Levi-Civita model and disk-like global sections
DefinitionBirkhoffRestrictedThreeBodyThis definition module fixes a Lean model for the planar circular restricted three-body problem and for Birkhoff's global-section conjecture.
For a mass ratio , the rotating Jacobi Hamiltonian on phase coordinates is
The module defines collision-free states, the canonical Hamiltonian vector field, collision-free critical points, and the first critical value as the infimum of their Hamiltonian values. The source's subcritical condition is represented as .
After Levi-Civita regularization, phase coordinates are read as . Writing , , and
the regularized Hamiltonian is
The distinguished energy component is the connected component of containing . The condition removes the remaining, unregularized collision.
The module also defines continuous Hamiltonian flows on this component, positive-period orbit data, orbit sets, and a disk-like global surface of section. Such a section is a smooth embedded unit disk whose boundary image is the periodic orbit, whose interior has locally isolated intersections with the flow, and which every nonbinding trajectory meets at both a positive and a negative time. Finally, strict convexity of an energy level is represented by positivity of the tangential Hessian in every nonzero direction annihilated by the first derivative.
Formalization Note. Phase is Fin 4 → ℝ and the parameter plane is Fin 2 → ℝ. Fréchet derivatives are used throughout. The flow and global-section predicates make the dynamical quantifiers explicit rather than treating “global surface of section” as an opaque assertion.
Correction notice. The original DiskLikeGlobalSurfaceOfSection predicate in this module accidentally requests analytic regularity and omits pointwise transversality. The Hamiltonian, regularization, component, and convexity definitions remain valid and are retained for the published milestone theorems. For Birkhoff's conjecture, use DiskLikeGlobalSurfaceOfSectionV2 from Definitions.Def_BirkhoffRestrictedThreeBodyGlobalSection.
import Mathlib.Analysis.Calculus.FDeriv.Basic
import Mathlib.Analysis.SpecialFunctions.Sqrt
import Mathlib.Dynamics.Flow
import Mathlib.Topology.Connected.Basic
namespace BirkhoffRestrictedThreeBody
noncomputable section
/-- Four real coordinates, ordered as `(q₁,q₂,p₁,p₂)` for the Jacobi Hamiltonian
and as `(z₁,z₂,w₁,w₂)` after Levi-Civita regularization. -/
abbrev Phase := Fin 4 → ℝ
/-- Two real coordinates, used for the parameter disk of a global section. -/
abbrev Plane := Fin 2 → ℝ
def qNormSq (s : Phase) : ℝ := s 0 ^ 2 + s 1 ^ 2
def zNormSq (s : Phase) : ℝ := s 0 ^ 2 + s 1 ^ 2
def wNormSq (s : Phase) : ℝ := s 2 ^ 2 + s 3 ^ 2
/-- Equation (1.1) of Joung--van Koert for the planar circular restricted
three-body problem in rotating coordinates. -/
def jacobiHamiltonian (μ : ℝ) (s : Phase) : ℝ :=
(s 2 ^ 2 + s 3 ^ 2) / 2 + s 0 * s 3 - s 1 * s 2
- (1 - μ) / Real.sqrt ((s 0 + μ) ^ 2 + s 1 ^ 2)
- μ / Real.sqrt ((s 0 - 1 + μ) ^ 2 + s 1 ^ 2)
def collisionFree (μ : ℝ) (s : Phase) : Prop :=
0 < (s 0 + μ) ^ 2 + s 1 ^ 2 ∧
0 < (s 0 - 1 + μ) ^ 2 + s 1 ^ 2
def coordinateVector (i : Fin 4) : Phase :=
fun j => if j = i then 1 else 0
def partialDerivative (F : Phase → ℝ) (s : Phase) (i : Fin 4) : ℝ :=
fderiv ℝ F s (coordinateVector i)
/-- The canonical Hamiltonian vector field `(∂H/∂p, -∂H/∂q)`. -/
def hamiltonianVectorField (F : Phase → ℝ) (s : Phase) : Phase :=
![partialDerivative F s 2, partialDerivative F s 3,
-partialDerivative F s 0, -partialDerivative F s 1]
def isCriticalPoint (F : Phase → ℝ) (s : Phase) : Prop :=
fderiv ℝ F s = 0
/-- The smallest critical value of the collision-free Jacobi Hamiltonian.
