Concise Encyclopedia

of Coding Theory
Concise Encyclopedia
of Coding Theory

Edited by
W. Cary Huffman
Loyola University Chicago, USA

Jon-Lark Kim
Sogang University, Republic of Korea

Patrick Solé
University Aix-Marseille, Marseilles, France.
First edition published 2021
by CRC Press
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 To a new generation, my grandchildren
Ezekiel James Huffman − 20 November 2019
Eliana Rei Beaton − 24 June 2020
− W. C. H.

To my daughter Sylvie Jinna Kim

To the memory of my advisor
Vera Pless − 1931–2020
− J.-L. K.

To the memory of my advisor

Gérard D. Cohen − 1951–2018
− P. S.
Contents

Preface xxiii

Contributors xxix

I Coding Fundamentals 1
1 Basics of Coding Theory 3
W. Cary Huffman, Jon-Lark Kim, and Patrick Solé
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 Finite Fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.4 Generator and Parity Check Matrices . . . . . . . . . . . . . . . . . . . . 8
1.5 Orthogonality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.6 Distance and Weight . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.7 Puncturing, Extending, and Shortening Codes . . . . . . . . . . . . . . . 12
1.8 Equivalence and Automorphisms . . . . . . . . . . . . . . . . . . . . . . . 13
1.9 Bounds on Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.9.1 The Sphere Packing Bound . . . . . . . . . . . . . . . . . . . . . . 16
1.9.2 The Singleton Bound . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.9.3 The Plotkin Bound . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.9.4 The Griesmer Bound . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.9.5 The Linear Programming Bound . . . . . . . . . . . . . . . . . . 18
1.9.6 The Gilbert Bound . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.9.7 The Varshamov Bound . . . . . . . . . . . . . . . . . . . . . . . . 20
1.9.8 Asymptotic Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.10 Hamming Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.11 Reed–Muller Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.12 Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.13 Golay Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
1.14 BCH and Reed–Solomon Codes . . . . . . . . . . . . . . . . . . . . . . . 30
1.15 Weight Distributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
1.16 Encoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
1.17 Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
1.18 Shannon’s Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

2 Cyclic Codes over Finite Fields 45

Cunsheng Ding
2.1 Notation and Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.2 Subfield Subcodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.3 Fundamental Constructions of Cyclic Codes . . . . . . . . . . . . . . . . . 47
2.4 The Minimum Distances of Cyclic Codes . . . . . . . . . . . . . . . . . . 48
2.5 Irreducible Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

vii
viii Contents

2.6 BCH Codes and Their Properties . . . . . . . . . . . . . . . . . . . . . . 50

2.6.1 The Minimum Distances of BCH Codes . . . . . . . . . . . . . . . 51
2.6.2 The Dimensions of BCH Codes . . . . . . . . . . . . . . . . . . . 52
2.6.3 Other Aspects of BCH Codes . . . . . . . . . . . . . . . . . . . . 53
2.7 Duadic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
2.8 Punctured Generalized Reed–Muller Codes . . . . . . . . . . . . . . . . . 55
2.9 Another Generalization of the Punctured Binary Reed–Muller Codes . . 57
2.10 Reversible Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

3 Construction and Classification of Codes 61

Patric R. J. Östergård
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.2 Equivalence and Isomorphism . . . . . . . . . . . . . . . . . . . . . . . . 62
3.2.1 Prescribing Symmetries . . . . . . . . . . . . . . . . . . . . . . . . 63
3.2.2 Determining Symmetries . . . . . . . . . . . . . . . . . . . . . . . 66
3.3 Some Central Classes of Codes . . . . . . . . . . . . . . . . . . . . . . . . 67
3.3.1 Perfect Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
3.3.2 MDS Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
3.3.3 Binary Error-Correcting Codes . . . . . . . . . . . . . . . . . . . 73

4 Self-Dual Codes 79
Stefka Bouyuklieva
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
4.2 Weight Enumerators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
4.3 Bounds for the Minimum Distance . . . . . . . . . . . . . . . . . . . . . . 84
4.4 Construction Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
4.4.1 Gluing Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
4.4.2 Circulant Constructions . . . . . . . . . . . . . . . . . . . . . . . 89
4.4.3 Subtraction Procedure . . . . . . . . . . . . . . . . . . . . . . . . 90
4.4.4 Recursive Constructions . . . . . . . . . . . . . . . . . . . . . . . 90
4.4.5 Constructions of Codes with Prescribed Automorphisms . . . . . 92
4.5 Enumeration and Classification . . . . . . . . . . . . . . . . . . . . . . . . 93

5 Codes and Designs 97

Vladimir D. Tonchev
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
5.2 Designs Supported by Codes . . . . . . . . . . . . . . . . . . . . . . . . . 98
5.3 Perfect Codes and Designs . . . . . . . . . . . . . . . . . . . . . . . . . . 99
5.4 The Assmus–Mattson Theorem . . . . . . . . . . . . . . . . . . . . . . . . 101
5.5 Designs from Codes Meeting the Johnson Bound . . . . . . . . . . . . . . 102
5.6 Designs and Majority Logic Decoding . . . . . . . . . . . . . . . . . . . . 105
5.7 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

6 Codes over Rings 111

Steven T. Dougherty
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
6.2 Quaternary Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
6.3 The Gray Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
6.3.1 Kernels of Quaternary Codes . . . . . . . . . . . . . . . . . . . . . 114
6.4 Rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
6.4.1 Codes over Frobenius Rings . . . . . . . . . . . . . . . . . . . . . 115
 Contents ix

6.4.2 Families of Rings . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

6.4.3 The Chinese Remainder Theorem . . . . . . . . . . . . . . . . . . 120
6.5 The MacWilliams Identities . . . . . . . . . . . . . . . . . . . . . . . . . . 121
6.6 Generating Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
6.7 The Singleton Bound and MDR Codes . . . . . . . . . . . . . . . . . . . 126
6.8 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

7 Quasi-Cyclic Codes 129

Cem Güneri, San Ling, and Buket Özkaya
7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
7.2 Algebraic Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
7.3 Decomposition of Quasi-Cyclic Codes . . . . . . . . . . . . . . . . . . . . 132
7.3.1 The Chinese Remainder Theorem and Concatenated Decomposi-
tions of QC Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
7.3.2 Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
7.3.2.1 Trace Representation . . . . . . . . . . . . . . . . . . . . 134
7.3.2.2 Self-Dual and Complementary Dual QC Codes . . . . . 135
7.4 Minimum Distance Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . 137
7.4.1 The Jensen Bound . . . . . . . . . . . . . . . . . . . . . . . . . . 137
7.4.2 The Lally Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
7.4.3 Spectral Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
7.4.3.1 Cyclic Codes and Distance Bounds From Their Zeros . . 138
7.4.3.2 Spectral Theory of QC Codes . . . . . . . . . . . . . . . 140
7.4.3.3 Spectral Bounds for QC Codes . . . . . . . . . . . . . . 141
7.5 Asymptotics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
7.5.1 Good Self-Dual QC Codes Exist . . . . . . . . . . . . . . . . . . . 143
7.5.2 Complementary Dual QC Codes Are Good . . . . . . . . . . . . . 147
7.6 Connection to Convolutional Codes . . . . . . . . . . . . . . . . . . . . . 148

8 Introduction to Skew-Polynomial Rings and Skew-Cyclic Codes 151

Heide Gluesing-Luerssen
8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
8.2 Basic Properties of Skew-Polynomial Rings . . . . . . . . . . . . . . . . . 152
8.3 Skew Polynomials and Linearized Polynomials . . . . . . . . . . . . . . . 157
8.4 Evaluation of Skew Polynomials and Roots . . . . . . . . . . . . . . . . . 158
8.5 Algebraic Sets and Wedderburn Polynomials . . . . . . . . . . . . . . . . 162
8.6 A Circulant Approach Toward Cyclic Block Codes . . . . . . . . . . . . . 166
8.7 Algebraic Theory of Skew-Cyclic Codes with General Modulus . . . . . . 169
8.8 Skew-Constacyclic Codes and Their Duals . . . . . . . . . . . . . . . . . 174
8.9 The Minimum Distance of Skew-Cyclic Codes . . . . . . . . . . . . . . . 176

9 Additive Cyclic Codes 181

Jürgen Bierbrauer, Stefano Marcugini, and Fernanda Pambianco
9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
9.2 Basic Notions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
9.3 Code Equivalence and Cyclicity . . . . . . . . . . . . . . . . . . . . . . . 182
9.4 Additive Codes Which Are Cyclic in the Permutation Sense . . . . . . . . 184
9.4.1 The Linear Case m = 1 . . . . . . . . . . . . . . . . . . . . . . . . 185
9.4.2 The General Case m ≥ 1 . . . . . . . . . . . . . . . . . . . . . . . 187
9.4.3 Equivalence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
9.4.4 Duality and Quantum Codes . . . . . . . . . . . . . . . . . . . . . 191
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9.5 Additive Codes Which Are Cyclic in the Monomial Sense . . . . . . . . . 193
9.5.1 The Linear Case m = 1 . . . . . . . . . . . . . . . . . . . . . . . . 194
9.5.2 The General Case m ≥ 1 . . . . . . . . . . . . . . . . . . . . . . . 195

10 Convolutional Codes 197

Julia Lieb, Raquel Pinto, and Joachim Rosenthal
10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
10.2 Foundational Aspects of Convolutional Codes . . . . . . . . . . . . . . . . 198
10.2.1 Definition of Convolutional Codes via Generator and Parity Check
Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
10.2.2 Distances of Convolutional Codes . . . . . . . . . . . . . . . . . . 203
10.3 Constructions of Codes with Optimal Distance . . . . . . . . . . . . . . . 207
10.3.1 Constructions of MDS Convolutional Codes . . . . . . . . . . . . 207
10.3.2 Constructions of MDP Convolutional Codes . . . . . . . . . . . . 208
10.4 Connections to Systems Theory . . . . . . . . . . . . . . . . . . . . . . . 211
10.5 Decoding of Convolutional Codes . . . . . . . . . . . . . . . . . . . . . . . 214
10.5.1 Decoding over the Erasure Channel . . . . . . . . . . . . . . . . . 214
10.5.1.1 The Case δ = 0 . . . . . . . . . . . . . . . . . . . . . . . 214
10.5.1.2 The General Case . . . . . . . . . . . . . . . . . . . . . . 215
10.5.2 The Viterbi Decoding Algorithm . . . . . . . . . . . . . . . . . . . 217
10.6 Two-Dimensional Convolutional Codes . . . . . . . . . . . . . . . . . . . 218
10.6.1 Definition of 2D Convolutional Codes via Generator and Parity
Check Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
10.6.2 ISO Representations . . . . . . . . . . . . . . . . . . . . . . . . . 221
10.7 Connections to Symbolic Dynamics . . . . . . . . . . . . . . . . . . . . . 223

11 Rank-Metric Codes 227

Elisa Gorla
11.1 Definitions, Isometries, and Equivalence of Codes . . . . . . . . . . . . . . 227
11.2 The Notion of Support in the Rank Metric . . . . . . . . . . . . . . . . . 230
11.3 MRD Codes and Optimal Anticodes . . . . . . . . . . . . . . . . . . . . . 232
11.4 Duality and the MacWilliams Identities . . . . . . . . . . . . . . . . . . . 236
11.5 Generalized Weights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
11.6 q-Polymatroids and Code Invariants . . . . . . . . . . . . . . . . . . . . . 245

12 Linear Programming Bounds 251

Peter Boyvalenkov and Danyo Danev
12.1 Preliminaries – Krawtchouk Polynomials, Codes, and Designs . . . . . . . 251
12.2 General Linear Programming Theorems . . . . . . . . . . . . . . . . . . . 253
12.3 Universal Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
12.4 Linear Programming on Sn−1 . . . . . . . . . . . . . . . . . . . . . . . . . 261
12.5 Linear Programming in Other Coding Theory Problems . . . . . . . . . . 265

13 Semidefinite Programming Bounds for Error-Correcting Codes 267

Frank Vallentin
13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
13.2 Conic Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
13.2.1 Conic Programming and its Duality Theory . . . . . . . . . . . . 268
13.2.2 Linear Programming . . . . . . . . . . . . . . . . . . . . . . . . . 270
13.2.3 Semidefinite Programming . . . . . . . . . . . . . . . . . . . . . . 270
13.3 Independent Sets in Graphs . . . . . . . . . . . . . . . . . . . . . . . . . . 272
 Contents xi

13.3.1 Independence Number and Codes . . . . . . . . . . . . . . . . . . 272

13.3.2 Semidefinite Programming Bounds for the Independence Number 273
13.4 Symmetry Reduction and Matrix ∗-Algebras . . . . . . . . . . . . . . . . 275
13.4.1 Symmetry Reduction of Semidefinite Programs . . . . . . . . . . 276
13.4.2 Matrix ∗-Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
13.4.3 Example: The Delsarte Linear Programming Bound . . . . . . . . 277
13.4.4 Example: The Schrijver Semidefinite Programming Bound . . . . 278
13.5 Extensions and Ramifications . . . . . . . . . . . . . . . . . . . . . . . . . 279

II Families of Codes 283

14 Coding Theory and Galois Geometries 285
Leo Storme
14.1 Galois Geometries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
14.1.1 Basic Properties of Galois Geometries . . . . . . . . . . . . . . . . 285
14.1.2 Spreads and Partial Spreads . . . . . . . . . . . . . . . . . . . . . 287
14.2 Two Links Between Coding Theory and Galois Geometries . . . . . . . . 288
14.2.1 Via the Generator Matrix . . . . . . . . . . . . . . . . . . . . . . 288
14.2.2 Via the Parity Check Matrix . . . . . . . . . . . . . . . . . . . . . 288
14.2.3 Linear MDS Codes and Arcs in Galois Geometries . . . . . . . . . 289
14.2.4 Griesmer Bound and Minihypers . . . . . . . . . . . . . . . . . . . 292
14.3 Projective Reed–Muller Codes . . . . . . . . . . . . . . . . . . . . . . . . 293
14.4 Linear Codes Defined by Incidence Matrices Arising from Galois Geometries 295
14.5 Subspace Codes and Galois Geometries . . . . . . . . . . . . . . . . . . . 297
14.5.1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
14.5.2 Designs over Fq . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
14.5.3 Rank-Metric Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 299
14.5.4 Maximum Scattered Subspaces and MRD Codes . . . . . . . . . . 301
14.5.5 Semifields and MRD Codes . . . . . . . . . . . . . . . . . . . . . . 302
14.5.6 Nonlinear MRD Codes . . . . . . . . . . . . . . . . . . . . . . . . 303
14.6 A Geometric Result Arising from a Coding Theoretic Result . . . . . . . 303

15 Algebraic Geometry Codes and Some Applications 307

Alain Couvreur and Hugues Randriambololona
15.1 Notation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
15.2 Curves and Function Fields . . . . . . . . . . . . . . . . . . . . . . . . . . 312
15.2.1 Curves, Points, Function Fields, and Places . . . . . . . . . . . . 312
15.2.2 Divisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
15.2.3 Morphisms of Curves and Pullbacks . . . . . . . . . . . . . . . . . 314
15.2.4 Differential Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . 314
15.2.4.1 Canonical Divisors . . . . . . . . . . . . . . . . . . . . . 315
15.2.4.2 Residues . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
15.2.5 Genus and the Riemann–Roch Theorem . . . . . . . . . . . . . . 315
15.3 Basics on Algebraic Geometry Codes . . . . . . . . . . . . . . . . . . . . 316
15.3.1 Algebraic Geometry Codes, Definitions, and Elementary Results . 316
15.3.2 Genus 0, Generalized Reed–Solomon and Classical Goppa Codes . 319
15.3.2.1 The CL Description . . . . . . . . . . . . . . . . . . . . . 320
15.3.2.2 The CΩ Description . . . . . . . . . . . . . . . . . . . . . 321
15.4 Asymptotic Parameters of Algebraic Geometry Codes . . . . . . . . . . . 323
15.4.1 Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
15.4.2 The Tsfasman–Vlăduţ–Zink Bound . . . . . . . . . . . . . . . . . 324
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15.4.3 Subfield Subcodes and the Katsman–Tsfasman–Wirtz Bound . . . 326

15.4.4 Nonlinear Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
15.5 Improved Lower Bounds for the Minimum Distance . . . . . . . . . . . . 326
15.5.1 Floor Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328
15.5.2 Order Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330
15.5.3 Further Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
15.5.4 Geometric Bounds for Codes from Embedded Curves . . . . . . . 332
15.6 Decoding Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
15.6.1 Decoding Below Half the Designed Distance . . . . . . . . . . . . 333
15.6.1.1 The Basic Algorithm . . . . . . . . . . . . . . . . . . . . 333
15.6.1.2 Getting Rid of Algebraic Geometry: Error-Correcting
Pairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
15.6.1.3 Reducing the Gap to Half the Designed Distance . . . . 337
15.6.1.4 Decoding Up to Half the Designed Distance: The Feng–
Rao Algorithm and Error-Correcting Arrays . . . . . . . 337
15.6.2 List Decoding and the Guruswami–Sudan Algorithm . . . . . . . 339
15.7 Application to Public-Key Cryptography: A McEliece-Type Cryptosystem 340
15.7.1 History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
15.7.2 McEliece’s Original Proposal Using Binary Classical Goppa Codes 342
15.7.3 Advantages and Drawbacks of the McEliece Scheme . . . . . . . . 342
15.7.4 Janwa and Moreno’s Proposals Using AG Codes . . . . . . . . . . 342
15.7.5 Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
15.7.5.1 Concatenated Codes Are Not Secure . . . . . . . . . . . 343
15.7.5.2 Algebraic Geometry Codes Are Not Secure . . . . . . . 343
15.7.5.3 Conclusion: Only Subfield Subcodes of AG Codes Remain
Unbroken . . . . . . . . . . . . . . . . . . . . . . . . . . 343
15.8 Applications Related to the ?-Product: Frameproof Codes, Multiplication
Algorithms, and Secret Sharing . . . . . . . . . . . . . . . . . . . . . . . . 344
15.8.1 The ?-Product from the Perspective of AG Codes . . . . . . . . . 344
15.8.1.1 Basic Properties . . . . . . . . . . . . . . . . . . . . . . 344
15.8.1.2 Dimension of ?-Products . . . . . . . . . . . . . . . . . . 345
15.8.1.3 Joint Bounds on Dimension and Distance . . . . . . . . 347
15.8.1.4 Automorphisms . . . . . . . . . . . . . . . . . . . . . . . 347
15.8.2 Frameproof Codes and Separating Systems . . . . . . . . . . . . . 348
15.8.3 Multiplication Algorithms . . . . . . . . . . . . . . . . . . . . . . 349
15.8.4 Arithmetic Secret Sharing . . . . . . . . . . . . . . . . . . . . . . 352
15.9 Application to Distributed Storage Systems: Locally Recoverable Codes . 354
15.9.1 Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354
15.9.2 A Bound on the Parameters Involving Locality . . . . . . . . . . 356
15.9.3 Tamo–Barg Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
15.9.4 Locally Recoverable Codes from Coverings of Algebraic Curves:
Barg–Tamo–Vlăduţ Codes . . . . . . . . . . . . . . . . . . . . . . 357
15.9.5 Improvement: Locally Recoverable Codes with Higher Local Dis-
tance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
15.9.6 Fibre Products of Curves and the Availability Problem . . . . . . 359

16 Codes in Group Algebras 363

Wolfgang Willems
16.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
16.2 Finite Dimensional Algebras . . . . . . . . . . . . . . . . . . . . . . . . . 364
16.3 Group Algebras . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
 Contents xiii

16.4 Group Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369

16.5 Self-Dual Group Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
16.6 Idempotent Group Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . 374
16.7 LCP and LCD Group Codes . . . . . . . . . . . . . . . . . . . . . . . . . 375
16.8 Divisible Group Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
16.9 Checkable Group Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
16.10 Decoding Group Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381
16.11 Asymptotic Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382
16.12 Group Codes over Rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383

17 Constacyclic Codes over Finite Commutative Chain Rings 385

Hai Q. Dinh and Sergio R. López-Permouth
17.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 385
17.2 Chain Rings, Galois Rings, and Alternative Distances . . . . . . . . . . . 387
17.3 Constacyclic Codes over Arbitrary Commutative Finite Rings . . . . . . 391
17.4 Simple-Root Cyclic and Negacyclic Codes over Finite Chain Rings . . . . 392
17.5 Repeated-Root Constacyclic Codes over Galois Rings . . . . . . . . . . . 399
17.6 Repeated-Root Constacyclic Codes over R = Fpm + uFpm , u2 = 0 . . . . 407
17.6.1 All Constacyclic Codes of Length ps over R . . . . . . . . . . . . 407
17.6.2 All Constacyclic Codes of Length 2ps over R . . . . . . . . . . . . 412
17.6.3 All Constacyclic Codes of Length 4ps over R . . . . . . . . . . . . 414
17.6.4 λ-Constacyclic Codes of Length nps over R, λ ∈ F∗pm . . . . . . . 418
17.7 Extensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423

18 Weight Distribution of Trace Codes over Finite Rings 429

Minjia Shi
18.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
18.2 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430
18.3 A Class of Special Finite Rings Rk (Type I) . . . . . . . . . . . . . . . . 430
18.3.1 Case (i) k = 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
18.3.2 Case (ii) k = 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
18.3.3 Case (iii) k > 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433
18.3.4 Case (iv) Rk (p), p an Odd Prime . . . . . . . . . . . . . . . . . . 435
18.4 A Class of Special Finite Rings R(k, p, uk = a) (Type II) . . . . . . . . . 441
18.5 Three Special Rings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 444
18.5.1 R(2, p, u2 = u) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 444
18.5.2 R(3, 2, u3 = 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
18.5.3 R(3, 3, u3 = 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447
18.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448

19 Two-Weight Codes 449

Andries E. Brouwer
19.1 Generalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
19.2 Codes as Projective Multisets . . . . . . . . . . . . . . . . . . . . . . . . . 450
19.2.1 Weights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450
19.3 Graphs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451
19.3.1 Difference Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451
19.3.2 Using a Projective Set as a Difference Set . . . . . . . . . . . . . 451
19.3.3 Strongly Regular Graphs . . . . . . . . . . . . . . . . . . . . . . . 451
19.3.4 Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452
19.3.5 Complement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
xiv Contents

19.3.6 Duality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453

19.3.7 Field Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
19.4 Irreducible Cyclic Two-Weight Codes . . . . . . . . . . . . . . . . . . . . 454
19.5 Cyclotomy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
19.5.1 The Van Lint–Schrijver Construction . . . . . . . . . . . . . . . . 455
19.5.2 The De Lange Graphs . . . . . . . . . . . . . . . . . . . . . . . . 456
19.5.3 Generalizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
19.6 Rank 3 Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
19.6.1 One-Dimensional Affine Rank 3 Groups . . . . . . . . . . . . . . . 456
19.7 Two-Character Sets in Projective Space . . . . . . . . . . . . . . . . . . . 457
19.7.1 Subspaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
19.7.2 Quadrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
19.7.3 Maximal Arcs and Hyperovals . . . . . . . . . . . . . . . . . . . . 459
19.7.4 Baer Subspaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459
19.7.5 Hermitian Quadrics . . . . . . . . . . . . . . . . . . . . . . . . . . 459
19.7.6 Sporadic Examples . . . . . . . . . . . . . . . . . . . . . . . . . . 459
19.8 Nonprojective Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461
19.9 Brouwer–Van Eupen Duality . . . . . . . . . . . . . . . . . . . . . . . . . 461
19.9.1 From Projective Code to Two-Weight Code . . . . . . . . . . . . 461
19.9.2 From Two-Weight Code to Projective Code . . . . . . . . . . . . 462

20 Linear Codes from Functions 463

Sihem Mesnager
20.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465
20.2 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
20.2.1 The Trace Function . . . . . . . . . . . . . . . . . . . . . . . . . . 466
20.2.2 Vectorial Functions . . . . . . . . . . . . . . . . . . . . . . . . . . 466
20.2.2.1 Representations of p-Ary Functions . . . . . . . . . . . . 466
20.2.2.2 The Walsh Transform of a Vectorial Function . . . . . . 468
20.2.3 Nonlinearity of Vectorial Boolean Functions and Bent Boolean
Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469
20.2.4 Plateaued Functions and More about Bent Functions . . . . . . . 471
20.2.5 Differential Uniformity of Vectorial Boolean Functions, PN, and
APN Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473
20.2.6 APN and Planar Functions over Fqm . . . . . . . . . . . . . . . . 474
20.2.7 Dickson Polynomials . . . . . . . . . . . . . . . . . . . . . . . . . 475
20.3 Generic Constructions of Linear Codes . . . . . . . . . . . . . . . . . . . 476
20.3.1 The First Generic Construction . . . . . . . . . . . . . . . . . . . 476
20.3.2 The Second Generic Construction . . . . . . . . . . . . . . . . . . 478
20.3.2.1 The Defining Set Construction of Linear Codes . . . . . 478
20.3.2.2 Generalizations of the Defining Set Construction of Lin-
ear Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 479
20.3.2.3 A Modified Defining Set Construction of Linear Codes . 479
20.4 Binary Codes with Few Weights from Boolean Functions and Vectorial
Boolean Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
20.4.1 A First Example of Codes from Boolean Functions: Reed–Muller
Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
20.4.2 A General Construction of Binary Linear Codes from Boolean
Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480
20.4.3 Binary Codes from the Preimage f −1 (b) of Boolean Functions f . 480
20.4.4 Codes with Few Weights from Bent Boolean Functions . . . . . . 481
 Contents xv

