Semantics of Programming Languages

Computer Science Tripos, Part 1B

201415

Peter Sewell
Computer Laboratory
University of Cambridge

Lecture Theatre 1
Tuesday / Thursday 12pm
9 October 18 November 2014

Time-stamp:

<2014-09-26 13:23:17 pes20>

c
Peter
Sewell 2014

c
Sam
Staton 20092013
c
Peter
Sewell 20032009

Contents
Syllabus

Learning Guide

Summary of Notation

1 Introduction

2 A First Imperative Language

2.1 Operational Semantics . . .
2.2 Typing . . . . . . . . . . . .
2.3 L1: Collected definition . .
2.4 Exercises . . . . . . . . . .

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12
13
21
28
30

3 Induction
3.1 Abstract Syntax and Structural Induction
3.2 Inductive Definitions and Rule Induction .
3.3 Example proofs . . . . . . . . . . . . . . .
3.4 Exercises . . . . . . . . . . . . . . . . . .

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31
33
35
38
45

4 Functions
4.1 Abstract syntax up to alpha conversion, and
4.2 Function Behaviour . . . . . . . . . . . . . .
4.3 Function Typing . . . . . . . . . . . . . . .
4.4 Local Definitions and Recursive Functions .
4.5 Implementation . . . . . . . . . . . . . . . .
4.6 L2: Collected Definition . . . . . . . . . . .
4.7 Exercises . . . . . . . . . . . . . . . . . . .

substitution
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46
48
52
56
58
61
64
67

5 Data
5.1 Products and sums . . .
5.2 Datatypes and Records
5.3 Mutable Store . . . . . .
5.4 Evaluation Contexts . .
5.5 L3: Collected definition
5.6 Exercises . . . . . . . .

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68
68
71
73
76
77
81

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6 Subtyping and Objects

82
6.1 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
7 Concurrency
89
7.1 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
8 Semantic Equivalence
100
8.1 Contextual equivalence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
8.2 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
9 Epilogue

105

A Interpreter and type checker for L1 (ML)

108

B Interpreter and type checker for L1 (Java)

112

C How to do Proofs
C.1 How to go about it . . . . . . .
C.2 And in More Detail... . . . . .
C.2.1 Meet the Connectives .
C.2.2 Equivalences . . . . . .
C.2.3 How to Prove a Formula
C.2.4 How to Use a Formula .
C.3 An Example . . . . . . . . . . .
C.3.1 Proving the PL . . . . .
C.3.2 Using the PL . . . . . .
C.4 Sequent Calculus Rules . . . .

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118
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125
125

Syllabus
This course is a prerequisite for Types (Part II), Denotational Semantics (Part II), and
Topics in Concurrency (Part II).
Aims
The aim of this course is to introduce the structural, operational approach to programming language semantics. It will show how to specify the meaning of typical programming
language constructs, in the context of language design, and how to reason formally about
semantic properties of programs.
Lectures
Introduction. Transition systems. The idea of structural operational semantics.
Transition semantics of a simple imperative language. Language design options.
Types. Introduction to formal type systems. Typing for the simple imperative language. Statements of desirable properties.
Induction. Review of mathematical induction. Abstract syntax trees and structural induction. Rule-based inductive definitions and proofs. Proofs of type safety
properties.
Functions. Call-by-name and call-by-value function application, semantics and typing. Local recursive definitions.
Data. Semantics and typing for products, sums, records, references.
Subtyping. Record subtyping and simple object encoding.
Semantic equivalence. Semantic equivalence of phrases in a simple imperative language, including the congruence property. Examples of equivalence and non-equivalence.
Concurrency. Shared variable interleaving. Semantics for simple mutexes; a serializability property.
Objectives
At the end of the course students should
be familiar with rule-based presentations of the operational semantics and type systems
for some simple imperative, functional and interactive program constructs
be able to prove properties of an operational semantics using various forms of induction
(mathematical, structural, and rule-based)
be familiar with some operationally-based notions of semantic equivalence of program
phrases and their basic properties
Recommended reading
Hennessy, M. (1990). The semantics of programming languages. Wiley.
Out of print, but available on the web at
http://www.scss.tcd.ie/Matthew.Hennessy/slexternal/reading.php.
* Pierce, B.C. (2002). Types and programming languages. MIT Press. ebook available at
http://search.lib.cam.ac.uk/?itemid=|eresources|4228596.
Winskel, G. (1993). The formal semantics of programming languages. MIT Press.

Learning Guide
The books are all available in the Computer Laboratory Library. Books:
Hennessy, M. (1990). The Semantics of Programming Languages. Wiley. Out of print.
Introduces many of the key topics of the course. Theres a copy on the web at
http://www.scss.tcd.ie/Matthew.Hennessy/slexternal/reading.php.

Pierce, B. C. (2002) Types and Programming Languages. MIT Press.

This is a graduate-level text, covering a great deal of material on programming language
semantics. The first half (through to Chapter 15) is relevant to this course, and some of the
later material relevant to the Part II Types course. ebook available at
http://search.lib.cam.ac.uk/?itemid=|eresources|1472

Winskel, G. (1993). The Formal Semantics of Programming Languages. MIT Press.

An introduction to both operational and denotational semantics.

Harper, R. W (2012). Practical Foundations for Programming Languages. MIT Press.

Also available from www.cs.cmu.edu/~rwh/plbook/book.pdf^
a
AO.
Further reading:
Plotkin, G. D.(1981). A structural approach to operational semantics. Technical
Report DAIMI FN-19, Aarhus University.
These notes first popularized the structural approach to operational semantics. Although
somewhat dated, they are still a mine of interesting examples. It is available at
http://homepages.inf.ed.ac.uk/gdp/publications/sos_jlap.pdf.

Two essays in: Wand, I. and R. Milner (Eds) (1996), Computing Tomorrow, CUP:
Hoare, C. A. R.. Algebra and Models.
Milner, R. Semantic Ideas in Computing.
Two accessible essays giving somewhat different perspectives on the semantics of computation
and programming languages.

Andrew Pitts lectured this course until 2002. The syllabus has changed, but you might
enjoy his notes, still available at http://www.cl.cam.ac.uk/teaching/2001/Semantics/.
Pierce, B. C. (ed) (2005) Advanced Topics in Types and Programming Languages. MIT
Press.
This is a collection of articles by experts on a range of programming-language semantics topics.
Most of the details are beyond the scope of this course, but it gives a good overview of the
state of the art. The contents are listed at http://www.cis.upenn.edu/~bcpierce/attapl/.

Implementations: Implementations of some of the languages are available on the course

web page, accessible via http://www.cl.cam.ac.uk/teaching/current.
They are written in Moscow ML. This is installed on the Intel Lab machines. If you want to
work with them on your own machine instead, there are Linux, Windows, and Mac versions
of Moscow ML available at http://www.itu.dk/~sestoft/mosml.html.
Exercises: The notes contain various exercises, some related to the implementations. Those
marked should be straightforward checks that you are grasping the material; I suggest
you attempt all of these. Exercises marked may need a little more thought both
proofs and some implementation-related; you should do most of them. Exercises marked
may need material beyond the notes, and/or be quite time-consuming. Below is a
possible selection of exercises for supervisions.
1. 2.4: 1, 3, 4, 8, 9, 10, 11 (all these should be pretty quick); 3.4: 12, 15.
2. 4.7: 18, 19, 20, 21, 22; 5.6: 28; 2003.5.11.

3. 7.2: 37, 7.1: (39), 40; 6.1: 31, 32, 35; 2003.6.12, mock tripos from www.
Tripos questions: This version of the course was first given in 20022003. The questions
since then are directly relevant, and there is an additional mock question on the course web
page. The previous version of the course (by Andrew Pitts) used a slightly different form
of operational semantics, big-step instead of small-step (see Page 63 of these notes), and
different example languages, so the notation in most earlier questions may seem unfamiliar
at first sight.
These questions use only small-step and should be accessible: 1998 Paper 6 Question 12,
1997 Paper 5 Question 12, and 1996 Paper 5 Question 12.
These questions use big-step, but apart from that should be ok: 2002 Paper 5 Question 9,
2002 Paper 6 Question 9, 2001 Paper 5 Question 9, 2000 Paper 5 Question 9, 1999 Paper 6
Question 9 (first two parts only), 1999 Paper 5 Question 9, 1998 Paper 5 Question 12, 1995
Paper 6 Question 12, 1994 Paper 7 Question 13, 1993 Paper 7 Question 10.
These questions depend on material which is no longer in this course (complete partial
orders, continuations, or bisimulation see the Part II Denotational Semantics and Topics
in Concurrency courses): 2001 Paper 6 Question 9, 2000 Paper 6 Question 9, 1997 Paper 6
Question 12, 1996 Paper 6 Question 12, 1995 Paper 5 Question 12, 1994 Paper 8 Question
12, 1994 Paper 9 Question 12, 1993 Paper 8 Question 10, 1993 Paper 9 Question 10.
Feedback: Please do complete the on-line feedback form at the end of the course, and let
me know during it if you discover errors in the notes or if the pace is too fast or slow. A list
of corrections will be on the course web page.
Acknowledgements (P. Sewell): These notes are a modification of the notes that Sam
Staton used for the course, 20102013.
Acknowledgements (S. Staton): These notes are a modification of the notes that Peter
Sewell used for the course, 20032009.
Acknowledgements (P. Sewell): These notes draw, with thanks, on earlier courses by
Andrew Pitts, on Benjamin Pierces book, and many other sources. Any errors are, of
course, newly introduced by me.

Summary of Notation
Each section is roughly in the order that notation is introduced. The grammars of the
languages are not included here, but are in the Collected Definitions of L1, L2 and L3 later
in this document.

Logic and Set Theory

x .(x )
x .(x )
a A
{a1 , ..., an }
A1 A2
A1 A2
A1 A2
A1 A2

and
or
implies
not
for all
exists
element of
the set with elements a1 , ..., an
union
intersection
subset or equal
cartesian product (set of pairs)

Finite partial functions

{a1 7 b1 , ..., an 7 bn }
finite partial function mapping each ai to bi
dom(s)
set of elements in the domain of s
f + {a 7 b}
the finite partial function f extended or overridden with
a maps to b
, x :T
the finite partial function extended with {x 7 T }
only used where x not in dom()
,
the finite partial function which is the union of and
only used where they have disjoint domains
{l1 7 n1 , ..., lk 7 nk }
an L1 or L2 store the finite partial function mapping
each li to ni
{l1 7 v1 , ..., lk 7 vk }
an L3 store the finite partial function mapping each li to vi
l1 :intref, ..., lk :intref
an L1 type environment the finite partial function
mapping each li to intref
:intref, ..., x :T , ...
an L2 type environment
:Tloc , ..., x :T , ...
an L3 type environment
{e1 /x1 , .., ek /xk }
a substitution the finite partial function
{x1 7 e1 , ..., xk 7 ek } mapping x1 to e1 etc.
Relations and auxiliary
he, si he , s i
he, si he , s i
he, si k he , s i
he, si
he, si 6
e:T
value(e)
fv(e)
{e/x }e
e
he, si hv , s i
s
T <: T
e e
e T e
a

e e

functions
reduction (or transition) step
reflexive transitive closure of
the k -fold composition of
has an infinite reduction sequence (a unary predicate)
cannot reduce (a unary predicate)
in type environment , expression e has type T
e is a value
the set of free variables of e
the expression resulting from substituting e for x in e
the expression resulting from applying the substituting to e
big-step evaluation
store s is well-typed with respect to type environment
type T is a subtype of type T
semantic equivalence (informal)
semantic equivalence at type T with respect to type
environment
single thread transition step, labelled with action a

Particular sets
B = {true, false}
L = {l , l1 , l2 , ...}
Z = {.., 1, 0, 1, ...}
N = {0, 1, ...}
X = {x, y, ...}
LAB = {p, q, ...}
M = {m, m0 , m1 , ...}
T
Tloc
L1
TypeEnv
TypeEnv2

Metavariables
b B
n Z
L
op
e, f
v
s
T T
Tloc Tloc

i, k, y
c

c
R
(H , c)
SR
x X

lab LAB
E
C

m M
M
a

the set of booleans

the set of locations
the set of integers
the set of natural numbers
the set of L2 and L3 variables
the set of record labels
the set of mutex names
the set of all types (in whichever language)
the set of all location types (in whichever language)
the set of all L1 expressions
the set of all L1 type environments, finite partial functions
from L to Tloc
the set of all L2 type environments, the finite partial functions
from L X to Tloc T
such that dom().() Tloc and x dom().(x ) T
boolean
integer
location
binary operation
expression (of whichever language)
value (of whichever language)
store (of whichever language)
type (of whichever language)
location type (of whichever language)
type environment (also, set of propositional assumptions)
natural numbers
configuration (or state), typically he, si with expression e and store s
formula
tree constructor
set of rules
a rule with hypotheses H A and conclusion c A for some set A
a subset inductively defined by the set of rules R
variable
substitution
record label
evaluation context
arbitrary context
permutation of natural numbers
mutex name
state of all mutexes (a function M :M B)
thread action

Other
C [e]

hole in a context
context C with e replacing the hole

Introduction
Semantics of Programming Languages
Peter Sewell

Slide 1

1B, 12 lectures
201415

In this course we will take a close look at programming languages. We will focus on how to
define precisely what a programming language is i.e., how the programs of the language
behave, or, more generally, what their meaning, or semantics, is.
Semantics What is it?
How to describe a programming language? Need to give:

Slide 2

the syntax of programs; and

their semantics (the meaning of programs, or how they behave).
Semantics What is it?
How to describe a programming language? Need to give:

the syntax of programs; and

their semantics (the meaning of programs, or how they behave).
Styles of description:

Slide 3

the language is defined by whatever some particular compiler does

natural language definitions
mathematically
Mathematical descriptions of syntax use formal grammars (eg BNF)
precise, concise, clear. In this course well see how to work with
mathematical definitions of semantics/behaviour.

Many programming languages that you meet are described only in natural language, e.g.
the English standards documents for C, Java, XML, etc. These are reasonably accessible
(though often written in standardsese), but there are some major problems. It is very
hard, if not impossible, to write really precise definitions in informal prose. The standards
often end up being ambiguous or incomplete, or just too large and hard to understand.
That leads to differing implementations and flaky systems, as the language implementors
and users do not have a common understanding of what it is. More fundamentally, natural
language standards obscure the real structure of languages its all too easy to add a feature
and a quick paragraph of text without thinking about how it interacts with the rest of the
language.
Instead, as we shall see in this course, one can develop mathematical definitions of how
programs behave, using logic and set theory (e.g. the definition of Standard ML, the .NET
CLR, recent work on XQuery, etc.). These require a little more background to understand
and use, but for many purposes they are a much better tool than informal standards.

What do we use semantics for?

1. to understand a particular language what you can depend on as a
programmer; what you must provide as a compiler writer
2. as a tool for language design:

Slide 4

(a) for expressing design choices, understanding language features

and how they interact.
(b) for proving properties of a language, eg type safety, decidability of
type inference.
3. as a foundation for proving properties of particular programs

Semantics complements the study of language implementation (cf. Compiler Construction

and Optimising Compilers). We need languages to be both clearly understandable, with
precise definitions, and have good implementations.
This is true not just for the major programming languages, but also for intermediate languages (JVM, CLR), and the many, many scripting and command languages, that have
often been invented on-the-fly without sufficient thought.
More broadly, while in this course we will look mostly at semantics for conventional programming languages, similar techniques can be used for hardware description languages,
verification of distributed algorithms, security protocols, and so on all manner of subtle
systems for which relying on informal intuition alone leads to error. Some of these are
explored in Specification and Verification and Topics in Concurrency.
Warmup

Slide 5

In C, if initially x has value 3, whats the value of the following?

x++ + x++ + x++ + x++

delegate int IntThunk();

Slide 6

class M {
public static void Main() {
IntThunk[] funcs = new IntThunk[11];
for (int i = 0; i <= 10; i++)
{
funcs[i] = delegate() { return i; };
}
foreach (IntThunk f in funcs)
{
System.Console.WriteLine(f());
}
}
}

JavaScript

Slide 7

function bar(x) { return function() { var x =

5; return x; }; }
var f = bar(200);
f()
JavaScript

Slide 8

function bar(x) { return function() { var x =

x; return x; }; }
var f = bar(200);
f()

Various different approaches have been used for expressing semantics.

Styles of Semantic Definitions

Slide 9

Operational semantics
Denotational semantics
Axiomatic, or Logical, semantics

Operational: define the meaning of a program in terms of the computation steps it takes in
an idealized execution. Some definitions use structural operational semantics, in which the
intermediate states are described using the language itself; others use abstract machines,
which use more ad-hoc mathematical constructions.
Denotational: define the meaning of a program as elements of some abstract mathematical
structure, e.g. regarding programming-language functions as certain mathematical functions.
cf. the Denotational Semantics course.
Axiomatic or Logical: define the meaning of a program indirectly, by giving the axioms of
a logic of program properties. cf. Specification and Verification.
Toy languages
Real programming languages are large, with many features and, often,
with redundant constructs things that can be expressed in the rest of the

Slide 10

language.
When trying to understand some particular combination of features its
usual to define a small toy language with just what youre interested in,
then scale up later. Even small languages can involve delicate design
choices.
Whats this course?
Core

operational semantics and typing for a tiny language

technical tools (abstract syntax, inductive definitions, proof)
Slide 11

design for functions, data and references

More advanced topics

Subtyping and Objects

Semantic Equivalence
Concurrency

10

Operational semantics

L11,2,3,4
Type systems

Implementations

5,6
Language design choices
(functions and recursive definitions) L2


Inductive definitions

Inductive proof structural; rule

8

(products, sums, records, references) L3

Abstract syntax up to alpha

Subtyping
Semantic
10
9
Equivalence
and Objects

Concurrency12
(assignment and while )

Slide 12

In the core we will develop enough techniques to deal with the semantics of a non-trivial
small language, showing some language-design pitfalls and alternatives along the way. It
will end up with the semantics of a decent fragment of ML. The second part will cover a
selection of more advanced topics.
The Big Picture
Java and
Logic

ML
RLFA
C&DS
& Proof

ss

ss

s
s

ss

ss

Computability

ss

ss

sss

%   yssst
Concepts in

Discrete
Maths

Slide 13

Compiler
Construction
and Optimising
Compilers

Semantics

rrr

Programming
Languages

Advanced
Programming
Languages?

rrr
rr
r
r

rrr

rrr
r

rrr

rrr
r


r
y r
Topics in

Types

Concurrency

Spec&Ver I,II

Denotational
Semantics

Admin

Please let me know of typos, and if it is too fast/too slow/too

interesting/too dull (please complete the on-line feedback at the end)

Slide 14

Not all previous Tripos questions are relevant (see the notes)
Exercises in the notes.
Implementations on web.
Books (Hennessy, Pierce, Winskel)

11

A First Imperative Language

L1

Slide 15

L1 Example
L1 is an imperative language with store locations (holding integers),
conditionals, and while loops. For example, consider the program

l2 := 0;

Slide 16

while !l1

1 do (

l2 :=!l2 +!l1 ;

l1 :=!l1 + 1)
in the initial store {l1

7 3, l2 7 0}.
L1 Syntax

B = {true, false}
Z = {..., 1, 0, 1, ...}
Locations L = {l , l0 , l1 , l2 , ...}
Booleans b
Integers n

Operations

Slide 17

op ::= + |

Expressions

e ::= n | b | e1 op e2 | if e1 then e2 else e3 |

:= e |! |
skip

| e1 ; e2 |

while

e1 do e2

Write L1 for the set of all expressions.

Points to note:
well return later to exactly what the set L1 is when we talk about abstract syntax
unbounded integers
abstract locations cant do pointer arithmetic on them
untyped, so have nonsensical expressions like 3 + true
what kind of grammar is that (c.f. RLFA)?
dont have expression/command distinction
doesnt much matter what basic operators we have
carefully distinguish metavariables b, n, , op , e etc. from program locations l etc..

12

2.1

Operational Semantics

In order to describe the behaviour of L1 programs we will use structural operational semantics to define various forms of automata:
Transition systems
A transition system consists of

a set Config, and

Slide 18

a binary relation Config Config.

The elements of Config are often called configurations or states. The
relation is called the transition or reduction relation. We write
infix, so c

state c .

c should be read as state c can make a transition to

To compare with the automata you saw in Regular Languages and Finite Automata: a
transition system is like an NFA with an empty alphabet (so only transitions) except (a)
it can have infinitely many states, and (b) we dont specify a start state or accepting states.
Sometimes one adds labels (e.g. to represent IO) but mostly well just look at the values of
terminated states, those that cannot do any transitions.
Notation.
is the reflexive transitive closure of , so c c iff there exist k 0 and
c0 , .., ck such that c = c0 c1 ... ck = c .

6 is a unary predicate (a subset of Config) defined by c 6 iff c .c c .

The particular transition systems we use for L1 are as follows.
L1 Semantics (1 of 4) Configurations
Say stores

s are finite partial functions from L to Z. For example:

{l1 7 7, l3 7 23}

Slide 19
Take configurations to be pairs he, si of an expression e and a store s , so
our transition relation will have the form

he, si he , s i

Definition. A finite partial function f from a set A to a set B is a set containing a finite
number n 0 of pairs {(a1 , b1 ), ..., (an , bn )}, often written {a1 7 b1 , ..., an 7 bn }, for which
i {1, .., n}.ai A (the domain is a subset ofA)
i {1, .., n}.bi B (the range is a subset of B )
i {1, .., n}, j {1, .., n}.i 6= j ai 6= aj (f is functional, i.e. each element of A is
mapped to at most one element of B )
For a partial function f , we write dom(f ) for the set of elements in the domain of f (things
that f maps to something) and ran(f ) for the set of elements in the range of f (things that
something is mapped to by f ). For example, for the store s above we have dom(s) = {l1 , l3 }
and ran(s) = {7, 23}. Note that a finite partial function can be empty, just {}.
We write store for the set of all stores.

13

Transitions are single computation steps. For example we will have:

hl := 2+!l ,

{l 7 3}i

hl := 2 + 3, {l 7 3}i

hl := 5,

{l 7 3}i

hskip,

{l 7 5}i

Slide 20

want to keep on until we get to a value v , an expression in

V = B Z {skip}.
Say he, si is stuck if e is not a value and he, si

2 + true will be stuck.

6. For example

We could define the values in a different, but equivalent, style: Say values v are expressions
from the grammar v ::= b | n | skip.
Now define the behaviour for each construct of L1 by giving some rules that (together)
define a transition relation .
L1 Semantics (2 of 4) Rules (basic operations)
(op +)

hn1 + n2 , si hn, si

if n

= n1 + n2

(op )

hn1 n2 , si hb, si

if b

= (n1 n2 )

Slide 21
(op1)

(op2)

he1 , si he1 , s i
he1 op e2 , si he1 op e2 , s i
he2 , si he2 , s i
hv op e2 , si hv op e2 , s i

How to read these? The rule (op +) says that for any instantiation of the metavariables
n, n1 and n2 (i.e. any choice of three integers), that satisfies the sidecondition, there is a
transition from the instantiated configuration on the left to the one on the right.
We use a strict naming convention for metavariables: n can only be instantiated by integers,
not by arbitrary expressions.
The rule (op1) says that for any instantiation of e1 , e1 , e2 , s, s (i.e. any three expressions
and two stores), if a transition of the form above the line can be deduced then we can
deduce the transition below the line.
Observe that as you would expect none of these first rules introduce changes in the store
part of configurations.

14

Example
If we want to find the possible sequences of transitions of

h(2 + 3) + (6 + 7), i ... look for derivations of transitions.

(you might think the answer should be 18 but we want to know what this
definition says happens)
(op +)

(op1)

Slide 22

h2 + 3, i h5, i
h(2 + 3) + (6 + 7), i h5 + (6 + 7), i
(op +)

(op2)

h6 + 7, i h13, i
h5 + (6 + 7), i h5 + 13, i

(op +)

h5 + 13, i h18, i

First transition: using (op1) with e1 = 2 + 3, e1 = 5, e2 = 6 + 7, op = +, s = , s = ,

and using (op +) with n1 = 2, n2 = 3, s = . Note couldnt begin with (op2) as e1 = 2 + 3
is not a value, and couldnt use (op +) directly on (2 + 3) + (6 + 7) as 2 + 3 and 6 + 7 are
not numbers from Z just expressions which might eventually evaluate to numbers (recall,
by convention the n in the rules ranges over Z only).
Second transition: using (op2) with e1 = 5, e2 = 6 + 7, e2 = 13, op = +, s = , s = ,
and using (op +) with n1 = 6, n2 = 7, s = . Note that to use (op2) we needed that e1 = 5
is a value. We couldnt use (op1) as e1 = 5 does not have any transitions itself.
Third transition: using (op +) with n1 = 5, n2 = 13, s = .
To find each transition we do something like proof search in natural deduction: starting
with a state (at the bottom left), look for a rule and an instantiation of the metavariables
in that rule that makes the left-hand-side of its conclusion match that state. Beware that
in general there might be more than one rule and one instantiation that does this. If there
isnt a derivation concluding in he, si he , s i then there isnt such a transition.
L1 Semantics (3 of 4) store and sequencing
(deref)

h!, si hn, si if dom(s) and s() = n

(assign1)

Slide 23

(assign2)

h := n, si hskip, s + { 7 n}i
he, si he , s i
h := e, si h := e , s i
(seq1)
(seq2)

hskip; e2 , si he2 , si
he1 , si he1 , s i
he1 ; e2 , si he1 ; e2 , s i

15

if

dom(s)

Example

hl := 3; !l , {l 7 0}i

hskip; !l , {l 7 3}i
h!l , {l 7 3}i

h3, {l 7 3}i

Slide 24

hl := 3; l :=!l , {l 7 0}i ?
h15+!l , i

L1 Semantics (4 of 4) The rest (conditionals and while)

(if1)

hif true then e2 else e3 , si he2 , si

(if2)

hif false then e2 else e3 , si he3 , si

Slide 25
(if3)

he1 , si he1 , s i
hif e1 then e2 else e3 , si hif e1 then e2 else e3 , s i

(while)

hwhile e1 do e2 , si hif e1 then (e2 ; while e1 do e2 ) else skip, si

Example
If

Slide 26

e = (l2 := 0; while !l1 1 do (l2 :=!l2 +!l1 ; l1 :=!l1 + 1))

s = {l1 7 3, l2 7 0}

then

he, si ?

