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title: "11. Batch Processing"
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> *A system cannot be successful if it is too strongly influenced by a single person. Once the initial design is complete and fairly robust, the real test begins as people with many different viewpoints undertake their own experiments.*
>
> ​    — Donald Knuth

---------------

In the first two parts of this book we talked a lot about *requests* and *queries*, and the corresponding *responses* or *results*. This style of data processing is assumed in many modern data systems: you ask for something, or you send an instruction, and some time later the system (hopefully) gives you an answer. Databases, caches, search indexes, web servers, and many other systems work this way.

In such *online* systems, whether it’s a web browser requesting a page or a service call‐ ing a remote API, we generally assume that the request is triggered by a human user, and that the user is waiting for the response. They shouldn’t have to wait too long, so we pay a lot of attention to the *response time* of these systems (see “[Describing Performance](/en/ch1#describing-performance)”).

The web, and increasing numbers of HTTP/REST-based APIs, has made the request/ response style of interaction so common that it’s easy to take it for granted. But we should remember that it’s not the only way of building systems, and that other approaches have their merits too. Let’s distinguish three different types of systems:

***Services (online systems)***

A service waits for a request or instruction from a client to arrive. When one is received, the service tries to handle it as quickly as possible and sends a response back. Response time is usually the primary measure of performance of a service, and availability is often very important (if the client can’t reach the service, the user will probably get an error message).

***Batch processing systems (offline systems)***

A batch processing system takes a large amount of input data, runs a *job* to pro‐ cess it, and produces some output data. Jobs often take a while (from a few minutes to several days), so there normally isn’t a user waiting for the job to fin‐ ish. Instead, batch jobs are often scheduled to run periodically (for example, once a day). The primary performance measure of a batch job is usually *throughput* (the time it takes to crunch through an input dataset of a certain size). We dis‐ cuss batch processing in this chapter.

***Stream processing systems (near-real-time systems)***

Stream processing is somewhere between online and offline/batch processing (so it is sometimes called *near-real-time* or *nearline* processing). Like a batch pro‐ cessing system, a stream processor consumes inputs and produces outputs (rather than responding to requests). However, a stream job operates on events shortly after they happen, whereas a batch job operates on a fixed set of input data. This difference allows stream processing systems to have lower latency than the equivalent batch systems. As stream processing builds upon batch process‐ ing, we discuss it in [Chapter 11](/en/ch11).

As we shall see in this chapter, batch processing is an important building block in our quest to build reliable, scalable, and maintainable applications. For example, Map‐ Reduce, a batch processing algorithm published in 2004 [1], was (perhaps over- enthusiastically) called “the algorithm that makes Google so massively scalable” [2]. It was subsequently implemented in various open source data systems, including Hadoop, CouchDB, and MongoDB.

MapReduce is a fairly low-level programming model compared to the parallel pro‐ cessing systems that were developed for data warehouses many years previously [^3] [^4], but it was a major step forward in terms of the scale of processing that could be achieved on commodity hardware. Although the importance of MapReduce is now declining [5], it is still worth understanding, because it provides a clear picture of why and how batch processing is useful.

In fact, batch processing is a very old form of computing. Long before programmable digital computers were invented, punch card tabulating machines—such as the Hol‐ lerith machines used in the 1890 US Census [6]—implemented a semi-mechanized form of batch processing to compute aggregate statistics from large inputs. And Map‐ Reduce bears an uncanny resemblance to the electromechanical IBM card-sorting machines that were widely used for business data processing in the 1940s and 1950s [7]. As usual, history has a tendency of repeating itself.

In this chapter, we will look at MapReduce and several other batch processing algo‐ rithms and frameworks, and explore how they are used in modern data systems. But first, to get started, we will look at data processing using standard Unix tools. Even if you are already familiar with them, a reminder about the Unix philosophy is worthwhile because the ideas and lessons from Unix carry over to large-scale, heterogene‐ ous distributed data systems.



## ……



## Summary


In this chapter we explored the topic of batch processing. We started by looking at Unix tools such as awk, grep, and sort, and we saw how the design philosophy of those tools is carried forward into MapReduce and more recent dataflow engines. Some of those design principles are that inputs are immutable, outputs are intended to become the input to another (as yet unknown) program, and complex problems are solved by composing small tools that “do one thing well.”

In the Unix world, the uniform interface that allows one program to be composed with another is files and pipes; in MapReduce, that interface is a distributed filesys‐ tem. We saw that dataflow engines add their own pipe-like data transport mecha‐ nisms to avoid materializing intermediate state to the distributed filesystem, but the initial input and final output of a job is still usually HDFS.

The two main problems that distributed batch processing frameworks need to solve are:

***Partitioning***

In MapReduce, mappers are partitioned according to input file blocks. The out‐ put of mappers is repartitioned, sorted, and merged into a configurable number of reducer partitions. The purpose of this process is to bring all the related data— e.g., all the records with the same key—together in the same place.

Post-MapReduce dataflow engines try to avoid sorting unless it is required, but they otherwise take a broadly similar approach to partitioning.

***Fault tolerance***

MapReduce frequently writes to disk, which makes it easy to recover from an individual failed task without restarting the entire job but slows down execution in the failure-free case. Dataflow engines perform less materialization of inter‐ mediate state and keep more in memory, which means that they need to recom‐ pute more data if a node fails. Deterministic operators reduce the amount of data that needs to be recomputed.



We discussed several join algorithms for MapReduce, most of which are also inter‐ nally used in MPP databases and dataflow engines. They also provide a good illustra‐ tion of how partitioned algorithms work:

***Sort-merge joins***

Each of the inputs being joined goes through a mapper that extracts the join key. By partitioning, sorting, and merging, all the records with the same key end up going to the same call of the reducer. This function can then output the joined records.

***Broadcast hash joins***

One of the two join inputs is small, so it is not partitioned and it can be entirely loaded into a hash table. Thus, you can start a mapper for each partition of the large join input, load the hash table for the small input into each mapper, and then scan over the large input one record at a time, querying the hash table for each record.

***Partitioned hash joins***

If the two join inputs are partitioned in the same way (using the same key, same hash function, and same number of partitions), then the hash table approach can be used independently for each partition.



Distributed batch processing engines have a deliberately restricted programming model: callback functions (such as mappers and reducers) are assumed to be stateless and to have no externally visible side effects besides their designated output. This restriction allows the framework to hide some of the hard distributed systems prob‐ lems behind its abstraction: in the face of crashes and network issues, tasks can be retried safely, and the output from any failed tasks is discarded. If several tasks for a partition succeed, only one of them actually makes its output visible.

Thanks to the framework, your code in a batch processing job does not need to worry about implementing fault-tolerance mechanisms: the framework can guarantee that the final output of a job is the same as if no faults had occurred, even though in real‐ ity various tasks perhaps had to be retried. These reliable semantics are much stron‐ ger than what you usually have in online services that handle user requests and that write to databases as a side effect of processing a request.

The distinguishing feature of a batch processing job is that it reads some input data and produces some output data, without modifying the input—in other words, the output is derived from the input. Crucially, the input data is *bounded*: it has a known, fixed size (for example, it consists of a set of log files at some point in time, or a snap‐ shot of a database’s contents). Because it is bounded, a job knows when it has finished reading the entire input, and so a job eventually completes when it is done.

In the next chapter, we will turn to stream processing, in which the input is *unboun‐ ded*—that is, you still have a job, but its inputs are never-ending streams of data. In this case, a job is never complete, because at any time there may still be more work coming in. We shall see that stream and batch processing are similar in some respects, but the assumption of unbounded streams also changes a lot about how we build systems.



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