blog/_posts/lecture-notes/modern-cryptography/2023-12-08-bootstrapping-ckks.md

---
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categories:
  - Lecture Notes
  - Modern Cryptography
path: _posts/lecture-notes/modern-cryptography
tags:
  - lecture-note
  - cryptography
  - security
title: 18. Bootstrapping & CKKS
date: 2023-12-08
github_title: 2023-12-08-bootstrapping-ckks
---

## Bootstrapping

Recall that BGV has a limit on the number of operations, so it cannot evaluate a circuit with a large depth. This was because of the growing noise, so we need a way to remove the noise.

An easy answer is decrypting the ciphertext and encrypting it again, but we want to do it without using the secret key.

**Bootstrapping** is a method to convert SHE into FHE.

### Key Idea

The main idea is to *homomorphically evaluate the decryption circuit over encrypted $\bf{s}$*.

Let $\bf{c}$ be an encryption of $m \in \braces{0, 1}$, at the lowest level $0$. (Cannot perform multiplications anymore) The decryption algorithm, with a secret $\bf{s}$ fixed, is a function of $\bf{c}$.

Change the perspective and view it as a function of $\bf{s}$.

$$
f(\bf{s}) = D(\bf{s}, \bf{c}) : \braces{0, 1}^n \ra \braces{0, 1}
$$

Then $f(\bf{s}) = m$.

Let $\bf{s}' \in \braces{0, 1}^n$ be a new secret key. Generate the **bootstrapping keys**

$$
BK = \braces{\bf{k} _ i} _ {i=1}^n, \qquad  \bf{k} _ i = E(\bf{s}', s _ i).
$$

Then by the homomorphic property of $f$,

$$
f(\bf{k _ 1}, \bf{k} _ 2, \dots, \bf{k} _ n) = f\big( E(\bf{s}', s _ 1), \dots, E(\bf{s}', s _ n) \big) = E\big( \bf{s}', f(s _ 1, \dots, s _ n) \big) = E(\bf{s}', m).
$$

#### Example with BGV

Technically, the expression $f(\bf{k _ 1}, \bf{k} _ 2, \dots, \bf{k} _ n)$ doesn't make sense, but it works. Consider a message $m$ encrypted with secret $\bf{s}$ in the BGV scheme.

$$
\bf{c} = (b, \bf{a}), \quad b = -\span{\bf{a}, \bf{s}} + m + 2e \pmod q.
$$

The decryption is $r = b + \span{\bf{a}, \bf{s}} \pmod q$, and then taking the least significant bit. Consider it as a function

$$
f(\bf{s}) = b + \span{\bf{a}, \bf{s}} = b + \sum _ {i=1}^n a _ is _ i.
$$

For a new key $\bf{s}' = (s _ 1', \dots, s _ n')$, generate bootstrapping keys $\bf{k} _ i = E(\bf{s}', s _ i)$ and plugging it in forcefully gives

$$
\begin{aligned}
f(\bf{k} _ 1, \dots, \bf{k} _ n) &= b + \sum _ {i=1}^n a _ i E(\bf{s}', s _ i) = b + \sum _ {i=1}^n E(\bf{s}', a _ is _ i) \\
&=b + E\paren{\bf{s}', \sum _ {i=1}^n a _ is _ i} = b + E\paren{\bf{s}', \span{\bf{a}, \bf{s}}}.
\end{aligned}
$$

Since an encryption of $\span{\bf{a}, \bf{s}}$ with $\bf{s}'$ is $-\span{\bf{a}', \bf{s}'} + \span{\bf{a}, \bf{s}} + 2e' \pmod q$, the above equation equals

$$
\begin{aligned}
b' &=b -\span{\bf{a}', \bf{s}'} + \span{\bf{a}, \bf{s}} + 2e' \\
&= -\span{\bf{a}', \bf{s}'} + m + 2(e + e') \pmod q.
\end{aligned}
$$

Indeed, decrypting $b'$ will give $m$. So we have $E(\bf{s}', m)$ from $f(\bf{k} _ 1, \dots, \bf{k} _ n)$.[^1]

