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Theme 2 — Hilbert Spaces and Dirac Notation

Rotations in three-dimensional space: axis and angle

Keywords: rotation · orthogonal matrix · rotation axis · rotation angle · trace · eigenvalues · cyclic permutation

Exercise 1 : Rotations in three-dimensional space: axis and angle

A rotation in three-dimensional space is represented by a real 3×33\times3 matrix RR satisfying RTR=1R^{\mathsf T}R=\mathbf{1} and det⁡R=1\det R=1. The rotation through an angle θ\theta about the zz-axis is written

Rz(θ)=(cos⁡θ−sin⁡θ0sin⁡θcos⁡θ0001).\begin{aligned} R_z(\theta)=\begin{pmatrix}\cos\theta&-\sin\theta&0\\ \sin\theta&\cos\theta&0\\0&0&1\end{pmatrix}. \end{aligned}
Question 1
Determine the eigenvalues and trace of Rz(θ)R_z(\theta). Interpret the eigenvalue 11.

Solution
The matrix is block diagonal. The 2×22\times2 block is the rotation in the (x,y)(x,y) plane, with eigenvalues e±iθe^{\pm i\theta}, and the final entry gives the eigenvalue 11, with eigenvector ez\mathbf e_z. The trace is 1+2cos⁡θ1+2\cos\theta. The eigenvalue 11 corresponds to the rotation axis: the vectors along this axis are left invariant.

Question 2
Show that every rotation in three-dimensional space has the eigenvalue 11, that is, an axis.

Hint
Calculate det⁡(R−1)\det(R-\mathbf{1}) by writing R−1=R(1−RT)R-\mathbf{1}=R(\mathbf{1}-R^{\mathsf T}).

Solution
Using RRT=1RR^{\mathsf T}=\mathbf{1}, we write R−1=R−RRT=R(1−RT)R-\mathbf{1}=R-RR^{\mathsf T}=R(\mathbf{1}-R^{\mathsf T}). Thus

det⁡(R−1)=det⁡R det⁡(1−RT)=det⁡(1−R)T=det⁡(1−R)=(−1)3det⁡(R−1),\det(R-\mathbf{1})=\det R\,\det(\mathbf{1}-R^{\mathsf T})=\det(\mathbf{1}-R)^{\mathsf T}=\det(\mathbf{1}-R)=(-1)^3\det(R-\mathbf{1}),

since det⁡R=1\det R=1, the determinant of a transpose equals that of the original matrix, and multiplying a 3×33\times3 matrix by −1-1 multiplies its determinant by (−1)3(-1)^3. We obtain det⁡(R−1)=−det⁡(R−1)\det(R-\mathbf{1})=-\det(R-\mathbf{1}), hence det⁡(R−1)=0\det(R-\mathbf{1})=0: 11 is an eigenvalue. In odd dimension, a rotation always leaves a direction invariant; this is false in even dimension, as the plane rotation shows.

Question 3
Assume that, in a suitable orthonormal basis whose third vector lies along the axis, every rotation has the form Rz(θ)R_z(\theta). Deduce a method for obtaining the axis and angle of a given rotation.

Solution
The axis is the eigenspace associated with the eigenvalue 11, obtained by solving Rv=vR\mathbf v=\mathbf v. The trace is independent of the basis and is therefore equal to 1+2cos⁡θ1+2\cos\theta in every basis. It follows that cos⁡θ=tr⁡R−12\cos\theta=\frac{\tr R-1}{2}, which determines the angle up to its sign. The sign depends on the orientation chosen for the axis; it can be fixed by calculating the image of a vector perpendicular to the axis.

Question 4
Apply this method to the matrix

M=(001100010).\begin{aligned} M=\begin{pmatrix}0&0&1\\1&0&0\\0&1&0\end{pmatrix}. \end{aligned}

First verify that it is a rotation, and describe its action on the basis vectors.

Solution
The columns of MM are the vectors e2\mathbf e_2, e3\mathbf e_3, e1\mathbf e_1, which form an orthonormal basis: MTM=1M^{\mathsf T}M=\mathbf{1}. Expanding along the first row gives the determinant 1⋅(1⋅1−0⋅0)=11\cdot(1\cdot1-0\cdot0)=1. It is therefore a rotation. It maps e1\mathbf e_1 to e2\mathbf e_2, e2\mathbf e_2 to e3\mathbf e_3, and e3\mathbf e_3 to e1\mathbf e_1: it cyclically permutes the axes.

The equation Mv=vM\mathbf v=\mathbf v is (v3,v1,v2)=(v1,v2,v3)(v_3,v_1,v_2)=(v_1,v_2,v_3), hence v1=v2=v3v_1=v_2=v_3: the axis lies along n=13(1,1,1)\mathbf n=\frac{1}{\sqrt3}(1,1,1). The trace is zero, so cos⁡θ=−12\cos\theta=-\frac12 and θ=±2π3\theta=\pm\frac{2\pi}{3}. By symmetry, applying the rotation three times returns each axis to itself: M3=1M^3=\mathbf{1}, which is consistent with an angle of 2π/32\pi/3. Viewed from the tip of n\mathbf n, the rotation takes e1\mathbf e_1 to e2\mathbf e_2 and then to e3\mathbf e_3 in the anticlockwise direction: it is the rotation through an angle +2π/3+2\pi/3 about n\mathbf n.

Question 5
Determine the other two eigenvalues of MM and associated eigenvectors in C3\C^3. Let ω=e2iπ/3\omega=e^{2i\pi/3}.

Solution
From the preceding results, the other two eigenvalues are e±2iπ/3e^{\pm2i\pi/3}, that is, ω\omega and ω2=ω∗\omega^2=\omega^*. Seek an eigenvector of the form (1,a,b)(1,a,b) for the eigenvalue λ\lambda: the equation Mv=λvM\mathbf v=\lambda\mathbf v is (b,1,a)=λ(1,a,b)(b,1,a)=\lambda(1,a,b), hence b=λb=\lambda, a=1/λa=1/\lambda, and the condition a=λba=\lambda b gives λ3=1\lambda^3=1. For λ=ω2\lambda=\omega^2, we obtain b=ω2b=\omega^2 and a=ω−2=ωa=\omega^{-2}=\omega: the vector 13(1,ω,ω2)\frac{1}{\sqrt3}(1,\omega,\omega^2). For λ=ω\lambda=\omega, we obtain 13(1,ω2,ω)\frac{1}{\sqrt3}(1,\omega^2,\omega). Together with the vector 13(1,1,1)\frac{1}{\sqrt3}(1,1,1), these vectors form an orthonormal basis of C3\C^3: this is the three-point discrete Fourier transform, which also arises in the study of cyclic molecules. The matrix MM, which is real and orthogonal, is diagonalisable over C\C but not over R\R.