虚拟化技术的硬件与软件支持

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“Hardware and Software Support for Virtualization”是由Edouard Bugnion, Jason Nieh和Dan Tsafrir合著的一本关于计算机架构的综合讲座系列书籍，专注于硬件和软件在虚拟化技术中的支持。在当今信息技术领域，虚拟化已经成为数据中心、云计算以及企业IT基础设施的核心组成部分。硬件虚拟化是指通过特殊的技术使一台物理机器能够同时运行多个独立的操作系统实例，每个实例都感觉自己拥有整个硬件资源。这主要依赖于两个关键组件：虚拟机监控器（VMM）和硬件辅助虚拟化功能。硬件辅助虚拟化是现代处理器设计的一个重要特性，如Intel的VT-x和AMD的V系列技术，它们提供了直接支持虚拟化的指令集。这些技术允许VMM更高效地模拟硬件，减少了性能损失，因为它们可以绕过 guest 操作系统的某些层级，直接与硬件交互。例如，CPU的硬件辅助虚拟化支持可以实现对特权指令的直接处理，避免了传统虚拟化中由于软件模拟这些指令导致的性能瓶颈。软件虚拟化则更多地关注于如何在操作系统层面上实现虚拟化，例如使用容器技术，如Docker。容器不创建完整的虚拟机，而是共享主机的操作系统内核，提供轻量级隔离。这种方式极大地减少了资源开销，提高了部署速度，但相比硬件虚拟化，它可能在某些安全性和隔离性方面稍显不足。书中还可能探讨了虚拟化技术在内存管理、I/O虚拟化、网络虚拟化等方面的应用。内存虚拟化涉及到如何分配和管理虚拟机之间的内存资源，确保每个虚拟机的内存空间是独立且安全的。I/O虚拟化则需要解决虚拟机如何访问物理设备的问题，比如通过使用虚拟设备驱动和I/O端口重定向来实现。网络虚拟化则是在虚拟环境中创建逻辑网络，使得每个虚拟机可以像在物理网络中一样通信。此外，虚拟化技术在数据中心的设计和管理中扮演着重要角色，因为它可以提高硬件利用率，简化运维，并促进资源动态调整。作者可能详细讨论了如何利用虚拟化技术进行资源调度、故障恢复和性能优化。 “Hardware and Software Support for Virtualization”这本书涵盖了虚拟化领域的广泛主题，从硬件层面的辅助机制到软件层面的实现策略，深入剖析了虚拟化技术如何在现代计算环境中提供高效、灵活和可靠的解决方案。对于想要深入了解虚拟化技术及其在计算机架构中的应用的专业人士来说，这是一份极有价值的学习资料。

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xiv PREFACE

tion to run commodity operating systems on scalable multiprocessors. In 1999, VMware released

VMware Workstation 1.0 [45], the ﬁrst commercial virtualization solution for x86 processors.

At the time, researchers and commercial entities started building virtual machines solu-

tions for desktops and servers. A few years later, the approach was introduced to mobile plat-

forms. Disco, VMware Workstation, VMware ESX Server [177], VirtualPC [130], Xen [27],

Denali [182], and Cells [16], were all originally designed for architectures that did not provide

support for virtualization. ese diﬀerent software systems each took a diﬀerent approach to work

around the limitations of the hardware of the time. Although processor architectures have evolved

to provide hardware support for virtualization, many of the key innovations of that era such as

hosted architectures [162], paravirtualization [27, 182], live migration [51, 135], and memory

ballooning [177], remain relevant today, and have a profound impact on computer architecture

trends.

Clearly, the virtualization tide has turned, to the point that it is once more a central driver of

innovation throughout the industry, including system software, systems management, processor

design, and I/O architectures. As a matter of fact, the exact quote from Goldberg’s 1974 paper

would have been equally timely 30 years later: Intel introduced its ﬁrst-generation hardware sup-

port for virtual machines in 2004. Every maintained virtualization solution, including VMware

Workstation, ESX Server, and Xen, quickly evolved to leverage the beneﬁts of hardware support

for virtualization. New systems were introduced that assumed the existence of such hardware sup-

port as a core design principle, notably KVM [113]. With the combined innovation in hardware

and software and the full support of the entire industry, virtual machines quickly became central

to IT organizations, where they were used among other things to improve IT eﬃciency, sim-

plify provisioning, and increase availability of applications. Virtual machines were also proposed

to uniquely solve hard open research questions, in domains such as live migration [51, 135] and

security [73]. Within a few years, they would play a central role in enterprise datacenters. For

example, according to the market research ﬁrm IDC, since 2009 there are more virtual machines

deployed than physical hosts [95].

