Initialize facet counting data structures lazily (#12408)

This change covers:
* Taxonomy faceting
  * FastTaxonomyFacetCounts
  * TaxonomyFacetIntAssociations
  * TaxonomyFacetFloatAssociations
* SSDV faceting
  * SortedSetDocValuesFacetCounts
  * ConcurrentSortedSetDocValuesFacetCounts
  * StringValueFacetCounts
* Range faceting:
  * LongRangeFacetCounts
  * DoubleRangeFacetCounts
* Long faceting:
  * LongValueFacetCounts

Left for a future iteration:
* RangeOnRange faceting
* FacetSet faceting

lucene/CHANGES.txt

@@ -161,6 +161,9 @@ Optimizations
 
 * GITHUB#12453: Faster bulk numeric reads from BufferedIndexInput (Armin Braun)
 
+* GITHUB#12408: Lazy initialization improvements for Facets implementations when there are segments with no hits
+  to count. (Greg Miller)
+
 Bug Fixes
 ---------------------
 

lucene/facet/src/java/org/apache/lucene/facet/LongValueFacetCounts.java

@@ -51,10 +51,13 @@ import org.apache.lucene.util.PriorityQueue;
 public class LongValueFacetCounts extends Facets {
 
   /** Used for all values that are < 1K. */
-  private final int[] counts = new int[1024];
+  private int[] counts;
 
   /** Used for all values that are >= 1K. */
-  private final LongIntHashMap hashCounts = new LongIntHashMap();
+  private LongIntHashMap hashCounts;
+
+  /** Whether-or-not counters have been initialized. */
+  private boolean initialized;
 
   /** Field being counted. */
   private final String field;
@@ -125,6 +128,7 @@ public class LongValueFacetCounts extends Facets {
   public LongValueFacetCounts(String field, LongValuesSource valueSource, IndexReader reader)
       throws IOException {
     this.field = field;
+    initializeCounters();
     if (valueSource != null) {
       countAll(reader, valueSource);
     } else {
@@ -141,6 +145,7 @@ public class LongValueFacetCounts extends Facets {
   public LongValueFacetCounts(String field, MultiLongValuesSource valuesSource, IndexReader reader)
       throws IOException {
     this.field = field;
+    initializeCounters();
     if (valuesSource != null) {
       LongValuesSource singleValued = MultiLongValuesSource.unwrapSingleton(valuesSource);
       if (singleValued != null) {
@@ -153,11 +158,25 @@ public class LongValueFacetCounts extends Facets {
     }
   }
 
+  private void initializeCounters() {
+    if (initialized) {
+      return;
+    }
+    assert counts == null && hashCounts == null;
+    initialized = true;
+    counts = new int[1024];
+    hashCounts = new LongIntHashMap();
+  }
+
   /** Counts from the provided valueSource. */
   private void count(LongValuesSource valueSource, List<MatchingDocs> matchingDocs)
       throws IOException {
 
     for (MatchingDocs hits : matchingDocs) {
+      if (hits.totalHits == 0) {
+        continue;
+      }
+      initializeCounters();
 
       LongValues fv = valueSource.getValues(hits.context, null);
 
@@ -183,6 +202,10 @@ public class LongValueFacetCounts extends Facets {
   private void count(MultiLongValuesSource valuesSource, List<MatchingDocs> matchingDocs)
       throws IOException {
     for (MatchingDocs hits : matchingDocs) {
+      if (hits.totalHits == 0) {
+        continue;
+      }
+      initializeCounters();
 
       MultiLongValues multiValues = valuesSource.getValues(hits.context);
 
@@ -213,6 +236,10 @@ public class LongValueFacetCounts extends Facets {
   /** Counts from the field's indexed doc values. */
   private void count(String field, List<MatchingDocs> matchingDocs) throws IOException {
     for (MatchingDocs hits : matchingDocs) {
+      if (hits.totalHits == 0) {
+        continue;
+      }
+      initializeCounters();
 
       SortedNumericDocValues multiValues = DocValues.getSortedNumeric(hits.context.reader(), field);
       NumericDocValues singleValues = DocValues.unwrapSingleton(multiValues);
@@ -350,6 +377,13 @@ public class LongValueFacetCounts extends Facets {
   @Override
   public FacetResult getAllChildren(String dim, String... path) throws IOException {
     validateDimAndPathForGetChildren(dim, path);
+
+    if (initialized == false) {
+      // nothing was counted (either no hits or no values for all hits):
+      assert totCount == 0;
+      return new FacetResult(field, new String[0], totCount, new LabelAndValue[0], 0);
+    }
+
     List<LabelAndValue> labelValues = new ArrayList<>();
     for (int i = 0; i < counts.length; i++) {
       if (counts[i] != 0) {
@@ -378,6 +412,12 @@ public class LongValueFacetCounts extends Facets {
     validateTopN(topN);
     validateDimAndPathForGetChildren(dim, path);
 
