High Lit Ed Errs Notes

Information Theory and Coding
Computer Science Tripos Part II, Michaelmas Term

11 Lectures by J G Daugman
1. Foundations: Probability, Uncertainty, and Information

2. Entropies Defined, and Why they are Measures of Information
3. Source Coding Theorem; Prefix, Variable-, & Fixed-Length Codes
4. Channel Types, Properties, Noise, and Channel Capacity
5. Continuous Information; Density; Noisy Channel Coding Theorem
6. Fourier Series, Convergence, Orthogonal Representation
7. Useful Fourier Theorems; Transform Pairs; Sampling; Aliasing
8. Discrete Fourier Transform. Fast Fourier Transform Algorithms
9. The Quantized Degrees-of-Freedom in a Continuous Signal
10. Gabor-Heisenberg-Weyl Uncertainty Relation. Optimal “Logons”
11. Kolmogorov Complexity and Minimal Description Length
J G Daugman
Prerequisite courses: Probability; Mathematical Methods for CS; Discrete Mathematics
Aims
The aims of this course are to introduce the principles and applications of information theory.
The course will study how information is measured in terms of probability and entropy, and the
relationships among conditional and joint entropies; how these are used to calculate the capacity
of a communication channel, with and without noise; coding schemes, including error correcting
codes; how discrete channels and measures of information generalise to their continuous forms;
the Fourier perspective; and extensions to wavelets, complexity, compression, and efficient coding
of audio-visual information.
Lectures
• Foundations: probability, uncertainty, information. How concepts of randomness,
redundancy, compressibility, noise, bandwidth, and uncertainty are related to information.
Ensembles, random variables, marginal and conditional probabilities. How the metrics of
information are grounded in the rules of probability.
• Entropies defined, and why they are measures of information. Marginal entropy,
joint entropy, conditional entropy, and the Chain Rule for entropy. Mutual information
between ensembles of random variables. Why entropy is the fundamental measure of infor-
mation content.
• Source coding theorem; prefix, variable-, and fixed-length codes. Symbol codes.
The binary symmetric channel. Capacity of a noiseless discrete channel. Error correcting
codes.
• Channel types, properties, noise, and channel capacity. Perfect communication
through a noisy channel. Capacity of a discrete channel as the maximum of its mutual
information over all possible input distributions.
• Continuous information; density; noisy channel coding theorem. Extensions of the
discrete entropies and measures to the continuous case. Signal-to-noise ratio; power spectral
density. Gaussian channels. Relative significance of bandwidth and noise limitations. The
Shannon rate limit and efficiency for noisy continuous channels.
• Fourier series, convergence, orthogonal representation. Generalised signal expan-
sions in vector spaces. Independence. Representation of continuous or discrete data by
complex exponentials. The Fourier basis. Fourier series for periodic functions. Examples.
• Useful Fourier theorems; transform pairs. Sampling; aliasing. The Fourier trans-
form for non-periodic functions. Properties of the transform, and examples. Nyquist’s
Sampling Theorem derived, and the cause (and removal) of aliasing.
• Discrete Fourier transform. Fast Fourier Transform Algorithms. Efficient al-
gorithms for computing Fourier transforms of discrete data. Computational complexity.
Filters, correlation, modulation, demodulation, coherence.
• The quantised degrees-of-freedom in a continuous signal. Why a continuous sig-
nal of finite bandwidth and duration has a fixed number of degrees-of-freedom. Diverse
illustrations of the principle that information, even in such a signal, comes in quantised,
countable, packets.
• Gabor-Heisenberg-Weyl uncertainty relation. Optimal “Logons”. Unification of
the time-domain and the frequency-domain as endpoints of a continuous deformation. The
Uncertainty Principle and its optimal solution by Gabor’s expansion basis of “logons”.
Multi-resolution wavelet codes. Extension to images, for analysis and compression.
• Kolmogorov complexity. Minimal description length. Definition of the algorithmic
complexity of a data sequence, and its relation to the entropy of the distribution from
which the data was drawn. Fractals. Minimal description length, and why this measure of
complexity is not computable.
Objectives
At the end of the course students should be able to
• calculate the information content of a random variable from its probability distribution
• relate the joint, conditional, and marginal entropies of variables in terms of their coupled
probabilities
• define channel capacities and properties using Shannon’s Theorems
• construct efficient codes for data on imperfect communication channels
• generalise the discrete concepts to continuous signals on continuous channels
• understand Fourier Transforms and the main ideas of efficient algorithms for them
• describe the information resolution and compression properties of wavelets
Recommended book
* Cover, T.M. & Thomas, J.A. (1991). Elements of information theory. New York: Wiley.
Computer Science Tripos Part II, Michaelmas Term

11 lectures by J G Daugman
1. Overview: What is Information Theory?

Key idea: The movements and transformations of information, just like
those of a fluid, are constrained by mathematical and physical laws.
These laws have deep connections with:
• probability theory, statistics, and combinatorics
• thermodynamics (statistical physics)
• spectral analysis, Fourier (and other) transforms
• sampling theory, prediction, estimation theory
• electrical engineering (bandwidth; signal-to-noise ratio)
• complexity theory (minimal description length)
• signal processing, representation, compressibility
As such, information theory addresses and answers the
two fundamental questions of communication theory:
1. What is the ultimate data compression?
(answer: the entropy of the data, H, is its compression limit.)
2. What is the ultimate transmission rate of communication?
(answer: the channel capacity, C, is its rate limit.)
All communication schemes lie in between these two limits on the com-
pressibility of data and the capacity of a channel. Information theory
can suggest means to achieve these theoretical limits. But the subject
also extends far beyond communication theory.
1
Important questions... to which Information Theory offers answers:
• How should information be measured?
• How much additional information is gained by some reduction in
uncertainty?
• How do the a priori probabilities of possible messages determine
the informativeness of receiving them?
• What is the information content of a random variable?
• How does the noise level in a communication channel limit its
capacity to transmit information?
• How does the bandwidth (in cycles/second) of a communication
channel limit its capacity to transmit information?
• By what formalism should prior knowledge be combined with
incoming data to draw formally justifiable inferences from both?
• How much information in contained in a strand of DNA?
• How much information is there in the firing pattern of a neurone?
Historical origins and important contributions:
• Ludwig BOLTZMANN (1844-1906), physicist, showed in 1877 that

