2 Fa

Finite Automata
A simple model of
computation
Outline
Deterministic finite automata (DFA)
How a DFA works
How to construct a DFA
Non-deterministic finite automata (NFA)

How an NFA works
How to construct an NFA
Equivalence of DFA and NFA

Closure properties of the class of languages
accepted by FA
Jaruloj Chongstitvatana
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Chapter 2 Finite Automata
Finite Automata (FA)

Finite set of states
CONTROL
UNIT
is in exactly one
state at a time
Start state
Final state(s)
TAPE
HEAD
Move to the right one cell

at a time
INPUT TAPE
Store input of the DFA
Can be of any length
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What does an FA do?

Read an input string from tape
Determine if the input string is in a language

Determine if the answer for the problem is
YES or NO for the given input on the tape
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How does an FA work?

At the beginning,
an FA is in the start state (initial state)
its tape head points at the first cell
For each move, FA

reads the symbol under its tape head
changes its state (according to the transition function) to
the next state determined by the symbol read from the
tape and its current state
move its tape head to the right one cell
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When does an FA stop working?

When it reads all symbols on the tape
Then, it gives an answer if the input is in the

specific language:
Answer YES if its last state is a final state
Answer NO if its last state is not a final state
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Example of a DFA
q
(q,a)
f
1
Transition diagram
Transition function
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How to define a DFA

a 5-tuple (Q, , , s, F), where Thats why its called
a set of states Q is a finite set
a finite automaton.
an alphabet is a finite, non-empty set
a start state s in Q
a set of final states F contained in Q
a transition function is a function Q Q
See formal definition

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How an FA works
0
f
1
Input: 001101
0 0 1 1 0 1
Input: 01001
0 1 0 0 1
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ACCEPT
REJECT
Configurations
Definition
Let M =(Q, , , s, F ) be a deterministic finite automaton.
A configuration of M is an element of Q
Current state
Unread input string
configurations of M
(s, ),
(s, 00),
(s, 01101),
(f, ),
(f, 0011011001),
(f, 1111), (f, 011110)
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f
1
Transition diagram of M
10
Yielding next configuration

Definition
Let M = (Q, , , s, F ) be a deterministic finite automaton,
and (q0, 0) and (q1, 1) be two configurations of M.
We say (q0, 0) yields (q1, 1) in one step, denoted by (q0, 0)
M (q1, 1), if (q0, a) = q1, and 0=a 1, for some a .
When a configuration yields another configuration, the first
symbol of the string is read and discarded from the
configuration.
Once a symbol in an input string is read, it does not effect
how the DFA works in the future.
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11
Example: yielding next configuration

0
f
1
001101
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(s, 001101)
M (s, 01101)
M (s, 1101)
M (f, 101)
M (s, 01)
M (s, 1)
M (f, )
12
Yield in zero step or more

Definition
Let M = (Q, , , s, F) be a DFA, and (q0, 0) and

(q1, 1) be two configurations of M. (q0, 0) yields
(q1, 1) in zero step or more, denoted by (q0, 0)
*M (q1, 1), if
q0= q1 and 0 = 1, or
(q0, 0) M (q2, 2) and (q2, 2) *M (q1, 1) for
some q2 and 2.
This definition is an inductive definition, and it is often
used to prove properties of DFAs.
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13
Example: Yield in zero step or more

0
f
1
(s, 01001)
(s, 001101)
*M (f, 101)
*M (f, 001)
*M (s, 01)
*M (f, 001)
*M (f, )
*M (f, 1)
*M (s, )
*M (f, )
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14
Accepting a string
Definition
Let M = (Q, , , s, F) be a DFA, and *.

We say M accepts if (s, ) *M (f, ), when f
F. Otherwise, we say M rejects .
(s, 001101) *M (f, ) M accepts 001101
(s, 01001) *M (s, ) M rejects 01001

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15
Language accepted by a DFA

Let M = (Q, , , s, F ) be a DFA. The language accepted by
M, denoted by L(M ) is the set of strings accepted by M.
That is, L(M) = {*|(s, ) *M (f, ) for some f F }
Example:
L(M) = {x {0,1}* | the number of 1s in x is odd}.

