A summary on the FRI low degree test

Ulrich Haböck

2022 · eprint 2022/1216

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Converted with: marker · 2026-02-16

Ulrich Hab¨ock

December 17, 2024†

Abstract

This document is an informal summary on the FRI low degree test [\[BBHR18a\]](#page-20-0), \[BCI+20], and DEEP algebraic linking from [\[BGKS20\]](#page-21-0). Based on its most recent soundness analysis \[BCI+20], we discuss parameter settings for practical security levels, how FRI is turned into a polynomial commitment scheme, and the soundness of DEEP sampling in the list decoding regime. In particular, we illustrate the DEEP method applied to proving satisfiability of algebraic intermediate representations and prove a soundness error bound which slightly improves the one in [\[Sta23\]](#page-21-1).

1 Introduction
1.1 Notation
3
2 Correlated agreement
3
3 FRI proof of proximity
5
3.1 Reduction
5
3.2 Sampling phase
6
3.3 Batching
7
3.4 Soundness
7
3.5 Example parameters

8

| | | 3.5.1
66 bits of security

9 | | | | | |

| | | 3.5.2
112 bits security

9 | | | | | |

| | | 3.5.3
128 bits security

10 | | | | | |

3.6 Conjectured security

10

This work was supported during my employment at Horizenlabs, Inc., and Orbis Labs.

This updated version of the summary corrects Section 3.7 on adding zero-knowledge.

4 \mathbf{FR} I as a polynomial commitment scheme 11
4.1 In the unique decoding regime 11
4.1.1 A first construction 11
4.1.2 The refined scheme 12
4.1.3 Multi-point queries 13
4.2 List commitments
5 DE EP-ALI 14
5.1 Algebraic linking and the DEEP method 14
5.2 DEEP-ALI of an AIR

| | | 5.2.1 Extractability | | | | | |

5.3 Boosting soundness

| | | 5.3.1 Using extension fields | | | | | |

| | | 5.3.2 Increasing the number of protocol challenges | | | | | |

5.4 Beyond the Johnson bound?
A.1 Berlekamp-Welch decoder 23

| | | List decoding | | | | | |

| | | A.2.1 The Sudan decoder | | | | | |

| | | A.2.2 The Guruswami-Sudan decoder | | | | | |

A.3 Weighted correlated agreement

FRI, in full length Fast Reed-Solomon Code Interactive Oracle Proof of Proximity, is a low-degree test for functions on an FFT domain, i.e. a smooth multiplicative subgroup D of a finite field F. Given a function

f:D\longrightarrow F

FRI proves that f corresponds to a polynomial of low degree with respect to the size of D.

The oracles provided by the FRI prover are again functions on D, or a subdomain of it, and the verifier queries the values at points from their domain only. Due to the small size of D (compared to the cryptographically large sampling spaces of polynomial IOPs) the key tool for distinguishing one polynomial from another is statistical sampling. However, a statistical test can only assure proximity, which we measure by the fractional Hamming distance

$$\delta(f,g) = \frac{1}{ D } \cdot \big \left\{ x \in D : f(x) \neq g(x) \right\} \big .$$

In FRI the prover convinces the verifier that a given function f: D \longrightarrow F is \theta -close (and not necessarily equal) to a low-degree polynomial, i.e.

\delta(f, p) \le \theta,
for some polynomial p(X) of specified maximum degree. In words, f agrees with p(X) on a set A \subseteq D of density $\frac{ A }{ D } \ge 1 - \theta$ . In applications the agreement set is chosen large enough to infer global properties on the low degree polynomial. It is exactly this inference principle which makes FRI applicable to proving algebraic relations between a set of low-degree polynomials, might it be circuit satisfiability or the evaluation identities for building a polynomial commitment scheme.

We stress that fact that this summary does not present any novelties. Instead it is an outcome of my learnings when reading the papers \[BCI+20], [\[BGKS20\]](#page-21-0), [\[BBHR18a\]](#page-20-0), [\[KPV19\]](#page-21-2) and [\[Sta23\]](#page-21-1). The document provides an overview of FRI and its soundness analysis, including some background on decoding Reed-Solomon codes. It discusses the DEEP method and how it is related to polynomial commitment schemes and we sketch the more general notion of list polynomial commitment schemes [\[KPV19\]](#page-21-2). Finally we illustrate how soundness error bounds are proven for the DEEP method in the list decoding regime. In the course the latter we clarify two points of [\[Sta23\]](#page-21-1), which are the usage of degree correction factors (these are not needed for the DEEP method), and the quadratic occurence of the decoder list size bound in their soundness error formula, which can be replaced by a linear term.

We assume that the reader knows (public-coin) interactive oracle proofs and their security notions [\[BCS16\]](#page-20-2), such as soundness, proof of knowledge, and statistical (i.e. perfect) honest verifier zero-knowledge. Any IOP with these security properties can be compiled into a succinct non-interact-ive argument of knowledge in the random oracle model [\[BCS16\]](#page-20-2): The prover oracle messages are committed by Merkle roots using the random oracle, and the verifier coins are the answers of the random oracle given the prover messages as its input.

1.1 Notation

Throughout the document we assume that the size of the sampling domain D and the number of coefficients k are both powers of two, and that the multiplicative subgroup F of the finite field F is smooth enough to contain a subgroup of order k and D . The absolute Hamming distance between two function f, gF D is
$$\Delta(f,g) = \big \left\{ x \in D : f(x) \neq g(x) \right\} \big ,$$

and we shall write

$$\delta(f,g) = \frac{1}{ D } \cdot \Delta(f,g)$$

for its fractional variant. Given any subset VF D, we denote by

\Delta(f,V) = \min_{v \in V} \Delta(f,v)

the minimal distance of fF D to V , and likewise we define the minimal fractional Hamming distance. We denote by

$$\mathsf{RS}_k[F,D] = \big\{ \; p(x) _{x \in D} : p(X) \in F[X], \deg p(X) \le k-1 \big\}$$
the Reed-Solomon code of rate ρ = k n over the domain of definition DF ∗ . (Here, p(x) xD denotes the domain evaluation, i.e. the functional restriction of p(x) to D.) Whenever we say that a polynomial p(X) belongs to RSk[F, D], we mean that its domain evaluation p(x) xD is a code word.

In the context of oracle proofs, we denote oracles for functions fF D by f , and occasionally call them domain evaluation oracles to distinguish from the oracle notion of univariate polynomial IOPs [\[BFS20\]](#page-21-3), which models an ideal polynomial commitment scheme. In order to a closer alignment with the compiled protocol in the random oracle model, we prefer to say that a party P (the prover) "sends" [f] to another party V (the verifier), meaning that P sets up the oracle for f and V obtains oracle access for it.

As in polynomial IOPs, building random linear combinations is the core reduction argument in FRI . While the soundness of it is easily proven in the polynomial model, this is not the case for domain evaluations. Even in the most elementary case, proving that if with noticeable probability a random linear combination of two given functions f_0 , f_1 is \theta -close to a Reed-Solomon codeword, i.e.

\delta(f_0 + \lambda \cdot f_1, \mathsf{RS}_k[F, D]) \le \theta,

then a similar proximity would hold for f_0 and f_1 , is non-trivial, in particular when targeting only a small increase in the distance bound \theta . The most advanced result is the correlated agreement theorem (or proximity gap theorem) of Ben-Sasson, et al. [BCI+20]. We state it for the case of algebraic curves, which is typically favored in the context of proof composition.

Theorem 1. (Correlated agreement theorem, full version of [BCI+20], Theorem 6.1 and 6.2) Let \mathsf{RS}_k = \mathsf{RS}_k[F,D] be the Reed-Solomon code over a a finite field F with defining set D \subseteq F and rate $\rho = \frac{k}{ D } . Given a proximity parameter \theta \in (0, 1 - \sqrt{\rho}) and words f_0, f_1, ..., f_{N-1} \in F^D$ for which
$$\frac{\left \left\{\lambda \in F: \delta\big(f_0 + \lambda \cdot f_1 + \ldots + \lambda^{N-1} \cdot f_{N-1}, \mathsf{RS}_k\,\big) \leq \theta\right\}\right }{ F } > \varepsilon,$$
where \varepsilon is as in (1) and (2) below. Then there exist polynomials p_0(X) , p_1(X) ,..., p_{N-1}(X) belonging to \mathsf{RS}_k , and a set A \subseteq D of density $\frac{ A }{ D } \ge 1 - \theta on which f_0, \ldots, f_{N-1} jointly coincide with p_0, \ldots, p_{N-1}$ , respectively. In particular,
\delta(f_0 + \lambda \cdot f_1 + \ldots + \lambda^{N-1} \cdot f_{N-1}, \mathsf{RS}_k) \leq \theta

for every \lambda \in F .

The proof of the correlated agreement theorem, including concrete values for the soundness error bound \varepsilon , is an algebraic analysis of the Berlekamp-Welch or the Guruswami-Sudan list decoder over the rational function field K = F(Z). It uses the Polichuk-Spielmann lemma to "glue together" the outputs of the decoder for f_0 + \lambda \cdot f_1 + \ldots + \lambda^{N-1} \cdot f_{N-1} over the "small" field F by means of the decoder result for the word

f_0 + Z \cdot f_1 + \ldots + Z^{N-1} \cdot f_{N-1} \in K^D

over the infinite field K: If for a noticeable fraction of \lambda 's the distance to the Reed-Solomon code is \leq \theta , then the same holds over F(Z).

