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Fefferman's admissible initial data are exactly the divergence-free Schwartz functions

Proved
NavierStokes.isInitialData_iff_schwartz

by korbonits · Sep 8, 2026 · Mathlib 0df444a (Lean v4.33.1)

analysisfluid-dynamicsmillennium-prizenavier-stokespartial-differential-equations

Let n∈Nn \in \mathbb{N}n∈N and let u0:Rn→Rnu^0 : \mathbb{R}^n \to \mathbb{R}^nu0:Rn→Rn be any function. Then u0u^0u0 is an admissible initial datum in Fefferman's sense — C∞C^\inftyC∞, divergence-free, and satisfying the decay condition (4)

(1+∣x∣)K ∥Dku0(x)∥≤CkKfor all x and all k,K∈N(1+|x|)^K\,\|D^k u^0(x)\| \le C_{kK} \quad \text{for all } x \text{ and all } k, K \in \mathbb{N}(1+∣x∣)K∥Dku0(x)∥≤CkK​for all x and all k,K∈N

— if and only if div⁡u0=0\operatorname{div} u^0 = 0divu0=0 everywhere and u0u^0u0 is (the underlying function of) an element of the Schwartz space S(Rn;Rn)\mathcal{S}(\mathbb{R}^n;\mathbb{R}^n)S(Rn;Rn), whose defining bounds are

∣x∣k ∥Dmu0(x)∥≤Ckmfor all x and all k,m∈N.|x|^k\,\|D^m u^0(x)\| \le C_{km} \quad \text{for all } x \text{ and all } k, m \in \mathbb{N}.∣x∣k∥Dmu0(x)∥≤Ckm​for all x and all k,m∈N.

The lemma connects the mission's definitions to Mathlib's Schwartz space, so that its Fourier-analytic and integrability API (Schwartz functions are integrable and in every LpL^pLp, closed under derivatives and multiplication by polynomials) becomes available for admissible data. It is the natural first contribution to the mission.

Formalization Note Both sides are stated for arbitrary functions u0u^0u0; Mathlib's derivatives are total functions with junk value 000 at points of non-differentiability, but both sides independently require smoothness, so the junk values play no role. The case n=0n = 0n=0 is included and trivially true.

Preamble
import Definitions.Def_NavierStokes
import Mathlib
Formal statement
namespace NavierStokes
theorem isInitialData_iff_schwartz {n : ℕ} (u₀ : Vec n → Vec n) :
    IsInitialData u₀ ↔ (∀ x, div u₀ x = 0) ∧ ∃ φ : SchwartzMap (Vec n) (Vec n), ⇑φ = u₀ := by sorry
end NavierStokes
Source
C. L. Fefferman, Existence and smoothness of the Navier–Stokes equation, Clay Mathematics Institute Millennium Prize Problem description (2000), https://www.claymath.org/wp-content/uploads/2022/06/navierstokes.pdf, p. 1, condition (4) on the initial data (smooth, divergence-free, |∂ₓ^α u⁰(x)| ≤ C_{αK}(1+|x|)^{-K} for all α, K), compared with the definition of the Schwartz space (Mathlib `SchwartzMap`: smooth with ‖x‖^k ‖D^m f(x)‖ bounded for all k, m)
Read-back

What the Lean code literally says, in plain math · claude-fable-5-1

Read-back of isInitialData_iff_schwartz.

