Compiler Design

BITS Pilani
Pilani | Dubai | Goa | Hyderabad
 BITS Pilani
Pilani | Dubai | Goa | Hyderabad

Contact Session - 3
Introduction to Lexical Analyzer
IMP Note to Self

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

 IMP Note to Stu-
dents
 It is important to know that just login to the session does not
guarantee the attendance.
 Once you join the session, continue till the end to consider
you as present in the class.
 IMPORTANTLY, you need to make the class more interactive by
responding to Professors queries in the session.
 Whenever Professor calls your number / name ,you need to
respond, otherwise it will be considered as ABSENT

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

Objective
• Recap the Regular Expression
• Hierarchy of languages
• Deterministic Finite State Automata

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Hierarchy of languages

Non-Recursively Enumerable Languages

Recursively Enumerable Languages

Recursive Languages

Context-Free Languages

Regular Languages

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Deterministic Finite State Automata
(DFA)
……..
0 1 1 0 0

Finite
Control
• One-way, infinite tape, broken into cells
• One-way, read-only tape head.
• Finite control, i.e.,
– finite number of states, and
– transition rules between them, i.e.,
– a program, containing the position of the read head, current symbol being
scanned, and the current “state.”
• A string is placed on the tape, read head is positioned at the left end,
and the DFA will read the string one symbol at a time until all symbols
have been read. The DFA will then either accept or reject the string.
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• The finite control can be described by a transition diagram or table:
• Example #1:
1

0
q0 q1 1
0
1 0 0 1 1
q0 q0 q1 q0 q0 q0

• One state is final/accepting, all others are rejecting.

• The above DFA accepts those strings that contain an even number of
0’s, including the null string, over Sigma = {0,1}
L = {all strings with zero or more 0’s}
• Note, the DFA must reject all other strings
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Note:
• Machine is for accepting a language, language is the purpose!

• Many equivalent machines may accept the same language,

but a machine cannot accept multiple languages!

M1 M2 …. M-inf

L
• Id’s of the characters or states are irrelevant,
you can call them by any names!
Sigma = {0, 1} ≡ {a, b}
States = {q0, q1} ≡ {u, v}, as long as they have
identical (isomorphic) transition table
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• An equivalent machine to the previous example (DFA for even num-
ber of 0’s):

1 1
q3 q2

1 0 0 0

q0 0 q1 1

1 0 0 1 1
q0 q3 q1 q2 q2 q2 accept string

• One state is final/accepting, all others are rejecting.

• The above DFA accepts those strings that contain an even number of
0’s, including null string, over Sigma = {0,1}
• Can you draw a machine for a language by excluding the null string
from the language? L = {all strings with 2 or more 0’s}
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• Example #2:

a a a/b/c

c c
q0 q1 q2

b b

a c c c b ac-
cepted
q0 q0 q1 q2 q2 q2

a a c re-
jected
q0 q0 q0 q1

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• Accepts those strings that contain at least two
BITS Pilani, c’s to be University under Section 3 of UGC Act, 1956
Deemed
 a a a/b/c
q0 c q1 c q2

b b
Inductive Proof (sketch): that the machine correctly accepts strings with at least two c’s
Proof goes over the length of the string.

Base: x a string with |x|=0. state will be q0 => rejected.

Inductive hypothesis: |x|= integer k, & string x is rejected - in state q0 (x must have zero c),
OR, rejected – in state q1 (x must have one c),
OR, accepted – in state q2 (x has already with two c’s)

Inductive steps: Each case for symbol p, for string xp (|xp| = k+1), the last symbol p = a, b or c
xa xb xc

x ends in q0 q0 =>reject q0 =>reject q1 =>reject

(still zero c => should (still zero c => should (still zero c => should
reject) reject) reject)

x ends in q1 q1 =>reject q1 =>reject q2 =>accept

(still one c => should (still one c => should (two c now=> should
reject) reject) accept)

x ends in q2 q2 =>accept q2 =>accept q2 =>accept

(two c already => (two c already => (two c already =>
should accept) should accept) should accept)

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 Formal Definition of a DFA

• A DFA is a five-tuple:

M = (Q, Σ, δ, q0, F)

Q A finite set of states

Σ A finite input alphabet
q0 The initial/starting state, q0 is in Q
F A set of final/accepting states, which is a subset of Q
δ A transition function, which is a total function from Q x Σ to Q