20.4.5 Codes with Few Weights from Semi-Bent Boolean Functions . . . 482
20.4.6 Linear Codes from Quadratic Boolean Functions . . . . . . . . . . 483
20.4.7 Binary Codes CDf with Three Weights . . . . . . . . . . . . . . . 484
20.4.8 Binary Codes CDf with Four Weights . . . . . . . . . . . . . . . . 484
20.4.9 Binary Codes CDf with at Most Five Weights . . . . . . . . . . . 485
20.4.10 A Class of Two-Weight Binary Codes from the Preimage of a Type
of Boolean Function . . . . . . . . . . . . . . . . . . . . . . . . . . 486
20.4.11 Binary Codes from Boolean Functions Whose Supports are Rela-
tive Difference Sets . . . . . . . . . . . . . . . . . . . . . . . . . . 487
20.4.12 Binary Codes with Few Weights from Plateaued Boolean Functions 487
20.4.13 Binary Codes with Few Weights from Almost Bent Functions . . 488
20.4.14 Binary Codes CD(G) from Functions on F2m of the Form G(x) =
F (x) + F (x + 1) + 1 . . . . . . . . . . . . . . . . . . . . . . . . . 489
20.4.15 Binary Codes from the Images of Certain Functions on F2m . . . 489
20.5 Constructions of Cyclic Codes from Functions: The Sequence Approach . 490
20.5.1 A Generic Construction of Cyclic Codes with Polynomials . . . . 490
20.5.2 Binary Cyclic Codes from APN Functions . . . . . . . . . . . . . 492
20.5.3 Non-Binary Cyclic Codes from Monomials and Trinomials . . . . 495
20.5.4 Cyclic Codes from Dickson Polynomials . . . . . . . . . . . . . . . 498
20.6 Codes with Few Weights from p-Ary Functions with p Odd . . . . . . . . 503
20.6.1 Codes with Few Weights from p-Ary Weakly Regular Bent Func-
tions Based on the First Generic Construction . . . . . . . . . . . 503
20.6.2 Linear Codes with Few Weights from Cyclotomic Classes and
Weakly Regular Bent Functions . . . . . . . . . . . . . . . . . . . 504
20.6.3 Codes with Few Weights from p-Ary Weakly Regular Bent Func-
tions Based on the Second Generic Construction . . . . . . . . . . 507
20.6.4 Codes with Few Weights from p-Ary Weakly Regular Plateaued
Functions Based on the First Generic Construction . . . . . . . . 508
20.6.5 Codes with Few Weights from p-Ary Weakly Regular Plateaued
Functions Based on the Second Generic Construction . . . . . . . 510
20.7 Optimal Linear Locally Recoverable Codes from p-Ary Functions . . . . . 521
20.7.1 Constructions of r-Good Polynomials for Optimal LRC Codes . . 523
20.7.1.1 Good Polynomials from Power Functions . . . . . . . . . 523
20.7.1.2 Good Polynomials from Linearized Functions . . . . . . 523
20.7.1.3 Good Polynomials from Function Composition . . . . . 523
20.7.1.4 Good Polynomials from Dickson Polynomials of the First
Kind . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 524
20.7.1.5 Good Polynomials from the Composition of Functions In-
volving Dickson Polynomials . . . . . . . . . . . . . . . . 525

21 Codes over Graphs 527

Christine A. Kelley
21.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527
21.2 Low-Density Parity Check Codes . . . . . . . . . . . . . . . . . . . . . . . 528
21.3 Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 532
21.3.1 Decoder Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 537
21.4 Codes from Finite Geometries . . . . . . . . . . . . . . . . . . . . . . . . 540
21.5 Codes from Expander Graphs . . . . . . . . . . . . . . . . . . . . . . . . 542
21.6 Protograph Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545
21.7 Density Evolution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 548
21.8 Other Families of Codes over Graphs . . . . . . . . . . . . . . . . . . . . 550
xvi Contents

21.8.1 Turbo Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550

21.8.2 Repeat Accumulate Codes . . . . . . . . . . . . . . . . . . . . . . 551
21.8.3 Spatially-Coupled LDPC Codes . . . . . . . . . . . . . . . . . . . 551

III Applications 553

22 Alternative Metrics 555
Marcelo Firer
22.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
22.2 Metrics Generated by Subspaces . . . . . . . . . . . . . . . . . . . . . . . 558
22.2.1 Projective Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . 558
22.2.2 Combinatorial Metrics . . . . . . . . . . . . . . . . . . . . . . . . 559
22.2.2.1 Block Metrics . . . . . . . . . . . . . . . . . . . . . . . . 561
22.2.2.2 b-Burst Metrics . . . . . . . . . . . . . . . . . . . . . . . 561
22.2.2.3 b1 × b2 -Burst Metrics . . . . . . . . . . . . . . . . . . . . 562
22.3 Poset Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562
22.3.1 Poset-Block Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . 565
22.3.2 Graph Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565
22.4 Additive Generalizations of the Lee Metric . . . . . . . . . . . . . . . . . 566
22.4.1 Metrics over Rings of Integers . . . . . . . . . . . . . . . . . . . . 566
22.4.2 l-Dimensional Lee Weights . . . . . . . . . . . . . . . . . . . . . . 567
22.4.3 Kaushik–Sharma Metrics . . . . . . . . . . . . . . . . . . . . . . . 567
22.5 Non-Additive Metrics Digging into the Alphabet . . . . . . . . . . . . . . 568
22.5.1 Pomset Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . 568
22.5.2 m-Spotty Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . 569
22.6 Metrics for Asymmetric Channels . . . . . . . . . . . . . . . . . . . . . . 570
22.6.1 The Asymmetric Metric . . . . . . . . . . . . . . . . . . . . . . . 570
22.6.2 The Generalized Asymmetric Metric . . . . . . . . . . . . . . . . 571
22.7 Editing Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 571
22.7.1 Bounds for Editing Codes . . . . . . . . . . . . . . . . . . . . . . 572
22.8 Permutation Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 573

23 Algorithmic Methods 575

Alfred Wassermann
23.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575
23.2 Linear Codes with Prescribed Minimum Distance . . . . . . . . . . . . . 576
23.3 Linear Codes as Sets of Points in Projective Geometry . . . . . . . . . . . 577
23.3.1 Automorphisms of Projective Point Sets . . . . . . . . . . . . . . 580
23.4 Projective Point Sets with Prescribed Automorphism Groups . . . . . . . 582
23.4.1 Strategies for Choosing Groups . . . . . . . . . . . . . . . . . . . 585
23.4.2 Observations for Permutation Groups . . . . . . . . . . . . . . . . 585
23.4.3 Observations for Cyclic Groups . . . . . . . . . . . . . . . . . . . 586
23.5 Solving Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587
23.6 Construction of Codes with Additional Restrictions . . . . . . . . . . . . 587
23.6.1 Projective Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . 587
23.6.2 Codes with Few Weights . . . . . . . . . . . . . . . . . . . . . . . 587
23.6.3 Divisible Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 588
23.6.4 Codes with Prescribed Gram Matrix . . . . . . . . . . . . . . . . 589
23.6.5 Self-Orthogonal Codes . . . . . . . . . . . . . . . . . . . . . . . . 591
23.6.6 LCD Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 592
23.7 Extensions of Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 594
 Contents xvii

23.8 Determining the Minimum Distance and Weight Distribution . . . . . . . 595

24 Interpolation Decoding 599

Swastik Kopparty
24.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
24.2 The Berlekamp–Welch Algorithm . . . . . . . . . . . . . . . . . . . . . . 600
24.2.1 Correctness of the Algorithm RSDecode . . . . . . . . . . . . . . 602
24.3 List-decoding of Reed–Solomon Codes . . . . . . . . . . . . . . . . . . . . 603
24.3.1 The Sudan Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . 603
24.3.2 Correctness of the Algorithm RSListDecodeV1 . . . . . . . . . . . 604
24.4 List-decoding of Reed–Solomon Codes Using Multiplicities . . . . . . . . 605
24.4.1 Preparations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 606
24.4.2 The Guruswami–Sudan Algorithm . . . . . . . . . . . . . . . . . . 607
24.4.3 Correctness of the Algorithm RSListDecodeV2 . . . . . . . . . . . 608
24.4.4 Why Do Multiplicities Help? . . . . . . . . . . . . . . . . . . . . . 608
24.5 Decoding of Interleaved Reed–Solomon Codes under Random Error . . . 609
24.6 Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 611

25 Pseudo-Noise Sequences 613

Tor Helleseth and Chunlei Li
25.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 613
25.2 Sequences with Low Correlation . . . . . . . . . . . . . . . . . . . . . . . 614
25.2.1 Correlation Measures of Sequences . . . . . . . . . . . . . . . . . 614
25.2.2 Sequences with Low Periodic Autocorrelation . . . . . . . . . . . 619
25.2.3 Sequence Families with Low Periodic Correlation . . . . . . . . . 624
25.3 Shift Register Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . 626
25.3.1 Feedback Shift Registers . . . . . . . . . . . . . . . . . . . . . . . 627
25.3.2 Cycle Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . 628
25.3.3 Cycle Joining and Splitting . . . . . . . . . . . . . . . . . . . . . . 630
25.3.4 Cycle Structure of LFSRs . . . . . . . . . . . . . . . . . . . . . . 631
25.4 Generation of De Bruijn Sequences . . . . . . . . . . . . . . . . . . . . . . 634
25.4.1 Graphical Approach . . . . . . . . . . . . . . . . . . . . . . . . . . 634
25.4.2 Combinatorial Approach . . . . . . . . . . . . . . . . . . . . . . . 636
25.4.3 Algebraic Approach . . . . . . . . . . . . . . . . . . . . . . . . . . 640

26 Lattice Coding 645

Frédérique Oggier
26.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 645
26.2 Lattice Coding for the Gaussian Channel . . . . . . . . . . . . . . . . . . 646
26.3 Modulation Schemes for Fading Channels . . . . . . . . . . . . . . . . . . 648
26.3.1 Channel Model and Design Criteria . . . . . . . . . . . . . . . . . 648
26.3.2 Lattices from Quadratic Fields . . . . . . . . . . . . . . . . . . . . 649
26.4 Lattices from Linear Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 651
26.4.1 Construction A . . . . . . . . . . . . . . . . . . . . . . . . . . . . 651
26.4.2 Constructions D and D . . . . . . . . . . . . . . . . . . . . . . . . 653
26.5 Variations of Lattice Coding Problems . . . . . . . . . . . . . . . . . . . . 654
26.5.1 Index Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 655
26.5.2 Wiretap Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 655
xviii Contents

27 Quantum Error-Control Codes 657

Martianus Frederic Ezerman
27.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657
27.2 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 658
27.3 The Stabilizer Formalism . . . . . . . . . . . . . . . . . . . . . . . . . . . 660
27.4 Constructions via Classical Codes . . . . . . . . . . . . . . . . . . . . . . 665
27.5 Going Asymmetric . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 669
27.6 Other Approaches and a Conclusion . . . . . . . . . . . . . . . . . . . . . 671

28 Space-Time Coding 673

Frédérique Oggier
28.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
28.2 Channel Models and Design Criteria . . . . . . . . . . . . . . . . . . . . . 674
28.2.1 Coherent Space-Time Coding . . . . . . . . . . . . . . . . . . . . 675
28.2.2 Differential Space-Time Coding . . . . . . . . . . . . . . . . . . . 676
28.3 Some Examples of Space-Time Codes . . . . . . . . . . . . . . . . . . . . 677
28.3.1 The Alamouti Code . . . . . . . . . . . . . . . . . . . . . . . . . . 677
28.3.2 Linear Dispersion Codes . . . . . . . . . . . . . . . . . . . . . . . 678
28.3.3 The Golden Code . . . . . . . . . . . . . . . . . . . . . . . . . . . 678
28.3.4 Cayley Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 679
28.4 Variations of Space-Time Coding Problems . . . . . . . . . . . . . . . . . 680
28.4.1 Distributed Space-Time Coding . . . . . . . . . . . . . . . . . . . 680
28.4.2 Space-Time Coded Modulation . . . . . . . . . . . . . . . . . . . 681
28.4.3 Fast Decodable Space-Time Codes . . . . . . . . . . . . . . . . . . 681
28.4.4 Secure Space-Time Coding . . . . . . . . . . . . . . . . . . . . . . 683

29 Network Codes 685

Frank R. Kschischang
29.1 Packet Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 685
29.2 Multicasting from a Single Source . . . . . . . . . . . . . . . . . . . . . . 687
29.2.1 Combinational Packet Networks . . . . . . . . . . . . . . . . . . . 687
29.2.2 Network Information Flow Problems . . . . . . . . . . . . . . . . 689
29.2.3 The Unicast Problem . . . . . . . . . . . . . . . . . . . . . . . . . 689
29.2.4 Linear Network Coding Achieves Multicast Capacity . . . . . . . 690
29.2.5 Multicasting from Multiple Sources . . . . . . . . . . . . . . . . . 691
29.3 Random Linear Network Coding . . . . . . . . . . . . . . . . . . . . . . . 692
29.4 Operator Channels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 694
29.4.1 Vector Space, Matrix, and Combinatorial Preliminaries . . . . . . 694
29.4.2 The Operator Channel . . . . . . . . . . . . . . . . . . . . . . . . 697
29.5 Codes and Metrics in Pq (n) . . . . . . . . . . . . . . . . . . . . . . . . . . 698
29.5.1 Subspace Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 698
29.5.2 Coding Metrics on Pq (n) . . . . . . . . . . . . . . . . . . . . . . . 699
29.6 Bounds on Constant-Dimension Codes . . . . . . . . . . . . . . . . . . . . 701
29.6.1 The Sphere Packing Bound . . . . . . . . . . . . . . . . . . . . . . 701
29.6.2 The Singleton Bound . . . . . . . . . . . . . . . . . . . . . . . . . 702
29.6.3 The Anticode Bound . . . . . . . . . . . . . . . . . . . . . . . . . 702
29.6.4 Johnson-Type Bounds . . . . . . . . . . . . . . . . . . . . . . . . 703
29.6.5 The Ahlswede and Aydinian Bound . . . . . . . . . . . . . . . . . 704
29.6.6 A Gilbert–Varshamov-Type Bound . . . . . . . . . . . . . . . . . 704
29.7 Constructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
29.7.1 Lifted Rank-Metric Codes . . . . . . . . . . . . . . . . . . . . . . 705
 Contents xix

29.7.2 Padded Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 707

29.7.3 Lifted Ferrers Diagram Codes . . . . . . . . . . . . . . . . . . . . 708
29.7.4 Codes Obtained by Integer Linear Programming . . . . . . . . . . 710
29.7.5 Further Constructions . . . . . . . . . . . . . . . . . . . . . . . . 710
29.8 Encoding and Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711
29.8.1 Encoding a Union of Lifted FD Codes . . . . . . . . . . . . . . . 711
29.8.2 Decoding Lifted Delsarte–Gabidulin Codes . . . . . . . . . . . . . 711
29.8.3 Decoding a Union of Lifted FD Codes . . . . . . . . . . . . . . . . 712
29.9 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 713

30 Coding for Erasures and Fountain Codes 715

Ian F. Blake
30.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 715
30.2 Tornado Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 717
30.3 LT Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 722
30.4 Raptor Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 727

31 Codes for Distributed Storage 735

Vinayak Ramkumar, Myna Vajha, S. B. Balaji, M. Nikhil Krishnan,
Birenjith Sasidharan, and P. Vijay Kumar
31.1 Reed–Solomon Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 737
31.2 Regenerating Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 738
31.2.1 An Example of a Regenerating Code and Sub-Packetization . . . 739
31.2.2 General Definition of a Regenerating Code . . . . . . . . . . . . . 739
31.2.3 Bound on File Size . . . . . . . . . . . . . . . . . . . . . . . . . . 740
31.2.4 MSR and MBR Codes . . . . . . . . . . . . . . . . . . . . . . . . 741
31.2.5 Storage Bandwidth Tradeoff for Exact-Repair . . . . . . . . . . . 742
31.2.6 Polygon MBR Codes . . . . . . . . . . . . . . . . . . . . . . . . . 742
31.2.7 The Product-Matrix MSR and MBR Constructions . . . . . . . . 743
31.2.7.1 PM-MSR Codes . . . . . . . . . . . . . . . . . . . . . . . 743
31.2.7.2 PM-MBR Codes . . . . . . . . . . . . . . . . . . . . . . 744
31.2.8 The Clay Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . 745
31.2.9 Variants of Regenerating Codes . . . . . . . . . . . . . . . . . . . 748
31.3 Locally Recoverable Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 749
31.3.1 Information Symbol Locality . . . . . . . . . . . . . . . . . . . . . 750
31.3.1.1 Pyramid Codes . . . . . . . . . . . . . . . . . . . . . . . 750
31.3.1.2 Windows Azure LRC . . . . . . . . . . . . . . . . . . . . 751
31.3.2 All Symbol Locality . . . . . . . . . . . . . . . . . . . . . . . . . . 751
31.3.3 LRCs over Small Field Size . . . . . . . . . . . . . . . . . . . . . . 753
31.3.4 Recovery from Multiple Erasures . . . . . . . . . . . . . . . . . . 754
31.3.4.1 Codes with Sequential Recovery . . . . . . . . . . . . . . 754
31.3.4.2 Codes with Parallel Recovery . . . . . . . . . . . . . . . 755
31.3.4.3 Codes with Availability . . . . . . . . . . . . . . . . . . 755
31.3.4.4 Codes with Cooperative Recovery . . . . . . . . . . . . . 756
31.3.4.5 Codes with (r, δ) Locality . . . . . . . . . . . . . . . . . 756
31.3.4.6 Hierarchical Codes . . . . . . . . . . . . . . . . . . . . . 757
31.3.5 Maximally Recoverable Codes . . . . . . . . . . . . . . . . . . . . 757
31.4 Locally Regenerating Codes . . . . . . . . . . . . . . . . . . . . . . . . . . 758
31.5 Efficient Repair of Reed–Solomon Codes . . . . . . . . . . . . . . . . . . . 759
31.6 Codes for Distributed Storage in Practice . . . . . . . . . . . . . . . . . . 760
xx Contents

32 Polar Codes 763

Noam Presman and Simon Litsyn
32.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 763
32.2 Kernel Based ECCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 764
32.2.1 Kernel Based ECCs are Recursive GCCs . . . . . . . . . . . . . . 766
32.3 Channel Splitting and Combining and the SC Algorithm . . . . . . . . . 769
32.4 Polarization Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 771
32.4.1 Polarization Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . 774
32.5 Polar Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 775
32.5.1 Polar Code Design . . . . . . . . . . . . . . . . . . . . . . . . . . 775
32.6 Polar Codes Encoding Algorithms . . . . . . . . . . . . . . . . . . . . . . 776
32.7 Polar Codes Decoding Algorithms . . . . . . . . . . . . . . . . . . . . . . 777
32.7.1 The SC Decoding Algorithm . . . . . . . . . . . . . . . . . . . . . 778
32.7.1.1 SC for (u + v, v) . . . . . . . . . . . . . . . . . . . . . . 778
32.7.1.2 SC for General Kernels . . . . . . . . . . . . . . . . . . . 780
32.7.1.3 SC Complexity . . . . . . . . . . . . . . . . . . . . . . . 781
32.7.2 The SCL Decoding Algorithm . . . . . . . . . . . . . . . . . . . . 781
32.8 Summary and Concluding Remarks . . . . . . . . . . . . . . . . . . . . . 783

33 Secret Sharing with Linear Codes 785

Cunsheng Ding
33.1 Introduction to Secret Sharing Schemes . . . . . . . . . . . . . . . . . . . 785
33.2 The First Construction of Secret Sharing Schemes . . . . . . . . . . . . . 787
33.3 The Second Construction of Secret Sharing Schemes . . . . . . . . . . . . 790
33.3.1 Minimal Linear Codes and the Covering Problem . . . . . . . . . 790
33.3.2 The Second Construction of Secret Sharing Schemes . . . . . . . . 791
33.3.3 Secret Sharing Schemes from the Duals of Minimal Codes . . . . 792
33.3.4 Other Works on the Second Construction . . . . . . . . . . . . . . 793
33.4 Multisecret Sharing with Linear Codes . . . . . . . . . . . . . . . . . . . 794
33.4.1 The Relation Between Multisecret Sharing and Codes . . . . . . . 795
33.4.2 Linear Threshold Schemes and MDS Codes . . . . . . . . . . . . . 796

34 Code-Based Cryptography 799

Philippe Gaborit and Jean-Christophe Deneuville
34.1 Preliminaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800
34.1.1 Notation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800
34.1.2 Background on Coding Theory . . . . . . . . . . . . . . . . . . . . 801
34.2 Difficult Problems for Code-Based Cryptography: The Syndrome Decoding
Problem and Its Variations . . . . . . . . . . . . . . . . . . . . . . . . . . 803
34.3 Best-Known Attacks for the Syndrome Decoding Problem . . . . . . . . . 804
34.4 Public-Key Encryption from Coding Theory with Hidden Structure . . . 807
34.4.1 The McEliece and Niederreiter Frameworks . . . . . . . . . . . . 807
34.4.2 Group-Structured McEliece Framework . . . . . . . . . . . . . . . 809
34.4.3 Moderate-Density Parity Check (MDPC) Codes . . . . . . . . . . 810
34.5 PKE Schemes with Reduction to Decoding Random Codes without Hidden
Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 812
34.5.1 Alekhnovich’s Approach . . . . . . . . . . . . . . . . . . . . . . . 812
34.5.2 HQC: Efficient Encryption from Random Quasi-Cyclic Codes . . 813
34.5.3 Ouroboros Key-Exchange Protocol . . . . . . . . . . . . . . . . . 814
34.6 Examples of Parameters for Code-Based Encryption and Key Exchange . 815
34.7 Authentication: The Stern Zero-Knowledge Protocol . . . . . . . . . . . . 816
 Contents xxi

34.8 Digital Signatures from Coding Theory . . . . . . . . . . . . . . . . . . . 817

34.8.1 Signature from a Zero-Knowledge Authentication Scheme with the
Fiat–Shamir Heuristic . . . . . . . . . . . . . . . . . . . . . . . . 818
34.8.2 The CFS Signature Scheme . . . . . . . . . . . . . . . . . . . . . 818
34.8.3 The WAVE Signature . . . . . . . . . . . . . . . . . . . . . . . . . 819
34.8.4 Few-Times Signature Schemes and Variations . . . . . . . . . . . 820
34.9 Other Primitives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 820
34.10 Rank-Based Cryptography . . . . . . . . . . . . . . . . . . . . . . . . . . 820

Bibliography 823

Index 941
Preface

The 1948 publication of the paper A mathematical theory of communication by Claude E.

