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4 slots

Advancing chains

We suppose $\nu$ knows a set $\mathbb{C}_\nu$ of chains appropriate (TODO) to the current slot height $h$, and selects a best chain $C$ according to our for choice rules. We let $\ell$ denote the length of $C$, so that if $\nu$ wins slot leadership then he should create a block $C[\ell]$ extending $C$ by containing a hash of $C[\ell-1]$ and correctly advancing the state of $C[\ell-1]$

Any node $\mu$ receiving $B_\ell = (\cdots)$ validates several conditions:

  • The proposed slot height $h$ is appropriate to $\mathbb{C}_\mu$.
  • The session key of $\nu$ is correctly staked,
  • $\nu$ "wins" the slot height $h$, and
  • $\nu$ signed $B_\ell$, but that
  • $\nu$ signed no other block at slot height $h$ in $\mathbb{C}_\mu$. (TODO: ban height or slash?)
  • $B_\ell$ correctly extends some chain $C' \in \mathbb{C}_\mu$. (TODO: gossip?)


Winning slot leadership

As in Ouroboros Praos [Praos], we set block producer $\nu$'s probability of winning any particular slot to be where $\beta_\nu = b_\nu / \sum_\mu b_\mu$ is their relative stake, and $c<1$ is constant.

Importantly, the mapping ${(\nu,b_\nu)} \mapsto {(\nu,p_\nu)}$ has the independent aggregation property, meaning block producers cannot increase their odds by splitting their stakes across virtual parties. In Ouroboros Praos, the $i$th block producer wins whenever

In BABE, we shall implement this rule from Ouroboros Praos first because at minimum its extreme simplicity aids in testing other components. We believe this simple rule works well when all block producers are validators because we already force validators to be online. In particular, if some validator does not performe validation duties, including producing enough blocks during an epoch, then we slash them and kick them from the validator pool. We thus ensure that our block production rate stays relatively close to the desired maximum block production rate.

As discussed [BP1,BP2] though, we'd prefer if block producers were less slashable for several reasons:
First, we always prefer slashing for incorrect actions over slashing for inaction, in part because we fear highly staked attackers might extort victims under a threat of exclusion that leads to slashing, but mostly because crypto-economic arguments provide only weak assurances. Second, we seek paths whereby individuals with lower risk tolerance might participate in the network, at minimum to hedge inflation. Individuals or organisations who nominate validators often fit this "risk tolerance" criteria in the sense that, even though nomination has a high risk tolerance, the nominator often lacks the security skill to operate a validator themselves. Ideally, we might have nominators run their own block production node, so that more acquired the relevant skills.

As we make block production less slashable, there are more attacks that impact the chain rate:

  • We might have many staked but silent block producers who come online together and attempt to fork the chain at an earlier less staked time, even though at all times the majority is honest and in sync.
  • If we adjust difficulty automatically then we could temporarily have a high block production rate compared to our sync rate, leading to large numbers of forks. In this case, attackers who coordinate better could get their private chain to be the longest, thus allowing them to censor everyone else.

In both cases, we should limit how quickly staked but inactive nodes can impact the block production rate. We propose two mechanisms for this:


We might stick with the Ouroboros Praos blok production rule $(\dag)$, but produce some statistic from the chain $C$ that more accurately measures active stake by considering the recently produced blocks. At present, we believe such an approach sounds quite invasive to apply because it requires penalising entire chains with less stake backing their block production.

As an example, we can estimate $\nu$'s actual $p_{\nu,\mathrm{MLE}}$ with $p_{\nu,\mathrm{MLE}} := {k \over h_0 - h_k}$ where $h_0$ is the current slot height and $h_i$ is the slot height of their $i$th block counting backwards. We might improve this by weighting more recent slot gaps more heavily in In either, we must choose $k$ sensibly, perhaps so that $h_k$ is the slot height of their block immediately preceding some $h'$.

We could then estimate the relative stake backing $C$ from the terms $\log_{1-c} 1-p_{\nu,\mathrm{MLE}}$ summed over each $\nu$ appearing in the chain $C$.

