clopen.solutions

Proof of the Planar Pólya–Szegő Buckling Conjecture

AI-Verified

Quanyu Tang; Haiqi Zhang

We prove the planar Pólya–Szegő conjecture for the first clamped buckling eigenvalue. Our main result establishes the sharp comparison

Λ₁(Ω) ≥ (j₁,₁²/j₀,₁²) λ₁ᴰ(Ω)

for every planar open set Ω of finite positive area, where Λ₁ denotes the first buckling eigenvalue and λ₁ᴰ the first Dirichlet eigenvalue. The comparison constant is optimal and is attained on disks.

Combined with the Faber–Krahn inequality, this yields

|Ω| Λ₁(Ω) ≥ π j₁,₁²,

with equality if and only if Ω is an open disk. The result requires no assumptions on topology or boundary regularity and no sign assumption on a first buckling eigenfunction.

An independent Lean 4 formalization of the main results, developed from the authors' original informal proof, is publicly available and registered in the Palomar Registry (PALOMAR-2026-10-18-000008, version 1).

This submission claims a complete resolution of OP-00281, the planar Pólya–Szegő conjecture for the first buckling eigenvalue.

An independent Lean 4 formalization of the main mathematical results, developed from the authors' original informal proof, is publicly available at:

https://github.com/QuanyuTang/polya-szego-planar-unconditional-palomar

The formalization has been registered in the Palomar Registry (entry PALOMAR-2026-10-18-000008, version 1):

https://palomar-registry.org/entry?id=PALOMAR-2026-10-18-000008&version=1

The Lean formalization is not a line-by-line transcription of the informal proof. No Lean bundle is attached to this submission; the complete verified formalization and its reproducibility information are available through the links above.

Claims

SOLUTION CLAIMED OP-00281 — Pólya–Szegő conjecture for the first buckling load
Full resolution · fidelity not yet established

Files and sources

Paper
PDF
Sources
archive PS_dim2_v5.tex
Announced
18 October 2026

Automated review AI-Verified

Before this version was announced, three automated referees read its source, each with a different brief. What follows is model output, published as written: advisory, possibly wrong, and not a check of the proof. It changes no problem's status. That is what Lean verification and human review are for.

Produced by claude-fable-5-1 with prompt version v2-ece686ee89be, 18 October 2026.

The argument and the results it rests on

The paper proves Λ₁(Ω) ≥ (j₁,₁²/j₀,₁²)λ₁ᴰ(Ω) for all planar open sets of finite measure via a pointwise calibration: F = |∇U| f(U/|∇U|) is shown to satisfy ∫|∇F|² − λ∫F² ≤ K(∫|ΔU|² − ∫|∇U|²) by adding two divergence-free corrections and reducing to positive semidefiniteness of a 3×3 matrix M whose kernel contains the disk profile. I verified the chain-rule and divergence algebra of Proposition 7.2 (the coefficients of X², XY, Y², XP, YP, P², Z² match a, d, K, L_A, L_C, H and 2K−g²−d exactly), the identities (2.3)–(2.4), G = r²(V − KA_r), (Gode), (bidentity), all three kernel identities, the quadratic-form factorization, the endpoint values and expansions at r=0 and r=k, the Wronskian arguments giving z>0, g>0, g²+z²<K, the Sturm-type argument for z > φ/σ, the residue computation for [r^{2m}]G and the sign condition for its summands, Lemma 6.7 via Σ(b)=1/b, and the final chain d < (4K/3k)(k−r) < 2√K z, d² < 4K(K−g²). A numerical spot check at r=2 shows the matrix condition holds with a wide margin in the interior; it is tight only at the endpoints, where the analytic expansions confirm it. The regularity treatment of the nodal and critical sets, the H¹₀ membership of F, and the a.e.-versus-open-set equality discussion (Lemma 7.1 using H² point evaluations) are correct. I found no fatal or serious error. The objections are minor: Faber–Krahn in the generality used is attributed only to the 1920s papers; several closed-form one-variable identities are asserted without derivation; the decisive constant bounds rest on a tabulated 8-digit numerical computation that the paper does not present as computer-assisted; and the formal-verification claim is unverifiable and should carry no weight. A careful reader should concentrate on reproducing the identities of Sections 3–4 and the Appendix table.

minor · Invoked result: doubtful attribution
Section 7, proof of Corollary 1.3 (cor:area), and Introduction; citations [Faber], [Krahn]

The Faber–Krahn inequality |Ω|λ₁ᴰ(Ω) ≥ π q² holds for every open set of finite positive area, and 'its equality characterization gives a disk B of area |Ω| such that Ω and B agree almost everywhere'.

