Centre for Sustainable Infrastructure

and Systems (CSIS)

20th Jan 2025

CS 2204
Theory of Computation
Introduction

Prafulla Kalapatapu
Dept of CSE, Program Coordinator for AI
Center for Sustainable Infrastructure and Systems
(CSIS) CS2204-TOC
CSIS - MU
École Centrale School of Engineering, Mahindra University
 Centre for Sustainable Infrastructure
and Systems (CSIS)

Lecture -1
Introduction
Course Details, Components, Motivation

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Instructor: Prafulla Kalapatapu

Office Hours 4:00 PM – 5:00 PM Wednesday (CSIS – SF)
Lecture
TAs: TBD

Monday 01:35 – 02:30 AM (ELT3) Homework, Exams, Quizzes :

Tuesday 02:35 – 03:30 AM (ELT3) - See Course Information on Course Handout
- Handout will be mailed.
Thursday 02:35 – 03:30 AM (ELT3)

Course Content :
- Slides will be shared to your outlook mails on every Friday.

Text
- “Introduction to the Theory of Computation” Sipser, 3rd Edition.
(Other editions ok but are missing some Exercises and Problems).

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Course Grading Policy

S.No Evaluation Weightage Mode

1 Assignment/S-quizes 20% Closed Book

2 Major Exam 40% Closed Book

4 Minor -1 20% Closed Book

5 Minor -2 20% Closed Book

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Course Coverage

Topics No.of Lectuers

Module 1 4
Module 2 16
Module 3 4
Module 4 6
Module 5 8

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Course Expectation

Prerequisites
• Prior substantial experience and comfort with mathematical concepts, theorems,
and proofs.
• Creativity & practice will be needed for attempting exams well.

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Course Motivation

What should you expect to get out of this course?

1. Applications
2. Basic Research
3. Connections to other fields
4. What is the nature of computation?

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What is computable?
Examples:
– check if a number n is prime
– compute the product of two numbers
– sort a list of numbers
– find the maximum number from a list
Hard but computable:
– Given a set of linear inequalities, maximize a linear function
Eg. maximize 5x+2y
3x+2y < 53
x < 32
5x –9y > 22
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Theory of Computation?
Primary aim of the course: What is “computation”?

• Can we define computation without referring to a modern C computer?

• Can we define, mathematically, a computer? (yes, Turing machines)

• Is computation definable independent of present-day engineering limitations,

understanding of physics, etc.?

• Can a computer solve any problem, given enough time and disk-space? Or
are they fundamental limits to computation?

In short, understand the mathematics of computation

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Logic Building
Algorithms, flow charts, logics

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Problem Statement 1
• Write an algorithm to find sum of numbers from 1 to 10
Pre-Analysis :
1 2 3 4 5 6 7 8 9 10
3
Logic = prev sum + nxt numb
6

10

15

21

• How many variables required ?

- Previous sum (sum=0) prev sum of first numbers is ? 0,
so sum=0
- Next number (i=1)
- Till how many numbers (n=10)

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Algorithm

step 1 : Begin
step 2 : input n
step 3 : initialize sum=0, i=1
step 4 : sum= sum+i
step 5 : i=i+1
step 6 : if (i<=n) then goto step4
step 7 : display sum
step 8 : end

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Problem Statement 2
• Write an algorithm to find sum of individual digits of a given number
Pre-Analysis :
Ex: given number n = 376
3 7 6
13 Logic = individual digit(unit’s place)
+ prev sum
16
First get individual digit of Unit’s
place

• How many variables required ?

