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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/0125-xcm-asset-metadata.html">RFC-0125: XCM Asset Metadata</a></li><li class="chapter-item expanded "><a href="../new/0126-introduce-xcq.html">RFC-0126: Introduce XCQ(Cross Consensus Query)</a></li><li class="chapter-item expanded "><a href="../new/0127-JAM-Service-for-Validating-Ethereum-Optimistic-Rollups.html">RFC-0127: JAM Service for Validating Ethereum Optimistic Rollups</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/0102-offchain-parachain-runtime-upgrades.html">RFC-0000: Feature Name Here</a></li><li class="chapter-item expanded "><a href="../proposed/0111-pure-proxy-replication.html">RFC-0111: Pure Proxy Replication</a></li><li class="chapter-item expanded "><a href="../proposed/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="../proposed/0117-unbrick-collective.html">RFC-0117: The Unbrick Collective</a></li><li class="chapter-item expanded "><a href="../proposed/0120-referenda-confirmation-by-candle-mechanism.html">RFC-0120: Referenda Confirmation by Candle Mechanism</a></li><li class="chapter-item expanded "><a href="../proposed/0121-iterable-referenda-tracks.html">RFC-0121: Iterable Referenda Tracks</a></li><li class="chapter-item expanded "><a href="../proposed/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="../proposed/0124-extrinsic-version-5.html">RFC-0124: Extrinsic version 5</a></li><li class="chapter-item expanded "><a href="../proposed/RFC-114 Adjust Tipper Track Confirmation Periods.html">RFC-114: Adjust Tipper Track Confirmation Periods</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/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" class="active">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="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/0009-improved-net-light-client-requests.html">RFC-0009: Improved light client requests networking protocol</a></li><li class="chapter-item expanded "><a href="../stale/0015-market-design-revisit.html">RFC-0015: Market Design Revisit</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/0089-flexible-inflation.html">RFC-0089: Flexible Inflation</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/0106-xcm-remove-fees-mode.html">RFC-0106: Remove XCM fees mode</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/TODO-stale-nomination-reward-curve.html">RFC-TODO: Stale Nomination Reward Curve</a></li></ol>
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<p><a href="https://github.com/polkadot-fellows/RFCs/blob/main/text/0014-improve-locking-mechanism-for-parachains.md">(source)</a></p>
<p><strong>Table of Contents</strong></p>
<ul>
<li><a href="#rfc-0014-improve-locking-mechanism-for-parachains">RFC-0014: Improve locking mechanism for parachains</a>
<ul>
<li><a href="#summary">Summary</a></li>
<li><a href="#motivation">Motivation</a></li>
<li><a href="#requirements">Requirements</a></li>
<li><a href="#stakeholders">Stakeholders</a></li>
<li><a href="#explanation">Explanation</a>
<ul>
<li><a href="#status-quo">Status quo</a></li>
<li><a href="#proposed-changes">Proposed changes</a></li>
<li><a href="#migration">Migration</a></li>
</ul>
</li>
<li><a href="#drawbacks">Drawbacks</a></li>
<li><a href="#testing-security-and-privacy">Testing, Security, and Privacy</a></li>
<li><a href="#performance">Performance</a></li>
<li><a href="#ergonomics">Ergonomics</a></li>
<li><a href="#compatibility">Compatibility</a></li>
<li><a href="#prior-art-and-references">Prior Art and References</a></li>
<li><a href="#unresolved-questions">Unresolved Questions</a></li>
<li><a href="#future-directions-and-related-material">Future Directions and Related Material</a></li>
</ul>
</li>
</ul>
<h1 id="rfc-0014-improve-locking-mechanism-for-parachains"><a class="header" href="#rfc-0014-improve-locking-mechanism-for-parachains">RFC-0014: Improve locking mechanism for parachains</a></h1>
<div class="table-wrapper"><table><thead><tr><th></th><th></th></tr></thead><tbody>
<tr><td><strong>Start Date</strong></td><td>July 25, 2023</td></tr>
<tr><td><strong>Description</strong></td><td>Improve locking mechanism for parachains</td></tr>
<tr><td><strong>Authors</strong></td><td>Bryan Chen</td></tr>
</tbody></table>
</div>
<h2 id="summary"><a class="header" href="#summary">Summary</a></h2>
<p>This RFC proposes a set of changes to the parachain lock mechanism. The goal is to allow a parachain manager to self-service the parachain without root track governance action.</p>
<p>This is achieved by remove existing lock conditions and only lock a parachain when:</p>
<ul>
<li>A parachain manager explicitly lock the parachain</li>
<li>OR a parachain block is produced successfully</li>
</ul>
<h2 id="motivation"><a class="header" href="#motivation">Motivation</a></h2>
