For empty mappings use a LocalRelation (elastic#105081)

Fixes elastic#104809 by
converting a plan to a local relation when there is no mapping for the
index pattern.

docs/changelog/105081.yaml

@@ -0,0 +1,6 @@
+pr: 105081
+summary: For empty mappings use a `LocalRelation`
+area: ES|QL
+type: bug
+issues:
+ - 104809

x-pack/plugin/esql/qa/testFixtures/src/main/resources/stats.csv-spec

@@ -1139,12 +1139,13 @@ FROM employees
 | STATS x = CONCAT(TO_STRING(ROUND(AVG(salary % 3))), TO_STRING(MAX(emp_no))), 
  y = ROUND((MIN(emp_no / 3) + PI() - MEDIAN(salary))/E()) 
  BY z = languages % 2
+| SORT z
 ;
 
 x:s | y:d | z:i
-1.010029 | -16452.0 | null
 1.010100 | -15260.0 | 0
 1.010097 | -16701.0 | 1
+1.010029 | -16452.0 | null
 ;
 
 nestedAggsOverGroupingWithAlias#[skip:-8.12.99,reason:supported in 8.13]

x-pack/plugin/esql/src/internalClusterTest/java/org/elasticsearch/xpack/esql/action/EsqlActionIT.java

@@ -10,6 +10,7 @@
 import org.elasticsearch.Build;
 import org.elasticsearch.action.admin.cluster.settings.ClusterUpdateSettingsRequest;
 import org.elasticsearch.action.admin.indices.alias.IndicesAliasesRequest;
+import org.elasticsearch.action.admin.indices.alias.IndicesAliasesRequestBuilder;
 import org.elasticsearch.action.bulk.BulkRequestBuilder;
 import org.elasticsearch.action.index.IndexRequest;
 import org.elasticsearch.action.index.IndexRequestBuilder;
@@ -1413,6 +1414,89 @@ public void testCountTextField() {
  }
  }
 
