UPC

FACULTAT DE MATEMÀTIQUES I ESTADÍSTICA

A computational primer
on
BLOCK ERROR-CORRECTING CODES

Sebastià Xambó i Descamps

January 2003
January 2003
c Sebastià Xambó i Descamps
Departament de Matemàtica Aplicada II
Universitat Politècnica de Catalunya
email: [Link]@[Link]
Preface

There is a unique way to teach: to lead the other person through

the same experience with which you learned.
Óscar Villarroya, cognitive scientist.1

In this book, the mathematical aspects in our presentation of the basic theory
of block error-correcting codes go together, in mutual reinforcement, with
computational discussions, implementations and examples of all the relevant
concepts, functions and algorithms. We hope that this approach will facilitate
the reading and be serviceable to mathematicians, computer scientists and
engineers interested in block error-correcting codes.2
In this hypertex pdf version, the examples can be run with just a mouse
click. Moreover, the examples can be modified by users and saved to their
local facilities for later work.
The program that handles the computations in the examples, together
with the interface that handles the editing (mathematics and text), here will
be called WIRIS/cc. More specifically, WIRIS stands for the interface, the
(remote) computational engine and the associated language, and cc stands
for the extension of WIRIS that takes care of the computational aspects that
are more specific of error-correcting codes.
WIRIS/cc is an important ingredient in our presentation, but we do not
presuppose any knowledge of it. As it is very easy to learn and use, it is
introduced gradually, according to the needs of our presentation. A succint
description of the functions used can be found in the Index-Glossary at the
end. The Appendix is a summary of the main features of the system.
This book represents the author’s response to the problem of teaching a
one-semester course in coding theory under the circumstances that will be
explained in a moment. Hopefully it will be useful as well for other teachers
1
Cognitive Research Center at the Universitat Autònoma de Barcelona, interviewed by
Lluís Amiguet in “la contra”, LA VANGUARDIA, 22/08/2002.
2
A forerunner of this approach was outlined in [34].
Preface iii

faced with similar challenges.

The course has been taught at the Facultat de Matemàtiques i Estadística
(FME) of the Universitat Politècnica de Catalunya (UPC) in the last few
years. Of the sixty sessions of fifty minutes each, nearly half are devoted to
problem discussions and problem solving. The students are junior or senior
mathematics majors (third and fourth year) and some of them are pursuing a
double degree in mathematics and telecommunications engineering.
The nature of the subject, the curriculum at the FME and the context
at the UPC advise that, in addition to sound and substantial mathematical
concepts and results, a reasonable weight should be given to algorithms and
the effective programming of them. In other words, learning should span a
wide spectrum ranging from the theoretical framework to aspects that may
be labeled as ‘experimental’ and ‘practical’.
All these various boundary conditions, especially the stringent time con-
straints and the huge size of the subject, are to be pondered very carefully in
the design of the course. Given the prerequisites that can be assumed (say
linear and polynomial algebra, some knowledge of finite fields, and basic
facts about probability theory), it is reasonable to aim at a good understand-
ing of some of the basic algebraic techniques for constructing block error-
correcting codes, the corresponding coding and decoding algorithms and a
good experimental and practical knowledge of their working. To give a more
concrete idea, this amounts to much of the material on block error correct-
ing codes included in, say, chapters 3-6 in [29] (or chapters 4 to 8 in [24]),
supplemented with a few topics that are not covered in these books, plus the
corresponding algorithmics and programming in the sense explained above.
Of course, this would be impossible unless a few efficiency principles
are obeyed. The basic one, some sort of Ockam’s razor, is that in the theo-
retical presentation mathematics is introduced only when needed. A similar
principle is applied to all the computational aspects.
The choice of topics is aimed at a meaningful and substantial climax in
each section and chapter, and in the book as a whole, rather than at an obvi-
ously futile attempt at completeness (in any form), which would be senseless
anyway due to the immense size of the fields involved.
WIRIS/cc makes it possible to drop many aspects of the current presenta-
tions as definitely unnecessary, like the compilations of different sorts of ta-
bles (as for example those needed for the hand computations in finite fields).
As a consequence, more time is left to deal with conceptual matters.
Finally it should be pointed out that this digital version can be a key
tool for the organization of laboratory sessions, both for individual work
assignments and for group work during class hours. The system, together
with the basic communications facilities that today can be assumed in most
universities, makes it easier for students to submit their homework in digital
iv Preface

form, and for teachers to test whether the computational implementations

run properly.
The basic pedagogical assumptions underlying the whole approach are
that the study of the algorithms leads to a better understanding of the mathe-
matics involved, and that the discipline of programming them in an effective
way promotes a better understanding of the algorithms. It could be argued
that the algorithms and programs are not necessary to solve problems, at
least not in principle, but it can also be argued that taking them into account
reinforces learning, because it introduces an experimental component in the
mathematical practice, and because it better prepares learners for future ap-
plications.
Of course, we do not actually know whether these new tools and methods
will meet the high expectations of their capacity to strengthen the students’
understanding and proficiency. But part of the beauty of it all, at least for
the author, stems precisely from the excitement of trying to find out, by ex-
perimenting together with our students, how far those tools and methods can
advance the teaching and learning of mathematics, algorithms and programs.

The growing need for mathematicians and computer scientists

in industry will lead to an increase in courses in the area of
discrete mathematics. One of the most suitable and fascinating
is, indeed, coding theory.
J. H. van Lint, [29], p. ix.

Acknowledgements

The character of this book, and especially the tools provided at

[Link]
would hardly be conceivable without the WIRIS system, which would not
have been produced without the sustained, industrious and unflappable col-
laboration of Daniel Marquès and Ramon Eixarch, first in the Project O MEGA
at the FME and afterwards, since July 1999, as partners in the firm Maths
for More.
On the Springer-Verlag side, the production of this book would never
have been completed without the help, patience and know-how of Clemens
Heine. Several other people at Springer have also been supportive in dif-
ferent phases of the project. My gratitude to all, including the anonymous
people that provided English corrections in the final stage.
It is also a pleasant duty to thank the FME and the Departament de
Matemàtica Aplicada II (MA2) of the UPC for all the support and encour-
agement while in charge of the Coding Theory course, and especially the
Preface v

students and colleagues for the everyday give-and-take that certainly has in-
fluenced a lot the final form of this text. Joan Bruna, for example, suggested
an improvement in the implementation of the Meggitt decoder that has been
included in Section 3.4.
Part of the material in this text, and especially the software aspects, were
presented and discussed in the EAGER school organized by Mina Teicher
and Boris Kunyavski from the Emmy Noether Institute (German Minerva
Center) at Eilat (Israel, January 12-16, 2003). I am grateful to the organiz-
ers for this opportunity, and to all the participants for their eager inquiring
about all aspects of the course. In particular, I have to thank Shmulik Ka-
plan for suggesting an improvement of the alternant decoder implementation
presented in Section 4.3.
Grateful thanks are due to Thomas Hintermann for sharing his enlight-
ening views on several aspects of writing, and especially on English writing.
They have surely contributed to improve this work, but of course only the au-
thor is to be found responsible for the mistakes and blunders that have gone
through undetected.
And thanks to my wife, Elionor Sedó. Without her enduring support
and love it would not have been possible to dedicate this work to her on the
occasion of our thirtieth wedding anniversary, for it would hardly have been
finished.

The author
L’Escala
20/1/03
Introduction

Error-correcting codes have been incorporated in numerous

working communication and memory systems.
W. Wesley Peterson and E. J. Weldon, Jr., [19], p. v.

This chapter is meant to be an informal introduction to the main ideas of

error-correcting block codes.
We will see that if redundancy is added in a suitable form to the infor-
mation to be sent through a communications channel (this process is called
coding), then it is possible to correct some of the errors caused by the chan-
nel noise if the symbols received are processed appropriately (this process is
called decoding).
The theoretical limit of how good coding can be is captured by Shannon’s
concept of (channel) capacity and Shannon’s epoch-making channel coding
theorem.3
At the end we will also explain how are we going to present the compu-
tational discussions and materials.

How do we correct text mistakes?

‘A trap df ond milrian cileq begens wifh a sinqle soep’,
Chinese saying
M. Bossert, [5], p. xiii.

Assume that you are asked to make sense of a ‘sentence’ like this: “Coding
theary zs bodh wntelesting and challenning” (to take a simpler example than
the Chinese saying in the quotation).
3
“While his incredible inventive mind enriched many fields, Claude Shannon’s enduring
fame will surely rest on his 1948 paper A methematical theory of Communication and the on-
going revolution in information technology it engendered” (Solomon W. Golomb, in “Claude
Elwood Shannon (1916-2001)”, Notices of the AMS, volume 49, number 1, p. 8).
2 Introduction

You realize that this proposed text has mistakes and after a little inspec-
tion you conclude that most likely the writer meant “Coding theory is both
interesting and challenging”.
Why is this so? Look at ‘challenning’, for example. We recognize it is
a mistake because it is not an English word. But it differs from the English
word ‘challenging’ in a single letter. In fact, we do not readily find other
English words that differ from ‘challenning’ in a single letter, and thus any
other English word that could be meant by the writer seems much more
unlikely than ‘challenging’. So we ‘correct’ ‘challenning’ to ‘challenging’.
A similar situation occurs with the replacement of ‘theary’ by ‘theory’. Now
in ‘bodh’, if we were to change a single letter to get an English word, we
would find ‘bode, ‘body” or ‘both’, and from the context we would choose
‘both’, because the other two do not seem to make sense.
There have been several implicit principles at work in our correction pro-
cess, including contextual information. For the purposes of this text, how-
ever, the main idea is that most English words contain redundancy in the
sense that altering one letter (or sometimes even more) will usually still al-
low us to identify the original word. We take this word to be the correct one,
because, under reasonable assumptions on the source of errors, we think that
it is the most likely.

The repetition code Rep(3)

Similar principles are the cornerstones of the theory and practice of error-
correcting codes. This can be illustrated with a toy example, which, despite
its simplicity, has most of the key features of channel coding.
Suppose we have to transmit a stream of bits u1 u2 u3 · · · (thus ui ∈
{0, 1} for all i) through a ‘noisy channel’ and that the probability that one
bit is altered is p. We assume that p is independent of the position of the bit
in the stream, and of whether it is 0 or 1. This kind of channel is called a
binary symmetric channel with bit-error rate p.
In order to try to improve the quality of the information at the receiving
end, we may decide to repeat each bit three times (this is the redundancy we
add in this case). Since for each information bit there are three transmission
bits, we say that this coding scheme has rate 1/3 (it takes three times longer
to transmit a coded message than the uncoded one). Thus every information
bit u is coded into the code word uuu (or [u u u] if we want to represent
it as a vector). In particular, we see that there are two code words, 000
and 111. Since they differ in all three positions, we say that the minimum
distance of the code is 3. The fact that the code words have 3 bits, that each
corresponds to a single information bit, and that the two code-words differ in
Introduction 3

3 positions is summarized by saying that this repetition code, which we will

denote Rep(3), has type [3, 1, 3].
If we could assume that at most one error is produced per each block
of three bits, then the redundancy added by coding suggests to decode each
block of three bits by a ‘majority vote’ decision: 000, 100, 010, 001 are
decoded as 0 and 111, 011, 101, 110 are decoded as 1. Of course, if two or
three errors occurred —a possibility that usually is much more unlikely than
having at most one error—, then the decoder would give the wrong answer.
All seems very good, but nevertheless we still have to ask whether this
scheme really improves the quality of the received information. Since there
are three times more bits that can be in error, are we sure that this coding and
decoding is helping?
To decide this, notice that p represents the proportion of error bits if no
coding is used, while if we use Rep(3) the proportion of bit errors will equal
the proportion p0 of received 3-bit blocks with 2 or 3 errors (then we may
call the decoded bit a code-error). Since

p0 = 3p2 (1 − p) + p3 ,

we see that p0 /p, which can be called the error-reduction factor of the code,
is equal to
3p(1 − p) + p2 = 3p − 2p2 = 3p(1 − 32 p)

If p is small, as it usually is, this expression is also small, and we can

use the (excess) approximation 3p as its value. For example, 3p = 0.003 for
p = 0.001, which means that, on average, for every 1000 errors produced
without coding we will have not more than 3 with coding.
This is definitely a substantial improvement, although we are paying a
price for it: the number of transmitted bits has been tripled, and we also have
added computing costs due to the coding and decoding processes.
Can we do better than in the Rep(3) example? Yes, of course, and this is
what the theory of error-correcting codes is about.

Remarks. There is no loss of generality in assuming, for a binary symmet-

ric channel, that p 6 1/2 (if it were p > 1/2, we could modify the channel
by replacing any 0 by 1 and any 1 by 0 at the receiving end). If this condition
is satisfied, then p0 6 p, with equality only for p = 0 and p = 1/2 (see Fig-
ure 1). It is clear, therefore, that we can always assume that Rep(3) reduces
the proportion of errors, except for p = 1/2, in which case it actually does
not matter because the channel is totally useless. In Figure 1 we have also
drawn the graph of p0 /p (the error reduction factor). Note that it is < 1 for
p < 1/2 and < 1/2 for p < 0.19.
4 Introduction

1/2

0 0.19 1/2

Figure 1: The graph of p0 = 3p2 − 2p3 as a function of p in the interval [0, 21 ]

is the concave arc. The convex arc is the graph in the same interval of p0 /p (the
error-reduction factor). It is < 1 for p < 1/2 and < 1/2 for p < 0.19. Note that in
the interval [0, 0.19] it decreases almost linearly to 0.

Channel capacity and Shannon’s channel coding theorem

Shannon, in his celebrated paper [25], introduced the notion of capacity of
a channel — a number C in the interval [0, 1] that measures the maximum
fraction of the information sent through the channel that is available at the
receiving end. In the case of a binary symmetric channel it turns out that

C = 1 + p log2 (p) + (1 − p) log2 (1 − p),

where log2 is the base 2 logarithm function. Notice that C = C(p) is

a strictly decreasing function in the interval [0, 1/2], with C(0) = 1 and
C(1/2) = 0, and that C(p) = C(1 − p) (see Figure 2).

0 1/2 1
Figure 2: Graph of the capacity C(p), p ∈ [0, 1], for a binary symmetric channel

Shannon’s channel coding theorem states that if R is a positive real num-

Introduction 5

ber less than the capacity C of a binary symmetric channel (so 0 < R < C),
and ε is any positive real number, then there are ‘codes’ with rate at least R
and with a probability of code-error less than ε (we refer to [29], [15] or [24]
for details).
Shannon’s theorem shows that in theory it is possible to transmit infor-
mation with sufficient confidence and with a transmission time increase by
a factor that can be as close to 1/C as desired. Unfortunately, his methods
only show the existence of such codes, but do not produce them, nor their
coding and decoding, in an effective way. It can be said that the main motiva-
tion of the theory of error-correcting codes in the last half century has been,
to a great extent, to find explicit codes with good rates, small code-error
probabilities and with fast coding and decoding procedures.

Comments on our computational approach

Algorithms ... are a central part of both digital signal processing

and decoders for error-control codes...
R. E. Blahut, [4], p. vii.

Let us return to the Rep(3) example in order to explain how we are going
to deal with the algorithmic and computing issues. In this case we would like
to define two functions, say f and g, that express, in a computational sense,
the coding and the decoding we have been discussing. The result could be
as in 1 The code Rep(3) (click on this label). In this case it is a Library, with a
Library Area (the area inside the rectangle below the title) and a Computation
Area (the area below the Library Area).
The syntax and semantics of the expressions is explained in more detail
in the Appendix, but it should be clear enough at this point. The relevant
comment to be made here is that labels such as The code Rep(3) are linked
to suitable files. When we click on a label, the corresponding file is displayed
on an WIRIS screen, and at that moment all the power of WIRIS/cc is available
to the user.
There are two main kinds of tasks that we can do.
One is modifying the code in the Library area. This is illustrated in
2 An alternative decoder for Rep (3): we have added the function h, which is

another implementation of the majority decoder. In this case we are using

the function weight that returns the number of nonzero entries of a vector (it
is just one of the many functions known to WIRIS/cc).4
4
Here for simplicity we assume that the vector [a b c] is binary. Thus we have also omitted
the error handling message “Decoder error” when a, b, c are different.
6 Introduction

The other kind of tasks we can do is writing expressions in the Compu-

tation Area (in this case the empty block underneath the Library Area) and
ask for their evaluation. This is illustrated in the link
3 Some coding and decoding requests

A WIRIS/cc document can be saved at any time as an html document in

the facilities available to the user. These html files can be loaded and read
with a Web browser with Java, or can be ‘pasted’, without loosing any of
their functionalities, to other html documents. In fact, this is how we have
generated the listings we have been considering so far, and all the remaining
similar listings in this book.

WIRIS/cc

As indicated before, we use WIRIS/cc for all the algorithmic and program-
ming aspects. It may be thought of as the conjunction of the general purpose
language of WIRIS and the special library cc for the treatment of block error-
correcting codes. This language has been designed to be close to accepted
mathematical practices and at the same time encompass various program-
ming paradigms. As with the mathematics, its features will be described
when they are needed to understand the examples without assuming pro-
gramming skills on the part of the reader.
As an illustration, let us look at the decoder function g for the Rep(3)
code which, for the reader’s convenience, we reproduce in the link 4 Decoder
for Rep(3). The formal parameter of g is a length 3 vector [a b c]. Since
the components of this vector are named symbolically, and the names can be
used in the body of the function (that is, the code written after :=), we see
that WIRIS supports ‘pattern-matching’. In this case, the body of the function
is an if ... then ... else ... end expression. The value of this expression is a
when a and b are equal or when a and c are equal, and it is b when b and c
are equal.
Of course, WIRIS can be used for many purposes other than codes. Figure
2 on page 4, for example, has been generated as indicated in the link 5 The
capacity function. 5

Goals of this book

The goal of this text is to present the basic mathematical theory of block
error-correcting codes together with its algorithmic and computational as-
5
The graph is generated by evaluating the expressions that appear on the WIRIS screen
when we click on this link.
Introduction 7

pects. Thus we will deal not only with the mathematics involved, but also
with the related algorithms and with effective ways of programming these
algorithms. This treatment has been illustrated already in the case of the
repetition code Rep(3) above: we have listed there, after explaining the con-
cepts of coder and decoder, a translation of them as algorithms (the functions
f and g) and programs (in this case, the fact that f and g can be loaded and
run by a computer).

The book has four chapters. The first is a broad introduction to the subject
of block error-correcting codes. After a first section devoted to the presen-
tation of the basic concepts, we study linear codes and the basic computa-
tional issues of the syndrome-leader decoder. The third section is devoted to
Hadamard codes, which in general are non-linear, and in the fourth section
we study the more outstanding bounds on the parameters of codes.
The second chapter is an independent introduction to finite fields and
their computational treatment to the extent that they are needed later. Usually
it is prefarable to cover its contents as the need arises while working on the
material of the last two chapters.
Chapter 3 is devoted to cyclic codes, and to one of their practical decod-
ing schemes, namely the Meggitt decoder. This includes a presentation of
the two Golay codes, including its Meggitt decoding. The important Bose–
Chaudhuri–Hocquenghem codes, a subfamily of the cyclic codes, are also
considered in detail.
Chapter 4 is the culmination of the text in many respects. It is de-
voted to alternant codes, which are generally not cyclic, and to their main
decoders (basically the Berlekamp–Massey–Sugiyama decoder, based on
the Euclidean division algorithm, and the Peterson–Gorenstein–Zierler al-
gorithm, based on linear algebra, as well as some interesting variations of
the two). It is to be noted that these decoders are applicable to the classi-
cal Goppa codes, the Reed–Solomon codes (not necessarily primitive), and
the Bose–Chaudhuri–Hocquenghem codes (that include the primitive Reed–
Solomon codes).

Chapter summary
• We have introduced the repetition code Rep(3) for the binary sym-
metric channel, and Shannon’s celebrated formula for its capacity,
C = 1 + p log2 (p) + (1 − p) log2 (1 − p), where p is the bit-error
rate of the channel.
• Assuming p is small, the quotient of the code-error rate p0 of Rep(3)
over the bit-error rate p is aproximately 3p. Hence, for example, if
8 Introduction

there is one bit error per thousand bits transmited (on average), then
using the code will amount to about three bit errors per million bits
transmitted (on average).

• The repetition code Rep(3) shows that error correction is possible at

the expense of the information transmission rate and of computational
costs. Shannon’s channel coding theorem, which says that if R and ε
denote positive real numbers such that 0 < R < C, where C is the
capacity, then there are ‘codes’ with a rate not less than R and with
a code-error probability not higher than ε, expresses the theoretical
limits of coding.

• Shannon only showed the existence of such codes, but no efficient

ways for constructing, coding and decoding them.

• The language in which the functions and algorithms are programmed,

WIRIS/cc, is very easy to learn and use, is explained gradually along
the way and does not require any programming skills.

• There is a paper version of this book in which all the links are ex-
panded into suitable listings.

• The goal of this text is to present in the simplest possible terms, and
covering systematically the most relevant computational aspects, some
of the main breakthroughs that have occurred in the last fifty years in
the quest of explicit codes, and efficient procedures for coding and
decoding them, that approach Shannon’s theoretical limit ever more
closely.

Conventions and notations

Exercises and Problems. They are labeled E.m.n and P.m.n, respectively,
where n is the n-th exercise or problem within chapter m. Problems are
grouped in a subsection at the end of each section, whereas exercises are
inserted at any place that seems appropriate.
Mathematics and WIRIS/cc. In the text, the expression of mathematical
objects and the corresponding WIRIS/cc expression are written in different
types. This translation may not be done if the mathematical and WIRIS syn-
taxes are alike, especially in the case of symbolic expressions. For example,
we do not bother in typesetting a..b or x|x’ for the WIRIS/cc expressions of
the mathematical range a..b or the concatenation x|x0 of the vectors x and x0 .
Introduction 9

Note that there may be WIRIS/cc objets (like Range, a type) that are not
assigned an explicit formal name in the mathematical context.
The ending symbol . In general this symbol is used to signal the end
of a block (for example a Remark) that is followed by material that is not
clearly the beginning of another block. An exception is made in the case of
proofs: we always use the symbol to denote the end of a proof, even if after
it there is a definite beginning of a new block. On the other hand, since the
end of theorems without proof is always clear, the symbol is never used in
that case.
Quality improvement. We would be very appreciative if errors and sugges-
tions for improvements were reported to the author at the following email
address: [Link]@[Link].
1 Block Error-correcting Codes

Channel coding is a very young field. However, it has gained

importance in communication systems, which are almost incon-
ceivable without channel coding.
M. Bossert, [5], p. xiv.

The goal of this chapter is the study of some basic concepts and construc-
tions pertaining to block error-correcting codes, and of their more salient
properties, with a strong emphasis on all the relevant algorithmic and com-
putational aspects.
The first section is meant to be a general introduction to the theory of
block error-correcting codes. Most of the notions are illustrated in detail
with the example of the Hamming [7,4,3] code. Two fundamental results on
the parameters of a block code are proved: the Hamming upper-bound and
the Gilbert lower-bound.
In the second section, we look at linear codes, also from a general point
of view. We include a presentation of syndrome decoding. The main exam-
ples are the Hamming codes and their duals and the (general) Reed–Solomon
codes and their duals. We also study the Gilbert–Varshamov condition on the
parameters for the existence of linear codes and the MacWilliams identities
between the weight enumerators of a linear code and its dual.
Special classes of non-linear codes, like the Hadamard and Paley codes,
are considered in the third section. Some mathematical preliminairies on
Hadamard matrices are developed at the beginning. The first order Reed–
Muller codes, which are linear, but related to the Hadamard codes, are also
introduced in this section.
The last section is devoted to the presentation of several bounds on the
parameters of block codes and the corresponding asymtotic bounds. Sev-
eral procedures for the construction of codes out of other codes are also
discussed.
1.1. Basic concepts 11

1.1 Basic concepts

Although coding theory has its origin in an engineering prob-

lem, the subject has developed by using more and more so-
phisticated mathematical techniques.
F. J. MacWilliams and N. J. A. Sloane, [14], p. vi.

Essential points

• The definition of block code and some basic related notions (code-
words, dimension, transmission rate, minimum distance, equivalence
criteria for block codes).
• The definition of decoder and of the correcting capacity of a decoder.
• The minimum distance decoder and its error-reduction factor.
• The archtypal Hamming code [7,4,3] and its computational treatment.
• Basic dimension upper bounds (Singleton and Hamming) and the no-
tions of MDS codes and perfect codes.
• The dimension lower bound of Gilbert.

Introductory remarks
The fundamental problem of communication is that of repro-
ducing at one point either exactly or approximately a message
selected at another point.
C. E. Shannon 1948, [25].

Messages generated by an information source often can be modelled as a

stream s1 , s2 , ... of symbols chosen from a finite set S called the source al-
phabet. Moreover, usually we may assume that the time ts taken by the
source to generate a symbol is the same for all symbols.
To send messages we need a communications channel. A communica-
tions channel can often be modelled as a device that takes a stream of sym-
bols chosen from a finite set T , that we will call the channel (or transmission)
alphabet, and pipes them to its destination (called the receiving end of the
12 Chapter 1. Block Error-correcting Codes

channel) in some physical form that need not concern us here.1 As a result, a
stream of symbols chosen from T arrives at the receiving end of the channel.
The channel is said to be noiseless if the sent and received symbols al-
ways agree. Otherwise it is said to be noisy, as real channels almost always
are due to a variety of physical phenomena that tend to distort the physical
representation of the symbols along the channel.
The transfer from the source to the sending end of the channel requires
an encoder, that is, a function f : S → T ∗ from the set of source symbols
into the set T ∗ of finite sequences of transmission symbols. Since we do not
want to loose information at this stage, we will always assume that encoders
are injective. The elements of the image of f are called the code-words of
the encoder.
In this text we will consider only block encoders, that is, encoders with
the property that there exists a positive integer n such that C ⊆ T n , where
C = f (S) is the set of code words of the encoder. The integer n is called the
length of the block encoder.
For a block encoding scheme to make sense it is necessary that the source
generates the symbols at a rate that leaves enough time for the opperation of
the encoder and the channel transmission of the code-words. We always
will assume that this condition is satisfied, for this requirement is taken into
account in the design of communications systems.
Since for a block encoder the map f : S → C is bijective, we may con-
sider as equivalent the knowledge of a source symbol and the corresponding
code word. Generally speaking this equivalence holds also at the algorithmic
level, since the computation of f or of its inverse usually can be efficiently
managed. As a consequence, it will be possible to phrase the main issues
concerning block encoders in terms of the set C and the properties of the
channel. In the beginning in next section, we adopt this point of view as a
general starting point of our study of block codes and, in particular, of the
decoding notions and problems.

1.1 Remarks. The set {0, 1} is called the binary alphabet and it is very
widely used in communications systems. Its two symbols are called bits.
With the addition and multiplication modulo 2, it coincides with the field Z2
of binary digits. The transposition of the two bits (0 7→ 1, 1 7→ 0) is called
negation. Note that the negation of a bit b coincides with 1 + b.

1.2 Example. Consider the Rep(3) encoder f considered in the Introduction

(page 2). In this case S and T are the binary alphabet and C = {000, 111},
respectively. Note that the inverse of the bijection f : S → C is the map
000 7→ 0, 111 7→ 1, which can be defined as x 7→ x1 .
1
The interested reader may consult [23, 5].
1.1. Basic concepts 13

Block codes

Only block codes for correcting random errors are discussed

F. J. MacWilliams and N. J. A. Sloane, [14], p. vii.

Let T = {t1 , . . . , tq } (q > 2) be the channel alphabet. By a (block) code

of length n we understand any non-empty subset C ⊆ T n . If we want to
refer to q explicitely, we will say that C is q-ary (binary if q = 2, ternary
if q = 3). The elements of C will be called vectors, code-words or simply
words.
Usually the elements of T n are written in the form x = (x1 , . . . , xn ),
where xi ∈ T . Since the elements of T n can be seen as length n sequences
of elements of T , the element x will also be written as x1 x2 . . . xn (concate-
nated symbols), especially when T = {0, 1}.
0
If x ∈ T n and x0 ∈ T n , the expression x|x0 will be used as an alternative
0
notation for the element (x, x0 ) ∈ T n+n . Similar notations such as x|x0 |x00
will be used without further explanation.

Dimension, transmission rate and channel coding

If C is a code of length n, we will set kC = logq (|C|) and we will say that
kC is the dimension of C. The quotient RC = kC /n is called transmission
rate, or simply rate, of C.

1.3 Remarks. These notions can be clarified in terms of the basic notions
explained in the first subsection (Introductory remarks). Indeed, logq (|T n |) =
logq (q n ) = n is the number of transmission symbols of any element of T n .
So kC = logq (|C|) = logq (|S|) can be seen as the number of transmis-
sion symbols that are needed to capture the information of a source symbol.
Consequently, to send the information content of kC transmission symbols
(which, as noted, amounts to a source symbol) we need n transmission sym-
bols, and so RC represents the proportion of source information contained
in a code word before transmission. An interesting and useful special case
occurs when S = T k , for some positive integer k. In this case the source
symbols are already resolved explicitely into k transmission symbols and we
have kC = k and RC = k/n.
If C has length n and dimension k (respectively |C| = M ), we say that
C has type [n, k] (respectively type (n, M )). If we want to have q explicitely
in the notations, we will write [n, k]q or (n, M )q . We will often write C ∼
[n, k] to denote that the type of C is [n, k], and similar notations will be used
for the other cases.
14 Chapter 1. Block Error-correcting Codes

Minimum distance
Virtually all research on error-correcting codes has been based
on the Hamming metric.
W.W. Peterson and E.J. Weldon, Jr., [19], p. 307.

Given x, y ∈ T n , the Hamming distance between x and y, which we will

denote hd (x, y), is defined by the formula

hd (x, y) = |{i ∈ 1..n | xi 6= yi }|.

In other words, it is the number of positions i in which x and y differ.

E.1.1. Check that hd is a distance on T n . Recall that d : X × X → R is said
to be a distance on the set X if, for all x, y, z ∈ X,
1) d(x, y) > 0, with equality if and only if x = y;
2) d(y, x) = d(x, y); and
3) d(x, y) 6 d(x, z) + d(z, y).

The last relation is called triangle inequality.

E.1.2. Let x, y ∈ Zn2 be two binary vectors. Show that

hd (x, y) = |x| + |y| − 2|x · y|

where |x| is the number of non-zero entries of x (it is called the weight of x)
and x · y = (x1 y1 , · · · , xn yn ).
We will set d = dC to denote the minimum of the distances hd (c, c0 ), where
c, c0 ∈ C and c 6= c0 , and we will say that d is the minimum distance of C.
Note that for the minimum distance to be defined it is necessary that |C| > 2.
For the codes C that have a single word, we will see that it is convenient to
put dC = n + 1 (see the Remark 1.12).
We will say that a code C is of type [n, k, d] (or of type (n, M, d)), if
C has length n, minimum distance d, and its dimension is k (respectively
|C| = M ). If we want to have q explicitely in the notations, we will write
[n, k, d]q or (n, M, d)q . In the case q = 2 it is usually omitted. Sometimes
we will write C ∼ [n, k, d]q to denote that the type of C is [n, k, d]q , and
similar notations will be used for the other cases.
The rational number δC = dC /n is called relative distance of C.
E.1.3. Let C be a code of type (n, M, d). Check that if k = n, then d = 1.
Show also that if M > 1 (in order that d is defined) and d = n then M 6 q,
hence kC 6 1.
1.1. Basic concepts 15

1.4 Example (A binary code (8,20,3)). Let C be the binary code (8, 20) con-
sisting of 00000000, 11111111 and all cyclic permutations of 10101010,
11010000 and 11100100. From the computation in the link 6 Cyclic shifts of
a vector it is easy to infer that dC = 3. Thus C is a code of type (8, 20, 3).
1.5 Remark. A code with minimum distance d detects up to d − 1 errors, in
the sense that the introduction of a number of errors between 1 and d − 1 in
the transmission gives rise to a word that is not in C. Note that d − 1 is the
highest integer with this property (by definition of d).

However, [the Hamming distance] is not the only possible and

indeed may not always be the most appropriate. For exam-
ple, in (F10 )3 we have d(428, 438) = d(428, 468), whereas in
practice, e.g. in dialling a telephone number, it might be more
sensible to use a metric in which 428 is closer to 438 than it is
to 468.
R. Hill, [9], p. 5.

Equivalence criteria
We will say that two codes C and C 0 of length n are strictly equivalent if
C 0 can be obtained by permuting the entries of all vectors in C with some
fixed permutation. This relation is an equivalence relation on the set of all
codes of length n and by definition we see that it is the equivalence relation
that corresponds to the natural action of Sn on T n , and hence also on subsets
of T n .
In the discussion of equivalence it is convenient to include certain per-
mutations of the alphabet T in some specified positions. This idea can be
formalized as follows. Let Γ = (Γ1 , . . . , Γn ), where Γi is a subgroup of per-
mutations of T , that is, a subgroup of Sq (1 6 i 6 n). Then we say that two
codes C and C 0 are Γ-equivalent if C 0 can be obtained from C by a permuta-
tion σ ∈ Sn applied, as before, to the entries of all vectors of C, followed by
permutations τi ∈ Γi of the symbols of each entry i, i = 1, . . . , n. If Γi = Sq
for all i, instead of Γ-equivalent we will say Sq -equivalent, or simply equiv-
alent. In the case in which T is a finite field F and Γi = F − {0}, acting on F
by multiplication, instead of Γ-equivalent we will also say F-equivalent, or
F∗ -equivalent, or scalarly equivalent.
Note that the identity and the transposition of Z2 = {0, 1} can be repre-
sented as the operations x 7→ x+0 and x 7→ x+1, respectively, and therefore
the action of a sequence τ1 , . . . , τn of permutations of Z2 is equivalent to the
addition of the vector τ ∈ Zn2 that corresponds to those permutations.
In general it is a relatively easy task, given Γ, to obtain from a code C
other codes that are Γ-equivalent to C, but it is much more complicated to
16 Chapter 1. Block Error-correcting Codes

decide whether two given codes are Γ-equivalent.

E.1.4. Check that two (strongly) equivalent codes have the same parameters
n, k and d.
E.1.5. Show that given a code C ⊆ T n and a symbol t ∈ T , there exists a
code equivalent to C that contains the constant word tn .
E.1.6. Can there be codes of type (n, q, n)q which are not equivalent to the
q-ary repetition code? How many non-equivalent codes of type (n, 2, d)2
there are?

Decoders
The essential ingredient in order to use a code C ⊆ T n at the receiving end
of a channel to reduce the errors produced by the channel noise is a decoding
function. In the most general terms, it is a map

g : D → C, where C ⊆ D ⊆ T n

such that g(x) = x for all x ∈ C. The elements of D, the domain of g, are
said to be g-decodable. By hypothesis, all elements of C are decodable. In
case D = T n , we will say that g is a full decoder (or a complete decoder).
We envisage g working, again in quite abstract terms, as follows. Given
x ∈ C, we imagine that it is sent through a communications channel. Let
y ∈ T n be the vector received at the other end of the channel. Since the
channel may be noisy, y may be different from x, and in principle can be any
vector of T n . Thus there are two possibilities:
• if y ∈ D, we will take the vector x0 = g(y) ∈ C as the decoding of y;
• otherwise we will say that y is non-decodable, or that a decoder error
has occurred.
Note that the condition g(x) = x for all x ∈ C says that when a code
word is received, the decoder returns it unchanged. The meaning of this is
that the decoder is assuming, when the received word is a code-word, that it
was the transmitted code-word and that no error occurred.
If we transmit x, and y is decodable, it can happen that x0 6= x. In this
case we say that an (undetectable) code error has occurred.

Correction capacity
We will say that the decoder g has correcting capacity t, where t is a positive
integer, if for any x ∈ C, and any y ∈ T n such that hd (x, y) 6 t, we have
y ∈ D and g(y) = x.
1.1. Basic concepts 17

1.6 Example. Consider the code Rep(3) and its decoder g considered in the
Introduction (page 2). In this case T = {0, 1}, C = {000, 111} and D =
T 3 , so that it is a full decoder. It corrects one error and undetectable code
errors are produced when 2 or 3 bit-errors occur in a single code-word.
1.7 Remark. In general, the problem of decoding a code C is to construct D
and g by means of efficient algorithms and in such a way that the correcting
capacity is as high as possible.

Minimum distance decoder

Let us introduce some notation first. Given w ∈ T n and a non-negative
integer r, we set

B(w, r) = {z ∈ T n | hd (w, z) 6 r}.

The set B(w, r) is called the ball of center w and radius r.

If C = {x1 , . . . , xM }, let Di = B(xi , t), where t = b(d − 1)/2c, with
d the minimum distance of C. It is clear that C ∩ Di = {xi } and that
Di ∩ Dj = ∅ if i 6= j (by definition of t and the F triangular inequality of
the Hamming distance). Therefore, if we set DC = i Di , there is a unique
map g : DC → C such that g(y) = xi for all y ∈ Di . By construction, g
is a decoder of C and it corrects t errors. It is called the minimum distance
decoder of C.
E.1.7. Check the following statements:
1. g(y) is the word x0 ∈ C such that hd (y, x0 ) 6 t, if such an x0 exists,
and otherwise y is non-decodable for g.
2. If y is decodable and g(y) = x0 , then
hd (x, y) > t for all x ∈ C − {x0 }.

1.8 Remarks. The usefulness of the minimum distance decoder arises from
the fact that in most ordinary situations the transmissions x 7→ y that lead to
a decoder error (y 6∈ D), or to undetectable errors (y ∈ D, but hd (y, x) > t)
will in general be less likely than the transmissions x 7→ y for which y is
decodable and g(y) = x.
To be more precise, the minimum distance decoder maximizes the like-
lihood of correcting errors if all the transmission symbols have the same
probability of being altered by the channel noise and if the q − 1 possible
errors for a given symbol are equally likely. If these conditions are satis-
fied, the channel is said to be a (q-ary) symmetric channel. Unless otherwise
declared, henceforth we will understand that ‘channel’ means ‘symmetric
channel’.
18 Chapter 1. Block Error-correcting Codes

From the computational point of view, the minimum distance decoder,

as defined above, is inefficient in general, even if dC is known, for it has to
calculate hd (y, x), for x ∈ C, until hd (y, x) 6 t, so that the average number
of distances that have to be calculated is of the order of |C| = q k . Note also
that this requires having generated the q k elements of C.
But we also have to say that the progress in block coding theory in the
last fifty years can, to a considerable extent, be seen as a series of milestones
that signal conceptual and algorithmic improvements enabling to deal with
the minimum distance decoder, for large classes of codes, in ever more ef-
ficient ways. In fact, the wish to collect a representative sample of these
brilliant achievements has guided the selection of the decoders presented in
subsequent sections of this book, starting with next example.
1.9 Example (The Hamming code [7,4,3]). Let K = Z2 (the field of binary
digits). Consider the K-matrix
 
1 1 1 0
R= 1 1 0
 1
1 0 1 1

Note that the columns of R are the binary vectors of length 3 whose weight is
at least 2. Writing Ir to denote the identity matrix of order r, let G = I4 |RT
and H = R|I3 (concatenate I4 and RT , and also R and I3 , by rows). Note
that the columns of H are precisely the seven non-zero binary vectors of
length 3.
Let S = K 4 (the source alphabet) and T = K (the channel alphabet).
Define the block encoding f : K 4 → K 7 by u 7→ uG = u|uRT . The image
of this function is C = hGi, the K-linear subspace spanned by the rows of
G, so that C is a [7, 4] code. Since

RT

GH T = (I4 |RT ) = RT + RT = 0,
I3
because the arithmetic is mod 2, we see that the rows of G, and hence the
elements of C, are in the kernel of H T . In fact,

C = {y ∈ K 7 | yH T = 0},

as the right-hand side contains C and both expressions are K-linear sub-
spaces of dimension 4. From the fact that all columns of H are distinct,
it is easy to conclude that dC = 3. Thus C has type [7, 4, 3]. Since |C| ·
vol (7, 1) = 24 (1 + 7) = 28 = |K 8 |, we see that DC = K 7 .
As a decoding function we take the map g : K 7 → C defined by the
following recipe:
1.1. Basic concepts 19

1. Let s = yH T (this length 3 binary vector is said to be the syndrome of

the vector y).
2. If s = 0, return y (as we said above, s = 0 is equivalent to say that
y ∈ C).
3. If s 6= 0, let j be the index of s as a row of H T .
4. Negate the j-th bit of y.
5. Return the first four components of y.

Let us show that this decoder, which by construction is a full decoder

(D = K 7 ), coincides with the minimum distance decoder. Indeed, assume
that x ∈ C is the vector that has been sent. If there are no errors, then y = x,
s = 0, and the decoder returns x. Now assume that the j-th bit of x ∈ C is
changed during the transmission, and that the received vector is y. We can
write y = x + ej , where ej is the vector with 1 on the j-th entry and 0 on the
remaining ones. Then s = yH T = xH T + ej H T = ej H T , which clearly
is the j-th row of H T . Hence g(y) = y + ej = x (note that the operation
y 7→ y + ej is equivalent to negating the j-th bit of y).
The expression of this example in WIRIS/cc is explained in the link 7 Hamming
code [7,4,3] The WIRIS elements that are used may be consulted in the Ap-
pendix, or in the Index-Glossary.

The notion of an correcting code was introduced by Hamming

[in 1950]
V.D. Goppa, [?], p. 46.

Error-reduction factor
Assume that p is the probability that a symbol of T is altered in the transmis-
sion. The probability that j errors occur in a block of length n is
 
n j
p (1 − p)n−j .
j
Therefore
n   t  
X n j n−j
X n j
Pe (n, t, p) = p (1 − p) =1− p (1 − p)n−j [1.1]
j j
j=t+1 j=0

gives the probability that t + 1 or more errors occur in a code vector, and
this is the probability that the received vector is either undecodable or that
an undetectable error occurs.
20 Chapter 1. Block Error-correcting Codes

If we assume that N blocks of k symbols are transmitted, the number of

expected errors is pkN if no coding is used, while the expected number of
errors if coding is used is at most (N · Pe (n, t, p)) · k (in this product we
count as errors all the symbols corresponding to a code error, but of course
some of those symbols may in fact be correct). Hence the quotient

ρ(n, t, p) = Pe (n, t, p)/p,

which we will call the error reduction factor of the code, is an upper bound
for the average number of errors that will occur in the case of using cod-
ing per error produced without coding (cf. E.1.8). For p small enough,
ρ(n, t, p) < 1 and the closer to 0, the better error correction resulting from
the code. The value of ρ(n, t, p) can be computed with the function erf(n,t,p).

1.10 Example (Error-reduction factor of the Hamming code). According to

the formula [1.1], the error-reduction factor of the Hamming code C ∼
[7, 4, 3] for a bit error probability p has the form
 
7
p(1 − p)5 + · · ·
2
which is of the order 21p for p small. Note that this is 7 times the error-
reduction factor of the code Rep(3), so that the latter is more effective in
reducing errors than C, even if we take into account that the true error re-
duction factor of C is smaller than 21p (because in the error-reduction factor
we count all four bits corresponding to a code error as errors, even though
some of them may be correct). On the other hand the rates of C and Rep(3)
are 4/7 and 1/3, respectively, a fact that may lead one to prefer C to Rep(3)
under some circumstances.
8 Probability of code error and error-reduction factor

E.1.8. Let p0 = p0 (n, t, p) be the probability of a symbol error using a code

of length n and correcting capacity t. Let p̄ = Pe (n, t, p). Prove that p̄ >
p0 > p̄/k.

Elementary parameter bounds

In order to obtain efficient coding and decoding schemes with small error
probability, it is necessary that k and d are high, inasmuch as the maximum
number of errors that the code can correct is t = b(d − 1)/2c and that the
transmission rate is, given n, proportional to k.
It turns out, however, that k and d cannot be increased independently
and arbitrarily in their ranges (for the extreme cases k = n or d = n, see
1.1. Basic concepts 21

E.1.3). In fact, the goal of this section, and of later parts of this chapter, is
to establish several non trivial restrictions of those parameters. In practice
these restrictions imply, for a given n, that if we want to improve the rate
then we will get a lower correcting capability, and conversely, if we want to
improve the correcting capability, then the transmission rate will decrease.

Singleton bound and MDS codes

Let us begin with the simplest of the restrictions we will establish.

1.11 Proposition (Singleton bound). For any code of type [n, k, d],

k + d 6 n + 1.

Proof: Indeed, if C is any code of type (n, M, d), let us write C 0 ⊆ T n−d+1
to denote the subset obtained by discarding the last d − 1 symbols of each
vector of C. Then C 0 has the same cardinal as C, by definition of d, and so
q k = M = |C| = |C 0 | 6 q n−d+1 . Hence k 6 n − d + 1, which is equivalent
to the stated inequality.
MDS codes. Codes that satisfy the equality in the Singleton inequality are
called maximum distance separable codes, or MDS codes for short. The
repetition code Rep(3) and the Hamming code [7,4,3] are MDS codes. The
repetition code of any length n on the alphabet T , which by definition is
Repq (n) = {tn | t ∈ T }, is also an MDS code (since it has q elements, its
dimension is 1, and it is clear that the distance between any two distinct
code-words is n).

1.12 Remark. If C is a code with only one word, then kC = 0, but dC

is undefined. If we want to assign a conventional value to dC that satisfies
the Singleton bound, it has to satisfy dC 6 n + 1. On the other hand, the
Singleton bound tells us that dC 6 n for all codes C such that |C| > 2. This
suggests to put dC = n + 1 for one-word codes C, as we will do henceforth.
With this all one-word codes are MDS codes.

The function Aq (n, d)

Given positive integers n and d, let Rq (n, d) denote the maximum of the
rates RC = kC /n for all codes C of length n and minimum distance d.
We will also set kq (n, d) and Aq (n, d) to denote the corresponding num-
ber of information symbols and the cardinal of the code, respectively, so that
Rq (n, d) = kq (n, d)/n and Aq (n, d) = q k(n,d) .
A code C (of length n and mimimum distance d) is said to be optimal if
RC = Rq (n, d) or, equivalently, if either kC = kq (n, d) or MC = Aq (n, d).
22 Chapter 1. Block Error-correcting Codes

Values of A2 (n, d)
n d=3 d=5 d=7
5 4 2 —
6 8 2 —
7 16 2 2
8 20 4 2
9 40 6 2
10 72–79 12 2
11 144–158 24 4
12 256 32 4
13 512 64 8
14 1024 128 16
15 2048 256 32
16 2720–3276 256–340 36–37

Table 1.1: Some known values or bounds for A2 (n, d)

E.1.9. If q > 2 is an integer, show that Aq (3, 2) = q 2 . In particular we have

that A2 (3, 2) = 4 and A3 (3, 2) = 9. Hint: if T = Zq , consider the code
C = {(x, y, x + y) ∈ T 3 | x, y ∈ T }.
E.1.10. Show that A2 (3k, 2k) = 4 for all integers k > 1.
E.1.11. Show that A2 (5, 3) = 4.
The exact value of Aq (n, d) is unknown in general (this has often been
called the main problem of coding theory). There are some cases which are
very easy, like Aq (n, 1) = q n , A2 (4, 3) = 2, or the cases considered in E.1.9
and E.1.11. The values A2 (6, 3) = 8 and A2 (7, 3) = 16 are also fairily easy
to determine (see E.1.19), but most of them require, even for small n, much
work and insight. The table 1.1 gives a few values of A2 (n, d), when they
are known, and the best known bounds (lower and upper) otherwise. Some
of the facts included in the table will be established in this text; for a more
comprehensive table, the reader is referred to the table 9.1 on page 248 of
the book [7]. It is also interesting to visit the web page
[Link]
in which there are links to pages that support a dialog for finding the best
bounds known for a given pair (n, d), with indications of how they are as-
certained.
E.1.12. In the Table 1.1 only values of A2 (n, d) with d odd are included.
Show that if d is odd, then A2 (n, d) = A2 (n + 1, d + 1). Thus the table
also gives values for even minimum distance. Hint: given a binary code C
1.1. Basic concepts 23

of length n, consider the code C obtained by adding to each vector of C the

binary sum of its bits (this is called the parity completion of C).

The Hamming upper bound

Before stating and proving the main result of this section we need an auxil-
iary result.
1.13 Lemma. Let r be a non-negative integer and x ∈ T n . Then
r  
X n
|B(x, r)| = (q − 1)i .
i
i=0

Proof: The number of elements of T n that are at a distance i from an element

x ∈ T n is  
n
(q − 1)i
i
and so
r  
X n
|B(x, r)| = (q − 1)i ,
i
i=0

as claimed.
The lemma shows that the cardinal of B(x, r) only depends on n and r,
and not on x, and we shall write vol q (n, r) to denote it. By the preceeding
lemma we have
r  
X n
vol q (n, r) = |B(x, r)| = (q − 1)i . [1.2]
i
i=0

(see the link 9 Computation of vol q (n, r)).

1.14 Theorem (Hamming upper bound). If t = b(d − 1)/2c, then the fol-
lowing inequality holds:
qn
Aq (n, d) 6 .
vol q (n, t)

Proof: Let C be a code of type (n, M, d)q . Taking into account that the
balls of radius t = b(d − 1)/2c and center elements of C are pair-wise dis-
joint (this follows from the definitionPt and the triangular inequality of the
Hamming distance), it turns out that |B(x, t)| 6 |T n | = q n .
x∈C
On the other hand we know that

|B(x, t)| = vol q (n, t)

24 Chapter 1. Block Error-correcting Codes

and hence
qn >
P
|B(x, t)| = M · vol q (n, t).
x∈C
Now if we take C optimal, we get
Aq (n, d)vol q (n, t) 6 q n ,
which is equivalent to the inequality in the statement.
1.15 Remark. The Hamming upper bound is also called sphere-packing up-
per bound, or simply sphere upper bound.
(see the link 10 The sphere upper bound).
E.1.13. Let m and s be integers such that 1 6 s 6 m and let c1 , . . . , cm ∈
Fn , where F is a finite field with q elements. Show that the number of vectors
that are linear combinations of at most s vectors from among c1 , . . . , cm is
bounded above by vol q (m, s).

[Hamming] established the upper bound for codes

V.D. Goppa, [?], p. 46.

Perfect codes
In general DC is a proper subset of T n , which means that there are elements
y ∈ T n for which there is no x ∈ C with hd (y, x) 6 t. If DC = T n , then
C is said to be perfect. In this case, for every y ∈ T n there is a (necessarily
unique) x ∈ C such that hd (y, x) 6 t.
Taking into account the reasoning involved in proving the sphere-bound,
we see that the necessary and sufficient condition for a code C to be perfect
is that
t  
X n
(q − 1)i = q n /M (= q n−k ),
i
i=0
where M = |C| = qk (this will be called the sphere or perfect condition).
The total code T n and the binary repetion code of odd length are exam-
ples of perfect codes, with parameters (n, q n , 1) and (2m + 1, 2, 2m + 1),
respectively. Such codes are said to be trivial perfect codes. We have also
seen that the Hamming code [7,4,3] is perfect (actually this has been checked
in Example 1.9).
E.1.14. In next section we will see that if q is a prime-power and r a positive
integer, then there are codes with parameters
[(q r − 1)/(q − 1), (q r − 1)/(q − 1) − r, 3]).
Check that these parameters satisfy the condition for a perfect code. Note
that for q = 2 and r = 3 we have the parameters [7,4,3].
1.1. Basic concepts 25

E.1.15. Show that the parameters [23, 12, 7], [90, 78, 5] and [11, 6, 5]3 satisfy
the perfect condition.
E.1.16. Can a perfect code have even minimum distance?
E.1.17. If there is a perfect code of length n and minimum distance d, what
is the value of Aq (n, d)? What is the value of A2 (7, 3)?
E.1.18. Consider the binary code consisting of the following 16 words:

0000000 1111111 1000101 1100010

0110001 1011000 0101100 0010110
0001011 0111010 0011101 1001110
0100111 1010011 1101001 1110100
Is it perfect? Hint: show that it is equivalent to the Hamming [7,4,3] code.
1.16 Remarks. The parameters of any non-trivial q-ary perfect code, with q
a prime power, must be those of a Hamming code, or [23, 12, 7], or [11, 6, 5]3
(van Lint and Tietäväinen (1975); idependently established by Zinovi’ev and
Leont’ev (1973)). There are non-linear codes with the same parameters as
the Hamming codes (Vasili’ev (1962) for binary codes; Schönheim (1968)
and Lindström (1969) in general). Codes with the parameters (23, 212 , 7) and
(11, 36 , 5)3 exist (binary and ternary Golay codes; see Chapter 3), and they
are unique up to equivalence (Pless (1968), Delsarte and Goethals (1975);
see [29], Theorem 4.3.2, for a rather accessible proof in the binary case, and
[14], Chapter 20, for a much more involved proof in the ternary case).
One of the steps along the way of characterizing the parameters of q-ary
perfect codes, q a prime power, was to show (van Lint, H.W. Lenstra, A.M.
Odlyzko were the main contributors) that the only non-trivial parameters
that satisfy the perfect condition are those of the Hamming codes, the Golay
codes (see E.1.15, and also P.1.7 for the binary case), and (90, 278 , 5)2 . The
latter, however, cannot exist (see P.1.8).
Finally let us note that it is conjectured that there are no non-trivial q-
ary perfect codes for q not a prime power. There are some partial results
that lend support to this conjecture (mainly due to Pless (1982)), but the
remaining cases are judged to be very difficult.

The Gilbert inequality

We can also easily obtain a lower bound for Aq (n, d). If C is an optimal
code, any element of T n lies at a distance 6 d − 1 of an element of C, for
otherwise there would be a word y ∈ T n lying at a distance > d from all
elements of C and C ∪ {y} would be a code of length n, minimum distance
26 Chapter 1. Block Error-correcting Codes

d and with a greater cardinal than |C|, contradicting the optimality of C. This
means that the union of the balls of radius d − 1 and with center the elements
of C is the whole T n . From this it follows that Aq (n, d)· vol q (n, d−1) > q n .
Thus we have proved the following:
1.17 Theorem (Gilbert lower bound). The function Aq (n, d) satisfies the fol-
lowing inequality:
qn
Aq (n, d) > .
vol q (n, d − 1)

What is remarkable about the Gilbert lower bound, with the improvement
we will find in the next chapter by means of linear codes, is that it is the
only known general lower bound. This is in sharp contrast with the variety
of upper bounds that have been discovered and of which the Singleton and
sphere upper bounds are just two cases that we have already established.
(See the link 11 Gilbert lower bound).
1.18 Remark. The Hamming and Gilbert bounds are not very close. For
example, we have seen that 7 6 A2 (8, 3) 6 28, 12 6 A2 (9, 3) 6 51,
19 6 A2 (10, 3) 6 93 and 31 6 A2 (11, 3) 6 170. But in fact A2 (8, 3) =
20 (we will get this later, but note that we already have A2 (8, 3) > 20 by
E.1.4), A2 (9, 3) = 40 and the best known intervals for the other two are
72 6 A2 (10, 3) 6 79 and 144 6 A2 (11, 3) 6 158 (see Table 1.1).
E.1.19. The sphere upper bound for codes of type (6, M, 3) turns out to be
M 6 9 (check this), but according to the table 1.1 we have A2 (6, 3) = 8,
so that there is no code of type (6, 9, 3). Prove this. Hint: assuming such a
code exists, show that it contains three words that have the same symbols in
the last two positions.

Summary

• Key general ideas about information generation, coding and transmis-

sion.
• The definition of block code and some basic related notions (code-
words, dimension, transmission rate, minimum distance and equiva-
lence criteria between codes).
• Abstract decoders and error-correcting capacity.
• The minimum distance decoder and its correcting capacity
tC = b(d − 1)/2c.
• The Hamming code [7, 4, 3] (our computational approach includes the
construction of the code and the coding and decoding functions).
1.1. Basic concepts 27

• Error-reduction factor of a code.

• Singleton bound: k 6 n + 1 − d.
• The function Aq (n, d), whose determination is sometimes called the
‘main problem’ of block error-correcting [Link] 1.1 provides some
information on A2 (n, d).
• Hamming upper bound:
Aq (n, d) 6 q n /vol q (n, t), where t = b(d − 1)/2c.
• Perfect codes: a code (n, M, d)q is perfect if and only if
t  
X n
(q − 1)i = q n /M (= q n−k ).
i
i=0

• Gilbert lower bound: Aq (n, d) > q n /vol q (n, d − 1).

