[HUDI-3907][RFC-52] RFC for Introduce Secondary Index to Improve Hudi Query Performance

rfc/rfc-52/rfc-52.md

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+# RFC-52: Introduce Secondary Index to Improve HUDI Query Performance
+
+## Proposers
+
+- @huberylee
+- @hujincalrin
+- @XuQianJin-Stars
+- @YuweiXiao
+- @stream2000
+
+## Approvers
+ - @vinothchandar
+ - @xushiyan
+ - @leesf
+
+## Status
+
+JIRA: [HUDI-3907](https://issues.apache.org/jira/browse/HUDI-3907)
+
+Documentation Navigation
+- [Abstract](#abstract)
+- [Background](#background)
+- [Insufficiency](#insufficiency)
+- [Architecture](#architecture)
+- [Differences between Secondary Index and HUDI Record Level Index](#difference)
+- [Implementation](#implementation)
+  - [SQL Layer](#impl-sql-layer)
+  - [Optimizer Layer](#impl-optimizer-layer)
+  - [Standard API Layer](#impl-api-layer)
+  - [Index Implementation Layer](#imple-index-layer)
+    - [KV Mapping](#impl-index-layer-kv-mapping)
+    - [Build Index](#impl-index-layer-build-index)
+    - [Read Index](#impl-index-layer-read-index)
+    - [Index Management](#index-management)
+- [Lucene Secondary Index Implementation](#lucene-secondary-index-impl)
+  - [Inverted Index](#lucene-inverted-index)
+  - [Index Generation](#lucene-index-generation)
+  - [Query by Lucene Index](#query-by-lucene-index)
+
+
+## <a id='abstract'>Abstract</a>
+In query processing, we need to scan many data blocks in HUDI table. However, most of them may not
+match the query predicate even after using column statistic info in the metadata table, row group level or
+page level statistics in parquet files, etc.
+
+The total data size of touched blocks determines the query speed, and how to save IO has become
+the key point to improving query performance.
+
+## <a id='background'>Background</a>
+Many works have been carried out to optimize reading HUDI table parquet file.
+
+Since Spark 3.2.0, with the power of parquet column index, page level statistics info can be used
+to filter data, and the process of reading data can be described as follows(<a id='process-a'>Process A</a>):
+- Step1: Comparing the inclusion relation of row group data's middle position and task split info
+   to decided which row groups should be handled by current task. If the row group data's middle
+   position is contained by task split, the row group should be handled by this task
+- Step2: Using pushed down predicates and row group level column statistics info to pick out matched
+   row groups
+- Step 3: Filtering page by page level statistics for each column predicates, then get matched row id set
+for every column independently
+- Step 4: Getting final matched row id ranges by combining all column matched rows, then get final matched
+pages for every column
+- Step 5: Loading and uncompressing matched pages for every requested columns
+- Step 6: Reading data by matched row id ranges
+
+![](filter-by-page-statistics.jpg)
+
+
+## <a id='insufficiency'>Insufficiency</a>
+Although page level statistics can greatly save IO cost, there is still some irrelevant data be read out.
+
+We may need a way to get exactly row data we need to minimize the amount of reading blocks.
+Thus, we propose a **Secondary Index** structure to only read the rows we care about to
+speed up query performance.
+
+## <a id='architecture'>Architecture</a>
+The main structure of secondary index contains 4 layers
+1. SQL Parser layer: SQL command for user to create/drop/alter/show/..., for managing secondary index
+2. Optimizer layer: Pick up the best physical/logical plan for a query using RBO/CBO/HBO etc
+3. Standard API interface layer: provides standard interfaces for upper-layer to invoke, such as ``createIndex``, 
+``getRowIdSet`` and so on
+4. IndexManager Factory layer: many kinds of secondary Index implementations for users to choice, 
+   such as HBase based, Lucene based, B+ tree based, etc
+5. Index Implementation layer:  provides the ability to read, write and manage the underlying index
+
+![](architecture.jpg)
+
+
+## <a id='difference'>Differences between Secondary Index and HUDI Record Level Index</a>
+Before discussing secondary index, let's take a look at Record Level Index. Both indexes
+can filter useless data blocks, there are still many differences between them.
