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Levi-Civita model and disk-like global sections

Definition
BirkhoffRestrictedThreeBody

by Yivy Yu · Sep 10, 2026 · Mathlib 0df444a (Lean v4.33.1)

celestial-mechanicsdynamical-systemshamiltonian-dynamics

This 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 μ\muμ, the rotating Jacobi Hamiltonian on phase coordinates (q1,q2,p1,p2)∈R4(q_1,q_2,p_1,p_2)\in\mathbb R^4(q1​,q2​,p1​,p2​)∈R4 is

Hμ=p12+p222+q1p2−q2p1−1−μ(q1+μ)2+q22−μ(q1−1+μ)2+q22.H_\mu=\frac{p_1^2+p_2^2}{2}+q_1p_2-q_2p_1 -\frac{1-\mu}{\sqrt{(q_1+\mu)^2+q_2^2}} -\frac{\mu}{\sqrt{(q_1-1+\mu)^2+q_2^2}}.Hμ​=2p12​+p22​​+q1​p2​−q2​p1​−(q1​+μ)2+q22​​1−μ​−(q1​−1+μ)2+q22​​μ​.

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 −c<h1(μ)-c<h_1(\mu)−c<h1​(μ).

After Levi-Civita regularization, phase coordinates are read as (z1,z2,w1,w2)(z_1,z_2,w_1,w_2)(z1​,z2​,w1​,w2​). Writing ∣z∣2=z12+z22|z|^2=z_1^2+z_2^2∣z∣2=z12​+z22​, ∣w∣2=w12+w22|w|^2=w_1^2+w_2^2∣w∣2=w12​+w22​, and

D(z)=(2(z12−z22)−1)2+(4z1z2)2,D(z)=\bigl(2(z_1^2-z_2^2)-1\bigr)^2+(4z_1z_2)^2,D(z)=(2(z12​−z22​)−1)2+(4z1​z2​)2,

the regularized Hamiltonian is

Kμ,c=∣w∣22+c∣z∣2−1−μ2+2∣z∣2(z1w2−z2w1)−μ(z1w2+z2w1)−μ∣z∣2D(z).K_{\mu,c}=\frac{|w|^2}{2}+c|z|^2-\frac{1-\mu}{2} +2|z|^2(z_1w_2-z_2w_1)-\mu(z_1w_2+z_2w_1) -\frac{\mu|z|^2}{\sqrt{D(z)}}.Kμ,c​=2∣w∣2​+c∣z∣2−21−μ​+2∣z∣2(z1​w2​−z2​w1​)−μ(z1​w2​+z2​w1​)−D(z)​μ∣z∣2​.

The distinguished energy component is the connected component of {Kμ,c=0, D>0}\{K_{\mu,c}=0,\ D>0\}{Kμ,c​=0, D>0} containing (0,0,1−μ,0)(0,0,\sqrt{1-\mu},0)(0,0,1−μ​,0). The condition D>0D>0D>0 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.

Definition code
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 BirkhoffRestrictedThreeBody
Source
Joung--van Koert, Computational symplectic topology and symmetric orbits in the restricted three-body problem, https://arxiv.org/abs/2407.19159, p. 2 Eq. (1.1), p. 5 Section 2.1, p. 6 Eq. (2.2), and pp. 1--3 (global sections); Hryniewicz, https://arxiv.org/abs/0812.4076.
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What the Lean code literally says, in plain math · gpt-5

Phase. Phase is the type of all functions s:{0,1,2,3}→Rs:\{0,1,2,3\}\to\mathbb Rs:{0,1,2,3}→R, equivalently all ordered quadruples s=(s0,s1,s2,s3)∈R4s=(s_0,s_1,s_2,s_3)\in\mathbb R^4s=(s0​,s1​,s2​,s3​)∈R4, with no restrictions on their coordinates.

