Finite Automata

Reading: Chapter 2

1
Finite Automaton (FA)
■ Informally, a state diagram that comprehensively
captures all possible states and transitions that a
machine can take while responding to a stream or
sequence of input symbols
■ Recognizer for “Regular Languages”

■ Deterministic Finite Automata (DFA)

■ The machine can exist in only one state at any given time
■ Non-deterministic Finite Automata (NFA)
■ The machine can exist in multiple states at the same time

2
Deterministic Finite Automata
- Definition
■ A Deterministic Finite Automaton (DFA)
consists of:
■ Q ==> a finite set of states
■ ∑ ==> a finite set of input symbols (alphabet)
■ q0 ==> a start state
■ F ==> set of accepting states
■ δ ==> a transition function, which is a mapping
between Q x ∑ ==> Q
■ A DFA is defined by the 5-tuple:
■ {Q, ∑ , q0,F, δ }

3
What does a DFA do on
reading an input string?
■ Input: a word w in ∑*
■ Question: Is w acceptable by the DFA?
■ Steps:
■ Start at the “start state” q0
■ For every input symbol in the sequence w do
■ Compute the next state from the current state, given the
current input symbol in w and the transition function
■ If after all symbols in w are consumed, the current
state is one of the accepting states (F) then accept
w;
■ Otherwise, reject w.
4
Regular Languages
■ Let L(A) be a language recognized by a
DFA A.
■ Then L(A) is called a “Regular Language”.

■ Locate regular languages in the

Chomsky Hierarchy

5
The Chomsky Hierachy
• A containment hierarchy of classes of formal languages

Regul
ar Context-
Context-
(DFA) free Recursively-
sensitive
(PDA) enumerable
(LBA)
(TM)

6
Example #1
■ Build a DFA for the following language:
■ L = {w | w is a binary string that contains 01 as a substring}
■ Steps for building a DFA to recognize L:
■ ∑ = {0,1}
■ Decide on the states: Q
■ Designate start state and final state(s)
■ δ: Decide on the transitions:
■ “Final” states == same as “accepting states”
■ Other states == same as “non-accepting states”

7
 Regular expression: (0+1)*01(0+1)*

DFA for strings containing 01

• What makes this DFA deterministic? • Q = {q0,q1,q2}

1 0 0,1 • ∑ = {0,1}
• start state = q0
start q 0 q 1 q • F = {q2}
0 1 2 • Transition table
Accepting
state symbols
0 1
q0 q1 q0
states

• What if the language allows q1 q1 q2

empty strings? *q2 q2 q2

8
Example #2
Clamping Logic:
■ A clamping circuit waits for a ”1” input, and turns on forever.
However, to avoid clamping on spurious noise, we’ll design a
DFA that waits for two consecutive 1s in a row before
clamping on.
■ Build a DFA for the following language:
L = { w | w is a bit string which contains the substring
11}
■ State Design:
■ q0 : start state (initially off), also means the most recent input
was not a 1
■ q1: has never seen 11 but the most recent input was a 1
■ q2: has seen 11 at least once
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Example #3
■ Build a DFA for the following language:
L = { w | w is a binary string that has even
number of 1s and even number of 0s}
■ ?

10
Extension of transitions (δ) to
Paths (δ)
■ δ (q,w) = destination state from state q
on input string w

■ δ (q,wa) = δ (δ(q,w), a)

■ Work out example #3 using the input

sequence w=10010, a=1:

■ δ (q0,wa) = ?

11
Language of a DFA
A DFA A accepts string w if there is a
path from q0 to an accepting (or final)
state that is labeled by w

■ i.e., L(A) = { w | δ(q0,w) ∈ F }

■ I.e., L(A) = all strings that lead to an

accepting state from q0

12
Non-deterministic Finite
Automata (NFA)
■ A Non-deterministic Finite Automaton
(NFA)
■ is of course “non-deterministic”
■ Implying that the machine can exist in more
than one state at the same time
■ Transitions could be non-deterministic

1 q
q
• Each transition function therefore
…
j
i 1 q maps to a set of states

k
13
Non-deterministic Finite
Automata (NFA)
■ A Non-deterministic Finite Automaton (NFA)
consists of:
■ Q ==> a finite set of states
■ ∑ ==> a finite set of input symbols (alphabet)
■ q0 ==> a start state
■ F ==> set of accepting states
■ δ ==> a transition function, which is a mapping
between Q x ∑ ==> subset of Q
■ An NFA is also defined by the 5-tuple:
■ {Q, ∑ , q0,F, δ }

14
How to use an NFA?
■ Input: a word w in ∑*
■ Question: Is w acceptable by the NFA?
■ Steps:
■ Start at the “start state” q0
■ For every input symbol in the sequence w do
■ Determine all possible next states from all current states, given
the current input symbol in w and the transition function
■ If after all symbols in w are consumed and if at least one of
the current states is a final state then accept w;
■ Otherwise, reject w.