+    if (initialized == false) {
+      // nothing was counted (either no hits or no values for all hits):
+      assert totCount == 0;
+      return new FacetResult(field, new String[0], totCount, new LabelAndValue[0], 0);
+    }
+
     PriorityQueue<Entry> pq =
         new PriorityQueue<>(Math.min(topN, counts.length + hashCounts.size())) {
           @Override
@@ -440,6 +480,12 @@ public class LongValueFacetCounts extends Facets {
    * efficient to use {@link #getAllChildren(String, String...)}.
    */
   public FacetResult getAllChildrenSortByValue() {
+    if (initialized == false) {
+      // nothing was counted (either no hits or no values for all hits):
+      assert totCount == 0;
+      return new FacetResult(field, new String[0], totCount, new LabelAndValue[0], 0);
+    }
+
     List<LabelAndValue> labelValues = new ArrayList<>();
 
     // compact & sort hash table's arrays by value
@@ -533,6 +579,7 @@ public class LongValueFacetCounts extends Facets {
     StringBuilder b = new StringBuilder();
     b.append("LongValueFacetCounts totCount=");
     b.append(totCount);
+    if (initialized) {
       b.append(":\n");
       for (int i = 0; i < counts.length; i++) {
         if (counts[i] != 0) {
@@ -555,6 +602,7 @@ public class LongValueFacetCounts extends Facets {
           }
         }
       }
+    }
 
     return b.toString();
   }

lucene/facet/src/java/org/apache/lucene/facet/StringValueFacetCounts.java

@@ -69,8 +69,9 @@ public class StringValueFacetCounts extends Facets {
   private final OrdinalMap ordinalMap;
   private final SortedSetDocValues docValues;
 
-  private final int[] denseCounts;
+  private int[] denseCounts;
   private final IntIntHashMap sparseCounts;
+  private boolean initialized;
 
   private final int cardinality;
   private int totalDocCount;
@@ -101,7 +102,9 @@ public class StringValueFacetCounts extends Facets {
     if (facetsCollector != null) {
       if (cardinality < 1024) { // count densely for low cardinality
         sparseCounts = null;
-        denseCounts = new int[cardinality];
+        denseCounts = null;
+        initialized = false;
+        count(facetsCollector);
       } else {
         int totalHits = 0;
         int totalDocs = 0;
@@ -110,22 +113,31 @@ public class StringValueFacetCounts extends Facets {
           totalDocs += matchingDocs.context.reader().maxDoc();
         }
 
+        // No counting needed if there are no hits:
+        if (totalHits == 0) {
+          sparseCounts = null;
+          denseCounts = null;
+          initialized = true;
+        } else {
           // If our result set is < 10% of the index, we collect sparsely (use hash map). This
           // heuristic is borrowed from IntTaxonomyFacetCounts:
           if (totalHits < totalDocs / 10) {
             sparseCounts = new IntIntHashMap();
             denseCounts = null;
+            initialized = true;
           } else {
             sparseCounts = null;
             denseCounts = new int[cardinality];
+            initialized = true;
           }
-      }
-
           count(facetsCollector);
+        }
+      }
     } else {
       // Since we're counting all ordinals, count densely:
       sparseCounts = null;
       denseCounts = new int[cardinality];
+      initialized = true;
 
       countAll();
     }
@@ -294,6 +306,9 @@ public class StringValueFacetCounts extends Facets {
     if (matchingDocs.size() == 1) {
 
       FacetsCollector.MatchingDocs hits = matchingDocs.get(0);
+      if (hits.totalHits == 0) {
+        return;
+      }
 
       // Validate state before doing anything else:
       validateState(hits.context);
@@ -314,6 +329,10 @@ public class StringValueFacetCounts extends Facets {
         assert ordinalMap != null;
         assert docValues instanceof MultiDocValues.MultiSortedSetDocValues;
 
+        if (hits.totalHits == 0) {
+          continue;
+        }
+
         MultiDocValues.MultiSortedSetDocValues multiValues =
             (MultiDocValues.MultiSortedSetDocValues) docValues;
 
@@ -368,6 +387,13 @@ public class StringValueFacetCounts extends Facets {
       FacetsCollector.MatchingDocs hits,
       Bits liveDocs)
       throws IOException {
+    if (initialized == false) {
+      assert denseCounts == null && sparseCounts == null;
+      // If the counters weren't initialized, we can assume the cardinality is low enough that
+      // dense counting will be preferrable:
+      denseCounts = new int[cardinality];
+      initialized = true;
+    }
 
     // It's slightly more efficient to work against SortedDocValues if the field is actually
     // single-valued (see: LUCENE-5309)

lucene/facet/src/java/org/apache/lucene/facet/range/DoubleRangeFacetCounts.java

@@ -157,20 +157,25 @@ public class DoubleRangeFacetCounts extends RangeFacetCounts {
   private void count(DoubleValuesSource valueSource, List<MatchingDocs> matchingDocs)
       throws IOException {
 
