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1 Block codes and minimal Hamming distance

We consider binary codes of length n (linear or not). We let M be the num-


ber of codewords and let dmin be the minimal Hamming distance between two
codewords. Large dmin is good for error-detecting and correcting.
In this section we explore relationships between the three numbers n, M and
dmin .
For fixed length n, if you have many more codewords, (large M ), you have
to pack them closer together in bitspace, so dmin is likely to be smaller.
The Hamming bound makes this precise by providing an upper bound to
the size of M for given n and dmin .
For fixed n and dmin , you can start choosing codewords, always making
sure that the next word is distance dmin or more from all preceding words.
How many words can you put on your list before you get stuck? The
Gilbert-Varshamov Bound gives you a number M of codewords that you
are guaranteed to reach (if you choose wisely).

1.1 The Hamming (sphere packing) bound


The Hamming bound is an upper bound on the number of code words and
the code rate that are possible for a binary code of given length and minimum
distance.
Theorem The numbers n, M and dmin satisfy the inequality
2n
M n
+ n1 + + n
  
0 t

where 
(dmin 2)/2 if dmin is even
t= .
(dmin 1)/2 if dmin is odd
Using the notation

vol(n, r) = number of length n bitstrings containing r or fewer 1s

we have
2n vol(n, n)
M = .
vol(n, t) vol(n, t)
Thus
log2 vol(n, t)
Code rate 1 .
n
Proof. For each codeword w, let Bw be the set of all codewords x such that
d(w, x) t. You can call Bw the Hamming ball of radius t centered at w.
It is easy to see than no ball Bw can contain two different codewords u and v.
If it did, then the triangle inequality shows that dmin would not be the minimal
distance:
d(u, v) d(u, w) + d(w, v) 2t < dmin .

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Since there are M codewords w, and vol(n, t) codewords in each ball Bw ,
and balls do not overlap, all balls taken together contain M vol(n, t) different
bitstrings, which must be among the 2n length n bit stings. QED
There is also a Hamming bound for nonbinary codes.
A code that achieves the Hamming bound is called a perfect code. A perfect
code with minimum distance dmin is characterized by the property that every
length n bitstring can be inverted into one and only one codeword by making
changes in t or fewer bits, where t is as in the sphere packing bound.
Perfect codes are extremely rare. The only nontrivial perfect codes are
Hamming codes and Golay codes.

1.2 The Gilbert-Varshamov Bound


There is an existence theorem for codes that goes in the direction opposite that
of the Hamming bound.
Theorem For each code length N and minimal Hamming distance dmin
N , there is at least one code with M codewords where

2N vol(N, N )
M N N N
= .
vol(N, dmin 1)
 
0 + 1 + + dmin 1

For this code,


log2 vol(N, dmin 1)
Code rate 1 .
N
Proof. We build a code with minimal distance using a greedy algorithm.
Choose any length N bitstring for our first codeword, c1 . Then choose code-
word 2, c2 , to be any bitstring of distance at least dmin from c1 . Continue,
at each step choosing a new codeword that is distance at least dmin from all
preceding codewords. If you have chosen M words and

M vol(N, dmin 1) < 2N

then the M (possibly overlapping) balls of radius dmin 1 centered at codewords


can not together cover all 2N elements of bitspace, so we can pick any of the
omitted strings as another codeword at distance at least dmin from all preceding
ones. For the process to stop, we must have

2N
M .
vol(N, dmin 1)

QED
Of course we especially want to know about linear codes. We will prove
than there are linear codes that approach the Gilbert-Varshamov bound. Before
doing that, we need a criterion for minimal Hamming distance of a linear code.
Let H be an N k parity check matrix for an (N, L) binary linear code,
where N = L + k. Recall that multiplication by H converts errors sequences

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into syndromes. Its nullspace is the set of codewords:
H : FN k
2 (space of error sequences) F2 (space of syndromes).

Lemma The minimal Hamming distance of a linear block code is the small-
est integer d 1 such that there are d rows of H that sum to the zero vector.
Proof: It suffices to prove that there are d 1 rows of H that add to zero if
and only if there are two different codewords at Hamming distance d.
Suppose that d rows of H add to zero. Construct the error sequence e FN 2
with d 1s in positions corresponding to the rows of the sum. Then eH = 0,
which means that e is a codeword. Since the code is linear, x + e is another
codeword. Moreover, dist(x, x + e) = d, so d is the Hamming distance between
two codewords.
Now suppose that x and y are two codewords such that dist(x, y) = d. The
error sequence e = y x is a codeword and contains exactly d 1 s. Hence eH = 0
is the sum of d rows of H. QED
Theorem. (Gilbert-Varshamov for linear codes) For every N , L and d with
1 L < N and 2 d N such that
2N
M = 2L < Pd2 N

i=0 i

there is an (N, L) linear code with minimal Hamming distance d or greater.


