consensus-specs/sync/optimistic.md

Optimistic Sync

Table of contents

• Introduction
• Constants
• Helpers
• Mechanisms
  • When to optimistically import blocks
  • How to optimistically import blocks
  • How to apply latestValidHash when payload status is INVALID
  • Execution Engine Errors
  • Assumptions about Execution Engine Behaviour
  • Re-Orgs
• Fork Choice
  • Fork Choice Poisoning
• Checkpoint Sync (Weak Subjectivity Sync)
• Validator assignments
  • Block Production
  • Attesting
  • Participating in Sync Committees
• Ethereum Beacon APIs
• Design Decision Rationale
  • Why sync optimistically?
  • Why SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY?
  • Transitioning from VALID -> INVALIDATED or INVALIDATED -> VALID
  • What about Light Clients?
  • What if TERMINAL_BLOCK_HASH is used?

Introduction

In order to provide a syncing execution engine with a partial view of the head of the chain, it may be desirable for a consensus engine to import beacon blocks without verifying the execution payloads. This partial sync is called an optimistic sync.

Optimistic sync is designed to be opt-in and backwards compatible (i.e., non-optimistic nodes can tolerate optimistic nodes on the network and vice versa). Optimistic sync is not a fundamental requirement for consensus nodes. Rather, it's a stop-gap measure to allow execution nodes to sync via established methods until future Ethereum roadmap items are implemented (e.g., statelessness).

Constants

Name	Value	Unit
SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY	128	slots

Note: the SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY must be user-configurable. See Fork Choice Poisoning.

Helpers

For brevity, we define two aliases for values of the status field on PayloadStatusV1:

• Alias NOT_VALIDATED to:
  • SYNCING
  • ACCEPTED
• Alias INVALIDATED to:
  • INVALID
  • INVALID_BLOCK_HASH

Let head: BeaconBlock be the result of calling of the fork choice algorithm at the time of block production. Let head_block_root: Root be the root of that block.

Let blocks: Dict[Root, BeaconBlock] and block_states: Dict[Root, BeaconState] be the blocks (and accompanying states) that have been verified either completely or optimistically.

Let optimistic_roots: Set[Root] be the set of hash_tree_root(block) for all optimistically imported blocks which have only received a NOT_VALIDATED designation from an execution engine (i.e., they are not known to be INVALIDATED or VALID).

Let current_slot: Slot be (time - genesis_time) // SECONDS_PER_SLOT where time is the UNIX time according to the local system clock.

@dataclass
class OptimisticStore(object):
    optimistic_roots: Set[Root]
    head_block_root: Root
    blocks: Dict[Root, BeaconBlock] = field(default_factory=dict)
    block_states: Dict[Root, BeaconState] = field(default_factory=dict)

def is_optimistic(opt_store: OptimisticStore, block: BeaconBlock) -> bool:
    return hash_tree_root(block) in opt_store.optimistic_roots

def latest_verified_ancestor(opt_store: OptimisticStore, block: BeaconBlock) -> BeaconBlock:
    # It is assumed that the `block` parameter is never an INVALIDATED block.
    while True:
        if not is_optimistic(opt_store, block) or block.parent_root == Root():
            return block
        block = opt_store.blocks[block.parent_root]

def is_execution_block(block: BeaconBlock) -> bool:
    return block.body.execution_payload != ExecutionPayload()

def is_optimistic_candidate_block(opt_store: OptimisticStore, current_slot: Slot, block: BeaconBlock) -> bool:
    if is_execution_block(opt_store.blocks[block.parent_root]):
        return True

    if block.slot + SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY <= current_slot:
        return True

    return False

Let a node be an optimistic node if its fork choice is in one of the following states:

1. is_optimistic(opt_store, head) is True
2. Blocks from every viable (with respect to FFG) branch have transitioned from NOT_VALIDATED to INVALIDATED leaving the block tree without viable branches

Let only a validator on an optimistic node be an optimistic validator.