Shannon is considered to be the genesis of the now vast area of coding theory. In the over 70
years since this monumental work first appeared, coding theory has grown into a discipline
intersecting mathematics, computer science, and engineering with applications to almost
every area of communication and data storage and even beyond. Given a communication
channel on which data is transmitted or a storage device on which data is kept, that data
may be corrupted by errors or erasures. In what form do you put that data so that the
original information can be recovered and how do you make that recovery? Shannon’s paper
showed that coding theory provides an answer to that question. The Concise Encyclopedia
of Coding Theory, somewhat in the spirit of the 1998 Handbook of Coding Theory [1521],
examines many of the major areas and themes of coding theory taking the reader from the
basic introductory level to the frontiers of research.
The authors chosen to contribute to this encyclopedia were selected because of their
expertise and understanding of the specific topic of their chapter. Authors have introduced
the topic of their chapter in relationship to how it fits into the historical development of
coding theory and why their topic is of theoretical and/or applied interest. Each chapter
progresses from basic to advanced ideas with few proofs but with many references to which
the reader may go for more in-depth study. An attempt has been made within each chapter
to point the reader to other chapters in the encyclopedia that deal with similar or related
material. An extensive index is provided to help guide the reader interested in pursuing a
particular concept.
The Concise Encyclopedia of Coding Theory is divided into of three parts: Part I explores
the fundamentals of coding theory, Part II examines specific families of codes, and Part III
focuses on the practical application of codes.
The first thirteen chapters make up Part I of this encyclopedia. This part explores the
fundamental concepts involved in the development of error-correcting codes. Included is an
introduction to several historically significant types of codes along with some of their natural
generalizations. The mathematical theory behind these codes and techniques for studying
them are also introduced. Readers of this encyclopedia who are new to coding theory are
encouraged to first read Chapter 1 and then consider other chapters that interest them.
More advanced readers may wish to skim Chapter 1 but then move to other chapters.
Chapter 1, written by the editors of this encyclopedia, is an introduction to the basic
concepts of coding theory and sets the stage with notation and terminology used throughout
the book. The chapter starts with a simple communication channel moving then to the
definition of linear and nonlinear codes over finite fields. Basic concepts needed to explore
codes are introduced along with families of classical codes: Hamming, Reed–Muller, cyclic,
Golay, BCH, and Reed–Solomon codes. The chapter concludes with an brief introduction
to encoding, decoding, and Shannon’s Theorem, the latter becoming the justification and
motivation for the entire discipline.
Chapter 2, written by Cunsheng Ding, describes two fundamental constructions of cyclic
codes and the BCH and Hartmann–Tzeng Bounds on cyclic codes. The main task of this
chapter is to introduce several important families of cyclic codes, including irreducible cyclic

xxiii
xxiv Preface

codes, reversible cyclic codes, BCH codes, duadic codes, punctured generalized Reed–Muller
codes, and a new generalization of the punctured binary Reed–Muller codes.
Shannon’s proof of the existence of good codes is non-constructive and therefore of little
use for applications, where one needs one or all codes with specific (small) parameters.
Techniques for constructing and classifying codes are considered in Chapter 3, written by
Patric R. J. Östergård, with an emphasis on computational methods. Some classes of codes
are discussed in more detail: perfect codes, MDS codes, and general binary codes.
Self-dual codes form one of the important classes of linear codes because of their rich
algebraic structure and their close connections with other combinatorial configurations like
block designs, lattices, graphs, etc. Topics covered in Chapter 4, by Stefka Bouyuklieva,
include construction methods, results on enumeration and classification, and bounds for
the minimum distance of self-dual codes over fields of size 2, 3, and 4.
Combinatorial designs often arise in codes that are optimal with respect to certain
bounds and are used in some decoding algorithms. Chapter 5, written by Vladimir D.
Tonchev, summarizes links between combinatorial designs and perfect codes, optimal codes
meeting the restricted Johnson Bound, and linear codes admitting majority logic decoding.
Chapters 1–5 explore codes over fields; Chapter 6, by Steven T. Dougherty, introduces
codes over rings. The chapter begins with a discussion of quaternary codes over the integers
modulo 4 and their Gray map, which popularized the study of codes over more general
rings. It then discusses codes over rings in a very broad sense describing families of rings,
the Chinese Remainder Theorem applied to codes, generating matrices, and bounds. It also
gives a description of the MacWilliams Identities for codes over rings.
Quasi-cyclic codes form an important class of algebraic codes that includes cyclic codes
as a special subclass. Chapter 7, coauthored by Cem Güneri, San Ling, and Buket Özkaya,
focuses on the algebraic structure of quasi-cyclic codes. Based on these structural properties,
some asymptotic results, minimum distance bounds, and further applications, such as the
trace representation and characterization of certain subfamilies of quasi-cyclic codes, are
elaborated upon.
Cyclic and quasi-cyclic codes are studied as ideals in ordinary polynomial rings. Chap-
ter 8, by Heide Gluesing-Luerssen, is a survey devoted to skew-polynomial rings and skew-
cyclic block codes. After discussing some relevant algebraic properties of skew polynomials,
the basic notions of skew-cyclic codes, such as generator polynomial, parity check polyno-
mial, and duality are investigated. The basic tool is a skew-circulant matrix. The chapter
concludes with results on constructions of skew-BCH codes.
The coauthors Jürgen Bierbrauer, Stefano Marcugini, and Fernanda Pambianco of Chap-
ter 9 develop the theory of cyclic additive codes, both in the permutation sense and in the
monomial sense when the code length is coprime to the characteristic of the underlying field.
This generalizes the classical theory of cyclic and constacyclic codes, respectively, from the
category of linear codes to the category of additive codes. The cyclic quantum codes corre-
spond to a special case when the codes are self-orthogonal with respect to the symplectic
bilinear form.
Up to this point the codes considered are block codes where codewords all have fixed
length. That is no longer the case in Chapter 10, coauthored by Julia Lieb, Raquel Pinto,
and Joachim Rosenthal. This chapter provides a survey of convolutional codes stressing the
connections to module theory and systems theory. Constructions of codes with maximal
possible distance and distance profile are provided.
Chapter 11, written by Elisa Gorla, provides a mathematical introduction to rank-
metric codes, beginning with the definition of the rank metric and the corresponding codes,
whose elements can be either vectors or matrices. This is followed by the definition of code
equivalence and the notion of support for a codeword and for a code. This chapter treats
some of the basic concepts in the mathematical theory of rank-metric codes: duality, weight
 Preface xxv

enumerators and the MacWilliams Identities, higher rank weights, MRD codes, optimal
anticodes, and q-polymatroids associated to a rank-metric code.
The final two chapters of Part I deal with the important technique of linear programming
and a related generalization to produce bounds. As described in Chapter 12, coauthored by
Peter Boyvalenkov and Danyo Danev, general linear programming methods imply universal
bounds for codes and designs. The explanation is organized in the Levenshtein framework
extended with recent developments on universal bounds for the energy of codes, including
the concept of universal optimality. The exposition is done separately for codes in Hamming
spaces and for spherical codes.
Linear programming bounds, initially developed by Delsarte, belong to the most power-
ful and flexible methods to obtain bounds for extremal problems in coding theory. In recent
years, after the pioneering work of Schrijver, semidefinite programming bounds have been
developed with two aims: to strengthen linear programming bounds and to find bounds
for more general spaces. Chapter 13, by Frank Vallentin, introduces semidefinite program-
ming bounds with an emphasis on error-correcting codes and its relation to semidefinite
programming hierarchies for difficult combinatorial optimization problems.
The next eight chapters make up Part II of the Concise Encyclopedia of Coding Theory,
where the focus is on specific families of codes. The codes presented fall into two categories,
with some overlap. Some of them are generalizations of classical codes from Part I. The rest
have a direct connection to algebraic, geometric, or graph theoretic structures. They all are
interesting theoretically and often possess properties useful for application.
There are many problems in coding theory which are equivalent to geometrical prob-
lems in Galois geometries. Certain formulations of some of the classical codes have direct
connections to geometry. Chapter 14, written by Leo Storme, describes a number of the
many links between coding theory and Galois geometries, and shows how these two research
areas influence and stimulate each other.
Chapter 15, written by Alain Couvreur and Hugues Randriambololona, surveys the
development of the theory of algebraic geometry codes since their discovery in the late
1970s. The authors summarize the major results on various problems such as asymptotic
parameters, improved estimates on the minimum distance, and decoding algorithms. In
addition, the chapter describes various modern applications of these codes such as public-
key cryptography, algebraic complexity theory, multiparty computation, and distributed
storage.
Very often the parameters of good/optimal linear codes can be realized by group codes,
that is, ideals in a group algebra FG where G is a finite group and F is a finite field. Such
codes, the topic of Chapter 16 written by Wolfgang Willems, carry more algebraic structure
than only linear codes, which leads to an easier analysis of the codes. In particular, the full
machinery of representation theory of finite groups can be applied to prove interesting
coding theoretical properties.
Chapter 17, coauthored by Hai Q. Dinh and Sergio R. López-Permouth, discusses foun-
dational and theoretical aspects of the role of finite rings as alphabets in coding theory, with
a concentration on the class of constacyclic codes over finite commutative chain rings. The
chapter surveys both the simple-root and repeated-root cases. Several directions in which
the notion of constacyclicity has been extended are also presented.
The next three chapters focus on codes with few weights; such codes have applications
delineated throughout this encyclopedia. As described in Chapter 18, written by Minjia Shi,
one important construction technique for few-weight codes is to use trace codes. For example
the simplex code, a one-weight code, can be constructed as a trace code by using finite field
extensions. In recent years, this technique has been refined by using ring extensions of a
xxvi Preface

finite field coupled with a linear Gray map. Moreover, these image codes can be applied to
secret sharing schemes.
Codes with few weights often have an interesting geometric structure. Chapter 19, writ-
ten by Andries E. Brouwer, focuses specifically on codes with exactly two nonzero weights.
The chapter discusses the relationship between two-weight linear codes, strongly regular
graphs, and 2-character subsets of a projective space.
Functions in general and more specifically cryptographic functions, that is highly non-
linear functions (PN, APN, bent, AB, plateaued), have important applications in coding
theory since they are used to construct optimal linear codes and linear codes useful for
applications such as secret sharing, two-party computation, and storage. The ultimate goal
of Chapter 20, by Sihem Mesnager, is to provide an overview and insights into linear codes
with good parameters that are constructed from functions and polynomials over finite fields
using multiple approaches.
Chapter 21 by Christine A. Kelley, the concluding chapter of Part II, gives an overview of
graph-based codes and iterative message-passing decoding algorithms for these codes. Some
important classes of low-density parity check codes, such as finite geometry codes, expander
codes, protograph codes, and spatially coupled codes are discussed. Moreover, analysis tech-
niques of the decoding algorithm for both the finite length case and the asymptotic length
case are summarized. While the area of codes over graphs is vast, a few other families such
as repeat accumulate and turbo-like codes are briefly mentioned.
The final chapter of Part II provides a natural bridge to the applications in Part III
as codes from graphs were designed to facilitate communication. The thirteen chapters of
Part III examine several applications that fall into two categories, again with some overlap.
Some of the applications present codes developed for specific uses; other applications use
codes to produce other structures that themselves become the main application.
The first chapter in Part III is again a bridge between the previous and successive
chapters as it has a distinct theoretical slant but its content is useful as well in applications.
Chapter 22, written by Marcelo Firer, gives an account of many metrics used in the context
of coding theory, mainly for decoding purposes. The chapter tries to stress the role of some
metric related invariants and aspects that are eclipsed at the usual setting of the Hamming
metric.
Chapter 23, written by Alfred Wassermann, examines algorithms for computer construc-
tion of “good” linear codes and methods to determine the minimum distance and weight
enumerator of a linear code. For code construction the focus is on the geometric view: a
linear code can be seen as a suitable set of points in a projective geometry. The search then
reduces to an integer linear programming problem. The chapter explores how the search
space can be much reduced by prescribing a group of symmetries and how to construct
special code types such as self-orthogonal codes or LCD codes.
In Chapter 24 by Swastik Kopparty we will see some algorithmic ideas based on polyno-
mial interpolation for decoding algebraic codes, applied to generalized Reed–Solomon and
interleaved generalized Reed–Solomon codes. These ideas will power decoding algorithms
that can decode algebraic codes beyond half the minimum distance.
The theory of pseudo-noise sequences has close connections with coding theory, cryptog-
raphy, combinatorics, and discrete mathematics. Chapter 25, coauthored by Tor Helleseth
and Chunlei Li, gives a brief introduction of two kinds of pseudo-noise sequences, namely
sequences with low correlation and shift register sequences with maximum periods, which
are of particular interest in modern communication systems.
Lattice coding is presented in Chapter 26, written by Frédérique Oggier, in the context
of Gaussian and fading channels, where channel models are presented. Lattice constructions
 Preface xxvii

from both quadratic fields and linear codes are described. Some variations of lattice coding
are also discussed.
A bridge between classical coding theory and quantum error control was firmly put in
place via the stabilizer formalism, allowing the capabilities of a quantum stabilizer code to
be inferred from the properties of the corresponding classical codes. Well-researched tools
and the wealth of results in classical coding theory often translate nicely to the design of
good quantum codes, the subject of Chapter 27 by Martianus Frederic Ezerman. Research
problems triggered by error-control issues in the quantum setup revive and expand studies
on specific aspects of classical codes, which were previously overlooked or deemed not so
interesting.
Chapter 28 on space-time coding, written by Frédérique Oggier, defines what space-time
coding actually is and what are variations of space-time coding problems. The chapter also
provides channel models and design criteria, together with several examples.
Chapter 29, by Frank R. Kschischang, describes error-correcting network codes for
packet networks employing random linear network coding. In such networks, packets sent
into the network by the transmitter are regarded as a basis for a vector space over a finite
field, and the network provides the receiver with random linear combinations of the trans-
mitted vectors, possibly also combined with noise vectors. Unlike classical coding theory—
where codes are collections of well-separated vectors, each of them a point of some ambient
vector space—here codes are collections of well-separated vector spaces, each of them a sub-
space of some ambient vector space. The chapter provides appropriate coding metrics for
such subspace codes, and describes various bounds and constructions, focusing particularly
on the case of constant-dimension codes whose codewords all have the same dimension.
Erasure codes have attained a position of importance for many streaming and file down-
load applications on the internet. Chapter 30, written by Ian F. Blake, outlines the devel-
opment of these codes from simple erasure correcting codes to the important Raptor codes.
Various decoding algorithms for these codes are developed and illustrated.
Chapter 31, with coauthors Vinayak Ramkumar, Myna Vajha, S. B. Balaji, M. Nikhil
Krishnan, Birenjith Sasidharan, and P. Vijay Kumar, deals with the topic of designing
reliable and efficient codes for the storage and retrieval of large quantities of data over
storage devices that are prone to failure. Historically, the traditional objective has been one
of ensuring reliability against data loss while minimizing storage overhead. More recently,
a third concern has surfaced, namely, the need to efficiently recover from the failure of a
single storage unit corresponding to recovery from the erasure of a single code symbol. The
authors explain how coding theory has evolved to tackle this fresh challenge.
Polar codes are error-correcting codes that achieve the symmetric capacity of discrete
input memoryless channels with a polynomial encoding and decoding complexity. Chap-
ter 32, coauthored by Noam Presman and Simon Litsyn, provides a general presentation
of polar codes and their associated algorithms. At the same time, most of the examples in
the chapter use the basic Arıkan’s (u + v, v) original construction due to its simplicity and
wide applicability.
While one thinks of coding theory as the major tool to reveal correct information after
errors in that information have been introduced, the final two chapters of this encyclopedia
address the opposite problem: using coding theory as a tool to hide information. Chapter 33,
by Cunsheng Ding, first gives a brief introduction to secret sharing schemes, and then
introduces two constructions of secret sharing schemes with linear codes. It also documents
a construction of multisecret sharing schemes with linear codes. Basic results about these
secret sharing schemes are presented in this chapter.
Chapter 34, written by Philippe Gaborit and Jean-Christophe Deneuville, gives a gen-
eral overview of basic tools used for code-based cryptography. The security of the main diffi-
cult problem for code-based cryptography, the Syndrome Decoding problem, is considered,
xxviii Preface

together with its quasi-cyclic variations. The current state-of-the-art for the cryptographic
primitives of encryption, signature, and authentication is the main focus of the chapter.

The editors of the Concise Encyclopedia of Coding Theory thank the 48 other authors
for sharing their expertise to make this project come to pass. Their cooperation and patience
were invaluable to us. We also thank Gayle Imamura-Huffman for lending her transparent
watercolor Coded Information and opaque watercolor Linear Subspaces for use on the front
and back covers of this encyclopedia. Additionally we thank the editorial staff at CRC
Press/Taylor and Francis Group: Sarfraz Khan, who helped us begin this project; Callum
Fraser, who became the Mathematical Editor at CRC Press as the project progressed; and
Robin Lloyd-Starkes, who is Project Editor. Also with CRC Press, we thank Mansi Kabra
for handling permissions and copyrights and Kevin Craig who assisted with the cover design.
We thank Meeta Singh, Senior Project Manager at KnowledgeWorks Global Ltd., and her
team for production of this encyclopedia. And of course, we sincerely thank our families for
their support and encouragement throughout this journey.
– W. Cary Huffman
– Jon-Lark Kim
– Patrick Solé
Contributors

S. B. Balaji École Polytechnique

Qualcomm Palaiseau, France
Bangalore, India [email protected]
[email protected]
Danyo Danev
Jürgen Bierbrauer Department of Electrical Engineering and
Professor Emeritus Department of Mathematics
Department of Mathematical Sciences Linköping University
Michigan Technological University Linköping, Sweden
Houghton, Michigan, USA [email protected]
[email protected]
Jean-Christophe Deneuville
Ian F. Blake Ecole Nationale de l’Aviation Civile
Department of Electrical and Computer University of Toulouse, France
Engineering [email protected]
University of British Columbia
Vancouver, British Columbia, Canada Cunsheng Ding
[email protected] Department of Computer Science and
Engineering
Stefka Bouyuklieva The Hong Kong University of Science and
Faculty of Mathematics and Informatics Technology
St. Cyril and St. Methodius University Hong Kong, China
Veliko Tarnovo, Bulgaria [email protected]
[email protected]
Hai Q. Dinh
Peter Boyvalenkov Department of Mathematical Sciences
Institute of Mathematics and Informatics Kent State University
Bulgarian Academy of Sciences Warren, Ohio, USA
Sofia, Bulgaria [email protected]
and Technical Faculty
South-Western University Steven T. Dougherty
Blagoevgrad, Bulgaria Department of Mathematics
[email protected] University of Scranton
Scranton, Pennsylvania, USA
Andries E. Brouwer [email protected]
Department of Mathematics
Eindhoven University of Technology Martianus Frederic Ezerman
Eindhoven, Netherlands School of Physical and Mathematical
[email protected] Sciences
Nanyang Technological University
Alain Couvreur Singapore
Inria and LIX [email protected]

xxix
xxx Contributors

Marcelo Firer Swastik Kopparty

Department of Mathematics Department of Mathematics
State University of Campinas (Unicamp) Rutgers University
Campinas, Brasil Piscataway, New Jersey, USA
[email protected] [email protected]

Philippe Gaborit M. Nikhil Krishnan

XLIM-MATHIS Department of Electrical and Computer
University of Limoges, France Engineering
[email protected] University of Toronto
Toronto, Ontario, Canada
Heide Gluesing-Luerssen
[email protected]
Department of Mathematics
University of Kentucky
Frank R. Kschischang
Lexington, Kentucky, USA
[email protected] Department of Electrical and Computer
Engineering
Elisa Gorla University of Toronto
Institut de Mathématiques Toronto, Ontario, Canada
Université de Neuchâtel [email protected]
Neuchâtel, Switzerland
[email protected] P. Vijay Kumar
Department of Electrical Communication
Cem Güneri Engineering
Faculty of Engineering and Natural Sciences Indian Institute of Science
Sabancı University Bangalore, India
Istanbul, Turkey and
[email protected] Ming Hsieh Department of Electrical and
Computer Engineering
Tor Helleseth University of Southern California
Department of Informatics Los Angeles, California, USA
University of Bergen [email protected], [email protected]
Bergen, Norway
[email protected] Chunlei Li
Department of Informatics
W. Cary Huffman
University of Bergen
Department of Mathematics and Statistics
Bergen, Norway
Loyola University
[email protected]
Chicago, Illinois, USA
[email protected]
Julia Lieb
Christine A. Kelley Institut für Mathematik
Department of Mathematics Universität Zürich
University of Nebraska-Lincoln Zürich, Switzerland
Lincoln, Nebraska, USA [email protected]
[email protected]
San Ling
Jon-Lark Kim School of Physical and Mathematical
Department of Mathematics Sciences
Sogang University Nanyang Technological University
Seoul, South Korea Singapore
[email protected] [email protected]
 Contributors xxxi

Simon Litsyn Fernanda Pambianco

Department of Electrical Dipartimento di Matematica e Informatica
Engineering-Systems Università degli Studi di Perugia
Tel Aviv University Perugia, Italy
Ramat Aviv, Israel [email protected]
[email protected]
Raquel Pinto
Sergio R. López-Permouth Departamento de Matemática
Department of Mathematics Universidade de Aveiro
Ohio University Aveiro, Portugal
Athens, Ohio, USA [email protected]
[email protected]
Noam Presman
Stefano Marcugini Department of Electrical
Dipartimento di Matematica e Informatica Engineering-Systems
Università degli Studi di Perugia Tel Aviv University
Perugia, Italy Ramat Aviv, Israel
[email protected] [email protected]

Sihem Mesnager Vinayak Ramkumar

Department of Mathematics Department of Electrical Communication
University of Paris VIII, 93526 Saint-Denis, Engineering
France Indian Institute of Science
and Bangalore, India
Laboratoire de Géométrie, Analyse et [email protected]
Applications, UMR 7539, CNRS
University Sorbonne Paris Cité, 93430 Hugues Randriambololona
Villetaneuse, France ANSSI – Laboratoire de Cryptographie
and Paris, France
Télécom Paris and
91120 Palaiseau, France Télécom Paris
[email protected] Palaiseau, France
[email protected]
Frédérique Oggier
Joachim Rosenthal
Division of Mathematical Sciences
Institut für Mathematik
Nanyang Technological University Universität Zürich
Singapore Zürich, Switzerland
[email protected] [email protected]
Patric R. J. Östergård Birenjith Sasidharan
Department of Communications and Department of Electronics and
Networking Communication Engineering
Aalto University Govt. Engineering College, Barton Hill
Espoo, Finland Trivandrum, India
[email protected]
Buket Özkaya
School of Physical and Mathematical Minjia Shi
Sciences School of Mathematical Sciences
Nanyang Technological University Anhui University
Singapore Hefei, 230601, China
[email protected] [email protected]
xxxii Contributors

Patrick Solé Bangalore, India

Lab I2M [email protected]
CNRS, Aix-Marseille Université, Centrale
Marseille Frank Vallentin
13 009 Marseilles, France Mathematisches Institut
[email protected] Universität zu Köln
Köln, Germany
Leo Storme [email protected]
Department of Mathematics: Analysis,
Alfred Wassermann
Logic and Discrete Mathematics
Mathematisches Institut
Ghent University
Universität Bayreuth
9000 Gent, Belgium
95440 Bayreuth, Germany
[email protected]
[email protected]
Vladimir D. Tonchev Wolfgang Willems
Department of Mathematical Sciences Fakultät für Mathematik
Michigan Technological University Otto-von-Guericke Universität
Houghton, Michigan, USA Magdeburg, Germany
[email protected] and
Departamento de Matemáticas y
Myna Vajha Estadı́stica
Department of Electrical Communication Universidad del Norte
Engineering Barranquilla, Colombia
Indian Institute of Science [email protected]
 Part I

Coding Fundamentals

1
Chapter 1
Basics of Coding Theory

W. Cary Huffman
Loyola University, Chicago

Jon-Lark Kim
Sogang University

Patrick Solé
CNRS, Aix-Marseille Université

1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 Finite Fields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.4 Generator and Parity Check Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.5 Orthogonality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.6 Distance and Weight . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.7 Puncturing, Extending, and Shortening Codes . . . . . . . . . . . . . . . . . . 12
1.8 Equivalence and Automorphisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.9 Bounds on Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.9.1 The Sphere Packing Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.9.2 The Singleton Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.9.3 The Plotkin Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.9.4 The Griesmer Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.9.5 The Linear Programming Bound . . . . . . . . . . . . . . . . . . . . . . . . 18
1.9.6 The Gilbert Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.9.7 The Varshamov Bound . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.9.8 Asymptotic Bounds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.10 Hamming Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.11 Reed–Muller Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.12 Cyclic Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.13 Golay Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
1.14 BCH and Reed–Solomon Codes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
1.15 Weight Distributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
1.16 Encoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
1.17 Decoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
1.18 Shannon’s Theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

1.1 Introduction
Coding theory had it genesis in the late 1940s with the publication of works by Claude
Shannon, Marcel Golay, and Richard Hamming. In 1948 Shannon published a landmark

3
4 Concise Encyclopedia of Coding Theory

FIGURE 1.1: A simple communication channel

Message
Receiver
Source

6
e = e1 · · · en
x = x1 · · · xk noise e=x
x e1 · · · x
ek
message message
estimate

? ? y =c+e
c = c1 · · · cn received
Encoder codeword Channel vector Decoder
- -

paper A mathematical theory of communication [1661] which marked the beginning of both
information theory and coding theory. Given a communication channel, over which informa-
tion is transmitted and possibly corrupted, Shannon identified a number called the ‘channel
capacity’ and proved that arbitrarily reliable communication is possible at any rate below
the channel capacity. For example, when transmitting images of planets from deep space, it
is impractical to retransmit the images that have been altered by noise during transmission.
Shannon’s Theorem guarantees that the data can be encoded before transmission so that
the altered data can be decoded to the original, up to a specified degree of accuracy. Other
examples of communication channels include wireless communication devices and storage
systems such as DVDs or Blue-ray discs. In 1947 Hamming developed a code, now bearing
his name, in an attempt to correct errors that arose in the Bell Telephone Laboratories’
mechanical relay computer; his work was circulated through a series of memoranda at Bell
Labs and eventually published in [895]. Both Shannon [1661] and Golay [820] published
Hamming’s code, with Golay generalizing it. Additionally, Golay presented two of the four
codes that now bear his name. A monograph by T. M. Thompson [1801] traces the early
development of coding theory.
A simple communication channel is illustrated in Figure 1.1. At the source a mes-
sage, denoted x = x1 · · · xk in the figure, is to be sent. If no modification is made to x and
it is transmitted directly over the channel, any noise would distort x so that it could not
be recovered. The basic idea of coding theory is to embellish the message by adding some
redundancy so that hopefully the original message can be recovered after reception even if
noise corrupts the embellished message during transmission. The redundancy is added by
the encoder and the embellished message, called a codeword c = c1 · · · cn in the figure, is
sent over the channel where noise in the form of an error vector e = e1 · · · en distorts the
codeword producing a received vector y.1 The received vector is then sent to be decoded
where the errors are removed. The redundancy is then stripped off, and an estimate x e of
the original message is produced. Hopefully x e = x. (There is a one-to-one correspondence
1 Generally message and codeword symbols will come from a finite field F or a finite ring R. Messages

will be ‘vectors’ in Fk (or Rk ), and codewords will be ‘vectors’ in Fn (or Rn ). If c entered the channel and
y exited the channel, the difference y − c is what we have termed the error vector e in Figure 1.1. While
this is the normal scenario, other ambient spaces from which codes arise occur in this encyclopedia.
 Basics of Coding Theory 5

between codewords and messages. In many cases, the real interest is not in the message x
but the codeword c. With this point of view, the job of the decoder is to obtain an estimate
e from y and hope that y
y e = c.) For example in deep space communication, the message
source is the satellite, the channel is outer space, the decoder is hardware at a ground sta-
tion on Earth, and the receiver is the people or computer processing the information; of
course, messages travel from Earth to the satellite as well. For a DVD or Blue-ray disc, the
message source is the voice, music, video, or data to be placed on the disc, the channel is
the disc itself, the decoder is the DVD or Blue-ray player, and the receiver is the listener or
viewer.
Shannon’s Theorem guarantees that the hope of successful recovery will be fulfilled a
certain percentage of the time. With the right encoding based on the characteristics of the
channel, this percentage can be made as high as desired, although not 100%. The proof of
Shannon’s Theorem is probabilistic and nonconstructive. No specific codes were produced
in the proof that give the desired accuracy for a given channel. Shannon’s Theorem only
guarantees their existence. In essence, the goal of coding theory is to produce codes that
fulfill the conditions of Shannon’s Theorem and make reliable communication possible.
There are numerous texts, ranging from introductory to research-level books, on coding
theory including (but certainly not limited to) [170, 209, 896, 1008, 1323, 1505, 1506, 1520,
1521, 1602, 1836]. There are two books, [169] edited by E. R. Berlekamp and [212] edited by
I. F. Blake, in which early papers in the development of coding theory have been reprinted.