Problems
P.1.1 (Error-detection and correction). We have seen that a code C of type
(n, M, d) can be used to detect up to d − 1 errors or to correct up to t =
b(d − 1)/2c errors. Show that C can be used to simultaneously detect up to
s > t errors and correct up to t errors if t + s < d.
P.1.2 Prove that A2 (8, 5) = 4 and that all codes of type (8, 4, 5)2 are equiv-
alent. Hint: by replacing a binary optimal code of length 8 and minimum
distance 5 by an equivalent one, we may assume that 00000000 is a code
word and then there can be at most one word of weight > 6.
P.1.3. Show that for binary codes of odd minimum distance the Hamming
upper bound is not worse than the Singleton upper bound. Is the same true
for even minimum distance? And for q-ary codes with q > 2?
P.1.4 Prove that A2 (n, d) 6 2A2 (n − 1, d). Hint: if C is an optimal binary
code of length n and minimum distance d, we may assume, changing C into
an equivalent code if necessary, that both 0 and 1 appear in the last position
of elements of C, and then it is useful to consider, for i = 0, 1, the codes
Ci = {x ∈ C | xn = i}.
P.1.5 (Plotkin construction, 1960). Let C1 and C2 be binary codes of types
(n, M1 , d1 ) and (n, M2 , d2 ), respectively. Let C be the length 2n code whose
words have the form x|(x + y), for all x ∈ C1 and y ∈ C2 . Prove that
C ∼ (2n, M1 M2 , d), where d = min(2d1 , d2 ).
28 Chapter 1. Block Error-correcting Codes

P.1.6 Show that A2 (16, 3) > 2560. Hint: use Example E.1.4 and the Plotkin
construction.
P.1.7 If C ∼ (n, M, 7) is a perfect binary code, prove that n = 7 or n = 23.
Hint: use the sphere upper bound.
P.1.8. Show that there is no code with parameters (90, 278 , 5). Hint: Ex-
tracted from [9], proof of Theorem 9.7: if C were a code with those param-
eters, let X be the set of vectors in C that have weight 5 and begin with two
1s, Y the set of vectors in Z90
2 that have weight 3 and begin with two 1s, and
D = {(x, y) ∈ X × Y | S(y) ⊂ S(x)}, and count |D| in two ways (S(x) is
the support of x, that is, the set of indices i in 1..90 such that xi = 1).
1.2. Linear codes 29

1.2 Linear codes

In an attempt to find codes which are simultaneously good in

the sense of the coding theorem, and reasonably easy to im-
plement, it is natural to impose some kind of structure on the
codes.
R. J. McEliece, [15], p. 133.

Essential points

• Basic notions: linear code, minimum weight, generating matrix, dual

code, parity-check matrix.
• Reed–Solomon codes and their duals.
• Syndrome-leader decoding algorithm.
• Gilbert–Varshamov condition on q, n, k, d for the existence of a linear
code [n, k, d]q .
• Hamming codes and their duals.
• Weight enumerators and the MacWilliams theorem (∼ identities).

Introduction
The construction of codes and the processes of coding and decoding are
computationally intensive. For the implemetation of such opperations any
additional structure present in the codes can be of much help.
In order to define useful structures on the codes, a first step is to enrich
the alphabet T with more structure than being merely a set. If we want, for
example, to be able to add symbols with the usual properties, we could use
the group Zq as T . Since this is also a ring, the alphabet symbols could
also be multiplied.2 If we also want to be able to divide symbols, then we
are faced with an important restriction, because division in Zq by nonzero
elements is possible without exception if and only if q is prime.
We will have more room in that direction if we allow ourselves to use
not only the fields Zp , p prime, but also all other finite fields (also called
Galois fields). As we will see in the next chapter in detail, there is a field of
q elements if and only if q is a power of a prime number, and in that case the
2
For an interesting theory for the case T = Z4 , see Chapter 8 of [29].
30 Chapter 1. Block Error-correcting Codes

field is unique up to isomorphism. Henceforth this field will be denoted Fq

(another popular notation is GF (q)).
12 Prime powers less than N

So let us assume that the alphabet T is a finite field Fq . Then we can

consider the codes C ⊆ Fnq that are an Fq -vector subspace of Fnq . Such
codes are called linear codes and we devote this section to the study some
of the basic notions related to them. Note that if C is a linear code and
its dimension as an Fq -vector space is k, then |C| = q k and therefore k
coincides with the dimension of C as a code: dim Fq (C) = dim (C).
Linear codes are important for diverse reasons. The more visible are
that they grant powerful computational facilities for coding and decoding.
If we revisit the Hamming code [7,4,3] (example 1.9), we will realize that
linear algebra over Z2 plays a major role there, and similar advantages will
be demonstrated for several families of codes from now on. A more subtle
motive, which is however beyond the scope of this introductory text, is the
fact that Shannon’s channel coding theorem can be achieved by means of
linear codes.
1.19 Example (The International Standard Book Number). The ISBN code
of a book is 10-digit codeword assigned by the publisher, like the 3-540-
00395-9 of this book. For the last digit the symbol X (whose value is 10) is
also allowed. For example, the ISBN of [7] is 0-387-96617-X. The hyphens
divide the digits into groups that have some additional meaning, like the first
0, which indicates the language (English), and the groups 387-96617, which
identify the publisher and the book number assigned by the publisher. The
last digit is a check digit and is computed by means of the following weighted
check sum:
X10
i · xi ≡ 0 (mod 11),
i=1
or equivalently
9
X
x10 = i · xi (mod 11),
i=1
with the convention that the remainder 10 is replaced by X. For some in-
teresing properties of this coding scheme, which depend crucially on the fact
that Z11 is a field, see P.1.9. See also the link 13 ISBN code for the compu-
tation of the ISBN check digit and the examples of the two books quoted in
this Example.

Notations and conventions

To ease the exposition, in this section code will mean linear code unless ex-
plicitely stated otherwise. Often we will also write F instead of Fq . We will
1.2. Linear codes 31

simply write Mnk (F) to denote the matrices of type k × n with coefficients
in F. Instead of Mkk (F) we will write Mk (F).
The usual scalar product of x, y ∈ Fn will be denoted hx|yi:

hx|yi = xy T = x1 y1 + . . . + xn yn .

Weights
We will let | | : Fn → N denote the map x 7→ d(x, 0). By definition, |x| is
equal to the number of non-zero symbols of x ∈ Fn . We will say that |x|,
which sometimes is also denoted wt (x), is the weight of x.
E.1.20. The weight is a norm for the space Fn : for all x, y, z ∈ Fn , |0| = 0,
|x| > 0 if x 6= 0, and |x + y| 6 |x| + |y| (triangle inequality).
If C is a linear code, then the minimum weight of C, wC , is defined as
the minimum of the weights |x| of the non-zero x ∈ C.
1.20 Proposition. The minimum weight of C coincides with the minimum
distance of C: dC = wC .
Proof: Let x, y ∈ C. If C is linear, then x − y ∈ C and we have hd (x, y) =
|x − y|. Since x − y 6= 0 if and only if x 6= y, we see that any distance
between distinct elements is the weight of a nonzero vector. Conversely,
since |x| = hd (x, 0), and 0 ∈ C because C is linear, the weight of any
nonzero vector is the distance between two distinct elements of C. Now the
claimed equality follows from the definitions of dC and wC .
1.21 Remark. For a general code C of cardinal M , the determination of dC
involves the computation of the M (M − 1)/2 Hamming distances between
its pairs of distinct elements. The proposition tells us that if C is linear then
the determination of dC involves only the computation of M − 1 weights.
This is just an example of the advantage of having the additional linear struc-
ture.
It is important to take into account that the norm | | and the scalar product
h | i are not related as in Euclidean geometry. In the geometrical context we
have the formula |x|2 = hx|xi (by definition of |x|), while in the present
context |x| and hx|xi have been defined independently. In fact they are quite
unrelated, if only because the values of the norm are non-negative integers
and the values of the scalar product are elements of F.
E.1.21. Let C be a linear code of type [n, k] over F = Fq . Fix any integer
j such that 1 6 j 6 n. Prove that either all vectors of C have 0 at the
j-th position or else that every element of F appears there in precisely q k−1
vectors of C.
32 Chapter 1. Block Error-correcting Codes

E.1.22. Given a binary linear code C, show that either all its words have
even weight or else there are the same number of words with even and odd
weight. In particular, in the latter case |C| is even.

Generating matrices

Given a code C of type [n, k], we will say that a matrix G ∈ Mnk (F) is a
generating matrix of C if the rows of G form a linear basis of C.
Conversely, given a matrix G ∈ Mnk (F) the subspace hGi ⊆ Fn gener-
ated by the rows of G is a code of type [n, k], where k is the rank of G. We
will say that hGi is the code generated by G.

1.22 Remark. For the knowledge of a general code we need to have an

explicit list of its M vectors. In the case of linear codes of dimension k,
M = q k , but the M code vectors can be generated out of the k rows of a
generating matrix. This is another example of the advantage provided by the
additional linear structure.

1.23 Examples. a) The repetition code of length n is generated by 1n .

b) A generating matrix for the Hamming code [7, 4, 3] is G = I4 |RT
(notations as in the example 1.9, p. 18).
c) If C ⊆ Fn is a code of dimension k, let C ⊆ Fn+1 be the image
n n n+1 such that x 7→ x| − s(x),
P map F → F × F = F
of C by the linear
where s(x) = i xi . Then C is a code of type [n + 1, k] which is called the
parity extension of C (the symbol −s(x) is called the parity check symbol of
the vector x). If G is a generating matrix of C, then the matrix G obtained
by appending to G the column consisting of the parity check symbols of its
rows is a generating matrix of C. The matrix G will be called the parity
completion (or parity extension) of G. The link 14 Parity completion of a
matrix shows a way of computing it.

E.1.23. The elements x ∈ Fn+1 such that s(x) = 0 form a code C of type
[n + 1, n] (it is called the zero-parity code of length n + 1, or of dimension
n). Check that the matrix (In |1Tn ) is a generating matrix of C.

Coding
It is clear that if G is a generating matrix of C, then the map

f : Fk → Fn , u 7→ uG

induces an isomorphism of Fk onto C and hence we can use f as a coding

map for C.
1.2. Linear codes 33

If A ∈ Mk (F) is an invertible matrix (in other words, A ∈ GLk (F)), then

AG is also a matrix of C. From this it follows that for each code C there
exists an equivalent code which is generated by a matrix that has the form
G = (Ik |P ), where Ik is the identity matrix of order k and P ∈ Mn−k k (F).
k
Since in this case f (u) = uG = (u|uP ), for all u ∈ F , we see that the
coding of u amounts to appending the vector uP ∈ Fn−k to the vector u
(we may think of uP as a ‘redundancy’ vector appended to the ‘information
vector’ u).
The codes C (this time not necessarily linear) of dimension k for which
there are k positions in which appear, when we let x run in C, all sequences
of k symbols, are said to be systematic (with respect to those k positions).
According to the preceding paragraph, each linear code of dimension k is
equivalent to a systematic code with respect to the first k positions.
1.24 Example (Reed–Solomon codes). Let n be an integer such that 1 6
n 6 q and α = α1 , . . . , αn ∈ F a sequence of n distinct elements of F.
For every integer k > 0, let F[X]k be the F-vector space whose elements
are polynomials of degree < k with coefficients in F. We have F[X]k =
h1, X, . . . , X k−1 iF and dim (F[X]k ) = k. If k 6 n, the map

 : F[X]k → Fn , f 7→ (f (α1 ), . . . , f (αn ))

is injective, since the existence of a non-zero polynomial of degree < k

vanishing on all the αi implies n < k (a non-zero polynomial of degree
r with coefficients in a field can have at most r roots). The image of  is
therefore a linear code C of type [n, k].
We claim that the minimum distance of C is n−k+1. Indeed, a non-zero
polynomial f of degree < k can vanish on at most k − 1 of the elements αi
and hence the weight of (f (α1 ), . . . , f (αn )) is not less than n − (k − 1) =
n − k + 1. On the other hand, this weight can be exactly n − k + 1 for some
choices of f , like f = (X − α1 ) · · · (X − αk−1 ), and this proves the claim.
We will say that C is a Reed–Solomon (RS ) code of length n and dimen-
sion k, and will be denoted RS α (k). When the αi can be understood by the
context, we will simply write RS (k), or RS (n, k) if we want to display the
length n. It is clear that the RS codes satisfy the equality in the Singleton
bound, and so they are examples of MDS codes. On the other hand we have
n 6 q, and so we will have to take high values of q to obtain interesting
codes.
Since 1, X, . . . , X k−1 is a basis of F[X]k , the Vandermonde matrix

Vk (α1 , . . . , αn ) = (αij ) (1 6 i 6 n, 0 6 j < k)

is a generating matrix for RS α (k).

34 Chapter 1. Block Error-correcting Codes

The dual code

The linear subspace of Fn ortogonal to a subset Z ⊆ Fn will be denoted Z ⊥ .
Let us recall that the vectors of this subspace are the vectors x ∈ Fn such
that hx|zi = 0 for all z ∈ Z.
If C is a code, the code C ⊥ is called the dual code of C.
Since the scalar product h | i is non-degenerate, by linear algebra we
know that C ⊥ has dimension n − k if C has dimension k. In other words,
C ⊥ is of type [n, n − k] if C is of type [n, k].
As C ⊆ C ⊥⊥ , tautologically, and both sides of this inclusion have di-
mension k, we infer that C ⊥⊥ = C.
Usually it happens that C and C ⊥ have a non-zero intersection. Even
more, it can happen that C ⊆ C ⊥ , or that C = C ⊥ . In the latter case we
say that C is self-dual. Note that in order to be self-dual it is necessary that
n = 2k.
E.1.24. If C is the length n repetition code over C, check that C ⊥ is the
zero-parity code of length n.
E.1.25. If G is a generating matrix of C, prove that C ⊆ C ⊥ is equivalent
to the relation GGT = 0. If in addition we have n = 2k, prove that this
relation is equivalent to C = C ⊥ . As an application, check that the parity
extension of the Hamming code [7, 4, 3] is a self-dual code.
E.1.26. Let C1 , C2 ⊆ Fnq be linear codes. Show that (C1 +C2 )⊥ = C1⊥ ∩C2⊥
and (C1 ∩ C2 )⊥ = C1⊥ + C2⊥ .

Parity-check matrices
If H is a generating matrix of C ⊥ (in which case H is a matrix of type
(n − k) × n) we have that

x∈C if and only if xH T = 0,

because if h is a row of H we have xhT = hx|hi. Said in other words,

the elements x ∈ C are exactly those that satisfy the n − k linear equations
hx|hi = 0, where h runs through the rows of H.
Given h ∈ C ⊥ , the linear equation hx|hi = 0, which is satisfied for all
x ∈ C, is called the check equation of C corresponding to h. By the previous
paragraph, C is determined by the n − k check equations corresponding to
the rows of H, and this is why the matrix H is said to be a check matrix of
C (or also, as most authors say, a parity-check matrix of C, in a terminology
that was certainly appropriate for binary codes, but which is arguably not
that good for general codes).
1.2. Linear codes 35

The relation
C = {x ∈ Fn |xH T = 0}
can also be interpreted by saying that C is the set of linear relations satisfied
by the rows of H T , that is, by the columns of H. In particular we have:
1.25 Proposition. If any r − 1 columns of H are linearly independent, then
the minimum distance of C is at least r, and conversely.
1.26 Example (The dual of an RS code). Let C = RS α1 ,...,αn (k), where α =
α1 , . . . , αn are distinct nonzero elements of a finite field K. Then we know
that G = Vk (α1 , . . . , αn ) is a generating matrix of C (Example 1.24). Note
that the rows of G have the form (α1i , . . . , αni ), with i = 0, . . . , k − 1.
Now we are going to describe a check matrix H of C, that is, a generating
matrix of C ⊥ . Recall that if we define D(α1 , . . . , αn ) as the determinant of
the Vandermonde matrix Vn (α1 , . . . , αn ) (Vandermonde determinant), then
Y
D(α1 , . . . , αn ) = (αj − αi ).
i<j

Define the vector h = (h1 , . . . , hn ) by the formula

hi = (−1)i−1 D(α1 , . . . , αi−1 , αi+1 , . . . , αn )/D(α1 , . . . , αn )

Y
= 1/( (αj − αi ))
j6=i

(remark that in the last product there are precisely i − 1 factors with the
indices reversed, namely the αj − αi with j < i). Then the matrix

H = Vn−k (α1 , . . . , αn )diag (h1 , . . . , hn )

is a check matrix of C.
To see this, it is enough to prove that any row of G is orthogonal to any
row of H because H has clearly rank n − k. Since the rows of H have the
form (h1 α1j , . . . , hn αnj ), with j = 0, . . . , n − k − 1, we have to prove that
n
αli+j hl = 0 if 0 6 i 6 k−1 and 0 6 j 6 n−k−1. Thus it will be enough
P
l=1
n
αls hl = 0 (0 6 s 6 n − 2). Multiplying throughout by the
P
to prove that
l=1
nonzero determinant D(α1 , . . . , αn ), and taking into account the definition
of hl , we wish to prove that
n
αls (−1)l−1 D(α1 , . . . , αl−1 , αl+1 , . . . , αn ) = 0.
P
l=1
36 Chapter 1. Block Error-correcting Codes

But finally this is obvious, because the left hand side coincides with the
determinant
α1s ... αns
1 ... 1
α1 . . . αn
.. ..
. .
α1n−2 . . . αnn−2
(developed along the first row), and this determinant has a repeated row.
As we will see in Chapter 4, the form of the matrix H indicates that
RS α (k) is an alternant code, and as a consequence it will be decodable with
any of the fast decoders for alternant codes studied in that chapter (sections
4.3 and 4.4).
E.1.27. Check that the dual of an RS (n, k) code is scalarly equivalent to an
RS (n, n− k). In particular we see that the dual of a RS code is an MDS
code.
Let us consider now the question of how can we obtain a check matrix from
a generating matrix G. Passing to an equivalent code if necessary, we may
assume that G = (Ik |P ) and in this case we have:
1.27 Proposition. If G = (Ik |P ) is a generating matrix of C, then H =
(−P T |In−k ) is a generating matrix of C ⊥ (note that −P T = P T in the
binary case).
Proof: Indeed, H is a matrix of type (n − k) × n and its rows are clearly
linearly independent. From the expressions of G and H it is easy to check
that GH T = 0 and hence hHi ⊆ C T . Since both terms in this inclusion
have the same dimension, they must coincide.
1.28 Example. In the binary case, the matrix H = (1k |1) is a check matrix
of the parity-check code C ∼ [k + 1, k], which is defined as the parity ex-
Pk+1 of the total code of dimension k. The only check equation for C is
tension
i=1 xi = 0, which is equivalent to say that the weight |x| is even for all x.
For the repetition code of length n relative to an arbitrary finite field F,
the vector 1n = (1|1n−1 ) is a generating matrix and H = (1Tn−1 |In−1 ) is a
check matrix. Note that the check equations corresponding to the rows of H
are xi = x1 for i = 2, . . . , n.
1.29 Example. If H is a check matrix for a code C of type [n, k], then
 
1n 1
H=
H 0Tn−k

is a check matrix of the parity extension C of C.

1.2. Linear codes 37

1.30 Example. Let F be a field of q elements and let F∗ = {α1 , . . . , αn },

n = q − 1. Let C = RS α1 ,...,αn (k). Then we know that the Vandermonde
matrix G = Vk (α1 , . . . , αn ) is a generating matrix of C. Now we will see
that the Vandermonde matrix

H = V1,n−k (α1 , . . . , αn ) = (αji ), 1 6 i 6 n − k, 1 6 j 6 n,

is a check matrix of C.
Indeed, as seen in Example 1.26, there is a check matrix Q of C that has
the form Vn−k (α1 , . . . , αn )diag (h1 , . . . , hn ), with hi = 1/ j6=i (αj − αi ),
and in the present case we have hi = αi (as argued in a moment), so that
V1,n−k (α1 , . . . , αn ) = Vn−k (α1 , . . . , αn )diag (α1 , . . . , αn ) is a check ma-
trix of C.
Q
To see that hi = αi , first note that j6=i (αj − αi ) is the product of all
the elements of F∗ , except −αi . Hence hi = −αi /P , where P is the product
of all the elements of F∗ . And the claim follows because P = −1, as each
factor in P cancels with its inverse, except 1 and −1, that coincide with their
own inverses.
Remark that the dual of RS α1 ,...,αn (k) is not an RS α1 ,...,αn (n − k), be-
cause H = V1,n−k (α1 , . . . , αn ) is not Vn−k (α1 , . . . , αn ). But on dividing
the j-th column of H by αj we see that the dual of RS α1 ,...,αn (k) is scalarly
equivalent to RS α1 ,...,αn (n − k).

E.1.28. Let G be the generating matrix of a code C ∼ [n, k] and assume it

has the form G = A|B, where A is a k×k non-singular matrix (det(A) 6= 0).
Show that if we put P = A−1 B, then H = (−P T )|In−k is a check matrix
of C.

E.1.29. In Proposition 1.27 the matrix Ik occupies the first k columns, and
P the last n − k. This restriction can be easily overcome as follows. Assume
that Ik is the submatrix of a matrix G ∈ Mnk (F) formed with the columns
k (F) be the matrix left from G after remov-
j1 < · · · < jk , and let P ∈ Mn−k
ing these columns. Show that we can form a check matrix H ∈ Mnn−k (F) by
placing the columns of −P T successively in the columns j1 , . . . , jk and the
columns of In−k successively in the remaining columns. [For an illustration
of this recipe, see the Example 1.36]

E.1.30. We have seen (E.1.27; see also Example 1.30) that the dual of an
RS code is scalarly equivalent to a RS code. Since RS codes are MDS, this
leads us to ask whether the dual of a linear MDS code is an MDS code.
Prove that the answer is affirmative and then use it to prove that a linear code
[n, k] is MDS if and only if any k columns of a generating matrix are linearly
independent.
38 Chapter 1. Block Error-correcting Codes

1.31 Remark. The last exercise includes a characterization of linear MDS

codes. Several others are known. An excellent reference is [24], § 5.3. Note
that Theorem 5.3.13 in [24] gives an explicit formula for the weight enumer-
ator of a linear [n, k]q , hence in particular for RS codes:
  i−d  
n j i−1
X
ai = (q − 1) (−1) q i−d−j .
i j
j=0
15 Weight enumerator of a linear MDS code

Syndrome decoding
Let C be a code of type [n, k] and H a check matrix of C. Given y ∈ Fn ,
the element
yH T ∈ Fn−k
is called the syndrome of y (with respect to H). From what we saw in the last
subsection, the elements of C are precisely those that have null syndrome:
C = {x ∈ Fn | xH T = 0}.
More generally, given s ∈ Fn−k , let Cs = {z ∈ Fn | zH T = s} (hence
C0 = C). Since the map σ : Fn → Fn−k such that y 7→ yH T is linear,
surjective (because the rank of H is n − k) and its kernel is C, it follows that
Cs is non-empty for any s ∈ Fn−k and that Cs = zs + C for any zs ∈ Cs .
In other words, Cs is a class modulo C (we will say that it is the class of the
syndrome s).
The notion of syndrome is useful in general for the purpose of minimum
distance decoding of C (as it was in particular for the Hamming [7,4,3] code
in example 1.9). The key observations we need are the following. Let g be
the minimum distance decoder. Let x ∈ C be the transmitted vector and y
the received vector. We know that y is g-decodable if and only if there exists
x0 ∈ C such that hd (y, x0 ) 6 t, and in this case x0 is unique and g(y) = x0 .
With these notations we have:
1.32 Lemma. The vector y is g-decodable if and only if there exists e ∈ Fn
such that yH T = eH T and |e| 6 t, and in this case e is unique and g(y) =
y − e.
Proof: If y is g-decodable, let x0 = g(y) and e = y − x0 . Then eH T =
yH T − x0 H T = yH T , because the syndrome of x0 ∈ C is 0, and |e| =
d(y, x0 ) 6 t.
Conversely, let e satisfy the conditions in the statement and consider the
vector x0 = y − e. Then x0 ∈ C, because x0 H T = yH T − eH T = 0 (by the
first hypothesis on e) and d(y, x0 ) = |e| 6 t. Then we know that x0 is unique
(hence e is also unique) and that g(y) = x0 (so g(y) = y − e).
1.2. Linear codes 39

E.1.31. If e, e0 ∈ Cs and |e|, |e0 | 6 t, prove that e = e0 . In other words, the

class Cs can contain at most one element e with |e| 6 t.

Leaders’ table
The preceeding considerations suggest the following decoding scheme. First
precompute a table E = {s → es }s∈Fn−k with es ∈ Cs and in such a way
that es has minimum weight among the vectors in Cs (the vector es is said
to be a leader of the class Cs and the table E will be called a leaders’ table
for C). Note that es is unique if |es | 6 t (exercise E.1.31); otherwise we will
have to select one among the vectors of Cs that have minimum weight. Now
the syndrome decoder can be described as follows:

Syndrome-leader decoding algorithm

1) find the syndrome of the received vector y, say s = yH T ;

2) look at the leaders’ table E to find es , the leader of the class corre-
sponding to s;

3) return y − es .

1.33 Example. Before examining the formal properties of this decoder, it

is instructive
  how it works for the code C = Rep(3). The matrix
to see
1 1 0
H = is a check matrix for the binary repetition code C =
1 0 1
{000, 111}. For each s ∈ Z22 , it is clear that e0s = 0|s has syndrome s.
Thus we have C00 = C = {000, 111}, C10 = e010 + C = {010, 101},
C01 = e001 + C = {001, 110}, C11 = e011 + C = {011, 100}. The leaders
of these classes are e00 = e000 = 000, e10 = e010 = 010, e01 = e001 = 001,
e11 = 100. Hence the vectors y in the class Cs are decoded as y + es
(we are in binary). For example, 011 is decoded as 011 + 100 = 111 and
100 as 100 + 100 = 000, like the majority-vote decoding explained in the
Introduction (page 3). In fact, it can be quickly checked that this coindidence
is valid for all y ∈ Z32 .
The facts discovered in the preceeding example are a special case of the
following general result:
F
1.34 Proposition. If D = x∈C B(x, t) is the set of decodable vectors by
the minimum distance decoder, then the syndrome-leader decoder coincides
with the minimum distance decoder for all y ∈ D.
Proof: Let x ∈ C and y ∈ B(x, t). If e = y − x, then |e| 6 t by hypothesis.
Moreover, if s = yH T is the syndrome of y, then the syndrome of e is also
40 Chapter 1. Block Error-correcting Codes

s, because
eH T = yH T − xH T = s.
Since es has minimum weight among the vectors of syndrome s, |es | 6 |e| 6
t. So e = es (E.1.31) and g(y) = y − es = y − e = x, as claimed.
1.35 Remarks. With the syndrome decoder there are no docoder errors, for
the table E = {s → es } is extended to all s ∈ Fn−k , but we get an unde-
tectable error if and only if e = y − x is not on the table E.
For the selection of the table values es the following two facts may be
helpful:

a) Let e0s be any element with syndrome s. If the class e0s + C contains
an element e such that |e| 6 t, then e is the only element in Cs with
this property (E.1.31) and so es = e.

b) If the submatrix of H formed with its last n−k columns is the identity
matrix In−k (note that this will happen if H has been obtained from
a generating matrix G of C of the form (Ik |P )), then the element
e0s = (0k |s) has syndrome s and hence the search of es can be carried
out in Cs = e0s + C. Moreover, it is clear that for all s such that |s| 6 t
we have es = e0s .

1.36 Example. See the link 16 A binary example of sydrome decoding for
how the computations have been arranged. Let C = hGi, where
 
1 1 0 0 1
G = 0 0 1 0 1 ∈ M53 (Z2 ).
1 0 0 1 1

In the link, C is returned as the list of its eight vectors.

Then we compute the table E = {s → Cs }s∈Z22 of classes modulo C
and get
X = { [0, 0] → { [0, 0, 0, 0, 0], [1, 0, 0, 1, 1], [0, 0, 1, 0, 1], [1, 0, 1, 1, 0],
[1, 1, 0, 0, 1], [0, 1, 0, 1, 0], [1, 1, 1, 0, 0], [0, 1, 1, 1, 1] },
[0, 1] → { [0, 0, 0, 0, 1], [1, 0, 0, 1, 0], [0, 0, 1, 0, 0], [1, 0, 1, 1, 1],
[1, 1, 0, 0, 0], [0, 1, 0, 1, 1], [1, 1, 1, 0, 1], [0, 1, 1, 1, 0] },
[1, 0] → { [1, 0, 0, 0, 0], [0, 0, 0, 1, 1], [1, 0, 1, 0, 1], [0, 0, 1, 1, 0],
[0, 1, 0, 0, 1], [1, 1, 0, 1, 0], [0, 1, 1, 0, 0], [1, 1, 1, 1, 1] },
[1, 1] → { [1, 0, 0, 0, 1], [0, 0, 0, 1, 0], [1, 0, 1, 0, 0], [0, 0, 1, 1, 1],
[0, 1, 0, 0, 0], [1, 1, 0, 1, 1], [0, 1, 1, 0, 1], [1, 1, 1, 1, 0] } }

Note that to each s there corresponds the list of vectors of Cs . Of course,

the list corresponding to [0, 0] is C.
Let M be the table {s → Ms }s∈Z22 , where Ms is the set of vectors
of minimum weight in Cs . This is computed by means of the function
1.2. Linear codes 41

min_weights, which yields, given a list of vectors, the list of those that have
minimum weight in that list. We get:
M = {[0, 0] → {[0, 0, 0, 0, 0]}, [0, 1] → {[0, 0, 0, 0, 1], [0, 0, 1, 0, 0]},
[1, 0] → {[1, 0, 0, 0, 0]}, [1, 1] → {[0, 0, 0, 1, 0], [0, 1, 0, 0, 0]}}.

A leaders’ table E = {s → es }s∈Z22 is found by retaining the first vector of

Ms . We get:
E = {[0, 0] → [0, 0, 0, 0, 0], [0, 1] → [0, 0, 0, 0, 1],
[1, 0] → [1, 0, 0, 0, 0], [1, 1] → [0, 0, 0, 1, 0]}.

We also need a check matrix. Since the identity I3 is a submatrix of G,

although this time at the second, third and forth columns, we can construct a
check matrix of C using E.1.29, as we do in the listing:
 
1 1 0 1 0
H= .
0 1 1 1 1

Now we can decode any vector y as y + E(yH T ). For example, if y =

[0, 1, 0, 0, 1], then yH T = [1, 0] and the decoded vector is [0, 1, 0, 0, 1] +
[1, 0, 0, 0, 0] = [1, 1, 0, 0, 1].
1.37 Example. The link 17 Ternary example of syndrome decoding is similar
to the previous example. Here the list C contains 33 elements; the table X
has 9 entries, and the value assigned to each syndrome is a list of 33 elements;
the classes of the syndromes

[0, 1], [0, 2], [1, 0], [1, 1], [2, 0], [2, 2]

contain a unique vector of minimum weight, namely

[0, 0, 0, 0, 1], [0, 0, 0, 0, 2], [0, 0, 0, 1, 0], [1, 0, 0, 0, 0], [0, 0, 0, 2, 0], [2, 0, 0, 0, 0],

while
C[1,2] = {[0, 0, 0, 1, 2], [0, 0, 2, 0, 2], [0, 1, 0, 1, 0], [0, 1, 2, 0, 0],
[1, 0, 0, 0, 1], [1, 2, 0, 0, 0], [2, 0, 0, 2, 0], [2, 0, 1, 0, 0]}

(C[2,1] is obtained by multiplying all the vectors in C[1,2] by 2). With all this,
it is immediate to set up the syndrome-leader table E. The link contains the
example of decoding the vector y = [1, 1, 1, 1, 1].

Complexity
Assuming that we have the table E = {es }, the decoder is as fast as the
evaluation of the product s = yH T and the looking up on the table E. But
42 Chapter 1. Block Error-correcting Codes

for the construction of E we have to do a number of operations of the order

q n : there are q n−k entries and the selection of es in Cs needs a number of
weight evaluations of the order q k on the average. In case we know that
H = (−P T |In−k ), the time needed to select the es can be decreased a little
bit for all s ∈ Fn−k such that |s| 6 t, for we may take es = 0k |s (note that
this holds for vol q (n − k, t) syndromes). In any case, the space needed to
keep the table E is of the order of q n−k vectors of length n.

Bounding the error for binary codes

As we noticed before (first of Remarks 1.35), an error occurs if and only if
the error pattern e = y − x does not belong to the table E = {es }. If we let
αi denote the number of es whose weight is i, and we are in the binary case,
then
Xn
Pc = αi (1 − p)n−i pi
i=0
is the probability that x0 = x, assuming that p is the bit error probability.
Note that (1 − p)n−i pi is the probability of getting a given error-pattern.

Hence Pe = 1 − Pc is thePncoden
error probability. Moreover, since αi = ni
for 0 6 i 6 t, and 1 = i=0 i pi (1 − p)n−i ,
n   
X n
Pe = 1 − Pc = − αi pi (1 − p)n−i .
i
i=t+1

If p is small, the dominant term in this sum can be approximated by

  
n
− αt+1 pt+1
t+1
and the error reduction factor by
  
n
− αt+1 pt .
t+1
In general the integers αi are difficult to accertain for i > t.

Incomplete syndrome-leader decoding

If asking for retransmission is allowed, sometimes it may be useful to modify
the syndrome-leader decoder as follows: If s is the syndrome of the received
vector and the leader es has weight at most t, then we return y−es , otherwise
we ask for retransmission. This scheme is called incomplete decoding. From
the preceding discussions it is clear that it will correct any error-pattern of
weigt at most t and detect any error-pattern of weight t + 1 or higher that is
not a code word.
1.2. Linear codes 43

E.1.32. Given a linear code of length n, show that the probability of an

undetected code error is given by
n
X
Pu (n, p) = ai pi (1 − p)n−i ,
i=1

where ai is the number of code vectors that have weight i (1 6 i 6 n). What
is the probability of retransmission when this code is used in incomplete
decoding?

Gilbert–Varshamov existence condition

1.38 Theorem. Fix positive integers n, k, d such that k 6 n and 2 6 d 6
n + 1. If the relation

vol q (n − 1, d − 2) < q n−k

is satisfied (this is called the Gilbert–Varshamov condition), then there exists

a linear code of type [n, k, d0 ] with d0 > d.
Proof: It is sufficient to see that the condition allows us to construct a matrix
H ∈ Mnn−k (F) of rank n − k with the property that any d − 1 of its columns
are linearly independent. Indeed, if this is the case, then the code C defined
as the space orthogonal to the rows of H has length n, dimension k (from
n − (n − k) = k), and minimum weight d0 > d (since there are no linear
relations of length less than d among the columns of H, which is a check
matrix of C).
Before constructing H, we first establish that the Gilbert–Varshamov
condition implies that d − 1 6 n − k (note that this is the Singleton bound
for the parameters d and k). Indeed,
d−2  
X n−1
vol q (n − 1, d − 2) = (q − 1)j
j
j=0
d−2  
X d−2
> (q − 1)j
j
j=0

= (1 + (q − 1))d−2 = q d−2 ,

and hence q d−2 < q n−k if the Gilbert–Varshamov condition is satisfied.

Therefore d − 2 < n − k, which for integers is equivalent to the claimed
inequality d − 1 6 n − k.
In order to construct H, we first select a basis c1 , . . . , cn−k ∈ Fn−k .
Since d − 1 6 n − k, any d − 1 vectors extracted from this basis are linearly
44 Chapter 1. Block Error-correcting Codes

independent. Moreover, a matrix H of type (n − k) × m with entries in F

and which contains the columns cTj , j = 1, . . . , n − k, has rank n − k.
Now assume that we have constructed, for some i ∈ [n − k, n], vectors
c1 , . . . , ci ∈ Fn−k with the property that any d − 1 from among them are
linearly independent. If i = n, it is sufficient to take H = (cT1 , . . . , cTn )
and our problem is solved. Otherwise we will have i < n. In this case, the
number of linear combinations that can be formed with at most d − 2 vectors
from among c1 , . . . , ci is not greater than vol q (i, d − 2) (see E.1.13). Since
i 6 n − 1, vol q (i, d − 2) 6 vol q (n − 1, d − 2). If the Gilbert–Varshamov
condtion is satisfied, then there is a vector ci+1 ∈ Fn−k which is not a linear
combination of any subset of d − 2 vectors extracted from the list c1 , . . . , ci ,
and our claim follows by induction.
Since Aq (n, d) > Aq (n, d0 ) if d0 > d, the Gilbert–Varshamov condition
shows that Aq (n, d) > q k . This lower bound, called the Gilbert–Varshamov
bound, often can be used to improve the Gilbert bound (theorem 1.17). In the
link 18 Gilbert–Varshamov lower bound we define a function that computes
this bound (lb_gilbert_varshamov).

Hamming codes
Hamming codes were discovered by Hamming (1950) and Go-
lay (1949).
R. Hill, [9], p. 90.

We will say that a q-ary code C of type [n, n − r] is a Hamming code

of codimension r if the columns of a check matrix H ∈ Mnr (F) of C form
a maximal set among the subsets of Fr with the property that any two of its
elements are linearly independent (of such a matrix we will say that it is a
q-ary Hamming matrix of codimension r).
E.1.33. For i = 1, . . . , r, let Hi be the matrix whose columns are the vectors
of Fr that have the form (0, ..., 0, 1, αi+1 , ..., αr ), with αi+1 , . . . , αn ∈ F
arbitrary. Let H = H1 |H2 | · · · |Hr . Prove that H is a q-ary Hamming matrix
of codimension r (we will say that it is a normalized q-ary Hamming matrix
of codimension r). Note also that Hi has q r−i columns and hence that H has
(q r − 1)/(q − 1) columns. The link 19 Normalized Hamming matrix defines
a function based on this procedure, and contains some examples.
1.39 Remark. Since two vectors of Fr are linearly independent if and only if
they are non-zero and define distinct points of the projective space P(Fr ), we
see that the number n of columns of a q-ary Hamming matrix of codimension
qr − 1
r coincides with the cardinal of P(Fr ), which is n = . This expression
q−1
1.2. Linear codes 45

agrees with the observation made in E.1.33. It also follows by induction from
the fact that Pr−1 = P(Fr ) is the disjoint union of an affine space Ar−1 ,
whose cardinal is q r−1 , and a hyperplane, which is a Pr−2 .
It is clear that two Hamming codes of the same codimension are scalarly
equivalent. We will write Hamq (r) to denote any one of them and Ham∨q (r) to
denote the corresponding dual code, that is to say, the code generated by the
check matrix H used to define Hamq (r). By E.1.33, it is clear that Hamq (r)
has dimension k = n − r = (q r − 1)/(q − 1) − r. Its codimension, which
is the dimension of Ham∨q (r), is equal to r.
1.40 Example. The binary Hamming code of codimension 3, Ham2 (3), is
the code [7, 4] that has
 
1 0 0 1 1 0 1
H = 0 1 0 1 0 1 1
0 0 1 0 1 1 1
as check matrix. Indeed, the columns of this matrix are all non-zero binary
vectors of length 3 and in the binary case two non-zero vectors are linearly
independent if and only if they are distinct.
E.1.34. Compare the binary Hamming matrix of the previous example with
a binary normalized Hamming matrix of codimension 3, and with the matrix
H of the Hamming [7, 4, 3] code studied in the Example 1.9.
1.41 Proposition. If C is any Hamming code, then dC = 3. In particular,
the error-correcting capacity of a Hamming code is 1.
Proof: If H is a check matrix of C, then we know that the elements of C are
the linear relations satisfied by the columns of H. Since any two columns
of H are linearly independent, the minimum distance of C is at least 3. On
the other hand, C has elements of weight 3, because the sum of two columns
of H is linearly independent of them and hence it must be proportional to
another column of H (the columns of H contain all non-zero vectors of Fr
up to a scalar factor).
1.42 Proposition. The Hamming codes are perfect.
Proof: Since Hamq (r) has type [(q r − 1)/(q − 1), (q r − 1)/(q − 1) − r, 3],
we know from E.1.14 that it is perfect. It can be checked directly as well:
the ball of radius 1 with center an element of Fn contains 1 + n(q − 1) = q r
elements, so the union of the balls of radius 1 with center an element of C is
a set with q n−r q r = q n elements.
1.43 Proposition. If C 0 = Ham∨q (r) is the dual of a Hamming code C =
Hamq (r), the weight of any non-zero element of C 0 is q r−1 . In particular, the
distance between any pair of distinct elements of C 0 is q r−1 .
46 Chapter 1. Block Error-correcting Codes

Proof: Let H = (hij ) be a check matrix of C. Then the non-zero vectors of

C 0 have the form z = aH, a ∈ Fr , a 6= 0. So the i-th component of z has the
form zi = a1 h1i + · · · + ar hri . Therefore the condition zi = 0 is equivalent
to say that the point Pi of Pr−1 = P(Fr ) defined by the i-th column of H
belongs to the hyperplane of Pr−1 defined by the equation

a1 x1 + . . . + ar xr = 0.

Since {P1 , . . . , Pn } = Pr−1 (cf. Remark 1.39), it follows that the number of
non-zero components of z is the cardinal of the complement of a hyperplane
of Pr−1 . Since this complement is an affine space Ar−1 , its cardinal is q r−1
and so any non-zero element of C 0 has weight q r−1 .
Codes such that the distance between pairs of distinct elements is a fixed
integer d are called equidistant of distance d. Thus Ham∨q (r) is equidistant
of distance q r−1 .

E.1.35. Find a check matrix of Ham7 (2), the Hamming code over F7 of codi-
mension 2, and use it to decode the message

3523410610521360.

Weight enumerator

The weight enumerator of a code C is defined as the polynomial

n
X
A(t) = Ai t i ,
i=0

where Ai is the number of elements of C that have weight i.

It is clear that A(t) can be expressed in the form
X
A(t) = t|x| ,
x∈C

for the term ti appears in this sum as many times as the number of solutions
of the equation |x| = i, x ∈ C.
Note that A0 = 1, since 0n is the unique element of C with weight 0.
On the other hand Ai = 0 if 0 < i < d, where d is the minimum distance
of C. The determination of the other Ai is not easy in general and it is one
of the basic problems of coding theory.
1.2. Linear codes 47

MacWilliams identities
A situation that might be favorable to the determination of the weight enu-
merator of a code is the case when it is constructed in some prescribed way
from another code whose weight enumerator is known. Next theorem (7),
which shows how to obtain the weight enumerator of C ⊥ from the weight
enumerator of C (and conversely) is a positive illustration of this expectation.
Remark. In the proof of the theorem we need the notion of character of
a group G, which by definition is a group homomorphism of G to U (1) =
{z ∈ C | |z| = 1}, the group of complex numbers of modulus 1. The constant
map g 7→ 1 is a character, called the unit character. A character different
from the unit character is said to be non-trivial and the main fact we will
need is that the additive group of finite field Fq has non-trivial characters.
Actually any finite abelian group has non-trivial characters. Let us sketch
how this can be established.
It is known that any finite abelian group G is isomorphic to a product of
the form
Zn1 × · · · × Znk ,
with k a positive integer and n1 , . . . , nk integers greater than 1. For example,
in the case of a finite field Fq , we have (if q = pr , p prime),
Fq ' Zrp
since Fq is vector space of dimension r over Zp . In any case, it is clear that if
we know how to find a non-trivial character of Zn1 then we also know how to
find a non-trivial character of G (the composition of the non-trivial character
of Zn1 with the projection of Zn1 × · · · × Znk onto Zn1 gives a non-trivial
character of G). Finally note that if n is an integer greater than 1 and ξ 6= 1
is an n-th root of unity then the map χ : Zn → U (1) such that χ(k) = ξ k is
well defined and is a non-trivial character of Zn .
E.1.36. Given a group G, the set G∨ of all characters of G has a natural
group structure (the multiplication χχ0 of two characters χ and χ0 is defined
by the relation (χχ0 )(g) = χ(g)χ0 (g)) and with this structure G∨ is called
the dual group of G. Prove that if n is an integer greater than 1 and ξ ∈ U (1)
is a primitive n-th root of unity, then there is an isomorphism Zn ' Z∨n ,
m 7→ χm , where χm (k) = ξ mk . Use this to prove that for any finite abelian
group G there exists an isomorphism G ' G∨ .
1.44 Theorem (F. J. MacWilliams). The weight enumerator B(t) of the dual
code C ⊥ of a code C of type [n, k] can be determined from the weight enu-
merator A(t) of C according to the following identity:
 
∗ n 1−t
k
q B(t) = (1 + q t) A , q ∗ = q − 1.
1 + q∗t
48 Chapter 1. Block Error-correcting Codes

Proof: Let χ be a non-trivial character of the additive group of F = Fq

(see the preceeding Remark). Thus we have a map χ : F → U (1) such that
χ(α + β) = P χ(α)χ(β) for any α, β ∈ F with χ(γ) 6= 1 for some γ ∈ F.
Observe that α∈F χ(α) = 0, since
X X X
χ(γ) χ(α) = χ(α + γ) = χ(α)
α∈F α∈F α∈F

and χ(γ) 6= 1.
Now consider the sum
X X
S= χ(x, y)t|y| ,
x∈C y∈Fn

where χ(x, y) = χ(hx|yi). After reordering we have

X X
S= t|y| χ(x, y).
y∈Fn x∈C

If y ∈ C ⊥ , thenP
hx|yi = 0 for all x ∈ C and so χ(x, y) = 1 for all x ∈ C,
and in this case x∈C χ(x, y) = |C|. If y 6∈ C ⊥ , then the map C → F such
that x 7→ hx|yi takes each value of F the same
P number of times (because
Pis an F-linear map) and hence, using that α∈F χ(α) = 0, we have that
it
x∈C χ(x, y) = 0. Putting the two cases together we have that
X
S = |C| t|y| = q k B(t).
y∈C ⊥

On the other hand, for any given x ∈ C, and making the convention, for
all α ∈ F, that |α| = 1 if α 6= 0 and |α| = 0 if α = 0, we have
X X
χ(x, y)t|y| = χ(x1 y1 + . . . + xn yn )t|y1 |+...+|yn |
y∈Fn y1 ,...,yn ∈F
X n
Y
= χ(xi yi )t|yi |
y1 ,...,yn ∈F i=1
Yn X 
= χ(xi α)t|α| .
i=1 α∈F

But it is clear that

(
X 1 + q∗t if xi = 0
χ(xi α)t|α| =
α∈F
1−t 6 0
if xi =
1.2. Linear codes 49

P
because α∈F∗ χ(α) = −1. Consequently

 |x|
X
|α| ∗ n 1−t
χ(xi α)t = (1 + q t)
1 + q∗t
α∈F

and summing with respect to x ∈ C we see that

1−t

S = (1 + q ∗ t)n A ,
1 + q∗t

as stated.

1.45 Example (Weight enumerator of the zero-parity code). The zero-parity

code of length n is the dual of the repetition code C of length n. Since the
weight enumerator of C is A(t) = 1 + (q − 1)tn , the weight enumerator
B(t) of the zero-parity code is given by the relation
  1−t n 
qB(t) = (1 + (q − 1)t)n 1 + (q − 1)
1 + (q − 1)t
= (1 + (q − 1)t) + (q − 1)(1 − t)n .
n

In the binary case we have

2B(t) = (1 + t)n + (1 − t)n ,

which yields
i6n/2  
X n 2i
B(t) = t .
2i
i=0

Note that this could have been written directly, for the binary zero-parity
code of length n
has only even-weight words and the number of those having
n
weight 2i is 2i .

1.46 Example (Weight enumerator of the Hamming codes). We know that

the dual Hamming code Ham∨q (r) is equidistant, with minimum distance
q r−1 (Proposition 1.43). This means that its weight enumerator, say B(t), is
the polynomial
r−1
B(t) = 1 + (q r − 1)tq ,

because q r − 1 is the number of non-zero vectors in Ham∨q (r) and each of

these has weight q r−1 . Now the MacWilliams identity allows us to determine
50 Chapter 1. Block Error-correcting Codes

the weight enumerator, say A(t), of Hamq (r):

 
r ∗ n 1−t
q A(t) = (1 + q t) B
1 + q∗t
r−1
(1 − t)q
= (1 + q ∗ t)n + (q r − 1)(1 + q ∗ t)n
(1 + q ∗ t)qr−1
r−1 r−1
= (1 + q ∗ t)n + (q r − 1)(1 + q ∗ t)n−q (1 − t)q
r−1
 r−1 r−1

= (1 + q ∗ t)n−q (1 + q ∗ t)q + (q r − 1)(1 − t)q
q r−1 −1  r−1 r−1

= (1 + q ∗ t) q−1 (1 + q ∗ t)q + (q r − 1)(1 − t)q ,

since n = (q r − 1)/(q − 1) and n − q r−1 = (q r−1 − 1)/(q − 1).

In the binary case the previous formula yields that the weight enumerator
A(t) of Ham(r) is
r−1
 r−1 r−1

2r A(t) = (1 + t)2 −1 (1 + t)2 + (2r − 1)(1 − t)2 .

For r = 3, Ham(3) has type [7, 4] and

8A(t) = (1 + t)3 (1 + t)4 + 7(1 − t)4 ,

or
A(t) = 1 + 7t3 + 7t4 + t7 .
This means that A0 = A7 = 1, A1 = A2 = A5 = A6 = 0 and A3 = A4 =
7. Actually it is easy to find, using the description of this code given in the
example 1.40 (see also the example 1.9) that the weight 3 vectors of Ham(3)
are
[1, 1, 0, 1, 0, 0, 0], [0, 1, 1, 0, 1, 0, 0], [1, 0, 1, 0, 0, 1, 0], [0, 0, 1, 1, 0, 0, 1],
[1, 0, 0, 0, 1, 0, 1], [0, 1, 0, 0, 0, 1, 1], [0, 0, 0, 1, 1, 1, 0]
and the weight 4 vectors are
[1, 1, 1, 0, 0, 0, 1], [1, 0, 1, 1, 1, 0, 0], [0, 1, 1, 1, 0, 1, 0], [1, 1, 0, 0, 1, 1, 0],
[0, 1, 0, 1, 1, 0, 1], [1, 0, 0, 1, 0, 1, 1], [0, 0, 1, 0, 1, 1, 1]
Note that the latter are obtained from the former, in reverse order, by inter-
changing 0 and 1.
(See the link 20 Weight enumerator of the Hamming code and MacWilliams
identities).

Summary
1.2. Linear codes 51

• Basic notions: linear code, minimum weight, generating matrix, dual

code, check matrix.
• Syndrome-leader decoding algorithm. It agrees with the minimum
distance decoder g on the set D of g-decodable vectors.
• The Gilbert–Varshamov condition vol q (n − 1, d − 2) < q n−k guar-
antees the existence of a linear code of type [n, k, d] (n, k, d positive
integers such that k 6 n and 2 6 d 6 n). In particular the condition
implies that Aq (n, d) > q k , a fact that often can be used to improve
the Gilbert lower bound.
• Definition of the Hamming codes

Hamq (r) ∼ [(q r − 1)/(q − 1), (q r − 1)/(q − 1) − r, 3]

by specifying a check matrix (a q-ary Hamming matrix of codimension

r). They are perfect codes and the dual code Ham∨q (r) is equidistant
with distance q r−1 .
• MacWilliams indentities (Theorem 7): If A(t) and B(t) are the weight
enumerators of a code C ∼ [n, k] and its dual, then
 
∗ n 1−t
k
q B(t) = (1 + q t) A , q ∗ = q − 1.
1 + q∗t

The main example we have considered is the determination of the

weight enumerator of the Hamming codes (example 1.46.

Problems
P.1.9 The ISBN code has been described in the Example 1.19. Prove that
this code:

1. Detects single errors and transpositions of two digits.

2. Cannot correct a single error in general.
3. Can correct a single error if we know its position.

If instead of the ISBN weighted check digit relation we used the the relation
P10
i=1 xi ≡0 (mod 11),

which of the above properties would fail?

52 Chapter 1. Block Error-correcting Codes

P.1.10 (The Selmer personal registration code, 1967). It is used in Norway

to assign personal registration numbers and it can be defined as the set R ⊂
(Z11 )11 formed with thevectors x such that xi 6= 10 for i =1, . . . , 9 and
3 7 6 1 8 9 4 5 2 1 0
xH T = 0, where H = . Show that
5 4 3 2 7 6 5 4 3 2 1
R can:
1) Correct one error if and only if its position is not 4 or 10.
2) Detect a double error if and only if it is not of the form t(ε4 − ε10 ),
t ∈ Z∗11 .

What can be said about the detection and correction of transpositions?

P.1.11 Encode pairs of information bits 00, 01, 10, 11 as 00000, 01101,
10111, 11010, respectively.

1. Show that this code is linear and express each of the five bits of the
code words in terms of the information bits.
2. Find a generating matrix and a check matrix.
3. Write the coset classes of this code and choose a leaders’ table.
4. Decode the word 11111.

P.1.12 The matrix

 
1 0 0 0 1 a
1 1 0 0 0 b
H=
1
.
0 1 0 0 c
0 1 1 1 0 d

is the check matrix of a binary code C.

1. Find the list of code-words in the case a = b = c = d = 1.

2. Show that it is possible to choose a, b, c, d in such a way that C corrects
simple errors and detects double errors. Is there a choice that would
allow the correction of all double errors?

P.1.13 Let G1 and G2 be generating matrices of linear codes of types [n1 , k, d1 ]q

and [n2 , k, d2 ]q , respectively. Prove that the matrices
 
G1 0
G3 = , G4 = G1 |G2
0 G2

generate linear codes of types [n1 + n2 , 2k, d3 ]q and [n1 + n2 , k, d4 ]q with

d3 = min(d1 , d2 ) and d4 > d1 + d2 .
1.2. Linear codes 53

P.1.14 Let n = rs, where r and s are positive integers. Let C be the binary
code of length n formed with the words x = a1 a2 . . . an such that, when
arranged in an r × s matrix

a1 ··· ar
ar+1 ··· a2r
.. ..
. .
a(s−1)r+1 · · · asr

the sum of the elements of each row and of each column is zero.

1. Check that it is a linear code and find its dimension and minimum
distance.
2. Devise a decoding scheme.
3. For r = 3 and s = 4, find a generating matrix and a check matrix
of C.

P.1.15 A binary linear code C of length 8 is defined by the equations

x5 = x2 + x3 + x4
x6 = x1 + x2 + x3
x7 = x1 + x2 + x4
x8 = x1 + x3 + x4

Find a check matrix for C, show that dC = 4 and calculate the weight enu-
merator of C.
P.1.16 (First order Reed–Muller codes). Let Lm be the vector space of poly-
nomials of degree 6 1 in m indeterminates and with coefficients in F. The
elements of Lm are expressions

a0 + a1 X1 + . . . + am Xm ,

where X1 , . . . , Xm are indeterminates and a0 , a1 , . . . , am are arbitrary ele-

ments of F. So 1, X1 , . . . , Xm is a basis of Lm over F and, in particular, the
dimension of Lm is m + 1.
Let n be an integer such that q m−1 < n 6 q m and pick distinct vectors
x = x1 , . . . , xn ∈ Fm . Show that:
1) The linear map  : Lm → Fn such that (f ) = (f (x1 ), . . . , f (xn )) is
injective.
2) The image of  is a linear code of type [n, m + 1, n − q m−1 ].
54 Chapter 1. Block Error-correcting Codes

Such codes are called (first order) Reed–Muller codes and will be denoted
RM x m x
q (m). In the case n = q , instead of RM q (m) we will simply write
RM q (m) and we will say that this is a full Reed–Muller code. Thus RM q (m) ∼
(q m , m + 1, q m−1 (q − 1)).
1.47 Remark. There are many references that present results on the decod-
ing of RM codes. The following two books, for example, include a lucid and
elementary introduction: [1] (Chapter 9) and [31] (Chapter 4).
1.3. Hadamard codes 55

1.3 Hadamard codes

The first error control code developed for a deep space appli-
cation was the nonlinear (32, 64) code used in the Mariner ’69
mission.
S.B. Wicker, [32], p. 2124.

Essential points

• Hadamard matrices. The matrices H (n) .

• The order of a Hadamard matrix is divisible by 4 (if it is not 1 or 2).
• Paley matrices.
• Uses of the Paley matrices for the construction of Hadamard matrices.
• Hadamard codes. Example: the Mariner code.
• The Hadamard decoder.
• Equivalence of some Hadamard codes with first order Reed–Muller
codes.

