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1
Introduction to Automata Theory
What is Automata Theory?
2
Study of abstract computing devices, or
“machines”
Automaton = an abstract computing device
 Note: A “device” need not even be a physical hardware!
A fundamental question in computer science:
 Find out what different models of machines can do and
cannot do
 The theory of computation
Computability vs. Complexity
Alan Turing (1912-1954)
3
Father of Modern Computer
Science
English mathematician
Studied abstract machines called
Turing machines even before
computers existed
Heard of the Turing test?
(A pioneer of automata theory)
Theory of Computation: A Historical Perspective
4
1930s • Alan Turing studies Turing machines
• Decidability
• Halting problem
1940-1950s • “Finite automata” machines studied
• Noam Chomsky proposes the
“Chomsky Hierarchy” for formal
languages
1969 Cook introduces “intractable” problems
or “NP-Hard” problems
1970- Modern computer science: compilers,
computational & complexity theory evolve
Languages & Grammars
 Languages: “A language is a
collection of sentences of
finite length all constructed
from a finite alphabet of
symbols”
 Grammars: “A grammar can
be regarded as a device that
enumerates the sentences of
a language” - nothing more,
nothing less
 N. Chomsky, Information
and Control, Vol 2, 1959
5
Or “words”
Image source: Nowak et al. Nature, vol 417, 2002
The Chomsky Hierachy
6
Regular
(DFA)
Context-
free
(PDA)
Context-
sensitive
(LBA)
Recursively-
enumerable
(TM)
• A containment hierarchy of classes of formal languages
7
The Central Concepts of
Automata Theory
Alphabet
8
An alphabet is a finite, non-empty set of symbols
We use the symbol ∑ (sigma) to denote an
alphabet
Examples:
 Binary: ∑ = {0,1}
 All lower case letters: ∑ = {a,b,c,..z}
 Alphanumeric: ∑ = {a-z, A-Z, 0-9}
 DNA molecule letters: ∑ = {a,c,g,t}
 …
Strings
9
A string or word is a finite sequence of symbols
chosen from ∑
Empty string is ε (or “epsilon”)
Length of a string w, denoted by “|w|”, is equal to
the number of (non- ε) characters in the string
 E.g., x = 010100 |x| = 6
 x = 01 ε 0 ε 1 ε 00 ε |x| = ?
 xy = concatentation of two strings x and y
Powers of an alphabet
10
Let ∑ be an alphabet.
 ∑k
= the set of all strings of length k
 ∑* = ∑0
U ∑1
U ∑2
U …
 ∑+
= ∑1
U ∑2
U ∑3
U …
Languages
11
L is a said to be a language over alphabet ∑, only if L ⊆ ∑*
 this is because ∑* is the set of all strings (of all possible length
including 0) over the given alphabet ∑
Examples:
1. Let L be the language of all strings consisting of n 0’s followed by n
1’s:
L = {ε,01,0011,000111,…}
2. Let L be the language of all strings of with equal number of 0’s and
1’s:
L = {ε,01,10,0011,1100,0101,1010,1001,…}
Definition: Ø denotes the Empty language
 Let L = {ε}; Is L=Ø?
NO
Canonical ordering of strings in the language
The Membership Problem
12
Given a string w ∈∑*and a language L over ∑, decide
whether or not w ∈L.
Example:
Let w = 100011
Q) Is w ∈ the language of strings with equal number
of 0s and 1s?
Finite Automata
13
Some Applications
 Software for designing and checking the behavior of
digital circuits
 Lexical analyzer of a typical compiler
 Software for scanning large bodies of text (e.g., web
pages) for pattern finding
 Software for verifying systems of all types that have a
finite number of states (e.g., stock market transaction,
communication/network protocol)
Finite Automata : Examples
14
On/Off switch
Modeling recognition of the word “then”
Start state Final stateTransition Intermediate
state
action
state
Structural expressions
15
Grammars
Regular expressions
 E.g., unix style to capture city names such as “Palo Alto CA”:
 [A-Z][a-z]*([ ][A-Z][a-z]*)*[ ][A-Z][A-Z]
Start with a letter
A string of other
letters (possibly
empty)
Other space delimited words
(part of city name)
Should end w/ 2-letter state code
16
Formal Proofs
Deductive Proofs
17
From the given statement(s) to a conclusion
statement (what we want to prove)
Logical progression by direct implications
Example for parsing a statement:
“If y≥4, then 2y
≥y2
.”
(there are other ways of writing this).
given conclusion
Example: Deductive proof
18
Let Claim 1: If y≥4, then 2y
≥y2
.
Let x be any number which is obtained by adding the squares
of 4 positive integers.
