Sort field tiebreaker for PIT (point in time) readers (#66093) (#66588)

This commit introduces a new sort field called `_shard_doc` that
can be used in conjunction with a PIT to consistently tiebreak
identical sort values. The sort value is a numeric long that is
composed of the ordinal of the shard (assigned by the coordinating node)
and the internal Lucene document ID. These two values are consistent within
a PIT so this sort criteria can be used as the tiebreaker of any search
requests.
Since this sort criteria is stable we'd like to add it automatically to any
sorted search requests that use a PIT but we also need to expose it explicitly
in order to be able to:
* Reverse the order of the tiebreaking, useful to search "before" `search_after`.
* Force the primary sort to use it in order to benefit from the `search_after` optimization when sorting by index order (to be released in Lucene 8.8.

I plan to add the documentation and the automatic configuration for PIT in a follow up since this change is already big.

Relates #56828

modules/analysis-common/src/test/java/org/elasticsearch/analysis/common/DisableGraphQueryTests.java

@@ -85,7 +85,7 @@ public void setup() {
         indexService = createIndex("test", settings, "t",
             "text_shingle", "type=text,analyzer=text_shingle",
             "text_shingle_unigram", "type=text,analyzer=text_shingle_unigram");
-        shardContext = indexService.newQueryShardContext(0, null, () -> 0L, null, emptyMap());
+        shardContext = indexService.newQueryShardContext(0, 0, null, () -> 0L, null, emptyMap());
 
         // parsed queries for "text_shingle_unigram:(foo bar baz)" with query parsers
         // that ignores position length attribute

modules/lang-painless/src/main/java/org/elasticsearch/painless/action/PainlessExecuteAction.java

@@ -577,8 +577,14 @@ private static Response prepareRamIndex(Request request,
                         final IndexSearcher searcher = new IndexSearcher(indexReader);
                         searcher.setQueryCache(null);
                         final long absoluteStartMillis = System.currentTimeMillis();
-                        QueryShardContext context =
-                                indexService.newQueryShardContext(0, searcher, () -> absoluteStartMillis, null, emptyMap());
+                        QueryShardContext context = indexService.newQueryShardContext(
+                            0,
+                            0,
+                            searcher,
+                            () -> absoluteStartMillis,
+                            null,
+                            emptyMap()
+                        );
                         return handler.apply(context, indexReader.leaves().get(0));
                     }
                 }

modules/lang-painless/src/test/java/org/elasticsearch/painless/NeedsScoreTests.java

@@ -47,7 +47,7 @@ public void testNeedsScores() {
         contexts.put(NumberSortScript.CONTEXT, Whitelist.BASE_WHITELISTS);
         PainlessScriptEngine service = new PainlessScriptEngine(Settings.EMPTY, contexts);
 
-        QueryShardContext shardContext = index.newQueryShardContext(0, null, () -> 0, null, emptyMap());
+        QueryShardContext shardContext = index.newQueryShardContext(0, 0, null, () -> 0, null, emptyMap());
 
         NumberSortScript.Factory factory = service.compile(null, "1.2", NumberSortScript.CONTEXT, Collections.emptyMap());
         NumberSortScript.LeafFactory ss = factory.newFactory(Collections.emptyMap(), shardContext.lookup());

modules/percolator/src/test/java/org/elasticsearch/percolator/PercolatorFieldMapperTests.java

@@ -534,7 +534,7 @@ public void testQueryWithRewrite() throws Exception {
                         XContentType.JSON));
         BytesRef qbSource = doc.rootDoc().getFields(fieldType.queryBuilderField.name())[0].binaryValue();
         QueryShardContext shardContext = indexService.newQueryShardContext(
-            randomInt(20), null, () -> {
+            randomInt(20), 0, null, () -> {
                 throw new UnsupportedOperationException();
             }, null, emptyMap());
         PlainActionFuture<QueryBuilder> future = new PlainActionFuture<>();

modules/percolator/src/test/java/org/elasticsearch/percolator/PercolatorQuerySearchTests.java

