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epoch_failover_test.go
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// Copyright (C) 2019-2025, Ava Labs, Inc. All rights reserved.
// See the file LICENSE for licensing terms.
package simplex_test
import (
"context"
. "simplex"
"simplex/testutil"
"sync/atomic"
"testing"
"time"
"github.com/stretchr/testify/require"
"go.uber.org/zap/zapcore"
)
func TestEpochLeaderFailoverWithEmptyNotarization(t *testing.T) {
l := testutil.MakeLogger(t, 1)
bb := &testBlockBuilder{
out: make(chan *testBlock, 3),
blockShouldBeBuilt: make(chan struct{}, 1),
in: make(chan *testBlock, 3),
}
storage := newInMemStorage()
nodes := []NodeID{{1}, {2}, {3}, {4}}
quorum := Quorum(len(nodes))
wal := newTestWAL(t)
start := time.Now()
conf := EpochConfig{
MaxProposalWait: DefaultMaxProposalWaitTime,
StartTime: start,
Logger: l,
ID: nodes[0],
Signer: &testSigner{},
WAL: wal,
Verifier: &testVerifier{},
Storage: storage,
Comm: noopComm(nodes),
BlockBuilder: bb,
SignatureAggregator: &testSignatureAggregator{},
}
e, err := NewEpoch(conf)
require.NoError(t, err)
require.NoError(t, e.Start())
// Agree on the first block, and then receive an empty notarization for round 3.
// Afterward, run through rounds 1 and 2.
// The node should move to round 4 via the empty notarization it has received
// from earlier.
notarizeAndFinalizeRound(t, nodes, 0, 0, e, bb, quorum, storage, false)
block0, _, ok := storage.Retrieve(0)
require.True(t, ok)
block1, ok := bb.BuildBlock(context.Background(), ProtocolMetadata{
Round: 1,
Prev: block0.BlockHeader().Digest,
Seq: 1,
})
require.True(t, ok)
block2, ok := bb.BuildBlock(context.Background(), ProtocolMetadata{
Round: 2,
Prev: block1.BlockHeader().Digest,
Seq: 2,
})
require.True(t, ok)
block3, ok := bb.BuildBlock(context.Background(), ProtocolMetadata{
Round: 4,
Prev: block2.BlockHeader().Digest,
Seq: 3,
})
require.True(t, ok)
var qc testQC
for i := 1; i <= quorum; i++ {
qc = append(qc, Signature{Signer: NodeID{byte(i)}, Value: []byte{byte(i)}})
}
// Artificially force the block builder to output the blocks we want.
for len(bb.out) > 0 {
<-bb.out
}
for _, block := range []Block{block1, block2, block3} {
bb.out <- block.(*testBlock)
bb.in <- block.(*testBlock)
}
e.HandleMessage(&Message{
EmptyNotarization: &EmptyNotarization{
Vote: ToBeSignedEmptyVote{ProtocolMetadata: ProtocolMetadata{
Prev: block2.BlockHeader().Digest,
Round: 3,
Seq: 2,
}},
QC: qc,
},
}, nodes[1])
for round := uint64(1); round <= 2; round++ {
notarizeAndFinalizeRound(t, nodes, round, round, e, bb, quorum, storage, false)
}
bb.blockShouldBeBuilt <- struct{}{}
wal.assertNotarization(3)
nextBlockSeqToCommit := uint64(3)
nextRoundToCommit := uint64(4)
// Ensure our node proposes block with sequence 3 for round 4
notarizeAndFinalizeRound(t, nodes, nextRoundToCommit, nextBlockSeqToCommit, e, bb, quorum, storage, false)
require.Equal(t, uint64(4), storage.Height())
}
func TestEpochLeaderFailoverReceivesEmptyVotesEarly(t *testing.T) {
l := testutil.MakeLogger(t, 1)
bb := &testBlockBuilder{out: make(chan *testBlock, 1), blockShouldBeBuilt: make(chan struct{}, 1)}
storage := newInMemStorage()
nodes := []NodeID{{1}, {2}, {3}, {4}}
quorum := Quorum(len(nodes))
wal := newTestWAL(t)
start := time.Now()
conf := EpochConfig{
MaxProposalWait: DefaultMaxProposalWaitTime,
