In Search of Database Nirvana

In Search of
Database Nirvana
The Challenges of Delivering Hybrid
Transaction/Analytical Processing
Rohit Jain
Beijing Boston Farnham Sebastopol Tokyo

In Search of Database Nirvana
by Rohit Jain
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Table of Contents
In Search of Database Nirvana. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

The Swinging Database Pendulum 1
HTAP Workloads: Operational versus Analytical 5
Query versus Storage Engine 6
Challenge: A Single Query Engine for All Workloads 8
Challenge: Supporting Multiple Storage Engines 24
Challenge: Same Data Model for All Workloads 31
Challenge: Enterprise-Caliber Capabilities 33
Assessing HTAP Options 37
Conclusion 47
v
In Search of Database Nirvana
The Swinging Database Pendulum

It often seems like the IT industry sways back and forth on technol
ogy decisions.
About a decade ago, new web-scale companies were gathering more
data than ever before and needed new levels of scale and perfor
mance from their data systems. There were Relational Database
Management Systems (RDBMSs) that could scale on Massively-
Parallel Processing (MPP) architectures, such as the following:
NonStop SQL/MX for Online Transaction Processing (OLTP)

or operational workloads
Teradata and HP Neoview for Business Intelligence (BI)/Enter
prise Data Warehouse (EDW) workloads
Vertica, Aster Data, Netezza, Greenplum, and others, for
analytics workloads
However, these proprietary databases shared some unfavorable

characteristics:
They were not cheap, both in terms of software and specialized

hardware.
They did not offer schema flexibility, important for growing
companies facing dynamic changes.
They could not scale elastically to meet the high volume and
velocity of big data.
1
They did not handle semistructured and unstructured data very
well. (Yes, you could stick that data into an XML, BLOB, or
CLOB column, but very little was offered to process it easily
without using complex syntax. Add-on capabilities had vendor
tie-ins and minimal flexibility.)
They had not evolved User-Defined Functions (UDFs) beyond
scalar functions, which limited parallel processing of user code
facilitated later by Map/Reduce.
They took a long time addressing reliability issues, where Mean
Time Between Failure (MTBF) in certain cases grew so high that
it became cheaper to run Hadoop on large numbers of high-end
servers on Amazon Web Services (AWS). By 2008, this cost dif
ference became substantial.
Most of all, these systems were too elaborate and complex to deploy
and manage for the modest needs of these web-scale companies.
Transactional support, joins, metadata support for predefined col
umns and data types, optimized access paths, and a number of other
capabilities that RDBMSs offered were not necessary for these com
panies big data use cases. Much of the volume of data was transi
tionary in nature, perhaps accessed at most a few times, and a
traditional EDW approach to store that data would have been cost
prohibitive. So these companies began to turn to NoSQL databases
to overcome the limitations of RDBMSs and avoid the high price tag
of proprietary systems.
The pendulum swung to polyglot programming and persistence, as
people believed that these practices made it possible for them to use
the best tool for the task. Hadoop and NoSQL solutions experienced
incredible growth. For simplicity and performance, NoSQL solu
tions supported data models that avoided transactions and joins,
instead storing related structured data as a JSON document. The
volume and velocity of data had increased dramatically due to the
Internet of Things (IoT), machine-generated log data, and the like.
NoSQL technologies accommodated the data streaming in at very
high ingest rates.
As the popularity of NoSQL and Hadoop grew, more applications
began to move to these environments, with increasingly varied use
cases. And as web-scale startups matured, their operational work
load needs increased, and classic RDBMS capabilities became more
relevant. Additionally, large enterprises that had not faced the same
2 | In Search of Database Nirvana

challenges as the web-scale startups also saw a need to take advan
tage of this new technology, but wanted to use SQL. Here are some
of their motivations for using SQL:
It made development easier because SQL skills were prevalent in

enterprises.
There were existing tools and an application ecosystem around
SQL.
Transaction support was useful in certain cases in spite of its
overhead.
There was often the need to do joins, and a SQL engine could
do them more efficiently.
There was a lot SQL could do that enterprise developers now
had to code in their application or MapReduce jobs.
There was merit in the rigor of predefining columns in many
cases where that is in fact possible, with data type and check
enforcements to maintain data quality.
It promoted uniform metadata management and enforcement
across applications.
So, we began seeing a resurgence of SQL and RDBMS capabilities,

along with NoSQL capabilities, to offer the best of both the worlds.
The terms Not Only SQL (instead of No SQL) and NewSQL came
into vogue. A slew of SQL-on-Hadoop implementations were intro
duced, mostly for BI and analytics. These were spearheaded by Hive,
Stinger/Tez, and Impala, with a number of other open source and
proprietary solutions following. NoSQL databases also began offer
ing SQL-like capabilities. New SQL engines running on NoSQL or
HDFS structures evolved to bring back those RDBMS capabilities,
while still offering a flexible development environment, including
graph database capabilities, document stores, text search, column
stores, key-value stores, and wide column stores. With the advent of
Spark, by 2014 companies began abandoning the adoption of
Hadoop and deploying a very different application development
paradigm that blended programming models, algorithmic and func
tion libraries, streaming, and SQL, facilitated by in-memory com
puting on immutable data.
The pendulum was swinging back. The polyglot trend was losing
some of its charm. There were simply too many languages, inter
The Swinging Database Pendulum | 3

faces, APIs, and data structures to deal with. People spent too much
time gluing different technologies together to make things work. It
required too much training and skill building to develop and man
age such complex environments. There was too much data move
ment from one structure to another to run operational, reporting,
and analytics workloads against the same data (which resulted in
duplication of data, latency, and operational complexity). There
were too few tools to access the data with these varied interfaces.
And there was no single technology able to address all use cases.
Increasingly, the ability to run transactional/operational, BI, and
analytic workloads against the same data without having to move it,
transform it, duplicate it, or deal with latency has become more and
more desirable.
Companies are now looking for one query engine to address all of
their varied needsthe ultimate database nirvana. 451 Research uses
the terms convergence or converged data platform. The terms multi
model or unified are also used to represent this concept. But the
term coined by IT research and advisory company, Gartner, Hybrid
Transaction/Analytical Processing (HTAP), perhaps comes closest to
describing this goal.
But can such a nirvana be achieved? This report discusses the chal
lenges one faces on the path to HTAP systems, such as the following:
Handling both operational and analytical workloads

Supporting multiple storage engines, each serving a different
need
Delivering high levels of performance for operational and ana
lytical workloads using the same data model
Delivering a database engine that can meet the enterprise opera
tional capabilities needed to support operational and analytical
applications
Before we discuss these points, though, lets first understand the dif
ferences between operational and analytical workloads and also
review the distinctions between a query engine and a storage engine.
With that background, we can begin to see why building an HTAP
database is such a feat.

HTAP Workloads: Operational versus
Analytical
People might define operational versus analytical workloads a bit
differently, but the characteristics described in Figure 1-1 will suffice
for the purposes of this report. Although the term HTAP refers to
transactional and analytical workloads, throughout this report we
will refer to operational workloads (which include transactional
workloads) versus BI and analytic workloads.
Figure 1-1. Different types and characteristics of operational and ana

lytical workloads
OLTP and Operational Data Stores (ODS) are operational work

loads. They are low latency, very high volume, high concurrency
workloads that are used to operate a business, such as taking and
fulfilling orders, making shipments, billing customers, collecting
payments, and so on. On the other hand, BI/EDW and analytics
workloads are considered analytical workloads. They are relatively
higher latency, lower volume, and lower concurrency workloads that
are used to improve the performance of a company, by analyzing
HTAP Workloads: Operational versus Analytical | 5

operational, historical, and external (big) data, to make strategic
decisions, or take actions, to improve the quality of products, cus
tomer experience, and so forth.
An HTAP query engine must be able to serve everything, from sim
ple, short transactional queries to complex, long-running analytical
ones, delivering to the service-level objectives for all these
workloads.
Query versus Storage Engine

