lightning-bolts/01-messaging-crypto-and-init.md

BOLT #1: Message Format, Encryption, Authentication and Initialization

All communications between Lightning nodes should be encrypted in order to provide confidentiality for all transcripts between nodes, and authenticated to avoid malicious interference. Each node has a known long-term identifier which is a public key on Bitcoin's secp256k1 curve. This long-term public key is used within the protocol to establish an encrypted+authenticated connection with peers, and also to authenticate any information advertised on the behalf of a node.

Communication Protocols

This protocol is written with TCP in mind, but could use any ordered, reliable transport.

The default TCP port is 9735. This corresponds to hexadecimal 2607, the unicode code point for LIGHTNING.²

Message Format and Handling

All messages are of form:

1. 4-byte big-endian data length.
2. 4-byte big-endian type.
3. Data bytes as specified by the length.

All data fields are big-endian unless otherwise specified.

Requirements

A node MUST NOT send a message with data length greater than 8388608 bytes. A node MUST NOT send an evenly-typed message not listed here without prior negotiation.

A node MUST disconnect if it receives a message with data length greater than 8388608 bytes; it MUST NOT fail the channels in that case.

A node MUST ignore a received message of unknown type, if that type is odd. A node MUST fail the channels if it receives a message of unknown type, if that type is even.

A node MUST ignore any additional data within a message, beyond the length it expects for that type.

Rationale

The standard endian of SHA2 and the encoding of bitcoin public keys are big endian, thus it would be unusual to use a different endian for other fields.

Length is limited to avoid memory exhaustion attacks, yet still allow (for example) an entire bitcoin block to be comfortable forwarded as a reasonable upper limit.

The "it's OK to be odd" rule allows for future optional extensions without negotiation or special coding in clients. The "ignore additional data" rule similarly allows for future expansion.

Cryptographic Messaging Overview

Prior to sending any protocol related messages, nodes must first initiate the cryptographic session state which is used to encrypt and authenticate all messages sent between nodes. The initialization of this cryptographic session state is completely distinct from any inner protocol message header or conventions.

The transcript between two nodes is separated into two distinct segments:

1. First, before any actual data transfer, both nodes participate in an authenticated key agreement protocol which is based off of the Noise Protocol Framework⁴.
2. If the initial handshake is successful, then nodes enter the transport message exchange phase. In the transport message exchange phase, all messages are AEAD ciphertexts.

Authenticated Key Agreement Handshake

The handshake chosen for the authenticated key exchange is Noise_XK. As a "pre-message", we assume that the initiator knows the identity public key of the responder. This handshake provides a degree of identity hiding for the responder, its public key is never transmitted during the handshake. Instead, authentication is achieved implicitly via a series of ECDH operations followed by a MAC check.

The authenticated key agreement (Noise_XK) is performed in three distinct steps. During each "act" of the handshake, some (possibly encrypted) keying material is sent to the other party, an ECDH is performed based on exactly which act is being executed with the result mixed into the current sent of encryption keys (ck and k), and finally an AEAD payload with a zero length cipher text is sent. As this payload is of length zero, only a MAC is sent across. The mixing of ECDH outputs into a hash digest forms an incremental TripleDH handshake.

Using the language of the Noise Protocol, e and s indicate possibly encrypted keying material, and es, ee, se indicates ECDH operations. The handshake is laid out as follows:

Noise_XK(s, rs):
   <- s
   ...
   -> e, es
   <- e, ee
   -> s, se

All of the handshake data sent across the wire including the keying material is incrementally hashed into a session-wide "handshake digest", h. Note that the handshake state h, is never transmitted during the handshake, instead digest is used as the Authenticated Data within the zero-length AEAD messages.

By authenticating each message sent, we can ensure that a MiTM hasn't modified or replaced any of the data sent across as part of a handshake, as the MAC check would fail on the other side if so.

A successful check of the MAC by the receiver indicates implicitly that all authentication has been successful up to that point. If MAC check ever fails during the handshake process, then the connection is to be immediately terminated.

Handshake Versioning

Each message sent during the initial handshake starts with a single leading byte which indicates the version used for the current handshake. A version of 0 indicates that no change is necessary, while a non-zero version indicate the client has deviated from the protocol originally specified within this document. Clients MUST reject handshake attempts initiated with an unknown version.