@@ -259,7 +259,7 @@ public void testRangeQueriesWithNow() throws Exception {
         try (Engine.Searcher searcher = indexService.getShard(0).acquireSearcher("test")) {
             long[] currentTime = new long[] {System.currentTimeMillis()};
             QueryShardContext queryShardContext =
-                indexService.newQueryShardContext(0, searcher, () -> currentTime[0], null, emptyMap());
+                indexService.newQueryShardContext(0, 0, searcher, () -> currentTime[0], null, emptyMap());
 
             BytesReference source = BytesReference.bytes(jsonBuilder().startObject()
                 .field("field1", "value")

rest-api-spec/src/main/resources/rest-api-spec/test/search/90_search_after.yml

@@ -228,3 +228,27 @@
   - match: {hits.hits.0._source.timestamp: "2019-10-21 00:30:04.828740" }
   - match: {hits.hits.0.sort: [1571617804828740000] }
 
+
+---
+"_shard_doc sort":
+  - skip:
+        version: " - 7.11.99"
+        reason: _shard_doc sort was added in 7.12
+
+  - do:
+      indices.create:
+        index:  test
+  - do:
+      index:
+        index:  test
+        id:     1
+        body:   { id: 1, foo: bar, age: 18 }
+
+  - do:
+      catch:      /\[_shard_doc\] sort field cannot be used without \[point in time\]/
+      search:
+        index: test
+        body:
+          size: 1
+          sort: ["_shard_doc"]
+          search_after: [ 0L ]

server/src/main/java/org/elasticsearch/action/admin/indices/template/post/TransportSimulateIndexTemplateAction.java

@@ -182,7 +182,7 @@ public static Template resolveTemplate(final String matchingTemplate, final Stri
                 resolvedAliases, tempClusterState.metadata(), aliasValidator, xContentRegistry,
                 // the context is only used for validation so it's fine to pass fake values for the
                 // shard id and the current timestamp
-                tempIndexService.newQueryShardContext(0, null, () -> 0L, null, emptyMap())));
+                tempIndexService.newQueryShardContext(0, 0, null, () -> 0L, null, emptyMap())));
         Map<String, AliasMetadata> aliasesByName = aliases.stream().collect(
             Collectors.toMap(AliasMetadata::getAlias, Function.identity()));
 

server/src/main/java/org/elasticsearch/action/fieldcaps/TransportFieldCapabilitiesIndexAction.java

@@ -117,8 +117,8 @@ private FieldCapabilitiesIndexResponse shardOperation(final FieldCapabilitiesInd
         final IndexShard indexShard = indexService.getShard(request.shardId().getId());
         try (Engine.Searcher searcher = indexShard.acquireSearcher(Engine.CAN_MATCH_SEARCH_SOURCE)) {
 
-            final QueryShardContext queryShardContext = indexService.newQueryShardContext(shardId.id(), searcher,
-                request::nowInMillis, null, Collections.emptyMap());
+            final QueryShardContext queryShardContext = indexService.newQueryShardContext(shardId.id(), 0,
+                searcher, request::nowInMillis, null, Collections.emptyMap());
 
             if (canMatchShard(request, queryShardContext) == false) {
                 return new FieldCapabilitiesIndexResponse(request.index(), Collections.emptyMap(), false);

server/src/main/java/org/elasticsearch/action/search/SearchRequest.java

@@ -34,6 +34,9 @@
 import org.elasticsearch.search.builder.PointInTimeBuilder;
 import org.elasticsearch.search.builder.SearchSourceBuilder;
 import org.elasticsearch.search.internal.SearchContext;
+import org.elasticsearch.search.sort.FieldSortBuilder;
+import org.elasticsearch.search.sort.SortBuilder;
+import org.elasticsearch.search.sort.ShardDocSortField;
 import org.elasticsearch.tasks.TaskId;
 
 import java.io.IOException;
@@ -300,6 +303,14 @@ public ActionRequestValidationException validate() {
             if (scroll) {
                 validationException = addValidationError("using [point in time] is not allowed in a scroll context", validationException);
             }
+        } else if (source != null && source.sorts() != null) {
+            for (SortBuilder<?> sortBuilder : source.sorts()) {
+                if (sortBuilder instanceof FieldSortBuilder
+                        && ShardDocSortField.NAME.equals(((FieldSortBuilder) sortBuilder).getFieldName())) {
+                    validationException = addValidationError("[" + FieldSortBuilder.SHARD_DOC_FIELD_NAME
+                        + "] sort field cannot be used without [point in time]", validationException);
+                }
+            }
         }
         return validationException;
     }

server/src/main/java/org/elasticsearch/cluster/metadata/MetadataCreateIndexService.java

