# Capella -- The Beacon Chain ## Table of contents - [Introduction](#introduction) - [Custom types](#custom-types) - [Constants](#constants) - [Domain types](#domain-types) - [Preset](#preset) - [Misc](#misc) - [State list lengths](#state-list-lengths) - [Max operations per block](#max-operations-per-block) - [Execution](#execution) - [Configuration](#configuration) - [Containers](#containers) - [New containers](#new-containers) - [`Withdrawal`](#withdrawal) - [`BLSToExecutionChange`](#blstoexecutionchange) - [`SignedBLSToExecutionChange`](#signedblstoexecutionchange) - [Extended Containers](#extended-containers) - [`ExecutionPayload`](#executionpayload) - [`ExecutionPayloadHeader`](#executionpayloadheader) - [`Validator`](#validator) - [`BeaconBlockBody`](#beaconblockbody) - [`BeaconState`](#beaconstate) - [Helpers](#helpers) - [Beacon state mutators](#beacon-state-mutators) - [`withdraw`](#withdraw) - [Predicates](#predicates) - [`has_eth1_withdrawal_credential`](#has_eth1_withdrawal_credential) - [`is_fully_withdrawable_validator`](#is_fully_withdrawable_validator) - [`is_partially_withdrawable_validator`](#is_partially_withdrawable_validator) - [Beacon chain state transition function](#beacon-chain-state-transition-function) - [Epoch processing](#epoch-processing) - [Full withdrawals](#full-withdrawals) - [Partial withdrawals](#partial-withdrawals) - [Block processing](#block-processing) - [New `process_withdrawals`](#new-process_withdrawals) - [Modified `process_execution_payload`](#modified-process_execution_payload) - [Modified `process_operations`](#modified-process_operations) - [New `process_bls_to_execution_change`](#new-process_bls_to_execution_change) - [Testing](#testing) ## Introduction Capella is a consensus-layer upgrade containing a number of features related to validator withdrawals. Including: * Automatic withdrawals of `withdrawable` validators * Partial withdrawals sweep for validators with 0x01 withdrawal credentials and balances in exceess of `MAX_EFFECTIVE_BALANCE` * Operation to change from `BLS_WITHDRAWAL_PREFIX` to `ETH1_ADDRESS_WITHDRAWAL_PREFIX` versioned withdrawal credentials to enable withdrawals for a validator ## Custom types We define the following Python custom types for type hinting and readability: | Name | SSZ equivalent | Description | | - | - | - | | `WithdrawalIndex` | `uint64` | an index of a `Withdrawal`| ## Constants ### Domain types | Name | Value | | - | - | | `DOMAIN_BLS_TO_EXECUTION_CHANGE` | `DomainType('0x0A000000')` | ## Preset ### Misc | Name | Value | | - | - | | `MAX_PARTIAL_WITHDRAWALS_PER_EPOCH` | `uint64(2**8)` (= 256) | ### State list lengths | Name | Value | Unit | Duration | | - | - | :-: | :-: | | `WITHDRAWAL_QUEUE_LIMIT` | `uint64(2**40)` (= 1,099,511,627,776) | withdrawals enqueued in state| ### Max operations per block | Name | Value | | - | - | | `MAX_BLS_TO_EXECUTION_CHANGES` | `2**4` (= 16) | ### Execution | Name | Value | Description | | - | - | - | | `MAX_WITHDRAWALS_PER_PAYLOAD` | `uint64(2**4)` (= 16) | Maximum amount of withdrawals allowed in each payload | ## Configuration ## Containers ### New containers #### `Withdrawal` ```python class Withdrawal(Container): index: WithdrawalIndex address: ExecutionAddress amount: Gwei ``` #### `BLSToExecutionChange` ```python class BLSToExecutionChange(Container): validator_index: ValidatorIndex from_bls_pubkey: BLSPubkey to_execution_address: ExecutionAddress ``` #### `SignedBLSToExecutionChange` ```python class SignedBLSToExecutionChange(Container): message: BLSToExecutionChange