Abstract
Prefix normal words are binary words in which each prefix has at least the same number of
s as any factor of the same length. Firstly introduced in 2011, the problem of determining the index (amount of equivalence classes for a given word length) of the prefix normal equivalence relation is still open. In this paper, we investigate two aspects of the problem, namely prefix normal palindromes and so-called collapsing words (extending the notion of critical words). We prove characterizations for both the palindromes and the collapsing words and show their connection. Based on this, we show that still open problems regarding prefix normal words can be split into certain subproblems.
Introduction
Two words are called abelian equivalent if the amount of each letter is identical in both words, e.g. rotor and torro are abelian equivalent albeit banana and ananas are not. Abelian equivalence has been studied with various generalisations and specifications such as abelian-complexity, k-abelian equivalence, avoidability of (k-)abelian powers and much more (cf. e.g., [6, 10, 11, 13, 17, 22–24]). The number of occurrences of each letter is captured in the Parikh vector (also known as Parikh image or Parikh mapping) [21]: given a lexicographical order on the alphabet, the
component of this vector is the amount of the
letter of the alphabet in a given word. Parikh vectors have been studied in [12, 16, 19] and are generalised to Parikh matrices for saving more information about the word than just the amount of letters (cf. eg., [20, 25]).
A recent generalisation of abelian equivalence, for words over the binary alphabet
, is prefix normal equivalence (pn-equivalence) [14]. Two binary words are pn-equivalent if their maximal numbers of
s in any factor of length n are equal for all
. Burcsi et al. [5] showed that this relation is indeed an equivalence relation and moreover that each class contains exactly one uniquely determined representative - called a prefix normal word. A word w is said to be prefix normal if the prefix of w of any length has at least the number of
s as any of w’s factors of the same length. For instance, the word
is prefix normal but
is not, witnessed by the fact that
is a factor but not a prefix. Both words are pn-equivalent. In addition to being representatives of the pne-classes, prefix normal words are also of interest since they are connected to Lyndon words, in the sense that every prefix normal word is a pre-necklace [14]. Furthermore, as shown in [14], the indexed jumbled pattern matching problem (see e.g. [2, 4, 18]) is connected to prefix normal forms: if the prefix normal forms are given, the indexed jumbled pattern matching problem can be solved in linear time
of the word length n. The best known algorithm for this problem has a run-time of
(see [7]). Consequently there is also an interest in prefix normal forms from an algorithmic point of view. An algorithm for the computation of all prefix normal words of length n in run-time
per word is given in [8]. Balister and Gerke [1] showed that the number of prefix normal words of length n is
and the class of a given prefix normal word contains at most
elements. A closed formula for the number of prefix normal words is still unknown. In “OEIS” [15] the number of prefix normal words of length n (A194850), a list of binary prefix normal words (A238109), and the maximum size of a class of binary words of length n having the same prefix normal form (A238110), can be found. An extension to infinite words is presented in [9].
Our Contribution. In this work we investigate two conspicuities mentioned in [3, 14]: palindromes and extension-critical words. Generalising the result of [3] we prove that prefix normal palindromes (pnPal) play a special role since they are not pn-equivalent to any other word. Since not all palindromes are prefix normal, as witnessed by
, determining the number of pnPals is an (unsolved) sub-problem. We show that solving this sub-problem brings us closer to determining the index, i.e. number of equivalence classes w.r.t. a given word length, of the pn-equivalence relation. Moreover we give a characterisation based on the maximum-ones function for pnPals. The notion of extension-critical words is based on an iterative approach: compute the prefix normal words of length
based on the prefix normal words of length n. A prefix normal word w is called extension-critical if
is not prefix normal. For instance, the word
is prefix normal but
is not and thus
is called extension-critical. This means that all non-extension-critical words contribute to the class of prefix normal words of the next word-length. We investigate the set of extension-critical words by introducing an equivalence relation collapse, grouping all extensional-critical words that are pn-equivalent w.r.t. length
. Finally we prove that (prefix normal) palindromes and the collapsing relation (extensional-critical words) are related. In contrast to [14] we work with suffix-normal words (least representatives) instead of prefix-normal words. It follows from Lemma 1 that both notions lead to the same results.
