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Shannon's source coding theorem

Disproved
SourceCoding.shannon_source_coding_theorem

by Elsie66 · Sep 7, 2026 · Mathlib 0df444a (Lean v4.33.1)

entropyinformation-theorykraft-mcmillan

HD(p)≤inf⁡c∑ipi∣c(i)∣<HD(p)+1H_D(p) \le \inf_c \sum_i p_i|c(i)| < H_D(p)+1HD​(p)≤infc​∑i​pi​∣c(i)∣<HD​(p)+1 over uniquely decodable codes ccc.

Formal statement
import Mathlib
import Definitions.Def_SourceCoding_entropy

namespace SourceCoding

/-- **Shannon's source coding theorem** (Shannon, 1948). For a source with probability
distribution `p : ι → ℝ` (`p i > 0`, `∑ p i = 1`) and a `D`-ary code alphabet (`D =
Fintype.card α ≥ 2`): every uniquely decodable code assigning distinct codewords to the source
symbols has expected length at least the source's entropy `H_D(p)`, and there exists a uniquely
decodable code whose expected length is within one symbol of this bound, `< H_D(p) + 1`. -/
theorem shannon_source_coding_theorem
    {ι : Type} [Fintype ι] [Nonempty ι] (p : ι → ℝ) (hp_pos : ∀ i, 0 < p i)
    (hp_sum : ∑ i, p i = 1)
    {α : Type} [Fintype α] [Nonempty α] (hD : 2 ≤ Fintype.card α) :
    (∀ c : ι → List α, Function.Injective c →
        InformationTheory.UniquelyDecodable (Set.range c) →
        entropy p (Fintype.card α) ≤ ∑ i, p i * (c i).length) ∧
    (∃ c : ι → List α, Function.Injective c ∧
        InformationTheory.UniquelyDecodable (Set.range c) ∧
        ∑ i, p i * (c i).length < entropy p (Fintype.card α) + 1) := by
  sorry

end SourceCoding
Source
C. E. Shannon, "A Mathematical Theory of Communication," Bell System Technical Journal 27 (1948); T. M. Cover & J. A. Thomas, Elements of Information Theory, 2nd ed., Ch. 5.
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What the Lean code literally says, in plain math · claude-sonnet-5

