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Vesa Halava1, Mika Hirvensalo2;1?, and Ronald de Wolf3;4

1 Turku Centre for Computer Science, Lemminkaisenkatu 14 A, 4th oor, FIN-20520, Turku, Finland,vehalava@cs.utu.fi

2 Department of Mathematics, University of Turku, FIN-20014, Turku, Finland.

mikhirve@utu.fi

3 CWI, P.O. Box 94079, Amsterdam, The Netherlands,rdewolf@cwi.nl

4 University of Amsterdam

Abstract. We show that themarkedversion of the Post Correspondence Problem, where the words on a list are required to di er in the rst letter, is decidable. On the other hand, PCP remains undecidable if we only require the words to di er in the rsttwoletters. Thus we locate the decidability/undecidability-boundary between marked and 2-marked PCP.

1 Introduction: PCP and Marked PCP

The Post Correspondence Problem (PCP) [6] is one of the most useful unde- cidable problems, because it can be simply described and many other problems can easily be reduced to it, particularly problems in formal language theory. The general form of the problem is as follows. An instance of PCP is a four-tuple I = (;;g;h), consisting of a nite source alphabet =fa1;:::;ang, a nite target alphabet  and two homomorphisms g;h :  !  (g(ab) = g(a)g(b) andh(ab) =h(a)h(b) whenevera;b2). It is enough to de neg;h:!, the extension is just concatenation. PCP is the following decision problem:

GivenI = (;;g;h), is there anx2+ such thatg(x) =h(x)?

In other words, we have two lists of wordsg(a1);:::;g(an) andh(a1);:::;h(an) and we want to decide if there is a correspondence between them: are there ai1;:::;aik 2such thatg(ai1):::g(aik) =h(ai1):::h(aik)?

The general form of this problem is undecidable [6], the reason being that the two morphisms together can simulate the computation of a Turing machine on a speci c input. Examining restricted versions of PCP allows one to determine the exact boundary between decidability and undecidability. For instance, the problem becomes trivially decidable (but NP-complete) if we ask for the exis- tence of a solution x of length at most some xed k [2, p. 228]. If we restrict to g;h which have to be injective (g is injective if x 6= y ) g(x) 6=g(y)), the problem remains undecidable [4]. Also PCP(7), where we restrict to n = 7, is

?Supported by the Academy of Finland under grant 14047.

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still undecidable [5], but PCP(2) is decidable [1]. As far as we know, decidability or undecidability is still open for 2< n <7.

A further restriction which we will examine in this paper is to haveg andh marked, which we formally de ne as follows. Ifzis a string, we usePrefk(z) to denote the pre x of lengthkofz (Prefk(z) =z ifjzjk). A homomorphismg isk-markedifg(a) andg(b) are nonempty and havePrefk(g(a))6=Prefk(g(b)) whenevera6=b2. An instanceI = (;;g;h) of PCP isk-markedif bothg andharek-marked, andk-marked PCP is the PCP decision problem restricted to k-marked instances. We will abbreviate 1-marked to marked. If I is marked theng(a) andg(b) start with a di erent letter whenevera6=b2, which implies that jjjj. Without loss of generality we may assume . Markedness clearly implies injectivity: supposegis marked andx6=y2+, letx=zax0and y=zby0,aandbbeing the rst letter wherexandydi er. Because of markedness we have g(a) 6=g(b), hence g(x) = g(z)g(a)g(x0)6= g(z)g(b)g(y0) = g(y), so g is injective. The converse does not hold. Consider for instance==f1;2g, g(1) = 11,g(2) = 12, thengis injective but not marked.

The proof of decidability of PCP(2) in [1] is based on a reduction from arbitrary instances of PCP(2) to marked instances of generalized PCP(2). [1]

then prove by means of extensive case analysis that marked generalized PCP(2) is decidable. In particular marked PCP(2) is decidable. Here we prove that marked PCP is decidable for any alphabet size. We will in fact show that marked PCP is in

EXPTIME

(the class of languages that can be recognized in time upper bounded by 2p(N)for some polynomialpof the input sizeN).