Today, virtual machines are ubiquitous in enterprise environments, where they are used to

virtualize servers as well as desktops. ey form the foundation of all Infrastructure-as-a-Service

(IAAS) clouds, including Amazon EC2, Google CGE, Microsoft Azure, and OpenStack. Once

again, the academic community dedicates conference tracks, sessions, and workshops to the topic

(e.g., the annual conference on Virtual Execution Environments (VEE)).

ORGANIZATION OF THIS BOOK

is book focuses on the core question of the necessary architectural support provided by hardware

to eﬃciently run virtual machines. Despite the focus on architectural support in current architec-

tures, some historical perspective is necessary to appropriately frame the problem. Speciﬁcally,

this includes both a theoretical framework, and a description of the systems enabling virtualiza-

tion despite the lack of architectural support in hardware. As is often the case, theory deﬁnes

PREFACE xv

a necessary—but not suﬃcient—set of features, and modern architectures are the result of the

combination of the theoretical framework with insights derived from practical systems.

e book is organized as follows.

• Chapter 1 introduces the fundamental deﬁnitions of the abstraction (“virtual machines”),

the run-time (“virtual machine monitors”), and the principles used to implement them.

• Chapter 2 provides the necessary theoretical framework that deﬁnes whether an instruction

set architecture (ISA) is virtualizable or not, as formalized by Popek and Goldberg [143].

• Chapter 3 then describes the ﬁrst set of systems designed for platforms that failed the

Popek/Goldberg test. ese systems each use a particular combination of workarounds to

run virtual machines on platforms not designed for them. Although a historical curiosity

by now, some of the techniques developed during that era remain relevant today.

• Chapter 4 focuses on the architectural support for virtualization of modern x86-64 proces-

sors, and in particular Intel’s VT-x extensions. It uses KVM as a detailed case study of a

hypervisor speciﬁcally designed to assume the presence of virtualization features in proces-

sors.

• Chapter 5 continues the description of x86-64 on the related question of the architectural

support for MMU virtualization provided by extended page tables (also known as nested

page tables).

• Chapter 6 closes the description of x86-64 virtualization with the various forms of I/O

virtualization available. e chapter covers key concepts such as I/O emulation provided by

hypervisors, paravirtual I/O devices, pass-through I/O with SR-IOV, IOMMUs, and the

support for interrupt virtualization.

• Chapter 7 describes the architectural support for virtualization of the ARM processor fam-

ily, and covers the CPU, MMU, and I/O considerations. e chapter emphasizes some of

the key diﬀerences in design decisions between x86 and ARM.

• Chapter 8 compares the performance and overheads of virtualization extensions on x86 and

on ARM.

In preparing this book, the authors made some deliberate decisions. First, for brevity, we focused

on the examples of architectural support for virtualization, primarily around two architectures:

x86-64 and ARM. Interested readers are hereby encouraged to study additional instruction set ar-

chitectures. Among them, IBM POWER architecture, with its support for both hypervisor-based

virtualization and logical partitioning (LPAR), is an obvious choice [76]. e SPARC architec-

ture also provides built-in support for logical partitioning, called logical domains [163]. We also

omit any detailed technical description of mainframe and mainframe-era architectures. Readers

xvi PREFACE

interested in that topic should start with Goldberg’s survey paper [78] and Creasy’s overview of

the IBM VM/370 system [54].

Second, we focused on mainstream (i.e., traditional) forms of virtual machines and the

construction of hypervisors in both the presence or the absence of architectural support for virtu-

alization in hardware. is focus is done at the expense of a description of some more advanced

research concepts. For example, the text does not discuss recursive virtual machines [33, 158],

the use of virtualization hardware for purposes other than running traditional virtual ma-

chines [24, 29, 31, 43, 88], or the emerging question of architectural support for containers such

as Docker [129].