This is `H(L₁)` in the source's energy convention. -/
def firstCriticalValue (μ : ℝ) : ℝ :=
sInf {e : ℝ | ∃ s : Phase,
collisionFree μ s ∧ isCriticalPoint (jacobiHamiltonian μ) s ∧
jacobiHamiltonian μ s = e}
/-- The source writes a Jacobi energy level as `H = -c`; being below the first
critical value therefore means `-c < H(L₁)`. -/
def belowFirstCriticalValue (μ c : ℝ) : Prop :=
-c < firstCriticalValue μ
/-- Squared distance to the second collision after the complex squaring map. -/
def secondCollisionDistanceSq (s : Phase) : ℝ :=
(2 * (s 0 ^ 2 - s 1 ^ 2) - 1) ^ 2 + (4 * s 0 * s 1) ^ 2
/-- Equation (2.2) of Joung--van Koert. -/
def leviCivitaHamiltonian (μ c : ℝ) (s : Phase) : ℝ :=
wNormSq s / 2 + c * zNormSq s - (1 - μ) / 2
+ 2 * zNormSq s * (s 0 * s 3 - s 1 * s 2)
- μ * (s 0 * s 3 + s 1 * s 2)
- μ * zNormSq s / Real.sqrt (secondCollisionDistanceSq s)
/-- A canonical point over collision with the primary at `q=(-μ,0)`. -/
def leftCollisionPoint (μ : ℝ) : Phase :=
![0, 0, Real.sqrt (1 - μ), 0]
def regularEnergyLocus (μ c : ℝ) : Set Phase :=
{s | leviCivitaHamiltonian μ c s = 0 ∧ 0 < secondCollisionDistanceSq s}
/-- The regularized energy component corresponding to the primary at `q=(-μ,0)`. -/
def leftEnergyComponent (μ c : ℝ) : Set Phase :=
connectedComponentIn (regularEnergyLocus μ c) (leftCollisionPoint μ)
abbrev LeftEnergyState (μ c : ℝ) := {s : Phase // s ∈ leftEnergyComponent μ c}
/-- A continuous flow on the left regularized energy component whose time derivative
is the Hamiltonian vector field of the Levi-Civita Hamiltonian. -/
def IsLeviCivitaHamiltonianFlow (μ c : ℝ)
(φ : Flow ℝ (LeftEnergyState μ c)) : Prop :=
∀ s : LeftEnergyState μ c,
HasDerivAt (fun t : ℝ => ((φ t s : LeftEnergyState μ c) : Phase))
(hamiltonianVectorField (leviCivitaHamiltonian μ c) (s : Phase)) 0
structure PeriodicOrbit {X : Type*} [TopologicalSpace X]
(φ : Flow ℝ X) where
point : X
period : ℝ
period_pos : 0 < period
closed : φ period point = point
def orbitSet {μ c : ℝ} {φ : Flow ℝ (LeftEnergyState μ c)}
(γ : PeriodicOrbit φ) : Set Phase :=
Set.range (fun t : ℝ => ((φ t γ.point : LeftEnergyState μ c) : Phase))
def planeNormSq (u : Plane) : ℝ := u 0 ^ 2 + u 1 ^ 2
def closedUnitDisk : Set Plane := {u | planeNormSq u ≤ 1}
def openUnitDisk : Set Plane := {u | planeNormSq u < 1}
def unitCircle : Set Plane := {u | planeNormSq u = 1}
/-- A smooth embedded disk whose boundary is a periodic orbit, whose interior is a
local cross-section, and which every other trajectory meets in both time directions. -/
def DiskLikeGlobalSurfaceOfSection {μ c : ℝ}
(φ : Flow ℝ (LeftEnergyState μ c)) (γ : PeriodicOrbit φ) : Prop :=
∃ page : Plane → Phase,
ContDiffOn ℝ ⊤ page closedUnitDisk ∧
(∀ u ∈ closedUnitDisk, page u ∈ leftEnergyComponent μ c) ∧
Set.InjOn page closedUnitDisk ∧
(∀ u ∈ closedUnitDisk, Function.Injective (fderiv ℝ page u)) ∧
page '' unitCircle = orbitSet γ ∧
(∀ s : LeftEnergyState μ c,
(s : Phase) ∈ page '' openUnitDisk →
∃ ε : ℝ, 0 < ε ∧ ∀ t : ℝ, |t| < ε →
((φ t s : LeftEnergyState μ c) : Phase) ∈ page '' openUnitDisk → t = 0) ∧
(∀ s : LeftEnergyState μ c, (s : Phase) ∉ orbitSet γ →
(∃ t : ℝ, 0 < t ∧
((φ t s : LeftEnergyState μ c) : Phase) ∈ page '' openUnitDisk) ∧
(∃ t : ℝ, t < 0 ∧
((φ t s : LeftEnergyState μ c) : Phase) ∈ page '' openUnitDisk))
/-- Positive tangential Hessian on a regular level hypersurface. -/
def IsStrictlyConvexLevel (F : Phase → ℝ) (S : Set Phase) : Prop :=
∀ s ∈ S, ∀ v : Phase, v ≠ 0 → fderiv ℝ F s v = 0 →
0 < fderiv ℝ (fun x => fderiv ℝ F x v) s v
end
end BirkhoffRestrictedThreeBodyRead-back
What the Lean code literally says, in plain math · gpt-5
Phase. Phase is the type of all functions , equivalently all ordered quadruples , with no restrictions on their coordinates.