δ: (Q x Σ) –> Q δ is defined for any q in Q and s in Σ, and

δ(q,s) = q’ is equal to some state q’ in Q, could be q’=q

Intuitively, δ(q,s) is the state entered by M after reading symbol s while in

state q.
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• Revisit example #1: 1

Q = {q0, q1} 0
q0 q1 1
Σ = {0, 1}
Start state is q0 0
F = {q0}

δ:
0 1
q0 q1 q0

q1 q0 q1

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• Revisit example #2:

a a a/b/c
Q = {q0, q1, q2}
Σ = {a, b, c} c c
q0 q1 q2
Start state is q0
F = {q2} b b

δ: a b c
q0 q0 q0 q1

q1 q1 q1 q2

q2 q2 q2 q2

• Since δ is a function, at each step M has exactly one option.

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• It follows that for a given string, there BITS
is exactly one
Pilani, Deemed to becomputation.
University under Section 3 of UGC Act, 1956
 Extension of δ to Strings

δ^ : (Q x Σ*) –> Q

δ^(q,w) – The state entered after reading string w having started in state
q.

Formally:

1) δ^(q, ε) = q, and
2) For all w in Σ* and a in Σ
δ^(q,wa) = δ (δ^(q,w), a)

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• Recall Example #1: 1

0
q0 q1 1
0
• What is δ^(q0, 011)? Informally, it is the state entered by M after pro-
cessing 011 having started in state q0.
• Formally:

δ^(q0, 011) = δ (δ^(q0,01), 1) by rule #2

= δ (δ ( δ^(q0,0), 1), 1) by rule #2
= δ (δ (δ (δ^(q0, λ), 0), 1), 1) by rule #2
= δ (δ (δ(q0,0), 1), 1) by rule #1
= δ (δ (q1, 1), 1) by definition of
δ
= δ (q1, 1) by definition of
δ
= q1 by definition of 17
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• Note that:

δ^ (q,a) = δ(δ^(q, ε), a) by definition of δ^, rule

#2
= δ(q, a) by definition of δ^, rule
#1

• Therefore:

δ^ (q, a1a2…an) = δ(δ(…δ(δ(q, a1), a2)…), an)

• However, we will abuse notations, and use δ in place of δ^:

δ^(q, a1a2…an) = δ(q, a1a2…an)

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• Example #3:
1 1 1
0
0
q0 q1 q2
0
• What is δ(q0, 011)? Informally, it is the state entered by M after pro-
cessing 011 having started in state q0.
• Formally:
δ(q0, 011) = δ (δ(q0,01), 1) by rule #2
= δ (δ (δ(q0,0), 1), 1) by rule #2
= δ (δ (q1, 1), 1) by definition of
δ
= δ (q1, 1) by definition of
δ
= q1 by definition of
δ

• Is 011 accepted? No, since δ(q0, 011) = q1 is not a final state. 19

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• Recall Example #3:
1 1 1
0
0
q0 q1 q2
0
• What is δ(q1, 10)?

δ(q1, 10) = δ (δ(q1,1), 0) by rule #2

= δ (q1, 0) by definition of
δ
= q2 by definition of
δ

• Is 10 accepted? No, since δ(q0, 10) = q1 is not a final state. The fact
that δ(q1, 10) = q2 is irrelevant, q1 is not the start state!

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 Definitions related to DFAs
• Let M = (Q, Σ, δ,q0,F) be a DFA and let w be in Σ*. Then w is accepted by M iff
δ(q0,w) = p for some state p in F.

• Let M = (Q, Σ, δ,q0,F) be a DFA. Then the language accepted by M is the set:

L(M) = {w | w is in Σ* and δ(q0,w) is in F}

• Another equivalent definition:

L(M) = {w | w is in Σ* and w is accepted by M}

• Let L be a language. Then L is a regular language iff there exists a DFA M

such that L = L(M).

• Let M1 = (Q1, Σ1, δ1, q0, F1) and M2 = (Q2, Σ2, δ2, p0, F2) be DFAs. Then M1 and
M2 are equivalent iff L(M1) = L(M2).
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• Notes:
– A DFA M = (Q, Σ, δ,q0,F) partitions the set Σ* into two sets: L(M) and
Σ* - L(M).

– If L = L(M) then L is a subset of L(M) and L(M) is a subset of L (def. of set equality).

– Similarly, if L(M1) = L(M2) then L(M1) is a subset of L(M2) and L(M2) is a subset of
L(M1).

