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Essays on Coding Theory
Critical coding techniques have developed over the past few decades for data storage,
retrieval and transmission systems, significantly mitigating costs for governments and
corporations that maintain server systems containing large amounts of data. This book
surveys the basic ideas of these coding techniques, which tend not to be covered in the
graduate curricula, including pointers to further reading. Written in an informal style,
it avoids detailed coverage of proofs, making it an ideal refresher or brief introduction
for students and researchers in academia and industry who may not have the time to
commit to understanding them deeply. Topics covered include fountain codes designed
for large file downloads; LDPC and polar codes for error correction; network,
rank-metric and subspace codes for the transmission of data through networks;
post-quantum computing; and quantum error correction. Readers are assumed to have
taken basic courses on algebraic coding and information theory.
I a n F. B l a k e is Honorary Professor in the Department of Electrical and
Computer Engineering at the University of British Columbia, Vancouver. He is a
fellow of the Royal Society of Canada, the Institute for Combinatorics and its
Applications, the Canadian Academy of Engineers and a Life Fellow of the IEEE. In
2000, he was awarded an IEEE Millennium Medal. He received his undergraduate
degree at Queen’s University, Canada and doctorate degree at Princeton University in
1967. He also worked in industry, spending sabbatical leaves with IBM and M/A-Com
Linkabit, and working with the Hewlett-Packard Labs from 1996 to 1999. His research
interests include cryptograph and algebraic coding theory, and he has written several
books in these areas.
I a n F. B l a k e
University of British Columbia
www.cambridge.org
Information on this title: www.cambridge.org/9781009283373
DOI: 10.1017/9781009283403
© Ian F. Blake 2024
This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without the written
permission of Cambridge University Press & Assessment.
First published 2024
A catalogue record for this publication is available from the British Library
A Cataloging-in-Publication data record for this book is available from the Library of Congress
ISBN 978-1-009-28337-3 Hardback
Cambridge University Press & Assessment has no responsibility for the persistence or
accuracy of URLs for external or third-party internet websites referred to in this publication
and does not guarantee that any content on such websites is, or will remain,
accurate or appropriate.
Preface page xi
1 Introduction 1
1.1 Notes on Finite Fields and Coding Theory 1
1.2 Notes on Information Theory 16
1.3 An Overview of the Chapters 21
2 Coding for Erasures and Fountain Codes 26
2.1 Preliminaries 27
2.2 Tornado Codes and Capacity-Achieving Sequences 30
2.3 LT and Raptor Codes 44
3 Low-Density Parity-Check Codes 66
3.1 Gallager Decoding Algorithms A and B for the BSC 71
3.2 Performance of LDPC Codes on the BIAWGN Channel 77
3.3 Thresholds, Concentration, Gaussian Approximation, EXIT
Charts 87
4 Polar Codes 97
4.1 Preliminaries and Notation 98
4.2 Polar Code Construction 102
4.3 Subchannel Polarization and Successive Cancellation Decoding 111
5 Network Codes 128
5.1 Network Flows 129
5.2 Network Coding 135
5.3 Construction and Performance of Network Codes 142
6 Coding for Distributed Storage 157
6.1 Performance Limits on Coding for Distributed Storage 158
vii
Index 454
xi
pressure departments face, many of the other topics considered here may not
fare so well.
The idea of this book was to create a series of presentations of modest
length and depth in these topics to facilitate access to them by graduate
students and researchers who may have an interest in them but defer from
making the commitment of time and effort for a deeper understanding. Each
chapter is designed to acquaint the reader with an introduction to the main
results and possibilities without many of the proofs and details. They can
be read independently and a prerequisite is a basic course on algebraic
coding and information theory, although some of the topics present technical
challenges.
There are as many reasons not to write such a book as to write it. A few of
the areas have either excellent monographs or tutorials available on the web.
Also, it might be argued that an edited book on these topics with chapters
written by acknowledged experts would be of more value. Indeed, such a
volume is A Concise Encyclopedia of Coding Theory, W.C. Huffman, J.-L.
Kim and P. Solé, eds., 2021, CRC Press. However, the entries in such a volume,
as excellent as they usually are, are often of an advanced nature, designed for
researchers in the area to bring them abreast of current research directions. It
was felt that a series of chapters, written from a fairly consistent point of view
and designed to introduce readers to the areas covered, rather than provide
a deep coverage, might be of interest. I hope some readers of the volume will
agree. For many of the areas covered, the influence of the seminal papers on the
subjects is impressive. The attempt here is to explain and put into context these
important works, but for a serious researcher in an area, it does not replace the
need to read the original papers.