Plane. Plane is the type of all functions u:{0,1}→Ru:\{0,1\}\to\mathbb Ru:{0,1}→R, equivalently all ordered pairs u=(u0,u1)∈R2u=(u_0,u_1)\in\mathbb R^2u=(u0​,u1​)∈R2, with no restrictions on their coordinates.

qNormSq. For every phase point s=(s0,s1,s2,s3)∈R4s=(s_0,s_1,s_2,s_3)\in\mathbb R^4s=(s0​,s1​,s2​,s3​)∈R4, qNormSq is the real number s02+s12s_0^2+s_1^2s02​+s12​; it ignores s2s_2s2​ and s3s_3s3​ and is always nonnegative.

zNormSq. For every phase point s=(s0,s1,s2,s3)∈R4s=(s_0,s_1,s_2,s_3)\in\mathbb R^4s=(s0​,s1​,s2​,s3​)∈R4, zNormSq is the real number s02+s12s_0^2+s_1^2s02​+s12​; it is definitionally the same coordinate expression as qNormSq, ignores s2,s3s_2,s_3s2​,s3​, and is always nonnegative.

wNormSq. For every phase point s=(s0,s1,s2,s3)∈R4s=(s_0,s_1,s_2,s_3)\in\mathbb R^4s=(s0​,s1​,s2​,s3​)∈R4, wNormSq is the real number s22+s32s_2^2+s_3^2s22​+s32​; it ignores s0,s1s_0,s_1s0​,s1​ and is always nonnegative.

jacobiHamiltonian. For every μ∈R\mu\in\mathbb Rμ∈R and s=(s0,s1,s2,s3)∈R4s=(s_0,s_1,s_2,s_3)\in\mathbb R^4s=(s0​,s1​,s2​,s3​)∈R4, jacobiHamiltonian is the total real-valued function

Hμ(s)=s22+s322+s0s3−s1s2−1−μ(s0+μ)2+s12−μ(s0−1+μ)2+s12.H_\mu(s)=\frac{s_2^2+s_3^2}{2}+s_0s_3-s_1s_2-\frac{1-\mu}{\sqrt{(s_0+\mu)^2+s_1^2}}-\frac{\mu}{\sqrt{(s_0-1+\mu)^2+s_1^2}}.Hμ​(s)=2s22​+s32​​+s0​s3​−s1​s2​−(s0​+μ)2+s12​​1−μ​−(s0​−1+μ)2+s12​​μ​.

There is no assumption on μ\muμ 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 000, its corresponding quotient is defined to be 000, rather than being undefined or infinite.

collisionFree. For every μ∈R\mu\in\mathbb Rμ∈R and phase point sss, collisionFree μ s means precisely

0<(s0+μ)2+s12and0<(s0−1+μ)2+s12.0<(s_0+\mu)^2+s_1^2 \quad\text{and}\quad 0<(s_0-1+\mu)^2+s_1^2.0<(s0​+μ)2+s12​and0<(s0​−1+μ)2+s12​.

Thus both displayed squared distances must be strictly positive; no restriction such as 0<μ<10<\mu<10<μ<1 is included.

coordinateVector. For each index i∈{0,1,2,3}i\in\{0,1,2,3\}i∈{0,1,2,3}, coordinateVector i is the phase vector ei∈R4e_i\in\mathbb R^4ei​∈R4 whose jjj-th coordinate is 111 when j=ij=ij=i and 000 otherwise.

partialDerivative. For every function F:R4→RF:\mathbb R^4\to\mathbb RF:R4→R, phase point sss, and coordinate index i∈{0,1,2,3}i\in\{0,1,2,3\}i∈{0,1,2,3}, partialDerivative F s i is DtotF(s)[ei]D^{\mathrm{tot}}F(s)[e_i]DtotF(s)[ei​], the totalized Fréchet derivative of FFF at sss applied to the iii-th coordinate vector. When FFF is Fréchet differentiable at sss, this is its iii-th coordinate derivative; when no Fréchet derivative exists, Lean’s totalized fderiv is the zero linear map, so the defined value is 000.

hamiltonianVectorField. For every F:R4→RF:\mathbb R^4\to\mathbb RF:R4→R and s∈R4s\in\mathbb R^4s∈R4, hamiltonianVectorField F s is

(DtotF(s)[e2], DtotF(s)[e3], −DtotF(s)[e0], −DtotF(s)[e1]).\bigl(D^{\mathrm{tot}}F(s)[e_2],\ D^{\mathrm{tot}}F(s)[e_3],\ -D^{\mathrm{tot}}F(s)[e_0],\ -D^{\mathrm{tot}}F(s)[e_1]\bigr).(DtotF(s)[e2​], DtotF(s)[e3​], −DtotF(s)[e0​], −DtotF(s)[e1​]).

