Executive Summary
Orderings are hard to construct directly: axiom 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 : 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.
Overview
Fix a ring . A preordering is a subset satisfying two conditions:
for all , all and all .
Here denotes any product of the listed factors, arranged in an arbitrary order. Condition therefore packages three separate facts at once: is closed under multiplication, contains every permuted product of doubled elements, and is closed under sandwiching, .
Every ordering is a preordering, because the sign map of Ordered Rings and Positive Cones is multiplicative and assigns 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 .
- Prove : a preordering forces to be a domain of characteristic with .
- Construct and prove the trichotomy of .
- Prove both directions of : 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 and two distinct orderings extending it.
Definitions
is a preordering if it is closed under addition and if, for all and (with ), every product of the list
taken in any order, lies in . Taking shows ; taking shows every permuted doubled product lies in ; taking gives .
Let be a preordering and . Write for the set of all finite sums of elements
is the smallest candidate preordering containing both and : take to get , and to get .
- The weak preordering: all sums of permuted doubled products, with no elements of inserted. It is contained in every preordering of .
- Proper
- A subset of closed under the operations is a preordering precisely when it does not contain ; failure of properness is the only way the definition can break.
- Sandwiching
- Replacing by . This is the noncommutative substitute for multiplying by a square, and is sign-preserving because occurs twice.
satisfies and by construction. The only question is whether — and that is precisely what answers.
Core Concepts
Parity is the invariant
Every argument in this section counts how many times a distinguished element occurs in a product. If occurs an even number of times, the product already lies in ; if odd, then multiplying once more by puts it in . Written out:
- even: , since contributes doubled factors.
- odd: , since the extra makes the count even.
So an element of splits as with collecting the even terms and collecting the odd ones, where . That decomposition is the whole content of .
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 or 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 because each member does.
What maximality buys
If is maximal and , then cannot be a preordering: it contains and , so it would properly contain . This is a very strong tool, because converts " is not a preordering" into an explicit algebraic identity with . Maximality is thus traded for equations.
Key Results
Let be a preordering on a ring . Then , , and is a domain of characteristic zero.
If then and both lie in , so , contradicting .
Taking , , in gives . Then by , and since we get for all ; hence .
Finally suppose with . The arrangement is a legitimate instance of , so it lies in . But , giving — impossible. Hence is a domain.
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 is doing real work.
Let be a preordering on and . The following are equivalent:
- is not a preordering in ;
- there exist with ;
- there exist with .
**(2) (3).** Multiply on the right by : . Since , statement (3) holds with .
**(3) (2).** Multiply on the left by : , and , so (2) holds with the roles and the new .
**(2) (1).** Both and are among the generators of (take and respectively), so . A preordering never contains .
**(1) (2).** satisfies and by construction, so if it is not a preordering the only possible failure is : there is an identity
Group the terms by the parity of . The even terms sum to some (or to if there are none); the odd terms sum to some with (or if there are none), because multiplying an odd term on the left by makes every multiplicity even. If there were no odd terms then , absurd; if there were no even terms then , whence , equally absurd. So both groups are non-empty, and .
Now reads . Multiplying on the left by gives , that is with . This is (2).
Let be a ring and a preordering. Then is an ordering of if and only if is maximal among the preorderings of .
**Ordering maximal.** Let be an ordering and suppose is a preordering. Pick . Then , so totality gives , and — impossible.
**Maximal ordering.** Let be a maximal preordering and suppose it is not an ordering; then some has and . Since satisfies and , maximality forbids from being a preordering (it would strictly contain ). By there are with
The same argument applied to gives with , i.e.
Set . Because occurs twice and , this is an instance of and so . On the other hand gives , so using ,
Since we have , and therefore — contradicting . Hence was an ordering after all.
If has a preordering , then has an ordering .
Proof. The preorderings of containing 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 . Zorn's Lemma supplies a maximal element , which is an ordering by .
Proof Techniques and Method
How these proofs work, and which move to reuse.
