IEEE TRANSACTIONS ON COMPUTERS, VOL. c-23, NO.

6, JUNE 1974 561

On Some Open Problems in the Theory of Cellular Automata

S. RAG KOSARAJU GN UBRA 0

Abstract-Some open problems in the theory of cellular automata
are considered: the tradeoff between machine complexity and inter-
connection complexity, linear time pattern recognition and trans-
formation problems, and the noncomputability of the constant of
linearity of linear time problems.
Index Terms-Cellular automata, complexity tradeoffs, inter-
connection complexity, machine complexity, neighborhood reduction,
packing, parallel processing, pattern recognition, pattern trans-
formation.
I. INTRODUCTION
CELLULAR automata were first introduced by von
Neumann [10] as models of self-reproducing machines.
Since then they have attracted wide interest in computing
the vector addition of x and ti. A step of computation
consists of a state transformation of each cell of the n-D
space. At any instant, the states of all the cells give the
configuration. That is, a configuration of an n-D automaton
with state set S is given by a function f: In -* S, where
f(z) = q signifies that the cell z is in state q. The con-
figuration before the first step is called the initial or input
configuration. Initial configurations are denoted by zero
subscripts and configurations after k-steps are denoted by
k-subscripts.
We adopt the following usual conventions: pp =
magnitude of p, LPJ = the largest integer no larger than
p, [pl = the least integer no less than p. The distance
between (ai,,a2, * * -,a.) and (bl,b2, * *,bn) along the ith
-

and pattern recognition. One problem, popularly known
as neighborhood reduction, is ascertaining the tradeoff
between interconnection complexity and machine com-
plexity [1], 3], [5], [7], [9]. In Section III, we demon-
strate a tradeoff that is an improvement over Hamacher's
conjectured values [4]. The noncomputability of the
constant of linearity of linear time pattern recognition
problems is established in Section IV, settling an open
axis is ai - bi 1. x + y is the vector addition of x and
y, and nx = (n - 1)x + x.
For completeness we also define the standard Jk and
Hik neighborhoods.
For any k > 1, the set of n-tuples t (61,62,* * *n) Si <
k for i = 1,2,- ,n } gives the J.-neighborhood.
For any k > 1, the set of n-tuples {(51,52,..--. 2n) | | I +
32 | + * + an < k} gives the Hi-neighborhood. Thus
-

problem of Beyer [2]. Linearity of packing, a pattern any cell whose distance from a cell x is no more than k
transformation problem, is proved in Section V. The along every axis is a Jk-neighbor of x. Any cell such that
presentation is informal, at the expense of some precision. the sum of its distance from x along each of the n axes
is no more than k is an Hk-neighbor of x. These concepts
II. BASIC TERMINOLOGY are illustrated in Figs. 1 (a) and 1 (b).
An n-dimensional cellular automaton (n-D automaton) III. NEIGHBORHOOD REDUCTION
consists of an infinite number of identical finite state We introduce the neighborhood reduction problem with
machines (fsm's) one located at each point of In where I the simple example shown in Fig. 2. Cell z of M is in state
is the set of integers. We can also view an n-D automaton qZ, and cell z of M' is in state (q2Z,q2z+l). Informally we
as an n-dimensional regular array of cells, each of which say that the space of M is partitioned into 2 cell blocks
contains an fsm. We use (ai,a2,.. ,an), (b1,b2,2...bn)X*. and each block is stored in a single cell of M', preserving
to- de-note cells by their coordinates in n-D space, and topology (i.e., adjacent blocks are stored in adjacent cells).
x,y,-z... to denote cells when the coordinates are not Let the neighborhoods of M and M' be H2 and Hi, respec-
significant. When there is no ambiguity we refer to the tively. In one step, let each cell z of M go into state q,'.
"fsm in a cell" simply as the "cell" itself. The set of possi- Since M has H2 neighborhood, q22' and q2z+1' depend upon
ble states of each cell is the state set of the n-D automaton. q2z-2q2 z-I,q2z,q22z+lq2z+2, and q22z-lq22,q2z+l,q2z+2,q2z+8, respec-
There exists a unique finite set of n-tuples {I 1, 2,--.)II tively. In M', q2z-2,q2z-1,q2z,q2z+l,q2,+2 and q2z+3 are stored
known as the neighborhood. The next state of any cell x in the Hi neighbors of cell z. Thus in one step cell z of M'
depends deterministically upon the present states of its will change state from (q2z,q2.+1) to (q2,',q2z+l'). We say
neighbors: Ix + 1,X + 62,2 ,X + {n where x + ti is that M' with Hi neighborhood strongly simulates M with
H11 neighborhood.
Manuscript received January 24, 1973; revised December 12, In the neighborhood reduction problem, we are inter-
1973. Final revision supported by National Bureau of Standards, ested in strongly simulating an n-D automaton M having
under Contract FL13-3-35999. A preliminary version of this paper
was presented at the 6th Annual Princeton Conference on Informa- a certain neighborhood by another n-D automaton M'
tion Sciences and Systems, Princeton, N. J., 1972.
The author is with the Department of Electrical Engineering, which has a smaller neighborhood. To do this, we store
The Johns Hopkins University, Baltimore, Md. 21218. (compress) a certain number of cells of M in each cell of
 562 I5EE TRANSACTIONS ON COMPUTERS, JUNE 1974

