eth2.0-specs/specs/core/1_shard-data-chains.md

Ethereum 2.0 Phase 1 -- Shard Data Chains

Notice: This document is a work-in-progress for researchers and implementers.

Table of contents

• Ethereum 2.0 Phase 1 -- Shard Data Chains
  • Table of contents
  • Introduction
  • Custom types
  • Configuration
    • Misc
    • Initial values
    • Time parameters
    • State list lengths
    • Rewards and penalties
    • Signature domain types
    • TODO PLACEHOLDER
  • Data structures
    • ShardBlockHeader
    • ShardBlock
    • ShardBlockSignatures
    • ShardBlockCore
    • ExtendedShardBlockCore
    • ShardState
    • ShardReceiptDelta
  • Helper functions
    • compute_slot_of_shard_slot
    • compute_epoch_of_shard_slot
    • get_shard_period_start_epoch
    • get_period_committee
    • get_persistent_committee
    • get_shard_block_proposer_index
    • get_shard_header
    • pad
    • flatten_shard_header
    • compute_crosslink_data_root
    • get_default_shard_state
  • Object validity
    • Shard block validation: preliminary
    • Shard state transition function helpers
    • Shard state transition function
    • Beacon attestations
  • Shard fork choice rule

Introduction

This document describes the shard data layer and the shard fork choice rule in Phase 1 of Ethereum 2.0.

Custom types

We define the following Python custom types for type hinting and readability:

Name	SSZ equivalent	Description
ShardSlot	uint64	a slot number in shard chain

Configuration

Misc

Name	Value
SHARD_SLOTS_PER_BEACON_SLOT	2**1 (= 2)
MAX_PERSISTENT_COMMITTEE_SIZE	2**7 (= 128)
SHARD_HEADER_SIZE	2**9 (= 512)
SHARD_BLOCK_SIZE_TARGET	2**14 (= 16,384)
SHARD_BLOCK_SIZE_LIMIT	2**16 (= 65,536)

Initial values

Name	Value
PHASE_1_FORK_EPOCH	TBD
PHASE_1_FORK_SLOT	TBD

Time parameters

Name	Value	Unit	Duration
CROSSLINK_LOOKBACK	2**0 (= 1)	epochs	6.4 minutes
EPOCHS_PER_SHARD_PERIOD	2**8 (= 256)	epochs	~27 hours

State list lengths

Name	Value	Unit
HISTORY_ACCUMULATOR_VECTOR	2**6 (= 64)	state tree maximum depth

Rewards and penalties

Name	Value
BASEFEE_ADJUSTMENT_FACTOR	2**3 (= 8)
REWARD_COEFFICIENT_BASE	2**20 ( = 1,048,576)

Signature domain types

The following types are defined, mapping into DomainType (little endian):

Name	Value
DOMAIN_SHARD_PROPOSER	128
DOMAIN_SHARD_ATTESTER	129

TODO PLACEHOLDER

Name	Value
PLACEHOLDER	2**3

Data structures

Note: the shard block header structure is carefully designed so that all of the values have the same depth in a hash tree implementation, so hash_tree_root(SSZ_partial(x)) == hash_tree_root(x) (using the "left-to-right leaves" scheme here), which allows shard block headers to look like an SSZ object when in the crosslink structure. This is done by balancing it so that 7 or 8 items are on the left side (the "core") and two 96-byte (ie. 3*2 = 6 chunk) items are on the right side. Change with care.