15
 Regular expression: (0+1)*01(0+1)*

NFA for strings containing 01

Why is this non-deterministic?

• Q = {q0,q1,q2}
0,1 0,1 • Σ = {0,1}
• start state = q0
start q 0 q 1 q • F = {q2}
0 1 2 • Transition table
Final
state symbols
0 1
What will happen if at state q1 q0 {q0,q1} {q0}
states

an input of 0 is received? q1 Φ {q2}

*q2 {q2} {q2}

16
Note: Omitting to explicitly show error states is just a matter of design convenience
(one that is generally followed for NFAs), and
i.e., this feature should not be confused with the notion of non-determinism.

What is an “error state”?

■ A DFA for recognizing the key word
“while” q w q h q i q l q e q
0 1 2 3 4 5

Any other input symbol

q
er
Any symbol
r

■ An NFA for the same purpose:

q w q h q i q l q e q
0 1 2 3 4 5

Transitions into a dead state are implicit 17

Example #2
■ Build an NFA for the following language:
L = { w | w ends in 01}
■ ?
■ Other examples
■ Keyword recognizer (e.g., if, then, else,
while, for, include, etc.)
■ Strings where the first symbol is present
somewhere later on at least once

18
Extension of δ to NFA Paths
■ Basis: δ (q,ε) = {q}

■ Induction:
■ Let δ (q0,w) = {p1,p2…,pk}
■ δ (pi,a) = Si for i=1,2...,k

■ Then, δ (q0,wa) = S1 U S2 U … U Sk

19
Language of an NFA
■ An NFA accepts w if there exists at
least one path from the start state to an
accepting (or final) state that is labeled
by w
■ L(N) = { w | δ(q0,w) ∩ F ≠ Φ }

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Advantages & Caveats for NFA
■ Great for modeling regular expressions
■ String processing - e.g., grep, lexical analyzer

■ Could a non-deterministic state machine be

implemented in practice?
■ Probabilistic models could be viewed as extensions of
non-deterministic state machines
(e.g., toss of a coin, a roll of dice)
■ They are not the same though
■ A parallel computer could exist in multiple “states” at the same time

21
Technologies for NFAs
■ Micron’s Automata Processor (introduced in 2013)
■ 2D array of MISD (multiple instruction single data)
fabric w/ thousands to millions of processing
elements.
■ 1 input symbol = fed to all states (i.e., cores)
■ Non-determinism using circuits
■ http://www.micronautomata.com/

22
But, DFAs and NFAs are equivalent in their power to capture langauges !!

Differences: DFA vs. NFA

■ DFA ■ NFA
1. All transitions are deterministic 1. Some transitions could be
■ Each transition leads to non-deterministic
exactly one state ■ A transition could lead to a
2. For each state, transition on subset of states
all possible symbols 2. Not all symbol transitions
(alphabet) should be defined need to be defined explicitly (if
3. Accepts input if the last state undefined will go to an error
visited is in F state – this is just a design
4. Sometimes harder to convenience, not to be
construct because of the confused with
number of states “non-determinism”)
5. Practical implementation is 3. Accepts input if one of the last
feasible states is in F
4. Generally easier than a DFA
to construct
5. Practical implementations
limited but emerging (e.g.,
Micron automata processor)
23
 Equivalence of DFA & NFA
■ Theorem:
Should be ■ A language L is accepted by a DFA if and only if
true for
any L
it is accepted by an NFA.
■ Proof:
1. If part:
■ Prove by showing every NFA can be converted to an
equivalent DFA (in the next few slides…)

