Crystal structure refinement with SHELXL
Abstract
New features added to the refinement program SHELXL since 2008 are described and explained.
The improvements in the crystal structure refinement program SHELXL have been closely coupled with the development and increasing importance of the CIF (Crystallographic Information Framework) format for validating and archiving crystal structures. An important simplification is that now only one file in CIF format (for convenience, referred to simply as ‘a CIF’) containing embedded reflection data and SHELXL instructions is needed for a complete structure archive; the program SHREDCIF can be used to extract the
Introduction
The first version of SHELX dates back to about 1970 and, after extensive testing, it was first released in 1976. Since then the program system has been developed continuously. The early history has been described by Sheldrick (2008 ▶). The present paper is intended to explain the philosophical and crystallographic background to developments between 2008 and 2015 in SHELXL, the program in the SHELX system responsible for crystal structure refinement. Although SHELXL may also be used for the refinement of macromolecular structures against high-resolution data, most of the new developments have concentrated on the refinement of chemical structures, such as those published in Section C of Acta Crystallographica. Readers not familiar with SHELX may find it useful to look at Sheldrick (2008 ▶) before reading this paper.
A major change since 2008 is that the distribution is performed via the SHELX homepage (http://shelx.uni-ac.gwdg.de/SHELX/), which also provides a great deal of documentation, tutorials and other useful information. The programs are updated more frequently than in the past and the list of recent changes should be consulted regularly to see if it is necessary to download a new version. The homepage also contains a list of registered users (but not their email addresses); currently there are over 8000 spread over more than 80 countries. SHELX workshops are announced on the homepage, and many of the talks given at these workshops may be downloaded there. SHELXL is compiled with the Intel ifort FORTRAN compiler using the statically linked MKL library, and is available free to academics for the 32- or 64-bit Windows, 32- or 64-bit Linux and 64-bit Mac OS X operating systems. Multithreading is achieved using OpenMP along the lines suggested by Diederichs (2000 ▶), and the program is particularly suitable for multiple-core processors.
SHELXL and CIF format
The importance of depositing crystallographic data
Although the IUCr journals have led the way in insisting that experimental crystallographic data should be deposited, several leading chemical journals still only require the deposition of a CIF (Hall et al., 1991 ▶) containing just the results of the crystal structure determination and not the X-ray or neutron reflection data used to determine the structure. In this respect, biological crystallographers are more advanced. The PDB (Protein Data Bank; Berman, 2008 ▶) has required the deposition of reflection data since February 2008 and virtually all journals that report biological crystal structures, including high-profile journals such as Nature and Science, require a PDB ID for the structure. This has already had a considerable impact. For example, it has led to the retraction of several structures in which the data do not support the claim that a particular ligand was bound to a protein.
One very recent example of the use of such deposited data (Köpfer et al., 2014 ▶) can be mentioned here, since it involved the use of SHELXL to refine occupancies and obtain standard uncertainties for them. For over 50 years, the accepted model (Hodgkin & Keynes, 1955 ▶) for the potassium channel present in many living systems was that it involved the transport of both potassium ions and water molecules, based on the argument that adjacent binding sites could not be occupied by K+ cations because they would repel one another, and so the intermediate sites must be occupied by water molecules. Several protein crystal structures were refined at modest resolution with alternating potassium ions and water molecules in the channel and appeared to support this model. However, to the authors’ credit, they deposited their reflection data, including the Friedel pairs, although that was not then obligatory. When sophisticated molecular dynamics (MD) calculations showed that only a model with adjacent K+ cations could account, by a sort of knock-on effect, for the very high potassium permeability observed, it was necessary to reinvestigate the structure using the deposited X-ray reflection data. Both the occupancy refinements with SHELXL and the analysis of the anomalous data with SHELXD (Schneider & Sheldrick, 2002 ▶) and ANODE (Thorn & Sheldrick, 2011 ▶) showed conclusively that the four connected potassium sites are almost fully occupied, as predicted by the MD calculations.
Archiving crystallographic data
To make the deposition and archiving of reflection data as simple as possible, the CIF written by SHELXL now includes the
_shelx_hkl_file
;
... reflection data in SHELX HKLF 2, 3, 4 or 5 format ...
;
_shelx_hkl_checksum 12345
The checksum provides a check that the data have not been corrupted accidentally. The
It is difficult to understand why several leading chemical journals still only require the deposition of the atom coordinates, etc., but not the reflection data, especially now that the Cambridge Structural Database (CSD; Allen, 2002 ▶) accepts the new CIFs and strongly encourages deposition of the reflection data. A simple solution would be for journals to require a confirmation that the full data have been deposited with the CSD (Bruno & Groom, 2014 ▶) or COD (Gražulis et al., 2012 ▶), analogous to the way in which the PDB requires deposition of the structural and reflection data before issuing a PDB ID.