ShardBlockHeader

class ShardBlockHeader(Container):
    core: ShardBlockCore
    signatures: ShardBlockSignatures

ShardBlock

class ShardBlock(Container):
    core: ExtendedShardBlockCore
    signatures: ShardBlockSignatures

ShardBlockSignatures

class ShardBlockSignatures(Container):
    attestation_signature: BLSSignature
    proposer_signature: BLSSignature

ShardBlockCore

class ShardBlockCore(Container):
    slot: ShardSlot
    beacon_chain_root: Hash
    parent_root: Hash
    data_root: Hash
    state_root: Hash
    total_bytes: uint64
    attester_bitfield: Bitvector[MAX_PERSISTENT_COMMITTEE_SIZE * 2]

ExtendedShardBlockCore

class ExtendedShardBlockCore(Container):
    slot: ShardSlot
    beacon_chain_root: Hash
    parent_root: Hash
    data: Bytes[SHARD_BLOCK_SIZE_LIMIT - SHARD_HEADER_SIZE]
    state_root: Hash
    total_bytes: uint64
    attester_bitfield: Bitvector[MAX_PERSISTENT_COMMITTEE_SIZE * 2]

ShardState

class ShardState(Container):
    history_accumulator: Vector[Hash, HISTORY_ACCUMULATOR_VECTOR]
    earlier_committee_rewards: List[uint64, MAX_PERSISTENT_COMMITTEE_SIZE]
    later_committee_rewards: List[uint64, MAX_PERSISTENT_COMMITTEE_SIZE]
    earlier_committee_fees: List[Gwei, MAX_PERSISTENT_COMMITTEE_SIZE]
    later_committee_fees: List[Gwei, MAX_PERSISTENT_COMMITTEE_SIZE]
    basefee: Gwei
    slot: ShardSlot
    shard: Shard
    most_recent_block_core: ShardBlockCore
    receipt_root: Hash
    total_bytes: uint64

ShardReceiptDelta

class ShardReceiptDelta(Container):
    index: ValidatorIndex
    reward_coefficient: uint64
    block_fee: Gwei

Helper functions

compute_slot_of_shard_slot

def compute_slot_of_shard_slot(slot: ShardSlot) -> Epoch:
    return Epoch(slot // SHARD_SLOTS_PER_BEACON_SLOT)

compute_epoch_of_shard_slot

def compute_epoch_of_shard_slot(slot: ShardSlot) -> Epoch:
    return Epoch(slot // SHARD_SLOTS_PER_BEACON_SLOT // SLOTS_PER_EPOCH)

get_shard_period_start_epoch

def get_shard_period_start_epoch(epoch: Epoch, lookback: int=0) -> Epoch:
    return Epoch(epoch - (epoch % EPOCHS_PER_SHARD_PERIOD) - lookback * EPOCHS_PER_SHARD_PERIOD)

get_period_committee

def get_period_committee(state: BeaconState, epoch: Epoch, shard: Shard) -> Sequence[ValidatorIndex]:
    """
    Return committee for a period. Used to construct persistent committees.
    """
    full_committee = compute_committee(
        indices=get_active_validator_indices(state, epoch),
        seed=get_seed(state, epoch),
        index=shard,
        count=SHARD_COUNT,
    )

    return full_committee[:MAX_PERSISTENT_COMMITTEE_SIZE]

get_persistent_committee

def get_persistent_committee(state: BeaconState,
                             shard: Shard,
                             slot: ShardSlot) -> Sequence[ValidatorIndex]:
    """
    Return the persistent committee for the given ``shard`` at the given ``slot``.
    """
    epoch = compute_epoch_of_shard_slot(slot)

    earlier_committee = get_period_committee(state, get_shard_period_start_epoch(epoch, lookback=2), shard)
    later_committee = get_period_committee(state, get_shard_period_start_epoch(epoch, lookback=1), shard)

    # Take not-yet-cycled-out validators from earlier committee and already-cycled-in validators from
    # later committee; return a sorted list of the union of the two, deduplicated
    return sorted(set(
        [i for i in earlier_committee if epoch % EPOCHS_PER_SHARD_PERIOD < i % EPOCHS_PER_SHARD_PERIOD]
        + [i for i in later_committee if epoch % EPOCHS_PER_SHARD_PERIOD >= i % EPOCHS_PER_SHARD_PERIOD]
    ))

get_shard_block_proposer_index

def get_shard_block_proposer_index(state: BeaconState,
                                   shard: Shard,
                                   slot: ShardSlot) -> Optional[ValidatorIndex]:
    # Randomly shift persistent committee
    persistent_committee = list(get_persistent_committee(state, shard, slot))
    current_epoch = get_current_epoch(state)

    active_indices = [i for i in persistent_committee if is_active_validator(state.validators[i], current_epoch)]
    if not any(active_indices):
        return None