thermodynamic entropy (defined as the energy of a statistical en-
semble [such as a gas] divided by its temperature: ergs/degree) is
related to the statistical distribution of molecular configurations,
with increasing entropy corresponding to increasing randomness. He
made this relationship precise with his famous formula S = k log W
where S defines entropy, W is the total number of possible molec-
ular configurations, and k is the constant which bears Boltzmann’s
name: k =1.38 x 10−16 ergs per degree centigrade. (The above
formula appears as an epitaph on Boltzmann’s tombstone.) This is
2
equivalent to the definition of the information (“negentropy”) in an
ensemble, all of whose possible states are equiprobable, but with a
minus sign in front (and when the logarithm is base 2, k=1.) The
deep connections between Information Theory and that branch of
physics concerned with thermodynamics and statistical mechanics,
hinge upon Boltzmann’s work.
• Leo SZILARD (1898-1964) in 1929 identified entropy with informa-
tion. He formulated key information-theoretic concepts to solve the
thermodynamic paradox known as “Maxwell’s demon” (a thought-
experiment about gas molecules in a partitioned box) by showing
that the amount of information required by the demon about the
positions and velocities of the molecules was equal (negatively) to
the demon’s entropy increment.
• James Clerk MAXWELL (1831-1879) originated the paradox called
“Maxwell’s Demon” which greatly influenced Boltzmann and which
led to the watershed insight for information theory contributed by
Szilard. At Cambridge, Maxwell founded the Cavendish Laboratory
which became the original Department of Physics.
• R V HARTLEY in 1928 founded communication theory with his
paper Transmission of Information. He proposed that a signal
(or a communication channel) having bandwidth Ω over a duration
T has a limited number of degrees-of-freedom, namely 2ΩT , and
therefore it can communicate at most this quantity of information.
He also defined the information content of an equiprobable ensemble
of N possible states as equal to log2 N .
• Norbert WIENER (1894-1964) unified information theory and Fourier
analysis by deriving a series of relationships between the two. He
invented “white noise analysis” of non-linear systems, and made the
definitive contribution to modeling and describing the information
content of stochastic processes known as Time Series.
3
• Dennis GABOR (1900-1979) crystallized Hartley’s insight by formu-
lating a general Uncertainty Principle for information, expressing
the trade-off for resolution between bandwidth and time. (Signals
that are well specified in frequency content must be poorly localized
in time, and those that are well localized in time must be poorly
specified in frequency content.) He formalized the “Information Di-
agram” to describe this fundamental trade-off, and derived the con-
tinuous family of functions which optimize (minimize) the conjoint
uncertainty relation. In 1974 Gabor won the Nobel Prize in Physics
for his work in Fourier optics, including the invention of holography.
• Claude SHANNON (together with Warren WEAVER) in 1949 wrote
the definitive, classic, work in information theory: Mathematical
Theory of Communication. Divided into separate treatments for
continuous-time and discrete-time signals, systems, and channels,
this book laid out all of the key concepts and relationships that de-
fine the field today. In particular, he proved the famous Source Cod-
ing Theorem and the Noisy Channel Coding Theorem, plus many
other related results about channel capacity.
• S KULLBACK and R A LEIBLER (1951) defined relative entropy
(also called information for discrimination, or K-L Distance.)
• E T JAYNES (since 1957) developed maximum entropy methods
for inference, hypothesis-testing, and decision-making, based on the
physics of statistical mechanics. Others have inquired whether these
principles impose fundamental physical limits to computation itself.
• A N KOLMOGOROV in 1965 proposed that the complexity of a
string of data can be defined by the length of the shortest binary
program for computing the string. Thus the complexity of data
is its minimal description length, and this specifies the ultimate
compressibility of data. The “Kolmogorov complexity” K of a string
is approximately equal to its Shannon entropy H, thereby unifying
the theory of descriptive complexity and information theory.
4
2. Mathematical Foundations; Probability Rules;
Bayes’ Theorem
What are random variables? What is probability?
Random variables are variables that take on values determined by prob-

ability distributions. They may be discrete or continuous, in either their
domain or their range. For example, a stream of ASCII encoded text
characters in a transmitted message is a discrete random variable, with
a known probability distribution for any given natural language. An
analog speech signal represented by a voltage or sound pressure wave-
form as a function of time (perhaps with added noise), is a continuous
random variable having a continuous probability density function.
Most of Information Theory involves probability distributions of ran-

dom variables, and conjoint or conditional probabilities defined over
ensembles of random variables. Indeed, the information content of a
symbol or event is defined by its (im)probability. Classically, there are
two different points of view about what probability actually means:
• relative frequency: sample the random variable a great many times
and tally up the fraction of times that each of its different possible
values occurs, to arrive at the probability of each.
• degree-of-belief: probability is the plausibility of a proposition or
the likelihood that a particular state (or value of a random variable)
might occur, even if its outcome can only be decided once (e.g. the
outcome of a particular horse-race).
The first view, the “frequentist” or operationalist view, is the one that
predominates in statistics and in information theory. However, by no
means does it capture the full meaning of probability. For example,
the proposition that "The moon is made of green cheese" is one
which surely has a probability that we should be able to attach to it.
We could assess its probability by degree-of-belief calculations which
5
combine our prior knowledge about physics, geology, and dairy prod-
ucts. Yet the “frequentist” definition of probability could only assign
a probability to this proposition by performing (say) a large number
of repeated trips to the moon, and tallying up the fraction of trips on
which the moon turned out to be a dairy product....
In either case, it seems sensible that the less probable an event is, the
more information is gained by noting its occurrence. (Surely discovering
that the moon IS made of green cheese would be more “informative”
than merely learning that it is made only of earth-like rocks.)
Probability Rules
Most of probability theory was laid down by theologians: Blaise PAS-

CAL (1623-1662) who gave it the axiomatization that we accept today;
and Thomas BAYES (1702-1761) who expressed one of its most impor-
tant and widely-applied propositions relating conditional probabilities.
Probability Theory rests upon two rules:
Product Rule:
p(A, B) = “joint probability of both A and B”
= p(A|B)p(B)
or equivalently,
= p(B|A)p(A)
Clearly, in case A and B are independent events, they are not condi-
tionalized on each other and so
p(A|B) = p(A)
and p(B|A) = p(B),
in which case their joint probability is simply p(A, B) = p(A)p(B).
6
Sum Rule:
If event A is conditionalized on a number of other events B, then the
total probability of A is the sum of its joint probabilities with all B:
p(A) = p(A, B) = p(A|B)p(B)
X X
B B
From the Product Rule and the symmetry that p(A, B) = p(B, A), it
is clear that p(A|B)p(B) = p(B|A)p(A). Bayes’ Theorem then follows:
Bayes’ Theorem:
p(A|B)p(B)
p(B|A) =
p(A)
The importance of Bayes’ Rule is that it allows us to reverse the condi-
tionalizing of events, and to compute p(B|A) from knowledge of p(A|B),
p(A), and p(B). Often these are expressed as prior and posterior prob-
abilities, or as the conditionalizing of hypotheses upon data.
Worked Example:
Suppose that a dread disease affects 1/1000th of all people. If you ac-
tually have the disease, a test for it is positive 95% of the time, and
negative 5% of the time. If you don’t have the disease, the test is posi-
tive 5% of the time. We wish to know how to interpret test results.
Suppose you test positive for the disease. What is the likelihood that
you actually have it?
We use the above rules, with the following substitutions of “data” D