+ public void testQueryOnEmptyMappingIndex() {
+ createIndex("empty-test", Settings.EMPTY);
+ createIndex("empty-test2", Settings.EMPTY);
+ IndicesAliasesRequestBuilder indicesAliasesRequestBuilder = indicesAdmin().prepareAliases()
+ .addAliasAction(IndicesAliasesRequest.AliasActions.add().index("empty-test").alias("alias-test"))
+ .addAliasAction(IndicesAliasesRequest.AliasActions.add().index("empty-test2").alias("alias-test"));
+ indicesAdmin().aliases(indicesAliasesRequestBuilder.request()).actionGet();
+
+ String[] indexPatterns = new String[] { "empty-test", "empty-test,empty-test2", "empty-test*", "alias-test", "*-test*" };
+ String from = "FROM " + randomFrom(indexPatterns) + " ";
+
+ assertEmptyIndexQueries(from);
+
+ try (EsqlQueryResponse resp = run(from + "[METADATA _source] | EVAL x = 123")) {
+ assertFalse(resp.values().hasNext());
+ assertThat(resp.columns(), equalTo(List.of(new ColumnInfo("_source", "_source"), new ColumnInfo("x", "integer"))));
+ }
+
+ try (EsqlQueryResponse resp = run(from)) {
+ assertFalse(resp.values().hasNext());
+ assertThat(resp.columns(), equalTo(List.of(new ColumnInfo("<no-fields>", "null"))));
+ }
+ }
+
+ public void testQueryOnEmptyDataIndex() {
+ createIndex("empty_data-test", Settings.EMPTY);
+ assertAcked(client().admin().indices().prepareCreate("empty_data-test2").setMapping("name", "type=text"));
+ IndicesAliasesRequestBuilder indicesAliasesRequestBuilder = indicesAdmin().prepareAliases()
+ .addAliasAction(IndicesAliasesRequest.AliasActions.add().index("empty_data-test").alias("alias-empty_data-test"))
+ .addAliasAction(IndicesAliasesRequest.AliasActions.add().index("empty_data-test2").alias("alias-empty_data-test"));
+ indicesAdmin().aliases(indicesAliasesRequestBuilder.request()).actionGet();
+
+ String[] indexPatterns = new String[] {
+ "empty_data-test2",
+ "empty_data-test,empty_data-test2",
+ "alias-empty_data-test",
+ "*data-test" };
+ String from = "FROM " + randomFrom(indexPatterns) + " ";
+
+ assertEmptyIndexQueries(from);
+
+ try (EsqlQueryResponse resp = run(from + "[METADATA _source] | EVAL x = 123")) {
+ assertFalse(resp.values().hasNext());
+ assertThat(
+ resp.columns(),
+ equalTo(List.of(new ColumnInfo("name", "text"), new ColumnInfo("_source", "_source"), new ColumnInfo("x", "integer")))
+ );
+ }
+
+ try (EsqlQueryResponse resp = run(from)) {
+ assertFalse(resp.values().hasNext());
+ assertThat(resp.columns(), equalTo(List.of(new ColumnInfo("name", "text"))));
+ }
+ }
+
+ private void assertEmptyIndexQueries(String from) {
+ try (EsqlQueryResponse resp = run(from + "[METADATA _source] | KEEP _source | LIMIT 1")) {
+ assertFalse(resp.values().hasNext());
+ assertThat(resp.columns(), equalTo(List.of(new ColumnInfo("_source", "_source"))));
+ }
+
+ try (EsqlQueryResponse resp = run(from + "| EVAL y = 1 | KEEP y | LIMIT 1 | EVAL x = 1")) {
+ assertFalse(resp.values().hasNext());
+ assertThat(resp.columns(), equalTo(List.of(new ColumnInfo("y", "integer"), new ColumnInfo("x", "integer"))));
+ }
+
+ try (EsqlQueryResponse resp = run(from + "| STATS c = count()")) {
+ assertTrue(resp.values().hasNext());
+ Iterator<Object> row = resp.values().next();
+ assertThat(row.next(), equalTo((long) 0));
+ assertThat(resp.columns(), equalTo(List.of(new ColumnInfo("c", "long"))));
+ }
+
+ try (EsqlQueryResponse resp = run(from + "| STATS c = count() | EVAL x = 123")) {
+ assertTrue(resp.values().hasNext());
+ Iterator<Object> row = resp.values().next();
+ assertThat(row.next(), equalTo((long) 0));
+ assertThat(row.next(), equalTo(123));
+ assertFalse(row.hasNext());
+ assertThat(resp.columns(), equalTo(List.of(new ColumnInfo("c", "long"), new ColumnInfo("x", "integer"))));
+ }
+ }
+
  private void createNestedMappingIndex(String indexName) throws IOException {
  XContentBuilder builder = JsonXContent.contentBuilder();
  builder.startObject();

x-pack/plugin/esql/src/main/java/org/elasticsearch/xpack/esql/analysis/Analyzer.java

@@ -83,8 +83,10 @@
 import static org.elasticsearch.xpack.ql.type.DataTypes.NESTED;
 
 public class Analyzer extends ParameterizedRuleExecutor<LogicalPlan, AnalyzerContext> {
- static final List<Attribute> NO_FIELDS = List.of(
- new ReferenceAttribute(Source.EMPTY, "<no-fields>", DataTypes.NULL, null, Nullability.TRUE, null, false)
+ // marker list of attributes for plans that do not have any concrete fields to return, but have other computed columns to return
+ // ie from test | stats c = count(*)
+ public static final List<Attribute> NO_FIELDS = List.of(
+ new ReferenceAttribute(Source.EMPTY, "<no-fields>", DataTypes.NULL, null, Nullability.TRUE, null, true)
  );
  private static final Iterable<RuleExecutor.Batch<LogicalPlan>> rules;
 

x-pack/plugin/esql/src/main/java/org/elasticsearch/xpack/esql/optimizer/LogicalPlanOptimizer.java