Query engines and storage engines are distinct. (However, note that
this distinction is lost with RDBMSs, because the storage engine is
proprietary and provided by the same vendor as the query engine is.
One exception is MySQL, which can connect to various storage
engines.)
Lets assume that SQL is the predominant API people use for a query
engine. (We know there are other APIs to support other data mod
els. You can map some of those APIs to SQL. And you can extend
SQL to support APIs that cannot be easily mapped.) With that
assumption, a query engine has to do the following:
Allow clients to connect to it so that it can serve the SQL quer

ies these clients submit.
Distribute these connections across the cluster to minimize
queueing, to balance load, and potentially even localize data
access.
Compile the query. This involves parsing the query, normalizing
it, binding it, optimizing it, and generating an optimal plan that
can be run by the execution engine. This can be pretty extensive
depending on the breadth and depth of SQL the engine
supports.
Execute the query. This is the execution engine that runs the
query plan. It is also the component that interacts with the stor
age engine in order to access the data.
Return the results of the query to the client.
Meanwhile, a storage engine must provide at least some of the

following:

A storage structure, such as HBase, text files, sequence files,
ORC files, Parquet, Avro, and JSON to support key-value,
Bigtable, document, text search, graph, and relational data
models
Partitioning for scale-out
Automatic data repartitioning for load balancing
Projection, to select a set of columns
Selection, to select a set of rows based on predicates
Caching of data for writes and reads
Clustering by key for keyed access
Fast access paths or filtering mechanisms
Transactional support/write ahead or audit logging
Replication
Compression and encryption
It could also provide the following:
Mixed workload support

Bulk data ingest/extract
Indexing
Colocation or node locality
Data governance
Security
Disaster recovery
Backup, archive, and restore functions
Multitemperature data support
Some of this functionality could be in the storage engine, some in

the query engine, and some shared between the two. For example,
both query and storage engines need to collaborate to provide high
levels of concurrency and consistency.
These lists are not meant to be exhaustive. They illustrate the com
plexities of the negotiations between the query and storage engines.
Now that weve defined the different types of workloads and the dif
ferent roles of query engines and storage engines, for the purposes
Query versus Storage Engine | 7

of this report, we can dig in to the challenges of building a system
that supports all workloads and many data models at once.
Challenge: A Single Query Engine for All

Workloads
It is difficult enough for a query engine to support single opera
tional, BI, or analytical workloads (as evidenced by the fact that
there are different proprietary platforms supporting each). But for a
query engine to serve all those workloads means it must support a
wider variety of requirements than has been possible in the past. So,
we are traversing new ground, one that is full of obstacles. Lets
explore some of those challenges.
Data StructureKey Support, Clustering, Partitioning

To handle all these different types of workloads, a query engine must
first and foremost determine what kind of workload it is processing.
Suppose that it is a single-row access. A single-row access could
mean scanning all the rows in a very large table, if the structure does
not have keyed access or any mechanism to reduce the scan. The
query engine would need to know the key structure for the table to
assess if the predicate(s) provided cover the entire key or just part of
the key. If the predicate(s) cover the entire unique key, the engine
knows this is a single-row access and the storage engine supporting
direct keyed access can retrieve it very fast.
A Point about Sharding

People often talk about sharding as an alternative to partitioning.
Sharding is the separation of data across multiple clusters based on
some logical entity, such as region, customer ID, and so on. Often
the application is burdened with specifying this separation and the
mechanism for it. If you need to access data across these shards,
this requires federation capabilities, usually above the query engine
layer.
Partitioning is the spreading of data across multiple files across a
cluster to balance large amounts of data across disks or nodes, and
also to achieve parallel access to the data to reduce overall execu
tion time for queries. You can have multiple partitions per disk, and
the separation of data is managed by specifying a hash, range, or

combination of the two, on key columns of a table. Most query and
storage engines support this capability, relatively transparently to
the application.
You should never use sharding as a substitute for partitioning. That
would be a very expensive alternative from the perspective of scale,
performance, and operational manageability. In fact, you can view
them as complementary in helping applications scale. How to use
sharding and partitioning is an application architecture and design
decision.
Applications need to be shard-aware. It is possible that you could
scale by sharding data across servers or clusters, and some query
engines might facilitate that. But scaling parallel queries across
shards is a much more limiting and inefficient architecture than
using a single parallel query engine to process partitioned data
across an MPP cluster.
If each shard has a large amount of data that can span a decent-size
cluster, you are much better off using partitioning and executing a
query in parallel against that shard. However, messaging, reparti
tioning, and broadcasting data across these shards to do joins is
very complex and inefficient. But if there is no reason for queries to
join data across shards, or if cross-shard processing is rare, cer
tainly there is a place for partitioned shards across clusters. The
focus in this report on partitioning.
In many ways the same challenges exist for query engines trying to
use other query engines, such as PostrgreSQL or Derby SQL, where
essentially the query engine becomes a data federation engine (dis
cussed later in this report) across shards.
Statistics
Statistics are necessary when query engines are trying to generate
query plans or understand whether a workload is operational or
analytical. In the single-row-access scenario described earlier, if the
predicate(s) used in the query only cover some of the columns in the
key, the engine must figure out whether the predicate(s) cover the
leading columns of the key, or any of the key columns. Let us
assume that leading columns of the key have equality predicates
specified on them. Then, the query engine needs to know how many
rows would qualify, and how the data that it needs to access is
spread across the nodes. Based on the partitioning schemethat is,
Challenge: A Single Query Engine for All Workloads | 9

how data is spread across nodes and disks within those nodesthe
query engine would need to determine whether it should generate a
serial plan or a parallel plan, or whether it can rely on the storage
engine to very efficiently determine that and access and retrieve just
the right number of rows. For this, it needs some idea as to how
many rows will qualify.
The only way for the query engine to know the number of rows that
will qualify, so as to generate an efficient query plan, is to gather sta
tistics on the data ahead of time to determine the cardinality of the
data that would qualify. If multiple key columns are involved, most
likely the cardinality of the combination of these columns is much
smaller than the product of their individual cardinalities. So the
query engine must have multicolumn statistics for key columns.
Various statistics could be gathered. But at the least it needs to know
the unique entry counts, and the lowest and highest, or second low
est and second highest, values for the column(s).
Skew is another factor to take into account. Skew becomes relevant
when data is spread across a large number of nodes and there is a
chance that a large amount of data could end up being processed by
just a few nodes, overwhelming those nodes and affecting all of the
workloads running on the cluster (given that most would need those
nodes to run), whereas other nodes are waiting on these few nodes
to finish executing the query. If the only types of workloads the
query engine has to handle are OLTP or operational ones, the chan
ces are it does not need to process large amounts of data and there
fore does not need to worry about skew in the data, other than at the
data partitioning layer, which can be controlled via the choice of a
good partitioning key. But if its also processing BI and analytics
workloads, skew could become an important factor. Skew also
depends on the amount of parallelism being utilized to execute a
query.
For situations in which skew is a factor, the database cannot com
pletely rely on the typical equal-width histograms that most data
bases tend to collect. In equal-width histograms, statistics are
collected with the range of values divided into equal intervals, based
on the lowest and highest values found and the unique entry count
calculated. However, if there is a skew, it is difficult to know which
value has a skew because it would fall into a specific interval that has
many other values in its range. So, the query engine has to either

collect some more information to understand skew or use equal-
height histograms.
Equal height histograms have the same number of rows in each
interval. So if there is a skewed value, it will probably span a larger
number of intervals. Of course, determining the right interval row
size and therefore number of intervals, the adjustments needed to
highlight skewed values versus nonskewed values (where not all
intervals might end up having the same size) while minimizing the
number of intervals without losing skew information is not easy to
do. In fact, these histograms are a lot more difficult to compute and
lead to a number of operational challenges. Generally, sampling is
needed in order to collect these statistics fast, because the data must
be sorted in order to put them into these interval buckets. You need
to devise strategies to incrementally update these statistics and when
to update them. These come with their own challenges.
Predicates on Nonleading Key Columns or Nonkey

Columns
Things begin getting really tricky when the predicates are not on the
leading columns of the key but are nonetheless on some of the col
umns of the key. What could make this more complex is an IN list
against these columns with OR predicates, or even NOT IN condi
tions. A capability called Multidimensional Access Method (or
MDAM) provides efficient access capabilities when leading key col
umn values are not known. In this case, the multicolumn cardinality
of leading column(s) with no predicates needs to be known in order
to determine if such a method will be faster in accessing the data
than a full table scan. If there are intermediate key columns with no
predicates, their cardinalities are essential, as well. So, multikey col
umn considerations are almost a must if these are not operational
queries with efficient keys designed for their access.
Then, there are predicates on nonkey columns. The cardinality of
these is relevant because it provides an idea as to the reduction in
size of the resulting number of rows that need to be processed at
upper layers of the querysuch as joins and aggregates.
All of the above keyed and nonkeyed access cardinalities help deter
mine join strategies and degree of parallelism.