- Previous sum (sum=0)
- input number (n=376)
- reminder variable (r)

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Algorithm

step 1 : Begin
step 2 : initialize n=376 or input n
step 3 : initialize sum=0, r
step 4 : r = n % 10 Observations :
• Why r=n%10 to be written
step 5 : sum = sum + r • Why n=n/10
step 6 : n = n /10 • n>0
step 7 : if (n>0) then goto step4
step 8 : display sum
step 9 : end

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Problem Statement 3
Write an algorithm to know given number is Armstrong number or not
Pre-Analysis :
Ex: given number n = 153
1 5 3
3*3*3 = 27 Logic = cube of individual digit(unit’s
5*5*5 =125 place) + prev sum

1*1*1 27 + 125 = 152 First get individual digit of Unit’s

place
152+1 = 153

How many variables required ?

- Previous sum (sum=0)
- input number (n=153)
- reminder variable (r)

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Algorithm
step 1 : Begin
step 2 : initialize n=153 or input n
step 3 : initialize sum=0, d=n , r
step 4 : r = n % 10
Observations :
step 5 : sum = sum + r*r*r • Why d=n to be written
• What if instead of d=n, n=d written?
step 6: n = n /10 • r*r*r
step 7 : if (n>0) then goto step4 • sum == d , why not sum == n
step 8 : if(sum==d) then
step 8.1 : display “Armstrong”
else
step 8.2 : display “not Armstrong”
step 9 : end

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Problem Statement 4
Write an algorithm to find the given number is even or odd
Analysis : 0 even
Logic = n % 2 =
1 odd
Algorithm

step 1 : begin
step 2 : Read n
step 3 : if(n%2 == 0) then
step 3.1 : print “even”
else
step 3.2 : print “odd”
step 4 : end

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Problem Statement 5
Write an algorithm to swap two numbers
(i) using temp variable
(ii) without using temp variable
Logic :
How many variables required ?
3
c=a
- First value a=b
- Second value b=c

- Temp variable

How many variable required ?

2 a=a+b
b=a-b
- First value a=a-b
- Second value

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Algorithm (i) : Algorithm (ii) : Observations :

Step 1 : begin Step 1 : begin With respect to speed :

Algorithm (i) is preferred
Step 2 : read a , b Step 2 : read a , b Why ?
3 operations (all assignment opts)
Step 3 : c = a Step 3 : a = a + b
With respect to memory :
Step 4 : a = b Step 4 : b = a - b Algorithm (ii) is preferred
why ?
Step 5 : b = c Step 5 : a = a - b 2 variables used ( a, b)

Step 6 : print a , b Step 6 : print a , b

Step 7 : end Step 7 : end

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Lecture -2
Automata, computation, complexity

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This course teaches two things:

• Mathematical maturity -> Is the key to success in your scientific career

- Practice mathematical notation: sets, quantifiers, etc.
- Get some exposure to proofs

• Theory of computation
- We develop models of computation, and ask:
-> what can and cannot be computed in these models, and how
quickly? with how much memory?

- Questions fundamental to all of science.

-> Nature computes!

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Theory of computation:

• Most famous open question:

Is P = NP ?

• “Millennium Problem” with prize $1M

• We will learn what this question means in this course

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Overview of material in Theory of Computation:

• Automata Theory

• Computability Theory

• Complexity Theory

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Automata Theory

• Finite automata: Computers with no memory

Motivation: Numbers, names, in Prog. Languages

Example: x = -0.0565

• Context-free grammars: Memory = stack

Motivation: Syntax, grammar of Prog. Languages

Example: if (...) then (…) else (…)

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Computability Theory

• Turing Machines: “Compute until the sun dies”

Motivation: What problems can be solved at all?

Example: Given a program, does it have a bug?

We will prove impossible to determine!

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Complexity Theory

• P, NP: Model your laptop

Motivation: What problems can be solved fast?

Example: Given a formula with 1000 variables like

(X OR Y) AND (X OR NOT Z) AND (Z OR Y) …
Is it satisfiable or not?
Does it take 1 thousand years or 1 second to know?

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Lecture -3
Automata Theory

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What is Automata Theory?

• 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

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(A pioneer of automata theory)
Alan Turing (1912-1954)
• Father of Modern Computer Science
• English mathematician
• Studied abstract machines called Turing
machines even before computers existed
• Heard of the Turing test?

