UNIT 1

Syllabus: Introduction to Finite Automata, Structural Representations, Automata and Complexity, the
Central Concepts of Automata Theory – Alphabets, Strings, Languages, Problems. Deterministic
Finite Automata, Nondeterministic Finite Automata, an application: Text Search, Finite Automata
with Epsilon-Transitions.
-------------------------------------------------------------------------------------------------------------

Introduction to Finite Automata

The term "Automata" is derived from the Greek word "automata" which means "self- acting".
An automaton (Automata in plural) is an abstract self-propelled computing device which follows
a predetermined sequence of operations automatically.

An automaton with a finite number of states is called a Finite Automaton (FA) or Finite State
Machine (FSM).

Formal definition of a Finite Automaton

An automaton can be represented by a 5-tuple (Q, Σ, δ, q0, F), where:

 Q is a finite set of states.

 Σ is a finite set of symbols, called the alphabet of the automaton.
 δ is the transition function.
 q0 is the initial state from where any input is processed (q 0 ∈ Q).
 F is a set of final state/states of Q (F ⊆ Q).

Alphabet
 Definition: An alphabet is any finite set of symbols. It is denoted by Σ

String
 Definition: A string is a finite sequence of symbols taken from Σ.

 Example: ‘cabcad’ is a valid string on the alphabet set Σ = {a, b, c, d}

It is not the case that a string over some alphabet should contain all the symbols from the
alphabet. For example, the string cc over the alphabet { a, b, c } does not contain the symbols
a and b. Hence, it is true that a string over an alphabet is also a string over any superset of
that alphabet.

Length of a String
 Definition : It is the number of symbols present in a string. (Denoted by |S|).

 Examples:

o If S=‘cabcad’, |S|= 6

o If |S|= 0, it is called an empty string (Denoted by λ or ε)

[Type here] [Type here] [Type here]

Kleene Star
 Definition: The Kleene star, Σ*, is a unary operator on a set of symbols or strings, Σ,
that gives the infinite set of all possible strings of all possible lengths over Σ
including λ.

 Representation: Σ* = Σ0 U Σ1 U Σ2 U……. where Σp is the set of all possible strings

of length p.

 Example: If Σ = {a, b}, Σ*= {λ, a, b, aa, ab, ba, bb,………..}

Kleene Closure / Plus

 Definition: The set Σ+ is the infinite set of all possible strings of all possible lengths
over Σ excluding λ.

 Representation: Σ+ = Σ1 U Σ2 U Σ3 U…….
Σ+ = Σ* − { λ }

 Example: If Σ = { a, b } , Σ+ ={ a, b, aa, ab, ba, bb,………..}

Language
 Definition : A language is a subset of Σ* for some alphabet Σ. It can be finite or
infinite.

 Example : If the language takes all possible strings of length 2 over Σ = {a, b},
then L = { ab, bb, ba, bb}

Finite Automaton can be classified into two types:

 Deterministic Finite Automaton (DFA)
 Non-deterministic Finite Automaton (NDFA / NFA)

Deterministic Finite Automaton (DFA)

In DFA, for each input symbol, one can determine the state to which the machine will move.
Hence, it is called Deterministic Automaton. As it has a finite number of states, the machine
is called Deterministic Finite Machine or Deterministic Finite Automaton.

Formal Definition of a DFA

A DFA can be represented by a 5-tuple (Q, Σ, δ, q0, F) where:

 Q is a finite set of states.

 Σ is a finite set of symbols called the alphabet.
 δ is the transition function where δ: Q × Σ → Q
 q0 is the initial state from where any input is processed (q0 ∈ Q).
 F is a set of final state/states of Q (F ⊆ Q).
Graphical Representation of a DFA
A DFA is represented by digraphs called state diagram.

 The vertices represent the states.

 The arcs labeled with an input alphabet show the transitions.
 The initial state is denoted by an empty single incoming arc.
 The final state is indicated by double circles.

Example Let a deterministic finite automaton be 

 Q = {a, b, c},
 Σ = {0, 1},
 q0={a},
 F={c}, and

Transition function δ as shown by the following table:

Present State Next State for Next State for
Input 0 Input 1
a a b
b c a
c b c

Its graphical representation would be as follows:

DFA – Graphical Representation

Non-deterministic Finite Automaton

In NDFA, for a particular input symbol, the machine can move to any combination of the
states in the machine. In other words, the exact state to which the machine moves cannot
be determined. Hence, it is called Non-deterministic Automaton. As it has finite number of
states, the machine is called Non-deterministic Finite Machine or Non- deterministic Finite
Automaton.