Fix a natural number n≥0n \ge 0n≥0 (implicit, so the statement is asserted for every nnn, including n=0n = 0n=0) and write V=RnV = \mathbb{R}^nV=Rn for Euclidean nnn-space with its standard Euclidean (ℓ2\ell^2ℓ2) norm ∥⋅∥\|\cdot\|∥⋅∥ and standard basis vectors e1,…,ene_1,\dots,e_ne1​,…,en​ (the iii-th one has a 111 in coordinate iii and 000 elsewhere). Let u0:V→Vu_0 : V \to Vu0​:V→V be an arbitrary function — no hypothesis whatsoever is placed on u0u_0u0​; in particular it need not be continuous or differentiable. Throughout, Du0(x):V→VDu_0(x) : V \to VDu0​(x):V→V denotes Mathlib's Fréchet derivative of u0u_0u0​ at xxx, which is a total operation: if u0u_0u0​ is not differentiable at xxx it returns the zero linear map. Likewise Dku0(x)D^k u_0(x)Dku0​(x) denotes the kkk-th iterated Fréchet derivative at xxx, a continuous kkk-multilinear map Vk→VV^k \to VVk→V with D0u0(x)D^0 u_0(x)D0u0​(x) being just the vector u0(x)u_0(x)u0​(x) (viewed as a 000-multilinear map, so ∥D0u0(x)∥=∥u0(x)∥\|D^0 u_0(x)\| = \|u_0(x)\|∥D0u0​(x)∥=∥u0​(x)∥), and ∥Dku0(x)∥\|D^k u_0(x)\|∥Dku0​(x)∥ its operator norm; for non-smooth u0u_0u0​ these too take whatever "junk" values the total definitions assign (built from the zero-default derivative). The custom divergence is

div⁡u0(x)  :=  ∑i=1n(Du0(x) ei)i,\operatorname{div} u_0(x) \;:=\; \sum_{i=1}^{n} \big(Du_0(x)\,e_i\big)_i ,divu0​(x):=i=1∑n​(Du0​(x)ei​)i​,

the sum over iii of the iii-th coordinate of the directional derivative of u0u_0u0​ at xxx in direction eie_iei​; wherever u0u_0u0​ fails to be differentiable this is the empty-map value 000, and when n=0n=0n=0 it is an empty sum, hence 000.

The theorem asserts, for every such nnn and u0u_0u0​, the biconditional

IsInitialData(u0)⟺(∀x∈V, div⁡u0(x)=0) ∧ (∃ φ∈S(V;V)  with φ=u0 as functions).\mathrm{IsInitialData}(u_0) \quad\Longleftrightarrow\quad \Big(\forall x \in V,\ \operatorname{div} u_0(x) = 0\Big)\ \wedge\ \Big(\exists\, \varphi \in \mathcal{S}(V;V)\ \text{ with } \varphi = u_0 \text{ as functions}\Big).IsInitialData(u0​)⟺(∀x∈V, divu0​(x)=0) ∧ (∃φ∈S(V;V)  with φ=u0​ as functions).

Left-hand side, unfolded. IsInitialData(u0)\mathrm{IsInitialData}(u_0)IsInitialData(u0​) is the conjunction of exactly three conditions:

  1. (smooth) u0u_0u0​ is C∞C^\inftyC∞ on all of VVV in the Fréchet sense (Mathlib's ContDiff ℝ ∞, with ∞\infty∞ meaning infinitely differentiable, not analytic);
  2. (divFree) for every x∈Vx \in Vx∈V, div⁡u0(x)=0\operatorname{div} u_0(x) = 0divu0​(x)=0, with div⁡\operatorname{div}div as defined above;
  3. (decay) for every pair of natural numbers k,K≥0k, K \ge 0k,K≥0 there exists a real number CCC (depending on kkk and KKK but not on xxx; no sign restriction on CCC is imposed, though the left side of the inequality is ≥0\ge 0≥0) such that for every x∈Vx \in Vx∈V,
(1+∥x∥)K ∥Dku0(x)∥  ≤  C.(1 + \|x\|)^{K}\,\big\|D^k u_0(x)\big\| \;\le\; C .(1+∥x∥)K​Dku0​(x)​≤C.

Here kkk is the derivative order and KKK the weight exponent; the case k=0k = 0k=0 reads (1+∥x∥)K∥u0(x)∥≤C(1+\|x\|)^K \|u_0(x)\| \le C(1+∥x∥)K∥u0​(x)∥≤C, and the case K=0K = 0K=0 says each ∥Dku0∥\|D^k u_0\|∥Dku0​∥ is bounded on VVV. The inequality is non-strict (≤\le≤).