As stated above, PCP can be used for establishing the boundaries between decidability and undecidability. The main result of this paper is decidability of marked PCP. How much can we weaken the markedness condition before we lose decidability? We will show in Section 3 that 2-marked PCP is undecidable, thus locating the decidability/undecidability-boundary between 1-markedness and 2-markedness.

In another direction, we can weaken the markedness condition by only re- quiring g and h to be pre x morphisms (g is pre x if no g(ai) is a pre x or another g(aj)) or even bipre x (g is bipre x if no g(ai) is a pre x or sux of anotherg(aj)). It turns out that bipre x PCP is undecidable [8].1

2 Marked PCP Is Decidable

2.1 A Simpler Decision Problem

We would like to give a decision method for marked PCP. First we give an algorithm for the following simpler problem, which also occurs in [1, Section 6]:

Given markedI = (;;g;h) anda2, are therex;y 2+ such that g(x) =h(y) andg(x) starts witha?

1 Clearly, a marked morphism is pre x. Both marked and bipre x PCP are special cases of injective PCP, but 2-marked PCP is not. See also at the end of Section 3.

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We do not look forg(x) =h(x) here but only forg(x) =h(y), and we additionally require thatg(x) starts with some speci ca2. For example, if I has

g(a1) =a1 g(a2) =a2 g(a3) =a3a4 g(a4) =a4 h(a1) =a1a3 h(a2) =a4a2 h(a3) =a3a3 h(a4) =a2a2 then fora=a1, a solution would bex=a1a3a2 andy=a1a2.

The next algorithm decides the problem.

1. SetG=H =;,i=j= 1.

2. If there are x1;y1 2  such that g(x1) and h(y1) start with a, then set x=x1,y=y1

else goto 4.

3. (a) If g(x) =h(y), then print \solutionx=x1:::xi andy =y1:::yj" and terminate.

(b) Ifg(x) is not a pre x ofh(y) nor vice versa, then goto 4.

(c) Ifg(x)s=h(y), then do the following.

Ifs2Gthen goto 4; else seti=i+ 1 andG=G[fsg.

If there is anxi such thatg(xi) and s start with the same letter, then setx=xxi and goto 3; else goto 4.

(d) Ifg(x) =h(y)s, then analogous to previous step.

4. Print \no solution" and terminate.

Informally, we are buildingx=x1:::xi andy =y1:::yj, trying to achieve g(x) = h(y). We add on a new xi+1 as long asg(x) is a proper pre x of h(y) (i.e.,g(x)s=h(y) for some suxs), and add on a newyj+1 ifh(y) is a proper pre x of g(x). Note that at each point such xi+1 oryj+1 are unique (if they exist) because of markedness; if they do not exist we know there is no solution.

We keep track of the suxes we have seen so far in the sets Gand H. Because the number of possible suxes is nite, either the process terminates with a solution, or at some point a sux is encountered for the second time, in which case we know the process will cycle forever and there is no solution.

The solutions produced by this algorithm are of minimal length. Note care- fully that the whole procedure is deterministic, because g and h are marked.

Furthermore, ifN is the length of the instance I given as input (i.e., the num- ber of bits needed to describe the instance), then this procedure runs in time polynomial inN. Namely, eachg(ai) andh(ai) can have length at mostN, and hence can have at mostN ?1 proper suxes. Since there are only 2n=O(N) di erentg(ai) andh(ai), there are onlyO(N2) di erent suxes, hence the loop of the algorithm can be repeated at most O(N2) times. This loop itself takes O(N) steps, because (1) to check ifg(x) =h(y) org(x)s=h(y) org(x) =h(y)s, we only need to check the wayg(x) andh(y) have been changed by the addition of the previousxi oryj, and (2) searching for a newxi(in step c) oryj (in step d) can be done in O(n) = O(N) steps. Therefore the whole procedure runs in O(N3) steps.

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2.2 Reducing to Simpler Instances

Consider an instance I = (;;g;h) of marked PCP: we have two marked homomorphismsg;h : + !+, where  =fa1;:::;ang, and we want to decide if there is an x 2 + such that g(x) = h(x). Below we describe an approach to decideI by reducing it to an equivalent but simpler instanceI0 of marked PCP (\equivalent" meaning thatI has a solution i I0 has one).