Hadamard matrices
A Hadamard matrix of order n is a matrix of type n × n whose coefficients
are 1 or −1 and such that
HH T = nI.
Note that this relation is equivalent to say that the rows of H have norm
√
n and that any two of them are orthogonal. Since H is invertible and
H T = nH −1 , we see that H T H = nH −1 H = nI and hence H T is also
a Hadamard matrix. Therefore H is a Hadamard matrix if and only if its
√
columns have norm n and any two of them are orthogonal.
If H is a Hadamard matrix of order n, then
det(H) = ±nn/2 .
In particular we see that Hadamard matrices satisfy the equality in the Hada-
mard inequality
n X n
Y
1/2
| det(A)| 6 a2ij ,
i=1 i=1
56 Chapter 1. Block Error-correcting Codes

which is valid for all n × n real matrices A = (aij ).

E.1.37. Show that nn/2 is an upper-bound for the value of det(A) when A
runs through all real matrices such that |aij | 6 1, and that the equality is
attained only if A is a Hadamard matrix.
If the signs of a row (column) of a Hadamard matrix are changed, then the re-
sulting matrix is clearly a Hadamard matrix again. If the rows (columns) of a
Hadamard matrix are permuted in an arbitrary way, then the resulting matrix
is a Hadamard matrix. Two Hadamard matrices are said to be equivalent (or
isomorphic) if it is possible to go from one to the other using a sequence of
these two operations. Observe that by changing the sign of all the columns
whose first term is −1, and then of all the rows whose first term is −1, we
obtain an equivalent Hadamard matrix whose first row and column are 1n
and 1Tn , respectively. Such Hadamard matrices are said to be normalized
Hadamard matrices. For example,
 
(1) 1 1
H =
1 −1

is the only normalized Hadamard matrix of order 2. More generally, if we

define H (n) (n > 2) recursively by the formula
 (n−1)
H (n−1)

(n) H
H = ,
H (n−1) −H (n−1)

then H (n) is a normalized Hadamard matrix of order 2n for all n (see the
link 21 Computation of the matrices H (n) ).
It is also easy to check that if H and H 0 are Hadamard matrices of orders
n and n0 , then the tensor product H ⊗ H 0 is a Hadamard matrix of order nn0
(the matrix H ⊗ H 0 , also called the Kronecker product of H and H 0 , can be
defined as the matrix obtained by replacing each entry aij of H by the matrix
aij H 0 ). For example, if H is a Hadamard matrix of order n, then
 
(1) H H
H ⊗H =
H −H

is a Hadamard matrix of order 2n. Note also that we can write

H (n) = H (1) ⊗ H (n−1) .

E.1.38. Check that the function tensor defined in the link 22 Tensor product
of two matrices yields the tensor or Kronecker product of two matrices.
1.48 Proposition. If H is a Hadamard matrix of order n > 3, then n is a
multiple of 4.
1.3. Hadamard codes 57

Proof: We can assume, without loss of generality, the H is normalized.

First let us see that n is even. Indeed, if r and r0 are the number of times
that 1 and −1 appear in the second row of H, then on one hand the scalar
product of the first two rows of H is zero, by definition of Hadamard matrix,
and on the other it is equal to r − r0 , since H is normalized. Hence r0 = r
and n = r + r0 = 2r.
Now we can assume, after permuting the columns of H if necessary, that
the second row of H has the form

(1r | − 1r )

and that the third row (which exists because n > 3) has the form

(1s | − 1t |1s0 | − 1t0 ),

with
s + t = s0 + t0 = r.
Since the third row contains r times 1 and r times −1, we also have that

s + s0 = t + t0 = r.

The equations s + t = r and s + s0 = r yield s0 = t. Similarly, t0 = s from

s + t = r and t + t0 = r. Hence the third row of H has the form

(1s | − 1t |1t | − 1s ).

Finally the condition that the second and third row are orthogonal yields that
2(s − t) = 0 and hence s = t, r = 2s and n = 4s.
E.1.39. For n = 4 and n = 8, prove that any two Hadamard matrices of
order n are equivalent.

The Paley construction of Hadamard matrices

Assume that q, the cardinal of F, is odd (that is, q = pr , where p is a prime
number greater than 2 and r is a positive integer). Let

χ : F∗ → {±1}

be the Legendre character of F∗ , which, by definition, is the map such that

(
1 if x is a square
χ(x) =
−1 if x is not a square

We also extend χ to F with the convention that χ(0) = 0.

58 Chapter 1. Block Error-correcting Codes

1.49 Proposition. If we set r = (q − 1)/2, then χ(x) = xr for all x ∈ F.

Moreover,
P χ takes r times the value 1 and r times the value −1 and hence
x∈F χ(x) = 0.
Proof: Since (xr )2 = x2r = x(q−1) = 1 (because F∗ has order q − 1; cf.
Proposition 2.29), we see that xr = ±1. If x is a square, say x = w2 , then
xr = w2r = 1.
Note that there are exactly r squares in F∗ . Indeed, since (−x)2 = x2 ,
the number of squares coincides with the number of distinct pairs {x, −x}
with x ∈ F∗ and it is enough to observe that x 6= −x, for all x, because p is
odd.
Since the equation xr = 1 can have at most r solutions in F∗ , and the r
squares are solutions, it turns out that xr 6= 1 for the r elements of F∗ that
are not squares, hence xr = −1 for all x that are not squares. Thus the value
of xr is 1 for the squares and −1 for the non-squares, as was to be seen.
The elements of F that are squares (non-squares) are also said to be
quadratic residues (quadratic non-residues) of F. The link 23 The Legen-
gre character and the functions QR and NQR includes the function Legen-
dre(a,F), that computes a(q−1)/2 (q = |F |) for a ∈ F ∗ , and the functions
QR(F) and QNR(F) that return, respectively, the sets of quadratic residues
and quadratic non-residues of any finite field F.3

Paley matrix of a finite field of odd characteristic

Let x0 = 0, x1 , . . . , xq−1 denote the elements of F, in some order, and define
the Paley matrix of F,
Sq = (sij ) ∈ Mq (F),
by the formula
sij = χ(xi − xj ).
For its computation, see the link 24 Paley matrix of a finite field.
1.50 Proposition. If U = Uq ∈ Mq (F) is the matrix whose entries are all 1,
then S = Sq has the following properties:

1) S1Tq = 0Tq 2) 1q S = 0q
3) SS T = qIq − U 4) S T = (−1)(q−1)/2 S.

Proof: Indeed, 1 and 2 are direct consequences of the equality

X
χ(x) = 0,
x∈F
3
For the convenience of the reader, the function Legendre is defined and used here in-
stead of the equivalent built-in function legendre.
1.3. Hadamard codes 59

which in turn was established in proposition 1.49.

The relation 3 is equivalent to say that
(
X q−1 if j = i
χ(ai − ak )χ(aj − ak ) =
k
−1 6 i
if j =

The first case is clear. To see the second, let x = ai − ak and y = aj − ai , so

that aj − ak = x + y. With these notations we want to show that the value of
X
s= χ(x)χ(x + y)
x

is −1 for all y 6= 0. To this end, we can assume that the sum is extended
to all elements x such that x 6= 0, −y. We can write x + y = xzx , where
zx = 1 + y/x runs through the elements 6= 0, 1 when x runs the elements
6= 0, −y. Therefore
X X
s= χ(x)2 χ(zx ) = χ(z) = −1.
x6=0,−y z6=0,1

Finally the relation 4 is a consequence of the the formula χ(−1) =

(−1)(q−1)/2 (proposition 1.49).

Construction of Hadamard matrices using Paley matrices

1.51 Theorem. If n = q + 1 ≡ 0 (mod 4), then the matrix
 
1 1q
Hn =
1Tq −Iq ± Sq

is a Hadamard matrix of order n.

Proof: The hypothesis n = q + 1 ≡ 0 (mod 4) implies that (q − 1)/2 is odd
and hence S = Sq is skew-symmetric (S T = −S). Writing 1 instead of 1q
for simplicity, we have
  
T 1 1 1 1
Hn Hn =
1T −Iq + S 1T −Iq − S
1 + 1 · 1T
 
1 + 1(−Iq − S)
=
1T + (−Iq + S)1T 1T · 1 + Iq + SS T

and the preceeding proposition implies that this matrix is equal to nIn . Note
that 1 · 1T = q and 1T · 1 = Uq . We have shown the case +S; the case −S
is analogous.
(see the link 25 Hadamard matrix of a finite field with q + 1 = 0 mod 4).
60 Chapter 1. Block Error-correcting Codes

1.52 Remark. When q + 1 is not divisible by 4, in E.1.42 we will see that

we can still associate a Hadamard matrix to Fq , but its order will be 2q + 2.
Then we will be able to define hadamard_matrix(F:Field) for any finite field
of odd characteristic by using the formula in the Theorem 1.51 when q + 1
is divisible by 4 (in this case it returns the same as hadamard_matrix_) and
the formula in E.1.42 when q + 1 is not divisible by 4.

The name conference matrix originates from an application to

conference telephone circuits.
J.H. van Lint and R.M. Wilson, [30], p. 173.

Conference matrices and their use in contructing Hadamard matrices

E.1.40. A matrix C of order n is said to be a conference matrix if its diagonal
is zero, the other entries are ±1 and CC T = (n − 1)In . Prove that if a
conference matrix of order n > 1 exists, then n is even. Prove also that
by permuting rows and columns of C, and changing the sign of suitable
rows and columns, we can obtain a symmetric (skew-symmetric) conference
matrix of order n for n ≡ 2 (mod 4) (n ≡ 0 (mod 4)).
E.1.41. Let S be the Paley matrix of a finite field Fq , q odd, and let ε = 1 if
S is symmetric and ε = −1 if S is skew-symmetric. Prove that the matrix
 
0 1q
C=
ε1Tq S

is a conference matrix of order q + 1 (for the computation of this matrix, see

the link 26 Conference matrix). This matrix is symmetric (skew-symmetric)
if q ≡ 1 (mod 4) (q ≡ 3 (mod 4)). Note that in the case q ≡ 3 (mod 4) the
matrix In + C is equivalent to the Hadamard matrix Hn of theorem 1.51.
E.1.42. If C is a skew-symmetric conference matrix of order n, show that
H = In + C is a Hadamard matrix (cf. the remark at the end of the previous
exercise). If C is a symmetric conference matrix of order n, show that
 
In + C −In + C
H=
−In + C −In − C

is a Hadamard matrix of order 2n.

The last exercise allows us, as announced in Remark 1.52, to associate
to a finite field Fq , q odd, a Hadamard matrix of order q + 1 or 2q + 2
according to whether q + 1 is or is not divisible by 4, respectively. For the
computational details, see the link 27 Hadamard matrix of a finite field . The
function in this link is called hadamard_matrix(F), and extends the definition
of hadamard_matrix_ that could be applied only if q + 1 ≡ 0 mod 4.
1.3. Hadamard codes 61

1.53 Remark. The Hadamard matrices H (2) , H (3) , H (4) , H (5) have orders
4, 8, 16, 32. Theorem 1.51 applies for q = 7, 11, 19, 23, 27, 31 and yields
Hadamard matrices H8 , H12 , H20 , H24 , H28 and H32 . The second part of
the exercise E.1.42 yields Hadamard matrices H 12 , H 20 , H 28 from the fields
F5 , F9 and F13 .
It is conjectured that for all positive integers n divisible by 4 there is a
Hadamard matrix of order n. The first integer n for which it is not known
whether there exists a Hadamard matrix of order n is 428 (see [30] or [2]).
The matrices H (3) and H8 are not equal, but we know that they are
equivalent (see E.1.39). The matrices H12 and H 12 are also equivalent (see
P.1.19). In general, however, it is not true that all Hadamard matrices of the
same order are equivalent (it can be seen, for example, that H20 and H 20 are
not equivalent).
For more information on the present state of knowledge about Hadamard
matrices, see the web page
[Link]

Hadamard codes
One of the recent very interesting and successful applications
of Hadamard matrices is their use as co-called error-correcting
codes.
J.H. van Lint and R.M. Wilson, [30], p. 181.

We associate a binary code C = CH of type (n, 2n) to any Hadamard

matrix H of order n as follows: C = C 0 t C 00 , where C 0 is obtained by
replacing all occurrences of −1 in H by 0 and C 00 is the result of comple-
menting the vectors in C 0 (or replacing −1 by 0 in −H).
Since any two rows of H differ in exactly n/2 positions, if follows that
the minimum distance of CH is n/2 and so the type of CH is (n, 2n, n/2).
For the construction of CH as a list of code-words, see the link 28 Construction
of Hadamard codes (to save space in the examples, instead of the matrix of
code-words we have written its transpose).
E.1.43. Are the Hadmanard codes equidistant? Can they have vectors of
weight less than n/2?
E.1.44. Show that the code CH8 is equivalent to the parity extension of the
Hamming [7, 4, 3] code. It is therefore a linear code (note that a Hadamard
code of length n cannot be linear unless n is a power of 2.
1.54 Example. The code C = CH (5) , whose type is (32, 64, 16), is the
code used in the period 1969–1972 by the Mariner space-crafts to trans-
62 Chapter 1. Block Error-correcting Codes

mit pictures of Mars (this code turns out to be equivalent to the linear code
RM 2 (5); see P.1.21). Each picture was digitalized by subdividing it into
small squares (pixels) and assigning to each of them a number in the range
0..63 (000000..111111 in binary) corresponding to the grey level. Finally
the coding was done by assigning each grey level to a code-word of C in a
one-to-one fashion. Hence the rate of this coding is 6/32 and its correcting
capacity is 7. See figure 1.1 for an upper-bound of the error-reduction factor
of this code. Decoding was done by the Hadamard decoder explained in the
next subsection. For more information on the role and most relevant aspects
of coding in the exploration of the solar system, see [32].

0.0005

0.0004

0.0003

0.0002

0.0001

0 0.01 0.02 0.03

Figure 1.1: The error-reduction factor of the Mariner code is given by

P32 32

j=8 j (1 − p) p . For p = 0.01, its value is 8.49 × 10−8 , and for
32−j j−1

p = 0.001 it is 1.03 × 10−14 .

Decoding of Hadamard codes

Let C = CH be the Hadamard code associated to the Hadamard matrix H.
Let n be the order of H and t = b(n/2 − 1)/2c = b(n − 2)/4c. Since
dC = n/2, t is the correcting capacity of C.
Given a binary vector y of length n, let ŷ ∈ {1, −1}n be the result of
replacing any occurrence of 0 in y by −1. For example, from the definition
of C it follows that if x ∈ C 0 (or x ∈ C 00 ), then x̂ (or −x̂) is a row of H.

E.1.45. Let y be a binary vector of length n, z be the result of changing the

sign of one component of y, and h be any row of H. Then hẑ|hi = hŷ|hi±2.

1.55 Proposition. Let C = CH , where H is a Hadamard matrix of order

n. Assume x ∈ C is the sent vector, that e is the error vector and that
y = x + e is the received vector. Let |e| = s and assume s 6 t. Then there is
a unique row hy of H such that | hŷ|hi | > n/2, and all other rows h0 of H
1.3. Hadamard codes 63

satisfy | hŷ|hi | < n/2. Moreover, x̂ = hy or x̂ = −hy according to whether

hŷ|hi > 0 or hŷ|hi < 0.
Proof: Assume x ∈ C 0 (the case x ∈ C 00 is similar and is left as an exercise).
Then h = x̂ is a row of H and hx̂|hi = hh|hi = n. Since ŷ is the result of
changing the sign of s components of x̂, E.1.45 implies that hŷ|hi = n ± 2r,
with 0 6 r 6 s 6 t, and so hŷ|hi > n ± 2t > n/2. For any other row h0
of H we have that hx̂|h0 i = hh|h0 i = 0 and again by E.1.45 we obtain that
hŷ|h0 i = ±2r, with 0 6 r 6 s 6 t, and hence | hŷ|h0 i | 6 2t < n/2.
The preceding proposition suggests decoding the Hadamard code C =
CH with the algorithm below (for its implementation, see 29 The Hadamard
decoder).
Hadamard decoder
0) Let y be the received vector.
1) Obtain ŷ.
2) Compute c = hŷ|hi for successive rows h of H, and stop as soon as
|c| > n/2, or if there are no further rows left. In the latter case return
a decoder error message.
3) Otherwise, output the result of replacing −1 by 0 in h if c > 0 or in
−h if c < 0.
1.56 Corollary. The Hadamard decoder corrects all error patterns of weight
up to t.
E.1.46 (Paley codes). Let S = Sq be the Paley matrix of order q associated
to Fq , q odd. Let Cq be the binary code whose elements are the rows of the
matrices 12 (S + I + U ) and 12 (−S + I + U ), together with the vectors 0n and
1n . Show that Cq has type (q, 2q + 2, (q − 1)/2) (for examples, see the link
30 Construction of Paley codes; to save space, the example has been written

in columns rather than in rows). Note that for q = 9 we obtain a (9, 20, 4)
code, hence also an (8, 20, 3) code (cf. E.1.4).

Summary

• The definition of Hadamard matrices (for example the matrices H (n) ,

n > 1) and the fact that the order of a Hadamard matrix is divisible by
4 (or is equal to 1 or 2).
• The Paley matrix of a finite field of odd order q and their properties
(Proposition 1.50).
• The Hadamard matrix associated to a finite field of odd order q such
that q + 1 is divisible by 4 (Theorem 1.51).
64 Chapter 1. Block Error-correcting Codes

• Conference matrices. Symmetric and skew-symmetric conference ma-

trices of order n have an associated Hadamard matrix of order n and
2n, respectively (E.1.42).
• To each Hadamard matrix of order n there is associated a code

CH ∼ (n, 2n, n/2).

The codes CH are the Hadamard codes.

• To each finite field of odd order q there is associated a Paley code
Cq ∼ (q, 2q + 2, (q − 1)/2).
• The Hadamard code of the matrix H (m) is equivalnent to the (linear)
Reed–Muller code RM 2 (m) (P.1.21).

Problems
P.1.17. Compare the error-reduction factor of the binary repetition code of
length 5 with the Hadamard code (32, 64, 16).
P.1.18. Prove that the results in this section allow us to construct a Hadamard
matrix of order n for all n 6 100 divisible by 4 except n = 92.
P.1.19. Prove that any two Hadamard matrices of order 12 are equivalent.
P.1.20. Fix a positive integer r and define binary vectors u0 , . . . , ur−1 so that

uk = [b0 (k), ..., br−1 (k)],

where bi (k) is the i-th bit in the binary representation of k. Show that H (r)
coincides with the 2r × 2r matrix (−1)hui |uj i . For the computations related
to this, and examples, see the link 31 Bit-product of integers and Hadamard
matrices.
P.1.21. As seen in P.1.16, the code RM 2 (m) has type (2m , 2m+1 , 2m−1 ).
Prove that this code is equivalent to the Hadamard code corresponding to
the Hadamard matrix H (m) . Thus, in particular, RM 2 (5) is equivalent to the
Mariner code. Hint: If H is the control matrix of Ham2 (m), then the matrix
He obtained from H by first adding the column 0m to its left and then the
row 12m on top is a generating matrix of RM 2 (m).
1.4. Parameter bounds 65

1.4 Parameter bounds

Probably the most basic problem in coding theory is to find the

largest code of a given length and minimum distance.
F. MacWilliams and N.J.A. Sloane, [14], p. 523

Essential points

• The Griesmer bound for linear codes.

• The Plotkin and Elias bounds (for general q-ary codes) and the John-
son bound (for general binary codes).
• The linear programming upper bound of Delsarte and the function
LP(n,d) implementing it (follwing the the presentation in [14]).
• Asymptotic bounds and related computations: the lower bound of
Gilbert–Varshamov and the upper bounds of Singleton, Hamming,
Plotkin, Elias, and McEliece–Rodemich–Rumsey–Welch.

Introduction
The parameters n, k (or M ) and d of a code satisfy a variety of relations.
Aside from trivial relations, such as 0 6 k 6 n and 1 6 d 6 n, we know
the Singleton inequality
d6n−k+1
(Proposition 1.11), the sphere upper bound

M 6 q n /vol q (n, t)

(Theorem 1.14) and the Gilbert lower bound

M > q n /vol q (n, d − 1)

(Theorem 1.17). We also recall that if q is a prime power and

vol q (n − 1, d − 2) < q n−k ,

then there exists a linear code of type [n, k, d0 ] with d0 > d and hence that
A(n, d) > q k (Theorem 1.38). Moreover, it is not hard to see that this bound
is always equal or greater than the Gilbert bound (see P.1.22).
66 Chapter 1. Block Error-correcting Codes

In this section we will study a few other upper bounds that provide a bet-
ter understanding of the function Aq (n, d) and the problems surrounding its
determination. We include many examples. Most of them have been chosen
to illustrate how far the new resources help (or do not) in the determination
of the values on Table 1.1.

Redundancy adds to the cost of transmitting messages, and the

art and science of error-correcting codes is to balance redun-
dancy with efficiency.
From the 2002/08/20 press release on the Fields Medal
awards (L. Laforgue and V. Voevodski) and Nevanlinna Prize
awards (Madhu Sudan). The quotation is from the description
of Madhu Sudan’s contributions to computer science, and in
particular to the theory of error-correcting codes.

The Griesmer bound

Consider a linear code C of type [n, k, d] and a vector z ∈ C such that
|z| = d. Let
S(z) = {i ∈ 1..n | zi 6= 0}
(this set is called the support of z) and

ρz : Fn → Fn−d

the linear map that extracts, from each vector in Fn , the components whose
index is not in S(z). Then we have a linear code ρz (C) ⊆ Fn−d (we will say
that it is the residue of C with respect to z).
If G is a generating matrix of C, then ρz (C) = hρz (G)i, where ρz (G)
denotes the matrix obtained by applying ρz to all the rows of G (we will also
say that ρz (G) is the residue of G with respect to z). Since ρz (z) = 0, it is
clear that dim (ρz (C)) 6 k − 1.
1.57 Lemma. The dimension of ρz (C) is k − 1 and its minimum distance is
at least dd/qe.
Proof: Choose a generating matrix G of C whose first row is z, and let G0 be
the matrix obtained from ρz (G) by omiting the first row (which is ρz (z) =
0). It will suffice to show that the rows of G0 are linearly independent.
To see this, let us assume, to argue by contradiction, that the rows of G0
are linearly dependent. Then there is a non-trivial linear combination x of
the rows of G other than the first such that xi = 0 for i 6∈ S(z) (in other
words, S(x) ⊆ S(z) and hence |x| 6 |z| = d). Since the rows of G are
linearly independent, we have both x 6= 0 and λx 6= z for all λ ∈ F. But
1.4. Parameter bounds 67

the relation x 6= 0 allows us to find λ ∈ F∗ such that zi = λxi for some

i ∈ S(z), and from this it follows that |z − λx| < d, which is a contradiction
because z − λx ∈ C − {0}.
To bound below the minimum distance d0 of ρz (C), we may assume,
after replacing C by a scalarly equivalent code if necessary, that S(z) =
{1, . . . , d} and that zi = 1 for all i ∈ S(z). Then, given a non-zero vec-
tor x0 ∈ ρz (C) of minimum weight d0 , let x ∈ C be any vector such that
ρz (x) = x0 . We can write x = y|x0 , with y ∈ Fd . We claim that we can
choose y in such a way that |y| 6 d−dd/qe. Indeed, let α ∈ F be an element
chosen so that the number s of its ocurrences in y is maximum. With this
condition it is clear that sq > d (which is equivalent to s > dd/qe) and that
x̄ = x − αz ∈ C has the form x̄ = y 0 |x0 with |y 0 | 6 d − s 6 d − dd/qe.
Now we can bound d0 below:

d0 = |x0 | = |x̄| − |y 0 | > d − (d − dd/qe) = dd/qe ,

which is what we wanted.

E.1.47. Let i be a positive integer. Check that
    
1 d d
i−1
= i .
q q q

1.58 Proposition (Griesmer, 1960). If [n, k, d] are the parameters of a lin-

ear code, and we let
k−1  
X d
Gq (k, d) = ,
qi
i=0
then
Gq (k, d) 6 n.
Proof: If we let Nq (k, d) denote the minimum length n among the linear
codes of dimension k > 1 and minimum distance d, it will be sufficient to
show that Gq (k, d) 6 Nq (k, d). Since this relation is true for k = 1, for the
value of both Nq (1, d) and Gq (1, d) is d, we can assume that k > 2.
Suppose, as induction hypothesis, that Gq (k − 1, d) 6 Nq (k − 1, d) for
all d. Let C be a code of type [n, k, d]q with n = Nq (k, d). Let C 0 be the
residue of C with respect to a vector z ∈ C such that |z| = d. We know
that C 0 is a code of type [n − d, k − 1, d0 ]q with d0 > dd/qe (Lemma 1.57).
Therefore

Nq (k, d) − d = n − d > Nq (k − 1, d0 ) > Gq (k − 1, d0 ) > Gq (k − 1, dd/qe).

Taking into account E.1.47, the last term turns out to be Gq (k, d) − d and
from this the stated relation follows.
68 Chapter 1. Block Error-correcting Codes

1.59 Remark. Let us see that the Griesmer bound is an improvement of

the Singleton bound. The term corresponding to i = 0 in the summation
expression of Gq (k, d) in Proposition 1.58 is d and each of the other k − 1
terms is at least 1. Hence Gq (k, n) > d + k − 1 and so G( k, n) 6 n implies
that d + k − 1 6 n, which is equivalent to the Singleton relation.
1.60 Remark. In the proof of Proposition 1.58 we have introduced the func-
tion Nq (k, d), which gives the minimum possible length of a q-ary linear
code of dimension k and minimum distance d, and we have established that

Nq (k, d) > d + Nq (k − 1, dd/qe).

Using this inequality recursively, we have proved that Nq (k, d) > Gq (k, d).
There are two main uses of this inequality. One is that if a code [n, k, d]q
exists, then Gq (d, k) 6 n, and hence Gq (d, k) yields a lower bound for the
length n of codes of dimension k and miminum distance d. In other words,
to search for codes [n, k, d]q , with k and d fixed, the tentative dimension  to
2

start
 with  is n = Gq (k, d). For example, G2 (4, 3) = 3 + d3/2e + 3/2 +
3/23 = 3 + 2 + 1 + 1 = 7 and we know that there is a [7, 4, 3] code, so
N2 (4, 3) = 7, that is, 7 is the minimum length for a binary code of dimension
4 with correcting capacity 1. For more examples, see 1.61.
The other use of the Griesmer inequality is that the maximum k that
satisfies Gq (k, d) 6 n, for fixed n and d, yields an upper bound q k for the
function Bq (n, d) defined as Aq (n, d), but using only linear codes instead of
general codes. Note that Aq (n, d) > Bq (n, d).
We refer to 32 Griesmer bound for implementations and some examples.
The function griesmer(k,d,q) computes Gq (k, d), which we will call Gries-
mer function, and ub_griesmer(n,d,q) computes the upper bound on Bq (n, d)
explained above.
1.61 Examples. According to the link Griesmer bound, and Remark 1.60,
we have B2 (8, 3) 6 32, B2 (12, 5) 6 32, B2 (13, 5) 6 64, B2 (16, 6) 6 256.
As we will see below, none of these bounds is sharp.
The first bound is worse than the Hamming bound (A2 (8, 3) 6 28), and
in fact we will see later in this section, using the linear programming bound,
that A2 (8, 3) = 20 (which implies, by the way, that B2 (8, 3) = 16)).
The bound B2 (13, 5) 6 64 is not sharp, because if there were a [13, 6, 5]
code, then taking residue with respect to a weight 5 code vector would lead
to a linear code [8, 5, d] with d > 3 (as dd/2e = 3) and d 6 4 (by Singleton),
but both [8, 5, 4] and [8, 5, 3] contradict the sphere bound.
Let us see now that a (16, 256, 6) code cannot be linear. Indeed, if we had
a linear code [16, 8, 6], then there would also exist a [15, 8, 5] code. Selecting
now from this latter code all words that end with 00, we would be able to
1.4. Parameter bounds 69

construct a code [13, 6, 5] that we have shown not to exist in the previous
paragraph.
The fact that the bound B2 (12, 5) 6 32 is not sharp cannot be settled
with the residue operation, because it would lead to a [7, 4, 3] code, which
is equivalent to the linear Ham(3). The known arguments are much more
involved and we omit them (the interested reader may consult the references
indicated in [19], p. 124, or in [29], p. 52).
The last expresion in the same link says that B3 (14, 9) 6 4, but it is not
hard to see that this is not sharp either (cf. [29], p. 53, or Problem P.1.23).
In the listing we also have that G2 (5, 7) = 15, G2 (12, 7) = 22 and
G(6, 5, 3) = 11. The techniques developed in Chapter 3 will allow us to
construct codes [15, 5, 7] (a suitable BCH code) and [11, 6, 5]3 (the ternary
Golay code). This implies that N2 (5, 7) = 15 and N3 (6, 5) = 11. On the
other hand, there is no [22, 12, 7] code, because these parameters contradict
the sphere bound, but in Chapter 3 we will construct a [23, 12, 7] code (the
binary Golay code) and therefore N2 (12, 7) = 23.
1.62 Remark. If we select all words of a code C whose i-th coordinate is
a given symbol λ, and then delete this common i-th coordinate λ from the
selected words, we get a code C 0 ∼ (n − 1, M 0 , d), with M 0 6 M . We
say that this C 0 is a shortening of C (or the λ-shortening of C in the i-th
coordinate). If C is linear, a 0-shortening is also linear, but a λ-shortening
of a linear code is in general not linear for λ 6= 0. In the previous examples
we have used this operation twice in the argument to rule out the existence
of linear codes [16, 8, 6].

The Plotkin bound

We will write β to denote the quotient (q − 1)/q = 1 − q −1 . Although
the proof of the proposition below can be found in most of the books on
error correcting codes (see, for example, [29] (5.2.4) or [24], Th. 4.5.6),
we include it because it illustrates an interesting method that is relevant for
subsequent exercises, examples and computations.
1.63 Proposition (Plotkin, 1951). For any code C of type (n, M, d), we have
βnM
d6 ,
M −1
or, equivalently,
M (d − βn) 6 d.
Proof: The basic idea is that the average of the distances between pairs of
distinct elements of C is at least d.
70 Chapter 1. Block Error-correcting Codes

In order to calculate this average, arrange the elements of C in an M × n

matrix. For a given column c of this matrix, let mλ denote the number of
times that λ ∈ F appears in that column, and note that
X
mλ = M.
λ∈F

The contribution of c to the sum of the distances between pairs of distinct

elements of C is
X X
Sc = mλ (M − mλ ) = M 2 − m2λ .
λ∈F λ∈F

But
X X
M2 = ( mλ )2 6 q m2λ ,
λ∈F λ∈F

by the Cauchy–Schwartz inequality, and so Sc 6 βM 2 . If we let S denote

the sum of the Sc , where c runs through all columns of the matrix C, then
S 6 nβM 2 . Now it is clear that M (M − 1)d 6 S and so

M (M − 1)d 6 nβM 2 ,

and this immediately yields the stated inequality.

1.64 Corollary (Plotkin upper bound). If d > βn, then

 
d
Aq (n, d) 6 .
d − βn

E.1.48. Prove that the inequality d 6 βnM/(M − 1) is an equality if and

only if the code C is equidistant and the numbers mλ are the same for all λ.

1.65 Example. For the dual Hamming codes the Plotkin inequality is an
equality. Indeed, if C = Ham∨q (r), we know that C 0 has type [n, r, d], with
d = q r−1 and n = (q r − 1)/(q − 1). Since βn = q r−1 − q −1 < q r−1 = d,
Plotkin’s upper bound can be applied. As d/(d − βn) = q r , which is the
cardinal of C,
q r − 1 r−1
Aq ( , q ) = qr .
q−1
This formula explains the entries A2 (6, 3) = A2 (7, 4) = 8 and A2 (14, 7) =
A2 (15, 8) = 16 on the Table 1.1. Another example: with q = 3 and r = 3
we find A3 (13, 9) = 27.
1.4. Parameter bounds 71

E.1.49 (Improved Plotkin bound). For binary codes, β = 1/2, and the
Plotkin upper bound, which is valid if 2d > n, says that

A2 (n, d) 6 b2d/(2d − n)c .

But this can be improved to

A2 (n, d) 6 2 bd/(2d − n)c .

Moreover, if d is odd and n < 2d + 1, then A2 (n, d) = A2 (n + 1, d + 1) and

n + 1 < 2(d + 1), so that

A2 (n, d) 6 2 b(d + 1)/(2d + 1 − n)c .

Hint: With the notations of the proof of Proposition 1.63, we have Sc =

2m0 (M − m0 ) and so Sc 6 M 2 /2 if M is even and Sc 6 (M 2 − 1)/2 if
M is odd; it follows that M (M − 1)d 6 S 6 nM 2 /2 if M is even and
M (M − 1)d 6 S 6 n(M 2 − 1)/2 if M is odd.
E.1.50. Let C be a code of type (n, M, d)q . Prove that there is a code of
type (n − 1, M 0 , d)q with M 0 > M/q. If C is optimal, we deduce that
Aq (n, d) 6 qAq (n − 1, d) Hint: This can be achieved with the operation of
shortening C: choose a symbol λ ∈ F whose occurrence in the last position
is maximum, and let C 0 = {x ∈ Fn−1 | (x|λ) ∈ C}.
1.66 Remark. If C is a code of type (n, M, d) and d 6 βn, then we can-
not apply the Plotkin bound as it is. But we can use the exercise E.1.50 to
find a code C 0 of type (n − m, M 0 , d) such that d > β(n − m) and with
M 0 > M/q m , whereupon we can bound M by q m M 0 and M 0 by the Plotkin
bound corresponding to (n − m, M 0 , d). Note that d > β(n − m) is equiv-
alent to m > n − d/β = (nβ − d)/β. These ideas, together with those of
the previous exercise in the binary case, are used to optimize the function
ub_plotkin defined in 33 Plotkin upper bound.
E.1.51. Show that for d even, A2 (2d, d) 6 4d, and for d odd A2 (2d+1, d) 6
4d + 4.
1.67 Remark. The second expression in the link Plotkin upper bound shows
that A2 (32, 16) 6 64. But we know that there is a code (32,64,16), and hence
A2 (32, 16) = 64. In other words, the Mariner code RM (5) is optimal.
The same listing shows that the Plotkin bound gives the correct values
4, 8, 16 (for d = 3), 2, 2, 2, 4, 6, 12, 24 (for d = 5) and 2, 2, 2, 2, 4, 4, 8, 16, 32
(for d = 7) on the Table 1.1. Note that it gives good results when d is large
with respect to n. When d is small with respect to n, the sphere bound is bet-
ter. For example, the Plotkin bound gives A2 (8, 3) 6 32, while the sphere
bound is A2 (8, 3) 6 28.
72 Chapter 1. Block Error-correcting Codes

Elias upper bound

From the proof of the Plotkin bound it is clear that we cannot hope that it
is sharp when the distances between pairs of distinct elements of the code
are not all equal (cf. E.1.48). The idea behind the Elias bound (also called
Bassalygo–Elias bound) is to take into account, in some way, the distribution
of such distances in order to get a better upper estimate.
1.68 Proposition (Elias, 1954, Bassalygo, 1965). Assume that q, n, d and r
are positive integers with q > 2 and r 6 βn. Suppose, moreover, that
r2 − 2βnr + βnd > 0. Then
βnd qn
Aq (n, d) 6 · .
r2 − 2βnr + βnd vol q (n, r)
Proof: It can be found in many reference books, as for example [29] (5.2.11),
or [24], Th. 4.5.24, and we omit it.
(see 34 Elias upper bound)
1.69 Remark. The methods used by Elias and Bassalygo are a refinement
of those used in the proof of the Plotkin bound, but are a little more involved,
and the result improves some of the previous bounds only for large values
on n.
For example, for all values of n and d included in Table 1.1, the Elias
bound is strictly greater than the corresponding value in the table, and the
difference is often quite large. Thus the Elias bound for A2 (13, 5) is 162,
when the true value of this function is 64 (this will be establshed with the
linear programming method later in this section).
The first value of n for which the Elias bound is better than the Hamming,
Plotkin and Johnson bounds (the Johnson bound is studied below) is n = 39,
and in this case only for d = 15. For n = 50 (n = 100), the Elias bound is
better than the same three bounds for d in the range 15..20 (21..46). For the
precise asymptotic behaviour of this bound, see E.1.58.

Johnson’s bound
Let us just mention another approach, for binary codes, that takes into ac-
count the distribution of distances. This is done by means of the auxiliary
function A(n, d, w) that is defined as the greatest cardinal M of a binary
code (n, M ) with the condition that its minimum distance is > d and all its
vectors have weight w (we will say that such a code has type (n, M, d, w)).
1.70 Remark. Since the Hamming distance between two words of the same
weight w is even, and not higher than 2w, we have A(n, 2h − 1, w) =
1.4. Parameter bounds 73

A(n, 2h, w) and, if w < h, then A(n, 2h, w) = 1. So we may restrict

the study of A(n, d, w) to even d, say d = 2h, and w > h. Now we have
A(n, 2h, w) = A(n, 2h, n − w) (taking complements of the words of an
(n, M, d, w) code gives an (n, M, d, n − w) code and viceversa).
E.1.52. Show that A(n, 2h, h) = bn/hc.
1.71 Proposition (Johnson, 1962). The function A(n, d, w) satisfies the re-
lation jn k
A(n, 2h, w) 6 A(n − 1, 2h, w − 1) .
w
Hence, by induction,
     
n n−1 n−w+h
A(n, 2h, w) 6 ··· ··· .
w w−1 h
Proof: Let C be a code (n, M, 2h, w) with M = A(n, 2h, w). Let C 0 =
{x0 ∈ Zn−1
2 | (1|x0 ) ∈ C} and set M 0 = |C 0 |. Then C 0 is an (n−1, M 0 , 2h, w−
1) code, and hence M 0 6 A(n − 1, 2h, w − 1). Arguing similarly with all
other components, we see that there are at most nA(n − 1, 2h, w − 1) ones in
all words of C, and thus wM 6 nA(n − 1, 2h, w − 1), which is equivalent
to the claimed bound.
1.72 Theorem (Johnson, 1962). For d = 2t + 1,
2n
A2 (n, d) 6     .
n d
t   − A(n, d, d)
X n t+1 t
+  
i n
i=0
t+1
Note that this would be the binary sphere bound if the fraction in the denom-
inator were omitted.
Proof: See, for example, [29] (5.2.15) or [24], Th. 4.5.14).
The bounds in Proposition 1.71 and Theorem 1.72 are computed in the
link 35 Johnson upper bound with the function ub_johnson, the first bound
with the arguments (n,d,w) and the second with the arguments (n,d). In the
Johnson bound the generally unknown term A(n, d, d) is replaced by its up-
per bound given in Proposition 1.71 (notice that this replacement does not
decrease the right hand side of the Johnson bound). The case where d is
even, say d = 2t + 2, can be reduced to the odd d case with the equality
A2 (n, 2t + 2) = A2 (n − 1, 2t + 1).
In the examples included in Johnson upper bound we can see that only
a few values on the Table 1.1 are given correctly by the Johnson bound. But
in fact the overall deviations are not very large and for a fixed d they become
relatively small when n increases.
74 Chapter 1. Block Error-correcting Codes

Linear programming bound

The best bounds have been obtained taking into account, for an (n, M, d)
code C, the sequence A0 , . . . , An of non-negative integers defined as

Ai = | {(x, y) ∈ C × C | d(x, y) = i} |.

We will set ai = Ai /M and we will say that a0 , . . . , an is the distance

distribution, or inner distribution, of C. We have:

A0 = M, a0 = 1; [1.3]
Ai = ai = 0 for i = 1, . . . , d − 1; [1.4]
2
A0 + Ad + · · · + An = M , a0 + ad + · · · + an = M. [1.5]

1.73 Remark. For some authors the distance distribution of a code is the
sequence A0 , . . . , An .
E.1.53. Given x ∈ C, let Ai (x) denote the number of words x0 ∈ C such that
hd (x, x0 ) = i. Check that Ai =
P
x∈C Ai (x). Show that Ai (x) 6 A(n, d, i)
and that ai 6 A(n, d, i).
E.1.54. Show that if C is linear then the distance distribution of C coincides
with the weight enumerator.

The Krawtchouk polynomials

If C is a linear code with weight enumerator a0 , . . . , an , and b0 , . . . , bn is
the weight enumerator of C ⊥ , then we know (Theorem 7) that
n
X n
X
bj z j = ai (1 − z)i (1 + (q − 1)z)n−i .
j=0 i=0

The coefficient of z j in (1 − z)i (1 + (q − 1)z)n−i is

j   
X i s n−i
Kj (i) = (−1) (q − 1)j−s
s j−s
s=0

and hence
n
X
bj = ai Kj (i) [1.6]
i=0
for j = 0, . . . , n. Note that
j   
X x n−x
s
Kj (x) = (−1) (q − 1)j−s [1.7]
s j−s
s=0
1.4. Parameter bounds 75

is a polynomial in x of degree j, which will be denoted Kj (x, n, q) if we

need to make the dependence on n and q explicit.
Since Kj (0) = nj and ai = 0 for i = 1, . . . , d − 1, the formula [1.6]

can be rewritten as   X n
n
bj = + ai Kj (i). [1.8]
j
i=d
36 Krawtchouk polynomials
The next proposition yields another interpretation of the expressions Kj (i).
1.74 Proposition (Delsarte’s lemma). Let ω ∈ C be a primitive q-th root of
unity and T = Zq . For i = 0, . . . , q, let Wi be the subset of T q whose
elements are the vectors of weight i. Then, for any given x ∈ Wi ,
X
ω hx|yi = Kj (i).
y∈Wj

Proof: Passing to an equivalent code if necessary, we may assume that xl =

0 for l = i + 1, . . . , n. Let ν = {ν1 , . . . , νj } be the support of y, with
ν1 < · · · < νj , and let s in 0..j be the greatest subindex such that νs 6 i
(with the convention s = 0 if i < ν1 ). If we restrict the sum in the statement
to the set Wj (ν) formed with the vectors of weight j whose support is ν, we
have (with T 0 = T − {0})

X X X
ω hx|yi = ··· ω xν1 yν1 +···+xνj yνj
y∈Wj (ν) yν1 ∈T 0 yνj ∈T 0
X X
= (q − 1)j−s ··· ω xν1 yν1 +···+xνs yνs
yν 1 ∈T 0 yν s ∈T 0
s
Y X
= (q − 1)j−s ω xν ` y
`=1 y∈T 0

= (−1)s (q − 1) j−s
.

For the last equality note that the map χa : T → C such that y 7→ ω ay ,
where a ∈ T Pis fixed, is a characterPof the additive group of T , and hence,
for a 6= 0, y∈T χa (y) = 0 and y∈T 0 χa (y) = −χa (0) = −1 (cf. the
beginning

of
the proof of Theorem 7). Now the result follows, because there
are si n−i
j−s ways to choose ν.

Delsarte’s theorem

P notice that if a0 , . . . , an is the weight distribution

With the notations above,
of a linear code, then ni=0 ai Kj (i) > 0 (since bj > 0). The surprising fact
76 Chapter 1. Block Error-correcting Codes

is that if C is an unrestricted code and a0 , . . . , an is its inner distribution,

then the inequality is still true:

1.75 Theorem (Delsarte, 1973). Aq (n, d) is bounded above by the maxi-

mum of
1 + ad + · · · + an

subjet to the constraints

ai > 0 (d 6 i 6 n)

and
  Xn
n
+ ai Kj (i) > 0 for j ∈ {0, 1, . . . , n},
j
i=d

where Kj = Kj (x, n, q), j = 0, . . . , n, are the Krawtchouk polynomials.

Proof: We only have to prove the inequalities in the last display. Let Di ⊆
C × C be the set of pairs (x, y) such that hd (x, y) = i. From the definition
of the ai , and using Delsarte’s lemma, we see that
n
X n
X X X
M ai Kj (i) = ω hx−y|zi
i=0 i=0 (x,y)∈Di z∈Wj
X X
= | ω hx|zi |2 ,
z∈Wj x∈C

which is clearly non-negative.

1.76 Remark. In the case of binary codes and d even, we may assume that
ai = 0 for odd i. Indeed, from a code (n, M, d) with d even we can get a code
(n −1, M, d −1) (as in E.1.12) and the parity extension of the latter is a code
(n, M, d) which does not contain vectors of odd weight. The link 37 Linear
programming bound contains an implementation of the linear programming
bound for the binary case, basically following [14], Ch. 17, §4. Notice that in
the case the constrained maximum is odd, then the function LP goes through
a second linear programming computation that decreases the linear terms
n


j of the relations. For this clever optimization (due to Best, Brouwer,
MacWilliams, Odlyzko and Sloane, 1977), see [14], p. 541.
(see the link 37 Linear programming bound).

1.77 Remark. The expression a$$i in the link Linear programming upper
bound constructs an identifier by appending to the identifier a the integer i
regarded as a character string. For example, a$$3 is the identifier a3.
1.4. Parameter bounds 77

1.78 Examples. So we see that A2 (13, 5) = A2 (14, 6) 6 64. Since there

is a code Y such that |Y | = 64, as we will see in Chapter 3, it follows that
A2 (13, 5) = A2 (14, 6) = 64.
The third and fourth expressions in the link Linear programming bound
show that we can pass a relation list as a third argument to LP. Such lists are
meant to include any further knowledge we may gain on the numbers ai , for
particular values of n and d, beyond the generic constraints introduced in
Theorem 1.75.
In the case A2 (12, 5) = A2 (13, 6), it can be easily seen that a12 6 1,
a10 6 4, with a10 = 0 when a12 = 1, and so we have an additional relation
a12 + 4a10 6 4. With this we find that the linear programming bound gives
A2 (12, 5) 6 32. Since we will construct a code (12, 32, 5) in Chapter 3 (the
Nadler code), it turns out that A2 (12, 5) = 32.
Finally we find that A2 (8, 3) = A2 (9, 4) 6 20 using the extra relations
a8 6 1 and a6 + 4a8 6 12. Here a8 6 A(9, 4, 8) = A(9, 4, 1) = 1 (see
Remark 1.70 and E.1.53), a6 6 A(9, 4, 6) = A(9, 4, 3) 6 3A(8, 4, 2) 6 12,
and if a8 = 1 then it is easy to see that  a6 6 A(8,  3,  5), so that a6 6
A(8, 3, 5) = A(8, 4, 5) = A(8, 4, 3) 6 38 A(7, 4, 2) 6 83 72 = 8.
 

Since we know that there are codes (8, 20, 3) (Example 1.4, or E.1.46),
we conclude that A2 (8, 3) = 20.
The linear programming bound also gives, without any additional rela-
tion, the values 128 and 256 (for d = 5) and 32 (for d = 7) on Table 1.1.

Asymptotic bounds

Let us consider an example first. By the Singleton bound we have k 6

n − d + 1. On dividing by n, we get

k d 1
R= 61− + .
n n n
d
If we now keep δ = fixed and let n go to infinity, then we see that α(δ) 6
n
1 − δ, where α(δ) = lim sup R is the asymptotic rate corresponding to δ.
Thus we see that the Singleton bound gives rise to the bound α(δ) 6 1 − δ
of the asymptotic rate, and this inequality is called the asymptotic Singleton
bound.
In general we may define the asymptotic rate α(δ), 0 6 δ 6 1, as
lim supn→∞ logq Aq (n, bδnc)/n and then there will be a bound of α(δ),
given by some function α0 (δ), corresponding to each of the known bounds
of Aq (n, d). These functions α0 (δ) are called asymptotic bounds. For exam-
ple, α0 (δ) = 1 − δ in the case of the Singleton bound.
78 Chapter 1. Block Error-correcting Codes

Below we explain the more basic asymptotic bounds (for the correspond-
ing graphs, see figure 1.2). We also provide details of how to compute them.
We will need the q-ary entropy function Hq (x), which is defined as fol-
lows (0 6 x 6 1):

Hq (x) = x logq (q − 1) − x logq (x) − (1 − x) logq (1 − x).

The importance of this function in this context stems from the fact that for
0 6 δ 6 β, β = (q − 1)/q, we have

lim n−1 logq (vol q (n, bδnc)) = Hq (δ) [1.9]

n→∞

(see, for example, [29] (5.1.6), or [24], Cor. A.3.11). It is immediate to

check that Hq (x) is strictly increasing and Hq (x) > x/β for 0 6 x 6 β,
with equality if and only if x = 0 or x = β.

E.1.55 (Gilbert asymptotic bound). Use the formula [1.9] and the Gilbert
bound (Theorem 1.17) to prove that

α(δ) > 1 − Hq (δ),

for 0 6 δ 6 β.

1.79 Remark. If 0 6 δ 6 β, the Gilbert asymptotic bound shows that there

exists a sequence of codes [nj , kj , dj ], j = 1, 2, ..., that has the following
property: given ε > 0, there exists a positive integer jε such that

dj kj
> δ, > 1 − Hq (δ) − ε
nj nj

for all j > jε . Any family of codes with this property is said to meet the
Gilbert–Varshamov bound. The family is said to be asymptotically good if it
satisfies the following weaker property: there exist positive real numbers R
and δ such that kj /nj > R and dj /nj > δ for all j. A family which is not
asymptotically good is said to be asymptotically bad, and in this case either
kj /nj or dj /nj approaches 0 when j → ∞.
Long ago it was conjectured that α(δ) would coincide with 1−Hq (δ), but
this turned out to be incorrect. Indeed, in 1982 Tsfasman, Vladut and Zink
proved, using modern methods of algebraic geometry, that the bound can be
improved for q > 49. For lower values of q, however, and in particular for
binary codes, the Gilbert bound remains the best asymptotic lower bound.
1.4. Parameter bounds 79

Asymptotic upper bounds

E.1.56 (Hamming asymptotic bound). Use the formula [1.9] and the sphere
upper bound (Theorem 1.14) to show that

α(δ) 6 1 − Hq (δ/2),

for 0 6 δ 6 1.
E.1.57 (Plotkin asymptotic bound). Show that the Plotkin bound (Proposi-
tion 1.63) implies that

α(δ) 6 1 − δ/β if 0 6 δ 6 β
α(δ) = 0 if β 6 δ 6 1.

So in what follows we may restrict ourselves to the interval 0 6 δ 6 β.

E.1.58 (Elias asymptotic bound). Use the formula [1.9] and the Elias bound
(Proposition 1.68) to prove that
p
α(δ) 6 1 − Hq (β − β(β − δ)) if 0 6 δ < β
α(δ) = 0 if β 6 δ 6 1.

Note that the second part is known from the Plotkin asymptotic bound.

McEliece et al. asymptotic bound

This result was obtained in 1977 by McEliece, Rodemich, Rumsey and
Welsh (MRRW) with a delicate analysis of the asymptotic behaviour of the
linear programming bound for binary codes and it remains the best of the
known asymptotic upper bounds for such codes (cf. [7], chapter 9). The
result is the following:

α(δ) 6 min (1 + g(u2 ) − g(u2 + 2δu + 2δ)),

06u61−2δ

where g(x) = H2 ((1 − (1 − x)1/2 )/2).

Van Lint asymptotic bound

The authors of the previous bound also showed that for 0.273 < δ 6 0.5
the minimum is attained at u = 1 − 2δ, in which case the bound takes the
following form:

α(δ) 6 H2 (1/2 − δ 1/2 (1 − δ)1/2 ).

This bound can be considered in the interval 0 6 δ 6 0.273 as well, but it is

slightly above the MRRW bound in this range, and near 0 it even becomes
80 Chapter 1. Block Error-correcting Codes

worse than the Hamming bound. In any case, this bound was established
directly by van Lint using fairly elementary methods of linear programming
(see [29] (5.3.6)).
For a further discussion on “perspectives on asymptotics”, the reader can
consult Section 4, Lecture 9, of [26].
(see the link 38 Computation of the asymptotic bounds).

1 S=Singleton
H=Hamming
P=Plotkin
E=Elias
L=van Lint
L M=McEliece
G=Gilbert

E
H
P
G M

0 0.5

Figure 1.2: Asymptotic bounds

The results . . . somehow bound the possible values of param-

eters. Still the problem of actually finding out what is possible
and what is not is very difficult
Tsfasman–Vladut, [28], p. 35

Summary
• Griesmer bound: if [n, k, d] are the parameters of a linear code, then
k−1  
X d
6 n.
qi
i=0

This gives an upper bound for Bq (n, d), the highest cardinal q k for a
linear code [n, k, d]q .
1.4. Parameter bounds 81

βnM
• Plotkin bound: for any code C of type (n, M, d), d 6 , which
M −1
to M (d −βn) 6 d. As a consequence, if d > βn, then
is equivalent 
d
Aq (n, d) 6 . For binary codes this can be improved to
d − βn
A2 (n, d) 6 2 bd/(2d − n)c.
• Computations and examples related to the Elias, Johnson and linear
programming upper bounds.
• Computations related to the asymptotic bounds.

Problems
P.1.22. Let C ⊆ Fnq be a linear code [n, k, d] and assume k is maximal (for
n and d fixed). Show that |C| > q n /vol q (n, d − 1), which proves that the
Gilbert lower bound can always be achieved with linear codes when q is a
primer power. Show also that the Gilbert–Varshamov lower bound is never
worse than the Gilbert bound. Hint: If it were |C| < q n /vol q (n, d − 1), then
there would exist y ∈ Fnq such that hd (y, x) > d for all x ∈ C, and the linear
code C + hyi would have type [n, k + 1, d].
P.1.23. Show that there does not exist a binary linear code [14, 4, 5]3 (34 =
81 is the value of the Griesmer bound for n = 14 and d = 5). Hint: Forming
the residue with respect to a word of weight 9, and using the Singleton bound,
we would have a [5, 3, 3]3 code, and this cannot exist as can be easily seen
by studying a generating matrix of the form I3 |P , where P is a ternary 3 × 2
matrix.
P.1.24 (Johnson, 1962). Prove that
 
hn
A(n, 2h, w) 6 ,
hn − w(n − w)
provided hn > w(n − w). Hint: First notice that if x, y ∈ Zn2 satisfy
|x| = |y| = w and hd (x, y) > 2h then |x·y| 6 w−h; next, given a code C ∼
(n, M, 2h, w) with M = A(n, 2h, w), bound above by (w − h)M (M − 1)
the sum S of all |x · x0 | for x, x0 ∈ C, x 6= x0 ; finally P
note that if mi is the
number of 1s in position i for all words of C, then S = ni=1 m2i − wM and
S > wM (wM/n − 1).
P.1.25 (The Best code, 1978). We know that A2 (8, 3) = 20, hence A2 (9, 3) 6
2A2 (8, 3) = 40. In what follows we will construct a code (10,
 40, 4).Con-
0 1 1
sider the matrix G = M |M , where M = I3 |RT and R = . Let
1 1 0
82 Chapter 1. Block Error-correcting Codes

C 0 = hGi∪{10000 00100}. If we let σ = (1, 2, 3, 4, 5)(6, 7, 8, 9, 10) ∈ S10 ,

4
let Ci = σ i (C 0 ), i = 0, 1, 2, 3, 4, and set C =
S
Ci . Show that C has type
i=0
(10, 40, 4).
P.1.26. Write a function that returns the λ-shortening C 0 of a code C with
respect to a position. If C is given as a list, C 0 should be given as a list. If C
is linear with control matrix H (generating matrix G), C 0 should be given as
a list in the case λ 6= 0 and by a generating matrix if λ = 0.
P.1.27. Find the linear programming bounds of A2 (n, 3) for n = 9, 10, 11
and compare the results with the corresponding values in Table 1.1.

E=Elias
M=McEliece
G=Gilbert

G M

0 0.5

Figure 1.3: Asymptotic bounds: MBBW and Elias

1.4. Parameter bounds 83

L=van Lint
L M=McEliece
G=Gilbert

G M

0 0.5

Figure 1.4: Asymptotic bounds: MBBW and van Lint

84 Chapter 2. Finite Fields

2 Finite Fields

During the last two decades more and more abstract algebraic
tools such as the theory of finite fields and the theory of poly-
nomials over finite fields have influenced coding.
R. Lidl and H. Niederreiter, [12], p. 305.

This chapter is devoted to the presentation of some of the basic ideas and re-
sults of the theory of finite fields that are used in the theory of error-correcting
codes. It is a self-contained exposition, up to a few elementary ideas on rings
and polynomials (for the convenience of the reader, the latter are summarized
below). On the computational side, we include a good deal of details and ex-
amples of how finite fields and related objects can be constructed and used.