Depending on the decoding regime the following values for \varepsilon are obtained by [BCI+20]:

  1. Unique decoding regime. For \theta \in \left(0, \frac{1-\rho}{2}\right] , Theorem 1 holds with

$$\varepsilon = (N-1) \cdot \frac{ D }{ F }.\tag{1}$$
  1. List decoding regime. For \theta \in \left(\frac{1-\rho}{2}, 1-\sqrt{\rho}\right) and setting \theta = 1-\sqrt{\rho} \cdot \left(1+\frac{1}{2m}\right) , with m \geq 3 , Theorem 1 holds with

$$\varepsilon = (N-1) \cdot \frac{\left(m + \frac{1}{2}\right)^7}{3 \cdot \rho^{\frac{3}{2}}} \cdot \frac{ D ^2}{ F }.$$

(2)

For linear varieties of the form f_0 + \lambda_1 \cdot f_1 + \ldots + \lambda_{N-1} \cdot f_{N-1} a similar result holds, with the (N-1)-term in (1) and (2) replaced by 1. See the full version of [BCI+20], Theorem 4.1 and 5.1.

Note that in contrast to the unique decoding regime, the sampling domain size D occurs quadratically in the error bound, and therefore the field needs to be significantly larger to obtain the same magnitude of soundness as in the unique decoding regime. This quadratic occurrence is inherently connected with the Guruswami-Sudan-Johnson list size bound. It is conjectured by [BGKS20] that Reed-Solomon codes over prime fields F are more "nicely" list decodable, even up to capacity bound 1 - \rho , and that the sampling domain size occurs only linearly in the error bound. We will discuss this conjecture in Section 5.4.
Given a function fF D and its domain evaluation oracle [f(x) xD], FRI is an interactive oracle proof for f being close to a word from RSk[F, D],
\delta(f, \mathsf{RS}_k[F, D]) \le \theta,

given a proximity parameter θ of at most the Johnson list decoding bound. As most interactive oracle proofs, the FRI protocol is comprised of a commit phase and a query phase. The commit phase consists of one or several rounds, in which the prover sends domain evaluation oracles to the verifier, who then responds with a random challenge. That phase of FRI performs a random reduction similar to the one of an inner product argument \[BCC+16], at least halving the instance size with each step by a linear folding procedure. In the concluding query phase, the verifier asks for openings of the oracles at random points from their domain of definition. These openings are then used to check consistency of each reduction step of the commit phase.

The commit phase of FRI starts with the instance to proven, i.e. the polynomial p0(X) = p(X) and its domain evaluation over D0 = D. This instance is stepwised reduced by means of a random folding procedure, yielding a sequence of polynomials

p_0(X), p_1(X), \dots, p_r(X) \in F[X]

as words over the domains

D_0 \supseteq D_1 \supseteq \ldots \supseteq D_r

respectively, wheras their degree bounds ki , deg pi(X) < ki , decrease with the same ratio as the domains. The quotients

$$a_i = \frac{k_{i-1}}{k_i} = \frac{ D_{i-1} }{ D_i }$$
are the reduction factors, and we throughout assume that ai ≥ 2. (By our assumptions on D and k the ai are again powers of two.) The number of rounds r ≥ 1, their reduction factors a1, . . . , ar and therefore the decreasing sequence of domains D0, . . . , Dr, are parameters of FRI.
Protocol 1 (FRI commit phase). Given the domain evaluation [p0(x) xD0 ] for the polynomial p0(X) ∈ F[X], deg p0(X) < k0, the commit phase consists of the following r rounds.

In each round i, 1 ≤ ir, the prover decomposes the previous polynomial pi−1(X) of deg pi−1(X) < ki−1, according to

p_{i-1}(X) = F_0(X^{a_i}) + X \cdot F_1(X^{a_i}) + \dots + X^{a_{i-1}} \cdot F_{a_i-1}(X^{a_i}), \tag{3}

where each

\deg F_i(Y) < \frac{k_{i-1}}{a_i} = k_i.

(For ai = 2 this is the decomposition into odd and even parts.) The verifier samples a random challenge λi ←\$ F, sends it to the prover, which in turn responds with the linear combination

p_i(Y) = F_0(Y) + \lambda_i \cdot F_1(Y) + \ldots + \lambda_i^{a_{i-1}} \cdot F_{a_i-1}(Y)
as a word on the reduced domain Di = D ai i1 = {x ai : xDi−1}. That is, it sends [pi(y) yDi ] to the verifier. In the last step however, i = r, the polynomial pr(X) ∈ F[X] is revealed in full length instead.

Let us elaborate on the decomposition (3) in terms of the reduction map

\pi_i: D_{i-1} \longrightarrow D_i, \quad x \mapsto x^{a_i}.

Notice that for each y in D_i , y = x^{a_i} , the values of F_0(y), \ldots, F_{a_i-1}(y) are uniquely determined by the values of

F_0(y) + F_1(y) \cdot X + \dots + F_{a_i-1}(y) \cdot X^{a_i-1}

on the coset \pi_i^{-1}(y) = x \cdot \ker(\pi_i) , and these values are exactly the ones given by p_{i-1}(X) . Hence if \tau is a generator of \ker(\pi_i) = \{1, \tau, \dots, \tau^{a_i-1}\} , then

p_{i}(\pi_{i}(x)) = L_{0}\left(p_{i-1}\left(\tau^{0} \cdot x\right), \dots, p_{i-1}\left(\tau^{a_{i}-1} \cdot x\right)\right) + \lambda_{i} \cdot L_{1}\left(p_{i-1}\left(\tau^{0} \cdot x\right), \dots, p_{i-1}\left(\tau^{a_{i}-1} \cdot x\right)\right) + \dots + \lambda_{i}^{a_{i}-1} \cdot L_{a_{i}-1}\left(p_{i-1}\left(\tau^{0} \cdot x\right), \dots, p_{i-1}\left(\tau^{a_{i}-1} \cdot x\right)\right)

where (L_0, ..., L_{a_i-1}) is the Lagrange interpolation map for the coset x \cdot ker(\pi_i) . In other words,

p_i(\pi_i(x)) = \mathsf{FFT}_{\lambda_i/x} \left( p_{i-1} \left( \tau^0 \cdot x \right), \dots, p_{i-1} \left( \tau^{a_i-1} \cdot x \right) \right), \tag{4}

that is the Fourier transform of the vector (p_{i-1}(\tau^0 \cdot x), \dots, p_{i-1}(\tau^{a_i-1} \cdot x)) , evaluated at \frac{\lambda_i}{x} . This equation will be used to check consistency between the provided oracles.

In some situations it is more efficient to compute the values of p_i(y) over D_i directly from the ones of p_{i-1}(x) , x \in D_{i-1} , using (4). In terms of field additions A, multiplications M, and FFT operations \mathsf{FFT}(a_i) of size a_i , this can be done1 in

$$ D_i \cdot ((a_i + 1 + \frac{a_i}{2} \cdot \log a_i) \mathsf{M} + (a_i - 1 + a_i \cdot \log a_i) \mathsf{A}) \approx D_i \cdot (a_i + 1 + \frac{a_i}{2} \cdot \log a_i) \mathsf{M},$$

compared to

$$a_i \cdot k_i \; (\mathsf{M} + \mathsf{A}) + \mathsf{FFT}( D_i ) \approx D_i \cdot (a_i + \log_2 D_i ) \; \mathsf{M}$$

when computing the domain evaluation of the random linear combination p_i(X) . Hence using equation (4) is more efficient whenever

$$1 + \frac{a_i}{2} \cdot \log_2(a_i) < \log_2 D_i , \tag{5}$$
which holds for most reduction steps when a_i = 2 . For a_i = 2^2 and a_i = 2^3 we already obtain $ D_i > 2^5 and D_i > 2^{13}$ , respectively. However, it should be noticed that these counts do not take into account that equation (4) is better parallelizable than the FFT approach.

3.2 Sampling phase

In the query phase the verifier samples at random points from the defining domains of the oracles, and use the returned values to check the consistency of all reduction steps.

Protocol 2 (FRI query phase). The query phase consists of s \ge 1 many rounds.

&lt;sup>1Using batch inversion to compute \frac{\lambda_i}{x} over D_i costs $2 \cdot D_i M , computing the fiber FFT's costs D_i \cdot \frac{a_i}{2} \cdot \log(a_i) \cdot (M + A) , and evaluating them another D_i \cdot (a_i - 1) \cdot (M + A)$ .

In each round the verifier samples an x0D0 uniformly at random, computes x1, . . . , xr recursively via xi = πi(xi−1), and checks if

p_i(x_i) = \mathsf{FFT}_{\lambda_i/x_i} \, \big( p_{i-1}(x_{i-1}), p_{i-1}(\tau \cdot x_{i-1}), \dots, p_{i-1}(\tau^{a_{i-1}} \cdot x_{i-1}) \big),

for every i = 1, . . . , r, by querying the values of each pi1 over the coset xi1 · ker πi.

Notice that unlike in \[BCI+20] we choose x0 uniformly from D0, and form the xi by projecting xi1 onto Di . In distribution, this way of sampling is equivalent to the one in the paper, which starts with xr ←\$ Dr, and then samples xi1 uniformly from the coset π −1 i (xi).