signature: BLSSignature ``` ### Extended Containers #### `ExecutionPayload` ```python class ExecutionPayload(Container): # Execution block header fields parent_hash: Hash32 fee_recipient: ExecutionAddress # 'beneficiary' in the yellow paper state_root: Bytes32 receipts_root: Bytes32 logs_bloom: ByteVector[BYTES_PER_LOGS_BLOOM] prev_randao: Bytes32 # 'difficulty' in the yellow paper block_number: uint64 # 'number' in the yellow paper gas_limit: uint64 gas_used: uint64 timestamp: uint64 extra_data: ByteList[MAX_EXTRA_DATA_BYTES] base_fee_per_gas: uint256 # Extra payload fields block_hash: Hash32 # Hash of execution block transactions: List[Transaction, MAX_TRANSACTIONS_PER_PAYLOAD] withdrawals: List[Withdrawal, MAX_WITHDRAWALS_PER_PAYLOAD] # [New in Capella] ``` #### `ExecutionPayloadHeader` ```python class ExecutionPayloadHeader(Container): # Execution block header fields parent_hash: Hash32 fee_recipient: ExecutionAddress state_root: Bytes32 receipts_root: Bytes32 logs_bloom: ByteVector[BYTES_PER_LOGS_BLOOM] prev_randao: Bytes32 block_number: uint64 gas_limit: uint64 gas_used: uint64 timestamp: uint64 extra_data: ByteList[MAX_EXTRA_DATA_BYTES] base_fee_per_gas: uint256 # Extra payload fields block_hash: Hash32 # Hash of execution block transactions_root: Root withdrawals_root: Root # [New in Capella] ``` #### `Validator` ```python class Validator(Container): pubkey: BLSPubkey withdrawal_credentials: Bytes32 # Commitment to pubkey for withdrawals effective_balance: Gwei # Balance at stake slashed: boolean # Status epochs activation_eligibility_epoch: Epoch # When criteria for activation were met activation_epoch: Epoch exit_epoch: Epoch withdrawable_epoch: Epoch # When validator can withdraw funds fully_withdrawn_epoch: Epoch # [New in Capella] ``` #### `BeaconBlockBody` ```python class BeaconBlockBody(Container): randao_reveal: BLSSignature eth1_data: Eth1Data # Eth1 data vote graffiti: Bytes32 # Arbitrary data # Operations proposer_slashings: List[ProposerSlashing, MAX_PROPOSER_SLASHINGS] attester_slashings: List[AttesterSlashing, MAX_ATTESTER_SLASHINGS] attestations: List[Attestation, MAX_ATTESTATIONS] deposits: List[Deposit, MAX_DEPOSITS] voluntary_exits: List[SignedVoluntaryExit, MAX_VOLUNTARY_EXITS] sync_aggregate: SyncAggregate # Execution execution_payload: ExecutionPayload # Capella operations bls_to_execution_changes: List[SignedBLSToExecutionChange, MAX_BLS_TO_EXECUTION_CHANGES] # [New in Capella] ``` #### `BeaconState` ```python class BeaconState(Container): # Versioning genesis_time: uint64 genesis_validators_root: Root slot: Slot fork: Fork # History latest_block_header: BeaconBlockHeader block_roots: Vector[Root, SLOTS_PER_HISTORICAL_ROOT] state_roots: Vector[Root, SLOTS_PER_HISTORICAL_ROOT] historical_roots: List[Root, HISTORICAL_ROOTS_LIMIT] # Eth1 eth1_data: Eth1Data eth1_data_votes: List[Eth1Data, EPOCHS_PER_ETH1_VOTING_PERIOD * SLOTS_PER_EPOCH] eth1_deposit_index: uint64 # Registry validators: List[Validator, VALIDATOR_REGISTRY_LIMIT] balances: List[Gwei, VALIDATOR_REGISTRY_LIMIT] # Randomness randao_mixes: Vector[Bytes32, EPOCHS_PER_HISTORICAL_VECTOR] # Slashings slashings: Vector[Gwei, EPOCHS_PER_SLASHINGS_VECTOR] # Per-epoch sums of slashed effective balances # Participation previous_epoch_participation: List[ParticipationFlags, VALIDATOR_REGISTRY_LIMIT] current_epoch_participation: List[ParticipationFlags, VALIDATOR_REGISTRY_LIMIT] # Finality justification_bits: Bitvector[JUSTIFICATION_BITS_LENGTH] # Bit set for every recent justified epoch previous_justified_checkpoint: