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<title>RFC-0000: Pre-ELVES soft concensus - Polkadot Fellowship RFCs</title>
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<ol class="chapter"><li class="chapter-item expanded affix "><a href="../introduction.html">Introduction</a></li><li class="spacer"></li><li class="chapter-item expanded affix "><li class="part-title">Newly Proposed</li><li class="chapter-item expanded "><a href="../new/0000-pre-elves_soft.html" class="active">RFC-0000: Pre-ELVES soft concensus</a></li><li class="spacer"></li><li class="chapter-item expanded affix "><li class="part-title">Proposed</li><li class="chapter-item expanded "><a href="../proposed/0017-coretime-market-redesign.html">RFC-0017: Coretime Market Redesign</a></li><li class="spacer"></li><li class="chapter-item expanded affix "><li class="part-title">Approved</li><li class="chapter-item expanded "><a href="../approved/0001-agile-coretime.html">RFC-1: Agile Coretime</a></li><li class="chapter-item expanded "><a href="../approved/0005-coretime-interface.html">RFC-5: Coretime Interface</a></li><li class="chapter-item expanded "><a href="../approved/0007-system-collator-selection.html">RFC-0007: System Collator Selection</a></li><li class="chapter-item expanded "><a href="../approved/0008-parachain-bootnodes-dht.html">RFC-0008: Store parachain bootnodes in relay chain DHT</a></li><li class="chapter-item expanded "><a href="../approved/0009-improved-net-light-client-requests.html">RFC-0009: Improved light client requests networking protocol</a></li><li class="chapter-item expanded "><a href="../approved/0010-burn-coretime-revenue.html">RFC-0010: Burn Coretime Revenue</a></li><li class="chapter-item expanded "><a href="../approved/0012-process-for-adding-new-collectives.html">RFC-0012: Process for Adding New System Collectives</a></li><li class="chapter-item expanded "><a href="../approved/0013-prepare-blockbuilder-and-core-runtime-apis-for-mbms.html">RFC-0013: Prepare Core runtime API for MBMs</a></li><li class="chapter-item expanded "><a href="../approved/0014-improve-locking-mechanism-for-parachains.html">RFC-0014: Improve locking mechanism for parachains</a></li><li class="chapter-item expanded "><a href="../approved/0022-adopt-encointer-runtime.html">RFC-0022: Adopt Encointer Runtime</a></li><li class="chapter-item expanded "><a href="../approved/0026-sassafras-consensus.html">RFC-0026: Sassafras Consensus Protocol</a></li><li class="chapter-item expanded "><a href="../approved/0032-minimal-relay.html">RFC-0032: Minimal Relay</a></li><li class="chapter-item expanded "><a href="../approved/0042-extrinsics-state-version.html">RFC-0042: Add System version that replaces StateVersion on RuntimeVersion</a></li><li class="chapter-item expanded "><a href="../approved/0043-storage-proof-size-hostfunction.html">RFC-0043: Introduce storage_proof_size Host Function for Improved Parachain Block Utilization</a></li><li class="chapter-item expanded "><a href="../approved/0045-nft-deposits-asset-hub.html">RFC-0045: Lowering NFT Deposits on Asset Hub</a></li><li class="chapter-item expanded "><a href="../approved/0047-assignment-of-availability-chunks.html">RFC-0047: Assignment of availability chunks to validators</a></li><li class="chapter-item expanded "><a href="../approved/0048-session-keys-runtime-api.html">RFC-0048: Generate ownership proof for SessionKeys</a></li><li class="chapter-item expanded "><a href="../approved/0050-fellowship-salaries.html">RFC-0050: Fellowship Salaries</a></li><li class="chapter-item expanded "><a href="../approved/0056-one-transaction-per-notification.html">RFC-0056: Enforce only one transaction per notification</a></li><li class="chapter-item expanded "><a href="../approved/0059-nodes-capabilities-discovery.html">RFC-0059: Add a discovery mechanism for nodes based on their capabilities</a></li><li class="chapter-item expanded "><a href="../approved/0078-merkleized-metadata.html">RFC-0078: Merkleized Metadata</a></li><li class="chapter-item expanded "><a href="../approved/0084-general-transaction-extrinsic-format.html">RFC-0084: General transactions in extrinsic format</a></li><li class="chapter-item expanded "><a href="../approved/0091-dht-record-creation-time.html">RFC-0091: DHT Authority discovery record creation time</a></li><li class="chapter-item expanded "><a href="../approved/0097-unbonding_queue.html">RFC-0097: Unbonding Queue</a></li><li class="chapter-item expanded "><a href="../approved/0099-transaction-extension-version.html">RFC-0099: Introduce a transaction extension version</a></li><li class="chapter-item expanded "><a href="../approved/0100-xcm-multi-type-asset-transfer.html">RFC-0100: New XCM instruction: InitiateAssetsTransfer</a></li><li class="chapter-item expanded "><a href="../approved/0101-xcm-transact-remove-max-weight-param.html">RFC-0101: XCM Transact remove require_weight_at_most parameter</a></li><li class="chapter-item expanded "><a href="../approved/0103-introduce-core-index-commitment.html">RFC-0103: Introduce a CoreIndex commitment and a SessionIndex field in candidate receipts</a></li><li