3.3 Batching

As for linear polynomial commitment schemes, batching is done via random linear combinations. We will only discuss the algebraic variant, which uses powers of a single random challenge. (Again, this is the one favored in the context of proof composition.)

Given a batch of L low-degree polynomials q0(X), . . . , qL−1(X), the verifier samples a random challenge λ ←\$ F. The prover computes the linear combination

h(X) = \sum_{i=0}^{L-1} \lambda^i \cdot q_i(X), \tag{6}

sends the oracle of it,

$$[h(x) _{x\in D}],$$

to the verifier. Then both prover and verifier continue with FRI for h. Each x0 ←\$ D0 = D from the query phase of FRI is used to additionally check consistency between the oracle for h(X) and the ones in the batch, q0(X), . . . , qL−1(X), using \(6\).

3.4 Soundness

The soundness analysis of FRI is based on a strengthening of the correlated agreement theorem, which allows to additionally keep track of the success probability for the FRI query phase by a sub-probability measure µ. We state that weighted correlated agreement theorem in Appendix A.3. For proximity parameters close to the Johnson bound, the soundness error of the batched FRI oracle proof is as follows2 :

Theorem 2 (Batched FRI soundness error, full version of \[BCI+20], Theorem 8.3). Suppose that qiF D, i = 0, . . . , L − 1, is a batch of functions given by their domain evaluation oracles. If an adversary passes batched FRI for RSk[F, D] and proximity parameter θ = 1− ρ · 1 + 1 2m , m ≥ 3, with a probability larger than

$$\varepsilon = \left(L - \frac{1}{2}\right) \cdot \frac{\left(m + \frac{1}{2}\right)^7}{3 \cdot \sqrt{\rho^3}} \cdot \frac{ D_0 ^2}{ F } + \frac{(2m+1) \cdot ( D_0 + 1) \cdot \sum_{i=1}^r a_i}{\sqrt{\rho} \cdot F } + (1-\theta)^s,$$

(7)

then the functions qiF D, i = 0, . . . , L − 1, have correlated agreement with RSk[D, F] on a set of density of at least α > 1 + 1 2m · ρ.

2We would like to thank Paul Gafni for pointing out a typo in formula \(7\) in a previous version of the document.

Remark 3. The case of linear batching of two functions q_0 , q_1 corresponds to the case L=2, in which L-\frac{1}{2}=\frac{3}{2} . The same is true for affine batching of several functions, its soundness error is obtained from (7) by replacing L-\frac{1}{2} by \frac{3}{2} , see [BCI+20].

The first two terms in (7),

$$\varepsilon_C = \left(L - \frac{1}{2}\right) \cdot \frac{\left(m + \frac{1}{2}\right)^7}{3 \cdot \sqrt{\rho^3}} \cdot \frac{ D_0 ^2}{ F } + \frac{(2m+1) \cdot ( D_0 + 1) \cdot \sum_{i=1}^r a_i}{\sqrt{\rho} \cdot F },$$

correspond to soundness error of the commit phase, reflecting the systematic error estimated by the correlated agreement theorem and collected over the batching step and the reduction rounds. In words, if the oracles in the batch do not share the claimed correlated agreement for \alpha = 1 - \theta , then except with probability \varepsilon_C , the oracles produced during the commit phase cannot be "nice". That is, the set where all consistency checks would hold is at most of density \alpha . The remaining term,

\varepsilon_Q = (1 - \theta)^s,

is the soundness error of the query phase with s rounds. This is the probability not to detect such a set of non-"nice" oracles using s independent samples.

3.5 Example parameters

One way to settle the parameters is as follows. For target security level 2^{-\lambda} , we assure that

  1. the soundness error for the commit phase is bounded by \frac{1}{2} \cdot 2^{-\lambda} . For that we choose the maximum Johnson proximity m \geq 3 so that
\varepsilon_C \le \frac{1}{2} \cdot 2^{-\lambda},
  1. the soundness error of the query phase is bounded by \frac{1}{2} \cdot 2^{-\lambda} . Using m from the first step, we determine the number s of query rounds via
\varepsilon_Q = \sqrt{\rho}^s \cdot \left(1 + \frac{1}{2m}\right)^s \le \frac{1}{2} \cdot 2^{-\lambda}.
The following examples3consider a situation is similar to the one in Plonky2 [?]. We take extensions F of a base field of size $ F_b = 2^{64} , and sampling domain sizes D_0 = 2^{12} \cdot \rho^{-1} , where we vary the blow-up factors \rho^{-1}$ to the maximum possible for the given security level. The number of polynomials is taken as L = 300, and we assume that these are grouped into
\{100, 100, 100\}

polynomials, each group committed by a single tree using Merkle caps. The height for the Merkle caps is chosen to minimize the proof size. For each blow-up factor we compute the proof size (assuming a hash size of 256 bits), and as a very coarse measure for the prover complexity the number hashes4it needs to compute.

&lt;sup>3In a previous version of the document the example parameters where based on linear batching of FRI. The current ones consider algebraic batching.

&lt;sup>4Each call of the hash processes another r = 256 bits.

3.5.1 66 bits of security

Such a configuration might be still interesting in practice, as its security can be increased by grinding (see [\[Sta23\]](#page-21-1)): Another 14 bits proof of work bound to the proof generation, and one obtains overall 80 bits of security.

• With a degree 2 extension of Fb, hence a field size of 128 bits, the best security level one can obtain for ρ = 2−5 is about 69 bits. The commit phase error is

\varepsilon_C \approx 2^{-67.21} ,

with Johnson proximity m = 3. To have about the same soundness error in the query phase, we demand s = 29 samples, yielding

\varepsilon_Q \approx 2^{-68.33} .

With a reduction strategy {a1, a2} = {2 4 , 2 3} we obtain proof sizes of about 104 kB.


log2
(ρ)
m s T
in hashes
π
in bytes
3 6 49 17.4 k 166.9 k
4 4 37 34.8 k 129.5 k
5 3 30 69.6 k 107.5 k

• With a degree 3 extension of Fb, hence a field size of 192 bits, one can choose higher blow-up factors. For ρ = 2−6 we obtain 67 bits security by

\varepsilon_C \approx 2^{-67.00} ,

where the Johnson proximity is m = 1, 427. To have about the same soundness error in the query phase, we need only s = 23 samples, yielding

\varepsilon_Q \approx 2^{-68.99} .

With the same reduction strategy as before, we reduce the proof size down to 89 kB. However, this comes at the cost of about tripling the prover cost.


(ρ)
log2
m s T
in hashes
π
in bytes
6 1,
427
23 209 k 88.9 k
8 713 18 836 k 68.4 k
10 356 14 3,
342 k
58.4 k

3.5.2 112 bits security

As in the previous setting, we discuss this level of security as it can be improved by grinding, typically up to 128 bits. All configurations use degree 3 extensions of Fb.


log2
(ρ)
m s T
in hashes
π
in bytes
6 14 39 209 k 149 k
8 7 29 836 k 115 k
10 3 24 3,
342 k
99 k

For higher blow-up factors, one needs to increase grinding. For example, for − log2 (ρ) = 11 the best level of security that can be obtained with degree 3 extensions is 109 bits, leaving 19 bits for grinding. The proof size decreases down to 88.2 kB, at the prover cost of 6, 684, 672 hashes.

3.5.3 128 bits security

These configurations do not use grinding, and hence have quite large proof sizes. Again, we use degree 3 extensions of Fb.


log2
(ρ)
m s T
in hashes
π
in bytes
3 8 92 26 k 326 k
4 5 70 52 k 254 k
5 3 57 104 k 211 k

3.6 Conjectured security

In their line of work on FRI \[BBHR18a, BGKS20, BCI+20] the authors make several conjectures on the soundness of FRI for proximity parameters above the Johnson bound. In the most recent one, they state the following.

Conjecture 1 (Full version of \[BCI+20], Conjecture 8.4). There exist constants c1, c2 such that for all θ = 1 − ρη, η > 0, the soundness error in the correlated agreement theorem on f0, . . . , fN1 is bounded by

$$\varepsilon \le \frac{1}{(\eta \cdot \rho)^{c_1}} \cdot \frac{(N \cdot n)^{c_2}}{ F }.$$

Remark 4. For purely linear batching, a similar conjecture is stated.

We point out that the above conjecture (as well as its corresponding one in [\[BBHR18a\]](#page-20-0)) is stated isolated from any general conjectured properties on Reed-Solomon codes, such as list decodability up to capacity bound (as done for DEEP method, see Section 5.4\). Instead it is rather justified by "[to the best of our knowledge...] nothing seems to contradict" . The authors consider the choice of c1 = c2 = 2 reasonable, and for fields of characteristic q > n they estimate that c1 = c2 = 1.

The c1 = c2 = 1 assumption is of particular interest for practitioners, as it yields proofs of halve the size as in the c1 = c2 = 2 case. For example, it is used by the ethSTARK [\[Sta23\]](#page-21-1) (besides its provably secure parameter setting), as well as by Plonky2 [\[Pol\]](#page-21-4).

