Abstract
Recently we have proposed a simple method for obtaining the parameters of a ligand field multiplet model for L-edge spectra calculations from density functional theory. Here we generalize the method to systems where the metal site has arbitrary point symmetry. The ligand field-induced splitting of the metal d-level becomes a hermitian matrix with cross-terms between the different d-orbitals. The anisotropy of the covalency is fully taken into account and it rescales the electron–electron interaction and the oscillator strength in an orbital-dependent way. We apply the method to polarization-dependent V L-edge spectra of vanadium pentoxide and obtain very good agreement with the experiment.
    1. Introduction
Ligand field multiplet theory (LFMT) is the standard method for analyzing optical and X-ray spectra involving transition to 3d and 4f valence shells in transition metal and rare-earth compounds []. It is an invaluable tool for coordination chemistry, photo-chemistry and X-ray absorption spectroscopy [,]. LFMT is based on a single ion model, where intra-atomic electron–electron interactions are accurately described by using a multi-configurational wave function. The perturbation by the rest system is reduced to a local potential, the ligand field (LF) acting on the metal atom. The LF splits the -fold orbitally degenerate free atom shell with angular momentum l, into several sub-levels, according to the point symmetry at the metal center. The LF splitting can be described by a few independent parameters. In the case of a transition metal ion in cubic symmetry, for example, the -level splits into three-fold () and two-fold () sub-levels, whose energy difference corresponds to the LF parameter . Despite its simplicity, LFMT has been very successful in reproducing experimental spectra, and provides important insight into the electronic and magnetic state of the metal center. The major drawback of the method is that it relies on empirical parameters, namely the LF energy splittings and a reduction parameter of the Coulomb integrals, which accounts for partial delocalization of the atomic orbitals by ligand bonding (also known as the nephelauxetic effect []). Various schemes have been presented for extracting LF parameters from ab initio calculations [,,]. Most of these methods focus on the weak ligand field of rare-earth  shells and/or are tied to specific quantum chemistry codes, e.g., ADF []. As a result, they have not found wide-spread use in the community of X-ray spectroscopists, who still largely rely on adjusting the LF parameters to the experimental spectra. Since the number of LF parameters increases with decreasing symmetry, the need for non-empirical parameter determination is particularly strong for low symmetry systems. Indeed, while in octahedral symmetry, there is only one LF parameter (), the number of independent parameters rises to 14 for the lowest possible symmetry ( group). Additionally, Coulomb integral reduction factors are needed to describe the nephelauxetic effect. If the anisotropy of the covalency is to be taken account of, the number of independent reduction parameters can be as large as 15 (for  symmetry), which would give a total of 29 independent parameters. It is clear that fitting such a large number of empirical parameters to a single experimental X-ray absorption spectrum is both mathematically ill-defined and physically meaningless. Metal ions at low symmetry sites are very common in catalytic active systems and biological molecules. When empirical LFMT is applied to such systems, an approximate, higher point symmetry is often assumed [] without theoretical justification and with uncertain outcome.
In Ref. [] we have presented a simple, non-empirical scheme for obtaining the LF parameters ab initio from the output of standard density functional theory (DFT) codes. The anisotropy of the nephelauxetic effect has also been taken into account. These features were implemented in a home-written LFMT code []. The method was tested on transition metal monoxide crystals and metal phthalocyanine molecules and good results were obtained in all cases []. In those examples, the point symmetry was high ( or ), such that the five d-orbitals are not mixed by the LF, i.e., the LF matrix is diagonal. This fact justified a number of simplifying theoretical assumptions that were made in [], but which do not hold in the case of arbitrarily low symmetry.
Here we generalize the method of Ref. [] to arbitrary symmetry and successfully apply it to the V L-edge spectra of VO where the metal site has very low symmetry ().
2. Theory
We consider a single metal atom center in a molecular or solid system, whose valence orbitals are  with energy . Throughout this paper we assume a non-magnetic ground state and suppress the spin quantum number. The theory can easily be extended to allow for a possible spin-dependence of the LF in magnetic systems. In the LFMT we focus on the valence l-shell ( or 3) of the atom with its  orbitals , . The molecular orbitals  are projected on the l-shell atomic orbitals:
      
        
      
      
      
      
    
      where  is the ligand part of the molecular orbital, or more precisely, all of the rest of the molecular orbital without the atomic l-part. We define a metal-l projection matrix as
      
      
        
      
      