Notations and conventions

A ring is an abelian group (A, +) endowed with a product A × A → A,
(x, y) 7→ x · y, that is associative, distributive with respect to the sum on
both sides, and with a unit element 1A which we always assume to be dif-
ferent from the zero element 0A of (A, +). If x · y = y · x for all x, y ∈ A
we say that the ring is commutative. A field is a commutative ring for which
all nonzero elements have a multiplicative inverse. Examples: Z (the ring of
integers); Q, R, C (the fields of rational, real and complex numbers); if A is
a commutative ring, the polynomials in one variable with coefficients in A
form a commutative ring, denoted A[X], with the usual addition and multi-
plication of polynomials, and the square matrices of order n with coefficients
in A form a ring, denoted Mn (A), with the usual addition and multiplication
of matrices, and which is non-commutative for n > 1.
An additive subgroup B of a ring A is said to be a subring if it is closed
with respect to the product and 1A ∈ B. If A is a field, a subring B is said
to be a subfield if b−1 ∈ B for any nonzero element b of B. For example,
Z is a subring of Q; Q is a subfield of R; if A is a commutative ring, A is
 85

a subring of the polynomial ring A[X]; if B is a subring of a commutative

ring A, then B[X] is a subring of A[X] and Mn (B) is a subring of Mn (A).
An additive subgroup I of a commutative ring A is said to be an ideal
if a · x ∈ I for all a ∈ A and x ∈ I. For example, if a ∈ A, then the
set (a) = {b · a | b ∈ A} is an ideal of A, and it is called the principal ideal
generated by a. In general there are ideals that are not principal, but there are
rings (called principal rings) in which any ideal is principal, as in the case of
the ring of integers Z. If I and J are ideals of A, then I ∩ J is an ideal of A.
The set I + J of the sums x + y formed with x ∈ I and y ∈ J is also an ideal
of A. For example, if m and n are integers, then (m) ∩ (n) = (l), where
l = lcm(m, n), and (m) + (n) = (d), where d = gcd (m, n). A field K only
has two ideals, {0} and K, and conversely, any ring with this property is a
field.
Let A and A0 be rings and f : A → A0 a group homomorphism. We say
that f is a ring homomorphism if f (x · y) = f (x) · f (y) for all x, y ∈ A and
f (1A ) = 1A0 . For example, if A is a commutative ring and I is an ideal of A,
I 6= A, then the quotient group A/I has a unique ring structure such that the
natural quotient map A → A/I is a homomorphism. The kernel ker (f ) of a
ring homomorphism f : A → A0 is defined as {a ∈ A | f (a) = 0A0 } and it is
an ideal of A. One of the fundamental results on ring homomorphisms is that
if I is an ideal of A and I ⊆ ker (f ), then there is a unique homomorphism
f¯ : A/I → A0 such that f¯(π(a)) = f (a) for all a ∈ A, where π : A → A/I
is the quotient homomorphism. The homomorphism f¯ is injective if and only
if I = ker (f ) and in this case, therefore, f¯ induces an isomorphism between
A/ker (f ) and f (A), the image of A by f . Note that any homomorphism of
a field K into a ring must be injective, for the kernel of this homomorphism
is an ideal of K that does not conatain 1K and hence it must be the ideal {0}.
If f : A → A0 is a ring homomorphism, and B is a subring of both A
and A0 , then we say that f is a B-homomorphism if f (b) = b for all b ∈ B.
We also say that A and A0 are extensions of B, and write A/B and A0 /B
to denote this fact, and a B-homomorphism from A to A0 is also called a
homomorphism of the extension A/B to the extension A0 /B. The homo-
morphisms A/B → A/B that are bijective are said to be automorphisms
of the extension A/B. The set of automorphisms of an extension A/B is a
group with the composition of maps.
If we copy the definition of K-vector space using a commutative ring A
instead of a field K, we get the notion of A-module. For example, just as
K[X] is a K-vector space, A[X] is and A-module. An A-module M is free
if it has a basis, that is, if there exists a subset of M such that any element
of M can be expressed in a unique way as a linear combination of elements
of that subset with coefficients of A. For example, A[X] is a free A-module,
because {1, X, X 2 , ...} is a basis.
86 Chapter 2. Finite Fields

2.1 Zn and Fp

The real world is full of nasty numbers like 0.79134989..., while

the world of computers and digital communication deals with
nice numbers like 0 and 1.
Conway–Sloane, [7], p. 56.

Essential points

• Construction of the ring Zn and computations with its ring operations.

• Zp is a field if and only if p is prime (Zp is also denoted Fp ).
• The group Z∗n of invertible elements of Zn and Euler’s function ϕ(n),
which gives the cardinal of Z∗n .

Let n be a positive integer. Let Zn denote Z/(n), the ring of integers modulo
n. The elements of this ring are usually represented by the integers a such
that 0 6 a 6 n − 1. In this case the natural quotient map Z → Zn is given
by x 7→ [x]n , where [x]n is the remainder of the Euclidean division of x by
n. This remainder is also denoted x mod n and it is called the reduction of
x modulo n. The equality [x]n = [y]n is also written x ≡ y (mod n) and it
is equivalent to say that y − x is divisible by n. The operations of sum and
product in Zn are the ordinary operations of sum and product of integers, but
reduced modulo n.
For example, if n = 11 we have 3+7 ≡ 10, 3·7 ≡ 10, 52 ≡ 3 (mod 11).
See 39 Examples of ring and field computations. For the notations see A.6
and A.5 (p. 181). The function geometric_series(a,r) returns the vector
[1, a, . . . , ar−1 ].
The decision of whether an integer x does or does not have an inverse
modulo n, and its computation in case such an inverse exists, can be done
efficiently with a suitable variation of the Euclidean division algorithm. This
algorithm is implemented in the WIRIS function bezout(m,n), which returns,
given integers m and n, a vector [d, a, b] of integers such that d = gcd (m, n)
and d = am + bn. In case d = 1, a is the inverse of m (mod n), and
this integer is the value returned by inverse(m,n). The function inverse(m),
where m ∈ Zn , returns the same value, but considered as an element of Zn ,
rather than as an integer. See 40 More examples of ring computations. The
function invertible?(a) returns true or false according to whether a is or is not
2.1. Zn and Fp 87

an invertible element (in the ring to which it belongs). Note that if we ask
for 1/a and a is not invertible, than the expression is returned unevaluated
(as 1/(7:A) is the link).
The invertible elements of Zn form a group, Z∗n . Since an [x]n ∈ Zn is
invertible if and only if gcd (x, n) = 1, the cardinal of Z∗n is given by Euler’s
function ϕ(n), as this function counts, by definition, the number of integers
x in the range 1..(n − 1) such that gcd (x, n) = 1. In particular we see that
Zn is a field if and only if n is prime. For example, in Z10 the invertible
elements are {1, 3, 7, 9} (hence ϕ(10) = 4) and 3−1 ≡ 7 (mod 10), 7−1 ≡
3 (mod 10), 9−1 ≡ 9 (mod 10). On the other hand, in Z11 all non-zero
elements are invertible (hence ϕ(11) = 10) and Z11 is a field.
If p > 0 is a prime integer, the field Zp is also denoted Fp .
2.1 Proposition. The value of ϕ(n) is determined by the following rules:
1) If gcd (n1 , n2 ) = 1, then ϕ(n1 n2 ) = ϕ(n1 )ϕ(n2 ).
2) If p is a prime number and r a positive integer, then

ϕ(pr ) = pr−1 (p − 1).

Proof: The map π : Z → Zn1 × Zn2 such that k 7→ ([k]n1 , [k]n2 ) is a ring
homomorphism and its kernel is (n1 )∩(n2 ) = (m), where m = lcm(n1 , n2 ).
Since n1 and n2 are coprime, we have m = n1 n2 and hence there exists an
injective homomorphism Z/(m) = Zn1 n2 → Zn1 × Zn2 . But this homo-
morphism must be an isomorphism, as the cardinals of Zn1 n2 and Zn1 × Zn2
are both equal to n1 n2 .
For part 2, observe that the elements which are not invertible in Zpr are

0, p, 2p, ..., (pr−1 − 1)p,

hence ϕ(pr ) = pr − pr−1 = pr−1 (p − 1).

For example, ϕ(10) = ϕ(2 · 5) = ϕ(2)ϕ(5) = (2 − 1)(4 − 1) = 4, in
agreement with what we already checked above, and ϕ(72) = ϕ(8 · 9) =
ϕ(8)ϕ(9) = (8 − 4)(9 − 3) = 24. In WIRIS the function ϕ(n) is given by
phi_euler(n).
41 Examples of ϕ(n).

2.2 Remark. Since ϕ(p) = p − 1 for p prime, and since there are in-
finitely many primes, the quotient ϕ(n)/n can take values as close to 1 as
wanted. On the other hand, ϕ(n)/n can be as close to 0 as wanted (see P.2.1).
42 Small values of ϕ(n)/n.

P
2.3 Proposition. For each positive integer n, d|n ϕ(d) = n (the sum is
extended to all positive divisors of n).
88 Chapter 2. Finite Fields

Proof: It is enough to notice that the denominators of the n fractions ob-

tained by reducing 1/n, 2/n, . . . , n/n to irreducible terms are precisely the
divisors d of n and that the denominator d appears ϕ(d) times.
43 Sum of the positive divisors of a number
E.2.1. Show that ϕ(n) is even for all n > 2. In particular we have that
ϕ(n) = 1 only happens for n = 1, 2.
E.2.2. Show that {n ∈ Z+ | ϕ(n) = 2} = {3, 4, 6} and {n ∈ Z+ | ϕ(n) =
4} = {5, 8, 10, 12}.
E.2.3. The groups Z∗5 , Z∗8 , Z∗10 and Z∗12 have order 4. Determine which of
these are cyclic and which are not (recall that a group of order four is either
cyclic, in which case it is isomorphic to Z4 , or isomorphic to Z22 ).
E.2.4. Given a finite group G with identity e, the order of an element a is
the smallest positive integer r such that ar ∈ {e = a0 , · · · , ar−1 }. Show
that actually ar = e and that r divides |G|. Hint: For the latter use that
H = {e = a0 , · · · , ar−1 } is a subgroup of G and remember that the cardinal
of any subgroup divides the cardinal of G (Lagrange theorem).
E.2.5. Fix a positive integer n and let a be any integer such that gcd (a, n) =
1. Show that aϕ(n) ≡ 1 (mod n).
E.2.6. Let F be a finite field and q = |F |. Show that xq−1 = 1 for all x ∈ F ∗
and that xq − x = 0 for all x ∈ F .

Summary

• Integer arithmetic modulo n (the ring Z/(n), which we denote Zn ).

The ring Zn is a field if and only if n is prime and in this case is also
denoted Fn .
• The group Z∗n of invertible elements of Zn . Its cardinal is given by Eu-
ler’s function ϕ(n), whose main properties are given in Propositions
2.1 and 2.3.
• Computation of the inverse of an element in Z∗n by means of Bezout’s
theorem.

Problems
P.2.1. For k = 1, 2, 3, ..., let pk denote the k-th prime number and let
Nk = (p1 − 1)(p2 − 1) · · · (pk − 1), P k = p 1 p 2 · · · pk .
2.1. Zn and Fp 89

Prove that the minimum of ϕ(n)/n in the range (Pk ) ·· (Pk+1 −1) is Nk /Pk .
Deduce from this that in the range 1..(2 × 1011 ) we have ϕ(n) > 0.1579n.
P.2.2. Prove that lim inf n→∞ ϕ(n)/n = 0.
P.2.3. Show that the values of n for which Z∗n has 6 elements are 7, 9, 14, 18.
Since any abelian group of order 6 is isomorphic to Z6 , the groups Z∗7 , Z∗9 ,
Z∗14 , Z∗18 are isomorphic. Find an isomorphism between Z∗7 and Z∗9 .
P.2.4. Show that the values of n for which Z∗n has 8 elements are 15, 16, 20,
24, 30. Now any abelian group of order 8 is isomorphic to Z8 , Z2 × Z4 or
Z32 . Show that Z∗24 ' Z32 and that the other four groups are isomorphic to
Z2 × Z4 .
90 Chapter 2. Finite Fields

2.2 Construction of finite fields

The theory of finite fields is a branch of modern algebra that has

come to the fore in the last 50 years because of its diverse ap-
plications in combinatorics, coding theory, cryptology, and the
mathematical theory of switching circuits, among others.
R. Lidl and H. Niederreiter, [12], p. ix.

Essential points

• Characteristic of a finite field.

• The cardinal of a finite field is a power of the characteristic.
• Frobenius automorphism (absolute and relative).
• Construction of a field of q r elements if we know a field of q elements
and an irreducible polynomial of degree r over it (basic construction).
• Splitting field of a polynomial with coefficients in a finite field and
construction of a field of pr elements for any prime number p and any
positive integer r.
• Existence of irreducible polynomials over Zp (or over any given finite
field) of any degree. This guarantees the construction of a field of
pr elements that is more explicit and effective than using the splitting
field method.

Ruffini’s rule

Let us begin with two elementary propositions and some examples. Recall
that if K is a field, X an indeterminate and f ∈ K[X] a polynomial of
degree r > 0, then f is said to be irreducible if it cannot be expressed as a
product f = gh with g, h ∈ K[X] and deg (g), deg (h) < r (otherwise it is
said to be reducible).
2.4 Proposition (Ruffini’s rule). Let K be a field. Given a polynomial f ∈
K[X], an element α ∈ K is a root of f (that is, f (α) = 0) if and only if f is
divisible by X − α. In particular we see that if f ∈ K[X] is irreducible and
deg (f ) > 1, then f has no roots in K.
2.2. Construction of finite fields 91

Proof: For any α ∈ K, the Euclidean division of f ∈ K[X] by X − α tells

us that there is g ∈ K[X] and c ∈ K such that f = (X − α)g + c. Replacing
X by α yields c = f (α). Thus we see that α is a root of f if and only if
c = 0, that is, if and only if f is divisible by (X − α).
If f is irreducible and deg (f ) > 1, then it cannot have a root in K, for
otherwise it would have the form (X − α)g with α ∈ K and g ∈ K[X] of
positive degree, and this would contradict the irreducibility of f .
Thus the condition that f ∈ K[X] (K a field, deg (f ) > 1) has no root
in K is necessary for f to be irreducible, but in general it is not sufficient.
We will see, however, that it is sufficient when the degree of f is 2 or 3.
2.5 Proposition. Let f ∈ K[X] be a polynomial of degree 2 or 3. If f is
reducible, then f has a root in K. Thus f is irreducible if (and only if) it has
no root in K.
Proof: A reducible polynomial of degree 2 is the product of two linear fac-
tors, and a reducible polynomial of degree 3 is the product of a linear and a
quadratic factor. In both cases f has a linear factor. But if aX + b ∈ K[X] is
a linear factor of f (this means a 6= 0), then so is X − α, where α = −b/a,
and hence α is a root of f .
2.6 Examples. If a ∈ K, the polynomial X 2 −a is irreducible over K if and
only if a is not the square of an element of K. For example, the squares in Z7
are 0, 1, 4, 2. Therefore the polynomials X 2 −3 = X 2 +4, X 2 −5 = X 2 +2
and X 2 − 6 = X 2 + 1 are irreducible over Z7 . Analogously, the polynomial
X 3 − a is irreducible over K if and only if a is not a cube in K. Since the
cubes in Z7 are 0, 1, 6, the polynomials X 3 − 2 = X 3 + 5, X 3 − 3 = X 3 + 4,
X 3 − 4 = X 3 + 3 and X 3 − 5 = X 3 + 2 are irreducible over Z7 .
E.2.7. Show that in a finite field of characteristic 2 every element is a square
(recall that in a field of odd characteristic, as established in Proposition 1.49,
half of the nonzero elements are squares and the other half are not). Show
also that every polynomial of the form X 2 + a is itself a square, hence re-
ducible. Hint: If F is a field of characteristic 2, then the map F → F such
that x 7→ x2 is a homomorphism.
E.2.8. Let K be a field of odd characteristic and f = X 2 + aX + b ∈ K[X].
Prove that f is irreducible if and only if the discriminant of f , namely a2 −4b,
is not a square in K.

Characteristic of a finite field

We will use the characteristic homomorphism φA : Z → A of any ring A,
that is, the map such that φA (n) = n · 1A for all n ∈ Z. Note that φA is
92 Chapter 2. Finite Fields

the only ring homomorphism of Z to A. Moreover, the image of φA is the

smallest subring of A, in the sense that it is contained in any subring of A,
and it is called the prime ring of A.
The kernel of φA is an ideal of Z and hence there is a uniquely deter-
mined non-negative integer nA such that ker (φA ) = (nA ). We say that nA
is the characteristic of A. For example, the characteristic of any domain is 0
(like Z, Q, R and C), while Zn has characteristic n for any integer n > 1.
44 Getting the characteristic of a field

In the case of rings of characteristic 0, φA is injective and hence an iso-

morphism of Z with the prime ring of A. Thus we may identify Z with the
prime ring of A (the integer n is identified with n · 1A ∈ A). For exam-
ple, if A = Mr (Q) (the ring of rational matrices of order r), then A has
characteristic 0 and n ∈ Z is identified with the diagonal matrix nIr .
In the case when nA > 0, then nA > 1 (for 1A is assumed to be different
from 0A ) and by definition we have that the relation n · 1A = 0A , n ∈ Z, is
equivalent to nA |n. Note also that in this case we have a unique homomor-
phism (necessarily injective) ZnA ,→ A whose image is the prime ring of A,
and so we can identify ZnA with the prime ring of A.
2.7 Proposition. The characteristic nA of a ring A has the following prop-
erties:
1) If A is finite, then nA > 0.
2) If A is a domain, then either nA = 0 or nA is a prime number, and it
is a prime number if A is finite.
3) The characteristic of a finite field F is a prime number p, and so in this
case there is a unique homomorphism (necessarily injective) Zp ,→ F
whose image is the prime ring of F (in this case a subfield).

Proof: If A is finite, then φA (Z) is finite. Since Z is infinite, φA cannot be

injective. Hence ker (φA ) 6= 0 and therefore nA 6= 0.
If A is a domain and n = nA > 0, then Zn is also a domain, because it
is isomorphic to a subring of A. But Zn is not a domain unless n is prime
(and if n is prime then we know that Zn is a field).
Since a finite field F is a finite domain, its characteristic p = nF is
a prime number. The other statements are clear by what we have said so
far.

2.8 Proposition. If F is a finite field, then its cardinal has the form pr , where
p is a prime number and r is a positive integer. Moreover, p coincides with
the characteristic of F .
Proof: If p is the characteristic of F , then p is a prime number and F has a
subfield isomorphic to Zp . Thus we can regard F as Zp -vector space. Since
2.2. Construction of finite fields 93

F is finite, the dimension of F over Zp , say r, is also finite and we have

F ' Zrp as Zp -vector spaces. Hence |F | = |Zrp | = pr .
E.2.9. Let L be a finite field and K a subfield of L. If |K| = q, show that
|L| has the form q r for some positive integer r. Deduce from this that the
cardinal of any subfield F of L such that K ⊆ F has the form q s , with s|r.
What does this say when K = Zp , p the characteristic of L?
E.2.10 (Absolute Frobenius automorphism). Show that in a field K of char-
acteristic p the map

F : K → K such that x 7→ xp

satisfies
(x + y)p = xp + y p and (xy)p = xp y p
for all x, y ∈ K and
λp = λ for all λ ∈ Zp
(for this relation use E.2.6). If K is finite, then F is an automorphism of
K/Zp (it is called the Frobenius automorphism of K).
E.2.11 (Relative Frobenius automorphism). Let L be a field of characteristic
p and K ⊆ L a finite subfield. If q = |K|, show that the map

FK : L → L such that x 7→ xq

satisfies
(x + y)q = xq + y q and (xy)q = xq y q
for all x, y ∈ L and
λq = λ for all λ ∈ K
(for this relation use E.2.6). If L is finite, then FK is an automorphism of
L/K (it is called the Frobenius automorphism of L relative to K).
If K has cardinal q, the function frobenius(K) yields the map x 7→ xq ,
that is, the Frobenius map relative to K. When applied to an element x,
frobenius(x) is equivalent to the Frobenius map relative to the prime field of
the field of x. For examples, see the link 45 Frobenius automorphisms .

The basic construction

We will use the general ideas from polynomial algebra summarized in the
points 1-5 below. If K is any field and f ∈ K[X] is any polynomial over K
of degree r > 0, then the quotient ring K 0 = K[X]/(f ) has the following
properties:
94 Chapter 2. Finite Fields

1) The natural homomorphism K → K 0 is injective and so we may iden-

tify K with a subfield of K 0 .
2) If x = [X] is the class of X modulo f , then

{1, x, . . . , xr−1 }

is a basis of K 0 considered as a vector space over K. This means

that every element of K 0 can be uniquely expressed in the form α0 +
α1 x + · · · + αr−1 xr−1 , α0 , . . . , αr−1 ∈ K. So the elements of K 0 can
be represented as polynomials in x of degree < r with coefficients in
K or, in other words, K 0 can be identified with the vector space K[x]r
of polynomials in x of degree < r with coefficients in K.
3) In terms of the representation in the previous paragraph, the sum of two
elements of K 0 agrees with the sum of the corresponding polynomials,
and its product can be obtained by reducing modulo f the ordinary
product of polynomials. This reduction can be done as follows. If
f = a0 + a1 X + · · · + ar−1 X r−1 + X r , then we have xr = −(a0 +
a1 x + · · · + ar−1 xr−1 ), and this relation can be used recursively to
express xj , for all j > r, as a linear combination of 1, x, . . . , xr−1 .
4) The ring K 0 is a field if and only if f is irreducible over K. In this case,
the inverse of α = α0 +α1 x+· · ·+αr−1 xr−1 can be obtained, as in the
case of modular arithmetic, with a suitable variation of the Euclidean
division algorithm applied to f and α. The field K 0 is usually denoted
K(x), because it coincides with the minimum field that contains K
and x, but note that it coincides with K[x], the ring of polynomial
expressions in x with coefficients in K.
5) If K is finite and q = |K|, then |K 0 | = q r , where r is the degree of f .

If p is a prime number and we apply 5 to K = Zp , we see that if we know

an irreducible polynomial f ∈ Zp [X], then we also have a finite field K 0 of
cardinal pr . For example, f = X 3 − X + 1 is an irreducible polynomial over
Z3 (use Proposition 2.5) and so K 0 = Z3 [X]/(f ) is a field and if x is the
class of X mod f then the 27 elements of K 0 have the form a + bx + cx2 ,
a, b, c ∈ Z3 . At the end of this section we include several other examples.
For the computational implementation of the basic construction, see A.7,
and for sample computations related to the preceeding example, see the link
46 The function extension(K,f). Note that extension(K,f) is equivalent to the

expression K[x]/(f), where x is the variable of the polynomial f . The name of

this object is still K[x], but the x here is now bound to the class [x] modulo f
of the initial variable x of f .
2.2. Construction of finite fields 95

2.9 Remark. In the points 1-3 above, K can be replaced by any commuta-
tive ring and f by a monic polynomial (a polynomial f is monic if its the
coefficient of its highest degree monomial is 1). Then K 0 is a ring, and a free
module over K with basis {1, x, . . . , xr−1 }. In other words, assuming that
the ring K has already been constructed, that x is a free identifier (this can
be achieved, if in doubt, with the sentence clear x) and that f (x) is a monic
polynomial over K, then K 0 can be constructed as shown in 47 The function
extension(K,f) also works for rings .
We end this subsection with a result that establishes a useful relation between
the field K 0 = K[X]/(f ), f ∈ K[X] irreducible, and any root of f .
2.10 Proposition. Let L be a field and K a subfield. Let f ∈ K[X] be a
monic irreducible polynomial, and set r = deg (f ), K 0 = K[X]/(f ). If
β ∈ L is a root of f , and x is the class of X modulo f , then there exists a
unique K-homomorphism K 0 → K[β] such that x 7→ β (K-homomorphism
means that it is the identity on K). This homomorphism is necessarily an
isomorphism. Hence K[β] is a field and therefore K[β] = K(β).
Proof: Since the image of α0 + α1 x + · · · + αr−1 xr−1 ∈ K 0 by a K-
homomorphism such that x 7→ β is α0 + α1 β + · · · + αr−1 β r−1 , uniqueness
is clear. For the existence, consider the map K[X] → L such that h 7→
h(β). It is a ring homomorphism with image K[β] and its kernel contains
the principal ideal (f ), because f (β) = 0 by hypothesis. Hence there is an
induced homomorphism K 0 → L such that

α0 + α1 x + · · · + αr−1 xr−1 7→ α0 + α1 β + · · · + αr−1 β r−1 .

Since K 0 is a field, this homomorphism is necessarily injective, hence an

isomorphism between K 0 and the image K[β].
E.2.12. Show that the kernel of the ring homomorphism h 7→ h(β) defined
in the preceeding proposition coincides with the principal ideal (f ).
2.11 Example. The quadratic polynomial X 2 + X + 1 has no roots in Z2 ,
hence it is irreducible. The field Z2 (x) = Z2 [X]/(X 2 + X + 1), where we
write x for the class of X, has 4 elements: 0, 1, x, x + 1. The multiplication
table is easy to find using the basic relation x2 = x+1: we have x(x+1) = 1
and (x + 1)2 = x. Note that {x0 , x1 , x2 } = {1, x, x + 1}, so that the
multiplicative group of Z2 (x) is cyclic. 48 Constructing F4 .
2.12 Example. The polynomial T 3 + T + 1 ∈ Z2 [T ] is irreducible, because
it has degree 3 and does not vanish for T = 0 or for T = 1. Hence Z2 (t) =
Z2 [T ]/(T 3 + T + 1) is a field of 8 elements, where we let t denote the class
of T . The elements of Z2 (t) have the form a + bt + ct2 , with a, b, c ∈ Z2 ,
and the multiplication table is determined by the basic relation t3 = t + 1.
96 Chapter 2. Finite Fields

Note that t4 = (t + 1)t = t2 + t. Since the cardinal of the multiplicative

group of this field has 7 elements, it must be cyclic. In fact, as the following
link shows, it is a cyclic group generated by t.
49 Construction of F .
8

2.13 Example. Let K = Z2 (x) be the field introduced in Example 2.11.

Consider the polynomial f = Y 2 + xY + 1 ∈ K[Y ]. Since f (a) 6= 0 for
all a ∈ K, f is irreducible over K (see 2.5). Therefore K(y) = K[Y ]/(f )
is a field of 42 = 16 elements. For later examples, this field will be de-
noted Z2 (x, y). Its elements have the form a + by, with a, b ∈ K, and its
multiplication table is determined by the multiplication table of K and the
basic relation y 2 = xy + 1. The link below shows that the multiplicative
group of this field is also cyclic: y + 1 is a generator, but note that y is not.
50 Construction of F .
16

2.14 Example. Since −1 is not a square in Z3 , Z3 (x) = Z3 [X]/(X 2 + 1) is

a field of 9 elements, where x denotes the class of X. Its elements have the
form a + bx, with a, b ∈ Z3 and the basic relation for the multiplication table
is x2 = 2. The link below shows that the multiplicative group of this field is
also cyclic: x + 1 is a generator, but note that x is not. 51 Construction of
F9 .

2.15 Example. The polynomial f = X 3 + 5 is irreducible over Z7 . There-

fore Z7 (x) = Z7 [X]/(f ) is a field of 73 = 343 elements, where x denotes
the class of X. The elements of Z7 (x) have the form a + bx + cx2 , with
a, b, c ∈ Z7 . The multiplication table of Z7 (x) is determined by the relations
x3 = 2, which is the form it takes the relation f (x) = 0, and x4 = 2x.
52 Construction of F
343 .

E.2.13. Find an irreducible polynomial of Z3 [T ] of the form T 3 + a, and use

it to construct a field Z3 (t) of 27 elements.

E.2.14. Show that the polynomial S 4 + S + 1 ∈ Z[S] is irreducible and

use it to construct a field Z2 (s) of 16 elements. Later we will see that this
field must be isomorphic to the field Z2 (x, y) of example 2.13. For a method
to find isomorphisms between two finite fields with the same cardinal, see
P.2.5.

Splitting fields

Given a prime number p and a positive integer r, the basic construction

would yield a field of pr elements if we knew an irreducible polynomial
f of degree r over Zp . We have used this in the examples in the previous
2.2. Construction of finite fields 97

subsection for a few p and r, by choosing f explicitely, but at this point we

do not know whether an f exists for every p and r.
In this subsection we will show that we can use the basic construction in
another way (the method of the splitting field) that leads quickly to a proof of
the existence of a field whose cardinal is pr for any p and r. From this con-
struction, which is difficult to use in explicit computations, we will deduce
in the next subsection a formula for the number of monic irreducible poly-
nomials of any degree over a field of q elements, and procedures for finding
these polynomials. We will then be able to construct a field of pr elements
for any p and r which can be handled explicitely and effectively.

2.16 Theorem (Splitting field of a polynomial). Given a field K and a monic

polynomial f ∈ K[X], there is a field extension L/K and elements

α1 , . . . , αr ∈ L

such that
r
Y
f= (X − αj ) and L = K(α1 , . . . , αr ).
j=1

Proof: Let r be the degree of f . If r = 1, it is enough to take L = K. So

assume r > 1 and that the theorem is true for polynomials of degree r − 1.
If all irreducible factors of f have degree 1, then f has r roots in K and we
can take L = K. Thus we can assume that f has at least one irreducible
factor g of degree greater than 1. By the fundamental construction applied to
g, there is an extension K 0 /K and an element α ∈ K 0 such that K 0 = K(α)
and g(α) = 0, hence also f (α) = 0. Now the theorem follows by induction
applied to the polynomial f 0 = f /(X − α) ∈ K 0 [X] (since α is a root of f ,
f is divisible by X − α, by Proposition 2.4).
r
2.17 Theorem (Splitting field of X q − X). Let K be a finite field and q =
r
|K|. Let L be the splitting field of h = X q − X ∈ K[X]. Then |L| = q r .
Proof: By definition of splitting
Qq r field, there are elements αi ∈ L, i =
r
1, . . . , q , such that h = i=1 (X − αi ) and L = K(α1 , . . . , αqr ). Now
the elements αi must be different, for otherwise h and its derivative h0 would
have a common root, which is impossible because h0 is the constant −1. On
the other hand the set {α1 , . . . , αqr } of roots of h in L form a subfield of L,
r r r
because if α and β are roots, then (α − β)q = αq − β q = α − β and
r r r
(αβ)q = αq β q = αβ (hence α − β and αβ are also roots of h) and if α is
r r
a nonzero root then (1/α)q = 1/αq = 1/α (hence 1/α is also a root of h).
Since λq = λ for all λ ∈ K, the elements of K are also roots of h. It follows
that L = K(α1 , . . . , αqr ) = {α1 , . . . , αqr } and consequently |L| = q r .
98 Chapter 2. Finite Fields

2.18 Corollary (Existence of finite fields). Let p be a primer number and r

a nonnegative integer. Then there exists a finite field whose cardinal is pr .
r
Proof: By the theorem, the splitting field of X p − X over Zp has cardi-
nal pr .

E.2.15. Given a finite field L such that |L| = pr , the cardinal of any subfield
is ps , where s|r (E.2.9). Prove that the converse is also true: given a divisor
s of r, there exists a unique subfield of L whose cardinal is ps .

Existence of irreducible polynomials over Zp

In this section we will establish a formula for the the number Iq (n) of monic
irreducible polynomials of degree n over a finite field K of q elements.

2.19 Proposition. Let f be a monic irreducible polynomial of degree r over

n
K. Then f divides X q − X in K[X] if and only if r|n.
n
q
n q n Q − X over K, then Theorem 2.17 tells
Proof: If L is the splitting field of X
us that |L| = q and X − X = α∈L (X − α). Let f ∈ K[X] be monic
and irreducible, set K 0 = K[X]/(f ) and write x ∈ K 0 for the class of X
mod f .
n
If we assume that f divides X q − X, then there exists β ∈ L such
that f (β) = 0 and by Propostion 2.10 we have that K[β] is isomorphic to
K 0 = K[X]/(f ). Thus L has a subfield with cardinal q r , which implies that
r|n.
r n
Assume, for the converse, that r|n. Then X q − X divides X q − X
r n
(because q r − 1 divides q n − 1 and hence X q −1 − 1 divides X q −1 − 1).
n
To see that f divides X q − X it is thus enough to prove that f divides
r r
X q − X. Let h be the remainder of the Euclidean division of X q − X
r
by f . Since K 0 has q r elements, x is a root of X q − X and hence also a root
of h. This implies that h is zero, because otherwise 1, x, . . . , xr−1 would not
r
be linearly independent, and hence f divides X q − X.

2.20 Corollary. We have the following decomposition:

n
Y Y
Xq − X = f,
d|n f ∈Irr K (d)

where Irr K (d) is the set of monic irreducible polynomials of degree d over K.
Consequently,
X
qn = dIq (d).
d|n
2.2. Construction of finite fields 99

2.21 Example. Since 23 = 8, the irreducible factors X 8 − X over Z2 coin-

cide with the irreducible polynomials of degrees 1 and 3 over Z2 . Similarly,
the irreducible factors X 16 − X over Z2 coincide with the irreducible poly-
nomials of degrees 1, 2 and 4 over Z2 . Now the factoring of f ∈ K[X] into
irreducible factors can be obtained with the WIRIS function factor(f,K). We
can see the results of this example in the link below.
53 Factoring X q r − X

To obtain an expression for Iq (n) we need the Möbius µ function, which is

defined as follows: if d is a positive integer, then

1
 if n = 1
µ(d) = (−1) k if d = p1 · · · pk , with the pi different primes

0 otherwise.


The function µ is implemente in the WIRIS function mu_moebius.

54 Some values of µ

E.2.16. Show that if gcd (d, d0 ) = 1, then µ(dd0 ) = µ(d)µ(d0 ).

P
E.2.17. For all integers n > 1, prove that d|n µ(d) = 0.
E.2.18 (Möbius inversion formula). Let A be an abelian additive group and
h : N → A and h0 : N → A maps such that
X
h0 (n) = h(d)
d|n

for all n. Prove that then

X
h(n) = µ(d)h0 (n/d)
d|n

for all n, and conversely. There is a multiplicative version of Möbius inver-

sion formula: Let A be an abelian multiplicative group and h : N → A and
h0 : N → A maps such that
Y
h0 (n) = h(d)
d|n

for all n. Prove that then

Y
h(n) = h0 (n/d)µ(d)
d|n

for all n, and conversely.

100 Chapter 2. Finite Fields

P
2.22 Example. Since for any positive integer n we have n = d|n ϕ(d)
(Proposition 2.3), the Möbius inversion formula tells us that we also have
X n
ϕ(n) = µ(d) .
d
d|n

55 Inversion
formula: an example
If we apply the Möbius inversion formula to the relation q n = d|n dIq (d)
P
in Corollary 2.20, we get:
2.23 Proposition. The number Iq (n) of irreducible polynomials of degree n
over a field K of q elements is given by the formula
1X
Iq (n) = µ(d)q n/d .
n
d|n

2.24 Corollary. For all n > 0, Iq (n) > 0. In other words, if K is a finite
field and q = |K|, then there are irreducible polynomials over K of degree
n for all n > 1.
Proof: Since for d > 1 we have µ(d) > −1, it is easy to see that the formula
in Proposition 2.23 implies that nIq (n) > q n − (q n − 1)/(q − 1) > 0.
56 ComputingIq (n)
n
If we apply
Q Q the Möbius multiplicative inversion formula to the relation X q −
X = d|n f ∈Irr K (d) f in Corollary 2.20, we get:
2.25 Proposition. The product PK (n) of all monic irreducible polynomials
of degree n over K is given by the formula
n/d
Y
PK (f ) = (X q − X)µ(d) .
d|n

57 Product of the irreducible polynomials of a given degree

2.26 Remark. Given a finite field K with q = |K| and a positive integer r,
to construct a field with q r elements we can pick a monic irreducible poly-
nomial f ∈ K[X], which exists because Iq (r) > 0, and form K[X]/(f ).
Usually this construction is more effective than the splitting field method
introduced in Corollary 2.18.
To find irreducible polynomials, WIRIS has, in addition to the possibility
n
of factoring X q −X and which has already been illustrated above, two main
functions that are very useful for dealing with irreducible polynomials: the
predicate irreducible?(f,K), that returns true or false according to whether f ∈
K[x] is or is not irreducible over K, and irreducible_polynomial(K,r,X), that
returns a monic polynomial of degree r in the variable X that is irreducible
2.2. Construction of finite fields 101

over K. The latter function generates monic polynomials of degree r in

the variable X and coefficients in K and returns the first that is found to
be irreducible. This works well because the density of monic irreducible
polynomials of degree r among all monic polynomials of degree r is, by the
formula in Proposition 2.23, of the order of 1/r.
58 Finding irreducible polynomials

2.27 Remark. The function irreducible_polynomial(K,r,X) may give a differ-

ent results (for the same K, r and X) for different calls, because it is based
(unless r and K are rather small) on choosing a random polynomial and
checking whether it is irreducible or not.

Summary

• The characteristic of a finite field K is the minimum positive number

p such that p1K = 0K . It is a primer number and there is a unique
isomorphism between Zp and the minimum subfield of K (which is
called the prime field of K). From this it follows |K| = pr , where r is
the dimension of K as a Zp vector space.
• The (absolute) Frobenius automorphism of a finite field K is the map
K → K such that x 7→ xp , where p is the characteristic of K. If L
is a finite field and K is a subfield with q = |K|, then the Frobenius
automorphism of L over K (or relative to K) is the map x 7→ xq .
• Basic construction: if K is a finite field of cardinal q and f ∈ K[X] is
a monic irreducible of degree r, then K[X]/(f ) is a field that contains
K as a subfield and its cardinal is q r .
• For any finite field K and any positive integer r, there exist monic
irreducible polynomials f ∈ K[X] of degree r, and hence there are
fields of cardinal q r (q = |K|) for all r > 1. In fact, we have derived
an expression for the number Ir (q) of monic irreducible polynomials
of degree r over a field of q elements (Proposition 2.23). From this it
follows that a positive integer can be the cardinal of a finite field if and
only if it is a positive power of a prime number.
• Splitting field of a polynomial with coefficients in a finite field (Theo-
rem 2.16).
n
• Using the splitting field of X q − X ∈ K[X], where K is a finite field
n
of q elements, we have seen that X q −X ∈ K[X] is the product of all
monic irreducible polynomials with coefficients in K whose degree is
a divisor of n. We also have found a formula for the product PK (n)
of all monic irreducible polynomials in K[X] of n.
102 Chapter 2. Finite Fields

Problems
P.2.5 (Finding isomorphisms between finite fields). Let L be a finite field
and K ⊆ L a subfield. Set q = |K| and let r be the positive integer such that
|L| = q r . Assume that we have a monic irreducible polynomial f ∈ K[X]
and that we can find β ∈ L such that f (β) = 0. Show that there is a unique
K-isomorphism K[X]/(f ) ' L such that x 7→ β, where x is the class of X
modulo f . Prove also that the K-isomorphisms between K[X]/(f ) and L
are in one-to-one correspondence with the roots of f in L.
P.2.6. The polynomials f = X 3 +X +1, g = X 3 +X 2 +1 ∈ Z2 [X] are irre-
ducible (as shown in Example 2.21 they are the only irreducible polynomials
of degree 3 over Z2 ). Use the previous problem to find all the isomorphisms
between Z2 [X]/(f ) and Z2 [X]/(g).
P.2.7. Use P.2.5 to find all the isomorphisms between the field described in
E.2.14 and the field Z2 (x, y) defined in Example 2.13.
P.2.8. A partition of a positive integer n is a set of pairs of positive in-
tegers λ = {(r1 , m1 ), . . . , (rk , mk )} such that r1 , . . . , rk are distinct and
n = m1 r1 + . . . + mk rk . The partition {(n, 1)} is said to be improper, all
others are said to be proper. Let now K be a finite field of q elements. Use
the uniqueness (up to order) of the decomposition of a monic f ∈ K[X] as
a product of monic irreducible factors to prove that
k  
Y Iq (ri ) + mi − 1
Pq (λ) =
mi
i=1

gives the number of monic polynomials in K[X] that are the product of mi
P polynomials of degree ri , i = 1, . . . , k. Deduce from this
irreducible monic
that Rq (n) = λ Pq (λ), where the sum ranges over all proper partitions of
n, is the number of polynomials in K[X] that are reducible, monic and of
degree n. Finally show that Rq (n) + Iq (n) = q n and use this to check the
formula for Iq (n) obtained in Proposition 2.23 for n in the range 1..5.
2.3. Structure of the multiplicative group of a finite field 103

2.3 Structure of the multiplicative group of a finite

field

This group could not have a simpler structure—it is cyclic.

S. Roman, [24], p. 288.

In the examples of finite fields presented in the preceeding section we have

seen that the multiplicative group was cyclic in all cases. In this section we
will see that this is in fact the case for all finite fields. We will also consider
consequences and applications of this fact.

Essential points

• Order of a nonzero element.

• Primitive elements (they exist for any finite field).
• Discrete logarithms.
• Period (or exponent) of a polynomial over a finite field.

Order of an element
If K is a finite field and α is a nonzero element of K, the order of α, ord (α),
is the least positive integer r such that αr = 1 (in E.2.4 we saw that this r
exists). Note that ord (α) = 1 if and only if α = 1.
2.28 Example. in Z5 we have ord (2) = 4, because 2 6= 1, 22 = 4 6= 1,
23 = 3 6= 1 and 24 = 1. Similarly we have ord (3) = 4 and ord (4) = 2.
2.29 Proposition. If the cardinal of K is q and α ∈ K ∗ has order r, then
r|(q − 1).
Proof: It is a special case of E.2.4.
2.30 Remark. This proposition implies that αq−1 = 1 for all nonzero ele-
ments α ∈ K, a fact that was already established in E.2.6. On the other hand,
if q − 1 happens to be prime and α 6= 1, then necessarily ord (α) = q − 1.
More generally, r is the least divisor of q − 1 such that αr = 1.
2.31 Examples. 1) In the field Z2 (x) of example 2.11 we have, since q−1 =
3 is prime, ord (1) = 1, ord (x) = 3 and ord (x + 1) = 3. Note that in 2.11 we
had already checked this from another perspective.
104 Chapter 2. Finite Fields

2) In the field Z7 (x) of the example 2.15, q − 1 = 342 = 2 · 32 · 19. Since

x3 = 2 and 23 = 1, we have x9 = 1 and hence ord (x)|9. Finally ord (x) = 9,
as x3 6= 1.
3) In the field Z2 (x, y) of the example 2.13, which has cardinal 16,
ord (y) = 5, because ord (y) has to be a divisor of 16 − 1 = 15 greater than 1
and it is easy to check that y 3 = xy + x 6= 1 and y 5 = (xy + 1)(xy + x) = 1.
Computationally, ord (α) is returned by the function order(α). It imple-
ments the idea that the order r of α is the least divisor of q − 1 such that
αr = 1. See the link 59 Order of field elements for examples.

E.2.19. In a finite field K every element α satisfies the relation αq = α,

where q = |K| (E.2.6). Hence the elements of K are roots of the polynomial
X q − X. Show that
Y Y
Xq − X = (X − a) and X q−1 − 1 = (X − a).
a∈K a∈K ∗

P
Note finally that these formulae imply that a∈K a = Q 0 if K 6= Z2 (as
X q − X has no term of degree q − 1 if q 6= 2) and that a∈K ∗ a = −1 (See
also Example 1.30, where this fact was proved in a different way).

2.32 Proposition. Let K be a finite field, α a nonzero element of K and

r = ord (α).

1) If x is a nonzero element such that xr = 1, then x = αk for some

integer k.

2) For any integer k, ord (αk ) = r/gcd (k, r).

3) The elements of order r of K have the form αk , with gcd (k, r) = 1. In

particular we see that if there is an element of order r, then there are
precisely ϕ(r) elements of order r.

Proof: Consider the polynomial f = X r − 1 ∈ K[X]. Since f has degree r

and K is a field, f has at most r roots in K. At the same time, since r is the
order of α, all the r elements of the subgroup R = {1, α, ..., αr−1 } are roots
of f and so f has no roots other than the elements of R. Now by hypothesis
x is a root of f , and hence x ∈ R. This proves 1.
To establish 2, let d = gcd (r, k) and s = r/d. We want to show that αk
has order s. If (αk )m = 1, then αmk = 1 and therefore r|mk. Dividing by
d we get that s|mk/d. Since (s, k/d) = 1, we also get that s|m. Finally it is
clear that (αk )s = αks = (αr )k/d = 1, and this ends the proof.
Part 3 is a direct consequence of 1, 2 and the definition of ϕ(r).
2.3. Structure of the multiplicative group of a finite field 105

Primitive elements
A nonzero element of a finite field K of cardinal q = pr is said to be a
primitive element of K if ord (α) = q − 1. In this case it is clear that

K ∗ = {1, α, α2 , ..., αq−2 }.

Of this representation of the elements of K we say that it is the exponen-

tial representation (or also the polar representation) relative to the primitive
element α. With such a representation, the product of elements of K is com-
puted very easily: αi αj = αk , where k = i + j mod q − 1.
2.33 Examples. The elements 2 and 3 are the only two primitive elements
of Z5 and x and x + 1 are the only two primitive elements of the field Z2 (x)
introduced in Example 2.11. The element x of the field Z7 (x) introduced in
Example 2.15 is not primitive, since we know that ord (x) = 9 (see Example
2.31). Finally, the element y of the field Z2 (x, y) considered in Example
2.13 is not primitive, since we saw that ord (y) = 5 (Example 2.31.3).
2.34 Theorem. Let K be a finite field of cardinal q and d is a positive inte-
ger. If d|(q − 1), then there are exactly ϕ(d) elements of K that have order
d. In particular, exactly ϕ(q − 1) of its elements are primitive. In particular,
any finite field has a primitive element.
Proof: Let p(d) be the number of elements of K that have order d. It is clear
that X
p(d) = q − 1,
d|(q−1)

since the order of any nonzero element is a divisor of q − 1. Now observe

that ifPp(d) 6= 0, then p(d) = ϕ(d) (see Proposition 2.32.3). Since we also
have d|(q−1) ϕ(d) = q − 1 (Proposition 2.3), it is clear that we must have
p(d) = ϕ(d) for any divisor d of q − 1.
The WIRIS function primitive_element(K) returns a primitive element of K.
Here are some examples:
60 The function primitive_element(K) The algorithm on which the func-

tion primitive_element(K) is based is called Gauss’ algorithm and it is ex-

plained and analyzed in P.2.10.
2.35 Proposition. Let L be a finite field, K a subfield of L and q = |K|. Let
r be the positive integer such that |L| = q r . If α is a primitive element of L,
then 1, α, . . . , αr−1 is a basis of L as a K-vector space.
Proof: If 1, α, . . . , αr−1 are linearly dependent over K, there exist

a0 , a1 , . . . , ar−1 ∈ K,
106 Chapter 2. Finite Fields

not all zero, such that

a0 + a1 α + · · · + ar−1 αr−1 = 0.

Letting h = a0 + a1 X + · · · + ar−1 X r−1 ∈ K[X], we have a polynomial of

positive degree such that h(α) = 0. From this it follows that there exists a
monic irreducible polynomial f ∈ K[X] of degree < r such that f (α) = 0.
Using now Proposition 2.10, we get an isomorphism from K 0 = K[X]/(f )
onto K[α] such that x 7→ α. But this implies that ord (α) = ord (x) 6
q r−1 − 1, which contradicts the fact that ord (α) = q r − 1.
E.2.20. Let K be a finite field different
P from F2 . Use the existence of primi-
tive element to prove again that x∈K x = 0.

Primitive polynomials
If f is an irreducible polynomial of degree r over Zp , p prime, then Zp (x) =
Zp [X]/(f ) is a field of cardinal pr , where x is the class of X modulo f . We
know that x may be a primitive element, as in the case of the field Z2 (x)
of example 2.11, or it may not, as in the case of the field Z7 (x) studied in
the example 2.15 (cf. the examples 2.33). If x turns out to be a primitive
element, we say that f is primitive over Zp . It is interesting, therefore, to
explore how to detect whether or not a given polynomial is primitive. First
see 61 Example of a primitive polynomial (of degree 4 over Z3 ).
E.2.21. Let K be a finite field and f ∈ K[X] be a monic irreducible polyno-
mial, f 6= X. Let x be the class of X in K[X]/(f ). If m = deg (f ), show
that the order of x is the minimum divisor d of q m −1 such that f |X d −1. For
the computation of this order, which is also called the period (or exponent)
of f , see the link 62 The function period(f,q) .

The discrete logarithm

Suppose L is a finite field and α ∈ L a primitive element of L. Let K be a
subfield of L and let q = |K| and r the dimension of L over K as a K-vector
space. We know that 1, α, . . . , αr−1 form a basis of L as a K-vector space
(Proposition 2.35), and thereby every element of L can be written in a unique
way in the form a0 + a1 α + . . . + ar−1 αr−1 , a0 , ..., ar−1 ∈ K. We say that
this is the additive representation over K of the elements of L, relative to the
primitive element α.
With the additive representation, addition is easy, as it reduces the sum of
two elements of L to r sums of elements of K. In order to compute products,
however, it is more convenient to use the exponential representation with
2.3. Structure of the multiplicative group of a finite field 107

respect to a primitive element α. More precisely, if x, y ∈ L∗ , and we know

exponents i, j such that x = αi and y = αj , then xy = αi+j .
In order to be able to use the additive and exponential representations
cooperatively, it is convenient to compute a table with the powers αi (r 6
i 6 q − 2, q = |L|) in additive form, say

αi = ai0 + ai1 α + . . . + ai,r−1 αr−1 ,

since this allows us to transfer, at our convenience, from the exponential to

the additive representation and vice versa. If we let ind (x) (or ind α (x) if we
want to declare α explicitely) to denote the exponent i such that x = αi , then
the product xy is equal to αk , where k = ind (x) + ind (y) (mod q − 1).
The link 63 Computation of product by means of an index table indi-
cates a possible computational arrangement of this approach, and the exam-
ple below presents in detail F16 done ‘by hand’. Note that in the link the
function ind_table(x) constructs the table {xj → j}j=0,··· ,r−1 , r = ord (x),
augmented with {0 → _} in order to be able to include 0K (in the definition
of the function we use 0 · x because this is the zero element of the field where
x lives, whereas 0 alone would be an integer). We have used the underscore
character to denote the index of 0K , but in the literature it is customary to
use the symbol ∞ instead.
By analogy with the logarithms, ind α (x) is also denoted log α (x), or
log (x) if α can be understood. We say that it is the discrete logarithm of
x with respect to α.
2.36 Example. Consider again the field Z2 (t) = Z2 [T ]/(f ), f = T 4 +T +1,
studied in E.2.14. The element t is primitive, as ord (t)|15 and t3 6= 1, t5 =
t2 + t 6= 1. So we have an exponential representation

Z2 (t)∗ = {1, t, ..., t14 }.

Consider now Table 2.1. The column on the right contains the coeffi-
cients of tk , k = 0, 1, ..., 14, with respect to the basis 1, t, t2 , t3 . For exam-
ple, t8 ≡ t2 + 1 ≡ 0101. The first column contains the coefficients with
respect to 1, t, t2 , t3 of the nonzero elements x of Z2 (t) ordered as the inte-
gers 1, ..., 15 written in binary, together with the corresponding log (x). For
example, 5 ≡ 0101 ≡ t2 + 1, and its index is 8.
2.37 Remark. Index tables are unsuitable for large fields because the corre-
sponding tables take up too much space. They are also unsuitable for small
fields if we have the right computing setup because the field operations of
a good implementation are already quite efficient. As an illustration of the
contrast between pencil and machine computations, see 64 Examples of Lidl–
Niederreiter (cf. [12], p. 375).
108 Chapter 2. Finite Fields

Table 2.1: Discrete logarithm of Z2 (t), t4 = t + 1

x log (x) k tk x log (x) k tk

0001 0 0 0001 1001 14 8 0101
0010 1 1 0010 1010 9 9 1010
0011 4 2 0100 1011 7 10 0111
0100 2 3 1000 1100 6 11 1110
0101 8 4 0011 1101 13 12 1111
0110 5 5 0110 1110 11 13 1101
0111 10 6 1100 1111 12 14 1001
1000 3 7 1011

Note in particular how to set up a table of Jacobi logarithms,

Z = {j 7→ ind (1 + αj )}
(also called Zech logarithms), α a primitive element. Since we have the
identity 1 + αj = αZ(j) , they are useful to transform from the additive form
to the exponential form. Here is a typical case:
αi + αj = αi (1 + αj−i ) = αi+Z(j−i)
(assuming i 6 j).
Nevertheless, the problem of computing ind α (x) for any x is very in-
teresting and seemingly difficult. Part of the interest comes from its uses
in some cryptographic systems that exploit the fact that the discrete expo-
nential k 7→ αk is easy to compute, while computing the inverse function
x 7→ ind α (x) is hard. See, for example, [12], Chapter 9.

Summary

• Order of a nonzero element of a field of q elements, and the fact that

it always divides q − 1. If d is a divisor of q − 1, there are precisely
ϕ(d) elements of order d.
• Primitive elements (they exist for any finite field). Since they are the
elements of order q − 1, there are exactly ϕ(q − 1) primitive elements.
• Period (or exponent) of an irreducible polynomial over a finite field.
Primitive polynomials.
• Discrete and Jacobi (or Zech) logarithms.
2.3. Structure of the multiplicative group of a finite field 109

Problems
P.2.9. Let K be a finite field, α, β ∈ K ∗ , r = ord (α), s = ord (β). Let
t = ord (αβ), d = gcd (r, s), m = lcm(r, s) and m0 = m/d. Prove that m0 |t
and t|m. Hence ord (αβ) = rs if d = 1. Give examples in which d > 1 and
t = m0 (repectively t = m).

We now present an algorithm for finding primitive roots in an

arbitrary finite field. It is due to Gauss himself.
R.J. McEliece, [16], p. 38.

P.2.10 (Gauss algorithm). This is a fast procedure for constructing a primi-

tive element of a finite field K of q elements.
1) Let a be any nonzero element of K and r = ord (a). If r = q − 1,
return a. Otherwise we have r < q − 1.
2) Let b an element which is not in the group hai = {1, a, . . . , ar−1 }
(choose a nonzero b at random in K and compute br ; if br 6= 1, then
b 6∈ hai, by proposition 2.32, and otherwise we can try another b; since
r is a proper divisor of q − 1, there are at least half of the nonzero
elements of K that meet the requirement).
3) Let s be the order of b. If m = q − 1, return b. Otherwise we have
s < q − 1.
4) Compute numbers d and e as follows. Start with d = 1 and e = 1 and
look successively at each common prime divisor p of r and s. Let m
be the minimum of the exponents with which p appears in r and s and
set d = dpm if m occurs in r (in this case p appears in s with exponent
m or greater) and e = epm otherwise (in this case p appears in s with
exponent m and in r with exponent strictly greater than m).
5) Replace a by ad be , and reset r = ord (a). If r = q − 1, then return a.
Otherwise go to 2.
To see that this algorithm terminates, show that the order of ad be in step 5 is
lcm(r, s) (use P.2.9) and that lcm(r, s) > max(r, s).

P.2.11. Let K be a finite field, q = |K|, and f ∈ K[X] a monic polynomial

of degree m > 1 with f (0) 6= 0. Prove that there exists a positive integer
e 6 q m − 1 such that f |X e − 1. The least e satisfying this condition is the
period, or exponent, of f . If f is reducible, e need not be a divisor of q m − 1.
See the link 65 The function coarse_period(f,q) , which calls period(f,q) if
f is irreducible and otherwise proceeds by sluggishly trying the condition
f |(X e − 1) for all e in the range deg (f )..(q m − 1)). Hint: If x is the class of
X in K 0 = K[X]/(f ), the q m classes xj (j = 0, . . . , q m − 1) are nonzero
and K 0 has only q m − 1 nonzero elements.
110 Chapter 2. Finite Fields

P.2.12. Find all primitive irreducible polynomials of degree r = 2..6 over Z2 .

2.4. Minimum polynomial 111

2.4 Minimum polynomial

The definitions, theorems, and examples in this chapter can be

found in nearly any of the introductory books on modern (or
abstract) algebra.
R. Lidl and H. Niederreiter, [12], p. 37.