Proof. Let k = N L, the syndrome length. We are going to build up an
N k parity check matrix H such that no d 1 or fewer rows add to zero. Its
nullspace will be the code. We will build up H row by row.
Start by choosing r1 through rk to be the rows of the k k identity matrix.
If we have chosen rows r1 , r2 , . . ., ri for 1 i < N so that no d 1 or fewer of
them add to zero, can we succeed in choosing ri+1 ? The requirement is that no
d 1 or fewer of the first i + 1 rows add to zero. The sums not involving ri+1
are already taken care of, so we just need to choose ri+1 Fk2 such that it does
not equal the sum of any d 2 or fewer of the first i rows. How many such sums
are there? In a worst case scenario, all these sums are different. In that case
     
i i i
Number of sums = + + +
0 1 d2
     
N N N
+ + +
0 1 d2
< 2N L = 2k
where the strict inequality comes from the hypothesis of the theorem. Thus
there does exist at least one vector in Fk2 that is not such a sum. We choose
it to be ri+1 , the next row in H. We can continue choosing additional rows
without problem till we have constructed a full N L matrix H. QED
Its an open problem to find a deterministic polynomial time algorithm to
produce binary linear codes approaching the Gilbert-Varshamov bound as N
approaches infinity.

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Part of the problem is that, given a linear code, it is NP hard to compute
or even approximate its minimum distance.

1.3 Hamming codes


Hamming codes achieve the Hamming bound with dmin = 3. Here is a quick
way to construct a systematic Hamming code with k 2 parity bits.
First construct the N k parity check matrix H, the matrix whose rows
contain all the syndromes of error sequences containing a single 1. We choose
for the rows all 2k 1 nonzero elements of Fk2 , arranging for the k k identity
matrix to be at the bottom. The dimensions of H determine that the code
length is
N = 2k 1.
From H it is easy to write down a generator matrix G.
For example, for letting k = 3 we could choose

1 1 0
1 0 1

0 1 1  
P
H= 1 1 1 =

1 0 0
I3

0 1 0
0 0 1

where
1 1 0
1 0 1
P =
0

1 1
1 1 1
is the L k matrix containing the parity bits of the basic data words. We see
that
L = 2k 1 k.
Next we construct the L N generator matrix G of the form

1 0 0 0 1 1 0
 0 1 0 0 1 0 1
G= I P = 0
.
0 1 0 0 1 1
0 0 0 1 1 1 1

A (7, 4) Hamming code is constructed.


No two rows of H add to zero (because no two rows are the same). Any two
rows of H must add to a third row of H (because every k-bit sequence is a row
of H), yielding three rows that add to zero. Therefore dmin = 3 for this code.
Moreover, the code is perfect, which we can verify in two ways.

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The code verifies the Hamming bound.
With N = 2k 1, L = N k, and t = (dmin 1)/2 = 1 we have
   
N N
M + = 2N k (1 + N ) = 2N k (1 + 2k 1) = 2N .
0 1

Every bitstring y in FN
2 is within Hamming distance 1 of one and only
one codeword.
If y is not a codeword, then the syndrome s = yH is the syndrome of an
error sequence e containing a single 1 (because every nonzero syndrome
has this property). Hence y + e is a codeword. Thus we can convert y to
a codeword by changing just 1 bit, so y was at Hamming distance 1 from
a codeword. But y can not be at Hamming distance 1 from two different
codewords because dmin = 3.
While in principle you can create a perfectly fine Hamming code by putting
the syndromes into the rows of H in any order whatsoever, there is a very clever
way to do it so that enables you to use the syndromes compute which bit a single
error belongs to. We secretly did this in the example above. Lets see how it
works.
Number the information columns of G (the first L columns) in increasing
order from 1 to L = 2k 1 but skipping all powers of 2, and number the parity
columns of G (the last k columns) in increasing order using the powers of 2 from
1 to 2k1 . The parity bits for a data word with 1 in column i and 0s elsewhere
is the binary representation of i (digits in reverse order).
In our case, suppose wi is the data word with 1 in column i and zeros
elsewhere. Express i in the form i = a 1 + b 2 + c 4. The codeword for wi is
then wi abc, with parity bits abc. We have
3 = 11+12+04
5 = 11+02+14
6 = 01+12+14
7 = 11+12+14
so

3 5 6 7 1 2 4
1 0 0 0 1 1 0
G= .
0 1 0 0 1 0 1
0 0 1 0 0 1 1
0 0 0 1 1 1 1
If you receive y through the channel, compute its syndrome s = yH = abc.
If s 6= 0, compute i = a 1 + b 2 + c 4, and convert y to a codeword by changing
the single bit in column i.
For example, if we receive y = 1100110, the syndrome is s = yH = 101, we
have i = 1 + 4 = 5, and we change y to codeword x = 1000110.