@@ -152,7 +152,8 @@ protected static List<Batch<LogicalPlan>> rules() {
  // lastly replace surrogate functions
  new SubstituteSurrogates(),
  new ReplaceRegexMatch(),
- new ReplaceAliasingEvalWithProject()
+ new ReplaceAliasingEvalWithProject(),
+ new SkipQueryOnEmptyMappings()
  // new NormalizeAggregate(), - waits on https://github.com/elastic/elasticsearch/issues/100634
  );
 
@@ -704,6 +705,14 @@ protected LogicalPlan rule(UnaryPlan plan) {
  }
  }
 
+ static class SkipQueryOnEmptyMappings extends OptimizerRules.OptimizerRule<EsRelation> {
+
+ @Override
+ protected LogicalPlan rule(EsRelation plan) {
+ return plan.index().concreteIndices().isEmpty() ? new LocalRelation(plan.source(), plan.output(), LocalSupplier.EMPTY) : plan;
+ }
+ }
+
  @SuppressWarnings("removal")
  static class PropagateEmptyRelation extends OptimizerRules.OptimizerRule<UnaryPlan> {
 

x-pack/plugin/esql/src/test/java/org/elasticsearch/xpack/esql/optimizer/LocalLogicalPlanOptimizerTests.java

@@ -39,6 +39,7 @@
 import java.util.List;
 import java.util.Locale;
 import java.util.Map;
+import java.util.Set;
 
 import static java.util.Collections.emptyMap;
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.L;
@@ -69,7 +70,7 @@ public static void init() {
  parser = new EsqlParser();
 
  mapping = loadMapping("mapping-basic.json");
- EsIndex test = new EsIndex("test", mapping);
+ EsIndex test = new EsIndex("test", mapping, Set.of("test"));
  IndexResolution getIndexResult = IndexResolution.valid(test);
  logicalOptimizer = new LogicalPlanOptimizer(new LogicalOptimizerContext(EsqlTestUtils.TEST_CFG));
 
@@ -321,7 +322,7 @@ public void testSparseDocument() throws Exception {
 
  SearchStats searchStats = statsForExistingField("field000", "field001", "field002", "field003", "field004");
 
- EsIndex index = new EsIndex("large", large);
+ EsIndex index = new EsIndex("large", large, Set.of("large"));
  IndexResolution getIndexResult = IndexResolution.valid(index);
  var logicalOptimizer = new LogicalPlanOptimizer(new LogicalOptimizerContext(EsqlTestUtils.TEST_CFG));
 

x-pack/plugin/esql/src/test/java/org/elasticsearch/xpack/esql/optimizer/LocalPhysicalPlanOptimizerTests.java

@@ -58,6 +58,7 @@
 import java.util.ArrayList;
 import java.util.List;
 import java.util.Map;
+import java.util.Set;
 import java.util.stream.Collectors;
 
 import static java.util.Arrays.asList;
@@ -143,7 +144,7 @@ public void init() {
 
  private Analyzer makeAnalyzer(String mappingFileName, EnrichResolution enrichResolution) {
  var mapping = loadMapping(mappingFileName);
- EsIndex test = new EsIndex("test", mapping);
+ EsIndex test = new EsIndex("test", mapping, Set.of("test"));
  IndexResolution getIndexResult = IndexResolution.valid(test);
 
  return new Analyzer(new AnalyzerContext(config, functionRegistry, getIndexResult, enrichResolution), new Verifier(new Metrics()));

x-pack/plugin/esql/src/test/java/org/elasticsearch/xpack/esql/optimizer/LogicalPlanOptimizerTests.java

@@ -15,6 +15,7 @@
 import org.elasticsearch.xpack.esql.analysis.Analyzer;
 import org.elasticsearch.xpack.esql.analysis.AnalyzerContext;
 import org.elasticsearch.xpack.esql.analysis.AnalyzerTestUtils;
+import org.elasticsearch.xpack.esql.analysis.EnrichResolution;
 import org.elasticsearch.xpack.esql.evaluator.predicate.operator.comparison.Equals;
 import org.elasticsearch.xpack.esql.evaluator.predicate.operator.comparison.GreaterThan;
 import org.elasticsearch.xpack.esql.evaluator.predicate.operator.comparison.GreaterThanOrEqual;
@@ -85,9 +86,11 @@
 