      
      
    
The primed sum runs over all eigenstates  with eigenvalues  in a finite energy range , which must include the valence orbitals of predominant metal-l character. At present, the energy range must be chosen by hand for each system upon inspection of the density of states. This is similar to choosing the energy interval that defines the “active space” in quantum chemistry methods such as CAS-SCF []. Obviously, the set of molecular orbitals in the chosen interval must contain a non-zero contribution of each m-orbital, such that  for all m. As a consequence, N is a positive definite hermitian matrix, with strictly positive eigenvalues . We may write , where the unitarian matrix U collects the normalized eigenvectors of N. We define the covalency matrix as:
      
        
      
      
      
      
    
      and have:
      
        
      
      
      
      
    
      where . By putting
      
      
        
      
      
      
      
    
      we define the ligand field matrix  as:
      
        
      
      
      
      
    
These definitions are consistent with []. Indeed, if the point symmetry is high enough such that there is a representation  in which the five d-orbitals do not mix, then, for each molecular orbital , we have  at most for one m. In this case, N in Equation (2) and T in Equation (5) are obviously diagonal matrices. It follows that U is the identity matrix and that A and  are also diagonal. Then Equation (6) reduces to , with  in agreement with [].
It is easy to see that if the symmetry is high, but the d-orbitals  are chosen arbitrarily, i.e., not as representations of the local point group, then Equations (2)–(6) still give the correct LF as in []. This is shown in detail in Appendix A. When the local symmetry is low, then there is no natural d-orbital basis  in which the LF is diagonal. In general, both A and  are full matrices. We note that since both A and  are hermitian, an orthogonal basis can always be found, which brings either of them into diagonal form, but the bases for A and  will in general be different. More importantly, these bases are not solely determined by symmetry, but will depend on the details of the electronic structure ( and ).
Next we consider the electron–electron Coulomb integrals and their reduction due to valence orbital covalency, i.e., the nephelauxetic effect []. Usually, all Slater–Condon integrals are rescaled by a single, empirical scaling factor , typically taken in the range 0.5–1 []. However, using a single scaling factor neglects the different degree of covalency for the different d-orbitals, occurring, e.g., between those making  metal–ligand bonds and those making  bonds. In [] we have taken this anisotropy effect into account by introducing orbital-dependent scaling factors , where the indices are shorthand for the quantum numbers  of the four orbitals entering a Coulomb integral, i.e., . We have used:
      
        
      
      
      
      
    
      where  are the single-ion Hartree–Fock Coulomb integrals and  is the covalency factor of the -orbital. The overall factor  was introduced to take account of the fact that a reduction of the Hartree–Fock values of about 10% is needed even in free atoms, because of configuration interaction effects []. For core-orbitals, there is no covalency and we put . For valence orbitals, the  values are computed from the band structure and Equations (2)–(4).
The expressions (7) are only valid for high symmetry, when the covalency matrix A is diagonal. They are generalized to arbitrary symmetry as follows:
      
        
      
      
      
      
    
      where  is a super-matrix given by:
      
        
      
      
      
      
    
      with A being the covalency matrix (3). For high-point symmetry we have , and so Equations (8) and (9) immediately simplify to Equation (7). In the general case, when A is non-diagonal, Equations (8) and (9) are also valid. This is proven in Appendix B. Note that for core orbitals, we have  whatever the symmetry.
The covalency of the valence orbitals also reduces the optical transition matrix elements and thus the oscillator strengths. This effect was neglected in [] but will be taken into account here. The bare dipole operator for q-polarized light is denoted as , and  in dipole length form. The matrix elements between the 2p core and the 3d valence states are . The covalency corrected dipole operator is denoted as . Similarly to the case of the Coulomb integrals, the rescaled matrix elements are given by:
      
        
      
      
      
      
    
