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Engineering Mathematics Advanced Ordered rings

Formally Real Rings

R. E. Johnson's theorem: for any nonzero ring, formally real, has a preordering and has an ordering are the same condition — the exact generalisation of Artin–Schreier from fields to arbitrary rings.

Page ID
KEVOS-ENG-MATH-NCR-0130
Taxonomy
ENG / ENG-MATH
Collection
noncommutative-rings-core
Source
(17.11)–(17.12), §17 (pp. 280–281)
Reviewed
2026-08-08
Version
1.0.0

Executive Summary

Call a nonzero ring R formally real if 0 is not a sum of permuted products per(a12am2) with all ai0. The set of such sums, written T(R), is the weak preordering: it satisfies both preordering axioms automatically, sits inside every preordering of R, and is a preordering exactly when R is formally real.

R. E. Johnson's theorem (17.11) then closes the circle: formally real, admitting a preordering, and admitting an ordering are three names for the same property. Combined with (17.7) this is a complete, checkable answer to the orderability problem for arbitrary rings, and it specialises to Artin and Schreier's 1927 criterion when R is a field.

T(R)Smallest preordering
3Equivalent conditions
1927Artin–Schreier
1952Johnson

Overview

The obstruction to ordering a ring must be finitary if the theory is to be usable: one wants a single equation whose absence guarantees an ordering. (17.4) and (17.7) show what such an equation must look like. In any ordering, a product in which every factor is repeated an even number of times is positive; so is any sum of such products; and 0 is not positive. Formal reality simply asserts that this necessary condition holds.

T(R)={textstylekper(ak12akmk2):akjR{0}},R formally real0T(R).
(17.11a)

The weak preordering and the definition of formal reality. Note 1=per(12)T(R) always, so T(R).

The proof of sufficiency is short because the work has already been done. If 0T(R) then T(R) is a preordering; Zorn's Lemma enlarges it to a maximal preordering; and by (17.10) a maximal preordering is an ordering. The substance is in Preorderings in Rings; this page is where the payment is collected.

Learning Objectives

  • Write down T(R) and check that it satisfies (17.5) and (17.6) for any ring.
  • Prove T(R)T for every preordering T of R.
  • Prove all three implications in R. E. Johnson's theorem (17.11).
  • Show that a field is formally real precisely when 1 is not a sum of squares.
  • Prove that a division ring D is not formally real precisely when 1T(D).
  • State the four equivalent descriptions of the division closure T¯ in (17.12).

Definitions

Definition(17.11a)Weak preordering and formal reality

For a ring R0, let T(R) be the set of all finite sums of elements per(a12am2) with m1 and aiR{0} — that is, products of finitely many nonzero elements, each occurring an even number of times, multiplied in any order. R is formally real if 0T(R).

T(R) always satisfies (17.5), being closed under sums by construction, and (17.6), since inserting doubled elements or elements of T(R) into a permuted product produces another such sum. Hence: R is formally real if and only if T(R) is a preordering, and in that case T(R) is the smallest preordering of R.

T(R)
The weak preordering. In a commutative ring it is the set of nonzero sums of squares.
Totally positive
Positive in every ordering of R. By (17.13) this is membership in the division closure T(R)¯, not in T(R) itself.
T¯
The division closure of a preordering T: those a with atT for some tT.
Real field
Synonym for formally real field in much of the real-algebra literature; a real closed field is one with no proper formally real algebraic extension.

Formal reality is a property of the ring alone — no cone has been chosen. Choosing a cone is extra structure, and (17.11) says the choice is possible exactly when the property holds.

Core Concepts

Why T(R) is the right generating set

Any preordering must contain per(a12am2) by axiom (17.6) with n=0, and must be closed under sums by (17.5). Therefore it contains all of T(R). Dually, T(R) imposes no further constraints. It is the free object of the theory: the preordering generated by nothing at all.