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 F:R4→RF:\mathbb R^4\to\mathbb RF:R4→R and s∈R4s\in\mathbb R^4s∈R4, isCriticalPoint F s means DtotF(s)=0D^{\mathrm{tot}}F(s)=0DtotF(s)=0 as a continuous linear functional on R4\mathbb R^4R4. 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 μ∈R\mu\in\mathbb Rμ∈R, firstCriticalValue μ is

inf⁡{e∈R | there exists s∈R4 with (s0+μ)2+s12>0,(s0−1+μ)2+s12>0,DtotHμ(s)=0,Hμ(s)=e},\inf\left\{e\in\mathbb R\ \middle|\ \begin{array}{l} \text{there exists }s\in\mathbb R^4\text{ with }(s_0+\mu)^2+s_1^2>0,\\ (s_0-1+\mu)^2+s_1^2>0,\quad D^{\mathrm{tot}}H_\mu(s)=0,\quad H_\mu(s)=e \end{array}\right\},inf{e∈R ​ there exists s∈R4 with (s0​+μ)2+s12​>0,(s0​−1+μ)2+s12​>0,DtotHμ​(s)=0,Hμ​(s)=e​},

where HμH_\muHμ​ 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 μ,c∈R\mu,c\in\mathbb Rμ,c∈R, belowFirstCriticalValue μ c is exactly the strict inequality

−c<sInf⁡{Hμ(s)∣s is collision-free and DtotHμ(s)=0}.-c<\operatorname{sInf}\{H_\mu(s)\mid s\text{ is collision-free and }D^{\mathrm{tot}}H_\mu(s)=0\}.−c<sInf{Hμ​(s)∣s is collision-free and DtotHμ​(s)=0}.

It adds no assumptions on μ,c\mu,cμ,c, on existence of collision-free critical points, or on attainment of the infimum.

secondCollisionDistanceSq. For every phase point sss, secondCollisionDistanceSq s is

D(s)=(2(s02−s12)−1)2+(4s0s1)2.D(s)=\bigl(2(s_0^2-s_1^2)-1\bigr)^2+(4s_0s_1)^2.D(s)=(2(s02​−s12​)−1)2+(4s0​s1​)2.

It depends only on s0,s1s_0,s_1s0​,s1​, is always nonnegative, and is 000 exactly when s1=0s_1=0s1​=0 and s02=12s_0^2=\tfrac12s02​=21​, with s2,s3s_2,s_3s2​,s3​ arbitrary.

leviCivitaHamiltonian. For every μ,c∈R\mu,c\in\mathbb Rμ,c∈R and s∈R4s\in\mathbb R^4s∈R4, leviCivitaHamiltonian μ c s is the total real number

Kμ,c(s)=s22+s322+c(s02+s12)−1−μ2+2(s02+s12)(s0s3−s1s2)−μ(s0s3+s1s2)−μ(s02+s12)D(s),K_{\mu,c}(s)=\frac{s_2^2+s_3^2}{2}+c(s_0^2+s_1^2)-\frac{1-\mu}{2} +2(s_0^2+s_1^2)(s_0s_3-s_1s_2)-\mu(s_0s_3+s_1s_2) -\frac{\mu(s_0^2+s_1^2)}{\sqrt{D(s)}},Kμ,c​(s)=2s22​+s32​​+c(s02​+s12​)−21−μ​+2(s02​+s12​)(s0​s3​−s1​s2​)−μ(s0​s3​+s1​s2​)−D(s)​μ(s02​+s12​)​,

where D(s)=(2(s02−s12)−1)2+(4s0s1)2D(s)=\bigl(2(s_0^2-s_1^2)-1\bigr)^2+(4s_0s_1)^2D(s)=(2(s02​−s12​)−1)2+(4s0​s1​)2. There are no restrictions on μ,c,s\mu,c,sμ,c,s. At D(s)=0D(s)=0D(s)=0, the final quotient is defined to be 000 by totalized real division.

leftCollisionPoint. For every μ∈R\mu\in\mathbb Rμ∈R, leftCollisionPoint μ is the phase point

aμ=(0,0,1−μ,0).a_\mu=(0,0,\sqrt{1-\mu},0).aμ​=(0,0,1−μ​,0).

