Netty源码分析·壹

Netty是一个高性能、异步事件驱动的NIO框架。作为当前最流行的NIO框架，Netty在大数据分布式计算、游戏行业、通信行业等都获得了广泛应用，一些著名开源组件也是基于Netty的NIO框架构建。本文对Netty的NIO封装源码略作分析，知其然知其所以然。

背景知识

在JDK1.4之前，java的所有socket通信都只能采用同步阻塞模式，也就是BIO。这种一个请求一个应答的通信模型简化了上层应用的开发，但却有严重的性能问题。首先我们来看一下BIO的服务端通信模型：

通常由一个独立的Acceptor线程负责监听客户端连接，当收到客户端连接后，产生一个新的线程来处理该客户端的请求，处理完成后返回应答，最后销毁线程。这就是典型的一个请求一个应答模型。这里缺点很明显，频繁的线程创建销毁会销耗大量系统资源，同时当并发请求量很大的时候，线程数量急剧上升，性能急剧下降，最后可能发生宕机。

为了解决这些问题，后来对一连接一线程的模型进行了优化，改为线程池加任务队列模型。收到一个客户端请求时，先将请求放入任务队列，由线程池中的空闲线程从队列中取出任务并处理。这又被称为伪异步通信模型。它能解决BIO的问题，但还是无法从根本上解决问题，由于IO的读写操作会被阻塞，当并发量增加时，会导致任务队列中的任务不断堆积，客户端请求的响应时间变长，最终导致内存溢出或者拒绝新任务。

IO模型

Unix网络编程中把IO模型分为五类：

1、阻塞IO：最常用得IO模型，默认情况下所有文件操作都是阻塞的。以socket为例，当我们调用recvfrom接收来自socket的数据时，该方法会一直阻塞，直到数据报达到且被拷贝到应用进程的缓冲区或者发生错误。
2、非阻塞IO：调用recvfrom时，如果该缓冲区没有数据的话，就会直接返回EWOULDBLOCK错误，而不会阻塞等待。一般会对非阻塞IO进行轮询检查状态，看内核是不是有数据进来。
3、IO复用：Linux提供了select/poll，进程通过提交多个文件描述符（fd）给select或pull系统调用，阻塞在select，由select帮我们侦听提交的fd是否就绪。但是select/poll是顺序扫描fd的，支持的fd数量有限。因此linux还提供了epoll系统调用，epoll是基于事件驱动方式，而不是顺序扫描。当有fd准备就绪时，会立即回调函数callback。
4、信号驱动IO：开启socket信号驱动IO功能，并通过系统调用signaction执行一个信号处理函数。
5、异步IO：告知内核启动某个操作，并让内核在整个操作完成后通知我们。

关于linux上IO网了编程的只是，推荐一本书Unix网络编程，其中有详细的介绍。

从JDK1.4开始，Java提供了一套专门的类库来支持非阻塞的IO操作，java.nio包中这套接口是新提供的IO接口，因此叫New IO，这就是它被称为Java NIO的原因。

NIO是基于事件驱动思想来实现的，采用Reactor模式，主要解决BIO模型中一个服务端无法同时并发处理大量客户端连接的问题。NIO基于Selector轮询，当socket有数据可读、可写、连接、请求接入等事件时，操作系统会触发Selector返回准备就绪的SelectorKey集合。通过SelectableChannel进行读写操作。由于JDK的Selector底层是基于epoll实现的，所以不受2048连接数限制，理论上可以同时处理操作系统最大文件句柄个数的连接。

目前业界主流的NIO框架有两个：Netty和Mina。两个框架出自同一人之手，其中渊源大家有兴趣可以再网上看看。

Netty服务端

相比于BIO，NIO的开发要复杂的多，因此开发出稳定高性能的异步通信框架一直是个难题。Netty为了对开发者屏蔽NIO通信的底层细节，对底层NIO网络通信做了封装，使开发者只需关注自己的业务实现，降低开发工作量和开发难度。

获取源码

从GitHub上获取源码：git clone https://github.com/netty/netty.git。netty是用maven构建的，所以直接通过maven导入IDE即可。