2. Only-if part is trivial:

■ Every DFA is a special case of an NFA where each
state has exactly one transition for every input symbol.
Therefore, if L is accepted by a DFA, it is accepted by
a corresponding NFA.
24
Proof for the if-part
■ If-part: A language L is accepted by a DFA if it
is accepted by an NFA
■ rephrasing…
■ Given any NFA N, we can construct a DFA D
such that L(N)=L(D)
■ How to convert an NFA into a DFA?
■ Observation: In an NFA, each transition maps to a
subset of states
■ Idea: Represent:
each “subset of NFA_states” a single “DFA_state”
Subset construction
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NFA to DFA by subset construction
■ Let N = {QN,∑,δN,q0,FN}
■ Goal: Build D={QD,∑,δD,{q0},FD} s.t.
L(D)=L(N)
■ Construction:
1. QD= all subsets of QN (i.e., power set)
2. FD=set of subsets S of QN s.t. S∩FN≠Φ
3. δD: for each subset S of QN and for each input symbol
a in ∑:
■ δD(S,a) = U δN(p,a)
p in s

26
 Idea: To avoid enumerating all of
power set, do
“lazy creation of states”

NFA to DFA construction: Example

■ L = {w | w ends in 01} 1 0
NFA: DFA: 0
[q
1
[q
0,1 [q 0
, 0
,
0
] q1 0 q2
q 0 q 1 q ] ]
1
0 1 2

δD 0 1 δD 0 1
δN 0 1
Ø Ø Ø [q0] [q0,q1] [q0]
q0 {q0,q1} {q0} [q0] {q0,q1} {q0} [q0,q1] [q0,q1] [q0,q2]
q1 Ø {q2} [q1] Ø {q2} *[q0,q2] [q0,q1] [q0]
*q2 Ø Ø *[q2] Ø Ø
[q0,q1] {q0,q1} {q0,q2}
*[q0,q2] {q0,q1} {q0} 0. Enumerate all possible subsets
*[q1,q2] Ø {q2} 1. Determine transitions
*[q0,q1,q2] {q0,q1} {q0,q2} 2. Retain only those states
reachable from {q0}
27
 NFA to DFA: Repeating the example
using LAZY CREATION
■ L = {w | w ends in 01} 1 0
NFA: DFA: 0
[q
1
[q
0,1 [q 0
, 0
,
0
] q1 0 q2
q 0 q 1 q ] ]
1
0 1 2

δN 0 1 δD 0 1
q0 {q0,q1} {q0} [q0] [q0,q1] [q0]
q1 Ø {q2} [q0,q1] [q0,q1] [q0,q2]
*q2 Ø Ø *[q0,q2] [q0,q1] [q0]

Main Idea:
Introduce states as you go
(on a need basis)
28
Correctness of subset construction
Theorem: If D is the DFA constructed
from NFA N by subset construction,
then L(D)=L(N)
■ Proof:

■ Show that δD({q0},w) ≡ δN(q0,w} , for all w

■ Using induction on w’s length:
■ Let w = xa
■ δD({q0},xa) ≡ δD( δN(q0,x}, a ) ≡ δN(q0,w}

29
A bad case where
#states(DFA)>>#states(NFA)
■ L = {w | w is a binary string s.t., the kth symbol
from its end is a 1}

■ NFA has k+1 states

■ But an equivalent DFA needs to have at least 2k

states

(Pigeon hole principle)

■ m holes and >m pigeons
■ => at least one hole has to contain two or more pigeons
30
Applications
■ Text indexing
■ inverted indexing
■ For each unique word in the database, store all
locations that contain it using an NFA or a DFA
■ Find pattern P in text T
■ Example: Google querying
■ Extensions of this idea:
■ PATRICIA tree, suffix tree

31
A few subtle properties of
DFAs and NFAs
■ The machine never really terminates.
■ It is always waiting for the next input symbol or making
transitions.
■ The machine decides when to consume the next symbol from
the input and when to ignore it.
■ (but the machine can never skip a symbol)
■ => A transition can happen even without really consuming an
input symbol (think of consuming ε as a free token) – if this
happens, then it becomes an ε-NFA (see next few slides).
■ A single transition cannot consume more than one (non-ε)
symbol.