The square root is the nonnegative real square root; in particular, if μ>1\mu>1μ>1, then 1−μ=0\sqrt{1-\mu}=01−μ​=0, so aμ=(0,0,0,0)a_\mu=(0,0,0,0)aμ​=(0,0,0,0).

regularEnergyLocus. For every μ,c∈R\mu,c\in\mathbb Rμ,c∈R, regularEnergyLocus μ c is the set of all s∈R4s\in\mathbb R^4s∈R4 satisfying

Kμ,c(s)=0andD(s)>0,K_{\mu,c}(s)=0 \quad\text{and}\quad D(s)>0,Kμ,c​(s)=0andD(s)>0,

where

D(s)=(2(s02−s12)−1)2+(4s0s1)2D(s)=\bigl(2(s_0^2-s_1^2)-1\bigr)^2+(4s_0s_1)^2D(s)=(2(s02​−s12​)−1)2+(4s0​s1​)2

and

Kμ,c(s)=s22+s322+c(s02+s12)−1−μ2+2(s02+s12)(s0s3−s1s2)−μ(s0s3+s1s2)−μ(s02+s12)D(s).K_{\mu,c}(s)=\frac{s_2^2+s_3^2}{2}+c(s_0^2+s_1^2)-\frac{1-\mu}{2} +2(s_0^2+s_1^2)(s_0s_3-s_1s_2)-\mu(s_0s_3+s_1s_2) -\frac{\mu(s_0^2+s_1^2)}{\sqrt{D(s)}}.Kμ,c​(s)=2s22​+s32​​+c(s02​+s12​)−21−μ​+2(s02​+s12​)(s0​s3​−s1​s2​)−μ(s0​s3​+s1​s2​)−D(s)​μ(s02​+s12​)​.

The strict inequality excludes every zero of the square-root denominator.

leftEnergyComponent. For every μ,c∈R\mu,c\in\mathbb Rμ,c∈R, leftEnergyComponent μ c is the connected component, within the set {s∈R4∣Kμ,c(s)=0 and D(s)>0}\{s\in\mathbb R^4\mid K_{\mu,c}(s)=0\ \text{and}\ D(s)>0\}{s∈R4∣Kμ,c​(s)=0 and D(s)>0}, based at aμ=(0,0,1−μ,0)a_\mu=(0,0,\sqrt{1-\mu},0)aμ​=(0,0,1−μ​,0), where

D(s)=(2(s02−s12)−1)2+(4s0s1)2D(s)=\bigl(2(s_0^2-s_1^2)-1\bigr)^2+(4s_0s_1)^2D(s)=(2(s02​−s12​)−1)2+(4s0​s1​)2

and

Kμ,c(s)=s22+s322+c(s02+s12)−1−μ2+2(s02+s12)(s0s3−s1s2)−μ(s0s3+s1s2)−μ(s02+s12)D(s).K_{\mu,c}(s)=\frac{s_2^2+s_3^2}{2}+c(s_0^2+s_1^2)-\frac{1-\mu}{2} +2(s_0^2+s_1^2)(s_0s_3-s_1s_2)-\mu(s_0s_3+s_1s_2) -\frac{\mu(s_0^2+s_1^2)}{\sqrt{D(s)}}.Kμ,c​(s)=2s22​+s32​​+c(s02​+s12​)−21−μ​+2(s02​+s12​)(s0​s3​−s1​s2​)−μ(s0​s3​+s1​s2​)−D(s)​μ(s02​+s12​)​.

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 μ>1\mu>1μ>1, aμ=(0,0,0,0)a_\mu=(0,0,0,0)aμ​=(0,0,0,0) and Kμ,c(aμ)=(μ−1)/2>0K_{\mu,c}(a_\mu)=(\mu-1)/2>0Kμ,c​(aμ​)=(μ−1)/2>0, so this component is empty.