Plane. Plane is the type of all functions , equivalently all ordered pairs , with no restrictions on their coordinates.
qNormSq. For every phase point , qNormSq is the real number ; it ignores and and is always nonnegative.
zNormSq. For every phase point , zNormSq is the real number ; it is definitionally the same coordinate expression as qNormSq, ignores , and is always nonnegative.
wNormSq. For every phase point , wNormSq is the real number ; it ignores and is always nonnegative.
jacobiHamiltonian. For every and , jacobiHamiltonian is the total real-valued function
There is no assumption on or exclusion of collision points. The square roots are the nonnegative real square roots, and real division is totalized: whenever either square-root denominator is , its corresponding quotient is defined to be , rather than being undefined or infinite.
collisionFree. For every and phase point , collisionFree μ s means precisely
Thus both displayed squared distances must be strictly positive; no restriction such as is included.
coordinateVector. For each index , coordinateVector i is the phase vector whose -th coordinate is when and otherwise.
partialDerivative. For every function , phase point , and coordinate index , partialDerivative F s i is , the totalized Fréchet derivative of at applied to the -th coordinate vector. When is Fréchet differentiable at , this is its -th coordinate derivative; when no Fréchet derivative exists, Lean’s totalized fderiv is the zero linear map, so the defined value is .
hamiltonianVectorField. For every and , hamiltonianVectorField F s is
All four entries use the totalized Fréchet derivative, so a failure of differentiability makes that derivative the zero linear map rather than making the vector field undefined.
isCriticalPoint. For every and , isCriticalPoint F s means as a continuous linear functional on . Because fderiv is totalized to the zero map at a point where no Fréchet derivative exists, such a nondifferentiability point also satisfies this predicate.
firstCriticalValue. For every , firstCriticalValue μ is
where is the formula in jacobiHamiltonian, including its totalized divisions. This is an infimum, not an assertion that a smallest value is attained. No hypothesis says that the set is nonempty or bounded below; sInf nevertheless remains a total real-valued operation in those degenerate cases, without the usual mathematical characterization of an infimum being guaranteed.
belowFirstCriticalValue. For every , belowFirstCriticalValue μ c is exactly the strict inequality
It adds no assumptions on , on existence of collision-free critical points, or on attainment of the infimum.
secondCollisionDistanceSq. For every phase point , secondCollisionDistanceSq s is
It depends only on , is always nonnegative, and is exactly when and , with arbitrary.
leviCivitaHamiltonian. For every and , leviCivitaHamiltonian μ c s is the total real number
where . There are no restrictions on . At , the final quotient is defined to be by totalized real division.
leftCollisionPoint. For every , leftCollisionPoint μ is the phase point
The square root is the nonnegative real square root; in particular, if , then , so .
regularEnergyLocus. For every , regularEnergyLocus μ c is the set of all satisfying
where
and
The strict inequality excludes every zero of the square-root denominator.
leftEnergyComponent. For every , leftEnergyComponent μ c is the connected component, within the set , based at , where
and
No hypothesis ensures that the base point belongs to this set; if it does not, the connected component in the set is empty. In particular, for , and , so this component is empty.
