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LINEAR ALGEBRA
The answers to all odd-numbered exercises appear in the back o f the book. An In-
structor's Solutions Manual (ISBN: 0-13-229655-1), containing answers to all
even-numbered exercises and sol utions to all theoretical exercises, is available (to
instructors only) from the publi sher.
PRESENTATION We have learned from experience that at the sophomore level, abstract ideas must
be introduced quite gradually and must be based on firm foundations. Thus we
begin the study of linear algebra with the treatment of matrices as mere arrays of
numbers that arise naturally in the solution of sys l ~ms o f linear equations, a prob-
lem al ready familiar to the studen1. Much al1cntion has been devoted from one
edition to the next to refining and improving the pedagogical aspects of the exposi-
tion. The abstract ideas are carefully balanced by the considerable emphasis on the
geometrical and computational aspects o f the subject. Appendix C, Illt roductioll
to Proofs can be used 10 give the studcnt a quick introduction 10 the foundations o f
proofs in mathematics. An expanded version o f this material appears in Chapter 0
of the Student Solutions Manual.
MATERIAL COVERED [n using this book, for a one-quaner linear algebra course meeti ng four times a
week, no difficulty has been e ncountered in covering eigenvalues and eigenvectors,
omil1ing thc optional matcrial. Varying the amount oftimc spent on the thcoretical
material can readily change the level and pace of the course. Thus, the book can
be used to teach a num ber of different types o f courscs.
Chapter I deals v.-ith matrices and their propcnies. In this chapter we also
provide an carly introduction to matrix transformations and an application of thc
dot product to statistics. Methods for solving systems o f lincar equations are dis-
cussed in Chapter 2. Chapter 3 introduces the basic properties of determinants
and some of their applications. In Chapter 4, we corne to a more abstract notion,
rcal vector spaces. Here we tap some o f the many geometric ideas that arise nat-
urally. Thus we prove that an II -dimensional, real vector space is isomorphic to
R", thc vector space of all ordered n-tu ples of real num bers. or the vector space
of all II x I matrices with real entries . Since R" is but a slight generalization of
R2 and R3. two- and three-dimensional space are discussed at the beginning of
the chapter. This shows that the notion of a finit e-dimensional. real vector space
is not as remote as it may have seemed when first introduced. C hapter 5 cov-
ers inner product spaces and has a strong geometric orientation. Chapter 6 deals
with matrices and linear transformations: here we consider the dimension theo-
rems and also appl ications to the solution of systems of linear equations. C hapter
7 considers eigenvalues and eigenvectors. In this chapter we completely solve the
diagona[ization problem for symmetric matrices. Chapter 8 (optional) p re~e n ts
an introduction to some applications of e igenvalues and eigenvectors. Section 8.3,
DOll/inalll Eigellvalue and Principal Compollent Analysis, hi ghlights some very
useful results in linear algebra. 11 is possible to go from Section 7.2 directly to
Section 8.4. Differelllial Equations. showi ng how linear algebra is used 10 solve
differcntial equations. Section 8.5. Dynamical Sy.flem.\· gives an application of lin-
ear algebra to an imponant area o f modern applied mathematics. In this chapter we
also discuss real quadratic fornl s, conic sections. and quadric surL1ces. Chapter
9. M ATLAB for Linear Algebra, provides an introduction to M ATLAB . Chapter
10. MATLAB Exercises. consists of [47 exercises that are designed to be solved
xiv Preface
using MATLAB. Appendix A reviews some very basic material dealing with sets
and functions. It can bc consulted at any time as needed. Appendix B, on com-
plex numbers, introduces in a brief but thorough manner complex numbers and
their use in linear algebra. Appendix C provides a brief introductio n to proofs in
mathematics.
MAnAS SOFTWARE The instructional M-filcs that have been developed to be used for solving thc ex-
ercises in thi s book, in particular those in Chapter 9, are available o n the follow-
ing website: ww w.prenhall.comlkolman. These M-files arc designed to transform
many of MATLAB'S capabilities into courseware. Although the computational
exercises can be solved using a number of software packages, in our judgment
MATLAB is the most suitable package for this purpose. MATLAB is a versatile
and powerful soft ware package whose cornerstone is its linear algebra capabili-
ties. This is done by providi ng pedagogy that allows the student to interact with
MATLAB. thereby letting the student think through all the steps in the solution
of a problem and relegating M ATL AB to act as a powerful calcu lator to relieve the
drudgery of tedious computation. Indeed, this is the ideal role for MATLAB (or any
other simi lar package) in a beginning linear algebra course, for in this course, more
than many others, the tedium of lengthy computatio ns makes it almost impossible
to solve a modest-size problem. Thus, by introduci ng pedagogy and reining in
the power of MATL AB, these M-files provide a working partnership between the
student and the computer. Moreover. the intrcxluction to a powerfu l tool such as
M ATLAB early in the student 's college career opens the way for other software
support in hi gher-level courses, especially in science and engineeri ng.