Choosing the level of the presentation was an interesting challenge. On
the one hand it was desired to achieve as good an appreciation of the results
and implications of an area as possible. The emphasis is on describing and
explaining contributions rather than proving and deriving, as well as providing
a few examples drawn mainly from the literature. On the other hand the
inclusion of too much detail and depth might discourage reading altogether.
It is hoped the compromise reached is satisfactory. While efforts were made to
render readable accounts for the topics, many readers might still find some of
the topics difficult.
Another problem was to choose a consistent notation when describing
results from different authors. Since one of the goals of the work was to provide
an entrée to the main papers of an area, an effort was made to use the notation
of the seminal works. Across the chapters, compromises in notation had to be
made and the hope is that these were reasonable. Generally there was a bias
toward describing code construction techniques for the areas which tended to
make some sections technically challenging.
I would like to thank the many colleagues around the world who provided
helpful and useful comments on many parts of the manuscript. First among
these are Shu Lin and Frank Kschischang, who read virtually all of the work
and consistently supported the effort. I cannot thank them enough for their
comments and suggestions. I would also like to thank Raymond Yeung, Vijay
Kumar, Eitan Yaakobi, Rob Calderbank, Amir Tasbihi and Lele Wang, who
read several of the chapters and provided expert guidance on many issues.
I would also like to thank the Department of Electrical and Computer
Engineering at the University of British Columbia and my colleagues there,
Vijay Bhargava, Lutz Lampe and Lele Wang, for providing such a hospitable
environment in which to pursue this work.
Finally, I would like to thank my wife Betty without whose love, patience
and understanding this book would not have been written.
Since the early 2000s we have seen the basic notions of coding theory expand
beyond the role of error correction and algebraic coding theory. The purpose
of this volume is to provide a brief introduction to a few of the directions that
have been taken as a platform for further reading. Although the approach is to
be descriptive with few proofs, there are parts which are unavoidably technical
and more challenging.
It was mentioned in the Preface that the prerequisite for this work is a basic
course on algebraic coding theory and information theory. In fact only a few
aspects of finite fields, particularly certain properties of polynomials over finite
fields, Reed–Solomon codes and Reed–Muller codes and their generalizations
are considered to provide a common basis and establish the notation to be used.
The trace function on finite fields makes a few appearances in the chapters
and its basic properties are noted. Most of the information will be familiar
and stated informally without proof. A few of the chapters use notions of
information theory and discrete memoryless channels and the background
required for these topics is also briefly reviewed in Section 1.2. The final
Section 1.3 gives a brief description of the chapters that follow.
which has no zero divisors (i.e., two nonzero elements a,b such that ab = 0).
A Euclidean domain is an integral domain which is furnished with a norm
function, in which the division of an element by another with a remainder of
lower degree can be formulated. Equivalently the Euclidean algorithm (EA)
can be formulated in a Euclidean domain.
Recall that the gcd of two integers a,b ∈ Z is the largest integer d
that divides both a and b. Let F be a field and denote by F[x] the ring of
polynomials over F with coefficients from F. The gcd of two polynomials
a(x),b(x) ∈ F[x] is the monic polynomial (coefficient of the highest power
of x is unity) of the greatest degree, d(x), that divides both polynomials. The
EA for polynomials is an algorithm that produces the gcd of polynomials a(x)
and b(x) (the one for integers is similar) by finding polynomials u(x) and v(x)
such that
d(x) = u(x)a(x) + v(x)b(x). (1.1)
That d(x), the last nonzero remainder, is the required gcd is established by
tracing back divisibility conditions. Furthermore, tracing back shows how two
polynomials u(x) and v(x) are found so that Equation 1.1 holds.
A similar argument holds for integers. The gcd is denoted (a,b) or
(a(x),b(x)) for integers and polynomials, respectively. If the gcd of two
integers or polynomials is unity, they are referred to as being relatively prime
and denoted (a,b) = 1 or (a(x),b(x)) = 1.
