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Engineering Mathematics Advanced Ordered rings

Preorderings

Serre's device: weaken "ordering" until the objects are easy to build, then recover the orderings as exactly the maximal preorderings — the step that makes Zorn's Lemma do the work of Artin and Schreier.

Page ID
KEVOS-ENG-MATH-NCR-0129
Taxonomy
ENG / ENG-MATH
Collection
noncommutative-rings-core
Source
(17.7)–(17.10), §17 (pp. 279–280)
Reviewed
2026-08-08
Version
1.0.0

Executive Summary

Orderings are hard to construct directly: axiom (17.3) demands a decision about the sign of every nonzero element at once. A preordering keeps the two easy closure conditions and drops the totality requirement. Preorderings are then cheap — every formally real ring has one — and the payoff is (17.10): a preordering is an ordering exactly when it is maximal.

Since the union of a chain of preorderings is a preordering, Zorn's Lemma converts any preordering into an ordering. That single move reduces the orderability problem to a finitary condition on the ring, and is the engine behind R. E. Johnson's theorem and the Artin–Schreier theorem it generalises.

AxiomsT+TT and per(a12am2t1tn)T
Excluded0T by definition
Forced1T; R a domain, charR=0
Key theoremordering = maximal preordering, (17.10)
Toolthe auxiliary set Tb, (17.8)

Overview

Fix a ring R. A preordering is a subset TR{0} satisfying two conditions:

(17.5)T+TT,(17.6)per(a12am2t1tn)T
(17.5)–(17.6)

for all a1,,amR{0}, all t1,,tnT and all m,n0.

Here per(a1i1amim) denotes any product of the i1++im listed factors, arranged in an arbitrary order. Condition (17.6) therefore packages three separate facts at once: T is closed under multiplication, T contains every permuted product of doubled elements, and T is closed under sandwiching, ataT.

Every ordering is a preordering, because the sign map of Ordered Rings and Positive Cones is multiplicative and assigns +1 to any product with all multiplicities even. Intersections of orderings are preorderings too — and Division-Closed Preorderings identifies precisely which preorderings arise that way.

Learning Objectives

  • Read and manipulate the notation per(a1i1amim).
  • Prove (17.7): a preordering forces R to be a domain of characteristic 0 with 1T.
  • Construct Tb and prove the trichotomy of (17.8).
  • Prove both directions of (17.10): ordering if and only if maximal preordering.
  • Verify that a union of a chain of preorderings is a preordering, and apply Zorn's Lemma.
  • Identify the preordering T([x]) and two distinct orderings extending it.

Definitions

Definition(17.5)–(17.6)Preordering

TR{0} is a preordering if it is closed under addition and if, for all a1,,amR{0} and t1,,tnT (with m,n0), every product of the list

a1,a1,a2,a2,,am,am,t1,,tn
(17.6)

taken in any order, lies in T. Taking m=0 shows TTT; taking n=0 shows every permuted doubled product lies in T; taking m=n=1 gives ataT.

Definition(17.8)The auxiliary set Tb

Let T be a preordering and bR{0}. Write Tb for the set of all finite sums of elements

per(bia12am2t1tn),ajR{0},tkT,i,m,n0.
(T-b)

Tb is the smallest candidate preordering containing both T and b: take i=0,m=0,n=1 to get TTb, and i=1,m=n=0 to get bTb.

T(R)
The weak preordering: all sums of permuted doubled products, with no elements of T inserted. It is contained in every preordering of R.
Proper
A subset of R{0} closed under the operations is a preordering precisely when it does not contain 0; failure of properness is the only way the definition can break.
Sandwiching
Replacing t by ata. This is the noncommutative substitute for multiplying by a square, and is sign-preserving because a occurs twice.

Tb satisfies (17.5) and (17.6) by construction. The only question is whether 0Tb — and that is precisely what (17.8) answers.