I_IA I T ll

Fig. 1. (a) J2-neighbors of A. (b) H2-neighbors of A.

M jq2 ql l0l1 l 2 q3j

F(g2g(qo I
( 2

Fig. 2. Neighborhood reduction from H2 to Hi.

M', such that each cell of M is stored in at least one cell n > 4 [7]. In the following, we give a reduction procedure
of M'. Then we verify that for any cell y of M, stored in valid for every n, which yields values of k that are never
cell x of M', all the neighbors of y in M are stored in the worse than Hamacher's conjectured values. For n = 2 and
neighbors of x in M'. The number of cells of M stored in a 3 the construction is the same as that of Hamacher.' The
single cell of M' is the compression factor. The following values are better than those reported in Smith [9]. In
definitions capture the above notions. addition the proof seems to be especially simple.
Let g be any function: In -- (I")*. If g(x) = (Y1,Y2,* , Theorem 1: Let M be an n-D automaton with J1-neigh-
yb), then let [g(x)] be the set {Yi,Y2,* . .,yk. Let M and borhood. We can effectively construct an n-D automaton
M' be any two n-D automata. M' with Hi-neighborhood which strongly simulates M
g is a compression function, with compression factor k, and has a compression factor less than 1 + (3n - 2) n.
if and only if Proof: We partition the n-D space of M into n X
n X * * * X n (n times) blocks, and then store each block
U [g(x)] =
xeIn into a single cell of M', preserving topology. In addition, if
cell y of a block in M is stored in cell x of M', as above,
A configuration c' of M' is the g-compression configura- then we additionally store in x all the cells of M which
tion of the configuration c (denoted by g[c]) of M if and are at a distance from y of at most n - 1 along one axis,
only if (Yx E I") (g(x) = (Y1,Y2, Y,yk) =Kc'(x) = (c(yI), n - 2 along another axis, n - 3 along a third axis, * *,0 -

c(y2),. )C(Yk)) along some axis. This mapping is made more precise in the
In Fig. 2 g(x) = (2x,2x + 1); k 2; c'(x) (q25, following.
=