0
f
1
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16
Example
0
0, 1
0
1
1
1
1
1
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1
0
0, 1
0
17
How to construct a DFA

Determine what a DFA need to memorize in order to
recognize strings in the language.
Hint: the property of the strings in the language
Determine how many states are required to memorize

what we want.
final state(s) memorizes the property of the strings in the
language.
Find out how the thing we memorize is changed once

the next input symbol is read.
From this change, we get the transition function.
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18
Constructing a DFA: Example
Consider L= {{0,1}*| has both 00 and 11 as

substrings}.
Step 1: decide what a DFA need to memorize
Step 2: how many states do we need?
Step 3: construct the transition diagram
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19
Example
Got 00
and got 1
Got 00 as
substring
0
Got 0 as
substring
Got 00 and 11
as substrings
0, 1
0
1
s
Got
nothing
1
1
1
1
Got 1 as
substring
Got 11 as
substring
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1
0
0, 1
0
Got 11
and got 0
Got 11 and 00
as substrings
20
Constructing a DFA: Example
Consider L= {{0,1}*| represents a binary number divisible by

3}.
Step 1: decide what a DFA need to memorize
L = {0, 00, 11, 000, 011, 110, 0000, 0011, 0110, 1001, 00000, ...}.
remembering that the portion of the string that has been read so far is
divisible by 3
Step 2: how many states do we need?
2 states remembering that

the string that has been read is divisible by 3
the string that has been read is indivisible by 3.
Choose this!!
Why?
3 states remembering that

the string that has been read is divisible by 3
the string that has been read - 1 is divisible by 3.
the string that has been read - 2 is divisible by 3.
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21
Using 2 states
Reading a string w representing a number divisible

by 3.
Next symbol is 0. w 0, which is 2*w, is also divisible by
3.
If w=9 is divisible by 3, so is 2*w=18.
Next symbol is 1. w 1, which is 2*w +1, may or may
not be divisible by 3.
If 8 is indivisible by 3, so is 17.
If 4 is indivisible by 3, but 9 is divisible.
Using these two states is not sufficient.
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22
Using 3 states
Each state remembers the remainder of the

number divided by 3.
If the portion of the string that has been read so

far, say w, represents the number whose
remainder is 0 (or, 1, or 2),
If the next symbol is 0, what is the remainder of w 0?
If the next symbol is 1, what is the remainder of w 1?
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23
How remainder changes

Current
number
Current
remainder
Next
symbol
New
number
New
remainder
3n
6n
3n
6n+1
3n+1
6n+2
3n+1
6n+3
3n+2
6n+4
3n+2
6n+5
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24
Transition table
Current
number
Current
Current
state
remainder
Next
symbol
New
number
New
Next
state
remainder
3n
6n
3n
6n+1
3n+1
6n+2
3n+1
6n+3
3n+2
6n+4
3n+2
6n+5
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25
Example DFA
Current
state
Next
symbol
Next
state
q0
q0
q0
q1
q1
q2
q1
q2
q1
q2
q2
q0
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M = ({q0, q1, q2}, {0, 1},

, q0, {q0})
0
q0
1
1
1
0
q1
q2
26
Nondeterministic Finite Automata

Similar to DFA
Nondeterministic move
On reading an input symbol, the automaton can choose to
make a transition to one of selected states. 0
0
Without reading any symbol, the automaton can choose to

make a transition to one of selected states or not.
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27
How to define an NFA

a 5-tuple (Q, , , s, F), where
a set of states Q is a finite set
an alphabet is a finite, non-empty set
a start state s in Q
a set of final states F contained in Q
a transition function is a function Q({})2Q
See formal definition