When this specification only defines behaviour for an optimistic node/validator, but not for the non-optimistic case, assume default behaviours without regard for optimistic sync.

Mechanisms

When to optimistically import blocks

A block MAY be optimistically imported when is_optimistic_candidate_block(opt_store, current_slot, block) returns True. This ensures that blocks are only optimistically imported if one or more of the following are true:

1. The parent of the block has execution enabled.
2. The current slot (as per the system clock) is at least SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY ahead of the slot of the block being imported.

In effect, there are restrictions on when a merge block can be optimistically imported. The merge block is the first block in any chain where is_execution_block(block) == True. Any descendant of a merge block may be imported optimistically at any time.

See Fork Choice Poisoning for the motivations behind these conditions.

How to optimistically import blocks

To optimistically import a block:

• The notify_new_payload function MUST return True if the execution engine returns NOT_VALIDATED or VALID. An INVALIDATED response MUST return False.
• The validate_merge_block function MUST NOT raise an assertion if both the pow_block and pow_parent are unknown to the execution engine.
  • All other assertions in validate_merge_block (e.g., TERMINAL_BLOCK_HASH) MUST prevent an optimistic import.
• The parent of the block MUST NOT have an INVALIDATED execution payload.

In addition to this change in validation, the consensus engine MUST track which blocks returned NOT_VALIDATED and which returned VALID for subsequent processing.

Optimistically imported blocks MUST pass all verifications included in process_block (withstanding the modifications to notify_new_payload).

A consensus engine MUST be able to retrospectively (i.e., after import) modify the status of NOT_VALIDATED blocks to be either VALID or INVALIDATED based upon responses from an execution engine. I.e., perform the following transitions:

• NOT_VALIDATED -> VALID
• NOT_VALIDATED -> INVALIDATED

When a block transitions from NOT_VALIDATED -> VALID, all ancestors of the block MUST also transition from NOT_VALIDATED -> VALID. Such a block and any previously NOT_VALIDATED ancestors are no longer considered "optimistically imported".

When a block transitions from NOT_VALIDATED -> INVALIDATED, all descendants of the block MUST also transition from NOT_VALIDATED -> INVALIDATED.

When a block transitions from the NOT_VALIDATED state, it is removed from the set of opt_store.optimistic_roots.

When a "merge block" (i.e. the first block which enables execution in a chain) is declared to be VALID by an execution engine (either directly or indirectly), the full validate_merge_block MUST be run against the merge block. If the block fails validate_merge_block, the merge block MUST be treated the same as an INVALIDATED block (i.e., it and all its descendants are invalidated and removed from the block tree).

How to apply latestValidHash when payload status is INVALID

Processing an INVALID payload status depends on the latestValidHash parameter. The general approach is as follows:

1. Consensus engine MUST identify invalidBlock as per definition in the table below.
2. invalidBlock and all of its descendants MUST be transitioned from NOT_VALIDATED to INVALIDATED.

latestValidHash	invalidBlock
Execution block hash	The child of a block with body.execution_payload.block_hash == latestValidHash in the chain containing the block with payload in question
0x00..00 (all zeroes)	The first block with body.execution_payload != ExecutionPayload() in the chain containing a block with payload in question
null	Block with payload in question

When latestValidHash is a meaningful execution block hash but consensus engine cannot find a block satisfying body.execution_payload.block_hash == latestValidHash, consensus engine SHOULD behave the same as if latestValidHash was null.

Execution Engine Errors

When an execution engine returns an error or fails to respond to a payload validity request for some block, a consensus engine:

• MUST NOT optimistically import the block.
• MUST NOT apply the block to the fork choice store.
• MAY queue the block for later processing.