Transport Message Exchange

The actual protocol messages sent during the transport message exchange phase are encapsulated within AEAD ciphertexts. Each message is prefixed with another AEAD ciphertext which encodes the total length of the next transport message. The length prefix itself is protected with a MAC in order to avoid the creation of an oracle and to also prevent a MiTM from modifying the length prefix thereby causing a node to erroneously read an incorrect number of bytes.

Protocol Message Encapsulation

Once both sides have entered the transport message exchange phase (after a successful completion of the handshake), Lightning Network protocol messages will be encapsulated within the exchanged AEAD ciphertexts. The maximum size of transport messages is 65535-bytes. Node MUST NOT send a transport message which exceeds this size. Note that this is only a cryptographic messaging limit within the protocol, and not a limit on the message size of Lightning Network protocol messages. A Lightning Network message which exceeds this size can be chunked into several messages before being sent.

Noise Protocol Instantiation

Concrete instantiations of the Noise Protocol are require the definition of three abstract cryptographic objects: the hash function, the elliptic curve, and finally the AEAD cipher scheme. Within our instantiation SHA-256 is chosen as the hash function, secp256k1 as the elliptic curve, and finally ChaChaPoly-1305 as the AEAD construction. The composition of ChaChaPoly and Poly1305 used MUST conform to RFC 7539³. With this laid out, the official Noise protocol name for our variant is: Noise_XK_secp256k1_ChaChaPoly_SHA256. The ascii string representation of this value is hashed into a digest used to initialize the starting handshake state. If the protocol names of two endpoints differs, then the handshake process fails immediately.

Authenticated Key Exchange Handshake Specification

The handshake proceeds in three acts, taking 1.5 round trips. Each handshake is a fixed sized payload without any header or additional meta-data attached. The exact size of each Act is as follows:

• Act One: 50 bytes
• Act Two: 50 bytes
• Act Three: 66 bytes

Handshake State

Throughout the handshake process, each side maintains these three variables:

• ck: The chaining key. This value is the accumulated hash of all previous ECDH outputs. At the end of the handshake, ck is used to derive the encryption keys for transport messages.

• h: The handshake hash. This value is the accumulated hash of all handshake data that has been sent and received so far during the handshake process.

• temp_k: An intermediate key key used to encrypt/decrypt the zero-length AEAD payloads at the end of each handshake message.

• n: A counter-based nonce which is to be used with temp_k to encrypt each message with a new nonce.

• e: A party's ephemeral public key. For each session a node MUST generate a new ephemeral key with strong cryptographic randomness.

• s: A party's static public key.

The following functions will also be referenced:

• HKDF: a function is defined in 3, evaluated with a zero-length info field.

• encryptWithAD(ad, plaintext): outputs encrypt(k, n++, ad, plaintext)

  • where encrypt is an evaluation of ChaChaPoly-Poly1305 with the passed arguments.

• decryptWithAD(ad, ciphertext): outputs decrypt(k, n++, ad, ciphertext)

  • where decrypt is an evaluation of ChaChaPoly-Poly1305 with the passed arguments.

• e = generateKey()

  • where generateKey generates a fresh secp256k1 keypair

• a || b denotes the concatenation of two byte strings a and b

Handshake State Initialization

Before the start of the first act, both sides initialize their per-sessions state as follows:

• h = SHA-256(protocolName)

  • where protocolName = "Noise_XK_secp256k1_ChaChaPoly_SHA256" encoded as an ascii string.

• ck = h

• temp_k = empty

  • where empty is a byte string of length 32 fully zeroed out.

• n = 0

• h = SHA-256(h || prologue)

  • where prologue is the ascii string: lightning.

As a concluding step, both sides mix the responder's public key into the handshake digest:

• The initiating node mixes in the responding node's static public key serialized in Bitcoin's DER compressed format:

  • h = SHA-256(h || rs.serializeCompressed())

• The responding node mixes in their local static public key serialized in Bitcoin's DER compressed format:

  • h = SHA-256(h || ls.serializeCompressed())

Handshake Exchange

Act One

    -> e, es

Act One is sent from initiator to responder. During Act One, the initiator attempts to satisfy an implicit challenge by the responder. To complete this challenge, the initiator must know the static public key of the responder.