T(R)any preordering Tany ordering P

The commutative shadow

If R is commutative, per(a12am2)=(a1am)2, so T(R) is exactly the set of nonzero sums of squares, and formal reality says that a sum of squares of nonzero elements is never 0. For a field this is the classical Artin–Schreier condition, as the next section makes precise.

What formal reality already implies

By (17.7) applied to T(R): a formally real ring is a domain of characteristic zero in which 1 is totally positive. So formal reality is strictly stronger than being a characteristic-zero domain — the real quaternions separate the two conditions, since 1=i2T() makes 0=1+i2T().

Key Results

Theorem(17.11)R. E. Johnson

For any ring R0 the following are equivalent:

  1. R is formally real, i.e. 0T(R);
  2. R possesses a preordering;
  3. R possesses an ordering.
Proof

**(3) (2).** Every ordering is a preordering: by the sign homomorphism of an ordered ring, a product with all multiplicities even is positive, and positives are closed under addition.

**(2) (1).** Let T be a preordering. Axiom (17.6) with n=0 puts every per(a12am2) into T, and axiom (17.5) then puts every sum of such into T. Hence T(R)TR{0}, so 0T(R).

**(1) (2).** If 0T(R) then T(R)R{0}, and since T(R) satisfies (17.5) and (17.6) by construction, it is a preordering.

**(2) (3).** Given a preordering T, Zorn's Lemma provides a maximal preordering T1T: the union of a chain of preorderings satisfies both axioms, because each axiom involves only finitely many elements, and omits 0 because every member does. By (17.10), T1 is an ordering.

Corollary(17.11b)Structure of a formally real ring

A formally real ring is a domain of characteristic zero; its only idempotents are 0 and 1; it has no nonzero nilpotent elements; and it is infinite. All of this follows from (17.7) applied to T(R), together with (17.11).

Proposition(17.11c)The field and division ring case

Let D be a division ring. Then D fails to be formally real if and only if 1T(D). In particular a field F is formally real if and only if 1 is not a sum of squares in F, which is the Artin–Schreier criterion.

Proof

If 1T(D) then 0=1+(1)T(D)+T(D)T(D), so D is not formally real.

Conversely suppose 0T(D), say 0=p1+p2++pN where each pk=per(ak12) is a permuted doubled product of nonzero elements. Each pk is a product of nonzero elements of a division ring, hence pk0; therefore N2 and

p1=p2++pNT(D).
(J.1)

Next, p11 itself lies in T(D). Indeed, if p1 is an arrangement of the multiset {a1,a1,,am,am}, then the arrangement p11,p11 followed by that same multiset is again a permuted product with all multiplicities even, and its value is

(p11)2p1=p11.
(J.2)

Finally T(D) is closed under multiplication, so (p1)p11=1 lies in T(D).

For a field, T(F) is the set of nonzero sums of squares, so the criterion reads: F is not formally real if and only if 1 is a sum of squares.

Remark

For a general ring the reduction of 0T(R) to 1T(R) is not available, since the inverse used in (J.2) need not exist; Lam poses the corresponding question for integral domains as Exercise 6 of §17. The definition via 0T(R) is the one that makes (17.11) true, and it should be taken as primary.

Proposition(17.12)Four descriptions of the division closure

Let T be a preordering in a ring R. Then the following four subsets of R coincide; the common value is written T¯ and called the division closure of T:

{a:atT for some tT}={a:taT for some tT}={a:ab2T for some b0}={a:b2aT for some b0}.
(17.12)

Moreover TT¯ and 0T¯.

Proof

Suppose at=t with t,tT. Then ta=ataT by (17.6), so a lies in the second set; and at2=(at)t=ttT with t0, so a lies in the third set with b=t. The reverse inclusions are immediate: b0 gives b2T, so ab2T exhibits a witness t=b2 for the first set, and likewise for the fourth.

