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Ethereum 2.0 Phase 1 -- The Beacon Chain with Shards

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

Table of contents

Introduction

This document describes the extensions made to the Phase 0 design of The Beacon Chain to support data sharding.

Custom types

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

Name SSZ equivalent Description
Shard uint64 a shard number

Configuration

Configuration is not namespaced. Instead it is strictly an extension; no constants of phase 0 change, but new constants are adopted for changing behaviors.

Misc

Name Value
MAX_SHARDS uint64(2**10) (= 1024)
INITIAL_ACTIVE_SHARDS uint64(2**6) (= 64)
GASPRICE_ADJUSTMENT_COEFFICIENT uint64(2**3) (= 2)

Shard block configs

Name Value Notes
POINTS_PER_SAMPLE uint64(2**3) (= 8) 31 * 8 = 248 bytes
MAX_SAMPLES_PER_BLOCK uint64(2**11) (= 2,048) 248 * 2,048 = 507,904 bytes
TARGET_SAMPLES_PER_BLOCK uint64(2**10) (= 1,024) 248 * 1,024 = 253,952 bytes

Precomputed size verification points

Name Value
SIZE_CHECK_POINTS Type List[G2, MAX_SAMPLES_PER_BLOCK + 1]; TO BE COMPUTED

These points are the G2-side Kate commitments to product[a in i...MAX_SAMPLES_PER_BLOCK] (X - w ** revbit(a)) for each i in [0...MAX_SAMPLES_PER_BLOCK], where w is the root of unity and revbit is the reverse-bit-order function.

Gwei values

Name Value Unit Description
MAX_GASPRICE Gwei(2**14) (= 16,384) Gwei Max gasprice charged for an TARGET-sized shard block
MIN_GASPRICE Gwei(2**3) (= 8) Gwei Min gasprice charged for an TARGET-sized shard block

Time parameters

Name Value Unit Duration
SHARD_COMMITTEE_PERIOD Epoch(2**8) (= 256) epochs ~27 hours

Domain types

Name Value
DOMAIN_SHARD_HEADER 0x40

Updated containers

The following containers have updated definitions in Phase 1.

AttestationData

class AttestationData(Container):
    slot: Slot
    index: CommitteeIndex
    # LMD GHOST vote
    beacon_block_root: Root
    # FFG vote
    source: Checkpoint
    target: Checkpoint
    # Shard header root
    shard_header_root: Root

BeaconState

class BeaconState(phase0.BeaconState):
    current_epoch_pending_headers: List[PendingHeader, MAX_PENDING_HEADERS * SLOTS_PER_EPOCH]
    previous_epoch_pending_headers: List[PendingHeader, MAX_PENDING_HEADERS * SLOTS_PER_EPOCH]
    confirmed_header_root: Root
    shard_gasprice: uint64

New containers

The following containers are new in Phase 1.

ShardHeader

class ShardHeader(Container):
    # Slot and shard that this header is intended for
    slot: Slot
    shard: Shard
    # Kate commitment to the data
    commitment: BLSCommitment
    # Length of the data in samples
    length: uint64
    # Proof of the length (more precisely, proof that values at
    # positions >= the length all equal zero)
    length_proof: BLSCommitment

PendingShardHeader

class PendingShardHeader(Container):
    # Slot and shard that this header is intended for
    slot: uint64
    shard: Shard
    # Kate commitment to the data
    commitment: BLSCommitment
    # hash_tree_root of the ShardHeader (stored so that attestations
    # can be checked against it)
    root: Hash
    # Length of the data in samples
    length: uint64
    # Who voted for the header
    votes: Bitlist[MAX_COMMITTEE_SIZE]
    # Has this header been confirmed?
    confirmed: bool

Helper functions

Misc

compute_previous_slot

def compute_previous_slot(slot: Slot) -> Slot:
    if slot > 0:
        return Slot(slot - 1)
    else:
        return Slot(0)

compute_shard_from_committee_index

def compute_shard_from_committee_index(state: BeaconState, index: CommitteeIndex, slot: Slot) -> Shard:
    active_shards = get_active_shard_count(state)
    return Shard((index + get_start_shard(state, slot)) % active_shards)