Formal Definition of an NDFA

An NDFA can be represented by a 5-tuple (Q, Σ, δ, q0, F) where:

 Q is a finite set of states.

 Σ is a finite set of symbols called the alphabets.

 δ is the transition function where δ: Q × Σ → 2Q

(Here the power set of Q (2Q) has been taken because in case of NDFA, from a
state, transition can occur to any combination of Q states)

 q0 is the initial state from where any input is processed (q0 ∈ Q).

 F is a set of final state/states of Q (F ⊆ Q).

Graphical Representation of an NDFA: (same as DFA)

An NDFA is represented by digraphs called state diagram.

 The vertices represent the states.

 The arcs labeled with an input alphabet show the transitions.
 The initial state is denoted by an empty single incoming arc.
 The final state is indicated by double circles.

Example: Let a non-deterministic finite automaton be

 Q = {a, b, c}
 Σ = {0, 1}
 q0 = {a}
 F={c}

The transition function  as shown below:

Present State Next State for Next State for

Input 0 Input 1
a a, b b
b c a, c
c b, c c
Its graphical representation would be as follows:

a b
0, 1 0, 1
0 0, 1

NDFA – Graphical Representation

DFA vs NDFA
The following table lists the differences between DFA and NDFA.

DFA NDFA

The transition from a state is to a single The transition from a state can be to
particular next state for each input multiple next states for each input symbol.
symbol. Hence it is called deterministic. Hence it is called non-deterministic.

Empty string transitions are not seen in

NDFA permits empty string transitions.
DFA.

In NDFA, backtracking is not always

Backtracking is allowed in DFA
possible.

Requires more space. Requires less space.

A string is accepted by a NDFA, if at least

A string is accepted by a DFA, if it transits
one of all possible transitions ends in a
to a final state.
final state.

Acceptor (Recognizer)
An automaton that computes a Boolean function is called an acceptor. All the states of an
acceptor is either accepting or rejecting the inputs given to it.

Classifier has more than two final states and it gives a single output when it terminates.

Transducer: An automaton that produces outputs based on current input and/or previous
state is called a transducer. Transducers can be of two types:

 Mealy Machine The output depends both on the current state and the current
input.

 Moore Machine The output depends only on the current state.

Acceptability by DFA and NDFA
A string is accepted by a DFA/NDFA iff the DFA/NDFA starting at the initial state ends in
an accepting state (any of the final states) after reading the string wholly.

A string S is accepted by a DFA/NDFA (Q, Σ, δ, q0, F), iff

δ*(q0, S) ∈ F

The language L accepted by DFA/NDFA is

{S | S ∈ Σ* and δ*(q0, S) ∈ F}

A string S′ is not accepted by a DFA/NDFA (Q, Σ, δ, q0, F), iff

δ*(q0, S′) ∉ F

The language L′ not accepted by DFA/NDFA (Complement of accepted language L) is {S

| S ∈ Σ* and δ*(q0, S) ∉ F}

Example
Let us consider the DFA shown in Figure 1.3. From the DFA, the acceptable strings can be
derived.

0 1

Acceptability of strings by DFA

Strings accepted by the above DFA: {0, 00, 11, 010, 101, ...........}

Strings not accepted by the above DFA: {1, 011, 111, ........}
NDFA to DFA Conversion

Problem Statement
Let X = (Qx, Σ, δx, q0, Fx) be an NDFA which accepts the language L(X). We have to design
an equivalent DFA Y = (Qy, Σ, δy, q0, Fy) such that L(Y) = L(X). The following procedure
converts the NDFA to its equivalent DFA:

Algorithm
Input: An NDFA

Output: An equivalent DFA

Step 1 Create state table from the given NDFA.

Step 2 Create a blank state table under possible input alphabets for the equivalent
DFA.

Step 3 Mark the start state of the DFA by q0 (Same as the NDFA).

Step 4 Find out the combination of States {Q0, Q1,... , Qn} for each possible input
alphabet.

Step 5 Each time we generate a new DFA state under the input alphabet columns,
we have to apply step 4 again, otherwise go to step 6.

Step 6 The states which contain any of the final states of the NDFA are the final
states of the equivalent DFA.