    MAX_RANDOM_BYTE = 2**8 - 1
    seed = hash(get_seed(state, current_epoch) + int_to_bytes(shard, length=8) + int_to_bytes(slot, length=8))
    i = 0
    while True:
        candidate_index = active_indices[(slot + i) % len(active_indices)]
        random_byte = hash(seed + int_to_bytes(i // 32, length=8))[i % 32]
        effective_balance = state.validators[candidate_index].effective_balance
        if effective_balance * MAX_RANDOM_BYTE >= MAX_EFFECTIVE_BALANCE * random_byte:
            return ValidatorIndex(candidate_index)
        i += 1

get_shard_header

def get_shard_header(block: ShardBlock) -> ShardBlockHeader:
    return ShardBlockHeader(
        core=ShardBlockCore(
            slot=block.core.slot,
            beacon_chain_root=block.core.beacon_chain_root,
            parent_root=block.core.parent_root,
            data_root=hash_tree_root(block.core.data),
            state_root=block.core.state_root,
            total_bytes=block.core.total_bytes,
            attester_bitfield=block.core.attester_bitfield,
        ),
        signatures=block.signatures,
    )

pad

def pad(x: bytes, length: int) -> bytes:
    assert len(x) <= length
    return x + b'\x00' * (length - len(x))

flatten_shard_header

def flatten_shard_header(header: ShardBlockHeader) -> Bytes[SHARD_HEADER_SIZE]:
    """
    Converts a shard block header into a flat object with the same hash tree root. Used
    in the crosslink construction.
    """
    committee_size = len(header.core.attester_bitfield)
    attester_bits = [header.core.attester_bitfield[i] if i < committee_size else 0 for i in range(256)]
    attester_bytes = bytes([sum([attester_bits[i + j] << j for j in range(8)]) for i in range(0, 256, 8)])
    return (
        pad(int_to_bytes(header.core.slot, length=8), 32) +
        header.core.beacon_chain_root +
        header.core.parent_root +
        header.core.data_root +
        header.core.state_root +
        pad(int_to_bytes(header.core.total_bytes, length=8), 32) +
        attester_bytes +
        b'\x00' * 32 +
        pad(header.signatures.attestation_signature, 128) +
        pad(header.signatures.proposer_signature, 128)
    )

compute_crosslink_data_root

def compute_crosslink_data_root(blocks: Sequence[ShardBlock]) -> Hash:
    header = b''.join([flatten_shard_header(get_shard_header(block)) for block in blocks])
    footer = b''.join([block.core.data for block in blocks])
    MAX_SIZE = SHARD_BLOCK_SIZE_LIMIT * SHARD_SLOTS_PER_BEACON_SLOT * SLOTS_PER_EPOCH * MAX_EPOCHS_PER_CROSSLINK
    return hash_tree_root(BytesN[MAX_SIZE](pad(header + footer, MAX_SIZE)))

get_default_shard_state

def get_default_shard_state(beacon_state: BeaconState, shard: Shard) -> ShardState:
    earlier_committee = get_period_committee(
        beacon_state,
        Epoch(PHASE_1_FORK_EPOCH - EPOCHS_PER_SHARD_PERIOD * 2),
        shard,
    )
    later_committee = get_period_committee(
        beacon_state,
        Epoch(PHASE_1_FORK_EPOCH - EPOCHS_PER_SHARD_PERIOD),
        shard,
    )
    return ShardState(
        basefee=1,
        shard=shard,
        slot=PHASE_1_FORK_SLOT,
        earlier_committee_rewards=[REWARD_COEFFICIENT_BASE for _ in range(len(earlier_committee))],
        later_committee_rewards=[REWARD_COEFFICIENT_BASE for _ in range(len(later_committee))],
        earlier_committee_fees=[Gwei(0) for _ in range(len(earlier_committee))],
        later_committee_fees=[Gwei(0) for _ in range(len(later_committee))],
    )