Core Concepts

Parity is the invariant

Every argument in this section counts how many times a distinguished element b occurs in a product. If b occurs an even number of times, the product already lies in T; if odd, then multiplying once more by b puts it in T. Written out:

  • i even: per(bia12am2t1tn)T, since b contributes i/2 doubled factors.
  • i odd: bper(bia12am2t1tn)T, since the extra b makes the count even.

So an element of Tb splits as t+r with tT{0} collecting the even terms and r collecting the odd ones, where brT{0}. That decomposition is the whole content of (17.8).

Sums of preorderings, and chains

Preorderings are closed under intersection (of a nonempty family) and under unions of chains. Chains are the important case: any instance of (17.5) or (17.6) involves finitely many elements, and in a chain those finitely many all lie in a single member. Hence the union satisfies both axioms, and it omits 0 because each member does.

What maximality buys

If T is maximal and bT, then Tb cannot be a preordering: it contains T and b, so it would properly contain T. This is a very strong tool, because (17.8) converts "Tb is not a preordering" into an explicit algebraic identity t+bt=0 with t,tT. Maximality is thus traded for equations.

Key Results

Proposition(17.7)What a preordering forces

Let T be a preordering on a ring R0. Then T(T)=, 1T, and R is a domain of characteristic zero.

Proof

If aT(T) then a and a both lie in T, so 0=a+(a)T+TT, contradicting TR{0}.

Taking m=1, a1=1, n=0 in (17.6) gives 1=11T. Then n1=1++1T by (17.5), and since 0T we get n10 for all n1; hence charR=0.

Finally suppose bc=0 with b,cR{0}. The arrangement bbcc is a legitimate instance of per(b2c2), so it lies in T. But bbcc=b(bc)c=0, giving 0T — impossible. Hence R is a domain.

Remark

The domain argument is a genuine improvement on the corresponding step for orderings: it uses only one admissible arrangement of the factors, and needs no sign discussion. It is also the first place where permuting the factors of per is doing real work.

Lemma(17.8)When Tb fails

Let T be a preordering on R and bR{0}. The following are equivalent:

  1. Tb is not a preordering in R;
  2. there exist t,tT with t+bt=0;
  3. there exist t,tT with t+tb=0.
Proof

**(2) (3).** Multiply t+bt=0 on the right by b: tb+btb=0. Since btb=per(b2t)T, statement (3) holds with t:=btb.

**(3) (2).** Multiply t+tb=0 on the left by b: bt+btb=0, and btbT, so (2) holds with the roles t:=t and the new t:=btb.

**(2) (1).** Both t and bt are among the generators of Tb (take i=0 and i=1 respectively), so 0=t+btTb. A preordering never contains 0.

**(1) (2).** Tb satisfies (17.5) and (17.6) by construction, so if it is not a preordering the only possible failure is 0Tb: there is an identity

0=kper(bikak12akmk2tk1tknk).
(17.9)

Group the terms by the parity of ik. The even terms sum to some tT (or to 0 if there are none); the odd terms sum to some r with brT (or r=0 if there are none), because multiplying an odd term on the left by b makes every multiplicity even. If there were no odd terms then t=0T, absurd; if there were no even terms then r=0, whence br=0T, equally absurd. So both groups are non-empty, tT and brT.

Now (17.9) reads 0=t+r. Multiplying on the left by b gives 0=bt+br, that is t+bt=0 with t:=brT. This is (2).

Theorem(17.10)Orderings are the maximal preorderings

Let R0 be a ring and TR{0} a preordering. Then T is an ordering of R if and only if T is maximal among the preorderings of R.

Proof

**Ordering maximal.** Let T be an ordering and suppose TT is a preordering. Pick aTT. Then a0, so totality gives aTT, and 0=a+(a)T+TT — impossible.