@@ -496,7 +496,7 @@ private ClusterState applyCreateIndexRequestWithV1Templates(final ClusterState c
                 MetadataIndexTemplateService.resolveAliases(templates), currentState.metadata(), aliasValidator,
                 // the context is only used for validation so it's fine to pass fake values for the
                 // shard id and the current timestamp
-                xContentRegistry, indexService.newQueryShardContext(0, null, () -> 0L, null, emptyMap())),
+                xContentRegistry, indexService.newQueryShardContext(0, 0, null, () -> 0L, null, emptyMap())),
             templates.stream().map(IndexTemplateMetadata::getName).collect(toList()), metadataTransformer);
     }
 
@@ -529,7 +529,7 @@ private ClusterState applyCreateIndexRequestWithV2Template(final ClusterState cu
                 MetadataIndexTemplateService.resolveAliases(currentState.metadata(), templateName), currentState.metadata(), aliasValidator,
                 // the context is only used for validation so it's fine to pass fake values for the
                 // shard id and the current timestamp
-                xContentRegistry, indexService.newQueryShardContext(0, null, () -> 0L, null, emptyMap())),
+                xContentRegistry, indexService.newQueryShardContext(0, 0, null, () -> 0L, null, emptyMap())),
             Collections.singletonList(templateName), metadataTransformer);
     }
 
@@ -580,7 +580,7 @@ private ClusterState applyCreateIndexRequestWithExistingMetadata(final ClusterSt
                 currentState.metadata(), aliasValidator, xContentRegistry,
                 // the context is only used for validation so it's fine to pass fake values for the
                 // shard id and the current timestamp
-                indexService.newQueryShardContext(0, null, () -> 0L, null, emptyMap())),
+                indexService.newQueryShardContext(0, 0, null, () -> 0L, null, emptyMap())),
             org.elasticsearch.common.collect.List.of(), metadataTransformer);
     }
 

server/src/main/java/org/elasticsearch/cluster/metadata/MetadataIndexAliasesService.java

@@ -149,8 +149,8 @@ public ClusterState applyAliasActions(ClusterState currentState, Iterable<AliasA
                         }
                         // the context is only used for validation so it's fine to pass fake values for the shard id,
                         // but the current timestamp should be set to real value as we may use `now` in a filtered alias
-                        aliasValidator.validateAliasFilter(alias, filter, indexService.newQueryShardContext(0, null,
-                            () -> System.currentTimeMillis(), null, emptyMap()), xContentRegistry);
+                        aliasValidator.validateAliasFilter(alias, filter, indexService.newQueryShardContext(0, 0,
+                                null, () -> System.currentTimeMillis(), null, emptyMap()), xContentRegistry);
                     }
                 };
                 if (action.apply(newAliasValidator, metadata, index)) {

server/src/main/java/org/elasticsearch/cluster/metadata/MetadataIndexTemplateService.java

@@ -1093,7 +1093,7 @@ private static void validateCompositeTemplate(final ClusterState state,
                     new AliasValidator(),
                     // the context is only used for validation so it's fine to pass fake values for the
                     // shard id and the current timestamp
-                    xContentRegistry, tempIndexService.newQueryShardContext(0, null, () -> 0L, null, emptyMap()));
+                    xContentRegistry, tempIndexService.newQueryShardContext(0, 0, null, () -> 0L, null, emptyMap()));
 
                 // triggers inclusion of _timestamp field and its validation:
                 String indexName = DataStream.BACKING_INDEX_PREFIX + temporaryIndexName;

server/src/main/java/org/elasticsearch/common/lucene/Lucene.java

@@ -93,6 +93,7 @@
 import org.elasticsearch.index.analysis.AnalyzerScope;
 import org.elasticsearch.index.analysis.NamedAnalyzer;
 import org.elasticsearch.index.fielddata.IndexFieldData;
+import org.elasticsearch.search.sort.ShardDocSortField;
 
 import java.io.IOException;
 import java.math.BigInteger;
@@ -574,29 +575,35 @@ public static void writeSortType(StreamOutput out, SortField.Type sortType) thro
         out.writeVInt(sortType.ordinal());
     }
 