Assumptions about Execution Engine Behaviour

This specification assumes execution engines will only return NOT_VALIDATED when there is insufficient information available to make a VALID or INVALIDATED determination on the given ExecutionPayload (e.g., the parent payload is unknown). Specifically, NOT_VALIDATED responses should be fork-specific, in that the search for a block on one chain MUST NOT trigger a NOT_VALIDATED response for another chain.

Re-Orgs

The consensus engine MUST support any chain reorganisation which does not affect the justified checkpoint.

If the justified checkpoint transitions from NOT_VALIDATED -> INVALIDATED, a consensus engine MAY choose to alert the user and force the application to exit.

Fork Choice

Consensus engines MUST support removing blocks from fork choice that transition from NOT_VALIDATED to INVALIDATED. Specifically, a block deemed INVALIDATED at any point MUST NOT be included in the canonical chain and the weights from those INVALIDATED blocks MUST NOT be applied to any VALID or NOT_VALIDATED ancestors.

Fork Choice Poisoning

During the merge transition it is possible for an attacker to craft a BeaconBlock with an execution payload that references an eternally-unavailable body.execution_payload.parent_hash (i.e., the parent hash is random bytes). In rare circumstances, it is possible that an attacker can build atop such a block to trigger justification. If an optimistic node imports this malicious chain, that node will have a "poisoned" fork choice store, such that the node is unable to produce a block that descends from the head (due to the invalid chain of payloads) and the node is unable to produce a block that forks around the head (due to the justification of the malicious chain).

If an honest chain exists which justifies a higher epoch than the malicious chain, that chain will take precedence and revive any poisoned store. Such a chain, if imported before the malicious chain, will prevent the store from being poisoned. Therefore, the poisoning attack is temporary if >= 2/3rds of the network is honest and non-faulty.

The SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY parameter assumes that the network will justify a honest chain within some number of slots. With this assumption, it is acceptable to optimistically import transition blocks during the sync process. Since there is an assumption that an honest chain with a higher justified checkpoint exists, any fork choice poisoning will be short-lived and resolved before that node is required to produce a block.

However, the assumption that the honest, canonical chain will always justify within SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY slots is dubious. Therefore, clients MUST provide the following command line flag to assist with manual disaster recovery:

• --safe-slots-to-import-optimistically: modifies the SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY.

Checkpoint Sync (Weak Subjectivity Sync)

A consensus engine MAY assume that the ExecutionPayload of a block used as an anchor for checkpoint sync is VALID without necessarily providing that payload to an execution engine.

Validator assignments

An optimistic node is not a full node. It is unable to produce blocks, since an execution engine cannot produce a payload upon an unknown parent. It cannot faithfully attest to the head block of the chain, since it has not fully verified that block.

Block Production

An optimistic validator MUST NOT produce a block (i.e., sign across the DOMAIN_BEACON_PROPOSER domain).

Attesting

An optimistic validator MUST NOT participate in attestation (i.e., sign across the DOMAIN_BEACON_ATTESTER, DOMAIN_SELECTION_PROOF or DOMAIN_AGGREGATE_AND_PROOF domains).

Participating in Sync Committees

An optimistic validator MUST NOT participate in sync committees (i.e., sign across the DOMAIN_SYNC_COMMITTEE, DOMAIN_SYNC_COMMITTEE_SELECTION_PROOF or DOMAIN_CONTRIBUTION_AND_PROOF domains).

Ethereum Beacon APIs

Consensus engines which provide an implementation of the Ethereum Beacon APIs must take care to ensure the execution_optimistic value is set to True whenever the request references optimistic blocks (and vice-versa).

Design Decision Rationale

Why sync optimistically?

Most execution engines use state sync as a default sync mechanism on Ethereum Mainnet because executing blocks from genesis takes several weeks on commodity hardware.

State sync requires the knowledge of the current head of the chain to converge eventually. If not constantly fed with the most recent head, state sync won't be able to complete because the recent state soon becomes unavailable due to state trie pruning.