That concludes our definition of L1. The full definition is collected on page 28.
Determinacy

Slide 27

Theorem 1 (L1 Determinacy) If he, si

he1 , s1 i and
he, si he2 , s2 i then he1 , s1 i = he2 , s2 i.
Proof see later

Note that top-level universal quantifiers are usually left out the theorem really says For
all e, s, e1 , s1 , e2 , s2 , if he, si he1 , s1 i and he, si he2 , s2 i then he1 , s1 i = he2 , s2 i.

16

L1 implementation
Many possible implementation strategies, including:
1. animate the rules use unification to try to match rule conclusion
left-hand-sides against a configuration; use backtracking search to find
all possible transitions. Hand-coded, or in Prolog/LambdaProlog/Twelf.

Slide 28

2. write an interpreter working directly over the syntax of configurations.

Coming up, in ML and Java.
3. compile to a stack-based virtual machine, and an interpreter for that.
See Compiler Construction.
4. compile to assembly language, dealing with register allocation etc. etc.
See Compiler Construction/Optimizing Compilers.
L1 implementation
Will implement an interpreter for L1, following the definition. Use mosml
(Moscow ML) as the implementation language, as datatypes and pattern

Slide 29

matching are good for this kind of thing.

First, must pick representations for locations, stores, and expressions:

type loc = string

type store = (loc * int) list

Weve chosen to represent locations as strings, so they pretty-print trivially. A lower-level

implementation would use ML references.
In the semantics, a store is a finite partial function from locations to integers. In the
implementation, we represent a store as a list of loc*int pairs containing, for each in the
domain of the store and mapped to n, exactly one element of the form (l,n). The order of
the list will not be important. This is not a very efficient implementation, but it is simple.
datatype oper = Plus | GTEQ

datatype expr =
Integer of int
| Boolean of bool

Slide 30

| Op of expr * oper * expr

| If of expr * expr * expr
| Assign of loc * expr
| Deref of loc
| Skip
| Seq of expr * expr
| While of expr * expr

The expression and operation datatypes have essentially the same form as the abstract
grammar. Note, though, that it does not exactly match the semantics, as that allowed
arbitrary integers whereas here we use the bounded Moscow ML integers so not every
term of the abstract syntax is representable as an element of type expr, and the interpreter
will fail with an overflow exception if + overflows.

17

Store operations
Define auxiliary operations

Slide 31

lookup :

store*loc -> int option

update :

store*(loc*int) -> store option

which both return NONE if given a location that is not in the domain of the
store. Recall that a value of type T

option is either NONE or

SOME v for a value v of T.

The single-step function
Now define the single-step function

reduce : expr*store -> (expr*store) option

Slide 32

which takes a configuration (e,s) and returns either

NONE, if he, si 6,
(e,s), if it has a transition he, si he , s i.

or SOME

Note that if the semantics didnt define a deterministic transition system

wed have to be more elaborate.

(you might think it would be better ML style to use exceptions instead of these options;
that would be fine).
(op +), (op )

fun reduce (Integer n,s) = NONE

| reduce (Boolean b,s) = NONE
| reduce (Op (e1,opr,e2),s) =
(case (e1,opr,e2) of
Slide 33

(Integer n1, Plus, Integer n2) =>

SOME(Integer (n1+n2), s)
| (Integer n1, GTEQ, Integer n2) =>
SOME(Boolean (n1 >= n2), s)
| (e1,opr,e2) =>
...

Contrast this code with the semantic rules given earlier.

(op1), (op2)

...
if (is value e1) then
case reduce (e2,s) of
SOME (e2,s) =>
SOME (Op(e1,opr,e2),s)

Slide 34

| NONE => NONE

else
case reduce (e1,s) of
SOME (e1,s) =>
SOME(Op(e1,opr,e2),s)
| NONE => NONE )

18

Note that the code depends on global properties of the semantics, including the fact that it
defines a deterministic transition system, so the comments indicating that particular lines
of code implement particular semantic rules are not the whole story.
(assign1), (assign2)

| reduce (Assign (l,e),s) =

(case e of
Integer n =>
(case update (s,(l,n)) of
SOME s => SOME(Skip, s)

Slide 35

| NONE => NONE)

|

=>
(case reduce (e,s) of
SOME (e,s) =>
SOME(Assign (l,e), s)
| NONE => NONE ) )
The many-step evaluation function

Now define the many-step evaluation function

evaluate: expr*store -> (expr*store) option

which takes a configuration (e,s) and returns the (e,s) such that

Slide 36

he, si he , s i 6, if there is such, or does not return.

fun evaluate (e,s) =
case reduce (e,s) of
NONE => (e,s)
| SOME (e,s) => evaluate (e,s)

The full interpreter code is in Appendix A, and you can also download it from the course
website, in the file l1.ml, together with a pretty-printer and the type-checker we will come
to soon. For comparison, there is also a Java implementation in l1.java.
The Java Implementation
Quite different code structure:

Slide 37

the ML groups together all the parts of each algorithm, into the
reduce, infertype, and prettyprint functions;
the Java groups together everything to do with each clause of the
abstract syntax, in the IfThenElse, Assign, etc. classes.

19

L1 is a simple language, but it nonetheless involves several language design choices.

Language design 1. Order of evaluation
For (e1

op e2 ), the rules above say e1 should be fully reduced, to a

value, before we start reducing e2 . For example:

h(l := 1; 0) + (l := 2; 0), {l 7 0}i 5 h0, {l 2 }i

For right-to-left evaluation, replace (op1) and (op2) by
(op1b)

Slide 38

(op2b)

he2 , si he2 , s i
he1 op e2 , si he1 op e2 , s i
he1 , si he1 , s i
he1 op v , si he1 op v , s i

In this language (call it L1b)

h(l := 1; 0) + (l := 2; 0), {l 7 0}i 5 h0, {l 1 }i

Left-to-right evaluation is arguably more intuitive than right-to-left.

One could also underspecify, taking both (op1) and (op1b) rules. That language doesnt
have the Determinacy property.
Language design 2. Assignment results
Recall

h := n, si hskip, s + { 7 n}i

(assign1)
(seq1)

dom(s)

if

hskip; e2 , si he2 , si

So

Slide 39

hl := 1; l := 2, {l 7 0}i

hskip; l := 2, {l 7 1}i
hskip, {l 7 2}i

Weve chosen

:= n to result in skip, and e1 ; e2 to only progress if

e1 = skip, not for any value. Instead could have this:
h := n, si hn, s + ( 7 n)i

(assign1)

if

hv ; e2 , si he2 , si

(seq1)

dom(s)

Matter of taste? Another possiblity: return the old value, e.g. in ANSI C signal handler
installation.
Language design 3. Store initialization
Recall that
(deref)

Slide 40

h!, si hn, si if dom(s) and s() = n

(assign1)

h := n, si hskip, s + { 7 n}i

both require

if

dom(s)

dom(s), otherwise the expressions are stuck.

Instead, could
1. implicitly initialize all locations to 0, or
2. allow assignment to an

/ dom(s) to initialize that .

20

In the next section we will introduce a type system to rule out any program that could reach
a stuck expression of these forms. (Would the two alternatives be a good idea?)
Language design 4. Storable values
Recall stores s are finite partial functions from L to Z, with rules:
(deref)

h!, si hn, si if dom(s) and s() = n

(assign1)

Slide 41
(assign2)

h := n, si hskip, s + { 7 n}i

if

dom(s)

he, si he , s i
h := e, si h := e , s i

Can store only integers.

hl := true, si is stuck.

Why not allow storage of any value? of locations? of programs?

Also, store is global. We will consider programs that can create new
locations later.
Language design 5. Operators and basic values
Booleans are really not integers (unlike in C)

Slide 42

The L1 impl and semantics arent quite in step.

Exercise: fix the implementation to match the semantics.
Exercise: fix the semantics to match the implementation.
Expressiveness
Is L1 expressive enough to write interesting programs?

yes: its Turing-powerful (try coding an arbitrary register machine in

L1).

no: theres no support for gadgets like functions, objects, lists, trees,

Slide 43

modules,.....

Is L1 too expressive? (ie, can we write too many programs in it)

yes: wed like to forbid programs like 3 + false as early as possible,

rather than let the program get stuck or give a runtime error. Well do
so with a type system.

2.2

Typing

Slide 44

L1 Typing

21

Type systems
used for

describing when programs make sense

Slide 45

preventing certain kinds of errors

structuring programs
guiding language design
Ideally, well-typed programs dont get stuck.

Type systems are also used to provide information to compiler optimizers; to enforce security
properties, from simple absence of buffer overflows to sophisticated information-flow policies;
and (in research languages) for many subtle properties, e.g. type systems that allow only
polynomial-time computation. There are rich connections with logic, which well return to
later.
Formal type systems

e:T , read as expression e has type

T , under assumptions on the types of locations that may occur in e .
We will define a ternary relation

For example (according to the definition coming up):

Slide 46

{}

if true then 2 else 3 + 4 : int

{}

6 3 + false

l1 :intref if !l1 3 then !l1 else 3

: int

{}

: int

6 if true then 3 else false

: T for any T

Note that the last is excluded despite the fact that when you execute the program you will
always get an int type systems define approximations to the behaviour of programs, often
quite crude and this has to be so, as we generally would like them to be decidable, so that
compilation is guaranteed to terminate.
Types for L1
Types of expressions:

T ::= int | bool | unit

Types of locations:

Slide 47

Tloc ::= intref

Write T and Tloc for the sets of all terms of these grammars.
Let range over TypeEnv, the finite partial functions from locations L
to Tloc . Notation: write a as l1 :intref, ..., lk :intref instead of

{l1 7 intref, ..., lk 7 intref}.

concretely, T = {int, bool, unit} and Tloc = {intref}.

in this language, there is only one type in Tloc , so a can be thought of as just a set
of locations. (Later, Tloc will be more interesting.)

22

Defining the type judgement

(int)
(bool)

Slide 48

e:T (1 of 3)

n:int for n Z

b:bool for b {true, false}

e1 :int
(op +)

e2 :int

e1 :int

e1 + e2 :int

(if)

(op )

e2 :int

e1 e2 :bool

e1 :bool e2 :T
e3 :T
if e1 then e2 else e3 :T

Note that in (if) the T is arbitrary, so long as both premises have the same T .
In some rules we arrange the premises vertically to save space, e.g.

(op +)

e1 :int
e2 :int
e1 + e2 :int

but this is merely visual layout. Derivations using such a rule should be written as if it was
in the horizontal form.
(op +) e1 :int e2 :int
e1 + e2 :int
Example
To show {}

if false then 2 else 3 + 4:int we can give a type

derivation like this:

(bool)
(if)

Slide 49

(int)

{} false:bool
{} 2:int
{} if false then 2 else 3 + 4:int

where is

(int)
(op +)

(int)

{} 3:int
{} 4:int
{} 3 + 4:int

Defining the type judgement

(assign)

Slide 50

(deref)

e:T (2 of 3)

() = intref e:int
:= e:unit
() = intref
!:int

Here the () = intref just means dom().

23

 e:T (3 of 3)

Defining the type judgement

(skip)

Slide 51

(seq)

(while)

skip:unit
e1 :unit e2 :T
e1 ; e2 :T
e1 :bool e2 :unit
while e1 do e2 :unit

Note that the typing rules are syntax-directed for each clause of the abstract syntax for
expressions there is exactly one rule with a conclusion of that form.
Properties
Theorem 2 (Progress) If

e:T and dom() dom(s) then either e

he , s i.

is a value or there exist e , s such that he, si

e:T and dom() dom(s)

he , s i then e :T and dom() dom(s ).

Theorem 3 (Type Preservation) If

Slide 52

and he, si

From these two we have that well-typed programs dont get stuck:
Theorem 4 (Safety) If e:T , dom() dom(s), and
he, si he , s i then either e is a value or there exist e , s such
that he , s i he , s i.

(well discuss how to prove these results soon)

Semantic style: one could make an explicit definition of what configurations are runtime
errors. Here, instead, those configurations are just stuck.
Type checking, typeability, and type inference
Type checking problem for a type system: given , e, T , is
derivable?
Type inference problem: given and e , find T such that

Slide 53

derivable, or show there is none.

e:T

e:T is

Second problem is usually harder than the first. Solving it usually results
in a type inference algorithm: computing a type T for a phrase e , given
type environment (or failing, if there is none).
For this type system, though, both are easy.
More Properties
Theorem 5 (Type inference) Given , e , one can find T such that

e:T , or show that there is none.

Slide 54

Theorem 6 (Decidability of type checking) Given , e, T , one can

decide

e:T .

Also:
Theorem 7 (Uniqueness of typing) If

T =T .

24

e:T and e:T then

The file l1.ml contains also an implementation of a type inference algorithm for L1 take
a look.
Type inference Implementation
First must pick representations for types and for s:

datatype type L1 =
int
| unit
| bool
Slide 55

datatype type loc =

intref
type typeEnv = (loc*type loc) list
Now define the type inference function

infertype :

typeEnv -> expr -> type L1 option

In the semantics, type environments are partial functions from locations to the singleton
set {intref}. Here, just as we did for stores, we represent them as a list of loc*type loc
pairs containing, for each in the domain of the type environment, exactly one element of
the form (l,intref).
The Type Inference Algorithm
fun infertype gamma (Integer n) = SOME int
| infertype gamma (Boolean b) = SOME bool
| infertype gamma (Op (e1,opr,e2))
= (case (infertype gamma e1, opr, infertype gamma e2) of
(SOME int, Plus, SOME int) => SOME int
| (SOME int, GTEQ, SOME int) => SOME bool
=> NONE)

| infertype gamma (If (e1,e2,e3))

= (case (infertype gamma e1, infertype gamma e2, infertype gamma e3) of
(SOME bool, SOME t2, SOME t3) =>
if t2=t3 then SOME t2 else NONE
=> NONE)

Slide 56

| infertype gamma (Deref l)

= (case lookup (gamma,l) of
SOME intref => SOME int
| NONE => NONE)
| infertype gamma (Assign (l,e))
= (case (lookup (gamma,l), infertype gamma e) of
(SOME intref,SOME int) => SOME unit
|

=> NONE)

| infertype gamma (Skip) = SOME unit

| infertype gamma (Seq (e1,e2))
= (case (infertype gamma e1, infertype gamma e2) of
(SOME unit, SOME t2) => SOME t2
|

=> NONE )

| infertype gamma (While (e1,e2))

= (case (infertype gamma e1, infertype gamma e2) of
(SOME bool, SOME unit) => SOME unit )

25

The Type Inference Algorithm If

...
| infertype gamma (If (e1,e2,e3))
= (case (infertype gamma e1,
infertype gamma e2,
infertype gamma e3) of
(SOME bool, SOME t2, SOME t3) =>

Slide 57

if t2=t3 then SOME t2 else NONE

|

=> NONE)

e1 :bool
e2 :T

(if)

e3 :T

if e1 then e2 else e3 :T

The Type Inference Algorithm Deref

...
| infertype gamma (Deref l)
= (case lookup (gamma,l) of
SOME intref => SOME int

Slide 58

| NONE => NONE)

...
(deref)

() = intref
!:int

Again, the code depends on a uniqueness property (Theorem 7), without which we would
have to have infertype return a type L1 list of all the possible types.
Executing L1 in Moscow ML
L1 is essentially a fragment of Moscow ML given a typable L1
expression e and an initial store s , e can be executed in Moscow ML by
wrapping it
let val skip = ()
and l1 = ref n1
and l2 = ref n2

Slide 59

..

and lk = ref nk
in
e
end;

where s is the store {l1

7 n1 , ..., lk 7 nk } and all locations that occur

in e are contained in {l1 , ..., lk }.

(watch out for 1 and -1)

26

Why Not Types?

I cant write the code I want in this type system.

(the Pascal complaint) usually false for a modern typed language

Its too tiresome to get the types right throughout development.

Slide 60

(the untyped-scripting-language complaint)

Type annotations are too verbose.

type inference means you only have to write them where its useful

Type error messages are incomprehensible.

hmm. Sadly, sometimes true.

I really cant write the code I want.

Some languages build the type system into the syntax. Original FORTRAN, BASIC etc.
had typing built into variable names, with e.g. those beginning with I or J storing integers). Sometimes typing is built into the grammar, with e.g. separate grammatical classes
of expressions and commands. As the type systems become more expressive, however, they
quickly go beyond what can be captured in context-free grammars. They must then be
separated from lexing and parsing, both conceptually and in implementations.

27

2.3

L1: Collected definition

Syntax
Booleans b B = {true, false}
Integers n Z = {..., 1, 0, 1, ...}
Locations L = {l , l0 , l1 , l2 , ...}
Operations op ::= + |
Expressions
e

::=

n | b | e1 op e2 | if e1 then e2 else e3 |
:= e |! |
skip | e1 ; e2 |
while e1 do e2

Operational semantics
Note that for each construct there are some computation rules, doing real work, and some
context (or congruence) rules, allowing subcomputations and specifying their order.
Say stores s are finite partial functions from L to Z. Say values v are expressions from the
grammar v ::= b | n | skip.
(op +)

hn1 + n2 , si hn, si

if n = n1 + n2

(op )

hn1 n2 , si hb, si

if b = (n1 n2 )

(op1)

(op2)

he1

he1 , si he1 , s i
op e2 , si he1 op e2 , s i

he2 , si he2 , s i
hv op e2 , si hv op e2 , s i

(deref) h!, si hn, si

if dom(s) and s() = n

(assign1) h := n, si hskip, s + { 7 n}i

(assign2)

if dom(s)

he, si he , s i
h := e, si h := e , s i
(seq1) hskip; e2 , si he2 , si
(seq2)

he1 , si he1 , s i
he1 ; e2 , si he1 ; e2 , s i

(if1) hif true then e2 else e3 , si he2 , si

(if2) hif false then e2 else e3 , si he3 , si
(if3)

hif e1 then e2

he1 , si he1 , s i
else e3 , si hif e1 then e2 else e3 , s i

(while)
hwhile e1 do e2 , si hif e1 then (e2 ; while e1 do e2 ) else skip, si
28

Typing
Types of expressions:
T

::=

int | bool | unit

Types of locations:
Tloc

::=

intref

Write T and Tloc for the sets of all terms of these grammars.
Let range over TypeEnv, the finite partial functions from locations L to Tloc .
(int) n:int
(bool) b:bool
(op +)

for n Z

for b {true, false}

e1 :int
e2 :int
e1 + e2 :int

(op )

e1 :int
e2 :int
e1 e2 :bool

e2 :T
e3 :T
(if) e1 :bool
if e1 then e2 else e3 :T
(assign)

(deref)

() = intref
e:int
:= e:unit
() = intref
!:int

(skip) skip:unit
e2 :T
(seq) e1 :unit
e1 ; e2 :T
e2 :unit
(while) e1 :bool
while e1 do e2 :unit

29

2.4

Exercises

Exercise 1 Write a program to compute the factorial of the integer initially in location
l1 . Take care to ensure that your program really is an expression in L1.
Exercise 2 Give full derivations of all the reduction steps of
h(l0 := 7); (l1 := (!l0 + 2)), {l0 7 0, l1 7 0}i
Exercise 3 Give full derivations of the first four reduction steps of the he, si of the first
L1 example on Slide 16.
Exercise 4 Adapt the implementation code to correspond to the two rules (op1b) and
(op2b) on Slide 38. Give some test cases that distinguish between the original and the new
semantics.
Exercise 5 Adapt the implementation code to correspond to the two rules (assign1) and
(seq1) on Slide 39. Give some test cases that distinguish between the original and the new
semantics.
Exercise 6 Fix the L1 semantics to match the implementation, taking care with the
representation of integers.
Exercise 7 Give a type derivation for (l0 := 7); (l1 := (!l0 +2)) with = l0 :intref, l1 :intref.
Exercise 8 Give a type derivation for e on Slide 26 with = l1 :intref, l2 :intref, l3 :intref .
Exercise 9 Does Type Preservation hold for the variant language with rules (assign1)
and (seq1)? on Slide 39? If not, give an example, and show how the type rules could be
adjusted to make it true.
Exercise 10 Adapt the type inference implementation to match your revised type system
from Exercise 9.
Exercise 11 Check whether mosml, the L1 implementation and the L1 semantics agree
on the order of evaluation for operators and sequencing.

30

Induction

Key concepts in this chapter:

Structural induction
Rule induction

Induction

Slide 61

Weve stated several theorems, but how do we know they are true?
Intuition is often wrong we need proof.
Use proof process also for strengthening our intuition about subtle

Slide 62

language features, and for debugging definitions it helps you examine all
the various cases.
Most of our definitions are inductive. To prove things about them, we need
the corresponding induction principles.
Three forms of induction
Prove facts about all natural numbers by mathematical induction.
Prove facts about all terms of a grammar (e.g. the L1 expressions) by

Slide 63

structural induction.
Prove facts about all elements of a relation defined by rules (e.g. the L1
transition relation, or the L1 typing relation) by rule induction.

We shall see that all three boil down to induction over certain trees.
Principle of Mathematical Induction
For any property (x ) of natural numbers x
prove

Slide 64

N = {0, 1, 2, ...}, to

x N.(x )
its enough to prove

(0) and x N.(x ) (x + 1).

i.e.

(0) ( x N.(x ) (x + 1)) x N.(x )

(NB, the natural numbers include 0)

31



(0) ( x N.(x ) (x + 1)) x N.(x )

For example, to prove

Theorem 8

Slide 65

1 + 2 + ... + x = 1/2 x (x + 1)

use mathematical induction for

(x ) = (1 + 2 + ... + x = 1/2 x (x + 1))

Theres a model proof in the notes, as an example of good style. Writing a
clear proof structure like this becomes essential when things get more
complex you have to use the formalism to help you get things right.
Emulate it!

Theorem 8 1 + 2 + ... + x = 1/2 x (x + 1) .

I have annotated the proof to say whats going on.
Proof

We prove x .(x ), where

(x )

(state explicitly)

def

(1 + 2 + ... + x = 1/2 x (x + 1))

(state the induction principle youre using)

by mathematical induction.

(Now show each conjunct of the premise of the induction principle)

Base case:

(conjunct (0) )
(instantiate )

(0) is (1 + ... + 0 = 1/2 0 (0 + 1)), which holds as both sides are equal to 0.
Inductive step:
(conjunct x N.(x ) (x + 1) )
Consider an arbitrary k N
(its a universal (), so consider an arbitrary one) .
Suppose (k )
(to show the implication (k ) (k + 1), assume the premise and try
show the conclusion) .
We have to show (k + 1), i.e.
(state what we have to show explicitly)

to

(1 + 2 + ... + (k + 1)) = 1/2 (k + 1) ((k + 1) + 1)

Now, the left hand side is
(1 + 2 + ... + (k + 1))

=
=

(1 + 2 + ... + k ) + (k + 1)
(1/2 k (k + 1)) + (k + 1)

(rearranging)
(using (k ) )

(say where you use the induction hypothesis assumption (k ) made above)

and the right hand side is (rearranging)

1/2 (k + 1) ((k + 1) + 1)

=
=
=

1/2 (k (k + 1) + (k + 1) 1 + 1 k + 1)
1/2 k (k + 1) + 1/2 ((k + 1) + k + 1)
1/2 k (k + 1) + (k + 1)

which is equal to the LHS.



32

3.1

Abstract Syntax and Structural Induction

Abstract Syntax and Structural Induction
How to prove facts about all expressions, e.g. Determinacy for L1?

Slide 66

Theorem 1 (Determinacy) If he, si

he1 , s1 i and
he, si he2 , s2 i then he1 , s1 i = he2 , s2 i .
First, dont forget the elided universal quantifiers.
Theorem 1 (Determinacy) For all e, s, e1 , s1 , e2 , s2 , if

he, si he1 , s1 i and he, si he2 , s2 i then he1 , s1 i = he2 , s2 i .

Abstract Syntax
Then, have to pay attention to what an expression is.
Recall we said:

e ::= n | b | e op e | if e then e else e |

Slide 67

:= e |! |
skip

| e; e |

while

e do e

defining a set of expressions.

Q: Is an expression, e.g. if !l

0 then skip else (skip; l := 0):

1. a list of characters [i,

2. a list of tokens

f, , !, l, ..];

[ IF, DEREF, LOC "l", GTEQ, ..]; or

3. an abstract syntax tree?

Slide 68

if then else

tt

tt

tt

skip
;

skip l :=
!l 0

A: an abstract syntax tree. Hence:

2 + 2 6= 4

4
2

1 + 2 + 3 ambiguous
Slide 69

(1 + 2) + 3 6= 1 + (2 + 3)

3
+

+


2

Parentheses are only used for disambiguation they are not part of the
grammar.

1 + 2 = (1 + 2) = ((1 + 2)) = (((((1)))) + ((2)))

33

For semantics we dont want to be distracted by concrete syntax its easiest to work
with abstract syntax trees, which for this grammar are finite trees, with ordered branches,
labelled as follows:
leaves (nullary nodes) labelled by B Z ({!} L) {skip} = {true, false, skip}
{..., 1, 0, 1, ...} {!l , !l1 , !l2 , ...}.
unary nodes labelled by {l :=, l1 :=, l2 :=, ...}
binary nodes labelled by {+, , ; , while do }
ternary nodes labelled by {if then else }
Abstract grammar suggests a concrete syntax we write expressions as strings just for
convenience, using parentheses to disambiguate where required and infix notation, but really
mean trees.
Principle of Structural Induction (for abstract syntax)
For any property (e) of expressions e , to prove

e L1 .(e)
its enough to prove for each tree constructor c (taking k

Slide 70

0 arguments)

that if holds for the subtrees e1 , .., ek then holds for the tree

c(e1 , .., ek ). i.e.

c. e1 , .., ek .((e1 ) ... (ek )) (c(e1 , .., ek )) e.(e)

where the tree constructors (or node labels) c are n , true, false, !l , skip,

l :=, while do , if then else , etc.