– Some languages are regular, others are not. For example, if

Regular: L1 = {x | x is a string of 0's and 1's containing an even

number of 1's} and

Not-regular: L2 = {x | x = 0n1n for some n >= 0}

• Can you write a program to “simulate” a given DFA, or any arbitrary input DFA?

• Question we will address later:

– How do we determine whether or not a given language is regular?

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• Give a DFA M such that:

L(M) = {x | x is a string of 0’s and 1’s and |x| >= 2}

0/1

0/1 0/1
q0 q1 q2

Prove this by induction

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• Give a DFA M such that:

L(M) = {x | x is a string of (zero or more) a’s, b’s and c’s such

that x does not contain the substring aa}

b/c a/b/c
a
a
q0 q1 q2
b/c
Logic:
In Start state (q0): b’s and c’s: ignore – stay in same state
q0 is also “accept” state
First ‘a’ appears: get ready (q1) to reject
But followed by a ‘b’ or ‘c’: go back to start state q0
When second ‘a’ appears after the “ready” state: go to reject state q2
Ignore everything after getting to the “reject” state q2
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• Give a DFA M such that:

L(M) = {x | x is a string of a’s, b’s and c’s such that x

contains the substring aba}

b/c a a/b/c
a a
b
q0 q1 q2 q3
c

b/c
Logic: acceptance is straight forward, progressing on each expected
symbol
However, rejection needs special care, in each state (for DFA, we will see
this becomes easier in NFA, non-deterministic machine)

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• Give a DFA M such that:

L(M) = {x | x is a string of a’s and b’s such that x

contains both aa and bb}
First do, for a language where ‘aa’ comes before ‘bb’
Then do its reverse; and then parallelize them.
a
b
a
q1 q2 q3
b a/b
a a

q0 a b q7
b
b a
b a
q4 q5 q6
b
Remember, you may have multiple “final” states, but only one “start”
state
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• Let Σ = {0, 1}. Give DFAs for {}, {ε}, Σ*, and Σ+.

For {}: For {ε}:

0/1
0/1
0/1
q0 q0 q1

For Σ*: For Σ+:

0/1 0/1

0/1
q0 q0 q1

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• Problem: Third symbol from last is 1

0/1

1 0/1 0/1
q0 q1 q2 q3

Is this a DFA?

No, but it is a Non-deterministic Finite Automaton

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 Practice problem 1
• Draw a DFA for the language accepting strings starting with ‘ab’ over input
alphabets ∑ = {a, b}
– Solution:
– Step-01:
• All strings of the language starts with substring “ab”. So, length of sub-
string = 2.
– Thus, Minimum number of states required in the DFA = 2 + 2 = 4.
– It suggests that minimized DFA will have 4 states.
– Step-02:
– We will construct DFA for the following strings-
• ab
• aba
• abab

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• Step 3

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 Practice problem 2
• Construct a DFA that accepts a language L over input al-
phabets ∑ = {a, b} such that L is the set of all strings
starting with ‘aa’ or ‘bb’.
• Step-01:
• Minimum number of states required in the DFA = 5.
• It suggests that minimized DFA will have 5 states.
• Step-02:
• We will construct DFA for the following strings-
• aa
• aaa
• aaaa
• bb
• bbb
• bbbb
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• Step 3

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 Practice problem 3
• Let Σ = {a, b} and let L = { w ∈ Σ* | w ≠ ε and the first and last
character of w are the same }. Design a DFA for L.

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 Practice problem 4
• Let Σ = {a, b} and let L = { w ∈ Σ* | w is a nonempty string
whose characters alternate between a's and b's }. Design a
DFA whose language is L.

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Nondeterministic Finite Au-
tomata
Nondeterminism
Subset Construction

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 Nondeterminism
• A nondeterministic finite automaton has the
ability to be in several states at once.
• Transitions from a state on an input symbol
can be to any set of states.

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 Nondeterminism – (2)
• Start in one start state.
• Accept if any sequence of choices leads to a
final state.
• Intuitively: the NFA always “guesses right.”

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 Formal NFA
• A finite set of states, typically Q.
• An input alphabet, typically Σ.
• A transition function, typically δ.
• A start state in Q, typically q0.
• A set of final states F ⊆ Q.

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 Transition Function of an
NFA
• δ(q, a) is a set of states.
• Extend to strings as follows:
• Basis: δ(q, ε) = {q}
• Induction: δ(q, wa) = the union over all states
p in δ(q, w) of δ(p, a)

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 Language of an NFA
• A string w is accepted by an NFA if δ(q0, w)
contains at least one final state.
• The language of the NFA is the set of strings it
accepts.