StartTime: start,
Logger: l,
ID: nodes[0],
Signer: &testSigner{},
WAL: wal,
Verifier: &testVerifier{},
Storage: storage,
Comm: noopComm(nodes),
BlockBuilder: bb,
SignatureAggregator: &testSignatureAggregator{},
}
e, err := NewEpoch(conf)
require.NoError(t, err)
require.NoError(t, e.Start())
// Run through 3 blocks, to make the block proposals be:
// 1 --> 2 --> 3 --> X (node 4 doesn't propose a block)
// Then, don't do anything and wait for our node
// to start complaining about a block not being notarized
for round := uint64(0); round < 3; round++ {
notarizeAndFinalizeRound(t, nodes, round, round, e, bb, quorum, storage, false)
}
lastBlock, _, ok := storage.Retrieve(storage.Height() - 1)
require.True(t, ok)
prev := lastBlock.BlockHeader().Digest
emptyBlockMd := ProtocolMetadata{
Round: 3,
Seq: 2,
Prev: prev,
}
emptyVoteFrom1 := createEmptyVote(emptyBlockMd, nodes[1])
emptyVoteFrom2 := createEmptyVote(emptyBlockMd, nodes[2])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom1,
}, nodes[1])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom2,
}, nodes[2])
bb.blockShouldBeBuilt <- struct{}{}
waitForBlockProposerTimeout(t, e, start)
wal.lock.Lock()
walContent, err := wal.ReadAll()
require.NoError(t, err)
wal.lock.Unlock()
rawEmptyVote, rawEmptyNotarization, rawProposal := walContent[len(walContent)-3], walContent[len(walContent)-2], walContent[len(walContent)-1]
emptyVote, err := ParseEmptyVoteRecord(rawEmptyVote)
require.NoError(t, err)
require.Equal(t, createEmptyVote(emptyBlockMd, nodes[0]).Vote, emptyVote)
emptyNotarization, err := EmptyNotarizationFromRecord(rawEmptyNotarization, &testQCDeserializer{t: t})
require.NoError(t, err)
require.Equal(t, emptyVoteFrom1.Vote, emptyNotarization.Vote)
require.Equal(t, uint64(3), emptyNotarization.Vote.Round)
require.Equal(t, uint64(2), emptyNotarization.Vote.Seq)
require.Equal(t, uint64(3), storage.Height())
header, _, err := ParseBlockRecord(rawProposal)
require.NoError(t, err)
require.Equal(t, uint64(4), header.Round)
require.Equal(t, uint64(3), header.Seq)
// Ensure our node proposes block with sequence 3 for round 4
block := <-bb.out
for i := 1; i <= quorum; i++ {
injectTestFinalization(t, e, block, nodes[i])
}
block2 := storage.waitForBlockCommit(3)
require.Equal(t, block, block2)
require.Equal(t, uint64(4), storage.Height())
require.Equal(t, uint64(4), block2.BlockHeader().Round)
require.Equal(t, uint64(3), block2.BlockHeader().Seq)
}
func TestEpochLeaderFailover(t *testing.T) {
l := testutil.MakeLogger(t, 1)
bb := &testBlockBuilder{out: make(chan *testBlock, 1), blockShouldBeBuilt: make(chan struct{}, 1)}
storage := newInMemStorage()
nodes := []NodeID{{1}, {2}, {3}, {4}}
quorum := Quorum(len(nodes))
wal := newTestWAL(t)
start := time.Now()
conf := EpochConfig{
MaxProposalWait: DefaultMaxProposalWaitTime,
StartTime: start,
Logger: l,
ID: nodes[0],
Signer: &testSigner{},
WAL: wal,
Verifier: &testVerifier{},
Storage: storage,
Comm: noopComm(nodes),
BlockBuilder: bb,
SignatureAggregator: &testSignatureAggregator{},
}
e, err := NewEpoch(conf)
require.NoError(t, err)
require.NoError(t, e.Start())
// Run through 3 blocks, to make the block proposals be:
// 1 --> 2 --> 3 --> X (node 4 doesn't propose a block)
// Then, don't do anything and wait for our node
// to start complaining about a block not being notarized