In particular, for L1: to show
nullary:

e L1 .(e) its enough to show:

(skip)
b {true, false}.(b)

n Z.(n)
Slide 71

L.(!)

L. e.(e) ( := e)

unary:

op . e1 , e2 .((e1 ) (e2 )) (e1 op e2 )

binary:

e1 , e2 .((e1 ) (e2 )) (e1 ; e2 )

e1 , e2 .((e1 ) (e2 )) (while e1 do e2 )

ternary:

e1 , e2 , e3 .((e1 ) (e2 ) (e3 )) (if e1 then e2 else e3 )

(See how this comes directly from the grammar)

Proving Determinacy (Outline)
Theorem 1 (Determinacy) If he, si

he1 , s1 i and
he, si he2 , s2 i then he1 , s1 i = he2 , s2 i .
Take

Slide 72

def

(e) = s, e , s , e , s .

(he, si he , s i he, si he , s i)
he , s i = he , s i

and show

e L1 .(e) by structural induction.

To do that we need to verify all the premises of the principle of structural induction the
formulae in the second box below for this .

34

def

(e)

s, e , s , e , s .

(he, si he , s i he, si he , s i)
he , s i = he , s i
nullary:

(skip)
b {true, false}.(b)

Slide 73

n Z.(n)
L.(!)
unary:
binary:

L. e.(e) ( := e)
op . e1 , e2 .((e1 ) (e2 )) (e1 op e2 )
e1 , e2 .((e1 ) (e2 )) (e1 ; e2 )
e1 , e2 .((e1 ) (e2 )) (while e1 do e2 )

ternary:

e1 , e2 , e3 .((e1 ) (e2 ) (e3 )) (if e1 then e2 else e3 )

We will come back later to look at some of these details.

3.2

Inductive Definitions and Rule Induction

Inductive Definitions and Rule Induction
How to prove facts about all elements of the L1 typing relation or the L1
reduction relation, e.g. Progress or Type Preservation?

Slide 74

Theorem 2 (Progress) If

e:T and dom() dom(s) then either e

he , s i.

is a value or there exist e , s such that he, si

e:T and dom() dom(s)

and he, si he , s i then e :T and dom() dom(s ).
Theorem 3 (Type Preservation) If

What does he, si

he , s i really mean?
Inductive Definitions

We defined the transition relation he, si

relation

he , s i and the typing

e:T by giving some rules, eg

(op +)

hn1 + n2 , si hn, si

if n

= n1 + n2

Slide 75
(op1)

(op +)

he1 , si he1 , s i
he1 op e2 , si he1 op e2 , s i
e1 :int e2 :int
e1 + e2 :int

What did we actually mean?

35

These relations are just normal set-theoretic relations, written in infix

notation.
For the transition relation:

Slide 76

Start with A = L1 store L1 store.

Write A infix, e.g. he, si he , s i instead of
(e, s, e , s ) .
For the typing relation:

Start with A = TypeEnv L1 types.

Write A mixfix, e.g. e:T instead of (, e, T ) .
For each rule we can construct the set of all concrete rule instances,
taking all values of the metavariables that satisfy the side condition. For
example, for (op + ) and (op1) we take all values of n1 , n2 , s, n
(satisfying n

= n1 + n2 ) and of e1 , e2 , s, e1 , s .

Slide 77
(op+ )

(op1)

(op + )

h2 + 2, {}i h4, {}i ,

h2 + 3, {}i h5, {}i , ...

h2 + 2, {}i h4, {}i

(op1)

h(2 + 2) + 3, {}i h4 + 3, {}i ,

h2 + 2, {}i hfalse, {}i

h(2 + 2) + 3, {}i hfalse + 3, {}i

Note the last has a premise that is not itself derivable, but nonetheless this is a legitimate
instance of (op1).
Now a derivation of a transition he, si

he , s i or typing judgment

e:T is a finite tree such that each step is a concrete rule instance.

Slide 78

(op+)
h2 + 2, {}i h4, {}i
(op1)
h(2 + 2) + 3, {}i h4 + 3, {}i
(op1)
h(2 + 2) + 3 5, {}i h4 + 3 5, {}i
(deref)

(int)

!l :int
2:int (op +)
(int)
(!l + 2):int
3:int
(op +)
(!l + 2) + 3:int

he , s i is an element of the reduction relation

(resp. e:T is an element of the transition relation) iff there is a
and he, si

derivation with that as the root node.

Now, to prove something about an inductively-defined set, we use rule induction.

Principle of Rule Induction
For any property (a) of elements a of A, and any set of rules which
define a subset SR of A, to prove

a SR .(a)

Slide 79
its enough to prove that {a
concrete rule instance

| (a)} is closed under the rules, ie for each

h1

..
c

if (h1 ) ... (hk ) then (c).

36

hk

For some proofs a slightly different principle is useful this variant allows you to assume
each of the hi are themselves members of SR .
Principle of rule induction (a slight variant)
For any property (a) of elements a of A, and any set of rules which
inductively define the set SR , to prove

a SR .(a)

Slide 80
its enough to prove that

for each concrete rule instance

..
c

h1
if (h1 ) ... (hk ) h1

hk

SR .. hk SR then (c).

(This is just the original principle for the property ((a) a SR ).)
Proving Progress (Outline)
Theorem 2 (Progress) If

e:T and dom() dom(s) then either e

he , s i.

is a value or there exist e , s such that he, si

Slide 81

Proof Take
def

(, e, T ) = s. dom() dom(s)

value(e) ( e , s .he, si

We show that for all , e, T , if

induction on the definition of .

he , s i)

e:T then (, e, T ), by rule

Principle of Rule Induction (variant form): to prove (a) for all a in the
set SR , its enough to prove that for each concrete rule instance

h1
if (h1 ) ... (hk ) h1

..
c

hk

SR .. hk SR then (c).

Instantiating to the L1 typing rules, have to show:

Slide 82

(int)

, n.(, n, int)

(deref)

, .() = intref (, !, int)

(op +)

, e1 , e2 .((, e1 , int) (, e2 , int) e1 :int e2 :int)

(seq)

, e1 , e2 , T .((, e1 , unit) (, e2 , T ) e1 :unit e2 :T )

(, e1 + e2 , int)
(, e1 ; e2 , T )
etc.

Having proved those 10 things, consider an example

(!l + 2) + 3:int. To see why (, (!l + 2) + 3, int) holds:

Slide 83

(deref)

(int)

!l :int
2:int (op +)
(int)
(!l + 2):int
3:int
(op +)
(!l + 2) + 3:int

37

Which Induction Principle to Use?

Slide 84

Which of these induction principles to use is a matter of convenience

you want to use an induction principle that matches the definitions youre
working with.

For completeness, observe the following:

Mathematical induction over N is essentially the same as structural induction over n ::= zero |
succ (n).
Instead of using structural induction (for an arbitrary grammar), you could use mathematical
induction on the size of terms.
Instead of using structural induction, you could use rule induction: supposing some fixed
set of tree node labels (e.g. all the character strings), take A to be the set of all trees with
those labels, and consider each clause of your grammar (e.g.e ::= ... | e + e) to be a rule
e e
e +e

3.3

Example proofs
Example Proofs
In the notes there are detailed example proofs for Determinacy (structural

Slide 85

induction), Progress (rule induction on type derivations), and Type

Preservation (rule induction on reduction derivations).
You should read them off-line, and do the exercises.
When is a proof a proof?
Whats a proof?
Formal: a derivation in formal logic (e.g. a big natural deduction proof
tree). Often far too verbose to deal with by hand (but can

Slide 86

machine-check such things).

Informal but rigorous: an argument to persuade the reader that, if
pushed, you could write a fully formal proof (the usual mathematical
notion, e.g. those we just did). Have to learn by practice to see when
they are rigorous.
Bogus: neither of the above.

Remember the point is to use the mathematics to help you think about things that are too
complex to keep in your head all at once: to keep track of all the cases etc. To do that, and
to communicate with other people, its important to write down the reasoning and proof
structure as clearly as possible. After youve done a proof you should give it to someone
(your supervision partner first, perhaps) to see if they (a) can understand what youve said,
and (b) if they believe it.
Sometimes it seems hard or pointless to prove things because they seem
too obvious....
1. proof lets you see (and explain) why they are obvious

Slide 87

2. sometimes the obvious facts are false...

3. sometimes the obvious facts are not obvious at all
4. sometimes a proof contains or suggests an algorithm that you need
eg, proofs that type inference is decidable (for fancier type systems)

38

Theorem 1 (Determinacy) If he, si he1 , s1 i and he, si he2 , s2 i then he1 , s1 i =

he2 , s2 i .
Proof

Take
(e)

def

s, e , s , e , s .(he, si he , s i he, si he , s i) he , s i = he , s i

We show e L1 .(e) by structural induction.

Cases skip, b, n. For e of these forms there are no rules with a conclusion of the form
he, ...i h.., ..i so the left hand side of the implication cannot hold, so the
implication is true.
Case !. Take arbitrary s, e , s , e , s such that h!, si he , s i h!, si he , s i.
The only rule which could be applicable is (deref), in which case, for those transitions to be instances of the rule we must have
dom(s)
e = s()
s = s

dom(s)
e = s()
s = s

so e = e and s = s .
Case := e. Suppose (e) (then we have to show ( := e)).
Take arbitrary s, e , s , e , s such that h := e, si he , s i h := e, si
he , s i.
Its handy to have this lemma:
Lemma 9 For all e L1 , if e is a value then s. e , s .he, si
he , s i.
Proof
By defn e is a value if it is of one of the forms n, b, skip. By
examination of the rules on slides ..., there is no rule with conclusion
of the form he, si he , s i for e one of n, b, skip.

The only rules which could be applicable, for each of the two transitions, are
(assign1) and (assign2).
case h := e, si he , s i is an instance of (assign1). Then for some n we have
e = n and dom(s) and e = skip and s = s + { 7 n}.

case h := n, si he , s i is an instance of (assign1) (note we are using

the fact that e = n here). Then e = skip and s = s + { 7 n} so
he , s i = he , s i as required.
case h := e, si he , s i is an instance of (assign2). Then hn, si
he , s i, which contradicts the lemma, so this case cannot arise.

case h := e, si he , s i is an instance of (assign2). Then for some e1 we have

he, si he1 , s i (*) and e = ( := e1 ).
case h := e, si he , s i is an instance of (assign1). Then for some n we
have e = n, which contradicts the lemma, so this case cannot arise.

case h := e, si he , s i is an instance of (assign2). Then for some

e1 we have he, si he1 , s i(**) and e = ( := e1 ). Now, by the
induction hypothesis (e), (*) and (**) we have he1 , s i = he1 , s i, so
he , s i = h := e1 , s i = h := e1 , s i = he , s i as required.
Case e1 op e2 . Suppose (e1 ) and (e2 ).
Take arbitrary s, e , s , e , s such that he1 op e2 , si he , s ihe1 op e2 , si
he , s i.

39

By examining the expressions in the left-hand-sides of the conclusions of the rules,

and using the lemma above, the only possibilities are those below (you should
check why this is so for yourself).
case op = + and he1 + e2 , si he , s i is an instance of (op+) and he1 +
e2 , si he , s i is an instance of (op+ ).

Then for some n1 , n2 we have e1 = n1 , e2 = n2 , e = n3 = e for n3 = n1 +n2 ,

and s = s = s .

case op = and he1 e2 , si he , s i is an instance of (op) and he1

e2 , si he , s i is an instance of (op).

Then for some n1 , n2 we have e1 = n1 , e2 = n2 , e = b = e for b = (n1 n2 ),

and s = s = s .

case he1 op e2 , si he , s i is an instance of (op1) and he1 op e2 , si

he , s i is an instance of (op1).

Then for some e1 and e1 we have he1 , si he1 , s i (*), he1 , si he1 , s i
(**), e = e1 op e2 , and e = e1 op e2 . Now, by the induction hypothesis
(e1 ), (*) and (**) we have he1 , s i = he1 , s i, so he , s i = he1 op e2 , s i =
he1 op e2 , s i = he , s i as required.

case he1 op e2 , si he , s i is an instance of (op2) and he1 op e2 , si

he , s i is an instance of (op2).
Similar, save that we use the induction hypothesis (e2 ).
Case e1 ; e2 . Suppose (e1 ) and (e2 ).
Take arbitrary s, e , s , e , s such that he1 ; e2 , si he , s i
he , s i.

he1 ; e2 , si

By examining the expressions in the left-hand-sides of the conclusions of the rules,

and using the lemma above, the only possibilities are those below.
case e1 = skip and both transitions are instances of (seq1).
Then he , s i = he2 , si = he , s i.
case e1 is not a value and both transitions are instances of (seq2). Then for some
e1 and e1 we have he1 , si he1 , s i (*), he1 , si he1 , s i (**), e = e1 ; e2 ,
and e = e1 ; e2
Then by the induction hypothesis (e1 ) we have he1 , s i = he1 , s i, so
he , s i = he1 ; e2 , s i = he1 ; e2 , s i = he , s i as required.
Case while e1 do e2 . Suppose (e1 ) and (e2 ).
Take arbitrary s, e , s , e , s such that hwhile
hwhile e1 do e2 , si he , s i.

e1

do

e2 , si he , s i

By examining the expressions in the left-hand-sides of the conclusions of the rules

both must be instances of (while), so he , s i = hif e1 then (e2 ; while e1 do e2 ) else skip, si =
he , s i.
Case if e1 then e2 else e3 . Suppose (e1 ), (e2 ) and (e3 ).
Take arbitrary s, e , s , e , s such that hif e1 then e2 else e3 , si he , s i
hif e1 then e2 else e3 , si he , s i.
By examining the expressions in the left-hand-sides of the conclusions of the rules,
and using the lemma above, the only possibilities are those below.
case e1 = true and both transitions are instances of (if1).
case e1 = false and both transitions are instances of (if2).

40

case e1 is not a value and both transitions are instances of (if3).

The first two cases are immediate; the last uses (e1 ).

(check weve done all the cases!)

(note that the level of written detail can vary, as here if you and the reader agree but you
must do all the steps in your head. If in any doubt, write it down, as an aid to thought...!)
Lemma: Values dont reduce

L1 , if e is a value then
s. e , s .he, si he , s i.
Lemma 10 For all e

Slide 88

Proof

By defn e is a value if it is of one of the forms n, b, skip. By

examination of the rules on slides ..., there is no rule with conclusion of

the form he, si

he , s i for e one of n, b, skip.

41

Theorem 2 (Progress) If e:T and dom() dom(s) then either e is a value or there
exist e , s such that he, si he , s i.
Proof

Take
def

(, e, T ) = s.dom() dom(s) value(e) ( e , s .he, si he , s i)

We show that for all , e, T , if e:T then (, e, T ), by rule induction on the
definition of .
Case (int). Recall the rule scheme
(int) n:int

for n Z

It has no premises, so we have to show that for all instances , e, T of the conclusion we have (, e, T ).
For any such instance, there must be an n Z for which e = n.
Now is of the form s.dom() dom(s) ..., so consider an arbitrary s and
assume dom() dom(s).

We have to show value(e) ( e , s .he, si he , s i). But the first disjunct is

true as integers are values (according to the definition).
Case (bool) similar.
Case (op+ ). Recall the rule

e1 :int
e2 :int
(op +)
e1 + e2 :int

We have to show that for all , e1 , e2 , if (, e1 , int) and (, e2 , int) then (, e1 +

e2 , int).
Suppose (, e1 , int) (*), (, e2 , int) (**), e1 :int (***), and e2 :int (****)
(note that were using the variant form of rule induction here).
Consider an arbitrary s. Assume dom() dom(s).

We have to show value(e1 + e2 ) ( e , s .he1 + e2 , si he , s i).

Now the first disjunct is false (e1 + e2 is not a value), so we have to show the
second, i.e.he , s i.he1 + e2 , si he , s i.
By (*) one of the following holds.
case e1 , s .he1 , si he1 , s i.

Then by (op1) we have he1 + e2 , si he1 + e2 , s i, so we are done.

case e1 is a value. By (**) one of the following holds.

case e2 , s .he2 , si he2 , s i.

Then by (op2) he1 + e2 , si he1 + e2 , s i, so we are done.

case e2 is a value.
(Now want to use (op+ ), but need to know that e1 and e2 are really
integers. )
Lemma 11 for all , e, T , if e:T , e is a value and T = int then for
some n Z we have e = n.
Proof By rule induction. Take (, e, T ) = ((value(e) T = int)
n Z.e = n).
Case (int). ok
42

Case (bool),(skip). In instances of these rules the conclusion is a

value but the type is not int, so ok.
Case otherwise. In instances of all other rules the conclusion is
not a value, so ok.
(a rather trivial use of rule induction we never needed to use the
induction hypothesis, just to do case analysis of the last rule that

might have been used in a derivation of e:T ).
Using the Lemma, (***) and (****) there exist n1 Z and n2 Z
such that e1 = n1 and e2 = n2 . Then by (op+) he1 + e2 , si hn, si
where n = n1 + n2 , so we are done.
Case (op ). Similar to (op + ).
Case (if). Recall the rule

e1 :bool
e2 :T
e3 :T
(if)
if e1 then e2 else e3 :T

Suppose (, e1 , bool) (*1), (, e2 , T ) (*2), (, e3 , T ) (*3), e1 :bool (*4),

e2 :T (*5) and e3 :T (*6).
Consider an arbitrary s. Assume dom() dom(s). Write e for if e1 then e2 else e3 .
This e is not a value, so we have to show he, si has a transition.

case e1 , s .he1 , si he1 , s i.

Then by (if3) he, si hif e1 then e2 else e3 , si, so we are done.

case e1 is a value.
(Now want to use (if1) or (if2), but need to know that e1 {true, false}.
Realize should have proved a stronger Lemma above).
Lemma 12 For all , e, T . if e:T and e is a value, then T = int
n Z.e = n, T = bool b {true, false}.e = b, and T = unit
e = skip.
Proof

By rule induction details omitted.

Using the Lemma and (*4) we have b {true, false}.e1 = b.

case b = true. Use (if1).
case b = false. Use (if2).
Case (deref). Recall the rule
(deref)

() = intref
!:int

(This is a leaf it has no e:T premises - so no s to assume).

Consider an arbitrary s with dom() dom(s).
By the condition () = intref we have dom(), so dom(s), so there is
some n with s() = n, so there is an instance of (deref) h!, si hn, si.
Cases (assign), (skip), (seq), (while). Left as an exercise.
Lemma: Values of integer type

Slide 89

e:T , e is a value and T = int then for

Z we have e = n .

Lemma 13 for all , e, T , if

some n

43

Theorem 3 (Type Preservation) If e:T and dom() dom(s) and he, si he , s i

then e :T and dom() dom(s ).
Proof

First show the second part, using the following lemma.

Lemma 14 If he, si he , s i then dom(s ) = dom(s).

Proof Rule induction on derivations of he, si he , s i. Take (e, s, e , s ) =

(dom(s) = dom(s )).
All rules are immediate uses of the induction hypothesis except (assign1),
for which we note that if dom(s) then dom(s + ( 7 n)) = dom(s).


Now prove the first part, ie If e:T and dom() dom(s) and he, si he , s i
then e :T .
Prove by rule induction on derivations of he, si he , s i.

Take (e, s, e , s ) = , T .( e:T

dom() dom(s)) e :T .

Case (op+). Recall

(op +) hn1 + n2 , si hn, si

if n = n1 + n2

Take arbitrary , T . Suppose n1 + n2 :T (*) and dom() dom(s). The last

rule in the derivation of (*) must have been (op+ ), so must have T = int. Then
can use (int) to derive n:T .
Case (op ). Similar.
Case (op1). Recall
(op1)

he1

he1 , si he1 , s i
op e2 , si he1 op e2 , s i

Suppose (e1 , s, e1 , s ) (*) and he1 , si he1 , s i. Have to show (e1 op e2 , s, e1 op e2 , s ).

Take arbitrary , T . Suppose e1 op e2 :T and dom() dom(s) (**).
case op = +. The last rule in the derivation of e1 + e2 :T must have been
(op+), so must have T = int, e1 :int (***) and e2 :int (****). By the
induction hypothesis (*), (**), and (***) we have e1 :int. By the (op+)
rule e1 + e2 :T .
case op =. Similar.
Case s (op2) (deref), (assign1), (assign2), (seq1), (seq2), (if1), (if2), (if3), (while).
Left as exercises.


Theorem 4 (Safety) If e:T , dom() dom(s), and he, si he , s i then either e

is a value or there exist e , s such that he , s i he , s i.
Proof

Hint: induction along using the previous results.

Theorem 7 (Uniqueness of typing) If e:T and e:T then T = T . The proof

is left as Exercise 17.
Theorem 5 (Decidability of typeability) Given , e, one can decide T . e:T .
Theorem 6 (Decidability of type checking) Given , e, T , one can decide e:T .
Proof
The implementation gives a type inference algorithm, which, if correct, and together with Uniqueness, implies both of these results.

44

Summarising Proof Techniques

Slide 90

3.4

Determinacy

structural induction for e

Progress

rule induction for

Type Preservation

rule induction for he, si

e:T

he , s i

Safety

mathematical induction on k

Uniqueness of typing

...

Decidability of typability

exhibiting an algorithm

Decidability of checking

corollary of other results

Exercises

You should be able to prove all the theorems about L1 independently. These exercises are
to get you started.
Exercise 12 Without looking at the proof in the notes, do the cases of the proof of Theorem 1 (Determinacy) for e1 op e2 , e1 ; e2 , while e1 do e2 , and if e1 then e2 else e3 .
Exercise 13 Try proving Determinacy for the language with nondeterministic order of
evaluation for e1 op e2 (ie with both (op1) and (op1b) rules), which is not determinate.
Explain where exactly the proof cant be carried through.
Exercise 14 Complete the proof of Theorem 2 (Progress).
Exercise 15 Complete the proof of Theorem 3 (Type Preservation).
Exercise 16 Give an alternate proof of Theorem 3 (Type Preservation) by rule induction over type derivations.
Exercise 17 Prove Theorem 7 (Uniqueness of Typing).

45

Functions

Functions L2

Slide 91

Functions, Methods, Procedures...

fun addone x = x+1

public int addone(int x) {

x+1
Slide 92

<script type="text/vbscript">
function addone(x)
addone = x+1
end function
</script>

delegate int IntThunk();

Slide 93

class M {
public static void Main() {
IntThunk[] funcs = new IntThunk[11];
for (int i = 0; i <= 10; i++)
{
funcs[i] = delegate() { return i; };
}
foreach (IntThunk f in funcs)
{
System.Console.WriteLine(f());
}
}
}

Most languages have some kind of function, method, or procedure some way of abstracting
a piece of code on a formal parameter so that you can use the code multiple times with
different arguments, without having to duplicate the code in the source. The next two
lectures explore the design space for functions, adding them to L1.

46

Functions Examples
We will add expressions like these to L1.

(fn x:int x + 1)

(fn x:int x + 1) 7

Slide 94

(fn y:int (fn x:int x + y))

(fn y:int (fn x:int x + y)) 1

(fn x:int int (fn y:int x (x y)))

(fn x:int int (fn y:int x (x y))) (fn x:int x + 1)

(fn x:int int (fn y:int x (x y))) (fn x:int x + 1)

For simplicity, well deal with anonymous functions only. Functions will always take a single
argument and return a single result though either might itself be a function or a tuple.
Functions Syntax
First, extend the L1 syntax:
Variables x

X for a set X = {x, y, z, ...}

Expressions

Slide 95

e ::= ... | fn x :T e | e1 e2 | x
Types

::= int | bool | unit | T1 T2

Tloc ::= intref

Concrete syntax. By convention, application associates to the left, so e1 e2 e3 denotes (e1 e2 ) e3 , and type arrows associate to the right, so T1 T2 T3 denotes
T1 (T2 T3 ). A fn extends to the right as far as parentheses permit, so fn x:unit x; x
denotes fn x:unit (x; x), not (fn x:unit x); x. These conventions work well for functions
that take several arguments, e.g.fn x:unit fn y:int x; y has type unit int int, and
we can fully apply it simply by juxtaposing it with its two arguments
(fn x:unit fn y:int x; y) skip 15.
Variables are not locations ( L X = {} ), so x := 3 is not in the syntax.
You cant abstract on locations. For example, (fn l :intref !l ) is not in the syntax.
The (non-meta) variables x, y, z are not the same as metavariables x , y, z . In the notes
they are distinguished by font; in handwriting one just have to keep track in your head
not often a problem.
These expressions look like lambda terms (and fn x:int x could be written x:int.x).
But, (a) were adding them to a rich language, not working with the pure lambda
calculus (cf. Foundations of Functional Programming), and (b) were going to explore
several options for how they should behave.
Type-directed language design. This type grammar (and expression syntax) suggests
the language will include higher-order functions you can abstract on a variable of any
type, including function types. If you only wanted first-order functions, youd say
A
T
Tloc

::=
::=
::=

int | bool | unit

A|AT
intref

Note that first-order function types include types like int (int int) and int (int (int int)),
of functions that take an argument of base type and return a (first-order) function, e.g.
(fn y:int (fn x:int x + y))
47

Some languages go further, forbidding partial application. Well come back to this.

4.1

Abstract syntax up to alpha conversion, and substitution

In order to express the semantics for functions, we need some auxiliary definitions.
Variable shadowing

(fn x:int (fn x:int x + 1))

class F {
void m() {
int y;
Slide 96

{int y; ...

} // Static error

...
{int y; ...

...
}
}

Variable shadowing is not allowed in Java. For large systems that would be a problem, eg
in a language with nested function definitions, where you may wish to write a local function
parameter without being aware of what is in the surrounding namespace.
Alpha conversion
In expressions fn

x :T e the x is a binder.

inside e , any x s (that arent themselves binders and are not inside
another fn x :T ...) mean the same thing the formal parameter
of this function.

