the verifier could compute square roots then they can narrow 𝑥 down to these four possibilities. However, the point is that this is knowledge that the verifier already even before the interac- tion with the prover, and so participating in the proof resulted in zero additional knowledge. Here is how we formally define zero knowledge:
Definition 13.4 — Zero knowledge proofs. A proof system (𝑃 , 𝑉 ) for 𝑓 is zero knowledge if for every efficient verifier strategy 𝑉 ∗^ there exists an efficient probabilistic algorithm 𝑆∗^ (known as the simulator ) such that for every 𝑥 s.t. 𝑓(𝑥) = 1 , the following random variables are computationally indistinguishable:
That is, we can show the verifier does not gain anything from the interaction, because no matter what algorithm 𝑉 ∗^ he uses, whatever he learned as a result of interacting with the prover, he could have just
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Both 𝑉 1 and 𝑉 2 are efficiently computable. We now need to come up with an efficient simulator 𝑆∗^ that is a standalone algorithm that on input 𝑥, 𝑚 will output a distribution indistinguishable from the output 𝑉 ∗. The simulator 𝑆∗^ will work as follows:
The correctness of the simulator follows from the following claims (all of which assume that 𝑥 is actually a quadratic residue, since oth- erwise we don’t need to make any guarantees and in any case Alice’s behaviour is not well defined): Claim 1: The distribution of 𝑥′^ computed by 𝑆∗^ is identical to the distribution of 𝑥′^ chosen by Alice. Claim 2: With probability at least 1/2, 𝑏′^ = 𝑏. Claim 3: Conditioned on 𝑏 = 𝑏′^ and the value 𝑥′^ computed in step 2, the value 𝑠″^ computed by 𝑆∗^ is identical to the value that Alice sends when her first message is 𝑥′^ and Bob’s response is 𝑏. Together these three claims imply that in expectation 𝑆∗^ only in- vokes 𝑉 1 and 𝑉 2 a constant number of times (since every time it goes back to step 1 with probability at most 1/2). They also imply that the output of 𝑆∗^ is in fact identical to the output of 𝑉 ∗^ in a true interaction with Alice. Thus, we only need to prove the claims, which is actually quite easy: Proof of Claim 1: In both cases, 𝑥′^ is a random quadratic residue. QED (Claim 1) Proof of Claim 2: This is a corollary of Claim 1; since the distribu- tion of 𝑥′^ is identical to the distribution chosen by Alice, in particular 𝑥′^ gives out no information about the choice of 𝑏′. QED (Claim 2) Proof of Claim 3: This follows from a direct calculation. The value 𝑠″^ sent by Alice is a square root of 𝑥′^ if 𝑏 = 0 and of 𝑥′𝑥−1^ if 𝑥 = 1. But this is identical to what happens for 𝑆∗^ if 𝑏 = 𝑏′. QED (Claim 3) Together these complete the proof of the theorem. ■
Theorem 13.6 is interesting but not yet good enough to guarantee security in practice. After all, the protocol that we really need to show
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is zero knowledge is the one where we repeat this procedure 𝑛 times. This is a general theorem that if a protocol is zero knowledge then repeating it polynomially many times one after the other (so called “sequential repetition”) preserves zero knowledge. You can think of this as cryptography’s version of the equality “0 + 0 = 0”, but as usual, intuitive things are not always correct and so this theorem does re- quire (a not super trivial) proof. It is a good exercise to try to prove it on your own. There are known ways to achieve zero knowledge with negligible soundness error and a constant number of communication rounds, see Goldreich’s book (Vol 1, Sec 4.9).
