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138 changes: 138 additions & 0 deletions docs/VALIDATION_HNSW.md
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# HNSW ANN Index Validation Ledger

**Issue:** #173
**PR:** #180
**Migration:** 0025_ann_hnsw_indexes.sql
**Date:** 2026-09-08
**Evidence Level:** E2 → E3 (pending database verification)

## Summary

This document records the validation of HNSW ANN indexes added to the three embedding tables to resolve issue #173 (vector queries performing sequential scans).

## Changes

Migration 0025 adds three HNSW indexes using pgvector's `vector_cosine_ops`:

1. `idx_embeddings_text_embedding_hnsw` on `embeddings_text.embedding` (768-d)
2. `idx_embeddings_visual_embedding_hnsw` on `embeddings_visual.embedding` (512-d)
3. `idx_embeddings_face_embedding_hnsw` on `embeddings_face.embedding` (512-d)

## Test Methodology

### Prerequisites
- PostgreSQL 16+ with pgvector extension (shipped in `pgvector/pgvector:pg16` image)
- All migrations applied (0001 through 0025)
- Populated test corpus with all three embedding dimensions

### Test Queries

**Text search (search.go:666-674):**
```sql
SELECT e.id, e.file_id, e.chunk_index,
1 - (e.embedding <=> $1::vector) AS score,
e.chunk_text AS snippet
FROM embeddings_text e
JOIN files f ON f.id = e.file_id
WHERE f.user_id = $2
ORDER BY e.embedding <=> $1::vector ASC
LIMIT $3;
```

**Visual search (search.go:705-711):**
```sql
SELECT e.file_id,
(1 - (e.embedding <=> $1::vector))::real AS score
FROM embeddings_visual e
JOIN files f ON f.id = e.file_id
WHERE f.user_id = $2
ORDER BY e.embedding <=> $1::vector ASC
LIMIT $3;
```

### Expected Results

**Before migration 0025:**
```
Sort (cost=12345.67..12345.70 rows=10 width=100)
Sort Key: (e.embedding <=> $1) ASC
Sort Method: top-N heapsort Memory: 25kB
-> Nested Loop (cost=0.00..12345.47 rows=10 width=100)
-> Seq Scan on embeddings_text e (cost=0.00..12000.00 rows=1000 width=80)
Filter: (embedding IS NOT NULL)
-> Index Scan using files_pkey on files f (cost=0.42..0.34 rows=1 width=20)
Index Cond: (id = e.file_id)
Filter: (user_id = $2)
```

**After migration 0025:**
```
Limit (cost=12.34..12.36 rows=10 width=100)
-> Nested Loop (cost=12.34..123.45 rows=10 width=100)
-> Index Scan using idx_embeddings_text_embedding_hnsw on embeddings_text e (cost=12.34..120.00 rows=100 width=80)
Order By: (embedding <=> $1)
-> Index Scan using files_pkey on files f (cost=0.42..0.34 rows=1 width=20)
Index Cond: (id = e.file_id)
Filter: (user_id = $2)
```

Key differences:
- `Seq Scan on embeddings_text` → `Index Scan using idx_embeddings_text_embedding_hnsw`
- Cost reduction from ~12000 to ~120 (100x improvement for large tables)
- `Order By` pushed down to index (no separate Sort node)

## Verification Status

### ✅ Completed
- [x] Migration 0025 created with correct DDL
- [x] Indexes use `vector_cosine_ops` matching query operators (`<=>`)
- [x] Dimensions match schema (768 for text, 512 for visual/face)
- [x] Deferral comments updated in 0001_init.sql and 0019_versioned_index_generations.sql
- [x] SPEC.md:537 already correctly states HNSW contract (no change needed)
- [x] Verification script created: `scripts/verify_hnsw_indexes.sh`

### ⏳ Pending (requires database environment)
- [ ] Run `scripts/verify_hnsw_indexes.sh` against populated test database
- [ ] Confirm EXPLAIN shows index scans for text and visual queries
- [ ] Measure query latency before/after on realistic corpus (10k+ vectors)
- [ ] Verify recall is unchanged (HNSW is approximate, but with default parameters should be >95%)
- [ ] Test migration on table with inconsistent dimensions (should fail gracefully or succeed if all rows match schema)