**Maximal ordering.** Let T be a maximal preordering and suppose it is not an ordering; then some b0 has bT and bT. Since TbT{b} satisfies (17.5) and (17.6), maximality forbids Tb from being a preordering (it would strictly contain T). By (17.8) there are t1,t2T with

t1+bt2=0.
(P.1)

The same argument applied to b gives t3,t4T with t3+(b)t4=0, i.e.

t3=bt4.
(P.2)

Set t5:=(bt4)(bt2). Because b occurs twice and t4,t2T, this is an instance of per(b2t4t2) and so t5T. On the other hand (P.1) gives bt2=t1, so using (P.2),

t3t1=(bt4)(bt2)=(bt4)(bt2)=t5.
(P.3)

Since t3,t1T we have t3t1T, and therefore 0=t3t1+t5T+TT — contradicting 0T. Hence T was an ordering after all.

Corollary(17.10a)Every preordering extends to an ordering

If R0 has a preordering T, then R has an ordering PT.

Proof. The preorderings of R containing T form a poset in which every chain has the union as an upper bound: each axiom involves only finitely many elements, all lying in a single member of the chain, and no member contains 0. Zorn's Lemma supplies a maximal element P, which is an ordering by (17.10).

Proof Techniques and Method

How these proofs work, and which move to reuse.

Assume the enlargement failsTo show b or b already lies in a maximal preordering T, assume both are missing and form Tb and Tb.
Convert failure into an equation(17.8) turns "Tb is not a preordering" into t1+bt2=0 with t1,t2T — an identity you can multiply.
Multiply the two equationsCombine the identities for b and b so that b occurs an even number of times. The result is an element of T.
Exhibit zeroThe combination is the negative of an element of T, so 0T+TT. Contradiction; the assumption was false.

This four-step pattern recurs verbatim in (17.13) for the division closure and in (17.16) for extension to a larger ring. Learning it once covers most of §17.

Worked Example

A preordering that is already an ordering

Take R=. Here T() is the set of nonzero sums of squares. Every positive rational a/b (with a,b positive integers) equals ab/b2, and ab is a sum of four integer squares by Lagrange's theorem, so

T()=>0,e.g. 53=159=(33)2+(23)2+(13)2+(13)2.
(E.1)

Check: 9+4+1+1=15, and 15/9=5/3.

So the weak preordering of is already total, hence maximal, hence the unique ordering of by (17.10).

A preordering that is not an ordering

Take R=[x]. Since R is commutative, T(R) is the set of nonzero sums of squares of polynomials, which in one variable is exactly

T([x])={f0:f(t)0 for all t},
(E.2)

A nonnegative real polynomial in one variable is a sum of two squares — factor it over and split into real and imaginary parts.

This is a preordering but not an ordering: xT and xT, so totality fails. Two orderings above it, both containing T:

Two orderings of [x] extending T([x])
OrderingPositivity ruleSign of xSign of x35x
Pf(t)>0 for all large t; equivalently the leading coefficient is positivepositivepositive
P0f(t)>0 for all t<0 close to 0negativepositive

For x35x=x(x25): as t+ it is positive, and for small negative t the factor x is negative while x25 is negative, so the product is positive. Both orderings agree here, while they disagree on x — consistent with the fact that x lies in no intersection of all orderings.

The auxiliary set in this example

With T=T([x]) and b=x, the set Tx consists of all sums ixisi(x) with each si a nonzero sum of squares. Could 0 lie in Tx? By (17.8) that would need t+xt=0 with t,t nonnegative and nonzero — impossible, since xt changes sign at 0 while t does not. So Tx is a preordering, and any maximal preordering above it is an ordering in which x>0; P is one such.

Process and Workflow

You want to know whether a given b0 can be made positive, relative to a preordering T.