and “hypothesis” H instead of A and B:
D = data: the test is positive

H = hypothesis: you have the disease
H̄ = the other hypothesis: you do not have the disease
7
Before acquiring the data, we know only that the a priori probabil-
ity of having the disease is .001, which sets p(H). This is called a prior.
We also need to know p(D).
From the Sum Rule, we can calculate that the a priori probability
p(D) of testing positive, whatever the truth may actually be, is:
p(D) = p(D|H)p(H) + p(D|H̄)p(H̄) =(.95)(.001)+(.05)(.999) = .051
and from Bayes’ Rule, we can conclude that the probability that you
actually have the disease given that you tested positive for it, is much
smaller than you may have thought:
p(D|H)p(H) (.95)(.001)
p(H|D) = = = 0.019 (less than 2%).
p(D) (.051)
This quantity is called the posterior probability because it is computed
after the observation of data; it tells us how likely the hypothesis is,
given what we have observed. (Note: it is an extremely common human
fallacy to confound p(H|D) with p(D|H). In the example given, most
people would react to the positive test result by concluding that the
likelihood that they have the disease is .95, since that is the “hit rate”
of the test. They confound p(D|H) = .95 with p(H|D) = .019, which
is what actually matters.)
A nice feature of Bayes’ Theorem is that it provides a simple mech-

anism for repeatedly updating our assessment of the hypothesis as more
data continues to arrive. We can apply the rule recursively, using the
latest posterior as the new prior for interpreting the next set of data.
In Artificial Intelligence, this feature is important because it allows the
systematic and real-time construction of interpretations that can be up-
dated continuously as more data arrive in a time series, such as a flow
of images or spoken sounds that we wish to understand.
8
3. Entropies Defined, and Why They are
Measures of Information
The information content I of a single event or message is defined as the

base-2 logarithm of its probability p:
I = log2 p (1)
and its entropy H is considered the negative of this. Entropy can be
regarded intuitively as “uncertainty,” or “disorder.” To gain information
is to lose uncertainty by the same amount, so I and H differ only in
sign (if at all): H = −I. Entropy and information have units of bits.
Note that I as defined in Eqt (1) is never positive: it ranges between

0 and −∞ as p varies from 1 to 0. However, sometimes the sign is
dropped, and I is considered the same thing as H (as we’ll do later too).
No information is gained (no uncertainty is lost) by the appearance

of an event or the receipt of a message that was completely certain any-
way (p = 1, so I = 0). Intuitively, the more improbable an event is,
the more informative it is; and so the monotonic behaviour of Eqt (1)
seems appropriate. But why the logarithm?
The logarithmic measure is justified by the desire for information to

be additive. We want the algebra of our measures to reflect the Rules
of Probability. When independent packets of information arrive, we
would like to say that the total information received is the sum of
the individual pieces. But the probabilities of independent events
multiply to give their combined probabilities, and so we must take
logarithms in order for the joint probability of independent events
or messages to contribute additively to the information gained.
This principle can also be understood in terms of the combinatorics

of state spaces. Suppose we have two independent problems, one with n
9
possible solutions (or states) each having probability p n, and the other
with m possible solutions (or states) each having probability p m. Then
the number of combined states is mn, and each of these has probability
pmpn. We would like to say that the information gained by specifying
the solution to both problems is the sum of that gained from each one.
This desired property is achieved:
Imn = log2(pmpn) = log2 pm + log2 pn = Im + In (2)
A Note on Logarithms:
In information theory we often wish to compute the base-2 logarithms

of quantities, but most calculators (and tools like xcalc) only offer
Napierian (base 2.718...) and decimal (base 10) logarithms. So the
following conversions are useful:
log2 X = 1.443 loge X = 3.322 log10 X
Henceforward we will omit the subscript; base-2 is always presumed.
Intuitive Example of the Information Measure (Eqt 1):
Suppose I choose at random one of the 26 letters of the alphabet, and we

play the game of “25 questions” in which you must determine which let-
ter I have chosen. I will only answer ‘yes’ or ‘no.’ What is the minimum
number of such questions that you must ask in order to guarantee find-
ing the answer? (What form should such questions take? e.g., “Is it A?”
“Is it B?” ...or is there some more intelligent way to solve this problem?)
The answer to a Yes/No question having equal probabilities conveys

one bit worth of information. In the above example with equiprobable
states, you never need to ask more than 5 (well-phrased!) questions to
discover the answer, even though there are 26 possibilities. Appropri-
ately, Eqt (1) tells us that the uncertainty removed as a result of solving
this problem is about -4.7 bits.
10
Entropy of Ensembles
We now move from considering the information content of a single event

or message, to that of an ensemble. An ensemble is the set of outcomes
of one or more random variables. The outcomes have probabilities at-
tached to them. In general these probabilities are non-uniform, with
event i having probability pi, but they must sum to 1 because all possi-
ble outcomes are included; hence they form a probability distribution:
pi = 1 (3)
X
The entropy of an ensemble is simply the average entropy of all the

elements in it. We can compute their average entropy by weighting each
of the log pi contributions by its probability pi:
H = −I = − pi log pi (4)
X
Eqt (4) allows us to speak of the information content or the entropy of

a random variable, from knowledge of the probability distribution that
it obeys. (Entropy does not depend upon the actual values taken by
the random variable! – Only upon their relative probabilities.)
Let us consider a random variable that takes on only two values, one
with probability p and the other with probability (1 − p). Entropy is a
concave function of this distribution, and equals 0 if p = 0 or p = 1:
11
Example of entropy as average uncertainty:
The various letters of the written English language have the following
relative frequencies (probabilities), in descending order:
E T O A N I R S H D L C ...
.105 .072 .066 .063 .059 .055 .054 .052 .047 .035 .029 .023 ...
If they had been equiprobable, the entropy of the ensemble would
1
have been log2( 26 ) = 4.7 bits. But their non-uniform probabilities im-
ply that, for example, an E is nearly five times more likely than a C;
surely this prior knowledge is a reduction in the uncertainty of this ran-
dom variable. In fact, the distribution of English letters has an entropy
of only 4.0 bits. This means that as few as only four ‘Yes/No’ questions
are needed, in principle, to identify one of the 26 letters of the alphabet;
not five.
How can this be true?
That is the subject matter of Shannon’s SOURCE CODING THEOREM

(so named because it uses the “statistics of the source,” the a priori
probabilities of the message generator, to construct an optimal code.)
Note the important assumption: that the “source statistics” are known!
Several further measures of entropy need to be defined, involving the

marginal, joint, and conditional probabilities of random variables. Some
key relationships will then emerge, that we can apply to the analysis of
communication channels.
Notation: We use capital letters X and Y to name random variables,

and lower case letters x and y to refer to their respective outcomes.
These are drawn from particular sets A and B: x ∈ {a1, a2, ...aJ }, and
y ∈ {b1 , b2, ...bK }. The probability of a particular outcome p(x = ai)
is denoted pi, with 0 ≤ pi ≤ 1 and i pi = 1.
P
12
An ensemble is just a random variable X, whose entropy was defined
in Eqt (4). A joint ensemble ‘XY ’ is an ensemble whose outcomes
are ordered pairs x, y with x ∈ {a1, a2, ...aJ } and y ∈ {b1 , b2, ...bK }.
The joint ensemble XY defines a probability distribution p(x, y) over
all possible joint outcomes x, y.
Marginal probability: From the Sum Rule, we can see that the proba-
bility of X taking on a particular value x = ai is the sum of the joint
probabilities of this outcome for X and all possible outcomes for Y :
p(x = ai) = p(x = ai, y)
X
We can simplify this notation to: p(x) = p(x, y)