class="chapter-item expanded "><a href="../approved/0105-xcm-improved-fee-mechanism.html">RFC-0105: XCM improved fee mechanism</a></li><li class="chapter-item expanded "><a href="../approved/0107-xcm-execution-hints.html">RFC-0107: XCM Execution hints</a></li><li class="chapter-item expanded "><a href="../approved/0108-xcm-remove-testnet-ids.html">RFC-0108: Remove XCM testnet NetworkIds</a></li><li class="chapter-item expanded "><a href="../approved/0122-alias-origin-on-asset-transfers.html">RFC-0122: Asset transfers can alias XCM origin on destination to original origin</a></li><li class="chapter-item expanded "><a href="../approved/0123-pending-code-as-storage-location-for-runtime-upgrades.html">RFC-0123: Introduce :pending_code as intermediate storage key for the runtime code</a></li><li class="chapter-item expanded "><a href="../approved/0125-xcm-asset-metadata.html">RFC-0125: XCM Asset Metadata</a></li><li class="chapter-item expanded "><a href="../approved/0126-introduce-pvq.html">RFC-0126: Introduce PVQ (PolkaVM Query)</a></li><li class="chapter-item expanded "><a href="../approved/0135-compressed-blob-prefixes.html">RFC-0135: Compressed Blob Prefixes</a></li><li class="chapter-item expanded "><a href="../approved/0139-faster-erasure-coding.html">RFC-0139: Faster Erasure Coding</a></li><li class="spacer"></li><li class="chapter-item expanded affix "><li class="part-title">Stale</li><li class="chapter-item expanded "><a href="../stale/0000-rewards.html">RFC-0000: Validator Rewards</a></li><li class="chapter-item expanded "><a href="../stale/0004-remove-unnecessary-allocator-usage.html">RFC-0004: Remove the host-side runtime memory allocator</a></li><li class="chapter-item expanded "><a href="../stale/0006-dynamic-pricing-for-bulk-coretime-sales.html">RFC-0006: Dynamic Pricing for Bulk Coretime Sales</a></li><li class="chapter-item expanded "><a href="../stale/0034-xcm-absolute-location-account-derivation.html">RFC-34: XCM Absolute Location Account Derivation</a></li><li class="chapter-item expanded "><a href="../stale/0035-conviction-voting-delegation-modifications.html"> RFC-0035: Conviction Voting Delegation Modifications</a></li><li class="chapter-item expanded "><a href="../stale/0044-rent-based-registration.html">RFC-0044: Rent based registration model</a></li><li class="chapter-item expanded "><a href="../stale/0054-remove-heap-pages.html">RFC-0054: Remove the concept of "heap pages" from the client</a></li><li class="chapter-item expanded "><a href="../stale/0070-x-track-kusamanetwork.html">RFC-0070: X Track for @kusamanetwork</a></li><li class="chapter-item expanded "><a href="../stale/0073-referedum-deposit-track.html">RFC-0073: Decision Deposit Referendum Track</a></li><li class="chapter-item expanded "><a href="../stale/0074-stateful-multisig-pallet.html">RFC-0074: Stateful Multisig Pallet</a></li><li class="chapter-item expanded "><a href="../stale/0077-increase-max-length-of-identity-pgp-fingerprint-value.html">RFC-0077: Increase maximum length of identity PGP fingerprint values from 20 bytes</a></li><li class="chapter-item expanded "><a href="../stale/0088-broker-pallet-slashable-deposit-purchaser-reputation-reserved-cores.html">RFC-0088: Add slashable locked deposit, purchaser reputation, and reserved cores for on-chain identities to broker pallet</a></li><li class="chapter-item expanded "><a href="../stale/00xx-secondary-marketplace-for-regions.html">RFC-0001: Secondary Market for Regions</a></li><li class="chapter-item expanded "><a href="../stale/00xx-smart-contracts-coretime-chain.html">RFC-0002: Smart Contracts on the Coretime Chain</a></li><li class="chapter-item expanded "><a href="../stale/0102-offchain-parachain-runtime-upgrades.html">RFC-0000: Feature Name Here</a></li><li class="chapter-item expanded "><a href="../stale/0106-xcm-remove-fees-mode.html">RFC-0106: Remove XCM fees mode</a></li><li class="chapter-item expanded "><a href="../stale/0111-pure-proxy-replication.html">RFC-0111: Pure Proxy Replication</a></li><li class="chapter-item expanded "><a href="../stale/0112-compress-state-response-message-in-state-sync.html">RFC-0112: Compress the State Response Message in State Sync</a></li><li class="chapter-item expanded "><a href="../stale/0114-secp256r1-hostfunction.html">RFC-0114: Introduce secp256r1_ecdsa_verify_prehashed Host Function to verify NIST-P256 elliptic curve signatures</a></li><li class="chapter-item expanded "><a href="../stale/0117-unbrick-collective.html">RFC-0117: The Unbrick Collective</a></li><li class="chapter-item expanded "><a href="../stale/0120-referenda-confirmation-by-candle-mechanism.html">RFC-0120: Referenda Confirmation by Candle Mechanism</a></li><li class="chapter-item expanded "><a href="../stale/0124-extrinsic-version-5.html">RFC-0124: Extrinsic version 5</a></li><li class="chapter-item expanded "><a href="../stale/0138-invulnerable-collator-election.html">RFC-0138: Election mechanism for invulnerable collators on system chains</a></li><li class="chapter-item expanded "><a href="../stale/RFC-114 Adjust Tipper Track Confirmation Periods.html">RFC-114: Adjust Tipper Track Confirmation Periods</a></li><li class="chapter-item expanded "><a href="../stale/TODO-stale-nomination-reward-curve.html">RFC-TODO: Stale Nomination Reward Curve</a></li></ol>