No identity t+bt=0 existsTb is a preordering by (17.8). Enlarge it by Zorn to an ordering PT with bP. Conclusion: b is positive in at least one ordering above T.
Such an identity existsThen bt=t with t,tT, so b is negative relative to T: in every ordering PT, btP with tP forces bP. Conclusion: b lies in the division closure of T.
Identities exist for both b and bImpossible when T is a preordering — that is exactly the contradiction driving the proof of (17.10).
Start from a candidate coneAny set closed under sums and permuted doubled products is a candidate; usually T(R) itself.
Test propernessThe only obstruction is 0T. If 0T, you have a preordering.
Enlarge by ZornChains have unions; take a maximal preordering containing your candidate.
Read off the orderingBy (17.10) the maximal preordering is total: it is an ordering, and it restricts to any subring.

Comparison and Classification

Orderings, preorderings and their weak analogues
NotionClosed under sumsContains permuted doubled productsTotalExists when
Ordering PyesyesyesR formally real, via Zorn
Preordering TyesyesnoR formally real
Weak preordering T(R)yesyesnoR formally real; smallest of all
Auxiliary Tbyesyesnono identity t+bt=0 over T
Intersection of orderingsyesyesnodivision-closed, (17.14)
Which properties survive which operation
Intersection of a familyUnion of a chainRestriction to a subringExtension to an overring
Preorderingyesyesyespartial
Orderingnonoyespartial
Maximalitynoyesnono

Which properties survive which operation

"Part" records that extension to an overring is governed by the criterion of (17.16) and can fail, as it does for (i).

Relationship Map

T(R)preordering Tmaximal preorderingordering P

Read left to right this is the construction; read right to left it is the fact that every ordering contains the weak preordering. The middle arrow is Zorn's Lemma, the right-hand identification is (17.10).

  • Preorderings of R — ordered by inclusion
    • smallest element
      • the weak preordering T(R), present exactly when R is formally real
    • maximal elements
      • the orderings of R, by (17.10)
      • at least one above every preordering, by Zorn
    • closure operations
      • intersection of orderings, always a preordering
      • division closure T¯, itself a preordering, (17.13)

Computational Notes

Computational notes cover algorithms, cost and library behaviour rather than manufacturing process.

  • The passage from a preordering to an ordering uses Zorn's Lemma and is not effective: there is no procedure that outputs a cone element by element, and orderings of a countable ring can be non-computable.
  • Testing (17.6) directly is an infinite family of conditions. In practice one exhibits a multiplicative sign invariant — the leading coefficient, the least support element, an evaluation homomorphism — and verifies closure once.
  • For a finitely generated commutative -algebra, existence of an ordering is decidable: it amounts to the existence of a real point of the associated variety, settled by quantifier elimination over real closed fields. Cylindrical algebraic decomposition is doubly exponential in the number of variables; QEPCAD B and Redlog are the standard implementations.
  • For finitely presented noncommutative algebras nothing of the sort holds: even deciding whether a given word is zero is undecidable, so no general orderability test can exist.
  • Membership in the cone generated by squares in a commutative polynomial ring is testable by semidefinite programming with a fixed degree bound, which is the computational face of preorderings in real algebraic geometry.

Failure Modes and Common Mistakes

  • Do not assume a maximal preordering is unique; a ring with several orderings has several.
  • Do not assume the union of two preorderings is a preordering — it is not closed under addition. Only chains behave.
  • Do not forget the degenerate cases m=0 and n=0 in (17.6); they are what give TTT and 1T.
  • Do not conclude from btT that bT. That implication is division-closedness, and it can genuinely fail — see Division-Closed Preorderings.

Best Practices

  • When constructing a preordering, describe its generators, then prove only that 0 is not a sum of them.
  • Keep an explicit note of the parity bookkeeping: which elements are doubled, and which are inserted from T.
  • State whether a claimed cone is maximal; without maximality, (17.10) gives nothing.
  • When you need an ordering with a prescribed positive element b, build Tb rather than trying to extend a total order by hand.