X
and similarly: p(y) = p(x, y)

X
Conditional probability: From the Product Rule, we can easily see that
the conditional probability that x = ai, given that y = bj , is:
p(x = ai, y = bj )
p(x = ai|y = bj ) =
p(y = bj )
p(x, y)
We can simplify this notation to: p(x|y) =
p(y)
p(x, y)
and similarly: p(y|x) =
p(x)
It is now possible to define various entropy measures for joint ensembles:
Joint entropy of XY
1
H(X, Y ) = p(x, y) log (5)
X
x,y p(x, y)
(Note that in comparison with Eqt (4), we have replaced the ‘–’ sign in
front by taking the reciprocal of p inside the logarithm).
13
From this definition, it follows that joint entropy is additive if X and Y
are independent random variables:
H(X, Y ) = H(X) + H(Y ) iff p(x, y) = p(x)p(y)
Prove this.
Conditional entropy of an ensemble X, given that y = bj
measures the uncertainty remaining about random variable X after

specifying that random variable Y has taken on a particular value
y = bj . It is defined naturally as the entropy of the probability dis-
tribution p(x|y = bj ):
1
H(X|y = bj ) = p(x|y = bj ) log (6)
X
x p(x|y = bj )
If we now consider the above quantity averaged over all possible out-
comes that Y might have, each weighted by its probability p(y), then
we arrive at the...
Conditional entropy of an ensemble X, given an ensemble Y :

 
1 
H(X|Y ) = p(y) p(x|y) log (7)
X X
 
y x p(x|y)
and we know from the Sum Rule that if we move the p(y) term from
the outer summation over y, to inside the inner summation over x, the
two probability terms combine and become just p(x, y) summed over all
x, y. Hence a simpler expression for this conditional entropy is:
1
H(X|Y ) = p(x, y) log (8)
X
x,y p(x|y)
This measures the average uncertainty that remains about X, when Y
is known.
14
Chain Rule for Entropy
The joint entropy, conditional entropy, and marginal entropy for two
ensembles X and Y are related by:
H(X, Y ) = H(X) + H(Y |X) = H(Y ) + H(X|Y ) (9)
It should seem natural and intuitive that the joint entropy of a pair of
random variables is the entropy of one plus the conditional entropy of
the other (the uncertainty that it adds once its dependence on the first
one has been discounted by conditionalizing on it). You can derive the
Chain Rule from the earlier definitions of these three entropies.
Corollary to the Chain Rule:
If we have three random variables X, Y, Z, the conditionalizing of the

joint distribution of any two of them, upon the third, is also expressed
by a Chain Rule:
H(X, Y |Z) = H(X|Z) + H(Y |X, Z) (10)
“Independence Bound on Entropy”
A consequence of the Chain Rule for Entropy is that if we have many

different random variables X1, X2, ..., Xn , then the sum of all their in-
dividual entropies is an upper bound on their joint entropy:
n
H(X1, X2 , ..., Xn) ≤ H(Xi) (11)
X
i=1
Their joint entropy only reaches this upper bound if all of the random
variables are independent.
15
Mutual Information between X and Y
The mutual information between two random variables measures the

amount of information that one conveys about the other. Equivalently,
it measures the average reduction in uncertainty about X that results
from learning about Y . It is defined:
p(x, y)
I(X; Y ) = p(x, y) log (12)
X
x,y p(x)p(y)
Clearly X says as much about Y as Y says about X. Note that in case
X and Y are independent random variables, then the numerator inside
the logarithm equals the denominator. Then the log term vanishes, and
the mutual information equals zero, as one should expect.
Non-negativity: mutual information is always ≥ 0. In the event that

the two random variables are perfectly correlated, then their mutual
information is the entropy of either one alone. (Another way to say
this is: I(X; X) = H(X): the mutual information of a random vari-
able with itself is just its entropy. For this reason, the entropy H(X)
of a random variable X is sometimes referred to as its self-information.)
These properties are reflected in three equivalent definitions for the mu-
tual information between X and Y :
I(X; Y ) = H(X) − H(X|Y ) (13)
I(X; Y ) = H(Y ) − H(Y |X) = I(Y ; X) (14)
I(X; Y ) = H(X) + H(Y ) − H(X, Y ) (15)
In a sense the mutual information I(X; Y ) is the intersection between
H(X) and H(Y ), since it represents their statistical dependence. In the
Venn diagram given at the top of page 18, the portion of H(X) that
does not lie within I(X; Y ) is just H(X|Y ). The portion of H(Y ) that
does not lie within I(X; Y ) is just H(Y |X).
16
Distance D(X, Y ) between X and Y
The amount by which the joint entropy of two random variables ex-
ceeds their mutual information is a measure of the “distance” between
them:
D(X, Y ) = H(X, Y ) − I(X; Y ) (16)
Note that this quantity satisfies the standard axioms for a distance:
D(X, Y ) ≥ 0, D(X, X) = 0, D(X, Y ) = D(Y, X), and
D(X, Z) ≤ D(X, Y ) + D(Y, Z).
Relative entropy, or Kullback-Leibler distance
Another important measure of the “distance” between two random vari-

ables, although it does not satisfy the above axioms for a distance metric,
is the relative entropy or Kullback-Leibler distance. It is also called
the information for discrimination. If p(x) and q(x) are two proba-
bility distributions defined over the same set of outcomes x, then their
relative entropy is:
p(x)
DKL(pkq) = p(x) log (17)
X
x q(x)
Note that DKL(pkq) ≥ 0, and in case p(x) = q(x) then their distance
DKL(pkq) = 0, as one might hope. However, this metric is not strictly a
“distance,” since in general it lacks symmetry: DKL(pkq) 6= DKL(qkp).
The relative entropy DKL(pkq) is a measure of the “inefficiency” of as-

suming that a distribution is q(x) when in fact it is p(x). If we have an
optimal code for the distribution p(x) (meaning that we use on average
H(p(x)) bits, its entropy, to describe it), then the number of additional
bits that we would need to use if we instead described p(x) using an
optimal code for q(x), would be their relative entropy D KL(pkq).
17
Venn Diagram: Relationship among entropies and mutual information.
Fano’s Inequality
We know that conditioning reduces entropy: H(X|Y ) ≤ H(X). It

is clear that if X and Y are perfectly correlated, then their conditional
entropy is 0. It should also be clear that if X is any deterministic
function of Y , then again, there remains no uncertainty about X once
Y is known and so their conditional entropy H(X|Y ) = 0.
Fano’s Inequality relates the probability of error Pe in guessing X from

knowledge of Y to their conditional entropy H(X|Y ), when the number
of possible outcomes is |A| (e.g. the length of a symbol alphabet):
H(X|Y ) − 1
Pe ≥ (18)
log |A|
The lower bound on Pe is a linearly increasing function of H(X|Y ).
The “Data Processing Inequality”
If random variables X, Y , and Z form a Markov chain (i.e. the condi-

tional distribution of Z depends only on Y and is independent of X),
which is normally denoted as X → Y → Z, then the mutual informa-
tion must be monotonically decreasing over steps along the chain:
I(X; Y ) ≥ I(X; Z) (19)
We turn now to applying these measures and relationships to the study
of communications channels. (The following material is from McAuley.)
18

