581

On the derivation of the rotation

operator
A.F. Antippa

Abstract: We present a basis-independent, purely operator, derivation of the expression for

the finite-angle rotation operator about a fixed axis. The standard matrix representation of
the operator, as well as the standard vectorial expression for the related finite-angle rotation
formula, are easily recovered.

Résumé : Nous obtenons l’opérateur de rotation pour un angle fini autour d’un axe fixe par
une méthode indépendante de la base en n’utilisant que des opérateurs. Nous retrouvons
facilement la repésentation matricielle standard de l’opérateur ainsi que l’expression
vectorielle usuelle pour la rotation d’un angle fini.
[Traduit par la rédaction]

1. Introduction
The finite-angle rotation formula [1] was first derived by Euler [2] more than two centuries ago. It is
superfluous to emphasize the importance that the rotation group has acquired since then in the classical
[3] as well as in the quantum [4] theory of angular momentum; in mechanics, astronomy, and chemical
physics [5]; and naturally, in group theory. The rotation group also has practical applications in a
wide range of subjects including gyroscopes, spinning tops, molecular spectroscopy [6, 7], computer
graphics, and photogrametry [8]. Thus, any additional insight into the problem will necessarily have
widespread applications theoretically as well as practically in a variety of domains.
In this paper, we derive the finite-angle rotation operator from the generator of infinitesimal
rotations by purely operator methods. In Sect. 2 we introduce the notation. In Sect. 3 we derive,
without recourse either to coordinates or to matrix representations, the explicit expression for the
exponential of the cross product. In Sect. 4, the finite-angle rotation operator is then immediately
obtained via the well-known exponential relation between the group operators and the generators of
the corresponding lie algebra.
Notwithstanding the similarity in the methodology when it comes to evaluating the function of
an operator as compared to evaluating the function of a matrix, there still remains a conceptually and
formally important major difference between the two approaches. When the exponential of a matrix
is evaluated via its power-series expansion, the derivation goes through by using the specific charac-
teristics of the matrix. On the other hand, the operator derivation given here makes use exclusively
of the characteristics of the multiple vector product, and is an authentic representation-independent
derivation leading to an authentic abstract-operator expression.
The geometrical theory of gravitation of Einstein, and its subsequent formulation in coordinate-
independent language, has been slowly moving physics back to representation-independent formula-
tions [9]. This work is a very modest contribution in this direction.

Received January 27, 1997. Accepted March 5, 1997.

A.F. Antippa. Département de Physique, Université du Québec à Trois-Rivières, Trois-Rivières, QC G9A
5H7, Canada. Telephone: (819) 376-5107 Ext. 3574 e-mail: antippa@neptune.uqtr.uquebec.ca

Can. J. Phys. 75: 581–589 (1997) © 1997 NRC Canada

582 Can. J. Phys. Vol. 75, 1997

Fig. 1. An infinitesimal rotation by an angle _ about an axis ? passing through the origin. The radius vector
U ' UE is transformed into the radius vector U  ' UE n _ ' U n _U. The angle w between ? and U is
invariant under the rotation, and so is the length of U. The locus of the tip of the vector U describes a circle in
a plane perpendicular to ? . The change _U in the radius vector is in the direction of this tangent (the direction
of ?
f o ) and its magnitude is _U ' ot? w_w.

2. The generator of infinitesimal rotations

The change in a vector, under an infinitesimal rotation about a fixed axis, can be derived by a number
of methods and is given by ref. 10
go @ +a
q  o,g! (1)
where go is the change in the vector o, g! is the infinitesimal angle of rotation, and q a is a unit
vector along the axis of rotation.
Since qa is invariant under the rotation, then the components o n and o B of o (i.e., the components
of o that are, respectively, parallel and perpendicular to q
a ) transform differently under the rotation.
Consequently, it is expected that the projection operators parallel and perpendicular to q a do appear
n
a
(explicitly or implicitly) separately in many equations. These are given by  a @ q aqa  and aB
a @
n n
Ua  q
aq a nna as q
a  . Formally, we should write the operator  a +a
q> , where +@> K, is the scalar product
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Antippa 583