MATLAB incorporates professionally developed quality computer routines for
linear algebra computation. The code employed by M ATL AB is wrillen in the C
language and is upgraded as new versions of MATL AB arc released. MATLAB
is available from The Math Works Inc., 3 Apple Hi ll Dri ve, Natick, MA 01760,
e-mail: info@mathworks.com. [508-647-70001. The Student version is available
from The Math Works at a reasonable cos\. This Sllldent Edition of MATLAB
also includes a version of Maple™, thereby providing a symbolic computational
capability.
STUDENT SOLUTIONS The Student Solutions Manual (ISB N: O-13-229656-X), prepared by Denni s R.
MANUAL Kletzi ng, Stetson Uni versity, contains sol utions to all odd-numbered exercises,
both nu merical and theoretical.
ACKNOWLEDGMENTS We arc pleased to express our thanks to the following reviewers of the first eight
editions: the late Edward Norman. University of Central Florida; the late Charles
S. Duris, and Herbert J. Nichol, both at Drexel University; Stephen D. Kerr, We-
ber State College; Norman Lee, Ball State University; William Briggs, University
of Colorado: Richard Roth. Uni versity of Colorado; David Stanford , College of
William and Mary; David L. Abrahamson, Rhode Island College; Ruth Berger,
Memphis State University; Michael A. Geraghty, University of Iowa; You-Feng
Lin. University of South Florida; Lothar Redlin, Pennsy lvania State University,
Abington; Richard Sot, University of Nevada, Reno; Raymond Southworth, Pro-
fesso r Emerillls, College of William and Mary ; 1. Barry TUTen , Oakland Univer-
sity : Gordon Brown, University of Colorado; Mall Insall, Uni versity of Mis;ouri
Preface xv
B.K.
D.R.H.
This page illlenriollally left blank
THE
This course may be unlike any other mathematics course thaI you have stud ied
thus far in at least two important ways. First, it may be you r initial introduction
to abstraction. Second, it is a mathematics course that may well have thc greatest
impact on your vocation.
Unlike other mathematics courses, this course will not give you a toolkit o f
isolated computational techniques for solvi ng certain types of problems. Instead.
we will develop a core of material called linear algebra by introducing certain def-
initions and creating procedures fo r determining properties and proving theorems.
Proving a theorem is a "kilt that lakes time to master, so we will develop your skill
al proving mathematical results very carefully. We introduce you to abstraction
slowly and amply illustrate each abstract idea with concrete numerical examples
and applications. Although you will be doing a lot of computations, the goal in
most problems is not merely to get the "right" answer. but to understand and be
able explain how to get the answer and then interpret the result.
Linear algebra is used in the everyday world to solve problems in other areas
o f mathematics. physics. biology, chemi stry. engineering, statistics. economics, fi-
nance. psychology, and sociology. Applications that use linear algebra include the
transmission of information, the development o f special effect s in film and video.
recording of sound, Web search e ngines on the Internet, global positioning system
(GPS) and economic analyses. Thus, you can see how profoundly linear algebra
affects you. A selected number of applications are included in this book, and if
there is enough time, some of these may be covered in your course. Additionally,
many of the applications call be used as sel f-study projects. An extensive list of
;Jrplic:lIions npPC;Jrs in thc front insiflc COVC L
T here arc four different types of exercises in this book. First, there are com-
putational exercises. These exercises and the numbers in them have been carefull y
chosen so that almost all of them can readily be done by hand . When you use
linear algebra in real applications, you will lind that the problems are much bigger
in size and the Ilumber,; that occur in them arc not always "nice." Thi s is not a
problem because you will almost certainly use powerful software to solve them. A
taste of this type of software is provided by the third type of exercises. These are
exercises designed to be solved by using a compmer and M AT LAB TM, a powerful
matrix-based application that is widely used in industry. The second type of ex-
ercises are theoretical. Some o f these may ask you to prove a result or discu;s an
idea. The fourth ty pe of exercises are discussion exercises, which can be used as
group projects. In today's world, it is not enough to be able to compute an answer;
you o fte n have to prepare a report di scussing your solution, justifyi ng the steps in
your solution. and interpreting your results. These types o f exercises will give you
experience in writing mathematics. Mathematics uses words. not just symbols.
xvii
xviii To the Student
Linear Equations
and Matrices
which expresses the real or complex quantity b in tcrms of the unknowns X I , X2,
.. • , X" and the real or complex constants (II. (12 • ... • (In, is called a linear equa-
tion. In many applications we are given b and must find numbers Xl. Xl . ... . X"
satisfying (I).