3.7 Adding zero-knowledge

Zero-knowledge for FRI has to be provided on application level. In our use cases, the witnesses of an argument correspond to the values of some polynomial q(X) on a given domain H (the proving domain for Plonk, say). To protect it from being leaked by the queries of the s query rounds (as well as by the final reduction polynomial), one uses a an H-disjoint coset a · D of the FRI domain, and randomizes q(X) outside the domain H. That is, the batching and the entire FRI reduction takes place on

a \cdot D_0 \supseteq a \cdot D_1 \supseteq \ldots \supseteq a \cdot D_r,

instead of D0D1. . .Dr, where (a · D0) ∩ H = ∅. This leads to running batched FRI for qi(X), i = 0, . . . , L − 1, over the non-shifted domain D0 on the shifted polynomials

q_i(a\cdot X),

i = 0, . . . , L − 1, instead.

The concrete degree of freedom in the randomization of the polynomials depends on the number of FRI queries and the degree of the extension they are taken from, as well as the the polynomial IOP on top of FRI. Furthermore, and unlike described in a previous version of the survey, it is crucial to add a separate blinding polynomial h(x) to the batch, in order to assure that no information is revealed by the folding oracles of FRI. We refer to [HK24] for a detailed description of the [BCR+19] randomization of FRI, plus additional subtleties one has to take care of in the context of the complete IOP of the STARK.

FRI can be turned into a polynomial commitment scheme by means of the evaluation quotients

h(x) = \frac{f(x) - v}{x - z}

of a committed word f \in F^D . This approach, called the DEEP method in [BGKS20] corresponds to the algebraic linking of the evaluation identity

f(X) = v + h(x) \cdot (X - z)

with a low-degree problem on the sampling domain D, assuming that z \notin D . (For z \in D the oracle can directly answer with the queried value. We will omit this case throughout our discussion.)

For proximity parameters \theta up to the unique decoding radius one obtains a polynomial commitment scheme in the classical sense (when compiling the oracle proof into an argument using a secure partially disclosable vector commitment). In the list decoding regime the situation is a bit more subtle due to the non-uniqueness of \theta -close code words. In this case the DEEP method can be viewed as an oracle proof for a more general type of polynomial commitment scheme, called list polynomial commitment scheme in [KPV19]. However, as their notion does not cover the power of correlated agreement, we shall only sketch list polynomial commitment schemes.

4.1 In the unique decoding regime

For a proximity bound up to the unique decoding radius, i.e. \theta < \frac{1-\rho}{2} , the situation is quite simple. However, there are several ways to algebraically link the evaluation identity with a low-degree test.

4.1.1 A first construction

We first discuss a naive scheme, in which the maximum degree corresponds to the degree proven by FRI.

$$\mathsf{Com}(p(X)) = [p(x) _{x \in D}].$$

• Evaluation proof: Given an opening claim (z, v) with z \notin D , the prover engages with the verifier in a batched FRI argument on

f_1(x) = \frac{p(x) - v}{x - z},

f_2(x) = x \cdot f_1(x) = x \cdot \frac{p(x) - v}{x - z}.

with proximity bound \theta = \frac{1-\rho}{2} . This proof batches the functions into a random linear combination f_1(x) + \lambda \cdot f_2(x) = (1 + \lambda \cdot x) \cdot \frac{p(x) - v}{x - z} , and then runs FRI on it. The linear term \lambda \cdot x is called degree correction factor.

We point out that the two functions f_1 , f_2 are not needed to be provided by another oracle, as their evaluations on D can be computed from the values of p(x).

Let us discuss that the evaluation proofs in fact provide a view on a unique polynomial of degree \leq d , determined by the values committed in $[p(x) _{x\in D}] . First of all, if the prover passes with a probability p greater than the soundness error of batched FRI on f_1, f_2 as above, then there exist two polynomials p_1(X), p_2(X) of degree \leq d , and a correlated agreement set A of density 1 - \theta \geq \frac{1+\rho}{2}$ such that
$$f_1(x) = p_1(x)\big _{x \in A},$$
$$x \cdot f_1(x) = p_2(x)\big _{x \in A},$$
and hence also $x \cdot p_1(x) = p_2(x) _{x \in A} . As the density of A is strictly greater than \rho , the polynomial X \cdot p_1(X) - p_2(X) has at least k+1 = d+2 zeroes and hence must be trivial, i.e. X \cdot p_1(X) = p_2(X) . This implies that \deg p_1(X) \leq d-1$ , and hence p(x) coincides on A with the degree d polynomial
P(X) = v + (X - z) \cdot p_1(X),

which evaluates to v at z. Notice that \delta(p(x), P(X)) < \frac{1-\rho}{2} , hence a single evaluation proof implies distance to a degree \leq d polynomial of at most the unique decoding radius. As a consequence, any other evaluation proof (on the same or any other query) is consistent with that unique degree \leq d polynomial, showing that we indeed have a polynomial commitment scheme.

4.1.2 The refined scheme

By similar reasoning (based on a degree k=d+1 polynomial vanishing on a set of density > \rho ) we can remove the degree correction factor in the above naive scheme, running FRI for a proximity parameter \theta < \frac{1-\rho}{2} , only on the evaluation quotient of the claim: For any two evaluation claims (z_1, v_1) and (z_2, v_2) we conclude the existence of polynomials p_1(X) , p_2(X) of degree \leq k-1 and sets A_1 , A_2 of density 1-\theta > \frac{1+\rho}{2} such that

v_1 + (X - z_1) \cdot p_1(X),

v_2 + (X - z_2) \cdot p_2(X),

agree with p(x) on A_1 and A_2 , respectively. Since the density of A_1 \cap A_2 is at least 1 - 2 \cdot \theta > \rho , it contains at least k + 1 points, and by degree we may conclude the formal identity

v_1 + (X - z_1) \cdot p_1(X) = v_2 + (X - z_2) \cdot p_2(X).

This leads to the following optimized scheme:

$$\mathsf{Com}(p(X)) = [p(x) _{x \in D}].$$

• Evaluation proof: Given an opening claim (z, v) with z \notin D , the prover engages with the verifier in a batched FRI argument on

\frac{p(x) - v}{x - z}

with proximity bound \theta < \frac{1-\rho}{2} .

4.1.3 Multi-point queries

Instead of batching several point evaluation quotients, queries for the values of a polynomial p(X) over a small set \Omega = \{z_1, ..., z_m\} \subset F \setminus D can be also proven via the multi-evaluation identity

\sum_{i=1}^{m} (p(X) - v_i) \cdot L(z_i, X) = 0 \mod v_{\Omega}(X), (8)

where v_{\Omega}(X) = \prod_{j=1}^{m} (X - z_j) is the vanishing polynomial of \Omega and L(z_i, X) = \prod_{j \neq i} \frac{X - z_j}{z_i - z_j} is the Lagrange polynomial at z_i . Similar to the single query case, one argues using the quotient

h(x) = \text{Quotient}(p, \{(z_i, v_i) : i = 1, \dots, m\}) = \frac{p(x) - V(x)}{v_{\Omega}(x)}, (9)

where

V(X) = \sum_{i=1}^{m} v_i \cdot L(z_i, X)

is the unique degree \leq m-1 polynomial that interpolates the claim.

Alternatively, as in the batch evaluation protocol of Boneh, et al. [BDFG21], one can replace the Lagrange kernel with the non-normalized variant D(z_i, X) = \prod_{j \neq i} (X - z_j)

\sum_{i=1}^{m} (p(X) - v_i) \cdot D(z_i, X) = 0 \mod v_{\Omega}(X), \tag{10}

and work with the quotient

h'(x) = \sum_{i=1}^{m} \frac{p(x) - v_i}{x - z_i}

instead.

In both cases one has to limit the number m of simultaneous queries to some maximum value m_{max} , satisfying

k + m_{max} < (1 - \theta) \cdot n.

For this it is sufficient to choose k + m_{max} \le (1 - \theta_0) \cdot n = \frac{k+n}{2} , and hence m_{max} \le \frac{n-k}{2} . Even with the lowest blow-up factor we have n \ge 2 \cdot k , it is thus enough to demand

m_{max} \le \frac{k}{2}. (11)

In our applications the bound on m_{max} is trivially met, as only few values are queried in the run of the proof. Furthermore, given a polynomial we use multi-point queries of fixed given size m \leq m_{max} . As a consequence the maximum degree in the setup can be enlarged to d_{max} = k + m - 1 .

4.2 List commitments

In the list decoding regime the situation is a bit more subtle. Running FRI for \mathsf{RS}_k[F,D] with a proximity parameter \frac{1-\rho}{2} < \theta < 1 - \sqrt{\rho} on an evaluation quotient

h(x) = \frac{p(x) - v}{x - z}

only proves agreement of p with an evaluation-claim-consistent polynomial of degree d^+ = k on a set of density greater than \alpha = 1 - \theta . This might be not large enough for proving the polynomials of different runs

of FRI being equal. In fact, they might differ from claim to claim, unless one runs a joint FRI argument on them. Assuming \alpha > \sqrt{\rho^+} , where $\rho^+ = \frac{k+1}{ D }$ , the Guruswami-Sudan list decoding bound shows that there might be
L \le \frac{1}{2 \cdot \eta \cdot \rho^+}

such code words. This leads to the idea of list polynomial commitment schemes as in [KPV19] with the following information-theoretic model: The prover sets up an oracle which contains a list of l, 1 \le l \le L , low-degree polynomials, and the oracle is allowed to choose which one to evaluate on a given query. Such extended notion is practical as security proofs in the oracle model are similar to polynomial oracle proofs. However, the notion of list polynomial oracles as given in [KPV19] is not strong enough to capture correlated agreement, and as a consequence soundness error bounds are too coarse. For this reason we do not dive into formal details of that model, and instead directly work with DEEP algebraic linking.