for round := uint64(0); round < 3; round++ {
notarizeAndFinalizeRound(t, nodes, round, round, e, bb, quorum, storage, false)
}
bb.blockShouldBeBuilt <- struct{}{}
waitForBlockProposerTimeout(t, e, start)
lastBlock, _, ok := storage.Retrieve(storage.Height() - 1)
require.True(t, ok)
prev := lastBlock.BlockHeader().Digest
emptyBlockMd := ProtocolMetadata{
Round: 3,
Seq: 2,
Prev: prev,
}
nextBlockSeqToCommit := uint64(3)
nextRoundToCommit := uint64(4)
emptyVoteFrom1 := createEmptyVote(emptyBlockMd, nodes[1])
emptyVoteFrom2 := createEmptyVote(emptyBlockMd, nodes[2])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom1,
}, nodes[1])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom2,
}, nodes[2])
wal.lock.Lock()
walContent, err := wal.ReadAll()
require.NoError(t, err)
wal.lock.Unlock()
rawEmptyVote, rawEmptyNotarization := walContent[len(walContent)-2], walContent[len(walContent)-1]
emptyVote, err := ParseEmptyVoteRecord(rawEmptyVote)
require.NoError(t, err)
require.Equal(t, createEmptyVote(emptyBlockMd, nodes[0]).Vote, emptyVote)
emptyNotarization, err := EmptyNotarizationFromRecord(rawEmptyNotarization, &testQCDeserializer{t: t})
require.NoError(t, err)
require.Equal(t, emptyVoteFrom1.Vote, emptyNotarization.Vote)
require.Equal(t, uint64(3), emptyNotarization.Vote.Round)
require.Equal(t, uint64(2), emptyNotarization.Vote.Seq)
require.Equal(t, uint64(3), storage.Height())
// Ensure our node proposes block with sequence 3 for round 4
notarizeAndFinalizeRound(t, nodes, nextRoundToCommit, nextBlockSeqToCommit, e, bb, quorum, storage, false)
require.Equal(t, uint64(4), storage.Height())
}
func TestEpochNoFinalizationAfterEmptyVote(t *testing.T) {
l := testutil.MakeLogger(t, 1)
bb := &testBlockBuilder{out: make(chan *testBlock, 1), blockShouldBeBuilt: make(chan struct{}, 1)}
storage := newInMemStorage()
nodes := []NodeID{{1}, {2}, {3}, {4}}
quorum := Quorum(len(nodes))
wal := newTestWAL(t)
recordedMessages := make(chan *Message, 7)
comm := &recordingComm{Communication: noopComm(nodes), BroadcastMessages: recordedMessages}
start := time.Now()
conf := EpochConfig{
MaxProposalWait: DefaultMaxProposalWaitTime,
StartTime: start,
Logger: l,
ID: nodes[0],
Signer: &testSigner{},
WAL: wal,
Verifier: &testVerifier{},
Storage: storage,
Comm: comm,
BlockBuilder: bb,
SignatureAggregator: &testSignatureAggregator{},
}
e, err := NewEpoch(conf)
require.NoError(t, err)
require.NoError(t, e.Start())
notarizeAndFinalizeRound(t, nodes, 0, 0, e, bb, quorum, storage, false)
// Drain the messages recorded
for len(recordedMessages) > 0 {
<-recordedMessages
}
bb.blockShouldBeBuilt <- struct{}{}
waitForBlockProposerTimeout(t, e, start)
block, _, ok := storage.Retrieve(0)
require.True(t, ok)
leader := LeaderForRound(nodes, 1)
_, ok = bb.BuildBlock(context.Background(), ProtocolMetadata{
Prev: block.BlockHeader().Digest,
Round: 1,
Seq: 1,
})
require.True(t, ok)
block = <-bb.out
vote, err := newTestVote(block, leader)
require.NoError(t, err)
err = e.HandleMessage(&Message{
BlockMessage: &BlockMessage{
Vote: *vote,
Block: block,
},
}, leader)
require.NoError(t, err)
for i := 1; i <= quorum; i++ {
injectTestVote(t, e, block, nodes[i])
}
wal.assertNotarization(1)
for i := 1; i < quorum; i++ {
injectTestFinalization(t, e, block, nodes[i])
}
// A block should not have been committed because we do not include our own finalization.