A solution to Iinea.r Equation (I) is a sequence of /I numbers SI.,f2.. .,f".
which has the propeny that ( I) is satisfied when XI = ,fl, -'"2 = S2, . .. ,X" = s" are
substituted in (1). Thus XI = 2, X2 = 3. and XJ = - 4 is a solution to the linear
equation
because
6(2) - 3(3) + 4( - 4) ~ - 13.
More generall y, a system of III linear equations in /I unknowns, Xl, -'"2 .. . .. X".
or a linear system, is a set of III linear equations each in n unknowns. A linear
NOIe: Appendix A revitws some \"Cry basic material dealing witll sets and functions. It rail be
consulted at any time. as needed.
I
2 Chapler 1 Linear Equations and Matrices
(2)
I.n (2) the (Ii) are known constants. Given values of hi. h 2 • ...• h",. we want to find
values of XI. X2 . .. .. x " that will satisfy each equation in (2).
A solution to linear system (2) is a sequence of 1/ numbers SI. S2. . . SII'
which has the property that each equation in (2) is satisfied when XI = .1"1. X2 = .\·2 ,
.... x" = .f" are substituted .
If the linear system (2) has no solution, it is ~aid to be inconsistent: if it has
a solution. it is called consistent. If b l = h2 = = b", = 0, then (2) is
called a homogeneous system. Note that XI = x? = = x" = 0 is always
a solution to a homogeneous system; it is called the trivial solution. A solution
to a homogeneous system in which not all of XI. X2 • ... • XII are zero is called a
nontrivial solution.
Consider another system of r linear equations in 1/ unknowns:
We say that (2) and (3) are equivalent if they both have exactly the same solutions.
The linear system
EXAMPLE 1
XI - 3X2 = - 7
(4)
2xI + X2 = 7
8x, - 3X2 = 7
3x, - = 0
2tl (5)
IOXI - 21:2 = 14
also has only the solution XI = 2 and X2 = 3. Thus (4) and (5) are equivalent. •
To find a solutio n to a linear system, we shall use a technique called the
method of elimination: that is, we eliminate some variables by adding a multiple
of one equation to another equation. Eliminatio n merely amounts to the develop-
ment of a new linear system that is equivalent 10 the original system, but is much
simpler 10 solve. Readers have probably confined their earlier work in this area to
1.1 Systems of linear Equations 3
linear systems in which III = II. that is, li near systems having as many equations
as unk nowns. In this course we shall broaden our outlook by dealing with systems
in which we have 11/ = n, 11/ < II. and 11/ > n. Indeed. there are numerous applica-
tions in which III i= II. If we deal with two, three, or four unknowns, we shall often
write them as x, y, Z, and w. In this section we use thc method of eliminatio n as it
was studied in high school. In Section 2.2 we shall look at this method in a much
more systematic manner.
The director of a trust fund has $100.000 to invest. The rules of the trust state
EXAMPLE 2
that both a certificate of deposit (CD) and a lo ng- te rm bond must be used. The
director's goal is to have thc trust yield $7800 on its investments for the year.
The CD chosen returns S% per annum. and the bond 9% . The director determines
the amount x to invest in the CD and the amount y to invest in the bond as follow s:
Since the total inve:;tment is $100,000, we must have x +)' = 100.000. Since
the desired return is $7800. we obtain the equation O.OSx + 0.09)' = 7800. Thus,
we have the linear system
x + )' = 100.000
(6)
O.OSx + 0 .09)" = 7800.
To eliminate x, we add (-O.OS) times the first equation to the second, obtaining
0.04)' = 2800.
x = 30.000.
Agai n. we decide to eliminate x. We add (-2) times the fi rst equation to the
second one, obtai ning
0 = 21.
which makes no sense. This means that (7) has no solutio n: it is inconsistent We
could have come to the same conclusion from observing that in (7) the left side of
the second equation is twice the len side of the fi rst equatio n, but the right side of
the second equation is not twice the ri ght side of the fi rst equation . •
4 Chapler 1 Linear Equations and Matrices
To eliminate x, we add (- 2) times the first equation to the second one and (- 3)
times the fi rst equation to the third one, obtaini ng
- 7)' - 4 z= 2
(9)
- 5)' - IOz = - 20.