In this section we discuss the DEEP algebraic linking (DEEP-ALI) [BGKS20] and demonstrate its application to proving satisfiability of algebraic intermediate representations (AIR). Other representations such as randomized AIR or Plonk [GWC19] can be treated similarly.

5.1 Algebraic linking and the DEEP method

Algebraic linking transforms satisfiability of algebraic identities over algebraic subsets of F into proximity problems of low-degree extensions to Reed-Solomon codes over "outside" domains (i.e. disjoint to the algebraic subset). A family of functions g_1, \ldots, g_N on \Omega = \{x_1, ..., x_n\} satisfies an algebraic identity

P(x, g_1(x), \dots, g_N(x)) = 0

on \Omega (P is a polynomial), if and only if their low-degree extensions p_1(X), \ldots, p_N(X) satisfy that P(X, p_1(X), \ldots, p_N(X)) is divisible by the vanishing polynomial v_{\Omega}(X) = \prod_{i=1}^n (X - x_i) of \Omega , i.e. the quotient

h(X) = \frac{P(X, p_1(X), ..., p_N(X))}{v_{\Omega}(X)}

is a low-degree polynomial. This divisibility criterion is translated to the proximity of given code words

f_1, ..., f_N, h \in F^D,

(the honest prover chooses the domain evaluations of p_1(X), \ldots, p_N(X) and h(X) over D) to low-degree polynomials, i.e. a Reed-Solomon code words5. For this the proximity parameter needs to be chosen so that the agreement sets are large enough to infer from local satisfiability of algebraic identities to their satisfiability over the entire field F. This means that the sampling domain D is such that the notion of low-degree is determined by the degree of P(X, p_1(X), ..., p_N(X)) . DEEP-ALI instead allows for decoupling the sampling domain size from the degree of P.

DEEP-ALI is very much in alignment with a polynomial IOP for proving that

P(X, p_1(X), ..., p_N(X)) = h(X) \cdot v_{\Omega}(X). (12)

&lt;sup>5In the case of a single batched FRI proof for the f_i together with h, one needs to use degree correction factors as in Section 4.1.1.

Instead of showing proximity of the quotient

h(x) = \frac{P(x, f_1(x), ..., f_N(x))}{v_{\Omega}(x)}

to a low-degree polynomial, one samples a random point z ←\$ F outside the domain D, and let the prover provide evaluations claims vi , i = 1, . . . , w for pi , and v for h, which are used to check the identity \(12\) at X = z. The validity of the values are supported by proving proximity of the point evaluation quotients

\frac{f_i(x) - v_i}{x - z}, \quad i = 1, \dots, w,

as well as

\frac{h(x) - v}{x - z}
to corresponding low-degree polynomials. Furthermore, by decomposing h(X) into into polynomials of degree Ω − 1, e.g.

$$h(X) = h_0(X) + X^{ \Omega } \cdot h_1(X) + \dots + X^{(d-1)\cdot \Omega } \cdot h_{d-1}(X), \tag{13}$$

one can even use a sampling domain the size of which is not determined by the degree of h(X). (We use a different decomposition as in \[BGKS20, [Sta23\]](#page-21-1), which does not imply any further constraints on the sampling space for z.)

In the unique decoding regime, the DEEP-ALI approach is equivalent to a (univariate) polynomial IOP using FRI as a polynomial commitment scheme as described in Chapter 4. For larger proximity parameters, one can generalize the polynomial oracle model to list polynomial commitment schemes as done in [\[KPV19\]](#page-21-2), but their approach does not yield soundness bounds which are as tight as given by the correlated agreement theorem. In order not to introduce yet another oracle model which reflects this specific correlated agreement property of batched FRI, we directly show how to apply the DEEP method to proving satisfiability of an algebraic intermediate representation.

5.2 DEEP-ALI of an AIR

An algebraic intermediate representation (AIR), see \[BBHR18b, BGKS20, [Sta23\]](#page-21-1), is defined over an FFT domain HF with generator g. Each x in H carries a "row" of w witnesses (or, "columns")

(g_1(x),..,g_w(x)),

on which a certain number of algebraic constraints are imposed. For simplicity we restrict ourselves to constraints between neigboring rows only, i.e. polynomials

P_1, \ldots, P_C \in F[X_1, ..., X_w, Y_1, ..., Y_w],

each Pi being imposed on a specified coset ai · HiH, where Hi is a subgroup of H. Hence satisfiability of the AIR is defined by

P_i(x, g_1(x), \dots, g_w(x), g_1(g \cdot x), \dots, g_w(g \cdot x)) = 0 \quad \forall x \in a_i \cdot H_i,

(14)

for every i = 1, . . . , C. In terms of polynomials p1(X), . . . , pw(X) ∈ F[X] extending the witness functions g1, . . . , gw, satisfiability of an AIR constraint Pi on ai · Hi can be expressed by demanding the quotient

\frac{P_i(p_1(X),\ldots,p_w(X),p_1(g\cdot X),\ldots,p_1(g\cdot X))}{v_{a_i\cdot H_i}(X)}
where $v_{a_i \cdot H_i}(X) = z^{ H_i } - a_i^{ H_i } is the vanishing polynomial of the coset a_i \cdot H_i , being again a polynomial. This is the approach [BBHR18b, BGKS20, Sta23]. However, instead of working with these quotients we prefer using polynomial identities similar to Plonk [GWC19]: Satisfiability of an AIR constraint P_i imposed on a_i \cdot H_i$ is equvialent to

s_i(X) \cdot P_i(p_1(X), \dots, p_w(X), p_1(g \cdot X), \dots, p_1(g \cdot X)) = 0 \mod v_H(X), (15)

where

s_i(X) = \frac{v_H(X)}{v_{a_i \cdot H_i}(X)} \in F[X]

\tag{16}

is the selector polynomial6 for the constraint P_i . The overall degree of the AIR is defined as

d = \max_{i} \deg(P_i),\tag{17}

where deg(P_i) is the total degree of P_i .

The sampling domain D for FRI is chosen so that $ D = \beta \cdot H , with a blow-up factor \beta = 1/\rho being a power of two, and \mathsf{RS}_k[D,F]$ is the Reed-Solomon code of length n = D and rate \rho = \frac{k}{n} , with
$$k = H . (18)$$

However, the agreement parameter used for FRI is taken slightly larger than \alpha = \left(1 + \frac{1}{2m}\right) \cdot \sqrt{\rho}, m \ge 3 , namely

\alpha^{+} = \left(1 + \frac{1}{2m}\right) \cdot \sqrt{\rho^{+}}, \quad m \ge 3, \tag{19}

where

$$\rho^{+} = \frac{ H + 2}{ D }.\tag{20}$$
The reason for this slightly larger choice is due to the evaluation quotients of the protocol, which are subject to the FRI proof. Their denominators are at most quadratic and hence the degree of the non-quotients is bounded by H - 1 + 2. The low-degree extensions p_i(X) \in F[X] of the witness functions g_i on H are provided as code words over D, and to use again the same code for a polynomial h(X) of larger degree, we split it into segment polynomials as in (13).

The DEEP-ALI protocol (for simplicity without zero-knowledge) for our AIR is as follows:

Protocol 3 (IOP for AIR using DEEP-ALI). Let p_1(X), \ldots, p_w(X) \in F[X] be polynomials of degree $\deg p_i(X) \leq H - 1 satisfying the AIR constraints (14), i = 1, \ldots, C$ .
- 2. The prover computes h_{\lambda}(X) \in F[X] of degree $\leq d \cdot ( H -1)$ satisfying the identity
\sum_{i=1}^{C} \lambda^{i-1} \cdot s_i(X) \cdot P_i(p_1(X), \dots, p_w(X), p_1(gX), \dots, p_w(gX)) = h_{\lambda}(X) \cdot v_H(X),
&lt;sup>6Notice that, although deg $s_i(X) \leq H - 1 , the polynomial s_i(X)$ can be succinctly evaluated outside H using the rational representation from (16). Therefore no evaluation has to be provided by the prover.
splits it into its segment polynomials hλ,j (X), j = 0, . . . , d − 1, each of degree H − 1, as in \(13\), and sends their domain evaluation oracles [hλ,0], . . . , [hλ,d−1] to the verifier. The overall identity to be proven is therefore

$$\sum_{i=1}^{C} \lambda^{i-1} \cdot s_i(X) \cdot P_i(p_1(X), \dots, p_w(X), p_1(gX), \dots, p_w(gX))

= v_H(X) \cdot \sum_{j=0}^{d-1} X^{j \cdot H } \cdot h_{\lambda, j}(X).$$

(21)

The verifier answers with a DEEP query, i.e. a random z ←\$ F \ (DH).

\frac{p_i(x) - V_i(x)}{(x-z) \cdot (x-gz)},

where Vi(x) is determined from the evaluation claims as described in Section 4.1.3, i = 1, . . . , w, and

\frac{h_{\lambda,j}(x)-v_j}{x-z},

j = 0, .., d − 1, to RSk[F, D], where the chosen agreement parameter is α + as defined above. If FRI passes, and if the evaluation claims satisfy the overall identity \(21\) at X = z, the verifier accepts. (Otherwise, it rejects.)