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28
Example of NFA
An NFA accepting {w{0,1} |w ends with 11}
1
DFA
0
1
0
0,1
1
1
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29
Yielding next configuration

Definition
Let M = (Q, , , s, F) be a non-deterministic

finite automaton, and (q0, 0) and (q1, 1) be two
configurations of M.
We say (q0, 0) yields (q1, 1) in one step,
denoted by (q0, 0) M (q1, 1), if q1 (q0, a,),
and 0=a 1, for some a {}.
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30
Yield in zero step or more

Definition
Let M = (Q, , , s, F) be an NFA, and (q0, 0)

and (q1, 1) be two configurations of M. (q0,
0) yields (q1, 1) in zero step or more,
denoted by (q0, 0) *M (q1, 1), if
q0= q1 and 0 = 1, or
Same as that for DFA
(q0, 0) M (q2, 2) and (q2, 2) *M (q1,

1) for some q2 and 2.
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31
Accepting a string
Definition
Let M = (Q, , , s, F) be an NFA, and

*. We say M accepts if (s, ) *M (f, ),
when f F. Otherwise, we say M rejects .
Same as the
definition for
a DFA
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32
Language accepted by an NFA
Let M = (Q, , , s, F) be an NFA.
The language accepted by M, denoted by

L(M) is the set of strings accepted by M. That
is, L(M) = {*| (s,) *M (f, ) for some
fF}
Same as the
definition for
a DFA
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33
How NFAs work

(s,01111) - (s,1111) - (s,111)
- (s,11) - (s,1) - (s,)
0,1
(s,01111) - (s,1111) - (s, 111)

- (s,11) - (s,1) - (q,)
s, 1111
s, 111
(s,01111) - (s, 1111) - (s, 111)

- (q,11) - (f,1)
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s, 01111
(s,01111) - (s, 1111) - (s, 111)

- (s,11) - (q,1) - (f, )
(s,01111) - (s, 1111) - (q, 111)

- (f,11)
s, 11
s, 1
s,
q,
q, 111
q, 11 f, 11
q, 1
f, 1
f,
34
Other examples of NFA

0
0,1
0,1
{w {0,1}* | w has either 00

or 11 as substring}
0,1
0
0,1
0,1
0,1
{w {0,1}* | w has 00 and

11 as substrings and 00
comes before 11}
0,1
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35
DFA and NFA are equivalent

Md and Mn are equivalent L(Md) = L(Mn).
DFA and NFA are equivalent
For any DFA Md, there exists an NFA Mn such that

Md and Mn are equivalent. (part 1)
For any NFA Mn, there exists a DFA Md such that Md
and Mn are equivalent. (part 2)
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36
Part 1 of the equivalence proof

For any DFA Md, there exists an NFA Mn such that
Md and Mn are equivalent.
Proof: Let Md be any DFA. We want to construct an
NFA Mn such that L(Mn) = L(Md).
From the definitions of DFA and NFA, if M is a DFA
then it is also an NFA.
Then, we let Mn = Md.

Thus, L(Md) = L(Mn).
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37
Part 2 of the equivalence proof

For any NFA Mn, there exists a DFA Md such that
Md and Mn are equivalent.
Proof: Let Mn = (Q, , , s, F) be any NFA. We want to
construct a DFA Md such that L(Md) = L(Mn).
First define the closure of q, denoted by E(q).
Second, construct a DFA Md=(2Q, , ', E(s), F')
Finally, prove
f F (s,) |-*Mn (f, )
f 'F ' (E(s), ) |-*Md (f ' , ).
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38
Eliminating transitions to multiple states

s
0,1
s
0
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s,q
s,q,f
39
Eliminating empty-string transitions

s
r
s
f
1
p,q, r
0 ,1
r
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0,1
p,q,r,f
40
Closure of state q
Let M = (Q, , , s, F) be an NFA, and qQ.
The closure of q, denoted by E(q), is

the set of states which can be reached from q
without reading any symbol.
{pQ| (q, ) |-M* (p, )}
If an NFA is in a state q, it can also be in any