-    public static void writeSortField(StreamOutput out, SortField sortField) throws IOException {
+    /**
+     * Returns the generic version of the provided {@link SortField} that
+     * can be used to merge documents coming from different shards.
+     */
+    private static SortField rewriteMergeSortField(SortField sortField) {
         if (sortField.getClass() == GEO_DISTANCE_SORT_TYPE_CLASS) {
-            // for geo sorting, we replace the SortField with a SortField that assumes a double field.
-            // this works since the SortField is only used for merging top docs
             SortField newSortField = new SortField(sortField.getField(), SortField.Type.DOUBLE);
             newSortField.setMissingValue(sortField.getMissingValue());
-            sortField = newSortField;
+            return newSortField;
         } else if (sortField.getClass() == SortedSetSortField.class) {
-            // for multi-valued sort field, we replace the SortedSetSortField with a simple SortField.
-            // It works because the sort field is only used to merge results from different shards.
             SortField newSortField = new SortField(sortField.getField(), SortField.Type.STRING, sortField.getReverse());
             newSortField.setMissingValue(sortField.getMissingValue());
-            sortField = newSortField;
+            return newSortField;
         } else if (sortField.getClass() == SortedNumericSortField.class) {
-            // for multi-valued sort field, we replace the SortedSetSortField with a simple SortField.
-            // It works because the sort field is only used to merge results from different shards.
             SortField newSortField = new SortField(sortField.getField(),
                 ((SortedNumericSortField) sortField).getNumericType(),
                 sortField.getReverse());
             newSortField.setMissingValue(sortField.getMissingValue());
-            sortField = newSortField;
+            return newSortField;
+        } else if (sortField.getClass() == ShardDocSortField.class) {
+            SortField newSortField = new SortField(sortField.getField(), SortField.Type.LONG, sortField.getReverse());
+            return newSortField;
+        } else {
+            return sortField;
         }
+    }
 
+    public static void writeSortField(StreamOutput out, SortField sortField) throws IOException {
+        sortField = rewriteMergeSortField(sortField);
         if (sortField.getClass() != SortField.class) {
             throw new IllegalArgumentException("Cannot serialize SortField impl [" + sortField + "]");
         }

server/src/main/java/org/elasticsearch/index/IndexService.java

@@ -198,7 +198,7 @@ public IndexService(
             assert indexAnalyzers != null;
             this.mapperService = new MapperService(indexSettings, indexAnalyzers, xContentRegistry, similarityService, mapperRegistry,
                 // we parse all percolator queries as they would be parsed on shard 0
-                () -> newQueryShardContext(0, null, System::currentTimeMillis, null, emptyMap()), idFieldDataEnabled, scriptService);
+                () -> newQueryShardContext(0, 0, null, System::currentTimeMillis, null, emptyMap()), idFieldDataEnabled, scriptService);
             this.indexFieldData = new IndexFieldDataService(indexSettings, indicesFieldDataCache, circuitBreakerService, mapperService);
             if (indexSettings.getIndexSortConfig().hasIndexSort()) {
                 // we delay the actual creation of the sort order for this index because the mapping has not been merged yet.
@@ -598,6 +598,7 @@ public IndexSettings getIndexSettings() {
      */
     public QueryShardContext newQueryShardContext(
         int shardId,
+        int shardRequestIndex,
         IndexSearcher searcher,
         LongSupplier nowInMillis,
         String clusterAlias,
@@ -606,9 +607,26 @@ public QueryShardContext newQueryShardContext(
         final SearchIndexNameMatcher indexNameMatcher =
             new SearchIndexNameMatcher(index().getName(), clusterAlias, clusterService, expressionResolver);
         return new QueryShardContext(
-            shardId, indexSettings, bigArrays, indexCache.bitsetFilterCache(), indexFieldData::getForField, mapperService(),
-            similarityService(), scriptService, xContentRegistry, namedWriteableRegistry, client, searcher, nowInMillis, clusterAlias,
-            indexNameMatcher, allowExpensiveQueries, valuesSourceRegistry, runtimeMappings);
+            shardId,
+            shardRequestIndex,
+            indexSettings,
+            bigArrays,
+            indexCache.bitsetFilterCache(),
+            indexFieldData::getForField,
+            mapperService(),
+            similarityService(),
+            scriptService,
+            xContentRegistry,
+            namedWriteableRegistry,
+            client,
+            searcher,
+            nowInMillis,
+            clusterAlias,
+            indexNameMatcher,
+            allowExpensiveQueries,
+            valuesSourceRegistry,
+            runtimeMappings
+        );
     }
 