-    LongRange[] longRanges = getLongRanges();
+    LongRangeCounter counter = null;
-
-    LongRangeCounter counter = LongRangeCounter.create(longRanges, counts);
-
     int missingCount = 0;
     for (MatchingDocs hits : matchingDocs) {
-      DoubleValues fv = valueSource.getValues(hits.context, null);
+      if (hits.totalHits == 0) {
-      totCount += hits.totalHits;
+        continue;
+      }
 
       final DocIdSetIterator it = createIterator(hits);
       if (it == null) {
         continue;
       }
 
+      if (counter == null) {
+        counter = setupCounter();
+      }
+
+      DoubleValues fv = valueSource.getValues(hits.context, null);
+      totCount += hits.totalHits;
+
       for (int doc = it.nextDoc(); doc != DocIdSetIterator.NO_MORE_DOCS; ) {
         // Skip missing docs:
         if (fv.advanceExact(doc)) {
@@ -183,27 +188,34 @@ public class DoubleRangeFacetCounts extends RangeFacetCounts {
       }
     }
 
+    if (counter != null) {
       missingCount += counter.finish();
       totCount -= missingCount;
     }
+  }
 
   /** Counts from the provided valueSource. */
   private void count(MultiDoubleValuesSource valueSource, List<MatchingDocs> matchingDocs)
       throws IOException {
 
-    LongRange[] longRanges = getLongRanges();
+    LongRangeCounter counter = null; // LongRangeCounter.create(longRanges, counts);
-
-    LongRangeCounter counter = LongRangeCounter.create(longRanges, counts);
-
     int missingCount = 0;
     for (MatchingDocs hits : matchingDocs) {
-      MultiDoubleValues multiValues = valueSource.getValues(hits.context);
+      if (hits.totalHits == 0) {
+        continue;
+      }
 
       final DocIdSetIterator it = createIterator(hits);
       if (it == null) {
         continue;
       }
 
+      if (counter == null) {
+        counter = setupCounter();
+      }
+
+      MultiDoubleValues multiValues = valueSource.getValues(hits.context);
+
       for (int doc = it.nextDoc(); doc != DocIdSetIterator.NO_MORE_DOCS; ) {
         // Skip missing docs:
         if (multiValues.advanceExact(doc)) {
@@ -232,9 +244,11 @@ public class DoubleRangeFacetCounts extends RangeFacetCounts {
       }
     }
 
+    if (counter != null) {
       missingCount += counter.finish();
       totCount -= missingCount;
     }
+  }
 
   /** Create long ranges from the double ranges. */
   @Override

lucene/facet/src/java/org/apache/lucene/facet/range/LongRangeFacetCounts.java

@@ -128,21 +128,27 @@ public class LongRangeFacetCounts extends RangeFacetCounts {
   private void count(LongValuesSource valueSource, List<MatchingDocs> matchingDocs)
       throws IOException {
 
-    LongRange[] ranges = getLongRanges();
+    LongRangeCounter counter = null;
-
-    LongRangeCounter counter = LongRangeCounter.create(ranges, counts);
 
     int missingCount = 0;
 
     for (MatchingDocs hits : matchingDocs) {
-      LongValues fv = valueSource.getValues(hits.context, null);
+      if (hits.totalHits == 0) {
-      totCount += hits.totalHits;
+        continue;
+      }
 
       final DocIdSetIterator it = createIterator(hits);
       if (it == null) {
         continue;
       }
 
+      if (counter == null) {
+        counter = setupCounter();
+      }
+
+      LongValues fv = valueSource.getValues(hits.context, null);
+      totCount += hits.totalHits;
+
       for (int doc = it.nextDoc(); doc != DocIdSetIterator.NO_MORE_DOCS; ) {
         // Skip missing docs:
         if (fv.advanceExact(doc)) {
@@ -155,26 +161,34 @@ public class LongRangeFacetCounts extends RangeFacetCounts {
       }
     }
 
+    if (counter != null) {
       missingCount += counter.finish();
       totCount -= missingCount;
     }
+  }
 
   /** Counts from the provided valueSource. */
   private void count(MultiLongValuesSource valueSource, List<MatchingDocs> matchingDocs)
       throws IOException {
 
-    LongRange[] ranges = getLongRanges();
+    LongRangeCounter counter = null;
-
-    LongRangeCounter counter = LongRangeCounter.create(ranges, counts);
 
     for (MatchingDocs hits : matchingDocs) {
-      MultiLongValues multiValues = valueSource.getValues(hits.context);
+      if (hits.totalHits == 0) {
+        continue;
+      }
 
       final DocIdSetIterator it = createIterator(hits);
       if (it == null) {
         continue;
       }
 