Suppose  = fa1;:::;alg, l  n. We can run the procedure of the pre- vious section for every ai 2 , yielding pairs of (minimal-length) solutions (u1;v1);:::;(ul;vl) where ui;vi 2+ andg(ui) =h(vi) starts withai, or non- existence of solutions for certain i. At most n of the ai can have a solution.

Without loss of generality assume 1;:::;m  n are the i that have a solu- tion. We can turn this into a new instance I0 = (0;;g0;h0) of PCP, where

0=fa1;:::;amg,g0(ai) =uiandh0(ai) =vi. Note thatg0 andh0 are marked, soI0 is an instance of marked PCP. Also, since the procedure of the previous section runs inO(N3) steps and has to be runntimes here,I0 can be built from I inO(N4) steps. The reduction fromI toI0 preserves equivalence:

Lemma 1.

If I andI0 are as above, thenI andI0 are equivalent.

Proof. Note that every solutionx to I must be built up fromui and vi: there must be i1;:::;ik such that x = ui1:::uik = vi1:::vik. This is easy to see from the example in Figure 1. Here u1 = a5a3a1 and v1 = a5a3 is a solution to the simpler problem for a1, similarly (a2a4;a1a2) is a solution for a6 and (a6a3;a4a6a3) is a solution for a2. Herex =a5a3a1a2a4a6a3 is a solution toI, x0=a1a6a2 is a solution toI0, related byx=g0(x0).

g(x) =

g0(a1)=u1=a5a3a1

z }| {

(a

1

) g(a5) g(a3) g(a1)

g0(a6)=u6=a2a4

z }| {

(a

6

) g(a2) g(a4)

g0(a2)=u2=a6a3

z }| {

(a

2

) g(a6) g(a3)

h(x) = (a1) h(a5) h(a3)

| {z }

h0(a1)=v1=a5a3

(a

6

) h(a1) h(a2)

| {z }

h0(a6)=v6=a1a2

(a

2

)h(a4) h(a6) h(a3)

| {z }

h0(a2)=v2=a4a6a3

Fig.1.How a solution toI translates toI0 and vice versa

In general, by construction, ifx0 is a solution to I0 thenx =g0(x0) =h0(x0) is a solution toI. And conversely, for every solutionxtoI there is a solutionx0 toI0 such thatx=g0(x0) =h0(x0). ThusI andI0 are equivalent. 2 If we could prove thatI0is somehow simpler thanI, then we could repeat the procedure, reduce to simpler and simpler equivalent instances I00, I000,..., and eventually decideI. There are at least two ways in whichI0can be simpler than I:j0j<jj(m < n) or(I0)< (I), wheremeasures the \sux complexity"

of an instanceI = (;;g;h) [1]:

(I) =j[a2fxjx is a proper sux ofg(a)gj +j[a2fxjx is a proper sux ofh(a)gj

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Ifn=m, we would likeI0 to be simpler thanI in the sense that (I0)< (I).

The following lemma shows thatI0 at least cannot be more complex than I:

Lemma 2.

If I andI0 are as above, then(I0)(I).

Proof. De ne the following four sets:

G =[a2fxjxis a proper sux ofg(a)g G0 =[a20fxjxis a proper sux ofg0(a)g H =[a2fxjxis a proper sux ofh(a)g H0=[a20fxjxis a proper sux ofh0(a)g

We will de ne an injective function p: G0 !H. Letu 2G0, sou is a proper sux of some speci cg0(ai) =ui=x1:::xc generated by the procedure of the previous section. Let xr be the rst letter of u, ands be the shortest sux of some h(yt) due to which xr was added to ui in the procedure of the previous section, sosis a pre x ofg(xr) (see Figure 2) or vice versa. De nepasp(u) =s.

g(ui) = g(x1) :::::: g(xr?1)

u=xrxr +1:::xc

z }| {

g(xr) g(xr+1) :::::: g(xc)

h(vi) = h(y1) :::::: h(yt)

|{z}s

h(yt+1) ::::::::: h(yd)

Fig.2.The suxscorresponding tou

We will showpis injective. If u;u0 2G0 andp(u) =p(u0), then uandu0 are associated with the same sux s = p(u), hence u and u0 must start with the samexrand (by determinism of the procedure of the previous section) continue in the same way, givingu=u0. Thuspis injective, which impliesjG0jjHj.