Th is is a system of two equations in the unknow ns.v and z. We multiply the second
equation of (9) by (- tl. yieldi ng
- 7y - 4z= 2
)' + 2z = 4,
which we write. by interchanging equations. as
y + 2z= 4
( 10)
- 7y - 4z= 2.
We now eliminate y in ( 10) by adding 7 times the first equation to the second one,
to obtai n
10z = 30.
z= 3. ( II )
Substituting this value of z into the first equation of (10), we find that y = - 2.
Then substituting these values of y and z into the first equation of (8), we find that
x = I. We observe further that our elimi nation procedure has actually pnxluced
the linear system
x + 2y + 3:; = 6
)' 1 2;: = 4 (12)
:; = 3,
obtained by using the first equations of (8) and (10) as well as (II). The importance
o f this procedure is thaI, although the linear systems (8) and (12) are equi valent.
(12) has the advantage that it is easier to solve. •
Eliminating x, we add (-2) times the first equation to the second equation to get
-3)' + 3z = [ 2. ( 14)
)' =z - 4.
where z can be any real number. The n from the fi rst equation of ( [ 3),
x = -4 - 2y + 3;:
= - 4 - 2(z - 4) + 3z
= z + 4.
Thus a solution to the linear system (13) is
x = z +4
Y= z- 4
z = any real number.
This means that the linear system (13) has infinitely many solutions. Evcry time
we assign a value to z we obtain another solution to ( 13). Thus, if z = I, then
x = 5. y = - 3. and
.r = 2, y = - 6. and z = -2
is another solutio n.
•
These examples suggest that a li near system may have a unique solution, no
solution, or infi ni tely many solutions.
Consider next a li near system of two eq uations in the unknowns x and y:
(JIX + (J2)' = el
(15)
blx + b 2)' = C2 ·
The graph o f each o f these equations is a straight line. which we denote by il and
£2, respectively. If x = .\'1,)' = .f! is a solution to the linear system (15). then the
point (.1'1. S2) lies on both lines i l and i 2 . Conversely, if the point (.fl. Sl) lies on
both li nes i l and £2, then x = .1"[, )' = .\. ! is a solution to the linear system (15).
Thus we are led geometrically to the same three possibilities mentioned previously.
See Figure I. [.
Next. consider a linear system o f three equations in the unknowns x. y, and z:
The graph of each o f these equations is a plane. denoted by PI. P2, and P3, re-
specti vely. As in the case of a linear system of two equations in two unknowns.
6 Chapler 1 Linear Equation s and Matrices
I,
I,
- 7"+---'__- < ---\1--\--" ---+7"'---- "
I, I,
FIGURE 1. 1
the linear system in (16) can have infini tely many solutions, a unique solution, or
no solution. These situations are illustrated in Figure 1.2. For a more concrete
ill ustration of some of the possible cases, consider that two intersecting walls and
the ceiling (planes) of a room intersect in a unique point, a corner of the room,
so the li near system has a unique solution. Next, think of the planes as pages of
a book. Three pages of a book (held open) intersect in a straight line, the spine.
Thus, the linear system has infi ni tely many solutions. On the other hand, when the
book is closed, three pages of a book appear to be parallel and do not intersect, so
the linear system has no solution.
p,/ P,
V
./
p;/
FIGURE 1.2
by
1.1 Systems of linear Equations 7
Suppose that the ith equation of the linear system (2) is multiplied by the nonzero
EXAMPLE 6
constant c. producing the linear system
(lIIXI + {/12X2 +
anxi + {/ 22 X l +
(17)
If XI = .f1 • ..I:2 = .f2 . . . . . x" = .1'" is a solution to (2), then it is a solution to all the
equations in (17), except possibly to the ith equation . For the ith equation we have
c(a jl S1 + (/i2.f2 + ... + (linS,,) = Cbi
Similarly, the number of hours that machine Y will be used is 60, so we have
This li near system has infinitely many solutions. Followi ng the method of
Example 4, we sec that all solutions are given by
20 - x]
XI = --2--
X2 = 20 - X3
since we must have X I ::: 0 ,","2::: 0, and X3 .:::. O. When x ] = 10, we have
= 5. X2 = 10, x ] = 10
"
while
x, ~
" X2 ~ 13, x] ~ 7
"
when X 3 = 7. The reader should observe that o ne solution is just as good as the
other. There is no best solution un less addi tional infonnation or restrictions are
given. •
As you have probably al ready observed, the method of eli mination has been
described, so far, in general terms. Thus we have not indicated any rules for select-
ing the unknowns to be eliminated . Before providing a very systematic descrip-
tion of the method of elimi nation, we introduce in the next section the notion of
a matrix. This will greatly simpli fy our notational problems and will enable us to
develop tools 10 solve many imponant applied problems.
