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Kraft's inequality (sufficiency)

Disproved
SourceCoding.kraft_inequality_sufficiency

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

information-theorykraft-mcmillan

Given integer lengths ℓi\ell_iℓi​ with ∑iD−ℓi≤1\sum_i D^{-\ell_i}\le 1∑i​D−ℓi​≤1, a uniquely decodable code with exactly those lengths exists.

Formal statement
import Mathlib

namespace SourceCoding

/-- **Kraft's inequality, sufficiency direction** (Kraft, 1949). If `D = Fintype.card α ≥ 2`
and integer lengths `ℓ : ι → ℕ` satisfy the Kraft sum bound `∑ i, D^{-ℓ i} ≤ 1`, there is an
injective assignment `c : ι → List α` of distinct codewords with `(c i).length = ℓ i` for every
`i`, whose codeword set is uniquely decodable. -/
theorem kraft_inequality_sufficiency
    {α : Type} [Fintype α] [Nonempty α] {ι : Type} [Fintype ι]
    (ℓ : ι → ℕ) (hK : ∑ i, (1 / (Fintype.card α : ℝ)) ^ ℓ i ≤ 1) :
    ∃ c : ι → List α, Function.Injective c ∧ (∀ i, (c i).length = ℓ i) ∧
      InformationTheory.UniquelyDecodable (Set.range c) := 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 introduces a finite type α\alphaα (with a Fintype instance and a proof that α\alphaα is nonempty) and a second finite type ι\iotaι (with its own Fintype instance), together with a function ℓ:ι→N\ell : \iota \to \mathbb{N}ℓ:ι→N assigning a natural number to each element of ι\iotaι. It takes as hypothesis hK the assertion that

∑i∈ι(1∣α∣)ℓ(i)≤1,\sum_{i \in \iota} \left(\frac{1}{|\alpha|}\right)^{\ell(i)} \le 1,i∈ι∑​(∣α∣1​)ℓ(i)≤1,

where ∣α∣|\alpha|∣α∣ is the (finite) cardinality of α\alphaα and the sum ranges over all iii in the finite index type ι\iotaι, with the summand for each iii computed as a real number. (If ι\iotaι is empty, this sum is the empty sum, equal to 000, and the hypothesis 0≤10 \le 10≤1 holds automatically/vacuously regardless of ℓ\ellℓ.)

Given this hypothesis, the theorem's conclusion asserts the existence of a function c:ι→List αc : \iota \to \mathrm{List}\,\alphac:ι→Listα (assigning to each i∈ιi \in \iotai∈ι a finite list, i.e. a "word," of elements of α\alphaα) satisfying, jointly, the following three properties:

  1. Injectivity: ccc is injective as a function, i.e. for all i,j∈ιi, j \in \iotai,j∈ι, if c(i)=c(j)c(i) = c(j)c(i)=c(j) (as lists) then i=ji = ji=j; equivalently, distinct elements of ι\iotaι are mapped to distinct lists.
  2. Length matching: for every i∈ιi \in \iotai∈ι, the length of the list c(i)c(i)c(i) equals ℓ(i)\ell(i)ℓ(i) exactly — i.e. (c i).length=ℓ(i)(c\,i).\mathrm{length} = \ell(i)(ci).length=ℓ(i) for all iii, with no slack or inequality, an exact equality for every single index.
  3. Unique decodability of the range: writing S:=range(c)={c(i):i∈ι}⊆List αS := \mathrm{range}(c) = \{c(i) : i \in \iota\} \subseteq \mathrm{List}\,\alphaS:=range(c)={c(i):i∈ι}⊆Listα for the image (as a set) of ccc, the property UniquelyDecodable(S)\mathrm{UniquelyDecodable}(S)UniquelyDecodable(S) holds, which unfolds exactly as follows: for all finite lists of words L1,L2:List(List α)L_1, L_2 : \mathrm{List}(\mathrm{List}\,\alpha)L1​,L2​:List(Listα) such that every word www occurring in L1L_1L1​ belongs to SSS and every word www occurring in L2L_2L2​ belongs to SSS, if the concatenation ("flatten") of L1L_1L1​ equals the concatenation of L2L_2L2​ (as lists of elements of α\alphaα, obtained by flattening each list of lists into one list), then L1=L2L_1 = L_2L1​=L2​ as lists (i.e. as sequences — same length, same words in the same order, not merely as sets or multisets). This is a universally quantified statement over all pairs of finite sequences of words drawn from SSS (repetitions of words from SSS within L1L_1L1​ or L2L_2L2​ are allowed, and L1,L2L_1, L_2L1​,L2​ may have any length, including zero), asserting that the map "concatenate the sequence of words" is injective when restricted to sequences whose words all lie in SSS.

The existential quantifier over ccc has the widest scope: a single function ccc is claimed to exist that simultaneously satisfies all three properties (injectivity, exact length-matching for every iii, and unique decodability of its range), and this is asserted for every choice of α\alphaα, ι\iotaι, ℓ\ellℓ, and every proof of hKhKhK satisfying the stated hypothesis — i.e. hKhKhK is a hypothesis of the theorem, universally bound (implicitly, via the theorem's signature) before the existential claim about ccc.

Nothing in the conclusion states or implies that the set S=range(c)S = \mathrm{range}(c)S=range(c) has the "prefix" property (that no codeword is a prefix of another) or any other structural property of the codewords (such as being a prefix code, suffix code, or satisfying any combinatorial condition on how the words relate to one another as strings) beyond exactly these three stated properties: injectivity of ccc, exact matching of lengths to ℓ\ellℓ, and unique decodability of the range as defined above. In particular, unique decodability here is stated purely in terms of the flatten/concatenation-injectivity condition on sequences of words drawn from SSS, not in terms of any prefix-free or other syntactic condition on the words themselves.

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

    Same edge case as the goal, same fix needed here: with iota a singleton and ell = 0 the Kraft sum is exactly 1, the conclusion forces a codeword of length 0, and the range then contains the empty list, contradicting unique decodability. The docstring even states a D >= 2 hypothesis the formal statement does not have. Adding forall i, 1 <= ell i (and the missing 2 <= Fintype.card alpha if the docstring is to match) makes it the true Kraft statement. One further note, no separate flag: the Kraft McMillan milestone is byte identical to Mathlib's own InformationTheory.kraft_mcmillan_inequality, which the description discloses; carrying it as an anchor is fine, but it will be closed by a one line wrapper, so consider marking it as such or importing the Mathlib name directly in downstream sketches.

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