Symmetrically, if ta=tT then at=ataT places a in the first set, and t2a=t(ta)T places it in the fourth. Chasing these four implications round gives equality of all four sets.

For tT we have ttT, so TT¯. And 0T¯ because 0t=0T.

Proof Techniques and Method

How these proofs work, and which move to reuse.

Move 1

Generate, then test properness

Build the smallest set closed under the required operations; the only thing that can go wrong is that it contains 0. This turns an existence problem into the non-existence of one identity.

Move 2

Maximise by Zorn, then use maximality

Maximal objects in this theory are automatically total. The pattern — enlarge, then read off totality from (17.10) — replaces any attempt to define the order element by element.

Move 3

Invert inside the cone

In a division ring, (p1)2p=p1 shows the cone is closed under inversion. Wherever inverses exist, positivity statements can be divided as well as multiplied.

Move 3 is exactly what is unavailable in a general ring, and it is why the division closure T¯ has to be introduced at all: it is the smallest correction that restores the ability to divide by positives. That correction is the subject of Division-Closed Preorderings.

Worked Example

Formally real, and not

is formally real: a sum of nonzero rational squares is a positive rational, never 0. So is , and so is (2), which has two orderings. (i) is not: 12+i2=0 exhibits 0T((i)) directly, with m=2 and both elements nonzero.

For the quaternions, 12+i2=0 again, so is not formally real even though it is a characteristic-zero division ring. Consistently, 1=i2T() as predicted by (17.11c).

A noncommutative formally real ring

Let A=x,y be the free -algebra on two generators. A is orderable — order it by any total order on the free monoid compatible with multiplication, deciding positivity by the coefficient of the least word in the support — so by (17.11) it is formally real. The same construction applies over any formally real coefficient field.

A calculation in T(R)

In R=x,y, the element xyxy+yx2y+3 lies in T(R): it is per(x2y2) in the arrangement xyxy, plus per(y2x2) in the arrangement yxxy, plus 1+1+1. None of these is a square in the free algebra, which is what the permuted-product notation is for.

xyxy+yx2y+3=per(x2y2)+per(x2y2)+per(12)+per(12)+per(12)T(R).
(E.1)

Two different arrangements of the same multiset {x,x,y,y}, plus three copies of 1.

Totally positive is not the same as in T(R)

In R=[x], the polynomial x2+1 lies in T(R) outright. The subtlety appears for elements a with ab2T(R) but aT(R): such an a is positive in every ordering yet is not itself a sum of squares. Lam constructs an explicit commutative example in Exercise 8 of §17; Artin proved in Exercise 9 that no such example exists in k[t] for k a formally real field.

Comparison and Classification

Formal reality across standard rings
RingFormally real?Witness
, , (2)yessums of nonzero squares are positive reals
(i), no12+i2=0
no12+i2=0; a division ring nonetheless
𝔽p, /nnocharacteristic is not 0
M2()noe12 gives per(e122)=0
[x], (x)yesorderable by leading coefficient
x,yyesordered via an ordered free monoid
A1() (Weyl algebra)yesordered by top y-coefficient
[x]/(x2+1)noisomorphic to
Which conditions imply which
DomainChar 0Formally realOrderable
Formally realyesyesyesyes
Orderableyesyesyesyes
Char 0 domainyesyesnono
Domainyesnonono

Which conditions imply which

Reading a row gives the properties it implies. The two lower rows fail to imply formal reality: is the standard counterexample.

Relationship Map

  • R formally real 0T(R)
    • equivalent to
      • R has a preordering, (17.11)
      • R has an ordering, (17.11)
    • implies
      • R is a domain, charR=0, (17.7)
      • 1 is totally positive
      • R is infinite, with no nonzero nilpotents
    • does not follow from
      • being a domain of characteristic 0 — see
      • being a division ring
    • specialises to
      • fields: 1 is not a sum of squares (Artin–Schreier)
      • division rings: 1T(D), (17.11c)
formally realT(R) is a preorderingmaximal preordering existsordering exists

Applications and Industry Use

Applications here means where this structure is used — inside mathematics and in the engineering and computing disciplines that consume it.