 import java.util.List;
 import java.util.Map;
+import java.util.Set;
 
 import static java.util.Collections.emptyList;
 import static java.util.Collections.emptyMap;
+import static java.util.Collections.emptySet;
 import static java.util.Collections.singletonList;
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.L;
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.TEST_VERIFIER;
@@ -96,6 +99,7 @@
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.loadMapping;
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.localSource;
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.withDefaultLimitWarning;
+import static org.elasticsearch.xpack.esql.analysis.Analyzer.NO_FIELDS;
 import static org.elasticsearch.xpack.esql.type.EsqlDataTypes.GEO_POINT;
 import static org.elasticsearch.xpack.ql.TestUtils.relation;
 import static org.elasticsearch.xpack.ql.tree.Source.EMPTY;
@@ -124,21 +128,17 @@ public class LogicalPlanOptimizerTests extends ESTestCase {
  private static Map<String, EsField> mapping;
  private static Map<String, EsField> mappingAirports;
  private static Analyzer analyzerAirports;
+ private static EnrichResolution enrichResolution;
 
  @BeforeClass
  public static void init() {
  parser = new EsqlParser();
  logicalOptimizer = new LogicalPlanOptimizer(new LogicalOptimizerContext(EsqlTestUtils.TEST_CFG));
- var enrichResolution = AnalyzerTestUtils.loadEnrichPolicyResolution(
- "languages_idx",
- "id",
- "languages_idx",
- "mapping-languages.json"
- );
+ enrichResolution = AnalyzerTestUtils.loadEnrichPolicyResolution("languages_idx", "id", "languages_idx", "mapping-languages.json");
 
  // Most tests used data from the test index, so we load it here, and use it in the plan() function.
  mapping = loadMapping("mapping-basic.json");
- EsIndex test = new EsIndex("test", mapping);
+ EsIndex test = new EsIndex("test", mapping, Set.of("test"));
  IndexResolution getIndexResult = IndexResolution.valid(test);
  analyzer = new Analyzer(
  new AnalyzerContext(EsqlTestUtils.TEST_CFG, new EsqlFunctionRegistry(), getIndexResult, enrichResolution),
@@ -147,7 +147,7 @@ public static void init() {
 
  // Some tests use data from the airports index, so we load it here, and use it in the plan_airports() function.
  mappingAirports = loadMapping("mapping-airports.json");
- EsIndex airports = new EsIndex("airports", mappingAirports);
+ EsIndex airports = new EsIndex("airports", mappingAirports, Set.of("airports"));
  IndexResolution getIndexResultAirports = IndexResolution.valid(airports);
  analyzerAirports = new Analyzer(
  new AnalyzerContext(EsqlTestUtils.TEST_CFG, new EsqlFunctionRegistry(), getIndexResultAirports, enrichResolution),
@@ -3182,6 +3182,33 @@ public void testStatsWithCanonicalAggregate() throws Exception {
  assertThat(Expressions.attribute(fields.get(1)), is(Expressions.attribute(sum_argument)));
  }
 
+ public void testEmptyMappingIndex() {
+ EsIndex empty = new EsIndex("empty_test", emptyMap(), emptySet());
+ IndexResolution getIndexResultAirports = IndexResolution.valid(empty);
+ var analyzer = new Analyzer(
+ new AnalyzerContext(EsqlTestUtils.TEST_CFG, new EsqlFunctionRegistry(), getIndexResultAirports, enrichResolution),
+ TEST_VERIFIER
+ );
+
+ var plan = logicalOptimizer.optimize(analyzer.analyze(parser.createStatement("from empty_test")));
+ as(plan, LocalRelation.class);
+ assertThat(plan.output(), equalTo(NO_FIELDS));
+
+ plan = logicalOptimizer.optimize(analyzer.analyze(parser.createStatement("from empty_test [metadata _id] | eval x = 1")));
+ as(plan, LocalRelation.class);
+ assertThat(Expressions.names(plan.output()), contains("_id", "x"));
+
+ plan = logicalOptimizer.optimize(analyzer.analyze(parser.createStatement("from empty_test [metadata _id, _version] | limit 5")));
+ as(plan, LocalRelation.class);
+ assertThat(Expressions.names(plan.output()), contains("_id", "_version"));
+
+ plan = logicalOptimizer.optimize(
+ analyzer.analyze(parser.createStatement("from empty_test | eval x = \"abc\" | enrich languages_idx on x"))
+ );
+ LocalRelation local = as(plan, LocalRelation.class);
+ assertThat(Expressions.names(local.output()), contains(NO_FIELDS.get(0).name(), "x", "language_code", "language_name"));
+ }
+
  private LogicalPlan optimizedPlan(String query) {
  return plan(query);
  }