We might directly compute combined estimate $p_{\mathrm{MLE}} := {k \over h_0 - h_k}$ where $h_0$ is the current slot height and $h_k$ is the slot height of the $k$th block counting backwards in $C$. So $p_{\mathrm{MLE}} = \sum_\nu p_{\nu,\mathrm{MLE}}$ and We lower bound this by $\log_{1-c}(1 - p_{\mathrm{MLE}})$ because $z$ is positive. In fact, we have a reasonable approximation here, whenever all $p_{\nu,\mathrm{MLE}}$ have similar small sizes.

We envision node accepting a relay chain block $B_\ell$ building on a chain $C$ should know some substancial suffix of $C$, making $p_{\mathrm{MLE}}$ or $p_{\nu,\mathrm{MLE}}$ computable without including anything else in $B_\ell$.

Non-winner proofs

We likely would prefer a non-statistical measurement about individual block producers being offline, so that we may penalize individual block producers but only when many come back online together. For this, we adjust the above VRF "winner" formula $(\dag)$ to facilite "non-winner" proofs that reveal the number of blocks skipped.

Intuitively, we produce a time until our next block from the VRF evaluation, instead of evaluating our VRF on every slot. We note this cannot protect against randomness bias because nodes can always ensure their block cannot influence the randomness, say by landing only as an uncle.

If block producer $\nu$'s $j$th VRF win occurred in epoch $i$ then we define their subsequent VRF output to be We imagine their zeroth win as being the first slot in the first epoch in which their VRF key registration became active, and take $s_{\nu,0} = 0$, but do not actually give them this slot.

We then define the slot number of their $j+1$st win by sampling a delay $d_{\nu,j+1}$ from a Poisson distribution with rate $1/p_\nu$ whose source of randomness is a stream cipher seeded with $s_{\nu,j+1}$. In pseudo code, this resembles

let $d_{\nu,j+1}$ = rand::Poisson::new($p_\nu$)
    .sample(&mut rand_chacha::ChaChaRng::from_seed($s_{\nu,j+1}$));

If the slot height of their $j$th slot is $h_{\nu,j}$ then we compute the slot height for their $j+1$st slot as $h_{\nu,j+1} := h_{\nu,j} + d_{\nu,j+1}$, which naturally falls in epoch $h_{\nu,j+1} / T_{\texttt{epoch}}$.

We now observe that $E(h_{\nu,j+1} - h_{\nu,j}) = E(d_{\nu,j+1}) = 1/p_\nu$ in agreement with Ouroboros Praos.

In this, we implicitly required that $\nu$'s session key contain $(h_{\nu,j},s_{\nu,j})$ along with $V_\nu$, and that $r_i$ be recorded somewhere. We cannot demand that all blocks appear on our chain $C$ however, so $\nu$'s session key actually contains $(h_{\nu,j_0},s_{\nu,j_0})$ for some $j_0 \le j$, and all $r_i$ must be recorded. It follows that $\nu$'s $j+1$st block attempt should actually provide a batched VRF proof of $s_{\nu,j'}$ for all $j_0 \le j' \le j$.

We expect this costs around $128 (j-j_0)$ bytes using Ristretto VRFs, less if using BLS. We update the $(h_{\nu,\cdot},s_{\nu,\cdot})$ components of $\nu$'s session key only when $\nu$ produces a block, or registering or unstakes, because doing so with transactions, including uncles, etc. only increases verification time and saves no block space in aggregate.

Aside from consuming block space, we shall penalize chains with too many missed blocks in our fork choice rule. (TODO: Chain selection)

We should also permit block producers to unstake after they have waited ?three?months? from their last block. We require require block producers have some minimum stake to prevent them from continually restaking with minuscule stake. (TODO: Unstaking)

In this variant, any node $\mu$ receiving $B_\ell = (\cdots)$ validates the following conditions:

  • The proposed slot height $h_{\nu,j+1}$ is appropriate to $\mathbb{C}_\mu$.
  • The batched VRF proof correctly evolves the $(h_{\nu,j},s_{\nu,j})$ field in $\nu$'s session key into $(h_{\nu,j+1},s_{\nu,j+1})$.
  • The session key of $\nu$ is correctly staked,
  • $\nu$ signed $B_\ell$, but that
  • $\nu$ signed no other block at slot height $h$ in $\mathbb{C}_\mu$. (TODO: ban height or slash?)
  • $B_\ell$ correctly extends some chain $C' \in \mathbb{C}_\mu$. (TODO: gossip?)

[BP1] [BP2]