### Bootstrapping Procedure

> Given an encryption $\bf{c}$ of $m$ at level $0$, perform the following procedure.
> 
> **Bootstrapping Key Generation**
> - Choose a new secret key $\bf{s}' \in \braces{0, 1}^n$.
> - Generate *bootstrapping key* $BK = \braces{\bf{k} _ i} _ {i=1}^n$ where $\bf{k} _ i = E(\bf{s}', s _ i)$.
> 
> **Bootstrapping**
> - Generate a circuit representation $f : \braces{0, 1}^n \ra \braces{0, 1}$ of the decryption function $D(\cdot, \bf{c})$.
> - Compute and output $\bf{c}' = f(\bf{k} _ 1, \dots, \bf{k} _ n)$.

The bootstrapping procedure returns an encryption of $m$ under $\bf{s}'$, as shown above. The key idea here is that $\bf{k} _ i$ are *fresh* ciphertexts at level $L$. Even though a few levels are consumed during the evaluation of $f$, the resulting ciphertext $\bf{c}'$ is not at level $0$ anymore, allowing us to do more computation.

> Suppose that the homomorphic evaluation of $f$ requires depth $d$, consuming $d$ levels. Then we say that the BGV scheme is **bootstrappable** if $d < L$. The output ciphertext $\bf{c}'$ will have level $l = L - d > 0$, which we call **remaining level**.

Thus, we need to set $L$ large enough in the BGV scheme so that it is bootstrappable. But larger $L$ results in larger $q$, reducing the security of the scheme. This is another reason we must use **modulus switching**. Without it, we wouldn't have been able to set $L$ large enough for bootstrapping.

### Fully Homomorphic Encryption

Thus, if BGV is bootstrappable, then we can apply bootstrapping on the ciphertext whenever its level reaches $0$. Now we can evaluate *any* circuit of finite depth.

There is a slight catch here. For every bootstrapping procedure, we need a bootstrapping key. This must be generated by the owner of the original secret. As a result, lots of secret keys are required to homomorphically evaluate a circuit.

$$
\bf{s} \ra \bf{s}' \ra \bf{s}'' \ra \cdots
$$

Currently, we set $\bf{s}' = \bf{s}$ and make the chain **circular**, so the bootstrapping keys are $E(\bf{s}, s _ i)$. $\bf{s}$ is being encrypted by itself. We wonder if this is secure, but there is no known proof for this. This is used as an assumption called the **circular security assumption**.

Designing an FHE scheme without the circular security assumption is currently an open problem.

## CKKS Scheme

The [BGV scheme](../2023-11-23-bgv-scheme/#the-bgv-scheme) operates on $\Z _ p$, so it doesn't work on real numbers. **Cheon-Kim-Kim-Song** (CKKS) scheme works on real numbers using approximate computation.

### Approximate Computation

Computers use floating point representations for real numbers.

$$
2.9979 \times 10^8
$$

Here, $2.9979$ is the **significand**, $10$ is the base and $8$ is the exponent. We also call $10^8$ the **scaling factor**.

Floating point operations involve **rounding**, but rounding is not easy in homomorphic encryption. Using the BGV scheme on $\Z _ p$, there are $2$ methods to do this.

- Bit-wise Encryption
	- $32$-bit integer results in $32$ ciphertexts.
	- Binary multiplier circuits can be used for multiplication.
	- Rounding is easy if done this way.
	- But this is *extremely* inefficient. Huge number of gates are required, consumes a lot of levels.
- Integer Encryption
	- To encrypt the significant, use a modulus large enough, such as $p > 2^{32}$.
	- For multiplication, use $p > 2^{64}$.
	- But rounding is hard in $\Z _ p$.

So our wish is to design an HE scheme that natively supports rounding operation!

### CKKS Description

In the LWE problem, error was added for security. This can be exploited, since computing floating points allows some rounding errors.

