Lexical Analyzer

Lexical Analyzer reads the source program character by character to

produce tokens.
Normally a lexical analyzer doesnt return a list of tokens at one shot,
it returns a token when the parser asks a token from it.

source
program

Lexical
Analyzer

token

Parser

get next token

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Token

Token represents a set of strings described by a pattern.

Identifier represents a set of strings which start with a letter continues with letters and digits
The actual string (newval) is called as lexeme.
Tokens: identifier, number, addop, delimeter,

Since a token can represent more than one lexeme, additional information should be held
for that specific lexeme. This additional information is called as the attribute of the token.
For simplicity, a token may have a single attribute which holds the required information
for that token.
For identifiers, this attribute a pointer to the symbol table, and the symbol table holds the actual attributes for
that token.

Some attributes:
<id,attr>
where attr is pointer to the symbol table
<assgop,_>
no attribute is needed (if there is only one assignment operator)
<num,val> where val is the actual value of the number.

Token type and its attribute uniquely identifies a lexeme.

Regular expressions are widely used to specify patterns.

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Terminology of Languages
Alphabet : a finite set of symbols (ASCII characters)
String :
Finite sequence of symbols on an alphabet
Sentence and word are also used in terms of string
is the empty string
|s| is the length of string s.

Language: sets of strings over some fixed alphabet

the empty set is a language.
{} the set containing empty string is a language
The set of well-wormed C programs is a language
The set of all possible identifiers is a language.

Operators on Strings:
Concatenation: xy represents the concatenation of strings x and y. s = s
sn = s s s .. s ( n times) s0 =

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s=s

Operations on Languages
Concatenation:
L1L2 = { s1s2 | s1 L1 and s2 L2 }

Union
L1 L2 = { s | s L1 or s L2 }

Exponentiation:
L0 = {}

L1 = L

L2 = LL

Kleene Closure
L* =

L
i 0

Positive Closure
L+ =

L
i 1

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Example
L1 = {a,b,c,d}

L2 = {1,2}

L1L2 = {a1,a2,b1,b2,c1,c2,d1,d2}
L1 L2 = {a,b,c,d,1,2}
L13 = all strings with length three (using a,b,c,d}
L1* = all strings using letters a,b,c,d and empty string
L1+ = doesnt include the empty string
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Regular Expressions
We use regular expressions to describe tokens of a programming
language.
A regular expression is built up of simpler regular expressions (using
defining rules)
Each regular expression denotes a language.
A language denoted by a regular expression is called as a regular set.

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Regular Expressions (Rules)

Regular expressions over alphabet
Reg. Expr

a
(r1) | (r2)
(r1) (r2)
(r)*
(r)

Language it denotes
{}
{a}
L(r1) L(r2)
L(r1) L(r2)
(L(r))*
L(r)

(r)+ = (r)(r)*
(r)? = (r) |
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Regular Expressions (cont.)

We may remove parentheses by using precedence rules.
*
concatenation
|

ab*|c

means

highest
next
lowest

(a(b)*)|(c)

Ex:
= {0,1}
0|1 => {0,1}
(0|1)(0|1) => {00,01,10,11}
0* => { ,0,00,000,0000,....}
(0|1)* => all strings with 0 and 1, including the empty string

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Regular Definitions
To write regular expression for some languages can be difficult, because
their regular expressions can be quite complex. In those cases, we may
use regular definitions.
We can give names to regular expressions, and we can use these names as
symbols to define other regular expressions.
A regular definition is a sequence of the definitions of the form:
d1 r1 where di is a distinct name and

d2 r2
.

ri is a regular expression over symbols in

{d1,d2,...,di-1}

dn rn
basic symbols

previously defined names

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Regular Definitions (cont.)

Ex: Identifiers in Pascal

letter A | B | ... | Z | a | b | ... | z
digit 0 | 1 | ... | 9
id letter (letter | digit ) *
If we try to write the regular expression representing identifiers without using regular definitions, that
regular expression will be complex.
(A|...|Z|a|...|z) ( (A|...|Z|a|...|z) | (0|...|9) ) *

Ex: Unsigned numbers in Pascal

digit 0 | 1 | ... | 9
digits digit +
opt-fraction ( . digits ) ?
opt-exponent ( E (+|-)? digits ) ?
unsigned-num digits opt-fraction opt-exponent

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Finite Automata

A recognizer for a language is a program that takes a string x, and answers yes if x
is a sentence of that language, and no otherwise.
We call the recognizer of the tokens as a finite automaton.
A finite automaton can be: deterministic(DFA) or non-deterministic (NFA)
This means that we may use a deterministic or non-deterministic automaton as a
lexical analyzer.
Both deterministic and non-deterministic finite automaton recognize regular sets.
Which one?
deterministic faster recognizer, but it may take more space
non-deterministic slower, but it may take less space
Deterministic automatons are widely used lexical analyzers.