Structure of the Paper. In Sect. 2, the basic definitions and notions are presented. In Sect. 3, we present the results on pnPals. Finally, in Sect. 4, the iterative approach based on collapsing words is shown. This includes a lower bound and an upper bound for the number of prefix normal words, based on pnPals and the collapsing relation. Due to space restrictions all proofs are in the appendix.
Preliminaries
Let
denote the set of natural numbers starting with 1, and let
. Define
, for
, and set
.
An alphabet is a finite set
, the set of all finite words over
is denoted by
, and the empty word by
. Let
be the free semigroup for the free monoid
. Let w[i] denote the
letter of
that is
or
. The length of a word
is denoted by |w| and let
. Set
for
. Set
for all
. The number of occurrences of a letter
in
is denoted by
. For a given word
the reversal of w is defined by
. A word
is a factor of
if
holds for some words
. If
then u is called a prefix of w and a suffix if
. Let
denote the sets of all factors, prefixes, and suffixes respectively. Define
and
are defined accordingly. Notice that
for all
. The powers of
are recursively defined by
,
for
.
Following [14], we only consider binary alphabets, namely
with the fixed lexicographic order induced by
on
. In analogy to binary numbers we call a word
odd if
and even otherwise.
For a function
for
and an arbitrary alphabet
the concatenation of the images defines a finite word
. Since
is bijective, we will identify
with f and use in both cases f (as long as it is clear from the context). This definition allows us to access f’s reversed function
easily by
.
Definition 1
The maximum-ones functions is defined for a word
by
giving for each
the maximal number of
s occuring in a factor of length k. Likewise the prefix-ones and suffix-ones functions are defined by
and
.
Definition 2
Two words
are called prefix-normal equivalent (pn-equivalent,
) if
holds and v’s equivalence class is denoted by
. A word
is called prefix (suffix) normal iff
(
resp.) holds. Let
denote the maximal-one sum of a
.
Remark 1
Notice that
for all
. By
and
follows immediately that a word
is prefix normal iff its reversal is suffix normal.
Fici and Lipták [14] showed that for each word
there exists exactly one
that is prefix normal - the prefix normal form of w. We introduce the concept of least representative, which is the lexicographically smallest element of a class and thus also unique. As mentioned in [5] palindromes play a special role. Immediately by
for
, we have
, i.e. palindromes are the only words that can be prefix and suffix normal. Recall that not all palindromes are prefix normal witnessed by
.
Definition 3
A palindrome is called prefix normal palindrome (pnPal) if it is prefix normal. Let
denote the set of all prefix normal palindromes of length
and set
. Let
be the set of all palindromes of length
.
Table 1.
Prefix normal palindromes (pnPals).
| Word length | Prefix normal palindromes | # prefix normal words |
|---|---|---|
| 1 |
|
2 |
| 2 |
|
3 |
| 3 |
|
5 |
| 4 |
|
8 |
| 5 |
|
14 |
| 6 |
|
23 |
| 7 |
|
41 |
| 8 |
|
70 |
Properties of the Least-Representatives
Before we present specific properties of the least representatives (LR) for a given word length, we mention some useful properties of the maximum-ones, prefix-ones, and suffix-ones functions (for the basic properties we refer to [5, 14] and the references therein). Since we are investigating only words of a specific length, we fix
. Beyond the relation
the mappings
and
are determinable from each other. Counting the
s in a suffix of length i and adding the
s in the corresponding prefix of length
of a word w, gives the overall amount of
s of w, namely
![]() |
For suffix (resp. prefix) normal words this leads to
resp.
witnessing the fact
for palindromes (since both equation hold). Before we show that indeed pnPals form a singleton class w.r.t.
, we need the relation between the lexicographical order and prefix and suffix normality.
Lemma 1
The prefix normal form of a class is the lexicographically largest element in the class and the suffix-normal of a class is a LR.
Lemma 1 implies that a word being prefix and suffix normal forms a singleton class w.r.t.
. As mentioned
only holds for palindromes.
Proposition 1
For a word
it holds that
iff
.
The general part of this section is concluded by a somewhat artificial equation which is nevertheless useful for pnPals : by
with
for
and
we get
![]() |
The rest of the section will cover properties of the LRs of a class.