Slide 97

outside this fn x :T e , it doesnt matter which variable we used for

the formal parameter in fact, we shouldnt be able to tell. For

x:int x + 2 should be the same as

y:int y + 2.
R1
R1
cf 0 x + x2 dx = 0 y + y 2 dy

example, fn
fn

Alpha conversion free and bound occurrences

In a bit more detail (but still informally):
Say an occurrence of x in an expression e is free if it is not inside any

(fn x :T ...). For example:

17

Slide 98

x+y
fn
fn

x:int x + 2
x:int x + z

if y then

2 + x else ((fn x:int x + 2)z)

All the other occurrences of x are bound by the closest enclosing

fn

x :T ....

Note that in fn x:int 2 the x is not an occurrence. Likewise, in fn x:int x + 2 the left
x is not an occurrence; here the right x is an occurrence that is bound by the left x.

48

Sometimes it is handy to draw in the binding:

Alpha conversion Binding examples

Slide 99

fn

fn x:int

x+2

fn x:int

x+z

fn y:int

y+z



fn z:int

z+z

x:int (fn x:int
x+2)

Alpha Conversion The Convention

Convention: we will allow ourselves to any time at all, in any expression

...(fn x :T e)..., replace the binding x and all occurrences of x that

are bound by that binder, by any other variable so long as that doesnt
change the binding graph.

Slide 100

For example:

fn x:int



x+z = fn y:int
y+z 6= fn z:int
z+z

This is called working up to alpha conversion. It amounts to regarding

the syntax not as abstract syntax trees, but as abstract syntax trees with
pointers...
Abstract Syntax up to Alpha Conversion
fn

x:int x + z

fn

y:int y + z

6=

z:int z + z

fn

Start with naive abstract syntax trees:

fn

Slide 101

x:int

tt

tt
t
t

fn

y:int

fn

z:int

add pointers (from each x node to the closest enclosing fn

x :T node);

remove names of binders and the occurrences they bind

fn

= :int

+
tt

tt

t
t

fn

= :int

+
tt

tt

t
t

49

fn

= :inta

tt

tt
t
t

fn

x:int (fn x:int x + 2)

= fn y:int (fn z:int z + 2) 6= fn z:int (fn y:int z + 2)

Slide 102

fn

:int

fn 8 :int

fn

= :int

fn

(fn x:int x) 7

Slide 103

fn

@
tt
ttt

B :int

:int

fn

z:int int int (fn y:int z y y)

fn

:int
int int
6

fn

:int
] k

De Bruijn indices
Our implementation will use those pointers known as De Bruijn indices.
Each occurrence of a bound variable is represented by the number of
fn
fn

:T nodes you have to count out to to get to its binder.

:int (fn :int v0 + 2) 6= fn :int (fn :int v1 + 2)

Slide 104

fn

:int

fn 8 :int

fn

= :int

fn

:int

Free Variables
Say the free variables of an expression e are the set of variables x for
which there is an occurence of x free in e .
fv(x )

Slide 105

= {x }

= fv(e1 ) fv(e2 )

fv(e1

op e2 )

fv(fn

x :T e) = fv(e) {x }

Say e is closed if fv(e)

= {}.

If E is a set of expressions, write fv(E ) for

eE

fv(e).

(note this definition is alpha-invariant - all our definitions should be)

50

For example
fv(x + y)
fv(fn x:int x + y)
fv(x + (fn x:int x + y)7)

=
=
=

{x, y}
{y}
{x, y}

Full definition of fv(e) is by recursion on the structure of e:

fv(x )
fv(fn x :T e)
fv(e1 e2 )
fv(n)
fv(e1 op e2 )
fv(if e1 then e2 else e3 )
fv(b)
fv(skip)
fv( := e)
fv(!)
fv(e1 ; e2 )
fv(while e1 do e2 )

=
=
=
=
=
=
=
=
=
=
=
=

{x }
fv(e) {x }
fv(e1 ) fv(e2 )
{}
fv(e1 ) fv(e2 )
fv(e1 ) fv(e2 ) fv(e3 )
{}
{}
fv(e)
{}
fv(e1 ) fv(e2 )
fv(e1 ) fv(e2 )

The semantics for functions will involve substituting actual parameters for formal parameters.
Substitution Examples
The semantics for functions will involve substituting actual parameters for
formal parameters.
Write {e/x }e for the result of substituting e for all free occurrences of x

Slide 106

in e . For example

{3/x}(x x)

{3/x}((fn x:int x + y)x)

= (3 3)

= (fn x:int x + y)3

{y + 2/x}(fn y:int x + y) = fn z:int (y + 2) + z

Note that substitution is a meta-operation its not part of the L2 expression grammar.
The notation used for substitution varies people write {3/x }e, or [3/x ]e, or e[3/x ], or
{x 3}e, or...
Substitution Definition
Defining that:

{e/z }x
Slide 107

= e

if x

= x

otherwise

{e/z }(fn x :T e1 ) = fn x :T ({e/z }e1 )

{e/z }(e1 e2 )

...

if x

=z
6= z (*)

and x

/ fv(e) (*)

= ({e/z }e1 )({e/z }e2 )

if (*) is not true, we first have to pick an alpha-variant of fn

make it so (always can)

51

x :T e1 to

Substitution Example Again

{y + 2/x}(fn y:int x + y)

= {y + 2/x}(fn y :int x + y ) renaming

Slide 108

= fn y :int {y + 2/x}(x + y ) as y 6= x and y

/ fv(y + 2)

= fn y :int {y + 2/x}x + {y + 2/x}y

= fn y :int (y + 2) + y

(could have chosen any other z instead of y , except y or x)

Simultaneous substitution
A substitution is a finite partial function from variables to expressions.

Slide 109

Notation: write a as {e1 /x1 , .., ek /xk } instead of

{x1 7 e1 , ..., xk 7 ek } (for the function mapping x1 to e1 etc.)

A definition of

e is given in the notes.

Write dom() for the set of variables in the domain of ; ran() for the set of expressions
in the range of , ie
dom({e1 /x1 , .., ek /xk }) = {x1 , .., xk }
ran({e1 /x1 , .., ek /xk }) = {e1 , .., ek }
Define the application of simultaneous substitution to a term by:
if x dom()
otherwise

=
=

(x )
x

(fn x :T e)
(e1 e2 )
n
(e1 op e2 )
(if e1 then e2 else e3 )
(b)
(skip)
( := e)
(!)
(e1 ; e2 )
(while e1 do e2 )

=
=
=
=
=
=
=
=
=
=
=

fn x :T ( e)
if x
/ dom() and x
/ fv(ran()) (*)
( e1 )( e2 )
n
(e1 ) op (e2 )
if (e1 ) then (e2 ) else (e3 )
b
skip
:= (e)
!
(e1 ); (e2 )
while (e1 ) do (e2 )

4.2

Function Behaviour
Function Behaviour
Consider the expression

Slide 110

e = (fn x:unit (l := 1); x) (l := 2)

then

he, {l 7 0}i hskip, {l 7 ???}i

52

Function Behaviour. Choice 1: Call-by-value

Informally: reduce left-hand-side of application to a fn-term; reduce
argument to a value; then replace all occurrences of the formal parameter
in the fn-term by that value.

Slide 111

e = (fn x:unit (l := 1); x)(l := 2)

he, {l = 0}i h(fn x:unit (l := 1); x)skip, {l = 2}i
h(l := 1); skip

hskip; skip
hskip

, {l = 2}i

, {l = 1}i

, {l = 1}i

This is a common design choice ML, Java. It is a strict semantics fully evaluating the
argument to function before doing the application.
L2 Call-by-value
Values v

::= b | n | skip | fn x :T e
(app1)

he1 , si he1 , s i
he1 e2 , si he1 e2 , s i

Slide 112
(app2)

(fn)

he2 , si he2 , s i
hv e2 , si hv e2 , s i

h(fn x :T e) v , si h{v /x }e, si

L2 Call-by-value reduction examples

Slide 113

h(fn x:int fn y:int x + y) (3 + 4) 5 , si

=
h (fn x:int fn y:int x + y) (3 + 4) 5 , si


h (fn x:int fn y:int x + y) 7 5 , si


h {7/x}(fn y:int x + y) 5 , si


=
h (fn y:int 7 + y) 5 , si
h7 + 5 , si
h12 , si

(fn f:int int f 3) (fn x:int (1 + 2) + x)

The rules for these constructs dont touch the store. In a pure functional language,
configurations would just be expressions.
A naive implementation of these rules would have to traverse e and copy v as many
times as there are free occurrences of x in e. Real implementations dont do that,
using environments instead of doing substitution. Environments are more efficient;
substitutions are simpler to write down so better for implementation and semantics
respectively.

53

Function Behaviour. Choice 2: Call-by-name

Informally: reduce left-hand-side of application to a fn-term; then replace
all occurrences of the formal parameter in the fn-term by the argument.

e = (fn x:unit (l := 1); x) (l := 2)

Slide 114

he, {l 7 0}i h(l := 1); l := 2, {l 7 0}i

hskip

; l := 2, {l 7 1}i

hskip

, {l 7 2}i

hl := 2

, {l 7 1}i

This is the foundation of lazy functional languages e.g. Haskell

L2 Call-by-name
(same typing rules as before)
(CBN-app)

Slide 115

he1 , si he1 , s i
he1 e2 , si he1 e2 , s i
h(fn x :T e)e2 , si h{e2 /x }e, si

(CBN-fn)

Here, dont evaluate the argument at all if it isnt used

h(fn x:unit skip)(l := 2), {l 7 0}i

h{l := 2/x}skip
hskip

, {l 7 0}i

, {l 7 0}i

but if it is, end up evaluating it repeatedly.

Function Behaviour. Choice 3: Full beta
Allow both left and right-hand sides of application to reduce. At any point

Slide 116

where the left-hand-side has reduced to a fn-term, replace all

occurrences of the formal parameter in the fn-term by the argument.
Allow reduction inside lambdas.

(fn x:int 2 + 2) (fn x:int 4)

L2 Beta

(beta-app1)

Slide 117

(beta-app2)

(beta-fn1)

(beta-fn2)

he1 , si he1 , s i
he1 e2 , si he1 e2 , s i
he2 , si he2 , s i
he1 e2 , si he1 e2 , s i
h(fn x :T e)e2 , si h{e2 /x }e, si
he, si he , s i
hfn x :T e, si hfn x :T e , s i

This reduction relation includes the CBV and CBN relations, and also reduction inside
lambdas.

54

L2 Beta: Example

(fn x:int x + x)
(2
+ 2)

Slide 118

(fn x:int x + x) 4

(2 + 2) + (2 + 2)

)
u

4 + (2 + 2)
(2
+ 2) + 4

$ 
r

4+4


8
Function Behaviour. Choice 4: Normal-order reduction

Slide 119

Leftmost, outermost variant of full beta.

What will (fn x:unit skip) (while true do skip) do in the different semantics?
What about (fn x:unit skip) ( :=! + 1)?
Slide 120

Purity

Without strict, call-by-value semantics, it becomes hard to understand what order your code
is going to be run in. Non-strict languages typically dont allow unrestricted side effects (our
combination of store and CBN is pretty odd ). Haskell encourages pure programming, without
effects (store operations, IO, etc.) except where really necessary. Where they are necessary,
it uses a fancy type system to give you some control of evaluation order.
For a pure language, Call-By-Name gives the same results as Call-By-Need, which is more
efficient. The first time the argument evaluated we overwrite all other copies by that value.
Call-By-Need Example (Haskell)

let notdivby x y = y mod x /= 0

enumFrom n = n :

(enumFrom (n+1))

sieve (x:xs) =
x :

sieve (filter (notdivby x) xs)

in
Slide 121

sieve (enumFrom 2)
==>
[2,3,5,7,11,13,17,19,23,29,31,37,41,43,47,53,
59,61,67,71,73,79,83,89,97,101,103,107,109,
113,127,131,137,139,149,151,157,163,167,173,
179,181,191,193,197,199,211,223,227,229,233,
,,Interrupted!

Slide 122

Back to CBV (from now on).

55

4.3

Function Typing
Typing functions (1)
Before, gave the types of store locations; it ranged over TypeEnv
which was the set of all finite partial functions from locations L to Tloc .
Now, it must also give assumptions on the types of variables: e.g.

Slide 123

l1 :intref, x:int, y:bool int.

TypeEnv2, are finite partial functions from

L X to Tloc T such that

Type environments,

dom().() Tloc

x dom().(x ) T
Notation: if x

/ dom(), write , x :T for the partial function which

maps x to T but otherwise is like .

Typing functions (2)

(var)

Slide 124

(fn)

(app)

x :T

if (x )

=T

, x :T e:T
fn x :T e : T T
e1 :T T
e2 :T
e1 e2 :T
Typing functions Example

Slide 125

(var)

(int)

x:int x:int
x:int 2:int (op+)
x:int x + 2:int
(fn)
(int)
{} (fn x:int x + 2):int int
{} 2:int
(app)
{} (fn x:int x + 2) 2:int

Note that sometimes you need the alpha convention, e.g. to type
fn x:int x + (fn x:bool if x then 3 else 4)true
Its a good idea to start out with all binders different from each other and from all
free variables. It would be a bad idea to prohibit variable shadowing like this in source
programs.
In ML you have parametrically polymorphic functions, e.g. (fn x: x): , but
we wont talk about them here thats in Part II Types.
Another example:
(int)
l :intref, x:unit 1:int
(asn)
(var)
l :intref, x:unit (l := 1):unit
l :intref, x:unit x:unit
(seq)
(int)
l :intref, x:unit (l := 1); x:unit
l :intref 2:int
(fn)
(asn)
l :intref (fn x:unit (l := 1); x):unit unit
l :intref (l := 2):unit
(app)
l :intref (fn x:unit (l := 1); x) (l := 2):unit

56

Properties of Typing
We only consider executions of closed programs, with no free variables.
Theorem 15 (Progress) If e closed and

dom(s) then either e is a value or there exist e , s such that

he, si he , s i.
dom()

Slide 126

e:T and

Note there are now more stuck configurations, e.g.((3)

(4))

e:T and
dom(s) and he, si he , s i then e :T and e
closed and dom() dom(s ).
Theorem 16 (Type Preservation) If e closed and
dom()

Proving Type Preservation

e:T and
dom(s) and he, si he , s i then e :T and e
closed and dom() dom(s ).
Theorem 16 (Type Preservation) If e closed and
dom()

Taking

(e, s, e , s ) =

Slide 127

, T .

e:T

e :T
we show

induction.

closed(e) dom()

dom(s)

closed(e ) dom()

dom(s )

e, s, e , s .he, si he , s i (e, s, e , s ) by rule

To prove this one uses:

Slide 128

e:T and , x :T e :T with

x
/ dom() then {e/x }e :T .
Lemma 17 (Substitution) If

Determinacy and type inference properties also hold.

Normalization
Theorem 18 (Normalization) In the sublanguage without while loops or

Slide 129

store operations, if

e:T and e closed then there does not exist an

he1 , {}i he2 , {}i ...

infinite reduction sequence he, {}i

Proof

? cant do a simple induction, as reduction can make terms grow.

See Pierce Ch.12 (the details are not in the scope of this course).

57

4.4

Local Definitions and Recursive Functions

Local definitions
For readability, want to be able to name definitions, and to restrict their
scope, so add:

e ::= ... | let val x :T = e1 in e2 end

Slide 130

this x is a binder, binding any free occurrences of x in e2 .

Can regard just as syntactic sugar :
let val

(fn x :T e2 )e1

x :T = e1 in e2 end

Local definitions derived typing and reduction rules (CBV)

let val

(let)

(fn x :T e2 )e1

x :T = e1 in e2 end

e1 :T
, x :T e2 :T
let val x :T = e1 in e2 end:T

Slide 131
(let1)

he1 , si he1 , s i
hlet val x :T = e1 in e2 end, si hlet val x :T = e1 in e2 end, s i
(let2)

hlet val x :T = v in e2 end, si h{v /x }e2 , si

Our alpha convention means this really is a local definition there is no way to refer to the
locally-defined variable outside the let val .
x + let val x:int = x in (x + 2) end =

x + let val y:int = x in (y + 2) end

Recursive definitions first attempt

How about

x = (fn y:int if y 1 then y + (x (y + 1)) else 0)

where we use x within the definition of x? Think about evaluating x 3.
Could add something like this:

Slide 132

e ::= ... | let val rec x :T = e in e end

(here the x binds in both e and e ) then say
let val rec

x:int int =

(fn y:int if y 1 then y + (x(y + 1)) else 0)

in

x 3 end

58

But...
What about
let val rec

x = (x, x) in x end ?

Have some rather weird things, eg

Slide 133

let val rec

x:int list = 3 :: x in x end

does that terminate? if so, is it equal to

let val rec
let val rec

x:int list = 3 :: 3 :: x in x end ? does

x:int list = 3 :: (x + 1) in x end terminate?

In a CBN language, it is reasonable to allow this kind of thing, as will only

compute as much as needed. In a CBV language, would usually disallow,
allowing recursive definitions only of functions...
Recursive Functions
So, specialize the previous let val rec construct to

T = T 1 T2
e
Slide 134

recursion only at function types

= fn y:T1 e1

and only of function values

e ::= ... | let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end

(here the y binds in e1 ; the x binds in (fn
(let rec fn)

y:T e1 ) and in e2 )

, x :T1 T2 , y:T1 e1 :T2

, x :T1 T2 e2 :T
let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end:T

f (x :T1 ):T2 = e1 in e2 end,

f (x ) = e1 in e2 end, for
let val rec f :T1 T2 = fn x :T1 e1 in e2 end.
Concrete syntax: In ML can write let fun

or even let fun

Recursive Functions Semantics

(letrecfn)

Slide 135

let val rec

x :T1 T2 = (fn y:T1 e1 ) in e2 end

{(fn y:T1 let val rec x :T1 T2 = (fn y:T1 e1 ) in e1 end)/x }e2

59

For example:
let val rec x:int int =
(fn y:int if y 1 then y + (x(y + 1)) else 0)
in
x3
end
(letrecfn)

fn y:int
let val rec x:int int =
(fn y:int if y 1 then y + (x(y + 1)) else 0)
in
if
y 1 then y + (x(y + 1)) else 0
end 3

(app)
let val rec x:int int =
(fn y:int if y 1 then y + (x(y + 1)) else 0)
in
if 3 1 then 3 + (x(3 + 1)) else 0)
end
(letrecfn)

if 3 1 then
3 + ( fn y:int
let val rec x:int int =
(fn y:int if y 1 then y + (x(y + 1)) else 0)
in
if
y 1 then y + (x(y + 1)) else 0
end (3 + 1))
else
0
...
Recursive Functions Minimization Example
Below, in the context of the let val rec , x
for which f

n evaluates to some m 0.

let val rec

f n finds the smallest n n

x:(int int) int int

= fn f:int int fn z:int if (f z) 1 then x f (z + 1) else z

in

Slide 136

let val

f:int int

= (fn z:int if z 3 then (if 3 z then 0 else 1) else 1)

in

xf0
end
end

As a test case, we apply it to the function (fn z :int if z 3 then (if 3 z then 0 else 1) else 1),
which is 0 for argument 3 and 1 elsewhere.

60

More Syntactic Sugar

Do we need e1 ; e2 ?

(fn y:unit e2 )e1

No: Could encode by e1 ; e2

Do we need while

e1 do e2 ?

No: could encode by while

Slide 137
let val rec
fn

e1 do e2

w:unit unit =

y:unit if e1 then (e2 ; (w skip)) else skip

in

w skip
end
for fresh w and y not in fv(e1 ) fv(e2 ).

In each case typing is the same. Reduction is essentially the same we will be able to
make this precise when we study contextual equivalence.

4.5

Implementation
Implementation

Slide 138

There is an implementation of L2 on the course web page.

See especially Syntax.sml and Semantics.sml. It uses a front
end written with mosmllex and mosmlyac.

The implementation lets you type in L2 expressions and initial stores and watch them
resolve, type-check, and reduce.
Implementation Scope Resolution

datatype expr raw = ...

| Var raw of string
| Fn raw of string * type expr * expr raw
| App raw of expr raw * expr raw
| ...
Slide 139

datatype expr = ...

| Var of int
| Fn of type expr * expr
| App of expr * expr
resolve scopes :

expr raw -> expr

(it raises an exception if the expression has any free variables)

61

Implementation Substitution

subst : expr -> int -> expr -> expr

subst e 0 e substitutes e for the outermost var in e.
(the definition is only sensible if e is closed, but thats ok we only
evaluate whole programs. For a general definition, see [Pierce, Ch. 6])
fun subst e n (Var n1) = if n=n1 then e else Var n1

Slide 140

| subst e n (Fn(t,e1)) = Fn(t,subst e (n+1) e1)

| subst e n (App(e1,e2)) = App(subst e n e1,subst e n e2)
| subst e n (Let(t,e1,e2))
= Let (t,subst e n e1,subst e (n+1) e2)

| subst e n (Letrecfn (tx,ty,e1,e2))

= Letrecfn (tx,ty,subst e (n+2) e1,subst e (n+1) e2)
| ...

If e represents a closed term fn x :T e1 then e = Fn(t,e1) for t and e1 representing

T and e1 . If also e represents a closed term e then subst e 0 e1 represents {e/x }e1 .
Implementation CBV reduction

reduce (App (e1,e2),s) = (case e1 of

Fn (t,e) =>
(if (is value e2) then
SOME (subst e2 0 e,s)
else

Slide 141

(case reduce (e2,s) of

SOME(e2,s) => SOME(App (e1,e2),s)
| NONE => NONE))
=> (case reduce (e1,s) of

SOME (e1,s)=>SOME(App(e1,e2),s)
| NONE => NONE ))
Implementation Type Inference

type typeEnv
= (loc*type loc) list * type expr list
inftype gamma (Var n) = nth (#2 gamma) n
inftype gamma (Fn (t,e))
Slide 142

= (case inftype (#1 gamma, t::(#2 gamma)) e of

SOME t => SOME (func(t,t) )
| NONE => NONE )
inftype gamma (App (e1,e2))
= (case (inftype gamma e1, inftype gamma e2) of
(SOME (func(t1,t1)), SOME t2) =>
if t1=t2 then SOME t1 else NONE
|

=> NONE )

62

Implementation Closures
Naively implementing substitution is expensive. An efficient
implementation would use closures instead cf. Compiler Construction.

Slide 143

We could give a more concrete semantics, closer to implementation, in

terms of closures, and then prove it corresponds to the original
semantics...
(if you get that wrong, you end up with dynamic scoping, as in original
LISP)
Aside: Small-step vs Big-step Semantics
Throughout this course we use small-step semantics, he, si
There is an alternative style, of big-step semantics he, si

example

Slide 144

hn, si hn, si

he , s i.

hv , s i, for

he1 , si hn1 , s i he2 , s i hn2 , s i

he1 + e2 , si hn, s i n = n1 + n2

(see the notes from earlier courses by Andy Pitts).

For sequential languages, it doesnt make a major difference. When we
come to add concurrency, small-step is more convenient.

63

4.6

L2: Collected Definition

Syntax
Booleans b B = {true, false}
Integers n Z = {..., 1, 0, 1, ...}
Locations L = {l , l0 , l1 , l2 , ...}
Variables x X for a set X = {x, y, z, ...}
Operations op ::= + |
Types
T
Tloc

::=
::=

int | bool | unit | T1 T2

intref

Expressions
e

::=

n | b | e1 op e2 | if e1 then e2 else e3 |
:= e |! |
skip | e1 ; e2 |
while e1 do e2 |
fn x :T e | e1 e2 | x |
let val x :T = e1 in e2 end|
let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end

In expressions fn x :T e the x is a binder. In expressions let val x :T = e1 in e2 end

the x is a binder. In expressions let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end the
y binds in e1 ; the x binds in (fn y:T e1 ) and in e2 .
Operational Semantics
Say stores s are finite partial functions from L to Z. Values v ::= b | n | skip | fn x :T e
(op +)

hn1 + n2 , si hn, si

if n = n1 + n2

(op )

hn1 n2 , si hb, si

if b = (n1 n2 )

(op1)

(op2)

he1

he1 , si he1 , s i
op e2 , si he1 op e2 , s i

he2 , si he2 , s i
hv op e2 , si hv op e2 , s i

(deref) h!, si hn, si

if dom(s) and s() = n

(assign1) h := n, si hskip, s + { 7 n}i

(assign2)

he, si he , s i
h := e, si h := e , s i
(seq1) hskip; e2 , si he2 , si
(seq2)

he1 , si he1 , s i
he1 ; e2 , si he1 ; e2 , s i

64

if dom(s)

(if1) hif true then e2 else e3 , si he2 , si

(if2) hif false then e2 else e3 , si he3 , si
(if3)

he1 , si he1 , s i
else e3 , si hif e1 then e2 else e3 , s i

hif e1 then e2

(while)
hwhile e1 do e2 , si hif e1 then (e2 ; while e1 do e2 ) else skip, si
(app1)

he1 , si he1 , s i
he1 e2 , si he1 e2 , s i

(app2)

he2 , si he2 , s i
hv e2 , si hv e2 , s i

(fn) h(fn x :T e) v , si h{v /x }e, si

(let1)
hlet val x :T = e1 in e2

he1 , si he1 , s i
end, si hlet val x :T = e1 in e2 end, s i

(let2)
hlet val x :T = v in e2 end, si h{v /x }e2 , si
(letrecfn) let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end

{(fn y:T1 let val rec x :T1 T2 = (fn y:T1 e1 ) in e1 end)/x }e2

Typing
Type environments, TypeEnv2, are finite partial functions from L X to Tloc T
such that
dom().() Tloc
x dom().(x ) T
(int) n:int
(bool) b:bool
(op +)

for n Z

for b {true, false}

e1 :int
e2 :int
e1 + e2 :int

(op )

e1 :int
e2 :int
e1 e2 :bool

e2 :T
e3 :T
(if) e1 :bool
if e1 then e2 else e3 :T
(assign)

(deref)

() = intref
e:int
:= e:unit
() = intref
!:int
65

(skip) skip:unit
e2 :T
(seq) e1 :unit
e1 ; e2 :T
e2 :unit
(while) e1 :bool
while e1 do e2 :unit
(var) x :T
(fn)

if (x ) = T

, x :T e:T
fn x :T e : T T

e2 :T
(app) e1 :T T
e1 e2 :T

(let)

(let rec fn)

e1 :T
, x :T e2 :T
let val x :T = e1 in e2 end:T

, x :T1 T2 , y:T1 e1 :T2

, x :T1 T2 e2 :T
let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end:T

66

4.7

Exercises

Exercise 18 What are the free variables of the following?