storage.ensureNoBlockCommit(t, 1)
// There should only two messages sent, which are an empty vote and a notarization.
// This proves that a finalization or a regular vote were never sent by us.
msg := <-recordedMessages
require.NotNil(t, msg.EmptyVoteMessage)
msg = <-recordedMessages
require.NotNil(t, msg.Notarization)
require.Empty(t, recordedMessages)
}
func TestEpochLeaderFailoverAfterProposal(t *testing.T) {
bb := &testBlockBuilder{out: make(chan *testBlock, 1), blockShouldBeBuilt: make(chan struct{}, 1)}
storage := newInMemStorage()
nodes := []NodeID{{1}, {2}, {3}, {4}}
quorum := Quorum(len(nodes))
wal := newTestWAL(t)
logger := testutil.MakeLogger(t, 1)
start := time.Now()
conf := EpochConfig{
MaxProposalWait: DefaultMaxProposalWaitTime,
StartTime: start,
Logger: logger,
ID: nodes[0],
Signer: &testSigner{},
WAL: wal,
Verifier: &testVerifier{},
Storage: storage,
Comm: noopComm(nodes),
BlockBuilder: bb,
SignatureAggregator: &testSignatureAggregator{},
}
e, err := NewEpoch(conf)
require.NoError(t, err)
require.NoError(t, e.Start())
// Run through 3 blocks, to make the block proposals be:
// 1 --> 2 --> 3 --> 4
// Node 4 proposes a block, but node 1 cannot collect votes until the timeout.
// After the timeout expires, node 1 is sent all the votes, and it should notarize the block.
for _, round := range []uint64{0, 1, 2} {
notarizeAndFinalizeRound(t, nodes, round, round, e, bb, quorum, storage, false)
}
wal.assertWALSize(6) // (block, notarization) x 3 rounds
// leader is the proposer of the new block for the given round
leader := LeaderForRound(nodes, 3)
md := e.Metadata()
_, ok := bb.BuildBlock(context.Background(), md)
require.True(t, ok)
require.Equal(t, md.Round, md.Seq)
block := <-bb.out
vote, err := newTestVote(block, leader)
require.NoError(t, err)
err = e.HandleMessage(&Message{
BlockMessage: &BlockMessage{
Vote: *vote,
Block: block,
},
}, leader)
require.NoError(t, err)
// Wait until we have verified the block and written it to the WAL
wal.assertWALSize(7)
// Send a timeout from the application
bb.blockShouldBeBuilt <- struct{}{}
waitForBlockProposerTimeout(t, e, start)
lastBlock, _, ok := storage.Retrieve(storage.Height() - 1)
require.True(t, ok)
prev := lastBlock.BlockHeader().Digest
md = ProtocolMetadata{
Round: 3,
Seq: 2,
Prev: prev,
}
nextBlockSeqToCommit := uint64(3)
nextRoundToCommit := uint64(4)
emptyVoteFrom1 := createEmptyVote(md, nodes[1])
emptyVoteFrom2 := createEmptyVote(md, nodes[2])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom1,
}, nodes[1])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom2,
}, nodes[2])
// Ensure our node proposes block with sequence 3 for round 4
notarizeAndFinalizeRound(t, nodes, nextRoundToCommit, nextBlockSeqToCommit, e, bb, quorum, storage, false)
// WAL must contain an empty vote and an empty block.