1.2 Finite Fields

Finite fields play an essential role in coding theory. The theory and construction of finite
fields can be found, for example, in [1254] and [1408, Chapter 2]. Finite fields, as related
specifically to codes, are described in [1008, 1323, 1602]. In this section we give a brief
introduction.

Definition 1.2.1 A field F is a nonempty set with two binary operations, denoted + and
·, satisfying the following properties.
(a) For all α, β, γ ∈ F, α+β ∈ F, α·β ∈ F, α+β = β+α, α·β = β·α, α+(β+γ) = (α+β)+γ,
α · (β · γ) = (α · β) · γ, and α · (β + γ) = α · β + α · γ.
(b) F possesses an additive identity or zero, denoted 0, and a multiplicative identity
or unity, denoted 1, such that α + 0 = α and α · 1 = α for all α ∈ Fq .
(c) For all α ∈ F and all β ∈ F with β 6= 0, there exists α0 ∈ F, called the additive inverse
of α, and β ∗ ∈ F, called the multiplicative inverse of β, such that α + α0 = 0 and
β · β ∗ = 1.
The additive inverse of α will be denoted −α, and the multiplicative inverse of β will be
denoted β −1 . Usually the multiplication operation will be suppressed; that is, α · β will be
denoted αβ. If n is a positive integer and α ∈ F, nα = α+α+· · ·+α (n times), αn = αα · · · α
(n times), and α−n = α−1 α−1 · · · α−1 (n times when α 6= 0). Also α0 = 1 if α 6= 0. The
usual rules of exponentiation hold. If F is a finite set with q elements, F is called a finite
field of order q and denoted Fq .

Example 1.2.2 Fields include the rational numbers Q, the real numbers R, and the com-
plex numbers C. Finite fields include Zp , the set of integers modulo p, where p is a prime.
6 Concise Encyclopedia of Coding Theory

The following theorem gives some of the basic properties of finite fields.
Theorem 1.2.3 Let Fq be a finite field with q elements. The following hold.
(a) Fq is unique up to isomorphism.
(b) q = pm for some prime p and some positive integer m.
(c) Fq contains the subfield Fp = Zp .
(d) Fq is a vector space over Fp of dimension m.
(e) pα = 0 for all α ∈ Fq .
(f) If α, β ∈ Fq , (α + β)p = αp + β p .
(g) There exists an element γ ∈ Fq with the following properties.
(i) Fq = {0, 1 = γ 0 , γ, . . . , γ q−2 } and γ q−1 = 1,
(ii) {1 = γ 0 , γ, . . . , γ m−1 } is a basis of the vector space Fq over Fp , and
(iii) there exist a0 , a1 , . . . , am−1 ∈ Fp such that
γ m = a0 + a1 γ + · · · + am−1 γ m−1 . (1.1)
(h) For all α ∈ Fq , αq = α.
Definition 1.2.4 In Theorem 1.2.3, p is called the characteristic of Fq . The element γ is
called a primitive element of Fq .
Remark 1.2.5 Using Theorem 1.2.3(f), the map σp : Fq → Fq given by σp (α) = αp is
an automorphism of Fq , called the Frobenius automorphism of Fq . Once one primitive
element γ of Fq is found, the remaining primitive elements of Fq are precisely γ d where
gcd(d, q − 1) = 1.
The key to constructing a finite field is to find a primitive element γ in Fq and the
equation (1.1). We do not describe this process here, but refer the reader to the texts
mentioned at the beginning of the section. Assuming γ is found and the equation (1.1) is
known, we can construct addition and multiplication tables for Fq . This is done by writing
every element of Fq in two forms. The first form takes advantage of Theorem 1.2.3(g)(ii).
Every element α ∈ Fq is written uniquely in the form
α = a0 γ 0 + a1 γ + a2 γ 2 + · · · + am−1 γ m−1 with ai ∈ Fp = Zp for 0 ≤ i ≤ m − 1,
which we abbreviate α = a0 a1 a2 · · · am−1 , a vector in Zm p . Addition in Fq is accomplished
by ordinary vector addition in Zm
p . To each α ∈ F q , with α 6= 0, we associate a second form:
α = γ for some i with 0 ≤ i ≤ q − 2. Multiplication is accomplished by γ i γ j = γ i+j where
i

we use γ q−1 = 1 when appropriate. We illustrate this by constructing the field F9 .

Example 1.2.6 The field F9 has characteristic 3 and is a 2-dimensional vector space over
Z3 . One primitive element γ of F9 satisfies γ 2 = 1 + γ. Table 1.1 gives the two forms of all
elements. The zero element is 0γ 0 + 0γ = 00; the unity element is 1 = 1γ 0 + 0γ = 10. Now
γ = 0γ 0 +1γ = 01, γ 2 = 1+γ = 1γ 0 +1γ = 11, γ 3 = γγ 2 = γ(1+γ) = γ +γ 2 = γ +(1+γ) =
1γ 0 +2γ = 12, and γ 4 = γγ 3 = γ(1+2γ) = γ +2γ 2 = γ +2(1+γ) = 2γ 0 +0γ = 20. Note γ 4 =
−1. γ 5 , γ 6 , γ 7 are computed similarly. As an example, we compute (γ 5 −1+γ 6 )/(γ 5 +γ 3 +1)
as follows. First γ 5 −1+γ 6 = 02−10+22 = 11 = γ 2 , and γ 5 +γ 3 +1 = 02+12+10 = 21 = γ 7 .
So (γ 5 − 1 + γ 6 )/(γ 5 + γ 3 + 1) = γ 2 /γ 7 = γ −5 = γ 3 since γ 8 = 1.
Tables 1.2, 1.3, and 1.4 give addition and multiplication tables for F4 , F8 , and F16 ,
respectively. These fields have characteristic 2. Notice that F16 contains the subfield F4
where ω = ρ5 .
 Basics of Coding Theory 7

TABLE 1.1: F9 with primitive element γ where γ 2 = 1 + γ and γ 8 = 1

vector power of γ vector power of γ vector power of γ

00 — 11 γ2 02 γ5
10 γ0 = 1 12 γ3 22 γ6
4
01 γ 20 γ = −1 21 γ7

TABLE 1.2: F4 with primitive element ω where ω 2 = 1 + ω and ω 3 = 1

vector power of ω vector power of ω vector power of ω vector power of ω

00 — 10 ω0 = 1 01 ω 11 ω2

1.3 Codes
In this section we introduce the concept of codes over finite fields. We begin with some
notation.
The set of n-tuples with entries in Fq forms an n-dimensional vector space, denoted
Fnq = {x1 x2 · · · xn | xi ∈ Fq , 1 ≤ i ≤ n}, under componentwise addition of n-tuples and
componentwise multiplication of n-tuples by scalars in Fq . The vectors in Fnq will often be
denoted using bold Roman characters x = x1 x2 · · · xn . The vector 0 = 00 · · · 0 is the zero
vector in Fnq .
For positive integers m and n, Fm×n q denotes the set of all m × n matrices with
entries in Fq . The matrix in Fm×n q with all entries 0 is the zero matrix denoted 0m×n .
The identity matrix of Fn×n q will be denoted In . If A ∈ Fm×n
q , AT ∈ Fn×m
q will denote
m T
the transpose of A. If x ∈ Fq , x will denote x as a column vector of length m, that is,
an m × 1 matrix. The column vector 0T and the m × 1 matrix 0m×1 are the same.
If S is any finite set, its order or size is denoted |S|.

Definition 1.3.1 A subset C ⊆ Fnq is called a code of length n over Fq ; Fq is called the
alphabet of C, and Fnq is the ambient space of C. Codes over Fq are also called q-ary
codes. If the alphabet is F2 , C is binary. If the alphabet is F3 , C is ternary. The vectors
in C are the codewords of C. If C has M codewords (that is, |C| = M ) C is denoted an
(n, M )q code, or, more simply, an (n, M ) code when the alphabet Fq is understood. If C is a
linear subspace of Fnq , that is C is closed under vector addition and scalar multiplication, C
is called a linear code of length n over Fq . If the dimension of the linear code C is k, C is
denoted an [n, k]q code, or, more simply, an [n, k] code. An (n, M )q code that is also linear
is an [n, k]q code where M = q k . An (n, M )q code may be referred to as an unrestricted
code; a specific unrestricted code may be either linear or nonlinear. When referring to a
code, expressions such as (n, M ), (n, M )q , [n, k], or [n, k]q are called the parameters of
the code.

Example 1.3.2 Let C = {1100, 1010, 1001, 0110, 0101, 0011} ⊆ F42 . Then C is a (4, 6)2
binary nonlinear code. Let C1 = C ∪ {0000, 1111}. Then C1 is a (4, 8)2 binary linear code.
As C1 is a subspace of F42 of dimension 3, C1 is also a [4, 3]2 code.

Remark 1.3.3 Basic development of linear codes is found in papers by D. Slepian [1722,
1723, 1724]. In some chapters of this book, codes will be considered where the alphabet is
8 Concise Encyclopedia of Coding Theory

TABLE 1.3: F8 with primitive element δ where δ 3 = 1 + δ and δ 7 = 1

vector power of δ vector power of δ vector power of δ vector power of δ

000 — 010 δ 110 δ3 111 δ5
100 δ0 = 1 001 δ2 011 δ4 101 δ6

TABLE 1.4: F16 with primitive element ρ where ρ4 = 1 + ρ and ρ15 = 1

vector power of ρ vector power of ρ vector power of ρ vector power of ρ

0000 — 0001 ρ3 1101 ρ7 0111 ρ11
1000 ρ0 = 1 1100 ρ4 1010 ρ8 1111 ρ12
0100 ρ 0110 ρ5 0101 ρ9 1011 ρ13
0010 ρ2 0011 ρ6 1110 ρ10 1001 ρ14

not necessarily a field but rather a ring R. In these situations, the vector space Fnq will be
replaced by an R-module such as Rn = {x1 x2 · · · xn | xi ∈ R, 1 ≤ i ≤ n}, and a code will
be considered linear if it is an R-submodule of that R-module. See for example Chapters 6,
17, and 18.

1.4 Generator and Parity Check Matrices

When choosing between linear and nonlinear codes, the added algebraic structure of
linear codes often makes them easier to describe and use. Generally, a linear code is defined
by giving either a generator or a parity check matrix.
Definition 1.4.1 Let C be an [n, k]q linear code. A generator matrix G for C is any
G ∈ Fk×n
q whose row span is C. Because any k-dimensional subspace of Fnq is the kernel of
(n−k)×n
some linear transformation from Fnq onto Fn−k
q , there exists H ∈ Fq , with independent
rows, such that C = {c ∈ Fnq | HcT = 0T }. Such a matrix, of which there are generally
many, is called a parity check matrix of C.
Example 1.4.2 Continuing with Example 1.3.2, there are several generator matrices for
C1 including
     
1 0 0 1 1 1 1 1 1 1 0 0
0 00
G1 =  0 1 0 1  , G1 =  1 1 0 0 , and G1 = 0 1 1
 0 .
0 0 1 1 0 1 1 0 0 0 1 1
 
In this case there is only one parity check matrix H1 = 1 1 1 1 .
Remark 1.4.3 Any matrix obtained by elementary row operations from a generator matrix
for a code remains a generator matrix of that code.
Remark 1.4.4 By Definition 1.4.1, the rows of G form a basis of C, and the rows of H
are independent. At times, the requirement may be relaxed so that the rows of G are only
required to span C. Similarly, the requirement that the rows of H be independent may be
dropped as long as C = {c ∈ Fnq | HcT = 0T } remains true.
 Basics of Coding Theory 9
(n−k)×n
Theorem 1.4.5 ([1323, Chapter 1.1]) Let G ∈ Fk×n q and H ∈ Fq each have in-
dependent rows. Let C be an [n, k]q code. The following hold.
(a) If G, respectively H, is a generator, respectively parity check, matrix for C, then
HGT = 0(n−k)×k .

(b) If HGT = 0(n−k)×k , then G is a generator matrix for C if and only if H is a parity
check matrix for C.

Definition 1.4.6 Let C be an [n, k]q linear code with generator matrix G ∈ Fk×n q . For
any set of k independent columns of G, the corresponding set of coordinates forms an
information set for C; the remaining
 n − k coordinates form a redundancy set for C.
If G has the form G = Ik | A , G is in standard form in which case {1, 2, . . . , k} is an
information set with {k + 1, k + 2, . . . , n} the corresponding redundancy set.
 
Theorem 1.4.7 ([1602,
 Chapter
 2.3]) If G = Ik | A is a generator matrix of an [n, k]q
T
code C, then H = −A | In−k is a parity check matrix for C.

Example 1.4.8 Continuing with Examples 1.3.2 and 1.4.2, the matrix G1 is in standard
form. Applying Theorem 1.4.7 to G1 , we get the parity check matrix H1 of Example 1.4.2.
The matrices G01 and G001 both row reduce to G1 ; so all three are generator matrices of the
same code, consistent with Remark 1.4.3. Any subset of {1, 2, 3, 4} of size 3 is an information
0T 00T
set for C1 . The fact that HGT
1 = HG1 = HG1 = 01×3 is consistent with Theorem 1.4.5.
Finally, let C2 = {0000, 1100, 0011, 1111} be the [4, 2]2 linear subcode of C1 . C2 does not
have a generator matrix in standard form; the only information sets for C2 are {1, 3}, {1, 4},
{2, 3}, and {2, 4}.

Example 1.4.9 Generator and parity check matrices for the [7, 4]2 binary linear Hamming
code H3,2 are
 
1 0 0 0 0 1 1  
 0 1 0 0 1 0 1  0 1 1 1 1 0 0
G3,2 =   and H3,2 =  1 0 1 1 0 1 0 ,
 0 0 1 0 1 1 0 
1 1 0 1 0 0 1
0 0 0 1 1 1 1

respectively. G3,2 is in standard form. Two information sets for H3,2 are {1, 2, 3, 4} and
{1, 2, 3, 5} with corresponding redundancy sets {5, 6, 7} and {4, 6, 7}. The set {2, 3, 4, 5} is
not an information set. More general Hamming codes Hm,q are defined in Section 1.10.

1.5 Orthogonality
There is a natural inner product on Fnq that often proves useful in the study of codes.2

Definition 1.5.1 The ordinaryPinner product, also called the Euclidean inner prod-
n
uct, on Fnq is defined by x · y = i=1 xi yi where x = x1 x2 · · · xn and y = y1 y2 · · · yn . Two
n
vectors x, y ∈ Fq are orthogonal if x · y = 0. If C is an [n, k]q code,

C ⊥ = {x ∈ Fnq | x · c = 0 for all c ∈ C}

2 There are other inner products used in coding theory. See for example Chapters 4, 5, 7, 11, and 13.
10 Concise Encyclopedia of Coding Theory

is the orthogonal code or dual code of C. C is self-orthogonal if C ⊆ C ⊥ and self-dual

if C = C ⊥ .

Theorem 1.5.2 ([1323, Chapter 1.8]) Let C be an [n, k]q code with generator and parity
check matrices G and H, respectively. Then C ⊥ is an [n, n − k]q code with generator and
parity check matrices H and G, respectively. Additionally (C ⊥ )⊥ = C. Furthermore C is
n
self-dual if and only if C is self-orthogonal and k = .
2
Example 1.5.3 C2 from Example 1.4.8 is a [4, 2]2 self-dual code with generator and parity
check matrices both equal to  
1 1 0 0
.
0 0 1 1
⊥
The dual of the Hamming [7, 4]2 code in Example 1.4.9 is a [7, 3]2 code H3,2 . H3,2 is a
⊥
generator matrix of H3,2 . As every row of H3,2 is orthogonal to itself and every other row
⊥ ⊥ ⊥ ⊥
of H3,2 , H3,2 is self-orthogonal. As H3,2 has dimension 3 and (H3,2 ) = H3,2 has dimension
⊥
4, H3,2 is not self-dual.

1.6 Distance and Weight

The error-correcting capability of a code is keyed directly to the concepts of Hamming
distance and Hamming weight.3

Definition 1.6.1 The (Hamming) distance between two vectors x, y ∈ Fnq , denoted
dH (x, y), is the number of coordinates in which x and y differ. The (Hamming) weight
of x ∈ Fnq , denoted wtH (x), is the number of coordinates in which x is nonzero.

Theorem 1.6.2 ([1008, Chapter 1.4]) The following hold.

(a) (nonnegativity) dH (x, y) ≥ 0 for all x, y ∈ Fnq .
(b) dH (x, y) = 0 if and only if x = y.
(c) (symmetry) dH (x, y) = dH (y, x) for all x, y ∈ Fnq .
(d) (triangle inequality) dH (x, z) ≤ dH (x, y) + dH (y, z) for all x, y, z ∈ Fnq .
(e) dH (x, y) = wtH (x − y) for all x, y ∈ Fnq .
(f) If x, y ∈ Fn2 , then

wtH (x + y) = wtH (x) + wtH (y) − 2wtH (x ? y)

where x ? y is the vector in Fn2 which has 1s precisely in those coordinates where both
x and y have 1s.
(g) If x, y ∈ Fn2 , then wtH (x ? y) ≡ x · y (mod 2). In particular, wtH (x) ≡ x · x (mod 2).
3 There are other notions of distance and weight used in coding theory. See for example Chapters 6, 7,

10, 11, 17, 18, 22, and 29.

 Basics of Coding Theory 11

(h) If x ∈ Fn3 , then wtH (x) ≡ x · x (mod 3).

Remark 1.6.3 A distance function on a vector space that satisfies parts (a) through (d) of
Theorem 1.6.2 is called a metric; thus dH is termed the Hamming metric. Other metrics
useful in coding theory are examined in Chapter 22.
Definition 1.6.4 Let C be an (n, M )q code with M > 1. The minimum (Hamming)
distance of C is the smallest distance between distinct codewords. If the minimum distance
d of C is known, C is denoted an (n, M, d)q code (or an [n, k, d]q code if C is linear of
dimension k). The (Hamming) distance distribution or inner distribution of C is the
list B0 (C), B1 (C), . . . , Bn (C) where, for 0 ≤ i ≤ n,
1 X
Bi (C) = {v ∈ C | dH (v, c) = i} .
M
c∈C

The minimum (Hamming) weight of a nonzero code C is the smallest weight of nonzero
codewords. The (Hamming) weight distribution of C is the list A0 (C), A1 (C), . . . , An (C)
where, for 0 ≤ i ≤ n, Ai (C) is the number of codewords of weight i. If C is understood,
the distance and weight distributions of C are denoted B0 , B1 , . . . , Bn and A0 , A1 , . . . , An ,
respectively.
Example 1.6.5 Let C be the (4, 6)2 code in Example 1.3.2. Its distance distribution is
B0 (C) = B4 (C) = 1, B2 (C) = 4, B1 (C) = B3 (C) = 0, and its minimum distance is 2. In par-
ticular C is a (4, 6, 2)2 code. The weight distribution of C is A2 (C) = 6 with Ai (C) = 0 other-
wise; its minimum weight is also 2. Let C 0 = 1000 + C = {0100, 0010, 0001, 1110, 1101, 1011}.
The distance distribution of C 0 agrees with the distance distribution of C making C 0 a
(4, 6, 2)2 code. However, the weight distribution of C 0 is A1 (C 0 ) = A3 (C 0 ) = 3 with Ai (C 0 ) = 0
otherwise; the minimum weight of C 0 is 1.
Theorem 1.6.6 ([1008, Chapter 1.4]) Let C be an [n, k, d]q linear code with k > 0. The
following hold.
(a) The minimum distance and minimum weight of C are the same.
(b) Ai (C) = Bi (C) for 0 ≤ i ≤ n.
n
X
(c) Ai (C) = q k .
i=0

(d) A0 (C) = 1 and Ai (C) = 0 for 1 ≤ i < d.

(e) If q = 2 and 1 = 11 · · · 1 ∈ C, then Ai (C) = An−i (C) for 0 ≤ i ≤ n.
(f) If q = 2 and C is self-orthogonal, every codeword of C has even weight and 1 ∈ C ⊥ .
(g) If q = 3 and C is self-orthogonal, every codeword of C has weight a multiple of 3.
Remark 1.6.7 Analogous to Theorem 1.6.6(c) and (d), if C is an (n, M, d)q code, then
Xn
Bi (C) = M with B0 (C) = 1 and Bi (C) = 0 for 1 ≤ i < d.
i=0

Binary vectors possess an important relationship between weights and inner products. If
x, y ∈ Fn2 and each have even weight, Theorem 1.6.2(f) implies x + y also has even weight.
If x, y ∈ Fn2 are orthogonal and each have weights a multiple of 4, Theorem 1.6.2(f) and (g)
show that x + y has weight a multiple of 4. This leads to the following definition for binary
codes.
12 Concise Encyclopedia of Coding Theory

Definition 1.6.8 Let C be a binary linear code. C is called even if all of its codewords
have even weight. C is called doubly-even if all of its codewords have weights a multiple
of 4. An even binary code that is not doubly-even is singly-even.

Remark 1.6.9 By Theorem 1.6.6(e), self-orthogonal binary linear codes are even. The
converse is not true; code C1 from Example 1.3.2 is even but not self-orthogonal. Doubly-
even binary linear codes must be self-orthogonal by Theorem 1.6.2(f) and (g). There are
self-orthogonal binary codes that are singly-even; code C2 from Examples 1.4.8 and 1.5.3 is
singly-even and self-dual.

Example 1.6.10 Let H3,2 be the [7, 4]2 binary Hamming code of Example 1.4.9. With
Ai = Ai (H3,2 ), A0 = A7 = 1, A3 = A4 = 7, and A1 = A2 = A5 = A6 = 0, illustrating
⊥
Theorem 1.6.6(d) and (e), and showing H3,2 is a [7, 4, 3]2 code. The [7, 3]2 dual code H3,2
⊥
is self-orthogonal by Example 1.5.3 and hence even. Also by self-orthogonality, H3,2 ⊆
⊥ ⊥
(H3,2 ) = H3,2 ; the weight distribution of H3,2 shows that the 8 codewords of weights 0
⊥ ⊥
and 4 must be precisely the codewords of H3,2 . In particular, H3,2 is a doubly-even [7, 3, 4]2
⊥
code. H3,2 is called a simplex code, described further in Section 1.10.

The minimum weight of a linear code is determined by a parity check matrix for the
code; see [1008, Corollary 1.4.14 and Theorem 1.4.15].

Theorem 1.6.11 A linear code has minimum weight d if and only if its parity check matrix
has a set of d linearly dependent columns but no set of d−1 linearly dependent columns. Also,
if C is an [n, k, d]q code, then every n − d + 1 coordinate positions contain an information
set; furthermore, d is the largest number with this property.