If the storage engine is a columnar storage engine, the kind of com
pression used (dictionary, run length, and so on) becomes impor
tant because it affects scan performance. Also, the sequence in which
these predicates should be evaluated becomes important in that case
because you want to reduce as many rows as early as possible, so you
want to begin with predicates on columns that give you the largest
reduction first. Here too, clustered access versus a full scan versus
efficient mechanisms to reduce scans of column valueswhich
might be provided by the storage engineare relevant. As are statis
tics.
Indexes and Materialized Views

Then, there is the entire area of indexing. What kinds of indexes are
supported by the storage engine or created by the query engine on
top of the storage engine? Indexes offer alternate access paths to the
data that could be more efficient. There are indexes designed for
index-only scans to avoid accessing the base table by having all rele
vant columns in the index.
There are also materialized views. Materialized views are relevant for
more complex workloads for which you want to prematerialize joins
or aggregates for efficient access. This is highly complex because
now you need to figure out if the query can actually be serviced by a
materialized view. This is called materialized view query rewrite.
Some databases call indexes and materialized views by different
names, such as projections, but ultimately the goal is the sameto
determine what the available alternate access paths are for efficient
keyed or clustered access to avoid large, full-table scans.
Of course, as soon as you add indexes, a database now needs to
maintain them in parallel. Otherwise, the total response time will
increase by the number of indexes it must maintain on an update. It
has to provide transactional support for indexes to remain consis
tent with the base tables. There might be considerations such as
colocation of the index with the base table. The database must han
dle unique constraints. One example in BI and analytics environ
ments (as well as some other scenarios) is that bulk loads might
require an efficient mechanism to update the index and ensure that
it is consistent.
Indexes are used more for operational workloads and much less so
for BI and analytical workloads. On the other hand, materialized

views, which are materialized joins and/or aggregations of data in
the base table, and similar to indexes in providing quick access, are
primarily used for BI and analytical workloads. The increasing need
to support operational dashboards might be changing that some
what. If materialized view maintenance needs to be synchronous
with updates, they too can be a large burden on updates or bulk
loads. If materialized views are maintained asynchronously, the
impact is not as severe, assuming that audit logs or versioning can
be used to refresh them. Some databases support user-defined mate
rialized views to provide more flexibility to the user and not burden
operational updates. The query engine should be able to automati
cally rewrite queries to take advantage of any of these materialized
views when feasible.
Storage engines also use other techniques like Bloom filters and
hash tables to speed access. The query engine needs to be aware of
all the alternative access paths made available by the storage engine
to get at the data. It also needs to know how to exploit them or
implement them itself in order to deliver high performance for
operational and analytical workloads.
Degree of Parallelism
All right, so now we know how we are going to scan a particular
table, we have an estimate of rows that will be returned by the stor
age engine from these scans, and we understand how the data is
spread across partitions. We can now consider both serial and paral
lel execution strategies, and balance the potentially faster response
time of parallel strategies against the overhead of parallelism.
Yes, parallelism does not come for free. You need to involve more
processes across multiple nodes, and each process will consume
memory, compete for resources in its node, and that node is subject
to failure. You also must provide each process with the execution
plan, for which they must then do some setup to execute. Finally,
each process must forward results to a single node that then has to
collate all the data.
All of this results in potentially more messaging between processes,
increases skew potential, and so on.
The optimizer needs to weigh the cost of processing those rows by
using a number of potential serial and parallel plans and assess

which will be most efficient, given the aforementioned overhead
considerations.
To offer really high concurrency for all workloads (including large
EDW workloads that can have a very large number of concurrent
queries being executed in seconds or subseconds), the optimizer
needs to assess the degree of parallelism needed for each query. To
execute a query most efficiently in terms of response time and
resources used, the query engine should base each operations degree
of parallelism on the cardinality of rows that operation needs to pro
cess. Scans that filter rows, joins, and aggregates can often lead to
substantial reduction in data. It makes no sense to use, say, 100
nodes to execute an operation when 5 nodes are sufficient to do so.
Not only that, as soon as the maximum degree of parallelism
required by the querybased on the cardinality of the data it will
processis known, the query can be allocated to run on a segment,
or subset of the nodes, in the cluster. If the cluster were divided into
a number of equal segments, it can be very efficiently used by allo
cating queries to run in those segments, or a combination of seg
ments, thereby dramatically increasing concurrency. This yields the
twin benefits of using system resources very efficiently while gaining
more resiliency by reducing the degree of parallelism. This is illus
trated in Figure 1-2.
Figure 1-2. Nodes used based on degree of parallelism needed by query.

Each node is shown by a vertical line (128 nodes total) and each color
band denotes a segment of 32 nodes. Properly allocating queries can
increase concurrency, efficiency, and resiliency while reducing the
degree of parallelism.

As the cluster is expanded and newer technology is used for the
added nodes, with potentially more resource capacity than existing
nodes on the cluster, this segmentation can help use that capacity
more efficiently by allocating more queries to the newer segment.
Reducing the Search Space

The options discussed so far provide optimizers a large number of
potentially good query plans. There are various technologies such as
Cascades, used by NonStop SQL (and now part of Apache Trafo
dion) and Microsoft SQL Server, that are great for optimizers but
have the disadvantage of having this very large search space of query
plans to evaluate. For long-running queries, spending extra time to
find a better plan by trawling through more of that search space can
have dramatic payoffs. But for operational queries, the returns of
finding a better plan diminish very fast, and compile-time spent
looking for a better plan becomes an issue, because most operational
queries need to be processed within seconds or even subseconds.
One way to address this compile-time issue for operational queries
is to provide query plan caching. These techniques cannot be naive
string matching mechanisms alone, even after literals or parameters
have been excluded. Table definitions could change since the last
time the plan was executed. A cached plan might need to be invali
dated in those cases. Schema context for the table could change, not
obvious in the query text. A plan handling skewed values could be
substantially different from a plan on values that are not skewed. So,
sophisticated query plan caching mechanisms are needed to reduce
the time it takes to compile while avoiding a stale or inefficient plan.
The query plan cache needs to be actively managed to remove least
recently used plans from cache to accommodate frequently used
ones.
The optimizer can be a cost-based optimizer, but it must be rules
driven, with the ability to add heuristics and rules very efficiently
and easily as the optimizer evolves to handle different workloads.
For instance, it should be able to recognize patterns. A star join is
not likely in an operational query. But for BI queries, it could detect
such a join. If it does, it can use specialized indexes designed for that
purpose, or it could decide to do a cross product of the dimension
tables (something optimizers otherwise avoid), before doing a nes
ted join to the fact table, instead of scanning the entire fact table and
doing repeated hash joins against the dimension tables.

Join Type
That brings us to join types. For operational workloads, a database
needs to support nested joins and probe cache for nested joins. A
probe cache for nested joins is where the optimizer understands that
access to the inner table will have enough repetition due to the
unsorted nature of the rows coming from the outer table, so that
caching those results would really help with the join.
For BI and analytics workloads, a merge or hybrid hash join would
most likely be more efficient. A nested join can be useful for such
workloads some of the times. However, nested join performance
tends to degrade rapidly as the amount of data to be joined grows.
Because a wrong choice can have a severe impact on query perfor
mance, you need to add a premium to the cost and not choose a
plan purely on cost. Meaning, if there is a nested join with a slightly
lower cost than a hash join, you dont want to choose it, because the
downside risk of it being a bad choice is huge, whereas the upside
might not be all that better. This is because cardinality estimations
are just that: estimations. If you chose a nested join or serial plan
and the number of rows qualifying at run time are equal to or lower
than compile time estimations, then that would turn out to be a
good plan. However, if the actual number of rows qualifying at run
time is much higher than estimated, a nested or serial plan might
not be just bad, it can be devastating. So, a large enough risk pre
mium can be assigned to nested joins and serial plans, so that hash
joins and parallel plans are favored, to avoid the risk of a very bad
plan. This premium can be adjusted, because different workloads
respond differently to costing, especially when considering the bal
ance between operational queries and BI or analytics queries.
For BI and analytics queries, if the data being processed by a hash
join or a sort is large, detecting memory pressure and overflowing
gracefully to disk is important. Operational queries, however, gener
ally dont have to deal with large amounts of data to the point that
this is an issue.
Data Flow and Access

The architecture for a query engine needs to handle large parallel
data flows with complex operations for BI and analytics workloads
as well as quick direct access for operational workloads.