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Theory of Computation: A Historical Perspective

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

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Languages & Grammars

• Languages: “A language is a collection of

Or “words” 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

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The Chomsky Hierachy

• A containment hierarchy of classes of formal languages

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

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The Central Concepts of

Automata Theory

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Alphabet
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}
• …

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Strings
A string or word is a finite sequence of symbols chosen from ∑
• Empty string is  (or “epsilon”)

• Length of a string w, denoted by “|w|”, is equal to the number of (non-

) characters in the string
• E.g., x = 010100 |x| = 6
• x = 01  0  1  00  |x| = ?

• xy = concatenation of two strings x and y

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Powers of an alphabet
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 …

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Languages
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 = {, 01, 0011, 000111,…}
2. Let L be the language of all strings of with equal number of 0’s and 1’s:
L = {, 01, 10, 0011, 1100, 0101, 1010, 1001,…}

Canonical ordering of strings in the language

Definition: Ø denotes the Empty language

• Let L = {}; Is L=Ø? NO

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The Membership Problem

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?

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Finite Automata
• 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)

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Finite Automata : Examples

• On/Off switch action
state

• Modeling recognition of the word “then”

Start state Transition Intermediate Final state

state

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Structural expressions
• 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 Should end w/ 2-letter state code

letters (possibly
empty)
Other space delimited words
(part of city name)

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Formal Proofs

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Deductive Proofs
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.”
given conclusion

(there are other ways of writing this).

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Example: Deductive proof

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:
1) Given: x = a2 + b2 + c2 + d2
2) Given: a≥1, b≥1, c≥1, d≥1
3) ➔ a2≥1, b2≥1, c2≥1, d2≥1 (by 2)
4) ➔x≥4 (by 1 & 3)
5) ➔ 2x ≥ x2 (by 4 and Claim 1)
“implies” or “follows”

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On Theorems, Lemmas and Corollaries

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.

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Quantifiers
“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”

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Proving techniques
• 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

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Proving techniques…
• 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

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Different ways of saying the same thing

“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

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“If-and-Only-If” statements
• “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”

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Take home message

• 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 from prescribed TextBook

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Finite Automaton (FA)

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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

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Deterministic Finite Automata - Definition

• DFA refers to Deterministic Finite Automata.
• Deterministic refers to the uniqueness of the computation.
• The finite automata are called deterministic finite automata if the
machine reads an input string -> one symbol at a time.
• In DFA, there is only one path for specific input from the current state to
the next state.
• DFA does not accept the null move, i.e., the DFA cannot change state
without any input character.
• DFA can contain multiple final states. It is used in Lexical Analysis in
Compiler.

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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 }

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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.

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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

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The Chomsky Hierachy

• A containment hierarchy of classes of formal languages

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

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Examples to discuss in lecture hour - DFA

1. L= set of all strings that start with 0 over {0,1}

2. L= DFA that accepts sets of al strings over {0,1} of length 2

3. L= DFA which accepts all the strings containing atleast 3 a’s with {a,b}
into three broad categories atleast, exactly, atmost.

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Example #1 Transition diagram

Q = {q0, q1, q2}

∑ = {0, 1}
q0 = {q0}
F = {q2}
Transition table

Present State Next state for Next State of

Input 0 Input 1
→q0 q0 q1
q1 q2 q1
*q2 q2 q2

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Example #2
DFA with ∑ = {0, 1} accepts all starting with 0.

Transition diagram Transition table ?????

Present State Next state for Next State of

Input 0 Input 1

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Example #3
• 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”

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DFA for strings containing 01 Regular expression: (0+1)*01(0+1)*

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

1 0,1 • ∑ = {0,1}
0
• start state = q0
start 0 1
q0 q1 q2 • F = {q2}
Accepting • Transition table
state symbols
0 1
q0 q1 q0
• What if the language allows

states
q1 q1 q2
empty strings? *q2 q2 q2

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