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Polar coding: ensemble block error below the symmetric information rate

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QAlgorithms.Papers.Independent.Intakethird100.P14.polar_coding

by Gohan · Nov 1, 2026 · Mathlib 0df444a (Lean v4.33.1)

prove2quantum

Let W:b↦ρbW:b\mapsto\rho_bW:b↦ρb​ be a binary-input classical–quantum channel, with positive trace-one outputs on a common complex Hilbert space. Let I(W)I(W)I(W) be its uniform-prior Holevo information in bits and let F(W)F(W)F(W) be squared fidelity. Fix real numbers 0≤R<I(W)0\le R<I(W)0≤R<I(W) and β<1/2\beta<1/2β<1/2. For each N=2nN=2^nN=2n, choose any information set ANA_NAN​ of cardinality ⌊NR⌋\lfloor NR\rfloor⌊NR⌋ such that every included split channel has fidelity no larger than every excluded one. Encode by xN=uNGNx^N=u^NG_NxN=uNGN​ and use the specified adaptive square-root-density successive cancellation decoder, with the frozen bits known to the receiver. Let Pe(N,⌊NR⌋,AN)P_e(N,\lfloor NR\rfloor,A_N)Pe​(N,⌊NR⌋,AN​) average block error uniformly over both information messages and frozen vectors. Then

Pe(N,⌊NR⌋,AN)=o ⁣(2−Nβ/2)(n→∞).P_e(N,\lfloor NR\rfloor,A_N)=o\!\left(2^{-N^\beta/2}\right)\qquad(n\to\infty).Pe​(N,⌊NR⌋,AN​)=o(2−Nβ/2)(n→∞).

This holds for every family of information sets satisfying the polar rule, including all choices among ties. It is the paper’s coding guarantee at the symmetric information rate. The parameter β\betaβ need not be positive.

Preamble
import Definitions.Def_QAlgorithms_Papers_Independent_Intakethird100_P14
Formal statement
noncomputable section

namespace QAlgorithms.Papers.Independent.Intakethird100.P14

open Filter MeasureTheory

open scoped ENNReal NNReal ComplexOrder BigOperators

open QAlgorithms.RealRegisters (Hilbert)

open QAlgorithms.Papers.Independent.Dependency50.P33 (IsDensity)

open QAlgorithms.Papers.Independent.Dependency50.P13 (compression)

open QAlgorithms.Papers.Independent.Renew46.P44 (wordOutput)

attribute [local instance] Classical.propDecidable Classical.decEq

/-- Theorem 6, PDF p.6; proof p.9. Uniform-message and frozen-ensemble
block error for every sequence of Definition 5 sets, including arbitrary ties.
The standing R>=0 is explicit; beta need not be positive. -/
theorem polar_coding {I : Type} (W : Bit → OutputCoefficients I) (hW : IsBinaryCqChannel W)
    (R beta : ℝ) (hR0 : 0 ≤ R) (hR : ENNReal.ofReal R < symmetricInformation W)
    (hb : beta < 1 / 2) (A : (n : ℕ) → Finset (PolarWire n))
    (hA : ∀ n, PolarRule W n R (A n)) :
    Asymptotics.IsLittleO atTop (fun n => ensembleError W n (A n))
      (polarDecay beta (1 / 2)) := by sorry

end QAlgorithms.Papers.Independent.Intakethird100.P14

end
Source
Polar codes for classical-quantum channels, arXiv:1109.2591v3, PDF p. 6, Theorem 6 (Polar Coding Theorem); precise headline for the p.1 paper-result seed
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What the Lean code literally says, in plain math · gpt-6.1-sol