First, we define regular expressions for tokens; Then we convert them into a DFA to
get a lexical analyzer for our tokens.
Algorithm1: Regular Expression NFA DFA (two steps: first to NFA, then to DFA)
Algorithm2: Regular Expression DFA (directly convert a regular expression into a DFA)

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Non-Deterministic Finite Automaton (NFA)

A non-deterministic finite automaton (NFA) is a mathematical model
that consists of:
S - a set of states
- a set of input symbols (alphabet)
move a transition function move to map state-symbol pairs to sets of states.
s0 - a start (initial) state
F a set of accepting states (final states)

- transitions are allowed in NFAs. In other words, we can move from

one state to another one without consuming any symbol.
A NFA accepts a string x, if and only if there is a path from the starting
state to one of accepting states such that edge labels along this path
spell out x.
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NFA (Example)
a

start

Transition graph of the NFA

0 is the start state s0

{2} is the set of final states F
= {a,b}
S = {0,1,2}
Transition Function:
a
0 {0,1}
1
_
2
_

b
{0}
{2}
_

The language recognized by this NFA is (a|b) * a b

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Deterministic Finite Automaton (DFA)

A Deterministic Finite Automaton (DFA) is a special form of a NFA.
no state has - transition

for each symbol a and state s, there is at most one labeled edge a leaving s.
i.e. transition function is from pair of state-symbol to state (not set of states)

b
0

a
a

The language recognized by

2

this DFA is also (a|b) * a b

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Implementing a DFA
Le us assume that the end of a string is marked with a special symbol
(say eos). The algorithm for recognition will be as follows: (an efficient
implementation)
s s0

{ start from the initial state }

c nextchar
while (c != eos) do
begin
s move(s,c)
c nextchar
end
if (s in F) then
return yes
else
return no

{ get the next character from the input string }

{ do until the en dof the string }
{ transition function }

{ if s is an accepting state }

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Implementing a NFA
S -closure({s0})

{ set all of states can be accessible from s0 by -transitions }

c nextchar
while (c != eos) {
begin
s -closure(move(S,c)) { set of all states can be accessible from a state in S
c nextchar
by a transition on c }
end
if (SF != ) then
return yes
else
return no

{ if S contains an accepting state }

This algorithm is not efficient.

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Converting A Regular Expression into A NFA

(Thomsons Construction)
This is one way to convert a regular expression into a NFA.
There can be other ways (much efficient) for the conversion.
Thomsons Construction is simple and systematic method.
It guarantees that the resulting NFA will have exactly one final state,
and one start state.
Construction starts from simplest parts (alphabet symbols).
To create a NFA for a complex regular expression, NFAs of its
subexpressions are combined to create its NFA,

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Thomsons Construction (cont.)

i

To recognize an empty string

To recognize a symbol a in the alphabet

If N(r1) and N(r2) are NFAs for regular expressions r1 and r2

For regular expression r1 | r2

N(r1)

NFA for r1 | r2

N(r2)

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Thomsons Construction (cont.)

For regular expression r1 r2
i

N(r1)

N(r2)

Final state of N(r2) become final state of N(r1r2)

NFA for r1 r2
For regular expression r*

N(r)

NFA for r*
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Thomsons Construction (Example - (a|b) * a )

a:
b:

(a | b)

(a|b)

(a|b) * a

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Converting a NFA into a DFA (subset construction)

put -closure({s0}) as an unmarked state into the set of DFA (DS)
while (there is one unmarked S1 in DS) do
-closure({s0}) is the set of all states can be accessible
begin
from s0 by -transition.
mark S1
set of states to which there is a transition on
for each input symbol a do
a from a state s in S1
begin
S2 -closure(move(S1,a))
if (S2 is not in DS) then
add S2 into DS as an unmarked state
transfunc[S1,a] S2
end
end

a state S in DS is an accepting state of DFA if a state in S is an accepting state of NFA

the start state of DFA is -closure({s0})