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Symbols Source Symbols

Decoder
encoder
X Channel Y
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Y&E=B& P =B&805&>9V25&8<«I0+IE05&82+4U2=5IV9;05*-25*-4:9 P =B4:YIY;*-,-*-25*-&80>|
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0.97
Residual error rate

0.0001
0.96
Capacity
1e-05
0.95
1e-06
0.94
1e-07
0.93
1e-08
0.92
0.91 1e-09
0.9 1e-10
1e-08 1e-07 1e-06 1e-05 0.0001 0.001 0.01 0.1 0.01 0.1 1
P(transition) Code rate
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1e-10
1e-20
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1. Foundations: Probability, Uncertainty, and Information
2. Entropies Defined, and Why they are Measures of Information
3. Source Coding Theorem; Prefix, Variable-, and Fixed-Length Codes
4. Channel Types, Properties, Noise, and Channel Capacity
5. Continuous Information; Density; Noisy Channel Coding Theorem
6. Fourier Series, Convergence, Orthogonal Representation
7. Useful Fourier Theorems; Transform Pairs; Sampling; Aliasing
8. Discrete Fourier Transform. Fast Fourier Transform Algorithms
9. The Quantized Degrees-of-Freedom in a Continuous Signal
10. Gabor-Heisenberg-Weyl Uncertainty Relation. Optimal “Logons”
11. Kolmogorov Complexity and Minimal Description Length.
Jean Baptiste Joseph Fourier (1768 - 1830)
37
Introduction to Fourier Analysis, Synthesis, and Transforms
It has been said that the most remarkable and far-reaching relationship in all of mathemat-
ics is the simple Euler Relation,
eiπ + 1 = 0 (1)
which contains the five most important mathematical constants, as well as harmonic analysis.
This simple equation unifies the four main branches of mathematics: {0,1} represent arithmetic,
π represents geometry, i represents algebra, and e = 2.718... represents analysis, since one way
to define e is to compute the limit of (1 + n1 )n as n → ∞.
Fourier analysis is about the representation of functions (or of data, signals, systems, ...) in
terms of such complex exponentials. (Almost) any function f (x) can be represented perfectly as
a linear combination of basis functions:
X
f (x) = ck Ψk (x) (2)
k
where many possible choices are available for the expansion basis functions Ψk (x). In the case
of Fourier expansions in one dimension, the basis functions are the complex exponentials:
Ψk (x) = exp(iµk x) (3)
√
where the complex constant i = −1. A complex exponential contains both a real part and an
imaginary part, both of which are simple (real-valued) harmonic functions:
exp(iθ) = cos(θ) + i sin(θ) (4)
which you can easily confirm by using the power-series definitions for the transcendental functions
exp, cos, and sin:
θ θ2 θ3 θn
exp(θ) = 1 + + + + ··· + + ···, (5)
1! 2! 3! n!
θ2 θ4 θ6
cos(θ) = 1 − + − + ···, (6)
2! 4! 6!
θ3 θ5 θ7
sin(θ) = θ − + − + ···, (7)
3! 5! 7!
Fourier Analysis computes the complex coefficients ck that yield an expansion of some function
f (x) in terms of complex exponentials:
X
n
f (x) = ck exp(iµk x) (8)
k=−n
where the parameter µk corresponds to frequency and n specifies the number of terms (which
may be finite or infinite) used in the expansion.
Each Fourier coefficient ck in f (x) is computed as the (“inner product”) projection of the function
f (x) onto one complex exponential exp(−iµk x) associated with that coefficient:
1 Z +T /2
ck = f (x) exp(−iµk x)dx (9)
T −T /2
where the integral is taken over one period (T ) of the function if it is periodic, or from −∞ to
+∞ if it is aperiodic. (An aperiodic function is regarded as a periodic one whose period is ∞).
For periodic functions the frequencies µk used are just all multiples of the repetition frequency;
for aperiodic functions, all frequencies must be used. Note that the computed Fourier coefficients
ck are complex-valued.
38
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61
9 Quantized Degrees-of-Freedom in a Continuous Signal
We have now encountered several theorems expressing the idea that even though a signal
is continuous and dense in time (i.e. the value of the signal is defined at each real-valued
moment in time), nevertheless a finite and countable set of discrete numbers suffices to
describe it completely, and thus to reconstruct it, provided that its frequency bandwidth is
limited.
Such theorems may seem counter-intuitive at first: How could a finite sequence of num-
bers, at discrete intervals, capture exhaustively the continuous and uncountable stream of
numbers that represent all the values taken by a signal over some interval of time?
In general terms, the reason is that bandlimited continuous functions are not as free to
vary as they might at first seem. Consequently, specifying their values at only certain
points, suffices to determine their values at all other points.
Three examples that we have already seen are:

• Nyquist’s Sampling Theorem: If a signal f (x) is strictly bandlimited so that it
contains no frequency components higher than W , i.e. its Fourier Transform F (k)
satisfies the condition
F (k) = 0 for |k| > W (1)
then f (x) is completely determined just by sampling its values at a rate of at least
2W . The signal f (x) can be exactly recovered by using each sampled value to fix the
amplitude of a sinc(x) function,
sin(πx)
sinc(x) = (2)
πx
whose width is scaled by the bandwidth parameter W and whose location corresponds
to each of the sample points. The continuous signal f (x) can be perfectly recovered
from its discrete samples fn ( nπ
W ) just by adding all of those displaced sinc(x) functions
together, with their amplitudes equal to the samples taken:
nπ sin(W x − nπ)
X
f (x) = fn (3)
n W (W x − nπ)
Thus we see that any signal that is limited in its bandwidth to W , during some
duration T has at most 2W T degrees-of-freedom. It can be completely specified by
just 2W T real numbers (Nyquist, 1911; R V Hartley, 1928).
• Logan’s Theorem: If a signal f (x) is strictly bandlimited to one octave or less, so