Key Terms
Linear equation Consistent system Unique solution
Solulion of a linear equation Homogeneous system No solution
Li near system Trivial solution Infinitely many solutions
Unknowns Nontri vial sol ution Manipulations on linear systems
Inconsistent system Equivalent systems Method of elimination
M.M Exercises
/ p, / avai lable 16 !lours per day, how many tons of eac h type
/ p,
/ p,
(,)
/
/ OJ1':
(b)
P,
of de\'elopcr can be p-oduced so that the plants are fu ll y
U."ed?
34, Suppose that the three points ( I . - 5). (- I. I) . and (2. 7)
lie on the parabola pel) = (I.r 2 + bx + c.
(a) Determine a linear system of thre e equations in three
unknowns that must be solved to find {/. h. and Co
m Matrices
If we exami ne the method of elimination described in Section 1.1, we can make Ihe
following observation: Only the numbers in front oftn e unknowns XI, X2, . . . , x"
and the numbers hi. b 2 • ...• b m on the right side are being changed as we perform
the steps in the method of elimination. Thus we might think o f looking fo r a way
of writing a linear system without having to carry along thc unknowns. Matrices
enable us to do this- that is, to write linear systems in a compact form that makes
it easier to automate Ihc elimination metho d by using computer software in orde r
to obtain a fast and efficient procedure for findin g solutions. The usc o f matrices.
however, is not merely that of a convenie nt notation. We now develop operations
on matrices and will work with matrices according to the rules they obey: this will
e nable us to solve systems of linear equations and to handle other computational
problems in a fast and effici ent manner. Of course, as any good defini tion should
do. the notion o f a matrix not only provides a new way of looking at old problems.
but also gives ri se to a great many new questions. some of which we study in this
book.
(I)
.....- ith row
thejth column of A is
Lei
EXAMPLE 1
A= [ [
- \
2
0 n B= [ I+ i
2 - 3i
4;
- 3 .
1 C ~ Hl
D~ [i 0
- \ n E ~ [3]. F ~ [- \ 0 2] .
EXAMPLE 2 •
T he II-vector all of whose entries are zero is denoted by O.
Observe that if A is an II x /I matrix, then the rows of A are I x II matrices and
the columns of A are II x I matrices. The set o f all /I-vectors with real entries is
denoted by R". Simi larly, the set of all II-vectors with complex entries is denoted
by en.
As we have already pointed out. in the first six chapters o f this book we
work almost entirely with vectors in R" .
(Tabular Display of Data ) T he following matrix gives the airli ne distance;; be-
EXAMPLE 3
tween the indicated cities (i n statute miles):
Afternoon Session
MARSHAL: May it please the Court, I desire to announce that the
Defendants Kaltenbrunner and Seyss-Inquart will be absent from this
afternoon’s session on account of illness.
M. DUBOST: We had arrived, gentlemen, at the presentation of
the terrorist policy carried out by the German Army, Police, and SS,
indistinguishably united in their evil task against the French patriots.
Not only the militant patriots were to be the victims of this terrorist
policy. There were threats of reprisals against their relatives, and
these threats were carried into effect.
We submit Document 719-PS as Exhibit Number RF-406, which
you will find on Page 147 of the document book. It is the copy of a
teletype from the German Embassy in Paris to the Ministry of Foreign
Affairs in Berlin. The German Ambassador reports a conversation
which the Vichy unit had had with Laval.
The author of this message, who is probably Abetz, explains that
Bousquet, who was with Laval at the time of this conversation,
stated that he was completely ignorant of the recent flight of
Giraud’s brother:
“Madame Giraud, three of her daughters, her mother,
another brother and the daughter-in-law of Giraud, were in
Vals-les-Bains. I replied that such measures were
insufficient and that he must not be surprised if the German
police some day reverted to sterner measures, in view of
the obvious incompetence of the French police in numerous
cases.”
The threat was put into execution. We have already stated that the
family of General Giraud were deported.
We submit Document F-717 under Exhibit Number RF-407, Page
149 of your document book: “Paris, 1030 hours, 101, Official
Government Telegram, Paris, to the French Delegation of the IMT
Nuremberg.”