1.7 Puncturing, Extending, and Shortening Codes

There are several methods to obtain a longer or shorter code from a given code; while
this can be done for both linear and nonlinear codes, we focus on linear ones. Two codes
can be combined into a single code, for example as described in Section 1.11.

Definition 1.7.1 Let C be an [n, k, d]q linear code with generator matrix G and parity
check matrix H.
(a) For some i with 1 ≤ i ≤ n, let C ∗ be the codewords of C with the ith component
deleted. The resulting code, called a punctured code, is an [n − 1, k ∗ , d∗ ] code. If
d > 1, k ∗ = k, and d∗ = d unless C has a minimum weight codeword that is nonzero
on coordinate i, in which case d∗ = d − 1. If d = 1, k ∗ = k and d∗ = 1 unless C has
a weight 1 codeword that is nonzero on coordinate i, in which case k ∗ = k − 1 and
d∗ ≥ 1 as long as C ∗ is nonzero. A generator matrix for C ∗ is obtained from G by
deleting column i; G∗ will have dependent rows if d∗ = 1 and k ∗ = k − 1. Puncturing
is often done on multiple coordinates in an analogous manner, one coordinate at a
time.
 Pn+1
(b) Define Cb = c1 c2 · · · cn+1 ∈ Fn+1
q | c1 c2 · · · cn ∈ C where i=1 ci = 0 , called the
extended code. This is an [n + 1, k, d ]q code where d = d or d + 1. A generator
b b
 Basics of Coding Theory 13

matrix Gb for Cb is obtained by adding a column on the right of G so that every row
sum in this k × (n + 1) matrix is 0. A parity check matrix H
b for Cb is

1 ··· 1 1
 
 0 
H
b = ..  .
 H . 
0

(c) Let S be any set of s coordinates. Let C(S) be all codewords in C that are zero on
S. Puncturing C(S) on S results in the [n − s, kS , dS ]q shortened code CS where
dS ≥ d. If C ⊥ has minimum weight d⊥ and s < d⊥ , then kS = k − s.

Example 1.7.2 Let H3,2 be the [7, 4, 3]2 binary Hamming code of Examples 1.4.9 and
1.6.10. Extending this code, we obtain H
b3,2 with generator and parity check matrices
   
1 0 0 0 0 1 1 1 1 1 1 1 1 1 1 1
b 3,2 =  0 1 0 0 1 0 1 1  and H b 3,2 =  0 1 1 1 1 0 0 0  ,
   
G  0 0 1 0 1 1 0 1   1 0 1 1 0 1 0 0 
0 0 0 1 1 1 1 0 1 1 0 1 0 0 1 0

respectively. Given the weight distribution of H3,2 found in Example 1.6.10, the weight
distribution of H
b3,2 must be A0 (H b3,2 ) = A8 (H
b3,2 ) = 1, A4 (H
b3,2 ) = 14, and Ai (H
b3,2 ) = 0
otherwise, implying H b3,2 is doubly-even and self-dual; see Remark 1.6.9. Certainly if H b3,2
is punctured on its right-most coordinate, the resulting code is H3,2 .

There is a relationship between punctured and shortened codes via dual codes.

Remark 1.7.3 If C is a linear code over Fq and S a set of coordinates, then (C ⊥ )S = (C S )⊥

and (C ⊥ )S = (CS )⊥ where C S and (C ⊥ )S are C and C ⊥ punctured on S; see [1008, Theorem
1.5.7].

1.8 Equivalence and Automorphisms

Two vector spaces over Fq are considered the same (that is, isomorphic) if there is a
nonsingular linear transformation from one to the other. For linear codes to be considered
the same, we want these linear transformations to also preserve weights of codewords. In
Theorem 1.8.6, we will see that these weight preserving linear transformations are directly
related to monomial matrices. This leads to two different concepts of code equivalence for
linear codes.

Definition 1.8.1 If P ∈ Fn×n

q has exactly one 1 in each row and column and 0 elsewhere,
P is a permutation matrix. If M ∈ Fn×n q has exactly one nonzero entry in each row
and column, M is a monomial matrix. If C is a code over Fq of length n and A ∈
Fn×n
q , then CA = {cA | c ∈ C}. Let C1 and C2 be linear codes over Fq of length n.
C1 is permutation equivalent to C2 provided C2 = C1 P for some permutation matrix
P ∈ Fn×n
q . C1 is monomially equivalent to C2 provided C2 = C1 M for some monomial
matrix M ∈ Fn×n
q .
14 Concise Encyclopedia of Coding Theory

Remark 1.8.2 Applying a permutation matrix to a code simply permutes the coordinates;
applying a monomial matrix permutes and re-scales coordinates. Applying either a permu-
tation or monomial matrix to a vector does not change its weight. Also applying either
a permutation or monomial matrix to two vectors does not change the distance between
these two vectors. There is a third more general concept of equivalence, involving semi-linear
transformations, where two linear codes C1 and C2 over Fq are equivalent provided one
can be obtained from the other by permuting and re-scaling coordinates and then applying
an automorphism of the field Fq . Note that applying such maps to a vector or to a pair of
vectors preserves the weight of the vector and the distance between the two vectors, respec-
tively; see [1008, Section 1.7] for further discussion of this type of equivalence. There are
other concepts of equivalence that arise when the code may not be linear but has some spe-
cific algebraic structure (e.g., additive codes over Fq that are closed under vector addition
but not necessarily closed under scalar multiplication). The common theme when defining
equivalence of such codes is to use a set of maps which preserve distance between the two
vectors, which preserve the algebraic structure under consideration, and which form a group
under composition of these maps. We will follow this theme when we define equivalence of
unrestricted codes at the end of this section.
Remark 1.8.3 Let C1 and C2 be linear codes over Fq of length n. Define C1 ∼P C2 to mean
C1 is permutation equivalent to C2 ; similarly define C1 ∼M C2 to mean C1 is monomially
equivalent to C2 . Then both ∼P and ∼M are equivalence relations on the set of all linear
codes over Fq of length n; that is, both are reflexive, symmetric, and transitive. If q = 2,
the concepts of permutation and monomial equivalence are the same; if q > 2, they may
not be. Furthermore, two permutation or monomially equivalent codes have the same size,
weight and distance distributions, and minimum weight and distance. If two linear codes
are permutation equivalent and one code is self-orthogonal, so is the other; this may not be
true of two monomially equivalent codes.
Row reducing a generator matrix of a linear code to reduced echelon form and then
permuting columns yields the following result.
Theorem 1.8.4 Let C be a linear [n, k, d]q code with k ≥ 1. There is a code permutation
equivalent to C with a generator matrix in standard form.
Example 1.8.5 Let C be an [8, 4, 4]2 binary linear code.
 By Theorem 1.8.4, C is permuta-
tion equivalent to a code with generator matrix G = I4 | A . A straightforward argument
using minimum weight 4 shows that columns of A can be permuted so that the resulting
generator matrix is Gb 3 from Example 1.7.2. This verifies that C is permutation equivalent
to H3,2 .
b

The following is a generalization of a result of MacWilliams [1318]; see also [229, 1876].
This result motivated Definition 1.8.1.
Theorem 1.8.6 (MacWilliams Extension) There is a weight preserving linear trans-
formation between equal length linear codes C1 and C2 over Fq if and only if C1 and C2 are
monomially equivalent. Furthermore, the linear transformation agrees with the associated
monomial transformation on every codeword in C1 .
Definition 1.8.7 Let C be a linear code over Fq of length n. If CP = C for some permutation
matrix P ∈ Fn×nq , then P is a permutation automorphism of C; the set of all permutation
automorphisms of C is a group under matrix multiplication, denoted PAut(C). Similarly, if
CM = C for some monomial matrix M ∈ Fn×n q , then M is a monomial automorphism of
C; the set of all monomial automorphisms of C is a matrix group, denoted MAut(C). Clearly
PAut(C) ⊆ MAut(C).
 Basics of Coding Theory 15

We now consider when two unrestricted codes are equivalent. It should be noted that, in
this definition, a linear code may end up being equivalent to a nonlinear code. See Chapter 3
for more on this general equivalence.

Definition 1.8.8 Let C1 and C2 be unrestricted codes of length n over Fq of the same size.
Then C1 is equivalent to C2 provided the codewords of C2 are the images under a map
of the codewords of C1 where the map is a permutation of coordinates together with n
permutations of the alphabet Fq , independently within each coordinate.4

1.9 Bounds on Codes

In this section we present seven bounds relating the length, dimension or number of
codewords, and minimum distance of an unrestricted code. The first five are considered
upper bounds on the code size given length, minimum distance, and field size. By this,
we mean that there does not exist a code of size bigger than the upper bound with the
specified length, minimum distance, and field size. The last two are lower bounds on the
size of a linear code. This means that a linear code can be constructed with the given length
and minimum distance over the specified field having size equalling or exceeding the lower
bound. We also give asymptotic versions of these bounds. Some of these bounds will be
described using Aq (n, d) and Bq (n, d), which we now define.

Definition 1.9.1 For positive integers n and d, Aq (n, d) is the largest number of code-
words in an (n, M, d)q code, linear or nonlinear. Bq (n, d) is the largest number of code-
words in a [n, k, d]q linear code. An (n, M, d)q code is optimal provided M = Aq (n, d);
an [n, k, d]q linear code is optimal if q k = Bq (n, d). The concept of ‘optimal’ can also be
used in other contexts. Given n and d, kq (n, d) denotes the largest dimension of a linear code
over Fq of length n and minimum weight d; an [n, kq (n, d), d]q code could be called ‘optimal
in dimension’. Notice that kq (n, d) = logq Bq (n, d). Similarly, dq (n, k) denotes the largest
minimum distance of a linear code over Fq of length n and dimension k; an [n, k, dq (n, k)]q
may be called ‘optimal in distance’. Analogously, nq (k, d) denotes the smallest length of a
linear code over Fq of dimension k and minimum weight d; an [nq (k, d), k, d]q code might
be called ‘optimal in length’.5

Clearly Bq (n, d) ≤ Aq (n, d). On-line tables relating parameters of various types of codes
are maintained by M. Grassl [845].
The following basic properties of Aq (n, d) and Bq (n, d) are easily derived; see [1008,
Chapter 2.1].

Theorem 1.9.2 The following hold for 1 ≤ d ≤ n.

(a) Bq (n, d) ≤ Aq (n, d).
(b) Bq (n, n) = Aq (n, n) = q and Bq (n, 1) = Aq (n, 1) = q n .
4 In a more general setting, unrestricted codes do not have to have F as an alphabet. If A is the alphabet,
q
the permutations within each coordinate are permutations of A.
5 Further restrictions might be placed on a family of codes when discussing optimality. For example, given

n, a self-dual [n, n2
, d]q code over Fq with largest minimum weight d is sometimes called an ‘optimal q-ary
self-dual code of length n’. Optimal codes are explored in chapters such as 2–5, 11, 12, 16, 18, 20, and 23.
16 Concise Encyclopedia of Coding Theory

(c) Bq (n, d) ≤ qBq (n − 1, d) and Aq (n, d) ≤ qAq (n − 1, d) when 1 ≤ d < n.

(d) Bq (n, d) ≤ Bq (n − 1, d − 1) and Aq (n, d) ≤ Aq (n − 1, d − 1).

(e) If d is even, B2 (n, d) = B2 (n − 1, d − 1) and A2 (n, d) = A2 (n − 1, d − 1).
(f) If d is even and M = A2 (n, d), then there is an (n, M, d)2 code such that all codewords
have even weight and the distance between all pairs of codewords is also even.

1.9.1 The Sphere Packing Bound

The Sphere Packing Bound, also called the Hamming Bound, is based on packing Fnq
with non-overlapping spheres.

Definition 1.9.3 The sphere of radius r centered at u ∈ Fnq is the set Sq,n,r (u) =
{v ∈ Fnq | dH (u, v) ≤ r} of all vectors in Fnq whose distance from u is at most r.

We need the size of a sphere, which requires use of binomial coefficients.

 
a
Definition 1.9.4 For a, b integers with 0 ≤ b ≤ a, is the number of b-element subsets
  b
a a!
in an a-element set. = and is called a binomial coefficient.
b b!(a − b)!

The next result is the basis of the Sphere Packing Bound; part (a) is a direct count and
part (b) follows from the triangle inequality of Theorem 1.6.2.

Theorem 1.9.5 The following hold.

r  
X n
(a) For u ∈ Fnq , |Sq,n,r (u)| = (q − 1)i .
i=0
i
 d−1 
(b) If C is an (n, M, d)q code and t = 2 , then spheres of radius t centered at distinct
codewords are disjoint.
 d−1 
Theorem 1.9.6 (Sphere Packing (or Hamming) Bound) Let d ≥ 1. If t = 2 ,
then
qn
Bq (n, d) ≤ Aq (n, d) ≤ Pt n

.
i=0 i (q − 1)
i

Proof: Let C be an (n, M, d)q code. By Theorem 1.9.5, the spheres of radius t centered at
t  
X n
distinct codewords are disjoint, and each such sphere has α = (q − 1)i total vectors.
i=0
i
Thus M α cannot exceed the number q n of vectors in Fnq . The result is now clear. 

Remark 1.9.7 The Sphere Packing Bound is an upper bound on the size of a code given its
length and minimum distance. Additionally the Sphere Packing Bound produces an upper
bound on the minimum distance d of an (n, M )q code in the following sense. Given n, M ,
qn
and q, compute the smallest positive integer s with M > Ps n

; for an (n, M, d)q
i=0 i (q − 1)
i

code to exist, d < 2s − 1.

 Basics of Coding Theory 17
qn
Definition 1.9.8 If C is an (n, M, d)q code with M = Pt n

(that is, equality
i=0 i (q − 1)i
holds in the Sphere Packing Bound), C is called a perfect code. Perfect  codes are pre-
cisely those (n, M, d)q codes where the disjoint spheres of radius t = d−1

2 centered at all
codewords fill the entire space Fnq . Perfect codes are discussed in Sections 3.3.1 and 5.3.

Example 1.9.9 The code H3,2 of Examples 1.4.9 and 1.6.10 is a [7, 4, 3]2 code. So in this
n
27
case t = 3−1 = 1 and Pt qn (q−1)i = 1+7
 
= 24 yielding equality in the Sphere Packing
2 (
i=0 i )
Bound. So H3,2 is perfect.

1.9.2 The Singleton Bound

The Singleton Bound was formulated in [1717]. As with the Sphere Packing Bound, the
Singleton Bound is an upper bound on the size of a code.

Theorem 1.9.10 (Singleton Bound) For d ≤ n, Aq (n, d) ≤ q n−d+1 . Furthermore, if an

[n, k, d]q linear code exists, then k ≤ n − d + 1; i.e., kq (n, d) ≤ n − d + 1.

Remark 1.9.11 In addition to providing an upper bound on code size, the Singleton Bound
yields the upper bound d ≤ n − logq (M ) + 1 on the minimum distance of an (n, M, d)q code.

Definition 1.9.12 A code for which equality holds in the Singleton Bound is called max-
imum distance separable (MDS). No code of length n and minimum distance d has
more codewords than an MDS code with parameters n and d; equivalently, no code of length
n with M codewords has a larger minimum distance than an MDS code with parameters n
and M . MDS codes are discussed in Chapters 3, 6, 8, 14, and 33.

The following theorem is proved using Theorem 1.6.11.

Theorem 1.9.13 C is an [n, k, n−k +1]q MDS code if and only if C ⊥ is an [n, n−k, k +1]q
MDS code.

Example 1.9.14 Let H2,3 be the [4, 2]3 ternary linear code with generator matrix
 
1 0 1 1
G2,3 = .
0 1 1 −1

Examining inner products of the rows of G2,3 , we see that H2,3 is self-orthogonal of dimen-
sion half its length; so it is self-dual. Using Theorem 1.6.2(h), A0 (H2,3 ) = 1, A3 (H2,3 ) = 8,
and Ai (H2,3 ) = 0 otherwise. In particular H2,3 is a [4, 2, 3]3 code and hence is MDS.

1.9.3 The Plotkin Bound

The Binary Plotkin Bound [1527] is an upper bound on the size of an unrestricted binary
code of length n and minimum distance d provided d is close enough to n.

Theorem 1.9.15 (Binary Plotkin Bound) Let 2d > n. Then

 
d
A2 (n, d) ≤ 2 .
2d − n

This result is generalized in [230] to unrestricted codes over Fq .

18 Concise Encyclopedia of Coding Theory

Theorem 1.9.16 (Generalized Plotkin Bound) If an (n, M, d)q code exists, then
q−2 X
X q−1
M (M − 1)d ≤ 2n Mi Mj
i=0 j=i+1
 
M +i
where Mi = .
q

Example 1.9.17 The Sphere Packing Bound yields A2 (17, 9) ≤ 131 072
3 214 and A2 (18, 10) ≤
262 144
4 048 ; so A2 (17, 9) ≤ 40 and A2 (18, 10) ≤ 64. The Singleton Bound produces A2 (17, 9) ≤
512 and A2 (18, 10) ≤ 512. The Binary Plotkin Bound gives A2 (17, 9) ≤ 18 and A2 (18, 10) ≤
10. Using Theorem 1.9.2(e), the Plotkin Bound is best with A2 (18, 10) = A2 (17, 9) ≤ 10.
According to [845], there is a (18, 10, 10)2 code implying A2 (18, 10) = A2 (17, 9) = 10.

1.9.4 The Griesmer Bound

The Griesmer Bound [855] is a lower bound on the length of a linear code given its
dimension and minimum weight.

Theorem 1.9.18 (Griesmer Bound) Let C be an [n, k, d]q linear code with k ≥ 1. Then
k−1
X 
d
n≥ .
i=0
qi

Remark 1.9.19 One can interpret the Griesmer Bound as an upper bound on the code
size given its length and minimum weight. Specifically, Bq (n, d) ≤ q k where k is the largest
Pk−1  
positive integer such that n ≥ i=0 qdi . This bound can also be interpreted as a lower
bound on thePk−1 length
  of a linear code of given dimension and minimum weight; that is,
nq (k, d) ≥ i=0 qdi . Finally, the Griesmer Bound can be understood as an upper bound
on the minimum weight given the code length and dimension; given n and k, dq (n, k) is at
most the largest d for which the bound holds.

Example 1.9.20 Suppose we wish to find the smallest

  code  length
  n  such that an [n, 4, 3]2
code can exist. By the Griesmer Bound n ≥ 13 + 32 + 34 + 38 = 3 + 2 + 1 + 1 = 7.
Note that equality in this bound is attained by the [7, 4, 3]2 code H3,2 of Examples 1.4.9
and 1.6.10.

1.9.5 The Linear Programming Bound

The Linear Programming Bound is a result of the work of P. Delsarte in [517, 519, 521].
This is generally the most powerful of the bounds but does require setting up and solving
a linear program involving Krawtchouck polynomials.
(n,q)
Definition 1.9.21 For 0 ≤ k ≤ n, define the Krawtchouck polynomial Kk (x) of
degree k to be
k
x n−x
  
(n,q)
X
Kk (x) = (−1)j (q − 1)k−j .
j=0
j k−j
 Basics of Coding Theory 19

An extensive presentation of properties of the Krawtchouck polynomials can be found

in [1229, 1365] and in Section 12.1. A simple proof of the following result, known as the
Delsarte–MacWilliams Inequalities, is found in [1885].

Theorem 1.9.22 (Delsarte–MacWilliams Inequalities) Let C be an (n, M, d)q code

with distance distribution Bi (C) for 0 ≤ i ≤ n. Then for 0 ≤ k ≤ n
n
(n,q)
X
Bi (C)Kk (i) ≥ 0.
i=0

Let C be an (n,PnM, d)q code with distance distribution Bi (C) for 0 ≤ i ≤ n. By Re-
mark 1.6.7, M = i=0 Bi (C), B0 (C) = 1, and Bi (C) = 0 for 1 ≤ i ≤ d − 1. Although Bi (C)
may not be an integer, Bi (C) ≥ 0. By the Delsarte–MacWilliams Inequalities, we also have
Pn (n,q) (n,q)
i=0 Bi (C)Kk ≥ 0 for 0 ≤ i ≤ n. As K0 (i) = 1, the 0th Delsarte–MacWilliams
(i) P
n
Inequality is merely i=0 Bi (C) ≥ 0, which is clearly already true. If q = 2, there are addi-
tional inequalities that hold. When q = 2, it is straightforward to show that Bn (C) ≤ 1. Fur-
thermore when q = 2 and d is even, we may also assume that Bi (C) = 0 when i is odd by The-
(n,2) (n,2)
orem 1.9.2(f). Properties of binomial coefficients show that Kk (i) = (−1)i Kn−k (i); thus
th th
the k Delsarte–MacWilliams Inequality is the same as the (n−k) Delsarte–MacWilliams
Inequality because Bi (C) = 0 when i is odd. This discussion leads to the linear program
that is set up to establish an upper bound on Aq (n, d).

Theorem 1.9.23 (Linear Programming Bound) The following hold.

Pn
(a) When q ≥ 2, Aq (n, d) ≤ max { i=0 Bi } where the maximum is taken over all Bi
subject to the following conditions:
(i) B0 = 1 and Bi = 0 for 1 ≤ i ≤ d − 1,
(ii) Bi ≥ 0 for d ≤ i ≤ n, and
Pn (n,q)
(iii) i=0 Bi Kk (i) ≥ 0 for 1 ≤ k ≤ n.
Pn
(b) When d is even and q = 2, A2 (n, d) ≤ max { i=0 Bi } where the maximum is taken
over all Bi subject to the following conditions:
(i) B0 = 1 and Bi = 0 for 1 ≤ i ≤ d − 1 and all odd i,
(ii) Bi ≥ 0 for d ≤ i ≤ n and Bn ≤ 1, and
Pn (n,2)
(i) ≥ 0 for 1 ≤ k ≤ n2 .
 
(iii) i=0 Bi Kk

SometimesPadditional constraints can be added to the linear program and reduce the
n
size of max { i=0 Bi }. Linear Programming Bounds will be considered in more detail in
Chapters 12 and 13.

1.9.6 The Gilbert Bound

The Gilbert Bound [806] is a lower bound on Bq (n, d) and hence a lower bound on
Aq (n, d).

Theorem 1.9.24 (Gilbert Bound)

qn
Bq (n, d) ≥ Pd−1 n

.
i (q − 1)
i
i=0
20 Concise Encyclopedia of Coding Theory

1.9.7 The Varshamov Bound

The Varshamov Bound [1844] is similar to the Gilbert Bound; asymptotically they are
the same as stated in Section 1.9.8.

Theorem 1.9.25 (Varshamov Bound)

(n−1
i )(q−1) )e .
Pd−2 i
Bq (n, d) ≥ q n−dlogq (1+ i=0

1.9.8 Asymptotic Bounds

We now describe what happens to the bounds, excluding the Griesmer Bound, as the
code length approaches infinity; these bounds are termed asymptotic bounds. We first
need some terminology.

Definition 1.9.26 The information rate, or simply rate, of an (n, M, d)q code is defined
logq M k
to be . If the code is actually an [n, k, d]q linear code, its rate is , measuring the
n n
number of information coordinates relative to the total number of coordinates. In either the
linear or nonlinear case, the higher the rate, the higher the proportion of coordinates in a
d
codeword that actually contain information rather than redundancy. The ratio is called
n
the relative distance of the code; as we will see later, the relative distance is a measure
of the error-correcting capability of the code relative to its length.

Each asymptotic bound will be either an upper or lower bound on the largest possible
rate for a family of (possibly nonlinear) codes over Fq of lengths going to infinity with
relative distances approaching δ. The function, called the asymptotic normalized rate
function, that determines this rate is

logq Aq (n, δn)

αq (δ) = lim sup .
n→∞ n

As the exact value of αq (δ) is unknown, we desire upper and lower bounds on this function.
An upper bound would indicate that all families with relative distances approaching δ have
rates, in the limit, at most this upper bound. A lower bound indicates that there exists a
family of codes of lengths approaching infinity and relative distances approaching δ whose
rates are at least this bound. Three of the bounds in the next theorem involve the entropy
function.

Definition 1.9.27 The entropy function is defined for 0 ≤ x ≤ r = 1 − q −1 by


0 if x = 0,
Hq (x) =
x logq (q − 1) − x logq x − (1 − x) logq (1 − x) if 0 < x ≤ r.

Discussion and proofs of the asymptotic bounds can be found in [1008, 1323, 1505, 1836].
The MRRW Bound, named after the authors of [1365] who developed the bound, is the
Asymptotic Linear Programming Bound. The MRRW Bound has been improved by M.
Aaltonnen [2] in the case q > 2.

Theorem 1.9.28 (Asymptotic Bounds) Let q ≥ 2 and r = 1 − q −1 . The following hold.

(a) (Asymptotic Sphere Packing) αq (δ) ≤ 1 − Hq (δ/2) if 0 < δ ≤ r.
 Basics of Coding Theory 21

(b) (Asymptotic Singleton) αq (δ) ≤ 1 − δ if 0 ≤ δ ≤ 1.