of @ and K. But we prefer the alternative notation q a +a

q,. When both vectors are the same (as in
the present case) the parentheses are superfluous and there is no ambiguity in opting for the simpler
notation q
aqa . The “comma” outside the parenthesis would have caused confusion (since it is usually
used for partial differentiation) but the “bullet” does not.
When the origin R lies on the q a axis, then each radius vector is coplanar with q
a . In this case,
the radius vectors will be spanned by a function o+u> > !, , where u is the length of the vector and
+> !, are spherical angles relative to the q
a axis serving as a polar axis as shown in Fig. 1. Since a
rotation preserves the lengths of vectors and the angle between them, then the coordinates u and 
remain constant, and consequently we will suppress them and replace o+u> > !, by o+!,.
We reserve the symbol o for a radius vector, the symbol r for a space vector, and the symbol
T for any vector quantity under rotation. For the sake of simplicity, (1) above has been written for
a radius vector. On the other hand, since every space vector can be written in a unique way as the
difference between two radius vectors, then (1) is valid for any space vector, and consequently, by
definition it is valid for any vector quantity T . Hence, for any radius vector o, any space vector r,
any vector quantity T we have

o 3 @ ^U . g!+a
q,`o> r3 @ ^U . g!+a
q,`r> dqg T 3 @ ^U . g!+a
q,`T (2)

where U is the identity operator, and the rotated vectors are primed.
If space is assumed to be isotropic and homogeneous, then knowledge of the structure of the
rotation operator for radius vectors relative to some origin R on the q a axis implies knowledge of the
rotation operator for the radius vectors relative to every other origin R3 on this same axis, as well as
relative to any other origin on any other axis. Hence, it is sufficient to define the action of the rotation
operator for the set of radius vectors relative to some origin R on some axis q a to completely define
it. As can be seen from Fig. 1, an informal proof of (1) can easily be given when o is a radius vector
and q a an axis passing through the origin. For completeness we present, in Appendix A, a formal,
purely operator, basis-independent, derivation of formula (1).
The transformation (1) has only one essential parameter !, and one corresponding generator
given by:

j qa @ q
a (3)

j qa is the generator of infinitesimal rotations about the q

a axis; it generates a one-parameter Abelian
group of infinitesimal rotations that leave the q a axis invariant. In terms of j qa , (1) and (2) can be
rewritten, respectively, as

go @ g!j qa o dqg o3 @ +U . g!j qa ,o (4)

Expression (3) for j qa has been deduced from the explicit formula for infinitesimal rotations about
q
a as given by (1). We can alternatively define j qa by the condition that the continuous linear and
homogeneous transformation that it generates via (4) leave both the scalar product and the q a axis
invariant. We can then deduce from them its explicit form as given by (3). It is this latter method
that is used in Appendix A. It constitutes the first step towards of a purely operator derivation of the
finite rotation operator.

3. Exponential of the cross product

In this section, we derive an operator identity for the exponential of the cross product. This identity
will be based on an eigenvalue equation for the generator j qa . The eigenvalue equation, in turn, is
based on identities derived from the triple vector product. Thus, the triple vector product identity is
intimately related to the finite rotation operator, and is at the heart of the present derivation.
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584 Can. J. Phys. Vol. 75, 1997

To recast the triple vector product identity

@  +K  S, @ +@  S,K  +@  K,S +8d,

into the first of the two needed operator identities, we replace @ and K by the unit vector q
a , and
replace S by an arbitrary vector r to obtain the special case:

q
a  +a
q  r, @ ^a
q+a
q  r,  r` +8e,

Since r is arbitrary, then +8e, is equivalent to the operator equation:

+j qa ,5 @ +a
q,5 @ ^a
qqa  U` +8f,

because of +8f,, the projection operators parallel and perpendicular to q

a can be rewritten in terms of
j qa as

an @ q
 aqa  @ Ua . +j qa ,5 and a B @ Ua  q
 aqa  @ +j qa ,5 +8g,
q
a q
a

The second of the two needed operator identities is obtained by replacing @ and K by q
a , and S by
?  r, in +8d,, to obtain

q
a  ^a
q  +a
q  r,` @ +4,+a
q  r, +9d,

which is equivalent to the operator identity

+j qa ,5 j qa @ +j qa ,6  +a
q,6 @ +4,+a
q,  +4,j qa +9e,

Where we have explicitly brought out the eigencharacter of the above equation. We will always
consistently use +aq,n as a short hand for +aq  +a q  +aq  +aq  ===,,,,. It is worth while noting
though, that even if +aq,n may be ambiguous when not explicitly defined, +j qa ,n is not at all
ambiguous owing to the convention for applying a product of operators. Consequently, the above
q,n is obligatory and implicit via in the definition +j qa ,n  +a
interpretation of +a q,n .
We define the operator 7 n +a
q, by

q, @ +j qa ,5n
7 n +a n @ 3> 4> 5> === +:d,

and note that Vn +a

q, satisfies the recursion relation

7 n.4 +a q,+j qa ,5
q, @ Vn +a n @ 3> 4> 5> === +:e,

subject to the initial condition V3 +a

q, @ U. Then, using the eigenequation +9e,, it is straightforward
to prove by mathematical induction that, for o  4, j oqa is an eigenoperator of 7 n +a
q, corresponding
to the eigenvalue +4,n :
q,j oqa @ +4,n j oqa
7 n +a c4 (8)
The eigenequation (8) leads to the following useful operator identities:

q,5n.4  +j qa ,5n.4 @ +4,n j qa  +4,n q

+a a n @ 3> 4> 5> 6> === +<d,

and

q,5n.5  +j qa ,5n.5 @ +4,n +j qa ,5 @ +4,n ^a

+a qqa  U` n @ 3> 4> 5> 6> === +<e,

We now have the identities needed to derive the exponential of the cross product.
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Antippa 585

Theorem 1 Let q a be a unit vector,  a scalar, I the identity operator, and j qa @ q

a. Then
hj qa @ U . +vlq,j qa . +4  frv,j 5qa +43d,
Proof: The proof of the above theorem is straight forward and proceeds according to conventional
techniques. Expanding the exponential in a Taylor series in the generator j qa , taking out the zeroth
term from the sum, separating the remaining terms into two sums: one over odd powers of j qa and
the other over even powers of j qa , and making use of the operator identities +<d, and +<e,, we obtain
%4 & % 4
&
[  5n.4 [ 3 
5n3
j q n n
h a @U. +4, j qa . 4  +4, j 5qa +43e,
+5n . 4,$ +5n 3 ,$
n@3 n @3
3

Where we have made the dummy variable substitution n$n3 @ n . 4 (in the third term on
the right) and then added and subtracted a term n 3 @ 3 (which is equal to 1) in order to start the
summation at 0. The above summations over n and n3 are the Taylor series expansions of sin and
cos, respectively, thus leading to +43d,.

4. The rotation operator

The operator qa +,, for a rotation by an angle  about the q
a axis is defined by

o+u> > ! . , @  qa +,o+u> > !, +44d,

and is related to the generator j qa by


gqa +, 
 qa +g!, @ U . g!j qa ru j qa @ +44e,
g @3
From +44d, and +44e, follows the well-known, exponential relation between the group elements and
the generators of the corresponding Lie algebra:
k   ln k  ln
 qa +, @  qa @ olp U . j qa @ hj qa (12)
n n$4 n
Having proved Theorem 1 for the exponential of the cross product, the explicit expression for the
finite-angle rotation operator about a fixed axis is, due to (12), trivially obtained as

 qa +, @ hj qa @ U . +vlq ,j qa . +4  frv ,j 5qa +46d,

Replacing j qa and j 5qa in +46d,, by their expressions as given in (3) and +8f,, and regrouping the
coefficients of the identity operator we obtain