For BI and analytics queries for which larger amounts of data are
likely to be processed, the query execution architecture should be
able to parallelize at multiple levels. The first level is partitioned par
allelism, so that multiple processes for an operation such as join or
aggregation are executed in parallel. Second is at the operator level,
or operator parallelism. That is, scans, multiple joins, aggregations,
and other operations being performed to execute the query should
be running concurrently. The query should not be executing just
one operation at a time, perhaps materializing the results on disk in
between as MapReduce does.
All processes should be executing simultaneously with data flowing
through these operations from scans to joins to other joins and
aggregates. That brings us to the third kind of parallelism, which is
pipeline parallelism. To allow one operator in a query plan (say, a
join) to consume rows as they are produced by another operator
(say, another join or a scan), a set of up and down interprocess mes
sage queues, or intraprocess memory queues, are needed to keep a
constant data flow between these operators (see Figure 1-3).
Operator-Level Degree of Parallelism

Figure 1-3 also illustrates how the optimizer needs to figure out the
degree of parallelism required for each operator, based on the car
dinality of rows it estimates that operator will have to process at
that execution step. This is illustrated by one scan with two degrees
of parallelism, the other scan and GROUP BY with three degrees of
parallelism, and the join with four degrees of parallelism. The right
degree of parallelism can then be used for each operator when exe
cuting the query. This leads to much more efficient use of system
resources than using the entire cluster for every operation. This was
also discussed in another context in Degree of Parallelism on page
13, where this information is used to determine the degree of paral
lelism needed by the entire query, as illustrated in Figure 1-2.

Figure 1-3. Exploiting different levels of parallelism
But for OLTP and operational queries, this data flow architecture
(Figure 1-4) can be a huge overhead. If you are accessing a single
row, or just a few rows, you dont need the queues and complex data
flows. In such a case, you can have optimizations to reduce the path
length and quickly just access and return the relevant row(s).
Figure 1-4. Data flow architecture
While you are optimizing for OLTP queries with fast paths, for BI
and analytics queries you need to consider prefetching blocks of
data, provided the storage engine supports this, while the query
engine is busy processing the previous block of data. So the nature

of processing varies widely for the kind of workloads the query
engine is processing, and it must accommodate all of these variants.
Figures 1-5 through 1-8 illustrate how these processing scenarios
can vary from a single row or single partition access serial plan or
parallel multiple direct partition access for an operational query, to
multitiered parallel processing of BI and analytics queries to facili
tate complex aggregations and joins.
Figure 1-5. Serial plan for reads and writes of single rows or a set of
rows clustered on key columns, residing in a single partition. An exam
ple of this is when a single row is being inserted, deleted, or updated for
a customer, or all the data being accessed for a customer, for a specific
transaction date, resides in the same partition.

Figure 1-6. Serial or parallel plan, based on costing, where the Master
directly accesses rows across multiple partitions. This occurs when few
rows are expected to be processed by the Master, or parallel aggrega
tions or joins are not required or beneficial. An example of this could
be when a customers data that needs to be accessed is spread across
partitions based on transaction date.

Figure 1-7. Parallel plan where a large amount of data needs to be pro
cessed, and parallel aggregation or collocated join done by parallel
Executor Server Processes would be a lot faster than doing it all in the
Master.

Figure 1-8. Parallel plan where a large amount of data needs to be pro
cessed, and either multiple joins, or joins requiring repartitioning or
broadcasting of data, would be required.
Mixed Workload
One of the biggest challenges for HTAP is the ability to handle
mixed workloads; that is, both OLTP queries and the BI and analyt
ics queries running concurrently on the same cluster, nodes, disks,
and tables. Workload management capabilities in the query engine
can categorize queries by data source, user, role, and so on and allow
users to prioritize workloads and allocate a higher percentage of
CPU, memory, and I/O resources to certain workloads over others.
Or, short OLTP workloads can be prioritized over BI and analytics
workloads. Various levels of sophistication can be used to manage
this at the query level.
However, storage engine optimization is required, as well. The stor
age engine should automatically reduce the priority of longer run
ning queries and suspend execution on a query when a higher
priority query needs to be serviced, and then go back to running the

longer running query. This is called antistarvation, because you
dont want to starve out higher priority queries from running, or
even same or lower priority queries from running, while a single
query hogs all the resources. An alternate way to address this might
be to direct update workloads to the primary partition for a specific
row being updated and query workloads to its replicates if the stor
age engine can facilitate this without loss of consistency.
Streaming
More and more applications need incoming streams of data pro
cessed in real time, necessitating the application of functions, aggre
gations, and trigger actions across a stream of data, often time-series
data, over row count or time-based windows. This is very different
from processing statistical or user-defined functions, sophistical
algorithms, aggregates, and even Online Analytical Processing
(OLAP) window functions over data persisted in a table on disk or
memory. Even though Jennifer Widom had proposed new SQL syn
tax to handle streams in 2008, there is no standard SQL syntax to
process streaming data. Query engines have to be able to deal with
this new data processing paradigm.
Feature Support
Last but not least is the list of features you need to support for
operational and analytical workloads. These features range from ref
erential integrity, stored procedures, triggers, various levels of trans
actional isolation and consistency, for operational workloads; to
materialized views; fast/bulk Extract, Transform, Load (ETL) capa
bilities; and OLAP, time series, statistical, data mining, and other
functions for BI and analytics workloads.
Features common to both types of workloads are many. Some of the
capabilities a query engine needs to support are scalar and table
mapping UDFs, inner, left, right, and full outer joins, un-nesting of
subqueries, converting correlated subqueries to joins, predicate push
down, sort avoidance strategies, constant folding, recursive union,
and so on.
This is not close to an exhaustive list, but supporting all these capa
bilities for these different workloads takes a huge investment of
resources.

Challenge: Supporting Multiple Storage
Engines
It is not a revelation that row-optimized stores work well for OLTP
and operational workloads, whereas column stores work well for BI
and analytics workloads. Write-heavy workloads benefit from writ
ing out rows in row-wise format. For Hadoop, there is HBase for
low latency workloads, and column-wise ORC Files or Parquet for
BI and analytics workloads. There is a promiseespecially by in-
memory database vendorsthat column-wise structures work well
for all kinds of workloads. In reality, there is often a performance
compromise when the same data structure is used for workloads
with very different access patterns. Cloudera promises a storage
engine in Kudu that will meet the requirements of a set of mixed
workloads, but it clearly states that this compromises performance
versus HBase for low latency and Parquet for BI and analytics
workloads.
The NoSQL revolution has demonstrated the need to support multi
ple data models in order to service the varied needs of workloads
today. But to reduce data duplication and movement, the ideal
would be if multiple storage engines could be supported by a single
query engine. Data could reside in the data structure/storage engine
ideal for the pattern of data access needed, and the query engine can
transparently support all of these. To this end, Hive, Impala, Drill,
Spark, Presto, and other SQL-on-Hadoop solutions support multi
ple data structures. However, these query engines dont yet support
OLTP or operational workloads.
The issue is not just around the inability of storage engines to ser
vice multiple kinds of workloads. It is also difficult for query engines
to be able to support multiple storage engines, even if it is under
stood that some data transformation and movement might be neces
sary from one storage engine to another to support mixed
workloads. There are numerous challenges. We will discuss some of
them next.
Statistics
As was discussed earlier, statistics are needed to support any query
workload in order to generate a good query plan or to even under
stand whether the workload is operational or analytical. So, when a

new storage engine is added, you need to add support for statistics
gathering. Does the storage engine have an efficient mechanism to
sample rows? Does it have an easy way to query new data for incre
mental stats computations? Does it already gather count and other
metrics that can be used for fast stats collection? Does it gather
counts on records deleted, changed, or inserted, so that the query
engine can determine when to schedule another update of its statis
tics? You need to answer a number of questions to set up the gather
ing of statistics to work efficiently with the storage engine.
Key Structure
For operational workloads, keyed access is important for subsecond
response times. Single-row access requires access via a key. Ideally
multicolumn keys are supported, because invariably transactional or
fact tables have multicolumn keys. If multicolumn keys are not sup
ported, the query engine needs to map the multiple primary key col
umns to the single storage engine key. Also, short operational
queries often require clustered access to retrieve a small number of
rows. Range access over clustered keys helps operational workloads
meet Service Level Agreements (SLAs). The query engine needs to
understand what keyed access options are available for the storage
engine in order to appropriately exploit them for the most efficient
access. It needs to optimize this access for each storage engine it
supports.
Partitioning
How the storage engine partitions data across disks and nodes is
also very important for the query engine to understand. Does it sup
port hash and/or range partitioning, or a combination of these?
How is this partitioning determined? Does the query engine need to
salt data so that the load is balanced across partitions in order to
avoid bottlenecks? If it does, how can it add a salt key, say as the left
most column of the table key, and still avoid table scans? Does the
storage engine handle repartitioning or rebalancing of partitions as
the cluster is expanded or contracted, or does the query engine need
to worry about doing that? This can get very complex because users
might need full read and write access while this repartitioning of
data is occurring. How the data is spread across partitions is very
important if the query engine is going to have parallel processes
working on data from these partitions. It needs to try to localize
Challenge: Supporting Multiple Storage Engines | 25

access and reduce repartitioning of data (also called shuffle), or
sending data across nodes, as much as possible. Without under
standing the key and partitioning structures of the storage engine, it
is impossible to efficiently process data for a query. Operational
queries might not often encounter some of these challenges of pro
cessing data in parallel. But how data is partitioned can influence
whether fast operational queries can be serviced by access to a single
partition, disk, or node, versus having to access multiple partitions
to service a query with stringent service level objectives.
Data Type Support