The handshake message is exactly 50 bytes: 1 byte for the handshake version, 33 bytes for the compressed ephemeral public key of the initiator, and 16 bytes for the poly1305 tag.

Sender Actions:

• e = generateKey()

• h = SHA-256(h || e.serializeCompressed())

  • The newly generated ephemeral key is accumulated into our running handshake digest.

• s = ECDH(e, rs)

  • The initiator performs a ECDH between its newly generated ephemeral key with the remote node's static public key.

• ck, temp_k = HKDF(ck, s)

  • This phase generates a new temporary encryption key (temp_k) which is used to generate the authenticating MAC.

• c = encryptWithAD(h, zero)

  • where zero is a zero-length plaintext

• h = SHA-256(h || c)

  • Finally, the generated ciphertext is accumulated into the authenticating handshake digest.

• Send m = 0 || e || c to the responder over the network buffer.

Receiver Actions:

• Read exactly 50-bytes from the network buffer.

• Parse out the read message (m) into v = m[0], e = m[1:34] and c = m[43:]

  • where m[0] is the first byte of m, m[1:33] are the next 33 bytes of m and m[34:] is the last 16 bytes of m

• If v is an unrecognized handshake version, then the the responder MUST abort the connection attempt.

• h = SHA-256(h || e.serializeCompressed())

  • Accumulate the initiator's ephemeral key into the authenticating handshake digest.

• s = ECDH(s, e)

  • The responder performs an ECDH between its static public key and the initiator's ephemeral public key.

• ck, temp_k = HKDF(ck, s)

  • This phase generates a new temporary encryption key (temp_k) which will be used to shortly check the authenticating MAC.

• p = decryptWithAD(h, c)

  • If the MAC check in this operation fails, then the initiator does not know our static public key. If so, then the responder MUST terminate the connection without any further messages.

• h = SHA-256(h || c)

  • Mix the received ciphertext into the handshake digest. This step serves to ensure the payload wasn't modified by a MiTM.

Act Two

   <- e, ee

Act Two is sent from the responder to the initiator. Act Two will only take place if Act One was successful. Act One was successful if the responder was able to properly decrypt and check the MAC of the tag sent at the end of Act One.

The handshake is exactly 50 bytes: 1 byte for the handshake version, 33 bytes for the compressed ephemeral public key of the initiator, and 16 bytes for the poly1305 tag.

Sender Actions:

• e = generateKey()

• h = SHA-256(h || e.serializeCompressed())

  • The newly generated ephemeral key is accumulated into our running handshake digest.

• s = ECDH(e, re)

  • where re is the ephemeral key of the initiator which was received during ActOne.

• ck, temp_k = HKDF(ck, s)

  • This phase generates a new temporary encryption key (temp_k) which is used to generate the authenticating MAC.

• c = encryptWithAD(h, zero)

  • where zero is a zero-length plaintext

• h = SHA-256(h || c)

  • Finally, the generated ciphertext is accumulated into the authenticating handshake digest.

• Send m = 0 || e || c to the initiator over the network buffer.

Receiver Actions:

• Read exactly 50-bytes from the network buffer.

• Parse out the read message (m) into v = m[0], e = m[1:34]andc = m[43:]`

  • where m[0] is the first byte of m, m[1:33] are the next 33 bytes of m and m[34:] is the last 16 bytes of m

• If v is an unrecognized handshake version, then the the responder MUST abort the connection attempt.

• h = SHA-256(h || e.serializeCompressed())

• s = ECDH(re, e)

  • where re is the responder's ephemeral public key.

• ck, temp_k = HKDF(ck, s)

  • This phase generates a new temporary encryption key (temp_k) which is used to generate the authenticating MAC.

• p = decryptWithAD(h, c)

  • If the MAC check in this operation fails, then the initiator MUST terminate the connection without any further messages.

• h = SHA-256(h || c)

  • Mix the received ciphertext into the handshake digest. This step serves to ensure the payload wasn't modified by a MiTM.

Act Three

   -> s, se

Act Three is the final phase in the authenticated key agreement described in this section. This act is sent from the initiator to the responder as a final concluding step. Act Three is only executed iff Act Two was successful. During Act Three, the initiator transports its static public key to the responder encrypted with strong forward secrecy using the accumulated HKDF derived secret key at this point of the handshake.