32
FA with ε-Transitions
■ We can allow explicit ε-transitions in finite
automata
■ i.e., a transition from one state to another state
without consuming any additional input symbol
■ Explicit ε-transitions between different states
introduce non-determinism.
■ Makes it easier sometimes to construct NFAs
Definition: ε -NFAs are those NFAs with at
least one explicit ε-transition defined.
■ ε -NFAs have one more column in their
transition table 33
 Example of an ε-NFA
L = {w | w is empty, or if non-empty will end in 01}
0,1

q 0 q 1 q
■ ε-closure of a state q,
ECLOSE(q), is the set
ε 0 1 2
of all states (including
start q
’0 itself) that can be
reached from q by
δE 0 1
ε repeatedly making an
*q’0 Ø Ø {q’0,q0}
ECLOSE(q’0) arbitrary number of
q0 {q0,q1} {q0} {q0} ECLOSE(q0) ε-transitions.
q1 Ø {q2} {q1} ECLOSE(q1)
*q2 Ø Ø {q2}
ECLOSE(q2)
34
 To simulate any transition:
Step 1) Go to all immediate destination states.
Step 2) From there go to all their ε-closure states as well.

Example of an ε-NFA
L = {w | w is empty, or if non-empty will end in 01}
0,1

q 0 q 1 q
Simulate for w=101:
ε 0 1 2
q 0’
q ε ε
start
’0 q 0’ q0
1 1
δE 0 1 Ø q0
ε x 0
ECLOSE(q’0)
*q’0 Ø Ø {q’0,q0} q1
q0 {q0,q1} {q0} {q0} ECLOSE(q0) 1
q1 Ø {q2} {q1} q2
*q2 Ø Ø {q2}
35
 To simulate any transition:
Step 1) Go to all immediate destination states.
Step 2) From there go to all their ε-closure states as well.

Example of another ε-NFA

0,1 Simulate for w=101:
q 0 q 1 q ?
ε 0 ε 1 1 2

start q q
’0 3

δE 0 1
ε
*q’0 Ø Ø {q’0,q0,q3}
q0 {q0,q1} {q0} {q0,q3}
q1 Ø {q2} {q1}
*q2 Ø Ø {q2}
q3 Ø {q2} {q3}

36
Equivalency of DFA, NFA, ε-NFA
■ Theorem: A language L is accepted by
some ε-NFA if and only if L is accepted by
some DFA

■ Implication:
■ DFA ≡ NFA ≡ ε-NFA
■ (all accept Regular Languages)

37
Eliminating ε-transitions
Let E = {QE,∑,δE,q0,FE} be an ε-NFA
Goal: To build DFA D={QD,∑,δD,{qD},FD} s.t. L(D)=L(E)
Construction:
1. QD= all reachable subsets of QE factoring in ε-closures
2. qD = ECLOSE(q0)
3. FD=subsets S in QD s.t. S∩FE≠Φ
4. δD: for each subset S of QE and for each input symbol a∈∑:
■ Let R= U δE(p,a) // go to destination states

■ δD(S,a) p=inU
s
ECLOSE(r)// from there, take a union
of all their ε-closures
r in R

Reading: Section 2.5.5 in book 38

 Example: ε-NFA DFA
L = {w | w is empty, or if non-empty will end in 01}
0,1

q 0 q 1 q
ε 0 1 2

start q
’0

δE 0 1 δD 0 1
ε
*q’0 Ø Ø {q’0,q0} *{q’0,q0}
q0 {q0,q1} {q0} {q0} …
q1 Ø {q2} {q1}
*q2 Ø Ø {q2}
39
 Example: ε-NFA DFA
L = {w | w is empty, or if non-empty will end in 01}
0,1 0

{q0, 0
q 0 q 1 q {q0,
0 q 1} 1 q 2}
ε 0 1 2
{q’0 0
1
start q start , 1
q
’0 q 0} 1
ECLOSE union 0

δE 0 1 δD 0 1
ε
*q’0 Ø Ø {q’0,q0} *{q’0,q0} {q0,q1} {q0}
q0 {q0,q1} {q0} {q0} {q0,q1} {q0,q1} {q0,q2}
q1 Ø {q2} {q1} {q0} {q0,q1} {q0}
*q2 Ø Ø {q2} *{q0,q2} {q0,q1} {q0}
40
Summary
■ DFA
■ Definition
■ Transition diagrams & tables
■ Regular language
■ NFA
■ Definition
■ Transition diagrams & tables
■ DFA vs. NFA
■ NFA to DFA conversion using subset construction
■ Equivalency of DFA & NFA
■ Removal of redundant states and including dead states
■ ε-transitions in NFA
■ Pigeon hole principles
■ Text searching applications 41