Optimistic block import (i.e. import when the execution engine cannot currently validate the payload) breaks a deadlock between the execution layer sync process and importing beacon blocks while the execution engine is syncing.

Optimistic sync is also an optimal strategy for execution engines using block execution as a default sync mechanism (e.g. Erigon). Alternatively, a consensus engine may inform the execution engine with a payload obtained from a checkpoint block, then wait until the execution layer catches up with it and proceed in lock step after that. This alternative approach would keep user in limbo for several hours and would increase time of the sync process as batch sync has more opportunities for optimisation than the lock step.

Aforementioned premises make optimistic sync a generalized solution for interaction between consensus and execution engines during the sync process.

Why SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY?

Nodes can only import an optimistic block if their justified checkpoint is verified or the block is older than SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY.

These restraints are applied in order to mitigate an attack where a block which enables execution (a transition block) can reference a junk parent hash. This makes it impossible for honest nodes to build atop that block. If an attacker exploits a nuance in fork choice filter_block_tree, they can, in some rare cases, produce a junk block that out-competes all locally produced blocks for the head. This prevents a node from producing a chain of blocks, therefore breaking liveness.

Thankfully, if 2/3rds of validators are not poisoned, they can justify an honest chain which will un-poison all other nodes.

Notably, this attack only exists for optimistic nodes. Nodes which fully verify the transition block will reject a block with a junk parent hash. Therefore, liveness is unaffected if a vast majority of nodes have fully synced execution and consensus clients before and during the transition.

Given all of this, we can say two things:

1. BNs which are following the head during the transition shouldn't optimistically import the transition block. If 1/3rd of validators optimistically import the poison block, there will be no remaining nodes to justify an honest chain.
2. BNs which are syncing can optimistically import transition blocks. In this case a justified chain already exists blocks. The poison block would be quickly reverted and would have no effect on liveness.

Astute readers will notice that (2) contains a glaring assumption about network liveness. This is necessary because a node cannot feasibly ascertain that the transition block is justified without importing that block and risking poisoning. Therefore, we use SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY to say something along the lines of: "if the transition block is sufficiently old enough, then we can just assume that block is honest or there exists an honest justified chain to out-compete it."

Note the use of "feasibly" in the previous paragraph. One can imagine mechanisms to check that a block is justified before importing it. For example, just keep processing blocks without adding them to fork choice. However, there are still edge-cases here (e.g., when to halt and declare there was no justification?) and how to mitigate implementation complexity. At this point, it's important to reflect on the attack and how likely it is to happen. It requires some rather contrived circumstances and it seems very unlikely to occur. Therefore, we need to consider if adding complexity to avoid an unlikely attack increases or decreases our total risk. Presently, it appears that SAFE_SLOTS_TO_IMPORT_OPTIMISTICALLY sits in a sweet spot for this trade-off.

Transitioning from VALID -> INVALIDATED or INVALIDATED -> VALID

These operations are purposefully omitted. It is outside of the scope of the specification since it's only possible with a faulty EE.

Such a scenario requires manual intervention.

What about Light Clients?

An alternative to optimistic sync is to run a light client inside/alongside beacon nodes that mitigates the need for optimistic sync by providing tip-of-chain blocks to the execution engine. However, light clients come with their own set of complexities. Relying on light clients may also restrict nodes from syncing from genesis, if they so desire.

A notable thing about optimistic sync is that it's optional. Should an implementation decide to go the light-client route, then they can just ignore optimistic sync altogether.

What if TERMINAL_BLOCK_HASH is used?

If the terminal block hash override is used (i.e., TERMINAL_BLOCK_HASH != Hash32()), the validate_merge_block function will deterministically return True or False. Whilst it's not technically required retrospectively call validate_merge_block on a transition block that matches TERMINAL_BLOCK_HASH after an optimistic sync, doing so will have no effect. For simplicity, the optimistic sync specification does not define edge-case behaviour for when TERMINAL_BLOCK_HASH is used.