compute_updated_gasprice

def compute_updated_gasprice(prev_gasprice: Gwei, shard_block_length: uint64) -> Gwei:
    if shard_block_length > TARGET_SAMPLES_PER_BLOCK:
        delta = (prev_gasprice * (shard_block_length - TARGET_SAMPLES_PER_BLOCK)
                 // TARGET_SAMPLES_PER_BLOCK // GASPRICE_ADJUSTMENT_COEFFICIENT)
        return min(prev_gasprice + delta, MAX_GASPRICE)
    else:
        delta = (prev_gasprice * (TARGET_SAMPLES_PER_BLOCK - shard_block_length)
                 // TARGET_SAMPLES_PER_BLOCK // GASPRICE_ADJUSTMENT_COEFFICIENT)
        return max(prev_gasprice, MIN_GASPRICE + delta) - delta

compute_committee_source_epoch

def compute_committee_source_epoch(epoch: Epoch, period: uint64) -> Epoch:
    """
    Return the source epoch for computing the committee.
    """
    source_epoch = Epoch(epoch - epoch % period)
    if source_epoch >= period:
        source_epoch -= period  # `period` epochs lookahead
    return source_epoch

Beacon state accessors

Updated get_committee_count_per_slot

def get_committee_count_per_slot(state: BeaconState, epoch: Epoch) -> uint64:
    """
    Return the number of committees in each slot for the given ``epoch``.
    """
    return max(uint64(1), min(
        get_active_shard_count(state),
        uint64(len(get_active_validator_indices(state, epoch))) // SLOTS_PER_EPOCH // TARGET_COMMITTEE_SIZE,
    ))

get_active_shard_count

def get_active_shard_count(state: BeaconState) -> uint64:
    """
    Return the number of active shards.
    Note that this puts an upper bound on the number of committees per slot.
    """
    return INITIAL_ACTIVE_SHARDS

get_shard_committee

def get_shard_committee(beacon_state: BeaconState, epoch: Epoch, shard: Shard) -> Sequence[ValidatorIndex]:
    """
    Return the shard committee of the given ``epoch`` of the given ``shard``.
    """
    source_epoch = compute_committee_source_epoch(epoch, SHARD_COMMITTEE_PERIOD)
    active_validator_indices = get_active_validator_indices(beacon_state, source_epoch)
    seed = get_seed(beacon_state, source_epoch, DOMAIN_SHARD_COMMITTEE)
    return compute_committee(
        indices=active_validator_indices,
        seed=seed,
        index=shard,
        count=get_active_shard_count(beacon_state),
    )

get_shard_proposer_index

def get_shard_proposer_index(beacon_state: BeaconState, slot: Slot, shard: Shard) -> ValidatorIndex:
    """
    Return the proposer's index of shard block at ``slot``.
    """
    epoch = compute_epoch_at_slot(slot)
    committee = get_shard_committee(beacon_state, epoch, shard)
    seed = hash(get_seed(beacon_state, epoch, DOMAIN_SHARD_COMMITTEE) + uint_to_bytes(slot))
    r = bytes_to_uint64(seed[:8])
    return committee[r % len(committee)]

get_committee_count_delta

def get_committee_count_delta(state: BeaconState, start_slot: Slot, stop_slot: Slot) -> uint64:
    """
    Return the sum of committee counts in range ``[start_slot, stop_slot)``.
    """
    return uint64(sum(
        get_committee_count_per_slot(state, compute_epoch_at_slot(Slot(slot)))
        for slot in range(start_slot, stop_slot)
    ))

get_start_shard

def get_start_shard(state: BeaconState, slot: Slot) -> Shard:
    """
    Return the start shard at ``slot``.
    """
    current_epoch_start_slot = compute_start_slot_at_epoch(get_current_epoch(state))
    active_shard_count = get_active_shard_count(state)
    if current_epoch_start_slot == slot:
        return state.current_epoch_start_shard
    elif slot > current_epoch_start_slot:
        # Current epoch or the next epoch lookahead
        shard_delta = get_committee_count_delta(state, start_slot=current_epoch_start_slot, stop_slot=slot)
        return Shard((state.current_epoch_start_shard + shard_delta) % active_shard_count)
    else:
        # Previous epoch
        shard_delta = get_committee_count_delta(state, start_slot=slot, stop_slot=current_epoch_start_slot)
        max_committees_per_slot = active_shard_count
        max_committees_in_span = max_committees_per_slot * (current_epoch_start_slot - slot)
        return Shard(
            # Ensure positive
            (state.current_epoch_start_shard + max_committees_in_span - shard_delta)
            % active_shard_count
        )

Predicates

Block processing

def process_block(state: BeaconState, block: BeaconBlock) -> None:
    process_block_header(state, block)
    process_randao(state, block.body)
    process_eth1_data(state, block.body)
    process_light_client_aggregate(state, block.body)
    process_operations(state, block.body)