state in the closure of q without reading any
input symbol.
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41
Example of closure
M=({s, q, f}, {a, b, c}, , s, {f})
where is defined below.
a
state
closure
s, q, f
q, f
f
L(M)={ai bj ck | i, j, k 0}
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42
Another example of closure

q0
q0
a
q1
q3
1 q1
b
a
a
q1
q2
q2 , q3
q3
2 q2 , q3
3
q2
b
(q,a,r) (q,b,r) (q,,r)
q0
q2
q1 q0 ,q4
q4
q2
q1
q2, q3
q4
q3 q4
q4
q3 q4
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q3
43
Constructing the equivalent DFA

Let Mn = (Q, , , s, F) be any NFA. We construct a
DFA Md =(2Q, , ', E(s), F'), where :
'(q',a) = {rE(p)| p (q,a) } and
qq'
F' = {f Q | f F })
a
q
DFA
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44
Example of DFA construction

q0
a
q1
E(q0)
q3
q2
q0, q1,
q2, q3
E(q1)
E(q2) E(q3)
q1, q2, q2
q3
q3
E(q4)
q3,q4
b
q4
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45
Example of DFA construction

E(q0) E(q1) E(q2) E(q3) E(q4)
q0, q1, q1,

q2
q2, q3 q2, q3
q3
q0,q1,q2,q3
a
q3,q4
a
q0,q1,q2,q3,q4
(q,a,r)
q0
q1
q2
q0 q4
q2
q3
(q,b,r) (q,,r)
q1
q2 q3
q4
q4
a
q2,q3,q4
a
b
q3,q4
a,b
q4
q3
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46
Prove property of and '

Let Mn = (Q, , , s, F) be any NFA, and Md = (2Q, , ',
E(s), F') be a DFA, where
'(q', a) = {rE(p)| p(q,a)} and
qq'
F' = {f Q | f F }
Prove , fF (s,) |-*Mn (f, ) f 'F ' (E(s), )
|-*Md (f', ) and ff' by induction.
Prove a more general statement , p, qQ

(p,) |-*Mn (q, ) (E(p), ) |-*Md (q', ) and qq'.
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47
Proof
Part I:
For any string in *, and states q and r in Q,

there exists R Q such that
(q, ) *Mn (r, ) (E(q), ) *Md (R, ) and
rR.
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48
Proof
Basis:
Let be a string in *, q and r be states in Q, and (q, )

*Mn (r, ) in 0 step.
Because (q, ) *Mn (r, ) in 0 step, we know (1) q=r ,
and (2) = .
Then, (E(q), ) = (E(r), ).
Thus, (E(q), ) *Md (E(r), ) .
That is, there exists R=E(r) such that r R and (E(q),)
*Md (R, ).
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49
Proof
Induction hypothesis:
For any non-negative integer k, string in *, and
states q and r in Q, there exists R Q:
(q, ) *Mn (r, ) in k steps -> (E(q), ) *Md (R, ) and
rR.
Induction step:
Prove, for any non-negative integer k, string in *,
and states q and r in Q, there exists R Q:
(q, ) *Mn (r, ) in k+1 steps -> (E(q), ) *Md (R, )
and rR.
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50
Proof
Let be a string in *, q and r be states in Q,
and (q, ) *Mn (r, ) in k+1 steps.
Because (q, ) *Mn (r, ) in k+1 steps and k0,
there exists a state p in Q and a string *
such that (q, ) *Mn (p, a) in k steps and (p, a)
Mn (r, ) for some a {}.
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51
Proof
From the induction hypothesis and (q, ) *Mn (p, a) in
k steps, we know that there exists PQ such that
(E(q), ) *Md (P, a) and pP.
Since (p, a) Mn (r, ), r(p, a).
From the definition of of Md, E((p, a)) (P, a)