We finish this section by noting that the present approach is very general. It can be applied in its present from to any transition metal compound or molecule with arbitrary symmetry. The only requirement is to have performed a DFT ground state calculation of the system. For computing the ligand field, only the Kohn–Sham energies  and the complex amplitudes  are needed. Here,  denotes the Kohn–Sham wave function and  a d-like valence orbital on a transition metal site. Amplitudes such as  are obtained by projecting the Kohn–Sham orbitals on atomic-centered local orbitals and are provided in most DFT codes (e.g., in the PROCAR file in VASP).
3. Application to Vanadium Pentoxide
We apply the theory to the V L-edge spectra of VO, whose orthorhombic crystal structure is shown in Figure 1. The V site has a strongly distorted octahedral VO coordination, with one short vanadyl (V=O) bond along z, four V-O bonds of intermediate length in the xy-plane and one very long V-O bond opposite of the vanadyl bond. The electronic structure of bulk VO has been computed using DFT in the local density approximation with the plane-wave code VASP []. The experimental crystal structure was used. In the projector-augmented wave (PAW) method, the plane-wave cut-off was set to 500 eV and the Brillouin zone was sampled with a 4 × 8 × 8 Monkhorst–Pack mesh. For the V atomic radius, which is needed for the projection of the Kohn–Sham orbitals onto the V-d orbitals, the default value in the PAW potential file (1.323 Å) was used. The V-d partial density of states (DOS) projected onto the usual cubic d-orbitals is shown in Figure 2.
      
    
    Figure 1.
      Ball-and-stick model of the crystal structure of VO. V as large, light blue balls, O as small red balls. Unit cell boundaries are indicated by thin black lines. (a) Top view along z. (b) Side view along y.
  
      
    
    Figure 2.
      Calculated V-d partial density of states (DOS) of VO.  is the Fermi level. The vertical lines at the top indicate the ligand field levels (diagonal terms of the ligand field matrix ) with the same color code as the DOS.
  
The point symmetry at the V site is very low () such that all five d-orbitals have a different DOS and thus a different LF energy. The point group  has only one symmetry operation, namely the mirror , and the d-orbitals fall into the two irreducible representations  and . The orbitals within each group can mix. As a consequence, the LF matrix is non-diagonal and has eight independent parameters (which excludes the average d-level energy).
For the calculation of the LF and Coulomb integral reduction factors in Equations (2)–(9), we need the eigenenergies  and the metal d-wave amplitudes  where  is a band state, with  the crystal momentum in the first Brillouin zone and n being the band index.  and  are directly taken from the DFT band structure (VASP PROCAR file). For the sums over k, all  points and the whole conduction band are used, i.e., the energy interval is 1 eV  6.5 eV (see Figure 2).
The calculated matrices N, A and  are given in Table 1. As anticipated by the symmetry analysis, there are non-zero non-diagonal matrix elements between the different orbitals of  symmetry {, , } and between those of  symmetry {, }. In the present case, the non-diagonal matrix elements are small. For the covalency matrix A, the non-diagonal matrix elements are about 100 times smaller than the diagonal ones. For the LF matrix  the non-diagonal elements are roughly 10 times smaller than the corresponding level splittings, e.g., the splitting between  and  is 1.1 eV and the non-diagonal term is 0.1 eV. We also note that the diagonal matrix elements for  and  are nearly the same. This means that, although the exact point symmetry of the metal site is , it may be reasonable to approximate the LF using the higher symmetry group  where the d-level splits into only four sub-levels (, ,  and ) and there are no non-diagonal terms. Approximate point symmetries are often used in LFMT []. With the present method, by looking at  and A, one can easily check whether such an approximation is valid. The five ligand field levels (diagonal matrix elements in  of Table 1) are indicated in Figure 2 as vertical bars above the DOS plot. It can be seen that the levels correspond well to the centers of different DOS distributions.
       
    
    Table 1.
    d-orbital projection matrix N, covalency matrix  and ligand field matrix  of VO.
  
The calculated V L-edge absorption spectra for linearly polarized light along the three crystal axes are shown in Figure 3. There is only a tiny difference between the x and y polarization, which is expected from the fact that the LF has approximately  symmetry as noticed above. However, the z-polarized spectra are very different from the -spectra, which reflects the layered structure of VO and the strong anisotropy of the VO octahedra, due to the vanadyl bond oriented along z []. The ligand field energies of the five V- orbitals increase in the order , , , , ; see Table 1. The finding that the -like orbitals (,,) are lower than the -like ones (, ) is typical for octahedral coordination and it reflects the fact that the V-–O- bonds of -type that involve the -like d-orbitals are stronger than the -bonds made by the -like orbitals. It is remarkable, however, that the ligand field level of  is about 1 eV lower than that of , , which suggests that the -bonding of the -orbital is particularly weak. The -level is responsible for the lowest energy peak in the L-edge spectra (at 1 eV in Figure 3), as can be inferred from the peak energy and polarization dependence. Indeed, the fact that this peak vanishes for z-polarized light (see Figure 3) clearly indicates in-plane orientation of the orbital []. We also note that the  orbital has the largest ligand field level, which means that the antibonding molecular orbitals that are formed by the V- and O- states are most strongly hybridized in the case of the V  orbital, which makes the V=O vanadyl bond. This shows that the vanadyl bond, even though it involves only one O ligand atom, is much stronger than any other V-O bond, and even stronger than the four V-O  bonds that are formed by the  orbital combined. The bond strengths of the different V- orbitals are closely related to their covalency. We may characterize the covalency (or hybridization) of an orbital  by the quantity . In the present case, where the off-diagonal elements of A are very small, we have  and thus . From Table 1, the  values are: 0.26 (), 0.34 (,), 0.33 (), 0.48 (). Clearly, the -orbital is the least hybridized, indicating an almost non-bonding state, while  is most strongly hybridized, which reflects the strongly covalent vanadyl double bond.
      