> Let $n, q, \sigma$ be parameters for LWE and set a scaling factor $\Delta > 0$.
> 
> **Key Generation**
> - A secret key is chosen as $\bf{s} = (s _ 1, \dots, s _ n) \in \braces{0, 1}^n$, with its linearization gadget.
> 
> **Encryption**: message $m \in \R$.
> - Randomly sample $\bf{a} = (a _ 1, \dots, a _ n) \la \Z _ q^n$ and $e \la D _ \sigma$.
> - Compute $b = -\span{\bf{a}, \bf{s}} + \round{\Delta \cdot m} + e \pmod q$.
> - Output ciphertext $\bf{c} = (b, \bf{a}) \in \Z _ q^{n+1}$.
> 
> **Decryption**
> - Compute $\mu = b + \span{\bf{a}, \bf{s}} \pmod q$.
> - Output $m' = \Delta\inv \cdot \mu \in \R$.

Note that the decrypted output is $m'$, which is **not equal to $m$**. We have

$$
\mu = \round{\Delta \cdot m} + e
$$

if $\mu$ is small. (ex. $\abs{\mu} < q/2$) But $m' = \Delta\inv \cdot \mu \neq m$. The traditional *correctness* does not apply here, since $D(\bf{s}, \bf{c}) \neq m$.

Instead, CKKS is an **approximate encryption**. The exact $m$ is not recovered, but we get an approximation $m'$ with bounded error,

$$
\abs{m - m'} \leq \frac{1}{\Delta} (0.5 + \abs{e}).
$$

This is okay, since small numerical errors are allowed in floating-point operations. Also, it can be seen from this inequality that $\Delta$ is sort of a *precision*.

Also, CKKS is secure under the LWE assumption.

## Operations on Ciphertexts in CKKS

The overall process is similar to that of BGV, with some additional changes.

Remember that if $\bf{c} = (b, \bf{a})$ is an encryption of $m \in \R$, then

$$
\mu = b + \span{\bf{a}, \bf{s}} \pmod q, \quad \mu \approx \Delta \cdot m.
$$

### Addition in CKKS

> Let $\bf{c} = (b, \bf{a})$ and $\bf{c}' = (b', \bf{a}')$ be encryptions of $m, m' \in \R$. Then, $\bf{c} _ \rm{add} = \bf{c} + \bf{c}'$ is an encryption of $m + m'$.

*Proof*. Decrypt $\bf{c} _ \rm{add} = (b + b', \bf{a} + \bf{a}')$.

$$
\mu _ \rm{add} = \mu + \mu' = (b + b') + \span{\bf{a} + \bf{a}', \bf{s}} \pmod q.
$$

If $\abs{\mu + \mu'} < q/2$, then

$$
\mu _ \rm{add} = \mu + \mu' = \Delta \cdot (m + m'),
$$

so the decryption results in $\Delta\inv \cdot (\mu + \mu') \approx m + m'$.

### Multiplication in CKKS

We also use [tensor products](../2023-11-23-bgv-scheme/#tensor-product), and their properties.

> Let $\bf{c} = (b, \bf{a})$ and $\bf{c}' = (b', \bf{a}')$ be encryptions of $m, m' \in \R$. Then,
> 
> $$
> \bf{c} _ \rm{mul} = \bf{c} \otimes \bf{c}' = (bb', b\bf{a}' + b' \bf{a}, \bf{a} \otimes \bf{a}')
> $$
> 
> is an encryption of $mm'$ with $(1, \bf{s}, \bf{s} \otimes \bf{s})$.

*Proof*. It can be checked that

$$
\begin{aligned}
\mu _ \rm{mul} &= \mu\mu' = (b + \span{\bf{a}, \bf{s}})(b' + \span{\bf{a}', \bf{s}}) \\
&= bb' + \span{b\bf{a}' + b' \bf{a}, \bf{s}} + \span{\bf{a} \otimes \bf{a}', \bf{s} \otimes \bf{s}'} \pmod q
\end{aligned}
$$

if $\abs{\mu\mu'} < q/2$. Then

$$
\mu _ \rm{mul} = \mu\mu' \approx (\Delta \cdot m) \cdot (\Delta \cdot m') = \Delta^2 \cdot mm'.
$$

So $mm' \approx \Delta^{-2} \cdot \mu _ \rm{mul}$.