This four-step pattern recurs verbatim in for the division closure and in for extension to a larger ring. Learning it once covers most of §17.
Worked Example
A preordering that is already an ordering
Take . Here is the set of nonzero sums of squares. Every positive rational (with positive integers) equals , and is a sum of four integer squares by Lagrange's theorem, so
Check: , and .
So the weak preordering of is already total, hence maximal, hence the unique ordering of by .
A preordering that is not an ordering
Take . Since is commutative, is the set of nonzero sums of squares of polynomials, which in one variable is exactly
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: and , so totality fails. Two orderings above it, both containing :
| Ordering | Positivity rule | Sign of | Sign of |
|---|---|---|---|
| for all large ; equivalently the leading coefficient is positive | positive | positive | |
| for all close to | negative | positive |
For : as it is positive, and for small negative the factor is negative while is negative, so the product is positive. Both orderings agree here, while they disagree on — consistent with the fact that lies in no intersection of all orderings.
The auxiliary set in this example
With and , the set consists of all sums with each a nonzero sum of squares. Could lie in ? By that would need with nonnegative and nonzero — impossible, since changes sign at while does not. So is a preordering, and any maximal preordering above it is an ordering in which ; is one such.
Process and Workflow
You want to know whether a given can be made positive, relative to a preordering .
Comparison and Classification
| Notion | Closed under sums | Contains permuted doubled products | Total | Exists when |
|---|---|---|---|---|
| Ordering | yes | yes | yes | formally real, via Zorn |
| Preordering | yes | yes | no | formally real |
| Weak preordering | yes | yes | no | formally real; smallest of all |
| Auxiliary | yes | yes | no | no identity over |
| Intersection of orderings | yes | yes | no | division-closed, |
| Intersection of a family | Union of a chain | Restriction to a subring | Extension to an overring | |
|---|---|---|---|---|
| Preordering | yes | yes | yes | partial |
| Ordering | no | no | yes | partial |
| Maximality | no | yes | no | no |
Which properties survive which operation
"Part" records that extension to an overring is governed by the criterion of and can fail, as it does for .
Relationship Map
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 .
- Preorderings of — ordered by inclusion
- smallest element
- the weak preordering , present exactly when is formally real
- maximal elements
- the orderings of , by
- at least one above every preordering, by Zorn
- closure operations
- intersection of orderings, always a preordering
- division closure , itself a preordering,
- smallest element
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 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 and in ; they are what give and .
- Do not conclude from that . 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 is not a sum of them.
- Keep an explicit note of the parity bookkeeping: which elements are doubled, and which are inserted from .
- State whether a claimed cone is maximal; without maximality, gives nothing.
- When you need an ordering with a prescribed positive element , build rather than trying to extend a total order by hand.
Quick Reference
| Choice of | Consequence |
|---|---|
| , | : closure under multiplication |
| , | for all |
| , , | |
| , | : sandwiching |
| , | for all |
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 does not follow from plus unless the ring is commutative. Axiom 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 , 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 mean every ordering arises as a maximal preordering containing ?
Yes. Every preordering contains , so in particular every ordering does, and orderings are maximal among preorderings. Hence the orderings of are exactly the maximal elements of the poset of preorderings containing .
Why does the proof of need both and ?
Failing to be an ordering means some element is neither positive nor negative, which is two pieces of information. Each gives an identity through , and the contradiction requires multiplying the two together so that occurs an even number of times. One identity alone yields no contradiction — indeed failing for a single is perfectly normal and simply says is forced positive.
Is the smallest preordering containing and ?
When it is a preordering at all, yes: any preordering containing and must contain every permuted product of , doubled ring elements and elements of , hence every generator of , hence all their sums. When , no preordering contains and at all.
Can a ring have a preordering but no ordering?
No — that is exactly the content of together with . 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 .
References
- 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.
- 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.
- 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.
- A. Prestel, Lectures on Formally Real Fields, Lecture Notes in Mathematics 1093, Springer-Verlag, 1984.
- 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 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?