Right-hand side, unfolded. The first conjunct is literally the same statement as condition 2 above: div⁡u0(x)=0\operatorname{div} u_0(x) = 0divu0​(x)=0 for every xxx. The second conjunct asserts the existence (mere existence, not uniqueness) of an element φ\varphiφ of Mathlib's Schwartz space S(V;V)\mathcal{S}(V;V)S(V;V) whose underlying function coincides with u0u_0u0​ pointwise, i.e. φ(x)=u0(x)\varphi(x) = u_0(x)φ(x)=u0​(x) for all x∈Vx \in Vx∈V. A Schwartz map φ:V→V\varphi : V \to Vφ:V→V in Mathlib is a function together with proofs of:

  • (smooth') φ\varphiφ is C∞C^\inftyC∞ on VVV (the same ContDiff ℝ ∞ predicate as in condition 1);
  • (decay') for every pair of natural numbers k,m≥0k, m \ge 0k,m≥0 there exists a real CCC such that for every x∈Vx \in Vx∈V,
∥x∥k ∥Dmφ(x)∥  ≤  C,\|x\|^{k}\,\big\|D^m \varphi(x)\big\| \;\le\; C ,∥x∥k​Dmφ(x)​≤C,

where now kkk is the weight exponent and mmm the derivative order, and the weight is ∥x∥k\|x\|^k∥x∥k rather than (1+∥x∥)k(1+\|x\|)^k(1+∥x∥)k.

So the biconditional says: u0u_0u0​ is smooth, divergence-free (in the custom sense), and satisfies the (1+∥x∥)K(1+\|x\|)^K(1+∥x∥)K-weighted bounds on all iterated derivatives, if and only if u0u_0u0​ is divergence-free (same custom sense) and is the underlying function of some Schwartz map, i.e. is smooth and satisfies the ∥x∥k\|x\|^k∥x∥k-weighted bounds on all iterated derivatives.

Edge and degenerate cases made explicit. (i) When n=0n = 0n=0, VVV is the one-point space {0}\{0\}{0}, every u0u_0u0​ is constant and smooth, div⁡u0≡0\operatorname{div} u_0 \equiv 0divu0​≡0 as an empty sum, ∥u0(0)∥=0\|u_0(0)\| = 0∥u0​(0)∥=0 since the codomain is the zero space, and all iterated derivatives vanish, so both sides hold for every u0u_0u0​ and the biconditional is trivially true there. (ii) The divergence condition appears identically on both sides; because the Fréchet derivative defaults to 000 at points of non-differentiability, div⁡u0(x)=0\operatorname{div} u_0(x) = 0divu0​(x)=0 holds automatically at any such point, so this condition by itself constrains u0u_0u0​ only where u0u_0u0​ is differentiable. (iii) The decay conditions on both sides are stated using total operations, so they are meaningful (and evaluate to something) even for non-smooth u0u_0u0​, but each side also independently demands smoothness, so junk derivative values only matter for functions that fail the smoothness clause anyway. (iv) Neither side is vacuous: the theorem carries no hypotheses beyond the choice of nnn and u0u_0u0​, and the zero function u0≡0u_0 \equiv 0u0​≡0 satisfies both sides, while e.g. a non-smooth u0u_0u0​ satisfies neither; the statement is a claim about every function V→VV \to VV→V for every nnn. (v) The existential on the right is ∃\exists∃, not ∃!\exists!∃!; the equation φ=u0\varphi = u_0φ=u0​ is equality of functions V→VV \to VV→V (equivalently, pointwise equality at every xxx), and the constants CCC in both decay clauses may be any real numbers, chosen after kkk and the weight exponent but before xxx.

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

  • Endorsed by korbonits · Sep 8, 2026

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

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