because pP.
Because r(p, a) and E((p, a)) (P, a), r(P, a).
Then, for R=(P, a), (P, a) *Md (R, ) and rR.
Thus, (E(q), ) *Md (P, a) *Md (R, ) and rR.
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52
Proof
Part II:
For any string in *, and states q and r in Q, there exists R Q
such that rR and
(E(q), ) *Md (R, ) -> (q, ) *Mn (r, ).
E(q)
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rR
53
Proof
Basis:
Let be a string in *, q and r be states in Q, R be a

subset of Q such that r R and (E(q), ) *Md (R, )
in 0 step.
Because (E(q),) *Md (R, ) in 0 step, E(q)=R and =.
From the definition of E, (q, )=R because E(q)=R.
Then, for any rR, (q, ) *Mn (r, ).
That is, there exists R=E(q) such that r R and (q, )
*Mn (r, ).
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54
Proof
Induction hypothesis:
For any non-negative integer k, string in *, and states q

and r in Q, there exists R Q such that rR and:
(E(q), ) *Md(R, ) in k steps ->(q, ) *Mn(r, ).
Induction step:
Prove, for any non-negative integer k, string in *, and
states q and r in Q, there exists R Q such that rR:
(E(q),)*Md(R, ) in k+1 steps ->(q, ) *Mn(r, ).
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55
Proof
Let be a string in *, q and r be states in Q, and (E(q), ) *Md
(R, ) in k+1 steps.
Because (E(q), ) *Md (R, ) in k+1 steps and k0, there exists
P2Q (i.e. PQ) and a string * such that =a, (E(q), )
*Md (P,) in k steps and (P, a) Md (R, ) for some a.
E(q)
q
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k+1 steps
rR
56
Proof
From the induction hypothesis and (E(q), ) *Md (P, ) in k
steps, we know that there exists pP such that (q, )*Mn(p,)
(i.e. (q, a) *Mn (p, a) ).
Since (P, a) Md (R, ), there exists rR such that r= (p, a).
Then, for some rR, (p, a) *Mn (r, ).
Thus, (q, ) *Mn (p, a) *Mn (r, ) for some rR.
E(q)
pP
a
p
q
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k+1 steps
rR
57
Closure Properties
The class of languages accepted by FAs is
closed under the operations
Union
Concatenation
Complementation
Kleenes star
Intersection
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58
Closure Property under Union

The class of languages accepted
by FA is closed under union.
Proof:
sA
Let MA = (QA, , A, sA, FA) and
MB = (QB, , B, sB, FB) be any FA.

s
We construct an NFA M =
(Q, , , s, F) such that

sB
Q = QA QB {s}
= A A {(s, , {sA, sB})}
F = F A FB
We prove that L(M) = L(MA)L(MB).
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59
Proof
To prove L(M) = L(MA) L(MB), we prove:
I. For any string * L(MA) or L(MB) L(M) &
II. For any string * L(MA) and L(MB). L(M)
For I, consider (a) L(MA) or (b) L(MB).
For (a), let L(MA).
From the definition of strings accepted by an FA, there is a
state fA in FA such that (sA, ) |-*MA (fA, ).
Because A,
(sA, ) |-*M (fA, ) also.
sA
Because sA(s,), (s, ) |-M (sA, ).
Thus, (s, ) |-M (sA, ) |-*M (fA, ).

s
Because fA F, L(M).
sB
Similarly for (b).
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60
Proof
For (II), let L(MA)L(MB).
Because (s, , {sA, sB}), either (s,) |-M (sA,) or (s, ) |-M (sB, ) only.
Because L(MA), there exists no fA in FA such that (sA,) |-*MA (fA,).
Because L(MB), there exists no fB in FB such that (sB, ) |-*MB (fB, ).