δ
(c) (Asymptotic Plotkin) αq (δ) = 0 if r ≤ δ ≤ 1 and αq (δ) ≤ 1 − r if 0 ≤ δ ≤ r.
(d) (MRRW)
(i) (First MRRW)
  p 
αq (δ) ≤ Hq 1q q − 1 − (q − 2)δ − 2 (q − 1)δ(1 − δ) if 0 < δ < r.
√
(ii) (Second MRRW) Let g(x) = H2 ((1 − 1 − x )/2).
α2 (δ) ≤ min0≤u≤1−2δ {1 + g(u2 ) − g(u2 + 2δu + 2δ)} if 0 < δ < 1/2.
(e) (Asymptotic Gilbert–Varshamov) 1 − Hq (δ) ≤ αq (δ) if 0 < δ ≤ r.

1.10 Hamming Codes

A binary code permutation equivalent to the code of Example 1.4.9 was discovered in
1947 by R. W. Hamming while working at Bell Telephone Laboratories. Because of patent
considerations, his work was not published until 1950; see [895]. This Hamming code actually
appeared earlier in C. E. Shannon’s seminal paper [1661]. It was also generalized to codes
over fields of prime order by M. J. E. Golay [820].
Given a positive integer m, if one takes an m × n binary matrix whose columns are
nonzero and distinct, the binary code with this parity check matrix must have minimum
weight at least 3 by Theorem 1.6.11. Binary Hamming codes Hm,2 arise by choosing an
m × n parity check matrix with the maximum number of columns possible that are distinct
and nonzero.
Definition 1.10.1 Let m ≥ 2 be an integer and n = 2m − 1. Let Hm,2 be an m × n matrix
whose columns are all 2m − 1 distinct nonzero binary m-tuples. A code with this parity
check matrix is called a binary Hamming code. Changing the column order of Hm,2
produces a set of pairwise permutation equivalent codes. Any code in this list is denoted
Hm,2 and is a [2m − 1, 2m − 1 − m, 3]2 code.
The code H3,2 of Example 1.4.9 is indeed a binary Hamming code. These codes are
generalized to Hamming codes Hm,q over Fq , all with minimum weight 3 again from Theo-
rem 1.6.11.
Definition 1.10.2 Let m ≥ 2 be an integer and n = (q m −1)/(q −1). There are a total of n
1-dimensional subspaces of Fm q . Let Hm,q be an m×n matrix whose columns are all nonzero
m-tuples with one column from each of the distinct 1-dimensional subspaces of Fm q . A code
with this parity check matrix is called a Hamming code over Fq . Re-scaling columns
and/or changing column order of Hm,q produces a set of pairwise monomially equivalent 
codes. Any code in this list is denoted Hm,q and is a (q m −1)/(q−1), (q m −1)/(q−1)−m, 3 q
⊥
code. The code Hm,q is called a simplex code.
Example 1.10.3 The parity check matrix of the code in Example 1.9.14 is
 
−1 −1 1 0
.
−1 1 0 1
This code satisfies the definition of a Hamming [4, 2, 3]3 code, and so H2,3 is the appropriate
labeling of this code.
22 Concise Encyclopedia of Coding Theory

The parameters of the Hamming codes in fact determine the code. That Hm,q is perfect
follows by direct computation from Definition 1.9.8.

Theorem 1.10.4 The following hold.

(a) If C is a [2m − 1, 2m − 1 − m, 3]2 binary linear code, then C is permutation equivalent

to Hm,2 .
 
(b) If C is a (q m − 1)/(q − 1), (q m − 1)/(q − 1) − m, 3 q linear code, then C is monomially
equivalent to Hm,q .
(c) Hm,q is perfect.
⊥
The weight distribution of H3,2 was given in Example 1.6.10. The following generalizes
this; for a proof see [1008, Theorem 2.7.5].
 
Theorem 1.10.5 The nonzero codewords of the (q m − 1)/(q − 1), m q simplex code over
Fq all have weight q m−1 .

1.11 Reed–Muller Codes

In 1954 the binary Reed–Muller codes were first constructed and examined by D. E.
Muller [1409], and a majority logic decoding algorithm for them was described by I. S.
Reed [1581]. The non-binary Reed–Muller codes, called generalized Reed–Muller codes,
were developed in [1089, 1887]; see also Example 16.4.11 and Section 2.8. We define bi-
nary Reed–Muller codes recursively based on the (u | u + v) construction; see [1323]. Other
constructions of Reed–Muller codes can be found in Chapters 2, 16, and 20.

Definition 1.11.1 For i ∈ {1, 2}, let Ci be linear codes both of length n over Fq . The
(u | u + v) construction produces the linear code C of length 2n given by C = {(u, u + v) |
u ∈ C1 , v ∈ C2 }.

Remark 1.11.2 Let Ci , for i ∈ {1, 2}, be [n, ki , di ]q codes with generator and parity check
matrices Gi and Hi , respectively. C obtained by the (u | u + v) construction is a [2n, k1 +
k2 , min {2d1 , d2 }]q code with generator and parity check matrices
   
G1 G1 H1 0(n−k1 )×n
G= and H = . (1.2)
0k2 ×n G2 −H2 H2

We now define the binary Reed–Muller codes.

Definition 1.11.3 Let r and m be integers with 0 ≤ r ≤ m and 1 ≤ m. The rth or-
der binary Reed–Muller (RM) code of length 2m , denoted RM(r, m), is defined
recursively. The code RM(0, m) = {0, 1}, the [2m , 1, 2m ]2 binary repetition code, and
m
RM(m, m) = F2q , a [2m , 2m , 1]2 code. For 1 ≤ r < m, define

RM(r, m) = {(u, u + v) | u ∈ RM(r, m − 1), v ∈ RM(r − 1, m − 1)}.

 Basics of Coding Theory 23

Remark 1.11.4
 Let G(r, m) be a generator matrix of RM(r, m). By Definition 1.11.3,
G(0, m) = 1 1 · · · 1 and G(m, m) = I2m . By Definition 1.11.3 and (1.2), for 1 ≤ r < m,
 
G(r, m − 1) G(r, m − 1)
G(r, m) =
O G(r − 1, m − 1)

where O = 0k×2m−1 with k the dimension of RM(r − 1, m − 1).

Example 1.11.5 We give generator matrices for RM(r, m) with 1 ≤ r < m ≤ 3:

 
  1 0 1 0 1 0 1 0
1 0 1 0  0 1 0 1 0 1 0 1 
G(1, 2) =  0 1 0 1  , G(1, 3) =   0 0 1 1 0 0
,
1 1 
0 0 1 1
0 0 0 0 1 1 1 1
 
1 0 0 0 1 0 0 0
 0 1 0 0 0 1 0 0 
 
 0 0 1 0 0 0 1 0 
 
 0 0 0 1 0 0 0 1 .
G(2, 3) =  
 0 0 0 0 1 0 1 0 
 
 0 0 0 0 0 1 0 1 
0 0 0 0 0 0 1 1
From these generator matrices, we see that RM(1, 2) and RM(2, 3) consist of all even
weight binary vectors of lengths 4 and 8, respectively. Also RM(1, 3) is an [8, 4, 4]2 code,
which by Example 1.8.5 must be H b3,2 .

Using the definition of Reed–Muller codes and properties from the (u | u + v) construc-
tion, along with induction, the following hold; see [1008, Theorem 1.10.1].

Theorem 1.11.6 Let r and m be integers with 0 ≤ r ≤ m and 1 ≤ m. The following hold.
(a) RM(i, m) ⊆ RM(j, m) if 0 ≤ i ≤ j ≤ m.
(b) The dimension of RM(r, m) equals m m m




0 + 1 + ··· + r .
(c) The minimum weight of RM(r, m) equals 2m−r .
(d) RM(m, m)⊥ = {0}, and if 0 ≤ r < m, then RM(r, m)⊥ = RM(m − r − 1, m).

Remark 1.11.7 Theorem 1.11.6(a) is sometimes called the nesting property of Reed–
Muller codes. As observed in Example 1.11.5, RM(1, 3) = H b3,2 . Using Theorem 1.11.6(d),
it can be shown that RM(m−2, m) = Hm,2 ; see [1008, Exercise 61]. By Theorem 1.11.6(d),
b
RM(m − 1, m) = RM(0, m)⊥ . Since RM(0, m) = {0, 1}, RM(m − 1, m) must be all even
m
weight vectors in F22 , a fact observed for m = 2 and m = 3 in Example 1.11.5.

1.12 Cyclic Codes

The study of cyclic codes seems to have begun with a series of four Air Force Cambridge
Research Laboratory (AFCRL) technical notes [1536, 1537, 1538, 1539] by E. Prange from
24 Concise Encyclopedia of Coding Theory

1957 to 1959. The 1961 book by W. W. Peterson [1505] compiled extensive results about
cyclic codes and laid the framework for much of the present-day theory. In 1972 this book
was expanded and published jointly by Peterson and E. J. Weldon [1506].
Up to this point, the coordinates of Fnq have been denoted {1, 2, . . . , n}. For cyclic codes,
the coordinates of Fnq will be denoted {0, 1, . . . , n − 1}.

Definition 1.12.1 Let C be a code of length n over Fq . C is cyclic provided that for all
c = c0 c1 · · · cn−1 ∈ C, the cyclic shift c0 = cn−1 c0 · · · cn−2 ∈ C.

Remark 1.12.2 The cyclic shift described in Definition 1.12.1 is cyclic shift to the right
by one position with wrap-around. The code C is cyclic if and only if P ∈ PAut(C) where
the permutation matrix P = [pi,j ] is defined by pi,i+1 = 1 for 0 ≤ i ≤ n − 2, pn−1,0 = 1,
and pi,j = 0 otherwise. Cyclic codes are closed under cyclic shifts with wrap-around of any
amount and in either the left or right directions.

Example 1.12.3 Let C be the [7, 4]2 code with generator matrix
 
1 1 0 1 0 0 0
 0 1 1 0 1 0 0 
G=  0 0 1 1
.
0 1 0 
0 0 0 1 1 0 1

Labeling the rows of G as r1 , r2 , r3 , r4 top to bottom, we see that r5 = 1000110 = r1 +r2 +r3 ,
r6 = 0100011 = r2 + r3 + r4 , and r7 = 1010001 = r1 + r2 + r4 . Since C is spanned by
{r1 , r2 , . . . , r7 } and this list is closed under cyclic shifts, C must be a cyclic code. By row
reducing G, we obtain another generator matrix
 
1 0 0 0 1 1 0
 0 1 0 0 0 1 1 
G0 =  0 0 1 0 1 1 1 .


0 0 0 1 1 0 1

Label the columns of G0 left to right as 0, 1, . . . , 6. If P is the 7 × 7 permutation matrix

induced by the permutation that sends column 0 to column 2, column 2 to column 3, column
3 to column 1, column 1 to column 0, and fixes columns 4, 5, and 6, then G0 P has the same
rows as G3,2 , the generator matrix of H3,2 in Example 1.4.9. Therefore, by ordering the
coordinates of H3,2 appropriately, we see that H3,2 is a cyclic code.

While cyclic codes can be nonlinear, throughout this section we will examine only those
that are linear. To study linear cyclic codes it is useful to consider elements of Fnq as
polynomials inside a certain quotient ring of polynomials. In that framework, linear cyclic
codes are precisely the ideals of that quotient ring. We now establish the framework.

Definition 1.12.4 Let R be a commutative ring with identity. A subset I of R is an ideal

of R if for all a, b ∈ I and r ∈ R, then a − b ∈ I and ra ∈ I. The ideal I is a principal
ideal if there exists a ∈ I such that I = {ra | r ∈ R}; a is a generator of I and I
is denoted hai. 6 The ring R is an integral domain if whenever a, b ∈ R and ab = 0,
either a = 0 or b = 0. R is a principal ideal domain (PID) if it is an integral domain
and all its ideals are principal. The quotient ring of R by the ideal I, denoted R/I,
is the set of cosets {a + I | a ∈ R} with addition and multiplication of cosets given by
(r + I) + (s + I) = (r + s) + I and (r + I)(s + I) = rs + I; two cosets a + I and b + I are
equal if and only if a − b ∈ I.
6 In some chapters of this books, the principal ideal generated by a will be denoted (a).
 Basics of Coding Theory 25

Definition 1.12.5 Let x be an indeterminate over Fq . The set

Fq [x] = {a0 + a1 x + · · · + am xm | ai ∈ Fq for 0 ≤ i ≤ m and some m}

is the ring of polynomials with coefficients in Fq . Let a(x) = a0 + a1 x + · · · + am xm ∈

Fq [x] be a nonzero polynomial where am 6= 0. The degree of a(x), denoted deg(a(x)), is
m. If am = 1, a(x) is monic. If deg(a(x)) ≥ 1 and there do not exist b(x), c(x) ∈ Fq [x] with
deg(b(x)) < deg(a(x)) and deg(c(x)) < deg(a(x)) such that a(x) = b(x)c(x), then a(x) is
irreducible over Fq .

The following result is standard; see for example [751].

Theorem 1.12.6 The following hold.

(a) Fq [x] is a commutative ring with identity 1.

(b) (Division Algorithm) For a(x), b(x) ∈ Fq [x] with b(x) nonzero, there exists unique
s(x), t(x) ∈ Fq [x] such that a(x) = b(x)s(x)+t(x) where either t(x) = 0 or deg(t(x)) <
deg(b(x)).
(c) Fq [x] is a PID.
(d) (Unique Factorization) Let p(x) ∈ Fq [x] with deg(p(x)) ≥ 1. There exists a unique set
{f1 (x), f2 (x), . . . , ft (x)} ⊆ Fq [x], a unique list n1 , n2 , . . . , nt of positive integers, and
a unique α ∈ Fq where each fi (x) is monic and irreducible over Fq such that

p(x) = αf1 (x)n1 f2 (x)n2 · · · ft (x)nt .

(e) (Unique Coset Representatives) Let p(x) ∈ Fq [x] be nonzero. The distinct cosets
of the quotient ring Fq [x]/hp(x)i are uniquely representable as a(x) + hp(x)i where
a(x) = 0 or deg(a(x)) < deg(p(x)); Fq [x]/hp(x)i has order q deg(p(x)) . The quotient
ring Fq [x]/hp(x)i is also a vector space over Fq of dimension deg(p(x)).
(f) If p(x) is irreducible over Fq , then Fq [x]/hp(x)i is a field.

The map a = a0 a1 · · · an−1 7→ a(x) + hxn − 1i where a(x) = a0 + a1 x + · · · + an−1 xn−1 is

a vector space isomorphism from Fnq onto Fq [x]/hxn − 1i. We denote this map by a 7→ a(x),
dropping the ‘+ hxn − 1i’. Thus a linear code C of length n can be viewed equivalently as
a subspace of Fnq or as an Fq -subspace of Fq [x]/hxn − 1i. Notice that if a 7→ a(x), then
a0 = an−1 a0 · · · an−2 7→ xa(x) as xn + hxn − 1i = 1 + hxn − 1i. So C is a cyclic code in Fnq if
and only if C 7→ I where I is an ideal of Fq [x]/hxn − 1i. Therefore we study cyclic codes as
ideals of Fq [x]/hxn − 1i.
To find the ideals of Fq [x]/hxn − 1i requires factorization of xn − 1. From the theory of
finite fields (see [170, 1254, 1362]), there is an extension field of Fq that contains all the roots
of xn − 1. The smallest such field, called a splitting field of xn − 1 over Fq , is Fqt where
t is the smallest integer such that n | (q t − 1). When gcd(n, q) = 1, there exists α ∈ Fqt ,
called a primitive nth root of unity, such that the n distinct roots of xn − 1 (called
the roots of unity) are α0 = 1, α, α2 , . . . , αn−1 ; alternately if γ is a primitive element of
t
Fqt , one choice for α is γ (q −1)/n . When gcd(n, q) 6= 1, xn − 1 has repeated roots. For the
remainder of this section, we assume gcd(n, q) = 1.7
7 The theory of cyclic codes when gcd(n, q) 6= 1 has some overlap with the theory when gcd(n, q) = 1, but

there are significant differences. When gcd(n, q) 6= 1, cyclic codes are called repeated-root cyclic codes.
Repeated-root cyclic codes were first examined in their most generality in [369, 1835].
26 Concise Encyclopedia of Coding Theory

Definition 1.12.7 Let s be an integer with 0 ≤ s < n. The q-cyclotomic coset of s

modulo n is the set
Cs = {s, sq, . . . , sq r−1 } mod n
where r is the smallest positive integer such that sq r ≡ s (mod n). The distinct q-cyclotomic
cosets modulo n partition the set of integers {0, 1, 2, . . . , n − 1}.

Remark 1.12.8 A splitting field of xn − 1 over Fq is Fqt where t is the size of the q-
cyclotomic coset of 1 modulo n.

Theorem 1.12.9 ([1323, Chapter 7.5]) Let α be a primitive nth Qroot of unity in the
splitting field Fqt of xn − 1 over Fq . For 0 ≤ s < n define Mαs (x) = i∈Cs (x − αi ). Then
n
Mαs (x) ∈ Fq [x] and is irreducible over Fq . Furthermore, the uniqueQ factorization of x − 1
n
into monic irreducible polynomials over Fq is given by x − 1 = s Mαs (x) where s runs
through a set of representatives of all distinct q-cyclotomic cosets modulo n.

Example 1.12.10 The 2-cyclotomic cosets modulo 7 are C0 = {0}, C1 = {1, 2, 4}, and
C3 = {3, 6, 5}. By Remark 1.12.8, F23 = F8 is the splitting field of x7 − 1 over F2 . In
the notation of Table 1.3, α = δ is a primitive 7th root of unity. In the notation of The-
orem 1.12.9, Mα0 (x) = −1 + x = 1 + x, Mα = (x − α)(x − α2 )(x − α4 ) = 1 + x + x3 ,
Mα3 = (x − α3 )(x − α6 )(x − α5 ) = 1 + x2 + x3 , and x7 − 1 = Mα0 (x)Mα (x)Mα3 (x).

Using Theorem 1.12.9, we have the following basic theorem [1008, Theorem 4.2.1] de-
scribing the structure of cyclic codes over Fq . We remark that all of this theorem except
part (g) is valid when gcd(n, q) 6= 1. We note that if a(x), b(x) ∈ Fq [x], then a(x) divides
b(x), denoted a(x) | b(x), means that there exists c(x) ∈ Fq [x] such that b(x) = a(x)c(x).

Theorem 1.12.11 Let C be a nonzero linear cyclic code over Fq of length n viewed as an
ideal of Fq [x]/hxn − 1i. There exists a polynomial g(x) ∈ C with the following properties.
(a) g(x) is the unique monic polynomial of minimum degree in C.
(b) C = hg(x)i in Fq [x]/hxn − 1i.
(c) g(x) | (xn − 1).
Pn−k
With k = n − deg(g(x)), let g(x) = i=0 gi xi where gn−k = 1. Then
(d) the dimension of C is k and {g(x), xg(x), . . . , xk−1 g(x)} is a basis for C,
(e) every element of C is uniquely expressible as a product g(x)f (x) where f (x) = 0 or
deg(f (x)) < k,
(f) a generator matrix G of C is

g0 g1 g2 · · · gn−k ··· ··· 0

 
 0 g0 g1 · · · gn−k−1 gn−k ··· 0 
G =   ... .. 
. 
0 0 0 g0 ··· ··· ··· gn−k
g(x)
 
 xg(x) 
↔  .. ,
 . 
k−1
x g(x)

and
 Basics of Coding Theory 27

(g) if α is a primitive nth root of unity in the splitting field Fqt of xn − 1 over Fq , then
Y
g(x) = Mαs (x)
s

where the product is over a subset of representatives of distinct q-cyclotomic cosets

modulo n.

Definition 1.12.12 The polynomial g(x) in Theorem 1.12.11 is the generator polyno-
mial of C. By convention, the cyclic code C = {0} has generator polynomial g(x) = xn − 1.

The following are immediate consequences of Theorem 1.12.11.

Corollary 1.12.13 There are 2m linear cyclic codes of length n (including the zero code)
over Fq where m is the number of q-cyclotomic cosets modulo n.

Corollary 1.12.14 If g1 (x) and g2 (x) are generator polynomials of C1 and C2 , respectively,
and if g1 (x) | g2 (x), then C2 ⊆ C1 .

By Theorem 1.12.11, when gcd(n, q) = 1, a linear cyclic code of length n over Fq is

uniquely determined by its generator polynomial. This in turn is determined by its roots in
the splitting field of xn − 1 over Fq . This leads to the following definition.

Definition 1.12.15 Let C be a linear cyclic code of length n over Fq with generator poly-
nomial g(x) | (xn −1). Let α be a fixed primitive nthQroot n
Q of unity in ia splitting field of x −1
over Fq . By Theorems 1.12.9 and 1.12.11, g(x) = s i∈Cs (x − α ) where s runsSthrough
some subset of representatives of the q-cyclotomic cosets Cs modulo n. Let T = s Cs be
the union of these q-cyclotomic cosets. The roots of unity {αi | i ∈ T } are called the zeros
of C; {αi | 0 ≤ i < n, i 6∈ T } are the nonzeros of C. The set T is called the defining set
of C relative to α.

Remark 1.12.16 In Definition 1.12.15, if you change the primitive nth root of unity, you
change the defining set T ; so T is computed relative to a fixed primitive root of unity.

Remark 1.12.17 Corollary 1.12.14 can be translated into the language of defining sets: If
T1 and T2 are defining sets of C1 and C2 , respectively, relative to the same primitive root of
unity, and if T1 ⊆ T2 , then C2 ⊆ C1 .

Example 1.12.18 Continuing with Example 1.12.10, Table 1.5 describes the 23 = 8 bi-
nary cyclic codes of length 7. The code with g(x) = 1 + x + x3 is H3,2 as discussed in
Example 1.12.3. The code with g(x) = 1 + x2 + x3 is permutation equivalent to H3,2 . The
code of dimension k = 1 is the binary repetition code {0,1}.

The dual code of a cyclic code is also cyclic. We can determine its generator polynomial
and defining set; see [1323, Chapter 7.4].

Theorem 1.12.19 Let C be an [n, k]q cyclic code with generator polynomial g(x). Define
xn − 1 xk h(x−1 )
h(x) = . Then C ⊥ is cyclic with generator polynomial g ⊥ (x) = . Let α be
g(x) h(0)
a primitive nth root of unity in a splitting field of xn − 1 over Fq . If T is the defining set of
C relative to α, the defining set of C ⊥ is T ⊥ = {0, 1, . . . , n − 1} \ (−1)T mod n.
28 Concise Encyclopedia of Coding Theory

TABLE 1.5: The [7, k, d]2 cyclic codes with generator polynomial g(x) and defining set T
relative to α
k d g(x) T
0 — 1 + x7 = 0 {0, 1, 2, 3, 4, 5, 6}
1 7 1 + x + x2 + x3 + x4 + x5 + x6 {1, 2, 3, 4, 5, 6}
3 4 1 + x2 + x3 + x4 {0, 1, 2, 4}
3 4 1 + x + x2 + x4 {0, 3, 5, 6}
4 3 1 + x + x3 {1, 2, 4}
4 3 1 + x2 + x3 {3, 5, 6}
6 2 1+x {0}
7 1 1 ∅

Example 1.12.20 Continuing with Example 1.12.18, the dual of any code in Table 1.5
must be a code in the table. By comparing dimensions, the codes of dimension 0 and
7 in the table are duals of each other as are the codes of dimension 1 and 6; this is
confirmed by examining the defining sets and using Theorem 1.12.19. By this theorem,
{0, 1, 2, 3, 4, 5, 6} \ (−1){1, 2, 4} mod 7 = {0, 1, 2, 3, 4, 5, 6} \ {6, 5, 3} = {0, 1, 2, 4} showing
that the codes with defining sets {0, 1, 2, 4} and {1, 2, 4} are duals of each other. By Re-
mark 1.12.17, as {1, 2, 4} ⊆ {0, 1, 2, 4}, h1+x+x3 i⊥ = h1+x2 +x3 +x4 i ⊆ h1+x+x3 i, a fact
we already observed in Example 1.6.10. Similarly, the codes with defining sets {0, 3, 5, 6}
and {3, 5, 6} are duals of each other.

The following is a somewhat surprising fact about cyclic self-orthogonal binary codes;
see [1008, Theorem 4.4.18].

Theorem 1.12.21 A cyclic self-orthogonal binary code is doubly-even.

⊥
Example 1.12.22 As detailed in Examples 1.6.10 and 1.12.20, H3,2 is self-orthogonal and
doubly-even, illustrating Theorem 1.12.21.

Definition 1.12.23 Quasi-cyclic codes are a natural generalization of cyclic codes. Let C
be a code of length n and ` a positive integer dividing n. C is `-quasi-cyclic provided
whenever c0 c1 · · · cn−1 ∈ C then cn−` cn−`+1 · · · cn−1 c0 · · · cn−`−2 cn−`−1 ∈ C. Cyclic codes
are 1-quasi-cyclic codes. Quasi-cyclic codes will be studied in Chapter 7.