1. x + ((fn y:int z) 2)
2. x + (fn y:int z)
3. fn y:int fn y:int fn y:int y
4. !l0
5. while !l0 y do l0 := x
Draw their abstract syntax trees (up to alpha equivalence).
Exercise 19 What are the results of the following substitutions?
1. {fn x:int y/z}fn y:int z y
2. {fn x:int x/x}fn y:int x y
3. {fn x:int x/x}fn x:int x x
Exercise 20 Give typing derivations, or show why no derivation exists, for:
1. if 6 then 7 else 8
2. fn x:int x + (fn x:bool if x then 3 else 4)true
Exercise 21 Give a grammar for types, and typing rules for functions and application,
that allow only first-order functions and prohibit partial applications (see page 47).
Exercise 22 Write a function of type unit bool that, when applied to skip, returns
true in the CBV semantics and false in the CBN semantics. Is it possible to do it without
using the store?
Exercise 23 Prove Lemma 17 (Substitution).
Exercise 24 Prove Theorem 16 (Type Preservation).
Exercise 25 Adapt the L2 implementation to CBN functions. Think of a few good test
cases and check them in the new and old code.
Exercise 26 Re-implement the L2 interpreter to use closures instead of substitution.

67

Data

Data L3

Slide 145

So far we have only looked at very simple basic data types int, bool, and unit, and functions
over them. We now explore more structured data, in as simple a form as possible, and revisit
the semantics of mutable store.

5.1

Products and sums

The two basic notions are the product and the sum type.
The product type T1 T2 lets you tuple together values of types T1 and T2 so for example
a function that takes an integer and returns a pair of an integer and a boolean has type
int (int bool). In C one has structs; in Java classes can have many fields.
The sum type T1 + T2 lets you form a disjoint union, with a value of the sum type either
being a value of type T1 or a value of type T2 . In C one has unions; in Java one might
have many subclasses of a class (see the l1.java representation of the L1 abstract syntax,
for example).
In most languages these appear in richer forms, e.g. with labelled records rather than simple
products, or labelled variants, or ML datatypes with named constructors, rather than simple
sums. Well look at labelled records in detail, as a preliminary to the later lecture on
subtyping.
Many languages dont allow structured data types to appear in arbitrary positions e.g. the
old C lack of support for functions that return structured values, inherited from close-tothe-metal early implementations. They might therefore have to have functions or methods
that take a list of arguments, rather than a single argument that could be of product (or
sum, or record) type.
Products

Slide 146

T ::= ... | T1 T2
e

::= ... | (e1 , e2 ) | #1 e | #2 e

Design choices:
pairs, not arbitrary tuples have int (int int) and (int int) int, but (a) theyre
different, and (b) we dont have (int int int). In a full language youd likely allow
(b) (and still have it be a different type from the other two).
have projections #1 and #2, not pattern matching fn (x , y) e. A full language
should allow the latter, as it often makes for much more elegant code.
dont have #e e (couldnt typecheck!).

68

Products typing
(pair)

Slide 147

(proj1)

(proj2)

e1 :T1
e2 :T2
(e1 , e2 ):T1 T2
e:T1 T2
#1 e:T1
e:T1 T2
#2 e:T2
Products reduction

v ::= ... | (v1 , v2 )

(pair1)

Slide 148

(pair2)

(proj1)

(proj3)

he1 , si he1 , s i
h(e1 , e2 ), si h(e1 , e2 ), s i
he2 , si he2 , s i
h(v1 , e2 ), si h(v1 , e2 ), s i
h#1(v1 , v2 ), si hv1 , si (proj2) h#2(v1 , v2 ), si hv2 , si
he, si he , s i

h#1 e, si h#1 e , s i

(proj4)

he, si he , s i
h#2 e, si h#2 e , s i

We have chosen left-to-right evaluation order for consistency.

Sums (or Variants, or Tagged Unions)

T ::= ... | T1 + T2

Slide 149

::= ... | inl e:T | inr e:T |

case

e of inl (x1 :T1 ) e1 | inr (x2 :T2 ) e2

Those x s are binders, treated up to alpha-equivalence.

Here we diverge slightly from Moscow ML syntax our T1 + T2 corresponds to the Moscow
ML (T1,T2) Sum in the context of the declaration
datatype (a,b) Sum = inl of a | inr of b;
Sums typing

e:T1
(inl)
inl e:T1 + T2 :T1 + T2
(inr)

Slide 150

e:T2
inr e:T1 + T2 :T1 + T2
e:T1 + T2

, x :T1 e1 :T
(case)

, y:T2 e2 :T

case e of inl (x :T1 ) e1 | inr (y:T2 ) e2 :T

69

Sums type annotations

case

e of inl (x1 :T1 ) e1 | inr (x2 :T2 ) e2

Why do we have these type annotations?

Slide 151
To maintain the unique typing property. Otherwise

3:int + int

inl
and
inl

3:int + bool

You might instead have a compiler use a type inference algorithm that can infer them,
or require every sum type in a program to be declared, each with different names for the
constructors inl , inr (cf OCaml).
Sums reduction

v ::= ... | inl v :T | inr v :T

(inl)

he, si he , s i
hinl e:T , si hinl e :T , s i
he, si he , s i

Slide 152
(case1)

hcase e of inl (x :T1 ) e1 | inr (y:T2 ) e2 , si

hcase e of inl (x :T1 ) e1 | inr (y:T2 ) e2 , s i

(case2)

hcase inl v :T of inl (x :T1 ) e1 | inr (y:T2 ) e2 , si

h{v /x }e1 , si

(inr) and (case3) like (inl) and (case2)

(inr)

he, si he , s i
hinr e:T , si hinr e :T , s i

(case3) hcase inr v :T of inl (x :T1 ) e1 | inr (y:T2 ) e2 , si

h{v /y}e2 , si
Constructors and Destructors

Slide 153

type

constructors

T T

fn

x :T

T T

(, )

T +T

inl (

bool

true

inr (
false

70

destructors

e
#1
) case
if

#2

Proofs as programs: The Curry-Howard correspondence

, x :T x :T

(var)

, P P

, x :T e:T
fn x :T e : T T

(fn)

Slide 154
(app)

e1 :T T e2 :T
e1 e2 :T

, P P
P P
P P P
P

Proofs as programs: The Curry-Howard correspondence

, x :T x :T

(var)

(fn)

Slide 155

, P P

, x :T e:T

, P P

fn x :T e : T T

P P

(app)

e1 :T T
e2 :T
e1 e2 :T

P P
P

(pair)

e1 :T1
e2 :T2
(e1 , e2 ):T1 T2

P1 P2
P1 P2

(proj1)

(inl)

e:T1 T2
#1 e:T1

(proj2)

e:T1 T2
#2 e:T2

P1 P2
P1

P1 P2
P2

P1
P1 P2

e:T1
inl e:T1 + T2 :T1 + T2

(inr), (case), (unit), (zero), etc.. but not (letrec)

The typing rules for a pure language correspond to the rules for a natural deduction calculus.

5.2

Datatypes and Records

ML Datatypes
Datatypes in ML generalize both sums and products, in a sense

Slide 156

datatype IntList = Null of unit

| Cons of Int * IntList
is (roughly!) like saying

IntList = unit + (Int * IntList)

In L3 you cannot define IntList. It involves recursion at the type level (e.g. types for binary
trees). Making this precise is beyond the scope of this course.

71

Records
A generalization of products.
Take field labels

Slide 157

Labels lab

LAB for a set LAB = {p, q, ...}

T ::= ... | {lab 1 :T1 , .., lab k :Tk }

::= ... | {lab 1 = e1 , .., lab k = ek } | #lab e

(where in each record (type or expression) no lab occurs more than once)

Note:
Labels are not the same syntactic class as variables, so (fn x:T {x = 3}) is not an
expression.
In ML a pair (true, fn x:int x) is syntactic sugar for a record {1 = true, 2 = fn x:int x}.
Note that #lab e is not an application, it just looks like one in the concrete syntax.
Again we will choose a left-to-right evaluation order for consistency.
Records typing
(record)

Slide 158

e1 :T1 .. ek :Tk
{lab 1 = e1 , .., lab k = ek }:{lab 1 :T1 , .., lab k :Tk }

(recordproj)

e:{lab 1 :T1 , .., lab k :Tk }

#lab i e:Ti

Here the field order matters, so (fn x:{1 :int, 2 :bool} x){2 = true, 1 = 17} does
not typecheck.
Here you can reuse labels, so {} ({1 = 17}, {1 = true}):{1 :int} {1 :bool} is legal,
but in some languages (e.g. OCaml) you cant.
Records reduction

v ::= ... | {lab 1 = v1 , .., lab k = vk }

hei , si hei , s i
(record1)

h{lab 1 = v1 , .., lab i = ei , .., lab k = ek }, si

h{lab 1 = v1 , .., lab i = ei , .., lab k = ek }, s i

Slide 159

(record2)

(record3)

h#lab i {lab 1 = v1 , .., lab k = vk }, si hvi , si

he, si he , s i
h#lab i e, si h#lab i e , s i

72

5.3

Mutable Store
Mutable Store
Most languages have some kind of mutable store. Two main choices:
1 What weve got in L1 and L2:

e ::= ... | := e |! | x

Slide 160

locations store mutable values

variables refer to a previously-calculated value, immutably

explicit dereferencing and assignment operators for locations

fn x:int l := (!l ) + x
2 In C and Java,

variables let you refer to a previously calculated value and let you
overwrite that value with another.

void foo(x:int) {
Slide 161

implicit dereferencing,

l = l + x
...}

have some limited type machinery to limit mutability.

pros and cons: ....

We are staying with option 1 here. But we will now overcome some limitations of references
in L1/L2:
can only store ints we would like to store any value
cannot create new locations (all must exist at beginning)
cannot write functions that abstract on locations fn l :intref !l
References

T
Slide 162

::= ... | T ref

Tloc ::= intref T ref

e

::= ... | := e | !

| e1 := e2 |!e | ref e |

We are now allowing variables of T ref type, e.g.fn x:int ref !x. Whole programs should
now have no locations at the start. They should create new locations with ref.

73

References Typing
(ref)

e:T
ref e : T ref

(assign)

Slide 163
(deref)

(loc)

e1 :T ref e2 :T
e1 := e2 :unit
e:T ref
!e:T

() = T ref
:T ref
References Reduction

A location is a value:

v ::= ... |
Stores s were finite partial maps from L to Z. From now on, take them to

Slide 164

be finite partial maps from L to the set of all values.

(ref1)

(ref2)

(deref1)

(deref2)

Slide 165

(assign1)
(assign2)

(assign3)

h ref v , si h, s + { 7 v }i
/ dom(s)
he, si he , s i
h ref e, si h ref e , s i

h!, si hv , si

if

dom(s) and s() = v

he, si he , s i
h!e, si h!e , s i
h := v , si hskip, s + { 7 v }i if dom(s)
he, si he , s i
h := e, si h := e , s i
he, si he , s i
he := e2 , si he := e2 , s i

A ref has to do something at runtime ( ref 0, ref 0) should return a pair of two new
locations, each containing 0, not a pair of one location repeated.
Note the typing and this dynamics permit locations to contain locations, e.g. ref( ref 3).
This semantics no longer has determinacy, for a technical reason new locations are
chosen arbitrarily. At the cost of some slight semantic complexity, we could regain
determinacy by working up to alpha for locations.
Within the language you cannot do arithmetic on locations (can in C, cant in Java)
or test whether one is bigger than another. In L3 you cannot even test locations for
equality (in ML you can).
This store just grows during computation an implementation can garbage collect.
74

We dont have an explicit deallocation operation if you do, you need a very baroque
type system to prevent dangling pointers being dereferenced.
Type-checking the store
For L1, our type properties used dom()

Slide 166

dom(s) to express the

condition all locations mentioned in exist in the store s .

Now need more: for each

dom(s) need that s() is typable.

Moreover, s() might contain some other locations...

Type-checking the store Example

Consider

e = let val x:(int int) ref = ref(fn z:int z) in

(x := (fn z:int if z 1 then z + ((!x) (z + 1)) else 0);

(!x) 3) end
Slide 167

which has reductions

he, {}i

he1 , {l1 7 (fn z:int z)}i

he2 , {l1 7 (fn z:int if z 1 then z + ((!l1 ) (z + 1)) else 0)}i

h6, ...i

For reference, e1 and e2 are

e1

e2

l1 := (fn z:int if z 1 then z + ((!l1 ) (z + 1)) else 0);

((!l1 ) 3)
skip; ((!l1 ) 3)

Have made a recursive function by tying the knot by hand, not using let val rec . To do
this we needed to store function values. We couldnt do this in L2, so this doesnt contradict
the normalization theorem we had there.
s if dom() = dom(s) and if
dom(s), if () = T ref then s():T .

Definition 19 (Well-typed store) Let

for all

e:T and s then either

e is a value or there exist e , s such that he, si he , s i.
Theorem 20 (Progress) If e closed and

Slide 168

e:T and s
he , s i then e is closed and for some with disjoint
domain to we have , e :T and , s .

Theorem 21 (Type Preservation) If e closed and

and he, si

e:T and s and

he, si he , s i then either e is a value or there exist e , s such
that he , s i he , s i.
Theorem 22 (Type Safety) If e closed and

Implementation
The collected definition so far is in the notes, called L3.

Slide 169

It is again a Moscow ML fragment (modulo the syntax for T

+ T ), so you

can run programs. The Moscow ML record typing is more liberal than that
of L3, though.

75

5.4

Evaluation Contexts

We end this chapter by showing a slightly different style for defining operational semantics,
collecting together many of the context rules into a single (eval) rule that uses a definition
of a set of evaluation contexts to describe where in your program the next step of reduction
can take place. This style becomes much more convenient for large languages, though for
L1 and L2 theres not much advantage either way.
Evaluation Contexts
Define evaluation contexts

op e | v op

E ::=

;e |

e|v

let val

Slide 170

| if

x :T =

in

then

e else e |

e2 end |

( , e) | (v , ) | #1 | #2 |
inl

:T | inr :T |

case

of inl (x :T )

e | inr (x :T ) e |

{lab 1 = v1 , .., lab i = , .., lab k = ek } | #lab |

:= e | v := |! | ref

and have the single context rule

(eval)

he, si he , s i
hE [e], si hE [e ], s i

replacing the rules (all those with

Slide 171

1 premise) (op1), (op2), (seq2), (if3),

(app1), (app2), (let1), (pair1), (pair2), (proj3), (proj4), (inl), (inr), (case1),
(record1), (record3), (ref2), (deref2), (assign2), (assign3).
To (eval) we add all the computation rules (all the rest) (op + ), (op ),
(seq1), (if1), (if2), (while), (fn), (let2), (letrecfn), (proj1), (proj2), (case2),
(case3), (record2), (ref1), (deref1), (assign1).
Theorem 23 The two definitions of define the same relation.
A Little History

Slide 172

Formal logic

1880

Untyped lambda calculus

1930s

Simply-typed lambda calculus

1940s

Fortran

1950s

Curry-Howard, Algol 60, Algol 68, SECD machine (64)

1960s

Pascal, Polymorphism, ML, PLC

1970s

Structured Operational Semantics

1981

Standard ML definition

1985

Haskell

1987

Subtyping

1980s

Module systems

1980

Object calculus

1990

Typed assembly and intermediate languages

1990

And now? module systems, distribution, mobility, reasoning about objects, security, typed compilation,.......

76

5.5

L3: Collected definition

L3 syntax
Booleans b B = {true, false}
Integers n Z = {..., 1, 0, 1, ...}
Locations L = {l , l0 , l1 , l2 , ...}
Variables x X for a set X = {x, y, z, ...}
Labels lab LAB for a set LAB = {p, q, ...}
Operations op ::= + |
Types:
T

int | bool | unit | T1 T2 |T1 T2 |T1 + T2 |{lab 1 :T1 , .., lab k :Tk }|T ref

::=

Expressions
e

::=

n | b | e1 op e2 | if e1 then e2 else e3 |
e1 := e2 |!e | ref e | |
skip | e1 ; e2 |
while e1 do e2 |
fn x :T e | e1 e2 | x |
let val x :T = e1 in e2 end|
let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end|
(e1 , e2 ) | #1 e | #2 e|
inl e:T | inr e:T |
case e of inl (x1 :T1 ) e1 | inr (x2 :T2 ) e2 |
{lab 1 = e1 , .., lab k = ek } | #lab e

(where in each record (type or expression) no lab occurs more than once)
In expressions fn x :T e the x is a binder. In expressions let val x :T = e1 in e2 end
the x is a binder. In expressions let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end
the y binds in e1 ; the x binds in (fn y:T e1 ) and in e2 . In case e of inl (x1 :T1 ) e1 |
inr (x2 :T2 ) e2 the x1 binds in e1 and the x2 binds in e2 .
L3 semantics
Stores s are finite partial maps from L to the set of all values.
Values v ::= b | n | skip | fn x :T e|(v1 , v2 )|inl v :T | inr v :T |{lab 1 = v1 , .., lab k = vk }|
(op +)

hn1 + n2 , si hn, si

if n = n1 + n2

(op )

hn1 n2 , si hb, si

if b = (n1 n2 )

(op1)

(op2)

he1

he1 , si he1 , s i
op e2 , si he1 op e2 , s i

he2 , si he2 , s i
hv op e2 , si hv op e2 , s i
(seq1) hskip; e2 , si he2 , si
(seq2)

he1 , si he1 , s i
he1 ; e2 , si he1 ; e2 , s i
77

(if1) hif true then e2 else e3 , si he2 , si

(if2) hif false then e2 else e3 , si he3 , si
(if3)

hif e1 then e2

he1 , si he1 , s i
else e3 , si hif e1 then e2 else e3 , s i

(while)
hwhile e1 do e2 , si hif e1 then (e2 ; while e1 do e2 ) else skip, si
(app1)

he1 , si he1 , s i
he1 e2 , si he1 e2 , s i

(app2)

he2 , si he2 , s i
hv e2 , si hv e2 , s i

(fn) h(fn x :T e) v , si h{v /x }e, si

(let1)
hlet val x :T = e1 in e2

he1 , si he1 , s i
end, si hlet val x :T = e1 in e2 end, s i

(let2)
hlet val x :T = v in e2 end, si h{v /x }e2 , si
(letrecfn) let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end

{(fn y:T1 let val rec x :T1 T2 = (fn y:T1 e1 ) in e1 end)/x }e2
(pair1)

he1 , si he1 , s i
h(e1 , e2 ), si h(e1 , e2 ), s i

(pair2)

he2 , si he2 , s i
h(v1 , e2 ), si h(v1 , e2 ), s i

(proj1) h#1(v1 , v2 ), si hv1 , si

he, si he , s i
h#1 e, si h#1 e , s i

(proj3)
(inl)

(proj2) h#2(v1 , v2 ), si hv2 , si

(proj4)

he, si he , s i
h#2 e, si h#2 e , s i

he, si he , s i
hinl e:T , si hinl e :T , s i

(case1)

he, si he , s i

hcase e of inl (x :T1 ) e1 | inr (y:T2 ) e2 , si

hcase e of inl (x :T1 ) e1 | inr (y:T2 ) e2 , s i

(case2) hcase inl v :T of inl (x :T1 ) e1 | inr (y:T2 ) e2 , si

h{v /x }e1 , si
(inr) and (case3) like (inl) and (case2)

78

(inr)

he, si he , s i
hinr e:T , si hinr e :T , s i

(case3) hcase inr v :T of inl (x :T1 ) e1 | inr (y:T2 ) e2 , si

h{v /y}e2 , si
hei , si hei , s i

(record1)

h{lab 1 = v1 , .., lab i = ei , .., lab k = ek }, si

h{lab 1 = v1 , .., lab i = ei , .., lab k = ek }, s i

(record2) h#lab i {lab 1 = v1 , .., lab k = vk }, si hvi , si

he, si he , s i
h#lab i e, si h#lab i e , s i

(record3)

(ref1) h ref v , si h, s + { 7 v }i

/ dom(s)

he, si he , s i
h ref e, si h ref e , s i

(ref2)

(deref1) h!, si hv , si

if dom(s) and s() = v

he, si he , s i
h!e, si h!e , s i

(deref2)

(assign1) h := v , si hskip, s + { 7 v }i
(assign2)

he, si he , s i
h := e, si h := e , s i

(assign3)

he, si he , s i
he := e2 , si he := e2 , s i

if dom(s)

L3 Typing
Type environments, TypeEnv2, are finite partial functions from L X to Tloc T
such that
dom().() Tloc
x dom().(x ) T
(int) n:int
(bool) b:bool
(op +)

for n Z

for b {true, false}

e1 :int
e2 :int
e1 + e2 :int

(op )

e1 :int
e2 :int
e1 e2 :bool

e2 :T
e3 :T
(if) e1 :bool
if e1 then e2 else e3 :T
79

(skip) skip:unit
e2 :T
(seq) e1 :unit
e1 ; e2 :T
e2 :unit
(while) e1 :bool
while e1 do e2 :unit
(var) x :T
(fn)

if (x ) = T

, x :T e:T
fn x :T e : T T

e2 :T
(app) e1 :T T
e1 e2 :T

(let)

(let rec fn)

e1 :T
, x :T e2 :T
let val x :T = e1 in e2 end:T

, x :T1 T2 , y:T1 e1 :T2

, x :T1 T2 e2 :T
let val rec x :T1 T2 = (fn y:T1 e1 ) in e2 end:T
e2 :T2
(pair) e1 :T1
(e1 , e2 ):T1 T2
(proj1) e:T1 T2
#1 e:T1
(proj2) e:T1 T2
#2 e:T2

(inl)

e:T1
inl e:T1 + T2 :T1 + T2

(inr)

e:T2
inr e:T1 + T2 :T1 + T2

(case)
(record)

e:T1 + T2
, x :T1 e1 :T
, y:T2 e2 :T

case e of inl (x :T1 ) e1 | inr (y:T2 ) e2 :T

e1 :T1 .. ek :Tk
{lab 1 = e1 , .., lab k = ek }:{lab 1 :T1 , .., lab k :Tk }

(recordproj)

e:{lab 1 :T1 , .., lab k :Tk }

#lab i e:Ti

80

(ref)

e:T
ref e : T ref

e2 :T
(assign) e1 :T ref
e1 := e2 :unit
(deref) e:T ref
!e:T
(loc)

5.6

() = T ref
:T ref

Exercises

Exercise 27 Prove Theorem 14: Type Preservation for L3.

Exercise 28 Labelled variant types are a generalization of sum types, just as records
are a generalization of products. Design abstract syntax, type rules and evaluation rules for
labelled variants, analogously to the way in which records generalise products.
Exercise 29 Design type rules and evaluation rules for ML-style exceptions. Start
with exceptions that do not carry any values. Hint 1: take care with nested handlers within
recursive functions. Hint 2: you might want to express your semantics using evaluation
contexts.
Exercise 30 Extend the L2 implementation to cover all of L3.

81

Subtyping and Objects

Subtyping and Objects

Slide 173

Our type systems so far would all be annoying to use, as theyre quite rigid (Pascal-like).
There is little support for code reuse, so you would have to have different sorting code for,
e.g., int lists and int int lists.
Polymorphism
Ability to use expressions at many different types.

Ad-hoc polymorphism (overloading).

e.g. in Moscow ML the built-in + can be used to add two integers or to

Slide 174

add two reals. (see Haskell type classes)

Parametric Polymorphism as in ML. See the Part II Types course.

can write a function that for any type takes an argument of type

list and computes its length (parametric uniform in whatever is)

Subtype polymorphism as in various OO languages. See here.

Dating back to the 1960s (Simula etc); formalized in 1980,1984,...

Subtyping Motivation

Recall

e1 :T T
(app)

Slide 175

e2 :T

e1 e2 :T

so cant type

6 (fn x:{p:int} #p x) {p = 3, q = 4} : int

even though were giving the function a better argument, with more
structure, than it needs.

82

Subsumption
Better? Any value of type {p:int, q:int} can be used wherever a value
of type {p:int} is expected. (*)

<: T , read as
T is a subtype of T (a T is useful in more contexts than a T ).
Introduce a subtyping relation between types, written T

Will define it on the next slides, but it will include

Slide 176

{p:int, q:int} <: {p:int} <: {}

Introduce a subsumption rule

e:T
T <: T
e:T

(sub)

allowing subtyping to be used, capturing (*).

Can then deduce {p

= 3, q = 4}:{p:int}, hence can type the example.

Example

(var)

Slide 177

(var)

(var)

x:{p:int} x:{p:int}
{} 3:int
{} 4:int
(record-proj)
(record)
x:{p:int} #p x:int
{} {p = 3, q = 4}:{p:int, q:int}
()
(fn)
(sub)
{} (fn x:{p:int} #p x):{p:int} int
{} {p = 3, q = 4}:{p:int}
(app)
{} (fn x:{p:int} #p x){p = 3, q = 4}:int
where () is {p:int, q:int}

<: {p:int}

Now, we define the subtype relation.