Object validity

Shard block validation: preliminary

Accept a shard block block only if all of the following are correct:

• Either block.core.parent_root == Hash() or a block parent such that hash_tree_root(parent.core) == block.core.parent_root has already been accepted.
• block.core.beacon_chain_root == get_block_root(head_beacon_state, compute_epoch_of_shard_slot(parent.core.slot)) where head_beacon_state is the current beacon chain head state. Alternatively phrased, a beacon chain block beacon_ref such that signing_root(beacon_ref) == block.core.beacon_chain_root has already been accepted and is part of the canonical chain, and no block with slot beacon_ref.slot < slot <= compute_start_slot_of_epoch(compute_epoch_of_shard_slot(parent.core.slot)) is part of the canonical chain.
• Let beacon_state be the state where beacon_ref.state_root == hash_tree_root(beacon_state). Let prev_state be the post-state of the parent if the parent exists, otherwise let it be get_default_shard_state(beacon_state, shard) (defined below). block.core.state_root must equal the hash_tree_root of the state after applying shard_state_transition(prev_state, beacon_state, block).

Note that these acceptance conditions depend on the canonical beacon chain; when the canonical beacon chain reorganizes, the eligibility of shard blocks should be re-evaluated.

Shard state transition function helpers

def add_reward(state: ShardState, beacon_state: BeaconState, index: ValidatorIndex, delta: int) -> None:
    epoch = compute_epoch_of_shard_slot(state.slot)
    earlier_committee = get_period_committee(
        beacon_state,
        get_shard_period_start_epoch(epoch, lookback=2),
        state.shard,
    )
    later_committee = get_period_committee(beacon_state, get_shard_period_start_epoch(epoch, lookback=1), state.shard)
    if index in earlier_committee:
        state.earlier_committee_rewards[earlier_committee.index(index)] += delta
    elif index in later_committee:
        state.later_committee_rewards[later_committee.index(index)] += delta
    else:
        raise Exception("Should never be here")

def add_fee(state: ShardState, beacon_state: BeaconState, index: ValidatorIndex, delta: int) -> None:
    epoch = compute_epoch_of_shard_slot(state.slot)
    earlier_committee = get_period_committee(beacon_state, get_shard_period_start_epoch(epoch, lookback=2), state.shard)
    later_committee = get_period_committee(beacon_state, get_shard_period_start_epoch(epoch, lookback=1), state.shard)
    if index in earlier_committee:
        state.earlier_committee_fees[earlier_committee.index(index)] += delta
    elif index in later_committee:
        state.later_committee_fees[later_committee.index(index)] += delta
    else:
        raise Exception("Should never be here")

Shard state transition function

def shard_state_transition(state: ShardState,
                           beacon_state: BeaconState,
                           block: ShardBlock,
                           validate_state_root: bool=False) -> None:
    assert block.core.slot > state.slot
    for slot in range(state.slot, block.core.slot):
        shard_slot_transition(state, beacon_state)
    shard_block_transition(state, beacon_state, block, validate_state_root=validate_state_root)

def shard_slot_transition(state: ShardState, beacon_state: BeaconState) -> None:
    # Correct saved state root
    if state.most_recent_block_core.state_root == Hash():
        state.most_recent_block_core.state_root = hash_tree_root(state)

    # Save states in history accumulator
    depth = 0
    h = hash_tree_root(state)
    while state.slot % 2**depth == 0 and depth < HISTORY_ACCUMULATOR_VECTOR:
        state.history_accumulator[depth] = h
        depth += 1