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 Equivalence of DFA’s, NFA’s

• A DFA can be turned into an NFA that accepts

the same language.
• If δD(q, a) = p, let the NFA have δN(q, a) = {p}.
• Then the NFA is always in a set containing
exactly one state – the state the DFA is in after
reading the same input.

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 Equivalence – (2)

• Surprisingly, for any NFA there is a DFA that

accepts the same language.
• Proof is the subset construction.
• The number of states of the DFA can be ex-
ponential in the number of states of the
NFA
• Thus, NFA’s accept exactly the regular lan-
guages.
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 Subset Construction

• Given an NFA with states Q, inputs Σ, transi-

tion function δN, state state q0, and final
states F, construct equivalent DFA with:
– States 2Q (Set of subsets of Q).
– Inputs Σ.
– Start state {q0}.
– Final states = all those with a member of F.

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 Critical Point

• The DFA states have names that are sets of

NFA states.
• But as a DFA state, an expression like {p,q}
must be read as a single symbol, not as a set
• Analogy: a class of objects whose values are
sets of objects of another class.

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 Subset Construction – (2)
• The transition function δD is defined by:
δD({q1,…,qk}, a) is the union over all i = 1,…,k of
δN(qi, a).
• Example: We’ll construct the DFA equivalent
of our “chessboard” NFA.

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 Example: Subset Construc-
tion
r b r b

1 2,4 5 {1} {2,4} {5}

2 4,6 1,3,5 {2,4}
3 2,6 5 {5}
4 2,8 1,5,7
5 2,4,6,8 1,3,7,9
6 2,8 3,5,9
7 4,8 5
8 4,6 5,7,9
* 9 6,8 5 Alert: What we’re doing here is
the lazy form of DFA construction,
where we only construct a state
if we are forced to.
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 Example: Subset Construc-
tion
r b r b

1 2,4 5 {1} {2,4} {5}

2 4,6 1,3,5 {2,4} {2,4,6,8} {1,3,5,7}
3 2,6 5 {5}
4 2,8 1,5,7 {2,4,6,8}
5 2,4,6,8 1,3,7,9 {1,3,5,7}
6 2,8 3,5,9
7 4,8 5
8 4,6 5,7,9
* 9 6,8 5

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 Example: Subset Construc-
tion
r b r b

1 2,4 5 {1} {2,4} {5}

2 4,6 1,3,5 {2,4} {2,4,6,8} {1,3,5,7}
3 2,6 5 {5} {2,4,6,8} {1,3,7,9}
4 2,8 1,5,7 {2,4,6,8}
5 2,4,6,8 1,3,7,9 {1,3,5,7}
6 2,8 3,5,9 * {1,3,7,9}
7 4,8 5
8 4,6 5,7,9
* 9 6,8 5

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 Example: Subset Construc-
tion
r b r b

1 2,4 5 {1} {2,4} {5}

2 4,6 1,3,5 {2,4} {2,4,6,8} {1,3,5,7}
3 2,6 5 {5} {2,4,6,8} {1,3,7,9}
4 2,8 1,5,7 {2,4,6,8} {2,4,6,8} {1,3,5,7,9}
5 2,4,6,8 1,3,7,9 {1,3,5,7}
6 2,8 3,5,9 * {1,3,7,9}
7 4,8 5 * {1,3,5,7,9}
8 4,6 5,7,9
* 9 6,8 5

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 Example: Subset Construc-
tion
r b r b

1 2,4 5 {1} {2,4} {5}

2 4,6 1,3,5 {2,4} {2,4,6,8} {1,3,5,7}
3 2,6 5 {5} {2,4,6,8} {1,3,7,9}
4 2,8 1,5,7 {2,4,6,8} {2,4,6,8} {1,3,5,7,9}
5 2,4,6,8 1,3,7,9 {1,3,5,7} {2,4,6,8} {1,3,5,7,9}
6 2,8 3,5,9 * {1,3,7,9}
7 4,8 5 * {1,3,5,7,9}
8 4,6 5,7,9
* 9 6,8 5

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 Example: Subset Construc-
tion
r b r b

1 2,4 5 {1} {2,4} {5}

2 4,6 1,3,5 {2,4} {2,4,6,8} {1,3,5,7}
3 2,6 5 {5} {2,4,6,8} {1,3,7,9}
4 2,8 1,5,7 {2,4,6,8} {2,4,6,8} {1,3,5,7,9}
5 2,4,6,8 1,3,7,9 {1,3,5,7} {2,4,6,8} {1,3,5,7,9}
6 2,8 3,5,9 * {1,3,7,9} {2,4,6,8} {5}
7 4,8 5 * {1,3,5,7,9}
8 4,6 5,7,9
* 9 6,8 5