If the prime factorization of n is
e
n = p1e1 p2e2 · · · pkk , p1,p2, . . . ,pk distinct primes,
then the number of integers less than n that are relatively prime to n is given
by the Euler Totient function φ(n) where
k
φ(n) = piei −1 (pi − 1). (1.2)
i=1
Reed–Muller Codes
Reed–Muller (RM) codes are discussed in some depth in most books on coding
(e.g., [3, 4]) with perhaps the most comprehensive being [2] which considers
their relationship to Euclidean geometries and combinatorial designs. The
properties of RM codes are most easily developed for the binary field but the
general case will be considered here – the Generalized Reed–Muller (GRM)
codes (generalized in a different sense than the GRS codes). The codes are
of most interest in this work for the construction of locally decodable codes
(Chapter 8) and their relationship to multiplicity codes introduced there.
Consider m variables x1,x2, . . . ,xm and the ring Fq [x1,x2, . . . ,xm ] = Fq [x]
of multivariate polynomials over Fq (see also Appendix B). The set of all
monomials of the m variables and their degree is of the form
xi = x1i1 x2i2 · xm
im
, i ∼ (i1,i2, . . . ,im ), degree = ij . (1.9)
j
Case II.—W. H——, æt. 58, male. For fifty years the patient has
been a hard writer, first as an editor and later as a cashier. In 1882
he noticed difficulty in raising arm to put away papers in pigeon-
holes above his head; this movement caused pain in shoulder and
arm. Shortly after this he found that his hand became tremulous
when he attempted to write, and later any voluntary effort was
sufficient to cause the tremor. There has been no cramp. The grip of
both hands is good, nor is there any wasting of the muscles.
Standing with eyes closed causes no swaying, although there are
occasional vertiginous attacks. While walking he has noticed that the
right arm does not swing with its usual freedom. No ataxic pains are
present. Reflexes of right arm and shoulder are very much
exaggerated; there are no changes in nutrition or sensation.
Galvanic reaction normal and alike in both arms. The urine is non-
albuminous.
Case III.—T. L——, æt. 45. In 1880, three years ago, patient noticed
occasional formication in various parts of the right face, hand, and
leg, which ceased after he suspended the use of tea and coffee;
soon after this he noticed that his writing began to lack ease and that
the letters became crowded toward the end of the line; later, a fine
tremor appeared in the fingers of the right hand; crampy sensations
then appeared in the hamstring muscles of right leg, chiefly while
sitting with the knee bent at right angles; writing with the right hand
was sufficient to cause, or at least aggravate, this. In 1882 the right
arm lost its automatic swing during walking, although holding the left
arm still would enable the right arm to swing automatically. Lately the
symptoms have ceased advancing, and some seem to improve. His
present condition is an inability to write with right hand without
paying great attention and making each letter separately, and a
trembling of fingers during excitement of any kind. Coarse
movements of co-ordination can, as a rule, be well performed; there
is no increase of reflexes, nor are they absent; there is no ataxic gait,
and there are no trophic changes. Galvanic reaction is normal, and
alike on both sides. There is no history of hereditary disease or of
venereal taint.
Palsy from pressure, as from sleeping with the head resting upon the
arm or with the arm hanging over the back of a chair, is a frequent
cause of paresis or paralysis of the muscles supplied by the
musculo-spiral.
56 Ibid.
The fact that the left hand becomes implicated in some cases where
it is used to relieve the right should be mentioned in this connection
as lending weight to this hypothesis, especially as in a few cases of
telegraphers' cramp the left hand has been found implicated in the
very first attempt to use it in telegraphing.
62 “The Cure of Writers' Cramp,” Brit. Med. Journ., 1885, vol. i. pp. 323-325.
The older theory that the disease is solely central in its pathology is
advocated by Duchenne,66 Solly,67 Reynolds,68 Althaus,69 Wood,70
Vance,71 Erb,72 Dally,73 Axenfield,74 Whittaker,75 Waller,76 Gowers,77
Hammond,78 Romberg,79 Cederschjöld,80 Robins,81 Ross,82 and
some others. Roth83 considers that there are two entirely separate
classes, the central and the peripheral or local.
66 De l'Électrisation localisée, 3d ed., pp. 1021 et seq.
68 System of Medicine.
69 Julius Althaus, London Mirror, vol. vii., Aug. 1, 1870; also, pamphlet, Scriveners'
Palsy, London, 1870.