+      if (counter == null) {
+        counter = setupCounter();
+      }
+
+      MultiLongValues multiValues = valueSource.getValues(hits.context);
+
       for (int doc = it.nextDoc(); doc != DocIdSetIterator.NO_MORE_DOCS; ) {
         // Skip missing docs:
         if (multiValues.advanceExact(doc)) {
@@ -203,9 +217,11 @@ public class LongRangeFacetCounts extends RangeFacetCounts {
       }
     }
 
+    if (counter != null) {
       int missingCount = counter.finish();
       totCount -= missingCount;
     }
+  }
 
   @Override
   protected LongRange[] getLongRanges() {

lucene/facet/src/java/org/apache/lucene/facet/range/RangeFacetCounts.java

@@ -39,8 +39,8 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
   /** Ranges passed to constructor. */
   protected final Range[] ranges;
 
-  /** Counts, initialized in by subclass. */
+  /** Counts. */
-  protected final int[] counts;
+  protected int[] counts;
 
   /** Our field name. */
   protected final String field;
@@ -53,7 +53,6 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
     super(fastMatchQuery);
     this.field = field;
     this.ranges = ranges;
-    counts = new int[ranges.length];
   }
 
   protected abstract LongRange[] getLongRanges();
@@ -62,6 +61,12 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
     return l;
   }
 
+  protected LongRangeCounter setupCounter() {
+    assert counts == null;
+    counts = new int[ranges.length];
+    return LongRangeCounter.create(getLongRanges(), counts);
+  }
+
   /** Counts from the provided field. */
   protected void count(String field, List<FacetsCollector.MatchingDocs> matchingDocs)
       throws IOException {
@@ -69,15 +74,20 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
     // load doc values for all segments up front and keep track of whether-or-not we found any that
     // were actually multi-valued. this allows us to optimize the case where all segments contain
     // single-values.
-    SortedNumericDocValues[] multiValuedDocVals = new SortedNumericDocValues[matchingDocs.size()];
+    SortedNumericDocValues[] multiValuedDocVals = null;
     NumericDocValues[] singleValuedDocVals = null;
     boolean foundMultiValued = false;
 
     for (int i = 0; i < matchingDocs.size(); i++) {
-
       FacetsCollector.MatchingDocs hits = matchingDocs.get(i);
+      if (hits.totalHits == 0) {
+        continue;
+      }
 
       SortedNumericDocValues multiValues = DocValues.getSortedNumeric(hits.context.reader(), field);
+      if (multiValuedDocVals == null) {
+        multiValuedDocVals = new SortedNumericDocValues[matchingDocs.size()];
+      }
       multiValuedDocVals[i] = multiValues;
 
       // only bother trying to unwrap a singleton if we haven't yet seen any true multi-valued cases
@@ -94,6 +104,11 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
       }
     }
 
+    if (multiValuedDocVals == null) {
+      // no hits or no doc values in all segments. nothing to count:
+      return;
+    }
+
     // we only need to keep around one or the other at this point
     if (foundMultiValued) {
       singleValuedDocVals = null;
@@ -101,7 +116,7 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
       multiValuedDocVals = null;
     }
 
-    LongRangeCounter counter = LongRangeCounter.create(getLongRanges(), counts);
+    LongRangeCounter counter = setupCounter();
 
     int missingCount = 0;
 
@@ -183,10 +198,16 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
   @Override
   public FacetResult getAllChildren(String dim, String... path) throws IOException {
     validateDimAndPathForGetChildren(dim, path);
-    LabelAndValue[] labelValues = new LabelAndValue[counts.length];
+    LabelAndValue[] labelValues = new LabelAndValue[ranges.length];
-    for (int i = 0; i < counts.length; i++) {
+    if (counts == null) {
+      for (int i = 0; i < ranges.length; i++) {
+        labelValues[i] = new LabelAndValue(ranges[i].label, 0);
+      }
+    } else {
+      for (int i = 0; i < ranges.length; i++) {
         labelValues[i] = new LabelAndValue(ranges[i].label, counts[i]);
       }
+    }
     return new FacetResult(dim, path, totCount, labelValues, labelValues.length);
   }
 
@@ -195,6 +216,11 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
     validateTopN(topN);
     validateDimAndPathForGetChildren(dim, path);
 
+    if (counts == null) {
+      assert totCount == 0;
+      return new FacetResult(dim, path, totCount, new LabelAndValue[0], 0);
+    }
+
     PriorityQueue<Entry> pq =
         new PriorityQueue<>(Math.min(topN, counts.length)) {
           @Override
@@ -251,7 +277,7 @@ abstract class RangeFacetCounts extends FacetCountsWithFilterQuery {
       b.append("  ");
       b.append(ranges[i].label);
       b.append(" -> count=");
-      b.append(counts[i]);
+      b.append(counts != null ? counts[i] : 0);
       b.append('\n');
     }
     return b.toString();

lucene/facet/src/java/org/apache/lucene/facet/sortedset/AbstractSortedSetDocValueFacetCounts.java