Essential points

• Minimum polynomial of an element of a field with respect to a sub-

field.
• The roots of the minimum polynomial of an element are the conjugates
of that element.
• Between two finite fields of the same order pr there exist precisely r
isomorphisms.
• Norm and trace of an element of a field with respect to a subfield.

Let L be a finite field and K a subfield of L. If the cardinal of K is q, we

know that the cardinal of L has the form q m , where m is the dimension of L
as a K-vector space.
Let α ∈ L. Then the m + 1 elements 1, α, ..., αm are linearly dependent
over K and so there exists elements a0 , a1 , . . . , am ∈ K, not all zero, such
that a0 + a1 α + . . . + am αm = 0. This means that if we set f = a0 + a1 X +
. . . + am X m , then f is a nonzero polynomial such that f (α) = 0. With this
observation we can now prove the next proposition.
2.38 Proposition. There is a unique monic polynomial p ∈ K[X] that sat-
isfies the following two conditions:
1) p(α) = 0.
2) If f ∈ K[X] is a polynomial such that f (α) = 0, then p|f .
The polynomial p is irreducible and satisfies that
3) deg (p) 6 m.
Proof: Among all the nonzero polynomials f such that f (α) = 0, choose
one of minimum degree, p. The degree of p cannot be greater than m, as
we know that there are nonzero polynomials f of degree m or less such that
f (α) = 0.
112 Chapter 2. Finite Fields

To see 2, assume f (α) = 0 and let r be the residue of the Euclidean

division of f by p, say f = gp+r and with either r = 0 or deg (r) < deg (p).
Since p(α) = 0, we also have r(α) = 0. Hence the only possibility is r = 0,
as otherwise we would contradict the way p was chosen.
To prove the uniqueness of p, let p0 be another monic polynomial that
satisfies 1 and 2. Then we have p|p0 and p0 |p, and so p and p0 are proportional
by a nonzero constant factor. But this factor must be 1, because both p and
p0 are monic.
Finally if p = f g is a factorization of p, then f (α) = 0 or g(α) = 0,
and so p|f or p|g. If p|f , then f = pf 0 , for some f 0 ∈ K[X], and so
p = f g = pf 0 g. Thus 1 = f 0 g, f 0 and g are constants and p = f g is not a
proper factorization of p. The case p|g leads with a similar argument to the
same conclusion. Therefore p is irreducible.
The polynomial p defined in Proposition 2.38 is called the minimum poly-
nomial of α over K, and is usually denoted
pα . The degree of pα is also known as the degree of α over K and is
denoted r = deg (α).

E.2.22. Show that there exits a unique K-isomorphism K[X]/(pα ) ' K[α]
such that x 7→ α, where x is the class of X.

E.2.23. Show that if α is a primitive element of L, then α has degree m

over K.

E.2.24. If f is an irreducible polynomial over a field K, and α is a root of f

in an extension L of K, show that f is the minimum polynomial of α over
K (note in particular that if K(x) = K[X]/(f ), then f is the minimum
polynomial of x over K).

E.2.25. With the same notations as in the Proposition 2.38, prove that r =
deg (p) is the first positive integer r such that αr ∈ h1, α, ..., αr−1 iK . As a
result, r is also the first positive integer such that K[α] = h1, α, ..., αr−1 iK .

2.39 Example. Let us find the minimum polynomial, p, over Z2 of the ele-
ment y of Z2 (x, y) introduced in the example 2.13 (cf. The function min-
imum_polynomial). We have y 2 = xy + 1. Hence y 2 ∈ h1, yiZ2 (x) , a
fact that is nothing but a rediscovery that the minimum polynomial of y over
Z2 (x) is Y 2 + xY + 1. But y 2 6∈ h1, yiZ2 , and so p has degree higher than 2.
We have y 3 = xy 2 + y = x2 y + x + y = xy + x and, as it is easy to see, y 3 6∈
h1, y, y 2 iZ2 . Now y 4 = xy 2 +xy = x2 y +x+xy = y +x = y 3 +y 2 +y +1,
and therefore p = Y 4 + Y 3 + Y 2 + Y + 1. As ord (y) = 5, p is not a primitive
polynomial.
66 Examples of minimum polynomial .
2.4. Minimum polynomial 113

The set of conjugates over K of an element α ∈ L is defined to be

2 r−1
Cα = {α, αq , αq , . . . , αq },
r
where r is the least positive integer such that αq = α.
67 The calls conjugates(x) and conjugates(x,k)

2.40 Proposition. Let K be a finite field and q = |K|. Let L be a finite field
extension of K and α ∈ L. If Cα is the set of conjugates of α over K, then
the minimum polynomial pα of α over K is given by the expression
Y
pα = (X − β).
β∈Cα

Proof: Extend the Frobenius automorphism Pn of L/K i to

to
Panringqautomorphism
i
of L[X] by mapping Q the polynomial a
i=0 i X i=0 ai X . Then the
polynomial f = β∈Cα (X − β) is invariant by this automorphism, because
β q ∈ Cα if β ∈ Cα . Therefore f ∈ K[X]. If β ∈ L is a root of pα , then β q is
also a root of pα , as it is easily seen by mapping the Frobenius automorphism
to the relation pα (β) = 0. Using this observation repeatedly it follows, since
α is a root of pα , that pα (β) = 0 for all β ∈ Cα and so f |pα . But pα is
irreducible and f has positive degree, so f = pα , as both polynomials are
monic.

Uniqueness of finite fields

Next statement shows that two finite fields of the same cardinal are isomor-
phic.
2.41 Theorem. Let K and K 0 be two finite fields with the same cardinal, q.
Then there exists an isomorphism ϕ : K → K 0 .
Proof: Consider the polynomial X q − X ∈ ZpQ [X]. Regarded as a polyno-
mial with coefficients in K, weQ q
have X −X = α∈K (X −α) (see E.2.19).
Similarly we have X q − X = α0 ∈K 0 (X − α0 ).
Let α be a primitive element of K and let f ∈ Zp [X] be its minimum
polynomial. As |K| = |K 0 | = pr , f has degree r (Proposition 2.35), and
since all the roots of f are in K (Proposition 2.40), we also have that
r −1
f |(T p − 1)

as polynomials with coefficients in K. But since these polynomials are

monic with coefficients in Zp , this relation is in fact valid as polynomials
r
with coefficients in Zp . Now (T p −1 − 1) also decomposes completely in
114 Chapter 2. Finite Fields

K 0 and hence f has a root α0 ∈ K 0 . Now Proposition 2.10 says that there
is a unique isomorphism Zp [X]/(f ) ' Zp [α0 ] = K 0 such that x 7→ α0 ,
where x is the class of X modulo f . But there is also a unique isomorphism
Zp [X]/(f ) ' Zp [α] = K and so there exists a unique isomorphism K ' K 0
such that α 7→ α0 .
2.42 Remark. The proof above actually shows that there are precisely r dis-
tinct isomorphisms between K and K 0 .
E.2.26. The polynomials X 3 + X + 1, X 3 + X 2 + 1 ∈ Z2 [X] are the two
irreducible polynomials of degree 3 over Z2 . Construct an explicit isomor-
phism between the fields Z2 [X]/(X 3 + X + 1) and Z2 [X]/(X 3 + X 2 + 1).
68 Isomorphisms between two F .
8

E.2.27. Prove that x2 +x+4 and x2 +1 are irreducible polynomials over the
field F11 and construct an explicit isomorphism between F11 [x]/(x2 +x+4)
and F11 [x]/(x2 + 1).

Trace and norm

Let L be a finite field and K a subfield. If |K| = q, then we know that
|L| = q m , where m = [L : K], the dimension of L as a K-vector space.

Definitions
Let α ∈ L. Then we can consider the map mα : L → L such that x 7→ αx.
This map is clearly K-linear and we define the trace and the norm of α with
respect to K, denoted Tr L/K (α) and NmL/K (α) respectively, by the formulae

Tr L/K (α) = trace(mα ), NmL/K (α) = det(mα ).

Let us recall that the right hand sides are defined as the sum of the diagonal
elements and the determinant, respectively, of the matrix of mα with respect
to any basis of L as a K-vector space.
E.2.28. Check that Tr L/K : L → K is a K-linear map and that Tr L/K (λ) =
mλ for all λ ∈ K.
E.2.29. Similarly, check that NmL/K : L∗ → K ∗ is a homomorphism of
groups and that NmL/K (λ) = λm for all λ ∈ K.

Formulas in terms of the conjugates of α

Let pα = X r + c1 X r−1 + · · · + cr be the minimum polynomial of α with
respect to K. If we put {α1 , . . . , αr } to denote the set of conjugates of α
2.4. Minimum polynomial 115

Qr
with respect to K (α1 = α), then we know that pα = i=1 (X − αi ). In
particular we have that

c1 = −σ(α) and cr = (−1)n π(α),

where σ(α) = α1 + · · · + αr and π(α) = α1 · · · · · αr .

2.43 Theorem. With the notations above, and defining s = m/r, we have:

Tr L/K (α) = sσ(α) and NmL/K (α) = (π(α))s .

Proof: The set a = {1, α, · · · , αr−1 } is a basis of K(α) as a K-vector

space. If we let β1 , . . . , βs , s = m/r, denote a basis of L as a K(α)-vector
space, then L = ⊕sj=1 K(α)βj (as K(α)-vector spaces). It follows that mα
has a matrix that is the direct sum of s identical blocks, each of which is
the matrix A of mα : K(α) → K(α) with respect to the basis a. Since
mα (αi ) = αi+1 , which for i = r − 1 is equal to

−(cr + cr−1 α + · · · + c1 αr−1 ),

we have that  
0 −cr
 .. 
1 . −cr−1 
.. 
 
A=
 . .. ..
. . 
 
 1 0 −c2 
1 −c1
and so
trace(mα ) = s trace(A) = s(−c1 ) = sσ(α),
and
det(mα ) = (det(A))s = ((−1)r cr )s = π(α)s ,
as stated.
If L and K are constructed fields, then Tr L/K (α) is returned by Tr(α,L,K),
or trace(α,L,K). If K is not specified, it is taken as the prime field of L. And
if neither K nor L are specified, it is assumed that L is the field of α and K
its prime field. Similar notations and conventions hold for NmL/K (α) and
Nm(α,L,K), or norm(α,L,K). 69 Trace examples . 70 Norm examples .

Summary

• Minimum polynomial of an element of a field with respect to a sub-

field.
116 Chapter 2. Finite Fields

• The roots of the minimum polynomial of an element are the conjugates

of that element with respect to the subfield.
• Between two finite fields of the same order pr , there exist precisely r
isomorphisms.
• Trace and norm of an element of a field L with |L| = q m with respect
to a subfield K with |K| = pr : if we set s = m/r, then the trace is
the sum of the conjugates of α multiplied by s and the norm is the s-th
power of the product of the conjugates of α.

Problems
P.2.13. Let K be a finite field and q = |K|. Let f ∈ K[X] be monic and
irreducible and r = deg (f ). Show that K 0 = K[X]/(f ) is the splitting field
of f .
P.2.14. Find the trace of a0 +a1 t+a2 t2 +a3 t3 +a4 t4 ∈ Z2 [T ]/(T 5 +T 2 +1),
where t is the class of T .
P.2.15. Let K = Z2 [X]/(X 4 + X + 1) and α = [X]. Compute the matrix
M = Tr (αi αj ) for 0 6 i, j 6 3 and show that det(M ) = 1. Deduce that
there exists a unique Z2 -linear basis β0 , β1 , β2 , β3 of K such that Tr (αi βj ) =
δij (0 6 i, j 6 3).
P.2.16. Let K = Z3 , L = K[X]/(X 2 + 1) and β = α + 1, where α is the
class of X. Find Nm(β i ) for 0 6 i 6 7.
 117

3 Cyclic Codes

The codes discussed in this chapter can be implemented rela-

tively easily and possess a great deal of well-understood math-
ematical structure.
W. W. Peterson and E. J. Weldon, Jr., [19], p. 206.

Cyclic codes are linear codes that are invariant under cyclic permutations
of the components of its vectors. These codes have a nice algebraic structure
(after reinterpreting vectors as univariate polynomials) which favors its study
and use in a particularly effective way.
More specifically, we will see that cyclic codes of length n over a finite
field K are in one-to-one correspondence with the monic divisors g of

X n − 1 ∈ K[X],

and we will establish how to construct generating and control matrices in

terms of g. Then we will investigate, in order to generate all factors g, how
to effectively factor X n − 1 ∈ K[X] into irreducible factors.
Not surprisingly, several of the better known codes (like the Golay codes),
or families of codes (like the BCH codes), are cyclic.
In the last section we will present the Meggitt decoding algorithm and
its computational implementation. Moreover, we will illustrate in detail its
application in the case of the Golay codes.
118 Chapter 3. Cyclic Codes

3.1 Generalities

During the last two decades more and more algebraic tools
such as the theory of finite fields and the theory of polynomi-
als over finite fields have influenced coding.
Lidl–Niederreiter, [12], p. 470.

Essential points

• Cyclic ring structure of Fn .

• Generating and control polynomials of a cyclic code.
• Parameters of a cyclic code.
• Generating matrices and systematic encoding.
• Control matrices.

We will say that a linear code C ⊆ Fn is cyclic if σ(a) ∈ C for all a ∈ C,

where
σ(a) = (an , a1 , a2 , . . . , an−1 ) if a = (a1 , . . . , an ). [3.1]
E.3.1. Assume that σ(a) ∈ C for all rows a of a generating matrix G of C.
Show that C is cyclic.

Cyclic ring structure of Fn

In order to interpret the condition [3.1] in a more convenient form, we will
identify Fn with F[x]n (the vector space of univariate polynomials of de-
gree < n with coefficients in F in the indeterminate x) by means of the
isomorphism that maps the vector a = (a1 , . . . , an ) ∈ Fn to the polynomial
a(x) = a1 + a2 x + . . . + an xn−1 (note that this is like the interpretation of
357 as 3 × 102 + 5 × 10 + 7). See71 Constructing a polynomial from its coef-
ficient vector and conversely for how we can deal with this in computational
terms.
Moreover, we will endow F[x]n with the ring product obtained by identifying
F[x]n with the underlying vector space of the ring F[X]/(X n − 1) via the
unique F-linear isomorphism that maps x to the class [X] of X. If f ∈ F[X],
its image f¯ = f (x) in F[x]n , which we will cal the n-th cyclic reduction of
3.1. Generalities 119

f , is obtained by replacing, for all non-negative integers j, the monomial X j

by the monomial x[j]n , where [j]n is the remainder of the Euclidean division
of j by n. We will denote by π : F[X] → F[x]n the map such that f 7→ f¯
(see 72 Cyclic reduction of polynomials).
For convenience we will also write, if f ∈ F[X] and a ∈ F[x]n , f a as
meaning the same as f¯a.
Next we will consider the functions that allow us to deal with the product
in F[x]n , and a couple of examples (73 n-th cyclic product of polynomials,
possibly with symbolic coefficients).
In terms of vectors of Fn , the product in F[x]n can be expressed directly
as in 74 Cyclic product of two vectors
3.1 Lemma. If we let σ denote the cyclic permutation [3.1], then σ(a) = xa
for all a ∈ F[x]n .
Proof: With the representation of a as the polynomial

a1 + a2 x + . . . + an xn−1 ,

the product xa is

a1 x + a2 x2 + . . . + an−1 xn−1 + an xn .

Since xn = 1, we have

xa = an + a1 x + a2 x2 + . . . + an−1 xn−1 ,

which is the polynomial corresponding to the vector σ(a).

3.2 Proposition. A linear code C of length n is cyclic if and only if it is an
ideal of F[x]n .
Proof: If C ⊆ F[x]n is cyclic, then Lemma 3.1 implies that xC ⊆ C. In-
ductively we also have that xj C ⊆ C for all non-negative integers j. Since
C is a linear subspace, we also have aC ⊆ C for all a ∈ F[x]n , which means
that C is an ideal of F[x]n . Conversely, if C ⊆ F[x]n is an ideal, then in
particular it is a linear subspace such that xC ⊆ C. But again by Lemma 3.1
this means that C is cyclic.
Given any polynomial f ∈ F[X], let Cf = (f¯) ⊆ F[x]n denote the ideal
generated by f¯ = f (x), which can also be described as the image in F[x]n
of the ideal (f ) ⊆ F[X] by the map π : F[X] → F[x]n .
E.3.2. If g and g 0 are monic divisors of X n − 1, show that
1) Cg ⊆ Cg0 if and only if g 0 |g.
2) Cg = Cg0 if and only if g = g 0 .
120 Chapter 3. Cyclic Codes

3.3 Proposition. Given a cyclic code C of length n, there is a unique monic

divisor g of X n − 1 such that C = Cg .
Proof: Exercise E.3.2 tells us that we must only prove the existence of g.
Given C, let g ∈ F[X] be a nonzero polynomial of minimum degree
among those that satisfy ḡ ∈ C (note that π(X n − 1) = xn − 1 = 0 ∈ C so
that g exists and deg (g) 6 n). After dividing g by its leading coefficient, we
may assume that g is monic. Since C is an ideal, we have Cg = (ḡ) ⊆ C and
so it will be enough to prove that g is a divisor of X n − 1 and that C ⊆ Cg .
To see that g is a divisor of X n − 1, let q and r be the quotient and
remainder of the Euclidean division of X n − 1 by g:
X n − 1 = qg + r.
Hence
0 = xn − 1 = q̄ḡ + r̄
and so r̄ = −q̄ḡ ∈ Cg ⊆ C. But deg (r) < deg (g), by definition of r. Thus
r = 0, by definition of g, and this means that g divides X n − 1.
Now let a ∈ C. We want to prove that a ∈ Cg . Let
aX = a0 + a1 X + · · · + an−1 X n−1 ,
so that
a = a0 + a1 x + · · · + an−1 xn−1 = āX .
Let qa and ra be the quotient and remainder of the Euclidean division of aX
by g:
aX = qa g + ra .
This implies that
a = āX = q̄a ḡ + r̄a
and therefore
r̄a = a − q̄a ḡ ∈ C.
This and the definition of ra and g yield that ra = 0 and hence a = q̄a ḡ ∈ Cg ,
as claimed.
The monic divisor g of X n − 1 such that C = Cg is said to be the
generator polynomial of Cg .
E.3.3. For any f ∈ F[X], prove that the generator polynomial of Cf is
g = gcd (f, X n − 1).
In the sequel we shall write, if g is a monic divisor of X n − 1,
gb = (X n − 1)/g
and we will say that it is the control polynomial, or check polynomial, of Cg .
gb = g.
Note that b
3.1. Generalities 121

Further notations and conventions

Let us modify the notations used so far in order to better adapt them to the
polynomial representation of vectors. Instead of the index set {1, . . . , n},
we will use {0, 1, . . . , n − 1}. In this way an n-dimensional vector a =
(a0 , . . . , an−1 ) is identified with the polynomial
a(x) = a0 + a1 x + . . . + an−1 xn−1 .
The scalar product ha|bi of a, b ∈ F[x]n can be determined in terms of
the polynomial representation as follows: Given a ∈ F[X]n , let `(a) = an−1
(the leading term of a) and
a = an−1 + an−2 x + . . . + a0 xn−1 .
e [3.2]
Then we have the relation
ha|bi = `(e
ab), [3.3]
as it is easy to check.
In the remainder of this section we will assume that gcd (n, q) = 1 and
we let p denote the unique prime number such that q = pr , for some positive
integer r. This hypothesis implies that n 6= 0 in F, therefore
D(X n − 1) = nX n−1 ∼ X n−1
does not have non-constant common factors with X n − 1. Consequently the
irreductible factors of X n − 1 are simple (have multiplicity 1). In particular
we have, if f1 , . . . , fr are the distinct irreducible monic factors of X n − 1,
that X n − 1 = f1 · · · fr (for the case in which n and q are not relatively
prime, see E.3.13 on page 130).
Thus the monic divisors of X n − 1 have the form
g = fi1 · · · fis , with 1 6 i1 < . . . < is 6 r.
So there are exactly 2r cyclic codes of length n, although some of these
codes may be equivalent (for a first example, see Example 3.6).
Since the ideals (fi ) are maximal ideals of F[x]n = F[X]/(X n − 1), the
codes Mi = (fi ) are said to be maximal cyclic codes. In the same way, the
codes Mci = (fbi ), fbi = (X n − 1)/fi , are called minimal cyclic codes, as they
are the minimal nonzero ideals of F[X]n .
E.3.4. How many ternary cyclic codes of length 8 are there?
E.3.5. Let C be a binary cyclic code of odd length. Show that C contains an
odd weight vector if and only if it contains 11 · · · 1.
E.3.6. Let C be a binary cyclic code that contains an odd weight vector.
Prove that the even-weight subcode of C is cyclic.
122 Chapter 3. Cyclic Codes

Dimension of Cg
Given a monic divisor g of X n − 1, the elements of Cg are, by definition, the
polynomials that have the form aḡ, where a ∈ F[x]n is an arbitrary element.
In other words, the map µ : F[X] → Cg such that u 7→ ūḡ is surjective.
On the other hand, we claim that ker (µ) = (b g ). Indeed, ūḡ = 0 if and
n
only if (X − 1)|ug. But X − 1 = gbn g and gcd (g, gb) = 1, so (X n − 1)|ug
if and only if gb|u, that is, if and only if u ∈ (b
g ).
Hence we have that

Cg = im(µ) ' F[X]/ker (µ) ' F[X]/(b

g ) ' F[X]k ,

where k = deg (b
g ). Thus we have proved:
3.4 Proposition. The dimension of Cg coincides with the degree of the con-
trol polynomial gb of Cg :

dim (Cg ) = deg (b

g ).

Since deg (g) = n − deg (b

g ), deg (g) is the codimension of Cg .
E.3.7. Prove that the linear map F[X]k → Cg such that u 7→ ūḡ is an F-
linear isomorphism.

Generating matrices
With the same notations as in the preceeding subsection, the polynomials
ui = {xi ḡ}06i<k form a basis of Cg . Therefore, if

g = g0 + g1 X + · · · + gn−k X n−k ,

then the matrix

 
g0 g1 ··· gn−k 0 0 ··· 0
 0 g0
 g1 · · · gn−k 0 ··· 0 

G =  ... . . . .. .. .. .. ..
 
 . . ··· . . .

0 ··· 0 g0 g1 ··· gn−k 0 
0 ··· ··· 0 g0 g1 · · · gn−k

(k rows and n columns) generates C. Note that gn−k = 1, since g is monic,

but we retain the symbolic notation gn−k in order to display explicitely the
degree of g. 75 Cyclic generating matrix of a cyclic code
E.3.8. Show that the coding map Fk → Cg , u 7→ uG, can be described in
algebraic terms as the map F[x]k → Cg such that u 7→ uḡ.
3.1. Generalities 123

Normalized generating and control matrices

If we want a normalized generating matrix (say in order to facilitate decod-
ing), we can proceed as follows: For 0 6 j < k, let

xn−k+j = qj g + rj ,

with deg (rj ) < n − k. Then the k polynomials

vj = xn−k+j − rj

form a basis of Cg and the corresponding coefficient matrix G0 is normalized,

in the sense that the matrix formed with the last k columns of G0 is the
identity matrix Ik (See the link 76 Construction of the normalized matrix
G0 ).
E.3.9. Let u ∈ Fk ' F [x]k . Show that the coding of u using the matrix G0
can be obtained by replacing the monomials xj of u by vj (0 6 j < k):

u0 + u1 x + · · · + uk−1 xk−1 7→ u0 v0 + . . . + uk−1 vk−1 .

E.3.10. Let H 0 be the control matrix of Cg associated to G0 . Prove that the

syndrome of s ∈ Fn−k ' F[x]n−k of an element a ∈ Fn ' F [x]n coincides
with the remainder of the Euclidian division of a by g.

The dual code and the control matrix

Using the same notations, the control polynomial gb satisfies that gba = 0
is equivalent to a ∈ Cg (for a ∈ F[x]n ). Indeed, the relation gba = 0 is
equivalent to say that X n − 1 = gbg|b g aX . Since F[X] is a domain, the latter
is equivalent to g|aX , and so we have ḡ|a, or a ∈ Cg .
Let us see that from this it follows that

Cg⊥ = C
fgb, [3.4]

where Cfge is the image of Cgb by the map a 7→ ea (cf. [3.2]). Indeed, since
both sides have dimension n − k, it is enough to see that
fgb ⊆ Cg⊥ .
C

But if a ∈ Cgb and b ∈ Cg , then clearly ab = 0 and then he a|bi = `(ab) = 0

(cf. [3.3]).
Since gbxn−k−1 , . . . , gbx, gb form a basis of Cgb, if we set

gb = h0 + h1 X + · · · + hk X k ,
124 Chapter 3. Cyclic Codes

then
 
hk hk−1 · · · h0 0 0 ··· 0
0
 h k h k−1 · ·· h0 0 ··· 0 
 .. . .. . .. . .. .. .. ..  .
H= . ··· . . .
 
0 ··· 0 hk hk−1 · · · h0 0
0 ··· ··· 0 hk hk−1 · · · h0

is a control matrix of Cg (here hk = 1, but we write hk in order to display

explicitely the indices of the coefficients; see Cyclic control matrix).
3.5 Remark. There are authors that call the ideal (b g ) the dual code of Cg .
This is confusing, because the formula [3.4] shows that it does not go along
well with the general definition of the dual code. On the other hand, note
that the same formula shows that Cgb is equivalent to the dual of Cg .
77 Computation of the control matrix H

In the next example we just need that the polynomial

g = X5 − X3 + X2 − X − 1

is a factor of X 11 − 1 over Z3 . This can be checked directely, but note that in

the next section we will prove more, namely, that g is irreducible and that the
other irreducible factors of X 11 − 1 are X − 1 and X 5 + X 4 − X 3 + X 2 − 1.
3.6 Example (The ternary Golay code). Let q = 3, n = 11 and C = Cg ,
where g is the factor of X 11 − 1 described in the preceding paragraph. The
type of the cyclic code C is [11, 6].
Now we will prove that the minimum distance of this code is 5. If we let
G denote the normalized generating matrix of C corresponding to g, then it
T
is easy to check that GG = 0, where G is the parity completion of G (in
order to preserve the submatrix I6 at the end, we place the parity symbols on
the left):
78 Computing the parity completion of a matrix

Thus the code C = hGi is selfdual and in particular the weight of any vector
of C is a multiple of 3. Since the rows G have weight 6, the minimum
distance of C is either 3 or 6. But each row of G has exactly one zero in the
first 6 columns, and the position of this 0 is different for the different rows,
so it is clear that a linear combination of two rows of G has weight at least
2 + 2, hence at least 6. Since the weight of this combination is clearly not
more than 12 − 4 = 8, it has weight exactly 6. In particular, for each such
combination there appear exactly two zeros in the first 6 positions. Now a
linear combination of 3 rows will have weight at least 1+3, and so at least 6.
All other linear combinations of rows of G have weight at least 4, and so at
3.1. Generalities 125

least 6. So C has type [12, 6, 6] and as a consequence C has type [12, 6, 5].
It is a perfect code. It is known (but rather involved) that all codes of type
(11, 36 , 5) are equivalent to C (cf. [14]) and any such code will be said to be
a ternary Golay code.

E.3.11. Find all binary cyclic codes of length 7. In each case, give the gener-
ating and control polynomials, a normalized generating matrix and identify
the dual code.

Summary

• Cyclic ring structure of Fn .

• Generating and control polynomials of a cyclic code.
• The dimension of a cyclic code is the degree of the control polynomial,
hence the degree of the generating polynomial is the codimension.
• Cyclic and normalized generating matrices. Systematic encoding.
• The dual of the cyclic code Cg , g a divisor of X n − 1, is the cyclic
code Cgb, but written in reverse order. This allows to produce a control
matrix of G from the generating matrix of Cgb.
• The ternary Golay code, which has type [11, 6, 5]3 . It is perfect and its
parity completion, which has type [12, 6, 6]3 , is a selfdual code.

Problems

P.3.1 Consider two linear codes C1 and C2 of the same length and with
control matrices H1 and H2 .
1) Check that C1 ∩ C2 is a linear code and find a control matrix for it in
terms of H1 and H2 .
2) Prove that if C1 and C2 are cyclic with generating polynomials g1 and
g2 , then C1 ∩ C2 is cyclic. Find its generating polynomial in terms of
g1 and g2 .

P.3.2. Let G = I6 |( S155 ), where S5 is the Paley matrix of Z5 . Prove that hGi
is a ternary Golay code.

P.3.3. Use the MacWilliams identities to determine the weight enumerator

of the parity completion of the ternary Golay code.
126 Chapter 3. Cyclic Codes

P.3.4. The order of p = 2 mod n = 9 is k = 6. Let q = 2k = 64 and α a

primitive n-th root of 1 in K = Fq . Let τ : K → Zn2 be the map defined by
τ (ξ) = (Tr (ξ), Tr (αξ), . . . , Tr (αn−1 ξ)).
1) Show that τ is linear and injective.
2) If C is the image of τ , prove that C is a cyclic code [n, k].
3) Find the generator polynomial of C.
4) What is the minimum distance of C?
5) Generalize the construction of τ for any prime p and any positive in-
teger n not divisible by p and show that 1 and 2 still hold true for this
general τ .

E. Prange [as early as 1962] seems to have been the first to

study cyclic codes.
F. MacWilliams and N.J.A. Sloane, [14], p. 214.
3.2. Effective factorization of X n − 1 127

3.2 Effective factorization of X n − 1

Cyclic codes are the most studied of all codes.

F. MacWilliams and N.J.A. Sloane, [14], p. 188.

Essential points

• The splitting field of X n − 1 over a finite field.

• Ciclotomic classes modulo n and the factorization theorem.
• The factorization algorithm.
• Cyclotomic polynomials.

Introduction
In the previous section we learnt that the generator polynomials g of cyclic
codes of length n over Fq are, assuming gcd (n, q) = 1, the monic divisors
of X n − 1 and that if f1 , . . . , fr are the distinct monic irreducible factors
of X n − 1 over Fq then g has the form g = fi1 · · · fis , with 0 6 s 6 r,
1 6 i1 < · · · < is 6 r.
The goal of this section is to explain an algorithm that supplies the factors
f1 , . . . , fr in an efficient way. It is basically the method behind the function
factor(f,K). 79 Examples of factorization illustrates how it works.

3.7 Example. We first illustrate the basic ideas by factoring X 7 − 1 over Z2 .

Since we always have X n − 1 = (X − 1)(X n−1 + · · · + X + 1) it is enough
to factor f = X 6 + · · · + X + 1.
First let us consider a direct approach, using the special features of this
case. Since f has 7 terms, it has no roots in Z2 and hence it does not have
linear factors. Since the only irreducible polynomial of degree 2 is

h = X2 + X + 1

and it does not divide f (the remainder of the Euclidean division of f by

h is 1), f is either irreducible or factors as the product of two irreducible
polynomials of degree 3. But there are only two irreducible polynomials
of degree 3 over Z2 (f1 = X 3 + X + 1 and f2 = X 3 + X 2 + 1) and if
f factors the only possibility is f = f1 f2 (since f does not have multiple
128 Chapter 3. Cyclic Codes

factor, f 6= f12 and f 6= f22 ). Finally, this relation is easily checked and so
we have that X 7 − 1 = (X − 1)f1 f2 is the factorization we were seeking.
Now let us consider an indirect approach. It consists in trying to find
a finite field extension F0 /F (here F = Fq = Z2 ) that contains all roots of
X 7 − 1. If F0 exists, it contains, in particular, an element of order 7. If q 0 is
the cardinal of F0 , we must have that q 0 −1 is divisible by 7. But q 0 = q m , for
some positive integer m, and hence m must satisfy that q m − 1 is divisible
by 7. As q = 2, the first such m is 3, and so it is natural to try F0 = F8 .
Now the group F∗8 is cyclic of order 7, and hence
Y
X7 − 1 = (X − α).
α∈F∗8

The root 1 corresponds to the factor X −1. Of the other 6 roots, 3 must be the
roots of f1 and the other 3 the roots of f2 . The actual partition depends, of
course, on the explicit construction of F0 . Since [F0 : F] = 3, we can define
F0 as the extension of F by an irreducible polynomial of degree 3, say f1 :
F0 = F/(X 3 + X + 1). If we let u = [X] (to use the notation in Examples
of factorization), then u is a root of f1 . Being in characteristic 2, u2 and
u4 = u2 + u are the other roots of f1 and f1 = (X − u)(X − u2 )(X − u4 ).
So u3 = u + 1, (u + 1)2 = u2 + 1 and (u2 + 1)2 = u4 + 1 = u2 + u + 1 are
the roots of f2 and f2 = (X −(u+1))(X −(u2 +1))(X −(u2 +u+1)).
The ideas involved in the last two paragraphs of the preceeding example
can be played successfully to find the factorization of X n − 1 over Fq for all
n and q (provided gcd (n, q) = 1), as we will see in the next subsection.

The splitting field of X n − 1

The condition gcd (n, q) = 1 says that [q]n ∈ Z∗n and hence we may consider
the order m of [q]n in that group. By definition, m is the least positive integer
such that q m ≡ 1 (mod n). In other words, m is the least positive integer such
that n|(q m −1) and we will write en (q) to denote it. For example, e7 (2) = 3,
because 23 = 8 ≡ 1 (mod 7). The value of en (q) can be obtained with the
function order(q,n). 80 Examples of the order of an integer modulo n .
Let now h ∈ F[X] be any monic irreducible polynomial of degree m =
en (q) and define F0 = Fqm as F[X]/(h). Let α be a primitive element of
F0 (if h were a primitive polynomial, we could choose α = [X]h ). Then
ord (α) = q m − 1 is divisible by n, by definition of m. Let r = (q m − 1)/n
and ω = αr .
3.2. Effective factorization of X n − 1 129

3.8 Proposition. Over F0 we have

n−1
Y
Xn − 1 = (X − ω j ).
j=0

Proof: Since ord (ω) = (q m − 1)/r = n, the set R = {ω j | 0 6 j 6 n − 1}

has cardinal n. Moreover, ω j is a root of X n − 1 for all j, because (ω j )n =
(ω n )j = 1. So the set R supplies n distinct roots of X n − 1 and hence
Qn−1 j n
j=0 (X − ω ) is monic polynomial of degree n that divides X − 1. Thus
these two polynomials must be the same.
3.9 Proposition. F0 = F[ω] and so F0 is the splitting field of X n − 1 over F.
Proof: Indeed, if |F[ω]| = q s , then n = ord (ω) divides q s − 1 and by defini-
tion of m we must have s = m.

Cyclotomic classes
To proceed further we need the notion of cyclotomic classes. Given an inte-
ger j in the range 0..(n − 1), the q-cyclotomic class of j modulo n is defined
as the set
Cj = {j, qj . . . , q r−1 j} (mod n),
where r is the least positive integer such that q r j ≡ j (mod n). For example,
C0 = {0} always, and if n = 7 and q = 2, then C1 = {1, 2, 4} and
C3 = {3, 6, 5}. If n = 11 and q = 3, then C1 = {1, 3, 9, 5, 4} and C2 =
{2, 6, 7, 10, 8}.
E.3.12. Show that if Cj ∩ Ck 6= ∅ then Cj = Ck . So the distinct cyclotomic
classes form a partition of Zn .
The function cyclotomic_class(j,n,q) yields the cyclotomic class Cj . In the
case q = 2 we can use cyclotomic_class(j,n). 81 Examples of cyclotomic
classes .
The function cyclotomic_classes(n,q) yields the list of q-cyclotomic classes
modulo n. In the case q = 2 we can use cyclotomic_classes(n). 82 Examples
of the list of cyclotomic classes .

The factorization theorem

If C is a q-cyclotomic class modulo n, define fC as the polynomial with
roots ω j , for j ∈ C: Y
fC = (X − ω j ).
j∈C
130 Chapter 3. Cyclic Codes

3.10 Lemma. The polynomial fC has coefficients in F for all C.

Proof: Let us apply the Frobenius automorphism x 7→ xq to all coefficients
of fC . The result coincides with
Y
(X − ω jq ).
j∈C

But from the definition of q-cyclotomic class we have {jq | j ∈ C} = C and

so Y
(X − ω jq ) = fC .
j∈C

This means that aq = a for all coefficients a of fC and we know that this
happens if and only if a ∈ F.
3.11 Theorem. The correspondence C 7→ fC is a bijection between the set
of q-cyclotomic classes modulo n and the set of monic irreducible factors of
X n − 1 over Fq .
Proof: The factorization of X n − 1 over F0 established in lemma 3.8 and the
fact that the q-cyclotomic classes modulo n form a partition of Zn imply that
Y
Xn − 1 = fC ,
C

where the product runs over all q-cyclotomic classes modulo n. Thus it
is enough to prove that fC ∈ F[X] is irreducible. To see this, note that
{ω j | j ∈ C} is the conjugate set of any of its elements and so fC is, by
proposition 2.40, the minimum polynomial over F of ω j for any j ∈ C.
Therefore fC is irreducible.
E.3.13. If n is divisible by p (the characteristic of F), the factorization of
X n − 1 can be reduced easily to the case gcd (n, q) = 1. Indeed, if n = n0 ps ,
0 s
where p is prime and gcd (n0 , p) = 1, show that X n − 1 = (X n − 1)p .
Consequently the number of distinct irreducible factors of X n − 1 coincides
with the number of q-cyclotomic classes modulo n0 and each such factor has
multiplicity ps .

The factorization algorithm

Here are the steps we can follow to factor X n − 1 over Fq . If n = n0 ps with
0
gcd (n0 , q) = 1, factor X n − 1 by going through the steps below for the case
gcd (n, q) = 1 and then count every factor with multiplicity ps .
So we may assume that gcd (n, q) = 1 and in this case we can proceed
as follows:
1) Find m = en (q), the order of q in Z∗n . Define r = (q m − 1)/n.
3.2. Effective factorization of X n − 1 131

2) Find and irreducible polynomial h ∈ F[X] of degree m and let F0 =

F[X]/(h).
3) Find a primitive element α of F0 and let ω = αr .
4) Form the list C of q-cyclotomic
Q classes Cj modulo m, and for each
such class C compute fC = j∈C (X − ω ).
5) The {fC }C∈C n
n
Q is the set of monic irreducible factors of X − 1 (hence
X − 1 = C∈C fC ).
It is instructive to compare this algorithm with the link 83 Script for the
factorization algorithm and to look at the example attached there.
For another example, see 84 Factoring X 17 − 1 over Z13

Summary

• The splitting field of X n − 1 over a finite field F = Fq is, assuming

gcd (n, q) = 1 and setting m = en (q), the field F0 = Fq m . If α
is a primitive element of F0 , r = (q m − 1)/n and ω = αr , then
X n − 1 = nj=1 (X − ω j ).
Q

• Cyclotomic classes modulo n and the factorization theorem, which as-

serts (still with the condition gcd (n, q) = 1) that the monic
Q irreducible
factors of X n − 1 over F are the polynomials fC = j∈C (X − ω j ),
where C runs over the set of q-cyclotomic classes modulo n.
• The factorization algorithm. If p is the characteristic of F and n =
0 s
n0 ps with gcd (n0 , p) = 1, then X n − 1 = (X n − 1)p reduces the
0
problem to the factorization of X n − 1. If n is not divisible by p
(this is equivalent to saying that gcd (n, q) = 1), then the factorization
theorem gives an effective factorization procedure.
• Cyclotomic polynomials (they are introduced and studied in the prob-
lems P.3.7–P.3.8).

Problems
P.3.5. Show that a q-ary cyclic code C of length n is invariant under the
permutation σ such that σ(j) = qj (mod n).
P.3.6. We have seen that over Z3 we have X 11 − 1 = (X − 1)g0 g1 , where

g0 = (X 5 − X 3 + X 2 − X − 1) and g1 = (X 5 + X 4 − X 3 + X 2 − 1).
132 Chapter 3. Cyclic Codes

1) With the notations introduced in the example included in Script for

the factorization algorithm, show that the roots of g0 (g1 ) are ω j ,
where j runs over the nonzero quadratic residues (over the quadratic
non-residues) of Z11 .
2) If k ∈ Z∗11 is a quadratic non-residue (so k ∈ {2, 6, 7, 8, 10}) and πk is
the permutation i 7→ ki of Z11 = {0, 1, ..., 10}, prove that πk (Cg0 ) =
Cg1 (here then are two distinct cyclic codes that are equivalent).
P.3.7. In the factorization of X n − 1 ∈ Fq [X] given by lemma 3.8, let
Y
Qn = (X − ω j )
gcd(j,n)=1

(this polynomial has degree ϕ(n) and is called the n-th cyclotomic polyno-
mial over Fq ). Prove that:
1) X n − 1 = d|n Qd .
Q

2) Deduce from 1 that Qn ∈ Zp [X] for all n, where p is the characteristic

of Fq . Hint: Use induction on n.
3) Prove that Y
Qn = (X n/d − 1)µ(d) .
d|n

Note in particular that Qn is independent of the field Fq , and that it

can be computed for any positive integer n, although it can be the
n-th cyclotomic polynomial over Fq (or over Zp ) if and only if n is
not divisible by p. Hint: Use the multiplicative version of Möbius
inversion formula.
4) Use the formula in 3 to prove that if n is prime then
Qn = X n−1 + X n−2 + · · · + X + 1
and
k−1
Qnk (X) = Qn (X n ).
For example, Q5 = X4 + X3 + X2 + X + 1 and
Q25 (X) = Q5 (X 5 ) = X 20 + X 15 + X 10 + X 5 + 1.

5) If m denotes the order of q modulo n (so we assume gcd (n, q) = 1),

prove that Qn factors over Fq into ϕ(n)/m distinct irreducible poly-
nomials of degree m each. For example, e25 (7) = 4 and ϕ(25) = 20,
and so Q25 splits over Z7 as the product of five irreducible polynomi-
als of degree 4 each (see Computation of cyclotomic polynomials).
Hint: the degree over Fq of any root of Qn is equal to m.
3.2. Effective factorization of X n − 1 133

85 Computing the cyclotomic polynomials

P.3.8. If Pq (n, X) is the product of all monic irreducible polynomials of
degree n over Fq , prove that
Y
Pq (n, X) = Qm (X)
m

for all n > 1, where the product is extended over the set M (q, n) of all
divisors m > 1 of q n − 1 for which n is the multiplicative order of q modulo
m (see 86 Computation of the set M(q,n) . Hint: First show that the roots of
Pq (n, X) are the elements of degree n in Fqn .
3.12 Remark (On computing cyclotomic polynomials). The procedure ex-
plained in P.3.7 to find the n-th cyclotomic polynomial involves cumbersome
computations for large n. For example, if n = 11! then Q(n, X) is a poly-
nomial of degree ϕ(n) = 8294400 with 540 terms (the number of divisors
of n) and it took 45 seconds to evaluate in a Compaq Armada E500. For-
tunately there is a better scheme based on P.3.9. It is presented in Efficient
computation of cyclotomic polynomials and is the one implemented in
the internal function cyclotomic_polynomial(n,T).
For the key mathematical properties of the cyclotomic polynomials on which
this function is based, see P.3.9.
With the internal function, and n = 11!, Q(n, X) was obtained in 0.23 sec-
onds, while the same function coded externally (the last quoted listing) took
0.25 seconds. If we want to calculate a list of cyclotomic polynomials, the
direct method may be much better, because it does not have to factor and
find the divisors of many integers.
87 Efficient computations of cyclotomic polynomials

P.3.9. Let Qn (X) be the n-th cyclotomic polynomial (n > 1). Prove that:
1) Qmn (X) divides Qn (X m ) for any positive integers m and n.
2) Qmn (X) = Qn (X m ) if every prime divisor of m also divides n.
3) For any n, Qn (X) = Qr (X n/r ), where r is the product of the prime
divisors of n.
134 Chapter 3. Cyclic Codes

3.3 Roots of a cyclic code

An alternative specification of a cyclic code can be made in

terms of the roots, possibly in an extension field, of the genera-
tor g(X) of the ideal.
W.W. Peterson and E.J. Weldon, Jr., [19], p. 209.

Essential points

• Determination of a cyclic code by the set of roots of its generating

polynomial.
• Bose–Chaudhuri–Hocquenghem (BCH ) codes. The BCH lower bounds
on the minimum distance and the dimension.
• The Reed–Solomon primitive codes are BCH codes.

Introduction
Let C be the cyclic code of length n and let g be its generating polynomial.
By definition, the roots of C = Cg are the roots of g in the splitting field
F0 = Fqm of X n − 1 over Fq . If ω ∈ Fqm is a primitive n-th root of unity
and we let Eg denote the set of all k ∈ Zn such that ω k is a root of g, then
we know that Eg is the union of the q-cyclotomic classes corresponding to
the monic irreducible factors of g.
Let Eg0 ⊆ Eg be a subset formed with one element of each q-cyclotomic
class contained in Eg . Then we will say that M = {ω k | k ∈ Eg0 } is a
minimal set of roots of Cg .
3.13 Proposition. If M is a minimal set of roots of a cyclic code C of length
n, then
C = {a ∈ F[x]n | a(ξ) = 0 for all ξ ∈ M }.
Proof: If a ∈ C, then a is a multiple of ḡ, where g is the generating polyno-
mial of C, and hence it is clear that a(ξ) = 0 for all ξ ∈ M . So we have the
inclusion
C ⊆ {a ∈ F[x]n | a(ξ) = 0 for all ξ ∈ M }.
Now let a ∈ F[x]n and assume that aX (ξ) = a(ξ) = 0 for all ξ ∈ M .
By definition of M , there is j ∈ Eg0 such that ξ = ω j , and so ω j is a root
3.3. Roots of a cyclic code 135

of aX . Since the minimal polynomial j

Qof ω over F is fCj , we have that
fCj |aX and hence aX is divisible by j∈Eg0 fCj = g, and this means that
a ∈ (ḡ) = Cg .
E.3.14. If we define a generating set of roots of Cg as a set of roots of Cg
that contains a minimal set of roots, check that Proposition 3.13 remains true
if we replace ‘minimal set’ by ‘generating set’.
The description of Cg given in Proposition 3.13 can be inverted. If

ξ = ξ1 , . . . , ξr ∈ Fqm

are n-th roots of unity, then the polynomials a ∈ F[x]n such that a(ξi ) = 0,
i = 1, . . . , r, form an ideal Cξ of F[x]n , which will be called the cyclic code
determined by ξ. If gi is the minimum polynomial of ξi over Fq , then Cξ =
Cg , where g is the lcm of the polynomials g1 , . . . , gr . This observation will
be used below for the construction of codes with predetermined properties.

Finding a control matrix from the roots

Let us find a control matrix of Cξ . For each i ∈ {1, . . . , r}, the con-
dition a(ξi ) = 0 can be understood as a linear relation, with coefficients
1, ξi , . . . , ξin−1 ∈ Fq (ξi ), that is to be satisfied by the coefficients (that we
will regard as unknowns) a0 , . . . , an−1 of a. If we express each ξij as a
linear combination of a basis of Fqm over Fq , the relation in question can
be understood as m linear relations that are to be satisfied by a0 , . . . , an−1 .
Therefore the conditions that define Cξ are equivalent to mr linear equa-
tions with coefficients in Fq . A control matrix for Cξ can be obtained by
selecting a submatrix H of the matrix A of the coefficients of this linear sys-
tem of equations such that the rows of H are linearly independent and with
rank (H) = rank (A) (for an implementation of this method, see the listing in
Remark 4.2).
3.14 Example (The Hamming codes revisited). Let m be a positive integer
such that gcd (m, q − 1) = 1, and define n = (q m − 1)/(q − 1). Let ω ∈ Fqm
be a primitive n-th root of unity (if α is a primitive element of Fqm , take
ω = αq−1 ). Then Cω is equivalent to the Hamming code of codimension m,
Hamq (m).
Indeed, n = (q − 1)(q m−2 + 2q m−3 + . . . + m − 1) + m, as it can
easily be checked, and hence gcd (n, q − 1) = 1. It follows that ω q−1 is a
primitive n-th root of unity and hence that ω i(q−1) 6= 1 for i = 1, . . . , n − 1.
In particular, ω i 6∈ Fq . Moreover, ω i and ω j are linearly independent over Fq
if i 6= j. Since n is the maximum number of vectors of Fqm that are linearly
independent over Fq (cf. Remark1.39), the result follows from the above
136 Chapter 3. Cyclic Codes

description of the control matrix of Cω and the definition of the Hamming

code Hamq (m) (p. 44).

BCH codes
An important class of cyclic codes, still used a lot in practice,
was discovered by R. C. Bose and D. K. Chaudhuri (1960) and
independently by A. Hocquenghem (1959).
J. H. van Lint, [29], p. 91.

Let ω ∈ Fqm be a primitive n-th root of unity. Let δ > 2 and ` > 1 be
integers. Write BCH ω (δ, `) to denote the cyclic code of length n generated
by the least common multiple g of the minimal polynomials gi = pω`+i ,
i ∈ {0, . . . , δ − 2}. This code will be said to be a BCH code (for Bose–
Chaudhuri–Hocquenghem) with designed distance δ and offset `. In the case
` = 1, we will write BCH ω (δ) instead of BCH ω (δ, 1) and we will say that
these are strict BCH codes. A BCH code will be said to be primitive if n =
q m − 1 (note that this condition is equivalent to say that ω is a primitive
element of Fqm ).

3.15 Theorem (BCH bound). If d is the minimum distance of BCH ω (δ, `),
then d > δ.
Proof: First note that an element a ∈ F[x]n belongs to BCH ω (δ, `) if and
only if a(ω `+i ) = 0 for all i ∈ {0, . . . , δ − 2}. But the relation a(ω `+i ) = 0
is equivalent to

a0 + a1 ω `+i + . . . + an−1 ω (n−1)(`+i) = 0

and therefore
(1, ω `+i , ω 2(`+i) , . . . , ω (n−1)(`+i) )
is a control vector of BCH ω (δ, `). But the matrix H whose rows are these
vectors has the property, by the Vandermonde determinant, that any δ − 1 of
its columns are linearly independent. Indeed, the determinant of the columns
j1 , . . . , jδ−1 is equal to

ω j1 ` ... ω jδ−1 ` 1 ... 1

ω j1 (`+1)
... ω jδ−1 (`+1) ω j1 ... ω jδ−1
.. .. = ω j1 ` · · · ω jδ−1 ` .. ..
. . . .
ω j1 (`+δ−2) ... ω jδ−1 (`+δ−2) ω j1 (δ−2) ... ω jδ−1 (δ−2)

which is nonzero if j1 , . . . , jδ−1 are distinct integers.

3.3. Roots of a cyclic code 137

3.16 Example. The minimum distance of a BCH code can be greater than
the designed distance. Let q = 2 and m = 4. Let ω be a primitive element
of F16 . Since ω has order 15, we can apply the preceeding results in the
case q = 2, m = 4 and n = 15. The 2-cyclotomic classes modulo n are
{1, 2, 4, 8}, {3, 6, 12, 9}, {5, 10}, {7, 14, 13, 11}. This shows, if we write
Cδ = BCH ω (δ) and dδ = dCδ for simplicity, that C4 = C5 , hence d4 = d5 >
5, and C6 = C7 , hence d6 = d7 > 7. Note that the dimension of C4 = C5 is
15 − 2 · 4 = 7, and the dimension of C6 = C7 is 15 − 2 · 4 − 2 = 5.
3.17 Example. This example is similar to the previous one, but now q = 2
and m = 5. Let ω be a primitive element of F32 . The 2-cyclotomic classes
modulo 31 are

{1, 2, 4, 8, 16}, {3, 6, 12, 24, 17}, {5, 10, 20, 9, 18},
{7, 14, 28, 25, 19}, {11, 22, 13, 26, 21}, {15, 30, 29, 27, 23}

and so we see, with similar conventions as in the previous example, that

C4 = C5 , C6 = C7 , C8 = C9 = C10 = C11 and C12 = C13 = C14 = C15 .
Therefore d4 = d5 > 5, d6 = d7 > 7, d8 = d9 = d10 = d11 > 11 and
d12 = d13 = d14 = d15 > 15. If we write kδ = dim (Cδ ), then we have
k4 = 31 − 2 · 5 = 21, k6 = 31 − 3 · 5 = 16, k8 = 31 − 4 · 5 = 11 and
k12 = 31 − 5 · 5 = 6.
E.3.15. Let C be a cyclic code of length n and assume that ω i is a root of C
for all i ∈ I, where I ⊆ {0, 1, . . . , n − 1}. Suppose that |I| = δ − 1 and that
(i + 1 mod n) ∈ I for all i ∈ I. Show that the minimum distance of C is
not less than δ.
E.3.16. If ω is a primitive element of F64 , prove that the minimum distance
of BCH ω (16) is > 21 and that its dimension is 18.
In relation to the dimension of BCH ω (δ, `), we have the following bound:
3.18 Proposition. If m = ord n (q), then

dim BCH ω (δ, `) > n − m(δ − 1).

Proof: If g is the generating polynomial of BCH ω (δ, `), then

dim BCH ω (δ, `) = n − deg (g).

Since g is the least common multiple of the minimum polynomials

pi = pω`+i , i = 1, . . . , ` − 1,

and deg (pω`+i ) 6 [Fqm : Fq ] = m, it is clear that deg (g) 6 m(δ − 1), and
this clearly implies the stated inequality.
138 Chapter 3. Cyclic Codes

Improving the dimension bound in the binary case

The bound in the previous proposition can be improved considerably for
binary BCH codes in the strict sense. Let Ci be the 2-cyclotomic class of i
modulo n. If we write pi to denote the mimimum polynomial of ω i , where ω
is a primitive n-th root of unity, then pi = p2i , since 2i mod n ∈ Ci . It turns
out, if t > 1, that
lcm(p1 , p2 , . . . , p2t ) = lcm(p1 , p2 , . . . , p2t−1 ) = lcm(p1 , p3 , . . . , p2t−1 ). [3.5]

Now the first equality tells us that BCH ω (2t + 1) = BCH ω (2t), so that it is
enough to consider, among the binary BCH codes in the strict sense, those
that have odd designed distance.
3.19 Proposition. In the binary case, the dimension k of a binary code
BCH ω (2t + 1) of length n and designed distance δ = 2t + 1 satisfy the
following inequality:
k > n − tm,
where m = ord n (2).
Proof: Let g be the polynomial [3.5]. Since the first expression of g in
[3.5] is the generating polynomial of BCH ω (2t + 1), we know that k = n −
deg (g). But looking at the third expression of g in [3.5] we see that deg (g)
is not higher than the sum of the degrees of p1 , p3 , . . . , p2t−1 and therefore
deg (g) 6 tm because the degree of each pi is not higher than m.

Table 3.1: Strict BCH binary codes of length 15 and 31, where pi1 ,...,ir =
p i1 · · · p i r .

δ g k d
δ g k d 1 1 31 1
1 1 15 1 3 p1 26 3
3 p1 11 3 5 p1,3 21 5
5 p1,3 7 5 7 p1,3,5 16 7
7 p1,3,5 5 7 9,11 p1,3,5,7 11 11
9–15 X 15 − 1 0 – 13,15 p1,3,5,7,9 6 15
17–31 X 31 − 1 0 –

3.20 Example. The lower-bound of the above proposition, when applied to

the code BCH ω (8) = BCH ω (9) of the example 3.17, gives us that
k > n − tm = 31 − 4 · 5 = 11.
Since the dimension of this code is exactly 11, we see that the bound in
question cannot be improved in general (cf. P.3.18).
3.3. Roots of a cyclic code 139

E.3.17. Let f = x4 + x3 + x2 + x + 1 ∈ Z2 [X], F = Z2 [X]/(f ) and α a

primitive element of F . Find the dimension and a control matrix of BCH α (5).

The Golay code is probably the most important of all codes, for
both practical and theoretical reasons.
F.J. MacWilliams, N.J.A. Sloane, [14], p. 64.

3.21 Example (The binary Golay code). Let q = 2, n = 23 and m = ord n (2)
= 11. So the splitting field of X 23 − 1 ∈ Z2 [X] is L = F211 . The 2-
cyclotomic classes modulo 23 are as follows:

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}.

