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Comparing the first and last lines, we get hu, vi = hAu, Avi, as claimed in the
first assertion.
For the second assertion, the geometric form of the dot product shows that the
angle between two vectors is completely determined by their dot products with
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themselves and each other. We have just shown that all of these dot products are
unchanged by A, hence the angle is unchanged.
2. We have (
1 if i = j
hAei , Aej i =
6 j;
0 if i =
Proof: Since the columns of A are Ae1 , Ae2 , Ae3 , condition 2 is just a restate-
ment of condition 1. The entry of AAT in row i column j is exactly hAei , Aej i,
so condition 3 is another way of expressing condition 2. It remains to show that
A is orthogonal exactly when condition 1 holds.
Since e1 , e2 , e3 is an orthonormal basis, the Proposition above implies that
Ae1 , Ae2 , Ae3 is also an orthonormal basis. So orthogonal matrices satisfy con-
dition 1. Conversely, suppose that Ae1 , Ae2 , Ae3 is an orthonormal basis. Let
u = (x, y, z) be any vector. Then
All the cross terms are zero, since hAei , Aej i = 0 if i 6= j. Therefore
hAu, Aui = x2 hAe1 , Ae1 i+y 2 hAe2 , Ae2 i+z 2 hAe3 , Ae3 i = x2 +y 2 +z 2 = hu, ui.
Hence A is orthogonal.
2
Examples of Orthogonal Matrices:
Example 1: A rotation about the z-axis:
cos sin 0
sin cos 0 .
0 0 1
Proof: For the first two properties, we use the characterization of orthogonal
matrices as those whose inverse equals their transpose. Thus, if we are given that
A and B are orthogonal, that means AAT = I and BB T = I, so we have
3
so AB is orthogonal. Likewise,
so A1 is orthogonal.
For the last item, recall that det(AT ) = det(A), so that
The following theorem classifies the rotation matrices and shows how to find
the axis and angle of a given rotation.
det(A) = +1.
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4. Up to sign, the angle can be computed easily from the formula:
cos = 12 [tr(A) 1] .
Proof: For item 1 we must show that any rotation is an orthogonal matrix with
determinant +1, and conversely, that any orthogonal matrix A with det(A) = +1
is a rotation. We begin with the former.
Suppose A is rotation about some axis through a vector u, by some angle
which appears counterclockwise by , as u points at us. All rotation matrices
clearly preserve the lengths of vectors, so the only question is whether det A =
1. For 0 t , let At be rotation about the same axis about the angle t,
measured as above. So A0 = I and A = A. As we vary t, the determinant is
either +1 or 1, but det At varies continuously, so it cannot jump between +1
and 1 hence must remain constant at either +1 or 1 for all t. Since det A0 =
det I = +1, we must have det(A) = det A = +1 as well.
Now suppose A is an orthogonal matrix with det A = 1. Before proving that
A is a rotation, well first show that the oddness of three (the dimension were in)
forces A to have an eigenvalue equal to 1. Using the properties of transpose and
determinant, we get
det(I A) = det(A) det(I A)
= det(AT ) det(I A)
= det(AT AT A)
= det(AT I)
= det(A I)T
= det(A I).
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By the multiplicative properties of orthogonal matrices, proved above, the ma-
trix B 1 AB is orthogonal. Moreover,
B 1 ABe1 = B 1 Au1 = B 1 u1 = e1 ,
1
so the first column of B 1 AB is 0. The first entries of the other columns are
0
orthogonal to the first column, so B 1 AB looks like
1 0 0
B 1 AB = 0 a c ,
0 b d
a c a c
and the 2 2 vectors , are orthogonal unit vectors. That means
b d b d
is orthogonal. Since
Similarly,
Au3 = bu2 + au3 .
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So A is the same rotation as B 1 AB but now in the plane spanned by u2 and
u3 , namely counterclockwise by when u1 points at us. The eigenvalues of A
are those of B 1 AB, which are 1, ei , ei . Thus we see that A is a rotation,
completing the proof of item 1, and we have also verified item 2.
It remains to prove item 3. Since the eigenvalues of A are 1, ei , ei , the
characteristic polynomial is
PA (x) = (x 1)(x ei )(x ei ) = (x 1)(x2 2 cos x + 1).
The coefficient of x2 is therefore (1 + 2 cos ). But also the coefficient of x2 is
tr(A). So 1 + 2 cos = tr(A), and item 3 follows.
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we first check that BB T = I and compute det B = 1, so that we know B is a
rotation. Then using the kernel recipe we find ker(I B) = R(1, 2, 2), which is
the axis of rotation. Next, tr(B) = 1, so
cos = 12 (1 1) = 1,
so = . Thus, B is rotation by about the line through (1, 2, 2). The reason that
= (here, as well as in Example 2) is that B = B T . For that means B 1 = B,
so B 2 = I. Any rotation 6= I whose square is I must be rotation by .