Example
Let us consider the NDFA shown in the figure below.

q δ(q,0) δ(q,1)

a {a,b,c,d,e} {d,e}

b {c} {e}

c ∅ {b}

d {e} ∅

e ∅ ∅
 Using the above algorithm, we find its equivalent DFA. The state table of the DFA is
shown in below.

q δ(q,0) δ(q,1)

[a] [a,b,c,d,e] [d,e]

[a,b,c,d,e] [a,b,c,d,e] [b,d,e]

[d,e] [e] ∅

[b,d,e] [c,e] [e]

[e] ∅ ∅

[c,e] ∅ [b]

[b] [c] [e]

[c] ∅ [b]

State table of DFA equivalent to NDFA

The state diagram of the DFA is as follows:

State diagram of DFA

DFA Minimization

DFA Minimization using Myphill - Nerode Theorem

Algorithm
Input DFA

Output Minimized DFA

Step 1 Draw a table for all pairs of states (Qi, Qj) not necessarily connected directly
[All are unmarked initially]

Step 2 Consider every state pair (Qi, Qj) in the DFA where Qi ∈ F and Qj ∉ F or vice
versa and mark them. [Here F is the set of final states]

Step 3 Repeat this step until we cannot mark anymore states:

If there is an unmarked pair (Qi, Qj), mark it if the pair {δ(Qi, A), δ (Qi, A)} is marked for
some input alphabet.

Step 4 Combine all the unmarked pair (Qi, Qj) and make them a single state in the
reduced DFA.

Example
Let us use Algorithm 2 to minimize the DFA shown below.

State Diagram of DFA

 Step 1 : We draw a table for all pair of states.

a b c d e f
a
b
c
d
e
f

Step 2 : We mark the state pairs:

a b c d e f
a
b
c ✓ ✓
d ✓ ✓
e ✓ ✓
f ✓ ✓ ✓

Step 3 : We will try to mark the state pairs, with green colored check mark, transitively.
If we input 1 to state ‘a’ and ‘f’, it will go to state ‘c’ and ‘f’ respectively. (c, f) is already
marked, hence we will mark pair (a, f). Now, we input 1 to state ‘b’ and ‘f’; it will go to
state ‘d’ and ‘f’ respectively. (d, f) is already marked, hence we will mark pair (b, f).

a b c d e f
a
b
c ✓ ✓
d ✓ ✓
e ✓ ✓
f ✓ ✓ ✓ ✓ ✓

After step 3, we have got state combinations {a, b} {c, d} {c, e} {d, e} that are
unmarked.

We can recombine {c, d} {c, e} {d, e} into {c, d, e}

Hence we got two combined states as: {a, b} and {c, d, e}

 So the final minimized DFA will contain three states {f}, {a, b} and {c, d, e}

State diagram of reduced DFA

DFA Minimization using Equivalence Theorem

If X and Y are two states in a DFA, we can combine these two states into {X, Y} if they
are not distinguishable. Two states are distinguishable, if there is at least one string S,
such that one of δ (X, S) and δ (Y, S) is accepting and another is not accepting. Hence, a
DFA is minimal if and only if all the states are distinguishable.

Algorithm 3
Step 1: All the states Q are divided in two partitions: final states and non-final states and
are denoted by P0. All the states in a partition are 0th equivalent. Take a
counter k and initialize it with 0.

Step 2: Increment k by 1. For each partition in Pk, divide the states in Pk into two partitions
if they are k-distinguishable. Two states within this partition X and Y are k-
distinguishable if there is an input S such that δ(X, S) and δ(Y, S) are (k-
1)-distinguishable.

Step 3: If Pk ≠ Pk-1, repeat Step 2, otherwise go to Step 4.

Step 4: Combine kth equivalent sets and make them the new states of the reduced
DFA.
Example
Let us consider the following DFA:

q δ(q,0) δ(q,1)
a b c

b a d

c e f

d e f

e e f

f f f

Let us apply the above algorithm to the above DFA:

 P0 = {(c,d,e), (a,b,f)}
 P1 = {(c,d,e), (a,b),(f)}
 P2 = {(c,d,e), (a,b),(f)}

Hence, P1 = P2.

There are three states in the reduced DFA. The reduced DFA is as follows:

Q δ(q,0) δ(q,1)

(a, b) (a, b) (c,d,e)

(c,d,e) (c,d,e) (f)

(f) (f) (f)

State Table and State Diagram of Reduced DFA

Moore and Mealy Machines

Finite automata may have outputs corresponding to each transition. There are two types of finite
state machines that generate output:

 Mealy Machine
 Moore machine

Mealy Machine
A Mealy Machine is an FSM whose output depends on the present state as well as the
present input.