EchoServer例子

首先我们来看example模块中的EchoServer，这是一个典型的Netty服务端应用。我们来分析服务启动的过程。

    public final class EchoServer {
    static final boolean SSL = System.getProperty("ssl") != null;
    static final int PORT = Integer.parseInt(System.getProperty("port", "8007"));
    public static void main(String[] args) throws Exception {
        // Configure SSL.
        final SslContext sslCtx;
        if (SSL) {
            SelfSignedCertificate ssc = new SelfSignedCertificate();
            sslCtx = SslContextBuilder.forServer(ssc.certificate(), ssc.privateKey()).build();
        } else {
            sslCtx = null;
        }
        // Configure the server.
        //bossGroup线程池用来接受客户端的连接请求
        EventLoopGroup bossGroup = new NioEventLoopGroup(1); 
        //workerGroup线程池用来处理boss线程池里面的连接的数据
        EventLoopGroup workerGroup = new NioEventLoopGroup(); 
        try {
            ServerBootstrap b = new ServerBootstrap();
            b.group(bossGroup, workerGroup)
             .channel(NioServerSocketChannel.class)
             //AbstractBootstrap.option()用来设置ServerSocket的参数，AbstractBootstrap.childOption()用来设置Socket的参数。
             .option(ChannelOption.SO_BACKLOG, 100)
             .handler(new LoggingHandler(LogLevel.INFO))
             //ChannelInitializer是一个特殊的handler，用来初始化ChannelPipeline里面的handler链。 
             //这个特殊的ChannelInitializer在加入到pipeline后，在initChannel调用结束后,自身会被remove掉，从而完成初始化的效果。
             .childHandler(new ChannelInitializer<SocketChannel>() {
                 @Override
                 public void initChannel(SocketChannel ch) throws Exception {
                     ChannelPipeline p = ch.pipeline();
                     if (sslCtx != null) {
                         p.addLast(sslCtx.newHandler(ch.alloc()));
                     }
                     //p.addLast(new LoggingHandler(LogLevel.INFO));
                     p.addLast(new EchoServerHandler());
                 }
             });
            // Start the server.
            ChannelFuture f = b.bind(PORT).sync();
            // Wait until the server socket is closed.
            f.channel().closeFuture().sync();
        } finally {
            // Shut down all event loops to terminate all threads.
            bossGroup.shutdownGracefully();
            workerGroup.shutdownGracefully();
        }
    }
}

NioEventLoopGroup

首先创建两个NioEventLoopGroup，当调用NioEventLoopGroup构造方法时，首先调用其父类MultithreadEventLoopGroup构造方法，父类获得默认的线程总数，其默认值是Runtime.getRuntime().availableProcessors()*2。

static {
    DEFAULT_EVENT_LOOP_THREADS = Math.max(1, SystemPropertyUtil.getInt(
            "io.netty.eventLoopThreads", Runtime.getRuntime().availableProcessors() * 2));
    if (logger.isDebugEnabled()) {
        logger.debug("-Dio.netty.eventLoopThreads: {}", DEFAULT_EVENT_LOOP_THREADS);
    }
}

接着调用自身构造器：

public NioEventLoopGroup() {
this(0);
}
public NioEventLoopGroup(int nThreads, Executor executor) {
    this(nThreads, executor, SelectorProvider.provider());
}
public NioEventLoopGroup(int nThreads) {
    this(nThreads, (Executor) null);
}
public NioEventLoopGroup(int nThreads, ThreadFactory threadFactory) {
    this(nThreads, threadFactory, SelectorProvider.provider());
}
public NioEventLoopGroup(
        int nThreads, ThreadFactory threadFactory, final SelectorProvider selectorProvider) {
    super(nThreads, threadFactory, selectorProvider);
}

继续调用父类构造器

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3

protected MultithreadEventLoopGroup(int nEventLoops, Executor executor, Object... args) {
    super(nEventLoops == 0 ? DEFAULT_EVENT_LOOP_THREADS : nEventLoops, executor, args);
}

改构造器继续调用父类构造器

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2
3

protected MultithreadEventExecutorGroup(int nEventExecutors, Executor executor, Object... args) {
    this(nEventExecutors, executor, false, args);
}

