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Kenneth W. Shum

Publications and source records attributed to Kenneth W. Shum.

At least 19 recordsLinked to original sources

From Lecture Notes to Lean: Formalizing a Textbook on Probability Theory

As large language models become increasingly capable of generating mathematical arguments, mathematics is likely to face not a scarcity of proofs but an abundance of plausible ones. In such an environment, verification, exposition, and incorporation into reusable mathematical infrastructure become central tasks. We report on an ongoing Lean formalization of "Measure-Theoretic Probability: With Applications to Statistics, Finance, and Engineering", a fourteen-chapter upper-level undergraduate textbook covering topics from Riemann--Stieltjes integration to martingales and limit theorems. The project produces a machine-checked companion to the textbook and contributes reusable infrastructure for future formalizations involving probability theory. A Lean formalization provides computer-checked statements and proofs, makes hypotheses explicit, and allows readers to inspect the precise logical content of textbook results. A central challenge is to bridge textbook-facing statements with Mathlib's more general measure-theoretic interfaces. We reuse Mathlib results when possible and introduce reviewable interface lemmas when the textbook formulation and library abstraction differ. The project illustrates how formalized textbooks can support teaching, clarify mathematical assumptions, and help build the formal foundations needed for reliable AI-assisted mathematics.

cs.LO

Formalization of Line Search Methods by Lean

This paper presents a formalization of line search methods in the Lean 4 theorem prover. Our goal is to advance machine verification of nonlinear optimization theory by translating standard textbook definitions and convergence arguments into rigorous Lean code. We formalize fundamental notions related to gradient descent and descent directions, adaptive step-size selection via backtracking line search, and several classical line search criteria, including the Armijo, Goldstein, and Wolfe conditions, as well as nonmonotone variants. We further formalize a key convergence result, namely the Zoutendijk theorem, which plays a central role in the global convergence analysis of gradient-based iterative methods. By providing machine-checkable definitions and proofs for line search theory, this work complements existing formalizations of first-order optimization methods and establishes a foundation for the verified development of more advanced algorithms in nonlinear programming.

math.OC

Formalizing Extended Complex Numbers, Mobius Transformations, and Cross Ratio in Lean 4

The extended complex plane is a fundamental object in complex analysis, hyperbolic geometry, and mathematical physics. Its geometry is governed by M\"obius transformations, with the cross ratio serving as a central invariant. We present a formalization of these concepts in the Lean4 theorem prover. The extended complex plane is represented using Mathlib's Option type over $\mathbb{C}$, where the additional element represents the point at infinity. On this foundation, we define M\"obius transformations, their action on the extended complex plane, and the cross ratio. We formalize several basic properties of M\"obius transformations, including their group structure, and identify them with a projective general linear group. We also prove the uniqueness of a M\"obius transformation mapping any three distinct points to any other three distinct points, and the invariance of the cross ratio. All proofs are machine-checked in Lean 4. The complete development comprises approximately 6,000 lines of Lean code, including about 40 definitions and 150 lemmas and theorems. This work provides a verified foundation for future formalizations of conformal geometry, hyperbolic models, modular forms, and applications in mathematical physics.

math.CV

Multichannel Conflict-Avoiding Codes for Expanded Scenarios

A conflict-avoiding code (CAC) of length L and weight w is used for deterministic multiple-access without feedback. When the number of simultaneous active users is less than or equal to w, such a code is able to provide a hard guarantee that each active user has a successful transmission within every consecutive L time slots. Recently, CACs were extended to multichannel CAcs (MC-CACs) over M orthogonal channels with the aim of increasing the number of potential users that can be supported. While most existing results on MC-CAC are derived under the assumption that M is not less than w, this paper focuses on the case that M is less than w, which is more relevant to practical application scenarios. In this paper, we first introduce the concept of exceptional codewords in MC-CACs. By employing some techniques from additive combinatorics, we derive a series of optimal MC-CACs. Along the way, several previously known optimal CAC results are generalized. Finally, our results extend naturally to AM-OPPTS MC-CACs and mixed-weight MC-CACs, two classes of relevant codes.

