On the divergence of Birkhoff normal forms

Symplectic and canonical mappings (37J11) Fixed points and periodic points of finite-dimensional Hamiltonian and Lagrangian systems (37J12) Perturbations of finite-dimensional Hamiltonian systems, normal forms, small divisors, KAM theory, Arnol'd diffusion (37J40)

Abstract: It is well known that a real analytic symplectic diffeomorphism of the

2 d

-dimensional disk (

d g e q 1

) admitting the origin as a non-resonant elliptic fixed can be {it formally} conjugated to its Birkhoff Normal Form, a formal power series defining a {it formal integrable} symplectic diffeomorphism at the origin. We prove in this paper that this Birkhoff Normal Form is in general divergent. This solves, in any dimension, the question of determining which of the two alternatives of Perez-Marco's theorem cite{PM} is true and answers a question by H. Eliasson. Our result is a consequence of the fact that when

d = 1

the convergence of the formal object that is the BNF has strong dynamical consequences on the Lebesgue measure of the set of invariant circles in arbitrarily small neighborhoods of the origin. Our proof, as well as our results, extend to the case of real-analytic diffeomorphisms of the annulus admitting a Diophantine invariant torus.

Review text

The author considers real analytic symplectic diffeomorphisms of the \(2d\)-dimensional disk for \(d \geq 1\) that admit the origin as a nonresonant elliptic fixed point. It is known that such a diffeomeorphism can be formally conjugated to its Birkhoff normal form, which is a formal power series defining a formally integrable symplectic diffeomorphism at the origin. The author proves that, in general, this Birkhoff normal form is divergent. This resolves the question originally posed in [\textit{R. Perez-Marco}, Ann. Math. (2) 157, 557--574 (2003; Zbl 1038.37048)]. In his analysis the author studies real analytic diffeomorphisms defined on an open set of \(\mathbb{R}^d \times \mathbb{R}^d\) and also the \(2d\)-cylinder \((\mathbb{R} / 2\pi \mathbb{Z})^d \times \mathbb{R}^d\) for \(d \geq 1\) that are symplectic with respect to the canonical symplectic forms and leave invariant \({(0,0)}\) in \(\mathbb{R}^d \times \mathbb{R}^d\) (or, alternatively, in the torus \((\mathbb{R} / 2\pi \mathbb{Z})^d \times \{0\} \subset \mathbb{R} / 2\pi \mathbb{Z})^d \times \mathbb{R}^d\)). The invariant sets are also assumed to be elliptic equilibrium sets. Curiously, the author's main result is a consequence of something that is observed when \(d = 1\): the convergence of the formal power series that constitutes the Birkhoff normal form strongly affects the Lebesgue measure of the set of invariant circles in arbitrarily small neighborhoods of the origin. The author also extends his results to real analytic diffeomorphisms of the annulus that have a Diophantine invariant torus.

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