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Storage Design Notes

Author: Martin Smith

Tree Node Storage

The node level of storage provides a fairly abstract tree model that is used to implement verifiable logs and maps. Most users will not need this level but it is important to know the concepts involved. The API for this is defined in storage/tree_storage.go. Related protos are in the storage/storagepb package.

The model provides a versioned view of the tree. Each transaction that modifies the tree results in a new revision. Revision numbers increase monotonically as the tree is mutated.


Nodes in storage are uniquely identified by a NodeID. This combines a tree path with a revision number. The path is effectively used as a bitwise subtree prefix in the tree. In our subtree storage optimization the path prefix identifies the subtree and the remaining path is the path to the node within that subtree.

The same NodeID objects are used by both logs and maps but they are interpreted differently. There are API functions that create them for each case. Mixing node ID types in API calls will give incorrect results.

Subtree Stratification

As an optimization, the tree is not stored as a set of raw nodes but at as a collection of subtrees.

Currently, subtrees must be be a multiple of 8 levels deep (referred to as strataDepth in the code) so it's not allowed to have e.g. a 7 level depth but 8 or 16 is fine. Only the bottom level nodes (the "leaves") of each subtree are physically stored. Intermediate subtree nodes are rehashed from the "leaves" when the subtree is loaded into memory. See storage/cache/subtree_cache.go for more details.

Note some caveats to the above paragraph. If depth multiples other than 8 are used this might require changes to the way node ID prefix and suffixes are packed and unpacked from byte slices. There are additional assumptions that all log subtrees are the same depth, though these would be easier to remove.

For maps the internal nodes are always cleared when stored and then rebuilt from the subtree "leaf" nodes when the subtree is reloaded. Logs use a modified strategy because it is possible for internal nodes to depend on more than one subtree. For logs the internal nodes are cleared on storage if the subtree is fully populated. This prevents the loss of internal nodes that depend on other subtrees as the tree is growing in levels.

This storage arrangement was chosen because we have predictable access patterns to our data and do not require classes of tree modification like re-parenting a subtree. It would probably not be suitable for a general purpose tree.

Subtrees are keyed by the NodeID of the root (effectively a path prefix) and contain the intermediate nodes for that subtree, identified by their suffix. These are actually stored in a proto map where the key is the suffix path.

Subtrees are versioned to support the access model for nodes described above. Node addresses within the model are distinct because the path to a subtree must be unique.

When node updates are applied they will affect one or more subtrees and caching is used to increase efficiency. After all updates have been done in-memory the cache is flushed to storage so each affected subtree is only written once. All writes for a transaction will be at the same revision number.

Subtrees are helpful for reads because it is likely that many of the nodes traversed in Merkle paths for proofs are part of the same subtree. The number of subtrees involved in a path through a large tree from the leaves to the root is also bounded. For writes the subtree update batches what would be many smaller writes into one larger but manageable one.

We gain space efficiency by not storing intermediate nodes (except as noted above for logs and partially full subtrees). This is a big saving, especially for log storage. It avoids storing entire tree levels, which get very large as the tree grows. This adds up to an approx 50% space saving. This is magnified further as we store many versions of the tree. For the map case things aren't quite as good because multiple subtree revisions need to be stored with the same prefix but only one "leaf" node differing. The efficiency of this needs to be determined for large maps.

Subtree Diagrams

This diagram shows a tree as it might actually be stored by our code using subtrees of depth 8.

Each subtree does not include its "root" node, though this counts as part of the depth. There are additional subtrees below and to the right of the child subtree shown, they can't easily be shown in the diagram. Obviously, there could be less than 256 "leaf" nodes in the subtrees if they are not yet fully populated. A node always belongs to exactly one subtree, there is no overlap.

strata depth 8 tree

As it's hard to visualize the structure at scale with stratum depth 8, some examples of smaller depths might make things clearer. Though these are not supported by the current implementation the diagrams are much simpler.