LeftEnergyState. For every μ,c∈R\mu,c\in\mathbb Rμ,c∈R, LeftEnergyState μ c is the subtype consisting of phase points s∈R4s\in\mathbb R^4s∈R4 that lie in the connected component, based at (0,0,1−μ,0)(0,0,\sqrt{1-\mu},0)(0,0,1−μ​,0), of the set on which Kμ,c(s)=0K_{\mu,c}(s)=0Kμ,c​(s)=0 and D(s)>0D(s)>0D(s)>0, with DDD and Kμ,cK_{\mu,c}Kμ,c​ given by

D(s)=(2(s02−s12)−1)2+(4s0s1)2,Kμ,c(s)=s22+s322+c(s02+s12)−1−μ2+2(s02+s12)(s0s3−s1s2)−μ(s0s3+s1s2)−μ(s02+s12)D(s).D(s)=\bigl(2(s_0^2-s_1^2)-1\bigr)^2+(4s_0s_1)^2,\qquad K_{\mu,c}(s)=\frac{s_2^2+s_3^2}{2}+c(s_0^2+s_1^2)-\frac{1-\mu}{2}+2(s_0^2+s_1^2)(s_0s_3-s_1s_2)-\mu(s_0s_3+s_1s_2)-\frac{\mu(s_0^2+s_1^2)}{\sqrt{D(s)}}.D(s)=(2(s02​−s12​)−1)2+(4s0​s1​)2,Kμ,c​(s)=2s22​+s32​​+c(s02​+s12​)−21−μ​+2(s02​+s12​)(s0​s3​−s1​s2​)−μ(s0​s3​+s1​s2​)−D(s)​μ(s02​+s12​)​.

An inhabitant carries both a phase point and proof of membership; the type may be empty, in particular when μ>1\mu>1μ>1.

IsLeviCivitaHamiltonianFlow. For every μ,c∈R\mu,c\in\mathbb Rμ,c∈R and every continuous real flow ϕ\phiϕ on the subtype Eμ,cE_{\mu,c}Eμ,c​ of phase points in the connected component, based at (0,0,1−μ,0)(0,0,\sqrt{1-\mu},0)(0,0,1−μ​,0), of {Kμ,c=0, D>0}\{K_{\mu,c}=0,\ D>0\}{Kμ,c​=0, D>0}, IsLeviCivitaHamiltonianFlow μ c φ means that for every s∈Eμ,cs\in E_{\mu,c}s∈Eμ,c​, the phase-space curve t↦ϕt(s)t\mapsto\phi_t(s)t↦ϕt​(s) is differentiable at t=0t=0t=0 with

ddt∣t=0ϕt(s)=(DKμ,c(s)[e2],DKμ,c(s)[e3],−DKμ,c(s)[e0],−DKμ,c(s)[e1]),\left.\frac{d}{dt}\right|_{t=0}\phi_t(s) =\bigl(DK_{\mu,c}(s)[e_2],DK_{\mu,c}(s)[e_3],-DK_{\mu,c}(s)[e_0],-DK_{\mu,c}(s)[e_1]\bigr),dtd​​t=0​ϕt​(s)=(DKμ,c​(s)[e2​],DKμ,c​(s)[e3​],−DKμ,c​(s)[e0​],−DKμ,c​(s)[e1​]),

where D(x)=(2(x02−x12)−1)2+(4x0x1)2D(x)=\bigl(2(x_0^2-x_1^2)-1\bigr)^2+(4x_0x_1)^2D(x)=(2(x02​−x12​)−1)2+(4x0​x1​)2 and

Kμ,c(x)=x22+x322+c(x02+x12)−1−μ2+2(x02+x12)(x0x3−x1x2)−μ(x0x3+x1x2)−μ(x02+x12)D(x).K_{\mu,c}(x)=\frac{x_2^2+x_3^2}{2}+c(x_0^2+x_1^2)-\frac{1-\mu}{2}+2(x_0^2+x_1^2)(x_0x_3-x_1x_2)-\mu(x_0x_3+x_1x_2)-\frac{\mu(x_0^2+x_1^2)}{\sqrt{D(x)}}.Kμ,c​(x)=2x22​+x32​​+c(x02​+x12​)−21−μ​+2(x02​+x12​)(x0​x3​−x1​x2​)−μ(x0​x3​+x1​x2​)−D(x)​μ(x02​+x12​)​.

The right-hand derivatives are totalized Fréchet derivatives. The declaration directly requires the trajectory derivative only at time 000, separately for every state; if Eμ,cE_{\mu,c}Eμ,c​ is empty, the universal condition is vacuous.