    # Period transitions
    if (state.slot + 1) % (SHARD_SLOTS_PER_BEACON_SLOT * SLOTS_PER_EPOCH * EPOCHS_PER_SHARD_PERIOD) == 0:
        epoch = compute_epoch_of_shard_slot(state.slot)
        earlier_committee = get_period_committee(
            beacon_state,
            get_shard_period_start_epoch(epoch, lookback=2),
            state.shard,
        )
        later_committee = get_period_committee(
            beacon_state,
            get_shard_period_start_epoch(epoch, lookback=1),
            state.shard,
        )
        state.receipt_root = hash_tree_root(List[ShardReceiptDelta, PLACEHOLDER]([
            ShardReceiptDelta(
                index=validator_index,
                reward_coefficient=state.earlier_committee_rewards[i],
                block_fee=state.earlier_committee_fees[i],
            )
            for i, validator_index in enumerate(earlier_committee)
        ]))
        state.earlier_committee_rewards = state.later_committee_rewards
        state.earlier_committee_fees = state.later_committee_fees
        state.later_committee_rewards = [REWARD_COEFFICIENT_BASE for _ in range(len(later_committee))],
        state.later_committee_fees = [Gwei(0) for _ in range(len(later_committee))],
    else:
        state.receipt_root = Hash()
    state.slot += ShardSlot(1)

def shard_block_transition(state: ShardState,
                           beacon_state: BeaconState,
                           block: ShardBlock,
                           validate_state_root: bool) -> None:
    # Check slot number
    assert block.core.slot == state.slot

    # Check parent block
    if block.core.parent_root != Hash():
        assert block.core.parent_root == hash_tree_root(state.most_recent_block_core)

    # Calculate base reward
    total_balance = get_total_active_balance(beacon_state)
    base_reward = (
        REWARD_COEFFICIENT_BASE * BASE_REWARD_FACTOR // integer_squareroot(total_balance) // BASE_REWARDS_PER_EPOCH
    )
    # Check attestations
    attester_committee = get_persistent_committee(beacon_state, state.shard, block.core.slot)
    pubkeys = []
    attestations = 0

    for i, validator_index in enumerate(attester_committee):
        if block.core.attester_bitfield[i]:
            pubkeys.append(beacon_state.validators[validator_index].pubkey)
            add_reward(state, beacon_state, validator_index, base_reward)
            attestations += 1

    for i in range(len(attester_committee), MAX_PERSISTENT_COMMITTEE_SIZE):
        assert block.core.attester_bitfield[i] is False or block.core.attester_bitfield[i] == 0  # TODO: FIX Bitvector

    assert bls_verify(
        pubkey=bls_aggregate_pubkeys(pubkeys),
        message_hash=block.core.parent_root,
        signature=block.signatures.attestation_signature,
        domain=get_domain(beacon_state, DOMAIN_SHARD_ATTESTER, compute_epoch_of_shard_slot(block.core.slot))
    )

    # Check proposer
    proposer_index = get_shard_block_proposer_index(beacon_state, state.shard, block.core.slot)
    assert proposer_index is not None
    add_reward(state, beacon_state, proposer_index, attestations * base_reward // PROPOSER_REWARD_QUOTIENT)
    assert bls_verify(
        pubkey=beacon_state.validators[proposer_index].pubkey,
        message_hash=hash_tree_root(block.core),
        signature=block.signatures.proposer_signature,
        domain=get_domain(beacon_state, DOMAIN_SHARD_PROPOSER, compute_epoch_of_shard_slot(block.core.slot)),
    )

    # Process and update block data fees
    add_fee(state, beacon_state, proposer_index, state.basefee * len(block.core.data) // SHARD_BLOCK_SIZE_LIMIT)
    QUOTIENT = SHARD_BLOCK_SIZE_LIMIT * BASEFEE_ADJUSTMENT_FACTOR
    if len(block.core.data) > SHARD_BLOCK_SIZE_TARGET:
        state.basefee += Gwei(max(1, state.basefee * (len(block.core.data) - SHARD_BLOCK_SIZE_TARGET) // QUOTIENT))
    elif len(block.core.data) < SHARD_BLOCK_SIZE_TARGET:
        state.basefee -= Gwei(max(1, state.basefee * (len(block.core.data) - SHARD_BLOCK_SIZE_TARGET) // QUOTIENT))
    state.basefee = Gwei(max(
        1,
        min(
            EFFECTIVE_BALANCE_INCREMENT // EPOCHS_PER_SHARD_PERIOD // SHARD_SLOTS_PER_BEACON_SLOT * SLOTS_PER_EPOCH,
            state.basefee,
        )
    ))