     /**

server/src/main/java/org/elasticsearch/index/query/QueryShardContext.java

@@ -103,6 +103,7 @@ public class QueryShardContext extends QueryRewriteContext {
     private final BitsetFilterCache bitsetFilterCache;
     private final TriFunction<MappedFieldType, String, Supplier<SearchLookup>, IndexFieldData<?>> indexFieldDataService;
     private final int shardId;
+    private final int shardRequestIndex;
     private final IndexSearcher searcher;
     private String[] types = Strings.EMPTY_ARRAY;
     private boolean cacheable = true;
@@ -132,6 +133,7 @@ public String[] getTypes() {
      */
     public QueryShardContext(
         int shardId,
+        int shardRequestIndex,
         IndexSettings indexSettings,
         BigArrays bigArrays,
         BitsetFilterCache bitsetFilterCache,
@@ -152,6 +154,7 @@ public QueryShardContext(
     ) {
         this(
             shardId,
+            shardRequestIndex,
             indexSettings,
             bigArrays,
             bitsetFilterCache,
@@ -176,13 +179,30 @@ public QueryShardContext(
     }
 
     public QueryShardContext(QueryShardContext source) {
-        this(source.shardId, source.indexSettings, source.bigArrays, source.bitsetFilterCache, source.indexFieldDataService,
-            source.mapperService, source.similarityService, source.scriptService, source.getXContentRegistry(),
-            source.getWriteableRegistry(), source.client, source.searcher, source.nowInMillis, source.indexNameMatcher,
-            source.fullyQualifiedIndex, source.allowExpensiveQueries, source.valuesSourceRegistry, source.runtimeMappings);
+        this(
+            source.shardId,
+            source.shardRequestIndex,
+            source.indexSettings,
+            source.bigArrays,
+            source.bitsetFilterCache,
+            source.indexFieldDataService,
+            source.mapperService,
+            source.similarityService,
+            source.scriptService,
+            source.getXContentRegistry(),
+            source.getWriteableRegistry(),
+            source.client, source.searcher,
+            source.nowInMillis,
+            source.indexNameMatcher,
+            source.fullyQualifiedIndex,
+            source.allowExpensiveQueries,
+            source.valuesSourceRegistry,
+            source.runtimeMappings
+        );
     }
 
     private QueryShardContext(int shardId,
+                              int shardRequestIndex,
                               IndexSettings indexSettings,
                               BigArrays bigArrays,
                               BitsetFilterCache bitsetFilterCache,
@@ -202,6 +222,7 @@ private QueryShardContext(int shardId,
                               Map<String, MappedFieldType> runtimeMappings) {
         super(xContentRegistry, namedWriteableRegistry, client, nowInMillis);
         this.shardId = shardId;
+        this.shardRequestIndex = shardRequestIndex;
         this.similarityService = similarityService;
         this.mapperService = mapperService;
         this.bigArrays = bigArrays;
@@ -562,6 +583,14 @@ public int getShardId() {
         return shardId;
     }
 
+    /**
+     * Returns the shard request ordinal that is used by the main search request
+     * to reference this shard.
+     */
+    public int getShardRequestIndex() {
+        return shardRequestIndex;
+    }
+
     @Override
     public final long nowInMillis() {
         failIfFrozen();

server/src/main/java/org/elasticsearch/search/DefaultSearchContext.java

@@ -172,7 +172,8 @@ final class DefaultSearchContext extends SearchContext {
         this.minNodeVersion = minNodeVersion;
         queryShardContext = indexService.newQueryShardContext(
             request.shardId().id(),
-            this.searcher,
+            request.shardRequestIndex(),
+            searcher,
             request::nowInMillis,
             shardTarget.getClusterAlias(),
             request.getRuntimeMappings()