This diagram shows a tree with stratum depth 2. It is a somewhat special case as all the levels are stored. Note that the root node is never stored and is always recalculated.

strata depth 2 tree diagram

This diagram shows a tree with stratum depth 3. Note that only the bottom level of each subtree is stored and how the binary path is used as a subtree prefix to identify subtrees.

strata depth 3 tree diagram

Consistency and Other Requirements

Storage implementations must provide strongly consistent updates to the tree data. Some users may see an earlier view than others if updates have not been fully propagated yet but they must not see partial updates or inconsistent views.

It is not a requirement that the underlying storage is relational. Our initial implementation uses an RDBMS and has this database schema diagram.

Log Storage

The Log Tree

The node tree built for a log is a representation of a Merkle Tree, which starts out empty and grows as leaves are added. A Merkle Tree of a specific size is a fixed and well-defined shape.

Leaves are never removed and a completely populated left subtree of the tree structure is never further mutated.

The personality layer is responsible for deciding whether to accept duplicate leaves as it controls the leaf identity hash value. For example it could add a timestamp to the data it hashes so that duplicate leaf data always has a different leaf identity hash.

The log stores two hashes per leaf, a raw SHA256 hash of the leaf data used for deduplication (by the personality layer) and the Merkle Leaf Hash of the data, which becomes part of the tree.

Log NodeIDs / Tree Coordinates

Log nodes are notionally addressed using a three dimensional coordinate tuple (level in tree, index in level, revision number).

Level zero is always the leaf level and additional intermediate levels are added above this as the tree grows. Such growth does not affect nodes written at a previous revision. Levels are only created when they are required. The level of a node is always the level in the overall tree. The NodeID coordinates are independent of any subtree storage optimization.

Index is the horizontal position of the node in the level, with zero being the leftmost node in each level.

For example in a tree of size two the leaves are (level 0, index 0) and (level 0, index 1) and the root is (level 1, index 0).

The storage implementation must be able to provide access to nodes using this coordinate scheme but it is not required to store them this way. The current implementation compacts subtrees for increased write efficiency so nodes are not distinct database entities. This is hidden by the node API.

Log Startup

When log storage is intialized and its tree is not empty the existing state is loaded into a compact_merkle_tree. This can be done efficiently and only requires a few node accesses to restore the tree state by reading intermediate hashes at each tree level.

As a crosscheck the root hash of the compact tree is compared against the current log root. If it does not match then the log is corrupt and cannot be used.

Writing Leaves and Sequencing

In the current RDBMS storage implementation log clients queue new leaves to the log, and a LeafData record is created. Further writes to the Merkle Tree are coordinated by the sequencer, which adds leaves to the tree. The sequencer is responsible for ordering the leaves and creating the SequencedLeafData row linking the leaf and its sequence number. Queued submissions that have not been sequenced are not accessible via the log APIs.

When leaves are added to the tree they are processed by a merkle/compact_merkle_tree, this causes a batched set of tree node updates to be applied. Each update is given its own revision number. The result is that a number of tree snapshots are directly available in storage. This contrasts with previous implementations for Certificate Transparency where the tree is in RAM and only the most recent snapshot is directly available. Note that we may batch log updates so we don't necessarily have all intermediate tree snapshots directly available from storage.

As an optimization intermediate nodes with only a left child are not stored. There is more detail on how this affects access to tree paths in the file merkle/merkle_paths.go. This differs from the Certificate Transparency C++ in-memory tree implementation. In summary the code must handle cases where there is no right sibling of the rightmost node in a level.

Each batched write also produces an internal tree head, linking that write to the revision number.

Reading Log Nodes

When nodes are accessed the typical pattern is to request the newest version of a node with a specified level and index that is not greater than a revision number that represents the tree at a specific size of interest.

If there are multiple tree snapshots at the same tree size it does not matter which one is picked for this as they include the same set of leaves. The Log API provides support for determining the correct version to request when reading nodes.