The handshake is exactly 66 bytes: 1 byte for the handshake version, 33 bytes for the ephemeral public key encrypted with the ChaCha20 stream cipher, 16 bytes for the encrypted public key's tag generated via the AEAD construction, and 16 bytes for a final authenticating tag.

Sender Actions:

• c = encryptWithAD(h, s.serializeCompressed())

  • where s is the static public key of the initiator.

• h = SHA-256(h || c)

• s = ECDH(s, re)

  • where re is the ephemeral public key of the responder.

• ck, temp_k = HKDF(ck, s)

  • Mix the finaly intermediate shared secret into the running chaining key.

• t = encryptWithAD(h, zero)

  • where zero is a zero-length plaintext

• h = SHA-256(h || t)

• sk, rk = HKDF(ck, zero)

  • where zero is a zero-length plaintext,

    sk is the key to be used by the initiator to encrypt messages to the responder,

    and rk is the key to be used by the initiator to decrypt messages sent by the responder.

  • This step generates the final encryption keys to be used for sending and receiving messages for the duration of the session.

• Send m = 0 || c || t over the network buffer.

Receiver Actions:

• Read exactly 66-bytes from the network buffer.

• Parse out the read message (m) into v = m[0], c = m[1:50] and t = m[50:]

• If v is an unrecognized handshake version, then the the responder MUST abort the connection attempt.

• `rs = decryptWithAD(h, c)

  • At this point, the responder has recovered the static public key of the initiator.

• h = SHA-256(h || rs.serializeCompressed())

• s = ECDH(e, rs)

  • where e is the responder's original ephemeral key

• p = decryptWithAD(h, t)

  • If the MAC check in this operation fails, then the responder MUST terminate the connection without any further messages.

• rk, sk = HKDF(ck, zero)

  • where zero is a zero-length plaintext,

    rk is the key to be used by the responder to decrypt the messages sent by the responder,

    and sk is the key to be used by the initiator to encrypt messages to the responder,

  • This step generates the final encryption keys to be used for sending and receiving messages for the duration of the session.

Transport Message Specification

At the conclusion of Act Three both sides have derived the encryption keys which will be used to encrypt/decrypt messages for the remainder of the session.

The maximum size of any transport message MUST NOT exceed 65535 bytes. A maximum payload size of 65535 simplifies testing and also makes memory management and avoid exhaustion attacks easy. Note that the protocol messages encapsulated in within the encrypted transport messages can be larger that the maximum transport messages. If a party wishes to send a message larger then 65535 bytes, then they can simply partition the message into chunks less than the maximum size, sending each of them sequentially. Messages which exceed the max message size MUST be partitioned into chunks of size 65519 bytes, in order to leave room for the 16-byte MAC.

In order to make make traffic analysis more difficult, then length prefix for all encrypted transport messages is also encrypted. We additionally add a 16-byte Poly-1305 tag to the encrypted length prefix in order to ensure that the packet length hasn't been modified with in-flight, and also to avoid creating a decryption oracle.

The structure of transport messages resembles the following:

+------------------------------
|2-byte encrypted packet length|
+------------------------------
| 16-byte MAC of the encrypted |
|        packet length         |
+------------------------------
|                              |
|                              |
|          ciphertext          |
|                              |
|                              |
+------------------------------

The prefixed packet lengths are encoded as a 16-byte big-endian integer.

Encrypting Messages

In order to encrypt a message (m), given a sending key (sk), and a nonce (n), the following is done:

• let l = len(m), where len obtains the length in bytes of the message.

• Serialize l into 2-bytes encoded as a big-endian integer.

• Encrypt l using ChaChaPoly-1305, n, and sk to obtain lc (18-bytes)

  • The nonce for `sk MUST be incremented after this step.

• Finally encrypt the message itself (m) using the same procedure used to encrypt the length prefix. Let encrypted ciphertext be known as c.

  • The nonce for sk MUST be incremented after this step.

• Send lc || c over the network buffer.

Decrypting Messages

In order to decrypt the next message in the network stream, the following is done:

• Read exactly 18-bytes from the network buffer.