初始化

上面的构造过程主要完成：1、设置默认DefaultThreadFactory线程工厂，设置线程池名称和线程名称。2、初始化children数组，然后通过NioEventLoopGroup.newChild()完成child属性设置。

private MultithreadEventExecutorGroup(int nEventExecutors,
                                      Executor executor,
                                      boolean shutdownExecutor,
                                      Object... args) {
    if (nEventExecutors <= 0) {
        throw new IllegalArgumentException(
                String.format("nEventExecutors: %d (expected: > 0)", nEventExecutors));
    }
    if (executor == null) {
        executor = newDefaultExecutorService(nEventExecutors);
        shutdownExecutor = true;
    }
    children = new EventExecutor[nEventExecutors];
    if (isPowerOfTwo(children.length)) {
        chooser = new PowerOfTwoEventExecutorChooser();
    } else {
        chooser = new GenericEventExecutorChooser();
    }
    for (int i = 0; i < nEventExecutors; i ++) {
        boolean success = false;
        try {
            children[i] = newChild(executor, args);
            success = true;
        } catch (Exception e) {
            // TODO: Think about if this is a good exception type
            throw new IllegalStateException("failed to create a child event loop", e);
        } finally {
            if (!success) {
                for (int j = 0; j < i; j ++) {
                    children[j].shutdownGracefully();
                }
                for (int j = 0; j < i; j ++) {
                    EventExecutor e = children[j];
                    try {
                        while (!e.isTerminated()) {
                            e.awaitTermination(Integer.MAX_VALUE, TimeUnit.SECONDS);
                        }
                    } catch (InterruptedException interrupted) {
                        // Let the caller handle the interruption.
                        Thread.currentThread().interrupt();
                        break;
                    }
                }
            }
        }
    }
    final boolean shutdownExecutor0 = shutdownExecutor;
    final Executor executor0 = executor;
    final FutureListener<Object> terminationListener = new FutureListener<Object>() {
        @Override
        public void operationComplete(Future<Object> future) throws Exception {
            if (terminatedChildren.incrementAndGet() == children.length) {
                terminationFuture.setSuccess(null);
                if (shutdownExecutor0) {
                    // This cast is correct because shutdownExecutor0 is only try if
                    // executor0 is of type ExecutorService.
                    ((ExecutorService) executor0).shutdown();
                }
            }
        }
    };
    for (EventExecutor e: children) {
        e.terminationFuture().addListener(terminationListener);
    }
    Set<EventExecutor> childrenSet = new LinkedHashSet<EventExecutor>(children.length);
    Collections.addAll(childrenSet, children);
    readonlyChildren = Collections.unmodifiableSet(childrenSet);
}

在newChild方法中，主要完成NioEventLoop实例构建。然后调用openSelector方法创建selector对象。其中进行了一个优化，设置了sun.nio.ch.SelectorImpl的selectedKeys和publicSelectedKeys属性。根据NioEventLoop.run()方法内部直接调用 processSelectedKeysOptimized(selectedKeys.flip())，并且没有直接使用selector.selectedKeys()。最后循环完成children数组的初始化children[i] = newChild(executor, args);，进而完成NioEventLoopGroup对象初始化。

@Override
protected EventLoop newChild(Executor executor, Object... args) throws Exception {
    return new NioEventLoop(this, executor, (SelectorProvider) args[0]);
}
NioEventLoop(NioEventLoopGroup parent, Executor executor, SelectorProvider selectorProvider) {
    super(parent, executor, false);
    if (selectorProvider == null) {
        throw new NullPointerException("selectorProvider");
    }
    provider = selectorProvider;
    selector = openSelector();
}
private Selector openSelector() {
    final Selector selector; //初始化Selector对象
    try {
        selector = provider.openSelector();
    } catch (IOException e) {
        throw new ChannelException("failed to open a new selector", e);
    }
    if (DISABLE_KEYSET_OPTIMIZATION) {
        return selector;
    }
    try {
        SelectedSelectionKeySet selectedKeySet = new SelectedSelectionKeySet(); //初始化SelectedSelectionKeySet
        //进行了一个优化，设置了sun.nio.ch.SelectorImpl的selectedKeys和publicSelectedKeys属性。
        //根据NioEventLoop.run()方法内部直接调用 processSelectedKeysOptimized(selectedKeys.flip());
        Class<?> selectorImplClass =
                Class.forName("sun.nio.ch.SelectorImpl", false, PlatformDependent.getSystemClassLoader());
        // Ensure the current selector implementation is what we can instrument.
        if (!selectorImplClass.isAssignableFrom(selector.getClass())) {
            return selector;
        }
        Field selectedKeysField = selectorImplClass.getDeclaredField("selectedKeys");
        Field publicSelectedKeysField = selectorImplClass.getDeclaredField("publicSelectedKeys");
        selectedKeysField.setAccessible(true);
        publicSelectedKeysField.setAccessible(true);
        selectedKeysField.set(selector, selectedKeySet);
        publicSelectedKeysField.set(selector, selectedKeySet);
        selectedKeys = selectedKeySet;
        logger.trace("Instrumented an optimized java.util.Set into: {}", selector);
    } catch (Throwable t) {
        selectedKeys = null;
        logger.trace("Failed to instrument an optimized java.util.Set into: {}", selector, t);
    }
    return selector;
}