Real algebra

Real closed fields and model theory

Formally real fields have real closures, and the first-order theory of real closed fields admits quantifier elimination. That single fact underwrites every algorithmic decision procedure for polynomial inequalities.

Quantum foundations

Formally real Jordan algebras

The Jordan–von Neumann–Wigner classification of finite-dimensional formally real Jordan algebras — where a sum of squares vanishes only if each term does — was motivated by the search for algebraic models of observables in quantum mechanics.

Optimisation

Sums-of-squares relaxations

For commutative polynomial rings, membership in T(R) up to a degree bound is a semidefinite feasibility problem. This is the computational core of polynomial optimisation and of Lyapunov certificate search in control.

Group rings

Zero divisors and units

If G is an orderable group then kG is a domain for any domain k, by the least-support-term argument. Formal reality of coefficient rings then propagates orderability, giving large families of orderable noncommutative rings.

Inside ring theory itself, the practical value of (17.11) is that orderability becomes a closure condition on generators rather than a construction: to prove a ring orderable, it suffices to rule out one kind of identity.

Standards and Notation

Standards here covers notation, symbol and markup standards, and reference implementations, rather than material or design codes.

Weak preorderingT(R) in Lam; R2 in commutative real algebra
Formally realalso real (Prestel, Bochnak–Coste–Roy), and semireal for a weaker variant in some sources
Division closureT¯; sometimes written Tsat or the saturation of T
Real spectrumSperR, the space of orderings of a commutative ring
ImplementationsQEPCAD B, Redlog and SMT solvers with nonlinear real arithmetic decide real feasibility; SOSTOOLS and SumsOfSquares.jl certify membership in cones
MarkupMathML per ISO/IEC 40314; ordering relations per ISO 80000-2

Failure Modes and Common Mistakes

  • Do not conclude formal reality from the absence of zero divisors; refutes that.
  • Do not assume a subring of a formally real ring inherits anything more than formal reality — the number of orderings can change drastically on passing to a subring or an extension.
  • Do not forget that T(R) is defined with ai0; allowing ai=0 would put 0 in T(R) trivially and make every ring non-formally-real.
  • Do not expect formal reality to be preserved by quotients. [x] is formally real but [x]/(x2+1) is not.

Historical Notes and Lessons Learned

  • 1927Artin and SchreierFormally real fields are defined by the condition that 1 is not a sum of squares, and shown to be exactly the orderable fields. Real closures are constructed and shown to be unique.
  • 1927Artin and Hilbert's 17th problemA rational function over that is nonnegative wherever defined is a sum of squares of rational functions — the field-theoretic prototype of the totally-positive criterion (17.15).
  • 1934Formally real Jordan algebrasJordan, von Neumann and Wigner classify finite-dimensional formally real Jordan algebras, transferring the notion out of associative algebra entirely.
  • 1940sOrdered noncommutative ringsAlbert, B. H. Neumann and Fuchs develop orderings on noncommutative rings, quotient rings and division rings built from ordered groups.
  • 1952R. E. JohnsonThe Artin–Schreier equivalence is proved for arbitrary rings once the correct notion of formal reality — no vanishing sum of permuted doubled products — is identified.
  • 1960s–70sSerre's preorderingsThe preordering formulation streamlines the proof and becomes the standard route; it also transplants directly to the theory of quadratic forms and to the real spectrum.

The lesson: the theorem was blocked for twenty-five years not by a missing argument but by a missing definition. Once formal reality was expressed in terms of permuted products rather than squares, the classical proof went through with no new ideas.