cs.IT

Weight Distribution of Repeated-Root Cyclic Codes with Prime Power Lengths

Determining the weight distribution of a linear code is a classical and fundamental topic in coding theory that has been extensively investigated. Repeated-root cyclic codes, which form a significant subclass of error-correcting codes, have found broad applications in quantum error-correcting codes, symbol-pair codes, and storage codes. Through polynomial derivation, we derive the monomial equivalent codes for these repeated-root cyclic codes with prime power lengths. Given that monomial equivalent codes exhibit identical weight distributions, we transform the computation of the weight distribution of these repeated-root cyclic codes into the computation of the weight distribution of their monomial equivalent codes. Leveraging the classical results on the weight distribution of MDS codes, we explicitly determine the weight distribution of these repeated-root cyclic codes. Moreover, we apply the weight distribution formula to construct a class of $p$-weight cyclic codes for any prime $p$.

cs.IT

Efficient encoding and decoding algorithm for a class of perfect single-deletion-correcting permutation codes

A permutation code is a nonlinear code whose codewords are permutation of a set of symbols. We consider the use of permutation code in the deletion channel, and consider the symbol-invariant error model, meaning that the values of the symbols that are not removed are not affected by the deletion. In 1992, Levenshtein gave a construction of perfect single-deletion-correcting permutation codes that attain the maximum code size. Furthermore, he showed in the same paper that the set of all permutations of a given length can be partitioned into permutation codes so constructed. This construction relies on the binary Varshamov-Tenengolts codes. In this paper we give an independent and more direct proof of Levenshtein's result that does not depend on the Varshamov-Tenengolts code. Using the new approach, we devise efficient encoding and decoding algorithms that correct one deletion.

cs.IT

Optimal Quaternary (r,delta)-Locally Repairable Codes Achieving the Singleton-type Bound

Locally repairable codes enables fast repair of node failure in a distributed storage system. The code symbols in a codeword are stored in different storage nodes, such that a disk failure can be recovered by accessing a small fraction of the storage nodes. The number of storage nodes that are contacted during the repair of a failed node is a parameter called locality. We consider locally repairable codes that can be locally recovered in the presence of multiple node failures. The punctured code obtained by removing the code symbols in the complement of a repair group is called a local code. We aim at designing a code such that all local codes have a prescribed minimum distance, so that any node failure can be repaired locally, provided that the total number of node failures is less than the tolerance parameter. We consider linear locally repairable codes defined over a finite field of size four. This alphabet has characteristic 2, and hence is amenable to practical implementation. We classify all quaternary locally repairable codes that attain the Singleton-type upper bound for minimum distance. For each combination of achievable code parameters, an explicit code construction is given.

cs.IT

Repeated-root Constacyclic Codes with Optimal Locality

A code is called a locally repairable code (LRC) if any code symbol is a function of a small fraction of other code symbols. When a locally repairable code is employed in a distributed storage systems, an erased symbol can be recovered by accessing only a small number of other symbols, and hence alleviating the network resources required during the repair process. In this paper we consider repeated-root constacyclic codes, which is a generalization of cyclic codes, that are optimal with respect to a Singleton-like bound on minimum distance. An LRC with the structure of a constacyclic code can be encoded efficiently using any encoding algorithm for constacyclic codes in general. In this paper we obtain optimal LRCs among these repeated-root constacyclic codes. Several infinite classes of optimal LRCs over a fixed alphabet are found. Under a further assumption that the ambient space of the repeated-root constacyclic codes is a chain ring, we show that there is no other optimal LRC.

cs.IT

Multichannel Conflict-Avoiding Codes of Weights Three and Four

Conflict-avoiding codes (CACs) were introduced by Levenshtein as a single-channel transmission scheme for a multiple-access collision channel without feedback. When the number of simultaneously active source nodes is less than or equal to the weight of a CAC, it is able to provide a hard guarantee that each active source node transmits at least one packet successfully within a fixed time duration, no matter what the relative time offsets between the source nodes are. In this paper, we extend CACs to multichannel CACs for providing such a hard guarantee over multiple orthogonal channels. Upper bounds on the number of codewords for multichannel CACs of weights three and four are derived, and constructions that are optimal with respect to these bounds are presented.