The query engine needs to understand what data types are sup
ported by the storage engine, and what constraints the storage
engine enforces on those types, so that the query engine can enforce
any constraints that the storage engine doesnt. For example, in some
cases, it is better for the query engine to store the data in its own
encoded data type if the storage engine just supports string arrays.
Or, if the query engine enforces CHECK constraints, again, can it
subcontract that to the storage engine, or does it need to enforce
them? Certainly, referential constraints enforcement is not some
thing a storage engine will likely take on.
Does the storage engine provide full character set support so that
UTF-8 support between the query and storage engine is sufficient
for the query engine to support all character sets? What about
collations?
Does the storage engine provide compression or encryption sup
port, or will the query engine need to provide that support at its
level? The query engine will most likely be the one issuing the table
creation DDL statements and needs to know which options for
block level and key compression, and other table structure options
need to be exposed by it to the user. In some cases, a storage engine
table might be mapped to a query engines view of that table.
Projection and Selection

Most storage engines support projection, wherein only the desired
columns are returned by the storage engine. However, if that is not
the case, the query engine must unpack the data and do the projec
tion. Similarly, predicate evaluation provided by the storage engine
needs to be understood. What predicates will the storage engine be

able to evaluate (=, <, >, <>, between, LIKE)? Can it evaluate predi
cates on multiple columns, or multicolumn predicates ((a,b) >
(5,1))? Can it handle an IN list? How long an IN list? Generally, can
it handle a combination of ORs and ANDs, and to what level of
complexity? Does it automatically determine the most efficient
sequence in which to apply the predicates, such as evaluating predi
cates on a column that yields the highest reduction in cardinality
first, especially if the storage engine is a column store? Can it handle
predicates involving multiple columns of the same table; for
instance, c1 > c2? Besides literals, can it handle string expressions
(STR(c1, 3, 2)='10'), or date and time expressions? How complex
can these expressions be? How does the storage engine handle
default or missing values (NULLs)? The query engine needs to
understand all of these aspects of a storage engine in order to deter
mine what predicates it can push to the storage engine and which
ones it needs to implement itself.
As memory prices have gone down, it has become possible to con
figure large amounts of memory per node. The promise of nonvola
tile memory is around the corner. Not only are storage engines
designing efficient structures in memory for access to data for both
transactional and analytical workloads, but they are implementing
techniques to make operations such as projection and selection
more efficient. They are taking advantage of L1, L2, and L3 CPU
cache to process data at even faster speeds than main memory,
implementing vectorization to process sets of rows/column values at
a time, and coming up with other innovative ways, such as minimiz
ing or eliminating the cost of serialization/deserialization, to push
data processing speeds to the ultimate while utilizing the hardware
to the utmost. This moves the bottleneck from disk to main mem
ory, and ultimately to the CPU. Efficient use of the CPU now
becomes imperative. The query engine must be able to exploit these
storage engine efficiencies and be frugal in the use of CPU itself.
Extensibility
Some storage engines can run user-defined code, such as coproces
sors in HBase, or before and after triggers, in order to implement
more functionality on the storage engine/server side to reduce the
amount of message traffic and improve efficiencies.
For example, the optimizer might be smart enough to do eager
aggregation if it can push that aggregation to the storage engine.

This is especially effective if the data is clustered on the GROUP BY
columns or if the number of groupings are expected to be small. If
the storage engine does not support this, the query engine could use
coprocessors to do the same. Complex predicate evaluations with
expressions and functions, collocated joins and index maintenance,
security enforcement, some ANSI Trigger actions, and even transac
tional support can be performed at this level.
Security Enforcement
Handling security is another point of contact between the query
engine and the storage engine. The storage engine might have its
own underlying security implementation. If it is well integrated with
the SQL model, the query engine can use it. Otherwise, the query
engine must administer privileges to schemas, tables, columns, and
even rows in the case of fine-grained access control. It might need to
integrate with, and even map, its authorization framework to that of
the storage engine. If there are other considerations related to secu
rity, for example Hadoop security solutions such as Sentry or Ranger
managing these objects, the query engine needs to integrate with
that security framework. Depending on support for security logging
and other Security Information and Event Management (SIEM)
capabilities, the query engine must be able to integrate with those
storage engine and platform capabilities as well, or provide its own.
With HTAP, this is all made more complicated by the fact that there
might be multiple storage engines that need to be supported.
Transaction Management
We can assume that a storage engine will provide some level of rep
lication for high availability, backup and restore, and some level of
multidata center support. But transactional support can be a differ
ent thing altogether. There are the Atomic, Consistent, Isolated,
Durable (ACID) and Basic Availability, Soft-state, Eventual consis
tency (BASE) models of transaction management. Depending on the
support provided by the storage engine, the query engine might
need to provide full multirow, multitable, and multistatement trans
action support. It also needs to provide online backup, transaction
ally consistent recovery, often to a point-in-time, and multidata
center support with active-active synchronous updates as well as
eventual consistency. It needs to be able to integrate this implemen
tation with write-ahead logging and other mechanisms of the stor

age engine so as to take advantage of the underlying replication and
other high-availability capabilities of the engine. These can be very
different, as is already the case with Cassandra, HBase, or Hive, for
example; each has its own transactional model.
Also, going back to extensibility of storage engine capabilities, such
as coprocessors in HBase, the query engine needs to implement this
transactional capability as close to and integrated with the storage
engine as possible to be efficient and distributed. Otherwise, it will
end up with a more generalized implementation, but not a scalable
and efficient one.
Metadata Support
The query engine needs to add metadata support for the storage
engine tables being supported. There are potential mappings (such
as catalog, name, location, as well as data type mappings); extended
options specific to the storage engine (such as compression
options); supporting multiple column familiesfor example, map
ping data partition options to underlying storage engine structures
(e.g., HBase regions); and so on. When someone changes the storage
engine table externally, how is this metadata updated, or how is it
marked as invalid until someone fixes the discrepancy?
In fact, if there is access to the storage engine external to the query
engine, there is a whole can of worms to deal with, such as how can
transactional consistency and data integrity be guaranteed? What
should the query engine do if the data in a column is not consistent
with the data type it is supposed to have, or contains invalid data,
perhaps because it has been updated by some other means? Also, do
you allow secondary indexes, views, constraints, materialized views,
and so on to be created on such a table? Not only does metadata
support need to be provided for this support, but the issue of incon
sistency potentially caused by external access has to be addressed.
There can be differences in metadata support needed for operational
workloads versus BI and analytic workloads. For example, opera
tional features such as referential integrity, triggers, and stored pro
cedures need metadata support that is not needed for BI workloads,
whereas metadata support for materialized views is not often needed
for operational workloads.