Similarly we can de ne an injective function from H0 to G, which proves

jH0jjGj. It now follows that(I0) =jG0j+jH0jjGj+jHj=(I). 2

2.3 The Algorithm

We will here give a method to decide if a given instance I = (;;g;h) of marked PCP has a solution. The idea is to make a sequence of equivalence- preserving reductions I0 = I;I1;I2;:::, such that once in a while a reduction from Ii to Ii+1 simpli es the instance (makes the source alphabet or the sux complexity smaller). We will show that either this sequence of reductions reaches an Ij which has source alphabet of size 1 or  equal to 0 (so Ij is decidable), or the sequence will repeat itself after a while and start cycling. Such cycles are detectable, and we will show that every I leading to such a cycle is easily decidable.

So suppose the sequence of reductions does not reach anIj with alphabet of size 1 or (Ij) = 0. Then it must get \stuck" at a certain source alphabet size

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and. That is, there exist ak,mandz such that allIi in the in nite sequence Ik;Ik+1;Ik+2;::: have source alphabet of sizem and have (Ii) = z. Now this sequence must repeat itself after a while, for otherwise there would be in nitely many distinct instances with the same alphabet and -value, contradicting the next lemma.

Lemma 3.

Let=fa1;:::;amg be nite sets andz be a positive natural number. There exist only nitely many distinct instancesI = (;;g;h) of PCP that satisfy(I)z.

Proof. An instance I = (;;g;h) is completely speci ed by giving the 2m wordsg(a1);:::;g(am),h(a1);:::;h(am)2+. Note that if one of those words has length> z+1, then this word has more thanzproper suxes and(I)> z. Accordingly, each of the 2m words can have length at most z+ 1. There are

Pzi=1+1jji jjz+2 such words. Thus there are at mostjj(z+2)2m choices for 2msuch words, and hence nitely many di erentI that satisfy(I)z. 2 This lemma shows that if the procedure does not converge to very simple instances then it will cycle, and we can detect this by noting that some Ik and Ir (k < r) are equal. It remains to show how we can decide such \cycling"

instances of marked PCP. So suppose we have a cycle, assume without loss of generality that it already starts atI0:

I0!I1!!Ir?1!Ir=I0;

where Ii = (;;gi;hi). By the proof of Lemma 1, for every solution xi to someIi, there is a solutionxi+1 toIi+1 such thatxi =gi+1(xi+1) =hi+1(xi+1).

Supposex0is a solution toI0of minimal length. There must exist some solution xrtoIr such that

x0=g1g2:::gr(xr) x0=h1h2:::hr(xr)

Since thegiandhicannot be length-decreasing, we havejx0jjxrj. Butx0was chosen to be a minimal-length solution toI0andxris also a solution toIr=I0, hence jx0j = jxrj. This implies that g0(= gr) and h0(= hr) map the letters occurring in xr to letters. But then the rst letter ofxr is already a solution, hencejx0j=jxrj = 1. ThusI0 has a solution i I0 has a 1-letter solution (i.e., there is ana20 such thatg0(a) =h0(a)), and this is trivially decidable.

Below we summarize this analysis in an algorithm and a theorem:

Decision procedure for marked PCP

1. SetI =;,i= 0,I0=I. 2. Seti=i+ 1.

3. ReduceIi?1 toIi in the way stated above.

4. IfIihas source alphabet of size 1 or= 0, then decideIi, print the outcome and terminate.

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5. If Ii is simpler thanIi?1 (smaller source alphabet or) then setI=;and goto 2.

6. If Ii 2I then there is a cycle and we can decide Ii by checking if it has a 1-letter solution, print the outcome and terminate;

else setI=I[fIigand goto 2.

Theorem 1.

Marked PCP is decidable.