Remark 2
For completeness, we mention that
is the only even LR w.r.t.
and the only pnPal starting with
. Moreover,
is the largest LR. As we show later in the paper
and
are of minor interest in the recursive process due to their speciality.
The following lemma is an extension of [5, Lemma 1] for the suffix-one function by relating the prefix and the suffix of the word
for a least representative. Intuitively the suffix normality implies that the
s are more at the end of the word w rather than at the beginning: consider for instance
for
. The associated word w cannot be suffix normal since the suffix of length two has only one
(
) but by
, and
we get that within two letters two
s are present and consequently
. Thus, a word w is only least representative if the amount of
s at the end of
does not exceed the amount of
s at the beginning of
.
Lemma 2
Let
be a LR. Then we have
![]() |
The remaining part of this section presents results for prefix normal palindromes. Notice that for
with
with
is not necessarily a pnPal; consider for instance
with
. The following lemma shows a result for prefix normal palindromes which is folklore for palindromes substituting
by
or
.
Lemma 3
For
with
we have
![]() |
In the following we give a characterisation of when a palindrome w is prefix normal depending on its maximum-ones function
and a derived function
. In particular we observe that
if and only if w is a prefix normal palindrome. Intuitively
captures the progress of
in reverse order. This is an intriguing result because it shows that properties regarding prefix and suffix normality can be observed when
are considered in their serialised representation.
Definition 4
For
define
by
with the extension
of f and
. Define
and
analogously.
Example 1
Consider the pnPal
with
. Then
is 43221 and we have
. On the other hand for
we have
and
and
and thus
.
The following lemma shows a connection between the reversed prefix-ones function and the suffix-ones function that holds for all palindromes.
Lemma 4
For
we have
.
By Lemma 4 we get
since
for a palindrome w. As advocated earlier, our main theorem of this part (Theorem 1) gives a characterisation of pnPals. The theorem allows us to decide if a word is a pnPal by only looking at the maximum-ones-function, thus a comparison of all factors is not required.
Theorem 1
Let
. Then w is a pnPal if and only if
.
Table 2 presents the amount of pnPals up to length 30 These results support the conjecture in [5] that there is a different behaviour for even and odd length of the word.
Table 2.
Number of pnPals. [15] (A308465)
| i | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 |
| # | 2 | 2 | 3 | 3 | 5 | 4 | 8 | 7 | 12 | 11 | 21 | 18 | 36 | 31 | 57 |
| i | 16 | 17 | 18 | 19 | 20 | 21 | 22 | 23 | 24 | 25 | 26 | 27 | 28 | 29 | 30 |
| # | 55 | 104 | 91 | 182 | 166 | 308 | 292 | 562 | 512 | 1009 | 928 | 1755 | 1697 | 3247 | 2972 |
Recursive Construction of Prefix Normal Classes
In this section we investigate how to generate LRs of length
using the LRs of length n. This is similar to the work of Fici and Lipták [14] except they investigated appending a letter to prefix normal words while we explore the behaviour on prepending letters to LRs. Consider the words
and
, both being (different) LRs of length 4. Prepending a
to them leads to
and
which are pn-equivalent. We say that v and w
collapse and denote it by
. Hence for determining the index of
based on the least representatives of length
, only the least representative of one class matters.
Definition 5
Two words
collapse if
holds. This is denoted by
.
Prepending a
to a non LR will never lead to a LR. Therefore It is sufficient to only look at LRs. Since collapsing is an equivalence relation, denote the equivalence class w.r.t.
of a word
by
. Next, we present some general results regarding the connections between the LRs of lengths n and
. As mentioned in Remark 2,
and
are for all
LRs. This implies that they do not have to be considered in the recursive process.
Remark 3
By [14] a word
is prefix-normal if w is prefix-normal. Consequently we know that if a word
is suffix normal,
is suffix normal as well. This leads in accordance to the naïve upper bound of
to a naïve lower bound of
for
.
Remark 4
The maximum-ones functions for
and
are equal on all
and
since the factor determining the maximal number of
’s is independent of the leading
. Prepending
to a word w may result in a difference between
and
, but notice that since only one
is prepended, we always have
for all
. In both cases we have
for
and
and
as well as
.