We have issues with multiplication, as we did in BGV.

- The dimension of the ciphertext has increased to $n^2$.
- The scaling factor has increased to $\Delta^2$.
	- A larger scaling factor means more significant digits to calculate.

### Dimension Reduction

The relinearization procedure is almost the same as in [BGV relinearization](../2023-11-23-bgv-scheme/#relinearization).

For convenience, let $a _ {i, j} = a _ i a _ j'$.

> **Relinearization Keys**: for $1 \leq i, j \leq n$ and $0 \leq k < \ceil{\log q}$, perform the following.
> - Sample $\bf{u} _ {i, j, k} \la \Z _ q^{n}$ and $e _ {i, j, k} \la D _ \sigma$.
> - Compute $v _ {i, j, k} = -\span{\bf{u} _ {i, j, k}, \bf{s}} + 2^k \cdot s _ i s _ j + e _ {i, j, k} \pmod q$.
> - Output $\bf{w} _ {i, j, k} = (v _ {i, j, k}, \bf{u} _ {i, j, k})$.
> 
> **Linearization**: given $\bf{c} _ \rm{mul} = (bb', b\bf{a}' + b' \bf{a}, \bf{a} \otimes \bf{a}')$, $\bf{w} _ {i, j, k}$ for $1 \leq i, j \leq n$ and $0 \leq k < \ceil{\log q}$, output the following.
> 
> $$
> \bf{c} _ \rm{mul}^\ast = (b _ \rm{mul}^\ast, \bf{a} _ \rm{mul}^\ast) = (bb', b\bf{a}' + b'\bf{a}) + \sum _ {i=1}^n \sum _ {j=1}^n \sum _ {k=0}^{\ceil{\log q}} a _ {i, j}[k] \bf{w} _ {i, j, k} \pmod q.
> $$

Correctness can be checked. The bounds for summations are omitted for brevity. They range from $1 \leq i, j \leq n$ and $0 \leq k < \ceil{\log q}$.

$$
\begin{aligned}
b _ \rm{mul}^\ast + \span{\bf{a} _ \rm{mul}^\ast, \bf{s}} &= bb' + \sum _ {i, j, k} a _ {i, j}[k] \cdot v _ {i, j, k} + \span{b\bf{a}' + b'\bf{a}, \bf{s}} + \sum _ {i, j, k} a _ {i, j}[k] \cdot \span{\bf{u} _ {i, j, k}, \bf{s}} \\
&= bb' + \span{b\bf{a}' + b'\bf{a}, \bf{s}} + \sum _ {i, j, k} a _ {i, j}[k] \cdot \paren{v _ {i, j, k} + \span{\bf{u} _ {i, j, k}, \bf{s}}} \\
&= bb' + \span{b\bf{a}' + b'\bf{a}, \bf{s}} + \sum _ {i, j, k} a _ {i, j}[k] \paren{2^k \cdot s _ is _ j + e _ {i, j, k}} \\
&= bb' + \span{b\bf{a}' + b'\bf{a}, \bf{s}} + \sum _ {i, j} a _ {i, j}s _ i s _ j + \sum _ {i, j, k} a _ {i, j}[k] \cdot e _ {i, j, k} \\
&= bb' + \span{b\bf{a}' + b'\bf{a}, \bf{s}} + \span{\bf{a} \otimes \bf{a}', \bf{s} \otimes \bf{s}} + e\conj \\
&= \mu _ \rm{mul} + e\conj\pmod q.
\end{aligned}
$$

Since

$$
e\conj = \sum _ {i, j, k} a _ {i, j}[k] \cdot e _ {i, j, k} \ll q,
$$

we have

$$
\mu _ \rm{mul}^\ast = \mu _ \rm{mul} + e\conj \approx \mu\mu' \approx \Delta^2 \cdot mm'.
$$

Note that the proof is identical to that of BGV linearization, except for missing constant factor $2$ in the error.