The statement fixes a finite, nonempty index type ι\iotaι (the "source alphabet," with ∣ι∣≥1|\iota|\ge 1∣ι∣≥1) and a function p:ι→Rp:\iota\to\mathbb{R}p:ι→R together with two hypotheses on it: hp_pos asserts pi>0p_i>0pi​>0 for every i∈ιi\in\iotai∈ι (strict positivity at every index, no zero-probability symbols allowed), and hp_sum asserts ∑i∈ιpi=1\sum_{i\in\iota}p_i=1∑i∈ι​pi​=1 (so ppp is a genuine probability distribution on ι\iotaι, and since it is strictly positive and sums to 111, necessarily 0<pi≤10<p_i\le 10<pi​≤1 for each iii). It also fixes a second finite, nonempty type α\alphaα (the "code alphabet") subject to hD: Fintype.card⁡α≥2\operatorname{Fintype.card}\alpha \ge 2Fintype.cardα≥2, i.e. the code alphabet has at least two symbols. The quantity entropy p (Fintype.card α) unfolds by definition to H:=−∑i∈ιpi⋅log⁡∣α∣(pi)H := -\sum_{i\in\iota} p_i \cdot \log_{|\alpha|}(p_i)H:=−∑i∈ι​pi​⋅log∣α∣​(pi​), where ∣α∣=Fintype.card⁡α|\alpha|=\operatorname{Fintype.card}\alpha∣α∣=Fintype.cardα is used as the (real, ≥2\ge 2≥2) base of Real.logb. The predicate InformationTheory.UniquelyDecodable(S) for a set S⊆List αS\subseteq \mathrm{List}\,\alphaS⊆Listα unfolds to: for all finite lists of lists L1,L2:List(List α)L_1, L_2 : \mathrm{List}(\mathrm{List}\,\alpha)L1​,L2​:List(Listα), if every element (word) of L1L_1L1​ lies in SSS and every element of L2L_2L2​ lies in SSS, and the flattening/concatenation of L1L_1L1​ equals the flattening/concatenation of L2L_2L2​ (as a single list over α\alphaα), then L1=L2L_1=L_2L1​=L2​ as lists — i.e. two finite sequences of words drawn from SSS that concatenate to the same string of symbols must be the identical sequence of words (same length, same words in the same order). With these unfoldings, the theorem's conclusion is a conjunction of two separate claims about functions c:ι→List αc:\iota\to\mathrm{List}\,\alphac:ι→Listα (assigning to each source symbol iii a "codeword," a finite — possibly empty, since no minimum length is imposed — string over α\alphaα, of length (c i).length(c\,i).\mathrm{length}(ci).length), and the two claims use independently quantified ccc's, not a shared one. The first conjunct is universally quantified: for every c:ι→List αc:\iota\to\mathrm{List}\,\alphac:ι→Listα such that ccc is injective (distinct source symbols get distinct codewords) and Set.range c={c i:i∈ι}\mathrm{Set.range}\,c=\{c\,i : i\in\iota\}Set.rangec={ci:i∈ι} (the set of codewords actually used, as a set, without multiplicity) is uniquely decodable in the sense just unfolded, it holds that H≤∑i∈ιpi⋅(c i).lengthH \le \sum_{i\in\iota} p_i\cdot (c\,i).\mathrm{length}H≤∑i∈ι​pi​⋅(ci).length — the entropy (base ∣α∣|\alpha|∣α∣) is a lower bound on the ppp-weighted average codeword length, for every such injective, uniquely-decodable-range code. The second conjunct is existentially quantified with a separately-chosen ccc (not required to be related to the ccc's ranging over the first conjunct): there exists c:ι→List αc:\iota\to\mathrm{List}\,\alphac:ι→Listα that is injective, whose range Set.range c\mathrm{Set.range}\,cSet.rangec is uniquely decodable (same unfolded meaning), and for which the ppp-weighted average codeword length is strictly less than H+1H+1H+1, i.e. ∑i∈ιpi⋅(c i).length<H+1\sum_{i\in\iota}p_i\cdot(c\,i).\mathrm{length} < H+1∑i∈ι​pi​⋅(ci).length<H+1. Both conjuncts together assert the ≤-bound holding for all injective, uniquely-decodable codes and the existence of one particular such code achieving strictly less than H+1H+1H+1; note also that since ∣ι∣≥1|\iota|\ge1∣ι∣≥1, ∣α∣≥2|\alpha|\ge2∣α∣≥2, and every pi∈(0,1]p_i\in(0,1]pi​∈(0,1], the sum defining HHH and each Real.logb evaluation are over strictly positive arguments with a well-defined base ≥2\ge 2≥2, so no vacuous-sum or log-of-nonpositive/log-base-degenerate cases arise from the stated hypotheses, though the case ∣ι∣=1|\iota|=1∣ι∣=1 is permitted (forcing p≡1p\equiv 1p≡1 and H=0H=0H=0), as is the use of the empty list ((c i).length=0(c\,i).\mathrm{length}=0(ci).length=0) as a codeword since ccc's codomain is unrestricted List α\mathrm{List}\,\alphaListα.

Human review
  • Flagged by Shuze Chen · Sep 8, 2026

    Thank you for a well scoped mission with precise references and a candid account of what Mathlib already has. Unfortunately the goal is false as stated. With a one symbol source (iota a singleton, forced p = 1) the entropy is 0, so the achievability conjunct demands expected length strictly below 1, hence the empty codeword; but a uniquely decodable set can never contain the empty list (Mathlib's InformationTheory.UniquelyDecodable.epsilon_not_mem), so no admissible code exists and the existential half fails. The Nonempty iota instance permits exactly this case. Adding 2 <= Fintype.card iota (or Nontrivial iota) restores the classical theorem: full support then forces every p i strictly below 1, the Shannon lengths are at least 1, and the standard argument goes through. Since rows are immutable, this needs a corrected upload under a new name and a rebuilt proposal.

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