 qa +, @ haq @ +frv ,U . +vlq ,a

q  .+4  frv ,a
qqa +46e,

Alternatively, using +8f,, we can rewrite +46d, as

 qa +, @ haq @ q
aqa  .+vlq ,a
q  +frv ,a
q  +a
q, +46f,

Since Theorem 1 was derived by purely operator methods, this amounts to a purely operator derivation
of the finite-angle rotation operator. In the limit of an infinitesimal rotation,  $ g, +46d,–+46f,
are for the finite-angle rotation operator, all reduce, as they should, to expression +44e, for the
infinitesimal-angle rotation operator.
The so-called rotation formula is the finite-angle counter part of (1). The rotation by a finite angle
 @ ! about q a , is given by [11]

o 3 @ ofrv  . +a
q  o,vlq  . q
a +a
q  o,+4  frv , +47d,
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586 Can. J. Phys. Vol. 75, 1997

Equation +47d, is written for a radius vector relative to an origin on the rotation axis, but, by identical
reasoning as that leading to (2), it is also true for any space vector r and any vector quantity T .
There are a number of different methods for deriving the rotation formula. One standard method is
geometrical (see, p. 421 of ref. 12), another method is via Rodrigue’s formula (see, p. 94 of ref. 1) ,
and still another is via spinor algebra [13].
On the other hand, having obtained the explicit expression for the rotation operator +46e,, the
rotation formula +47d, follows trivially from definition +44d, and expression +46e,:

o+! . , @  qa +,o+!, @ ^+frv,U . +vlq,a

q  .+4  frv,a
qqa ` o+!, +47e,

In the above equation, we have suppressed the coordinates u and , which are invariant under the
rotation. Since o @ o+!, and o 3 @ o+! . , we recover +47d,.
Recently Reyes [14] derived the finite-angle rotation formula +47d, about an arbitrarily oriented
rotation axis qa , from the matrix representation of the rotation operator in the special case where the
rotation axis is the } axis. The two ingredients of the derivation are +l, decomposing the radius vector
along the orthonormal triplet of unit vectors +a q> x
a> ya, where x
a and ya are defined in Fig. 1, and +ll,
making use of the vector identity +8e,.
Alperin [15], postulated the expression for the rotation formula as obtained from +46d,, and then
made use of the identity +8f, to prove that the expression satisfies the two requirements for a rotation
of three-dimensional space by a finite angle  about a fixed axis q a : (i) that it leaves the axis invariant,
and (ii) that it rotates the plane perpendicular to q
a by an angle .
Paielli [16] derived the finite-angle rotation formula by making use of the matrix representation
of +46e,. This representation was extracted from the matrix expression for the rotation formula in a
form similar to that given by Noble (see, p. 422 of ref. 12). In the present work, we derive the explicit
form of the rotation operator from the generator of infinitesimal rotations, and the matrix form used
by Paielli follows as a matrix representation of the operator in the fundamental orthonormal basis.
To recover the standard matrix representation of the rotation operator, let +a h4 > ha5 > ha6 , be an or-
thonormalized set of basis vectors,

hal  ham @ lm dqg hal  ham @ %lmn han (15)

where lm is the Kronecker delta, and %lmn is the totally antisymmetric tensor of the third rank. The
unit vector q
a is given in this basis by q
a @ ql hal .
The bases generators are the generators of infinitesimal rotations about the three basis vectors:

j 4  j ha4 @ ha4  j 5  j ha5 @ ha5  j 6  j ha6 @ ha6 

+49d,
and the vector operator $

j is defined by

$
j @ ha4 j 4 . ha5 j 5 . ha  6j 6 @ hal j l @ hal hal  +49e,

then

j qa @ q
a  @ +ql hal , @ ql +a a
hl , @ ql j l @ q $
j +49f,

We denote the matrix representing the operator M in the chosen basis by ^M`, and the column
representing the vector r by ^r`. The transpose of the matrix representing the unit vector q a is given
q`W @ +q4 > q5 > q6 , and the matrices representing the basis generators j l are given by
by ^a