### Scaling Factor Reduction

In BGV, we used modulus switching for [noise reduction](../2023-11-23-bgv-scheme/#noise-reduction). It was for reducing the error and preserving the message. We also use modulus switching here, but for a different purpose. The message can have small numerical errors, we just want to reduce the scaling factor. This operation is called **rescaling**.

Given $\bf{c} = (b, \bf{a}) \in \Z _ q^{n+1}$ such that $b + \span{\bf{a}, \bf{s}} = \mu \pmod q$ and $\mu \approx \Delta^2 \cdot m$, we want to generate a new ciphertext of $m' \approx m$ that has a scaling factor reduced to $\Delta$. This can be done by dividing the ciphertext by $\Delta$ and then rounding it appropriately.

> **Modulus Switching**: let $\bf{c} = (b, \bf{a}) \in \Z _ q^{n+1}$ be given.
> 
> - Let $q' = \Delta \inv \cdot q$.[^2]
> - Output $\bf{c}' = \round{\Delta\inv \cdot \bf{c}} \in \Z _ {q'}^{n+1}$.

Note that the modulus has been switched to $q'$. Constant multiplication and rounding is done component-wise on $\bf{c}$.

We check that $\bf{c}'$ has scaling factor $\Delta$. We know that $\mu' = b' + \span{\bf{a}', \bf{s}} \pmod{q'}$.

Let $k \in \Z$ such that $b + \span{\bf{a}, \bf{s}} = \mu + kq$. By the choice of $b'$ and $\bf{a}'$, we have

$$
b' = \Delta\inv \cdot b + \epsilon _ 0, \quad a _ i' = \Delta\inv \cdot a _ i + \epsilon _ i
$$

for some $\epsilon _ i$ such that $\abs{\epsilon _ i} \leq 0.5$. So we have

$$
\begin{aligned}
\mu' &= \Delta\inv \cdot \paren{b + \sum _ {i=1}^n a _ i s _ i} + \epsilon _ 0 + \sum _ {i=1}^n \epsilon _ i s _ i \\
&= \Delta\inv \cdot (\mu + kq) + \epsilon \approx \Delta \inv \cdot (\Delta^2 \cdot m) + kq' = \Delta \cdot m \pmod{q'},
\end{aligned}
$$

since $\epsilon = \epsilon _ 0 + \sum _ {i=1}^n \epsilon _ i s _ i$ is small.

### Modulus Chain

Using modulus switching, we can set $q _ L = \Delta^{L+1}$ where $L$ is the maximal level for multiplication. After each multiplication, the modulus is switched to $q _ {k-1} = q _ k / \Delta$.

Multiplication increases the scaling factor to $\Delta^2$, and then rescaling operation reduces the scaling factor back to $\Delta$.

So we have a modulus chain,

$$
\Delta^{L+1} \ra \Delta^L \ra \cdots \ra \Delta.
$$

When we reach $q _ 0 = \Delta$, we cannot perform any multiplications, so we apply [bootstrapping](../2023-12-08-bootstrapping-ckks/#bootstrapping) here.

### Multiplication in CKKS (Summary)

- Set up a modulus chain $q _ k = \Delta^{k+1}$ for $k = 0, \dots, L$.
- Given two ciphertexts $\bf{c} = (b, \bf{a}) \in \Z _ {q _ k}^{n+1}$ and $\bf{c}' = (b', \bf{a}') \in \Z _ {q _ k}^{n+1}$ with modulus $q _ k$ and **scaling factor** $\Delta$.

- (**Tensor Product**) $\bf{c} _ \rm{mul} = \bf{c} \otimes \bf{c}' \pmod{q _ k}$.
	- Now we have $n^2$ dimensions and scaling factor $\Delta^2$.
- (**Relinearization**)
	- Back to $n$ dimensions and scaling factor $\Delta^2$.
- (**Modulus Switching**; **Rescaling**)
	- Modulus is switched to $q _ {k-1}$ and scaling factor is back to $\Delta$.

[^1]: The noise hasn't gone away since we didn't *fully evaluate* the decryption circuit, which takes the remainders from dividing by $q$ and $2$.
[^2]: No rounding...?