<p>The manager of a parachain has permission to manage the parachain when the parachain is unlocked. Parachains are by default locked when onboarded to a slot. This requires the parachain wasm/genesis must be valid, otherwise a root track governance action on relaychain is required to update the parachain.</p>
<p>The current reliance on root track governance actions for managing parachains can be time-consuming and burdensome. This RFC aims to address this technical difficulty by allowing parachain managers to take self-service actions, rather than relying on general public voting.</p>
<p>The key scenarios this RFC seeks to improve are:</p>
<ol>
<li>Rescue a parachain with invalid wasm/genesis.</li>
</ol>
<p>While we have various resources and templates to build a new parachain, it is still not a trivial task. It is very easy to make a mistake and resulting an invalid wasm/genesis. With lack of tools to help detect those issues<sup class="footnote-reference"><a href="#1">1</a></sup>, it is very likely that the issues are only discovered after the parachain is onboarded on a slot. In this case, the parachain is locked and the parachain team has to go through a lengthy governance process to rescue the parachain.</p>
<ol start="2">
<li>Perform lease renewal for an existing parachain.</li>
</ol>
<p>One way to perform lease renewal for a parachain is by doing a least swap with another parachain with a longer lease. This requires the other parachain must be operational and able to perform XCM transact call into relaychain to dispatch the swap call. Combined with the overhead of setting up a new parachain, this is an time consuming and expensive process. Ideally, the parachain manager should be able to perform the lease swap call without having a running parachain<sup class="footnote-reference"><a href="#2">2</a></sup>.</p>
<h2 id="requirements"><a class="header" href="#requirements">Requirements</a></h2>
<ul>
<li>A parachain manager SHOULD be able to rescue a parachain by updating the wasm/genesis without root track governance action.</li>
<li>A parachain manager MUST NOT be able to update the wasm/genesis if the parachain is locked.</li>
<li>A parachain SHOULD be locked when it successfully produced the first block.</li>
<li>A parachain manager MUST be able to perform lease swap without having a running parachain.</li>
</ul>
<h2 id="stakeholders"><a class="header" href="#stakeholders">Stakeholders</a></h2>
<ul>
<li>Parachain teams</li>
<li>Parachain users</li>
</ul>
<h2 id="explanation"><a class="header" href="#explanation">Explanation</a></h2>
<h3 id="status-quo"><a class="header" href="#status-quo">Status quo</a></h3>
<p>A parachain can either be locked or unlocked<sup class="footnote-reference"><a href="#3">3</a></sup>. With parachain locked, the parachain manager does not have any privileges. With parachain unlocked, the parachain manager can perform following actions with the <code>paras_registrar</code> pallet:</p>
<ul>
<li><code>deregister</code>: Deregister a Para Id, freeing all data and returning any deposit.</li>
<li><code>swap</code>: Initiate or confirm lease swap with another parachain.</li>
<li><code>add_lock</code>: Lock the parachain.</li>
<li><code>schedule_code_upgrade</code>: Schedule a parachain upgrade to update parachain wasm.</li>
<li><code>set_current_head</code>: Set the parachain's current head.</li>
</ul>
<p>Currently, a parachain can be locked with following conditions:</p>
<ul>
<li>From <code>add_lock</code> call, which can be dispatched by relaychain Root origin, the parachain, or the parachain manager.</li>
<li>When a parachain is onboarded on a slot<sup class="footnote-reference"><a href="#4">4</a></sup>.</li>
<li>When a crowdloan is created.</li>
</ul>
<p>Only the relaychain Root origin or the parachain itself can unlock the lock<sup class="footnote-reference"><a href="#5">5</a></sup>.</p>
<p>This creates an issue that if the parachain is unable to produce block, the parachain manager is unable to do anything and have to rely on relaychain Root origin to manage the parachain.</p>
<h3 id="proposed-changes"><a class="header" href="#proposed-changes">Proposed changes</a></h3>
<p>This RFC proposes to change the lock and unlock conditions.</p>
<p>A parachain can be locked only with following conditions:</p>
<ul>
<li>Relaychain governance MUST be able to lock any parachain.</li>
<li>A parachain MUST be able to lock its own lock.</li>
<li>A parachain manager SHOULD be able to lock the parachain.</li>
<li>A parachain SHOULD be locked when it successfully produced a block for the first time.</li>
</ul>
<p>A parachain can be unlocked only with following conditions:</p>
<ul>
<li>Relaychain governance MUST be able to unlock any parachain.</li>
<li>A parachain MUST be able to unlock its own lock.</li>
</ul>