Checkpoint current_justified_checkpoint: Checkpoint finalized_checkpoint: Checkpoint # Inactivity inactivity_scores: List[uint64, VALIDATOR_REGISTRY_LIMIT] # Sync current_sync_committee: SyncCommittee next_sync_committee: SyncCommittee # Execution latest_execution_payload_header: ExecutionPayloadHeader # Withdrawals withdrawal_queue: List[Withdrawal, WITHDRAWAL_QUEUE_LIMIT] # [New in Capella] next_withdrawal_index: WithdrawalIndex # [New in Capella] next_partial_withdrawal_validator_index: ValidatorIndex # [New in Capella] ``` ## Helpers ### Beacon state mutators #### `withdraw` ```python def withdraw_balance(state: BeaconState, index: ValidatorIndex, amount: Gwei) -> None: # Decrease the validator's balance decrease_balance(state, index, amount) # Create a corresponding withdrawal receipt withdrawal = Withdrawal( index=state.next_withdrawal_index, address=ExecutionAddress(state.validators[index].withdrawal_credentials[12:]), amount=amount, ) state.next_withdrawal_index = WithdrawalIndex(state.next_withdrawal_index + 1) state.withdrawal_queue.append(withdrawal) ``` ### Predicates #### `has_eth1_withdrawal_credential` ```python def has_eth1_withdrawal_credential(validator: Validator) -> bool: """ Check if ``validator`` has an 0x01 prefixed "eth1" withdrawal credential """ return validator.withdrawal_credentials[:1] == ETH1_ADDRESS_WITHDRAWAL_PREFIX ``` #### `is_fully_withdrawable_validator` ```python def is_fully_withdrawable_validator(validator: Validator, epoch: Epoch) -> bool: """ Check if ``validator`` is fully withdrawable. """ return ( has_eth1_withdrawal_credential(validator) and validator.withdrawable_epoch <= epoch < validator.fully_withdrawn_epoch ) ``` #### `is_partially_withdrawable_validator` ```python def is_partially_withdrawable_validator(validator: Validator, balance: Gwei) -> bool: """ Check if ``validator`` is partially withdrawable. """ has_max_effective_balance = validator.effective_balance == MAX_EFFECTIVE_BALANCE has_excess_balance = balance > MAX_EFFECTIVE_BALANCE return has_eth1_withdrawal_credential(validator) and has_max_effective_balance and has_excess_balance ``` ## Beacon chain state transition function ### Epoch processing ```python def process_epoch(state: BeaconState) -> None: process_justification_and_finalization(state) process_inactivity_updates(state) process_rewards_and_penalties(state) process_registry_updates(state) process_slashings(state) process_eth1_data_reset(state) process_effective_balance_updates(state) process_slashings_reset(state) process_randao_mixes_reset(state) process_historical_roots_update(state) process_participation_flag_updates(state) process_sync_committee_updates(state) process_full_withdrawals(state) # [New in Capella] process_partial_withdrawals(state) # [New in Capella] ``` #### Full withdrawals *Note*: The function `process_full_withdrawals` is new. ```python def process_full_withdrawals(state: BeaconState) -> None: current_epoch = get_current_epoch(state) for index, validator in enumerate(state.validators): if is_fully_withdrawable_validator(validator, current_epoch): # TODO, consider the zero-balance case withdraw_balance(state, ValidatorIndex(index), state.balances[index]) validator.fully_withdrawn_epoch = current_epoch ``` #### Partial withdrawals *Note*: The function `process_partial_withdrawals` is new. ```python def process_partial_withdrawals(state: BeaconState) -> None: partial_withdrawals_count = 0 # Begin where we left off last time validator_index = state.next_partial_withdrawal_validator_index for _ in