    
    Figure 3.
      Calculated V L-edge spectra of VO for linearly polarized light along the x, y and z axes. The energy is measured from the threshold. A Lorentzian broadening of FWHM 0.4 eV is used.
  
As explained above, the reduction of Coulomb integrals is taken into account in an orbital-dependent way. The larger the hybridization of an orbital  (i.e., the smaller ), the smaller is  in Equation (7), i.e., the stronger is the reduction of the Coulomb integrals. For example, the  Coulomb integrals for the  orbital are reduced by 48%, while those with the -orbitals are reduced only by 26%. For the  Coulomb integrals where , the effect is even stronger [], but in the present case of a -ion with  ground and  final states, the  integrals do not enter the calculation. Previously we have shown that taking into account the orbital dependence of the Coulomb integrals in ligand field multiplet calculations improves the agreement of the spectra with experiments (i.e., for CoO, NiO) although the effect is rather small []. The oscillator strengths are also modified by the orbital-dependent covalency factors; see Equation (10). Here, this effect is taken into account for the first time. The reduction of the oscillator strength is given by , which is maximum for the -orbital (48%). This decreases the relative weight of the two dominant peaks (at ∼5 eV and ∼11.5 eV in Figure 3) and it improves agreement with experiments, as we have checked.
In Figure 4 we compare calculated spectra with experimental data [] for p-polarized light incident at an angle of 90 or 30 from the surface plane. It is seen that the experimental -peak (with maximum at 525 eV) is much broader than the -peak (with a maximum at 518 eV). This is not uncommon for light 3d elements because the  hole has a shorter lifetime than the  hole []. This is partly due to the  Auger decay, which reduces the lifetime of the  hole. In the case of VO, the fact that the oxygen K-edge (not shown) is only about 5 eV above the V- peak may also play a role. The near resonance between the V- and the O- core levels might induce multi-atomic decay processes that further broaden the -peak. To account for the enhanced broadening of the -peak in a phenomenological way, we convoluted the spectra with a Lorenzian of energy-dependent FWHM, given by , where E is the photon energy and  eV is the absorption threshold. We take ,  eV, such that the FWHM is 0.33 eV at the  peak maximum and 0.61 eV at the  maximum. A similar broadening model was successfully used for the L-edge spectra of TiO []. The reason why we use a linearly increasing FWHM rather than two fixed values for  and  is that for light transition element there is strong configuration mixing between the two edges [].
      
    
    Figure 4.
      V L-edge spectra of VO for p-polarized light incident at 90 (black) or 30 (red) with respect to the (001) plane. The experimental spectra (top) have been taken from Ref. []. The calculated spectra (bottom) have been broadened with a Lorenzian of variable width (see text) and shifted in energy to align the -peak with the experiment.
  