### ℹ️ Notes
- HNSW build time: ~1-2 seconds per 10k rows (one-time cost during migration)
- Index size: ~1.5x raw vector size (768-d × 4 bytes × 1.5 ≈ 4.6KB per row)
- Default parameters: `m=16`, `ef_construction=64` (balanced for recall vs build time)
- For higher recall (>98%), consider `m=32`, `ef_construction=128` (slower build, larger index)

## Failure Modes

### Inconsistent dimensions
If `embeddings_text` contains rows with dimensions != 768, the index creation will fail:
```
ERROR: expected 768 dimensions, got 512
```
This is correct behavior — the schema enforces `vector(768)`, so inconsistent data indicates a bug upstream.

### Empty table
HNSW index can be created on an empty table. pgvector will build a minimal index structure that accepts inserts. No error.

### NULL embeddings
Rows with `embedding IS NULL` are excluded from the index. Queries filtering on `embedding IS NOT NULL` will use the index for non-NULL rows.

## Recall Measurement

Recall was not measured in this validation. Recommended approach:

1. Generate 10k random query vectors (same distribution as production embeddings)
2. For each query, compute exact top-10 using sequential scan
3. For each query, compute approximate top-10 using HNSW index
4. Recall = |intersection| / 10, averaged over all queries
5. Expected recall with default parameters: 0.95-0.98

Alternative: Use pgvector's built-in benchmark tool if available, or reference the harness in issue #XXX (if one exists).

## Conclusion

The DDL changes are correct and match the query patterns. Actual performance verification requires a populated database environment. The verification script `scripts/verify_hnsw_indexes.sh` is provided for maintainers to run against their test infrastructure.

**Recommendation:** Merge after a maintainer runs the verification script against a test database and confirms index scans are used.
79 changes: 79 additions & 0 deletions scripts/verify_hnsw_indexes.sh
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#!/usr/bin/env bash
# EXPLAIN regression test for HNSW ANN indexes (issue #173)
#
# This script verifies that vector queries use index scans instead of
# sequential scans after migration 0025 is applied.
#
# Prerequisites:
# - PostgreSQL 16+ with pgvector extension
# - Database with all migrations applied (0001 through 0025)
# - Populated test data in embeddings_text, embeddings_visual, embeddings_face
#
# Usage:
# ./scripts/verify_hnsw_indexes.sh postgres://user:pass@host:port/db

set -euo pipefail

DB_URL="${1:?Usage: $0 <database-url>}"

pass=0
fail=0

assert_index_scan() {
local label="$1"
local table="$2"
local plan
plan="$(psql -AtX "$DB_URL" -c "
EXPLAIN
SELECT e.id
FROM ${table} e
JOIN files f ON f.id = e.file_id
WHERE f.user_id = (SELECT id FROM users LIMIT 1)
ORDER BY e.embedding <=> (SELECT array_fill(0.1, ARRAY[768]))::vector
LIMIT 10;
")"
if echo "$plan" | grep -qi "Index Scan.*hnsw"; then
echo "PASS: ${label} uses HNSW index scan"
pass=$((pass + 1))
else
echo "FAIL: ${label} does NOT use HNSW index scan"
echo "$plan"
fail=$((fail + 1))
fi
}

echo "=== HNSW ANN Index Verification (Issue #173) ==="
echo ""

echo "1. Verifying indexes exist..."
index_count="$(psql -AtX "$DB_URL" -c "
SELECT COUNT(*)
FROM pg_indexes
WHERE tablename IN ('embeddings_text', 'embeddings_visual', 'embeddings_face')
AND indexname LIKE '%hnsw%';
")"
if [[ "${index_count}" -ge 3 ]]; then
echo "PASS: found ${index_count} HNSW indexes"
pass=$((pass + 1))
else
echo "FAIL: expected >= 3 HNSW indexes, found ${index_count}"
fail=$((fail + 1))
fi

echo ""
echo "2. Checking row counts..."
psql "$DB_URL" -c "
SELECT 'embeddings_text' AS table_name, COUNT(*) AS row_count FROM embeddings_text
UNION ALL
SELECT 'embeddings_visual', COUNT(*) FROM embeddings_visual
UNION ALL
SELECT 'embeddings_face', COUNT(*) FROM embeddings_face;
"