q2x+l) c(2x) = q2. and c(2x + 1) = q2.+ . Let (d1,d,.2 . ,dd) <p (el,e2, ,en) if and only if there
M' strongly simulates M with g-compression if and only exists a permutation (d',d2t',...*dn') of (d1,d2, * *,dn) such
if for every initial configuration co of M, if M' is initially that di' < ei for i = 1,2,** *,n.
set in the configuration co' = g[co], then for any k > 1, Example: (1,3,0) <p (3,2,0) and (1,-4,0) 1p (3,2,0).
C = g[ciJ. Define a function hi: I- 2I" by
Given any n-D automaton with a finite neighborhood,
we can easily construct an n-D automaton with J1-neigh- hi(x) -nx + ( 1,62...25n) Si E O,1,2,* .,n - 1}
borhood which strongly simulates it. Cole [3] showed
that for any n-D automaton M with J1-neighborhood, we for i =1,2, n.
can construct an n-D automaton M' with Hi-neighborhood It is easily seen that hi has the following properties:
which strongly simulates M. But the compression factor
k involved in this reduction is of the order of (3n2)n. Since 1) For any x, h1(x) gives an n X n X X n block
k cells of M are compressed into one cell of M', large k's in the n-D space,
imply large fsm's for M'. 2) For any two distinctx1 and x2, hi(xi) C hi(x2)
Hamacher [4], [5] asks whether we can significantly 3) UJhi(x) =I.
reduce k. He gives a reduction procedure for n 2 and 3= xel n
and conjectures an extension for every n. But unfortu-
nately his conjecture turned out to be incorrect for any ' This fact, for n = 2, has been observed by one of the referees.
KOSARAJU: CELLULAR AUTOMATA AND OPEN PROBLEMS
Thus hi reflects the partition mentioned above.
Define a function h2 by:
h2(x) = {y + a y C h1(x) and
0)
a <p (n - 1,n -21.
Define a function g by:
g(x) = (Y1,Y2, '',Ym) if and only if Yi,Y2,-Y,ym
are the distinct members of h2(x). Thus [g(x)] = h2(x).
We wish to show that M' can strongly simulate M with
g-compression. This compression, for n = 2, is shown in
Fig. 3. For any x, let hi (x) be the primary cells at x, and
hk(x) - hi (x) be the overlap cells at x. In Fig. 3 each cell
has 4 primary cells and 8 overlap cells. The overlap cells
are shown in broken lines.
From the definition of g, any cell of M stored at x of
M' can be represented by y + 6 where y is a primary cell
at x and 6 < p (n - 1,n - 2,..-,O). Any Ji-neighbor
y + 6' of y + 6 of M satisfies the condition 6' <p (n - 1,
n - 2,0.. .,) + (1,1 ...,1) = (n,n - 1, ...,1). Let B' =
(61',62',1 * ,6,n') andlet bi' = max I Il |',|,62' ,- -
Sn }
Then (61, .. ,6j-11,0,6±+11 * .* *6n') < p (n - 1,n -2, ...
*0)
and y + (0, ... ,o,0i',o, * ,O) is a primary cell tf an H,-
neighbor of x. Hence y + 6' is stored in an Hi-neighbor of x.
Thus M' can strongly simulate M with g-compression. For
any x, [g(x)] is contained in a (3n -2) X (3n -2) X*..
X (3n-2) (n times) block. Hence # [g (x)] < (3n-2)n <
1 + (3n - 2) . Q.E.D.
IV. PATTERN RECOGNITION PROBLEMS
In this and the following section we will be dealing with
finite subspaces of the n-dimensional spaces. When con-
sidering problems in a finite subspace, we assume that
every cell outside this subspace is in a special state-the
edge state. If a cell is in the edge state, then it cannot
change into any other state. Thus we can effectively re-
strict the active space to the required finite subspace; and
we can talk about the finite subspace of interest, without
specifically mentioning the edge state space. For con-
venience, we will use the term pattern to refer to either a
subspace or a configuration restricted to a subspace. We
consider only rectangular patterns in 2-D spaces. The
boundary of a pattern consists of all the cells having an
edge state cell as a Ji-neighbor. In a given pattern, the
boundary cell having North and West (South and East)
Hi-neighbors as edge state cells is the NW (SE) cell.
We designate a subset, So, of the state set of any 2-D
automaton, M, as the initial or input state set. In any
input pattern, cells in the pattern can contain states only
from S0. A predicate, 0, is a set of input patterns; and
; = {all possible input patterns} - st. In the state set