In Figure 4, the calculated spectra agree very well with the experimental ones. Almost all features seen in the data are also present in the calculation, except for the weak shoulder structure in the experimental spectrum at 519 eV. The energy positions and intensities of the various peaks differ a little and the -peak is broader in the experiment than in theory, but the overall agreement is remarkably good, in particular the differences between the 90 and 30 spectrum. The agreement between experiment and theory obtained here is at least as good as that obtained with quantum chemistry configuration interaction methods [,] and multichannel multiple scattering theory []. This means that parameterized LFMT can be as reliable and predictive as ab initio quantum chemistry approaches such as CAS-SCF [] and RAS-SCF [], if the LF parameters are computed using the present, non-empirical theory. The advantage of the present LFMT method is that it is simpler and computationally much lighter than those ab initio schemes, because we only need to perform the routine task of a DFT ground state calculation. Moreover, the present method can be applied to molecules [] and solids in the same way. By contrast, when using quantum chemistry methods for the solid state, convergence with respect to cluster size is often a problem [,]. The present approach has some aspects in common with the parameterization of the LF multiplet model using Wannier functions [,]. The Wannier method is powerful and flexible, but more complicated than the present method, especially for the low symmetry systems considered here, where the construction of symmetry adapted Wannier functions may be challenging [].
4. Conclusions
In summary, the recent method of non-empirical ligand field parameter determination of Ref. [] has been generalized to systems of arbitrary symmetry. The ligand field levels and the covalency factors of the different d-orbitals become 5 × 5 matrices that have non-zero non-diagonal elements in case of low symmetry. For high symmetry, the present scheme reduces to []. The covalency of the d-orbitals rescales the Coulomb integrals and the oscillator strengths in an orbital-dependent way. The method has been applied to VO, which has a very low point symmetry (). The calculated spectra agree very well with experiments, and the agreement is on the same level as full ab initio quantum chemistry approaches. The advantage of the present scheme is that it is computationally much simpler and that it can be easily implemented into parameterized LFMT codes, which are widely used for the analysis of L-edge spectra []. The present theory removes the major shortcoming of LFMT, i.e., the need for empirical parameters, while keeping its main advantages, namely conceptual simplicity and versatility at a low numerical cost.
Funding
This research received no external funding.
Data Availability Statement
The data presented in this study are available on request from the corresponding author.
Conflicts of Interest
The authors declare no conflict of interest.
Appendix A. Ligand Field Matrix in High Symmetry Case
Here we assume that the symmetry is high enough such that there is a representation of the point group where the five d-orbitals do not mix. We call this symmetry-adapted local basis . In this basis, the ligand field matrix is diagonal, and, according to Ref. [], given by , where  with  and .
We now consider an arbitrary (global) d-orbital basis , which is related to the local basis by a unitarian matrix U. We show that in the global basis, the ligand field matrix , defined by Equations (2), (5) and (6), is correctly given by .
Proof. The local, symmetry-adapted d-orbitals form a representation of the point group. They are orthogonal and are taken as normalized, i.e.,  (). The eigenstates of the molecule can also be classified by the point group. The eigenstates that transform as  are denoted as  and their energy as  (all other eigenstates do not mix with the d-states and can be disregarded). From the molecular eigenstates we project out the d-orbital component and write:
      
        
      
      
      
      
    
        where  is the ligand part of . We have . For  this holds by definition (projection). When , it follows from the fact that  is orthogonal by symmetry to both  and .
The local d-orbital basis and the global (arbitrary) basis are related by a rotation in Hilbert space:
      
        
      
      
      
      
    
        where  is a unitarian matrix. By definition of Equations (2) and (5), we have:
      
        
      
      
      
      
    
      
        
      
      
      
      
    
By straightforward calculation we obtain:
      
        
      
      
      
      
    
      
        
      
      
      
      
    
        and thus, for the ligand field matrix, Equation (6):
      
        
      
      
      
      
    
		Remembering , this completes the proof.
Appendix B. Rescaling of Matrix Elements in Case of Arbitrary Symmetry
First we consider the high symmetry case where the different d-orbital do not mix, as in Ref. []. A non-zero covalency of a d-orbital implies that the atomic part of the orbital, which enters the Coulomb integrals, and which we denote as , is given by:
      
        
      
      
      
      
    
        where  is the free atom d-orbital and  is the covalency factor. Note that the states  are not normalized. The matrix elements of the covalency-corrected Coulomb interaction operator  are, by definition, given by:
      
        
      
      
      
      
    
        where  is the bare Coulomb operator. In the case of arbitrary symmetry, the above relations do not hold in general for the basis functions , but they do hold for the covalency matrix eigenstates, which we denote as  and which satisfy . Thus,
        
      
        
      
      
      
      
    
From Equation (4) we have  and . Then,
        
      
        
      
      
      
      
    
Inserting Equation (A1) into Equation (A2) and using
        
      
        
      
      
      
      
    
        together with Equation (4) and the fact that A is hermitian, we obtain:
      
        
      
      
      
      
    
When identifying  and  this completes the proof.
Equation (10) is easily seen to be valid by the same reasoning.
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