From this telegram it is evident that 17 persons, members of the
family of General Giraud, were deported to Germany. Madame
Granger, daughter of General Giraud, aged 32, was arrested without
cause in Tunis in April 1943, as well as her four children, aged 2 to
11 years, with their young nurse, and her brother-in-law, M.
Granger. The family of General Giraud was also arrested, on 9
October 1943. They were first deported to Berlin, then to Thuringia.
May I ask the forbearance of the Tribunal; the telegraphic style
does not lend itself to interpretation, “Sent first to Berlin and then to
Thuringia; women and children of M. Granger to Dachau.” (I
suppose that we must understand this to mean the wife of M.
Granger and the nurse who accompanied her.)
THE PRESIDENT: M. Dubost, what is the document?
M. DUBOST: This is a French official telegram. You have the
original before you, Mr. President, “—101—Official State Telegram
Paris,” typed on the text of the telegram itself.
THE PRESIDENT: Can we receive a telegram from anybody
addressed to the Tribunal?
M. DUBOST: Mr. President, it is not addressed to the Tribunal; it
is addressed to the French Delegation. It is an official telegram from
the French Government in Paris, “Official State Paris,” and it was
transmitted as an official telegram.
THE PRESIDENT: What does “IMT Paris” mean?
M. DUBOST: The International Military Tribunal in Paris. It is our
office in Paris at Place Vendôme—it is an office of the French
Ministry of Justice. The telegram begins, “General Giraud.” It is a
telegraphic declaration. The letters “OFF” at the beginning of the
telegram mean “Official.” Please forgive me for insisting that the
three letters “OFF” at the beginning of the telegram mean
“Government, official” from Paris. No French telegraph office could
transmit such a telegram if it did not come from an official authority.
This official authority is the French Delegation of the IMT in Paris,
which received the statement made by General Giraud and
transmitted it to us: “By General Giraud, French Delegation of the
IMT.”
THE PRESIDENT: Very well, the Tribunal will receive the
document under Article 21 of the Charter.
M. DUBOST: I am grateful to the Tribunal. I read further on, at
Page 150:
“On the other hand, the death of Madame Granger on 24
September 1943 is undoubtedly due to lack of care and
medicine, in spite of her reiterated requests for both. After
an autopsy of her body, which took place in the presence of
a French doctor, specially summoned from Paris after her
death, authorization was given to this doctor, Dr. Claque to
bring the four children back to France, and then to Spain,
where they would be handed over to their father. This was
refused by the Gestapo in Paris, and the children were sent
back to Germany as hostages, where their grandmother
found them only 6 months later.”
The last four lines:
“The health of Madame Giraud, her daughter Marie
Theresa, and two of her grandchildren has been gravely
impaired by the physical, and particularly by the moral,
hardships of their deportation.”
As a reprisal for the escape of General Giraud, 17 persons were
arrested, all innocent of his escape.
I have frequently shown that in their determination to impose
their reign of terror the Germans resorted to means which revolt the
conscience of decent people. Of these means one of the most
repugnant is the call for informers.
Document F-278(b), Page 152, which we submit as Exhibit
Number RF-408, is a reproduction of an ordinance of 20 December
1941, which is so obviously contrary to international law that the
Foreign Ministry of the Reich itself took cognizance of it. The
ordinance of 27 December 1941 prescribes the following:
“Whosoever may have knowledge that arms are in the
possession or keeping of an unauthorized person or
persons is obliged to declare that at the nearest police
headquarters.”
The Ministry of Foreign Affairs in Berlin, on 29 June 1942,
objected to the draft of a reply to the French note, which we do not
have here but which must have been a protest against this
ordinance of 27 December 1941. The Tribunal knows that in the
military operations which accompanied the liberation of our land
many archives disappeared, and therefore we cannot make known to
the Tribunal the protest to which the note of 29 June 1942, from the
German Foreign Ministry refers.
Paragraph 2 summarizes the arguments of the French protest.
The French evidently had written: If German territory were occupied
by the French, we would certainly consider as a man without honor
any German who denounced to the occupying power an infraction of
their laws, and this point of view was taken up and adopted by the
German Foreign Ministry. The note continues:
“As a result of consideration of this matter, the Foreign
Office considers it questionable whether punishment should
be inflicted on whomsoever fails to denounce a person
possessing or known to possess arms. Such a prescription
of penalty under this general form is, in the opinion of the
Foreign Office, the more impracticable in that it would offer
the French the possibility of calling attention to the fact that
the German Army is demanding of them acts which would
be considered Criminal if committed by German citizens.”