If ω ∈ L is a primitive 23rd root of unity, the generating polynomial of

C = BCH ω (5) is
g = lcm(p1 , p2 , p3 , p4 ) = p1 .
As deg (p1 ) = |C1 | = 11, it turns out that dim (C) = 23 − 11 = 12.
Moreover, C has miminum distance 7 (see E.3.18), and so C is a perfect
binary code of type [23, 12, 7]. It is known that all codes of type (23, 212 , 7)
are equivalent to C (cf. [29] for an easy proof) and any such code will be
said to be a binary Golay code.
E.3.18. Show that the minimum distance of the binary code introduced in the
example 3.21 is 7. Hint: Prove that the parity extension of C has minimum
distance 8 arguing as in Example 3.6 to prove that the extended ternary Golay
code has minimum distance 6 (for another proof, see P.3.11).
88 Normalized generating matrix of the binary Golay code

Primitive Reed–Solomon codes

NASA uses Reed–Solomon codes extensively in their deep space
programs, for instance on their Galileo, Magellan and Ulysses
missions.
Roman [1992], pàg. 152.

We have introduced RS codes in Example 1.24. It turns out that in the

case n = q − 1 the RS codes are a special type of BCH primitive codes.
Before proving this (see Proposition 3.22), it will help to have a closer look
at such codes. Let F be a finite field and let ω ∈ F be a primitive element.
140 Chapter 3. Cyclic Codes

Let δ be an integer such that 2 6 δ 6 n. Consider the code C = BCH ω (δ).

The length of this code is n = q − 1 and its generating polynomial is

g = (X − ω)(X − ω 2 ) · · · (X − ω δ−1 ),

as the minimum polynomial of ω i over F is clearly X − ω i . In particular,

k = n − δ + 1, where k is the dimension of C. Thus δ = n − k + 1, and
since d > δ, by the BCH bound, and d 6 n − k + 1, by the Singleton bound,
we have that d = δ = n − k + 1, and so C is an MDS code.
3.22 Proposition. The code BCH ω (δ) coincides with the Reed–Solomon code
RS 1,ω,...,ω n−1 (n − δ + 1).

Proof: According to Example 1.30, the Vandermonde matrix

H = V1,δ−1 (1, ω, . . . , ω n−1 )

is a control matrix of C = RS 1,ω,...,ωn−1 (n − δ + 1). The i-th row of H

is (1, ω i , . . . , ω i(n−1) ) and so the vectors a = (a0 , a1 , . . . , an−1 ) of C are
those that satisfy a0 + a1 ω i + · · · + an−1 ω i(n−1) = 0, i = 1, . . . , δ − 1. In
terms of the polynomial aX , this is equivalent to say that ω i is a root of aX
for i = 1, . . . , δ − 1 and therefore C agrees with the cyclic code whose roots
are ω, . . . , ω δ−1 . But this code is just BCH ω (δ).

Summary

• Determination of a cyclic code by the set of roots of its generating

polynomial. Construction of a control matrix from a generating set of
roots.
• The BCH codes and the lower bound on the minimum distance (the
minimum distance is at least the designed distance). Lower bounds on
the dimension (the general bound and the much improved bound for
the binary case).
• The primitive RS codes are BCH codes.

Problems
P23 i
P.3.10 (Weight
P24 enumerator of the binary Golay code). Let a = i=0 ai z
and ā = i=0 āi z i be the weight enumerators of the binary Golay code C
and its parity completion C̄, respectively.
3.3. Roots of a cyclic code 141

1) Prove that ai = a23−i for i = 0, . . . , 23 and āi = ā24−i for i =

0, . . . , 24.
2) Since C̄ only has even weight vectors and its minimum distance is 8,
we have

ā = 1 + ā8 z 8 + ā10 z 10 + ā12 z 12 + ā10 z 14 + ā8 z 16 + z 24 .

Use the MacWilliams identities for C̄ to show that ā8 = 759, ā10 = 0
and ā12 = 2576.
3) Show that a7 + a8 = ā8 , a9 = a10 = 0 and a11 = a12 = ā12 /2.
4) Use the MacWilliams identities for C to prove that a7 = 253 and
a8 = 506. Hence the weight enumerator of C is

1 + 253z 7 + 506z 8 + 1288z 11 + 1288z 12 + 506z 15 + 253z 16 + z 24 .

P.3.11. The complete factorization over Z2 of X 23 − 1 has the form

X 23 − 1 = (X − 1)g0 g1 .

where g0 and g1 have degree 11. The binary Golay code C has been defined
as Cg0 .
1) With the notations of the example 3.21, show that the roots of g0 (g1 )
have the form ω j , where j is a nonzero quadratic residue (a quadratic
non-residue) of Z23 .
2) Using that k = −1 is not a quadratic residue modulo 23, check that
π−1 is the map a 7→ e a that reverses the order of vectors. In partic-
ular we have ge0 = g1 (this can be seen directly by inspection of the
factorization of X 23 − 1 over Z2 ).

P.3.12 A code C of length n is called reversible if a = (a0 , a1 , . . . , an−1 ) ∈

a = (an−1 , an−2 , . . . , a0 ) ∈ C.
C implies that e
1) Show that a cyclic code is reversible if and only if the inverse of each
root of the generating polynomial g of C is again a root of g.
2) Describe the form that the divisor g of X n − 1 must have in order that
the cyclic code Cg is reversible.

P.3.13. For n = 15 and n = 31, justify the values of g, k and d on the table
3.1 corresponding to the different values of δ.
P.3.14 Find a control matrix for a binary BCH code of length 31 that corrects
2 errors.
142 Chapter 3. Cyclic Codes

P.3.15. Find a generating polynomial of a BCH code of length 11 and de-

signed distance 5 over Z2 .
P.3.16. Find the dimension of a BCH code over F3 of length 80 and with the
capacity to correct 5 errors.
P.3.17. Calculate a generating polynomial of a ternary BCH code of length
26 and designed distance 5 and find its dimension.
P.3.18. Let m > 3 and t > 1 be integers, α a primitive element of F2m and
k(m, t) the dimension of the code BCH α (2t + 1) (thus we assume that 2t <
2m − 1). Let f = bm/2c and tm = 2f −1 . Prove that k(m, t) = 2m − 1 − mt
if t 6 tm .
3.4. The Meggitt decoder 143

3.4 The Meggitt decoder

The basic decoder of Section 8.9 was first described by Meggitt

(1960).
W.W. Peterson and E.J. Weldon, Jr., [19], p. 265.

Essential points

• Syndrome of the received vector (polynomial).

• The Meggitt table.
• The Meggitt decoding algorithm.

Syndromes
Let g ∈ F[x] be the generating polynomial of a cyclic code C of length n
over F. We want to implement the Meggitt decoder for C (as presented,
for example, in [18], Ch. XVII). In this decoder, a received vector y =
[y0 , . . . , yn−1 ] is seen as a polynomial y0 +y1 x+· · ·+yn−1 xn−1 ∈ F[x]n and
by definition the syndrome of y, S(y), is the remainder of the Euclidean divi-
sion of y by g (in computational terms, remainder(y,g). The vectors with zero
syndrome are, again by definition, the vectors of C. Note that since g divides
X n − 1, S(y) coincides with the n-cyclic reduction of remainder(y(X),g(X).
In the sequel we will not distinguish between both interpretations.
3.23 Proposition. We have the identity S(xy) = S(xS(y)).
Proof: By definition of S(y), there exists q ∈ F[x]n such that y = qg+S(y).
Multiplying by x, and taking residue mod g, we get the result.
3.24 Corollary. If we set S0 = S(y) and Sj = S(xj y), j = 1, . . . , n − 1,
then Sj = S(xSj−1 ).

The Meggitt table

If we want to correct t errors, where t is not greater than the error-correcting
capacity, then the Meggitt decoding scheme presupposes the computation
of a table E of the syndromes of the error-patterns of the form axn−1 + e,
144 Chapter 3. Cyclic Codes

where a ∈ F∗ and e ∈ F[x] has degree n − 2 (or less) and at most t − 1

non-vanishing coefficients.
3.25 Example (Meggitt table of the binary Golay code). The binary Golay code
can be defined as the length n = 23 cyclic code generated by
g = x11 + x9 + x7 + x6 + x5 + x + 1 ∈ Z2 [x]
and in this case, since the error-correcting capacity is 3 (see Example 3.21),
the Meggitt table can be encoded in a Divisor as shown in the link 89 Meggitt
table for the binary Golay code .
Thus we have that E(s) is 0 for all syndromes s that do not coincide with
the syndrome of x22 , or of x22 + xi for i = 0, . . . , 21, or of x22 + xi + xj
for i, j ∈ {0, 1, . . . , 21} and i > j. Otherwise E(s) selects, among those
polynomials, the one that has syndrome s.
3.26 Example (Meggitt table of the ternary Golay code). The ternary Golay
code can be defined as the length 11 cyclic code generated by
g = x5 + x4 + 2x3 + x2 + 2 ∈ Z3 [x]
and in this case, since the error-correcting capacity is 2, the Meggitt table
can be defined as indicated in the link 90 Meggitt table for the ternary Golay
code.

The Meggitt algorithm

If y is the received vector (polynomial), the Meggitt algorithm goes as fol-
lows:
1) Find the syndrome s = s0 of y.
2) If s = 0, return y (we know y is a code vector).
3) Otherwise compute, for j = 1, 2, . . . , n − 1, the syndromes sj of xj y,
and stop for the first j > 0 such that e = E(s) 6= 0.
4) Return y − e/xj .
In 91 Megitt decoder we can see the definition of the function meggitt(y,g,n)
which implements the Meggitt decoding algorithm. Its parameters are y, the
polynomial to be decoded, g, the polynomial generating the code, and n, the
length. That link also contains an example of decoding the ternary Golay
code. This example can be easily modified so as to produce a decoding ex-
ample for the binary Golay code. Note that Meggitt decoding of the Golay
codes is complete, as these codes are perfect.

Summary
3.4. The Meggitt decoder 145

• The syndrome S(y) of the received polynomial y is defined as remain-

der(y,g). It is zero if and only if y is a code polynomial. The syndromes
Sj = S(xj y) satisfy the relation Sj = S(xSj−1 ) for j > 0.
• The Meggitt table. The entries in this table have the form

S(axn−1 + e) → axn−1 + e,

where e is a polynomial of degree < n − 1 and with at most t nonzero

terms (t is the correcting capacity) and a is a nonzero element of the
field.
• The Meggitt decoding algorithm. If S(y) 6= 0, finds the smallest shift
xj y such that Sj = S(xj y) 6= 0. Then we know that the term of
degree n − 1 − j of y is an error and that the error coefficient is the
leading term of E(Sj ).

Problems
P.3.19. Consider the Hamming code Ham2 (r), regarded as the cyclic code
Cα , where α is a primitive root of F2r . What is the Megitt table in this case?
For r = 4, with α4 = α + 1, decode the vector 15 |010 with the Meggitt
algorithm.
P.3.20. Let α be a primitive element of F16 such that α4 = α + 1 and let

g(x) = x10 + x8 + x5 + x4 + x2 + x + 1

be the generating polynomial of a binary BCH code of type [15, 5]. Assuming
that we receive the vector

v = 000101100100011,

find the nearest code vector and the information vector that was sent.
P.3.21 Let C = BCH α (5), where α ∈ F32 is a root of the irreducible polyno-
mial X 5 + X 2 + 1 ∈ Z2 [X]. Thus C corrects two errors. What is the dimen-
sion of C? Assuming that the received vector has syndrome 1110011101,
and that at most two errors have occurred, find the possible error polynomi-
als.
P.3.22 Let C = BCH α (7), where α ∈ F32 is a root of X 5 +X 2 +1 ∈ F2 [X].
1) Find the generating polynomial of C.
2) Decode the vector 0000000111101011111011100010000.
146 Chapter 4. Alternant Codes

4 Alternant Codes

Alternant codes are a [...] powerful family of codes. In fact, it

turns out that they form a very large class indeed, and a great
deal remains to be discovered about them
F. MacWilliams and N.J.A. Sloane, [14], p. 332

In this chapter we will introduce the class of alternant codes over Fq by

means of a (generalized) control matrix. This matrix looks like the control
matrix of a general Reed–Solomon code (Example 1.26), but it is defined
over an extension Fqm of Fq and the hi need not be related to the αi . Lower
bounds for the minimum distance and the dimension follow easily from the
definition. In fact these bounds generalize the corresponding lower bounds
for BCH codes and the proofs are similar.
The main reasons to study alternant codes are that they include, in addi-
tion to general Reed–Solomon codes, the family of classical Goppa codes (a
class that includes the strict BCH codes), that there are good decoding algo-
rithms for them, and that they form a family of asymptotically good codes.
For decoding, the main concepts are the error-location and the error-
evaluation polynomials, and the so-called key equation (a congruence) that
they satisfy. Any method for solving the key equation amounts to a de-
coding algorithm. The most effective methods are due to Berlekamp and
Sugiyama. Although Berlekamp’s method is somewhat better for very large
lengths, here we will present Sugiyama’s method, because it is consider-
ably easier to understand (it is a variation of the Euclidean algorithm for the
gcd ) and because it turns out that Berlekamp’s method, which was discov-
ered first (1967), can be seen as an optimized version of Sugiyama’s method
(1975). Since the decoder based on Berlekamp’s method is usually called the
Berlekamp–Massey decoder, here the decoder based on Sugiyama’s method
will be called Berlekamp–Massey–Sugiyama decoder.
We also present an alternative method to solve the key equation based on
linear algebra, which is the basis of the Peterson–Gorenstein–Zierler decoder
 147

developed by Peterson (1960) and Gorenstein–Zierler (1961).

148 Chapter 4. Alternant Codes

4.1 Definitions and examples

The alternant codes were introduced by H. J. Helgert (1974).

J. H. van Lint, [29], p. 147.

Essential points

• Alternant matrices. Alternant codes.

• Lower-bounds on the dimension and on the minimum distance (alter-
nant bounds).
• General RS are alternant codes. Generalized Reed–Solomon codes
(GRS ) and its relation to alternant codes.
• BCH codes and classical Goppa codes are alternant codes.
• The classical Goppa codes include the BCH codes.

Let K = Fq and K̄ = Fqm . Let α1 , . . . , αn and h1 , . . . , hn be elements of

K̄ such that hi 6= 0 for all i and αi 6= αj for all i 6= j and consider the
matrix
H = Vr (α1 , . . . , αn )diag (h1 , . . . , hn ) ∈ Mnr (K̄), [4.1]
that is,  
h1 ... hn
 h1 α1 ... hn αn 
H= [4.2]
 
.. .. 
 . . 
h1 α1r−1 . . . hn αnr−1
We say that H is the alternant control matrix of order r associated with the
vectors
h = [h1 , . . . , hn ] and α = [α1 , . . . , αn ].
To make explicit that the entries of h and α (and hence of H) lie in K̄, we
will say that H is defined over K̄.
In order to construct the matrix 4.2, observe that each of its r rows is, ex-
cept the first, the componentwise product of the previous row by α. Hence
we introduce the function componentwise_product(a, b), then use it to con-
struct the Vandermonde matrix Vr (α), with vandermonde_matrix(α, r), and
finally the formula [4.1] is used to define alternant_matrix(h, α, r), our main
constructor of alternant matrices. See 92 Constructing alternant matrices .
4.1. Definitions and examples 149

We will also need (in the decoding processes studied in sections 2-4) the
vector
β = [β1 , . . . , βn ], where βi = 1/αi (i = 1, . . . , n),

which of course is defined only if all the αi are not zero. The computation
of this vector is done with the function invert_entries, which yields, when
applied to a vector v, the result of mapping the pure function x → 1/x to all
components of v (see 93 Inverting the entries of a vector).

Alternant codes

The K-code AK (h, α, r) defined by the control matrix H is the subspace of

K n whose elements are the vectors x such that xH T = 0. Such codes will
n
be called alternant codes. If we define the H-syndrome of a vector y ∈ K
r
as s = yH T ∈ K , then AK (h, α, r) is just the subspace of K n whose
elements are the vectors with zero H-syndrome. If h = α, we will write
AK (α, r) instead of AK (α, α, r). On the other hand, we will simply write
A(h, α, r) or A(α, r) when K = Z2 .
The main constructor of alternant codes is alternant_code(h, α, r). It re-
turns a table C={h_=h, a_=α, r_=r, b_=β, H_=H}, where β=invert_entries(α)
and H=alternant_matrix(h, α, r). The fields of this table, say H_, can be
accessed as either C(H_) or, more conveniently, H_(C). As it will become
clear later on, the table C stores the data constructed from h, α and r that
are needed to decode alternant codes, and in particular by means of the
Berlekamp–Massey–Sugiyama algorithm. If K is a finite field, the function
call alternant_code(h, α, r, K) adds to the table the entry K_= K, which is
meant to contain the base field of the code.
It should be remarked that in expressions such as C(H_), H_ is local
to C, in the sense that there is no interference with another identifier H_
used outside C, even if this identifier is bound to a value. The alternative
expression H_(C), however, only works properly if H_ has not been assigned
a value outside C.
94 Constructing alternant codes

4.1 Proposition (Alternant bounds). If C = AK (h, α, r), then n − r >

dim C > n − rm and dC > r + 1 (minimum distance alternant bound).

Proof: Let H 0 be the rm × n matrix over K obtained by replacing each

element of H by the column of its components with respect to a basis of K̄
over K. Then C is also the code associated to the control matrix H 0 and
since the rank of H 0 over K is at most rm, it is clear that dim (C) > n − rm.
Now the r × r minor of H corresponding to the columns i1 , . . . , ir is
150 Chapter 4. Alternant Codes

equal to

hi1 ... hir 1 ... 1

hi1 αi1 ... hir αir αi1 ... αir
.. .. = hi1 · · · hir .. ..
. . . .
hi1 αir−1
1
... hir αir−1
r
αir−1
1
... αir−1
r

= hi1 · · · hir Dr (αi1 , . . . , αir ),

which is non-zero (we write Dr (αi1 , . . . , αir ) to denote the determinant of

the Vandermonde matrix Vr (αi1 , . . . , αir )). This means that any r columns
of H are linearly independent over K and consequently the minimum dis-
tance of C is at least r + 1 (proposition 1.25).
Finally, dim (C) 6 n + 1 − dC by the Singleton bound, which together
with dC > r + 1 gives dim (C) 6 n − r. And with this the proof is complete.

4.2 Remark. The map H 7→ H 0 explained at the beginning of the previous

proof (recall also the method for finding a control matrix for the cyclic code
Cξ explained on page 135) can be implemented as follows: Assume K is
finite field and that F = K̄ is obtained as F=extension(K,f(t)), where f is
an irreducible polynomial of degree m over K. Let H be a matrix of type
r × n over F . Then the matrix H 0 of type rm × n over K obtained by
replacing each entry of H by the column of its components with respect to
the basis 1, t, . . . , tm−1 is provided by the function blow(H,F). Note that the
call blow(h,F), where h is a vector with components in F , is the auxiliary
routine that delivers the result of replacing each entry of h by the row of its
components with respect to 1, t, . . . , tm−1 (see 95 The function blow(H,F)).
We also include the function prune(H) that selects, given a matrix H of rank
r, r rows of H that are linearly independent (see 96 The function prune(H)).

4.3 Example. Let α ∈ F8 and assume that α3 = α + 1. Consider the matrix

 
1 1 1 1 1 1 1
H=
1 α α2 α3 α4 α5 α6

and let C be the alternant binary code associated to H. Let us see that C ≡
[7, 3, 4], so that d = 4 > 3 = r + 1.
First the minimum distance d of C is > 4, as any three columns of H are
linearly independent over F2 . On the other hand, the first three columns and
the column of α5 are linearly dependent, for α5 = α2 + α + 1, and so d = 4.
Finally the dimension of C is 3, because it has a control matrix of rank 4
over F2 , as the link 97 Computing the dimension of alternant codes shows.
4.1. Definitions and examples 151

Reed–Solomon codes
Given distinct elements α1 , . . . , αn ∈ K, we know from Example 1.26 that
the Reed–Solomon code C = RS α1 ,...,αn (k) ⊆ K n (see Example 1.24) has
a control matrix of the form

H = Vn−k (α1 , . . . , αn )diag (h1 , . . . , hn ),

with Y
hi = 1/( (αj − αi )). [4.3]
j6=i

Hence
RS α1 ,...,αn (k) = AK (h, α, n − k),
where h = (h1 , . . . , hn ) is given by [4.3]. Note that in this case K = K,
hence m = 1, and that the alternant bounds are sharp, because we know that
the minimum distance of C is n − k + 1 = r + 1, where r is the number
of rows of H, and k = n − r. The idea that Reed–Solomon codes can be
defined as a special case of alternant codes is implemented in the function
call RS(α,k) defined in 98 General RS codes.
4.4 Remark (Generalized Reed–Solomon codes). The vector h in the def-
inition of the code RS α1 ,...,αn (k) as an alternant code is obtained from α
(formula [4.3]). If we allow that h can be chosen possibly unrelated to α,
but still with components in K, the resulting codes AK (h, α, n − k) are
called Generalized Reed–Solomon codes, and we will write GRS (h, α, k) to
denote them. See 99 GRS codes for an implementation. It should be clear at
this point that GRS (h, α, k) is scalarly equivalent to RS α (k).
Note that by definition of alternant codes, we have the following relation:
n
if K is a finite field, r a positive integer and h, α ∈ K , the linear code over
K defined by the alternating control matrix H of order r associated to h and
α is the generalized Reed–Solomon code GRS (h, α, r) and

AK (h, α, r) = GRS (h, α, r) ∩ K n .

E.4.1. If h0 = (h1 , . . . , hn ) is a nonzero vector in the kernel of

Vn−1 (α1 , . . . , αn )diag (h1 , . . . , hn ),

prove that the dual of GRS (h, α, r) is GRS (h0 , α, n − r). This result can
be seen as a generalization of the formula for the control matrix of a Reed–
Solomon code.
152 Chapter 4. Alternant Codes

BCH codes
BCH codes are of great practical importance for error correc-
tions, paticularly if the expected number of errors is small com-
pared with the length.
F. MacWilliams and N. J. A. Sloane, [14], p. 257.

Let now α be an element of K̄, d a positive integer and l a non-negative

integer. Let n denote the order of α. Then we know that a control matrix
of C = BCH α (d, l) (the BCH code over K associated to α with designed
distance d and offset exponent l) is

αl α2l α(n−1)l
 
1 ...
1 α(l+1) α2(l+1) . . . α(n−1)(l+1) 
H = .
 
. .
. .
. .. 
. . . . 
1 α(l+d−2) α2(l+d−2) . . . α(n−1)(l+d−2)

which is the alternant control matrix of order d − 1 associated to the vectors

h = (1, αl , α2l , . . . , α(n−1)l ) and α = (1, α, α2 , . . . , αn−1 ).

Thus we see that C can be defined as alternant_code(h, α, r) with h set to

the vector geometric_series(αl , n), α to the vector geometric_series(α, n),
and r to d − 1 (see 100 Constructing BCH codes). By default we take l = 1
(BCH codes in the strict sense). Note that the alternant bound coincides with
the BCH bound.
E.4.2. Prove that the minimum distance of the BCH code defined in Con-
structing BCH codes is 7.

Primitive RS codes
Beside serving as illuminating examples of BCH codes, they
are of considerable practical and theoretical importance.
F. MacWilliams and N. J. A. Sloane, [14], p. 294.

Given a finite field K = Fq and an integer k such that 0 6 k 6 n,

n = q − 1, the Reed–Solomon code of dimension k associated to K is
RS 1,ω,··· ,ω n−1 (k), where ω is a primitive element of K. But we know (Propo-
sition 3.22) that this code coincides, if r = n − k, with BCH ω (r + 1). This
is the formula used in 101 Constructing primitive RS codes to define the fun-
tion RS(K,k). Since in this case we know for certain that K is the field over
which the code is defined, we include the table-field K_= K in the definition
of the code.
4.1. Definitions and examples 153

E.4.3. Show that if α is a primitive element of a finite field F , then the matrix
Vn (α, . . . , αn−k )T is a control matrix for RS (F, k).
E.4.4. Let ρ be a real number such that 0 < ρ < 1 and t a positive integer.
If K denotes an arbitrary finite field, show that the minimum q = |K| such
that the code RS (K, k) has rate at least ρ and corrects t errors satisfies

2t
q >1+ .
1−ρ

Conversely, given ρ ∈ (0, 1) and a positive integer t, if q satisfies the condi-

tion and K = Fq , then the code RS (K, n − 2t), n = q − 1, has rate at least
ρ and it corrects t errors. See 102 The function next_q(ρ, t) . For example, if
we want a rate of 3/4 and that 7 errors are corrected, then we need q = 59.
For correcting 10 errors we need q = 81.
Generating matrix. Let ω be the primitive element of K used to construct
the control matrix H of C = RS (K, k). Since

C = RS 1,ω,...,ωn−1 (k) (n = q − 1, k = n − r),

a generating matrix of C is given by the Vandermonde matrix

Vk (1, ω, . . . , ω n−1 ).

This matrix is supplied by the function rs_G(ω, k).

103 Generating matrix of RS(K,r)

Mattson–Solomon matrix. If α is an element of a finite field K, and n =

ord (α), the n×n matrix (αij ), where 0 6 i, j 6 n−1, is called the Mattson–
Solomon matrix of α. The Mattson–Solomon matrix of K is defined to be
the Mattson–Solomon matrix of a primitive element of F .
104 Mattson–Solomon matrix of an element and of a finite field

E.4.5 (Mattson–Solomon transform). Let K be a finite field and α ∈ K an

element of order n. Let M = Mα be the Mattson–Solomon matrix of α.
Then the linear map K n → K n such that x 7→ xM is called the Mattson–
Solomon transform of K n relative to α. Show that if y = xM , then yM =
nbx, where x
b = (x0 , xn−1 , . . . , x1 ).

Classical Goppa codes

In order to solve the problem of coding and decoding powerful
methods from modern algebra, geometry, combinatorics and
number theory have been employed.
V.D. Goppa, [?], p. 75.
154 Chapter 4. Alternant Codes

Let g ∈ K̄[T ] be a polynomial of degree r > 0 and let α = α1 , . . . , αn ∈

K̄ be distinct elements such that g(αi ) 6= 0 for all i. Then the classical
Goppa code over K associated with g and α, which will be denoted Γ(g, α),
can be defined (see [14], Chapter 12) as alternant_code(h, α, r), where h is
the vector [1/g(α1 ), . . . , 1/g(αn )]. In this way it is clear from Proposition
4.1 that the minimum distance of Γ(g, α) is > r + 1 and that its dimension
k satisfies n − rm 6 k 6 n − r.
The code Γ(g, α) is provided by the function goppa(g,α). See 105 Constructing
classical Goppa codes .

E.4.6. Let K = Z11 and α = [4]11 . Then α has order 5 and if a =

[1, α, . . . , α4 ], then a = [1, 4, 5, 9, 3]. Let g = (X − 2)(X − 6)(X − 7) ∈
K[X] and C = Γ(g, a). Show that C ∼ [5, 2, 4]11 , hence MDS, and check
that C is not cyclic.
The next proposition shows that the (strict) BCH codes are Goppa codes.

4.5 Proposition (Strict BCH codes are Goppa codes). If ω is a primitive el-
ement of K = Fqm and δ is an integer such that 2 6 δ 6 n, then the code
C = BCH ω (δ) coincides with C 0 = Γ(X δ−1 , α), where

α = (1, ω −1 , . . . , ω −(n−1) ).

Proof: Since the h-vector of the control matrix H 0 of C 0 is

(1, ω δ−1 , . . . , ω (δ−1)(n−1) ),

the i-th row of H 0 is equal to (1, ω δ−i , . . . , ω (δ−i)(n−1) ). Thus we see that
H 0 is the control matrix H that defines C, but with the rows in reversed order
(note that the number of rows of H 0 is deg (X δ−1 ) = δ − 1).

4.6 Example (A non-strict BCH code that is not Goppa ). Let C be the binary
cyclic code of length 15 generated by g = x2 + x + 1. Let α ∈ F16 be such
that α4 = α + 1. Then the roots of g in F16 are β = α5 and β 2 = α1 0 and
hence C = Cβ = BCH α (2, 5) (the designed distance is 2 and the offset is 5).
The (generalized) control matrix of this code is [1, β, β 2 , . . . , 1, β, β 2 ]. This
cannot have the form [1/g(α0 ), . . . , 1/g(α14 )], with the αi distinct and f a
linear polynomial g with coefficients in F16 . Hence C is not a Goppa code.

Summary

• Alternant matrices. Alternant codes. Reed–Solomon codes (not nec-

essarily primitive) and generalized Reed–Solomon codes (GRS ).
4.1. Definitions and examples 155

• Lower-bounds on the minimum distance (d > r + 1, where r is the

order of the alternant control matrix used to define the code) and on
the dimension (k > n − mr, where m is the degree of K over K). We
also have the dimension upper-bound k 6 n − r.
• The classical Goppa codes are alternant codes. The BCH codes are
classical Goppa codes (Proposition 4.5). Non-strict BCH codes, how-
ever, need not be alternant (4.6).
• In particular we will be able to decode Reed–Solomon codes and clas-
sical Goppa codes (hence also BCH codes) as soon as we know a gen-
eral decoder for the alternant codes (fast decoders of such codes are
constructed in the last two sections of this chapter).

Problems

P.4.1. Consider a Reed–Solomon code over Fq and assume its minimum

distance is odd, d = 2t + 1.
1) If we fix q and need a rate of at least ρ, show that t is bounded above
by b(1 − ρ)(q − 1)/2c.
2) If we fix q and the error-correcting capacity t, show that the rate ρ is
bounded above by 1 − 2t/(q − 1).
3) Fix q = 256 and regard the elements of F256 as bytes (8 bits) by taking
components of the field elements with respect to a basis over Z2 . Let
C be a RS code over F256 . What is the maximum number of bytes that
can be corrected with C if we need a rate of at least 9/10? What is the
maximum rate of C if we need to correct 12 bytes? In each case, what
is the length of C in bits?

P.4.2. Use K̄ = F16 and g = X 3 + X + 1 to construct a binary Goppa

code C = Γ(g, α) of maximal length and find its dimension and minimum
distance.

P.4.3. Use K̄ = F27 and g = X 3 − X + 1 to construct a ternary Goppa

code C = Γ(g, α) of maximal length and find its dimension and minimum
distance.

P.4.4. By the alternant bound, the minimum distance distance d of the Goppa
code defined in the link Constructing Goppa codes satisfies d > 7. Prove
that d = 8.
156 Chapter 4. Alternant Codes

P.4.5 (Examples of Goppa codes that are not cyclic). Let n be a positive
divisor of q − 1 (q a prime power), α ∈ Fq a primitive n-th root of unity
and a = [1, α, . . . , αn−1 ]. Let C = Γ(g, a) be the Goppa code over F
associated to a monic polynomial g ∈ F[X] of degree r and the vector a
(hence we assume g(αi ) 6= 0 for i = 0, . . . , n − 1).
1) Show that G = (αijg(αj )), for 0 6 i 6 n − r − 1 and 0 6 j 6 n − 1,
is a generating matrix of C.
2) Deduce that the elements of C have the form

vf = [f (1)g(1), f (α)g(α), . . . , f (αn−1 )g(αn−1 )],

with f ∈ F[X]n−r .
3) Prove that if C is cyclic then g = X r , and hence that C is a BCH code.
Hint: If C is cyclic, the vector [g(αn−1 ), g(1), . . . , g(αn−1 )] has to
coincide with vf , for some f , but this can only happen if f is constant
and from this one can deduce that g = X r .

P.4.6 (Alternative definition of Goppa codes). Let K = Fq and K̄ = Fqm ,

m a positive integer. Let g ∈ K̄[T ] be a polynomial of degree r > 0 and
let α = α1 , . . . , αn ∈ K̄ be distinct elements such that g(αi ) 6= 0 for all i.
Originally, Goppa defined the code Γ(g, α) as
n
X ai
{a ∈ K n | ≡0 mod g}. [4.4]
x − αi
i=0

In this problem we will see that the code defined by this formula is indeed
Γ(g, α).
1) Given α ∈ K̄ such that g(α) 6= 0, show that x−α is invertible modulo
g and that
1 1 g(x) − g(α)
=− mod g
x−α g(α) x−α
(note that (g(x) − g(α))/(x − α) is a polynomial of degree < r with
coefficients in K̄).
ai
2) Show that the condition ni=0
P
≡ 0 mod g in the definition
x − αi
[4.4] is equivalent to
n
X ai g(x) − g(α)
= 0.
g(αi ) x−α
i=1
4.1. Definitions and examples 157

3) Use the relation in 2 to prove that the code defined by [4.4] has a
control matrix of the form

H ∗ = U · H = U · Vr (α1 , . . . , αn ) · diag (h1 , . . . , hn ),

where hi = 1/g(αi ) and, if g = g0 +g1 X +· · ·+gr X r , U = (gr−i+j )

(1 6 i, j 6 n), with the convention that gl = 0 if l > r.
4) Since U is invertible, the code defined by [4.4] has also a control ma-
trix of the form H = Vr (α1 , . . . , αn )diag (h1 , . . . , hn ), and hence that
code coincides with Γ(g, α).

P.4.7 (Improved minimum distance bounds for binary Goppa codes). With
the same notations as in the preceeding problem, let ḡ be the square closure
of g (ḡ is the lowest degree perfect square that is divisible by g and can be
obtained from g by replacing each odd exponent in the irreducible factoriza-
tion of g by its even successor). We will see (cf. [14], Ch. 12,§3) that if
K = Z2 , then Γ(g, α) = Γ(ḡ, α) and hence that d > r̄ + 1, where d is the
minimum distance of Γ(g, α) and r̄ the degree of ḡ. In particular we will
have d > 2r + 1 if g has r distinct roots.
ai
1) Let a ∈ K n satisfy ni=0
P
≡ 0 mod g and set S = S(a)
x − αi
Q the support of a, so that |S| = s is the weight of a. Let
to denote
fa = i∈S (X − αi ). Show that
X 1
fa = fa0
X − αi
i∈S

(the derivative of fa ).
2) Use the fact that fa and fa0 have no common factors to show that
1
≡ 0 mod g if and only if g|fa0 .
P
i∈S
X − αi
3) Show that fa0 is a square and hence that g|fa0 if and only if ḡ|fa0 . Con-
clude from this that Γ(g, α) = Γ(ḡ, α), as wanted.

P.4.8 (MacWilliams–Sloane, [14], p. 345). Let C = Γ(g, α) be a binary

Goppa code and suppose g = (X − β1 ) · · · (X − βr ), where β1 , . . . , βr ∈
K̄ = F2m are distinct elements. Show that the Cauchy matrix (1/(βi − αj )),
1 6 i 6 r, 1 6 j 6 n, is a control matrix for C.
158 Chapter 4. Alternant Codes

4.2 Error location, error evaluation and the key equa-

tion

Helgert (1975) gave the key equation for decoding alternant

codes.
F. MacWilliams and N.J.A. Sloane, [14], p. 367

Essential points
• Basic concepts: error locators, syndrome (vector and polynomial forms),
error locator polynomial and error evaluator polynomial.
• Basic results: Forney’s formula and the key equation.
• Main result: the solution of the key equation (Berlekamp–Massey–
Sugiyama algorithm).

Basic concepts
Let C be the alternant code associated to the alternant matrix H of order r
constructed with the vectors h and α (their components lie in K 0 = Fqm ).
Let t = br/2c, that is, the highest integer such that 2t 6 r. Note that if we
let t0 = dr/2e, then t + t0 = r (we will use the equivalent equality r − t = t0
in the proof of Lemma 4.12).
Let x ∈ C (sent vector) and e ∈ Fn (error vector, or error pattern). Let
y = x + e (received vector). The goal of the decoders that we will present
in this chapter is to obtain x from y and H when s = |e| 6 t.
Let M = {m1 , . . . , ms } be the set of error positions, that is, m ∈ M
if and only if em 6= 0. Let us define the error locators ηi , i = 1, . . . , s, by
the relation ηi = αmi . Since the αj are different, the knowledge of the error
locators is equivalent to the knowledge of the error positions (given the α’s).
Define the syndrome vector S = (S0 , . . . , Sr−1 ) by the formula
(S0 , . . . , Sr−1 ) = yH T .
Note that S = eH T , as xH T = 0. Consider also the syndrome polynomial
S(z) = S0 + S1 z + · · · + Sr−1 z r−1 .
Since S = 0 is equivalent to saying that y is a code vector, henceforth we
will assume that S 6= 0.
4.2. Error location, error evaluation and the key equation 159

Ps j
E.4.7. Check that Sj = i=1 hmi emi ηi (0 6 j 6 r − 1).
E.4.8. Assuming S 6= 0, prove that the least j such that Sj 6= 0 satisfies
j < s, hence also j < t. Since gcd (z r , S(z)) = z j , gcd (z r , S(z)) has
degree strictly less than s, hence also stricly less than t. Similarly, prove that
deg (S(z)) > t. Hint: If it were j > s we would have S0 = · · · = Ss−1 = 0
and the expressions for Sj in E.4.7 would imply a contradiction.
The error locator polynomial σ(z) is defined by the formula
s
Y
σ(z) = (1 − ηi z).
i=1

Thus the roots of σ are precisely the inverses of the error locators.
We also define the error evaluator polynomial by the formula
s
X s
Y
(z) = hmi emi (1 − ηj z).
i=1 j=1,j6=i

4.7 Remark. It is possible to define the error-locator polynomial as the monic

polynomial whose roots are the error-locators. In that case the definition
of the error-evaluator and syndrome polynomials can be suitably modified
to insure that they satisfy the same key equation (Theorem 4.9), and that
the errors can be corrected with an apropriate variation of Forney’s formula
(Proposition 4.8). For the details of this approach, see P.4.9

Basic results
4.8 Proposition (Forney’s formula). For k = 1, . . . , s we have

ηk (ηk−1 )
emk =− ,
hmk σ 0 (ηk−1 )

where σ 0 is the derivative of σ.

Proof: The derivative of σ is
X Y
σ 0 (z) = − ηi (1 − ηj z)
i j6=i

and from this expression we get that

Y
σ 0 (ηk−1 ) = −ηk (1 − ηj /ηk ).
j6=k
160 Chapter 4. Alternant Codes

On the other hand we have, from the definition of , that

Y
(ηk−1 ) = hmk emk (1 − ηj /ηk ).
j6=k

Comparing the last two expressions we get the relation

ηk (ηk−1 ) = −hmk emk σ 0 (ηk−1 ),

which is equivalent to the stated formula.

4.9 Theorem (key equation). The polynomials (z) i σ(z) satisfy the con-
gruence
(z) ≡ σ(z)S(z) mod z r .

Proof: From the definition of  it is clear that we also have

s
X hmi emi
(z) = σ(z) .
1 − ηi z
i=1

But
s s
X hmi emi X X
= hmi emi (ηi z)j
1 − ηi z
i=1 i=1 j>0
s
X r−1
X
≡ hmi emi (ηi z)j mod z r
i=1 j=0
r−1  X
s 
hmi emi ηij z j
X
=
j=0 i=1
r−1
X
= Sj z j = S(z),
j=0

where we have used E.4.7 for the last step.

4.10 Remark. The key equation implies that deg (gcd (z r , S)) < t, because
gcd (z r , S) divides  (cf. the first part of E.4.8).

E.4.9. In the case of the code BCH ω (δ, l) over Fq , prove that the syndromes
S0 , . . . , Sδ−2 are the values of the received polynomial (or also of the error
polynomial) on ω l , . . . , ω l+δ−2 . Deduce from this that Sqj = (Sj )q if j, qj ∈
{l, . . . , l + δ − 2}.
4.2. Error location, error evaluation and the key equation 161

Solving the key equation

Nevertheless, decoding using the Euclidean algorithm is by far
the simplest to understand, and is certainly at least comparable
in speed with the other methods (for n < 106 ) and so it is the
method we prefer.
F. MacWilliams and N.J.A. Sloane, [14], p. 369.

The key equation shows that there exists a unique polynomial τ (z) such that

(z) = τ (z)z r + σ(z)S(z).

This equation is equivalent to the key equation and one of the main steps in
the decoding of alternant codes is to find its solution (σ and ) in terms of z r
and S(z).
Here we are going to consider the approach based on a modification of
the Euclidean algorithm to find the gcd of two polynomials. This modifica-
tion is usually called Sugiyama’s algorithm (for classical Goppa codes it was
published for the first time in [27]).

Sugiyama’s variation on the Euclidean algorithm

The input of this algorithm is the pair of polynomials r0 = z r and r1 = S(z)
(remember that we have assumed S 6= 0) and it works as follows:
1) Let ri , i = 0, . . . , j, be the polynomials calculated by means of the
Euclidean algorithm applied to r0 and r1 , but with j the first index
such that deg (rj ) < t. For i = 2, . . . , j, let qi be the quotient of the
Euclidean division of ri−2 by ri−1 , so that ri = ri−2 − qi ri−1 .
Note that since deg (r1 ) = deg (S) > t by E.4.8, we must have j > 2.
On the other hand the integer j exists, for the greatest common divisor
d of r0 and r1 has degree less than t (see E.4.8, or Remark 4.10) and
we know that the iteration of the Euclidean algorithm yields d.
2) Define v0 , v1 , . . . , vj so that v0 = 0, v1 = 1 and vi = vi−2 − qi vi−1 .
3) Output the pair {vj , rj }.
106 Sugiyama’s Euclidean algorithm
In order to prove that Sugiyama’s algorithm yields the required solution
of the key equation (Lemma 4.12), it is convenient to compute, in parallel
with v0 , v1 , . . . , vj , the sequence u0 , u1 , . . . , uj such that u0 = 1, u1 = 0,
and ui = ui−2 − qi ui−1 for i = 2, . . . , j.
E.4.10. Prove that for all i = 0, . . . , j we have ui r0 + vi r1 = ri .
162 Chapter 4. Alternant Codes

4.11 Remark (Extended Euclidean algorithm). If in the description of the

Sugiyama algorithm we let j be the last integer such that rj 6= 0, then d = rj
is the gcd (r0 , r1 ) and E.4.10 shows that a0 = uj and a1 = vj yield a solution
of a Bezout identity a0 r0 + a1 r1 = d. The vector [d, a0 , a1 ] is returned by
the function bezout.
107 Example of a call to bezout

Main results
We keep using the notations introduced in the description of Sugiyama’s
algorithm. Recall also that t0 = dr/2e and that r − t = t0 .
4.12 Lemma. Let ¯ = rj , τ̄ = uj , σ̄ = vj . Then

¯(z) = τ̄ (z)z r + σ̄(z)S(z) and deg (σ̄) 6 t0 , deg (¯

) < t.

Proof: According to E.4.10, ui r0 + vi r1 = ri for i = 0, . . . , j, which for

i = j is the claimed equality.
Now let us prove by induction on i that

deg (vi ) = r − deg (ri−1 )

for i = 1, . . . , j (hence, in particular, that deg (vi ) is strictly increasing

with i). Indeed, the relation is certaily true for i = 1. We can thus assume
that i > 1. Then vi = vi−2 − qi vi−1 and

deg (vi ) = deg (qi ) + deg (vi−1 ) (deg (vi−2 < deg (vi−1 )) by induction)
= deg (ri−2 ) − deg (ri−1 ) + r − deg (ri−2 )
= r − deg (ri−1 )

(in the second step we have used the definition of qi and the induction hy-
pothesis). In particular we have

deg (σ̄) = deg (vj ) = r − deg (rj−1 ) 6 r − t = t0 ,

which yields the first inequality. The second inequality is obvious, by defi-
nition of j and ¯.
E.4.11. With the same notations as in Lemma 4.12, use induction on i to
show that
ui vi−1 − vi ui−1 = (−1)i ,
i = 1, . . . , j, and deduce from it that gcd (ui , vi ) = 1. In particular we obtain
that gcd (τ̄ , σ̄) = 1.
4.2. Error location, error evaluation and the key equation 163

4.13 Theorem. With the notations as in Lemma 4.12, there exists ρ ∈ F∗qm
such that σ = ρσ̄ and  = ρ¯
.
Proof: Multiplying the key equation (Theorem 4.9) by σ̄, the equality in
Lemma 4.12 by σ, and subtracting the results, we obtain the identity

σ̄ − ¯σ = (σ̄τ − τ̄ σ)z r .

Now the degree of the polynomial on the left is < r, because

deg (σ̄) = deg (σ̄) + deg () 6 t0 + t − 1 = r − 1

and
deg (σ¯
) ) 6 t + t − 1 6 r − 1.
= deg (σ) + deg (¯
Since the right hand side of the identity contains the factor z r , we infer that

σ̄ = ¯σ, σ̄τ = τ̄ σ.

Therefore
σ|σ̄, σ̄|τ̄ σ.
Since gcd (σ, ) = 1, for no root of σ is a root of , and gcd (τ̄ , σ̄) = 1, by
E.4.11, we get that σ|σ̄ and σ̄|σ, and hence σ = ρσ̄ and  = ρ¯  for some
∗
ρ ∈ Fq m .
4.14 Remark. Theorem 4.13 shows that σ̄ and σ have the same roots, so
we can use σ̄ instead of σ in order to find the error locators. In addition,
Forney’s formula proves that we can use σ̄ and ¯ instead of σ and  to find
the error values, because it is clear that
ηk ¯(ηk−1 ) ηk (ηk−1 )
= .
hmk σ̄ 0 (ηk−1 ) hmk σ 0 (ηk−1 )

Summary

• Basic concepts: error locators (ηi ), syndrome (vector S and polyno-

mial S(z)), error locator polynomial (σ(z)) and error evaluator poly-
nomial ((z)).
• Basic results: Forney’s formula (Proposition 4.8) and the key equation
(Theorem 4.9).
• Main result: Sugiyama’s algorithm (which in turn is a variation of
the Euclidean gcd algorithm) yields a solution of the key equation
(Theorem 4.13) that can be used for error location and error correction
(Remark 4.14).
164 Chapter 4. Alternant Codes

• The error-locator polynomial σ(z) can also be defined so that its roots
are the error-locators (rather than the inverses of the error locators).
If we do so, and adopt suitable definitions of S(z) and (z), we still
get a Forney’s formula for error-correction and a key equation (z) ≡
σ(z)S(z) mod z r that can be solved with the Sugiyama algorithm
(P.4.9).

Problems

P.4.9 (Alternantive syndrome, Forney’s formula and key equation). Suppose

we define the syndrome polynomial S(z), the error locator σ(z) and the error
evaluator as follows:

S(z) = S0 z r−1 + · · · + Sr−1 ,

Ys
σ(z) = (z − ηi ),
i=1
s
X Y
(z) = − hmi emi ηir (z − ηi )
i=1 j6=i

(now σ is the polynomial whose roots ara η1 , . . . , ηs ).

1) Show that
Y Y
σ 0 (ηk ) = (ηk − ηj ) and (ηk ) = −hmk emk ηkr (ηk − ηj )
j6=k j6=k

and hence that we have the following alternative Forney’s formula:

(ηk )
emk = − .
hmk ηkr σ 0 (ηk )

2) Prove that we still have the same key equation

(z) ≡ σ(z)S(z) mod z r .

Note that if we let {¯ , σ̄} be the pair returned by sugiyama(zr ,S,t), then the
zeros of σ̄ give the error locators, and the alternative Forney’s formula with
¯ and σ̄ finds the error values.
4.2. Error location, error evaluation and the key equation 165

P.4.10. With the notations introduced in P.4.6, prove that the syndrome Sy∗
with respect to the control matrix H ∗ = U · H = U · Vr (α) · diag (h) of the
received vector y corresponds to the polynomial
n−1
X yi g(z) − g(αi )
Sy∗ (z) = ,
g(αi ) z − αi
i=0

which is the unique polynomial of degree < r such that

n−1
X yi
Sy∗ (z) ≡− mod g(z).
z − αi
i=0

Show also that Sy∗ (z) = Se∗ (z), where e is the error vector.
P.4.11. Continuing Qswith the previous problem, define an error-locator poly-
∗
nomial σ (z) = − ηi ) (as in P.4.9) and an error-evaluator polyno-
P i=1 (zQ
mial ∗ (z) = si=1 emi j6=i (z − ηi ). Then deg (σ ∗ ) = s, deg (ε∗ ) < s
and gcd (σ ∗ , ε∗ ) = 1. Prove that emi = ∗ (ηi )/σ ∗ 0 (ηi ) (the form taken by
Forney’s formula in this case) and the following key equation:

σ ∗ (z)S ∗ (z) ≡ ∗ (z) mod g(z).

P.4.12. Modify Sugiyama’s algorithm to solve the key equation in the pre-
ceeding problem.
166 Chapter 4. Alternant Codes

4.3 The Berlekamp–Massey–Sugiyama algorithm

Decoding. The main source is Berlekamp [Algebraic Coding

Theory, [3] in our references].
F. MacWilliams and N.J.A. Sloane, [14], p. 292.

Essential points

• Algorithm BMS (Berlekamp–Massey–Sugiyama)

• Main result: BMS corrects at least t = br/2c errors.
• Alternant decoder (AD): the function alternant_decoder(y) that imple-
ments BMS.
• Auxilary functions for experimenting with AD.

Introduction
It is fairly clear that the deepest and most impressive result in
coding theory is the algebraic decoding of BCH-Goppa codes.
R.J. McEleice, [15], p. 264.

As indicated at the beginning of this chapter, one of the nice features of

alternant codes is that there are fast decoding algorithms for them.
Our function alternant_decoder (AD) is a straightforward implementa-
tion of the algorithm, obtained by putting together the results in the last sec-
tion, with some extras on error handling. This is a fundamental algorithm
which we will call, for lack of a better choice, Berlekamp–Massey–Sugiyama
algorithm, BMS (cf. [33], §1.6, p. 12-15). There are other fast decoders for
alternant codes. However, they can be regarded, with the benefit of hind-
sight, as variations of the BMS algorithm, or even of the original Berlekamp
algorithm. The next section is devoted to one of the earliest schemes, namely
the Peterson–Gorenstein–Zierler algorithm.
Let H be the alternant control matrix of order r associated to the vec-
tors h, α ∈ K̄ n , and let C = CH ⊆ K n be the corresponding code.
As explained at the beginning of Section 4.1 (page 149) we will set β =
[β1 , . . . , βn ] to denote the vector formed with the inverses of the elements
αi , that is, βi = αi−1 . We also set t = br/2c.
4.3. The Berlekamp–Massey–Sugiyama algorithm 167

Next we will explain in mathematical terms the BMS decoding algorithm

to decode CH . It takes as input a vector y ∈ K n and it outputs, if y turns
out to be decodable, a code vector x. Morevover, x coincides with the sent
vector if not more than t errors occurred.

The BMS algorithm

In the description below, Error means “a suitable decoder-error message”.

1) Find the syndrome s = yH T , say s = [s0 , . . . , sr−1 ].

2) Transform s into a polynomial S = s(z) in an indeterminate z (S is
called polynomial syndrome):

S = s0 + s1 z + · · · + sr−1 z r−1 .

3) Let {σ, } be the pair returned by sugiyama(zr ,S,t).

4) Make a list M = {m1 , . . . , ms } of the indices j ∈ {1, . . . , n} such
that σ(βj ) = 0. These indices are called error locations. If s is less
than the degree of σ, return Error.
5) Let x be the result of replacing the value yj by yj + ej , for each j ∈ L,
where
αj · (βj )
ej =
hj σ 0 (βj )
and σ 0 is the derivative of σ, provided ej lies in K. If for some j we
find that ej 6∈ K, return Error. Otherwise return x if x is a code-vector,
or else Error.

4.15 Theorem. The Euclidean decoding algorithm corrects at least t =

br/2c errors.
Proof: Clear from the discussions in the previous sections.

Implementing BMS
Given an alternant code C, we wish to be able to call alternant_decoder(C)
and have it return the pure function y 7→ x0 , where x0 is the result of applying
the BMS algorithm for the code C to y. If this were the case, we could set
g=alternant_decoder(C) and then apply g to the various vectors y that we
need to decode.
168 Chapter 4. Alternant Codes

Auxiliary functions
To work out this plan, we first explain two auxiliary functions. The first,
zero_positions(f,a), returns, given a univariate polynomial f and a vector a,
the list of indices j for which aj is a root of f . It goes through all the aj
and retains the j for which the value of f is 0 (this is often referred to as the
Chien search).
108 The function zero_positions(f,a)

We will also need flip(v,L). This function replaces, for all j in the list L, the
value vj of the vector v by 1 − vj . In fact, v can also be a list, in which case
the value of flip is a list, and in either case L can be a vector.
109 The function flip(v,L)

The function alternant_decoder

As we said before, this function (AD in shorthand) implements the BMS
decoding algorithm and can be found in the link 110 The function alter-
nant_decoder . Following an observation by S. Kaplan, the present version
includes the computation of Forney values, and checking whether they lie in
the base field, even for the base field Z2 . Knowing the error positions in the
binary case would be enough to correct the received vector if we knew that
the error values given by Forney’s formula are 1, but the point is that these
values may lie in some extension of Z2 if the number of errors exceeds the
correcting capacity.
If C is an alternant code of length n over the field K and y ∈ K n ,
then alternant_decoder(y,C) yields the result of decoding y according to the
BMS algorithm relative to C (or the value 0 and some suitable error message
if some expected conditions are not satisfied during decoding). The call
alternant_decoder(C) yields the function y7→alternant_decoder(y,C).
The link 111 A BCH code that corrects 3 errors is adapted from [24]
(Examples 8.1.6 and 8.3.4). The reader may wish to work it by hand in
order to follow the operation of all the functions. Note that in polynomial
notations the received vector is 1 + x6 + x7 + x8 + x12 and the error vector
is x4 + x12 .
A few more examples can be found in 112 Goppa examples of the alter-
nant_decoder

Some tools for experimenting with the alternant decoder

To experiment with alternant_decoder, it is convenient to introduce a few

auxiliary functions, which incidentally may be useful in other contexts. We
will use the function call random(1,k) (k a positive integer), which produces
4.3. The Berlekamp–Massey–Sugiyama algorithm 169

a (pseudo)random integer in the range 1..k.

Random choice of m elements of a given set. If X is a non empty set, the
function rd_choice(X) chooses an element of X at random, and rd_choice(X,m)
(for a positive integer m less then the cardinal of X) extracts a random subset
of m elements of X. Finally, if n is a positive integer, then rd_choice(n,m)
(for a positive integer m less than n) chooses m elements at random of the
set {1, . . . , n}.
113 Choosing elements of a set at random (rd_choice)

Random list of given length of elements of a finite field. For a finite field
(or ring) K of cardinal q, the function element(j,K) returns the j-th element
of K, where 0 6 j 6 q − 1, with a built-in natural order (for example, in the
range j = 0, . . . , p − 1, p the characteristic of K, element(j,K) is the residue
class of j mod p in Zp ⊆ K). Hence we can generate a random element of K
by picking j at random in the range 0 6 j 6 q − 1. Similarly, we can choose
a nonzero element of K by choosing j at random in the range 1 6 j 6 q − 1.

114 Choosing an element of a finite field at random

Using rd (or rd_nonzero) s times (s a positive integer) we can produce a list
of s elements (or s nonzero elements) of K (see the function calls rd(s,K)
and rd_nonzero(s,K)) in 115 Choosing a list of elements of a finite field at
random.
Random error patterns. Given the length of the code, n, a weight s with
1 6 s 6 n, and the field (or even a ring) K, a random error pattern of
length n, weight s and entries in K can be produced by picking randomly s
positions in the range 1..n and s nonzero elements of K and using them to
form a length n vector whose nonzero entries are precisely those s elements
of K placed at those s positions.
116 Generating random vectors of a given length and weight

Finding code vectors. If G is the generating matrix of a linear code C over

the finite field K, the function rd_linear_combination(G,K) returns a random
linear combination of the rows of G, that is, a random vector of C.
117 Generating random linear combinations of the rows of a matrix

Decoding trials. To simulate the coding + transmission (with noise) + de-

coding situation for an alternant code we can set up a function that generates
a random code vector x, that adds to it a random error pattern e of a pre-
scribed number s of errors, and that calls alternant_decoder on y = x + e.
If the result is a vector x0 , to make the results easier to interprete we return
the matrix [x, e, x + e] in case x0 = x and the matrix [x, e, x + e, x0 ] in case
the simulation has resulted in an undetectable error. In case x0 is not a vector
170 Chapter 4. Alternant Codes

(hence x0 = 0), there has been a decoder error and then we simply return the
matrix [x, e].
118 The function decoder_trial

Examples

In this subsection we will look at a few examples of RS codes that show how
the machinery developed in this section works.
First we will consider RS codes of the form C = RS (K, r), where K is
a finite field and r is a positive integer less than n = q − 1, q = |F | (see
E.4.3). Recall that C has type [n, n − r, r + 1] and that it corrects br/2c
errors. We will also consider an example of the form RS (a, k), where k is
the dimension and a ∈ K n .