Remark 5. Notice that the polynomial si(X) can only be succinctly evaluated outside H. For this reason that H is excluded from the sampling space of z.

Remark 6. As discussed above, our definition of AIR is equivalent to the one from \[BBHR18b, BGKS20, [Sta23\]](#page-21-1) (besides that we restricted to constraints between neighboring rows in order to keep the presentation simple). In particular the quotient polynomial (X) in our protocol is the same as

\sum_{i=1}^{C} \lambda^{i-1} \cdot \frac{s_i(X)}{v_H(X)} \cdot P_i(p_1(X), \dots, p_w(X), p_1(gX), \dots, p_w(gX)) = \sum_{i=1}^{C} \lambda^{i-1} \cdot \frac{P_i(p_1(X), \dots, p_w(X), p_1(gX), \dots, p_w(gX))}{v_{a_i \cdot H_i}(X)},

which is the batched rational function used in their line of work.

Remark 7. Let us point us the difference of Protocol 3 to the IOP given in [\[Sta23\]](#page-21-1). Instead of using a purely linear batching strategy, we use the powers of a single randomness λ, which is the favoured choice in the context of proof composition. Secondly, as in [\[BGKS20\]](#page-21-0) we use multi-point quotients for the witness polynomials which are queried at z and gz. This reduces the number of polynomials on which FRI is applied, at the cost of only a slight increase in the choice of k +. Thirdly, the way we decompose (X) into segment polynomials \(13\) does not further reduce the sampling space for z, as is needed when using a FRI-like decomposition.

We finally state the soundness error of Protocol 3 in the oracle model.

Theorem 8 (DEEP-ALI soundness). The above oracle proof for AIR satisfiability has soundness error

$$\varepsilon \le L^+ \cdot \left(\frac{C}{ F } + \frac{d \cdot (k^+ - 1) + (k - 1)}{ F - D \cup H }\right) + \varepsilon_{FRI},\tag{22}$$

with k^+ = k + 2 , L^+ = \frac{m + \frac{1}{2}}{\sqrt{\rho^+}} , \rho^+ = \frac{k^+}{n} , and \varepsilon_{FRI} being the soundness error for batched FRI for \alpha^+ -agreement with RS_k[F,D] , Theorem 2.

Remark 9. We point out some differences to the error bound in [Sta23], Theorem 4. In our bound the list size bound L^+ only occurs linearly instead of quadratically. This due to our more careful analysis of the consequences of the correlated agreement enforced on polynomials produced in different rounds of the protocol. Secondly, as mentioned above, the alternative decomposition of h_{\lambda}(X) into segment polynomials does not reduce the sampling space for z by a factor d larger domain. Less importantly, since we use do algebraic batching using the powers of \lambda , the first term incorporates the number of constraints C. A purley linear batching strategy, as used in [Sta23] leads to $\frac{1}{ F }$ instead.

Remark 10. In the soundness error formula in [BGKS20], Theorem 15, the list bound L^+ occurs quadratically. This is due to the application of two separate FRI arguments, one for the batched quotients of the witness polynomials, and another one for the overall quotient polynomial. (However, the splitting technique for h is outlined in Section 5.5. therein.) For the same reason, the notion of list polynomial commitment schemes from [KPV19] would lead to the w-th power of L^+ , w being the number of witness columns. This might be acceptable for proving soundness of standard Plonk in the list polynomial oracle model, but not for a larger number of witness columns.

Proof of Theorem 8. Let us denote $\varepsilon_1 = L^+ \cdot \frac{C}{ F } , \varepsilon_2 = L^+ \cdot \frac{d \cdot (k^+ - 1) + (k - 1)}{ F - D \cup H } , and \varepsilon_3 = \varepsilon_{FRI} . Suppose that P^ is an adversary which succeeds the verifier with a probability exceeding \varepsilon = \varepsilon_1 + \varepsilon_2 + \varepsilon_3 . Then there exists a first message of P^ , i.e. words f_1, \ldots, f_w on D, on which P^* succeeds with probability > \varepsilon$ , and hence
$$\Pr\left[\lambda : \Pr\left(P^* \text{ succeeds } \lambda\right) > \varepsilon_2 + \varepsilon_3\right] > \varepsilon_1.$$

(Otherwise \Pr[P^ \text{ succeeds }] \leq 1 \cdot \varepsilon_1 + (\varepsilon_2 + \varepsilon_3) \cdot (1 - \varepsilon_1) < \varepsilon_1 + \varepsilon_2 + \varepsilon_3 .) Likewise, for every such "good" \lambda (by the definition of \varepsilon_1 , there are at least L^+ \cdot C many) there exists a second message of P^ , i.e. words h_{\lambda,0}, \ldots, h_{\lambda,d-1} on D such that

$$\Pr\left[z \in F \setminus D : \Pr(P^* \text{ succeeds } z) > \varepsilon_3\right] > \varepsilon_2.$$

For each such "good" z \in F \setminus (D \cup H) (by the definition of \varepsilon_2 , there are more than L^+ \cdot (d \cdot (k^+ - 1) + (k - 1)) many) the evaluation claims pass the verifier checks, and moreover the soundness of FRI enforces the evaluation quotients

\left(\frac{f_1(x) - V_1(x)}{(x - z) \cdot (x - g \cdot z)}, \dots, \frac{f_w(x) - V_w(x)}{(x - z) \cdot (x - g \cdot z)}, \frac{h_{\lambda,0}(x) - v_0}{x - z}, \dots, \frac{h_{d-1}(x) - v_{d-1}}{x - z}\right)
to have correlated agreement with some q_i(X) \in F[X] , i = 1, ..., w + d, of degree $\deg q_i(X) \leq H - 1 on a set A of density at least \alpha^+ > \sqrt{\rho^+}$ . Cancelling out the denominators, we see that
(f_1,\ldots,f_w,h_{\lambda,0},\ldots,h_{\lambda,d-1})
have correlated agreement on a set of density \geq \alpha^+ with some element from F[X]^{w+d} where each component polynomial is of degree $\leq H - 1 + 2 = k^+ - 1$ , and satisfies the evaluation claim.

In what follows we shall call an element (P_0(X), \ldots, P_{l-1}(X)) from F[X]^l , with component polynomials of degree \leq k^+ - 1 , having correlated agreement with a vector of functions (\phi_0(x), \ldots, \phi_{l-1}(x)) on a set of density \geq \alpha^+ , an \alpha^+ -configuration for that vector of functions. Another way to express this, is that

P(X) = \sum_{i=0}^{l-1} P_i(X) \cdot Z^i,

belonging to the Reed-Solomon code \mathsf{RS}_{k^+}[K,D] over the rational function field K=F(Z) is (1-\alpha^+) -close to the K-valued function \phi(x) = \sum_{i=0}^{l-1} \phi_i(X) \cdot Z^i . Note that since \alpha^+ > \sqrt{\rho^+} , the Guruswami-Sudan list size bound (over general fields, see Appendix A.2) is applicable to \mathsf{RS}_{k^+}[K,D] . In particular, there are at most

L^+ = \frac{m + \frac{1}{2}}{\sqrt{\rho^+}}

\alpha^+ -configurations for (\phi_0(x), \dots, \phi_{l-1}(x)) .

Let us keep a combination of "good" first and second messages (f_1, \ldots, f_w) , (h_{\lambda,0}, \ldots, h_{\lambda,d-1}) fixed. We have seen above that the existence of a single "good" z implies the existence of an \alpha^+ -configuration for (f_1, \ldots, f_w, h_{\lambda,0}, \ldots, h_{\lambda,d-1}) . By the Guruswami-Sudan list size bound for \mathsf{RS}_{k^+}(K,D) (see Appendix A.2) there are at most L^+ such \alpha^+ -configurations. However, since there are more than L^+ ( d \cdot (k^+ - 1) + (k - 1) ) many "good" z, and each establishes an \alpha^+ -configuration which smoreover evaluates to the claimed values, we conclude from the pigeon-hole principle that there is at least one \alpha^+ -configuration,

(p_1,\ldots,p_w,q_{\lambda,0},\ldots,q_{\lambda,d-1})\in F[X]^{w+d},

for which the overall identity (21) (taking the q_{\lambda,j} as h_{\lambda,j} therein) holds at more than d \cdot (k^+ - 1) + (k - 1) many z. By the degree of the identity, this configuration is a solution of it, hence (p_1, \ldots, p_w) \in F[X]^w is an \alpha^+ -configuration for (f_1, \ldots, f_w) which satisfies

\sum_{i=1}^{C} \lambda^{i-1} \cdot s_i(X) \cdot P_i(p_1(X), \dots, p_w(X), p_1(gX), \dots, p_w(gX)) = 0 \mod v_H(X). (23)

Now let us keep a "good" first message (f_1, \ldots, f_w) fixed. We have seen that for each "good" \lambda there exists an \alpha^+ -configuration for (f_1, \ldots, f_w) which is a solution of (23). Again, by the Guruswami-Sudan list size bound for \mathsf{RS}_{k^+}[K,D] , there can be at most L^+ many w-configurations. Since there are at least L^+ \cdot C many "good" \lambda , we conclude again from the pigeon-hole principle that there is at least one \alpha^+ -configuration, which we again denote by (p_1,\ldots,p_w) , for which there are at least C many "good" \lambda for which (23) holds. By linear algebra (the Vandermonde matrix is invertible) we conclude that this configuration satisfies

s_i(X) \cdot P_i(X, p_1(X), \dots, p_w(X), p_1(gX), \dots, p_w(gX)) = 0 \mod v_H(X)

for every i=1,\ldots,C . The values of (p_1,\ldots,p_w) over H satisfy the constraints the AIR. This completes the proof.