that the highest frequency component it contains is no greater than twice the lowest
frequency component it contains
kmax ≤ 2kmin (4)
i.e. F (k) the Fourier Transform of f (x) obeys
F (|k| > kmax = 2kmin ) = 0 (5)
and
F (|k| < kmin ) = 0 (6)
and if it is also true that the signal f (x) contains no complex zeroes in common with
its Hilbert Transform (too complicated to explain here, but this constraint serves to
62
exclude families of signals which are merely amplitude-modulated versions of each
other), then the original signal f (x) can be perfectly recovered (up to an amplitude
scale constant) merely from knowledge of the set {xi } of zero-crossings of f (x) alone:
{xi } such that f (xi ) = 0 (7)
Comments:
(1) This is a very complicated, surprising, and recent result (W F Logan, 1977).
(2) Only an existence theorem has been proven. There is so far no stable constructive
algorithm for actually making this work – i.e. no known procedure that can actually
recover f (x) in all cases, within a scale factor, from the mere knowledge of its zero-
crossings f (x) = 0; only the existence of such algorithms is proven.
(3) The “Hilbert Transform” constraint (where the Hilbert Transform of a signal
is obtained by convolving it with a hyperbola, h(x) = 1/x, or equivalently by shifting
the phase of the positive frequency components of the signal f (x) by +π/2 and shifting
the phase of its negative frequency components by −π/2), serves to exclude ensem-
bles of signals such as a(x) sin(ωx) where a(x) is a purely positive function a(x) > 0.
Clearly a(x) modulates the amplitudes of such signals, but it could not change any
of their zero-crossings, which would always still occur at x = 0, ωπ , 2π 3π
ω , ω , ..., and so
such signals could not be uniquely represented by their zero-crossings.
(4) It is very difficult to see how to generalize Logan’s Theorem to two-dimensional

signals (such as images). In part this is because the zero-crossings of two-dimensional
functions are non-denumerable (uncountable): they form continuous “snakes,” rather
than a discrete and countable set of points. Also, it is not clear whether the one-octave
bandlimiting constraint should be isotropic (the same in all directions), in which case
the projection of the signal’s spectrum onto either frequency axis is really low-pass
rather than bandpass; or anisotropic, in which case the projection onto both frequency
axes may be strictly bandpass but the different directions are treated differently.
(5) Logan’s Theorem has been proposed as a significant part of a “brain theory”
by David Marr and Tomaso Poggio, for how the brain’s visual cortex processes and
interprets retinal image information. The zero-crossings of bandpass-filtered retinal
images constitute edge information within the image.
• The Information Diagram: The Similarity Theorem of Fourier Analysis asserts

that if a function becomes narrower in one domain by a factor a, it necessarily becomes
broader by the same factor a in the other domain:
f (x) −→ F (k) (8)

1 k

f (ax) −→ | |F (9)
a a
The Hungarian Nobel-Laureate Dennis Gabor took this principle further with great
insight and with implications that are still revolutionizing the field of signal processing
(based upon wavelets), by noting that an Information Diagram representation of sig-
nals in a plane defined by the axes of time and frequency is fundamentally quantized.
There is an irreducible, minimal, area that any signal can possibly occupy in this
plane. Its uncertainty (or spread) in frequency, times its uncertainty (or duration) in
time, has an inescapable lower bound.
63
10 Gabor-Heisenberg-Weyl Uncertainty Relation. “Logons.”
10.1 The Uncertainty Principle
If we define the “effective support” of a function f (x) by its normalized variance, or the
normalized second-moment:
Z +∞
f (x)f ∗ (x)(x − µ)2 dx
(∆x)2 = −∞
Z +∞ (10)
f (x)f ∗ (x)dx
−∞
where µ is the mean value, or normalized first-moment, of the function:

Z +∞
xf (x)f ∗ (x)dx
−∞
µ= Z +∞ (11)
∗
f (x)f (x)dx
−∞
and if we similarly define the effective support of the Fourier Transform F (k) of the function
by its normalized variance in the Fourier domain:
Z +∞
F (k)F ∗ (k)(k − k0 )2 dk
2 −∞
(∆k) = Z +∞ (12)
F (k)F ∗ (k)dk
−∞
where k0 is the mean value, or normalized first-moment, of the Fourier transform F (k):
Z +∞
kF (k)F ∗ (k)dk
−∞
k0 = Z +∞ (13)
∗
F (k)F (k)dk
−∞
then it can be proven (by Schwartz Inequality arguments) that there exists a fundamental
lower bound on the product of these two “spreads,” regardless of the function f (x):
1
(∆x)(∆k) ≥ 4π (14)
This is the famous Gabor-Heisenberg-Weyl Uncertainty Principle. Mathematically it is

exactly identical to the uncertainty relation in quantum physics, where (∆x) would be
interpreted as the position of an electron or other particle, and (∆k) would be interpreted
as its momentum or deBroglie wavelength. We see that this is not just a property of nature,
but more abstractly a property of all functions and their Fourier Transforms. It is thus a
still further respect in which the information in continuous signals is quantized, since the
minimal area they can occupy in the Information Diagram has an irreducible lower bound.
10.2 Gabor “Logons”

Dennis Gabor named such minimal areas “logons” from the Greek word for information, or
order: lōgos. He thus established that the Information Diagram for any continuous signal
can only contain a fixed number of information “quanta.” Each such quantum constitutes
an independent datum, and their total number within a region of the Information Diagram
represents the number of independent degrees-of-freedom enjoyed by the signal.
64
The unique family of signals that actually achieve the lower bound in the Gabor-Heisenberg-
Weyl Uncertainty Relation are the complex exponentials multiplied by Gaussians. These
are sometimes referred to as “Gabor wavelets:”
2 /a2
f (x) = e−(x−x0 ) e−ik0 (x−x0 ) (15)
localized at “epoch” x0 , modulated by frequency k0 , and with size or spread constant a.