cs.IT

Schedule Sequence Design for Broadcast in Multi-channel Ad Hoc Networks

We consider a single-hop ad hoc network in which each node aims to broadcast packets to its neighboring nodes by using multiple slotted, TDD collision channels. There is no cooperation among the nodes. To ensure successful broadcast, we propose to pre-assign each node a periodic sequence to schedule transmissions and receptions at each time slot. These sequences are referred to as schedule sequences. Since each node starts its transmission schedule independently, there exist relative time offsets among the schedule sequences they use. Our objective is to design schedule sequences such that each node can transmit at least one packet to each of its neighbors successfully within a common period, no matter what the time offsets are. The sequence period should be designed as short as possible. In this paper, we analyze the lower bound on sequence period, and propose a sequence construction method by which the period can achieve the same order as the lower bound. We also consider the random scheme in which each node transmits or receives on a channel at each time slot with a pre-determined probability. The frame length and broadcast completion time under different schemes are compared by numerical studies.

cs.IT

Network Coding Based on Byte-wise Circular Shift and Integer Addition

A novel implementation of a special class of Galois ring, in which the multiplication can be realized by a cyclic convolution, is applied to the construction of network codes. The primitive operations involved are byte-wise shifts and integer additions modulo a power of 2. Both of them can be executed efficiently in microprocessors. An illustration of how to apply this idea to array code is given at the end of the paper.

cs.IT

On the Optimal Minimum Distance of Fractional Repetition Codes

Fractional repetition (FR) codes are a class of repair efficient erasure codes that can recover a failed storage node with both optimal repair bandwidth and complexity. In this paper, we study the minimum distance of FR codes, which is the smallest number of nodes whose failure leads to the unrecoverable loss of the stored file. We consider upper bounds on the minimum distance and present several families of explicit FR codes attaining these bounds. The optimal constructions are derived from regular graphs and combinatorial designs, respectively.

cs.IT

Bounds and Constructions of Locally Repairable Codes: Parity-check Matrix Approach

A $q$-ary $(n,k,r)$ locally repairable code (LRC) is an $[n,k,d]$ linear code over $\mathbb{F}_q$ such that every code symbol can be recovered by accessing at most $r$ other code symbols. The well-known Singleton-like bound says that $d \le n-k-\lceil k/r\rceil +2$ and an LRC is said to be optimal if it attains this bound. In this paper, we study the bounds and constructions of LRCs from the view of parity-check matrices. Firstly, a simple and unified framework based on parity-check matrix to analyze the bounds of LRCs is proposed. Several useful structural properties on $q$-ary optimal LRCs are obtained. We derive an upper bound on the minimum distance of $q$-ary optimal $(n,k,r)$-LRCs in terms of the field size $q$. Then, we focus on constructions of optimal LRCs over binary field. It is proved that there are only 5 classes of possible parameters with which optimal binary $(n,k,r)$-LRCs exist. Moreover, by employing the proposed parity-check matrix approach, we completely enumerate all these 5 classes of possible optimal binary LRCs attaining the Singleton-like bound in the sense of equivalence of linear codes.

cs.IT

Rack-Aware Regenerating Codes for Data Centers

Erasure coding is widely used for massive storage in data centers to achieve high fault tolerance and low storage redundancy. Since the cross-rack communication cost is often high, it is critical to design erasure codes that minimize the cross-rack repair bandwidth during failure repair. In this paper, we analyze the optimal trade-off between storage redundancy and cross-rack repair bandwidth specifically for data centers, subject to the condition that the original data can be reconstructed from a sufficient number of any non-failed nodes. We characterize the optimal trade-off curve under functional repair, and propose a general family of erasure codes called rack-aware regenerating codes (RRC), which achieve the optimal trade-off. We further propose exact repair constructions of RRC that have minimum storage redundancy and minimum cross-rack repair bandwidth, respectively. We show that (i) the minimum storage redundancy constructions support a wide range of parameters and have cross-rack repair bandwidth that is strictly less than that of the classical minimum storage regenerating codes in most cases, and (ii) the minimum cross-rack repair bandwidth constructions support all the parameters and have less cross-rack repair bandwidth than that of the minimum bandwidth regenerating codes for almost all of the parameters.