ServerBootstrap

ServerBootstrap是服务端socket的启动辅助类，构造函数：

public ServerBootstrap() { }
private ServerBootstrap(ServerBootstrap bootstrap) {
    super(bootstrap);
    childGroup = bootstrap.childGroup;
    childHandler = bootstrap.childHandler;
    synchronized (bootstrap.childOptions) {
        childOptions.putAll(bootstrap.childOptions);
    }
    synchronized (bootstrap.childAttrs) {
        childAttrs.putAll(bootstrap.childAttrs);
    }
}

设置EventLoopGroup

只有一个无参构造函数，和一个拷贝构造函数。由于它需要的构造参数太多，因此选择用builder模式构造（《EffectiveJava》中有说：遇到多个构造器参数时应考虑使用构建器）。通过group方法设置两个NioEventLoopGroup，group属性是bossGroup，childGroup属性是workerGroup。

public ServerBootstrap group(EventLoopGroup parentGroup, EventLoopGroup childGroup) {
    super.group(parentGroup);
    if (childGroup == null) {
        throw new NullPointerException("childGroup");
    }
    if (this.childGroup != null) {
        throw new IllegalStateException("childGroup set already");
    }
    this.childGroup = childGroup;
    return this;
}

设置Channel

设置完EventLoopGroup，接着设置Channel：

public B channel(Class<? extends C> channelClass) {
    if (channelClass == null) {
        throw new NullPointerException("channelClass");
    }
    return channelFactory(new ReflectiveChannelFactory<C>(channelClass));
}

ReflectiveChannelFactory是根据channelClass反射来创建Channel实例的工厂类，它只有一个方法：

public T newChannel() {
    try {
        return clazz.newInstance();
    } catch (Throwable t) {
        throw new ChannelException("Unable to create Channel from class " + clazz, t);
    }
}

服务端需要的channelClass是NioServerSocketChannel.class。设置完ChannelFactory，我们需要设置Channel的一些属性：

public <T> ServerBootstrap childOption(ChannelOption<T> childOption, T value) {
    if (childOption == null) {
        throw new NullPointerException("childOption");
    }
    if (value == null) {
        synchronized (childOptions) {
            childOptions.remove(childOption);
        }
    } else {
        synchronized (childOptions) {
            childOptions.put(childOption, value);
        }
    }
    return this;
}

设置ChannelOption

ChannelOption中包括了TCP_NODELAY、SO_KEEPALIVE、SO_BACKLOG等重要的TCP参数，参数具体作用这里就不讲了。设置完Channel之后，我们接着为ServerBootstrap和其父类AbstractServerBootstrap指定Handler，其中ServerBootstrap的handler是NioServerSocketChannel对应的ChannelPipeline的Handler，所有连接该接听端口的客户端请求都会执行它；AbstractServerBootstrap的handler是客户端新接入的SocketChannel对应的ChannelPipeline对应的Handler，它是一个工厂类，为每个新接入的客户端都创建一个新的Handler。

public ServerBootstrap childHandler(ChannelHandler childHandler) {
    if (childHandler == null) {
        throw new NullPointerException("childHandler");
    }
    this.childHandler = childHandler;
    return this;
}
public B handler(ChannelHandler handler) {
    if (handler == null) {
        throw new NullPointerException("handler");
    }
    this.handler = handler;
    return (B) this;
}