Operations

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)
    # New attestation processing
    for_ops(body.attestations, process_attestation)
    for_ops(body.deposits, process_deposit)
    for_ops(body.voluntary_exits, process_voluntary_exit)

    # See custody game spec.
    process_custody_game_operations(state, body)

    process_shard_transitions(state, body.shard_transitions, body.attestations)

    # TODO process_operations(body.shard_receipt_proofs, process_shard_receipt_proofs)

New Attestation processing

Updated process_attestation

def process_attestation(state: BeaconState, attestation: Attestation) -> None:
    phase0.process_attestation(state, attestation)
    update_pending_votes(
        state=state,
        attestation: Attestation,
        root=,
        aggregation_bits=attestation.aggregation_bits
    )

update_pending_votes

def update_pending_votes(state: BeaconState,
                         attestation: Attestation) -> None:
    if slot_to_epoch(slot) == get_current_epoch(state):
        pending_headers = state.current_epoch_pending_headers
    else:
        pending_headers = state.previous_epoch_pending_headers
    # Create or update the PendingShardHeader object
    pending_header_index = None
    for index, header in enumerate(pending_headers):
        if header.root == attestation.data.shard_header_root:
            pending_header_index = index
            break
    assert pending_header_index is not None
    pending_header = pending_headers[pending_header_index]
    assert pending_header.slot == attestation.data.slot + 1
    assert pending_header.shard == compute_shard_from_committee_index(
        state,
        attestation.data.index,
        attestation.data.slot
    )
    pending_header.votes = bitwise_or(
        pending_header.votes,
        attestation.aggregation_bits
    )

    # Check if the PendingShardHeader is eligible for expedited confirmation
    # Requirement 1: nothing else confirmed
    all_candidates = [
        c for c in pending_headers if
        (c.slot, c.shard) == (pending_header.slot, pending_header.shard)
    ]
    if True not in [c.confirmed for c in all_candidates]:
        # Requirement 2: >= 2/3 of balance attesting
        participants = get_attesting_indices(state, data, pending_commitment.votes)
        participants_balance = get_total_balance(state, participants)
        full_committee = get_beacon_committee(state, data.slot, data.shard)
        full_committee_balance = get_total_balance(state, full_committee)
        if participants_balance * 2 > full_committee_balance:
            pending_header.confirmed = True

process_shard_data_commitment

def process_shard_data_commitment(state: BeaconState,
                                  signed_header: Signed[ShardDataHeader]) -> None:
    header = signed_header.message
    header_root = hash_tree_root(header)
    # Verify signature
    signer_index = get_shard_proposer_index(state, header.slot, header.shard)
    assert bls.Verify(
        state.validators[signer_index].pubkey,
        compute_signing_root(header, get_domain(state, DOMAIN_SHARD_HEADER)),
        signed_header.signature
    )
    # Verify length of the header
    assert (
        bls.Pairing(header.length_proof, SIZE_CHECK_POINTS[header.length]) ==
        bls.Pairing(header.commitment, G2_ONE)
    )
    # Get the correct pending header list
    if slot_to_epoch(header.slot) == get_current_epoch(state):
        pending_headers = state.current_epoch_pending_headers
    else:
        pending_headers = state.previous_epoch_pending_headers
        
    # Check that this header is not yet in the pending list
    for pending_header in pending_headers:
        assert header_root != pending_header.root
    # Include it in the pending list
    committee_length = len(get_beacon_committee(state, header.slot, header.shard))
    pending_headers.append(PendingShardHeader(
        slot=header.slot,
        shard=header.shard,
        commitment=header.commitment,
        root=header_root,
        length=header.length,
        votes=Bitlist[MAX_COMMITTEE_SIZE]([0] * committee_length),
        confirmed=False
    ))

Shard transition processing

New default validator for deposits
def get_validator_from_deposit(state: BeaconState, deposit: Deposit) -> Validator:
    amount = deposit.data.amount
    effective_balance = min(amount - amount % EFFECTIVE_BALANCE_INCREMENT, MAX_EFFECTIVE_BALANCE)
    next_custody_secret_to_reveal = get_custody_period_for_validator(
        ValidatorIndex(len(state.validators)),
        get_current_epoch(state),
    )

    return Validator(
        pubkey=deposit.data.pubkey,
        withdrawal_credentials=deposit.data.withdrawal_credentials,
        activation_eligibility_epoch=FAR_FUTURE_EPOCH,
        activation_epoch=FAR_FUTURE_EPOCH,
        exit_epoch=FAR_FUTURE_EPOCH,
        withdrawable_epoch=FAR_FUTURE_EPOCH,
        effective_balance=effective_balance,
        next_custody_secret_to_reveal=next_custody_secret_to_reveal,
        all_custody_secrets_revealed_epoch=FAR_FUTURE_EPOCH,
    )