Example: RS[12,6,7]
Suppose we want an RS code with rate at least 1/2 which can correct 3 errors.
The table in the listing after E.4.4 tells us that the least possible q is 13. So let
us take q = 13, hence n = 12. Since t = 3, the least possible codimension
is r = 6, thus k = 6.
We can construct this code with the function call RS(Z13 ,6), and we can
observe its working by means of calls to decoder_trial for diverse s, as illus-
trated in the next example.
119 Decoding trials of RS[12,6,7]

We see that for an error-pattern of weight 4, which is beyond the correct-

ing capacity of the code, in one case we got an undetectable error and in the
other a decoder error. Error-correction in the case of 1, 2 or 3 errors works
as expected.

Example: RS[26,16,11]
Suppose now that we want an RS code with rate at least 3/5 which can
correct at least 5 errors. This time the table in the listing after E.4.4 tells us
that the least possible q is 27. So let us set q = 27, thus n = 26. Since t = 5,
the least possible codimension is r = 10 and so k = 16.
The construction of this code, and also the observation of its working
by means of calls to decoder_trial(s), is illustrated in the next example for
various s. Note that we use the shorthand notation given by the ind t table.
Note that up to 5 errors it behaves as expected, but that in the case of 6 errors
it lead to a decoder error.
120 Decoding trials of RS[26,16,11]
4.3. The Berlekamp–Massey–Sugiyama algorithm 171

Example RS[80,60,21]
Suppose we want a RS code with rate 3/4 and correcting 10 errors. Then
d = 21, hence k = n − 20. On the other hand k = 3n/4 and so n =
80. We could take K = F81 , but since Z83 has simpler arithmetic, we can
choose this latter field as K and use only 80 of its nonzero elements. We
can let n = 80 and a = (a1 , . . . , an ), where aj = [j]n and use the code
RS (a, 60). Happily, this code is alternant (and in general such codes are
neither Goppa nor BCH ) and hence that can be decoded with the AD decoder.
In the following example we have indicated a decoder trial of 10 errors, but
we have not displayed the result because of its length.
121 RS with rate 3/4 that corrects 10 errors

Detractors of coding research in the early 1960s had used the

lack of an efficient decoding algorithm to claim that Reed–Sol-
omon codes were nothing more than a mathematical curiosity.
Fortunately the detractors’ assessment proved to be completely
wrong.
Wicker–Bhargava, [33], p. 13.

Example: A Goppa code [24, 9, > 11]

In this example we construct the code C = Γ(T 10 , a), where a contains all
the nonzero elements of F25 . If ω is a primitive root of F25 , C coincides with
BCH ω (11), which could be constructed as BCH(ω,11).
122 A classical Goppa [24,9,11]

Summary

• The Berlekamp–Massey–Sugiyama algorithm (BMS) for alternant codes,

which corrects up to t = br/2c errors. Here r is the order of the al-
ternant matrix used to define the code. In the special case of (general)
RS codes, r is the codimension. In the case of Goppa codes, r is the
degree of the polynomial used to define the code. For BCH codes,
possibly not strict, r is δ − 1, where δ is the designed distance.
• Implementation of the BMS algorithm (the function alternant_decoder
and several auxiliary functions that allow to experiment with the algo-
rithm).
• Examples of decoding RS codes, both general and primitive, Goppa
codes and BCH codes.
172 Chapter 4. Alternant Codes

Problems
P.4.13. Find a RS code that has rate 3/5 and which corrects 25 errors. What
are its parameters? Which is the field with smallest cardinal that can be used?
Estimate the number of field operations needed to decode a vector with the
AD decoder.

P.4.14. Consider the code C = Γ(T 10 + T 2 + T + 3, a) over Z5 , where a is

the vector formed with the nonzero elements of F25 . Show that dim (C) = 4.
Note that this coincides with the lower bound k > n − mr for the dimension
of alternant codes, as n = 24, r = 10 and m = 2. Note also that with the
polynomial T 10 instead of T 10 + T 2 + T + 3 the corresponding Goppa code
has dimension 9, as seen in the last example above.
P.4.15. Write a function alternative_decoder to decode alternant codes using
the alternative definitions of S(z), σ(z) and (z), and the alternative Forney
formula and key equation that were introduced in P.4.9.
P.4.16. Write a function goppa_decoder to decode Goppa codes based on
the polynomials S ∗ (z), σ ∗ (z) and ∗ (z) introduced in P.4.10 and P.4.11, on
Forney’s formula and the key equation established in P.4.11, and on the so-
lution to this key equation given in P.4.11.
4.3. The Berlekamp–Massey–Sugiyama algorithm 173

123 The function alternant_decoder

174 Chapter 4. Alternant Codes

4.4 The Peterson–Gorenstein–Zierler algorithm

Furthermore, a simply implemented decoding procedure has

been devised for these codes [BCH codes].
W. W. Peterson and E. J. Weldon, Jr., [19], p. 269.

Essential points
• Finding the number of errors by means of the matrices A` (formula
[4.6]).
• Finding the error-locator polynomial by solving a system of linear
equations.
• The algorithm of Peterson–Gorenstein–Zierler (PGZ).

We will present another algorithm for decoding alternant codes. Let us use
the notations introduced at the beginning Section 4.2, but define the error-
locator polynomial σ as:
s
Y
σ(z) = (z − ηi ), [4.5]
i=1

so that the roots of σ are now the error locators.

We will assume henceforth that s 6 t.

Finding the number of errors

For any integer ` such that s 6 ` 6 t, define
 
S0 S 1 . . . S`−1
 S1 S 2 . . . S` 
A` =  . [4.6]
 
.. . . .. 
 .. . . . 
S`−1 S` . . . S2`−2
This matrix is usually called the Hankel matrix associated with the vector
(S0 , S1 , . . . , S2`−2 ).
4.16 Lemma. We have that det(A` ) = 0 for s < ` 6 t and det(As ) 6= 0.
In other words, s is the highest integer (among those satisfying s 6 t) such
that det(As ) 6= 0.
4.4. The Peterson–Gorenstein–Zierler algorithm 175

Proof: Let M 0 = {m01 , ..., m0` } ⊆ {0, ..., n − 1} be any subset such that
M ⊆ M 0 . For i = 1, ..., `, set ηi = αm0i . As we have seen, for j =
0, . . . , r − 1 we have
s `
hm0k em0k ηkj
X X
j
Sj = hmk emk αm k
=
k=1 k=1
Let
D = diag (hm01 em01 , ..., hm0` em0` ),
so that it is clear that det(D) 6= 0 if ` = s and that det(D) = 0 if ` > s. Let
us also write
W = V` (η1 , ..., η` ),
where V` (η1 , ..., η` ) is the Vandermonde matrix of ` rows associated with the
elements ηi . Note that in particular we have det(W ) 6= 0. We also have
W DW T = A` ,
since the i-th row of W (i = 0, ..., ` − 1) is (η1i , ..., η`i ), the j-th row of
DW T (j = 0, ..., ` − 1) is (hm01 em01 η1j , ..., hm0` em0` η`j )T , and their product is
P` i+j
k=1 hm0k em0k ηk = Si+j .
Thus we have det(A` ) = det(D) det(W )2 , which vanishes if ` > s (in
this case det(D) = 0), and is nonzero if ` = s (in this case det(D) 6= 0 and
det(W ) 6= 0).

Finding the error locator polynomial

Once the number of errors, s, is known (always assuming that it is not greater
than t), we can see how the coefficients of the error locator polynomial [4.5]
are obtained. Note that
Ys
σ(z) = (z − ηi ) = z s + a1 z s−1 + a2 z s−2 + ... + as , [4.7]
i=1

where aj = (−1)j σj = σj (η1 , ..., ηs ) is the j-th elementary symmetric

polynomial in the ηi (0 6 j 6 s).
E.4.12. Show that 1+a1 z+· · ·+as z s is the standard error locator polynomial
Q s
i=0 (1 − ηi z).

4.17 Proposition. If a = (as , ..., a1 ) is the vector of coefficients of σ and

b = (Ss , ..., S2s−1 ), then a satisfies the relation
As a = −b
and is uniquely determined by it.
176 Chapter 4. Alternant Codes

Proof: Since det As 6= 0, we only have to show that the relation is satisfied.
Substituting z by ηi in the identity
s
Y
(z − ηi ) = z s + a1 z s−1 + ... + as
i=1

we obtain the relations

ηis + a1 ηis−1 + · · · + as = 0,

where i = 1, ..., s. Multiplying by hmi emi ηij and adding with respect to i,
we obtain the relations

Sj+s + a1 Sj+s−1 + · · · + as Sj = 0,

where j = 0, ..., s − 1, and these relations are equivalent to the stated matrix
relation.

Algorithm PGZ
Putting together Lemma 4.16 and Proposition 4.17 we obtain an algorithm to
decode alternant codes. In essence this algorithm is due to Peterson, Goren-
stein and Zierler (see [19]). In detail, and with the same conventions as in
the BMS algorithm concerning the meaning of Error, we have:
1) Calculate the syndrome vector, yH T = (S0 , ..., Sr−1 ). If S = 0,
return y.
2) Thus we can assume that S 6= 0. Starting with s = t, and while
det(As ) is zero, set s = s − 1. At the end of this loop we still have
s > 0 (otherwise S would be 0) and we assume that s is the number
of errors.
3) Solve for a in the matrix equation As a = −b (see Proposition 4.17).
After this we have a1 , ..., as , hence also the error-locator polynomial σ.
4) Find the elements αj that are roots of the polynomial σ. If the number
of these roots is < s, return Error. Otherwise let η1 , ..., ηs be the
error-locators corresponding to the roots and set M = {m1 , . . . , ms },
where ηi = αmi .
5) Find the error evaluator (z) by reducing the product

(1 + a1 z + · · · + as z s )S(z)

mod z r (see E.4.12).

4.4. The Peterson–Gorenstein–Zierler algorithm 177

6) Find the errors emi using Forney’s formula with the error-locator poly-
nomial 1 + a1 z + · · · + as z s and the error-evaluator ε(z). If any of the
error-values is not in K, return Error. Otherwise return y − e.

4.18 Proposition. The algorithm PGZ corrects up to t errors.

Proof: It is an immediate consequence of what we have seen so far.
4.19 Remark. In step 5 of the algorithm we could use the alternative poly-
nomial evalurator S(z) = S0 z r + S1 z r−1 + · · · + Sr−1 , find the alternative
error evaluator as the remainder of the division of σ(z)S(z) by z r and then,
in step 6, we would use the alternative Forney formula (see Remark 4.7).
4.20 Remark. In step 5 of the algorithm we could determine the error coef-
ficients em1 , ..., ems by solving the system of linear equations

hm1 em1 η1 j + hm2 em2 η2 j + ... + hms ems ηs j = Sj ,

which is equivalent to the matrix equation

    
hm1 hm2 ... hms em1 S0
 hm η1 h m2 2η . . . h ms ηs
 em   S1 
 1   2  
 hm η 2 hm2 η2 2 ... hms ηs2  em   S2
  3 = 

 1 1 
 .. .. .. ..   ..   .. 
 . . . .  .   . 
hm1 η1 s−1 hm2 η2 s−1 . . . hms ηs s−1 ems Ss−1

and then return y − e (or an error if one or more of the components of e is

not in K).
124 The PGZ decoder

Summary

• Assuming that the received vector has a nonzero syndrome, the num-
ber of errors is determined as the first ` in the sequence t, t − 1, ... such
that det(A` ) 6= 0, where A` is the matrix [4.6].
• The error-locator polynomial [4.7] is found by solving a system of
linear equations As a = −b defined in Proposition 4.17.
• The error values are obtained by finding the error evaluator polyno-
mial via the key equation, and then applying Forney’s formula, or by
solving the system of linear equations in Remark 4.20.
• The three steps above summarize the PGZ algorithm.
178 Chapter 4. Alternant Codes

Problems
P.4.17. We have explained the PGZ algorithm under the assumption that
s 6 t. If the received vector is such that s > t, analyze what can go wrong
at each step of the algorithm and improve the algorithm so that such errors
are suitably handled.
P.4.18. Let α be a primitive root of F16 satisfying α4 = α + 1 and consider
the code C = BCH α (5). Decode the vector 100100110000100.
1) with the Euclidean algorithm;
2) with the PGZ algorithm.

4.21 Remark. Most of the books cited in the bibliography contain a good
deal of exercises and problems. One reference to take into account in that
regard, and also for many other topics not presented here, is [21]. For a book
exclusively devoted to exercises and problems on error-correcting codes, and
related topics, the reader is referred to [20].
Appendix: The WIRIS/cc system

The syntax rules of the language state how to form expressions,

statements, and programs that look right.
C. Ghezzi and M. Jazayeri, [8], p. 25.

A.1 (User interface). The WIRIS user interface has several palettes and each
palette has several icons. Palette icons are useful to enter expressions that
are typeset on the screen according to standard mathematical conventions.
In the Operations palette, for example, we have icons for fractions, pow-
ers, subindices, roots, and symbolic sums and products. Here is a sample
expression composed with that palette: 125 Some WIRIS expressions .
In addition to the above style (WIRIS or palette style) the WIRIS interface
also supports a keyboard style, which only requires the keyboard to compose
expressions. In some cases the keyboard style is indistinguishable from the
palette style, as for example the = operator, but generally it is quite different,
as a.i for the subindex expression ai , or Zn(n) for Zn (the ring of integers
modulo n).
A.2 (Blocks and statements). At any given moment, a WIRIS session has one
or more blocks. A block is delimited by a variable height ‘[’. Each block con-
tains one or more statements. A statement is delimited by a variable length
|. A statement is either an empty statement or an expression or a succession
of two or more expressions separated by semicolons. The semicolon is not
requiered if next expression begins on a new line. An expression is either
a formula or an assignment. A formula is a syntactic construct intended to
compute a new value by combining operations and values in some explicit
way. An assignment is an expression that binds a value to a variable (see A.5
for more details).
The active block (active statement) displays the cursor. Initially there is
just one empty block (that is, a block that only contains the null statement).
Blocks can be added with the [| icon in the Edit palette (the effect is a new
empty block following the active block, or before the first if the cursor was at
180 Appendix

the beginning of the first block). Pressing the Enter key adds a null statement
just before or just after the current statement according to whether the cursor
is or is not at the beginning of that statement.

The semantic rules of the languge tell us how to build meaning-

ful expressions, statements, and programs.
C. Ghezzi and M. Jazayeri, [8], p. 25.

A.3 (Evaluation). The evaluation of all the statements in the active block
is requested with either Ctrl+Enter or by clicking on the red arrow. The
value of each statement in the block is computed and displayed next to it
with the red arrow in between (the value of a statement is the value of its last
expression). After evaluation, the next block, if there is one, becomes the
active block; otherwise an empty block is appended.
In the following we will typeset input expressions in a sans serif font,
like in a+b, and the output values in the usual fonts for mathematics, like in
a + b, if this distinction may possibly be helpful to the reader.

A.4. Integers, like 314, and operations with integers, like (2 + 3) · (11 − 7)
or 264 , are represented in the usual way: 126 Integers .
In the link above there are two text lines. These lines were entered in
the usual way and converted to text with the T icon in the Edit menu. In
general, this icon converts the active statement into text and vice versa. Text
is not evaluated and retains all its typographical features. In particular, all
the services for composing expressions are available while editing it. Finally
note that text is not delimited by a variable height | in the way statements
are.

Why should a book on The Principles of Mathematics contain a

chapter on ‘Proper Names, Adjectives and Verbs’?
A. Wood, [?], p. 191.

A.5 (Naming objects). Let x be an identifier (a letter, or a letter followed

by characters that can be a letter, a digit, an underscore or a question mark;
capital and lower case letters are distinct). Let e be a formula expression.
Then the construct x=e binds e (the value of e) to x. On evaluating, the value
of x is e. On the other hand the construct x:=e binds e (not e) to x. When we
request the value of x, we get the result of evaluating e at that momement,
not the result of having evaluated e once for all at the moment of forming
the construct (as it happens with x=e).
If instead of x=e we use let x=e, then all works as with x=e, but in addi-
tion x is used to denote the value e.
Appendix 181

An identifier that has not been bound to a value is said to be a free iden-
tifier (or free variable). Otherwise it is said to be a bound identifier (or a
bound variable).
Syntactic constructs that have the form x=e, x:=e or let x=e are called
assignments, or assignment expressions.
127 Assignment examples

A.6 (Modular arithmetic and finite prime fields). The construction of the ring
Zp of integers modulo the positive integer p is performed by the function
Zn(p), in keyboard style, and with the subindex operation to the symbol Z in
WIRIS style. If we put A=Zn(p) and n is an integer, then the class of n mod
p is the value of the expression n:A (for more details on this construct, see
A.15). Operations in the ring A are denoted in the usual way: 128 Z35 . Note
that the inverse of 22 mod 35 is 8, and that the inverse of 7 mod 35 does not
exist (this is why 1/x is left unevaluated and an error message is reported).
Note also that WIRIS does not display the value of a statement which ends
with a semicolon. The reason for this is that in this case the last expression
of the statement actually is null (cf. A.2).
For j = 0, . . . , n − 1, the value of element(j,Zn ) is the class [j]n .
The ring Zp is a field if and only if p is prime. Note, in particular, that
Zn(2) constructs the field of binary integers. 129 Z7 .

A.7 (Construction of field and ring extensions). Suppose K is a ring and that
f∈ K[x] is a monic polynomial of degree r. Then the function extension(K,f),
which can be also called with the expression K[x]/(f), constructs the ring K 0 =
K[x]/(f ). The variable x is assigned the class of x mod f and K is a subring
of K 0 . The name of K[x]/(f) is still K[x], but here x is no longer a variable,
but an element of K 0 that satisfies the relation f (x) = 0. When K is finite
with q elements, then K 0 is finite with q r elements. If K is a field and f is
irreducible over K, then K 0 is a field. If we want to use a different name
for the variable x of the polynomials and the variable α to which its class
modulo f is bound, we can use extension(K,α,f).
If R is a finite ring, cardinal(R) yields the number of elements of R and
characteristic(R) yields the minimum positive number n such that n:R is
zero. If n is the cardinal of R, the elements of R can be generated with
element(j,R), for j in the range 0..(n-1).
To test whether a ring K is a finite field, we can use the Boolean function
Finite_field(K), or its synonym GF(K), which is defined as the expression
is?(K,Field) & (cardinal(K)<infinity)?
130 The call extension(K,a,f)
A.8 (Sequences). Sequences are generated with the comma operator ‘,’. The
only sequence with 0 terms is null. If s and t are sequences with m and n
182 Appendix

terms, respectively, then s,t is the sequence with n + m terms obtained by

appending t to s. In the latter construction, any object which is not a sequence
acts as a sequence of one term. The number of terms of a sequence s is given
by number_of_items(s) (or its synonym n_items(s)) and its j-th element by
item(j,s).
A.9 (Ranges). If a, b and d are real numbers, d 6= 0, then the range r defined
by a, b, d is the value of the expression a..b..d. It represents the sequence
of real numbers x in the interval [a, b] that have the form x = a + jd for
some nonnegative integer j. Note that the sequence is increasing if d > 0
and decreasing if d < 0. It is non-empty if and only if either a = b or b − a
and d have equal sign. The expression a..b denotes a sequence of values
in the interval [a, b] that depends on the function using a..b as an argument.
However, it is usually interpreted as a..b..1, as we will continue to do unless
stated otherwise.
A.10 (Aggregates and pairings). In the sequel, we will say that an object is
an aggregate if it is a range or a sequence of objects enclosed in braces or a
sequence of objects enclosed in brackets.
The sequence of objects that we enclose in braces or brakets is unre-
stricted with the exception of a special kind that here will be called pairings
and which may belong to four flavours: relations, tables, substitutions and
divisors. The table summarizes how these flavours are constructed.
Pairing flavours
a →b x=a a ⇒b
{} relation table substitution
[ ] divisor table

Here is a more detailed description. If one term of an aggregate delimited

with braces has the form a → b (a−>b in keyboard style), where a and b ara
arbitrary objects, then all other terms must have the same form (otherwise
we get an error on evaluation) and in this case the resulting object is called a
relation (it implements a list of ordered pairs). Divisors are like relations, but
using brakets instead of braces. Tables are like divisors (hence delimited by
brakets), but instead of terms of the form a → b they are formed with terms
of the form x = a, where x is an identifier and a any object (tables can also
be delimited with braces). Substitutions are like relations (hence delimited
with braces), but its terms have the form x ⇒ a (x=>a in keyboard style),
with x an identifier and a any object. In this case, x occurs more than once,
only the last term in which it occurs is retained.
Given a pairing P, the set of values a for which there exists an object b
such that a→b is a term in P is called the domain of P and it is the value of
Appendix 183

domain(P). In the case of divisors, we get the same value with support(P).
Pairings have a functional charater. To see this, let us consider each
flavor separately. If R is a relation (respectively a table) and a is an object
(an identifier), the value of the expression R(a) is the sequence (possibly the
null sequence) formed with the values b such that a→b (a=b) is a term in R.
The value of R is the relation (table) R whose terms have the form a → R(a)
(a = R(a)) where a runs over domain(R).
131 Relation examples

A nice additional feature of tables is that if x is any identifier, then T(x)

can also be obtained as x(T). This often makes clearer the meaning of expres-
sions.
132 Table examples

Now let us consider a divisor D. If a is an object, the value of the expres-

sion D(a) is the sum (possibly 0) of the values b such that a→b is a term in D.
The value of D is the divisor D whose terms have the form a → D(a), where
a runs over domain(D). Divisors can be added. The sum D+E of the divisors
D and E is characteristized by the rule (D+E)(a)=D(a)+E(a) for all a.
133 Divisor examples

Finally if S is a substitution and b is any object, S(b) returns the result

of replacing any occurrence of x in b by the value a corresponding to x in S,
for all x in the domanin of S.
134 Substitution examples

In all cases, the ordering of the value P of a pairing P is done according

to the internal ordering of domain(P).
If x is an aggregate, the number of elements in x, say n, is the value of
length(x). We remark that the number of terms in a sequence s is not given
by length(s), but by number_of_items(s) (with synonym n_items(s)). The
function range(x) returns the range 1..n. Moreover, if i is in the range 1..n,
then xi (or x.i in keyboard style) yields the i-th element of r; otherwise it
results in an error.
Let x still denote an aggregate of length n, and k a positive integer in the
range 1..n. Then take(x,k) returns an aggregate of the same kind (except,
as we explain below, when x is a range) formed with the first k terms of x.
To return the last k terms of x, write -k instead of k. The function tail(x)
is defined to be equivalent to take(x,-(n-1)). When x is a range of length n,
take(x,k) is the list of the first k terms of x (and take(x,-k) is the list of the
last k terms of x; in particular, tail(x) is the list of the last n − 1 terms of x).
If x and y are aggregates of the same kind, but not ranges, then x|y (or
join(x,y)) yields the concatenation of x and y.
135 More pairing examples

A.11 (Lists and vectors). Aggregates delimited by braces (brakets) and which
184 Appendix

are not pairings are called lists (vectors).

Let x denote a range, a list or a vector. Then the call index(a,x) gives
0 if a does not appear in x and otherwise yields the position index of the
first occurrence of a in x. Here we again remark that sequences behave
differently, for the i-th element of a sequence s is given by item(i,s). To
reverse the order of x we have the function reverse(x). In the case of a range,
reverse(a..b..d) yields b..a..-d.1
136 Reverse examples

For a list or a range x, vector(x) returns the vector formed with the ele-
ments of x (this is the same as [x] if x is a range; when x is a list, however,
[x] is a vector with x as unique component). On the other hand, list(x) yields
the list with the same elements as x when x is a vector, and just a list whose
only element is x when x is a range. More generally, if x is a sequence of
ranges, then [x] is the vector formed with the elements of all the ranges in x,
while {x} is just the list of the ranges in the sequence.
To append an object a to a list or vector x, we have the function ap-
pend(x,a). It can also be obtained with x|{a} if x is a list or x|[a] if x is a
vector.
137 Append examples

The function constant_vector(n,a) yields, if n is a positive integer and a

any object, a vector of length n whose entries are all equal to a (it is denoted
an ). The function constant_list(n,a) behaves similarly, but produces a list
instead of a vector.
If j lies in the range 1..n, then the expression epsilon_vector(n,j) yields
the vector of length n whose entries are all 0, except the j-th, which is 1. The
same expression for j not in the range 1..n yields the zero-vector of length n,
which can also be constructed with the expression constant_vector(n,0), or
simply zero_vector(n).
The sum of the elements of a range, list or vector x is given by sum(x).
Similarly, min(x) yields the minimum element of x.
To form the set associated to a list L we have set(L). This function dis-
cards repetions in L and returns the ordered list formed with the remaining
(distinct) values.
Finally, the call zero?(x) returns true if the vector x is zero and false
otherwise. 138 Vectors, lists and ranges .
A.12 (Hamming distance, weight and scalar product). The Hamming dis-
tance between vectors x and y of the same length is given by the function
1
The function index(a,x) also works for pairings, but the returned values are usually dif-
ferent from what we would expect from the order in which they were defined, as the terms
in pairings are internally ordered according to the internal order given to the domain of the
pairing. This is especially manifest with the function reverse(x), which returns x when x is a
pairing.
Appendix 185

hamming_distance(x,y) (or by its synonym hd(x,y)). Similarly, weight(x) (or

its synonym wt(x)) yields the weight of vector x. The scalar product of two
vectors x and y is delivered by hx,yi (or x·y in keyboard style). 139 Hamming
distance and weight .

A.13 (Matrices). Structurally, matrices are vectors whose entries are vectors
of the same length. So if we set A=[[1,2],[2,-3]], then A is a 2×2 matrix whose
rows are the vectors [1,2] and [2,-3]. Writing matrices and working with them
can be done quickly using the Matrices palette 140 Matrix expressions ).
The expression dimensions(A), A a matrix, gives a sequence m, n such
that m and n are the number of rows and columns of A, respectively. The in-
tegers m and n can also be obtained separately as the values of the functions
n_rows(A) and n_columns(A), which are abbreviations of number_of_rows(A)
and number_of_columns(A). The transpose of A is AT (or transpose(A)).
If A is a matrix, x is a vector, and the number of columns (rows) of A is
equal to the length of x, then the values AxT (respectively xA) are obtained
with the expressions A·x (respectively x·A). In the expression A·x the vector
x is automatically interpreted as a column vector. Similarly, if A and B are
matrices, and the number of columns of A is equal to the number of rows of
B, then A·B computes the product AB.
The element in row i column j of A can be obtained with the expression
Ai,j (or A.i.j in keyboard form). On the other hand, if I and J are lists, AI forms
a matrix with the intersections of the rows of A specified by I (if these rows
exist) and AI,J forms a matrix with the intersections of the rows and columns
of A specified by I and J, respectively (provided these rows and columns
exist).
If A and B are matrices with the same number of rows (columns), then the
A
matrix A|B (respectively ) is the value of the expression A|B (respectively
B
A&B).
The expression identity_matrix(r) (or also Ir in WIRIS) yields Ir , the iden-
tity matrix of order r. Another basic constructor is constant_matrix(m,n,a),
which yields an m × n matrix with all entries equal to a. The expression
constant_matrix(n,a) is equivalent to constant_matrix(n,n,a).
In the case of square matrices A, its determinant is given by |A| (or de-
terminant(A)). Similarly, trace(A) returns the trace of A. If |A| = 6 0, then A−1
(or inverse(A)) gives the inverse of A.

A.14 (Boolean expressions). The basic Boolean values are true and false. In
general, a Boolean expression (a Boolean function in particular) is defined as
any expression whose value is true or false.
If a and b are Boolean expressions, then not a (or not(a)) is the negation
of a, and a&b, a|b are the conjunction and disjunction of a and b, respec-
186 Appendix

tively. The negation of a is true if and only if a is false. Similarly, the con-
junction (disjunction) of a and b is true (false) if and only if both expressions
are true (false).
Another way of producing Boolean expressions is with the question mark
(?) placed after a binary relation, as for example 3>2 ?, whose value is true,
or 3==2?, whose value is false. Since ? is considered a literal character,
and hence it can be used to form identifiers, the space before ? is required
if, appended to the preceeding token, it would form a valid identifier. If in
doubt, use parenthesis to surround the binary relation. On the other hand, ?
may be omitted when the binary relation is used in a context that expects a
Boolean expression, as for example in the if field of a conditional expression.
There are a few Boolean functions whose identifiers end with a question
mark. For example:
even?(n)
Yields true if the integer n is even and false otherwise.
invertible?(x)
For a ring element x, it yields true when x is invertible in its ring, and false
otherwise.
irreducible?(f,K)
For a field K and a polynomial f with coefficients in K, tests whether f is
irreducible over K or not.
is?(x,T)
Tests whether x has type T (see page 187)
monic?(f)
Decides whether a polynomial f is monic or not.
odd?(n)
Yields true if the integer n is odd and false otherwise.
prime?(n)
Decides whether the integer n is prime or not.
zero?(x)
For a vector x, it returns true if x is the zero vector and false otherwise.

Most of the deep differences among the various programming

languages stem from their different semantic underpinnings.
C. Ghezzi, M. Jazayeri, [8], p. 25

A.15 (Functions). A WIRIS function f (where f stands for any identifier) with
argument sequence X is defined by means of the syntax f(X) := F, where F
(the body of the function) is the expression of what the function is supposed
Appendix 187

to do with the parameters X. The same name f can be used for functions that
have a different number of arguments.
Often the value of a function is best obtained through a series S of con-
secutive steps. Formally we take this to mean that S is a statement (see A.2,
page 179). But a statement S with more than one expression is not con-
sidered to be an expression and hence cannot by itself form the body of a
function. To make an expression out of S we have the construct begin S end.

As any statement, S may optionally be preceeded by a declaration of the

form local V, where V is a sequence of indentifiers. These identifiers can be
used as variables inside the statement S. This means that these variables will
not interfere with variables outside S that might happen to have the same
name. The identifiers v in V may be optionally replaced by assignments v=e,
e any expression.

A.16 (Functional programming constructs). Each object is assigned a type

(or domain), so that all objects are first class objects. Some of the basic pre-
defined types are: Boolean, Integer, Float, Rational, Real, Complex, Field,
Ring, Polynomial, Sequence, Range, List, Vector, Matrix, Relation, Table, Di-
visor, Function, Substitution, Rule. All predefined types begin with a capital
letter.
The main use of types is in the definition of functions (A.15). It is im-
portant to realize that any object (in particular a function) can be returned as
a value by functions (or passed as an argument to functions).
To test whether an object x is of a type T, we have the Boolean funtion
is?(x,T), or x∈T in palette style. For a given T, this is a Boolean function of x.
141 Type examples

An argument x of a function can be checked to belong to a given type

T with the syntax x:T. In fact T can be any Boolean expression formed with
types and Boolean functions. This checking mechanism, which we call a fil-
ter, allows us to use the same name for functions that have the same number
of arguments but which differ in the type of at least one of them.
A further checking mechanism for the arguments X of a function is that
between X and the operator := it is allowed to include a directive of the
form check b(X), where b(X) stands for a Boolean expression formed with
the parameters of the function. Several of the features explained above are
illustrated in the link 142 A sample function .

A.17 (Structured programming constructs). Let us have a look at the basic

constructs that allow a structured control of computations. In the descriptions
below we use the following conventions: e is any expression, b is a Boolean
expression, S and T are statements and X is an aggregate.
188 Appendix

if b then S end
Evaluate S in case the value of b is true.
if b then S else T end
Evaluate of S or T according to whether the value of the Boolean expression
b is true or false.
while b do S end
Keep evaluating S as long as b evaluates to true.
repeat S until b
Evaluate S once and keep doing it so long as the value of b is false.
for x in X do S end
Evaluate S for any x running over the items of X.
for I; b; U do S end
Start evaluating I, which must be a sequence of expressions. Then evaluate
S and U (U must also be a sequence of expressions) as long as b evaluates to
true.
continue
The presence of this directive somewhere in the S of a while, repeat or for
iterators skips the evaluation process of the remaining expressions of S and
continues from there on.
break
The presence of this directive somewhere in the S of a while, repeat or for
iterators exits the iteration and continues as if it had been completed.
with, such_that
The expression {e with x in X such_that b } groups with braces the expres-
sions e that satisfy b, where the Boolean expressionn b depends on x, which
in turn runs over the terms of X. The expression {x in X such_that b } groups
with braces the terms x of X that satisfy b. There are similar constructions
using brakets instead of braces. The directives such_that and where are syn-
omyms.
return R
Exit a function with the value of the expression R.

A.18 (Symbolic sums and related expressions). Let e denote an expression,

i a variable and r a list, vector or range. For each value i of r, let e(i) denote
the result of substituting any occurrenceX of i in e by i. Then the expression
sigma e with i in r (keyboard style) or e (palette style) yields the sum
P i in r
i∈r e(i). The expression product e with i in r works similarly, but taking
products instead of sums.
Appendix 189

If b isP
a Boolean expression, then sigma e with i in r such_that b yield a
sum like i∈r e(i), but restricted to the i ∈ r such that b(i) is true. In palette
Y
style, e (to get a new line for the condition b, press Shift-Enter). The
i in r
b
case of products works similarly.
143 Sum and product examples
190 Bibliography

Bibliography

[1] J. Adámek. Foundations of Doding: Theory and Applications of Error-

Correcting Codes with an Introduction to Cryptography and Information The-
ory. John Wiley & Sons, 1991.
[2] I. Andereson. Combinatorial Designs and Tournaments. Clarendon Press,
1997.
[3] E.R. Berlekamp. Algebraic Coding Theory. Aegean Park Press, 1984.
[4] R.E. Blahut. Algebraic Methods for Signal Processing and Communications
Coding. Springer-Verlag, 1992.
[5] M. Bossert. Channel Coding for Telecommunications. John Wiley & Sons,
1999.
[6] P.J. Cameron and J.H. van Lint. Designs, Graphs, Codes and their Links.
Number 22 in Student Texts. London Mathematical Society, 1991.
[7] J.H. Conway and N.J.A. Sloane. Sphere Packings, Lattices and Groups. Num-
ber 290 in Grundlehren der mathematischen Wissenschaften. Springer-Varlag,
1988.
[8] C. Ghezzi and M. Jazayeri. Programming Language Concepts. John Wiley &
Sons, 3rd edition edition, 1998.
[9] R. Hill. A first course in coding theory. Oxford applied mathematics and
computing science series. Clarendon Press at Oxford, 1988.
[10] D.G. Hoffman, D.A. Leonard, C.C. Linder, K.T. Phelps, C.A. Rodger, and
J.R. Wall. Coding theory: the essentials. Number 150 in Pure and Applied
Mathematics. Marcel Dekker, 1991.
[11] K.A.S. Immink. Coding Techniques for Digital Recorders. Prentice Hall,
1991.
[12] R. Lidl and H. Niederreiter. Introduction to finite fields and their applications.
Cambridge University Press, 1986.
[13] S. Lin and Jr. D.J. Costello. Error Control Coding: Fundamentals and Appli-
cations. Prentice Hall, 1983.
Bibliography 191

[14] F.J. MacWilliams and N.J.A. Sloane. The Theory of Error-correcting Codes.
Number 6 in Mathematical Library. North-Holland, 1977.
[15] R.J. McEliece. The Theory of Information and Coding: A Mathematical
Framework for Communication. Number 3 in Encyclopedia of Mathematics
and its Applications. Addison-Wesley, 1977.
[16] R.J. McEliece. Finite Fields for Computer Scientists and Engineers. Kluwer
Academic Publishers, 1987.
[17] A.J. Menezes, editor. Applications of finite fields. Kluwer Academic Publish-
ers, 1993.
[18] O. Papini and J. Wolfmann. Algèbre discrète et codes correcteurs. Springer-
Verlag, 1995.
[19] W.W. Peterson and E.J. Weldon. Error-correcting codes. MIT Press, 1972.
2nd edition.
[20] A. Poli. Exercices sur les codes correcteurs. Masson, 1995.
[21] A. Poli and LL. Huguet. Codes correcteurs, théorie et applications. Number 1
in LMI. Masson, 1989.
[22] O. Pretzel. Error-Correcting Codes and Finite Fields. Oxford Appl. Math.
and Computing Sci. Series. Calrendon Press · Oxford, 1992.
[23] J.G. Proakis and M. Salehi. Communications Systems Engineering. Prentice
Hall, 2nd edition edition, 2002.
[24] S. Roman. Coding and Information Theory. Number 134 in Graduate Texts in
Mathematics. Springer-Verlag, 1992.
[25] C.E. Shannon. A mathematical theory of communication. Bell System Tech.
J., 27:379–423,623–656, 1948.
[26] M. Sudan. Algorithmic Introduction to Coding Theory. MIT/Web, 2002.
[27] Y. Sugiyama, M. Kasahara, S. Hirasawa, and T. Namekawa. A mehod for
solving the key equation for decoding goppa codes. Information and Control,
27:87–99, 1975.
[28] M. Tsfasman and S. Vladut. Algebraic-geometric codes. Kluwer, 1991.
[29] J.H. van Lint. Introduction to Coding Theory. Number 82 in GTM. Springer-
Verlag, 1999. 3rd edition.
[30] J.H. van Lint and R.M. Wilson. A course in combinatorics. Cambridge Uni-
versity Press, 1992.
[31] S.A. Vanstone and P.C. van Oorschot. An Introduction to Error Correcting
Codes with Applications. The Kluwer Intern. Ser. in Engineering and Com-
puter Science. Kluwer Academic Publishers, 1989.
[32] S.B. Wicker. Deep space applications. In V.S. Pless and W.C. Huffman, edi-
tors, Handbook of Coding Theory, volume II, pages 2119–2169. Elsevier Sci-
ence B.V., 1998.
192 Bibliography

[33] S.B. Wicker and V.K. Bhargava, editors. Reed-Solomon codes and their ap-
plications. The Institute of Electrical and Electronics Engineers, 1994.
[34] S. Xambó-Descamps. O MEGA : a system for effective construction, cod-
ing and decoding of block error-correcting codes. Contributions to Science,
1(2):199–224, 2001. An earlier version of this paper was published in the
proceedings of the EACA-99 (Fifth “Encuentro de Algebra Computacional y
Applications” (Meeting on Computational Algebra and Applications), Santa
Cruz de Tenerife, September 1999).
Index of Symbols

n


k n!/k!(n − k)! (binomial number)
bxc Greatest integer that is less than or equal x
dxe Smallest integer that is greater than or equal x
tn Vector [t, ..., t] of length n. Examples used often: 0n and 1n
x|y Concatenation of x and y (x and y may be vectors or lists)
hx|yi x1 y1 + . . . + xn yn (scalar product of vectors x and y)
|X| Number of elements of a set X
A∗ Group of invertible elements of the ring A
A[X] Ring of polynomials in X with coefficients in A
Zn Ring of integers modulo n
Fq , GF (q) Field of q elements (q must be a prime power)
F∗q Group of nonzero elements of Fq
[L : K] Degree of a field L over a subfield K
Ir Identity matrix of order r
Mnk (A) Matrices of type k × n with entries in A

Other than the general mathematical notations explained above, we list sym-
bols that are used regularly in the book, followed by a short description and,
enclosed in parenthesis, the key page number(s) where they appear. We do
not list symbols that are used only in a limited portion of the text.

p Probability of a symbol error in a symmetric channel (2)

S Source alphabet (11)
T Channel alphabet (11, 13)
C A general code (12)
q Cardinal of the channel alphabet T (13)
k, kC Dimension of a code C (13)
R, RC Rate of a code C (13)
hd (x, y) Hamming distance between vectors x and y (14)
d, dC Minimum distance of a code C (14)
(n, M, d)q Type of a code, with short form (n, M )q (14)
[n, k, d]q Type of a code, with short form [n, k]q (14)
|x| Weight of vector x (14, 31)
x·y Componentwise product of vectors x and y (14)
δ, δC Relative distance of a code C (14)
t Correcting capacity of a code (17)
B(x, r) Hamming ball of center x and radius r (17)
DC Set of minimum distance decodable vectors (17)
Pe (n, t, p) Upper bound for the code error probability (19)
194 Index of Symbols

ρ(n, t, p) Upper bound for the error-reduction factor (20)

Rq (n, d) Maximum rate R among codes (n, M, d)q (21)
kq (n, d) Maximum dimension k among codes [n, k, d]q (21)
Aq (n, d) Maximum cardinal M among codes (n, M, d)q (21)
Bq (n, d) Maximum q k among linear codes [n, k, d]q (68)
C Parity completion of a binary code (23)
vol q (n, r) Cardinal of B(x, r) (23)
hGi Linear code generated by the rows of matrix G (32)
RS α (k) Reed–Solomon code of dimension k on α (33)
Vk (α) Vandermonde matrix of k rows on the vector α (33)
D(α) Vandermonde determinant of α = α1 , . . . , αn (35)
Hamq (r) The q-ary Hamming code of codimension r (44)
Ham∨ q (r) The q-ary dual Hamming code (44)
x
RM q (m) First order Reed–Muller code of dimension m + 1 (54)
ρz (C) Residue of C with respect to z ∈ C (66)
Kj (x, n, q) Krawtchouk polynomials (74)
ϕ(n) Euler’s function (87)
µ(n) Möbius’ function (99)
Iq (n) Number of irreducible polynomials of degree n over Fq (100)
ord (α) Order of α (103)
ind α (x) Index of x with respect to the primitive element α (107)
Tr L/K (α) Trace of α ∈ L over K (114)
NmL/K (α) Norm of α ∈ L over K (114)
Cf Cyclic code defined by a polynomial f (119)
BCH ω (δ, `) BCH code of designed distance δ and offset `,
ω a primitive n-th root of unity (136)
AK (h, α, r) Alternant code defined over K corresponding to
the alternant control matrix of order r associated
to the vectors h, α ∈ K̄ (149)
Γ(g, α) Classical Goppa code (154)
ηi Error locators (158)
S, S(z) Syndrome vector and polynomial for alternant codes (158)
σ(z) Error-locator polynomial (159)
(z) Error-evaluator polynomial (159)

The table below includes the basic WIRIS/cc expressions explained in the Ap-
pendix which might be non-obvious. The first field contains the expression
in a keyboard style, optionally followed by the same expression in palette
style (A.1, page 179). The second field is a brief description of the expres-
sion. The WIRIS/cc functions used in the text are included in the alphabetical
index.
Index of Symbols 195

= Assignment operator
:=, =: Delayed assignment operator
==, = Binary operator to create equations
−>, → Operator to create pairs in a relation or divisor
!=, 6= Not equal operator
>=, > Greater than or equal operator
<=, 6 Less than or equal operator
=>, ⇒ Operator to create pairs in a substitution or rule
$$ Operator to create compound identifiers (76)
| Disjunction (and concatenation) operator (185)
& Boolean conjunction operator (185)
Zn(p), Zp Ring of integers mod p, Fp if p is prime (181)
n:A Natural image of n in A (181)
x=e Bounds the value of e to x (180)
a..b..d {x ∈ [a, b] | x = a + jd, j ∈ Z, j > 0} (182)
a..b Usually a..b..1 (182)
[x1 , · · · , xn ] Vector whose components are x1 , · · · , xn (184)
{x1 , · · · , xn } List of the objects x1 , · · · , xn (184)
A-1 The inverse of an invertible matrix A (185)
AT The transpose of a matrix A (185)
|A| The determinant of a square matrix A (185)
A|B If A and B are matrices with the same number of rows,
the matrix obtained by concatenating each row of A
with the corresponding row of B (185)
A&B Matrix A stacked on matrix B (A.13, page 185)
x·y, hx,yi The scalar product of vectors x and y (A.12, page 185)
Alphabetic Index, Glossary and Notes

The entries of the index below are ordered alphabetically, with the convention that
we ignore blanks, underscores, and the arguments in parenthesis of functions. Each
entry is followed by information arranged in two fields. The first field, which is op-
tional, consists of the page number or numbers, enclosed in parenthesis, indicating
the more relevant occurrences of the entry. The second field may be a pointer to
another index entry or a brief summary of the concept in question.
There are two kinds of of entries: those that refer to mathematical concepts,
which are typeset like alphabet, and those that refer to WIRIS/cc constructs, which
are typeset like aggregate. Those entries that do not refer directly to a concept
introduced in the text (see, for example, covering radius or Fermat’s little theorem)
constitute a small set of supplementary notes.
In the summaries, terms or phrases written in italics are mathematical entries.
Acronyms are written in italic boldface, like BSC. Terms an phrases typeset as ag-
gregate refer to WIRIS/cc entries.

A
active block (179) In a WIRIS session, the block that displays the blinking cursor (a
thick vertical bar).
active statement (179) In a WIRIS session, the statement that displays the blinking
cursor (a thick vertical bar).
AD(y,C) (168) Equivalent to alternant_decoder(y,C).
additive representation (106) [of an element of a finite field with respect to a subfield]
The vector of components of that element relative to a given linear basis of the field
with respect to the sufield. Via this representation, addition in the field is reduced to
vector addition in the subfield.
aggregate (182) A range, list, vector or pairing.
alphabet A finite set. See source alphabet and channel alphabet. See also binary
alphabet.
alternant bounds (149) For an alternant code C, dC > r + 1 (alternant bound for the
minimum distance) and n−r > kC > n−rm (alternant bounds for the dimension),
where r is the order on the alternant control matrix H ∈ Mnr (K̄) that defines C and
m = [K̄ : K].
alternant codes (149) An alternant code over a finite field K is a linear code of the
form {x ∈ K n | xH T = 0}, where H ∈ Mnr (K̄) is an alternant control matrix
defined over a finite field K̄ that contains K. General RS codes and BCH codes are
alternant codes (see page 151 for RS codes and page 152 for BCH codes).
alternant_code(h,a,r) (149) Creates the alternant code associated to the matrix con-
trol_matrix(h,a,r).
alternant control matrix (148) A matrix H of the form H = Vr (α)diag (h) ∈
Mnr (K̄), where r is a positive integer (called the order of the control matrix) and
h, α ∈ K̄ n (we say that H is defined over K̄).
alternant_decoder(y,C) (168) Decodes the vector y according to the BMS decoder for
the alternant code C.
 Index-Glossary 197

alternant_matrix(h,a,r) (148) Creates the alternant control matrix of order r associ-

ated to the vectors h and a (which must be of the same length).
append(x,a) (184) Yields the result of appending the object a to the list or vector x. It
can also be expressed as x|{a} or x|[a] if x if x is a list or vector, respectively.
assignment expression See assignment.
asymptotically bad / good families (78) See Remark 1.79.
asymptotic bounds (80) Any function of δ = d/n that bounds above lim sup k/n
(when we let n → ∞ keeping d/n fixed) is called an asymptotic upper bound
(asymptotic lower bounds are defined similarly). To each of the upper (lower)
bounds for Aq (n, d) there is a corresponding asymptotic upper (lower) bound.
McEliece, Rodemich, Rumsey and Welsh (page 79) have obtained the best up-
per bound. Corresponding to the Gilbert–Varshamov lower bound for Aq (n, d) there
is an asymptotic Gilbert–Varshamov bound (see E.1.55).

B
Bassalygo–Elias bound See Elias bound.
BCH Acronym for Bose–Chaudhuri–Hocquenghem.
BCH(α,d,l) (152) Creates the code BCH α (d, l) of designed distance d and offset l
based on the element α.
BCH bounds See BCH codes.
BCH codes The BCH code of length n, designed distance δ and offset ` over Fq ,
which is denoted C = BCH ω (δ, `), is the cyclic code with roots ω `+i , for i =
0, . . . , δ − 2, where ω is a primitive n-th root of unity in a suitable extension of
Fq . The minimum distance of C is at least δ (BCH bound of the minimum distance,
Theorem 3.15). The dimension k of C satisfies n − (δ − 1) > k > n − m(δ − 1),
where m is the degree of ω over Fq (BCH bounds of the dimension, Proposition
3.18). In the binary case, the dimension lower bound can be improved to k > n−mt
if δ = 2t + 1 (Proposition 3.19). When ` = 1, we write BCH ω (δ) instead of
BCH ω (δ, 1) and we say that these are strict BCH codes. Primitive BCH codes are
BCH codes with n = q m − 1 for some m.
begin S end (187) This construct builds an expression out of statement S.
BER Acronym for bit error rate.
Berlekamp algorithm [for factoring a polynomial over Fq ] In this text we have only
developed a factorization algorithm for X n −1 (page 130). There are also algorithms
for the factorization of arbitrary polynomials. For an introduction to this subject,
including detailed references, see [17], Chapter 2.
bezout(m,n) This function can be called on integers or univariate polynomials m, n.
It returns a vector [d, a, b] such that d = gcd (m, n) and d = am + bn (Bezout’s
identity). In fact a and b also satisfy |a| < |n| and |b| < |m| in the integer case, and
deg (a) < deg n and deg (b) < deg m in the polynomial case.
binary alphabet (12) The set {0, 1} of binary digits or bits. Also called binary num-
bers.
binary digit (2,12) Each of the elements of the binary alphabet {0, 1}. With addition
and multiplication modulo 2, {0, 1} is the field Z2 of binary numbers.
binary symmetric channel (2) In this channel, the symbols sent and received are bits
and it is characterized by a probability p ∈ [0, 1] that a bit is altered (the same for
 198 Index-Glossary

0 and 1). Since p denotes the average proportion of erroneous bits at the receiving
end, it is called the bit error rate (BER ) of the channel.
bit (2, 12) Acronym for binary digit. It is also the name of the fundamental unit of
information.
bit error rate (2) See binary symmetric channel.
block (179) In a WIRIS session, each of the sets of statements delimited by a variable
height ‘[’. Each statement in a block is delimited with a variable height ‘|’.
block code (13) If T is the channel alphabet and q = |T |, a q-ary block code of
length n is a subset C of T n .
block encoder (12) An encoder f : S → T ∗ such that f (S) ⊆ T n for some n (called
the length of the block encoder).
blow(h,F) (150) For a finite field F=K[x]/(f) and a vector h with entries in F, it creates
a vector with entries in K by replacing each entry of h by the sequence of its com-
ponents with respect to the basis 1, x, . . . , xr−1 of F as a K-vector space. If H is a
matrix with entries in F, then blow(H,F) is the result of replacing each column h of
H by blow(h,F).
BMS (166) Acronym for Berlekamp–Massey–Sugiyama.
BMS algorithm (167) A decoding algorithm for alternant codes based on Sugiyama’s
method for solving the key equation and on Forney’s formula for the determination
of the error values.
Boolean expression (185) An expression whose value is true or false.
Boolean function (185) An function whose value is true or false.
BSC Acronym for binary symmetric channel.

C
capacity (4) It measures the maximum fraction of source information that is available
at the receiving end of a communication channel. In the case of a binary symmet-
ric channel with bit error probability p, it is a function C(p) given by Shannon’s
formula C(p) = 1 + p log2 (p) + (1 − p) log2 (1 − p).
cardinal(R) (181) The cardinal of a ring R.
Cauchy matrix (157) A matrix of the form (1/(αi − βj )), where α1 , . . . , αn and
β1 , . . . , βn belong to some field and αi 6= βj for 1 6 i, j 6 n.
cauchy_matrix(a,b) Given vectors a and b, this function constructs the Cauchy matrix
(1/(ai − bj )), provided that ai 6= bj for all i, j with i in range(a) and all j in
range(b).
channel Short form of communication channel.
channel alphabet (11) The finite set T of symbols (called channel symbols) with
which the information stream fed to the communication channel is composed. It is
also called transmission alphabet. Although we do make the distinction in this text,
let us point out that in some channels the input alphabet may be different from the
output alphabet.
channel coding theorem (4) If C is the capacity of a BSC, and R and ε are positive
real numbers with R < C, then there exist block codes for this channel with rate at
least R and code error rate less than ε.
channel symbol See symbol.
characteristic [of a ring or field] See characteristic homomorphism.
characteristic(R) (181) The characteristic of a finite ring R.
 Index-Glossary 199

characteristic homomorphism (91) For a ring A, the unique ring homomorphism

φA : Z → A. Note that necessarily φA (n) = n·1A . The image of Z is the minimum
subring of A (which is called the prime ring of A). If ker (φA ) = {0}, then A is said
to have characteristic 0. Otherwise the characteristic of A is the minimum positive
integer such that n · 1A = 0. In this case, there is a unique isomorphism from Zn
onto the prime ring of A. If A is a domain (has no zero-divisors), then the prime
ring is Z if the characteristic is 0 and the field Zp if the characteristic p is positive
(p is necessarily prime, because otherwise Zp would not be a domain).
check b(X) (187) In the definition of a function, between the argument sequence (X)
and the operator := preceeding the body of the function, it is allowed to include a di-
rective of the form check b(X), where b(X) stands for a Boolean expression formed
with the arguments of the function. This mechanism extends the filtering mecha-
nism with types (A.16, page 187).
check matrix (34) For a linear code C, a matrix H such that x ∈ C if and only if
xH T = 0. Also called parity-check matrix, or control matrix. For an introductory
illustration, see Example 1.9.
classical Goppa codes (154) Alternant codes C = AK (h, α, r), h, α ∈ K̄ n , such
that there exists a polynomial g ∈ K̄[X] of degree r with g(αi ) 6= 0 and hi =
1/g(αi ), i = 1, . . . , n. As shown in P.4.6, this definition gives the same codes
as Goppa’s original definition, which looks quite different at a first glance. The
alternant bounds give dC > r + 1 and n − r > kC > n − rm, m = [K̄ : K].
Strict BCH codes are classical Goppa codes (Proposition 4.5). In the case of binary
classical Goppa codes we have dC > 2r + 1 if g does not have multiple roots
(P.4.7).
clear X Assuming that X is a sequence of identifiers, this command undoes all the
assignments made earlier to one or more of these identifiers.
code In this text, short form of block code.
code efficiency See code rate.
code error (3) It occurs when the received vector either cannot be decoded (decoder
error) or else its decoded vector differs from the sent vector (undetectable error).
The number of erroneous symbols at the destination due to code errors is usually
bounded above using the observation that for a code of dimension k a code error
produces at most k symbol errors.
code error rate (3) The probability of a code error. For an introductory example, see
Rep(3).
code rate (13) For a code C, the quotient k/n, where k and n denote the dimension
and the length of C, respectively. It is also called code efficiency or transmission
rate. For an introductory example, see Rep(3).
code vector (13) A code word.
code word (13) An element of the image of an encoder, or an element of a block
code. It is also called a code vector.
coefficient(f,x,j) For a polynomial f, the coefficient of xj . If f is multivariate, it
is considered as a polynomial in x with coefficients which are polynomials in the
remaining variables.
coefficient_ring(f) This function gives the ring to which the coefficients of a polyno-
mial f belong.
collect(f,X) (119) Assuming X is a list of variables and f a multivariate polynomial,
 200 Index-Glossary

this function returns f seen as a polynomial in the variables X (with coefficients

which are polynomials in the variables of f which are not in X. The argument X can
be a single variable x, and in this case the call is equivalent to collect(f,{x}).
communication channel (11) The component of a communication system that effects
the transmission of the source information to the destination or receiver.
communication system According to Shannon’s, widely accepted model, it has an
information source, which generates the messages to be sent to the information des-
tination, and a communication channel, which is the device or medium that effects
the transmission of that information.
complete decoder A full decoder.
Complex (187) The type associated to complex numbers. Denoted C in palette style.
conference matrix (60) A square matrix C with zeroes on its diagonal, ±1 entries
otherwise, and such that CC T = (n − 1)In , where n is the order of C.
conference_matrix(F) (60) Computes the conference matrix associated to a finite field
F of odd cardinal.
conjugates (113) The set of conjugates of α ∈ L, L a finite field, over a subfield K
of L is
2 r−1
{α, αq , αq , . . . , αq },
r
where q = |K| and r is the least positive integer such that αq = α. If K is not
specified, it is assumed that it is the prime field of L.
conjugates(a,K) (113) Yiels the list of conjugates of a over K. The element a is as-
sumed to belong to a finite field that contains K as a subfield. The call conjugates(a)
is equivalent to conjugates(a,K), where K is the prime field of the field of a.
constant_list(n,a) (184) The list of length n all of whose terms are equal to a.
constant_matrix(m,n,a) (185) The matrix with m rows and n columns all whose en-
tries are equal to a. constant_matrix(n,a) is equivalent to constant_matrix(n,n,a).
constant_vector(n,a) (184) The vector an (the vector of length n all of whose com-
ponents are equal to a).
constrained_maximum(u,C) Computes the maximum of a linear polynomial u with
respect to the constraints C (a list of linear inequalities). This function is crucial for
the computation of the linear programming bound LP(n,s).
control matrix See check matrix.
control polynomial (120) For a cyclic code C over K, the polynomial (X n − 1)/g,
where n is the length of C and g its generator polynomial. The control polynomial
is also called check polynomial.
correcting capacity (16) A decoder g : D → C for a q-ary block code C ⊆ T n has
correcting capacity t (t a positive integer) if for any x ∈ C and any y ∈ T n such
that hd (x, y) 6 t we have y ∈ D and g(y) = x.
covering radius If C ⊆ T n , where T is finite set, the convering radius of C is the
integer
r = maxn min hd (y, x).
y∈T x∈C

B(x, r) = T n . The Gilbert

S
Thus r is the minimum positive integer such that
x∈C
bound (Theorem 1.17) says that if C is optimal then r 6 d − 1, where d is the
minimum distance of C.
crossover probability In a binary symmetric channel, the bit error probability.
 Index-Glossary 201

cyclic code (118) Said of a linear code C ⊆ Fn

q such that (an , a1 , . . . , an−1 ) ∈ C
when (a1 , . . . , an−1 , an ) ∈ C.
cyclic_control_matrix(h,n) (124) Constructs the control matrix of the cyclic code of
length n whose control polynomial is h.
cyclic_matrix(g,n) (122) Constructs a generating matrix of the cyclic code of length
n whose generator polynomial is g.
cyclic_normalized_control_matrix(g,n) (123) Constructs the normalized control gen-
erating matrix of the cyclic code of length n whose generator polynomial is g corre-
sponding to cyclic_normalized_matrix(g,n).
cyclic_normalized_matrix(g,n) (123) Constructs a normalized generating matrix of
the cyclic code of length n whose generator polynomial is g.
cyclic_product(a,b,n,x) (119) Equivalent to cyclic_reduction(a·b,n,x), assuming that
a and b are polynomials, n a positive integer and x a variable. We may omit
x for univariate polynomials. Finally the call cyclic_product(a,b) works for two
vectors a and b of the same length, say n, and it yields the coefficient vector of
cyclic_reduction(a´·b´,n), where a´ and b´ are univariate polynomials whose coeffi-
cient vectors a and b. The result is padded with zeros at the end to make a vector of
length n.
cyclic_reduction(f,n,x) (119) Replaces any monomial xj in the polynomial f by x[j]n .
The polynomial f can be multivariate. The call cyclic_reduction(f,n) works for uni-
variate polynomials and is equivalent to cyclic_reduction(f,n,x), where x is the vari-
able of f.
ciclic_shift(x) (15) If x is the vector (x1 , . . . , xn ), the vector (xn , x1 , . . . , xn−1 ).
ciclic_shifts(x) (15) If x is a vector, the list of cyclic permutations of x.
constant_matrix(m,n,a) (185) The m × n matrix whose entries are all set equal to a.
The call constant_matrix(n,a) is equivalent to constant_matrix(n,n,a).
cyclotomic class (129) For an integer q such that gcd (q, n) = 1, the q-cyclotomic
class of an integer j modulo n is the set {jq i mod n}06i<r , where r is the least
positive integer such that jq r ≡ j mod n.
cyclotomic_class(j,n,q) (129) The value of this function is the q-cyclotomic class of
an integer j mod a positive integer n, where q is required to be a positive intger
relatively prime with n.
cyclotomic_classes(n,q) (129) For two relatively prime positive integers n and q, it
gives the list of the q-cyclotomic classes mod n.
cyclotomic polynomial (132) The n-th cyclotomic polynomial over Fq (see P.3.7) is
Qn = gcd (j,n)=1 (X − ω j ), where ω is a primitive n-th root of unity in a suitable
Q

extension field of Fq (for example Fqm , m = ord n (q)).

cyclotomic_polynomial(n,T) (133) Provided n is a positive integer and T a variable,
it returns the n-th cyclotomic polynomial Qn (T ) ∈ Z[T ].