+
+At present, record level index in hudi 
+([RFC-08](https://cwiki.apache.org/confluence/display/HUDI/RFC-08++Record+level+indexing+mechanisms+for+Hudi+datasets), ongoing)
+is mainly implemented for ``tagLocation`` in write path.
+Secondary index structure will be used for query acceleration in read path, but not in write path.
+
+If Record Level Index is applied in read path for query with RecordKey predicate, it can only filter at file group level,
+while secondary index could provide the exact matched set of rows.
+
+For more details about current implementation of record level index, please refer to
+[pull-3508](https://github.com/apache/hudi/pull/3508).
+
+## <a id='implementation'>Implementation</a>
+
+### <a id='impl-sql-layer'>SQL Layer</a>
+Parsing all kinds of index related SQL(Spark/Flink, etc.), including create/drop/alter index, optimize table, etc.
+
+### <a id='impl-optimizer-layer'>Optimizer Layer</a>
+For the convenience of implementation, we can implement the first phase based on RBO(rule-based optimizer),  
+and then gradually expand and improve CBO and HBO based on the collected statistical information.
+
+We can define RBO in several ways, for example, SQL with more than 10 predicates does not push down 
+to use secondary index, but uses the existing scanning logic. It may be a cost way to use too many
+predicates indexes to get row id set.
+
+### <a id='impl-api-layer'>Standard API Layer</a>
+The standard APIs are as follows, and subsequent index types(e.g., Hbase/Lucene/B+ tree ...) need to implement these APIs.
+
+```
+// Get row id set for the specified table with predicates
+Set<RowId> getRowIdSet(HoodieTable table, Map<column, List<PredicateList>> columnToPredicates ..)
+
+// Create index
+boolean createIndex(HoodieTable table, List<Column> columns, List<IndexType> indexTypes)
+
+// Build index for the specified table
+boolean buildIndex(HoodieTable table, InstantTime instant)
+
+// Drop index
+boolean dropIndex(HoodieTable table, List<Column> columns)
+
+...
+```
+
+### <a id='imple-index-layer'>Index Implementation Layer</a>
+The role of the secondary index is to provide a mapping from a column or column combination value to 
+specified rows, so that it is convenient to find the result row that meets the requirements according to 
+this index during query, so as to obtain the final data rows.
+
+#### <a id='impl-index-layer-kv-mapping'>KV Mapping</a>
+In mapping 'column value->row', we can use rowId or primary key(RecordKey) to identify one unique row.
+Considering the memory saving and the efficiency of row set merging, we choose rowId. 
+Cause row id of all columns is aligned in row group, we can get row data by row id directly. 
+
+#### <a id='impl-index-layer-build-index'>Build Index</a>
+**trigger time**
+
+When one column's secondary index enabled, we need to build index for it automatically. Index building may
+consume a lot of CPU and IO resources. So, build index while compaction/clustering executing is a good solution, 
+after table service is serviced, writing and index construction can be better decouple to avoid impact on 
+write performance.
+
+Because we decouple the index definition and the index building process, users may not be able to benefit from it
+immediately when they create the index util the next compaction/clustering is triggered and completed.
+
+Also, we need to support a manual way to trigger and monitor index building, SQL CMD needs to be developed,
+such as 'optimize table t1', 'show indexing t1', etc.
+
+**index file**
+- A: build index only for base file
+- B: build index only for log file
+- C: build index for both base file and log file
+
+We prefer plan A right now, the main purpose of this proposal is to save base file IO cost based on the 
+assumption that base file has lots of records.
+
+One index file will be generated for each base file, containing one or more columns of index data.
+The index structure of each column is the mapping of column values to specific rows.
+
+Considering that there are too many index files, we prefer to store multi-column index data in one file instead of 
+one index file per column
+
+**index strategy**
+- Incremental: only build index for the new incoming records
+- ALL: build index for all records, including history records in partition/non-partition, COW/MOR table 
+Other strategies may be introduced to HUDI at future.