13.4 ZERO KNOWLEDGE PROOF FOR HAMILTONICITY.
We now show a proof for another language. Suppose that Alice and Bob know an 𝑛-vertex graph 𝐺 and Alice knows a Hamiltonian cycle 𝐶 in this graph (i.e. a length 𝑛 simple cycle
Protocol ZK-Ham:
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We prove the output of the simulator is indistinguishable from the output of 𝑉 ∗^ in an actual interaction by the following claims: Claim 1: The message {𝑦𝑖,𝑗} computed by 𝑆∗^ is computationally indistinguishable from the first message computed by Alice. Claim 2: The probability that 𝑏 = 𝑏′^ is at least 1/3. Claim 3: The fourth message computed by 𝑆∗^ is computationally indistinguishable from the fourth message computed by Alice. We will simply sketch here the proofs (see Goldreich’s book for example for full proofs): For Claim 1, note that if 𝑏′^ = 0 then the message is identical to the way Alice computes it. If 𝑏′^ = 1 then the difference is that 𝑆∗^ computes some strings 𝑦𝑖,𝑗 of the form 𝐺(𝑥𝑖,𝑗) + 𝑧 where Alice would compute the corresponding strings as 𝐺(𝑥𝑖,𝑗) this is indistinguishable because 𝐺 is a pseudorandom generator (and the distribution 𝑈3𝑛 ⊕ 𝑧 is the same as 𝑈3𝑛). Claim 2 is a corollary of Claim 1. If 𝑉 ∗^ managed to pick a message 𝑏 such that Pr[𝑏 = 𝑏′] < 1/2 − 𝑛𝑒𝑔𝑙(𝑛) then in particular it could distinguish between the first message of Alice (that is computed inde- pendently of 𝑏′^ and hence contains no information about it) from the first message of 𝑉 ∗. For Claim 3, note that again if 𝑏 = 0 then the message is computed in a way identical to what Alice does. If 𝑏 = 1 then this message is also computed in a way identical to Alice, since it does not matter if instead of picking 𝐶′^ at random, we picked a random permutation 𝜋 and let 𝐶′^ be the image of the Hamiltonian cycle under this permutation. This completes the proof of the theorem. ■
13.4.1 Why is this interesting? The reason that a protocol for Hamiltonicity is more interesting than a protocol for quadratic residuosity is that Hamiltonicity is an NP- complete problem. Specifically recall the following:
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a. (Completeness of reduction.) For every 𝑥, 𝑦 such that 𝑉𝐹 (𝑥, 𝑦) = 1 , 𝑉𝐻𝐴𝑀 (𝑟(𝑥), 𝑟𝐸𝑛𝑐𝑜𝑑𝑒(𝑥, 𝑦)) = 1. In particular this means that for every 𝑥 such that 𝐹 (𝑥) = 1, HAM (𝑟(𝑥)) = 1. (Can you see why?) b. (Soundness of reduction.) For every 𝑥 ∈ {0, 1}∗, if there exists 𝐶 such that 𝑉𝐻𝐴𝑀 (𝑟(𝑥), 𝐶) = 1 then 𝑉𝐹 (𝑥, 𝑟𝐷𝑒𝑐𝑜𝑑𝑒(𝑥, 𝐶)) = 1. In particular this means that for every 𝑥 such that HAM (𝑟(𝑥)) = 1, 𝐹 (𝑥) = 1. (Can you see why?)
Using the reduction above, we can transform the zero-knowledge proof for Hamiltonicity into a zero knowledge proof for every 𝐹 ∈ NP. Specifically, to prove that 𝐹 (𝑥) = 1, the verifier and prover will use the following system (see also Fig. 13.1).
Figure 13.1 : Using a zero knowledge protocol for Hamiltonicity we can obtain a zero knowledge pro- tocol for any language 𝐿 in NP. For example, if the public input is a SAT formula 𝜑 and the Prover’s se- cret input is a satisfying assignment 𝑥 for 𝜑 then the verifier can run the reduction on 𝜑 to obtain a graph 𝐻 and the prover can run the same reduction to ob- tain from 𝑥 a Hamiltonian cycle 𝐶 in 𝐻. They can then run the ZK-Ham protocol to prove that indeed 𝐻 is Hamiltonian (and hence the original formula was satisfiable) without revealing any information the verifier could not have obtain on his own.
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13.5.1 “Bonus features” of zero knowledge The following properties of zero knowledge systems are used in the literature. We might cover some in class, but mention them here. These are covered in Chapter 20 of Boneh-Shoup.
Combining succinct zero-knowledge proofs with the Fiat-Shamir heuristic for non-interactivity leads to the notion of zero-knowledge succinct arguments or ZK-SNARG. If these also satisfy a “proof of knowledge” property then they are called ZK-SNARKs. These have recently been of great interest for crypto-currencies. See lectures 16- in Stanford CS 251, as well as this blog post.