It is noteworthy that such wavelets have Fourier Transforms F (k) with exactly the same
functional form, but with their parameters merely interchanged or inverted:
2 a2
F (k) = e−(k−k0 ) eix0 (k−k0 ) (16)
Note that in the case of a wavelet (or wave-packet) centered on x 0 = 0, its Fourier Trans-
form is simply a Gaussian centered at the modulation frequency k0 , and whose size is 1/a,
the reciprocal of the wavelet’s space constant.
Because of the optimality of such wavelets under the Uncertainty Principle, Gabor (1946)
proposed using them as an expansion basis to represent signals. In particular, he wanted
them to be used in broadcast telecommunications for encoding continuous-time informa-
tion. He called them the “elementary functions” for a signal. Unfortunately, because such
functions are mutually non-orthogonal, it is very difficult to obtain the actual coefficients
needed as weights on the elementary functions in order to expand a given signal in this
basis. The first constructive method for finding such “Gabor coefficients” was developed
in 1981 by the Dutch physicist Martin Bastiaans, using a dual basis and a complicated
non-local infinite series.
The following diagrams show the behaviour of Gabor elementary functions both as complex
wavelets, their separate real and imaginary parts, and their Fourier transforms. When a
family of such functions are parameterized to be self-similar, i.e. they are dilates and trans-
lates of each other so that they all have a common template (“mother” and “daughter”),
then they constitute a (non-orthogonal) wavelet basis. Today it is known that an infinite
class of wavelets exist which can be used as the expansion basis for signals. Because of
the self-similarity property, this amounts to representing or analyzing a signal at different
scales. This general field of investigation is called multi-resolution analysis.
65
Gabor wavelets are complex-valued functions, so for each value of x we have a phasor in
the complex plane (top row). Its phase evolves as a function of x while its magnitude grows
and decays according to a Gaussian envelope. Thus a Gabor wavelet is a kind of localised
helix. The difference between the three columns is that the wavelet has been multiplied
by a complex constant, which amounts to a phase rotation. The second row shows the
projection of its real and imaginary parts (solid and dotted curves). The third row shows
its Fourier transform for each of these phase rotations. The fourth row shows its Fourier
power spectrum which is simply a Gaussian centred at the wavelet’s frequency and with
width reciprocal to that of the wavelet’s envelope.
66
The first three rows show the real part of various Gabor wavelets. In the first column,
these all have the same Gaussian envelope, but different frequencies. In the second column,
the frequencies correspond to those of the first column but the width of each of the Gaussian
envelopes is inversely proportional to the wavelet’s frequency, so this set of wavelets form a
self-similar set (i.e. all are simple dilations of each other). The bottom row shows Fourier
power spectra of the corresponding complex wavelets.
67
2D Gabor Wavelet: Real Part 2D Fourier Transform
1
1
0.5
0.5
Z
Z
0
0
0.5 10
0.5 10
Sp )
Po ati
al PD
sit es Fre 0 0 cy (C
ion 0 0 e gre qu n
in D en ue
De in cy req
gre ion (C - lF
es -0. sit PD 10 -10 atia
5 -0.5 Po ) Sp
Figure 1: The real part of a 2-D Gabor wavelet, and its 2-D Fourier transform.
10.3 Generalization to Two Dimensional Signals

An effective strategy for extracting both coherent and incoherent image structure is the
computation of two-dimensional Gabor coefficients for the image. This family of 2-D filters
were originally proposed as a framework for understanding the orientation-selective and
spatial-frequency-selective receptive field properties of neurons in the brain’s visual cortex,
and as useful operators for practical image analysis problems. These 2-D filters are con-
jointly optimal in providing the maximum possible resolution both for information about
the spatial frequency and orientation of image structure (in a sense “what”), simultane-
ously with information about 2-D position (“where”). The 2-D Gabor filter family uniquely
achieves the theoretical lower bound for joint uncertainty over these four variables, as dic-
tated by the inescapable Uncertainty Principle when generalized to four-dimensional space.
These properties are particularly useful for texture analysis because of the 2-D spectral
specificity of texture as well as its variation with 2-D spatial position. A rapid method
for obtaining the required coefficients on these elementary expansion functions for the pur-
pose of representing any image completely by its “2-D Gabor Transform,” despite the non-
orthogonality of the expansion basis, is possible through the use of a relaxation neural net-
work. A large and growing literature now exists on the efficient use of this non-orthogonal
expansion basis and its applications.
Two-dimensional Gabor filters over the image domain (x, y) have the functional form
f (x, y) = e−[(x−x0 ) ] e−i[u0 (x−x0 )+v0 (y−y0 )]

2 /α2 +(y−y 2 /β 2
0)
(17)
where (x0 , y0 ) specify position in the image, (α, β) specify effective

q width and length, and
(u0 , v0 ) specify modulation, which has spatial frequency ω0 = u20 + v02 and direction θ0 =
arctan(v0 /u0 ). (A further degree-of-freedom not included above is the relative orientation of
the elliptic Gaussian envelope, which creates cross-terms in xy.) The 2-D Fourier transform
68
F (u, v) of a 2-D Gabor filter has exactly the same functional form, with parameters just
interchanged or inverted:
F (u, v) = e−[(u−u0 ) ] ei[x0 (u−u0 )+y0 (v−v0 )]

2 α2 +(v−v 2β2
0)
(18)
The real part of one member of the 2-D Gabor filter family, centered at the origin (x 0 , y0 ) =
(0, 0) and with unity aspect ratio β/α = 1 is shown in the figure, together with its 2-D
Fourier transform F (u, v).
2-D Gabor functions can form a complete self-similar 2-D wavelet expansion basis, with
the requirements of orthogonality and strictly compact support relaxed, by appropriate
parameterization for dilation, rotation, and translation. If we take Ψ(x, y) to be a chosen
generic 2-D Gabor wavelet, then we can generate from this one member a complete self-
similar family of 2-D wavelets through the generating function:
Ψmpqθ (x, y) = 2−2m Ψ(x0 , y 0 ) (19)
where the substituted variables (x0 , y 0 ) incorporate dilations in size by 2−m , translations in
position (p, q), and rotations through orientation θ:
x0 = 2−m [x cos(θ) + y sin(θ)] − p (20)
y 0 = 2−m [−x sin(θ) + y cos(θ)] − q (21)
It is noteworthy that as consequences of the similarity theorem, shift theorem, and modu-
lation theorem of 2-D Fourier analysis, together with the rotation isomorphism of the 2-D
Fourier transform, all of these effects of the generating function applied to a 2-D Gabor
mother wavelet Ψ(x, y) = f (x, y) have corresponding identical or reciprocal effects on its
2-D Fourier transform F (u, v). These properties of self-similarity can be exploited when
constructing efficient, compact, multi-scale codes for image structure.
10.4 Grand Unification of Domains: an Entente Cordiale

