RFC-002: non-zero genesis

rfc/002-nonzero-genesis.md

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+# RFC 002: Non-Zero Genesis
+
+## Changelog
+
+- 2020-07-26: Initial draft (@erikgrinaker)
+- 2020-07-28: Use weak chain linking, i.e. `predecessor` field (@erikgrinaker)
+- 2020-07-31: Drop chain linking (@erikgrinaker)
+- 2020-08-03: Add `State.InitialHeight` (@erikgrinaker)
+
+## Author(s)
+
+- Erik Grinaker (@erikgrinaker)
+
+## Context
+
+The recommended upgrade path for block protocol-breaking upgrades is currently to hard fork the
+chain (see e.g. [`cosmoshub-3` upgrade](https://blog.cosmos.network/cosmos-hub-3-upgrade-announcement-39c9da941aee)).
+This is done by halting all validators at a predetermined height, exporting the application
+state via application-specific tooling, and creating an entirely new chain using the exported
+application state.
+
+As far as Tendermint is concerned, the upgraded chain is a completely separate chain, with e.g.
+a new chain ID and genesis file. Notably, the new chain starts at height 1, and has none of the
+old chain's block history. This causes problems for integrators, e.g. coin exchanges and
+wallets, that assume a monotonically increasing height for a given blockchain. Users also find
+it confusing that a given height can now refer to distinct states depending on the chain
+version.
+
+An ideal solution would be to always retain block backwards compatibility in such a way that chain 
+history is never lost on upgrades. However, this may require a significant amount of engineering
+work that is not viable for the planned Stargate release (Tendermint 0.34), and may prove too
+restrictive for future development.
+
+As a first step, allowing the new chain to start from an initial height specified in the genesis
+file would at least provide monotonically increasing heights. There was a proposal to include the
+last block header of the previous chain as well, but since the genesis file is not verified and
+hashed (only specific fields are) this would not be trustworthy.
+
+External tooling will be required to map historical heights onto e.g. archive nodes that contain 
+blocks from previous chain version. Tendermint will not include any such functionality.
+
+## Proposal
+
+Tendermint will allow chains to start from an arbitrary initial height:
+
+* A new field `initial_height` is added to the genesis file, defaulting to `1`. It can be set to any
+non-negative integer, and `0` is considered equivalent to `1`.
+
+* A new field `InitialHeight` is added to the ABCI `RequestInitChain` message, with the same value 
+and semantics as the genesis field.
+
+* A new field `InitialHeight` is added to the `state.State` struct, where `0` is considered invalid.
+  Including the field here simplifies implementation, since the genesis value does not have to be
+  propagated throughout the code base separately, but it is not strictly necessary.
+
+ABCI applications may have to be updated to handle arbitrary initial heights, otherwise the initial
+block may fail.
+
+## Status
+
+Proposed
+
+## Consequences
+
+### Positive
+
+* Heights can be unique throughout the history of a "logical" chain, across hard fork upgrades.
+
+### Negative
+
+* Upgrades still cause loss of block history.
+
+* Integrators will have to map height ranges to specific archive nodes/networks to query history.
+
+### Neutral
+
+* There is no explicit link to the last block of the previous chain.
+
+## References
+
+- [#2543: Allow genesis file to start from non-zero height w/ prev block header](https://github.com/tendermint/tendermint/issues/2543)