Since there is no transition between states in QA and QB in M, there
exists no state f in F=FAFB such that (s, ) |-M (sA, ) |-*M (fA, )
or (s, ) |-M (sB, ) |-*M (fB, ).
That is, L(M).
Thus, L(M) = L(MA)L(MB).
sA
sB
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61
Closure under concatenation
sA
sB
MB
MA
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62
Closure under complementation
sA
MA
DFA only
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63
Closure under Kleenes star
sA
fA
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64
Closure under intersection

The class of languages accepted by FA is closed under intersection.
Proof: Let L1 and L2 be languages accepted by FA.
L1 L2 = (L1 L2)
By the closure property under complementation, there are FA
acceptingL1 andL2.
By the closure property under union, there is an FA acceptingL1
L2.
By the closure property under complementation, there is an FA
accepting(L1 L2).
Thus, the class of languages accepted by FA is closed under
intersection.
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65
DFA accepting the intersection of two

languages
Let MA = (QA, , A, sA, FA) and
MB = (QB, , B, sB, FB) be any FA.

We construct an NFA M = (Q, , , s, F) such
that
Q = Q A QB
= A A (i.e. ((qA,qB),a) = A(qA,a)B(qB,a))
s = (sA, sB)
F = F A FB
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66
Example
p0,q0
q0
p1,q1
p0,q1
1
1
0
q1
1
0
p0,q2
q2
p1,q0
1
0,1
p0
p1
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p2
p2,q0
p1,q2
1
p2,q1
p2,q2
67
Check list
Basic
Advanced
Explain how DFA/NFA work

(configuration, yield next
configuration)
Prove DFA/NFA accepting a

language
Prove properties of DFA/NFA
Find the language accepted by

DFA/NFA
Configuration change
Construct DFA/NFA accepting a

given language
etc.
Find closure of a state

Convert an NFA into a DFA
Prove a language accepted by FA
Construct FA from other FAs
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Under some modification
Prove some properties of

languages accepted by
DFA/NFA
Under some modification
Surprise!
68

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Finite Automata

Non-deterministic finite automata (NFA)

Equivalence of DFA and NFA

Chapter 2 Finite Automata

Finite Automata (FA)

Move to the right one cell

Chapter 2 Finite Automata

What does an FA do?

Determine if the input string is in a language

Chapter 2 Finite Automata

How does an FA work?

For each move, FA

Chapter 2 Finite Automata

When does an FA stop working?

Then, it gives an answer if the input is in the

Chapter 2 Finite Automata

Chapter 2 Finite Automata

How to define a DFA

an alphabet is a finite, non-empty set

See formal definition

Chapter 2 Finite Automata

Chapter 2 Finite Automata

Unread input string

Yielding next configuration

Chapter 2 Finite Automata

Example: yielding next configuration

Chapter 2 Finite Automata

Yield in zero step or more

Let M = (Q, , , s, F) be a DFA, and (q0, 0) and

Chapter 2 Finite Automata

Example: Yield in zero step or more

Chapter 2 Finite Automata

Let M = (Q, , , s, F) be a DFA, and *.

(s, 01001) *M (s, ) M rejects 01001

Chapter 2 Finite Automata

Language accepted by a DFA

L(M) = {x {0,1}* | the number of 1s in x is odd}.

Chapter 2 Finite Automata

Chapter 2 Finite Automata

How to construct a DFA

Determine how many states are required to memorize

Find out how the thing we memorize is changed once

Chapter 2 Finite Automata

Constructing a DFA: Example

Consider L= {{0,1}*| has both 00 and 11 as

Step 1: decide what a DFA need to memorize

Step 2: how many states do we need?

Step 3: construct the transition diagram

Chapter 2 Finite Automata

Constructing a DFA: Example

Consider L= {{0,1}*| represents a binary number divisible by

Step 1: decide what a DFA need to memorize

Step 2: how many states do we need?

2 states remembering that

3 states remembering that

Chapter 2 Finite Automata

Reading a string w representing a number divisible

Using these two states is not sufficient.

Chapter 2 Finite Automata

Each state remembers the remainder of the

If the portion of the string that has been read so

Chapter 2 Finite Automata

How remainder changes