70 Practice of Medicine.
71 Reuben A. Vance, Bost. Med. and Surg. Journal, vol. lxxxviii. p. 261.
81 “Writers' Cramp,” Amer. Journ. Med. Sci., April, 1885, pp. 452-462.
82 A Treatise on Diseases of the Nervous System, London, 1881, vol. i. pp. 464-469.
86 Medical Electricity.
Many others have written upon this subject, but upon the probable
pathology they have been silent.
There are some cases where the disability is pronounced, and yet
the most careful examination fails to reveal peripheral changes of
sufficient gravity to account for the severity of the symptoms; these,
in my opinion, are best explained by supposing a hyperexcitability of
the spinal centres, as previously expressed.
Exactly what the alteration in the condition of the spinal cord is which
probably occurs in many of these cases it is impossible to state, but
the view that it is a nutritive change of the upper dorsal and lower
cervical portion of the spinal cord (that is, when the arm is the part
affected, as it is in all but the rarer cases) is quite attractive, the
condition being secondary to a peripheral irritation in many cases.
Althaus95 considers that there is a “constriction of the small arteries,
dilatation of the veins, and slight serous effusions compressing the
nervous matter in the cervical spinal cord.”
95 Loc. cit.
Pain in the cervical and dorsal spine during work may be mentioned
here as an evidence that some of the symptoms are due to central
alterations.
Those few cases that exhibit great difficulty in performing one set of
movements that requires a certain combination of muscles, but are
able to use those same muscles in combination with others with
ease, are difficult of explanation by the peripheral theory of the
disease alone; but less difficulty is encountered if a superexcitability
of the spinal centres is supposed to exist, for here we can imagine
that when all the centres so affected are called into use, and only
then, there will be an undue amount of nervous energy transmitted to
the periphery, and disordered movement be the result.
When the cramp has existed for years and is present in many of the
finer acts of co-ordination, the case becomes almost hopeless as far
as cure is concerned; and even though the part is rested, so far as
the disabling occupation is concerned, for months or even years, it
will be found to return upon resumption of the old work. Roth96
considers those cases due to central changes totally incurable.
96 Loc. cit.
It is also important that the table or desk upon which the writing is
done should be of a convenient height, with plenty of room for the
arrangement of the paper; otherwise an awkward manner is
inevitable.
It has been stated, and quite generally believed, that the slighter
degrees of scriveners' palsy are relieved by avoiding contact with the
metallic portion of the pen-holder,98 and one of the methods taken to
avoid this contact, especially among telegraph operators, is to slip a
piece of rubber tubing over the pen-holder; this certainly does relieve
the fatigue slightly, but the cause is not the avoidance of contact with
metal or the insulation, etc., but simply that the holder is thus made
larger and softer for the fingers, and thus takes the place of a cork
pen-holder, which for some time has been in use for this purpose.
98 W. Bathurst Woodman, St. Andrews Grad. Ass., 1872-73.
The telegraph key should be placed some distance from the edge of
the table, so that the forearm may have sufficient support, resting
upon the bellies of the flexor group of muscles, and thus relieve the
shoulder-muscles, which otherwise would have to support the weight
of the arm. Some operators prefer to hold the arm raised from the
table, but this method is more liable to cause fatigue.
Several keys have been invented for the purpose of lessening the
amount of force needed to manipulate them, and to avoid the jarring
caused by the metallic contact; and, although everything that lessens
the amount of labor should be adopted, the movements of
telegraphing must remain the same no matter which key is used.
The other means described in the last section are also useful in the
treatment as affording temporary rest to the affected muscles.
Hamilton101 has seen occasional benefit from forced rest by
fastening the hand upon a splint.
101 Loc. cit.
In telegraphing, besides using the left arm, the key may be grasped
in a different manner, or if the operator has been holding his arm
raised from the table, let him rest it upon the latter, or vice versâ.
105 Der Schreibekrampf mit Rücksicht auf Path. u. Therap., Wiesbaden, 1860, review
in Schmidt's Jahrbucher, Bd. cxv. 3, 136, 1862.
The galvanic current has of late been considered one of the most
important agents in the treatment of these affections, but there is
considerable variance among authorities as to how it should be
applied. The most efficacious method is the descending current
(anode on the spine and the cathode at the periphery), as this has
been found to be more soothing in its effects than the reverse. The
anode should be placed upon the spine over the cervical cord, and
the cathode in the hand of the affected side or over the affected
muscles or nerves.