D
decoder A decoding function.
decoder error (16) It occurs when the received vector is non-decodable.
decoder_trial(C,s,K) (170) For a code C over a finite field K and a positive integer s,
this function generates a random vector x of C, a random error vector e of weight
s, and calls alternant_decoder(x+e,C). If the result x0 coincides with x, [x, e, x +
e] is returned. If x0 6= x, but otherwise is a vector, [x, e, x + e, x0 ] is returned.
 202 Index-Glossary

If x0 is not a vector, [x, e] is returned. The call decoder_trial(C,s) is equivalent

decoder_trial(C,s,K), where K is the base field of C.
decoding function (16) For a block code C ⊆ T n , a map g : D → C such that
C ⊆ D ⊆ T n and g(x) = x for all x ∈ C. The elements of D, the domain of g, are
said to be g-decodable.
degree (112) 1 The degree of a finite field L over a subfield K, usually denoted
[L : K], is the dimension of L as a K-vector space. If K is not specified, it is
assumed to be the prime field of L. 2 The degree of α ∈ L over a subfield K of L
is [K[α] : K]. It coincides with degree of the minimum polynomial of α over K. If
K is not specified, it is assumed to be the prime field of L.
degree(f) Yields the degree of a polynomial f.
designed distance See BCH codes.
determinant(A) (185) Assuming A is a square matrix, the determinant of A (|A| in
palette style).
diagonal_matrix(a) (148) Creates the diagonal matrix whose diagonal entries are the
components of the vector a.
dimension (13) The dimension of a q-ary block code C of length n is kC = logq (M ),
where M = |C|.
dimensions(A) (185) For a matrix A with m rows and n columns, the sequence m,n.
discrete logarithm See exponential representation.
Divisor (187) The type associated to divisors.
divisor (182) A WIRIS divisor is a sequence of terms of the form a → b, where
a and b are arbitrary objects, enclosed in brakets. Divisors can be thought of as
a kind of function. Indeed, if D is a divisor and x any object, then D(x) returns
the sum (possibly 0) of the values y such that x→y appears in D. Divisors can be
added. The sum D+D’ of two divisors D and D’ is characterized by the relation
(D+D’)(a)=D(a)+D’(a),. for all a.
divisors(n) (88) The list of positive divisors of a nonzero integer n.
domain A ring with no zero-divisors. In other words, a ring in which x · y = 0 can
only occur when x = 0 or y = 0.
domain(R) (182) For a relation R, the set of values a for which there is a term of the
form a→b in R. A similar definition works for the other pairing flavours. In case R
is a divisor, it coincides with support(R).
dual code (34) If C is a linear code over Fq , the code

C ⊥ = {h ∈ Fnq | hx|hi = 0 for all x ∈ C}.

dual Hamming code (45) Denoted Ham∨ a (r), it is the dual of the Hamming code
Hamq (r). It is equidistant with minimum distance q r−1 (Proposition 1.43). These
codes satisfy equality in the Plotkin bound (Example 1.65).

E
Element(Field) The type of objects that happen to be an element of some field.
element(j,R) (181) For a finite ring R of cardinal n, this function yields the elements
of R when j runs over the range 0..(n-1).
elias(x) (79, 80) Computes the asymptotic Elias upper bound.
 Index-Glossary 203

Elias bound (72) For positive integers q, n, d, r with q > 2, r 6 βn (where β =

(q − 1)/q) and r2 − 2βnr + βnd > 0,
βnd qn
Aq (n, d) 6 · .
r2 − 2βnr + βnd vol q (n, r)

encoder (12) In a communication system, an injective map f : S → T ∗ from the

source alphabet S to the set T ∗ of finite sequences of channel symbols.
entropy (78) The q-ary entropy function is

Hq (x) = x logq (q − 1) − x logq (x) − (1 − x) logq (1 − x)

for 0 6 x 6 1. For q = 2, H2 (x) = 1 − C(x), where C(x) is the capacity function.

The entropy plays a basic role in the expression of some of the asymptotic bounds.
entropy(x,q) (78, 80) Computes the entropy function Hq (x). The call entropy(x) is
equivalent to entropy(x,2).
epsilon_vector(n,j) (184) If j is in the range 1..n, the vector of length n whose com-
ponents are all 0, except the j-th, which is 1. Otherwise, the vector 0n .
equidistant code (46) A code such that hd (x, y) is the minimum distance for all
distinct code words x and y.
equivalent codes See equivalence criteria.
equivalence criteria (15, 15) Two q-ary block codes C and C 0 of length n are said to
be equivalent if there exist permutations σ ∈ Sn and τi ∈ Sq (i = 1, . . . , n) such
that C 0 is the result of applying τi to the symbols in position i for all words of C,
i = 1, . . . , n, followed by permuting the n components of each vector according
to σ. In the case where the q-ary alphabet T is a finite field and each τi is the
permutation of T given by the multiplication with a nonzero element of T , the
codes are said to be scalarly equivalent.
erf(n,t,p) 20 Computes the error-reduction factor of a code of length n and error
correcting capacity t for a symmetric channel with symbol error probability p.
error detection (15, 27) A block code of minimum distance d can detect up to d − 1
errors. It can also simultaneously correct t errors and detect s > t errors if t + s < d
(P.1.1).
error-locator polynomial (159, 174) [in relation to an alternant code AK (h, α, r)
Qs an error pattern e] 1 In the BMS decoding approach, the polynomial σ(z) =
and
i=1 (1 − ηi z), where η1 , . . . , ηs are the error locators corresponding
Qs to the error
pattern e. 2 In the PGZ approach, the polynomial σ(z) = i=1 (z − ηi ). This defi-
nition can also be used, with suitable modifications, in the BMS approach (Remark
4.7 and P.4.9).
error locators (158) [in relation to an alternant code AK (h, α, r) and an error pattern
e] The values ηi = αmi (1 6 i 6 s) where {m1 , . . . , ms } ⊆ {1, · · · , n} is the
support of e (the set of error positions).
error-evaluator polynomial (159) [in relation to an alternant code AK (h, α, r) and
Ps Qs
an error pattern e] The polynomial (z) = i=1 hmi emi j=1,j6=i (1 − ηi z), where
η1 , . . . , ηs are the error locators corresponding to the error pattern e.
error pattern (158) See error vector.
error-reduction factor (3, 20) The quotient of the symbol error rate obtained with a
coding/decoding scheme by the symbol error rate without coding.
 204 Index-Glossary

error vector (158) Also called error pattern, it is defined as the difference y − x
between the sent code vector x and the received vector y.
Euler’s function ϕ(n) (87) For an integer n > 1, ϕ(n) counts the number of integers
k such that 1 6 k 6 n − 1 and gcd (k, n) = 1. It coincides with the cardinal of the
group Z∗n . The value of ϕ(1) is conventionally defined to be 1.
evaluate(f,a) Yields the value of a polynomial f at a. Here a is a list with as many
terms as the number of variables of f, as in evaluate(x3 +y5 ,{3,2}). In the case of
a single variable, the braces surrounding the unique object can be omitted (thus
evaluate(x3 +x5 ,{17}) and evaluate(x3 +x5 ,17) are equivalent).
evaluation (180) In a WIRIS session, the action and result of clicking on the red ar-
row (or by pressing Ctrl+Enter). The value of each statement of the active block
is computed and displayed, preceeded by a red arrow icon, to the right of the state-
ment.
even?(n) (186) This Boolean function tests whether the integer n is even.
exponent [of a monic irreducible polynomial] See primitive polynomial.
exponential representation (106) The expression x = αi of a nonzero element x of
a finite field L as a power of a given primitive element α. The exponent i is called
the index (or discrete logarithm) of x with respect to α, and is denoted ind α (x). If
we know i = ind α (x) and j = ind α (y), then xy = αk , where k = i + j mod q − 1
(q the cardinal of L). This scheme for computing the product, which is equivalent
to say that ind α (xy) = ind α + ind α (y) mod q − 1, is called index calculus (with
respect to α). In practice, the index calculus is implemented by compiling a table,
called an index table, whose entries are the elements x of L (for example in additive
notation) and whose values are the corresponding indices ind α (x).
expression (179) A formula or an assignment (see statement).
extension(K,f) (95, 181) Given a ring K and a polynomial f∈K[x] whose leading co-
efficient is invertible (a monic polynomial in particular), then extension(K,f), or the
synomym expression K[x]/(f), constructs the quotient K[x]/(f ) and assigns the class
of x to x itself (thus the result is equivalent to the ring K[x], with f (x) = 0. If we
want another name α for the class of x, then we can use the call extension(K,α,f).

F
factor(f,K) Given a field K and a polynomial f with coefficients in K, finds the factor-
ization of f into irreducible factors.
factorization algorithm (130) When gcd (q, n) = 1, the irreducible factors of the
polynomial X n − 1 ∈ Fq [X] are fC = j∈C (X − ω j ), where C runs over the
Q
q-cyclotomic classes mod n and ω is a primitive n-th root of unity in Fqm , m =
ord n (q).
false (185) Together with true forms the set of Boolean values.
Fermat’s little theorem It asserts that if p is a prime number and a is any integer
not divisible by p, then ap−1 ≡ 1 (mod p). This is equivalent to say that any
nonzero element α of the field Zp satisfies αp−1 = 1. We have established two
generalizations of this statement: one for the group Z∗n (see E.2.5) and another for
the multiplicative group of any finite field (see E.2.6).
Field (187) The type associated to fields.
field (84) A commutative ring for which all nonzero elements have a multiplicative
inverse.
 Index-Glossary 205

field(a) Assuming a is an element of some field F, this function returns F. For exam-
ple, the value of field(2/3) is Q, and the value of field(5:Z11 ) is Z11 .
filter (187) Any Boolean expression F, which may include types, used in the form x:F
to check that an argument x of a function has the required properties.
Finite_field(K) (181) This Boolean function, or its synonym GF(K), tests whether K
is a Galois field.
finite fields (92) A finite field (also called a Galois field) is a field K whose cardinal
is finite. If q = |K|, then q must be a prime power (Proposition 2.8): q = pr , p
the characteristic of K and r a positive integer. Conversely, if p is a prime number
and r a positive integer, then there is a finite field of pr elements (Corollary 2.18).
Furthermore, any two fields whose cardinal is pr are isomorphic (Theorem 2.41).
This field is denoted Fq , or GF (q). Note that Fp = Zp , the field of integers mod p.
For any divisor s of r there is a unique subfield of Fpr whose cardinal is ps , and
these are the only subfields of Fpr (E.2.15).
flip(x,I) The components xi of the vector x indicated by the elements i of the list I are
replaced by 1 − xi . For a binary vector this amounts to complement the bits at the
positions indicated by I. We remark that I can be a range or a vector. On the other
hand, flip(x) is equivalent to flip(x,1..n), n the length of x.
Float (187) The type of decimal numbers.
formula (179) See statement.
formula expression (179) See statement.
Forney’s formula (159) Expression for the error values in terms of the error-locator
and error-evaluator polynomials (Proposition 4.8).
Frobenius automorphism (93) 1 If L is a finite field of characteristic p, the map
L → L such that x 7→ xp (absolute Frobenius automorphism of L). 2 If K is a
subfield of L with |K| = q, the map L → L such that x 7→ xq is an automorphism
of L over K (Frobenius automorphism of L over K).
frobenius(x) (93) If x lies in a field of characteristic p, the value xp . The call frobe-
nius(K,x), where K is a finite field of q elements, yields xq .
full decoder (16) A decoder g : D → C such that D = T n (hence all length n
vectors are decodable).
Function (187) The type associated to functions, in the sense of A.15, page 186.

G
gcd(m,n) The greatest common divisor of two integers (or of two univariate polyno-
mials) m and n.
geometric_progression See (geometric_series).
geometric_series(x,n) (86) Given expression x and a non-negative integer f, returns
the vector [1, x, . . . , xn−1 ] (note that n is its length). The call geometric_series(a,x,n),
where a is an expression, is equivalent to a·geometric_series(x,n). Synonym: geo-
metric_progression.
gilbert(x) (78, 80) Computes the asymptotic Gilbert lower bound.
g -decodable See decoding function.
Galois field (29) See finite fields.
Gauss algorithm (109) A fast procedure for finding a primitive element of a finite
field (P.2.10).
 206 Index-Glossary

generalized Reed–Solomon codes (151) Alternant codes AK (h, α, r) for which

K̄ = K (and hence such that h, α ∈ K n ).
generating matrix (32) For a linear code C, a matrix G whose rows form a linear
basis of C. In particular, C = hGi.
generator polynomial (120) For a cyclic code C over K, the unique monic divisor g
of X n − 1 such that C = Cg (Proposition 3.3).
GF(K) (181) Synonym of Finite_field(K), which tests whether K is a Galois field.
Gilbert lower bound (26) Aq (n, d) > q n /vol q (n, d − 1).
Gilbert–Varshamov bound (44) Aq (n, d) > q k if (n, k, d) satisfy the Gilbert–Var-
shamov condition.
Gilbert–Varshamov condition (43) For positive integers n, k, d such that k 6 n and
2 6 d 6 n + 1, the relation vol q (n − 1, d − 2) < q n−k . It implies the existence of
a linear [n, k, d]q code (Theorem 1.38).
Golay codes (124, 139) The binary Golay code is a cyclic [23, 12, 7] code (see Ex-
ample 3.21, page 139). The ternary Golay code is a cyclic [11, 6, 5]3 code (see
Example 3.6, page 124). For the weight enumerators of these codes, and their parity
completions, see P.3.3 (ternary) P.3.10 (binary).
Goppa codes See classical Goppa codes.
Griesmer bound (67) If [n, k, d] are the parameters of a linear code, then we have
Pk−1  
(Proposition 1.58) Gq (k, d) 6 n, where Gq (k, d) = i=0 d/q i (this expression
is called Griesmer function).  
Pk−1 d
griesmer(k,d,q) (67, 68) Computes the Griesmer function Gq (k, d) = i=0 ,
qi
which is a lower bound on the length n of a linear code [n, k, d]q .
Griesmer function See Griesmer bound.
GRS Acronym for Generalized Reed–Solomon.
GRS(h,a,r) (151) Creates the GRS code of codimension r associated to the vectors h
and a, which must have the same length.

H
Hadamard codes (61) If H is a Hadamard matrix of order n, the binary code CH ∼
(n, 2n, n/2) formed with the rows of H and −H after replacing −1 by 0 is the
Hadamard code associated to H. A Hadamard (32, 64, 16) code, which is equivalent
to the Reed–Muller code RM 2 (5), was used in the Mariner missions (1969-1972).
For the decoding of Hadamard codes, see Proposition 1.55 (page 62).
hadamard_code(H) (61) Returns the Hadamard code associated to the Hadamard
matrix H.
hadamard_code(n) (61) For positive integer n, this function returns the Hadamard
code associated to the Hadamard matrix H (n) .
hadamard_code(F) (61) For a finite field F of odd cardinal, we get the Hadamard
code associated to the Hadamard matrix of F.
Hadamard matrix (55, 60) A square matrix H whose entries are ±1 and such that
HH T = nIn , where n is the order of H.
hadamard_matrix(n) (56) The 2n × 2n Hadamard matrix H (n) .
hadamard_matrix(F) (60) The Hadamard matrix of a finite field F of odd cardinal.
Hadamard decoder (63) The decoder for Hadamard codes based on Proposition 1.55.
 Index-Glossary 207

hadamard_decoder(y,H) (63) Decodes vector y by the Hadamard decoder of the

Hadamard code associated to the Hadamard matrix H.
hamming(x) (79, 80) Computes the asymptotic Hamming upper bound.
Hamming code (18, 44) Any linear code over F = Fq that has a check matrix H ∈
Mnr (F) whose columns form a maximal set with the condition that no two of them
are proportional. They are perfect codes with length n = (q r − 1)/(q − 1) and
minimum distance 3, and are denoted Hamq (r). The check matrix H is said to be a
Hamming matrix. The binary Hamming code Ham2 (3) is the [7, 4, 3] code studied
in Example 1.9. For the weight enumerator of the Hamming codes, see Example
1.46. The Hamming codes are cyclic (Example 3.14, page 135).
Hamming distance (14) Given a finite set T and x, y ∈ T n , it is the number of indices
i in the range 1..n such that xi 6= yi and it is denoted hd (x, y).
hamming_distance(x,y) (184) The Hamming distance between the vectors x and y.
For convenience can be called with the synonym hd(x,y).
Hamming matrix (44) See Hamming code.
Hamming’s upper bound (23) Aq (n, d) 6 q n /vol q (n, t), t = b(d − 1)/2c.
hamming_weight_enumerator(q,r,T) (50) The weight enumerator, expressed as a poly-
nomial in the variable T , of the codimension r Hamming code over a field of cardi-
nal q. The call hamming_weight_enumerator(r,T) is equivalent to hamming_weight_-
enumerator(2,r,T).
Hankel matrix (174) The matrix (Si+j ), 0 6 i, j 6 ` − 1, associated to the vector
(S0 , . . . , S`−1 ).
hankel(S) (174) Produces the Hankel matrix associated to the vector S.
hd(x,y) (184) Synonym of hamming_distance(x,y), which yields the Hamming dis-
tance between the vectors x and y.

I
icon (179) Each of the choices in a palette menu of the WIRIS user interface, often
represented with an ideogram.
ideal (85) An additive subgroup I of a commutative ring A such that a · x ∈ I for all
a ∈ A and x ∈ I.
identifier (180) A letter, or a letter followed by characters that can be a letter, a digit,
an underscore or a question mark. Capital and lower case letters are distinct. Iden-
tifiers are also called variables.
identity_matrix(r) (185) The identity matrix of order r, Ir .
if b then S end (188) Evaluates statement S when the value of the Boolean expression
b is true, otherwise it does nothing.
if b then S else T end (188) Evaluates statement S when the value of the Boolean
expression b is true, otherwise evaluates statement T.
incomplete decoding (42) A correction-detection scheme for linear codes used when
asking for retransmission is possible. It corrects error-patterns of weight up to the
error-correcting capacity and dectects all error-patterns of higher weight which are
not code vectors.
index(a,x) (184) For a vector or list x, 0 if the object a does not belong to x, otherwise
the index of first occurrence of a in x.
index calculus See exponential representation.
index table See exponential representation.
 208 Index-Glossary

ind_table(a) (107) Given an element a of a finite field, it returns the relation {aj →
j}06j6n−1 , n the order of a. In order to incluce 0, we also add the pair {0→_} (here
we use the underscore character, but often the symbol ∞ is used instead).
infimum(f,r) (80) For a function f and a range r, it returns the minimum of the values
f(t) when t runs over r. If f is continuous on a closed interval [a, b], we can approx-
imate the minimum of f in [a, b], as closely as wanted, by choosing r=a..b..ε with ε
small enough.
information source (11) The generator of messages in a communication system. A
(source) message is a stream of source symbols.
inner distribution (74) For a a code C ∼ (n, M )q , the set of numbers ai = Ai /M ,
i = 1, . . . , n, where Ai is the set of pairs (x, y) ∈ C × C such that hd (x, y) = i. In
the case of a linear code it coincides with the weight distribution.
input alphabet See channel alphabet.
Integer (187) The type associated to integers. Denoted Z in palette style.
inverse(x) 1 The inverse, x−1 or 1/x, of an invertible ring element x. 2 If R is a
relation, the relation formed with all pairs b→a such that a→b is a pair of R.
invert_entries(x) (149) Gives the vector whose components are the inverses of the
components of the vector x.
invertible?(x) (186) For a ring element x, it yields true when x is invertible in its ring,
and false otherwise.
is?(x,T) (187) Tests whether x has type T or not. Takes the form x∈T in palette style.
ISBN (30) Acronym for International Standard Book Number (see Example 1.19).
is_prime_power?(n) (30) For an integer n, decides whether it is a prime power or
not.
irreducible?(f,K) (186) For a field K and a polynomial f with coefficients in K, tests
whether f is irreducible over K or not.
irreducible_polynomial(K,r,T) (100) Given a finite field K, a positive integer r and a
variable T, returns a monic irreducible polynomial of degree r in the variable T and
with coefficients in K. Since it makes random choices, the result may vary from
call to call.
item(i,s) (182) The i-th term of a sequence s.

J
Jacobi logarithm See Zech logarithm.
Johnson’s upper bound (73, 73) An upper bound for binary codes which improves
Hamming’s upper bound (Theorem 1.72, and also Proposition 1.71).
join(x,y) (183) The concatenation of x and y (both vectors or both lists). It coincides
with x|y.

K
keyboard style (179) Conventions for representing the action of palette icons by
means of a keyboard character string. For example, the symbol Z for the ring of
integers that can be input from the Symbol palette has the same value as Integer.
Similarly, the fraction a composed by clicking the fraction icon in the Operations
b
menu has the same value as a/b.
key equation (160) For alternant codes defined by an alternant matrix of order r,
the error-evaluator polynomial (z) is, modulo z r , the product of the error-locator
 Index-Glossary 209

polynomial σ(z) times the syndrome polynomial S(z) (Theorem 4.9).

Krawtchouk polynomials (74) The q-ary degree j Krawtchouk polynomial for the
length n is
j   
X x n−x
s
Kj (x, n, q) = (−1) (q − 1)j−s .
s=0
s j − s

As shown by Delsarte, these polynomials play a fundamental role in the linear pro-
gramming bound (cf. Propostion 1.74 and Theorem 1.75).

L
n
lb_gilbert(n,d,q) (26) The value of dq /vol (n, d − 1, q)e, which is the Gilbert lower
bound for Aq (n, d). The expression lb_gilbert(n,d) is defined to be lb_gilbert(n,d,2).
lb_gilbert_varshamov(n,d,q) (26) The value q k , where k is the highest positive in-
teger such that vol q (n − 1, d − 2) < q n−k (Gilbert–Varshamov condition). The
expression lb_gilbert_varshamov(n,d) is defined to be lb_gilbert_varshamov(n,d,2).
lcm(m,n) The least common multiple of two integers (or of two univariate polynomi-
als) m and n.
leaders’ table (39) A table E = {s → es }s∈Fn−k formed with a vector es ∈ Fn q
q
of syndrome s with respect to a check matrix H of a code [n, k]q and which has
minimum weight with that condition. The vector es is called a leader of the set of
vectors whose H-syndrome is s.
Legendre character (57, 58) Given a finite field F of odd cardinal q, the map

χ : F∗ → {±1}

such that χ(x) = 1 if x is a square (also called a quadratic residue) and χ(x) = −1
if x is not a square (also called a quadratic non-residue). Conventionally χ(0) is
defined to be 0.
left_parity_extension(G) See parity_extension(G).
legendre(a,F) (58) Yields the Legendre charater of the element a of a finite field F.
length (12) 1 The length of a vector, word, or list is the number of its elements. 2 The
length of a block encoder or of a block code is the length of any of its words.
length(x) (183) The length of x (an aggregate).
let (180) The sentence let x=e binds the value of e to x and assigns the name x to this
value.
linear codes (30) A code whose alphabet T is a Galois field and which is a linear
subspace of T n .
linear encoding (32) If G is a generating matrix of a linear code C over Fq , the
encoding Fkq → Fnq given by u 7→ uG.
linear programming bound (76) Aq (n, d) is bounded above by the maximum of the
linear function 1 + ad + · · · + an subject to the constraints ai > 0 (d 6 i 6 n) and
  Xn
n
+ ai Kj (i) > 0 for j ∈ {0, 1, . . . , n},
j
i=d

where Kj = Kj (x, n, q), j = 0, . . . , n, are the Krawtchouk polynomials.

List (187) The type associated to lists.
 210 Index-Glossary

list(x) (184) If x is a range or vector, the list whose components are the elements of x.
The expression {x} is, in both cases, a list of length 1 with x as its only element.
local X (187) A directive to insert at the beginning of a statement a sequence X of
local variables for that statement. These variables do not interfere with homonym
variables defined outside the statement. The variables introduced with the local
directive can be assigned values, as in local x, y=0 (x is left free, while y is assigned
the value 0).
LP(n,d) (76, 76) Computes the linear programming bound of Aq (n, d). The three-
argument call LP(n,d,X), with X a list of inequalities, finds a constrained maximum
like LP(n,d), but with the Delsarte constraints (see Theorem 1.75) enlarged with the
inequalities X.

M
macwilliams(n,k,q,A,T) (50) The polynomial q −k (1 + (q − 1)T )n A(T
e ), where A(T
e )
is the expression obtained after substituting the variable T in A by (1 − T )/(1 +
(q − 1)T ). The call macwilliams(n,k,A,T) is equivalent to macwilliams(n,k,2,A,T).
MacWilliams identities (50) These determine the weight enumerator of the dual of a
linear code C in terms of the weight enumerator of C (see Theorem 7).
main problem (22) See optimal code.
Mariner code (61) See also Hadamard codes.
Matrix (187) The type associated to matrices. If R is a ring, Matrix(R) is the type of
the matrices whose entries are in R.
Mattson–Solomon matrix (153) A matrix of the form M = (αij ), 0 6 i, j 6 n − 1,
where α is an element of a finite field with ord (α) = n. The map x 7→ xM is called
a Mattson–Solomon transform.
mattson_solomon_matrix(α) (153) Creates the Mattson–Solomon matrix on the ele-
ment α.
Mattson–Solomon transform (153) See Mattson–Solomon matrix.
maximum distance separable (21) Codes [n, k, d]q that satisfy equality (k + d =
n + 1) in the Singleton bound (k + d 6 n + 1).
mceliece(x) (79, 80) Computes the McEliece, Rodemich, Rumsey and Welsh asymp-
totic linear programming upper bound.
MDS Acronym for maximum distance separable.
Meggitt algorithm (144) A decoding algorithm for cyclic codes based on a Meggitt
table.
Meggitt decoder (144) A decoder for cyclic codes that implements the Meggitt algo-
rithm.
meggitt(y,g,n) (144) For a positive integer n and a polynomial y=y(x) of degree < n
representing the received vector, this function returns the result of decoding y with
the Meggitt decoder of the cyclic code defined by the monic divisor g of xn − 1. It
presupposes that a Meggitt table E is available.
Meggitt table (144) Given a cyclic code of length n over Fq , the table E = {s →
axn−1 + e}, where a is any nonzero element of Fq , e is any polynomial of degree
< n − 1 and weight < t, where t is the error correcting capacity of the code, and s
is the syndrome of axn−1 + e.
min(x) (184) For a range, list or vector x, the minimum among its terms.
 Index-Glossary 211

min_weight(X) (41) Given a list of vectors X, the minimum among the weights of the
vectors in X.
min_weights(X) (41) The sublist of a list of vectors X whose weight is min_weight(X).
minimum distance (14) Given C ⊆ T n , where T is a finite set, the minimum distance
of C is
dC = min{hd (x, x0 ) | x, x0 ∈ C, x 6= x0 },

where hd (x, x0 ) is the Hamming distance between x and x0 .

minimum distance decoder (17) For a q-ary block code C ⊆ T n , the decoder
F
g : DC → C (DC = x∈C B(x, t), t = b(d − 1)/2c) such that g(y) = x for
all y ∈ B(x, t). Its correcting capacity is t.
minimum polynomial (112) Given a finite field L and a subfield K, the minimum
polynomial of α ∈ L over K is the unique monic polynomial pα ∈ K[X] of least
degree that has α as a root. Note that pα is irreducible.
minimum_polynomial(a,K,X) (112) Calculates the minimum polynomial of a over
K, with variable X. The element a is assumed to belong to a finite field that con-
tains K as a subfield. The call minimum_polynomial(a,X) is equivalent to mini-
mum_polynomial(a,K,X) with K set to the prime field of the field of a.
minimum weight (31) For a linear code, the minimum of the weights of its nonzero
vectors. It coincides with the minimum distance.
Möbius function µ(n) (99) If n > 1 is an integer, µ(n) is 0 if n has repeated prime
factors. Otherwise is 1 or −1 according to whether the number of prime factors
is even or odd. The value of µ(1) is conventionally defined as 1. If n and n0 are
positive integers such that gcd (n, n0 ) = 1, then µ(nn0 ) = µ(n)µ(n0 ). One useful
property of the function µ is that it satisfies the Möbius inversion formula (E.2.18).
Möbius inversion formula See Möbius function µ(n).
mod See remainder.
monic?(f) (186) Tests whether the polynomial f is monic or not.
mu_moebius(n) Computes, for a positive integer n, Möbius function µ(n).

N
n_items(s) (181) The number of terms of the sequence s.
n_columns(A) (185) Abreviation of number_of_columns(A). Yields the number of
columns of the matrix A.
n_rows(A) (185) Abreviation of number_of_rows(A). Yields the number of rows of
the matrix A.
Nm(α,L,K) (115) For an element a and a subfield K of a finite field L, this function
returns NmL/K (α). The call Nm(α,L) is equivalent to Nm(α,L,K) is with K the prime
field of L. The call Tr(α) is equivalent to Tr(α,L) with L=field(α).
noiseless channel (12) A channel that does not alter the symbols sent through it.
noisy channel (12) A channel that is not noiseless (symbols sent through it may thus
be altered).
non-decodable (16) Given a decoder, said of a vector that is not in the domain of this
decoder.
norm (31, 114) 1 The weight is a norm on Fnq (E.1.20). 2 The norm of a finite
field L over a subfield K is the homomorphism NmL/K : L∗ → K ∗ such that
 212 Index-Glossary

NmL/K (α) = det(mα ), where mα : L → L is the multiplication by α (the K-

linear map x 7→ αx). For an expression of NmL/K (α) in terms of the conjugates of
α, see Theorem 2.43.
normalized Hamming matrix (44) See E.1.33.
normalized_hamming_matrix(K,r) (44) The normalized Hamming matrix of r rows
with entries in the finite field K.
not b (185) Negation of the Boolean expression b. It is equivalent to not(b).
null (181) The empty sequence (or the only sequence having 0 terms).
number_of_columns(A) (185) The number of columns of the matrix A.
number_of_items(s) (181) The number of terms of the sequence s. Can be shortened
to n_items(s).
number_of_rows(A) (185) The number of rows of the matrix A.

O
odd?(n) (186) This Boolean function tests whether the integer n is odd.
offset See BCH codes.
optimal code (21) For a given length n and minimum distance d, the highest M such
that there exists a code (n, M, d)q . This M is denoted Aq (n, d). The determination
of the function Aq (n, d) is often called the main problem of coding theory.
order (103) 1 The order of an element α of a finite group G is the least positive
integer r such that αr = e (e the identity element of G). If n = |G|, then r|n. 2 In
the case of the multiplicative group K ∗ of a finite field K, the order of α, denoted
ord (α), divides q − 1. Conversely, if r divides q − 1, then there are exactly ϕ(r)
elements of order r in K (Proposition 2.34). 3 If n > 1 is an integer, and a is
another integer such that gcd (a, n) = 1, the order of α = [a]n in the group Z∗n ,
denoted en (q) (or also ord n (a)), divides ϕ(n). 4 The order of an alternant control
matrix is the number of rows of this matrix.
order(a) (104) If a is a nonzero element of a finite field, it computes the order of a.
order(q,n) (128) The order of the integer q in the group of invertible elements modulo
the positive integer n, provided q and n are relatively prime.
output alphabet See channel alphabet.

P
pad(a,r,t) (119) From a vector a, say of length n, a positive integer r and an expression
t, it constructs a vector of length r as follows. If n > r, the result is equivalent to
take(a,r). Otherwise it is equivalent to a|constant_vector(n-r,t). The call pad(a,r) is
equivalent to pad(a,r,0).
pairing (182) A relation, a table, a substitution or a divisor.
palette (179) Each of the icon menus of the WIRIS user interface. In this release
(November 2002) the existing palettes are, in alphabetical order, the following:
Analysis, Combinatorics, Edit, Format, Geometry, Greek, Matrix, Operations, Pro-
gramming, Symbols and Units.
palette style (179) The characteristic typographical features and conventions of input
expressions composed with palette icon menus. Designed to be as close as possible
to accepted mathematical practices and conventions, it is also the style in which
output expressions are presented.
Paley codes (63) See E.1.46.
 Index-Glossary 213

paley_code(F) (63) Constructs the Paley code (E.1.46) associated to a Finite field.
Paley matrix (58) The Paley matrix of a finite field F = {x1 , . . . , xq }, q odd, is
(χ(xi − xj )) ∈ Mq (F), 1 6 i, j 6 q, where χ is the Legendre character of F.
paley_matrix(F) (58) This function computes the Paley matrix of a finite field F of odd
cardinal.
parity-check matrix See check matrix.
parity completion (124, 32) 1 The result of appending to each vector of a binary code
the binary sum of its component bits. Thus the parity completion of an (n, M ) code
is an (n + 1, M ) code with the property that the binary sum of the component bits
of each of its elements is zero. 2 More generally, the result of adding to each vector
of a code defined over a finite field the negative of the sum of its components. Thus
the parity extension of an (n, M )q code is an (n + 1, M )q code with the property
that the sum of the components of each of its vectors is zero.
parity_completion(G) (124) The argument G is assumed to be a matrix r × n and the
function returns a matrix r × (n + 1) whose last column is the negative of the sums
of the rows of G. The function left_parity_extension(G) is defined in the same way,
but the extra column is inserted at the beginning of G.
parity extension Parity completion.
perfect codes (24) Codes that satisfy equality in the Hamming upper bound. For a
review of what is known about these codes, see Remark 1.16, page 25.
period [of a monic irreducible polynomial] See primitive polynomial.
period(f,q) (106) Assuming f is a monic irreducible polynomial with coefficients in
field of q elements, this function computes the period (or exponent) of f.
PGZ Acronym for Peterson–Gorenstein–Zierler.
PGZ algorithm (176) A decoding scheme for alternant codes based on a solving a
linear system of equations (cf. Proposition 4.17, page 175) for the determination of
the error-locator polynomial.
phi_euler(n) (87) Computes Euler’s function ϕ(n).
plotkin(x) (79) Computes the asymptotic Plotkin upper bound.
Plotkin bound (69) If (n, M, d)q are the parameters of a code, then we have the
inequality d 6 βnM/(M − 1), or M (d − βn) 6 d, where β = (q − 1)/q. The dual
Hamming codes meet the Plotkin bound (Example 1.65). For improvements of the
Plotkin bound, see E.1.50 and, for binary codes, E.1.49.
Plotkin construction (27) See P.1.5.
polar representation Exponential representation.
Polynomial (187) The type of (possibly multivariate) polynomials.
polynomial(a,X) (118) Given a vector a and an indeterminate X, returns a1 + a2 X +
· · · + an X n−1 (the polynomial in X with coefficients a).
prime?(n) (186) Test whether the integer n is prime or not.
prime ring / field See characteristic homomorphism.
primitive BCH codes see BCH codes.
primitive element (105) In a finite field Fq , any element of order q − 1. A primitive
element is also called a primitive root. In Fq there are exactly ϕ(q − 1) primitive
elements (Proposition 2.34).
primitive_element(K) (105) Returns a primitive element of the finite field K.
primitive polynomial (106) Any monic irreducible polynomial f ∈ K[X], where K
is a finite field, such that α = [X]f is a primitive element of the field K[X]/(f ).
 214 Index-Glossary

Since the order of α coincides with the period (or exponent) of f (E.2.21), which by
definition is the least divisor d of q r − 1 such that f divides X d − 1 (r = deg (f )),
f is primitive if and only if f does not divide X d − 1 for any proper divisor d of
q r − 1.
primitive root See primitive element.
primitive RS codes See Reed–Solomon codes.
principal ideal (85) Given a ∈ A, A a ring, the set {xa | x ∈ A} is an ideal of A. It
is denoted (a)A , or just (a) if A can be understood, and is called the principal ideal
generated by a.
prune(H) (150) The result of dropping from the matrix H the rows that are linear
combination of the privious rows.

Q
q -ary See block code.
q -ary symmetric channel See symmetric channel.
QNR(F) (58) When F is a finite field of odd cardinal, it yields the list of quadratic
non-residues of F.
QR(F) (58) When F is a finite field of odd cardinal, it yields the list of quadratic
residues of F.
quadratic residue See Legendre character
quadratic non-residue See Legendre character
quotient(m,n) Given integers m and n (or univariate polynomials with coefficients in
a field), computes the quotient of the Euclidean division of m by n.
quotient_and_remainder(m,n) Given integers m and n (or univariate polynomials
with coefficients in a field), yields a list with the quotient and the remainder of the
Euclidean division of m by n.

R
Range (183, 187) The type associated to ranges.
range (182) A construct of the form a..b..d. It represents the sequence of real numbers
x in the interval [a, b] that have the form x = a + jd for some nonnegative integer
j. The construct a..b usually is interpreted as a..b..1, but it can be interpreted as
different sequence of values in the interval [a, b] when it is passed as an argument to
some functions.
range(x) (183) For a vector, list or pairing of length n, the range 1..n.
rank(A) Returns the rank of the matrix A.
rate (13) Short form of code rate.
Rational (187) The type associated to rational numbers. Denoted Q in palette style.
rd(K) (169) Picks an element at random from the finite field K. The call rd(s,K) picks
s elements at random from K.
rd_choice(X,m) (169) Given a set X of cardinal n and a positive integer m less than
n, makes a (pseudo)random choice of m elements of X. The call rd_choice(n,m),
where now n is an integer, chooses m elements at random of the set {1, . . . , n}.
rd_error_vector(n,s,K) (169) Produces a random vector of weight s in Kn .
rd_linear_combination(G,K) (169) Generates a random linear combination of the
rows of the matrix G with coefficients from the finite field K.
 Index-Glossary 215

rd_nonzero(K) (169) Picks a nonzero element at random from the finite field K. The
call rd_nonzero(s,K) picks s nonzero elements at random from K.
Real (187) The type associated to real numbers. Denoted R in palette style.
Reed–Muller codes (54) The first order Reed–Muller codes are introduced in P.1.16.
They are denoted RM x q (m). This code is the result of evaluating the polynomials
of degree 6 1 in m variables X1 , . . . , Xm at n points x = x1 , . . . , xn ∈ Fm q
(q m−1 < n 6 q m ). The Reed–Muller codes of order s, which are not studied in
this book, are defined in a similar way, but using polynomials of degree 6 s in
X1 , . . . , Xm (see, for example, [29]).
Reed–Solomon codes (33) Introduced in Example 1.24, they are denoted RS α (k).
This code is the result of evaluating the polynomials of degree < k in one variable
X over Fq on n distinct elements α = α1 , . . . , αn of Fq . This code has type
[n, k, n − k + 1]q , and hence is MDS. If n = q − 1 and α1 , . . . , αn are the nonzero
elements of Fq , RS α (k) is said to be a primitive RS code. Primitive RS codes are
BCH codes (Proposition 3.22).
Relation (187) The type associated to relations.
relation (182) A WIRIS relation is a sequence of objects of the form a→b enclosed
in braces, where a and b are arbitrary objects. Relations can be thought as a kind of
functions. Indeed, if R is a relation and x any object, R(x) returns the sequence of
values y (which may be null) such that x→y appears in the definition of R.
relative distance (14) For a block code C of length n and minimum distance d, the
quotient δC = d/n.
remainder(m,n) Given integers m and n (or univariate polynomials with coefficients
in a field), computes the remainder of the Euclidean division of m by n.
Rep(3) (2) The binary repetition code of length 3, or Rep2 (3).
repetition code (21) The code Repq (n), of type [n, 1, n]q , that consists of the q con-
stant vectors tn , t ∈ T .
residue code (66) The residue of a linear code C ⊆ Fn q with respect to a z ∈ C is the
image of C under the linear map ρz : Fnq → Fn−s q which extracts, for each y ∈ Fnq ,
the n − s components whose index lies outside the support of z (hence s denotes
the length of this support).
reverse(x) (184) This yields, for a list or vector x, the list or vector with the objects
of x written from the end to the beginning. The call reverse(a..b..d) gives the range
b..a..-d.
reverse_print(b) (118) By default, polynomials are displayed by decreasing degree
of its terms. This order can be reversed with reverse_print(true). The command
reverse_print(false) restitutes the default order.
Ring (187) The type associated to rings.
ring (84) An abelian group (A, +) endowed with a product A×A → A, (x, y) 7→ x·y,
that is associative, distributive with respect to the sum on both sides, and with a unit
element 1A which we always assume to be different from the zero element 0A of the
group (A, +). If x · y = y · x for all x, y ∈ A we say that the ring is commutative.
ring(x) Returns the ring where the element x belongs.
ring homomorphism (85) A map f : A → A0 from a ring A to a ring A0 such that
f (x + y) = f (x) + f (y) and f (x · y) = f (x) · f (y), for all x, y ∈ A, and
f (1A ) = 1A0 .
RM Acronym for Reed–Muller codes.
 216 Index-Glossary

roots (134) For a cyclic code C of length n over Fq , the roots of the generator poly-
nomial of C in the splitting field of X n − 1 over Fq .
roots(f,K) (114) For a univariate polynomial f and field K, it returns the list of roots of
f in K.
RS Acronym for Reed–Solomon codes.
RS(a,k) (151) Creates the Reed–Solomon code of dimension k associated to the vector
a.
Ruffini’s rule (90) A polynomial f ∈ K[X], K a field, is divisible by X − α if and
only if f (α) = 0. It follows that f has a factor h ∈ K[X] of degree 1 if and only if
f has a root in K.
Rule The type of rules. See Substitution.

S
say(t) This command displays a text t at the message window at the bottom of the
WIRIS screen. The text string correspending to an expression e can be obtained
with string(e). It may be useful to note that if t is a string and e an expression, then
t|e is equivalent to t|string(e).
scalarly equivalent codes (15) See equivalent codes.
sequence(x) (181) If x is a range, list or vector, the sequence formed with the com-
ponents of x.
set(L) (184) From a list L, it forms an ordered list with the distinct values of the terms
of L (repetitions are discarded).
Shannon (4) Claude Elwood Shannon (1916-2001) is considered the father of the
Information Age. One of his fundamental results is the celebrated channel coding
theorem. “Look at a compact disc under a microscope and you will see music repre-
sented as a sequence of bits, or in mathematical terms, as a sequence of 0’s and 1’s,
commonly referred to as bits. The foundation of our Information Age is this trans-
formation of speech, audio, images and video into digital content, and the man who
started the digital revolution was Claude Shannon” (from the obituary by Robert
Calderbank and Neil J. A. Sloane).
shortening (71) If T is a q-ary alphabet and λ ∈ T , the code {x ∈ T n−1 | (x|λ) ∈ C}
is said to be the λ-shortening of the code C ⊆ T n with respect to the last position.
Shortenings with respect to other positions are defined likewise.
shorthand(X,E) (170) Represents the entries of the vector or matrix X by the corre-
sponding indices on table E (Zech logarithms). The element 0 is represented by the
underscore character.
Singleton bound (21) A code [n, k, d]q satisfies k + d 6 n + 1 (Proposition 1.11,
page 21).
source alphabet (11) The finite set S, whose elements are called source symbols,
used to compose source messages. A source message is a stream s1 , s2 , . . . with
si ∈ S (cf. information source).
source symbol See symbol.
sphere-packing upper bound The Hamming’s upper bound.
sphere upper bound The Hamming’s upper bound.
splitting field (97) If K is a field and f ∈ K[X] a polynomial of degree r, there exists
Qr
a field L that contains K and elements α1 , . . . , αr ∈ L such that f = i=1 (X −αi )
and L = K(α1 , . . . , αr ). This field L is the splitting field of f over K. It can be
 Index-Glossary 217

seen that it is unique up to isomorphisms. For the splitting field of X n − 1, which

plays a key role in the theory of cyclic codes, see Proposition 3.9.
square_roots(a) (104) If a is a field element, it returns a list with its square roots.
statement (179) Either an expression or a succession of two or more expressions
separated by semicolons (the semicolon is not requiered if next expression begins
on a new line). An expression is either a formula or an assignment. A formula is a
syntactic construct intended to compute a new value by combining operations and
values in some explicit way. An assignment is a construct of one of the forms x=e,
x:=e or let x=e, where x is an identifier and e is an expression.
strict BCH codes BCH codes with offset 1 (see BCH codes).
string(e) See say(t).
subextension?(K,F) The value of this Boolean function is true if and only if K coin-
cides with one of the subextensions of F. The subextensions are defined recursively
as follows: if E is a field and F=E[x]/(f), then the subextensions of F are F and the
subextensions of E.
subfield (84) A subring that is a field.
subring (84) An addtive subgroup of a ring which is closed with respect to the product
and contains the unit of the ring.
Substitution (187) The type of substitutions.
substitution (182) 1 A WIRIS substitution is a sequence of objects of the form x⇒a
enclosed in braces, where x is an identifier and a is any object. If an identifier x
appears more than once, only its last occurrence is retained. Subtitutions can be
thought as a kind of functions. Indeed, if S is a substitution and b is any object, S(b)
returns the result of replacing any occurrence of x in b by the value a corresponding
to x in S. 2 If some x of the pairs x ⇒ a is not an identifier, then WIRIS classifies S
as a Rule. Rules work like substitutions, but they look for patterns to be substituted,
rather than variables. The type of rules is Rule.
such_that (188) A directive to force that a Boolean condition is satisfied.
Sugiyama algorithm (161) Solves the key equation. It is variation of the extended
Euclidean algorithm (see Remark 4.11) for the determination of the gcd of two
polynomials.
sum(x) (184) For a range, list or vector x, the sum of its terms.
support (66) The support of a vector x is the set of indices i such that xi 6= 0.
symbol (11) An element of the source alphabet (source symbol) or of the channel
alphabet (channel symbol).
symmetric channel (17) A channel with q-ary alphabet T is symmetric if any symbol
in T has the same probability of being altered and if any of the remaining q − 1
symbols are equally likely.
syndrome (19, 38, 143, 158) 1 If H is a check matrix for a linear code C of length n,
the syndrome with respect to H of a vector y of length n is the vector s = yH T . 2 If
g is the generator polynomial of a cyclic code, the syndrome of a received vector y is
the remainder of the Euclidean division of y by g (interpreting y as a polynomial).
syndrome-leader decoder (39) The decoder y 7→ y − E(yH T ), where H is a check
matrix of a linear code C and E is a leader’s table for C.
syndrome polynomial (158) If S = (S0 , . . . , Sr−1 ) is the syndrome of a received
vector, the polynomial S(z) = S0 + S1 z + · · · + Sr−1 z r−1 .
 218 Index-Glossary

systematic encoding (33) An encoding of the form f : T k → T n with the property

that u ∈ T k is the subword of x = f (u) formed with the components of x at some
given set of k indices. For example, if the generating matrix G of a linear code of
the form G = (Ik |P ), then the linear encoding u 7→ uG is systematic (with respect
to the first k positions) because uG = u|uP .

T
Table (187) The type of tables.
table (182) A WIRIS table is a sequence of objects of the form x=a enclosed in
brakets (braces are also allowed), where x is an identifier and a is any object. Tables
can be thought as a kind of functions. Indeed, if x is any identifier, T(x) returns the
sequence of values a such that x=a is on T.
tail(x) (183) Equivalent to x,n-1 if x is a list, vector or range of length n.
take(x,k) (183) If x is a list or vector of length n, and k is in the range 1..n, the list or
vector formed with the first k terms of x. If instead of k we write -k, we get the list
or vector of the last k terms of x. This function also makes sense when x is a range,
and in this case it yields the list of the first k terms of x (or the last k for the call
take(x,-k)).
tensor(A,B) (56) Returns the tensor product of the matrices A and B.
Tr(α,L,K) (115) For an element a and a subfield K of a finite field L, this function
returns Tr L/K (α). The call Tr(α,L) is equivalent to Tr(α,L,K) with K the prime field
of L. The call Tr(α) is equivalent to Tr(α,L) with L=field(α).
trace (114) The trace of a finite field L over a subfield K is the K-linear map
Tr L/K : L → K such that Tr L/K (α) = Tr (mα ), where mα : L → L is the multi-
plication by α (the K-linear map x 7→ αx). For an expression of Tr L/K (α) in terms
of the conjugates of α, see Theorem 2.43.
trace(A) (185) Assuming A is a square matrix, the trace of A (the sum of its diagonal
entries).
transmission alphabet See channel alphabet.
transmission rate See code rate.
transpose(A) (185) The matrix obtained by writing the rows of A as columns. De-
noted AT .
trivial perfect codes (24) The total q-ary codes T n , the one-word codes and the odd-
length binary repetion codes.
true (185) Together with false, they form the set of Boolean values.
ub_elias(n,d,q) (72) Gives the Elias upper bound for Aq (n, d).
ub_griesmer(n,d,q) (67, 68) The Griesmer upper bound for the function Bq (n, d).
This bound has the form q k , where kis the
 highest non-negative integer such that
Pk−1 d
Gq (k, d) 6 n and Gq (k, d) = i=0 (the Griesmer function).
qi
ub_johnson(n,d) (73) Gives the Johnson upper bound for A2 (n, d). There is also the
call ub_johnson(n,d,w), which computes the upper bound introduced in Proposition
1.71 for the function A(n, d, w). This function is, by definition, the maximum M
for binary codes (n, M, d) all whose words have weight w.
ub_sphere(n,d,q) (24) The value of bq n /vol (n, t, q)c, t = b(d − 1)/2c, which is the
sphere-packing upper bound for Aq (n, d). The expression ub_sphere(n,d) is defined
to be ub_sphere(n,d,2).
 Index-Glossary 219

undetectable code error See code error.

Univariate_polynomial(f) (122) The value of this Boolean funtion is true if f is a
univariate polynomial polynomial and false otherwise.

V
Vandermonde determinant (35) The determinant, denoted D(α1 , . . . , αn ), of a square
Vandermonde matrix Vn (α1 , . . . , αn ).
Vandermonde matrix (33) The Vandermonde matrix of r rows on the elements α =
α1 , . . . , αn is (αji ), with 0 6 i 6 r − 1 and 1 6 j 6 n. It is denoted Vr (α).
vandermonde_matrix(a,r) (148) Creates the Vandermonde matrix of order r associ-
ated to the vector a.
vanlint(x) (79, 80) Computes the asymptotic van Lint upper bound.
variable Identifier.
variable(f) Retrieves the variable of a univariate polynomial.
variables(f) Retrieves the list of variables of a polynomial.
Vector (187) The type of vectors. If R is a ring, the type of the vectors with compo-
nents in R is Vector(R).
vector See code word.
vector(x) (184) If x is a range or list, the vector whose components are the elements
of x. In the case in which x is a range, vector(x) is the same as [x]. When x is a list,
however, [x] is a vector of length 1 with x as its only component.
vector(p) (118) If p is a univariate polynomial a1 + a2 X + · · · + an X n−1 , the vector
[a1 , . . . , an ]. Pr n

i
volume(n,r,q) (23) The value of i=0 i (q − 1) (for a q-ary alphabet, this is the
number of length n vectors that lie at a Hamming distance at most r of any given
length n vector. The value of volume(n,r) coincides with volume(n,r,2).

W
weight (14, 31) Given a vector x, the number of nonzero components of x. It is
denoted |x| or wt (x).
weight(x) (184) Yields the weight of the vector x. Synomym expression: wt(x).
weight distribution See weight enumerator.
weight enumerator (46) Given a linear code C of length n, the polynomial a(t) =
Pn
i=0 ai ti , where ai is the number of vectors in C which have weight i. The se-
quence a0 , a1 , . . . , an is called the weight distribution of the code.
where Synonym of such_that.
WIRIS/cc (ii, 6) The general mathematical system used to carry out the computations
sollicited by the examples in this book. It includes the interface that takes care of
the editing (mathematics and text). It is introduced gradually along the text. For a
summary, see the Appendix. The examples in this book can be accessed and run at
[Link]
with (188) A directive to make a variable or variables run over an aggregate or list of
aggregates. For more details see A.17.
word See code word.
wt(x) Synonym of weight, yields the weight of the vector x.

Z
 220 Index-Glossary

zero?(x) (184) If x is a vector, returns true if x is zero and false otherwise.

zero_positions(f,a) (168) Given a univariate polynomial f and a vector a of length n,
finds the list of indices i in the range 1..n such that f (ai ) = 0.
zero_vector(n) (184) The vector 0n .
Zn(p) (181) Ring Zp of of integers mod p (a field if p is prime, also denoted Fp .
Zech logarithms (108) In the exponential representation with respect to a primitive
element α of a finite field, the Zech (or Jacobi) logarithm Z(j) of an exponent j is
defined to be ind α (1 + αj ), and so 1 + αj = αZ(j) . Thus a table {j 7→ Z(j)} of
Zech logarithms allows to find the exponential representation of a sum of terms also
expressed in the exponential representation.
zero-parity code (32) For a given length n, the subcode of Fn
q formed with the vectors
the sum of whose components is zero. For its weight enumerator see Example 1.45.