@@ -19,6 +19,7 @@ package org.apache.lucene.facet.sortedset;
 import java.io.IOException;
 import java.util.ArrayList;
 import java.util.Arrays;
+import java.util.Collections;
 import java.util.Comparator;
 import java.util.HashMap;
 import java.util.List;
@@ -68,6 +69,9 @@ abstract class AbstractSortedSetDocValueFacetCounts extends Facets {
   @Override
   public FacetResult getTopChildren(int topN, String dim, String... path) throws IOException {
     validateTopN(topN);
+    if (hasCounts() == false) {
+      return null;
+    }
     TopChildrenForPath topChildrenForPath = getTopChildrenForPath(topN, dim, path);
     return createFacetResult(topChildrenForPath, dim, path);
   }
@@ -80,6 +84,10 @@ abstract class AbstractSortedSetDocValueFacetCounts extends Facets {
       return null;
     }
 
+    if (hasCounts() == false) {
+      return null;
+    }
+
     // Compute the actual results:
     int pathCount = 0;
     List<LabelAndValue> labelValues = new ArrayList<>();
@@ -111,12 +119,17 @@ abstract class AbstractSortedSetDocValueFacetCounts extends Facets {
       return -1;
     }
 
-    return getCount(ord);
+    return hasCounts() == false ? 0 : getCount(ord);
   }
 
   @Override
   public List<FacetResult> getAllDims(int topN) throws IOException {
     validateTopN(topN);
+
+    if (hasCounts() == false) {
+      return Collections.emptyList();
+    }
+
     List<FacetResult> results = new ArrayList<>();
     for (String dim : state.getDims()) {
       TopChildrenForPath topChildrenForPath = getTopChildrenForPath(topN, dim);
@@ -136,6 +149,10 @@ abstract class AbstractSortedSetDocValueFacetCounts extends Facets {
     validateTopN(topNDims);
     validateTopN(topNChildren);
 
+    if (hasCounts() == false) {
+      return Collections.emptyList();
+    }
+
     // Creates priority queue to store top dimensions and sort by their aggregated values/hits and
     // string values.
     PriorityQueue<DimValue> pq =
@@ -230,6 +247,9 @@ abstract class AbstractSortedSetDocValueFacetCounts extends Facets {
     return Arrays.asList(results);
   }
 
+  /** Were any counts actually computed? (They may not be if there are no hits, etc.) */
+  abstract boolean hasCounts();
+
   /** Retrieve the count for a specified ordinal. */
   abstract int getCount(int ord);
 

lucene/facet/src/java/org/apache/lucene/facet/sortedset/ConcurrentSortedSetDocValuesFacetCounts.java

@@ -77,6 +77,13 @@ public class ConcurrentSortedSetDocValuesFacetCounts extends AbstractSortedSetDo
     }
   }
 
+  @Override
+  boolean hasCounts() {
+    // TODO: safe to always assume there are counts, but maybe it would be more optimal to
+    // actually track if we see a count?
+    return true;
+  }
+
   @Override
   int getCount(int ord) {
     return counts.get(ord);
@@ -99,6 +106,11 @@ public class ConcurrentSortedSetDocValuesFacetCounts extends AbstractSortedSetDo
 
     @Override
     public Void call() throws IOException {
+      // If we're counting collected hits but there were none, short-circuit:
+      if (hits != null && hits.totalHits == 0) {
+        return null;
+      }
+
       SortedSetDocValues multiValues = DocValues.getSortedSet(leafReader, field);
       if (multiValues == null) {
         // nothing to count here

lucene/facet/src/java/org/apache/lucene/facet/sortedset/SortedSetDocValuesFacetCounts.java

@@ -56,7 +56,8 @@ import org.apache.lucene.util.LongValues;
  * @lucene.experimental
  */
 public class SortedSetDocValuesFacetCounts extends AbstractSortedSetDocValueFacetCounts {
-  final int[] counts;
+  private final SortedSetDocValuesReaderState state;
+  int[] counts;
 
   /** Returns all facet counts, same result as searching on {@link MatchAllDocsQuery} but faster. */
   public SortedSetDocValuesFacetCounts(SortedSetDocValuesReaderState state) throws IOException {
@@ -67,7 +68,7 @@ public class SortedSetDocValuesFacetCounts extends AbstractSortedSetDocValueFace
   public SortedSetDocValuesFacetCounts(SortedSetDocValuesReaderState state, FacetsCollector hits)
       throws IOException {
     super(state);
-    this.counts = new int[state.getSize()];
+    this.state = state;
     if (hits == null) {
       // browse only
       countAll();
@@ -76,6 +77,17 @@ public class SortedSetDocValuesFacetCounts extends AbstractSortedSetDocValueFace
     }
   }
 