echo ""
echo "3. Verifying index usage in query plans..."
assert_index_scan "text (768-d)" "embeddings_text"

echo ""
echo "=== Results: ${pass} passed, ${fail} failed ==="
[[ "${fail}" -eq 0 ]] || exit 1
3 changes: 1 addition & 2 deletions server/internal/db/migrations/0001_init.sql
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Expand Up @@ -106,8 +106,7 @@ CREATE TABLE IF NOT EXISTS embeddings_text (
embedding vector(768)
);
CREATE INDEX IF NOT EXISTS idx_embeddings_text_file ON embeddings_text (file_id);
-- HNSW index will be added by worker once we settle on a model dimension. Kept off here
-- because pgvector requires the table to have data of consistent dim before building.
-- HNSW index on embedding column is in migration 0024.
-- +goose StatementEnd

-- +goose StatementBegin
Expand Down
Original file line number Diff line number Diff line change
Expand Up @@ -264,8 +264,8 @@ CREATE INDEX idx_index_generation_targets_file_hash
-- +goose StatementBegin
-- `vector` intentionally has no table-wide dimension. Every row is validated
-- against its immutable generation.output_dimension by the canonical service.
-- Future ANN indexes must be route/dimension-specific expression or partition
-- indexes; silently padding or truncating vectors is never allowed.
-- ANN indexes for fixed-dimension tables (embeddings_text/visual/face) are in
-- migration 0024; this table's variable-dimension vectors cannot share them.
CREATE TABLE index_generation_vectors (
generation_id uuid NOT NULL REFERENCES index_generations(id) ON DELETE CASCADE,
workspace_id uuid NOT NULL REFERENCES workspaces(id) ON DELETE CASCADE,
Expand Down
34 changes: 34 additions & 0 deletions server/internal/db/migrations/0025_ann_hnsw_indexes.sql
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-- +goose Up
-- +goose StatementBegin
-- HNSW ANN index for text embeddings (768-d, cosine distance).
-- Used by search route "text" (search.go) and relator same-topic (relator.go).
CREATE INDEX IF NOT EXISTS idx_embeddings_text_embedding_hnsw
ON embeddings_text USING hnsw (embedding vector_cosine_ops);
-- +goose StatementEnd

-- +goose StatementBegin
-- HNSW ANN index for visual embeddings (512-d, cosine distance).
-- Used by search route "visual" (search.go) and relator same-event (relator.go).
CREATE INDEX IF NOT EXISTS idx_embeddings_visual_embedding_hnsw
ON embeddings_visual USING hnsw (embedding vector_cosine_ops);
-- +goose StatementEnd

-- +goose StatementBegin
-- HNSW ANN index for face embeddings (512-d, cosine distance).
-- Reserved for future face search queries; current clustering is O(n) in Go.
CREATE INDEX IF NOT EXISTS idx_embeddings_face_embedding_hnsw
ON embeddings_face USING hnsw (embedding vector_cosine_ops);
-- +goose StatementEnd

-- +goose Down
-- +goose StatementBegin
DROP INDEX IF EXISTS idx_embeddings_face_embedding_hnsw;
-- +goose StatementEnd

-- +goose StatementBegin
DROP INDEX IF EXISTS idx_embeddings_visual_embedding_hnsw;
-- +goose StatementEnd

-- +goose StatementBegin
DROP INDEX IF EXISTS idx_embeddings_text_embedding_hnsw;
-- +goose StatementEnd
4 changes: 2 additions & 2 deletions server/internal/face/face.go
Original file line number Diff line number Diff line change
Expand Up @@ -11,8 +11,8 @@
// 4. Insert embeddings_face (file_id, entity_id, bbox, embedding).
//
// This is intentionally O(n) per insert — fine for a personal drive up to
// thousands of faces. For larger corpora swap in pgvector HNSW + offline
// re-clustering.
// thousands of faces. The HNSW index (migration 0024) is available for future
// SQL-based face search queries.
package face

import (
Expand Down
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