range(len(state.validators)): balance = state.balances[validator_index] validator = state.validators[validator_index] if is_partially_withdrawable_validator(validator, balance): withdraw_balance(state, validator_index, balance - MAX_EFFECTIVE_BALANCE) partial_withdrawals_count += 1 # Iterate to next validator to check for partial withdrawal validator_index = ValidatorIndex((validator_index + 1) % len(state.validators)) # Exit if performed maximum allowable withdrawals if partial_withdrawals_count == MAX_PARTIAL_WITHDRAWALS_PER_EPOCH: break state.next_partial_withdrawal_validator_index = validator_index ``` ### Block processing ```python def process_block(state: BeaconState, block: BeaconBlock) -> None: process_block_header(state, block) if is_execution_enabled(state, block.body): process_withdrawals(state, block.body.execution_payload) # [New in Capella] process_execution_payload(state, block.body.execution_payload, EXECUTION_ENGINE) # [Modified in Capella] process_randao(state, block.body) process_eth1_data(state, block.body) process_operations(state, block.body) process_sync_aggregate(state, block.body.sync_aggregate) ``` #### New `process_withdrawals` ```python def process_withdrawals(state: BeaconState, payload: ExecutionPayload) -> None: num_withdrawals = min(MAX_WITHDRAWALS_PER_PAYLOAD, len(state.withdrawal_queue)) dequeued_withdrawals = state.withdrawal_queue[:num_withdrawals] assert len(dequeued_withdrawals) == len(payload.withdrawals) for dequeued_withdrawal, withdrawal in zip(dequeued_withdrawals, payload.withdrawals): assert dequeued_withdrawal == withdrawal # Remove dequeued withdrawals from state state.withdrawal_queue = state.withdrawal_queue[num_withdrawals:] ``` #### Modified `process_execution_payload` *Note*: The function `process_execution_payload` is modified to use the new `ExecutionPayloadHeader` type. ```python def process_execution_payload(state: BeaconState, payload: ExecutionPayload, execution_engine: ExecutionEngine) -> None: # Verify consistency of the parent hash with respect to the previous execution payload header if is_merge_transition_complete(state): assert payload.parent_hash == state.latest_execution_payload_header.block_hash # Verify prev_randao assert payload.prev_randao == get_randao_mix(state, get_current_epoch(state)) # Verify timestamp assert payload.timestamp == compute_timestamp_at_slot(state, state.slot) # Verify the execution payload is valid assert execution_engine.notify_new_payload(payload) # Cache execution payload header state.latest_execution_payload_header = ExecutionPayloadHeader( parent_hash=payload.parent_hash, fee_recipient=payload.fee_recipient, state_root=payload.state_root, receipts_root=payload.receipts_root, logs_bloom=payload.logs_bloom, prev_randao=payload.prev_randao, block_number=payload.block_number, gas_limit=payload.gas_limit, gas_used=payload.gas_used, timestamp=payload.timestamp, extra_data=payload.extra_data, base_fee_per_gas=payload.base_fee_per_gas, block_hash=payload.block_hash, transactions_root=hash_tree_root(payload.transactions), withdrawals_root=hash_tree_root(payload.withdrawals), # [New in Capella] ) ``` #### Modified `process_operations` *Note*: The function `process_operations` is modified to process `BLSToExecutionChange` operations included in the block. ```python def process_operations(state: BeaconState, body: BeaconBlockBody) -> None: # Verify that outstanding deposits are processed up to the maximum number of deposits assert len(body.deposits) == min(MAX_DEPOSITS, state.eth1_data.deposit_count - state.eth1_deposit_index) def