The Subtype Relation
(s-refl)

T <: T

T <: T

Slide 178
(s-trans)

T <: T
T <: T
T <: T

Subtyping Records
Forgetting fields on the right:

{lab 1 :T1 , .., lab k :Tk , lab k+1 :Tk+1 , .., lab k+k :Tk+k }
<:

Slide 179

(s-record-width)

{lab 1 :T1 , .., lab k :Tk }

Allowing subtyping within fields:
(s-record-depth)
Combining these:

T1 <: T1 .. Tk <: Tk
{lab 1 :T1 , .., lab k :Tk } <: {lab 1 :T1 , .., lab k :Tk }

{p:int, q:int} <: {p:int}

(s-record-width)

{r:int} <: {}

{x:{p:int, q:int}, y:{r:int}} <: {x:{p:int}, y:{}}

83

(s-record-width)
(s-record-depth)

Another example:
(s-rec-w)
{p:int, q:int} <: {p:int}
(s-rec-w)
(s-rec-d)
{x:{p:int, q:int}, y:{r:int}} <: {x:{p:int, q:int}}
{x:{p:int, q:int}} <: {x:{p:int}}
(s-trans)
{x:{p:int, q:int}, y:{r:int}} <: {x:{p:int}}

Allowing reordering of fields:

(s-record-order)

Slide 180

a permutation of 1, .., k
{lab 1 :T1 , .., lab k :Tk } <: {lab (1) :T(1) , .., lab (k) :T(k) }
(the subtype order is not anti-symmetric it is a preorder, not a partial
order)
Subtyping Functions
(s-fn)

Slide 181

T1 <: T1
T2 <: T2
T1 T2 <: T1 T2

contravariant on the left of

covariant on the right of (like (s-record-depth))

T2 then we can give f any argument which is a subtype of

T1 ; we can regard the result of f as any supertype of T2 . e.g., for
If f :T1

f = fn x:{p:int} {p = #p x, q = 28}
we have

{} f :{p:int} {p:int, q:int}

Slide 182

{} f :{p:int} {p:int}

{} f :{p:int, q:int} {p:int, q:int}

{} f :{p:int, q:int} {p:int}

as

{p:int, q:int} <: {p:int}

On the other hand, for
fn

Slide 183

x:{p:int, q:int} {p = (#p x) + (#q x)}

we have

{} f :{p:int, q:int} {p:int}

{} 6 f :{p:int} T for any T

{} 6 f :T {p:int, q:int} for any T

84

Subtyping Products
Just like (s-record-depth)
(s-pair)

Slide 184

T1 <: T1 T2 <: T2
T1 T2 <: T1 T2
Subtyping Sums

Exercise.
Subtyping References
Are either of these any good?

Slide 185

T <: T
T ref <: T ref

T <: T
T ref <: T ref
No...

Semantics
No change (note that weve not changed the expression grammar).
Properties

Slide 186

Have Type Preservation and Progress.

Implementation
Type inference is more subtle, as the rules are no longer syntax-directed.
Getting a good runtime implementation is also tricky, especially with field
re-ordering.
Subtyping Down-casts
The subsumption rule (sub) permits up-casting at any point. How about
down-casting? We could add

e ::= ... | (T )e
with typing rule

e:T
(T )e:T

Slide 187

then you need a dynamic type-check...

This gives flexibility, but at the cost of many potential run-time errors.
Many uses might be better handled by Parametric Polymorphism, aka
Generics. (cf. work by Martin Odersky at EPFL, Lausanne, now in Java
1.5)

The following development is taken from [Pierce, Chapter 18], where you can find more
details (including a treatment of self and a direct semantics for a featherweight fragment
of Java).

85

(Very Simple) Objects

let val

c:{get:unit int, inc:unit unit} =

let val

x:int ref = ref 0 in

{get = fn y:unit !x,

inc = fn y:unit x := 1+!x}

Slide 188

end
in

(#inc c)(); (#get c)()

end

Counter = {get:unit int, inc:unit unit}.

Using Subtyping
let val

c:{get:unit int, inc:unit unit, reset:unit unit} =

let val

x:int ref = ref 0 in

{get = fn y:unit !x,

inc = fn y:unit x := 1+!x,

reset = fn y:unit x := 0}

Slide 189

end
in

(#inc c)(); (#get c)()

end
ResetCounter = {get:unit int, inc:unit unit, reset:unit unit}
<: Counter = {get:unit int, inc:unit unit}.

Object Generators
let val
fn

newCounter:unit {get:unit int, inc:unit unit} =

y:unit
let val

x:int ref = ref 0 in

{get = fn y:unit !x,

inc = fn y:unit x := 1+!x}

Slide 190

end
in

(#inc (newCounter ())) ()

end
and onwards to simple classes...

86

Reusing Method Code (Simple Classes)

Recall Counter

= {get:unit int, inc:unit unit}.

First, make the internal state into a record.

CounterRep = {p:int ref}.

let val
fn

counterClass:CounterRep Counter =

x:CounterRep

{get = fn y:unit !(#p x),

Slide 191

inc = fn y:unit (#p x) := 1+!(#p x)}

let val
fn

newCounter:unit Counter =

y:unit
let val

x:CounterRep = {p = ref 0} in

counterClass x

Reusing Method Code (Simple Classes)

let val
fn

resetCounterClass:CounterRep ResetCounter =

x:CounterRep
let val

super = counterClass x in

{get = #get super,

Slide 192

inc = #inc super,

reset = fn y:unit (#p x) := 0}

CounterRep = {p:int ref}.

Counter = {get:unit int, inc:unit unit}.

ResetCounter = {get:unit int, inc:unit unit, reset:unit

unit}.
Reusing Method Code (Simple Classes)

class Counter
{ protected int p;
Counter() { this.p=0; }
int get () { return this.p; }
Slide 193

void inc () { this.p++ ; }

};
class ResetCounter
extends Counter
{ void reset () {this.p=0;}
};

87

Subtyping Structural vs Named

A
A

= {} with {p:int}

= A with {q:bool}

A = A with {r:int}

Slide 194

{}
{p:int}

Object (ish!)

{p:int, q:bool}

6.1

{p:int, r:int}

q A

qqq
q
q
q

Exercises

Exercise 31 For each of the following, either give a type derivation or explain why it is
untypable.
1. {} {p = {p = {p = {p = 3}}}}:{p:{}}
2. {} fn x:{p:bool, q:{p:int, q:bool}} #q #p x : ?
3. {} fn f:{p:int} int (f {q = 3}) + (f {p = 4}) : ?
4. {} fn f:{p:int} int (f {q = 3, p = 2}) + (f {p = 4}) : ?
Exercise 32 For each of the two bogus T ref subtype rules on Slide 185, give an example
program that is typable with that rule but gets stuck at runtime.
Exercise 33 What should the subtype rules for sums T + T be?
Exercise 34 ...and for let and let rec ?
Exercise 35 Prove a Progress Theorem for L3 with subtyping.

88

Concurrency

Slide 195

Concurrency

Our focus so far has been on semantics for sequential computation. But
the world is not sequential...

hardware is intrinsically parallel (fine-grain, across words, to

Slide 196

coarse-grain, e.g. multiple execution units)

multi-processor machines
multi-threading (perhaps on a single processor)
networked machines
Problems

the state-spaces of our systems become large, with the combinatorial

explosion with n threads, each of which can be in 2 states, the
system has 2n states.
Slide 197

the state-spaces become complex

computation becomes nondeterministic (unless synchrony is
imposed), as different threads operate at different speeds.

parallel components competing for access to resources may deadlock

or suffer starvation. Need mutual exclusion between components
accessing a resource.
More Problems!

partial failure (of some processes, of some machines in a network, of

some persistent storage devices). Need transactional mechanisms.

communication between different environments (with different local

Slide 198

resources (e.g. different local stores, or libraries, or...)

partial version change

communication between administrative regions with partial trust (or,
indeed, no trust); protection against mailicious attack.

dealing with contingent complexity (embedded historical accidents;

upwards-compatible deltas)

89

Theme: as for sequential languages, but much more so, its a complicated
world.
Aim of this lecture: just to give you a taste of how a little semantics can
be used to express some of the fine distinctions. Primarily (1) to boost

Slide 199

your intuition for informal reasoning, but also (2) this can support rigorous
proof about really hairy crypto protocols, cache-coherency protocols,
comms, database transactions,....
Going to define the simplest possible concurrent language, call it L1 , and
explore a few issues. Youve seen most of them informally in C&DS.

B = {true, false}
Z = {..., 1, 0, 1, ...}
Locations L = {l , l0 , l1 , l2 , ...}
Booleans b
Integers n

Operations

op ::= + |

Expressions

Slide 200

e ::= n | b | e1 op e2 | if e1 then e2 else e3 |

:= e |! |
skip

| e1 ; e2 |

while

e1 e2
T

e1 do e2 |

::= int | bool | unit | proc

Tloc ::= intref

Parallel Composition: Typing and Reduction

(thread)

(parallel)

Slide 201

e:unit
e:proc
e1 :proc
e2 :proc
e1 e2 :proc

(parallel1)

(parallel2)

he1 , si he1 , s i
he1 e2 , si he1 e2 , s i
he2 , si he2 , s i
he1 e2 , si he1 e2 , s i

Parallel Composition: Design Choices

threads dont return a value

Slide 202

threads dont have an identity

termination of a thread cannot be observed within the language
threads arent partitioned into processes or machines
threads cant be killed externally

90

Threads execute asynchronously the semantics allows any interleaving

of the reductions of the threads.
All threads can read and write the shared memory.

Slide 203

h() l := 2, {l 7 1}i

/ h() (), {l 7 2}i

hl := 1 l := 2, {l 7 0}i

hl := 1 (), {l 7 2}i

/ h() (), {l 7 1}i

NB from here on, we are using () instead of skip thats the ML syntax.
But, assignments and dereferencing are atomic. For example,

hl := 3498734590879238429384 | l := 7, {l 7 0}i
will reduce to a state with l either 3498734590879238429384 or 7, not

Slide 204

something with the first word of one and the second word of the other.
Implement?
But but, in (l

:= e) e , the steps of evaluating e and e can be

interleaved.
Think of (l

:= 1+!l ) (l := 7+!l ) there are races....

91

h(l := 1+!l)

92

/ h()

(), {l 7 8}i

/ h()

(), {l 7 7}i

/ h()

(), {l 7 1}i

/ h()

(), {l 7 8}i

The behaviour of (l := 1+!l ) (l := 7+!l ) for the initial store {l 7 0}:

+
r
/
/
5

h() (l := 7 + 0), {l 7 1}i

h(l := 1) (l := 7+!l), {l 7 0}i

7
r

+
+
w

)
)

h(l := 1) (l := 7 + 0), {l 7 0}i

h() (l := 7), {l 7 1}i
h(l := 1 + 0) (l := 7+!l), {l 7 0}i

7
5
5

+
+

r
r
w

'

)
(l := 7+!l), {l 7 0}i
h(l := 1) (l := 7), {l 7 0}i
h(l := 1 + 0) (l := 7 + 0), {l 7 0}i
7
5

r
w

)
'
h(l := 1 + 0) (l := 7), {l 7 0}i
hl := 1 (), {l 7 7}i
h(l := 1+!l) (l := 7 + 0), {l 7 0}i
5

+
r

w
+

'
)

hl := 1 + 0 (), {l 7 7}i
h(l := 1+!l) (l := 7), {l 7 0}i

)
+
r
/
/
hl := 1+!l (), {l 7 7}i

h() (l := 7+!l), {l 7 1}i

Note that the labels +, w and r in the picture are just informal hints as to how those
transitions were derived they are not actually part of the reduction relation.
Some of the nondeterministic choices dont matter, as you can get back to the same state.
Others do...
Morals

There is a combinatorial explosion.

Slide 205

Drawing state-space diagrams only works for really tiny examples we

need better techniques for analysis.

Almost certainly you (as the programmer) didnt want all those 3
outcomes to be possible need better idioms or constructs for
programming.
So, how do we get anything coherent done?
Need some way(s) to synchronize between threads, so can enforce
mutual exclusion for shared data.
cf. Lamports Bakery algorithm from Concurrent and Distributed

Slide 206

Systems. Can you code that in L1 ? If not, whats the smallest extension
required?
Usually, though, you can depend on built-in support from the scheduler,
e.g. for mutexes and condition variables (or, at a lower level, tas or

cas).

See this in the library for a good discussion of mutexes and condition variables: A. Birrell,
J. Guttag, J. Horning, and R. Levin. Thread synchronization: a Formal Specification. In G.
Nelson, editor, System Programming with Modula-3, chapter 5, pages 119-129. PrenticeHall, 1991.
See N. Lynch. Distributed Algorithms for other mutual exclusion algorithms (and much else
besides).
Consider simple mutexes, with commands to lock an unlocked mutex and to unlock a locked
mutex (and do nothing for an unlock of an unlocked mutex).
Adding Primitive Mutexes
Mutex names m

M = {m, m1 , ...}

Configurations he, s, M i where M :M

Expressions e ::= ...

Slide 207

(lock)

(lock)

B is the mutex state

| lock m | unlock m

lock m:unit

(unlock)

unlock m:unit

hlock m, s, M i h(), s, M + {m 7 true}i if M (m)

(unlock)

hunlock m, s, M i h(), s, M + {m 7 false}i

Note that (lock) atomically (a) checks the mutex is currently false, (b) changes its state,
and (c) lets the thread proceed.
Also, there is no record of which thread is holding a locked mutex.

93

Need to adapt all the other semantic rules to carry the mutex state M
around. For example, replace
(op2)

Slide 208

he2 , si he2 , s i
hv op e2 , si hv op e2 , s i

by
(op2)

he2 , s, M i he2 , s , M i
hv op e2 , s, M i hv op e2 , s , M i
Using a Mutex

Consider

e = (lock m; l := 1+!l ; unlock m) (lock m; l := 7+!l ; unlock m)

The behaviour of he, s, M i, with the initial store s
mutex state M0

= m M.false, is:

= {l 7 0} and initial

Slide 209 h(l := 1+!l ; unlock m) (lock m; l := 7+!l ; unlock m), s, M i

PPP
rr8
PPP
lock m rr
PPP
r
r
r
PPP
r
rr
(
h() (), {l 7 8}, M i
he, s, M0 i

lock
m

&

h(lock m; l := 1+!l ; unlock m) (l := 7+!l ; unlock m), s, M i

(where M

= M0 + {m 7 true})

In all the intervening states (until the first unlock ) the second lock cant proceed.
Look back to behaviour of the program without mutexes. Weve essentially cut down to the
top and bottom paths (and also added some extra reductions for lock , unlock , and ;).
In this example, l := 1+!l and l := 7+!l commute, so we end up in the same final state
whichever got the lock first. In general, that wont be the case.
Using Several Mutexes
lock

m can block (thats the point). Hence, you can deadlock.

Slide 210

e=

(lock m1 ; lock m2 ; l1 :=!l2 ; unlock m1 ; unlock m2 )

(lock m2 ; lock m1 ; l2 :=!l1 ; unlock m1 ; unlock m2 )

Locking Disciplines
So, suppose we have several programs e1 , ..., ek , all well-typed with

Slide 211

ei :unit, that we want to execute concurrently without interference

(whatever that is). Think of them as transaction bodies.

There are many possible locking disciplines. Well focus on one, to see
how it and the properties it guarantees can be made precise and
proved.

94

An Ordered 2PL Discipline, Informally

Fix an association between locations and mutexes. For simplicity, make it
1:1 associate l with m, l1 with m1 , etc.
Fix a lock acquisition order. For simplicity, make it m, m0 , m1 , m2 , ....
Require that each ei

Slide 212

acquires the lock mj for each location lj it uses, before it uses it

acquires and releases each lock in a properly-bracketed way
does not acquire any lock after its released any lock (two-phase)
acquires locks in increasing order
Then, informally, (e1

... ek ) should (a) never deadlock, and (b) be

serializable any execution of it should be equivalent to an execution of

e(1) ; ...; e(k) for some permutation .

These are semantic properties again. In general, it wont be computable whether they hold.
For simple ei , though, its often obvious. Further, one can construct syntactic disciplines
that are checkable and are sufficient to guarantee these.
Problem: Need a Thread-Local Semantics
Our existing semantics defines the behaviour only of global configurations

he, s, M i. To state properties of subexpressions, e.g.

Slide 213

ei acquires the lock mj for each location lj it uses, before it uses it

which really means

in any execution of h(e1 ... ei ... ek ), s, M i, ei acquires the lock

mj for each location lj it uses, before it uses it
we need some notion of the behaviour of the thread ei on its own
Solution: Thread local semantics
Instead of only defining the global he, s, M i
(assign1)

(parallel1)

h := n, s, M i hskip, s + { 7 n}, M i
he1 , s, M i
he1 e2 , s, M i

if

he1 , s , M i
he1 e2 , s , M i

e and use that to define

he, s, M i he , s , M i, with rules like
define a per-thread e

Slide 214

he , s , M i, with rules

(t-assign1)

:=n

:= n skip
a

(t-parallel1)

e1 e1
a

e1 e2 e1 e2
:=n

(c-assign)

e e dom(s)
he, s, M i he , s + { 7 n}, M i

95

dom(s)

Note the per-thread rules dont mention s or M . Instead, we record in the

label a what interactions with the store or mutexes it has.

a ::= | := n |! = n | lock m | unlock m

Slide 215
Conventionally, (tau), stands for no interactions, so e
an internal step, not involving the store or mutexes.

e if e does

Theorem 24 (Coincidence of global and thread-local semantics) The

two definitions of agree exactly.
Proof strategy: a couple of rule inductions.

The full thread local semantics are on the next page.

Example of Thread-local transitions
For e

= (lock m; (l := 1+!l ; unlock m)) we have

e

lock

(l := 1 + n; unlock m)

(l := n ; unlock m)

l:=n

skip; unlock

unlock

:= 1+!l ; unlock m)

(l := 1+!l ; unlock m)

!l=n

Slide 216

skip; (l

unlock
m

for any n
for n

=1+n

skip

Hence, using (t-parallel) and the (c-*) rules, for s

= s + {l 7 1 + s(l )},
he e , s, M0 i hskip e , s , M0 i

(need l dom(s) also)

One often uses similar labelled transitions in defining communication between threads (or
machines), and also in working with observational equivalences for concurrent languages (cf.
bisimulation) to come in Topics in Concurrency.

96

Global Semantics

Thread-Local Semantics

if n = n1 + n2

if b = (n1 n2 )

(op +)

hn1 + n2 , s, M i hn, s, M i

if n = n1 + n2

(t-op +)

n1 + n2 n

(op )

hn1 n2 , s, M i hb, s, M i

if b = (n1 n2 )

(t-op )

n1 n2 b

he1 , s, M i he1 , s , M i

(op1)

he1 op e2 , s, M i

he1

e1 e1

(t-op1)

op e2 , s , M i

e1 op e2 e1 op e2

he2 , s, M i he2 , s , M i

(op2)

hv op e2 , s, M i hv op

(deref)

h!, s, M i hn, s, M i

(assign1)

(seq1)

if dom(s) and s() = n

e2 e2

(t-op2)

h := n, s, M i hskip, s + { 7 n}, M i

(assign2)

e2 , s , M i

v op e2 v op e2
!=n

(t-deref)

if dom(s)

! n
:= n skip

(t-assign2)

e e
a
:= e := e

he, s, M i he , s , M i

h := e, s, M i h := e , s , M i

hskip; e2 , s, M i he2 , s, M i

skip; e2 e2

(t-seq1)

he1 , s, M i he1 , s , M i

(seq2)

he1 ; e2 , s, M i

:=n

(t-assign1)

e1 e1

(t-seq2)

he1 ; e2 , s , M i

e1 ; e2 e1 ; e2

(if1)

hif true then e2 else e3 , s, M i he2 , s, M i

(t-if1)

if true then e2 else e3 e2

(if2)

hif false then e2 else e3 , s, M i he3 , s, M i

(t-if2)

if false then e2 else e3 e3

(if3)

he1 , s, M i he1 , s , M i
hif e1 then e2 else e3 , s, M i hif

e1

then e2 else e3 , s , M i

e1 e1

(t-if3)

if e1 then e2 else e3 if e1 then e2 else e3

(while)
(t-while)

hwhile e1 do e2 , s, M i hif e1 then (e2 ; while e1 do e2 ) else skip, i

while e1 do e2 if e1 then (e2 ; while e1 do e2 ) else skip

(parallel1)

(parallel2)

(lock)

he1 , s, M i he1 , s , M i

(t-parallel1)

he1 e2 , s, M i he1 e2 , s , M i

(t-parallel2)

he1 e2 , s , M i

hlock m, s, M i h(), s, M + {m 7 true}i if M (m)

(unlock)

e1 e2 e1 e2
a

he2 , s, M i he2 , s , M i
he1 e2 , s, M i

e1 e1

(t-lock)

hunlock m, s, M i h(), s, M + {m 7 false}i

e2 e2
a

e1 e2 e1 e2
lock m

lock m ()

(t-unlock)

unlock m

unlock m

()

(c-tau)

e e
he, s, M i he , s, M i
:=n

(c-assign)

e e

he, s, M i he , s + { 7 n}, M i
!=n

(c-deref)

dom(s)

e e

dom(s) s() = n

he, s, M i he , s, M i

97

lock m

(c-lock)

e e

M (m)

he, s, M i he , s, M + {m 7 true}i
unlock m

(c-unlock)

e e
he, s, M i he , s, M + {m 7 false}i

Now can make the Ordered 2PL Discipline precise

Say e obeys the discipline if for any (finite or infinite)
a

1
2
3
e
e1
e2
...

if ai is (lj := n) or (!lj = n) then for some k < i we have

ak = lock mj without an intervening unlock mj .
Slide 217

for each j , the subsequence of a1 , a2 , ... with labels lock mj and

unlock mj is a prefix of ((lock mj )(unlock mj )) . Moreover, if
a
(ek ) then the subsequence does not end in a lock mj .
if ai = lock mj and ai = unlock mj then i < i
if ai = lock mj and ai = lock mj and i < i then j < j
... and make the guaranteed properties precise
Say e1 , ..., ek are serializable if for any initial store s , if

Slide 218

h(e1 ... ek ), s, M0 i he , s , M i 6 then for some permutation

we have he(1) ; ...; e(k) , s, M0 i he , s , M i.
Say they are deadlock-free if for any initial store s , if
lock m
h(e1 ... ek ), s, M0 i he , s , M i 6 then not e e ,
i.e.e does not contain any blocked lock m subexpressions.
(Warning: there are many subtle variations of these properties!)
The Theorem
Conjecture 25 If each ei obeys the discipline, then e1 , ...ek are
serializable and deadlock-free.
(may be false!)
Proof strategy: Consider a (derivation of a) computation

Slide 219

h(e1 ... ek ), s, M0 i h
e1 , s1 , M1 i h
e2 , s2 , M2 i ...
We know each e
i is a corresponding parallel composition. Look at the
points at which each ei acquires its final lock. That defines a serialization
order. In between times, consider commutativity of actions of the different

ei the premises guarantee that many actions are semantically

independent, and so can be permuted.

Slide 220

Weve not discussed fairness the semantics allows any interleaving

between parallel components, not only fair ones.
Language Properties
(Obviously!) dont have Determinacy.
Still have Type Preservation.

Slide 221

Have Progress, but it has to be modified a well-typed expression of type

proc will reduce to some parallel composition of unit values.

Typing and type inference is scarcely changed.
(very fancy type systems can be used to enforce locking disciplines)

98

7.1

Exercises

Exercise 36 Are the mutexes specified here similar to those described in C&DS?
Exercise 37 Can you show all the conditions for O2PL are necessary, by giving for
each an example that satisfies all the others and either is not serialisable or deadlocks?
Exercise 38 Prove the Conjecture about it.
Exercise 39 Write a semantics for an extension of L1 with threads that are more
like Unix threads (e.g. with thread ids, fork, etc..). Include some of the various ways Unix
threads can exchange information.

99

Semantic Equivalence

Semantic Equivalence

Slide 222

2+2 4

In what sense are these two expressions the same?

They have different abstract syntax trees.

Slide 223

They have different reduction sequences.

But, youd hope that in any program you could replace one by the other
without affecting the result....

2+2

esin(x) dx =
0

esin(x) dx
0

:= 0; 4) (l := 1; 3+!l )

How about (l

They will produce the same result (in any store), but you cannot replace
one by the other in an arbitrary program context. For example:

C [ ] = +!l
Slide 224

C [l := 0; 4] =

(l := 0; 4)+!l
6

C [l := 1; 3+!l ] = (l := 1; 3+!l )+!l

On the other hand, consider
?

(l :=!l + 1); (l :=!l 1) (l :=!l )

Those were all particular expressions may want to know that some
general laws are valid for all e1 , e2 , .... How about these:
?

Slide 225

e1 ; (e2 ; e3 ) (e1 ; e2 ); e3

(if e1 then e2 else e3 ); e if e1 then e2 ; e else e3 ; e

?

e; (if e1 then e2 else e3 ) if e1 then e; e2 else e; e3

?

e; (if e1 then e2 else e3 ) if e; e1 then e2 else e3

let val

Slide 226

let val

x = ref 0 in fn y:int (x :=!x + y); !x

x = ref 0 in fn y:int (x :=!x y); (0!x)

100

Temporarily extend L3 with pointer equality

op ::= ... |=
e1 :T ref

Slide 227
(op =)

(op =)

e2 :T ref

e1 = e2 :bool
h = , si hb, si

if b

= ( = )

f = let val x = ref 0 in

let val
fn

y = ref 0 in

z:int ref if z = x then y else x

end end

Slide 228

g = let val x = ref 0 in

let val
fn

y = ref 0 in

z:int ref if z = y then y else x

end end

f g

The last two examples are taken from A.M. Pitts, Operational Semantics and Program
Equivalence. In: G. Barthe, P. Dybjer and J. Saraiva (Eds), Applied Semantics. Lecture
Notes in Computer Science, Tutorial, Volume 2395 (Springer-Verlag, 2002), pages 378-412.
http://www.cl.cam.ac.uk/~amp12/papers/opespe/opespe-lncs.pdf
With a good notion of semantic equivalence, we might:
1. understand what a program is
2. prove that some particular expression (say an efficient algorithm) is
equivalent to another (say a clear specification)

Slide 229
3. prove the soundness of general laws for equational reasoning about
programs
4. prove some compiler optimizations are sound (source/IL/TAL)
5. understand the differences between languages

101

What does it mean for to be good?