Example 7: For
1 + 12 1 12 1
1
C = 1 12 1 12 1 ,
2
1 2 1
we first check that CC T = I and compute det C = 1, so that we know C is a
rotation. Then using the kernel
recipe we find that ker(I C) = R(1+ 2, 1, 1)
6+ 2
is the axis, and tr(C) = 4 , so
2+ 2
cos = .
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Then
29
r
1
sin = 1 cos2 = 2,
4 2
so the eigenvalues (besides 1) are
29
r
2 + 2 i
ei = cos i sin = 2.
8 4 2
Note that we found the eigenvalues without ever writing down the characteristic
polynomial! But we did have to compute det(C) to make sure it was a rotation.
Using the Rotation Matrix Theorem we can find the axis and angle of any
rotation matrix we may encounter. But suppose we have a particular rotation in
mind, and we want to find the matrix that does that. In other words, suppose we
have a line L an angle . What is the matrix that rotates around L by ?
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Finding the matrix of a given rotation
Let u = (a, b, c) be a unit vector and let (0, ] be an angle. I claim that the
matrix that rotates about the line through u by the angle , measured as u points
at you, is given by
0 c b
A = I + (sin )U + (1 cos )U 2 , where U = c 0 a . (5)
b a 0
We will use the Rotation Matrix Theorem to show that A performs as advertised.
The matrix U , whose entries come from the unit vector u, satisfies
U T = U, U 3 = U, U u = 0, tr(U ) = 0, tr(U 2 ) = 2.
(6)
Using the first two facts, one can check that AAT = I, so that A is an orthogonal
matrix. To show that det(A) = 1 we use again the continuity argument from the
Rotation Matrix Theorem: Replace by a variable t [0, ] so that we have a
path of orthogonal matrices
so A rotates by , in one direction or the other. To pin that down, first recall that
a2 + b2 + c2 = 1, so c2 1. suppose c2 < 1. Then a2 + b2 > 0, so the vector
v = (b, a, 0) is nonzero and is orthogonal to u. We have
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Where does the matrix U comes from? Note that
This version is less mysterious and easier to remember, but probably equation (5)
is easier for computations. The matrix equation U 3 = U expresses the cross-
product equation
u (u (u v)) = u v,
which you can see by drawing a picture (see also exercise 17.11).
Exercise 17.1 Find the axis and angle of rotation of the following matrices.
0 1 0 0 1 0 1 2 2
(a) A = 0 0 1, (b) B = 1 0 0 , (c) C = 31 2 1 2 .
1 0 0 0 0 1 2 2 1
Exercise 17.2 Find the axis and the cosine of the angle of rotation for
2 3 3 1
1
A= 2 3 3 .
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0 2 2 3
is a rotation, find its axis of rotation, and the cosine of the angle of rotation.
Comments: (i) You can use the continuity argument to easily compute det At .
(ii) The formula for At shows how to write down lots of rotations with rational entries:
just take t to be an integer.
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Exercise 17.4 Find the matrix that rotates about the axis through u = 31 (1, 2, 2)
by the angle /4, measured as u points toward you.
Exercise 17.5 What rotation matrices do you get from the formula (5) if c = 1?
Exercise 17.7 Let Ru be the reflection matrix in formula (2), about the plane
ax + by + cz = 0, where u = (a, b, c) is a unit vector. Show that the matrix
A = Ru is a rotation and determine its axis and angle of rotation.
Hint: this can be done without writing down any matrices, and very little calculation.
Exercise 17.9 How many orthogonal matrices have all their entries integers?
How many of these are rotations? What are the axes of these rotations? The
connection between this problem and the octahedron will be discussed in class.
Exercise 17.10 Show that if A is a rotation then for any two vectors u, v we have
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Exercise 17.11 1 Let u be a unit vector in R3 .
(a) Suppose w in R3 is perpendicular to u. Show that
u (u w) = w.
u (u (u v)) = u v.
Exercise 17.12 Show directly that equation (7) gives the desired rotation, without
matrix computations. You can do this in the following steps. Prove:
(a) Au = u.
(b) For any v R3 we have hAv, Avi = hv, vi.
Hint: Use the fact that hv, u wi = hu v, wi for any three vectors u, v, w.
(c) A is a rotation about u. (Use the continuity argument.)
(d) If v is perpendicular to u then
(e) From (c) we know that A is rotation by some angle . Use (d) to show that
= .
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This problem was not on the assigned homework. It replaces the old 17.11 which duplicated
17.5.
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