AUTHORS’ PERSPECTIVES

is book does not attempt to cover all aspects of virtualization. Rather, it mostly focuses on

the key question of the interaction between the underlying computer architecture and the sys-

tems software built on top of it. It also comes with a point of view, based on the authors’ direct

experiences and perspectives on the topic.

Edouard Bugnion was fortunate to be part of the Disco team as a graduate student. Because

of the stigma associated with virtual machines of an earlier generation, we named our prototype

in reference to the questionable musical contribution of that same decade [55], which was then

coincidentally making a temporary comeback. Edouard later co-founded VMware, where he was

one of the main architects and implementers of VMware Workstation, and then served as its Chief

Technology Oﬃcer. In 2005, he co-founded Nuova Systems, a hardware company premised on

providing architectural support for virtualization in the network and the I/O subsystem, which

became the core of Cisco’s Data Center strategy. More recently, having returned to academia as a

professor at École polytechnique fédérale de Lausanne (EPFL), Edouard is now involved in the

IX project [30, 31, 147] which leverages virtualization hardware and the Dune framework [29]

to build specialized operating systems.

Jason Nieh is a Professor of Computer Science at Columbia University, where he has led

a wide range of virtualization research projects that have helped shape commercial and educa-

tional practice. Zap [138], an early lightweight virtual machine architecture that supported mi-

gration, led to the development of Linux namespaces and Linux containers, as well as his later

work on Cells [16, 56], one of the ﬁrst mobile virtualization solutions. Virtual Layered File Sys-

tems [144, 145] introduced the core ideas of layers and repositories behind Docker and CoreOS.

KVM/ARM [60] is widely deployed and used as the mainline Linux ARM hypervisor, and

has led to improvements in ARM architectural support for virtualization [58]. MobiDesk [26],

THINC [25], and other detailed measurement studies helped make the case for virtual desktop

infrastructure, which has become widely used in industry. A dedicated teacher, Jason was the ﬁrst

to introduce virtualization as a pedagogical tool for teaching hands-on computer science courses,

such as operating systems [136, 137], which has become common practice in universities around

the world.

PREFACE xvii

Dan Tsafrir is an Associate Professor at the Technion—Israel Institute of Technology,

where he regularly appreciates how fortunate he is to be working with brilliant students on cool

projects for a living. Some of these projects drive state-of-the-art virtualization forward. For

example, vIOMMU showed for the ﬁrst time how to fully virtualize I/O devices on separate

(side)cores without the knowledge or involvement of virtual machines, thus eliminating seem-

ingly inherent trap-and-emulate virtualization overheads [12]. vRIO showed that such sidecores

can in fact be consolidated on separate remote servers, enabling a new kind of datacenter-scale I/O

virtualization model that is cheaper and more performant than existing alternatives [116]. ELI

introduced software-based exitless interrupts—a concept recently adopted by hardware—which,

after years of eﬀorts, ﬁnally provided bare-metal performance for high-throughput virtualization

workloads [13, 80]. VSwapper showed that uncooperative swapping of memory of virtual ma-

chines can be made eﬃcient, despite the common belief that this is impossible [14]. Virtual CPU

validation showed how to uncover a massive amount of (conﬁrmed and now ﬁxed) hypervisor bugs

by applying Intel’s physical CPU testing infrastructure to the KVM hypervisor [15]. EIOVAR

and its successor projects allowed for substantially faster and safer IOMMU protection and found

their way into the Linux kernel [126, 127, 142]. NPFs provide page-fault support for network

controllers and are now implemented in production Mellanox NICs [120].

TARGET AUDIENCE

is book is written for researchers and graduate students who have already taken a basic course

in both computer architecture and operating systems, and who are interested in becoming ﬂuent

with virtualization concepts. Given the recurrence of virtualization in the literature, it should be

particularly useful to new graduate students before they start reading the many papers treating a

particular sub-aspect of virtualization. We include numerous references of widely read papers on

the topic, together with a high-level, modern commentary on their impact and relevance today.

Edouard Bugnion, Jason Nieh, and Dan Tsafrir

January 2017

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