Claim 2:
Given x and assuming that Claim 1 is true, prove that 2x
≥x2
 Proof:
 Given: x = a2
+ b2
+ c2
+ d2
 Given: a≥1, b≥1, c≥1, d≥1
  a2
≥1, b2
≥1, c2
≥1, d2
≥1 (by 2)
  x ≥ 4 (by 1 & 3)
  2x
≥ x2
(by 4 and Claim 1)
“implies” or “follows”
On Theorems, Lemmas and Corollaries
19
We typically refer to:
 A major result as a “theorem”
 An intermediate result that we show to prove a larger result as a
“lemma”
 A result that follows from an already proven result as a
“corollary”
An example:
Theorem: The height of an n-node binary
tree is at least floor(lg n)
Lemma: Level i of a perfect binary tree has
2i
nodes.
Corollary: A perfect binary tree of height h
has 2h+1
-1 nodes.
Quantifiers
20
“For all” or “For every”
 Universal proofs
 Notation*
=?
“There exists”
 Used in existential proofs
 Notation*
=?
Implication is denoted by =>
 E.g., “IF A THEN B” can also be written as “A=>B”
*
I wasn’t able to locate the symbol for these notation in powerpoint. Sorry! Please follow the standard notation
for these quantifiers. These will be presented in class.
Proving techniques
21
By contradiction
 Start with the statement contradictory to the given statement
 E.g., To prove (A => B), we start with:
 (A and ~B)
 … and then show that could never happen
What if you want to prove that “(A and B => C or D)”?
By induction
 (3 steps) Basis, inductive hypothesis, inductive step
By contrapositive statement
 If A then B ≡ If ~B then ~A
Proving techniques…
22
By counter-example
 Show an example that disproves the claim
Note: There is no such thing called a
“proof by example”!
 So when asked to prove a claim, an example that satisfied
that claim is not a proof
Different ways of saying the same thing
23
 “If H then C”:
i. H implies C
ii. H => C
iii. C if H
iv. H only if C
v. Whenever H holds, C follows
“If-and-Only-If” statements
24
“A if and only if B” (A <==> B)
 (if part) if B then A ( <= )
 (only if part) A only if B ( => )
(same as “if A then B”)
“If and only if” is abbreviated as “iff”
 i.e., “A iff B”
 Example:
 Theorem: Let x be a real number. Then floor of x =
ceiling of x if and only if x is an integer.
Proofs for iff have two parts
 One for the “if part” & another for the “only if part”
Summary
25
 Automata theory & a historical perspective
 Chomsky hierarchy
 Finite automata
 Alphabets, strings/words/sentences, languages
 Membership problem
 Proofs:
 Deductive, induction, contrapositive, contradiction, counterexample
 If and only if
 Read chapter 1 for more examples and exercises

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3.1 intro toautomatatheory h1

  • 2. What is Automata Theory? 2 Study of abstract computing devices, or “machines” Automaton = an abstract computing device  Note: A “device” need not even be a physical hardware! A fundamental question in computer science:  Find out what different models of machines can do and cannot do  The theory of computation Computability vs. Complexity
  • 3. Alan Turing (1912-1954) 3 Father of Modern Computer Science English mathematician Studied abstract machines called Turing machines even before computers existed Heard of the Turing test? (A pioneer of automata theory)
  • 4. Theory of Computation: A Historical Perspective 4 1930s • Alan Turing studies Turing machines • Decidability • Halting problem 1940-1950s • “Finite automata” machines studied • Noam Chomsky proposes the “Chomsky Hierarchy” for formal languages 1969 Cook introduces “intractable” problems or “NP-Hard” problems 1970- Modern computer science: compilers, computational & complexity theory evolve
  • 5. Languages & Grammars  Languages: “A language is a collection of sentences of finite length all constructed from a finite alphabet of symbols”  Grammars: “A grammar can be regarded as a device that enumerates the sentences of a language” - nothing more, nothing less  N. Chomsky, Information and Control, Vol 2, 1959 5 Or “words” Image source: Nowak et al. Nature, vol 417, 2002
  • 7. 7 The Central Concepts of Automata Theory
  • 8. Alphabet 8 An alphabet is a finite, non-empty set of symbols We use the symbol ∑ (sigma) to denote an alphabet Examples:  Binary: ∑ = {0,1}  All lower case letters: ∑ = {a,b,c,..z}  Alphanumeric: ∑ = {a-z, A-Z, 0-9}  DNA molecule letters: ∑ = {a,c,g,t}  …
  • 9. Strings 9 A string or word is a finite sequence of symbols chosen from ∑ Empty string is ε (or “epsilon”) Length of a string w, denoted by “|w|”, is equal to the number of (non- ε) characters in the string  E.g., x = 010100 |x| = 6  x = 01 ε 0 ε 1 ε 00 ε |x| = ?  xy = concatentation of two strings x and y
  • 10. Powers of an alphabet 10 Let ∑ be an alphabet.  ∑k = the set of all strings of length k  ∑* = ∑0 U ∑1 U ∑2 U …  ∑+ = ∑1 U ∑2 U ∑3 U …
  • 11. Languages 11 L is a said to be a language over alphabet ∑, only if L ⊆ ∑*  this is because ∑* is the set of all strings (of all possible length including 0) over the given alphabet ∑ Examples: 1. Let L be the language of all strings consisting of n 0’s followed by n 1’s: L = {ε,01,0011,000111,…} 2. Let L be the language of all strings of with equal number of 0’s and 1’s: L = {ε,01,10,0011,1100,0101,1010,1001,…} Definition: Ø denotes the Empty language  Let L = {ε}; Is L=Ø? NO Canonical ordering of strings in the language
  • 12. The Membership Problem 12 Given a string w ∈∑*and a language L over ∑, decide whether or not w ∈L. Example: Let w = 100011 Q) Is w ∈ the language of strings with equal number of 0s and 1s?