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<h1 class="menu-title">Polkadot Fellowship RFCs</h1>
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<p><a href="https://github.com/polkadot-fellows/RFCs/pull/144">(source)</a></p>
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<p><strong>Table of Contents</strong></p>
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<ul>
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<li><a href="#rfc-0000-pre-elves-soft-concensus">RFC-0000: Pre-ELVES soft concensus</a>
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<ul>
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<li><a href="#summary">Summary</a></li>
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<li><a href="#motivation">Motivation</a></li>
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<li><a href="#stakeholders">Stakeholders</a></li>
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<li><a href="#explanation">Explanation</a>
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<ul>
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<li><a href="#availability-voting">Availability voting</a></li>
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<li><a href="#fork-choice">Fork choice</a></li>
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<li><a href="#elves">Elves</a></li>
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</ul>
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</li>
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<li><a href="#concerns-drawbacks-testing-security-and-privacy">Concerns: Drawbacks, Testing, Security, and Privacy</a></li>
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<li><a href="#performance-ergonomics-and-compatibility">Performance, Ergonomics, and Compatibility</a>
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<ul>
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<li><a href="#compatibility">Compatibility</a></li>
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</ul>
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</li>
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<li><a href="#prior-art-and-references">Prior Art and References</a></li>
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<li><a href="#unresolved-questions">Unresolved Questions</a></li>
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<li><a href="#future-directions-and-related-material">Future Directions and Related Material</a>
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<ul>
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<li><a href="#thresahold-randomness">Thresahold randomness</a></li>
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<li><a href="#avoid-wall-clock-time">Avoid wall clock time</a></li>
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<li><a href="#partial-relay-chain-blocks">Partial relay chain blocks</a></li>
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</ul>
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</li>
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</ul>
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</li>
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</ul>
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<h1 id="rfc-0000-pre-elves-soft-concensus"><a class="header" href="#rfc-0000-pre-elves-soft-concensus">RFC-0000: Pre-ELVES soft concensus</a></h1>
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<div class="table-wrapper"><table><thead><tr><th></th><th></th></tr></thead><tbody>
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<tr><td><strong>Start Date</strong></td><td>Date of initial proposal</td></tr>
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<tr><td><strong>Description</strong></td><td>Provide and exploit a soft concensus before launching approval checks</td></tr>
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<tr><td><strong>Authors</strong></td><td>Jeff Burdges, Alistair Stewart</td></tr>
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</tbody></table>
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</div>
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<h2 id="summary"><a class="header" href="#summary">Summary</a></h2>
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<p>Availability (bitfield) votes gain a <code>preferred_fork</code> flag which expresses the validator's opinion upon relay chain equivocations and babe forks, while still sharing availability votes for all relay chain blocks. We make relay chain block production require a supermajority with <code>preferred_fork</code> set, so forks cannot advance if they split the honest validators, which creates an early soft concensus. We similarly defend ELVES from relay chain equivocation attacks and prevent redundent approvals across babe forks.</p>
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<h2 id="motivation"><a class="header" href="#motivation">Motivation</a></h2>