    # Check total bytes
    state.total_bytes += len(block.core.data)
    assert block.core.total_bytes == state.total_bytes


    # Update in-state block header
    state.most_recent_block_core = ShardBlockCore(
        slot=block.core.slot,
        beacon_chain_root=block.core.beacon_chain_root,
        parent_root=block.core.parent_root,
        data_root=hash_tree_root(block.core.data),
        state_root=Hash(),
        total_bytes=block.core.total_bytes,
        attester_bitfield=block.core.attester_bitfield,
    )

    # Check state root
    if validate_state_root:
        assert block.core.state_root == hash_tree_root(state)

Beacon attestations

Let:

• shard be a valid Shard
• pre_state is the ShardState before processing any blocks
• shard_blocks_or_state_roots be the Union[ShardBlock, Hash] list such that shard_blocks[slot] is the canonical ShardBlock for shard shard at slot slot if a block exists, or the post-state-root of processing state up to and including that slot if a block does not exist.
• beacon_state be the canonical BeaconState
• valid_attestations be the set of valid Attestation objects, recursively defined
• candidate be a candidate Attestation which is valid under Phase 0 rules, and for which validity is to be determined under Phase 1 rules by running is_valid_beacon_attestation

def is_valid_beacon_attestation(shard: Shard,
                                pre_state: ShardState,
                                shard_blocks_or_state_roots: Sequence[Union[ShardBlock, Hash]],
                                beacon_state: BeaconState,
                                valid_attestations: Set[Attestation],
                                candidate: Attestation) -> bool:
    # Check if attestation is already determined valid
    for attestation in valid_attestations:
        if candidate == attestation:
            return True

    # Check previous attestation
    if candidate.data.previous_crosslink.epoch <= PHASE_1_FORK_EPOCH:
        assert candidate.data.previous_crosslink.data_root == Hash()
    else:
        previous_attestation = next(
            (attestation for attestation in valid_attestations
             if attestation.data.crosslink.data_root == candidate.data.previous_crosslink.data_root),
            None,
        )
        assert previous_attestation is not None
        assert candidate.data.previous_attestation.epoch < compute_epoch_of_slot(candidate.data.slot)

    # Check crosslink data root
    start_epoch = beacon_state.crosslinks[shard].epoch
    end_epoch = min(compute_epoch_of_slot(candidate.data.slot) - CROSSLINK_LOOKBACK,
                    start_epoch + MAX_EPOCHS_PER_CROSSLINK)
    blocks = []
    for slot in range(start_epoch * SLOTS_PER_EPOCH, end_epoch * SLOTS_PER_EPOCH):
        if isinstance(shard_blocks_or_state_roots[slot], ShardBlock):
            blocks.append(shard_blocks_or_state_roots[slot])
        else:
            blocks.append(ShardBlockHeader(ShardBlockCore(
                slot=slot,
                state_root=shard_blocks_or_state_roots[slot],
                total_bytes=state.total_bytes
            ), ShardBlockSignatures()))
    assert candidate.data.crosslink.data_root == compute_crosslink_data_root(blocks)

    return True

Shard fork choice rule

The fork choice rule for any shard is LMD GHOST using the shard attestations of the persistent committee and the beacon chain attestations of the crosslink committee currently assigned to that shard, but instead of being rooted in the genesis it is rooted in the block referenced in the most recent accepted crosslink (i.e. state.crosslinks[shard].shard_block_root). Only blocks whose beacon_chain_root is the block in the main beacon chain at the specified slot should be considered. (If the beacon chain skips a slot, then the block at that slot is considered to be the block in the beacon chain at the highest slot lower than that slot.)