  • 13. Finite Automata 13 Some Applications  Software for designing and checking the behavior of digital circuits  Lexical analyzer of a typical compiler  Software for scanning large bodies of text (e.g., web pages) for pattern finding  Software for verifying systems of all types that have a finite number of states (e.g., stock market transaction, communication/network protocol)
  • 14. Finite Automata : Examples 14 On/Off switch Modeling recognition of the word “then” Start state Final stateTransition Intermediate state action state
  • 15. Structural expressions 15 Grammars Regular expressions  E.g., unix style to capture city names such as “Palo Alto CA”:  [A-Z][a-z]*([ ][A-Z][a-z]*)*[ ][A-Z][A-Z] Start with a letter A string of other letters (possibly empty) Other space delimited words (part of city name) Should end w/ 2-letter state code
  • 17. Deductive Proofs 17 From the given statement(s) to a conclusion statement (what we want to prove) Logical progression by direct implications Example for parsing a statement: “If y≥4, then 2y ≥y2 .” (there are other ways of writing this). given conclusion
  • 18. Example: Deductive proof 18 Let Claim 1: If y≥4, then 2y ≥y2 . Let x be any number which is obtained by adding the squares of 4 positive integers. Claim 2: Given x and assuming that Claim 1 is true, prove that 2x ≥x2  Proof:  Given: x = a2 + b2 + c2 + d2  Given: a≥1, b≥1, c≥1, d≥1   a2 ≥1, b2 ≥1, c2 ≥1, d2 ≥1 (by 2)   x ≥ 4 (by 1 & 3)   2x ≥ x2 (by 4 and Claim 1) “implies” or “follows”
  • 19. On Theorems, Lemmas and Corollaries 19 We typically refer to:  A major result as a “theorem”  An intermediate result that we show to prove a larger result as a “lemma”  A result that follows from an already proven result as a “corollary” An example: Theorem: The height of an n-node binary tree is at least floor(lg n) Lemma: Level i of a perfect binary tree has 2i nodes. Corollary: A perfect binary tree of height h has 2h+1 -1 nodes.
  • 20. Quantifiers 20 “For all” or “For every”  Universal proofs  Notation* =? “There exists”  Used in existential proofs  Notation* =? Implication is denoted by =>  E.g., “IF A THEN B” can also be written as “A=>B” * I wasn’t able to locate the symbol for these notation in powerpoint. Sorry! Please follow the standard notation for these quantifiers. These will be presented in class.
  • 21. Proving techniques 21 By contradiction  Start with the statement contradictory to the given statement  E.g., To prove (A => B), we start with:  (A and ~B)  … and then show that could never happen What if you want to prove that “(A and B => C or D)”? By induction  (3 steps) Basis, inductive hypothesis, inductive step By contrapositive statement  If A then B ≡ If ~B then ~A
  • 22. Proving techniques… 22 By counter-example  Show an example that disproves the claim Note: There is no such thing called a “proof by example”!  So when asked to prove a claim, an example that satisfied that claim is not a proof
  • 23. Different ways of saying the same thing 23  “If H then C”: i. H implies C ii. H => C iii. C if H iv. H only if C v. Whenever H holds, C follows
  • 24. “If-and-Only-If” statements 24 “A if and only if B” (A <==> B)  (if part) if B then A ( <= )  (only if part) A only if B ( => ) (same as “if A then B”) “If and only if” is abbreviated as “iff”  i.e., “A iff B”  Example:  Theorem: Let x be a real number. Then floor of x = ceiling of x if and only if x is an integer. Proofs for iff have two parts  One for the “if part” & another for the “only if part”
  • 25. Summary 25  Automata theory & a historical perspective  Chomsky hierarchy  Finite automata  Alphabets, strings/words/sentences, languages  Membership problem  Proofs:  Deductive, induction, contrapositive, contradiction, counterexample  If and only if  Read chapter 1 for more examples and exercises