1. programs that result in observably-different values (in some initial
store) must not be equivalent

( s, s1 , s2 , v1 , v2 .he1 , si hv1 , s1 i he2 , si hv2 , s2 i

v1 6= v2 ) e1 6 e2
Slide 230

2. programs that terminate must not be equivalent to programs that dont

3.

must be an equivalence relation

e e,

4.

e1 e2 e3 = e1 e3

must be a congruence

if e1
5.

e1 e2 e2 e1 ,

e2 then for any context C we must have C [e1 ] C [e2 ]

should relate as many programs as possible subject to the above.

Semantic Equivalence for L1

Consider Typed L1 again.

T e2 to hold iff forall s such that dom() dom(s), we

have e1 :T , e2 :T , and either

Define e1

Slide 231

(a)

he1 , si and he2 , si , or

(b) for some v , s we have he1 , si

he2 , si hv , s i.

hv , s i and

In this definition, part (b), we require that e1 and e2 result in the same value and moreover
the same store. This is because, if we were to equate two programs e1 and e2 that result
in different stores say s1 (l )6= s2 (l ) then we could distinguish them using the following
contexts, and the semantic equivalence would not be a congruence.

Slide 232

If T

= unit then C = ; !l .

If T

= bool then C = if

If T

= int then C = l1 := ; !l .

then !l else !l .

Congruence for Typed L1

The L1 contexts are:

op e2 | e1 op

C ::=
if
if

then

e2 else e3 | if e1 then

e1 then e2 else

:= |

Slide 233

; e2 | e1 ; |

while

do

for all C and T , if

C [e1 ] T C [e2 ].

e3 |

e2 | while e1 do

Say T
has the congruence property if whenever e1

else

T e2 we have,

C [e1 ]:T and C [e2 ]:T then

102

Theorem 26 (Congruence for L1)

T has the congruence property.

Proof Outline By case analysis, looking at each L1 context C in turn.

For each C (and for arbitrary e and s ), consider the possible reduction
sequences

Slide 234

hC [e], si he1 , s1 i he2 , s2 i ...

For each such reduction sequence, deduce what behaviour of e was
involved

he, si h
e1 , s1 i ...
Using e

T e find a similar reduction sequence of e .

Using the reduction rules construct a sequence of C [e ].

Theorem 26 (Congruence for L1) T has the congruence property.

Proof By case analysis, looking at each L1 context in turn. We give only one case here,
leaving the others for the reader.
Case C = ( := ). Suppose e T e , := e:T and := e :T . By
examining the typing rules we have T = int and T = unit.

To show := e T := e we have to show

for all s such that dom() dom(s),
then := e:T ( ), := e :T ( ), and either
1. h := e, si and h := e , si , or

2. for some v , s we have h := e, si hv , s i and h := e , si hv , s i.

Consider the possible reduction sequences of a state h := e, si. Recall that (by
examining the reduction rules), if h := e, si he1 , s1 i then either that is an
instance of (assign1), with n.e = n dom(s) e1 = skip s = s + { 7 n},
or it is an instance of (assign2), with e1 .he, si h
e1 , s1 i e1 = ( := e1 ). We
know also that hskip, si does not reduce.
Now (using Determinacy), for any e and s we have either
Case: h := e, si , i.e.
h := e, si he1 , s1 i he2 , s2 i ...
hence all these must be instances of (assign2), with
he, si h
e1 , s1 i h
e2 , s2 i ...
and e1 = ( := e1 ), e2 = ( := e2 ),...
Case: (h := e, si ), i.e.
h := e, si he1 , s1 i he2 , s2 i... hek , sk i 6
hence all these must be instances of (assign2) except the last, which must be
an instance of (assign1), with
he, si h
e1 , s1 i h
e2 , s2 i ... h
ek1 , sk1 i
and e1 = ( := e1 ), e2 = ( := e2 ),..., ek1 = ( := ek1 ) and for some n we
have ek1 = n, ek = skip, and sk = sk1 + { 7 n}.
(the other possibility, of zero or more (assign1) reductions ending in a stuck
state, is excluded by Theorems 2 and 3 (type preservation and progress))
Now, if h := e, si , by the above there is an infinite reduction sequence for
he, si, so by e T e there is an infinite reduction sequence of he , si, so (using
(assign2)) there is an infinite reduction sequence of h := e , si.

103

On the other hand, if (h := e, si ) then by the above there is some n and

sk1 such that he, si hn, sk1 i and h := e, si hskip, sk1 + { 7 n}i.
By e T e we have he , si hn, sk1 i. Then using (assign1) h := e , si
h := n, sk1 i hskip, sk1 + { 7 n} = hek , sk i as required.

Back to the Examples

T e2 iff for all s such that dom() dom(s), we have

e1 :T , e2 :T , and either
We defined e1

1.

Slide 235

he1 , si and he2 , si , or

2. for some v , s we have he1 , si

hv , s i and

he2 , si hv , s i.

So:

2 + 2 int
4 for any

(l := 0; 4) 6int
(l := 1; 3+!l ) for any

(l :=!l + 1); (l :=!l 1) unit

(l :=!l ) for any including l :intref

And the general laws?

Conjecture 27 e1 ; (e2 ; e3 ) T
(e1 ; e2 ); e3 for any , T , e1 , e2 and e3
such that e1 :unit, e2 :unit, and e3 :T
Conjecture 28

Slide 236

((if e1 then e2 else e3 ); e) T (if e1 then e2 ; e else e3 ; e) for

any , T , e , e1 , e2 and e3 such that e1 :bool, e2 :unit,
e3 :unit, and e:T
Conjecture 29

(e; (if e1 then e2 else e3 )) T (if e1 then e; e2 else e; e3 ) for

any , T , e , e1 , e2 and e3 such that e:unit, e1 :bool,
e2 :T , and e3 :T
e:T , e.g.
l :intref if !l 0 then skip else (skip; l := 0):unit:
Q: Is a typed expression

1. a list of tokens

[ IF, DEREF, LOC "l", GTEQ, ..];

2. an abstract syntax tree

if then else

!l

skip

skip

l :=
0

Slide 237

3. the function taking store s to the reduction sequence

he, si he1 , s1 i he2 , s2 i ...; or

4.

the equivalence class {e | e T e }

the partial function [[e]] that takes any store s with

dom(s) = dom() and either is undefined, if he, si , or is
hv , s i, if he, si hv , s i

(the Determinacy theorem tells us that this is a definition of a function).

Slide 238

Suppose

e1 :unit and e2 :unit.

When is e1 ; e2

unit
e2 ; e1 ?

A sufficient condition: they dont mention any locations (but not necessary... e.g. if e1 does
but e2 doesnt)
104

8.1

Contextual equivalence

The definition of semantic equivalence works fine for L1. However, when we come to L2 and
L3, the simple notion does not give a congruence.
Here is a basic definition of an equivalence for L3.
Contextual equivalence for L3

e1 :T and e2 :T .
We say that they are contextually equivalent if, for every context C such
that {} C [e1 ]:unit and {} C [e2 ]:unit, we have either

Definition 30 Consider typed L3 programs,

Slide 239

(a)

hC [e1 ], {}i and hC [e2 ], {}i , or

(b) for some s1 and s2 we have hC [e1 ], {}i

hC [e2 ], {}i hskip, s2 i.

hskip, s1 i and

Notice that contextual equivalence is a congruence by definition.

Contextual equivalence is undecidable in general. An important research topic is finding
techniques for proving contextual equivalence.

8.2

Exercises

Exercise 40 Prove some of the other cases of the Congruence theorem for semantic
equivalence in L1.
Exercise 41 Prove that if 1 e1 :unit and 2 e2 :unit in L1, and 1 is disjoint from
2 , then e1 ; e2 unit
e2 ; e1 where = 1 2

Exercise 42 Prove that the programs l :int ref l := 0:unit and l :int ref l := 1:unit,
considered as L3 programs, are not contextually equivalent. Hint: find a context that will
diverge for one of them, but not for the other.

Epilogue

Epilogue

Slide 240

Lecture Feedback

Slide 241

Please do fill in the lecture feedback form we need to know how the
course could be improved / what should stay the same.
Good language design?
Need:

Slide 242

precise definition of what the language is (so can communicate among

the designers)

technical properties (determinacy, decidability of type checking, etc.)

pragmatic properties (usability in-the-large, implementability)

105

What can you use semantics for?

1. to understand a particular language what you can depend on as a
programmer; what you must provide as a compiler writer
2. as a tool for language design:

Slide 243

(a) for expressing design choices, understanding language features

and how they interact.
(b) for proving properties of a language, eg type safety, decidability of
type inference.
3. as a foundation for proving properties of particular programs

106

107

Interpreter and type checker for L1 (ML)

Here is an interpreter and type checker for L1. You can download the source code from the
course website.
(* 2002-11-08 -- Time-stamp: <2006-10-25 09:22:33 pes20>
(* Peter Sewell

-*-SML-*- *)
*)

(* This file contains an interpreter, pretty-printer and type-checker

for the language L1. To make it go, copy it into a working
directory, ensure Moscow ML is available, and type
mosml -P full l1.ml
That will give you a MoscowML top level in which these definitions
are present. You can then type
doit ();
to show the reduction sequence of < l1:=3;!l1 , {l1=0 } >, and
doit2 ();
to run the type-checker on the same simple example; you can try
other examples analogously. This file doesnt have a parser for
l1, so youll have to enter the abstract syntax directly, eg
prettyreduce (Seq( Assign ("l1",Integer 3), Deref "l1"), [("l1",0)]);
This has been tested with Moscow ML version 2.00 (June 2000), but
should work with any other implementation of Standard ML.
*)

(* *********************)
(* the abstract syntax *)
(* *********************)
type loc = string
datatype oper = Plus | GTEQ
datatype expr =
Integer of int
| Boolean of bool
| Op of expr * oper * expr
| If of expr * expr * expr
| Assign of loc * expr
| Deref of loc
| Skip
| Seq of expr * expr
| While of expr * expr

(* **********************************)
(* an interpreter for the semantics *)
(* **********************************)
fun
|
|
|

is_value
is_value
is_value
is_value

(Integer n) = true
(Boolean b) = true
(Skip) = true
_ = false

108

(* In the semantics, a store is a finite partial function from

locations to integers. In the implementation, we represent a store
as a list of loc*int pairs containing, for each l in the domain of
the store, exactly one element of the form (l,n). The operations
lookup : store * loc
-> int option
update : store * (loc * int) -> store option
both return NONE if given a location that is not in the domain of
the store. This is not a very efficient implementation, but it is
simple. *)
type store = (loc * int) list
fun lookup ( [], l ) = NONE
| lookup ( (l,n)::pairs, l) =
if l=l then SOME n else lookup (pairs,l)
fun update front [] (l,n) = NONE
| update front ((l,n)::pairs) (l,n) =
if l=l then
SOME(front @ ((l,n)::pairs) )
else
update ((l,n)::front) pairs (l,n)
fun update (s, (l,n)) = update [] s (l,n)

(* now define the single-step function

reduce :

expr * store -> (expr * store) option

which takes a configuration (e,s) and returns either NONE, if it has

no transitions, or SOME (e,s), if it has a transition (e,s) -->
(e,s).
Note that the code depends on global properties of the semantics,
including the fact that it defines a deterministic transition
system, so the comments indicating that particular lines of code
implement particular semantic rules are not the whole story. *)
fun reduce (Integer n,s) = NONE
| reduce (Boolean b,s) = NONE
| reduce (Op (e1,opr,e2),s) =
(case (e1,opr,e2) of
(Integer n1, Plus, Integer n2) => SOME(Integer (n1+n2), s)
(*op + *)
| (Integer n1, GTEQ, Integer n2) => SOME(Boolean (n1 >= n2), s)(*op >=*)
| (e1,opr,e2) => (
if (is_value e1) then (
case reduce (e2,s) of
SOME (e2,s) => SOME (Op(e1,opr,e2),s)
(* (op2) *)
| NONE => NONE )
else (
case reduce (e1,s) of
SOME (e1,s) => SOME(Op(e1,opr,e2),s)
(* (op1) *)
| NONE => NONE ) ) )
| reduce (If (e1,e2,e3),s) =
(case e1 of
Boolean(true) => SOME(e2,s)
(* (if1) *)
| Boolean(false) => SOME(e3,s)
(* (if2) *)
| _ => (case reduce (e1,s) of
SOME(e1,s) => SOME(If(e1,e2,e3),s)
(* (if3) *)

109

| NONE => NONE ))

| reduce (Deref l,s) =
(case lookup (s,l) of
SOME n => SOME(Integer n,s)
(* (deref) *)
| NONE => NONE )
| reduce (Assign (l,e),s) =
(case e of
Integer n => (case update (s,(l,n)) of
SOME s => SOME(Skip, s)
(* (assign1) *)
| NONE => NONE)
| _ => (case reduce (e,s) of
SOME (e,s) => SOME(Assign (l,e), s)
(* (assign2) *)
| NONE => NONE ) )
| reduce (While (e1,e2),s) = SOME( If(e1,Seq(e2,While(e1,e2)),Skip),s) (* (while) *)
| reduce (Skip,s) = NONE
| reduce (Seq (e1,e2),s) =
(case e1 of
Skip => SOME(e2,s)
(* (seq1) *)
| _ => ( case reduce (e1,s) of
SOME (e1,s) => SOME(Seq (e1,e2), s)
(* (seq2) *)
| NONE => NONE ) )

(* now define the many-step evaluation function

evaluate :

expr * store -> (expr * store) option

which takes a configuration (e,s) and returns the unique (e,s)

such that
(e,s) -->* (e,s) -/->. *)
fun evaluate (e,s) = case reduce (e,s) of
NONE => (e,s)
| SOME (e,s) => evaluate (e,s)

(* **********************************)
(* typing
*)
(* **********************************)
(* types *)
datatype type_L1 =
int
| unit
| bool
datatype type_loc =
intref
type typeEnv = (loc*type_loc) list
(* in the semantics, type environments gamma are partial functions
from locations to the singleton set {intref}. Here, just as we did for
stores, we represent them as a list of loc*type_loc pairs containing,
for each l in the domain of the type environment, exactly one element
of the form (l,intref). *)

(* ****************)
(* type inference *)
(* ****************)

110

(* infertype : typeEnv -> expr -> type_L1 option *)

(* again, we depend on a uniqueness property, without which we would
have to have infertype return a type_L1 list of all the possible types *)
fun infertype gamma (Integer n) = SOME int
| infertype gamma (Boolean b) = SOME bool
| infertype gamma (Op (e1,opr,e2))
= (case (infertype gamma e1, opr, infertype gamma e2) of
(SOME int, Plus, SOME int) => SOME int
| (SOME int, GTEQ, SOME int) => SOME bool
| _ => NONE)
| infertype gamma (If (e1,e2,e3))
= (case (infertype gamma e1, infertype gamma e2, infertype gamma e3) of
(SOME bool, SOME t2, SOME t3) =>
(if t2=t3 then SOME t2 else NONE)
| _ => NONE)
| infertype gamma (Deref l)
= (case lookup (gamma,l) of
SOME intref => SOME int
| NONE => NONE)
| infertype gamma (Assign (l,e))
= (case (lookup (gamma,l), infertype gamma e) of
(SOME intref,SOME int) => SOME unit
| _ => NONE)
| infertype gamma (Skip) = SOME unit
| infertype gamma (Seq (e1,e2))
= (case (infertype gamma e1, infertype gamma e2) of
(SOME unit, SOME t2) => SOME t2
| _ => NONE )
| infertype gamma (While (e1,e2))
= (case (infertype gamma e1, infertype gamma e2) of
(SOME bool, SOME unit) => SOME unit
| _ => NONE )

111

Interpreter and type checker for L1 (Java)

Here is an interpreter and type checker for L1, written in Java by Matthew Parkinson.
Note the different code organization between the ML and Java versions: the ML has a
datatype with a constructor for each clause of the abstract syntax grammar, and reduce
and infertype function definitions that each have a case for each of those constructors; the
Java has a subclass of Expression for each clause of the abstract syntax, each of which
defines smallStep and typecheck methods.
public class L1 {
public static void main(String
Location l1 = new Location
Location l2 = new Location
Location l3 = new Location
State s1 = new State()
.add(l1,new Int(1))
.add(l2,new Int(5))
.add(l3,new Int(0));

[] args) {
("l1");
("l2");
("l3");

Environment env = new Environment()

.add(l1).add(l2).add(l3);
Expression e =
new Seq(new While(new GTeq(new Deref(l2),new Deref(l1)),
new Seq(new Assign(l3, new Plus(new Deref(l1),new Deref(l3))),
new Assign(l1,new Plus(new Deref(l1),new Int(1))))
),
new Deref(l3))
;
try{
//Type check
Type t= e.typeCheck(env);
System.out.println("Program has type: " + t);
//Evaluate program
System.out.println(e + "\n \n");
while(!(e instanceof Value) ){
e = e.smallStep(s1);
//Display each step of reduction
System.out.println(e + "\n \n");
}
//Give some output
System.out.println("Program has type: " + t);
System.out.println("Result has type: " + e.typeCheck(env));
System.out.println("Result: " + e);
System.out.println("Terminating State: " + s1);
} catch (TypeError te) {
System.out.println("Error:\n" + te);
System.out.println("From code:\n" + e);
} catch (CanNotReduce cnr) {
System.out.println("Caught Following exception" + cnr);
System.out.println("While trying to execute:\n " + e);
System.out.println("In state: \n " + s1);
}
}
}
class Location {
String name;

112

Location(String n) {
this.name = n;
}
public String toString() {return name;}
}
class State {
java.util.HashMap store = new java.util.HashMap();
//Used for setting the initial store for testing not used by
//semantics of L1
State add(Location l, Value v) {
store.put(l,v);
return this;
}
void update(Location l, Value v) throws CanNotReduce {
if(store.containsKey(l)) {
if(v instanceof Int) {
store.put(l,v);
}
else throw new CanNotReduce("Can only store integers");
}
else throw new CanNotReduce("Unknown location!");
}
Value lookup(Location l) throws CanNotReduce {
if(store.containsKey(l)) {
return (Int)store.get(l);
}
else throw new CanNotReduce("Unknown location!");
}
public String toString() {
String ret = "[";
java.util.Iterator iter = store.entrySet().iterator();
while(iter.hasNext()) {
java.util.Map.Entry e = (java.util.Map.Entry)iter.next();
ret += "(" + e.getKey() + " |-> " + e.getValue() + ")";
if(iter.hasNext()) ret +=", ";
}
return ret + "]";
}
}
class Environment {
java.util.HashSet env = new java.util.HashSet();
//Used to initially setup environment, not used by type checker.
Environment add(Location l) {
env.add(l); return this;
}
boolean contains(Location l) {
return env.contains(l);
}
}
class Type {
int type;
Type(int t) {type =
public static final
public static final
public static final

t;}
Type BOOL = new Type(1);
Type INT = new Type(2);
Type UNIT = new Type(3);

113

public String toString() {

switch(type) {
case 1: return "BOOL";
case 2: return "INT";
case 3: return "UNIT";
}
return "???";
}
}

abstract class Expression {

abstract Expression smallStep(State state) throws CanNotReduce;
abstract Type typeCheck(Environment env) throws TypeError;
}
abstract class Value extends Expression {
final Expression smallStep(State state) throws CanNotReduce{
throw new CanNotReduce("Im a value");
}
}
class CanNotReduce extends Exception{
CanNotReduce(String reason) {super(reason);}
}
class TypeError extends Exception { TypeError(String reason) {super(reason);}}
class Bool extends Value {
boolean value;
Bool(boolean b) {
value = b;
}
public String toString() {
return value ? "TRUE" : "FALSE";
}
Type typeCheck(Environment env) throws TypeError {
return Type.BOOL;
}
}
class Int extends Value {
int value;
Int(int i) {
value = i;
}
public String toString(){return ""+ value;}
Type typeCheck(Environment env) throws TypeError {
return Type.INT;
}
}
class Skip extends Value {
public String toString(){return "SKIP";}
Type typeCheck(Environment env) throws TypeError {
return Type.UNIT;
}
}

114

class Seq extends Expression {

Expression exp1,exp2;
Seq(Expression e1, Expression e2) {
exp1 = e1;
exp2 = e2;
}
Expression smallStep(State state) throws CanNotReduce {
if(exp1 instanceof Skip) {
return exp2;
} else {
return new Seq(exp1.smallStep(state),exp2);
}
}
public String toString() {return exp1 + "; " + exp2;}
Type typeCheck(Environment env) throws TypeError {
if(exp1.typeCheck(env) == Type.UNIT) {
return exp2.typeCheck(env);
}
else throw new TypeError("Not a unit before ;.");
}
}
class GTeq extends Expression {
Expression exp1, exp2;
GTeq(Expression e1,Expression e2) {
exp1 = e1;
exp2 = e2;
}
Expression smallStep(State state) throws CanNotReduce {
if(!( exp1 instanceof Value)) {
return new GTeq(exp1.smallStep(state),exp2);
} else if (!( exp2 instanceof Value)) {
return new GTeq(exp1, exp2.smallStep(state));
} else {
if( exp1 instanceof Int && exp2 instanceof Int ) {
return new Bool(((Int)exp1).value >= ((Int)exp2).value);
}
else throw new CanNotReduce("Operands are not both integers.");
}
}
public String toString(){return exp1 + " >= " + exp2;}
Type typeCheck(Environment env) throws TypeError {
if(exp1.typeCheck(env) == Type.INT && exp2.typeCheck(env) == Type.INT) {
return Type.BOOL;
}
else throw new TypeError("Arguments not both integers.");
}
}
class Plus extends Expression {
Expression exp1, exp2;
Plus(Expression e1,Expression e2) {
exp1 = e1;
exp2 = e2;
}
Expression smallStep(State state) throws CanNotReduce {

115

if(!( exp1 instanceof Value)) {

return new Plus(exp1.smallStep(state),exp2);
} else if (!( exp2 instanceof Value)) {
return new Plus(exp1, exp2.smallStep(state));
} else {
if( exp1 instanceof Int && exp2 instanceof Int ) {
return new Int(((Int)exp1).value + ((Int)exp2).value);
}
else throw new CanNotReduce("Operands are not both integers.");
}
}
public String toString(){return exp1 + " + " + exp2;}
Type typeCheck(Environment env) throws TypeError {
if(exp1.typeCheck(env) == Type.INT && exp2.typeCheck(env) == Type.INT) {
return Type.INT;
}
else throw new TypeError("Arguments not both integers.");
}
}

class IfThenElse extends Expression {

Expression exp1,exp2,exp3;
IfThenElse
exp1 =
exp2 =
exp3 =
}

(Expression e1, Expression e2,Expression e3) {

e1;
e2;
e3;

Expression smallStep(State state) throws CanNotReduce {

if(exp1 instanceof Value) {
if(exp1 instanceof Bool) {
if(((Bool)exp1).value)
return exp2;
else
return exp3;
}
else throw new CanNotReduce("Not a boolean in test.");
}
else {
return new IfThenElse(exp1.smallStep(state),exp2,exp3);
}
}
public String toString() {return "IF " + exp1 + " THEN " + exp2 + " ELSE " + exp3;}
Type typeCheck(Environment env) throws TypeError {
if(exp1.typeCheck(env) == Type.BOOL) {
Type t = exp2.typeCheck(env);
if(exp3.typeCheck(env) == t)
return t;
else throw new TypeError("If branchs not the same type.");
}
else throw new TypeError("If test is not bool.");
}
}
class Assign extends Expression {
Location l;
Expression exp1;

116

Assign(Location l, Expression exp1) {

this.l = l;
this.exp1 = exp1;
}
Expression smallStep(State state) throws CanNotReduce{
if(exp1 instanceof Value) {
state.update(l,(Value)exp1);
return new Skip();
}
else {
return new Assign(l,exp1.smallStep(state));
}
}
public String toString() {return l + " = " + exp1;}
Type typeCheck(Environment env) throws TypeError {
if(env.contains(l) && exp1.typeCheck(env) == Type.INT) {
return Type.UNIT;
}
else throw new TypeError("Invalid assignment");
}
}
class Deref extends Expression {
Location l;
Deref(Location l) {
this.l = l;
}
Expression smallStep(State state) throws CanNotReduce {
return state.lookup(l);
}
public String toString() {return "!" + l;}
Type typeCheck(Environment env) throws TypeError {
if(env.contains(l)) return Type.INT;
else throw new TypeError("Location not known about!");
}
}
class While extends Expression {
Expression exp1,exp2;
While(Expression e1, Expression e2) {
exp1 = e1;
exp2 = e2;
}
Expression smallStep(State state) throws CanNotReduce {
return new IfThenElse(exp1,new Seq(exp2, this), new Skip());
}
public String toString(){return "WHILE " + exp1 + " DO {" + exp2 +"}";}
Type typeCheck(Environment env) throws TypeError {
if(exp1.typeCheck(env) == Type.BOOL && exp2.typeCheck(env) == Type.UNIT)
return Type.UNIT;
else throw new TypeError("Error in while loop");
}
}

117

How to do Proofs

The purpose of this handout is give a general guide as to how to prove theorems. This
should give you some help in answering questions that begin with Show that the following
is true . . . . It is based on notes by Myra VanInwegen, with additional text added by Peter
Sewell in C.1. Many thanks to Myra for making her original notes available.
The focus here is on doing informal but rigorous proofs. These are rather different from
the formal proofs, in Natural Deduction or Sequent Calculus, that were introduced in the
Logic and Proof course. Formal proofs are derivations in one of those proof systems they
are in a completely well-defined form, but are often far too verbose to deal with by hand
(although they can be machine-checked). Informal proofs, on the other hand, are the usual
mathematical notion of proof: written arguments to persuade the reader that you could, if
pushed, write a fully formal proof.
This is important for two reasons. Most obviously, you should learn how to do these proofs.
More subtly, but more importantly, only by working with the mathematical definitions in
some way can you develop a good intuition for what they mean trying to do some proofs
is the best way of understanding the definitions.