Firstly we improve the naïve upper bound to
by proving that only LRs in
can become LRs in
by prepending
or
.
Proposition 2
Let
not be LR. Neither
nor
are LRs in
.
By Proposition 1 prefix (and thus suffix) normal palindromes form a singleton class. This implies immediately that a word
such that
is a prefix normal palindrome, does not collapse with any other
. The next lemma shows that even prepending once a
and once a
to different words leads only to equivalent words in one case.
Lemma 5
Let
be different LRs. Then
if and only if
and
.
By Lemma 5 and Remark 3 it suffices to investigate the collapsing relation on prepanding
s. The following proposition characterises the LR
among the elements
for all LRs
with
for
.
Proposition 3
Let
be a LR. Then
is a LR if and only if
holds for
and
.
Corollary 1
Let
. Then
for
and
. Moreover
for
and
.
This characterization is unfortunately not convenient for determining either the number of LRs of length
from the ones from length n or the collapsing LRs of length n. For a given word w, the maximum-ones function
has to be determined,
to be extended by
, and finally the associated word - under the assumption
has to be checked for being suffix normal. For instance, given
leads to
, and is extended to
. This would correspond to
which is not suffix normal and thus w is not extendable to a new LR. The following two lemmata reduce the amount of LRs that needs to be checked for extensibility.
Lemma 6
Let
be a LR such that
is a LR as well. Then for all LRs
collapsing with
holds for all
, i.e. all other LRs have a smaller maximal-one sum.
Corollary 2
If
and
are LRs with
and
then
.
Remark 5
By Corollary 2 the lexicographically smallest LR w among the collapsing leads to the LR of
. Thus if w is a LR not collapsing with any lexicographically smaller word then
is LR.
Before we present the theorem characterizing exactly the collapsing words for a given word w, we show a symmetry-property of the LRs which are not extendable to LRs, i.e. a property of words which collapse.
Lemma 7
Let
be a LR. Then
for some
iff
.
By [5, Lemma 10] a word
is prefix normal if and only if
for all
. The following theorem extends this result for determining the collapsing words
for a given word w.
Theorem 2
Let
be a LR and
with
. Let moreover
for all
with
. Then
iff
for all
,
implies
,
Theorem 2 allows us to construct the equivalence classes w.r.t. the least representatives of the previous length but more tests than necessary have to be performed: Consider, for instance
which is a smallest LR of length 17 not collapsing with any lexicographically smaller LR. For w we have
where the dots just act as separators between letters. Thus we know for any
collapsing with w, that
and
. The constraints
and
implies
. First the check that
is impossible excludes
. Since no collapsing word can have a factor of length 2 with only one
, a band in which the possible values range can be defined by the unique greatest collapsing word
. It is not surprising that this word is connected with the prefix normal form. The following two lemmata define the band in which the possible collapsing words
are.
Lemma 8
Let
be a LR with
for all
with
. Set
. Then
and for all LRs
with
and all
, thus
.
Notice that
is not necessarily a LR in
witnessed by the word of the last example. For w we get
with
and
violating the symmetry property given in Lemma 7. The following lemma alters
into a LR which represents still the lower limit of the band.
Lemma 9
Let
be a LR such that
is also a LR. Let
with
, and I the set of all
with
![]() |
and
for all
. Then
defined such that
for all
and
(
resp.) for all
holds, collapses with w.
Remark 6
Lemma 9 applied to
gives the lower limit of the band. Let
denote the output of this application for a given
according to Lemma 9.
Continuing with the example, we firstly determine
for
. We get with
Since for all collapsing
we have
is determined for
. Since the value for 5 determines the one for 13 there are only two possibilities, namely
and
and
and
. Notice that the words
corresponding to the generated words
are not necessarily LRs of the shorter length as witnessed by the one with
and
. In this example this leads to at most three words being not only in the class but also in the list of former representatives. Thus we are able to produce an upper bound for the cardinality of the class. Notice that in any case we only have to test the first half of
’s positions by Lemma 7. This leads to the following definition.