This German note, I repeat, comes from the Reich Ministry of
Foreign Affairs and is signed “Strack.” There is no more severe
condemnation of the German Army than that expressed by the Reich
Ministry of Foreign Affairs itself. The reply of the German Army will
be found by the Tribunal on Page 155, “Berlin. 8 December 1942.
High Command of the Wehrmacht.” The High Command of the
Wehrmacht concludes:
“. . . since it does not seem desirable to enter into
discussion with the French Government on the questions of
law evoked by them, we too consider it appropriate not to
reply to the French note.”
This note begins, moreover, by asserting that any relaxing of the
orders given would be considered as a sign of weakness in France
and in Belgium.
These are not the signs of weakness that the German Army gave
in our occupied countries of the West. The weakness manifested
itself in terror; it brought terror to reign throughout our countries,
and that in order to permit the development of the policy of
extermination of the vanquished nations which, in the minds of all
Nazi leaders, remained the principal purpose, if not the sole purpose,
of this war.
This terrorist policy, of which the Tribunal has just seen examples
in connection with the repression of attacks by our French Forces of
the Interior on the enemy, developed without any military necessity
for it in all the countries of the West. The devastations committed by
the enemy are extremely numerous. We shall limit our presentation
to the destruction of Rotterdam at a time when the city had already
capitulated and when only the question of the form of capitulation
had to be settled; and secondly, to a description of the inundations
which the German Army caused, without any military necessity of
any sort, in 1945 on the eve of its destruction when that Army
already knew that it had lost the game.
We have chosen the example of Rotterdam because it is the first
act of terrorism of the German Army in the West. We have taken the
inundations because, without her dykes, without fresh water, Holland
ceases to exist. The day her dykes are destroyed, Holland
disappears. One sees here the fulfillment of the enemy’s aim of
destruction, formulated long ago by Germany as already shown by
the citation from Hitler with which I opened my speech, an aim
which was pursued to the very last minute of Germany’s existence as
is proved by those unnecessary inundations.
We submit to the Tribunal Document F-719 as Exhibit Number
RF-409, which comprises Dutch reports on the bombing of
Rotterdam and the capitulation of the Dutch Army. On Pages 38 and
39 of the second document book are copies of the translations of
documents exchanged between the commander of the German
troops before Rotterdam and the colonel who was in command of
the Dutch troops defending the city.
Captain Backer relates the incidents of that evening which ended
with the burning of the city. At 1030 hours a German representative
appeared with an ultimatum, unsigned and without any indication of
the sender, demanding that the Dutch capitulate before 1230 hours.
This document was returned by the Dutch colonel, who asked to be
told the name and the military rank of the officer who had called
upon him to surrender.
At 1215 hours Captain Backer appeared before the German lines
and was received by a German officer. At 1235 hours he had an
interview with German officers in a dairy shop. A German general
wrote his terms for capitulation on the letter of reply, which the
representative of the Dutch General Staff had just brought to him.
At 1320 hours Captain Backer left the place, this dairy shop
where the negotiations had taken place, with the terms to which a
reply had to be given. Two German officers escorted him. These
escorting officers were protected by the flight of German aircraft,
and red rockets were fired by them at 1322 and 1325 hours. At 1330
hours the first bomb fell upon Rotterdam, which was to be
completely set on fire. The entry of the German troops was to take
place at 1850 hours, but it was put forward at 1820 hours. Later the
Germans said to Captain Backer that the purpose of the red rockets
was to prevent the bombing. However, there had been excellent
wireless communication from the ground to the aircraft. Captain
Backer expressed his surprise that this should have been done by
means of rockets.
The work on the inundation of the “Wieringermeer” polder began
on 9 and 10 April 1945. I quote a Dutch document. That day
German soldiers appeared on the polder, gave orders, and placed a
guard for the dyke.
“On 17 April 1945 at 1215 hours the dyke was dynamited
so that two parts of it were destroyed up to a height
somewhat lower than the surface of the water of the
Ijesselmeer . . . .
“As for the population, they were warned during the night
of 16 to 17 April”—that is, at the time when the water was
about to flood the polder—“In Wieringerwerf the news
received by the mayor was passed from house to house
that at noon the dyke would be destroyed. Altogether for
this great polder, with an area of 20,000 hectares, not more
than 8½ to 9 hours were granted for evacuation . . . .
Telephone communications had been completely
interrupted; and it was impossible to use automobiles,
which meant that some individuals did not receive any
warning until 8 o’clock in the morning . . . .