2.4 Complexity Analysis

Let us analyze the complexity of this algorithm. LetN be the length of the input instance I. Each reduction from Ii to Ii+1 can be done in O(N4) steps. How many di erent reductions do we need to make? For a xed alphabet sizejj

jj = m and sux complexity z, we can make at most m(z+2)2m reductions before detecting a cycle (proof of Lemma 3). Since m=O(N) and z=O(N2), this gives an upper bound of 2O(logNN3) on the number of reductions for xed alphabet size and sux complexity. Alphabet size and sux complexity cannot increase during the process. There are at mostn=O(N) di erent alphabet sizes and at most(I) =O(N2) di erent sux complexities possible, so we have to make no more thanO(N3)2O(logNN3) reductions. Since the setI can contain at most 2O(logNN3) instances, the test Ii 2 I in step 6 can be performed in 2O(logNN3) steps. Thus the whole algorithm works in 2O(logNN3) steps, which means that marked PCP is in

EXPTIME

.

3 2-Marked PCP Is Undecidable

Here we will show that if we weaken the condition of markedness, by only re- quiring the morphisms to be 2-marked, then PCP becomes undecidable again.

Consider the following semi-groupS7with set of 5 generators? =fa;b;c;d;eg and 7 relations:

S7=ha;b;c;d;ejRi

R=fac=ca;ad=da;bc=cb;bd=db;eca=ce;edb=de;cca=ccaeg Tzeitin [10] (see also [7, p. 445]) proved that the following problem for this semi-group is undecidable:

Givenu;v2?+, isu=v2S7?

Note that the set of 7 left-hand-sides of R is 2-marked, and similarly for the set of 7 right-hand-sides of R. We will reduce this problem to 2-marked PCP.

We use a slight modi cation of the standard reduction from word problems to PCP, involving an alphabet with some underlined letters in order to ensure 2- markedness.

De ne the source alphabet as

=? [?[fB;E;#;#;r1;r2;:::;r7;r1;r2;:::;r7g,

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where ? = fa;b;c;d;eg, and r1;:::;r7 are the 7 relations in R and r1;:::;r7 are their underlined versions (considered as single letters), so r1 = [ac = ca], r1= [ac=ca] etc. De ne the target alphabet as

=?[?[fB;E;#;#g.

B and E will mark the beginning and end of expressions, respectively. Given u;v2?+,gandhare de ned by Table 1:

B E # # a ... e a ... e [s=t] [s=t]

g Bu# E # # a ... e a ... e t s

h B #vE # # a ... e a ... e s t

Table1.De nition ofgandh

Note that the constructed instanceI = (;;g;h) is an instance of 2-marked PCP. The following lemma shows that the reduction preserves equivalence with Tzeitin's problem:

Lemma 4.

Letu;v;I be as above. Then u=v2S7 i I has a solution.

Proof.

=): Suppose u=v 2S7. Then there is a sequenceu=u1!u2!! uk =v, whereui =u0su00 andui+1 =u0tu00, ands=t 2R ort =s 2R. We construct a solution toI by induction onk.

Ifk= 1, thenu=v2?+. Nowx=Bu#uE is a solution toI.

Now let I0 = (;;g0;h0) be the instance of 2-marked PCP corresponding to u = uk?1 2 S7. By the induction hypothesis we can assume that I0 has a minimal-length solution x0. It is easy to see that every solution must begin with B and end with E, so x0 = ByE, and therefore g0(By) = w#uk?1 and h0(By) =wfor some w. Note that sinceI andI0 only di er in the assignment h(E) andh0(E), andE cannot occur iny (becausex0 is minimal), we also have g(By) =w#uk?1 and h(By) = w. We distinguish two cases. Firstly, uk?1 = u0su00 and v =uk = u0tu00, wherer = [s =t] is one of the 7 relations. Then it is easily veri ed that x =By#u0ru00#u0tu00E is a solution to I. Secondly, if uk?1 =u0tu00 and v =uk =u0su00, thenx =By#u0tu00#u0ru00E is a solution.

This completes the induction step.

(=: Suppose I has a solution x. We can assume x is of minimal length.