We note that in Equation (22), the term in the brackets is exactly the soundness error bound of the protocol in the (univariate) polynomial IOP model [BFS20]. As soundness in this model is essentially based on the Schwartz-Zippel lemma, we believe that the blow-up by the factor L^+ holds in general for every (public coin) polynomial IOP when replacing polynomial oracles by domain-evaluation oracles. (At least for the polynomial IOPs we know, such as [GWC19, MBKM19, CHM ^+ 20] or [HGdB21], this is the case.) Such a general transformation of (univariate) polynomial IOPs into ordinary (i.e. domain-evaluation) IOPs would be of interest, as the polynomial IOP model is widely used by practicioners. The protocol design as well as its security analysis is much easier to understand in the polynomial oracle model, and their soundness error bounds could be easily taken over. We plan to elaborate on this in a separate document.

5.2.1 Extractability

We only provide a brief sketch how to build the extractor in the oracle model, given a prover P^* which succeeds with a probability of that exceeds the soundness error bound from Theorem 8:

The first step takes expected time O(1/\varepsilon) , and the Gurswami-Sudan decoder consumes at most $O( D ^{15}) field operations, see Remark 14. To obtain strict polynomial running time, at the cost of having a success probability < 1, one may stop the sampling after an appropriate multiple of 1/\varepsilon$ .

5.3 Boosting soundness

In this section we outline standard techniques to lower the DEEP-ALI soundness error for AIRs over small fields F. (See [Sta23], or [?].)

5.3.1 Using extension fields

One simply draws queries (for example the DEEP queries and the FRI challenges) from a suitable large extension field F_e of F. The soundness error bound lowers accordingly, replacing F with $ F_e . (Notice that the disadvantage of applying this approach to the entire protocol is that all FRI quotients have to be computed over F_e$ .)

5.3.2 Increasing the number of protocol challenges

Instead of drawing protocol challenges from an extension field, one may repeatedly sample a challenge and run the remaining protocol for them in parallel. For instance, the first verifier challenge \lambda can be sampled N_1 times, \lambda_1, \ldots, \lambda_{N_1} \leftarrow F , and prove the overall polynomial identity (21) for all of these cases. This yields a lowered soundness error bound of the first round,

$$\varepsilon_1 = \left(L^+ \cdot \frac{C}{ F }\right)^{N_\lambda},\,$$

and increases only the number of h_{\lambda,j} polynomials (by the factor N_{\lambda} ) that are subject to the DEEP queries in the second round. Likewise, one may also take several DEEP queries z_1, \ldots, z_{N_z} from F \setminus D , and apply FRI to the batch of all resulting quotients, lowering the soundness error bound of the second round to

$$\varepsilon_2 = \left(L^+ \cdot \frac{d \cdot (k^+ - 1) + (k - 1)}{ F \setminus (D \cup H) }\right)^{N_z}.$$

However, this comes at the cost of increasing the entire batch for FRI by the factor N_z (which might be acceptable in some applications, though). On the contrary, resampling of FRI challenges would increase the proof size too much. Hence for FRI extension field sampling is preferable.

&lt;sup>7Alternatively one could run the Guruswami-Sudan list decoder over K = F(Z). However, its run-time analysis in the number of operations over F is probably more difficult.

5.4 Beyond the Johnson bound?

The conjectured soundness error for FRI alone (Conjecture 1) is not good enough to argue the security of DEEP-ALI beyond the Guruswami-Sudan list decoding bound. For that reason we also cite a general conjecture on the list decodability of Reed-Solomon codes, which is used by Ben-Sasson et al. to conjecture the soundness error of DEEP-FRI up to capacity bound.

Conjecture 2. ([BGKS20], Conjecture 21) Let RS_k[F,D] be the Reed-Solomon code over a prime field F = F_q with defining domain D and rate $\rho = \frac{k}{ D } . Then there exists a constant C_\rho such that for every \theta = 1 - \rho - \eta , with \eta > 0 , RS_k[F,D] is list-decodable from a fraction of \theta$ errors with list size
$$L \le \left(\frac{ D }{\eta}\right)^{C_{\rho}}.$$

Remark 11. No concrete assumptions on the constant C_{\rho} are made in [BGKS20].

For quite large fields F (compared to the block length D =n) there are linear codes which are list decodable up to capacity bound 1-\rho , such as the folded Reed-Solomon codes (see [Gur07], e.g.). In the case of a bounded alphabet, Guruswami [Gur07] demonstrates binary linear codes which are list decodable to the Zyablow bound \frac{1-\rho}{H} (here, H is the entropy of the code) and uses such codes to construct examples that approach capacity bound, having list size L=O\left(\frac{1}{\eta}\right) .

However, practitioners seem to avoid this conjecture. The ethSTARK documentation [Sta23] takes a toy protocol as a representative for the entire DEEP-ALI of AIR, whereas the Plonky2 writeup [?] only sketches soundness in the polynomial oracle model, with no reference to list bounds.

In this section we recap well-known facts on decodability of Reed-Solomon codes8, and describe the weighted variant of Theorem 1, which is used by the soundness analysis of FRI.

Unless contrary stated, we assume that K is a general field (finite, or infinite), and as for finite fields we shall call

$$\mathsf{RS}_k[K,D] = \{ p(x) _{x \in D} \ : \ p(X) \in K[X], \deg p(X) \le k - 1 \}$$
the Reed-Solomon code with rate $\rho = \frac{k}{ D }$ and blocklength n = D . We say that a family of codes \{V(n)\} of increasing blocklength n is list decodable up to distance \theta \in (0,1) , if the maximum possible number of \theta -close codewords,
$$L = \sup_{f \in K^D} \big B(f, \theta) \cap V(n) \big ,$$

is polynomial in the blocklength n. (Here, B(f,\theta) = \{w \in \mathsf{RS}_k[K,D] : \delta(f,w) < \theta\} is the open -ball around f, and \delta is the fractional Hamming distance.) As in the main part of the document, we throughout assume that both n and k are even.

A.1 Berlekamp-Welch decoder

Assume that f \in K^D is at most \theta_0 -close to V, with \theta_0 = \frac{1-\rho}{2} being the unique decoding radius, and let p(X) be the unique polynomial of degree \leq k-1 such that \delta(f,p) \leq \theta_0 . Then the number of points of disagreement is at most e = \frac{n-k}{2} . The Berlekamp-Welch decoder [WB86] is based on the observation that if \Omega = \{x_1, \ldots, x_e\} is the set of errors, and E(x) = \prod_{x \in \Omega} (X - x) is its vanishing polynomial, then we have

E(x) \cdot f(x) = E(x) \cdot p(x)

for all x \in D .

Protocol 4 (Welch-Berlekamp decoding). Let K be a general field, and V = \mathsf{RS}_k[K,D] be the Reed-Solomon code of length n = D and rate \rho = \frac{k}{n} . Assume any word f \in K^D .
  1. Find the coefficients of polynomials E(X), G(X) over K with \deg E(X) \leq e , \deg G(X) \leq k-1+e , where e = \frac{n-k}{2} , such that

E(x) \cdot w(x) = G(x) for all x \in D .

This linear system has at least one non-trivial solution which can be found in at most O(n^3) field operations.

This is a homogeneous linear system of D = n equations in k + 2 \cdot e + 1 = n + 1 unknown: The e + 1 coefficients of E(X) and the k + e coefficients of G(X).

Notice that for any such non-trivial solution (E(X), G(X)) the polynomial E(X) must be non-trivial. If E(x) would be identically zero, by the size of D the same is true G(x).

2. For any such non-trivial solution (E(X), G(X)) obtained in step 1, check if G(X) is divisible by E(X). If yes, then output p(X) = \frac{G(X)}{E(X)} . (If not, then abort.)

For a word f \in K^D with fractional Hamming distance of at most \theta_0 , Step (2) of Protocol 4 always succeeds: Let p(X) be the (unique) \theta_0 -close code word. This polynomial agrees with f on a set of size a \ge \frac{n+k}{2} . Consider the bivariate polynomial

Q(X,Y) := Y \cdot E(X) - G(X).

&lt;sup>8The survey by Guruswami [Gur07] is a recommended source.

Then Q(X, p(X)) is a univariate polynomial of degree

\deg Q(X, p(X)) \le k - 1 + e = \frac{n+k}{2} - 1,

which by the assumption on p(X) has at least a zeroes. Consequently Q(X, p(X)) is trivial and p(X) \cdot E(X) = G(X) holds as a formal identity. Since E(X) is non-trivial, we conclude divisibility.

A.2 List decoding

A.2.1 The Sudan decoder

The Sudan list decoder [Sud97] generalizes the Berlekamp-Welch procedure by searching for general bivariate polynomials Q(X,Y) \in K[X,Y] which satisfy

Q(x, f(x)) = 0 for all x \in D .