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Converting a NFA into a DFA (Example)

0

S0 = -closure({0}) = {0,1,2,4,7}
S0 into DS as an unmarked state
mark S0
-closure(move(S0,a)) = -closure({3,8}) = {1,2,3,4,6,7,8} = S1
S1 into DS
-closure(move(S0,b)) = -closure({5}) = {1,2,4,5,6,7} = S2
S2 into DS
transfunc[S0,a] S1
transfunc[S0,b] S2
mark S1
-closure(move(S1,a)) = -closure({3,8}) = {1,2,3,4,6,7,8} = S1
-closure(move(S1,b)) = -closure({5}) = {1,2,4,5,6,7} = S2
transfunc[S1,a] S1
transfunc[S1,b] S2
mark S2
-closure(move(S2,a)) = -closure({3,8}) = {1,2,3,4,6,7,8} = S1
-closure(move(S2,b)) = -closure({5}) = {1,2,4,5,6,7} = S2
transfunc[S2,a] S1
transfunc[S2,b] S2

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Converting a NFA into a DFA (Example cont.)

S0 is the start state of DFA since 0 is a member of S0={0,1,2,4,7}
S1 is an accepting state of DFA since 8 is a member of S1 = {1,2,3,4,6,7,8}

a
S1
a
S0

b
S2
b

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Converting Regular Expressions Directly to DFAs

We may convert a regular expression into a DFA (without creating a
NFA first).
First we augment the given regular expression by concatenating it with
a special symbol #.
r (r)#
augmented regular expression
Then, we create a syntax tree for this augmented regular expression.
In this syntax tree, all alphabet symbols (plus # and the empty string) in
the augmented regular expression will be on the leaves, and all inner
nodes will be the operators in that augmented regular expression.
Then each alphabet symbol (plus #) will be numbered (position
numbers).

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Regular Expression DFA (cont.)

(a|b) * a (a|b) * a # augmented regular expression

a
1

#
4
a
3

|
b
2

Syntax tree of (a|b) * a #

each symbol is numbered (positions)
each symbol is at a leave
inner nodes are operators

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followpos
Then we define the function followpos for the positions (positions
assigned to leaves).
followpos(i) -- is the set of positions which can follow
the position i in the strings generated by
the augmented regular expression.
For example,

( a | b) * a #
1 2

3 4

followpos(1) = {1,2,3}
followpos(2) = {1,2,3}
followpos(3) = {4}
followpos(4) = {}

followpos is just defined for leaves,

it is not defined for inner nodes.

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firstpos, lastpos, nullable

To evaluate followpos, we need three more functions to be defined for
the nodes (not just for leaves) of the syntax tree.
firstpos(n) -- the set of the positions of the first symbols of strings
generated by the sub-expression rooted by n.
lastpos(n) -- the set of the positions of the last symbols of strings
generated by the sub-expression rooted by n.
nullable(n) -- true if the empty string is a member of strings
generated by the sub-expression rooted by n
false otherwise
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How to evaluate firstpos, lastpos, nullable

n

nullable(n)

firstpos(n)

lastpos(n)

leaf labeled

true

leaf labeled
with position i

false

{i}

{i}

c2

nullable(c1) or
nullable(c2)

firstpos(c1) firstpos(c2)

lastpos(c1) lastpos(c2)

if (nullable(c1))

if (nullable(c2))

c2

nullable(c1) and
nullable(c2)

|
c1

c1
*
c1

true

firstpos(c1) firstpos(c2)

lastpos(c1) lastpos(c2)

else firstpos(c1)

else lastpos(c2)

firstpos(c1)

lastpos(c1)

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How to evaluate followpos

Two-rules define the function followpos:

1. If n is concatenation-node with left child c1 and right child c2,

and i is a position in lastpos(c1), then all positions in firstpos(c2) are in
followpos(i).
2. If n is a star-node, and i is a position in lastpos(n), then all positions in
firstpos(n) are in followpos(i).

If firstpos and lastpos have been computed for each node, followpos
of each position can be computed by making one depth-first traversal
of the syntax tree.