walContent, err := wal.ReadAll()
require.NoError(t, err)
// WAL should be: [..., <empty vote>, <empty block>, <notarization for 4>, <block3>]
rawEmptyVote, rawEmptyNotarization := walContent[len(walContent)-4], walContent[len(walContent)-3]
emptyVote, err := ParseEmptyVoteRecord(rawEmptyVote)
require.NoError(t, err)
require.Equal(t, createEmptyVote(md, nodes[0]).Vote, emptyVote)
emptyNotarization, err := EmptyNotarizationFromRecord(rawEmptyNotarization, &testQCDeserializer{t: t})
require.NoError(t, err)
require.Equal(t, emptyVoteFrom1.Vote, emptyNotarization.Vote)
require.Equal(t, uint64(3), emptyNotarization.Vote.Round)
require.Equal(t, uint64(2), emptyNotarization.Vote.Seq)
require.Equal(t, uint64(4), storage.Height())
}
func TestEpochLeaderFailoverTwice(t *testing.T) {
l := testutil.MakeLogger(t, 1)
bb := &testBlockBuilder{out: make(chan *testBlock, 1), blockShouldBeBuilt: make(chan struct{}, 1)}
storage := newInMemStorage()
nodes := []NodeID{{1}, {2}, {3}, {4}}
quorum := Quorum(len(nodes))
wal := newTestWAL(t)
start := time.Now()
conf := EpochConfig{
MaxProposalWait: DefaultMaxProposalWaitTime,
StartTime: start,
Logger: l,
ID: nodes[0],
Signer: &testSigner{},
WAL: wal,
Verifier: &testVerifier{},
Storage: storage,
Comm: noopComm(nodes),
BlockBuilder: bb,
SignatureAggregator: &testSignatureAggregator{},
}
e, err := NewEpoch(conf)
require.NoError(t, err)
require.NoError(t, e.Start())
for _, round := range []uint64{0, 1} {
notarizeAndFinalizeRound(t, nodes, round, round, e, bb, quorum, storage, false)
}
t.Log("Node 2 crashes, leader failover to node 3")
bb.blockShouldBeBuilt <- struct{}{}
waitForBlockProposerTimeout(t, e, start)
lastBlock, _, ok := storage.Retrieve(storage.Height() - 1)
require.True(t, ok)
prev := lastBlock.BlockHeader().Digest
md := ProtocolMetadata{
Round: 2,
Seq: 1,
Prev: prev,
}
emptyVoteFrom2 := createEmptyVote(md, nodes[2])
emptyVoteFrom3 := createEmptyVote(md, nodes[3])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom2,
}, nodes[2])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom3,
}, nodes[3])
wal.assertNotarization(2)
t.Log("Node 3 crashes and node 2 comes back up (just in time)")
bb.blockShouldBeBuilt <- struct{}{}
waitForBlockProposerTimeout(t, e, start)
md = ProtocolMetadata{
Round: 3,
Seq: 1,
Prev: prev,
}
emptyVoteFrom1 := createEmptyVote(md, nodes[1])
emptyVoteFrom3 = createEmptyVote(md, nodes[3])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom1,
}, nodes[1])
e.HandleMessage(&Message{
EmptyVoteMessage: emptyVoteFrom3,
}, nodes[3])
wal.assertNotarization(3)
// Ensure our node proposes block with sequence 2 for round 4
nextRoundToCommit := uint64(4)
nextBlockSeqToCommit := uint64(2)
notarizeAndFinalizeRound(t, nodes, nextRoundToCommit, nextBlockSeqToCommit, e, bb, quorum, storage, false)
// WAL must contain an empty vote and an empty block.