of M, there are two special states: qa (accept state) and
q, (reject state). If a cell goes into either state, it will
continue to be in that state.
563
| .* ~~~~~r
l |--
A~ B K B K L
|D |C|N, 'C|N|M|
1__LL_1J
L__
Fig. 3. Two adjacent cells of M'.
M accepts (rejects) a pattern in t steps if and only if
the NW cell of M goes into state qa(qr) within t steps.
M accepts a predictate t' in k-linear time if and only if
M accepts every m X n pattern (m rows and n columns)
in y6 within k (m + n) steps and does not accept any pat-
tern in 7.
M recognizes a predicate 4' in k-linear time if and only
if M accepts every m X n pattern in 4' within k(m + n)
steps and rejects every m X n pattern in within k (m + n)
steps.
M accepts (recognizes) a predicate 4' in linear time if
and only if there exists a k such that M accepts (recog-
nizes) 4' in k-linear time.
Beyer [2] gives the following result (due to Paterson).
Lemma 1: Given a predicate 41 and a 2-D automaton
M which recognizes 4' in linear time, the problem of finding
the minimum k such that M recognizes + in k-linear time
is in general unsolvable.
Proof: Refer to [2, p. 63].
Beyer poses the following open problem:
"However, the problem of whether or not it is possible
to effectively compute such a k, given just M and the
knowledge that M accepts in linear time is open."
We prove that k is not effectively computable.
Theorem 2: Given a predicate 4' and a 2-D automaton M
which accepts V/ in linear time, the problem of finding a
k such that M accepts 4' in k-linear time is in general
unsolvable.
Proof: We assume familiarity with the classical blank
tape halting problem and its unsolvability [6]. For any
Turing machine T, construct a 2-D automaton MT, as
follows. (For simplicity, we give the behavioral description
instead of the structural description. Even in this be-
havioral description, many details have been left out.)
On any m X n input pattern, MT starts simulating T
on blank tape, making use of the m X n pattern area as a
folded tape of length mn (row 1 left to right, then row 2
right to left, then row 3 left to right, etc.). The simulation
is done such that one step of simulation corresponds to
one step of T and, in addition, the head of T always resides
on the NW cell (this can be done, but we will not go into
the details). At the first step the SE cell sends a signal
which propagates clockwise along the boundary at the
rate of 1 cell/step and which will arrive at the NW cell
in exactly m + n - 2 steps (if the NW cell recirculates
the arrived SE signal then it will be received again at the
564
NW cell after another 2m + 2n - 4 steps). Since m +
n - 2 < mn for m, n > 1, the SE signal will be received
by the NW cell before the simulation of T runs out of
available tape. If T has not halted by the time the SE
signal is received, then after 2 steps the NW cell goes
into the state qa,. In this case, MT accepts the m X n
pattern in time m + n, If T halts before the SE signal
is received, say in c steps, then the NW cell goes into
state qa on c(2m + 2n) + (m + n)th step. (The NW cell
recirculates the SE signal c times, each time delaying
by 4 steps, to count c(2m + 2n); we omit the details.)
Thus MT accepts every input pattern in linear time, i.e.,
in (2c + 1)-linear time if T halts in c steps or in 1-linear
time if T does not halt.
If we can compute a k such that MT accepts every
m X n pattern in k-linear time, then T halts on blank tape
if and only if T halts on blank tape within L(k - 1)/2j
steps. Hence, if k is effectively computable, then the blank
tape halting problem is solvable. Q.E.D.
V. PATTERN TRANSFORMATION PROBLEMS
In a transformation problem, a 2-D automaton M starts
with an input pattern, and operates until at two consecu-
tive steps the patterns are the same. Then we say that M
has halted with the final pattern as the output. Linear
time operation is defined as in the previous case. We
consider a particular transformation problem called the
packing problem, or Tpack.