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Example -- ( a | b) * a #
{1,2,3} {4}
{1,2,3} {3} {4} # {4}
4
{1,2} *{1,2} {3} a{3}
3
{1,2} | {1,2}
{1} a {1} {2} b {2}
2
1

green firstpos
blue lastpos
Then we can calculate followpos
followpos(1) = {1,2,3}
followpos(2) = {1,2,3}
followpos(3) = {4}
followpos(4) = {}

After we calculate follow positions, we are ready to create DFA

for the regular expression.
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Algorithm (RE DFA)

Create the syntax tree of (r) #

Calculate the functions: followpos, firstpos, lastpos, nullable
Put firstpos(root) into the states of DFA as an unmarked state.
while (there is an unmarked state S in the states of DFA) do
mark S
for each input symbol a do
let s1,...,sn are positions in S and symbols in those positions are a
S followpos(s1) ... followpos(sn)
move(S,a) S
if (S is not empty and not in the states of DFA)
put S into the states of DFA as an unmarked state.

the start state of DFA is firstpos(root)

the accepting states of DFA are all states containing the position of #

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Example -- ( a | b) * a #
1

followpos(1)={1,2,3}

followpos(2)={1,2,3}

3 4

followpos(3)={4}

S1=firstpos(root)={1,2,3}
mark S1
a: followpos(1) followpos(3)={1,2,3,4}=S2
b: followpos(2)={1,2,3}=S1
mark S2
a: followpos(1) followpos(3)={1,2,3,4}=S2
b: followpos(2)={1,2,3}=S1

move(S1,a)=S2
move(S1,b)=S1
move(S2,a)=S2
move(S2,b)=S1

start state: S1
accepting states: {S2}

followpos(4)={}

S1

a
a

S2
b

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Example -- ( a | ) b c* #
1

followpos(1)={2}

followpos(2)={3,4}

followpos(3)={3,4}

followpos(4)={}

S1=firstpos(root)={1,2}
mark S1
a: followpos(1)={2}=S2

move(S1,a)=S2

b: followpos(2)={3,4}=S3

move(S1,b)=S3

mark S2
b: followpos(2)={3,4}=S3

move(S2,b)=S3

mark S3
c: followpos(3)={3,4}=S3

move(S3,c)=S3

S2
b

S1

b
S3

start state: S1

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Minimizing Number of States of a DFA

partition the set of states into two groups:
G1 : set of accepting states
G2 : set of non-accepting states

For each new group G

partition G into subgroups such that states s1 and s2 are in the same group iff
for all input symbols a, states s1 and s2 have transitions to states in the same group.

Start state of the minimized DFA is the group containing

the start state of the original DFA.
Accepting states of the minimized DFA are the groups containing
the accepting states of the original DFA.
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Minimizing DFA - Example

a
a
1

G1 = {2}
G2 = {1,3}

2
b

G2 cannot be partitioned because

move(1,a)=2
move(3,a)=2

move(1,b)=3
move(2,b)=3

So, the minimized DFA (with minimum states)

b
{1,3}

a
a

{2}

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Minimizing DFA Another Example

a
a
1

Groups:

b
a

b
3

{1,2,3}

{1,2}

{3}

no more partitioning

So, the minimized DFA

{4}
a

1->2
2->2
3->4

1->3
2->3
3->3

b
a

{3}

{1,2}

{4}

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Some Other Issues in Lexical Analyzer

The lexical analyzer has to recognize the longest possible string.
Ex: identifier newval -- n

ne

new

newv

newva

newval

What is the end of a token? Is there any character which marks the end
of a token?

It is normally not defined.

If the number of characters in a token is fixed, in that case no problem: + But < < or <> (in Pascal)
The end of an identifier : the characters cannot be in an identifier can mark the end of
token.
We may need a lookhead
In Prolog:
p :- X is 1.
p :- X is 1.5.
The dot followed by a white space character can mark the end of a number.
if that is not the case, the dot must be treated as a part of the number.

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Some Other Issues in Lexical Analyzer (cont.)

Skipping comments
Normally we dont return a comment as a token.
We skip a comment, and return the next token (which is not a comment) to the parser.
So, the comments are only processed by the lexical analyzer, and the dont complicate
the syntax of the language.

Symbol table interface

symbol table holds information about tokens (at least lexeme of identifiers)
how to implement the symbol table, and what kind of operations.
hash table open addressing, chaining
putting into the hash table, finding the position of a token from its lexeme.

Positions of the tokens in the file (for the error handling).

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