• Let the encrypted length prefix be known as lc

• Decrypt lc using ChaChaPoly-1305, n, and rk to obtain size of the encrypted packet l.

  • The nonce for rk MUST be incremented after this step.

• Read exactly l bytes from the network buffer, let the bytes be known as c.

• Decrypt c using ChaChaPoly-1305, n, and rk to obtain decrypted plaintext packet p.

  • The nonce for rk MUST be incremented after this step.

Transport Message Key Rotation

Changing keys regularly and forgetting the previous key is useful for preventing decryption of old messages in the case of later key leakage (ie. backwards secrecy).

Key rotation is performed for each key (sk and rk) _individually _. A key is to be rotated after a party sends of decrypts 1000 messages with it. This can be properly accounted for by rotating the key once the nonce dedicated to it exceeds 1000.

Key rotation for a key k is performed according to the following:

• Let ck be the chaining key obtained at the end of Act Three.
• ck, k' = HKDF(ck, k)
  • The underscore indicates that only 32-bytes are extracted from the HKDF.
• Reset the nonce for the key to n = 0.
• k = k'

Future Directions

Protocol messages may be padded out to the full maximum message length in order to max traffic analysis even more difficult.

The initial handshake message may also be padded out to a fixed size in order to obscure exactly which of the Noise handshakes is being executed.

In order to allow zero-RTT encrypted+authenticated communication, a Noise Pipes protocol can be adopted which composes two handshakes, potentially falling back to a full handshake if static public keys have changed.

Initialization Message

Once authentication is complete, the first message reveals the features supported or required by this node. Odd features are optional, even features are compulsory ("it's OK to be odd!"). The meaning of these bits will be defined in future.

1. type: 16 (MSG_INIT)
2. data: [4:len] [len:globalfeatures] [4:len] [len:localfeatures]

The 4-byte len fields indicate the number of bytes in the immediately following field.

Requirements

The sending node SHOULD use the minimum lengths required to represent the feature fields. The sending node MUST set feature bits corresponding to features is requires the peer to support, and SHOULD set feature bits corresponding to features it optionally supports.

The receiving node MUST fail the channels if it receives a globalfeatures or localfeatures with an even bit set which it does not understand.

Each node MUST wait to receive MSG_INIT before sending any other messages.

Rationale

The even/odd semantic allows future incompatible changes, or backward compatible changes. Bits should generally be assigned in pairs, so that optional features can later become compulsory.

Nodes wait for receipt of the other's features to simplify error diagnosis where features are incompatible.

Error Message

For simplicity of diagnosis, it is often useful to tell the peer that something is incorrect.

1. type: 17 (MSG_ERROR)
2. data: [8:channel-id] [4:len] [len:data]

The 4-byte len field indicates the number of bytes in the immediately following field.

Requirements

A node SHOULD send MSG_ERROR for protocol violations or internal errors which make channels unusable or further communication unusable. A node MAY send an empty [data] field. A node sending MSG_ERROR MUST fail the channel referred to by the channel-id, or if channel-id is 0xFFFFFFFFFFFFFFFF it MUST fail all channels and MUST close the connection. A node MUST NOT set len to greater than the data length.

A node receiving MSG_ERROR MUST fail the channel referred to by channel-id, or if channel-id is 0xFFFFFFFFFFFFFFFF it MUST fail all channels and MUST close the connection. A receiving node MUST truncate len to the remainder of the packet if it is larger.

A receiving node SHOULD only print out data verbatim if it is a valid string.

Rationale

There are unrecoverable errors which require abort of conversations; if the connection is simply dropped then the peer may retry connection. It's also useful to describe protocol violations for diagnosis, as it indicates that one peer has a bug.

It may be wise not to distinguish errors in production settings, lest it leak information, thus the optional data field.

Security Considerations

It is strongly recommended that existing, commonly-used, validated libraries be used for encryption and decryption, to avoid the many implementation pitfalls possible.

Acknowledgements

TODO(roasbeef); fin

References

1. https://en.bitcoin.it/wiki/Secp256k1
2. http://www.unicode.org/charts/PDF/U2600.pdf
3. https://tools.ietf.org/html/rfc7539
4. http://noiseprotocol.org/noise.html

Authors

FIXME

This work is licensed under a Creative Commons Attribution 4.0 International License.