C.1

How to go about it

Proofs differ, but for many of those you meet the following steps should be helpful.
1. Make sure the statement of the conjecture is precisely defined. In particular, make
sure you understand any strange notation, and find the definitions of all the auxiliary
gadgets involved (e.g. definitions of any typing or reduction relations mentioned in the
statement, or any other predicates or functions).
2. Try to understand at an intuitive level what the conjecture is saying verbalize out
loud the basic point. For example, for a Type Preservation conjecture, the basic
point might be something like if a well-typed configuration reduces, the result is still
well-typed (with the same type).
3. Try to understand intuitively why it is true (or false...). Identify what the most
interesting cases might be the cases that you think are most likely to be suspicious,
or hard to prove. Sometimes its good to start with the easy cases (if the setting
is unfamiliar to you); sometimes its good to start with the hard cases (to find any
interesting problems as soon as possible).
4. Think of a good basic strategy. This might be:
(a) simple logic manipulations;
(b) collecting together earlier results, again by simple logic; or
(c) some kind of induction.
5. Try it! (remembering you might have to backtrack if you discover you picked a strategy
that doesnt work well for this conjecture). This might involve any of the following:
(a) Expanding definitions, inlining them. Sometimes you can just blindly expand all
definitions, but more often its important to expand only the definitions which
you want to work with the internal structure of otherwise things just get too
verbose.
(b) Making abbreviations defining a new variable to stand for some complex gadget
youre working with, saying e.g.

118

where e = (let x:int = 7+2 in x+x)

Take care with choosing variable names.
(c) Doing equational reasoning, e.g.
e = e1
= e2
= e3

by ...
by ...
as ...

Here the e might be any mathematical object arithmetic expressions, or expressions of some grammar, or formulae. Some handy equations over formulae
are given in C.2.2.
(d) Proving a formula based on its structure. For example, to prove a formula x
S.P (x) you would often assume you have an arbitrary x and then try to prove
P (x).
Take an arbitrary x S.
We now have to show P (x):
This is covered in detail in C.2.3. Much proof is of this form, automatically
driven by the structure of the formula.
(e) Using an assumption youve made above.
(f) Induction. As covered in the 1B Semantics notes, there are various kinds of induction you might want to use: mathematical induction over the natural numbers,
structural induction over the elements of some grammar, or rule induction over
the rules defining some relation (especially a reduction or typing relation). For
each, you should:
i. Decide (and state!) what kind of induction youre using. This may need
some thought and experience, and you might have to backtrack.
ii. Remind yourself what the induction principle is exactly.
iii. Decide on the induction hypothesis youre going to use, writing down a predicate which is such that the conclusion of the induction principle implies
the thing youre trying to prove. Again, this might need some thought. Take
care with the quantifiers here its suspicious if your definition of has
any globally-free variables...
iv. Go through each of the premises of the induction principle and prove each one
(using any of these techniques as appropriate). Many of those premises will
be implications, e.g. x N.(x) (x + 1), for which you can do a proof
based on the structure of the formula taking an arbitrary x, assuming
(x), and trying to prove (x + 1). Usually at some point in the latter youd
make use of the assumption (x).
6. In all of the above, remember: the point of doing a proof on paper is to use the
formalism to help you think to help you cover all cases, precisely and also to
communicate with the reader. For both, you need to write clearly:
(a) Use enough words! Assume, We have to show, By such-and-such we know,
Hence,...
(b) Dont use random squiggles. Its good to have formulae properly nested within
text, with and no or between lines of text.
7. If it hasnt worked yet... either
(a) youve make some local mistake, e.g. mis-instantiated something, or used the
same variable for two different things, or not noticed that you have a definition
you should have expanded or an assumption you should have used. Fix it and
continue.
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(b) youve discovered that the conjecture is really false. Usually at this point its
a good idea to construct a counterexample that is as simple as possible, and to
check carefully that it really is a counterexample.
(c) you need to try a different strategy often, to use a different induction principle
or to strengthen your induction hypothesis.
(d) you didnt really understand intuitively what the conjecture is saying, or what
the definitions it uses mean. Go back to them again.
8. If it has worked: read through it, skeptically, and check. Maybe youll need to re-write
it to make it comprehensible: proof discovery is not the same as proof exposition. See
the example proofs in the Semantics notes.
9. Finally, give it to someone else, as skeptical and careful as you can find, to see if they
believe it to see if they believe that what youve written down is a proof, not that
they believe that the conjecture is true.

C.2

And in More Detail...

First, Ill explain informal proof intuitively, giving a couple of examples. Then Ill explain
how this intuition is reflected in the sequent rules from Logic and Proof.
In the following, Ill call any logic statement a formula. In general, what well be trying to
do is prove a formula, using a collection of formulas that we know to be true or are assuming
to be true. Theres a big difference between using a formula and proving a formula. In fact,
what you do is in many ways opposite. So, Ill start by explaining how to prove a formula.
C.2.1

Meet the Connectives

Here are the logical connectives and a very brief decription of what each means.
P Q
P Q
P
P Q
P Q
x S.P (x)
x S.P (x)
C.2.2

P and Q are both true

P is true, or Q is true, or both are true
P is not true (P is false)
if P is true then Q is true
P is true exactly when Q is true
for all x in S, P is true of x
there exists an x in S such that P holds of x

Equivalences

These are formulas that mean the same thing, and this is indicated by a between them.
The fact that they are equivalent to each other is justified by the truth tables of the connectives.

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definition of
definition of
definition of
de Morgans Laws
extension to quantifiers
distributive laws
coalescing quantifiers
these ones apply if
x is not free in Q

C.2.3

P Q
P Q
P
(P Q)
(P Q)
(x.P (x))
(x.P (x))
P (Q R)
P (Q R)
(x.P (x)) (x.Q(x))
(x.P (x)) (x.Q(x))
(x.P (x)) Q
(x.P (x)) Q
(x.P (x)) Q
(x.P (x)) Q

P Q
(P Q) (Q P )
P false
P Q
P Q
x.P (x)
x.P (x)
(P Q) (P R)
(P Q) (P R)
x.(P (x) Q(x))
x.(P (x) Q(x))
(x.P (x) Q)
(x.P (x) Q)
(x.P (x) Q)
(x.P (x) Q)

How to Prove a Formula

For each of the logical connectives, Ill explain how to handle them.
x S.P (x) This means For all x in S, P is true of x. Such a formula is called a
universally quantified formula. The goal is to prove that the property P , which has some
xs somewhere in it, is true no matter what value in S x takes on. Often the S is left
out. For example, in a discussion of lists, you might be asked to prove l.length l > 0
x. member(x, l). Obviously, l is a list, even if it isnt explicitly stated as such.
There are several choices as to how to prove a formula beginning with x. The standard
thing to do is to just prove P (x), not assuming anything about x. Thus, in doing the proof
you sort of just mentally strip off the x. What you would write when doing this is Let x be
any S. However, there are some subtletiesif youre already using an x for something else,
you cant use the same x, because then you would be assuming something about x, namely
that it equals the x youre already using. In this case, you need to use alpha-conversion1 to
change the formula you want to prove to y S.P (y), where y is some variable youre not
already using, and then prove P (y). What you could write in this case is Since x is already
in use, well prove the property of y.
An alternative is induction, if S is a set that is defined with a structural definition. Many
objects youre likely to be proving properties of are defined with a structural definition.
This includes natural numbers, lists, trees, and terms of a computer language. Sometimes
you can use induction over the natural numbers to prove things about other objects, such
as graphs, by inducting over the number of nodes (or edges) in a graph.
You use induction when you see that during the course of the proof you would need to use
the property P for the subparts of x in order to prove it for x. This usually ends up being
the case if P involves functions defined recursively (i.e., the return value for the function
depends on the function value on the subparts of the argument).
A special case of induction is case analysis. Its basically induction where you dont use the
inductive hypothesis: you just prove the property for each possible form that x could have.
Case analysis can be used to prove the theorem about lists above.
A final possibility (which you can use for all formulas, not just for universally quantified
ones) is to assume the contrary, and then derive a contradiction.
1 Alpha-equivalence says that the name of a bound variable doesnt matter, so you can change it at will
(this is called alpha-conversion). Youll get to know the exact meaning of this soon enough so I wont explain
this here.

121

x S.P (x) This says There exists an x in S such that P holds of x. Such a formula is
called an existentially quantified formula. The main way to prove this is to figure out what
x has to be (that is, to find a concrete representation of it), and then prove that P holds of
that value. Sometimes you cant give a completely specified value, since the value you pick
for x has to depend on the values of other things you have floating around. For example,
say you want to prove
x, y R.x < y sin x < 0 sin y > 0 z.x < z z < y sin z = 0
where R is the set of real numbers. By the time you get to dealing with the z.x < z z <
y sin z = 0, you will have already assumed that x and y were any real numbers. Thus the
value you choose for z has to depend on whatever x and y are.
An alternative way to prove x S.P (x) is, of course, to assume that no such x exists, and
derive a contradiction.
To summarize what Ive gone over so far: to prove a universally quantified formula, you must
prove it for a generic variable, one that you havent used before. To prove an existentially
quantified formula, you get to choose a value that you want to prove the property of.
P Q This says If P is true, then Q is true. Such a formula is called an implication,
and it is often pronounced P implies Q. The part before the sign (here P ) is called
the antecedent, and the part after the sign (here Q) is called the consequent. P Q is
equivalent to P Q, and so if P is false, or if Q is true, then P Q is true.
The standard way to prove this is to assume P , then use it to help you prove Q. Note that
I said that you will be using P . Thus you will need to follow the rules in Section C.2.4 to
deal with the logical connectives in P .
Other ways to prove P Q involve the fact that it is equivalent to P Q. Thus, you can
prove P without bothering with Q, or you can just prove Q without bothering with P .
To reason by contradiction you assume that P is true and that Q is not true, and derive a
contradiction.
Another alternative is to prove the contrapositive: Q P , which is equivalent to it.
P Q This says P is true if and only if Q is true. The phrase if and only if is usually
abbreviated iff. Basically, this means that P and Q are either both true, or both false.
Iff is usually used in two main ways: one is where the equivalence is due to one formula
being a definition of another. For example, A B (x. x A x B) is the standard
definition of subset. For these iff statements, you dont have to prove them. The other use
of iff is to state the equivalence of two different things. For example, you could define an
SML function fact:
fun fact 0 = 1
| fact n = n * fact (n - 1)
Since in SML whole numbers are integers (both positive and negative) you may be asked
to prove: fact x terminates x 0. The standard way to do this is us the equivalence
P Q is equivalent to P Q Q P . And so youd prove that (fact x terminates
x 0) (x 0 fact x terminates).
P This says P is not true. It is equivalent to P false, thus this is one of the ways
you prove it: you assume that P is true, and derive a contradiction (that is, you prove
false). Heres an example of this, which youll run into later this year: the undecidability
of the halting problem can be rephrased as x RM. x solves the halting problem, where
RM is the set of register machines. The proof of this in your Computation Theory notes
follows exactly the pattern I describedit assumes there is such a machine and derives a
contradiction.

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The other major way to prove P is to figure out what the negation of P is, using equivalences like De Morgans Law, and then prove that. For example, to prove x N . y
N . x = y 2 , where N is the set of natural numbers, you could push in the negation to get:
x N . y N . x 6= y 2 , and then you could prove that.
P Q This says P is true and Q is true. Such a formula is called a conjunction. To
prove this, you have to prove P , and you have to prove Q.
P Q This says P is true or Q is true. This is inclusive or: if P and Q are both true,
then P Q is still true. Such a formula is called a disjunction. To prove this, you can prove
P or you can prove Q. You have to choose which one to prove. For example, if you need to
prove (5 mod 2 = 0) (5 mod 2 = 1), then youll choose the second one and prove that.
However, as with existentials, the choice of which one to prove will often depend on the
values of other things, like universally quantified variables. For example, when you are
studying the theory of programming languages (you will get a bit of this in Semantics), you
might be asked to prove
P ML.

P is properly typed
(the evaluation of P runs forever) (P evaluates to a value)

where ML is the set of all ML programs. You dont know in advance which of these will be
the case, since some programs do run forever, and some do evaluate to a value. Generally,
the best way to prove the disjunction in this case (when you dont know in advance which
will hold) is to use the equivalence with implication. For example, you can use the fact
that P Q is equivalent to P Q, then assume P , then use this to prove Q. For
example, your best bet to proving this programming languages theorem is to assume that
the evaluation of P doesnt run forever, and use this to prove that P evaluates to a value.
C.2.4

How to Use a Formula

You often end up using a formula to prove other formulas. You can use a formula if someone
has already proved that its true, or you are assuming it because it was in an implication,
namely, the A in A B. For each logical connective, Ill tell you how to use it.
x S.P (x) This formula says that something is true of all elements of S. Thus, when
you use it, you can pick any value at all to use instead of x (call it v), and then you can use
P (v).
x S.P (x) This formula says that there is some x that satisfies P . However, you do not
know what it is, so you can not assume anything about it. The usual approach it to just
say that the thing that is being said to exist is just x, and use the fact that P holds of x to
prove something else. However, if youre already using an x for something else, you have to
pick another variable to represent the thing that exists.
To summarize this: to use a universally quantified formula, you can choose any value, and
use that the formula holds for that variable. To use an existentially quantified formula, you
must not assume anything about the value that is said to exists, so you just use a variable
(one that you havent used before) to represent it. Note that this is more or less opposite
of what you do when you prove a universally or existentially quantified formula.
P Usually, the main use of this formula is to prove the negation of something else.
An example is the use of reduction to prove the unsolvability of various problems in the
Computation Theory (youll learn all about this in Lent term). You want to prove Q,
where Q states that a certain problem (Problem 1) is decidable (in other words, you want
to prove that Problem 1 is not decidable). You know P , where P states that another
problem (Problem 2) is decidable (i.e. P says that Problem 2 is not decidable). What you
123

do basically is this. You first prove Q P , which says that if Problem 1 is decidable, then
so is Problem 2. Since Q P P Q, you have now proved P Q. You already
know P , so you use modus ponens2 to get that Q.
P Q The main way to use this is that you prove P , and then you use modus ponens to
get Q, which you can then use.
P Q The main use of this is to replace an occurrence of P in a formula with Q, and
vise versa.
P Q Here you can use both P and Q. Note, youre not required to use both of them, but
they are both true and are waiting to be used by you if you need them.
P Q Here, you know that one of P or Q is true, but you do not know which one. To use
this to prove something else, you have to do a split: first you prove the thing using P , then
you prove it using Q.
Note that in each of the above, there is again a difference in the way you use a formula,
verses the way you prove it. They are in a way almost opposites. For example, in proving
P Q, you have to prove both P and Q, but when you are using the formula, you dont
have to use both of them.

C.3

An Example

There are several exercises in the Semantics notes that ask you to prove something. Here,
well go back to Regular Languages and Finite Automata. (If theyve faded, its time
to remind yourself of them.) The Pumping Lemma for regular sets (PL for short) is an
astonishingly good example of the use of quantifiers. Well go over the proof and use of the
PL, paying special attention to the logic of whats happening.
C.3.1

Proving the PL

My favorite book on regular languages, finite automata, and their friends is the Hopcroft
and Ullman book Introduction to Automata Theory, Languages, and Computation. You
should locate this book in your college library, and if it isnt there, insist that your DoS
order it for you.
In the Automata Theory book, the Pumping Lemma is stated as: Let L be a regular set.
Then there is a constant n such that if z is any word in L, and |z| n, we may write z = uvw
in such a way that |uv| n, |v| 1, and for all i 0, uv i w is in L. The Pumping Lemma
is, in my experience, one of the most difficult things about learning automata theory. It
is difficult because people dont know what to do with all those logical connectives. Lets
write it as a logical formula.
L RegularLanguages.
n. z L. |z| n
u v w. z = uvw |uv| n |v| 1
i 0. uv i w L
Complicated, eh? Well, lets prove it, using the facts that Hopcroft and Ullman have
established in the chapters previous to the one wih the PL. Ill give the proof and put in
square brackets comments about what Im doing.
Let L be any regular language. [Here Im dealing with the L RegularLanguages by
stating that Im not assuming anything about L.] Let M be a minimal-state deterministic
2 Modus

ponens says that if A B and A are both true, then B is true.

124

finite state machine accepting L. [Here Im using a fact that Hopcroft and Ullman have
already proved about the equivalence of regular languages and finite automata.] Let n be
the number of states in this finite state machine. [Im dealing with the n by giving a very
specific value of what it will be, based on the arbitrary L.] Let z be any word in L. [Thus
I deal with z L.] Assume that |z| n. [Thus Im taking care of the by assuming the
antecedent.]
Say z is written a1 a2 . . . am , where m n. Consider the states that M is in during the
processing of the first n symbols of z, a1 a2 . . . an . There are n + 1 of these states. Since
there are only n states in M , there must be a duplicate. Say that after symbols aj and ak
we are in the same state, state s (i.e. theres a loop from this state that the machine goes
through as it accepts z), and say that j < k. Now, let u = a1 a2 . . . aj . This represents the
part of the string that gets you to state s the first time. Let v = aj+1 . . . ak . This represents
the loop that takes you from s and back to it again. Let w = ak+1 . . . am , the rest of word
z. [We have chosen definite values for u, v, and w.] Then clearly z = uvw, since u, v, and
w are just different sections of z. |uv| n since u and v occur within the first n symbols
of z. |v| 1 since j < k. [Note that were dealing with the formulas connected with by
proving each of them.]
Now, let i be a natural number (i.e. 0). [This deals with i 0.] Then uv i w L. [Finally
our conclusion, but we have to explain why this is true.] This is because we can repeat the
loop from s to s (represented by v) as many times as we like, and the resulting word will
still be accepted by M .
C.3.2

Using the PL

Now we use the PL to prove that a language is not regular. This is a rewording of Example
2
3.1 from Hopcroft and Ullman. Ill show that L = {0i |i is an integer, i 1} is not regular.
Note that L consists of all strings of 0s whose length is a perfect square. I will use the PL.
I want to prove that L is not regular. Ill assume the negation (i.e., that L is regular) and
derive a contradiction. So here we go. Remember that what Im emphasizing here is not
the finite automata stuff itself, but how to use a complicated theorem to prove something
else.
Assume L is regular. We will use the PL to get a contradiction. Since L is regular, the PL
applies to it. [We note that were using the part of the PL for this particular L.] Let n
be as described in the PL. [This takes care of using the n. Note that we are not assuming
2
anything about its actual value, just that its a natural number.] Let z = 0n . [Since the PL
says that something is true of all zs, we can choose the one we want to use it for.] So by the
PL there exist u, v, and w such that z = uvw, |uv| n, |v| 1. [Note that we dont assume
anything about what the u, v, and w actually are; the only thing we know about them is
what the PL tells us about them. This is where people trying to use the PL usually screw
up.] The PL then says that for any i, then uv i w L. Well, then uv 2 w L. [This is using
the i 0 bit.] However, n2 < |uv 2 w| n2 + n, since 1 |v| n. But n2 + n < (n + 1)2 .
Thus |uv 2 w| lies properly between n2 and (n + 1)2 and is thus not a perfect square. Thus
uv 2 w is not in L. This is a contradiction. Thus our assumption (that L was regular) was
incorrect. Thus L is not a regular language.

C.4

Sequent Calculus Rules

In this section, I will show how the intuitive approach to things that Ive described above
is reflected in the sequent calculus rules. A sequent is , where and are sets of

125

formulas.3 Technically, this means that

A1 A2 . . . An B1 B2 . . . Bm

(1)

where A1 , A2 , . . . An are the formulas in , and B1 , B2 , . . . Bn are the formulas in . Less

formally, this means using the formulas in we can prove that one of the formula in is
true. This is just the intuition I described above about using vs proving formulas, except
that I only talked about proving that one formula is true, rather than proving that one of
several formulas is true. In order to handle the connective, there can be any number of
formulas on the right hand side of the .

For each logic connective,4 Ill give the rules for it, and explain how it relates to the intuitive
way of using or proving formulas. For each connective there are at least two rules for it: one
for the left side of the , and one for the right side. This corresponds to having different
ways to treat a formula depending on whether youre using it (for formulas on the left hand
side of the ) or proving it (for formulas on the right side of the ).

Its easiest to understand these rules from the bottom up. The conclusion of the rule (the
sequent below the horizontal line) is what we want to prove. The hypotheses of the rule
(the sequents above the horizontal line) are how we go about proving it. Well have to use
more rules, adding to the top, to build up the proof of the hypothesis, but this at least tells
us how to get going.
You can stop when the formula you have on the top is a basic sequent. This is where
theres at least one formula (say P ) thats in both and . You can see why this is the
basic true formula: it says that if P and the other formulas in are true, then P or one of
the other formula in is true.
In building proofs from these rules, there are several ways that you end up with formulas
to the left of the , where you can use them rather than proving them. One is that youve
already proved it before. This is shown with the cut rule:
, P P,
(cut)

The , P in the first sequent in the hypotheses means that to the right of the we have
the set consisting of the formula P plus all the formulas in , i.e., if all formulas in are
true, then P or one of the formulas in is true. Similarly P, to the left of the in the
second sequent means the set consisting of the formula P plus all the formulas in .
We read this rule from the bottom up to make sense of it. Say we want to prove one of the
formulas in from the formulas in , and we want to make use of a formula P that weve
already proved. The fact that weve proved P is shown by the left hypothesis (of course,
unless the left hypothesis is itself a basic sequent, then in a completed proof there will be
more lines on top of the left hypothesis, showing the actual proof of the sequent). The fact
that we are allowed to use P in the proof of is shown in the right hand hypothesis. We
continue to build the proof up from there, using P .
Some other ways of getting formulas to the left of the are shown in the rules (r) and
( r) below.
x S.P (x) The two rules for universally quantified formulas are:
P (v),
(l)
x.P (x),

, P (x)
(r)
, x.P (x)

3 In your Logic and Proof notes, the symbol that divides from is . However, that conflicts with the
use of as implication. Thus I will use . You will see something similar in Semantics, where it separates
assumptions (of the types of variables) from something that they allow you to prove.
4 I wont mention iff here: as P Q is equivalent to P Q Q P , we dont need separate rules for
it.

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In the (r) rule, x must not be free in the conclusion.

Now, whats going on here? In the (l) rule, the x.P (x) is on the left side of the . Thus, we
are using it (along with some other formula, those in ) to prove something (). According
to the intuition above, in order to use x.P (x), you can use it with any value, where v is
used to represent that value. In the hypothesis, you see the formula P (v) to the left of the
. This is just P with v substituted for x. The use of this corresponds exactly to using the
fact that P is true of any value whatsoever, since we are using it with v, which is any value
of our choice.
In the (r) rule, the x.P (x) is on the right side of the . Thus, we are proving it. Thus,
we need to prove it for a generic x. This is why the x is gone in the hypothesis. The x
is still sitting somewhere in the P , but were just using it as a plain variable, not assuming
anything about it. And this explains the side condition too: In the (r) rule, x must not
be free in the conclusion. If x is not free in the conclusion, this means that x is not free in
the formulas in or . That means the only place the x occurs free in the hypothesis is in
P itself. This corresponds exactly with the requirement that were proving that P is true
of a generic x: if x were free in or , we would be assuming something about x, namely
that value of x is the same as the x used in those formulas.
Note that induction is not mentioned in the rules. This is because the sequent calculus used
here just deals with pure logic. In more complicated presentations of logic, it is explained
how to define new types via structural induction, and from there you get mechanisms to
allow you to do induction.
x S.P (x) The two rules for existentially quantified formulas are:
P (x),
(l)
x.P (x),

, P (v)
(r)
, x.P (x)

In the (l) rule, x must not be free in the conclusion.

In (l), we are using x.P (x). Thus we cannot assume anything about the value that the
formula says exists, so we just use it as x in the hypothesis. The side condition about x not
being free in the conclusions comes from the requirement not to assume anything about x
(since we dont know what it is). If x isnt free in the conclusion, then its not free in or
. If it were free in or , then we would be assuming that the x used there is the same
as the x were assuming exists, and this isnt allowed.
In (r), we are proving x.P (x). Thus we must pick a particular value (call it v) and prove
P for that value. The value v is allowed to contain variables that are free in or , since
you can set it to anything you want.
P The rules for negation are:
P,
(r)
, P

, P
(l)
P,

Lets start with the right rule first. I said that the way to prove P is to assume P and
derive a contradiction. If is the empty set, then this is exactly what this rule says: If
there are no formulas to the right hand side of the , then this means that the formulas in
are inconsistent (that means, they cannot all be true at the same time). This means that
you have derived a contradiction. So if is the empty set, the hypothesis of the rule says
that, assuming P , you have obtained a contradiction. Thus, if you are absolutely certain
about all your other hypotheses, then you can be sure that P is not true. The best way to
understand the rule if is not empty is to write out the meaning of the sequents in terms
of the meaning of the sequent given by Equation 1 and work out the equivalence of the top
and bottom of the rule using the equivalences in your Logic and Proof notes.
The easiest way to understand (l) is again by using equivalences.
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P Q The two rules for implication are:

, P Q,
( l)
P Q,

P, , Q
( r)
, P Q

The rule ( l) easily understood using the intuitive explanation of how to use P Q given
above. First, we have to prove P . This is the left hypothesis. Then we can use Q, which is
what the right hypothesis says.
The right rule ( r) is also easily understood. In order to prove P Q, we assume P ,
then use this to prove Q. This is exactly what the hypothesis says.
P Q The rules for conjunction are:
P, Q,
(l)
P Q,

, P , Q
(r)
, P Q

Both of these rules are easily explained by the intuition above. The left rule (l) says that
when you use P Q, you can use P and Q. The right rule says that to prove P Q you must
prove P , and you must prove Q. You may wonder why we need separate hypotheses for
the two different proofs. We cant just put P, Q to the right of the in a single hypothesis,
because that would mean that were proving one of the other of them (see the meaning of
the sequent given in Equation 1). So we need separate hypotheses to make sure that each
of P and Q has actually been proved.
P Q The rules for disjunction are:
P, Q,
(l)
P Q,

, P, Q
(r)
, P Q

These are also easily understood by the intuitive explanations above. The left rule says that
to prove something (namely, one of the formulas in ) using P Q, you need to prove it
using P , then prove it using Q. The right rule says that in order to prove P Q, you can
prove one or the other. The hypothesis says that you can prove one or the other, because
in order to show a sequent true, you only need to show that one of the formulas in
is true.

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