for_ops(operations: Sequence[Any], fn: Callable[[BeaconState, Any], None]) -> None: for operation in operations: fn(state, operation) for_ops(body.proposer_slashings, process_proposer_slashing) for_ops(body.attester_slashings, process_attester_slashing) for_ops(body.attestations, process_attestation) for_ops(body.deposits, process_deposit) for_ops(body.voluntary_exits, process_voluntary_exit) for_ops(body.bls_to_execution_changes, process_bls_to_execution_change) # [New in Capella] ``` #### New `process_bls_to_execution_change` ```python def process_bls_to_execution_change(state: BeaconState, signed_address_change: SignedBLSToExecutionChange) -> None: address_change = signed_address_change.message assert address_change.validator_index < len(state.validators) validator = state.validators[address_change.validator_index] assert validator.withdrawal_credentials[:1] == BLS_WITHDRAWAL_PREFIX assert validator.withdrawal_credentials[1:] == hash(address_change.from_bls_pubkey)[1:] domain = get_domain(state, DOMAIN_BLS_TO_EXECUTION_CHANGE) signing_root = compute_signing_root(address_change, domain) assert bls.Verify(address_change.from_bls_pubkey, signing_root, signed_address_change.signature) validator.withdrawal_credentials = ( ETH1_ADDRESS_WITHDRAWAL_PREFIX + b'\x00' * 11 + address_change.to_execution_address ) ``` ## Testing *Note*: The function `initialize_beacon_state_from_eth1` is modified for pure Capella testing only. Modifications include: 1. Use `CAPELLA_FORK_VERSION` as the previous and current fork version. 2. Utilize the Capella `BeaconBlockBody` when constructing the initial `latest_block_header`. ```python def initialize_beacon_state_from_eth1(eth1_block_hash: Hash32, eth1_timestamp: uint64, deposits: Sequence[Deposit], execution_payload_header: ExecutionPayloadHeader=ExecutionPayloadHeader() ) -> BeaconState: fork = Fork( previous_version=CAPELLA_FORK_VERSION, # [Modified in Capella] for testing only current_version=CAPELLA_FORK_VERSION, # [Modified in Capella] epoch=GENESIS_EPOCH, ) state = BeaconState( genesis_time=eth1_timestamp + GENESIS_DELAY, fork=fork, eth1_data=Eth1Data(block_hash=eth1_block_hash, deposit_count=uint64(len(deposits))), latest_block_header=BeaconBlockHeader(body_root=hash_tree_root(BeaconBlockBody())), randao_mixes=[eth1_block_hash] * EPOCHS_PER_HISTORICAL_VECTOR, # Seed RANDAO with Eth1 entropy ) # Process deposits leaves = list(map(lambda deposit: deposit.data, deposits)) for index, deposit in enumerate(deposits): deposit_data_list = List[DepositData, 2**DEPOSIT_CONTRACT_TREE_DEPTH](*leaves[:index + 1]) state.eth1_data.deposit_root = hash_tree_root(deposit_data_list) process_deposit(state, deposit) # Process activations for index, validator in enumerate(state.validators): balance = state.balances[index] validator.effective_balance = min(balance - balance % EFFECTIVE_BALANCE_INCREMENT, MAX_EFFECTIVE_BALANCE) if validator.effective_balance == MAX_EFFECTIVE_BALANCE: validator.activation_eligibility_epoch = GENESIS_EPOCH validator.activation_epoch = GENESIS_EPOCH # Set genesis validators root for domain separation and chain versioning state.genesis_validators_root = hash_tree_root(state.validators) # Fill in sync committees # Note: A duplicate committee is assigned for the current and next committee at genesis state.current_sync_committee = get_next_sync_committee(state) state.next_sync_committee = get_next_sync_committee(state) # Initialize the execution payload header state.latest_execution_payload_header = execution_payload_header return state ```