See Chapter 2 and Sections 8.6 and 20.5 for more on cyclic codes over fields.

1.13 Golay Codes

In the same remarkable one-half page 1949 paper [820] in which Golay generalized the
Hamming codes, he also introduced what later became known as the [23, 12, 7]2 binary
Golay code and the [11, 6, 5]3 ternary Golay code. There are many ways to present these
two codes; one way is to describe them as cyclic codes.

Example 1.13.1 There are three 2-cyclotomic cosets modulo 23 with sizes 1, 11, and 11:
C0 = {0}, C1 = {1, 2, 4, 8, 16, 9, 18, 13, 3, 6, 12}, C5 = {5, 10, 20, 17, 11, 22, 21, 19, 15, 7, 14}.
Theorem 1.12.9 implies that, over F2 , x23 − 1 = x23 + 1 factors into 3 monic irreducible
 Basics of Coding Theory 29

polynomials of degrees 1, 11, and 11. These irreducible factors are b0 (x) = 1 + x, b1 (x) =
1 + x + x5 + x6 + x7 + x9 + x11 , and b2 (x) = 1 + x2 + x4 + x5 + x6 + x10 + x11 . There are
8 binary linear cyclic codes of length 23 by Corollary 1.12.13. By Theorem 1.12.11(d), the
codes C1 = hb1 (x)i and C2 = hb2 (x)i are [23, 12]2 codes. The map that fixes coordinate 0
and switches coordinates i and 23 − i for 1 ≤ i ≤ 11 leads to a permutation matrix P where
C1 P = C2 . Any code permutation equivalent to C1 is termed the [23, 12]2 binary Golay
code of length 23 and is denoted G23 . The splitting field of x23 − 1 over F2 is F211 . In F211
there is a primitive 23rd root of unity α where the defining sets of C1 and C2 are C1 and
C5 , respectively, relative to α. Another primitive 23rd root of unity is β = α5 ; relative to β,
the defining sets of C1 and C2 are C5 and C1 , respectively. By Theorem 1.12.19 the defining
set of C1⊥ relative to α is C0 ∪ C1 implying by Remark 1.12.17 that C1⊥ ⊆ C1 showing C1⊥ is
self-orthogonal. Using Theorem 1.12.21, C1⊥ is the doubly-even [23, 11]2 code consisting of
all codewords in C1 of even weight.

Example 1.13.2 The 3-cyclotomic cosets modulo 11 are C0 = {0}, C1 = {1, 3, 9, 5, 4},
and C2 = {2, 6, 7, 10, 8} of sizes 1, 5, and 5, respectively. Theorem 1.12.9 implies that,
over F3 , x11 − 1 factors into 3 monic irreducible polynomials of degrees 1, 5, and 5. These
irreducible factors are t0 (x) = −1 + x, t1 (x) = −1 + x2 − x3 + x4 + x5 , and t2 (x) =
−1−x+x2 −x3 +x5 . There are 8 ternary linear cyclic codes of length 11 by Corollary 1.12.13.
By Theorem 1.12.11(d), the codes C1 = ht1 (x)i and C2 = ht2 (x)i are [11, 6]3 codes. The map
that fixes coordinate 0 and switches coordinates i and 11 − i for 1 ≤ i ≤ 5 leads to a
permutation matrix P where C1 P = C2 . Any code monomially equivalent to C1 is termed
the [11, 6]3 ternary Golay code of length 11 and is denoted G11 . The splitting field of
x11 − 1 over F3 is F35 . In F35 there is a primitive 11th root of unity α where the defining
sets of C1 and C2 are C1 and C2 , respectively, relative to α. Another primitive 11th root of
unity is β = α2 ; relative to β, the defining sets of C1 and C2 are C2 and C1 , respectively.

Definition 1.13.3 G23 can be extended as in Section 1.7 to a [24, 12]2 code Gb23 , denoted
G24 , and called the binary Golay code of length 24. Similarly G11 can be extended to a
[12, 6]3 code Gb11 , denoted G12 , and called the ternary Golay code of length 12.

Remark 1.13.4 The automorphism groups of the four Golay codes involve the Mathieu
groups Mp for p ∈ {11, 12, 23, 24} discovered by Émile Mathieu [1352, 1353]. These four
permutation groups on p points are 4-fold transitive, when p ∈ {11, 23}, and 5-fold transitive,
when p ∈ {12, 24}, simple groups. Properties of these groups and their relationship to Golay
codes can be found in [442].

The following two theorems give basic properties of the four Golay codes. Parts (a), (b),
and (c) of each theorem can be found in most standard coding theory texts. The uniqueness
of these codes in part (d) of each theorem is a culmination of work in [525, 1514, 1518, 1732]
with a self-contained proof in [1008, Chapter 10]. Part (e) of each theorem follows by direct
computation from Definition 1.9.8. The automorphism groups in part (f) of each theorem
can be found in [434], which is also [442, Chapter 10].

Theorem 1.13.5 The following properties hold for the binary Golay codes.

(a) G23 has minimum distance 7 and weight distribution A0 = A23 = 1, A7 = A16 = 253,
A8 = A15 = 506, A11 = A12 = 1288, and Ai = 0 otherwise.
(b) G24 has minimum distance 8 and weight distribution A0 = A24 = 1, A8 = A16 = 759,
A12 = 2576, and Ai = 0 otherwise.
(c) G24 is doubly-even and self-dual.
30 Concise Encyclopedia of Coding Theory

(d) Both a (23, M )2 and a (24, M )2 , possibly nonlinear, binary code each containing 0
with M ≥ 212 codewords and minimum distance 7 and 8, respectively, are unique
up to permutation equivalence. They are the [23, 12, 7]2 and [24, 12, 8]2 binary Golay
codes.
(e) G23 is perfect.

(f) PAut(G23 ) = M23 and PAut(G24 ) = M24 .

Theorem 1.13.6 The following properties hold for the ternary Golay codes.

(a) G11 has minimum distance 5 and weight distribution A0 = 1, A5 = A6 = 132, A8 =

330, A9 = 110, A11 = 24, and Ai = 0 otherwise.
(b) G12 has minimum distance 6 and weight distribution A0 = 1, A6 = 264, A9 = 440,
A12 = 24, and Ai = 0 otherwise.

(c) G12 is self-dual.

(d) Both a (11, M )3 and a (12, M )3 , possibly nonlinear, ternary code each containing 0
with M ≥ 36 codewords and minimum distance 5 and 6, respectively, are unique up
to monomial equivalence. They are the [11, 6, 5]3 and [12, 6, 6]3 ternary Golay codes.
(e) G11 is perfect.

(f) MAut(G11 ) = Mf11 and MAut(G12 ) = M f12 where M f11 and Mf12 are isomorphic to the
double covers, or the non-splitting central extensions by a center of order 2, of M11
and M12 .

Remark 1.13.7 If there is equality for given parameters of a code in a bound from Sec-
tion 1.9, we say the code meets the bound. Perfect codes are those meeting the Sphere
Packing Bound; MDS codes are those meeting the Singleton Bound. Using Theorem 1.10.5,
direct computation shows that the [(q m − 1)/(q − 1), m, q m−1 ]q simplex code meets the
Griesmer Bound, as do G11 and G12 . Neither G23 nor G24 meet the Griesmer Bound.

1.14 BCH and Reed–Solomon Codes

There is a lower bound, presented in Theorem 1.14.3, on the minimum distance of a
cyclic code based on the defining set of the code. BCH codes take advantage of this bound.
The binary BCH codes were discovered by A. Hocquenghem [968] and independently by R.
C. Bose and D. K. Ray-Chaudhuri [248, 249], and were generalized to all finite fields by D.
C. Gorenstein and N. Zierler [840]. Some properties of BCH codes are given in Section 2.6.

Definition 1.14.1 Let N = {0, 1, . . . , n − 1} and T ⊆ N . We say T contains a set of s ≤ n

consecutive elements provided there exists b ∈ N such that

{b, b + 1, . . . , b + s − 1} mod n ⊆ T.

Remark 1.14.2 When considering the notion of consecutive, wrap-around is allowed. For
example if n = 10, {8, 9, 0, 1} is a consecutive set in T = {0, 1, 2, 5, 8, 9}.
 Basics of Coding Theory 31

TABLE 1.6: The [7, k, d]2 BCH codes with defining set T relative to α, b, and Bose distance
δ
k d T b δ
0 — {0, 1, 2, 3, 4, 5, 6} = C1 ∪ C2 ∪ · · · ∪ C6 ∪ C0 1 —
1 7 {1, 2, 3, 4, 5, 6} = C1 ∪ C2 ∪ · · · ∪ C6 1 7
3 4 {0, 1, 2, 4} = C0 ∪ C1 ∪ C2 0 4
3 4 {0, 3, 5, 6} = C5 ∪ C6 ∪ C0 5 4
4 3 {1, 2, 4} = C1 ∪ C2 1 3
4 3 {3, 5, 6} = C5 ∪ C6 5 3
6 2 {0} = C0 0 2

Rather surprisingly, the existence of consecutive elements in the defining set of a cyclic
code determines a lower bound, called the BCH Bound, on the minimum distance of the
code. A proof of the following can be found in [1323, Chapter 7.6].

Theorem 1.14.3 (BCH Bound) Let C be a linear cyclic code of length n over Fq and
minimum distance d with defining set T relative to some primitive nth root of unity. Assume
T contains δ − 1 consecutive elements for some integer δ ≥ 2. Then d ≥ δ.

Definition 1.14.4 Let δ be an integer with 2 ≤ δ ≤ n. A BCH code over Fq of length

n and designed distance δ is a linear cyclic code with defining set

T = Cb ∪ Cb+1 ∪ · · · ∪ Cb+δ−2

relative to some primitive nth root of unity where Ci is the q-cyclotomic coset modulo n
containing i. As T contains the consecutive set {b, b+1, . . . , b+δ−2}, this code has minimum
distance at least δ by the BCH Bound. If b = 1, the code is narrow-sense; if n = q t − 1
for some t, the code is primitive.

Definition 1.14.5 Sometimes a BCH code can have more than one designed distance; the
largest designed distance is called the Bose distance.

Example 1.14.6 Consider the eight [7, k, d]2 binary cyclic codes from Example 1.12.18 and
presented in Table 1.5. All except the code with defining set T = ∅ are BCH codes as seen
in Table 1.6. As 7 = 23 − 1, all these BCH codes are primitive. Technically, the zero code
is primitive with designed distance 8; of course distance in the zero code is meaningless.
Of the six remaining codes, three are narrow-sense. Notice that the code with defining set
{1, 2, 4} is narrow-sense with two designed distances 2 and 3 as {1, 2, 4} = C1 = C1 ∪ C2 ;
the Bose distance is 3. The code with defining set {1, 2, 3, 4, 5, 6} is narrow-sense with
designed distances 4 through 7 as {1, 2, 3, 4, 5, 6} = C1 ∪ C2 ∪ C3 = C1 ∪ C2 ∪ C3 ∪ C4 =
C1 ∪ C2 ∪ C3 ∪ C4 ∪ C5 = C1 ∪ C2 ∪ C3 ∪ C4 ∪ C5 ∪ C6 ; the Bose distance is 7. The Bose
designed distance and the true minimum distance are the same for the seven nonzero BCH
codes.

Example 1.14.7 In the notation of Example 1.13.1, G23 has defining set T = C1 which
contains 4 consecutive elements {1, 2, 3, 4}. By the BCH Bound, G23 has minimum weight
at least 5; its true minimum weight is 7 from Theorem 1.13.5(a). As the defining set of G23
is T = C1 = C1 ∪ C2 ∪ C3 ∪ C4 , G23 is a narrow-sense8 BCH code of Bose designed distance
8G
23 is permutation equivalent to the BCH code with designed distance 5 and defining set C5 = C19 =
C19 ∪ C20 ∪ C21 ∪ C22 ; in this formulation G23 is not narrow-sense.
32 Concise Encyclopedia of Coding Theory

δ = 5 with b = 1. Similarly, G11 of Example 1.13.2 is a BCH code viewed in several ways.
G11 is a narrow-sense BCH code with b = 1, δ = 2 and defining set C1 = {1, 3, 4, 5, 9}. It is
also a BCH code with b = 3, δ = 2, 3, or 4 as {1, 3, 4, 5, 9} = C3 = C3 ∪ C4 = C3 ∪ C4 ∪ C5 .
The Bose distance of G11 is 4 while its true minimum distance is 5 from Theorem 1.13.6(a).

At about the same time as BCH codes appeared in the literature, I. S. Reed and G.
Solomon [1582] published their work on the codes that now bear their names. These codes,
which are now commonly presented as a special case of BCH codes, were actually first
constructed by K. A. Bush [319] in 1952 in the context of orthogonal arrays. Because
of their burst error-correction capabilities, Reed–Solomon codes are used to improve the
reliability of compact discs, digital audio tapes, and other data storage systems.

Definition 1.14.8 A Reed–Solomon (RS) code9 of length n over Fq is a primitive

BCH code of length n = q − 1.

When n = q − 1, the q-cyclotomic coset modulo n containing s is Cs = {s}. So if C is an

[n, k, d]q Reed–Solomon code, its defining set T has size n − k and must be {b, b + 1, . . . , b +
(n − k − 1)} mod n for some b. By the BCH Bound, d ≥ n − k + 1. By the Singleton Bound,
d ≤ n − k + 1. Therefore d = n − k + 1 and C is MDS; in particular the designed distance
δ = n − k + 1 equals the true minimum distance. In general the dual code of an MDS code
is also MDS by Theorem 1.9.13. The dual code of a BCH code may not be BCH; however
the dual of a Reed–Solomon code is Reed–Solomon as follows. By Theorem 1.12.19, C ⊥
has defining set T ⊥ = N \ (−1)T mod n where N = {0, 1, . . . , n − 1}. Since (−1)T mod n
consists of n−k consecutive elements of N , T ⊥ is the remaining k elements N , which clearly
must be consecutive (recalling that wrap-around is allowed in consecutive sets modulo n).
This discussion yields the following result.

Theorem 1.14.9 Let C be a Reed–Solomon code over Fq of length n = q − 1 and designed

distance δ. The following hold.
(a) C has defining set T = {b, b + 1, . . . , b + δ − 2} for some integer b.
(b) C has minimum distance d = δ and dimension k = n − d + 1.
(c) C is MDS.
(d) C ⊥ is a Reed–Solomon code of designed distance k + 1.

Example 1.14.10 Using Table 1.1, γ is both a primitive element of F9 and a primitive 8th
root of unity. Let C be the narrow-sense Reed–Solomon code over F9 of length 8 and designed
distance δ = 4. Then C has defining set {1, 2, 3} relative to γ and generator polynomial
g(x) = (x−γ)(x−γ 2 )(x−γ 3 ) = γ 2 +γx+γ 3 x2 +x3 . C is an [8, 5, 4]9 code. By Theorem 1.12.19,
C ⊥ has defining set T ⊥ = {0, 1, . . . , 7} \ (−1){1, 2, 3} mod 8 = {0, 1, . . . , 7} \ {7, 6, 5} =
{0, 1, 2, 3, 4} and hence generator polynomial g ⊥ (x) = (x−1)(x−γ)(x−γ 2 )(x−γ 3 )(x−γ 4 ) =
(x2 − 1)g(x) = γ 6 + γ 5 x + γ 5 x2 + γ 7 x3 + γ 3 x4 + x5 . So C ⊥ is an [8, 3, 6]9 non-narrow-sense
Reed–Solomon code with b = 0 and designed distance 6, consistent with Theorem 1.14.9(d).
As T ⊆ T ⊥ , C ⊥ ⊆ C by Remark 1.12.17.

The original formulation of Reed and Solomon for the narrow-sense Reed–Solomon codes
is different from that of Definition 1.14.8. This alternative formulation of narrow-sense
Reed–Solomon codes is of particular importance because it is the basis for the definitions
9 While this is a common definition of Reed–Solomon codes, there are other codes of lengths different

from q − 1 that are also called Reed–Solomon codes. See Remark 15.3.21.
 Basics of Coding Theory 33

of generalized Reed–Solomon codes, Goppa codes, and algebraic geometry codes; see Chap-
ters 15 and 24.
For this formulation, let Pk,q = {p(x) ∈ Fq [x] | p(x) = 0 or deg(p(x)) < k} when k ≥ 0.
See [1008, Theorem 5.2.3] for a proof of the following.

Theorem 1.14.11 Let n = q − 1 and let α be a primitive
nth root of unity in Fq . For
0 < k ≤ n = q − 1, let RS k (α) = p(α0 ), p(α), . . . , p(αq−2 ) ∈ Fnq | p(x) ∈ Pk,q . Then
RS k (α) is the narrow-sense [q − 1, k, q − k]q Reed–Solomon code.

In general, extending an MDS code may not produce an MDS code; however extending
a narrow-sense Reed–Solomon code does produce an MDS code. With Pq−2the notation of The-
orem 1.14.11, Fq = {0, 1 = α0 , α, α2 , . . . , αq−2 } and, when q ≥ 3, i=0 αi P
= 0. Using this,
it is straightforward to show that if q ≥ 3, k < q − 1, and p(x) ∈ Pk,q , then β∈Fq p(β) = 0.
This leads to the following result.

Theorem 1.14.12
 With the notation of Theorem
1.14.11 and 0 < k < n = q − 1,
RS
d k (α) = p(α0 ), p(α), . . . , p(αq−2 ), p(0) ∈ Fnq | p(x) ∈ Pk,q is a [q, k, q − k + 1]q
MDS code.

Remark 1.14.13 The code RS q−1 (α) omitted from consideration in Theorem 1.14.12
equals Fq−1
q . Its extension is not as given in Theorem 1.14.12; however RS
d q−1 (α) is still a
[q, q − 1, 2]q MDS code.

1.15 Weight Distributions

The weight distribution of a linear code determines the weight distribution of its dual
code via a series of equations, called the MacWilliams Identities or the MacWilliams Equa-
tions. They were first developed by F. J. MacWilliams in [1319]. There are in fact several
equivalent formulations of these equations. Among these are the Pless Power Moments dis-
covered by V. S. Pless [1513]. The most compact form of these identities is expressed in a
single polynomial equation relating the weight distribution of a code and its dual.

Definition 1.15.1 Let C be a linear code of length n over Fq with weight distribution
Ai (C) for 0 ≤ i ≤ n. Let x and y be independent indeterminates over Fq . The (Hamming)
weight enumerator of C is defined to be
n
X
HweC (x, y) = Ai (C)xi y n−i .
i=0

The formulation of the Pless Power Moments involves Stirling numbers.

Definition 1.15.2 The Stirling numbers S(r, ν) of the second kind are defined for
nonnegative integers r, ν by the equation
ν  
1 X ν−i ν
S(r, ν) = (−1) ir ;
ν! i=0 i

ν!S(r, ν) is the number of ways to distribute r distinct objects into ν distinct boxes with
no box left empty.
34 Concise Encyclopedia of Coding Theory

The next theorem gives six equivalent formulations of the MacWilliams Identities or
MacWilliams Equations. The fourth in the list involves the Krawtchouck polynomials;
see Definition 1.9.21. The last two are the Pless Power Moments. One proof of the
equivalence of these identities is found in [1008, Chapter 7.2].
Theorem 1.15.3 (MacWilliams Identities and Pless Power Moments) Let C be a
linear [n, k]q code and C ⊥ its [n, n − k]q dual code. Let Ai = Ai (C) and A⊥ ⊥
i = Ai (C ), for
⊥
0 ≤ i ≤ n, be the weight distributions of C and C , respectively. The following are equivalent.
n−ν
X n − j  ν 
n−j
X 
(a) Aj = q k−ν
A⊥
j for 0 ≤ ν ≤ n.
j=0
ν j=0
n − ν
n   ν
n−j
 
X j X
(b) Aj = q k−ν (−1)j (q − 1)ν−j A⊥
j for 0 ≤ ν ≤ n.
j=ν
ν j=0
n − ν

1
(c) HweC ⊥ (x, y) = HweC (y − x, y + (q − 1)x).
|C|
n
1 X (n,q)
(d) A⊥
j = Ai Kj (i) for 0 ≤ j ≤ n.
|C| i=0
 
n min{n,r} r
−
 
X X X n j
(e) j r Aj = (−1)j A⊥j
 ν!S(r, ν)q k−ν (q − 1)ν−j  for 0 ≤ r.
j=0 j=0 ν=j
n − ν
 
n min{n,r} r
−
 
X X X n j
(f) (n − j)r Aj = A⊥
j
 ν!S(r, ν)q k−ν  for 0 ≤ r.
j=0 j=0 ν=j
n − ν

Remark 1.15.4 In the case of a linear code, the Delsarte–MacWilliams Inequalities of

Theorem 1.9.22 follow from Theorem 1.15.3(d).
Example 1.15.5 In Theorem 1.13.6(b), we gave the weight distribution of G12 . Using the
Pless Power Moments of Theorem 1.15.3(e), we can verify this weight distribution using
only the fact that G12 is a [12, 6, 6]3 self-dual code. As G12 is self-dual, A⊥
i = Ai and Ai = 0
when 3 - i by Theorem 1.6.2(h). As A0 = 1 and the minimum weight of G12 is 6, the only
unknown Ai are A6 , A9 , and A12 . We can find these from the first three power moments in
Theorem 1.15.3(e). For a general [n, k]q code, as A⊥ 0 = 1, the first three power moments are
n
X
Aj = q k ,
j=0
n
X
jAj = q k−1 (qn − n − A⊥
1 ), and
j=0
n
X
j 2 Aj = q k−2 (q − 1)n(qn − n + 1) − (2qn − q − 2n + 2)A⊥ ⊥


1 + 2A2 .
j=0

Applied specifically to G12 , these become

1 + A6 + A9 + A12 = 729
6A6 + 9A9 + 12A12 = 5 832
36A6 + 81A9 + 144A12 = 48 600.
 Basics of Coding Theory 35

The unique solution to this system is A6 = 264, A9 = 440, and A12 = 24. Thus the weight
enumerator of G12 is

HweG12 (x, y) = y 12 + 264x6 y 6 + 440x9 y 3 + 24x12 .

 
Example 1.15.6 Let C be the (q m −1)/(q−1), m, q m−1 q simplex code of Theorem 1.10.5;
by this theorem, with n = (q m − 1)/(q − 1),
m−1 m−1
HweC (x, y) = y n + (q m − 1)xq y n−q .

By Definition 1.10.1, C ⊥ = Hm,q . Using Theorem 1.15.3(d),

1 (n,q) (n,q) m−1

Aj (Hm,q ) = K (0) + (q m − 1)Kj (q ) for 0 ≤ j ≤ n
qm j
noting that
 
(n,q) n
j
Kj (0) = (q − 1) and
j
j  m−1 
n − q m−1

(n,q) m−1 j−i q
X
i
Kj (q ) = (−1) (q − 1) .
i=1
i j−i

The MacWilliams Identities can be used to find the weight distribution of an MDS
code as found, for example, in [1323, Theorem 6 of Chapter 11]. A resulting corollary gives
bounding relations on the length, dimension, and field size.

Theorem 1.15.7 Let C be an [n, k, d]q MDS code over Fq . The weight distribution of C is
given by A0 (C) = 1, Ai (C) = 0 for 1 ≤ i < d = n − k + 1 and
i−d
 X  
n i
(−1)j q i+1−d−j − 1


Ai (C) =
i j=0 j

for d ≤ i ≤ n.

Corollary 1.15.8 Let C be an [n, k, d]q MDS code over Fq .

(a) If 2 ≤ k, then d = n − k + 1 ≤ q.
(b) If k ≤ n − 2, then k + 1 ≤ q.

This corollary becomes a foundation for the MDS Conjecture 3.3.21 in Chapter 3.

1.16 Encoding
Figure 1.1 shows a simple communication channel that includes a component called an
encoder, in which a message is encoded to produce a codeword. In this section we examine
two encoding processes.
As in Figure 1.1, a message is any of the q k possible k-tuples x ∈ Fkq . The encoder will
convert x to an n-tuple c from a code C over Fq with q k codewords; that codeword will then
be transmitted over the communication channel.
36 Concise Encyclopedia of Coding Theory

Suppose that C is an [n, k, d]q linear code with generator matrix G and parity check
matrix H. We first describe an encoder that uses the generator matrix G. The most common
way to encode the message x is as x 7→ c = xG. If G is replaced by another generator matrix,
the encoding of x will, of course, be different.  Anice relationship exists between message
and codeword if G is in standard form Ik | A . In that case the first k coordinates of
the codeword c are the information symbols x in order; the remaining n − k symbols are
the parity check symbols, that is, the redundancy added to x in order to help recover x
if errors occur during transmission. A similar relationship between message and codeword
can exist even if G is not in standard form. Specifically, suppose there exist column indices
i1 , i2 , . . . , ik such that the k×k matrix consisting of these k columns of G is the k×k identity
matrix. In that case the message is found in the k coordinates i1 , i2 , . . . , ik of the codeword
scrambled but otherwise unchanged; that is, the message symbol xj is in component ij of the
codeword. If this occurs where the message is embedded in the codeword, we say that the
encoder is a systematic encoder of C. We can always force an encoder to be systematic.
For example, if G is row reduced to a matrix G1 in reduced row echelon form, G1 remains
a generator matrix of C by Remark 1.4.3; the encoding x 7→ c = xG1 is systematic as G1
has k columns which together form Ik . Another way to force an encoder to be systematic
is as follows. By Theorem 1.8.4, C is permutation equivalent to an [n, k, d]q code C 0 with
generator matrix G0 in standard form. If the code C 0 is used in place of C, the encoder
x 7→ xG0 is a systematic encoder of C 0 .