The only sources cited are Faber (1923) and Krahn (1925). Neither treats arbitrary open sets of finite measure with H¹₀ defined as the closure of C_c^∞, nor the almost-everywhere rigidity in the equality case (which in the modern literature rests on Brothers–Ziemer-type rigidity for the Pólya–Szegő inequality and is stated as 'Ω is a ball up to a set of zero capacity'). The statement used is true and standard, and the paper correctly isolates the a.e.-versus-open-set distinction in Lemma 7.1, but the result should be stated precisely and attributed to a source that actually proves it in this generality (e.g. Henrot's monograph or Kesavan).

minor · Argument
Section 3 (Lemma 3.3, cv:system), Section 4 (Proposition 4.3, formulas for 𝒱, η′ and (ph:Vprime)), Section 4.3 (values 𝒱(0+) and 𝒱(k−)), Section 5 (expansion of h₀ and c_ψ), Section 2.5 endpoint expansions

Several closed-form identities are asserted as the outcome of 'direct differentiation' or 'direct expansion', e.g. f_tt = (p³/S²)[a₀φ − cz − (p/r²)g], 𝒱′ = −(cp/ρ²)(1−2η)² + (2/r)[(ηc_θ − s_θ/r)² − η²s_θ²], and 𝒱(k−) = 1/4 − 1/k².

These identities carry the one-variable inequalities on which positivity of M depends, but their derivations are omitted. I was able to reproduce the Riccati identities (2.3)–(2.4), (Videntity), (Gode), (bidentity), the three kernel identities of Proposition 2.4, the divergence algebra of Proposition 7.2 (the coefficient match with M is correct), S′+S/r = p(u/r²−c), the endpoint values G(0)=2λ−K, G(k)=0, G_r(k)=−2K/(3k), [r²]G, and the expansions of g, z, b at r=k; the remaining asserted formulas (notably (ph:Vprime), the formula for 𝒱 in terms of η, the bracket evaluation in Lemma 3.3, and the δ³-order computation behind 𝒱(k−)) I could not fully reproduce from the text. A reader can in principle check them by computer algebra, but the paper should supply the intermediate steps or an explicit reference to a verification script.

minor · Argument
Appendix A, table (subm:rational-record) and Lemma A.3 (gm:coarse); Lemma 6.3 (gm:residuepositive)

Integers A,B are given with A/10⁸ < S_{ν,31}(x) < S_{ν,30}(x) < B/10⁸ at fourteen rational points; from these follow K > .654, B(κ₃) > .634, B(q₂) < .640, J₁(q₂)² < .116, and the final margin 3L(κ_n) − φ(κ_n)φ_r(κ_n) > 431/250000.

The positivity of all Taylor coefficients a_m of −G (hence concavity of G, hence d>0 and the bound d<2G) hinges on the margin 431/250000 ≈ 0.0017, and the inputs are tight: K ≈ 0.65444 against the bound .654, B(κ₃) ≈ 0.6343 against .634. The tabulated 8-digit values of 31-term partial sums are asserted ('obtained by substitution') and cannot be checked by hand; the proof is therefore computer-assisted at this point without the paper saying so or providing the computation. My own rough evaluation agrees with the stated values, and the argument is logically correct given them, but the registry should treat these table entries as requiring independent recomputation.

minor · Scope
Abstract and Introduction, subsection 'Lean formalization'

'An independent Lean 4 formalization of the main results ... is publicly available and registered in the Palomar Registry (PALOMAR-2026-10-18-000008)', including 'separate proofs of the Faber–Krahn inequality, its equality characterization'.

This claim cannot be checked from the submission, and the paper itself concedes the formal development 'is not a line-by-line transcription' and verifies 'the stated mathematical results, rather than ... every individual step of the informal proof'. A formalization of Faber–Krahn with equality case, Bessel-zero localisation and the residue argument of Section 6 would be far beyond existing library coverage, so the claim is extraordinary. It should carry no evidential weight in assessing the informal proof, which must stand on its own.

