A frame-indifferent rank-one convex function in three dimensions which is not quasiconvex
Sergio Conti, Georg Dolzmann, Patrick Dondl
math.AP
Oct 22, 2026 · v1
TL;DR
The main theorems (1.1 and 2.1) were formalized in Lean 4 with Mathlib. The formalization was written entirely by Claude Opus 5.5 under author guidance.
Abstract
We construct a function $W:\mathbb{R}^{3\times3}\to\mathbb{R}$ which is frame-indifferent, $W(QF)=W(F)$ for all $Q\in\mathrm{SO}(3)$, rank-one convex, but not quasiconvex. In a neighbourhood of $\mathrm{SO}(3)$ the function is an explicit polynomial of degree four in the strain $F^TF-\mathrm{Id}$; the failure of quasiconvexity occurs at $F=\mathrm{Id}$ through a third-order mechanism of Šverák type, with test functions whose gradients are arbitrarily close to $\mathrm{Id}$. The polynomial is obtained from a geometrically linear example, a rank-one convex, non-quasiconvex quartic polynomial of the symmetric part of the gradient, by evaluating it at the strain $\frac12(F^TF-\mathrm{Id})$, adding a uniaxial prestress and a cubic correction, and enlarging the quartic term. The local function is extended to all of $\mathbb{R}^{3\times3}$ by adding a frame-indifferent polyconvex function which vanishes near $\mathrm{SO}(3)$. This work was carried out with the assistance of the AI model Claude Opus 5.5; the proofs of the main results have been formally verified in Lean 4.
Problem
Morrey's question asks whether rank-one convexity implies quasiconvexity. Šverák's counterexample is not frame-indifferent, and no frame-indifferent (elasticity-compatible) counterexample in three dimensions was known.
Approach
A geometrically linear quartic polynomial of the symmetric gradient is shown to be rank-one convex but not quasiconvex via a third-order Šverák-type mechanism. It is lifted to the nonlinear setting by evaluating at the strain (F^TF - Id)/2, adding a uniaxial prestress and a cubic correction, and enlarging the quartic term. The local function is extended globally by adding a frame-indifferent polyconvex function vanishing near SO(3). The proofs were formalized in Lean 4 with Mathlib by the AI model Claude, and the authors checked the formal statements.
Results
The construction gives a smooth frame-indifferent function on 3x3 matrices that is rank-one convex but not quasiconvex, with failure at the identity. A linearized analogue invariant under skew-symmetric perturbations is also obtained. Both main theorems are machine-checked in Lean 4.