Let III be any type and let W0,W1W_0,W_1W0​,W1​ be density coefficient arrays on ℓ2(I;C)\ell^2(I;\mathbb C)ℓ2(I;C): each admits a countable expansion X(i,j)=∑rur(i)vr(j)‾X(i,j)=\sum_r u_r(i)\overline{v_r(j)}X(i,j)=∑r​ur​(i)vr​(j)​ with ∑r∥ur∥∥vr∥<∞\sum_r\|u_r\|\|v_r\|<\infty∑r​∥ur​∥∥vr​∥<∞, has real nonnegative finite quadratic forms, and has summable real diagonal of sum 111. For any array XXX, write O(X)O(X)O(X) for a chosen bounded operator with those coordinate coefficients, or 000 if none exists; write R(T)R(T)R(T) for a chosen positive bounded square root of TTT, or 000 if none exists; and write tr⁡bT=∑j(Tej)j\operatorname{tr}_bT=\sum_j(Te_j)_jtrb​T=∑j​(Tej​)j​, using the total infinite sum. Define F(V)=[Re⁡tr⁡bR(R(O(V0))O(V1)R(O(V0)))]2F(V)=[\operatorname{Re}\operatorname{tr}_bR(R(O(V_0))O(V_1)R(O(V_0)))]^2F(V)=[Retrb​R(R(O(V0​))O(V1​)R(O(V0​)))]2. For arrays X,YX,YX,Y, define D2(X∣Y)D_2(X\mid Y)D2​(X∣Y) as the supremum over every integer d≥0d\ge0d≥0 and every orthonormal family v0,…,vd−1v_0,\ldots,v_{d-1}v0​,…,vd−1​ of the following quantity: put Xv=(⟨vr,O(X)vs⟩)r,sX_v=(\langle v_r,O(X)v_s\rangle)_{r,s}Xv​=(⟨vr​,O(X)vs​⟩)r,s​, Yv=(⟨vr,O(Y)vs⟩)r,sY_v=(\langle v_r,O(Y)v_s\rangle)_{r,s}Yv​=(⟨vr​,O(Y)vs​⟩)r,s​; if ker⁡Yv⊆ker⁡Xv\ker Y_v\subseteq\ker X_vkerYv​⊆kerXv​, take

[Re⁡Tr⁡ ⁣(f(Xv)−Xvlog⁡Yv−Xv+Yv)log⁡2]+,f(t)=tlog⁡t,\left[\frac{\operatorname{Re}\operatorname{Tr}\!\left(f(X_v)-X_v\log Y_v-X_v+Y_v\right)}{\log2}\right]_+, \qquad f(t)=t\log t,[log2ReTr(f(Xv​)−Xv​logYv​−Xv​+Yv​)​]+​,f(t)=tlogt,