Reading Leaves

API requests for leaf data involve a straightforward query by leaf data hash, leaf Merkle hash or leaf index followed by formatting and marshaling the data to be returned to the client.

Serving Proofs

API requests for proofs involve more work but both inclusion and consistency proofs follow the same pattern.

Path calculations in the tree need to be based on a particular tree revision. It is possible to use any tree revision that corresponds to a tree at least as large as the tree that the proof is for. We currently use the most recent tree revision number for all proof node calculation / fetches. This is useful as we already have it available from when the transaction was initialized.

There is no guarantee that we have the exact tree size snapshot available for any particular request so we're already prepared to pay the cost of some hash recomputation, as described further below. In practice the impact of this should be minor, and will be amortized across all requests. The proof path is also limited to the portion of the tree that existed at the time of the requested tree, not the version we use to compute it.

An example may help here. Suppose we want an inclusion proof for index 10 from the tree as it was at size 50. We use the latest tree revision, which corresponds to a size of 250,000,000. The path calculation cannot reference or recompute an internal node that did not exist at tree size 50 so the huge current tree size is irrelevant to serving this proof.

The tree path for the proof is calculated for a tree size using an algorithm based on the reference implementation of RFC 6962. The output of this is an ordered slice of NodeIDs that must be fetched from storage and a set of flags indicating required hash recomputations. After a successful read the hashes are extracted from the nodes, rehashed if necessary and returned to the client.

Recomputation is needed because we don't necessarily store snapshots on disk for every tree size. To serve proofs at a version intermediate between two stored versions it can be necessary to recompute hashes on the rightmost path. This requires extra nodes to be fetched but is bounded by the depth of the tree so this never becomes unmanageable.

Consider the state of the tree as it grows from size 7 to size 8 as shown in the following diagrams:

Merkle tree size 7 diagram

Merkle tree size 8 diagram

Assume that only the size 8 tree is stored. When the tree of size eight is queried for an inclusion proof of leaf 'e' to the older root at size 7 the proof cannot be directly constructed from the node hashes as they are represented in storage at the later point.

The value of node 'z' differs from the prior state, which got overwritten when the internal node ‘t’ was added at size 8. This hash value 'z' at size 7 is needed to construct the proof so it must be recalculated. The value of 's' is unchanged so hashing 's' together with 'g' correctly recreates the hash of the internal node 'z'.

The example is a simple case but there may be several levels of nodes affected depending on the size of the tree and therefore the shape of the right hand path at that size.

Map Storage

NOTE: Initial outline documentation. A more complete documentation for maps will follow later.

Maps are instances of a sparse Merkle tree where most of the nodes are not present. For more details on how this assists an implementation see the Revocation Transparency document.

There are two major differences in the way map storage uses the tree storage from a log to represent its sparse Merkle tree.

Firstly the strata depths are not uniform across the full depth of the map. In the log case the tree depth (and hence path length from the root to a leaf) expands up to 64 as the tree grows and later leaves will have longer paths than earlier ones. All log subtrees will be stored with depth 8 (see previous diagrams) from the root down to the leaf nodes for as many subtrees as are needed. For example a path of 17 bits will traverse three subtrees of depth 8.

In a map all the paths from root to leaf are effectively 256 bits long. When these are passed to storage the top part of the tree (currently 80 bits) is stored as a set of depth 8 subtrees. Below this point the remainder use a single subtree strata, where the nodes are expected to be extremely sparse.

The second main difference is that the tree uses the HStar2 algorithm. This requires a different method of rebuilding internal nodes when the map subtrees are read from disk.

Each mutation to the map is a set of key / value updates and results in a collated set of subtree writes.

Map NodeIDs

A NodeID for a map represents the bitwise path of the node from the root. These are usually created directly from a hash by types.NewNodeIDFromHash() Unlike the log all the bits in the ID are part of the 'prefix' because there is no suffix (the log suffix is the leaf index within the subtree).

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