^j l `mn @ ham  j l han @ ham  +a

hl  han , @ ham  +%lnp hap , @ %lnp mp @ %lmn +4:d,
©1997 NRC Canada
Antippa 587

or explicitly by
3 4 3 4 3 4
3 3 3 3 3 .4 3 4 3
^j 4 ` @ C 3 3 4 D ^j 5 ` @ C 3 3 3 D ^j 6 ` @ C .4 3 3 D +4:e,
3 .4 3 4 3 3 3 3 3

These are the standard matrix representations of the generators of infinitesimal rotations about the {,
a
|, and } axes, respectively. Since j qa @ q $j , then

q
^j qa `lm @ ^a $
j `lm @ qn ^j n `lm @ %lmn qn +4:f,

Further more
 
^a
qqa `lm @ hal  q
aqa  ham @ ql qm @ ^a q`W lm
q`^a +4;d,

that is

^a
qqa ` @ ^a q` W
q`^a +4;e,

The matrix representation of the rotation operator (using +46e,) is

^ qa +,` @ frv ^U` . vlq ^j qa ` . +4  frv ,^a

qqa ` +4<d,

Because of +49f, and +4;e,, it can be rewritten as

q
^qa +,` @ frv ^U` . vlq ^a $
j ` . +4  frv ,^a
qqa `W +4<e,

and, because of +4:f, and +4;d,, its matrix elements are given explicitly by

^ qa +,`lm @ lm frv   %lmn qn vlq  . ql qm +4  frv , +4<f,

With the matrix Q defined as Q @ ^a q $

j `, +4<e, provides the standard matrix representation of the
rotation operator. Note that in matrix form we have
3 4 3 4
3 q6 .q5 q 4 q4 q4 q5 q4 q6
Q @ ^a q$j ` @ C .q6 3 q4 D dqg ^a q`W @ C q5 q4 q5 q5 q5 q6 D
q`^a (20)
q5 .q4 3 q6 q4 q6 q5 q6 q6

5. Conclusion
We derived the explicit expression for the rotation operator and the related rotation formula by purely
operator methods. The derivation is basis independent, straight forward, and simple. The starting
point is the operator expression j qa @ q a  for the generator of infinitesimal rotations. The derivation
was carried out in the framework of three-dimensional Euclidean space, and the proof was based
on operator identities extracted form the well-known identity obeyed by the triple vector product.
Consequently, the scope of validity of these two assumptions [17, 18] determines the domain of
validity of the results. For generalizing the method and results to higher dimensions the generalization
of the triple vector product identity to higher dimensions [19, 20] may be specially useful.

References
1. L.A. Pars. A treatise on analytical dynamics. John Wiley & Sons Inc., New York. 1968. pp. 105–107.
2. L. Euler. Mecanica, sive motus scientia analytice exposita. St. Petersbourg. 1736; Theoria motus
corporum solidorum seu rigidorum. Greifswald. 1765. (Cited by L.A. Pars in ref. 1. p. 635.)