The input is a black and white pattern; i.e., the input
state set is {B, W}. We want to transform it to a black
and white pattern which has the same number of black
cells, (i.e., cells in state B) but in which these cells are
packed into solid rows at the top of the pattern (the last
row is left-justified). Let us also consider the recognition
of a predicate #black. 4/black iS the set of all black and white
patterns each of which has more black cells than white
cells.
Beyer [2] poses the open problems whether Vlblsack can
be recognized in linear time, and Tpack can be done in
linear time. Trivially, linearity of Tpack can be used to
show linearity of 1'blaek. Smith [8] gives a procedure due
to Meyer for linear time recognition of {black. In the
procedure, the number of blacks and the number of whites
are independently converted into binary numbers and
then the two binary numbers are compared.
In the following we show that Tpack iS linear, making
use of the binary conversion technique. We give only a
very informal description.
Theorem 3: Tp- ,kcan be done in linear time.
Proof: Before giving the details, we describe the main
phases for any m X n black and white pattern with
m = 2a.
Phase 1: Convert the number of blacks into a binary
number b1.
IEEE TRANSACTIONS ON COMPUTERS, JUNE 1974
Phase 2: Represent
m m m m m
2 I n22 2,a-l'12ai 2a
by the binary numbers c1,c2,.*-,ca,ca+l, respectively.
Phase 3: Express b1 as bi l1cl + + 3aCa + ba+i
where bi is 0or 1 and ba+ < n.
Phase 4: Starting with a completely white pattern,
for each Si = 1, change distinct m/2i rows into blacks.
Also change the leftmost ba+i cells of a distinct row into
bIacks.
Phase 5: Finally push all the blacks up along
columns, achieving packing.
More details are given below. In the description, if each
cell contains a k-tuple, then the ith component of each
k-tuple of the pattern is described as plane i.
Phase 1: In this phase, which is performed in plane
1, the number of blacks is converted into a binary number
bl. First we shift the blacks left along rows to left-justify
them. Next the number of blacks' in each row is converted
into a binary number using the leftmost cell of that row
as an adder and storing the result in the same row, with
the least significant digit left-justified. Now all the leftmost
column cells act as simultaneous adders, the inputs to
the ith cell being the ith row binary number and the
output of the (i + 1)th cell. The output of cell 1 (NW
cell) is stored in the same plane in folded form with the
least significant digit in the NW cell. This phase takes less
than di (m + n) steps for some di.
Phase 2: Let ri = 1,r2 = F(r1 + m)/21l * *,ra+1 =
F(ra + m)/2 where a= Flog2mi. In plane 2, all the
cells. of the rows r1,r2, ...*ra+, (counting from the top) are
marked with a special symbol *. This is done by the ap-
plication of an obvious variation of the classical firing
squad solution to column 1 (leftmost) and propagating
the firing condition along the rows. This takes less than
2m + n steps. Now a + 1 rows of the figure are marked
by the above process. Let rows ri., (ri+l -1) form the
region Vi for i = 1,*.* ,a and let row ra+l form the region
Va+1. Let the NW cell of region Vi be vi for i = 1,2,***,
a + 1. The rows and the regions, with their NW cells, are
shown in Fig. 4. After the above marking, the number of
cells in each Vi is converted (as in phase 1) into a binary
number ci and stored in folded form within Vi with the
least significant digit at vi. Clearly phase 2 takes less than
d2(m + n) steps for some d2.
Phase 3: At this point, in plane 1 we have a binary
number b1 (= number of black cells), and in plane 2 we
have binary numbers c1,C2, ,Ca+l M regions VI,V2,
Va+1, respectively. In this phase -b is input to region V1
through v1.
If bi is the input to region Vi, i = 1,-* *,a, then bi is
compared with ci. If bi < ci then vi is set to a special state
8 and bi+l = b; is input to region Vw+L through vi+l. If
 KOSARAJU: CELLULAR AUTOMATA AND OPEN PROBLEMS 565
<-B E1JOSBB -BEa
-