Scope

Scope check. The registered problem asks whether |Ω|Λ₁(Ω) ≥ πj₁,₁², i.e. Λ₁(Ω) ≥ Λ₁(B), for every smooth bounded planar domain, with no sign condition on the eigenfunction. Corollary 1.3 states exactly this inequality for every planar open set of finite positive area, using the standard H₀² closure definition. That class contains all smooth bounded domains, and the direction and constant are right since Λ₁(B_R)=j₁,₁²/R². The result is unconditional. It follows from Theorem 1.2, Λ₁ ≥ (j₁,₁/j₀,₁)² λ₁ᴰ for all such open sets, combined with the Faber–Krahn inequality, which is standard in the needed generality. The proof of Theorem 1.2 uses only compactly supported test functions and imposes no positivity on eigenfunctions. The test-function map F = P f(U/P) is explicitly built to handle nodal and critical sets. I did not verify the one-variable Bessel estimates; that is the other referee's brief. A structural reading finds no hidden hypothesis or case restriction: - the pointwise identity behind the reduction to a 3×3 matrix is consistent; - the kernel and reduction logic is sound; - the scaling in the proof of Theorem 1.2 is correct; - the numerical constants I spot-checked (K≈0.654, λ≈0.394, 2λ−K>0, 2λ−λ²−K<0) are consistent; - the comparison constant is plausible against known examples (square ≈2.65, thin strips →4, versus 2.539). The claim type 'full resolution' therefore fits the stated theorems, if the proofs are correct. Three minor points: - the Faber–Krahn equality characterization for arbitrary open sets is attributed to Faber and Krahn, which matters only for the extra equality statement; - the Lean formalization claim does not certify the written proof, by the authors' own account; - the central algebraic identity should be written out in full.

minor · Invoked result: doubtful attribution
Section 7, proof of Corollary 1.3 (equality case)

"The Faber--Krahn inequality \cite{Faber,Krahn} gives |Ω|λ₁ᴰ(Ω) ≥ πq² for every open set of finite positive area... Its equality characterization gives a disk B of area |Ω| such that Ω and B agree almost everywhere."

Faber's and Krahn's original papers do not treat arbitrary (possibly unbounded, irregular) open sets of finite measure, and they do not give the measure-theoretic equality characterization used here. The inequality for general open sets is standard via Schwarz symmetrization. The rigidity statement (equality forces Ω to coincide with a disk up to a null or capacity-zero set) is a later and more delicate result. The paper should state it precisely and cite an appropriate source. This affects only the 'equality iff open disk' part of Corollary 1.3, not the inequality the registered problem asks for.

minor · Scope
Introduction, 'Lean formalization' subsection; abstract

The abstract says an independent Lean 4 formalization of the main results is publicly available and 'verified and registered in the Palomar Registry'. The paper itself says the formalization 'is not a line-by-line transcription' and 'establishes the stated mathematical results, rather than verifying every individual step of the informal proof presented here'.

Nothing in the submission lets a reader check that the Lean statements match Theorem 1.2 and Corollary 1.3, including the H₀^m closure definitions, the Faber–Krahn input and the equality rigidity. By the authors' own description, the formalization does not certify the argument written in this paper. The curator should evaluate the resolution claim on the informal proof alone. The abstract's wording should not be read as an endorsement of that proof.

minor · Argument
Proposition 6.2 (functional inequality), central algebraic identity

"Adding these two expressions to K(|D²U|²−P²)−(|∇F|²−λF²) produces exactly (X,Y,P)M(s)(X,Y,P)^T+(2K−g²−d)Z²."

This identity carries the entire reduction from the PDE inequality to one-variable Bessel estimates, but it is asserted without the expansion. I checked the structure on reading. ∇F = z∇U + g∇P gives |∇F|² = (zP+gX)²+g²Z². The cofactor divergence gives (2G−sG_s)(XY−Z²)+PG_sY. The resulting coefficients do match a, d, L_A, L_C, H and the Z² term. The parity relation M(−s)=DM(s)D is also consistent with f, G even and b odd. The P b(s)∇U divergence and the full assembly should still be written out, since the whole claim rests on them.

No verification run is on record for this version.