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<p>We've always known relay chain equivocations break the ELVES threat model. We originally envisioned ELVES having fallback pathways, but doing fallbacks requires dangerous subtle debugging. We support more assignment schemes in ELVES this way too, including one novel post-quantum one, and very low CPU usage schemes.</p>
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<p>We expect this early soft concensus creates back pressure that improves performance under babe forks.</p>
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<p>Alistair: TODO?</p>
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<h2 id="stakeholders"><a class="header" href="#stakeholders">Stakeholders</a></h2>
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<p>We modify the availability votes and restrict relay chain blocks, fork choice, and ELVES start conditions, so mostly the parachain</p>
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<p>A sassafras RC like JAM has could avoid <code>preferred_fork</code> flag, because they have only equivocations not babe forks.</p>
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<h2 id="explanation"><a class="header" href="#explanation">Explanation</a></h2>
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<h3 id="availability-voting"><a class="header" href="#availability-voting">Availability voting</a></h3>
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<p>At present, availability votes have a bitfield representing the cores, a <code>relay_parent</code>, and a signature. We process these on-chain in several steps: We first validate the signatures, zero any bits for cores included/enacted between the <code>relay_parent</code> and our predecessor, sum the set bits for each core, and finally include/enact the core if this exceeds 2/3rds of the validators.</p>
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<p>Availability votes gain a <code>preferred_fork</code> flag, which honest validators set for exactly one <code>relay_parent</code> on their availability votes in a block production slot. We say a validator prefers a fork given by chain head <code>h</code> if it provides an availability vote with <code>relay_parent = h</code> and <code>preferred_fork</code> set.</p>
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<p>Validators recieve a minor equivocations slash if they claim to set <code>preferred_fork</code> for two different <code>relay_parent</code>s in the same slot. In sassafras, this means preferred fork equivocations can only occur for relay chain equivocations, but under babe preferred fork equivocations could occur between primary and secondary blocks, or other primary blocks.</p>
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<p>All validators still provide availability votes for all forks, because those non-preferred votes could still help enact candidates faster, but those non-preferred vote have <code>preferred_fork</code> zeroed.</p>
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<p>Around this, validators could optionally provide an early availability vote that commits to their preferred fork, and then later provide a second availability votes stating the same preferred fork but a fuller bitfield, provided doing so somehow helps relay chain blcok producers.</p>
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<h3 id="fork-choice"><a class="header" href="#fork-choice">Fork choice</a></h3>
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<p>We require relay chain block producers build upon forks preferred by <code>2 f + 1</code> validators. In other words, a relay chain block with parent <code>p</code> must contain availability bitfield votes from <code>2 f + 1</code> validators with <code>relay_parent = p</code> and <code>preferred_fork</code> set. It follows our preferred fork votes override other fork choice priorities.</p>
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<p>A relay chain block producer could lack this <code>2 f + 1</code> threshold for a prespective parent block <code>p</code>, in which case they must build upon the parent of <code>p</code> instead. We know availability votes simply being slow would cause this somtimes, in which case adding slightly more delay could save the relay chain slot Alternatively though, two distinct relay chain blocks in the same slot could each wind up prefered by <code>f+1</code> validators, in which case we must abandond the slot entirely.</p>
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<p>It's critical that honest validators carefully time when they judge their preferences. In babe, this adds complexity: We always prefer a primary slot over a secondary slot, so the validators should delay preferring a secondary slot, giving the primary slot enough time. We prefer the primary slot with smallest VRF as well, so we need some delay even once we recieve a primary.</p>
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<h3 id="elves"><a class="header" href="#elves">Elves</a></h3>