It can be described by a 6 tuple (Q, ∑, O, δ, X, q0) where −

 Q is a finite set of states.
 ∑ is a finite set of symbols called the input alphabet.
 O is a finite set of symbols called the output alphabet.
 δ is the input transition function where δ: Q × Σ → Q
 X is the output transition function where X: Q × Σ → O
 q0 is the initial state from where any input is processed (q0 ∈ Q).

The state table of a Mealy Machine is shown below –

Next state
Present
state input = 0 input = 1
State Output State Output
a b 𝑥1 c 𝑥1
b b 𝑥2 d 𝑥3
c d 𝑥3 c 𝑥1

d d 𝑥3 d 𝑥2

0 /x3, 1
 The state diagram of the above Mealy Machine is:

Moore Machine
Moore machine is an FSM whose outputs depend on only the present state.

A Moore machine can be described by a 6 tuple (Q, Σ, O, δ, X, q 0) where:

 Q is a finite set of states.

 Σ is a finite set of symbols called the input alphabet.
 O is a finite set of symbols called the output alphabet.
 δ is the input transition function where δ: Q × Σ → Q
 X is the output transition function where X: Q → O
 q0 is the initial state from where any input is processed (q 0 ∈ Q).

The state table of a Moore Machine is shown below –

Next State
Present State Output
Input = 0 Input = 1

a b c 𝑥2

b b d 𝑥1

c c d 𝑥2

d d d 𝑥3

The state diagram of the above Moore Machine is:

0, 1
b/x1

a/x2 /x

c/x2
 Mealy Machine vs. Moore Machine
The following table highlights the points that differentiate a Mealy Machine from a Moore
Machine.

Mealy Machine Moore Machine

Output depends both upon present Output depends only upon the present
state and present input. state.

Generally, it has fewer states than Generally, it has more states than Mealy
Moore Machine. Machine.

Input change can cause change in output

Output changes at the clock edges.
change as soon as logic is done.

In Moore machines, more logic is needed to

Mealy machines react faster to inputs decode the outputs since it has more circuit
delays.

Moore Machine to Mealy Machine

Algorithm 4
Input: Moore Machine

Output: Mealy Machine

Step 1 Take a blank Mealy Machine transition table format.

Step 2 Copy all the Moore Machine transition states into this table format.

Step 3 Check the present states and their corresponding outputs in the Moore
Machine state table; if for a state Qi output is m, copy it into the output
columns of the Mealy Machine state table wherever Q i appears in the next
state.

Example
Let us consider the following Moore machine:

Present Next State

Output
State a=0 a=1

a d b 1

b a d 0

c c c 0

d b a 1
State table of a Moore Machine

Now we apply Algorithm 4 to convert it to Mealy Machine.

 Step 1 & 2:
Next State
Present State a=0 a=1
State Output State Output
a d b
b a d
c c c
d b a

The partial state table after steps 1 and 2

Step 3:
Next State
Present State a=0 a=1
State Output State Output
=> a d 1 b 0
b a 1 d 1
c c 0 c 0
d b 0 a 1

State table of an equivalent Mealy Machine

Mealy Machine to Moore Machine

Algorithm 5:
Input: Mealy Machine

Output: Moore Machine

Step 1 Calculate the number of different outputs for each state (Qi) that are
available in the state table of the Mealy machine.

Step 2 If all the outputs of Qi are same, copy state Qi. If it has n distinct outputs,
break Qi into n states as Qin where n = 0, 1, 2.......

Step 3 If the output of the initial state is 1, insert a new initial state at the beginning
which gives 0 output.
 Example
Let us consider the following Mealy Machine:

Next State

Present
a=0 a=1
State
Next Next
Output Output
State State
a d 0 b 1
b a 1 d 0
c c 1 c 0
d b 0 a 1
State table of a Mealy Machine

Here, states ‘a’ and ‘d’ give only 1 and 0 outputs respectively, so we retain states ‘a’ and ‘d’. But

states ‘b’ and ‘c’ produce different outputs (1 and 0). So, we divide b into b 0, b1 and c into c0, c1.

Present Next State

Output
State a=0 a=1
a d b1 1
b0 a d 0
b1 a d 1
c0 c1 c0 0
c1 c1 c0 1
d b0 a 0
State table of equivalent Moore Machine

======oooOOOooo======