启动服务

最后一步绑定端口，启动服务。b.bind(PORT)方法调用的是下面的doBind方法，完成Channel的初始化和端口绑定，其中有两个重要方法：initAndRegister()和doBind0()。

private ChannelFuture doBind(final SocketAddress localAddress) {
    //重要方法1，tag1
    final ChannelFuture regFuture = initAndRegister(); 
    final Channel channel = regFuture.channel();
    if (regFuture.cause() != null) {
        return regFuture;
    }
    if (regFuture.isDone()) {
        // At this point we know that the registration was complete and successful.
        ChannelPromise promise = channel.newPromise();
        //重要方法2，tag2
        doBind0(regFuture, channel, localAddress, promise); 
        return promise;
    } else {
        // Registration future is almost always fulfilled already, but just in case it's not.
        final PendingRegistrationPromise promise = new PendingRegistrationPromise(channel);
        regFuture.addListener(new ChannelFutureListener() {
            @Override
            public void operationComplete(ChannelFuture future) throws Exception {
                Throwable cause = future.cause();
                if (cause != null) {
                    // Registration on the EventLoop failed so fail the ChannelPromise directly to not cause an
                    // IllegalStateException once we try to access the EventLoop of the Channel.
                    promise.setFailure(cause);
                } else {
                    // Registration was successful, so set the correct executor to use.
                    // See https://github.com/netty/netty/issues/2586
                    promise.executor = channel.eventLoop();
                }
                doBind0(regFuture, channel, localAddress, promise);
            }
        });
        return promise;
    }
}

首先我们来看initAndRegister方法，它完成了Channel实例创建，实例化和注册channel到selector上。

final ChannelFuture initAndRegister() {
    final Channel channel = channelFactory().newChannel();  //创建Channel实例，tag1.1
    try {
        //初始化channel，tag1.2
        init(channel); 
    } catch (Throwable t) {
        channel.unsafe().closeForcibly();
        // as the Channel is not registered yet we need to force the usage of the GlobalEventExecutor
        return new DefaultChannelPromise(channel, GlobalEventExecutor.INSTANCE).setFailure(t);
    }
    //把channel注册到selector上，tag1.3
    ChannelFuture regFuture = group().register(channel); 
    if (regFuture.cause() != null) {
        if (channel.isRegistered()) {
            channel.close();
        } else {
            channel.unsafe().closeForcibly();
        }
    }
    return regFuture;
}

newChannel方法通过反射调用NioServerSocketChannel构造方法，里面首先会调用newSocket方法来创建java的ServerSocketChannel

private static ServerSocketChannel newSocket(SelectorProvider provider) {
    try {
        /**
         *  Use the {@link SelectorProvider} to open {@link SocketChannel} and so remove condition in
         *  {@link SelectorProvider#provider()} which is called by each ServerSocketChannel.open() otherwise.
         *
         *  See <a href="See https://github.com/netty/netty/issues/2308">#2308</a>.
         */
        return provider.openServerSocketChannel();
    } catch (IOException e) {
        throw new ChannelException(
                "Failed to open a server socket.", e);
    }
}

接着继续调用父类AbstractNioChannel的构造方法：

protected AbstractNioChannel(Channel parent, SelectableChannel ch, int readInterestOp) {
    super(parent);
    this.ch = ch;
    this.readInterestOp = readInterestOp;
    try {
        ch.configureBlocking(false);
    } catch (IOException e) {
        try {
            ch.close();
        } catch (IOException e2) {
            if (logger.isWarnEnabled()) {
                logger.warn(
                        "Failed to close a partially initialized socket.", e2);
            }
        }
        throw new ChannelException("Failed to enter non-blocking mode.", e);
    }
}

通过ch.configureBlocking(false)将channel设置为非阻塞。并在其父类AbstractChannel构造方法中初始化了unsafe和pipeline属性：

protected AbstractChannel(Channel parent) {
    this.parent = parent;
    id = DefaultChannelId.newInstance();
    unsafe = newUnsafe();
    pipeline = new DefaultChannelPipeline(this);
}

其中DefaultChannelPipeline构造方法中设置了HeadHandler和TailHandler，相当于初始化了Handler的处理链。这也是两个比较重要的类。