LeftEnergyState. For every , LeftEnergyState μ c is the subtype consisting of phase points that lie in the connected component, based at , of the set on which and , with and given by
An inhabitant carries both a phase point and proof of membership; the type may be empty, in particular when .
IsLeviCivitaHamiltonianFlow. For every and every continuous real flow on the subtype of phase points in the connected component, based at , of , IsLeviCivitaHamiltonianFlow μ c φ means that for every , the phase-space curve is differentiable at with
where and
The right-hand derivatives are totalized Fréchet derivatives. The declaration directly requires the trajectory derivative only at time , separately for every state; if is empty, the universal condition is vacuous.
PeriodicOrbit. For every type equipped with a topological-space structure and every real flow on , PeriodicOrbit φ is a structure containing a point , a real number , a proof that , and a proof that . It does not require to be the least positive return time, does not require the trajectory to be nonconstant, and therefore permits a fixed point whenever it is returned to itself after a chosen positive time.
orbitSet. For every , every continuous real flow on the subtype consisting of the connected component of based at , and every periodic-orbit record for with point , positive period , and , orbitSet γ is
where subtype values are forgotten and viewed as phase points. Here , and is the displayed Levi–Civita formula. The set uses only ’s point and the flow; the recorded period itself does not appear in its definition.
planeNormSq. For every , planeNormSq u is , which is always nonnegative.
closedUnitDisk. closedUnitDisk is the set
openUnitDisk. openUnitDisk is the set
unitCircle. unitCircle is the set
DiskLikeGlobalSurfaceOfSection. For every , every continuous real flow on , and every periodic-orbit record for , DiskLikeGlobalSurfaceOfSection φ γ means that there exists a globally defined map such that, writing , , , and for the connected component based at of : is on in the relative ContDiffOn sense; for every ; is injective on ; for every , the totalized full Fréchet derivative is injective; as sets; for every whose phase point lies in , there exists such that for every , if and , then ; and for every not lying on , there exist separately a time and a time with . Here
and
The condition imposes no positive- or negative-time interior intersection requirement on states belonging to ’s orbit, does not require first or unique return times, and does not otherwise use ’s recorded period.
IsStrictlyConvexLevel. For every arbitrary function and arbitrary set , IsStrictlyConvexLevel F S means that for every and every nonzero , if , then
Both derivatives are Lean’s totalized Fréchet derivatives. No differentiability or twice-differentiability hypothesis on is stated, and is not required to be a level set, a hypersurface, nonempty, or regular; in particular, the proposition is vacuously true when .
A reported from fable 5.1:
Thank you for a careful model: eq. (1.1), the Levi-Civita Hamiltonian (2.2), the choice of component, the critical-value convention, and Lemmas 4.1/4.2 and Proposition 4.4 all check against Joung–van Koert. Two changes are needed in
DiskLikeGlobalSurfaceOfSectionin before the goal can go live:ContDiffOn ℝ ⊤ page closedUnitDiskmeans real-analytic on this Mathlib: the smoothness exponent isWithTop ℕ∞,⊤isω, and smooth is∞(((⊤ : ℕ∞) : WithTop ℕ∞); seeMathlib/Analysis/Calculus/ContDiff/Defs.lean). Your read-back says "C^∞", so this is a notation slip, but as written the goal asks for an analytic disk, which is stronger than the conjecture. Please change⊤to∞.The interior clause only forbids a return to the open disk within a small time window. A global surface of section also needs its interior to be transverse to the flow (Hryniewicz 2012; Joung–van Koert p. 1); a disk tangent to the flow at a point of quadratic contact satisfies the current clause but is not a section. Please add, for every
u ∈ openUnitDisk,hamiltonianVectorField (leviCivitaHamiltonian μ c) (page u) ∉ Set.range (fderiv ℝ page u).Since the definition row changes, [birkhoff_global_section] has to be re-uploaded against it. The three milestone rows are unaffected in content.