_ BI,
~

B
~~

B1B ~~~B ,BB

_ BITB B B B
l I
_B B B BE
BE
BEB
4B B EBB
II __BBBBB BE BEB.
I B B
L.-
-71=
__

Li Ll Fig. 5. Propagation of blacks.

U.-H :]=
__ -

]Ill - Ill
__

__

Fig. 4. Partitioning into regions. the process stops with solid top rows of blacks, with the
last row of blacks justified in the direction of the arrow
in that row. We conjecture that the transformation takes
bi 2 ci, then vi is set to a special state T and bi+1 = bi-Ci only linear time. If so, it can be trivially modified to give
is input to region Vi+1 through vi+1. a natural proof of the linearity of Tpek and 'bliack-
If vi is set to bi for i = 1, ** -,a and ba+i is the input to
Va+1, then b1 = Sic1 + * * * + £3aC + ba+1 and ba+i < n. REFERENCES
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for some d3 and d4 (each comparison and subtraction takes hood size for tessellation automata," Inform. Contr., pp. 48-55,
1972.
at most 2Flog2 mnl steps and there are at most Flog2 ml [2] W. T. Beyer, "Recognition of topological invariants by iter-
such operations),. For every m,n > 1, Flog2 ml Flog2 mnl < ative arrays," MAC TR-66, Oct. 1969.
[31 S. N. Cole, "Real-time computation by n-dimensional iterative
Flog2 mn l1 < d6 (m + n) for some d6. Thus this phase can arrays of finite-state machines," IEEE Trans. Comput., vol.
be done within d6(m + n) steps, for some d6. C-18, pp. 349-365, Apr. 1969.
[41 V. C. Hamacher, "A class of parallel processing automata,"
Phase 4: Each vi in state T sends a signal which Ph.D. dissertation, Syracuse Univ., Syracuse, N. Y., June 1968.
propagates along rows and columns, to set every cell in [5] , "Machine complexity versus interconnection complexity
in iterative arrays," IEEE Trans. Comput., vol. C-20, pp. 321-
Vi to black for i = 1,- * -,a. In the case of Va+., only the 323, Mar. 1971.
ba+i leftmost cells of row m are turned black. This phase [6] J. E. Hoperoft and J. D. Ullman, Formal Languages and their
Relation to Automata. Reading, Mass.: Addison-Wesley, 1969.
takes at most rm/21 + n steps. [7J S. R. Kosaraju, "Computations on iterative automata," Ph.D.
Phase 5: All the blacks formed in Phase 4 are dissertation, Univ. of Pennsylvania, Philadelphia, Pa., Aug.
1969.
pushed up along columns to get the required packing. [8] A. R. Smith, III, "Two dimensional formal languages and
Packing is achieved since, in Phase 4, any row with a pattern recognition by cellular automata," in IEEE 12th
SWAT Conf. Proc., 1971, pp. 144-152.
black cell is completely black (except for possibly the [9] -, "Cellular automata complexity tradeoffs," Inform.
last row, and the blacks in the last row are left-justified). [10] J.Contr., pp. 466-482, 1971.
von Neumann, The Theory of Self-Reproducing Automata,
This phase takes at most d7m steps for some d7. A. W. Burks, Ed. Urbana, Ill.: Univ. of Illinois, 1966.
A few details, like making M halt on a packed configura- [11] Contr.,
H. Yamada and S. Amoroso, "Tessellation automata," Inform.
pp. 299-317, 1969.
tion, are omitted. Since each phase takes linear time, the
algorithm works in linear time. Q.E.D.
We propose another elegant packing algorithm, which
does not involve any binary conversions. On any m X n S. Rao Kosaraju was born in Andhra Pradesh,
India, on February 20, 1943. He received the
pattern, draw a right to left arrow along each odd num- B.E. degree in telecommunications from
bered row, and a left to right arrow along each even Andhra University, Andhra, India, in 1964,
numbered row. the M.Tech. degree in industrial electronics
from the Indian Institute of Technology,
Parallel Steps: A black moves up a column if the cell Kharagpur, in 1966, and the Ph.D. degree in
immediately above is empty (i.e., contains a white). A
electrical engineering from the University of
Pennsylvania, Philadelphia, in 1969.
Otherwise, if it can, it moves along the row in the direction From 1969 he has been an Assistant Pro-
of the arrow. If an empty cell can get a black both from fessor at The Johns Hopkins University,
a column and a row, then the column has preference. The Baltimore, Md. His research interests include theory of computing,
structured programming, and parallel processing.
various movements are illustrated in Fig. 5 (for clarity, He is a member of the Association for Computing Machinery and
whites are represented by blanks). It is easily seen that Sigma Xi.