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<p>We launch the approvals process aka (machine) elves for a relay chain block <code>p</code> once <code>2 f + 1</code> validators prefer that block, aka <code>2 f + 1</code> validators provide availability votes with <code>relay_parent = p</code> and <code>preferred_fork</code> set. We could optionally delay this further until we have some valid decendent of <code>p</code>.</p>
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<h2 id="concerns-drawbacks-testing-security-and-privacy"><a class="header" href="#concerns-drawbacks-testing-security-and-privacy">Concerns: Drawbacks, Testing, Security, and Privacy</a></h2>
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<p>Adds subtle timing constraints, which could entrench existing performanceg obstacles. We might explore variations that ignore wall clock time.</p>
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<p>We've always known relay chain equivocations break the ELVES threat model. We originally envisioned ELVES having fallback pathways, but these were complex and demanded unused code paths, which cannot realistically be debugged. Although complex, the early soft concensus scheme feels less complex overall. We know timing sucks to optimise a distributed system, but at least doing so use everyday code paths.</p>
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<h2 id="performance-ergonomics-and-compatibility"><a class="header" href="#performance-ergonomics-and-compatibility">Performance, Ergonomics, and Compatibility</a></h2>
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<p>We expect early soft concensus introduce back pressure that radically alters performance. We no longer run approvals checks upon all forks. As primary slots occur once every other slot in expectation, one might expect a 30% reduction in CPU load, but this depends upon diverse factors.</p>
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<p>We apply back pressure by dropping some whole relay chain blocks though, so this shall increase the expected parachain blocktime somewhat, but how much depens upon future optimisation work.</p>
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<h3 id="compatibility"><a class="header" href="#compatibility">Compatibility</a></h3>
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<p>Major upgrade</p>
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<h2 id="prior-art-and-references"><a class="header" href="#prior-art-and-references">Prior Art and References</a></h2>
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<p>...</p>
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<h2 id="unresolved-questions"><a class="header" href="#unresolved-questions">Unresolved Questions</a></h2>
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<p>Provide specific questions to discuss and address before the RFC is voted on by the Fellowship. This should include, for example, alternatives to aspects of the proposed design where the appropriate trade-off to make is unclear.</p>
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<h2 id="future-directions-and-related-material"><a class="header" href="#future-directions-and-related-material">Future Directions and Related Material</a></h2>
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<p>A sassafras RC like JAM could avoid <code>preferred_fork</code> flag, by only releasing availability votes for at most one sassafras equivocation.</p>
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<h3 id="thresahold-randomness"><a class="header" href="#thresahold-randomness">Thresahold randomness</a></h3>
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<p>We think threshold randomness could reduce the tranche zero approcha checker assigments by roughly 40%, meaning a fixed 15 vs the expected 25 in the elves paper (30 in production now).</p>
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<p>We do know threshold VRF based schemes that address relay chain equivocations directly, by using as input the relay chain block hash. We have many more options with early soft concensus though. TODO In particular, we only know two post-quantum approaches to elves, and the bandwidth efficent one needs early soft concensus.</p>
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<h3 id="avoid-wall-clock-time"><a class="header" href="#avoid-wall-clock-time">Avoid wall clock time</a></h3>
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<p>Avoiding or minimizing wall clock time could provide an interesting development direction.</p>
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<p>...</p>
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<h3 id="partial-relay-chain-blocks"><a class="header" href="#partial-relay-chain-blocks">Partial relay chain blocks</a></h3>
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<p>Above, we only discuss abandoning realy chain blocks which fail early soft concensus. We could alternatively treat them as partial blocks and build extension partial blocks that complete them, with elves probably using randomness from the final partial block.</p>
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