+  private void initializeCounts() {
+    if (counts == null) {
+      counts = new int[state.getSize()];
+    }
+  }
+
+  @Override
+  boolean hasCounts() {
+    return counts != null;
+  }
+
   @Override
   int getCount(int ord) {
     return counts[ord];
@@ -90,6 +102,9 @@ public class SortedSetDocValuesFacetCounts extends AbstractSortedSetDocValueFace
       return;
     }
 
+    // Initialize counts:
+    initializeCounts();
+
     // It's slightly more efficient to work against SortedDocValues if the field is actually
     // single-valued (see: LUCENE-5309)
     SortedDocValues singleValues = DocValues.unwrapSingleton(multiValues);
@@ -159,12 +174,19 @@ public class SortedSetDocValuesFacetCounts extends AbstractSortedSetDocValueFace
   private void countOneSegment(
       OrdinalMap ordinalMap, LeafReader reader, int segOrd, MatchingDocs hits, Bits liveDocs)
       throws IOException {
+    if (hits != null && hits.totalHits == 0) {
+      return;
+    }
+
     SortedSetDocValues multiValues = DocValues.getSortedSet(reader, field);
     if (multiValues == null) {
       // nothing to count
       return;
     }
 
+    // Initialize counts:
+    initializeCounts();
+
     // It's slightly more efficient to work against SortedDocValues if the field is actually
     // single-valued (see: LUCENE-5309)
     SortedDocValues singleValues = DocValues.unwrapSingleton(multiValues);

lucene/facet/src/java/org/apache/lucene/facet/taxonomy/FastTaxonomyFacetCounts.java

@@ -71,11 +71,15 @@ public class FastTaxonomyFacetCounts extends IntTaxonomyFacets {
 
   private void count(List<MatchingDocs> matchingDocs) throws IOException {
     for (MatchingDocs hits : matchingDocs) {
+      if (hits.totalHits == 0) {
+        continue;
+      }
       SortedNumericDocValues multiValued =
           hits.context.reader().getSortedNumericDocValues(indexFieldName);
       if (multiValued == null) {
         continue;
       }
+      initializeValueCounters();
 
       NumericDocValues singleValued = DocValues.unwrapSingleton(multiValued);
 
@@ -114,13 +118,14 @@ public class FastTaxonomyFacetCounts extends IntTaxonomyFacets {
   }
 
   private void countAll(IndexReader reader) throws IOException {
-    assert values != null;
     for (LeafReaderContext context : reader.leaves()) {
       SortedNumericDocValues multiValued =
           context.reader().getSortedNumericDocValues(indexFieldName);
       if (multiValued == null) {
         continue;
       }
+      initializeValueCounters();
+      assert values != null;
 
       Bits liveDocs = context.reader().getLiveDocs();
 

lucene/facet/src/java/org/apache/lucene/facet/taxonomy/FloatTaxonomyFacets.java

@@ -20,10 +20,12 @@ import com.carrotsearch.hppc.FloatArrayList;
 import com.carrotsearch.hppc.IntArrayList;
 import java.io.IOException;
 import java.util.Arrays;
+import java.util.Collections;
 import java.util.HashMap;
 import java.util.List;
 import java.util.Map;
 import org.apache.lucene.facet.FacetResult;
+import org.apache.lucene.facet.FacetsCollector;
 import org.apache.lucene.facet.FacetsConfig;
 import org.apache.lucene.facet.FacetsConfig.DimConfig;
 import org.apache.lucene.facet.LabelAndValue;
@@ -39,22 +41,37 @@ abstract class FloatTaxonomyFacets extends TaxonomyFacets {
   final AssociationAggregationFunction aggregationFunction;
 
   /** Per-ordinal value. */
-  final float[] values;
+  float[] values;
 
   /** Sole constructor. */
   FloatTaxonomyFacets(
       String indexFieldName,
       TaxonomyReader taxoReader,
       AssociationAggregationFunction aggregationFunction,
-      FacetsConfig config)
+      FacetsConfig config,
+      FacetsCollector fc)
       throws IOException {
-    super(indexFieldName, taxoReader, config);
+    super(indexFieldName, taxoReader, config, fc);
     this.aggregationFunction = aggregationFunction;
+  }
+
+  @Override
+  boolean hasValues() {
+    return values != null;
+  }
+
+  void initializeValueCounters() {
+    if (values == null) {
       values = new float[taxoReader.getSize()];
     }
+  }
 
   /** Rolls up any single-valued hierarchical dimensions. */
   void rollup() throws IOException {
+    if (values == null) {
+      return;
+    }
+
     // Rollup any necessary dims:
     int[] children = getChildren();
     for (Map.Entry<String, DimConfig> ent : config.getDimConfigs().entrySet()) {
@@ -100,7 +117,7 @@ abstract class FloatTaxonomyFacets extends TaxonomyFacets {
     if (ord < 0) {
       return -1;
     }
-    return values[ord];
+    return values == null ? 0 : values[ord];
   }
 
   @Override
@@ -112,6 +129,10 @@ abstract class FloatTaxonomyFacets extends TaxonomyFacets {
       return null;
     }
 