Thisxmust be of the formBx1x2:::xmE, wherexi2, sog(Bx1:::xmE) = Bu#g(x1:::xm)E = h(Bx1:::xmE) = Bh(x1:::xm)#vE. Ignoring the un- derlining, g(x) = h(x) must be of the formBu1#u2#:::#uk?1#ukE, where ui 2 ?, u1 = u and uk = v. We will show that ui = ui+1 2 S7 for every 1ik?1, from whichu=v2S7follows.

Because # occurs inh(x1:::xm), there must be some leastisuch thatxi=

#, and henceu=h(x1:::xi?1). Since there is no underlining inu, it follows that

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x1;:::;xi?1 must have been chosen from a;:::;e;r1;:::;r7. Let x1:::xi?1 = w1ri1w2ri2:::wl, with wi 2 ? and ri = [si = ti] 2 fr1;:::;r7g. Then u = h(w1ri1w2ri2:::wl) =w1si1w2si2:::wl. See Figure 3 for illustration.

g(Bx1:::xi:::xmE) =

g(B)=Bu#

z }| {

B w1si1w2si2:::wl # g(x1) g(x2) ::::::

g(E)

z}|{

E

h(Bx1:::xi:::xmE) = B

|{z}h(B)

w

1

si1w2si2:::wl

| {z }

h(x1:::xi?1)=u=u1

#

|{z}h(xi)

h(xi+1) :::::: #vE

| {z }

h(E)

Fig.3.Picture leading tou=v

Note thatg(x1:::xi?1) =g(w1ri1w2ri2:::wl) =w1ti1w2ti2:::wl. But now, since we must haveg(x1:::xmE) =h(xi+1:::xmE), there must be a leastj > i such that xj 2f#;#gandh(xi+1:::xj?1) =g(x1:::xi?1) =w1ti1w2ti2:::wl. The latter string (without underlining) is u2. Note that u1 =u22S7, because u1(=u) andu2 only di er byu2 havingti whereu1hassi.

Continuing this reasoning, we can show that for every two wordsui;ui+12? occurring in g(x) =h(x) separated by #, ignoring underlining, we must have ui=ui+12S7(some of the wordsui andui+1may actually already be equal in

+). Henceu=v2S7, sinceg(x) starts withu1=uand ends with uk =v. 2 Together with Tzeitin's result, the above lemma implies:

Theorem 2.

2-Marked PCP is undecidable.

To end this section, we note that 2-marked PCP is not a special case of injective PCP. For example, the morphism de ned byg(1) = 23,g(2) = 2,g(3) = 3 is 2-marked but not injective. We can combinek-markedness and injectivity by calling a morphismgstronglyk-markedifgis bothk-marked and pre x (i.e., no g(ai) is a pre x of anotherg(aj)). This clearly implies injectivity. It follows from a construction of Ruohonen [8] that strongly 5-marked PCP is undecidable: the bipre x instances of PCP constructed there to show undecidability of bipre x PCP are also 5-marked. Decidability of stronglyk-marked PCP for 1< k <5 is still open.

4 Conclusion and Future Work

We can investigate the boundary between decidability and undecidability by ex- amining which restrictions on the Post Correspondence Problem render the prob- lem decidable. We have shown here that restricting PCP to marked morphisms gives us decidability. On the other hand, 2-marked PCP is still undecidable.

The following questions are left open by this research:

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{

Is exponential time the best we can do when deciding marked PCP, or is there a polynomial-time algorithm for the problem?

{

What about decidability of stronglyk-marked PCP for 1< k <5?

{

What about decidability of marked generalized PCP [1,3]?

{

The decidability status of PCP with elementary morphisms [9, pp. 72{

77] is still open. A morphism g is elementary if it cannot be written as a composition g2g1 via a smaller alphabet. Marked PCP is a subcase of elementary PCP which we have shown here to be decidable. Can our results help to settle the decidability status of elementary PCP?

Acknowledgment

We would like to thank Tero Harju, Juhani Karhumaki, and John Tromp for reading and commenting this paper, and Harry Buhrman for some discussions.

The second author would like to thank the CWI for its hospitality during the summer of 1998, when part of this work was done.

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