“The time given to the population was, therefore, too short
for the evacuation . . . .
“The looting in the flooded polder has already been
mentioned. During the morning of 17 April, on the day of
the disaster, groups of German soldiers begin to loot . . .
These soldiers came from Wieringen . . . Moreover, they
broke everything that they did not want to take . . .”
This polder by itself covers half of all the flooded lands in
Northern Holland. The polder was flooded on 17 April, when defeat
was already a fact as far as the German Army was concerned. The
Dutch people are seeking to recover the land which they have lost.
Their courage, industry and energy arouse our admiration, but it is
an immense loss which the German Army inflicted upon those
people on 17 April.
Terrorism and extermination are intimately interwoven in all
countries in the West.
Document C-45, which we submit as Exhibit Number RF-410 and
which is the first in the document book, is an order of 10 February
1944 showing that repression, in the minds of the leaders of the
German Army, was to be carried out without consideration of any
kind:
“Fire must be immediately returned. If, as a result, innocent
people are struck, it is to be regretted but it is entirely the
fault of the terrorists.”
These lines were written over the signature of an officer of the
general staff of the German Military Command in Belgium and
Northern France. This officer was never denounced by his superiors
as can be seen by the document.
Document F-665, submitted as Exhibit Number RF-411, Page 2 of
your document book:
“The search of suspected villages requires experience. SD
or GFP (Secret Field Police) personnel should be called
upon. The real accomplices of the guerillas must be
disclosed, and apprehended with all severity. Collective
measures against the inhabitants of entire villages (this
includes the burning of villages) are to be taken only in
exceptional cases and may be ordered only by divisional
commands or by chiefs of the SS and Police.”
This document is dated 6 May 1944. It comes from the High
Command of the Wehrmacht; and it, or at least the covering letter, is
signed by Jodl.
This document involves not only the Army General Staff, but the
Labor Service—that is to say, Sauckel—and the Todt Organization—
that is to say, Speer. Indeed, in the next to the last paragraph we
may read:
“The directive . . . is applicable to all branches of the
Wehrmacht and to all organizations which exercise their
activities in occupied territories (the Reich Labor Service,
the Todt Organization, et cetera).”
These orders, aimed at the extermination of innocent civilian
populations, were to be carried out vigorously but at the price of a
constant collusion of the German Army, the SS, the SD, and the
Sipo, which the people of all countries of the West place together in
the same horror and in the same reprobation.
In the war diary of General Von Brodowski submitted this
morning under Exhibit Number RF-405, an excerpt of which is to be
found on Pages 3, 4, and 5 of the document book, it is stated that
repressive operations were carried out:
“An action against terrorists was undertaken in the
southwestern area of the Department of Dordogne near
Lalinde, in which a company of Georgians of Field Police,
and members of the SD took part . . .”
Dated 14 June 1944 is a statement on the destruction of
Oradour-sur-Glane. I shall come back to the destruction of this
village. “600 persons are said to have been killed,” writes General
Von Brodowski. It is underscored in the text.
“The whole male population of Oradour has been shot.
Women and children took refuge in the church. The church
caught fire. Explosives had been stored in the church. Even
women and children perished.”
We shall let you know the results of the French inquiry. The Tribunal
will see to what degree General Von Brodowski lied when he
described the annihilation of Oradour in these terms.
Concerning Tulle:
“On 8 July 1944 in the evening the barracks occupied by
the 13th Company of the 95th Security Regiment were
attacked by terrorists. The struggle was terminated by the
arrival of the Panzer division, ‘Das Reich.’ 120 male
inhabitants of Tulle were hanged, and 1,000 sent to the SD
at Limoges for investigation.”
THE PRESIDENT: M. Dubost, could we see the original of this
document?
M. DUBOST: I showed it to you this morning, Mr. President, when
I submitted it. It is rather a large document, if you will remember,
Sir.
THE PRESIDENT: Yes. We would like to see it.
DR. ROBERT SERVATIUS (Counsel for Defendant Sauckel): I
should like briefly to rectify an error now, before it is carried any
further.
The French Prosecutor mentioned that certain people were put at
the disposal of the Arbeitsdienst. I should like to point out that
Arbeitsdienst is not to be confused with the Arbeitseinsatz. The
Arbeitseinsatz was ultimately directed by Sauckel, whereas the
Arbeitsdienst had nothing whatsoever to do with Sauckel. I should
like to ask the Tribunal to take judicial notice of that distinction.
THE PRESIDENT: On account of a technical incident, the Tribunal
will adjourn.
[A recess was taken.]
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