and otherwise take +∞+\infty+∞, where the matrix functions are the continuous functional calculus and [a]+=max⁡(a,0)[a]_+=\max(a,0)[a]+​=max(a,0). Put J(V)=12[D2(V0∣(V0+V1)/2)+D2(V1∣(V0+V1)/2)]J(V)=\tfrac12[D_2(V_0\mid(V_0+V_1)/2)+D_2(V_1\mid(V_0+V_1)/2)]J(V)=21​[D2​(V0​∣(V0​+V1​)/2)+D2​(V1​∣(V0​+V1​)/2)], with values in [0,∞][0,\infty][0,∞]. For each n≥0n\ge0n≥0, put N=2nN=2^nN=2n, let Gn(r,c)=∏k<nκ(bit⁡k(rev⁡nr),bit⁡k(c))G_n(r,c)=\prod_{k<n}\kappa(\operatorname{bit}_k(\operatorname{rev}_n r),\operatorname{bit}_k(c))Gn​(r,c)=∏k<n​κ(bitk​(revn​r),bitk​(c)), where κ(a,0)=1, κ(a,1)=a\kappa(a,0)=1,\ \kappa(a,1)=aκ(a,0)=1, κ(a,1)=a, and form Vu(y,z)=∏c<NW∑rurGn(r,c)(yc,zc)V_u(y,z)=\prod_{c<N}W_{\sum_r u_rG_n(r,c)}(y_c,z_c)Vu​(y,z)=∏c<N​W∑r​ur​Gn​(r,c)​(yc​,zc​), with all bit arithmetic in F2\mathbb F_2F2​. For i<Ni<Ni<N, h∈F2ih\in\mathbb F_2^ih∈F2i​, and b∈F2b\in\mathbb F_2b∈F2​, let Ti,h,bT_{i,h,b}Ti,h,b​ be the uniform average of VuV_uVu​ obtained by fixing u<i=h,ui=bu_{<i}=h,u_i=bu<i​=h,ui​=b and filling later coordinates from a uniformly chosen full NNN-bit word; define Wn,ib((h,y),(h′,z))=1h=h′2−iTi,h,b(y,z)W_{n,i}^b((h,y),(h',z))=\mathbf1_{h=h'}2^{-i}T_{i,h,b}(y,z)Wn,ib​((h,y),(h′,z))=1h=h′​2−iTi,h,b​(y,z). To define the error for a set A⊆{0,…,N−1}A\subseteq\{0,\ldots,N-1\}A⊆{0,…,N−1}, project onto the closed span of negative-real-eigenvalue eigenvectors of R(O(Ti,h,0))−R(O(Ti,h,1))R(O(T_{i,h,0}))-R(O(T_{i,h,1}))R(O(Ti,h,0​))−R(O(Ti,h,1​)), use its complement for bit 000 and the projection itself for bit 111, and multiply the selected projections in increasing iii, with later factors on the left, only at indices in AAA; call the product KuK_uKu​. Set s(u)=Re⁡tr⁡b(Ku∗KuO(Vu))s(u)=\operatorname{Re}\operatorname{tr}_b(K_u^*K_uO(V_u))s(u)=Retrb​(Ku∗​Ku​O(Vu​)), ef=1−2−∣A∣∑m∈F2As(m∪f)e_f=1-2^{-|A|}\sum_{m\in\mathbb F_2^A}s(m\cup f)ef​=1−2−∣A∣∑m∈F2A​​s(m∪f) for f∈F2Acf\in\mathbb F_2^{A^c}f∈F2Ac​, and eˉn(A)=2−∣Ac∣∑fef\bar e_n(A)=2^{-|A^c|}\sum_f e_feˉn​(A)=2−∣Ac∣∑f​ef​. For all real R,βR,\betaR,β satisfying R≥0R\ge0R≥0, [R]+<J(W)[R]_+<J(W)[R]+​<J(W), and β<12\beta<\tfrac12β<21​, and every sequence of sets An⊆{0,…,2n−1}A_n\subseteq\{0,\ldots,2^n-1\}An​⊆{0,…,2n−1} such that ∣An∣=⌊2nR⌋N|A_n|=\lfloor2^nR\rfloor_{\mathbb N}∣An​∣=⌊2nR⌋N​ and F(Wn,i)≤F(Wn,j)F(W_{n,i})\le F(W_{n,j})F(Wn,i​)≤F(Wn,j​) whenever i∈An,j∉Ani\in A_n,j\notin A_ni∈An​,j∈/An​, the assertion is

eˉn(An)=o ⁣(2−12(2n)β)(n→∞).\bar e_n(A_n)=o\!\left(2^{-\frac12(2^n)^\beta}\right)\quad(n\to\infty).eˉn​(An​)=o(2−21​(2n)β)(n→∞).

Precisely, for every a>0a>0a>0, eventually ∣eˉn(An)∣≤a 2−12(2n)β|\bar e_n(A_n)|\le a\,2^{-\frac12(2^n)^\beta}∣eˉn​(An​)∣≤a2−21​(2n)β. There is no lower bound on β\betaβ; negative β\betaβ and β=0\beta=0β=0 are included. The sets must satisfy the stated cardinality and ordering for every nnn, including n=0n=0n=0; if no such sequence exists, the implication has no instances.

Human review
  • Endorsed by Shuze Chen · Nov 1, 2026

    Confirmed by the moderator at approval.

  • Endorsed by Gohan · Nov 1, 2026

    Confirmed by the mission captain (proposal self-audit).

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