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 Example: Subset Construc-
tion
r b r b

1 2,4 5 {1} {2,4} {5}

2 4,6 1,3,5 {2,4} {2,4,6,8} {1,3,5,7}
3 2,6 5 {5} {2,4,6,8} {1,3,7,9}
4 2,8 1,5,7 {2,4,6,8} {2,4,6,8} {1,3,5,7,9}
5 2,4,6,8 1,3,7,9 {1,3,5,7} {2,4,6,8} {1,3,5,7,9}
6 2,8 3,5,9 * {1,3,7,9} {2,4,6,8} {5}
7 4,8 5 * {1,3,5,7,9} {2,4,6,8} {1,3,5,7,9}
8 4,6 5,7,9
* 9 6,8 5

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 NFA’s With ε-Transitions
• We can allow state-to-state transitions on ε
input.
• These transitions are done spontaneously,
without looking at the input string.
• A convenience at times, but still only regular
languages are accepted.

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 Example: ε-NFA

ε 0 1 ε
A {E} {B} ∅
1 1 B ∅ {C} {D}
1 B C D C ∅ {D} ∅
D ∅ ∅ ∅
A ε ε 0
* E
F
{F} ∅ {B, C}
{D} ∅ ∅
0
E F
0

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 Closure of States

• CL(q) = set of states you can reach from

state q following only arcs labeled ε.
• Example: CL(A) = {A}; ε
1 1
CL(E) = {B, C, D, E}. 1 B C D

A
ε ε 0
0 E F
• Closure of a set of states = union of the
0
clo-
sure of each state.

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 Equivalence of NFA, ε-NFA
• Every NFA is an ε-NFA.
– It just has no transitions on ε.
• Converse requires us to take an ε-NFA and
construct an NFA that accepts the same lan-
guage.
• We do so by combining ε–transitions with the
next transition on a real input.

Warning: This treatment is a

bit different from that in the text.
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Picture of ε-Transition Removal

a
Transitions
on ε
Transitions
on ε

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Picture of ε-Transition Removal
To here, and performs
Text goes
the subset construction
from here

a
Transitions
on ε
Transitions
on ε

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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956
Picture of ε-Transition Removal
To here, with no
subset construction

a
We’ll go
from here
a

a
Transitions
on ε
Transitions
on ε

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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956
 Equivalence – (2)
• Start with an ε-NFA with states Q, inputs Σ,
start state q0, final states F, and transition
function δE.
• Construct an “ordinary” NFA with states Q, in-
puts Σ, start state q0, final states F’, and transi-
tion function δN.

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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956
 Equivalence – (3)

• Compute δN(q, a) as follows:

1. Let S = CL(q).
2. δN(q, a) is the union over all p in S of δE(p, a).
• F’ = the set of states q such that CL(q) con-
tains a state of F.
• Intuition: δN incorporates ε–transitions
before using a but not after.

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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956
 Example: ε-NFA-to-
Interesting closures:
CL(B) = {B,D};
CL(E) = {B,C,D,E}
NFA
0 1 ε 0 1
A {E} {B} ∅ A {E} {B}
B ∅ {C} {D} *B ∅ {C}
C ∅ {D} ∅ C ∅ {D}
D ∅ ∅ ∅ ∅ ∅
*D
* E {F} ∅ {B, C} E {F} {C, D}
F {D} ∅ ∅ * F {D} ∅

Since closure of
ε-NFA E includes B and
Since closures of C; which have
B and E include transitions on 1
final state D. to C and D.

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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956
 Summary
• DFA’s, NFA’s, and ε–NFA’s all accept exactly the
same set of languages: the regular languages.
• The NFA types are easier to design and may
have exponentially fewer states than a DFA.
• But only a DFA can be implemented!

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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956
• https://www.gatevidyalay.com/tag/dfa-examp
les-with-solutions-pdf/
• https://web.stanford.edu/class/cs103a/ass
n/070S%20Solutions%20for%20Practice%
20with%20Automata.pdf
• https://www.cse.iitd.ac.in/~naveen/courses/C
OL352/slides/fa3.ppt

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BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956
IMP Note to Self

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956

Thank you

BITS Pilani, Deemed to be University under Section 3 of UGC Act, 1956