PeriodicOrbit. For every type XXX equipped with a topological-space structure and every real flow ϕ\phiϕ on XXX, PeriodicOrbit φ is a structure containing a point x∈Xx\in Xx∈X, a real number TTT, a proof that T>0T>0T>0, and a proof that ϕT(x)=x\phi_T(x)=xϕT​(x)=x. It does not require TTT 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 μ,c∈R\mu,c\in\mathbb Rμ,c∈R, every continuous real flow ϕ\phiϕ on the subtype Eμ,cE_{\mu,c}Eμ,c​ consisting of the connected component of {Kμ,c=0, D>0}\{K_{\mu,c}=0,\ D>0\}{Kμ,c​=0, D>0} based at (0,0,1−μ,0)(0,0,\sqrt{1-\mu},0)(0,0,1−μ​,0), and every periodic-orbit record γ\gammaγ for ϕ\phiϕ with point xγx_\gammaxγ​, positive period TγT_\gammaTγ​, and ϕTγ(xγ)=xγ\phi_{T_\gamma}(x_\gamma)=x_\gammaϕTγ​​(xγ​)=xγ​, orbitSet γ is

{ϕt(xγ)∈R4∣t∈R},\{\phi_t(x_\gamma)\in\mathbb R^4\mid t\in\mathbb R\},{ϕt​(xγ​)∈R4∣t∈R},

where subtype values are forgotten and viewed as phase points. Here D(s)=(2(s02−s12)−1)2+(4s0s1)2D(s)=\bigl(2(s_0^2-s_1^2)-1\bigr)^2+(4s_0s_1)^2D(s)=(2(s02​−s12​)−1)2+(4s0​s1​)2, and Kμ,cK_{\mu,c}Kμ,c​ is the displayed Levi–Civita formula. The set uses only γ\gammaγ’s point and the flow; the recorded period itself does not appear in its definition.

planeNormSq. For every u=(u0,u1)∈R2u=(u_0,u_1)\in\mathbb R^2u=(u0​,u1​)∈R2, planeNormSq u is u02+u12u_0^2+u_1^2u02​+u12​, which is always nonnegative.

closedUnitDisk. closedUnitDisk is the set

{u=(u0,u1)∈R2∣u02+u12≤1}.\{u=(u_0,u_1)\in\mathbb R^2\mid u_0^2+u_1^2\le 1\}.{u=(u0​,u1​)∈R2∣u02​+u12​≤1}.

openUnitDisk. openUnitDisk is the set

{u=(u0,u1)∈R2∣u02+u12<1}.\{u=(u_0,u_1)\in\mathbb R^2\mid u_0^2+u_1^2<1\}.{u=(u0​,u1​)∈R2∣u02​+u12​<1}.

unitCircle. unitCircle is the set

{u=(u0,u1)∈R2∣u02+u12=1}.\{u=(u_0,u_1)\in\mathbb R^2\mid u_0^2+u_1^2=1\}.{u=(u0​,u1​)∈R2∣u02​+u12​=1}.

DiskLikeGlobalSurfaceOfSection. For every μ,c∈R\mu,c\in\mathbb Rμ,c∈R, every continuous real flow ϕ\phiϕ on Eμ,cE_{\mu,c}Eμ,c​, and every periodic-orbit record γ\gammaγ for ϕ\phiϕ, DiskLikeGlobalSurfaceOfSection φ γ means that there exists a globally defined map p:R2→R4p:\mathbb R^2\to\mathbb R^4p:R2→R4 such that, writing B={u∣u02+u12≤1}B=\{u\mid u_0^2+u_1^2\le1\}B={u∣u02​+u12​≤1}, B∘={u∣u02+u12<1}B^\circ=\{u\mid u_0^2+u_1^2<1\}B∘={u∣u02​+u12​<1}, C={u∣u02+u12=1}C=\{u\mid u_0^2+u_1^2=1\}C={u∣u02​+u12​=1}, and Eμ,cE_{\mu,c}Eμ,c​ for the connected component based at (0,0,1−μ,0)(0,0,\sqrt{1-\mu},0)(0,0,1−μ​,0) of {s∣Kμ,c(s)=0, D(s)>0}\{s\mid K_{\mu,c}(s)=0,\ D(s)>0\}{s∣Kμ,c​(s)=0, D(s)>0}: ppp is C∞C^\inftyC∞ on BBB in the relative ContDiffOn sense; p(u)∈Eμ,cp(u)\in E_{\mu,c}p(u)∈Eμ,c​ for every u∈Bu\in Bu∈B; ppp is injective on BBB; for every u∈Bu\in Bu∈B, the totalized full Fréchet derivative Dp(u):R2→R4Dp(u):\mathbb R^2\to\mathbb R^4Dp(u):R2→R4 is injective; p(C)={ϕt(γ.point)∣t∈R}p(C)=\{\phi_t(\gamma.\mathrm{point})\mid t\in\mathbb R\}p(C)={ϕt​(γ.point)∣t∈R} as sets; for every s∈Eμ,cs\in E_{\mu,c}s∈Eμ,c​ whose phase point lies in p(B∘)p(B^\circ)p(B∘), there exists ε>0\varepsilon>0ε>0 such that for every t∈Rt\in\mathbb Rt∈R, if ∣t∣<ε|t|<\varepsilon∣t∣<ε and ϕt(s)∈p(B∘)\phi_t(s)\in p(B^\circ)ϕt​(s)∈p(B∘), then t=0t=0t=0; and for every s∈Eμ,cs\in E_{\mu,c}s∈Eμ,c​ not lying on {ϕt(γ.point)∣t∈R}\{\phi_t(\gamma.\mathrm{point})\mid t\in\mathbb R\}{ϕt​(γ.point)∣t∈R}, there exist separately a time t+>0t_+>0t+​>0 and a time t−<0t_-<0t−​<0 with ϕt+(s),ϕt−(s)∈p(B∘)\phi_{t_+}(s),\phi_{t_-}(s)\in p(B^\circ)ϕt+​​(s),ϕt−​​(s)∈p(B∘). Here