Performance, Scale, and Concurrency Considerations
There are various performance, scaling, and concurrency considera
tions for each different storage engine with which a query engine
needs to integrate in order to support HTAP workloads. For
instance, is there a bulk-load mechanism available and what are its
implications on transactional consistency and availability of the
table during such loads? Are rowset inserts available so that large
amounts of inserts can be performed efficiently? Are bulk-extract
capabilities available, with sets of rows being returned in each buffer,
instead of just a row at a time interface? Are faster scan options
available, such as snapshot scans? Is the ability to request prefetch
ing of data in large blocks available, when the query engine knows
that a large amount of data is expected to be scanned, perhaps for an
extract or for large complex queries? How can the query engine par
allelize updates and access to the storage engine? If the query engine
supports executor processes to parallelize queries, how best should it
access the storage engine files/partitions and regions? What levels of
concurrent access can the storage engine support? How best can the
query engine utilize what the storage engine supports and compen
sate for what it does not? This is tough to determine, and more diffi
cult to implement.
Error Handling
Error handling, too, is different for each storage engine that a query
engine might need to support for HTAP. What are the error han
dling mechanisms available in the storage engine and how are these
errors logged? Does the storage engine log errors or does the query
engine need to interpret each type of error and log it, as well as pro
vide some meaningful error message and remediation guidance to
the user?
Other Operational Aspects

Although error handling is certainly one operational aspect, there
are other considerations as well. For example, in the case of HBase
there are issues with compaction, or splitting. These have significant
impact on performance and user workloads, let alone transactional
workloads. How will these be managed by the query engine to pro
vide the best customer experience?

Suffice it to say that supporting a storage engine is not a trivial task.
Sure, you can take shortcuts; support, say, InputFormat or Output
Format; or even instrument a UDF or some connector technology to
make the query engine talk to the storage engine. But to really inte
grate with a storage engine and exploit it to its best capabilities and
provide the most efficient parallel implementation, it takes a lot of
work and effort. If you need to support multiple storage engines to
reach the database nirvana of one query engine on top of multiple
storage engines, know that your task is cut out for you.
Just as the industry came together to create standard interfaces to
query engines such as Java Database Connectivity (JDBC) and Open
Database Connectivity (ODBC), it would be nice if disparate storage
engines could provide a more common interface to query engines.
Query engines could quickly and with less effort identify the capa
bilities of the storage engine via such an interface, integrate with it,
and exploit its full capabilities. Maybe the industry will reach a point
of maturity at which this could happen. For now, the APIs for the
various storage engines and their capabilities are very diverse.
Although some of these challenges look very similar to the chal
lenges that data federation engines must deal with, the difference is
that data federation engines are interfacing with query engines using
the standard JDBC/ODBC interfaces; in other words, subcontract
ing the query out to another query engine. This level of abstraction
is very different from the much deeper level of integration required
between a query engine and a storage engine geared toward a much
higher degree of efficiency and performance. Just imagine splitting a
proprietary RDBMS such as Oracle into a query and storage engine.
That level of integration is quite a different than a federation engine
interfacing with an Oracle instance.
Challenge: Same Data Model for All Workloads

As with many other terms in the IT industry, the words data
model are overloaded. In the RDBMS context, a data model is the
level of normalization that you implement. Data for operational
workloads is normalized from first normal form to sixth normal
form. For historical data that serves BI and analytics workloads, you
need a different data model, such as a star schema or an even more
elaborate snowflake schema, with dimension tables, fact tables, and
so forth. The data model is very different to accommodate the vary
Challenge: Same Data Model for All Workloads | 31

ing access patterns seen in OLTP and operational queries, which are
focused on specific entities such as customers, orders, suppliers, and
products versus a broader, more historical perspective for BI or ana
lytics queries.
Does HTAP render such delineation of data models unnecessary? I
have seen claims to this effect by some in-memory database provid
ers but have not seen any benchmarkartificial (TPC) or real-world
that shows that BI and analytics workloads work well on a third
normal form implementation. Nor have I seen anything that indi
cates that an OLTP/operational system performs well with a star
schema, in-memory or otherwise. Benchmarks aside, performance
is determined by the kinds of workloads a customer is running, and
these workloads have no semblance to TPC benchmarks, or even a
mix of these, if one existed.
So, it is one thing to say that you understand that there is some level
of data duplication, transformation, aggregation, and movement
from one data structure, data model, and storage engine to another,
and you want the query engine to make it all look seamless. That
can be difficult to do but might be achievable. However, it is quite
another thing to say that you dont want any data duplication, trans
formation, aggregation, or movement, of data, and you dont want
any compromise on performance for any of the workloads. With
Kudu, Cloudera is hoping there are a number of folks who do want
that single copy of data but are willing to sacrifice both the high-end
operational and analytical performance to achieve that. That is, they
would be willing to compromise performance, for design, develop
ment, and operational simplicity. The jury is still out on this. But it
would be interesting if the IT industry were to swing back the pen
dulum in that direction after having aggressively pursued a NoSQL
polyglot persistence agenda, where performance at scale and con
currency was not just a requirement, it was the only requirement.
But, as alluded to earlier, there are different definitions of data mod
els now. There are key-value, ordered key-value, Bigtable, docu
ment, full-text search, and graph data models. And to achieve the
nirvana of a single storage engine, people keep stretching these data
models to their limits by trying to have them do unnatural things for
which they were not designed. Thus, there are entire parent-child
relations implemented in documents, claiming that none of the
RDBMS capabilities are needed anymore, and that document stores
can meet all workload requirements. Or, is it now the time for graph

databases? Can we stuff all kinds of context in edges and vertices to
essentially support the variety of workloads? In reality, even though
each of these data models do solve certain problems, none of them
on their own can support all of the varied workloads that an enter
prise needs to deal with today.
Leveraging document capabilities, text search where necessary,
graph structure where hierarchical or network-type relationships
need to be accessed efficiently, and key-valuebased models that
support semistructured or unstructured data very well, along with a
fully structured relational database implementation, would certainly
give you the best of all the worlds. Although some query engines are
certainly trying to support as many of these as possible, as we have
seen, the challenge is in the efficient integration of these storage
engines with the query engine. Add to that the challenge of blending
the standard SQL API (which is actually not that standard; there are
proprietary implementations that vary widely) with nonstandard
APIs for these other data models.
Either way you look at the term data model, HTAP has a number
of challenges to overcome if it is to support multiple, if not all, data
models, servicing all enterprise workloads, with the same query
engine.
Challenge: Enterprise-Caliber Capabilities

As larger enterprises began expanding their BI workloads toward
more analytics and then advanced analytics, such as data mining
and machine learning, they initially complemented their BI and
analytical workloads running on proprietary databases and plat
forms, with additional workloads running on Hadoop but focused
on big data. But many enterprises followed by offloading some of
these workloads from their proprietary databases onto Hadoop.
Some companies are now offering the capability to run full RDBMS
OLTP and operational workloads on Hadoop as well, thereby
expanding the types of workloads toward the hybrid transactional
and analytical model. But to really host all workloads, including
mission-critical workloads, an HTAP database engine needs to pro
vide enterprise-caliber capabilities, which we discuss in the follow
ing sections.
Challenge: Enterprise-Caliber Capabilities | 33

High Availability
Availability is an important metric for any database. You can get
around 99.99 percent availability with HBase, for example. Four
nines, as they are known, means that you can have about 52.56
minutes of unscheduled downtime per year. Many mission-critical
applications strive for five nines, or 5.26 minutes of downtime per
year. Of course, the cost of that increase in availability can be sub
stantial. The question is this: what high-availability characteristics
can the query and storage engine combined provide?
Typically, high availability is very difficult for databases to imple
ment, with the need to address the following questions:
Can you upgrade the underlying OS, Hadoop distribution, stor

age or query engine to a new version of software while the data
is available not only for reads, but also for writes, with no down
timein other words, support rolling upgrades?
Can you redistribute the data across new nodes or disks that
have been added to the cluster, or consolidate them on to fewer
nodes or disks, completely online with no downtime? Related to
this is the ability to repartition the data for whatever reason.
Can you do that online? Online could mean just read access or
both read and write access to the data during the operation.
Can you make online DDL changes to the database, such as
changing the data type of a column, with no impact on reads
and writes? Addition and deletion of nonkey columns have
been relatively easy for databases to do.
Can you create and drop secondary indexes online?
Is there support for online backups, both full and incremental?
Which of the preceding capabilities your applications need will

depend on the mix of operational and analytical workloads you have
as well as how important high availability is for those workloads.
Security
Security implementations between operational and analytical work
loads can be very different. For operational workloads, generally
security is managed at the application level. The application inter
faces with the user and manages all access to the database. On the
other hand, BI and analytics workloads could have end users work