+
+#### <a id='impl-index-layer-read-index'>Read Index</a>
+Reading index can be described as follows: 
+1. convert query conditions to executable predicates
+2. find the index file according to candidate file slices
+3. get row id set for each predicate from index file
+4. merge row id set of all predicates
+
+#### <a id='index-management'>Index Management</a>
+- where to store: index files are saved in .hoodie/.index/${indexType}/${instant}/${fileId}/ dir, we can directly 
+obtain the index file path based on the file name in the process of querying.
+- life cycle: the retention time of the index is the same as that of hoodie instant, when cleaning instants, the 
+corresponding index dir will be cleaned together.
+
+The overall implementation diagram is as follows.
+![](secondary-index-implementation.jpg)
+
+## <a id='lucene-secondary-index-impl'>Lucene Secondary Index Implementation</a>
+
+### <a id='lucene-inverted-index'>Inverted Index</a>
+In lucene based secondary index, we mainly use inverted index to speed up record lookup.
+Inverted index stores a mapping from column value to row id set. Now, we will demonstrate the concepts through an example. Let's assume 
+we have a ``test`` table with column 'msg' and 'sender' in our hoodie dataset, here is what the table looks like:
+
+| msg               | sender |
+|-------------------|--------|
+| Summer is coming  | UserA  |
+| Buying a new car  | UserA  |
+| Buying a new home | UserB  |
+
+After indexing ``test`` table with lucene, we will get inverted index for every column in this table. Inverted index for column ``msg``:
+
+| term   | row id |
+|--------|--------|
+| Summer | 1      |
+| is     | 1      |
+| coming | 1      |
+| Buying | 2,3    |
+| a      | 2,3    |
+| new    | 2,3    |
+| car    | 2      |
+| home   | 3      |
+
+Inverted index for column ``sender``:
+
+| term  | row id |
+|-------|--------|
+| UserA | 1,2    |
+| UserB | 3      |
+
+```
+select * from test where msg like 'Buying%' and sender = 'UserA'
+```
+When querying ``test`` table with predicates ``msg like 'Buying%' and sender = 'UserA'``, we can quickly get
+matched rows ``2,3 & 1,2 => 2``, and then read details with rowId = 2.
+
+### <a id='lucene-index-generation'>Index Generation</a>
+In hoodie table, secondary index based on lucene works at file group level, which means each base file has its own 
+index file independently. In our initial implementation, we will adopt clustering to build index for files.
+This process is completed as each record is written to a new base file, and the whole process is transparent to the user.~~
+
+### <a id='query-by-lucene-index'>Query by Lucene Index</a>
+Lucene index can be used in ``tagLocation``, existential judgment and normal queries. When using lucene index to 
+query data, candidate files should be found out as what they do now firstly, then corresponding index files are loaded
+to lookup matched rows.
+
+Reading process of detailed data includes:
+1. Using pushed down predicates to query lucene secondary index to get row id set
+2. Using row id set to get detailed data
+
+For query scenarios like existential judgment and ``tagLocation``, point query predicates are constructed to get row 
+id set, if no records matched, empty row id set will be returned. Different from the above scenario, normal queries use 
+pushed down predicates to query lucene index to get row id set, then combining with parquet page level statistics to 
+load specific pages. Once matched rows and pages are ready, we can iterate by row id and get exactly rows from 
+corresponding page. The mainly steps can be described as follows:
+- Step 1-2 are the same as in [Process A](#process-a)
+- Step 3: Querying lucene index to get matched row id set for each column predicates
+- Step 4: Getting final matched row id set by combining all column matched row id set
+- Step 5: Loading and uncompressing matched pages for every requested columns
+- Step 6: Aligning matched row id between different columns' pages, then reading data by row id
+
+![](filter-by-lucene-index.jpg)
+
+By using lucene based secondary index, we can exactly read what we want from the parquet file.
+
+## Rollout/Adoption Plan
+ - No effects on existing users, but if existing users want to use lucene index, they can manually add lucene index for columns
+
+## Test Plan
+Describe in few sentences how the RFC will be tested. How will we know that the implementation 
+works as expected? How will we know nothing broke?