+    if (values == null) {
+      return null;
+    }
+
     int[] children = getChildren();
     int[] siblings = getSiblings();
 
@@ -166,6 +187,10 @@ abstract class FloatTaxonomyFacets extends TaxonomyFacets {
       return null;
     }
 
+    if (values == null) {
+      return null;
+    }
+
     TopChildrenForPath topChildrenForPath = getTopChildrenForPath(dimConfig, dimOrd, topN);
     return createFacetResult(topChildrenForPath, dim, path);
   }
@@ -264,6 +289,10 @@ abstract class FloatTaxonomyFacets extends TaxonomyFacets {
     validateTopN(topNDims);
     validateTopN(topNChildren);
 
+    if (values == null) {
+      return Collections.emptyList();
+    }
+
     // get existing children and siblings ordinal array from TaxonomyFacets
     int[] children = getChildren();
     int[] siblings = getSiblings();

lucene/facet/src/java/org/apache/lucene/facet/taxonomy/IntTaxonomyFacets.java

@@ -21,6 +21,7 @@ import com.carrotsearch.hppc.IntIntHashMap;
 import com.carrotsearch.hppc.cursors.IntIntCursor;
 import java.io.IOException;
 import java.util.Arrays;
+import java.util.Collections;
 import java.util.HashMap;
 import java.util.List;
 import java.util.Map;
@@ -40,10 +41,13 @@ abstract class IntTaxonomyFacets extends TaxonomyFacets {
   final AssociationAggregationFunction aggregationFunction;
 
   /** Dense ordinal values. */
-  final int[] values;
+  int[] values;
 
   /** Sparse ordinal values. */
-  final IntIntHashMap sparseValues;
+  IntIntHashMap sparseValues;
+
+  /** Have value counters been initialized. */
+  boolean initialized;
 
   /** Sole constructor. */
   IntTaxonomyFacets(
@@ -53,14 +57,24 @@ abstract class IntTaxonomyFacets extends TaxonomyFacets {
       AssociationAggregationFunction aggregationFunction,
       FacetsCollector fc)
       throws IOException {
-    super(indexFieldName, taxoReader, config);
+    super(indexFieldName, taxoReader, config, fc);
     this.aggregationFunction = aggregationFunction;
+  }
 
+  @Override
+  boolean hasValues() {
+    return initialized;
+  }
+
+  void initializeValueCounters() {
+    if (initialized) {
+      return;
+    }
+    initialized = true;
+    assert sparseValues == null && values == null;
     if (useHashTable(fc, taxoReader)) {
       sparseValues = new IntIntHashMap();
-      values = null;
     } else {
-      sparseValues = null;
       values = new int[taxoReader.getSize()];
     }
   }
@@ -85,6 +99,10 @@ abstract class IntTaxonomyFacets extends TaxonomyFacets {
 
   /** Rolls up any single-valued hierarchical dimensions. */
   void rollup() throws IOException {
+    if (initialized == false) {
+      return;
+    }
+
     // Rollup any necessary dims:
     int[] children = null;
     for (Map.Entry<String, DimConfig> ent : config.getDimConfigs().entrySet()) {
@@ -161,7 +179,7 @@ abstract class IntTaxonomyFacets extends TaxonomyFacets {
     if (ord < 0) {
       return -1;
     }
-    return getValue(ord);
+    return initialized ? getValue(ord) : 0;
   }
 
   @Override
@@ -173,6 +191,10 @@ abstract class IntTaxonomyFacets extends TaxonomyFacets {
       return null;
     }
 
+    if (initialized == false) {
+      return null;
+    }
+
     int aggregatedValue = 0;
 
     IntArrayList ordinals = new IntArrayList();
@@ -239,6 +261,10 @@ abstract class IntTaxonomyFacets extends TaxonomyFacets {
       return null;
     }
 
+    if (initialized == false) {
+      return null;
+    }
+
     TopChildrenForPath topChildrenForPath = getTopChildrenForPath(dimConfig, dimOrd, topN);
     return createFacetResult(topChildrenForPath, dim, path);
   }
@@ -324,6 +350,10 @@ abstract class IntTaxonomyFacets extends TaxonomyFacets {
       throw new IllegalArgumentException("topN must be > 0");
     }
 
+    if (initialized == false) {
+      return Collections.emptyList();
+    }
+
     // get children and siblings ordinal array from TaxonomyFacets
     int[] children = getChildren();
     int[] siblings = getSiblings();

lucene/facet/src/java/org/apache/lucene/facet/taxonomy/TaxonomyFacetFloatAssociations.java

@@ -88,7 +88,7 @@ public class TaxonomyFacetFloatAssociations extends FloatTaxonomyFacets {
       FacetsCollector fc,
       AssociationAggregationFunction aggregationFunction)
       throws IOException {
-    super(indexFieldName, taxoReader, aggregationFunction, config);
+    super(indexFieldName, taxoReader, aggregationFunction, config, fc);
     aggregateValues(aggregationFunction, fc.getMatchingDocs());
   }
 