Table 3.
f for
.
| i | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
![]() |
1 | 2 | 3 | 4 | 5 | 5 | 6 | 7 | 8 | 8 | 8 | 9 | 10 | 10 | 11 | 12 | 13 |
![]() |
1 | 2 | 3 | 4 | 4 | 5 | 6 | 7 | 7 | 7 | 8 | 9 | 9 | 10 | 11 | 12 | 13 |
![]() |
1 | 2 | 3 | 4 | 4 | 5 | 6 | 7 | 7 | 8 | 8 | 9 | 9 | 10 | 11 | 12 | 13 |
Definition 6
Let
be the Hamming-distance. The palindromic distance
is defined by
. Define the palindromic prefix length
by
.
The palindromic distance gives the minimal number of positions in which a bit has to be flipped for obtaining a palindrome. Thus,
for all palindromes w, and, for instance,
since the first half of w and the reverse of the second half mismatch in two positions. The palindromic prefix length determines the length of w’s longest prefix being a palindrome. For instance
and
. Since a LR w determines the upper limit of the band and
the lower limit, the palindromic distance of
is in relation to the positions of
in which collapsing words may differ from w.
Theorem 3
If
and
are both LRs then
.
For an algorithmic approach to determine the LRs of length n, we want to point out that the search for collapsing words can also be reduced using the palindromic prefix length. Let
be the LRs of length
. For each w we keep track of
. For each
we check firstly if
since in this case the prepended
leads to a palindrome. Only if this is not the case,
needs to be determined. All collapsing words computed within the band of
and
are deleted in
.
In the remaining part of the section we investigate the set
w.r.t.
for
. This leads to a second calculation for an upper bound and a refinement for determining the LRs of
faster.
Lemma 10
If
then
is not a LR but
is a LR.
Remark 7
By Lemma 10 follows that all words
collapse with a smaller LR. Thus, for all
, an upper bound for
is given by
.
For a closed recursive calculation of the upper bound in Remark 7, the exact number
is needed. Unfortunately we are not able to determine
for arbitrary
. The following results show relations between prefix normal palindromes of different lengths. For instance, if
then 1w1 is a prefix normal palindrome as well. The importance of the pnPals is witnessed by the following estimation.
Theorem 4
For all
and
we have
![]() |
The following results only consider pnPals that are different from
and
. Notice for these special palindromes that
,
for an appropriate
but
.
Lemma 11
If
then neither ww nor
are prefix normal palindromes.
Lemma 12
Let
with
. If
is also a prefix normal palindrome then
or
for some
and
.
A characterisation for
being a pnPal is more complicated. By
follows that a block of
s contains at most the number of
s of the previous block. But if such a block contains strictly less
s the number of
s in between can increase by the same amount the number of
s decreased.
Lemma 13
Let
. If
is also a prefix normal palindrome then
.
Lemmas 11, 12, and 13 indicate that a characterization of prefix normal palindromes based on smaller ones is hard to determine.
Conclusion
Based on the work in [14], we investigated prefix normal palindromes in Sect. 3 and gave a characterisation based on the maximum-ones function. At the end of Sect. 4 results for a recursive approach to determine prefix normal palindromes are given. These results show that easy connections between prefix normal palindromes of different lengths cannot be expected. By introducing the collapsing relation we were able to partition the set of extension-critical words introduced in [14]. This leads to a characterization of collapsing words which can be extended to an algorithm determining the corresponding equivalence classes. Moreover we have shown that palindromes and the collapsing classes are related.
The concrete values for prefix normal palindromes and the index of the collapsing relation remain an open problem as well as the cardinality of the equivalence classes w.r.t. the collapsing relation. Further investigations of the prefix normal palindromes and the collapsing classes lead directly to the index of the prefix equivalence.
Acknowledgments
We would like to thank Florin Manea for helpful discussions and advice.
Contributor Information
Alberto Leporati, Email: alberto.leporati@unimib.it.
Carlos Martín-Vide, Email: carlos.martin@urv.cat.
Dana Shapira, Email: shapird@g.ariel.ac.il.
Claudio Zandron, Email: zandron@disco.unimib.it.
Pamela Fleischmann, Email: fpa@informatik.uni-kiel.de.
Mitja Kulczynski, Email: mku@informatik.uni-kiel.de.
Dirk Nowotka, Email: dn@informatik.uni-kiel.de.
Danny Bøgsted Poulsen, Email: dannybpoulsen@cs.aau.dk.
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