Quick Reference

Weak preorderingT(R)= sums of per(a12am2), all ai0
Formally real0T(R)
(17.11)formally real has a preordering has an ordering
MinimalityT(R)T for every preordering T
Consequencesdomain, charR=0, 1 totally positive
Fieldsformally real 1 is not a sum of squares
Division ringsnot formally real 1T(D)
Division closureT¯={a:ab2T for some b0}
Certificates in both directions
To proveExhibit
R is not formally realone identity 0=kper() with all factors nonzero
R is formally realan explicit ordering, or an ordered ring containing R
R has at least two orderingsan element b with T(R)b and T(R)b both proper
a is totally positivesome b0 with ab2T(R), by (17.15)

Frequently Asked Questions

Why is formal reality defined with permuted products rather than squares?

Because in a noncommutative ring the elements forced to be positive by an ordering are precisely those products in which every factor is repeated an even number of times, in any arrangement — abab is positive, though it is not a square. Defining T(R) with squares only would give a set too small to contain every preordering, and (17.11) would fail.

Is a subring of a formally real ring formally real?

Yes, immediately: an ordering restricts to any subring, so by (17.11) formal reality is inherited. The converse fails badly — is formally real but is not, and [x] is formally real while many of its quotients are not.

How is this different from the Artin–Schreier theorem?

Artin–Schreier is the field case, where the criterion is that 1 is not a sum of squares. (17.11) keeps the shape of the statement but replaces both the notion of square and the notion of cone by their noncommutative counterparts, and works for arbitrary rings with no commutativity, finiteness or invertibility hypotheses.

Does a formally real ring have a canonical ordering?

No. The only canonical object is the weak preordering T(R), which is the intersection of nothing and is usually far from total. Selecting an ordering requires Zorn's Lemma and involves genuine choice; a ring with several orderings has no distinguished one.

If R is formally real, is its quotient ring or its ring of fractions formally real?

When a ring of quotients exists in the sense of (17.17), yes: every ordering of R extends uniquely to it, so it is orderable and hence formally real. Without that hypothesis, extendability is governed by the criterion of (17.16) and can fail.

Are there formally real rings that are not domains?

Not under Lam's definition — (17.7) forces a formally real ring to be a domain. Commutative real algebra uses a weaker notion, also called real, which permits zero divisors; that theory is about the real spectrum of a general commutative ring rather than about total orderings of the ring itself.

References

  1. T. Y. Lam, A First Course in Noncommutative Rings, Graduate Texts in Mathematics 131, Springer-Verlag, 1991, §17, results (17.11)–(17.12), pp. 279–281.
  2. R. E. Johnson, On ordered domains of integrity, American Mathematical Monthly 59 (1952). The original source of the equivalence in (17.11).
  3. E. Artin and O. Schreier, Algebraische Konstruktion reeller Körper, Abhandlungen aus dem Mathematischen Seminar der Universität Hamburg 5 (1927).
  4. A. Prestel, Lectures on Formally Real Fields, Lecture Notes in Mathematics 1093, Springer-Verlag, 1984.
  5. P. Jordan, J. von Neumann and E. Wigner, On an algebraic generalization of the quantum mechanical formalism, Annals of Mathematics 35 (1934). Formal reality outside associative algebra.
  6. J. Bochnak, M. Coste and M.-F. Roy, Real Algebraic Geometry, Ergebnisse der Mathematik 36, Springer-Verlag, 1998.

AI Suggested Questions

  • For which classes of noncommutative domains is failure of formal reality equivalent to 1 lying in the weak preordering?
  • How does R. E. Johnson's theorem interact with Ore localisation and with rings that do not embed into division rings?
  • What is the noncommutative analogue of the real spectrum, and does it carry a useful topology?
  • Which finitely presented algebras can be shown formally real by an explicit ordering rather than by an abstract argument?
  • How does formal reality for Jordan algebras relate to formal reality for their associative enveloping algebras?
  • What degree bounds are known for representing a totally positive polynomial as an element of the weak preordering?
  • Can formal reality be characterised by the absence of a specific finite family of identities, uniformly in the ring?
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