ing with reporting and analytical tools to directly access the data
base. In such cases, there is a possibility that authorization is pushed
to the database and the query and storage engine need to manage
that security.
Integration into SIEM systems could be pertinent for analytical
workloads, as well. But certainly many operational workloads
require a higher degree of security controls and visibility.
Manageability
One of the most important aspects of a database is the ability to
manage it and its workloads. As you can see in Figure 1-9, managea
bility entails a long list of things, and perhaps can only be partially
implemented.
Figure 1-9. Database management tasks
Given the mixed nature of HTAP workloads, some management

tasks become increasingly challenging, especially workload manage
ment. Accounting for an OLTP or operational workload is generally
Challenge: Enterprise-Caliber Capabilities | 35

done toward a transaction or interaction. The idea is to assess ser
vice level objectives in terms of transactions per second. Because the
latency of such transactions can be so small, tracking performance at
a per-statement, or even transaction level, would be very expensive.
Thus, you need to accumulate the statistics at some interval and
average it out. On the BI and analytics side, you generally do this
assessment at a report or query level. These queries are generally
longer, and capturing metrics on them and monitoring and manag
ing based on query-level statistics could work just fine.
Managing mixed workloads to SLAs can be very challenging, based
on priority and/or resource allocation. The ad hoc nature of analyt
ics does not blend well with operational workloads that require con
sistent subsecond response times, even at peak loads.
If the query engine is integrating with different storage engines,
even getting all the metrics for a query can be challenging. Although
the query engine can track some metrics, such as time taken by the
storage engine to service a request, it might not have visibility to
what resources are being consumed by the underlying storage
engine. How can you collect the vital CPU, memory, and I/O met
rics, as well as numerous other metrics like queue length, memory
swaps, and so on when that information is split between the query
engine and the storage engine and there is nothing to tie that infor
mation together? For example, if you want to get the breakdown of
the query resource usage by operation (for every step in the query
planscan, join, aggregation, etc.) and by table accessed, especially
when these operations are executed in parallel and the tables are
partitioned, this becomes a very difficult job, unless the implemen
tation has put in instrumentation and hooks to gather that end-to-
end information. How do you find out why you have a skew or
bottleneck, for example?
This does not purport to be an exhaustive list of challenges related
to enterprise-level operational capabilities that are needed if these
varied type of workloads are going to run on a single platform.
There is the integration with YARN or Mesos, for example, which
would take a lot more deliberation about how to manage resources
for different application workloads across a cluster. Hopefully,
though, it gives you a good sense for the challenges at hand.

Assessing HTAP Options
Although this report covered the details of the challenges for a
query engine to support workloads that span the spectrum from
OLTP, to operational, to BI, to analytics, you also can use it as a
guide to assess a database engine, or combination of query and stor
age engines, geared toward meeting your workload requirements,
whether they are transactional, analytical, or a mix. The considera
tions for such an assessment would mirror the four areas covered as
challenges:
What are the capabilities of the query engine that would meet
your workload needs?
What are the capabilities of the storage engines that would meet
your workload needs? How well does the query engine integrate
with those storage engines?
What data models are important for your applications? Which
storage engines support those models? Does a single query
engine support those storage engines?
What are the enterprise caliber capabilities that are important to
you? How do the query and storage engines meet those require
ments?
Capabilities of the Query Engine

The considerations to assess the capabilities of a query engine of
course depends on what kinds of workloads you want to run. But
because this report is about supporting a mixed HTAP workload,
here are some of the considerations that are relevant:
Data structurekey support, clustering, partitioning

How does the query engine utilize keyed access provided by the
storage engine?
Does the query engine support multicolumn keys even if the
storage engine supports just a single key value?
Does the query engine support access to a set of data where
predicates on leading key columns are provided, as long as the
storage engine supports clustering of data by key and supports
such partial key access?
Assessing HTAP Options | 37

How does the query engine handle predicates that are not on
the leading columns of the key but on other columns of the key?
Statistics
Does the query engine maintain statistics for the data?
Can the query engine gather cardinality for multiple key or join
columns, besides that for each column?
Do these statistics provide the query engine information about
data skew?
How long does it take to update statistics for a very large table?
Can the query engine incrementally update these statistics when
new data is added or old data is aged?
Predicates on nonleading or nonkey columns

Does the query engine have a way of efficiently accessing perti
nent rows from a table, even if there are no predicates on the
leading column(s) of a key or index, or does this always result in
a full table scan?
How does the query engine determine that it is efficient to use
skip scan or MDAM instead of a full table scan?
How does the query engine use statistics on key columns, multi
key or join columns, and nonkey columns to come up with an
efficient plan with the right data access, join, aggregate, and
degree of parallelism strategy?
Does the query engine support a columnar storage engine?
Does the query engine access columns in sequence of their
predicate cardinalities so as to gain maximum reduction in
qualifying rows up front, when accessing a columnar storage
engine?
Indexes and materialized views

What kinds of indexes are supported by the engine and how can
they be utilized?
Can the indexes be unique?

Are the indexes always consistent with the base table?
Are index-only scans supported?
What impact do the indexes have on updates, especially as you
add more indexes?
How are the indexes kept updated through bulk loads?
Are materialized views supported?
Can materialized views be synchronously and asynchronously
maintained?
What is the overhead of maintaining materialized views?
Does the query engine automatically rewrite queries to use
materialized views when it can?
Are user-defined materialized views supported for query
rewrite?
Degree of parallelism
How does the query engine access data that is partitioned across
nodes and disks on nodes?
Does the query engine rely on the storage engine for that, or
does it provide a parallel infrastructure to access these partitions
in parallel?
If the query engine considers serial and parallel plans, how does
it determine the degree of parallelism needed?
Does the query engine use only the number of nodes needed for
a query based on that degree of parallelism?
Reducing the search space

What optimizer technology does the query engine use?
Can it generate good plans for large complex BI queries as well
as fast compiles for short operational queries?
What query plan caching techniques are used for operational
queries?
How is the query plan cache managed?

How can the optimizer evolve with exposure to varied
workloads?
Can the optimizer detect query patterns?
Join type
What are the types of joins supported?
How are joins used for different workloads?
What is the impact of using the wrong join type and how is that
impact avoided?
Data flow and access

How does the query engine handle large parallel data flows for
complex analytical queries and at the same time provide quick
direct access to data for operational workloads?
What other efficiencies, such as prefetching data, are imple
mented for analytical workloads, and for operational
workloads?
Mixed workload
Can you prioritize workloads for execution?
What criteria can you use for such prioritization?
Can these workloads at different service levels be allocated dif
ferent percentages of resources?
Does the priority of queries decrease as they use more resour
ces?
Are there antistarvation mechanisms or a way to switch to a
higher priority query before resuming a lower priority one?
Streaming
Can the query engine handle streaming data directly?
What functionality is supported against this streaming data
such as row- and/or time-based windowing capabilities?

What syntax or API is used to process streaming data? Would
this lock you in to this query engine?
Feature support
What capabilities and features are provided by the database for
operational, analytical, and all other workloads?
Integration Between the Query and Storage Engines

The considerations to assess the integration between the query and
storage engines begins with understanding what capabilities you
need a storage engine to provide. Then, you need to assess how well
the query engine exploits and expands on those capabilities, and
how well it integrates with those storage engines. Here are certain
points to consider, which will help you determine not only if they
are supported, but also at what level are they being supported: by the
query engine or storage engine, or a combination of the two:
Statistics
What statistics on the data does the storage engine maintain?
Can the query engine use these statistics for faster histogram
generation?
Does the storage engine support sampling to avoid full-table
scans to compute statistics?
Does the storage engine provide a way to access data changes
since the last collection of statistics, for incremental updates of
statistics?
Does the storage engine maintain update counters for the query
engine to schedule a refresh of the statistics?
Key structure
Does the storage engine support key access?
If it is not a multicolumn key, does the query engine map it to a
multicolumn key?

Can it be used for range access on leading columns of the key?
Partitioning
How does the storage engine partition data across disks and
nodes? Does it support hash and/or range partitioning, or a
combination of these?
Does the query engine need to salt data so that the load is bal
anced across partitions to avoid bottlenecks?
If it does, how can it add a salt key as the leftmost column of the
table key and still avoid table scans?
Does the storage engine handle repartitioning of partitions as
the cluster is expanded or contracted, or does the query engine
do that?
Is there full read/write access to the data as it is rebalanced?
How does the query engine localize data access and avoid shuf
fling data between nodes?
Data type support

What data types do the query and storage engines support and
how do they map?
Can value constraints be enforced on those types?
Which engine enforces referential constraints?
What character sets are supported?
Are collations supported?
What kinds of compression are provided?
Is encryption supported?
Projection and selection

Is projection done by the storage or query engine? What predi
cates are evaluated by the query and storage engines?
Where are multicolumn predicates, IN lists, and multiple predi
cates with ORs and ANDs, evaluated?
How long can IN lists be?