In order that Y - p(X) is a factor of Q(X, Y) for every polynomial p(X) of degree \leq d = k - 1 which has the claimed agreement set size with f, one looks for such bivariate Q so that the degree of Q(X, p(X)) for any such polynomial is smaller than the targeted agreement set size.

Definition 12. The (1,d)-weighted degree (in short, (1,d)-degree) of a monomial X^i \cdot Y^j is i+d \cdot j . More generally, the (1,d)-weighted degree of a bivariate polynomial Q(X,Y) is the maximum of the weighted degrees of its monomials.

A polynomial Q(X,Y) of (1,d)—weighted degree W is of the form

Q(X,Y) = \sum_{i+d \cdot j \le W, i,j \ge 0} c_{i,j} \cdot X^i \cdot Y^j,

and its number of coefficients is

\begin{split} \sum_{j=0}^{\lfloor W/d \rfloor} W - d \cdot j + 1 &= (W+1) \cdot \left( \left\lfloor \frac{W}{d} \right\rfloor + 1 \right) - d \cdot \frac{\left\lfloor \frac{W}{d} \right\rfloor \cdot \left( \left\lfloor \frac{W}{d} \right\rfloor + 1 \right)}{2} \\ &\geq \left( \left\lfloor \frac{W}{d} \right\rfloor + 1 \right) \cdot \left( W + 1 - \frac{W}{2} \right) \\ &\geq \frac{(W+1) \cdot (W+2)}{2 \cdot d} \end{split}
As a consequence, if this lower bound exceeds the number of linear equations n = D , the linear system has a non-trivial solution. In particular this holds for any
$$W \ge \left \sqrt{2 \cdot d \cdot n} \right .$$
Protocol 5 (Sudan list decoder). Assume that K is a general field, and \mathsf{RS}_k[K,D] is the Reed-Solomon code of length n = D and rate \rho = \frac{k}{n} . Let f \in K^D , and choose an agreement parameter a \in [0,n] , a > \sqrt{2 \cdot d \cdot n} , where d = k - 1.
  1. Solve the linear system on the coefficients of Q(X,Y) with (1,d)-degree W = \lfloor \sqrt{2 \cdot d \cdot n} \rfloor , given by the interpolation constraints
Q(x, f(x)) = 0, \quad x \in D.

This system has a non-trivial solution which is found in at most O(n^3) field operations. Note that by construction, for any \left(1-\frac{a}{n}\right) -close code word p(X) the (irreducible) polynomial Y-p(X) divides Q(X,Y) in the polynomial ring K[X,Y]. Since K[X,Y] is a unique factorization domain, this already proves that the list size L \leq \left\lfloor \frac{W}{d} \right\rfloor \leq \frac{\sqrt{2 \cdot d \cdot n}}{d} = \sqrt{\frac{2 \cdot n}{d}} .

2. Find all factors of Q(X,Y) which are of the form

Y - p(X) ,

with p(X) being a polynomial over K of degree at most k-1. There are at most \sqrt{\frac{2 \cdot n}{d}} such factors. Filter out those which agree with f on at least a points.

The efficiency of Step (2) depends on the field K. If K is a finite field, then there are polynomial time algorithms (both probabilistic or deterministic) for finding such factors of the form Y - p(X). (They both rely on univariate factorization, see [Gur07], e.g.) If K is infinite, then this might not be true in general.

A.2.2 The Guruswami-Sudan decoder

To extend the interpolation technique to the Johnson limit 1-\sqrt{\rho} , one takes into account that several close codewords might coincide at some points. One therefore looks for polynomials Q(X,Y) the (1,d)-degree of which is m times as large as the targeted agreement set would suggest, and which have a zero of order m at every interpolating point (x, f(x)), x \in D . The parameter m \ge 1 is called multiplicity parameter.

Definition 13. A polynomial Q(X,Y) \in K[X,Y] is said to have a zero of order m at the point (x,y), if the polynomial Q(X-x,Y-y) has no monomial of absolute degree < m.

Such polynomials Q(X,Y) of (1,d)-weighted degree W have still the property, that if p(X) is a polynomial of \deg p(X) \leq d , then

\deg Q(X, p(X)) \le \frac{W}{m}.

Again, counting the number of coefficients and comparing with the number of interpolation constraints yields that whenever

\frac{(W+1)\cdot(W+2)}{d\cdot m\cdot(m+1)} > n,

and hence in particular for W \ge \left\lfloor \sqrt{m \cdot (m+1) \cdot d \cdot n} \right\rfloor there always exists such a (non-trivial) polynomial Q(X,Y). (For details, see [Gur07], e.g.)

Protocol 6 (Guruswami-Sudan list decoder [GS99]). Assume that K is a general field, and \mathsf{RS}_k[K,D] the Reed-Solomon code of length n = D and rate \rho = \frac{k}{n} . Let f \in K^D , and choose an agreement parameter a \in [0,n], \ a > \sqrt{\left(1 + \frac{1}{m}\right) \cdot d \cdot n} , where m is a positive integer (the multiplicity parameter).
  1. Solve the linear system on the coefficients of Q(X,Y) with (1,d)-degree W = [\sqrt{m \cdot (m+1) \cdot d \cdot n}] : For each x \in D ,

Q(X,Y) has a zero of order m at (x,f(x)) .

Such a solution always exists and can be found in polynomially many field operations.

By construction, again for any \left(1-\frac{a}{n}\right) -close code word p(X) the irreducible polynomial Y-p(X) divides Q(X,Y). This already proves that the list size L \leq \frac{\sqrt{m \cdot (m+1) \cdot d \cdot n}}{d} < \sqrt{\frac{m \cdot (m+1)}{\rho}} .

  1. Find all factors of Q(X,Y) which are of the form

Y - p(X) ,

with p(X) being a polynomial over K of degree at most d = k - 1. There are at most \sqrt{\frac{m \cdot (m+1)}{\rho}} many. Filter out those which agree with f on at least a points.

As before, this step might be efficient or not, depending on the field K.

Remark 14. Choosing the discriminant method to find factors of the form Y - p(X), the Guruswami-Sudan list decoder taking at most

O\left(\max\left\{\frac{d^3 \cdot n^6 \cdot a^6}{(a^2 - d \cdot n)^6}, \frac{a^6}{k^3}\right\}\right)
field operations over K, see [GS99]. This is at most of order $O( D ^{15})$ .

Note that choosing

\alpha = \frac{a}{n} \ge \sqrt{\left(1 + \frac{1}{m}\right) \cdot \rho}

implies a large enough agreement parameter for the Protocol 6. In particular the choice \alpha = \left(1 + \frac{1}{2m}\right) \cdot \sqrt{\rho} used throughout the main part of the document is strong enough, since

\left(1 + \frac{1}{2 \cdot m}\right)^2 = 1 + \frac{1}{m} + \frac{1}{4 \cdot m^2} \ge 1 + \frac{1}{m}.

Let us summarize the consequences of Protocol 6.

Theorem 15 (Guruswami-Sudan). Let K be a general (possibly infinite) field, and

$$\mathsf{RS}_k[K,D] = \{ p(x) _{x \in D} \ : \ p(X) \in K[X], \deg(p) < D \}$$
the Reed-Solomon code of block length n= D and rate \rho=\frac{k}{n} . Choos a proximity parameter \theta=1-\left(1+\frac{1}{2\cdot m}\right)\cdot\sqrt{\rho} for some integer m\geq 1 . Then \mathsf{RS}_k[K,D] is list decodable for \theta with list bound

L \le \sqrt{\frac{m \cdot (m+1)}{\rho}} \le \frac{m + \frac{1}{2}}{\sqrt{\rho}}. (24)

If K is finite, then the Guruswami-Sudan decoder runs in polynomial time.

We say that a function f \in F^D has \mu -agreement of at least \alpha with another function g \in F^D ,

\mathsf{agree}_{\mu}(f,g) > \alpha,

if there is a set A \subseteq D of measure \mu(A) > \alpha on which both functions agree. Likewise we say that

\mathsf{agree}_{\mu}(f, \mathsf{RS}_k) > \alpha,

if there exists a p \in \mathsf{RS}_k[F,D] for which agree_\mu(f,p) > \alpha .

Theorem 16. (Full version of [BCI+ 20], Theorem 7.1) Let \theta \in \left(\frac{1-\rho}{2}, 1-\sqrt{\rho}\right) , where \theta = 1-\sqrt{\rho} \cdot \left(1+\frac{1}{2m}\right) , for some integer m \geq 3 , and assume that \mu is a sub-probability measure on D with common denominator M, i.e. for all x in D

\mu(\{x\}) = \frac{a_x}{M},

for an integer value a_x . Suppose that for f_0, f_1, \ldots, f_{N-1} \in F^D ,

$$\frac{\left \left\{\lambda: \mathsf{agree}_{\mu}(f_0 + \lambda \cdot f_1 + \ldots + \lambda^{N-1} \cdot f_{N-1}, \mathsf{RS}_k) > \alpha\right\}\right }{ F }$$
$$> \max \left( \varepsilon, (N-1) \cdot \frac{M \cdot D + 1}{ F } \cdot \frac{2m+1}{\sqrt{\rho}} \right),$$

with \varepsilon as in (2). Then there exist polynomials p_0(X) , p_1(X) , ..., p_{N-1}(X) from \mathsf{RS}_k[F,D] , and a set A of density \mu(A) > \alpha on which f_i coincides with p_i for all i = 0, \ldots, N-1 .

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