walContent, err := wal.ReadAll()
require.NoError(t, err)
// WAL should be: [..., <empty vote>, <empty block>, <notarization for 4>, <block2>]
rawEmptyVote, rawEmptyNotarization := walContent[len(walContent)-4], walContent[len(walContent)-3]
emptyVote, err := ParseEmptyVoteRecord(rawEmptyVote)
require.NoError(t, err)
require.Equal(t, createEmptyVote(md, nodes[0]).Vote, emptyVote)
emptyNotarization, err := EmptyNotarizationFromRecord(rawEmptyNotarization, &testQCDeserializer{t: t})
require.NoError(t, err)
require.Equal(t, emptyVoteFrom1.Vote, emptyNotarization.Vote)
require.Equal(t, uint64(3), emptyNotarization.Vote.Round)
require.Equal(t, uint64(1), emptyNotarization.Vote.Seq)
require.Equal(t, uint64(3), storage.Height())
}
func createEmptyVote(md ProtocolMetadata, signer NodeID) *EmptyVote {
emptyVoteFrom2 := &EmptyVote{
Signature: Signature{
Signer: signer,
},
Vote: ToBeSignedEmptyVote{
ProtocolMetadata: md,
},
}
return emptyVoteFrom2
}
func waitForBlockProposerTimeout(t *testing.T, e *Epoch, startTime time.Time) {
startRound := e.Metadata().Round
timeout := time.NewTimer(time.Minute)
defer timeout.Stop()
for {
if e.WAL.(*testWAL).containsEmptyVote(startRound) {
return
}
startTime = startTime.Add(e.EpochConfig.MaxProposalWait / 5)
e.AdvanceTime(startTime)
select {
case <-time.After(time.Millisecond * 10):
continue
case <-timeout.C:
require.Fail(t, "timed out waiting for event")
}
}
}
func TestEpochLeaderFailoverNotNeeded(t *testing.T) {
var timedOut atomic.Bool
l := testutil.MakeLogger(t, 1)
l.Intercept(func(entry zapcore.Entry) error {
if entry.Message == `Timed out on block agreement` {
timedOut.Store(true)
}
return nil
})
bb := &testBlockBuilder{out: make(chan *testBlock, 1), blockShouldBeBuilt: make(chan struct{}, 1)}
storage := newInMemStorage()
nodes := []NodeID{{1}, {2}, {3}, {4}}
quorum := Quorum(len(nodes))
wal := newTestWAL(t)
start := time.Now()
conf := EpochConfig{
MaxProposalWait: DefaultMaxProposalWaitTime,
StartTime: start,
Logger: l,
ID: nodes[0],
Signer: &testSigner{},
WAL: wal,
Verifier: &testVerifier{},
Storage: storage,
Comm: noopComm(nodes),
BlockBuilder: bb,
SignatureAggregator: &testSignatureAggregator{},
}
e, err := NewEpoch(conf)
require.NoError(t, err)
require.NoError(t, e.Start())
// Run through 3 blocks, to make the block proposals be:
// 1 --> 2 --> 3 --> 4 (node 4 proposes a block eventually but not immediately
rounds := uint64(3)
for round := uint64(0); round < rounds; round++ {
notarizeAndFinalizeRound(t, nodes, round, round, e, bb, quorum, storage, false)
}
bb.blockShouldBeBuilt <- struct{}{}
e.AdvanceTime(start.Add(conf.MaxProposalWait / 2))
md := e.Metadata()
_, ok := bb.BuildBlock(context.Background(), md)
require.True(t, ok)
block := <-bb.out
vote, err := newTestVote(block, nodes[3])
require.NoError(t, err)
err = e.HandleMessage(&Message{
BlockMessage: &BlockMessage{
Vote: *vote,
Block: block,
},
}, nodes[3])
require.NoError(t, err)
// start at one since our node has already voted
for i := 1; i < quorum; i++ {
injectTestVote(t, e, block, nodes[i])
}
wal.assertNotarization(3)
e.AdvanceTime(start.Add(conf.MaxProposalWait / 2))
e.AdvanceTime(start.Add(conf.MaxProposalWait / 2))
require.False(t, timedOut.Load())
}
type recordingComm struct {
Communication
BroadcastMessages chan *Message
}
func (rc *recordingComm) Broadcast(msg *Message) {
rc.BroadcastMessages <- msg
rc.Communication.Broadcast(msg)
}