DefaultChannelPipeline(AbstractChannel channel) {
    if (channel == null) {
        throw new NullPointerException("channel");
    }
    this.channel = channel;
    tail = new TailContext(this);
    head = new HeadContext(this);
    head.next = tail;
    tail.prev = head;
}

至此，终于完成了tag1.1的channelFactory().newChannel()方法，完成channel实例的构建。接下来看tag1.2的ServerBootstrap.init()方法：

@Override
void init(Channel channel) throws Exception {
    final Map<ChannelOption<?>, Object> options = options();
    synchronized (options) {
        channel.config().setOptions(options);
    }
    final Map<AttributeKey<?>, Object> attrs = attrs();
    synchronized (attrs) {
        for (Entry<AttributeKey<?>, Object> e: attrs.entrySet()) {
            @SuppressWarnings("unchecked")
            AttributeKey<Object> key = (AttributeKey<Object>) e.getKey();
            channel.attr(key).set(e.getValue());
        }
    }
    ChannelPipeline p = channel.pipeline();
    if (handler() != null) {
        p.addLast(handler());
    }
    final EventLoopGroup currentChildGroup = childGroup;
    final ChannelHandler currentChildHandler = childHandler;
    final Entry<ChannelOption<?>, Object>[] currentChildOptions;
    final Entry<AttributeKey<?>, Object>[] currentChildAttrs;
    synchronized (childOptions) {
        currentChildOptions = childOptions.entrySet().toArray(newOptionArray(childOptions.size()));
    }
    synchronized (childAttrs) {
        currentChildAttrs = childAttrs.entrySet().toArray(newAttrArray(childAttrs.size()));
    }
    p.addLast(new ChannelInitializer<Channel>() {
        @Override
        public void initChannel(Channel ch) throws Exception {
            ch.pipeline().addLast(new ServerBootstrapAcceptor(
                    currentChildGroup, currentChildHandler, currentChildOptions, currentChildAttrs));
        }
    });
}

里面主要设置了parentChannel和childChannel的options和attrs。并将客户端设置的参数覆盖到默认设置中。最后把通过childHandler(new ChannelInitializer<SocketChannel>())方法设置的handler加入到pipeline中。注：其实addLast方法并不是把handler正的放到pipeline的最后，而是放到tail的前一个节点上。

至此tag1.2完成。开始执行tag1.3，group().register(channel)。跟踪方法进去可以看到最终执行的是AbstractChannel.register()方法，其中重点是register0(ChannelPromise promise)方法：

private void register0(ChannelPromise promise) {
        try {
            // check if the channel is still open as it could be closed in the mean time when the register
            // call was outside of the eventLoop
            if (!promise.setUncancellable() || !ensureOpen(promise)) {
                return;
            }
            boolean firstRegistration = neverRegistered;
            //重要代码1
            doRegister();  
            neverRegistered = false;
            registered = true;
            eventLoop.acceptNewTasks();
            safeSetSuccess(promise);
            // 重要代码2
            pipeline.fireChannelRegistered();  
            // Only fire a channelActive if the channel has never been registered. This prevents firing
            // multiple channel actives if the channel is deregistered and re-registered.
            if (firstRegistration && isActive()) {
                pipeline.fireChannelActive();
            }
        } catch (Throwable t) {
            // Close the channel directly to avoid FD leak.
            closeForcibly();
            closeFuture.setClosed();
            safeSetFailure(promise, t);
        }
    }

AbstractNioChannel中的doRegister方法核心功能就是把javaChannel注册到selector上。pipeline.fireChannelRegistered()方法负责触发注册事件通知，下文会详细再介绍该方法。

@Override
protected void doRegister() throws Exception {
    boolean selected = false;
    for (;;) {
        try {
            selectionKey = javaChannel().register(((NioEventLoop) eventLoop().unwrap()).selector, 0, this);
            return;
        } catch (CancelledKeyException e) {
            if (!selected) {
                // Force the Selector to select now as the "canceled" SelectionKey may still be
                // cached and not removed because no Select.select(..) operation was called yet.
                ((NioEventLoop) eventLoop().unwrap()).selectNow();
                selected = true;
            } else {
                // We forced a select operation on the selector before but the SelectionKey is still cached
                // for whatever reason. JDK bug ?
                throw e;
            }
        }
    }
}

至此tag1的initAndRegister完成。

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