<p>Note that create crowdloan MUST NOT lock the parachain and onboard a parachain SHOULD NOT lock it until a new block is successfully produced.</p>
<h3 id="migration"><a class="header" href="#migration">Migration</a></h3>
<p>A one off migration is proposed in order to apply this change retrospectively so that existing parachains can also be benefited from this RFC. This migration will unlock parachains that confirms with following conditions:</p>
<ul>
<li>Parachain is locked.</li>
<li>Parachain never produced a block. Including from expired leases.</li>
<li>Parachain manager never explicitly lock the parachain.</li>
</ul>
<h2 id="drawbacks"><a class="header" href="#drawbacks">Drawbacks</a></h2>
<p>Parachain locks are designed in such way to ensure the decentralization of parachains. If parachains are not locked when it should be, it could introduce centralization risk for new parachains.</p>
<p>For example, one possible scenario is that a collective may decide to launch a parachain fully decentralized. However, if the parachain is unable to produce block, the parachain manager will be able to replace the wasm and genesis without the consent of the collective.</p>
<p>It is considered this risk is tolerable as it requires the wasm/genesis to be invalid at first place. It is not yet practically possible to develop a parachain without any centralized risk currently.</p>
<p>Another case is that a parachain team may decide to use crowdloan to help secure a slot lease. Previously, creating a crowdloan will lock a parachain. This means crowdloan participants will know exactly the genesis of the parachain for the crowdloan they are participating. However, this actually providers little assurance to crowdloan participants. For example, if the genesis block is determined before a crowdloan is started, it is not possible to have onchain mechanism to enforce reward distributions for crowdloan participants. They always have to rely on the parachain team to fulfill the promise after the parachain is alive.</p>
<p>Existing operational parachains will not be impacted.</p>
<h2 id="testing-security-and-privacy"><a class="header" href="#testing-security-and-privacy">Testing, Security, and Privacy</a></h2>
<p>The implementation of this RFC will be tested on testnets (Rococo and Westend) first.</p>
<p>An audit maybe required to ensure the implementation does not introduce unwanted side effects.</p>
<p>There is no privacy related concerns.</p>
<h2 id="performance"><a class="header" href="#performance">Performance</a></h2>
<p>This RFC should not introduce any performance impact.</p>
<h2 id="ergonomics"><a class="header" href="#ergonomics">Ergonomics</a></h2>
<p>This RFC should improve the developer experiences for new and existing parachain teams</p>
<h2 id="compatibility"><a class="header" href="#compatibility">Compatibility</a></h2>
<p>This RFC is fully compatibility with existing interfaces.</p>
<h2 id="prior-art-and-references"><a class="header" href="#prior-art-and-references">Prior Art and References</a></h2>
<ul>
<li>Parachain Slot Extension Story: https://github.com/paritytech/polkadot/issues/4758</li>
<li>Allow parachain to renew lease without actually run another parachain: https://github.com/paritytech/polkadot/issues/6685</li>
<li>Always treat parachain that never produced block for a significant amount of time as unlocked: https://github.com/paritytech/polkadot/issues/7539</li>
</ul>
<h2 id="unresolved-questions"><a class="header" href="#unresolved-questions">Unresolved Questions</a></h2>
<p>None at this stage.</p>
<h2 id="future-directions-and-related-material"><a class="header" href="#future-directions-and-related-material">Future Directions and Related Material</a></h2>
<p>This RFC is only intended to be a short term solution. Slots will be removed in future and lock mechanism is likely going to be replaced with a more generalized parachain manage &amp; recovery system in future. Therefore long term impacts of this RFC are not considered.</p>
<div class="footnote-definition" id="1"><sup class="footnote-definition-label">1</sup>
<p>https://github.com/paritytech/cumulus/issues/377
<sup class="footnote-reference"><a href="#2">2</a></sup>: https://github.com/paritytech/polkadot/issues/6685
<sup class="footnote-reference"><a href="#3">3</a></sup>: https://github.com/paritytech/polkadot/blob/994af3de79af25544bf39644844cbe70a7b4d695/runtime/common/src/paras_registrar.rs#L51-L52C15
<sup class="footnote-reference"><a href="#4">4</a></sup>: https://github.com/paritytech/polkadot/blob/994af3de79af25544bf39644844cbe70a7b4d695/runtime/common/src/paras_registrar.rs#L473-L475
<sup class="footnote-reference"><a href="#5">5</a></sup>: https://github.com/paritytech/polkadot/blob/994af3de79af25544bf39644844cbe70a7b4d695/runtime/common/src/paras_registrar.rs#L333-L340</p>
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