cs.IT

Capacity of Distributed Storage Systems with Clusters and Separate Nodes

In distributed storage systems (DSSs), the optimal tradeoff between node storage and repair bandwidth is an important issue for designing distributed coding strategies to ensure large scale data reliability. The capacity of DSSs is obtained as a function of node storage and repair bandwidth parameters, characterizing the tradeoff. There are lots of works on DSSs with clusters (racks) where the repair bandwidths from intra-cluster and cross-cluster are differentiated. However, separate nodes are also prevalent in the realistic DSSs, but the works on DSSs with clusters and separate nodes (CSN-DSSs) are insufficient. In this paper, we formulate the capacity of CSN-DSSs with one separate node for the first time where the bandwidth to repair a separate node is of cross-cluster. Consequently, the optimal tradeoff between node storage and repair bandwidth are derived and compared with cluster DSSs. A regenerating code instance is constructed based on the tradeoff. Furthermore, the influence of adding a separate node is analyzed and formulated theoretically. We prove that when each cluster contains R nodes and any k nodes suffice to recover the original file (MDS property), adding an extra separate node will keep the capacity if R|k, and reduce the capacity otherwise.

cs.IT

On the Duality and File Size Hierarchy of Fractional Repetition Codes

Distributed storage systems that deploy erasure codes can provide better features such as lower storage overhead and higher data reliability. In this paper, we focus on fractional repetition (FR) codes, which are a class of storage codes characterized by the features of uncoded exact repair and minimum repair bandwidth. We study the duality of FR codes, and investigate the relationship between the supported file size of an FR code and its dual code. Based on the established relationship, we derive an improved dual bound on the supported file size of FR codes. We further show that FR codes constructed from $t$-designs are optimal when the size of the stored file is sufficiently large. Moreover, we present the tensor product technique for combining FR codes, and elaborate on the file size hierarchy of resulting codes.

cs.IT

On Secure Exact-repair Regenerating Codes with a Single Pareto Optimal Point

The problem of exact-repair regenerating codes against eavesdropping attack is studied. The eavesdropping model we consider is that the eavesdropper has the capability to observe the data involved in the repair of a subset of $\ell$ nodes. An $(n,k,d,\ell)$ secure exact-repair regenerating code is an $(n,k,d)$ exact-repair regenerating code that is secure under this eavesdropping model. It has been shown that for some parameters $(n,k,d,\ell)$, the associated optimal storage-bandwidth tradeoff curve, which has one corner point, can be determined. The focus of this paper is on characterizing such parameters. We establish a lower bound $\hat{\ell}$ on the number of wiretap nodes, and show that this bound is tight for the case $k = d = n-1$.

cs.IT

A Unified Form of EVENODD and RDP Codes and Their Efficient Decoding

Array codes have been widely employed in storage systems, such as Redundant Arrays of Inexpensive Disks (RAID). The row-diagonal parity (RDP) codes and EVENODD codes are two popular double-parity array codes. As the capacity of hard disks increases, better fault tolerance by using array codes with three or more parity disks is needed. Although many extensions of RDP codes and EVENODD codes have been proposed, the high decoding complexity is the main drawback of them. In this paper, we present a new construction for all families of EVENODD codes and RDP codes, and propose a unified form of them. Under this unified form, RDP codes can be treated as shortened codes of EVENODD codes. Moreover, an efficient decoding algorithm based on an LU factorization of Vandermonde matrix is proposed when the number of continuous surviving parity columns is no less than the number of erased information columns. The new decoding algorithm is faster than the existing algorithms when more than three information columns fail. The proposed efficient decoding algorithm is also applicable to other Vandermonde array codes. Thus the proposed MDS array code is practically very meaningful for storage systems that need higher reliability.

cs.IT