©1997 NRC Canada

588 Can. J. Phys. Vol. 75, 1997

3. C.W. Misner, K.S. Thorne, and J.A. Wheeler. Gravitation. Freeman & Co., San Francisco. 1973.
4. A.R. Edmonds. Angular momentum in quantum mechanics. Princeton University Press, Princeton, New
Jersey. 1960.
5. J. Zhou, C. Ye, and B.C. Sanctuary. J. Chem. Phys. 101, 6424 (1994); D.J. Siminovitch. J Chem. Phys.
103, 2766 (1995).
6. S. Dai. Comput.Chem. 17, 319 (1993).
7. J. Zhou, H. Gao, and B.C. Sanctuary. J. Magn. Reson. Ser. A, 101, 119 (1993).
8. T.-Y. Shih. Photogramm. Eng. Remote Sens. 56, 1173 (1990).
9. B. Schutz. Geometrical methods of mathematical physics. Cambridge University Press, Cambridge. 1995.
Preface.
10. H. Goldstein. Classical mechanics. Addison-Wesley, Reading, Mass. 1950. pp. 124–32.
11. S.D. Lindenbaum. Analytical dynamics. World Scientific, New Jersey. 1994. p.4.
12. B. Noble. Applied linear algebra. Prentice-Hall, Englewood Cliffs, New Jersey. 1969.
13. D.H. Sattinger and O.L. Weaver. Lie groups and algebras with applications to physics, gometry and
mechanics. Springer-Verlag, Berlin. 1986. p. 15.
14. W. Reyes. Nieuw archief voor wiskunde, 9, 299 (1991).
15. R.C. Alperin. College Math. J. 20, 230 (1989).
16. R.A. Paielli. J. Guid. Control Dyn. 15, 1309 (1992); R.A. Spurrier. J. Guid. Control Dyn. 17, 223 (1994);
R.A. Paielli. J. Guid. Control Dyn. 17, 223 (1994).
17. R. Shaw and F.J. Yeadon. Am. Math. Monthly, 96, 623 (1989).
18. P. Binding. Am. Math. Monthly, 98, 850 (1991).
19. A. Dittmer. Am. Math. Monthly, 101, 887 (1994).
20. J.D. O’Keeffe. Int. J. Math. Educ. Sci. Technol. bf 24, 295 (1993).
21. D.B. Lichenberg. Unitary symmetry and elementary particles. Academic Press, New York. 1978. pp. 21
and 31–34.

6. Appendix A: Derivation of the generator of infinitesimal rotations

A rotation [21] about a fixed axis in space is defined as a continuous (to eliminate reflections),
homogeneous (to eliminate translations), unitary (to leave the scalar product invariant) linear trans-
formation, that leaves any vector along the rotation axis invariant. Hence, the defining conditions for
an infinitesimal rotation about the q
a axis are

r3 @ qa +g!,r +D4d,

 qa +g!, @ U . g!j qa +D4e,

r4  j qa r5 . r5  j qa r4 @ 3 +D4f,
j qa q
a@3 +D4g,
Equation (A1d) expresses linearity and homogeneity; (A1e) expresses continuity; (A1f) expresses
unitary, and (A1g) expresses the invariance of the q
a axis. Equations (A1d) and (A1e), taken together,
lead to

gr @ g!j qa r +D5,

and (A1g) has as a nontrivial solution

j qa @ a
q +D6,

where  is an operator to be determined. Substituting the above expression for j qa in the defining
condition (A1f) leads to

r  a
qr@3 +D7d,
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and the above equation is satisfied for arbitrary r provided q

a  r is an eigenvector of :

a
q  r @ q
ar +D7e,

Since r is arbitrary, then (A4e) is equivalent to the following operator equation:

a
q @  q
a +D7f,

Substituting back into (A3), we obtain the following expression for the generator:

j qa @  q
a +D8,

The determination of the value of  comes down to determining the physical significance of g! in
(A2). The rotation angle is defined as the change in the azimuth angle ! when the rotation axis is
taken as the polar axis and the origin O is on the rotation axis. Hence, the rotation angle can be
defined as the angle between the initial and final positions of a rotated radius vector that lies in a
plane perpendicular to qa.
Let 4 be a radius vector perpendicular to q
a , then, by definition, g! is the angle between 4 and
43 , and hence

4  g4 @ 4  +43  4, @ 4  43 @ q
a 3 vlq+g!, @ q
a5 g! +D9d,

where, in the last step, we have set vlq+g!, @ g! (since g! is infinitesimal), and +3 @ , (since
the transformation is unitary). On the other hand, making use of (A2) and (A5), and the fact that
4q a @ 3, we have

4  g4 @ 4  +g!a
q  4, @ g! ^+4  4,a
q  +4  q a 5 g!
a ,4` @  q +D9e,

Comparing (A6d) and (A6e) we find that  @ 4, and consequently, owing to (A5), the expression for
the generator of infinitesimal rotations about the q
a axis is given by

j qa @ q
a +D:,

©1997 NRC Canada