# Capella -- The Beacon Chain ## Table of contents - [Introduction](#introduction) - [Custom types](#custom-types) - [Domain types](#domain-types) - [Preset](#preset) - [Max operations per block](#max-operations-per-block) - [Execution](#execution) - [Withdrawals processing](#withdrawals-processing) - [Containers](#containers) - [New containers](#new-containers) - [`Withdrawal`](#withdrawal) - [`BLSToExecutionChange`](#blstoexecutionchange) - [`SignedBLSToExecutionChange`](#signedblstoexecutionchange) - [`HistoricalSummary`](#historicalsummary) - [Extended Containers](#extended-containers) - [`ExecutionPayload`](#executionpayload) - [`ExecutionPayloadHeader`](#executionpayloadheader) - [`BeaconBlockBody`](#beaconblockbody) - [`BeaconState`](#beaconstate) - [Helpers](#helpers) - [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) - [Historical summaries updates](#historical-summaries-updates) - [Block processing](#block-processing) - [New `get_expected_withdrawals`](#new-get_expected_withdrawals) - [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 excess 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. Another new feature is the new independent state and block historical accumulators that replace the original singular historical roots. With these accumulators, it becomes possible to validate the entire block history that led up to that particular state without any additional information beyond the state and the blocks. ## 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` | ### Domain types | Name | Value | | - | - | | `DOMAIN_BLS_TO_EXECUTION_CHANGE` | `DomainType('0x0A000000')` | ## Preset ### 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 | ### Withdrawals processing | Name | Value | | - | - | | `MAX_VALIDATORS_PER_WITHDRAWALS_SWEEP` | `16384` (= 2**14 ) | ## Containers ### New containers #### `Withdrawal` ```python class Withdrawal(Container): index: WithdrawalIndex validator_index: ValidatorIndex 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 ``` #### `HistoricalSummary` ```python class HistoricalSummary(Container): """ `HistoricalSummary` matches the components of the phase0 `HistoricalBatch` making the two hash_tree_root-compatible. """ block_summary_root: Root state_summary_root: Root ``` ### 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] ``` #### `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] # Frozen in Capella, replaced by historical_summaries # 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 # [Modified in Capella] # Withdrawals next_withdrawal_index: WithdrawalIndex # [New in Capella] next_withdrawal_validator_index: ValidatorIndex # [New in Capella] # Deep history valid from Capella onwards historical_summaries: List[HistoricalSummary, HISTORICAL_ROOTS_LIMIT] # [New in Capella] ``` ## Helpers ### 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, balance: Gwei, epoch: Epoch) -> bool: """ Check if ``validator`` is fully withdrawable. """ return ( has_eth1_withdrawal_credential(validator) and validator.withdrawable_epoch <= epoch and balance > 0 ) ``` #### `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 *Note*: The function `process_historical_summaries_update` replaces `process_historical_roots_update` in Capella. ```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_summaries_update(state) # [Modified in Capella] process_participation_flag_updates(state) process_sync_committee_updates(state) ``` #### Historical summaries updates ```python def process_historical_summaries_update(state: BeaconState) -> None: # Set historical block root accumulator. next_epoch = Epoch(get_current_epoch(state) + 1) if next_epoch % (SLOTS_PER_HISTORICAL_ROOT // SLOTS_PER_EPOCH) == 0: historical_summary = HistoricalSummary( block_summary_root=hash_tree_root(state.block_roots), state_summary_root=hash_tree_root(state.state_roots), ) state.historical_summaries.append(historical_summary) ``` ### Block processing ```python def process_block(state: BeaconState, block: BeaconBlock) -> None: process_block_header(state, block) # [Modified in Capella] Removed `is_execution_enabled` check in Capella process_withdrawals(state, block.body.execution_payload) # [New in Capella] process_execution_payload(state, block.body, EXECUTION_ENGINE) # [Modified in Capella] process_randao(state, block.body) process_eth1_data(state, block.body) process_operations(state, block.body) # [Modified in Capella] process_sync_aggregate(state, block.body.sync_aggregate) ``` #### New `get_expected_withdrawals` ```python def get_expected_withdrawals(state: BeaconState) -> Sequence[Withdrawal]: epoch = get_current_epoch(state) withdrawal_index = state.next_withdrawal_index validator_index = state.next_withdrawal_validator_index withdrawals: List[Withdrawal] = [] bound = min(len(state.validators), MAX_VALIDATORS_PER_WITHDRAWALS_SWEEP) for _ in range(bound): validator = state.validators[validator_index] balance = state.balances[validator_index] if is_fully_withdrawable_validator(validator, balance, epoch): withdrawals.append(Withdrawal( index=withdrawal_index, validator_index=validator_index, address=ExecutionAddress(validator.withdrawal_credentials[12:]), amount=balance, )) withdrawal_index += WithdrawalIndex(1) elif is_partially_withdrawable_validator(validator, balance): withdrawals.append(Withdrawal( index=withdrawal_index, validator_index=validator_index, address=ExecutionAddress(validator.withdrawal_credentials[12:]), amount=balance - MAX_EFFECTIVE_BALANCE, )) withdrawal_index += WithdrawalIndex(1) if len(withdrawals) == MAX_WITHDRAWALS_PER_PAYLOAD: break validator_index = ValidatorIndex((validator_index + 1) % len(state.validators)) return withdrawals ``` #### New `process_withdrawals` ```python def process_withdrawals(state: BeaconState, payload: ExecutionPayload) -> None: expected_withdrawals = get_expected_withdrawals(state) assert payload.withdrawals == expected_withdrawals for withdrawal in expected_withdrawals: decrease_balance(state, withdrawal.validator_index, withdrawal.amount) # Update the next withdrawal index if this block contained withdrawals if len(expected_withdrawals) != 0: latest_withdrawal = expected_withdrawals[-1] state.next_withdrawal_index = WithdrawalIndex(latest_withdrawal.index + 1) # Update the next validator index to start the next withdrawal sweep if len(expected_withdrawals) == MAX_WITHDRAWALS_PER_PAYLOAD: # Next sweep starts after the latest withdrawal's validator index next_validator_index = ValidatorIndex((expected_withdrawals[-1].validator_index + 1) % len(state.validators)) state.next_withdrawal_validator_index = next_validator_index else: # Advance sweep by the max length of the sweep if there was not a full set of withdrawals next_index = state.next_withdrawal_validator_index + MAX_VALIDATORS_PER_WITHDRAWALS_SWEEP next_validator_index = ValidatorIndex(next_index % len(state.validators)) state.next_withdrawal_validator_index = next_validator_index ``` #### Modified `process_execution_payload` *Note*: The function `process_execution_payload` is modified to use the new `ExecutionPayloadHeader` type and removed the `is_merge_transition_complete` check. ```python def process_execution_payload(state: BeaconState, body: BeaconBlockBody, execution_engine: ExecutionEngine) -> None: payload = body.execution_payload # [Modified in Capella] Removed `is_merge_transition_complete` check in Capella # Verify consistency of the parent hash with respect to the previous execution payload header 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.verify_and_notify_new_payload(NewPayloadRequest(execution_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:] # Fork-agnostic domain since address changes are valid across forks domain = compute_domain(DOMAIN_BLS_TO_EXECUTION_CHANGE, genesis_validators_root=state.genesis_validators_root) 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 ```