Quick Reference

Axiom (17.5)T+TT
Axiom (17.6)per(a12am2t1tn)T
Degenerate casesm=0 gives TTT; n=0 gives 1T
(17.7)T(T)=, R a domain, charR=0
(17.8)Tb fails t+bt=0 for some t,tT
(17.10)ordering maximal preordering
Zornevery preordering lies in an ordering
SmallestT(R)T for every preordering T
Instances of (17.6) worth memorising
Choice of m,nConsequence
m=0, n=2t1t2T: closure under multiplication
m=1, n=0a2T for all a0
m=1, a1=1, n=01T
m=1, n=1ataT: sandwiching
m=2, n=0abab,ab2a,a2b2T for all a,b0

Frequently Asked Questions

Why not define a preordering simply as a subset closed under addition and multiplication containing all squares?

Because that set need not be closed under sandwiching in a noncommutative ring, and sandwiching is what the proofs use. The condition ataT does not follow from TTT plus a2T unless the ring is commutative. Axiom (17.6) builds all the needed closure into one statement.

Where exactly is Zorn's Lemma used, and can it be avoided?

It is used once, in (17.10a), to produce a maximal preordering above a given one. It cannot be avoided in general: the existence of an ordering on an arbitrary formally real field already needs a choice principle, and even for countable fields the resulting cone need not be computable. For specific rings one always constructs the ordering explicitly instead.

Does (17.10) mean every ordering arises as a maximal preordering containing T(R)?

Yes. Every preordering contains T(R), so in particular every ordering does, and orderings are maximal among preorderings. Hence the orderings of R are exactly the maximal elements of the poset of preorderings containing T(R).

Why does the proof of (17.10) need both b and b?

Failing to be an ordering means some element is neither positive nor negative, which is two pieces of information. Each gives an identity through (17.8), and the contradiction requires multiplying the two together so that b occurs an even number of times. One identity alone yields no contradiction — indeed Tb failing for a single b is perfectly normal and simply says b is forced positive.

Is Tb the smallest preordering containing T and b?

When it is a preordering at all, yes: any preordering containing T and b must contain every permuted product of b, doubled ring elements and elements of T, hence every generator of Tb, hence all their sums. When 0Tb, no preordering contains T and b at all.

Can a ring have a preordering but no ordering?

No — that is exactly the content of (17.10a) together with (17.10). Having a preordering, being formally real, and having an ordering are all equivalent for a nonzero ring; the equivalence is R. E. Johnson's theorem (17.11).

References

  1. T. Y. Lam, A First Course in Noncommutative Rings, Graduate Texts in Mathematics 131, Springer-Verlag, 1991, §17, results (17.5)–(17.10), pp. 277–280.
  2. E. Artin and O. Schreier, Algebraische Konstruktion reeller Körper, Abhandlungen aus dem Mathematischen Seminar der Universität Hamburg 5 (1927). The commutative prototype of the maximality argument.
  3. T. Y. Lam, Orderings, Valuations and Quadratic Forms, CBMS Regional Conference Series in Mathematics 52, American Mathematical Society, 1983. Preorderings, fans and spaces of orderings in the field case.
  4. A. Prestel, Lectures on Formally Real Fields, Lecture Notes in Mathematics 1093, Springer-Verlag, 1984.
  5. M. Marshall, Positive Polynomials and Sums of Squares, Mathematical Surveys and Monographs 146, American Mathematical Society, 2008. Preorderings, quadratic modules and their computational use.

AI Suggested Questions

  • What is the exact relationship between Lam's preorderings and the quadratic modules used in the noncommutative Positivstellensatz?
  • For which noncommutative rings can a maximal preordering be described explicitly rather than obtained from Zorn's Lemma?
  • How does the poset of preorderings of a commutative ring relate to the topology of its real spectrum?
  • Are there natural weakenings of axiom (17.6) that still force the ring to be a domain?
  • What does the set of orderings above a fixed preordering look like for a free algebra over a formally real field?
  • How do preorderings interact with Ore localisation, and when is the extension of a preordering still proper?
  • Which choice principles, weaker than the axiom of choice, suffice to prove that every formally real ring is orderable?
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