Example 1.16.1 Let C be the [7, 4, 3]2 binary Hamming code H3,2 with generator matrix
G3,2 from Example 1.4.9. Encoding x = x1 x2 x3 x4 ∈ F42 as xG3,2 produces the codeword
c = x1 x2 x3 x4 (x2 + x3 + x4 )(x1 + x3 + x4 )(x1 + x2 + x4 ).

Example 1.16.2 Let C be an [n, k, d]q cyclic code with generator polynomial g(x) and
generator matrix G obtained from cyclic shifts of g(x) as in Theorem 1.12.11(f). Suppose
the message m = m0 m1 · · · mk−1 is to be encoded as c = mG. Using the polynomial m(x) =
m0 +m1 x+· · ·+mk−1 xk−1 to represent the message m and c(x) = c0 +c1 x+· · ·+cn−1 xn−1
to represent the codeword c, it is a simple calculation to show c(x) = m(x)g(x). Generally,
this encoding is not systematic. Recall from Examples 1.12.3 and 1.12.18 that the Hamming
[7, 4, 3]2 code H3,2 has a cyclic form with generator polynomial g(x) = 1 + x + x3 . The
nonsystematic encoder m(x) 7→ c(x) = m(x)g(x) yields c(x) = m0 + (m0 + m1 )x + (m1 +
m2 )x2 + (m0 + m2 + m3 )x3 + (m1 + m3 )x4 + m2 x5 + m3 x6 .

The second methodto encode  uses the parity check

 matrix H. This is easiest to do when
G is in standard form Ik | A ; in this case H = −AT | In−k by Theorem 1.4.7. Suppose
that x = x1 x2 · · · xk is to be encoded as the codeword c = c1 c2 · · · cn = xG. As G is in stan-
dard form, c1 c2 · · · ck = x1 x2 · · · xk . So we
 need to determine
 the n − k redundancy symbols
ck+1 ck+2 · · · cn . Because 0T = HcT = −AT | In−k cT , we have AT xT = ck+1 ck+2 · · · cT n,
or equivalently ck+1 ck+2 · · · cn = xA. This process can be generalized when x 7→ xG is a
systematic encoder.

Example 1.16.3 Continuing with Example 1.16.1, we can encode x = x1 x2 x3 x4 using

H3,2 from Example 1.4.9. Here c5 c6 c7 = xA where
 
0 1 1
 1 0 1 
A=  1 1 0 .


1 1 1
Thus c5 = x2 + x3 + x4 , c6 = x1 + x3 + x4 , and c7 = x1 + x2 + x4 , consistent with
Example 1.16.1.
 Basics of Coding Theory 37

Example 1.16.4 Let C be an [n, k, d]q cyclic code with generator polynomial g(x). In
Example 1.16.2 a nonsystematic encoder was described that encodes a cyclic code using
g(x). There is a systematic encoder of C using the generator polynomial g ⊥ (x) of C ⊥ .
By Theorem 1.12.19, g ⊥ (x) = xk h(x−1 )/h(0) = h00 + h01 x + · · · + h0k−1 xk−1 + h0k xk where
h(x) = (xn −1)/g(x) and h0k = 1. Let H, which is a parity check matrix for C, be determined
from the shifts of g ⊥ (x) as follows:
 0
h0 h01 h02 · · · h0k ··· ··· 0

 0 h00 h01 · · · h0k−1 h0k · · · 0 
H =   ... .. 
. 
0 0 0 h00 ··· ··· ··· h0k
g ⊥ (x)
 
 xg ⊥ (x) 
↔  .. .
 . 
xn−k−1 g ⊥ (x)
Examining the generator matrix G for C in Theorem 1.12.11(f), {0, 1, . . . , k − 1} is an infor-
mation set for C. Let c = c0 c1 · · · cn−1 ∈ C; so c0 c1 · · · ck−1 can be considered the associated
message. The redundancy components ck ck+1 · · · cn−1 are determined from HcT = 0T and
can be computed in the order i = k, k + 1, . . . , n − 1 where
k−1
X
ci = − h0j ci−k+j . (1.3)
j=0

Example 1.16.5 We apply the systematic encoding of Example 1.16.4 to the cyclic version
of the Hamming [7, 4, 3]2 code H3,2 with generator polynomial g(x) = 1 + x + x3 ; see
Example 1.12.18. By Example 1.12.20, g ⊥ (x) = 1 + x2 + x3 + x4 and (1.3) yields c4 =
c0 + c2 + c3 , c5 = c1 + c3 + c4 , and c6 = c2 + c4 + c5 . In terms of the information bits
c0 c1 c2 c3 , we have c4 = c0 + c2 + c3 , c5 = c0 + c1 + c2 , and c6 = c1 + c2 + c3 .
As discussed in Section 1.1, sometimes the receiver is interested only in the sent code-
words rather than the sent messages. However, if there is interest in the actual message, a
question arises as to how to recover the message from a codeword. If the encoder x 7→ xG
is systematic, it is straightforward to recover the message. What can be done otherwise?
Because G has independent rows, there is an n × k matrix K such that GK = Ik ; K is
called a right inverse for G. A right inverse is not necessarily unique. As c = xG, the
message x = xGK = cK.
Example 1.16.6 In Example 1.16.2, we encoded the message m0 m1 m2 m3 using the
[7, 4, 3]2 cyclic version of H3,2 with generator polynomial g(x) = 1 + x + x
3 . The resulting
codeword was c = m0 , m0 + m1 , m1 + m2 , m0 + m2 + m3 , m1 + m3 , m2 , m5 . The generator
matrix G obtained from g(x) as in Theorem 1.12.11(f) has right inverse
 
1 0 0 0
 0 1 0 0 
 
 0 1 0 0 
 
K=  0 1 0 0 .

 0 1 0 0 
 
 0 0 1 0 
0 0 0 1
Computing cK gives m0 m1 m2 m3 as expected.
38 Concise Encyclopedia of Coding Theory

FIGURE 1.2: Binary symmetric channel with crossover probability %

1−%
s
1 H - s 1
HH 
H H %  
HH *

H
  HH
jH

 % H
 HH
s
0  - Hs 0
1−%
send receive

1.17 Decoding
Decoding is the process of determining which codeword c was sent when a vector y is
received. Decoding is generally more complex than encoding. Decoding algorithms usually
vary with the type of code being used. In this section we discuss only the basics of hard-
decision decoding. Decoding is discussed more in depth in Chapters 15, 21, 24, 28–30, and
32.

Definition 1.17.1 A hard-decision decoder is a decoder that inputs ‘hard’ data from
the channel (e.g., elements from Fq ) and outputs hard data to the receiver. A soft-decision
decoder is one which inputs ‘soft’ data from the channel (e.g., estimates of the symbols
with attached probabilities) and generally outputs hard data.

Initially we focus our discussion to the decoding of binary codes. To set the stage for
decoding, we begin with one possible mathematical model of a channel that transmits binary
data. Before stating the model, we establish some notation. If E is an event, Prob(E) is
the probability that E occurs. If E1 and E2 are events, Prob(E1 | E2 ) is the conditional
probability that E1 occurs given that E2 occurs. The model for transmitting binary data
we explore is called the binary symmetric channel (BSC) with crossover probability
% as illustrated in Figure 1.2. In a BSC, we have the following conditional probabilities: For
y, c ∈ F2 , 
1 − % if y = c,
Prob(y is received | c is sent) = (1.4)
% if y 6= c.
In a BSC we also assume that the probability of error in one bit is independent of previous
bits. We will assume that it is more likely that a bit is received correctly than in error; so
% < 21 . 10
Let C be a binary code of length n. Assume that c ∈ C is sent and y ∈ Fn2 is received
and decoded as e c ∈ C. Of course the hope is that ec = c; otherwise the decoder has made a
decoding error. So Prob(c | y) is the probability that the codeword c is sent given that y
is received, and Prob(y | c) is the probability that y is received given that the codeword c
10 While % is usually very small, if % > 21 , the probability that a bit is received in error is higher than
the probability that it is received correctly. One strategy is to then immediately interchange 0 and 1 at
the receiving end. This converts the BSC with crossover probability % to a BSC with crossover probability
1 − % < 12 . This of course does not help if % = 21 ; in this case communication is not possible.
 Basics of Coding Theory 39

is sent. These probabilities are related by Bayes’ Rule

Prob(y | c)Prob(c)
Prob(c | y) =
Prob(y)

where Prob(c) is the probability that c is sent and Prob(y) is the probability that y is
received. There are two natural means by which a decoder can make a choice based on
c ∈ C where Prob(e
these two probabilities. First the decoder could decode y as e c | y) is max-
imum; such a decoder is called a maximum a posteriori probability (MAP) decoder.
Symbolically a MAP decoder makes the decision

c = arg max Prob(c | y).

e
c∈C

Here arg maxc∈C Prob(c | y) is the argument c of the probability function Prob(c | y) that
maximizes this probability. Alternately the decoder could decode y as e c ∈ C where
Prob(y | e
c) is maximum; such a decoder is called a maximum likelihood (ML) decoder.
Symbolically an ML decoder makes the decision

c = arg max Prob(y | c).

e
c∈C

We further analyze ML decoding over a BSC. If y = y1 y2 · · · yn and c = c1 c2 · · · cn ,

n
Y
Prob(y | c) = Prob(yi | ci )
i=1

since bit errors are independent. By (1.4) Prob(yi | ci ) = % if yi 6= ci and Prob(yi | ci ) = 1 − %

if yi = ci . Therefore
 dH (y,c)
dH (y,c) n−dH (y,c) n %
Prob(y | c) = % (1 − %) = (1 − %) . (1.5)
1−%
%
Since 0 < % < 12 , 0 < 1−% < 1. Thus maximizing Prob(y | c) is equivalent to minimizing
dH (y, c); so a ML decoder finds the codeword c closest to the received vector y in Hamming
distance.

Definition 1.17.2 If a decoder decodes a received vector y as the codeword c with dH (y, c)
minimized, the decoder is called a nearest neighbor decoder.

From this discussion, on a BSC, maximum likelihood and nearest neighbor decoding are
the same. We can certainly perform nearest neighbor decoding on any code over any field.
Before presenting an example of a nearest neighbor decoder, we need to establish the
relationship between the minimum distance of a code and the error-correcting capability of
the code under nearest neighbor decoding. Notice this theorem is valid for any code, linear
or not, over any finite field.

Theorem 1.17.3 Let C be an (n, M, d)q code and t = d−1

 
2 . If a codeword c ∈ C is sent
and y is received where t or fewer errors have occurred, then c is the unique codeword
closest to y. In particular nearest neighbor decoding uniquely and correctly decodes any
received vector in which at most t errors have occurred in transmission.

Proof: By definition y ∈ Sq,n,t (c), the sphere of radius t in Fnq centered at c. By The-
orem 1.9.5(b), spheres of radius t centered at codewords are pairwise disjoint; hence if
y ∈ Sq,n,t (c1 ) with c1 ∈ C, then c = c1 . 
40 Concise Encyclopedia of Coding Theory

Definition 1.17.4 A code C is a t-error-correcting code provided that whenever any

c ∈ C is transmitted and y ∈ Fnq is received, where y differs from c in at most t coordinates,
then every other codeword in C differs from y in more than t coordinates.

Remark
 d−1  d−1
 q code C is t-error-correcting for any t ≤
1.17.5 By Theorem 1.17.3, an (n, M, d)
2 . Furthermore, when M > 1 and t = 2 , there exist two distinct codewords such
that the spheres of radius t + 1 about them are not disjoint; if this were not  the case, the
minimum distance of C is in fact larger than d. Thus when M > 1 and t = d−1 2 , C is not
(t + 1)-error-correcting.11

The nearest neighbor decoding problem foran (n,  M, d)q code becomes one of finding an
efficient algorithm that will correct up to t = d−12 errors. An obvious decoding algorithm
is to examine all codewords until one is found with distance t or less from the received
vector. This is a realistic decoding algorithm only for M small. Another obvious algorithm
is to make a table consisting of a nearest codeword for each of the q n vectors in Fnq and then
look up a received vector in the table to decode it. This is impractical if q n is very large.
For an [n, k, d]q linear code, we can devise an algorithm using a table with q n−k rather
than q n entries where one can find the nearest codeword by looking up one of these q n−k
entries. This general nearest neighbor decoding algorithm for linear codes is called syndrome
decoding, which is the subject of the remainder of the section.

Definition 1.17.6 Let C be an [n, k, d]q linear code. For y ∈ Fnq , the coset of C with coset
representative y is y + C = {y + c | c ∈ C}. The weight of the coset y + C is the smallest
weight of a vector in the coset, and any vector of this smallest weight in the coset is called
a coset leader.

The next result follows from the theory of finite groups as a linear code is a group under
addition.

Theorem 1.17.7 Let C be an [n, k, d]q linear code. The following hold for y, y0 , e ∈ Fnq .
(a) y + C = y0 + C if and only if y − y0 ∈ C.
(b) Cosets of C all have size q k .
(c) Cosets of C are either equal or disjoint. There are q n−k distinct cosets of C and they
partition Fnq .
(d) If e is a coset representative of y + C, then e + C = y + C. In particular, if e is a coset
leader of y + C, then e + C = y + C.
(e) Any coset of weight at most t = d−1
 
2 has a unique coset leader.

Let C be an [n, k, d]q code; fix a parity check matrix H of C. For y ∈ Fnq , syn(y) = HyT
is called the syndrome of y. Syndromes are column vectors in Fn−k q . The code C consists
of all vectors whose syndrome equals 0T . As H has rank n − k, every column vector in Fn−k q
is a syndrome. From Theorem 1.17.7, if y, y0 ∈ Fnq are in the same coset of C, then y − y0 =
T T
c ∈ C. Therefore syn(y) = HyT = H(y0 + c)T = Hy0 + HcT = Hy0 + 0T = syn(y0 ).
0 0 T T 0
Conversely, if syn(y) = syn(y ), then H(y − y ) = 0 and so y − y ∈ C. Thus we have
the following theorem.
11 In the trivial case where M = 1, C is n-error-correcting as every received vector decodes to the only

codeword in C. However, since the information rate (Definition 1.9.26 ) of such a code is 0, it is never used
in practice.
 Basics of Coding Theory 41

Theorem 1.17.8 Two vectors belong to the same coset if and only if they have the same
syndrome.

Hence there is a one-to-one correspondence between cosets of C and syndromes. For

s ∈ Fn−k
q , denote by Cs the coset of C consisting of all vectors in Fnq with syndrome sT . Also
let es be a coset leader of Cs . Thus Cs = es + C.
Suppose a codeword sent over a communication channel is received as a vector y. In
nearest neighbor decoding we seek a vector e of smallest weight such that y − e ∈ C. So
nearest neighbor decoding is equivalent to finding a coset leader e of the coset y + C and
decoding the received vector y as y − e. The Syndrome Decoding Algorithm is the following
implementation of nearest neighbor decoding.

Algorithm 1.17.9 (Syndrome Decoding)

Use the above notation.

Step 1: For each syndrome s ∈ Fn−k
q , choose a coset leader es of the coset Cs . Create a table
pairing the syndrome with the coset leader.
Step 2: After receiving a vector y, compute s = syn(y).

Step 3: Decode y as the codeword y − es .

Step 1 of this algorithm can be somewhat involved, but it is a one-time preprocessing

task that is carried out before received vectors are analyzed.
 We briefly describe this table
creation. Begin with all vectors in Fnq of weight t = d−1

2 or less and place them in the
table paired with their syndromes; by Theorem 1.17.7(e), no syndrome is repeated. If all
syndromes have not been accounted for, place all vectors in Fnq of weight t + 1, one at a
time, paired with their syndromes into the table as long as the syndrome is not already
in the table. If all syndromes have still not been accounted for, repeat this procedure with
vectors in Fnq of weight t + 2, then weight t + 3, and continue inductively. End the process
when all syndromes are in the table.

Example 1.17.10 Let C be the [6, 3, 3]2 binary code with parity check matrix
 
0 1 1 1 0 0
H= 1 0 1 0 1 0 .
1 1 0 0 0 1

The table of Step 1 in the Syndrome Decoding Algorithm is the following.

leader syndrome leader syndrome leader syndrome leader syndrome

000000 000T 010000 101T 000100 100T 000001 001T
100000 011T 001000 110T 000010 010T 100100 111T

Notice that the coset with syndrome 111T has weight 2 and does not have a unique coset
leader. This coset has two other coset leaders: 010010 and 001001. All other cosets have
unique coset leaders by Theorem 1.17.7(e). We analyze three received vectors.

• Suppose y = 110110 is received. Then syn(y) = HyT = 000T and y is decoded as y.

y was the sent codeword provided 2 or more errors were not made.
42 Concise Encyclopedia of Coding Theory

• Now suppose that y = 101000 is received. Then syn(y) = 101T and y is decoded as
y − 010000 = 111000. This was the sent codeword provided only 1 error was made.
• Finally suppose that y = 111111 is received. Then syn(y) = 111T and y is decoded
as y − 100100 = 011011 and at least 2 errors were made in transmission. If exactly 2
errors were made, and we had chosen one of the other two possible coset leaders for
the table, y would have been decoded as y −010010 = 101101 or y −001001 = 110110.
For this code, any received vector where 0 or 1 errors were made would be decoded correctly.
If 2 errors were made, the decoder would decode the received vector to one of three possible
equally likely codewords; there is no way to determine which was actually sent. If more than
2 errors were made, the decoder would always decode the received vector incorrectly.

Example 1.17.11 Nearest neighbor decoding of the binary Hamming code Hm,2 is par-
ticularly easy. The parity check matrix for this code consists of the 2m − 1 nonzero binary
m-tuples of column length m; these can be viewed as the binary expansions of the integers
1, 2, . . . , 2m −1. Choose the parity check matrix H for Hm,2 where column i is the associated
binary m-tuple expansion of i. Step 1 of the Syndrome Decoding Algorithm 1.17.9 can be
skipped and the algorithm becomes the following: If y is received, compute s = syn(y). If
s = 0T , decode y as the codeword y. Otherwise s represents the binary expansion of some
integer i; the nearest codeword c to y is obtained from y by adding 1 to the ith bit.
As an illustration, the parity check matrix to use for H4,2 is
 
0 0 0 0 0 0 0 1 1 1 1 1 1 1 1
 0 0 0 1 1 1 1 0 0 0 0 1 1 1 1 
H=  0 1 1 0 0 1 1 0 0 1 1 0 0 1 1 .


1 0 1 0 1 0 1 0 1 0 1 0 1 0 1

Suppose y = 100110001111000 is received. Then syn(y) = 0100T , which is column 4 of H.

Hence 1 is added to coordinate 4 of y to yield the codeword c = 100010001111000.

1.18 Shannon’s Theorem

Shannon’s Channel Coding Theorem [1661] guarantees that good codes exist making
reliable communication possible. We will discuss this theorem in the context of binary
linear codes for which maximum likelihood decoding over a BSC is used. Note however that
the theorem can be stated in a more general setting.
Assume that the communication channel is a BSC with crossover probability % and that
syndrome decoding is used as the implementation of ML decoding to decode an [n, k, d]2
code C. The word error rate Perr for this channel and decoding scheme is the probability
that the decoder makes an error, averaged over all codewords of C; for simplicity assume
that each codeword of C is equally likely to be sent. A decoder error occurs when e c =
arg maxc∈C Prob(y | c) is not the originally transmitted codeword c when y is received. The
syndrome decoder makes a correct decision if y − c is a coset leader. The probability that
the decoder makes a correct decision is

%wtH (y−c) (1 − %)n−wtH (y−c)

by (1.5). Therefore the probability that the syndrome decoder makes a correct decision
 Basics of Coding Theory 43
Pn
averaged over all equally likely transmitted codewords is i=0 αi %i (1 − %)n−i where αi is
the number of coset leaders of weight i. Thus
n
X
Perr = 1 − αi %i (1 − %)n−i . (1.6)
i=0

Example 1.18.1 Suppose binary messages of length k are sent unencoded over a BSC
with crossover probability %. This in effect is the same as transmitting codewords from the
[k, k, 1]2 code C = Fk2 . This code has a unique coset, the code itself, and its leader is the
zero codeword of weight 0. Hence α0 = 1 and αi = 0 for i > 0. Therefore (1.6) shows that
the probability of decoder error is

Perr = 1 − %0 (1 − %)k = 1 − (1 − %)k .

This is precisely what we expect as the probability of no decoding error is the probability
(1 − %)k that the k bits are received without error. For instance if % = 0.01 and k = 4, Perr
without coding the length 4 messages is 0.03940399.

Example 1.18.2 We compare sending 24 = 16 binary messages unencoded to encoding

using the [7, 4, 3]2 binary Hamming code H3,2 . By Theorem 1.17.7(c), there are 27−4 = 8
cosets of H3,2 in F72 . Since F72 has 1 vector of weight 0 and 7 vectors of weight 1, these
must be the coset leaders for all 8 cosets of H3,2 in F72 by Theorem 1.17.7(e). Thus α0 = 1,
α1 = 7, and αi = 0 for i > 1. Hence the probability of decoder error is

Perr = 1 − (1 − %)7 − 7%(1 − %)6

by (1.6). For example if % = 0.01, Perr = 0.00203104 · · · , significantly lower than the word er-
ror rate for unencoded transmissions of binary messages of length 4 found in Example 1.18.1.
For comparison, when transmitting 10 000 unencoded binary messages each of length 4, one
can expect about 394 to be received in error. On the other hand, when transmitting 10 000
binary messages each of length 4 encoded to length 7 codewords from H3,2 , one can expect
about 20 to be decoded in error.

In order to state Shannon’s Theorem, we need to define the channel capacity.

Definition 1.18.3 For a BSC with crossover probability %, the capacity of the channel
is
C(%) = 1 + % log2 % + (1 − %) log2 (1 − %).
The capacity C(%) = 1 − H2 (%) where H2 (%) is the binary entropy function defined in more
generality in Section 1.9.8.12 See Figure 1.3.

The next theorem is Shannon’s Theorem for binary symmetric channels. Shannon’s orig-
inal theorem was stated for nonlinear codes but was later shown to be valid for linear codes
as well. The theorem also holds for other channels provided channel capacity is appropri-
ately defined. For discussion and proofs of various versions of Shannon’s Theorem, see for
example [467, 1314]. For binary symmetric channels, Shannon’s Theorem is as follows.

Theorem 1.18.4 (Shannon) Let δ > 0 and R < C(%). Then for large enough n, there
exists an [n, k]2 binary linear code C with nk ≥ R such that Perr < δ when C is used for
communication over a BSC with crossover probability %. Furthermore no such code exists if
R > C(%).
12 When 1
q = 2, the domain of the entropy function H2 (x) can be extended from 0 ≤ x < 2
to 0 ≤ x < 1.
44 Concise Encyclopedia of Coding Theory

FIGURE 1.3: Channel capacity for a BCS with crossover probability ρ

R
6
1 pppp p
ppp ppp
ppp
ppp pp
ppp R = C(ρ) pp p
ppp
ppp pp
ppp pp
p
ppp pp
ppp
pppp
ppp pp
ppp pp
ppp p
ppp pp
ppp p
ppp p
ppp pp
ppp p p pp
ppp p pp
p p pp pp p
p p pp p p
p p p pp p ppp
p p p pp p
p pp p p p pp p p p p p p p p ppp pp
p pp p p pp p p p p p p p p p p p p p p - ρ
1 1
2

Remark 1.18.5 When the crossover probability is ρ = 12 , C 21 = 0. In this case Shannon’s

Theorem indicates that communication is not possible. This is not surprising; when ρ = 12 ,
whether a binary symbol is received correctly or incorrectly is essentially determined by a
coin flip. See Footnote 10.

Remark 1.18.6 Recall that nk is the information rate of the code as in Definition 1.9.26.
The proof of Shannon’s Theorem is nonconstructive, but the theorem does guarantee that
good codes exist with information rates just under channel capacity and decoding error rates
arbitrarily small; unfortunately these codes may have to be extremely long. The objective
becomes to find codes with a large number of codewords (to send many messages), large
minimum distance (to correct many errors), and short length (to minimize transmission
time or storage space). These goals conflict as seen in Section 1.9.
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