x-pack/plugin/esql/src/test/java/org/elasticsearch/xpack/esql/optimizer/PhysicalPlanOptimizerTests.java

@@ -176,7 +176,7 @@ public void init() {
  mapper = new Mapper(functionRegistry);
  // Most tests used data from the test index, so we load it here, and use it in the plan() function.
  mapping = loadMapping("mapping-basic.json");
- EsIndex test = new EsIndex("test", mapping);
+ EsIndex test = new EsIndex("test", mapping, Set.of("test"));
  IndexResolution getIndexResult = IndexResolution.valid(test);
  var enrichResolution = setupEnrichResolution();
  analyzer = new Analyzer(new AnalyzerContext(config, functionRegistry, getIndexResult, enrichResolution), TEST_VERIFIER);
@@ -194,7 +194,7 @@ public void init() {
 
  // Some tests use data from the airports index, so we load it here, and use it in the plan_airports() function.
  mappingAirports = loadMapping("mapping-airports.json");
- EsIndex airports = new EsIndex("airports", mappingAirports);
+ EsIndex airports = new EsIndex("airports", mappingAirports, Set.of("airports"));
  IndexResolution getIndexResultAirports = IndexResolution.valid(airports);
  analyzerAirports = new Analyzer(
  new AnalyzerContext(config, functionRegistry, getIndexResultAirports, enrichResolution),

x-pack/plugin/esql/src/test/java/org/elasticsearch/xpack/esql/planner/FilterTests.java

@@ -41,6 +41,7 @@
 import java.io.UncheckedIOException;
 import java.util.List;
 import java.util.Map;
+import java.util.Set;
 
 import static java.util.Arrays.asList;
 import static org.elasticsearch.index.query.QueryBuilders.rangeQuery;
@@ -72,7 +73,7 @@ public static void init() {
  parser = new EsqlParser();
 
  mapping = loadMapping("mapping-basic.json");
- EsIndex test = new EsIndex("test", mapping);
+ EsIndex test = new EsIndex("test", mapping, Set.of("test"));
  IndexResolution getIndexResult = IndexResolution.valid(test);
  logicalOptimizer = new LogicalPlanOptimizer(new LogicalOptimizerContext(EsqlTestUtils.TEST_CFG));
  physicalPlanOptimizer = new PhysicalPlanOptimizer(new PhysicalOptimizerContext(EsqlTestUtils.TEST_CFG));

x-pack/plugin/esql/src/test/java/org/elasticsearch/xpack/esql/plugin/DataNodeRequestTests.java

@@ -37,6 +37,7 @@
 import java.io.IOException;
 import java.util.List;
 import java.util.Map;
+import java.util.Set;
 
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.TEST_CFG;
 import static org.elasticsearch.xpack.esql.EsqlTestUtils.TEST_VERIFIER;
@@ -208,7 +209,7 @@ protected DataNodeRequest mutateInstance(DataNodeRequest in) throws IOException
 
  static LogicalPlan parse(String query) {
  Map<String, EsField> mapping = loadMapping("mapping-basic.json");
- EsIndex test = new EsIndex("test", mapping);
+ EsIndex test = new EsIndex("test", mapping, Set.of("test"));
  IndexResolution getIndexResult = IndexResolution.valid(test);
  var logicalOptimizer = new LogicalPlanOptimizer(new LogicalOptimizerContext(TEST_CFG));
  var analyzer = new Analyzer(