Does the storage engine evaluate predicates in sequence of their
filtering effectiveness?
How about predicates comparing different columns of the same
table?
Where are complex expressions in predicates, potentially with
functions, evaluated?
How does the storage engine handle default or missing values?
Are techniques like vectorization, CPU L1, L2, L3 cache,
reduced serialization overhead, used for high performance?
Extensibility
Does the storage engine support server side pushdown of oper
ations, such as coprocessors in HBase, or before and after trig
gers in Cassandra?
How does the query engine use these?
Security enforcement
What are the security frameworks for the query and storage
engines and how do they map relative to ANSI SQL security
enforcement?
Does the query engine integrate with the underlying Hadoop
Kerberos security model?
Does the query engine integrate with security frameworks like
Sentry or Ranger?
How does the query engine integrate with security logging, and
SIEM capabilities of the underlying storage engine and platform
security?
Transaction management
Are replication for high availability, backup and restore, and
multi-data center support provided completely by the storage
engine, or is the query engine involved with ensuring consis
tency and integrity across all operations?

What level of ACID or BASE transactional support has been
implemented?
How is transactional support integrated between the query and
storage engines, such as write-ahead logs, and use of coproces
sors? How well does it scaleis the transactional workload
completely distributed across multiple transaction managers?
Is multidatacenter support provided?
Is this active-active single or multiple master replication?
What is the overhead of transactions on throughput and system
resources?
Is online backup and point-in-time recovery provided?
Metadata support
How does the storage engine metadata (e.g., table names, loca
tion, partitioning, columns, data types) get mapped to the query
engine metadata?
How are storage engine specific options (e.g., compression,
encryption, column families) managed by the query engine?
Does the query engine provide transactional support, secondary
indexes, views, constraints, materialized views, and so on for an
external table?
If changes to external tables can be made outside of the query
engine, how does the query engine deal with those changes and
the discrepancies that could result from them?
Performance, scale, and concurrency considerations

If bulk load is available for the storage engine how does the
query engine guarantee transactional consistency across loads?
Does the storage engine accommodate rowset inserts and selects
to process large number of rows at a time?
What types of fast-scanning options are provided by the storage
enginesnapshot scans, prefetching, and so on?
Does the storage engine provide an easy way for the query
engine to integrate for parallel operations?

What level of concurrency and mixed workload capability can
the storage engine support?
Error handling
How are storage and query engine errors logged?
How does the query engine map errors from the storage engine
to meaningful error messages and resolution options?
Other operational aspects

How are storage enginespecific operational aspects such as
compaction or splitting handled by the query engine to mini
mize operational and performance impact?
Data Model Support

Here are the considerations to assess the data model support:
Operational versus analytical data models

How well is the normalized data model supported for opera
tional workloads?
How well are the star and snowflake data models supported for
analytical workloads?
NoSQL data models

What storage engine data models are supported by the query
enginekey-value, ordered key-value, Bigtable, document, full-
text search, graph, and relational?
How well are the storage engine APIs covered by the query
engine API?
How well does the query engine map and/or extend its API to
support the storage engine API?

Enterprise-Caliber Capabilities
Security was covered earlier, but here are the other considerations to
assess enterprise-caliber capabilities:
High availability
What percentage of uptime is provided (99.99%99.999%)?
Can you upgrade the underlying OS online (with data available
for reads and writes)?
Can you upgrade the underlying file system online (e.g.,
Hadoop Distributed File System)?
Can you upgrade the underlying storage engine online?
Can you upgrade the query engine online?
Can you redistribute data to accommodate node and/or disk
expansions and contractions online?
Can the table definition be changed online; for example, all col
umn data type changes, and adding, dropping, renaming
columns?
Can secondary indexes be created and dropped online?
Are online backups supportedboth full and incremental?
Manageability
What required management capabilities are supported (see
Figure 1-9 for a list)?
Is operational performance reported in transactions per second
and analytical performance by query?
What is the overhead of gathering metrics on operational work
loads as opposed to analytical workloads?
Is the interval of statistics collection configurable to reduce this
overhead?
Can workloads be managed to Service Level Objectives, based
on priority and/or resource allocation, especially high priority
operational workloads against lower priority analytical work
loads?

Is there end-to-end visibility of transaction and query metrics
from the application, to the query engine, to the storage engine?
Does it provide metric breakdown down to the operation (for
every step of the query plan) level for a query?
Does it provide metrics for table access across all workloads
down to the partition level?
Does it provide enough information to find out where the skew
or bottlenecks are?
How is it integrated with YARN or Mesos?
Conclusion
This report has attempted to do a modest job of highlighting at least
some of the challenges of having a single query engine service both
operational and analytical needs. That said, no query engine neces
sarily has to deliver on all the requirements of HTAP, and one cer
tainly could meet the mixed workload requirements of many
customers without doing so. The report also attempted to explain
what you should look for and where you might need to compromise
as you try and achieve the nirvana of a single database to handle
all of your workloads, from operational to analytical.
Conclusion | 47
About the Author
Rohit Jain is cofounder and CTO at Esgyn, an open source database
company driving the vision of a Converged Big Data Platform. Rohit
provided the vision behind Apache Trafodion, an enterprise-class
MPP SQL Database for Big Data, donated to the Apache Software
Foundation by HP in 2015. EsgynDB, Powered by Apache Trafo
dion, is delivering the promise of a Converged Big Data Platform
with a vision of any data, any size, and any workload. A veteran
database technologist over the past 28 years, Rohit has worked for
Tandem, Compaq, and Hewlett-Packard in application and database
development. His experience spans online transaction processing,
operational data stores, data marts, enterprise data warehouses,
business intelligence, and advanced analytics on distributed mas
sively parallel systems.

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In Search of

Beijing Boston Farnham Sebastopol Tokyo

Editor: Marie Beaugureau Interior Designer: David Futato

August 2016: First Edition

Revision History for the First Edition

In Search of Database Nirvana. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

The Swinging Database Pendulum

NonStop SQL/MX for Online Transaction Processing (OLTP)

However, these proprietary databases shared some unfavorable

They were not cheap, both in terms of software and specialized

2 | In Search of Database Nirvana

It made development easier because SQL skills were prevalent in

So, we began seeing a resurgence of SQL and RDBMS capabilities,

The Swinging Database Pendulum | 3

Handling both operational and analytical workloads

4 | In Search of Database Nirvana

Figure 1-1. Different types and characteristics of operational and ana

OLTP and Operational Data Stores (ODS) are operational work

HTAP Workloads: Operational versus Analytical | 5

Query versus Storage Engine

Allow clients to connect to it so that it can serve the SQL quer

Meanwhile, a storage engine must provide at least some of the

6 | In Search of Database Nirvana

It could also provide the following:

Mixed workload support

Some of this functionality could be in the storage engine, some in

Query versus Storage Engine | 7

Challenge: A Single Query Engine for All

Data StructureKey Support, Clustering, Partitioning

A Point about Sharding

8 | In Search of Database Nirvana

Challenge: A Single Query Engine for All Workloads | 9

10 | In Search of Database Nirvana

Predicates on Nonleading Key Columns or Nonkey

Challenge: A Single Query Engine for All Workloads | 11

Indexes and Materialized Views

12 | In Search of Database Nirvana

Challenge: A Single Query Engine for All Workloads | 13

Figure 1-2. Nodes used based on degree of parallelism needed by query.

14 | In Search of Database Nirvana

Reducing the Search Space

Challenge: A Single Query Engine for All Workloads | 15

Data Flow and Access

16 | In Search of Database Nirvana

Operator-Level Degree of Parallelism

Challenge: A Single Query Engine for All Workloads | 17

Figure 1-4. Data flow architecture

18 | In Search of Database Nirvana

Challenge: A Single Query Engine for All Workloads | 19

20 | In Search of Database Nirvana

Challenge: A Single Query Engine for All Workloads | 21

22 | In Search of Database Nirvana

Challenge: A Single Query Engine for All Workloads | 23

24 | In Search of Database Nirvana

Challenge: Supporting Multiple Storage Engines | 25

Data Type Support

Projection and Selection

26 | In Search of Database Nirvana

Challenge: Supporting Multiple Storage Engines | 27

28 | In Search of Database Nirvana