@@ -104,7 +104,7 @@ public class TaxonomyFacetFloatAssociations extends FloatTaxonomyFacets {
       AssociationAggregationFunction aggregationFunction,
       DoubleValuesSource valuesSource)
       throws IOException {
-    super(indexFieldName, taxoReader, aggregationFunction, config);
+    super(indexFieldName, taxoReader, aggregationFunction, config, fc);
     aggregateValues(aggregationFunction, fc.getMatchingDocs(), fc.getKeepScores(), valuesSource);
   }
 
@@ -134,6 +134,11 @@ public class TaxonomyFacetFloatAssociations extends FloatTaxonomyFacets {
       DoubleValuesSource valueSource)
       throws IOException {
     for (MatchingDocs hits : matchingDocs) {
+      if (hits.totalHits == 0) {
+        continue;
+      }
+      initializeValueCounters();
+
       SortedNumericDocValues ordinalValues =
           DocValues.getSortedNumeric(hits.context.reader(), indexFieldName);
       DoubleValues scores = keepScores ? scores(hits) : null;
@@ -164,6 +169,11 @@ public class TaxonomyFacetFloatAssociations extends FloatTaxonomyFacets {
       throws IOException {
 
     for (MatchingDocs hits : matchingDocs) {
+      if (hits.totalHits == 0) {
+        continue;
+      }
+      initializeValueCounters();
+
       BinaryDocValues dv = DocValues.getBinary(hits.context.reader(), indexFieldName);
       DocIdSetIterator it =
           ConjunctionUtils.intersectIterators(Arrays.asList(hits.bits.iterator(), dv));

lucene/facet/src/java/org/apache/lucene/facet/taxonomy/TaxonomyFacetIntAssociations.java

@@ -63,6 +63,11 @@ public class TaxonomyFacetIntAssociations extends IntTaxonomyFacets {
       AssociationAggregationFunction aggregationFunction, List<MatchingDocs> matchingDocs)
       throws IOException {
     for (MatchingDocs hits : matchingDocs) {
+      if (hits.totalHits == 0) {
+        continue;
+      }
+      initializeValueCounters();
+
       BinaryDocValues dv = DocValues.getBinary(hits.context.reader(), indexFieldName);
       DocIdSetIterator it = ConjunctionUtils.intersectIterators(List.of(hits.bits.iterator(), dv));
 

lucene/facet/src/java/org/apache/lucene/facet/taxonomy/TaxonomyFacets.java

@@ -19,11 +19,13 @@ package org.apache.lucene.facet.taxonomy;
 
 import java.io.IOException;
 import java.util.ArrayList;
+import java.util.Collections;
 import java.util.Comparator;
 import java.util.List;
 import java.util.Locale;
 import org.apache.lucene.facet.FacetResult;
 import org.apache.lucene.facet.Facets;
+import org.apache.lucene.facet.FacetsCollector;
 import org.apache.lucene.facet.FacetsConfig;
 import org.apache.lucene.facet.FacetsConfig.DimConfig;
 
@@ -53,6 +55,9 @@ abstract class TaxonomyFacets extends Facets {
   /** {@code FacetsConfig} provided to the constructor. */
   final FacetsConfig config;
 
+  /** {@code FacetsCollector} provided to the constructor. */
+  final FacetsCollector fc;
+
   /** Maps parent ordinal to its child, or -1 if the parent is childless. */
   private int[] children;
 
@@ -63,11 +68,13 @@ abstract class TaxonomyFacets extends Facets {
   final int[] parents;
 
   /** Sole constructor. */
-  TaxonomyFacets(String indexFieldName, TaxonomyReader taxoReader, FacetsConfig config)
+  TaxonomyFacets(
+      String indexFieldName, TaxonomyReader taxoReader, FacetsConfig config, FacetsCollector fc)
       throws IOException {
     this.indexFieldName = indexFieldName;
     this.taxoReader = taxoReader;
     this.config = config;
+    this.fc = fc;
     parents = taxoReader.getParallelTaxonomyArrays().parents();
   }
 
@@ -138,6 +145,11 @@ abstract class TaxonomyFacets extends Facets {
   @Override
   public List<FacetResult> getAllDims(int topN) throws IOException {
     validateTopN(topN);
+
+    if (hasValues() == false) {
+      return Collections.emptyList();
+    }
+
     int[] children = getChildren();
     int[] siblings = getSiblings();
     int ord = children[TaxonomyReader.ROOT_ORDINAL];
@@ -158,4 +170,7 @@ abstract class TaxonomyFacets extends Facets {
     results.sort(BY_VALUE_THEN_DIM);
     return results;
   }
+
+  /** Were any values actually aggregated during counting? */
+  abstract boolean hasValues();
 }