Until now we have viewed “the space domain” and “the Fourier domain” as somehow oppo-
site, and incompatible, domains of representation. (Their variables are reciprocals; and the
Uncertainty Principle declares that improving the resolution in either domain must reduce
it in the other.) But we now can see that the “Gabor domain” of representation actually
embraces and unifies both of these other two domains. To compute the representation of
a signal or of data in the Gabor domain, we find its expansion in terms of elementary
functions having the form
2 /a2
f (x) = e−ik0 x e−(x−x0 ) (22)
The single parameter a (the space-constant in the Gaussian term) actually builds a con-
tinuous bridge between the two domains: if the parameter a is made very large, then the
second exponential above approaches 1.0, and so in the limit our expansion basis becomes
lim f (x) = e−ik0 x
a→∞
(23)
the ordinary Fourier basis. If the frequency parameter k0 and the size parameter a are
instead made very small, the Gaussian term becomes the approximation to a delta function
at location xo , and so our expansion basis implements pure space-domain sampling:
lim f (x) = δ(x − x0 ) (24)
k0 ,a→0
Hence the Gabor expansion basis “contains” both domains at once. It allows us to make
a continuous deformation that selects a representation lying anywhere on a one-parameter
continuum between two domains that were hitherto distinct and mutually unapproachable.
A new Entente Cordiale, indeed.
69
Reconstruction of Lena: 25, 100, 500, and 10,000 Two-Dimensional Gabor Wavelets
Figure 2: Illustration of the completeness of 2-D Gabor wavelets as basis functions.
70
11 Kolmogorov Complexity and Minimal Description Length
An idea of fundamental importance is the measure known as Kolmogorov complexity: the
complexity of a string of data is defined as the length of the shortest binary program for
computing the string. Thus the complexity is the data’s “minimal description length.”
It is an amazing fact that the Kolmogorov complexity K of a string is approximately
equal to the entropy H of the distribution from which the string is a randomly drawn
sequence. Thus Kolmogorov descriptive complexity is intimately connected with informa-
tion theory, and indeed K defines the ultimate data compression. Reducing the data to a
program that generates it exactly is obviously a way of compressing it; and running that
program is a way of decompressing it. Any set of data can be generated by a computer
program, even if (in the worst case) that program simply consists of data statements. The
length of such a program defines its algorithmic complexity.
It is important to draw a clear distinction between the notions of computational com-
plexity (measured by program execution time), and algorithmic complexity (measured by
program length). Kolmogorov complexity is concerned with finding descriptions which
minimize the latter. Little is known about how (in analogy with the optimal properties
of Gabor’s elementary logons in the 2D Information Plane) one might try to minimize
simultaneously along both of these orthogonal axes that form a “Complexity Plane.”
Most sequences of length n (where “most” considers all possible permutations of n
bits) have Kolmogorov complexity K close to n. The complexity of a truly random binary
sequence is as long as the sequence itself. However, it is not clear how to be certain of
discovering that a given string has a much lower complexity than its length. It might be
clear that the string
0101010101010101010101010101010101010101010101010101010101010101
has a complexity much less than 32 bits; indeed, its complexity is the length of the program:
Print 32 "01"s. But consider the string
0110101000001001111001100110011111110011101111001100100100001000
which looks random and passes most tests for randomness. How could you √ discover that
this sequence is in fact just the binary expansion for the irrational number 2 − 1, and that
therefore it can be specified extremely concisely?
Fractals are examples of entities that look very complex but in fact are generated by
very simple programs (i.e. iterations of a mapping). Therefore, the Kolmogorov complexity
of fractals is nearly zero.
A sequence x1 , x2 , x3 , ..., xn of length n is said to be algorithmically random if its Kol-
mogorov complexity is at least n (i.e. the shortest possible program that can generate the
sequence is a listing of the sequence itself):
K(x1 x2 x3 ...xn |n) ≥ n (25)
An infinite string is defined to be incompressible if its Kolmogorov complexity, in the limit

as the string gets arbitrarily long, approaches the length n of the string itself:
K(x1 x2 x3 ...xn |n)

lim =1 (26)
n→∞ n
An interesting theorem, called the Strong Law of Large Numbers for Incompressible Se-
quences, asserts that the proportions of 0’s and 1’s in any incompressible string must be
nearly equal! Moreover, any incompressible sequence must satisfy all computable statistical
71
tests for randomness. (Otherwise, identifying the statistical test for randomness that the
string failed would reduce the descriptive complexity of the string, which contradicts its
incompressibility.) Therefore the algorithmic test for randomness is the ultimate test, since
it includes within it all other computable tests for randomness.
12 A Short Bibliography
Cover, T M and Thomas, J A (1991) Elements of Information Theory. New York: Wiley.
Blahut, R E (1987) Principles and Practice of Information Theory. New York: Addison-
Wesley.
Bracewell, R (1995) The Fourier Transform and its Applications. New York: McGraw-
Hill.
Fourier analysis: besides the above, an excellent on-line tutorial is available at:
http://users.ox.ac.uk/˜ball0597/Fourier/
McEliece, R J (1977) The Theory of Information and Coding: A Mathematical Framework

for Communication. Addison-Wesley. Reprinted (1984) by Cambridge University Press in
Encyclopedia of Mathematics.
McMullen, C W (1968) Communication Theory Principles. New York: MacMillan.
Shannon, C and Weaver, W (1949) Mathematical Theory of Communication. Urbana:

University of Illinois Press.
Wiener, N (1948) Time Series. Cambridge: MIT Press.
72

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Information Theory and Coding

Computer Science Tripos Part II, Michaelmas Term

1. Foundations: Probability, Uncertainty, and Information

Prerequisite courses: Probability; Mathematical Methods for CS; Discrete Mathematics

At the end of the course students should be able to

Computer Science Tripos Part II, Michaelmas Term

1. Overview: What is Information Theory?

Historical origins and important contributions:

• Ludwig BOLTZMANN (1844-1906), physicist, showed in 1877 that

What are random variables? What is probability?

Random variables are variables that take on values determined by prob-

Most of Information Theory involves probability distributions of ran-

Most of probability theory was laid down by theologians: Blaise PAS-

Probability Theory rests upon two rules:

We use the above rules, with the following substitutions of “data” D

D = data: the test is positive

p(D) = p(D|H)p(H) + p(D|H̄)p(H̄) =(.95)(.001)+(.05)(.999) = .051

A nice feature of Bayes’ Theorem is that it provides a simple mech-

The information content I of a single event or message is defined as the

Note that I as defined in Eqt (1) is never positive: it ranges between

No information is gained (no uncertainty is lost) by the appearance

The logarithmic measure is justified by the desire for information to

This principle can also be understood in terms of the combinatorics

In information theory we often wish to compute the base-2 logarithms

Intuitive Example of the Information Measure (Eqt 1):

Suppose I choose at random one of the 26 letters of the alphabet, and we

The answer to a Yes/No question having equal probabilities conveys

We now move from considering the information content of a single event

The entropy of an ensemble is simply the average entropy of all the

Eqt (4) allows us to speak of the information content or the entropy of

How can this be true?

That is the subject matter of Shannon’s SOURCE CODING THEOREM

Several further measures of entropy need to be defined, involving the

Notation: We use capital letters X and Y to name random variables,

We can simplify this notation to: p(x) = p(x, y)

and similarly: p(y) = p(x, y)

It is now possible to define various entropy measures for joint ensembles:

Conditional entropy of an ensemble X, given that y = bj

measures the uncertainty remaining about random variable X after

Conditional entropy of an ensemble X, given an ensemble Y :

Corollary to the Chain Rule:

If we have three random variables X, Y, Z, the conditionalizing of the

“Independence Bound on Entropy”

A consequence of the Chain Rule for Entropy is that if we have many

The mutual information between two random variables measures the

Non-negativity: mutual information is always ≥ 0. In the event that

Relative entropy, or Kullback-Leibler distance

Another important measure of the “distance” between two random vari-

The relative entropy DKL(pkq) is a measure of the “inefficiency” of as-

We know that conditioning reduces entropy: H(X|Y ) ≤ H(X). It

Fano’s Inequality relates the probability of error Pe in guessing X from

The “Data Processing Inequality”

If random variables X, Y , and Z form a Markov chain (i.e. the condi-

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