Epoch transition

This epoch transition overrides the phase0 epoch transition:

def process_epoch(state: BeaconState) -> None:
    process_justification_and_finalization(state)
    process_rewards_and_penalties(state)
    process_registry_updates(state)

    # Proof of custody
    process_reveal_deadlines(state)
    process_challenge_deadlines(state)

    process_slashings(state)

    # Sharding
    process_pending_headers(state)
    charge_confirmed_header_fees(state)
    reset_pending_headers(state)

    # Final updates
    # Phase 0
    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_record_updates(state)
    # Proof of custody
    process_custody_final_updates(state)
    # Update current_epoch_start_shard
    state.current_epoch_start_shard = get_start_shard(state, Slot(state.slot + 1))

Pending headers


def process_pending_headers(state: BeaconState):
    for slot in range(SLOTS_PER_EPOCH):
        for shard in range(SHARD_COUNT):
            # Pending headers for this (slot, shard) combo
            candidates = [
                c for c in state.previous_epoch_pending_headers if
                (c.slot, c.shard) == (slot, shard)
            ]
            if True not in [c.confirmed for c in candidates]:
                # The entire committee (and its balance)
                full_committee = get_beacon_committee(state, slot, shard)
                full_committee_balance = get_total_balance(state, full_committee)
                # The set of voters who voted for each header
                # (and their total balances)
                voting_sets = [
                    [v for i, v in enumerate(full_committee) if c.votes[i]]
                    for c in candidates
                ]
                voting_balances = [
                    get_total_balance(state, voters)
                    for voters in voting_sets
                ]
                # Get the index with the most total balance voting for them.
                # NOTE: if two choices get exactly the same voting balance,
                # the candidate earlier in the list wins
                if max(voting_balances) > 0:
                    winning_index = voting_balances.index(max(voting_balances))
                else:
                    # If no votes, zero wins
                    winning_index = [c.root for c in candidates].index(Root())
                candidates[winning_index].confirmed = True
    confirmed_headers = Vector[
        Vector[PendingShardHeader, SLOTS_PER_EPOCH], MAX_SHARDS
    ]()
    for c in state.previous_epoch_pending_headers:
        if c.confirmed:
            confirmed_headers[c.shard][c.slot % SLOTS_PER_EPOCH] = c
    state.confirmed_header_root = hash_tree_root(confirmed_headers)

def charge_confirmed_header_fees(state: BeaconState) -> None:
    new_gasprice = state.shard_gasprice
    for slot in range(SLOTS_PER_EPOCH):
        for shard in range(SHARD_COUNT):
            confirmed_candidates = [
                c for c in state.previous_epoch_pending_headers if
                (c.slot, c.shard, c.confirmed) == (slot, shard, True)
            ]
            if confirmed_candidates:
                candidate = confirmed_candidates[0]
                # Charge EIP 1559 fee
                proposer = get_shard_proposer(state, slot, shard)
                fee = (
                    (state.shard_gasprice * candidates[i].length) //
                    TARGET_SAMPLES_PER_BLOCK
                )
                decrease_balance(state, proposer, fee)
                new_gasprice = compute_updated_gasprice(
                    new_gasprice,
                    candidates[i].length
                )
    state.shard_gasprice = new_gasprice

def reset_pending_headers(state: BeaconState):
    state.previous_epoch_pending_headers = state.current_epoch_pending_headers
    shards = [
        compute_shard_from_committee_index(state, index, slot)
        for i in range()
        state,
        attestation.data.index,
        attestation.data.slot
    )
    state.current_epoch_pending_headers = []
    # Add dummy "empty" PendingAttestations
    # (default to vote for if no shard header availabl)
    for slot in range(SLOTS_IN_EPOCH):
        for index in range(get_committee_count_per_slot(get_current_epoch(state))):
            shard = compute_shard_from_committee_index(state, index, slot)
            committee_length = len(get_beacon_committee(
                state,
                header.slot,
                header.shard
            ))
            state.current_epoch_pending_headers.append(PendingShardHeader(
                slot=slot,
                shard=shard,
                commitment=BLSCommitment(),
                root=Root(),
                length=0,
                votes=Bitlist[MAX_COMMITTEE_SIZE]([0] * committee_length),
                confirmed=False
            ))

Custody game updates

process_reveal_deadlines, process_challenge_deadlines and process_custody_final_updates are defined in the Custody Game spec.