D(s)=(2(s02−s12)−1)2+(4s0s1)2D(s)=\bigl(2(s_0^2-s_1^2)-1\bigr)^2+(4s_0s_1)^2D(s)=(2(s02​−s12​)−1)2+(4s0​s1​)2

and

Kμ,c(s)=s22+s322+c(s02+s12)−1−μ2+2(s02+s12)(s0s3−s1s2)−μ(s0s3+s1s2)−μ(s02+s12)D(s).K_{\mu,c}(s)=\frac{s_2^2+s_3^2}{2}+c(s_0^2+s_1^2)-\frac{1-\mu}{2}+2(s_0^2+s_1^2)(s_0s_3-s_1s_2)-\mu(s_0s_3+s_1s_2)-\frac{\mu(s_0^2+s_1^2)}{\sqrt{D(s)}}.Kμ,c​(s)=2s22​+s32​​+c(s02​+s12​)−21−μ​+2(s02​+s12​)(s0​s3​−s1​s2​)−μ(s0​s3​+s1​s2​)−D(s)​μ(s02​+s12​)​.

The condition imposes no positive- or negative-time interior intersection requirement on states belonging to γ\gammaγ’s orbit, does not require first or unique return times, and does not otherwise use γ\gammaγ’s recorded period.

IsStrictlyConvexLevel. For every arbitrary function F:R4→RF:\mathbb R^4\to\mathbb RF:R4→R and arbitrary set S⊆R4S\subseteq\mathbb R^4S⊆R4, IsStrictlyConvexLevel F S means that for every s∈Ss\in Ss∈S and every nonzero v∈R4v\in\mathbb R^4v∈R4, if DtotF(s)[v]=0D^{\mathrm{tot}}F(s)[v]=0DtotF(s)[v]=0, then

Dtot ⁣(x↦DtotF(x)[v])(s)[v]>0.D^{\mathrm{tot}}\!\left(x\mapsto D^{\mathrm{tot}}F(x)[v]\right)(s)[v]>0.Dtot(x↦DtotF(x)[v])(s)[v]>0.

Both derivatives are Lean’s totalized Fréchet derivatives. No differentiability or twice-differentiability hypothesis on FFF is stated, and SSS is not required to be a level set, a hypersurface, nonempty, or regular; in particular, the proposition is vacuously true when S=∅S=\varnothingS=∅.

Human review
  • Flagged by Shuze Chen · Sep 10, 2026

    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 DiskLikeGlobalSurfaceOfSection in before the goal can go live:

    1. ContDiffOn ℝ ⊤ page closedUnitDisk means real-analytic on this Mathlib: the smoothness exponent is WithTop ℕ∞, ⊤ is ω, and smooth is ∞ (((⊤ : ℕ∞) : WithTop ℕ∞); see Mathlib/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 ∞.

    2. 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.

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