Including CIF items at the end of the.hkl file
Since SHELX76, the reflection data have been read until a reflection with indices 0,0,0 or a blank line (or card) or the end of the file was encountered. The rest of the file was never read by the SHELX programs. This means that additional data specific to that data set, such as details of the data collection and processing, may conveniently be appended to the
_exptl_absorpt_process_details ‘SADABS 2014/4’
_exptl_absorpt_correction_type multi-scan
_exptl_absorpt_correction_T_max 0.7489
_exptl_absorpt_correction_T_min 0.7208
_exptl_special_details
;
The following wavelength and cell were deduced by SADABS from the direction cosines etc. They are given here for emergency use only:
CELL 0.71072 6.100 18.294 20.604 90.006 89.992 90.000
;
SHELXL uses the CIF items found at the end of the
Refinement against neutron diffraction data and special facilities for H atoms
The new features in SHELXL for refinement against neutron data have been discussed recently by Gruene et al. (2014 ▶). If a
Chiral volume restraints for refinement against neutron data
The chiral volume restraint
Anisotropic refinement of H and D atoms against neutron data
Since the neutron scattering factors for H, and especially for D, are of a similar order of magnitude to those for other atoms, H and D also need to be refined anisotropically for refinement against neutron data. Unfortunately, this results in about twice as many parameters as for a standard refinement against X-ray data, and the number of data available may well be less than for an X-ray refinement, so further restraints such as the new
The
The following example, using data from Lübben et al. (2014 ▶), is a little different, because it involves the anisotropic refinement of all atoms, including H atoms, using SHELXL against neutron diffraction data collected at 9 K. The
Close inspection of the atomic displacement ellipsoids in Fig. 1 ▶(a) shows that the assumption that the relative motion of the H atoms is at right angles to the bonds holds well, even for the unrestrained refinement. The refinement with tight
Fig. 1 ▶ also exhibits much larger atomic displacement ellipsoids for the H atoms than for the remaining atoms. At such low temperatures, the frequently made assumption that the isotropic displacement parameters of the atoms can be set to 1.2 or 1.5 times the equivalent isotropic U values of the atoms to which they are bonded is clearly not justified. However, at temperatures above about 100 K it has been shown that this assumption is less seriously flawed (Lübben et al., 2014 ▶). Capelli et al. (2014 ▶) recently showed that Hirshfeld atom refinement provides a much more accurate way of deriving anisotropic displacement parameters for H atoms from X-ray data.
Other new facilities for H atoms and CF3 groups
Except where the
An
Absolute structure determination
In the distant past, it was often assumed that it was necessary to include a heavy atom, e.g. by making a rubidium salt or bromobenzoate derivative, in order to obtain a reliable absolute structure, for instance to establish which enantiomer of a chiral molecule was correct. Since then, experimental and computational methods have made such progress that the absolute structure can often even be determined with Mo Kα radiation when the heaviest atom is oxygen (Escudero-Adán et al., 2014 ▶). When the 2008 SHELX paper was written, the method of choice to determine the absolute structure was to refine the Flack parameter (Flack, 1983 ▶) as one of the parameters in a full-matrix refinement. Since then it has become clear that this led to a substantial overestimation of the standard uncertainty of the Flack parameter, and that post-refinement methods using either a Bayesian approach (Hooft et al., 2008 ▶) or quotients or differences of the Friedel opposites as observations (Parsons et al., 2013 ▶) give more reasonable estimates of the Flack parameter, and especially its standard uncertainty. This led to the IUCr/checkCIF requirement that Friedel opposites should not be merged in the deposited data. For small-molecule refinements with SHELXL, the input
Estimates of standard uncertainties
One side effect of the inclusion of Friedel opposites is that there will be nearly twice as many data for the refinement of a noncentrosymmetric structure, which, using the usual least-squares algebra, would lead to a reduction in the estimated standard uncertainties of all parameters by a factor of nearly 21/2. SHELXL now uses the number of unique reflections as defined by the Laue group, rather than the number of observations, in the formula used to estimate the standard uncertainties (Spek, 2012 ▶). It could be argued that all reflection intensities are independent measurements, and this was approximately true for unscaled data from point detectors before the introduction of focusing optics. However, it is now standard practice to scale the data so that equivalent reflections (usually including Friedel opposites) become more equal, in order to correct for absorption and differences in the effective crystal volume irradiated, and then the equivalent reflections can no longer be regarded as independent observations. In some cases, this change may result in a modest increase in the estimated standard uncertainties, but these were generally underestimated anyway (Taylor & Kennard, 1986 ▶). The new method of estimating standard uncertainties also applies to twinned structures, where some SHELXL97 users were required by referees to throw away some of their carefully measured data so that the number of observations would be equal to the number of unique reflections. Now all the experimental data may be used and the estimated standard uncertainties should be more realistic. With SHELXL97, it was necessary to use the third least-squares parameter to correct the estimated standard uncertainties; this is not required anymore (except for ‘SQUEEZEd’ structures).
Input of partial structure factors
The new
Extending thePART number concept
The use of
As an example, consider an n-butyl substituent coordinated through atom C1 that splits into two disorder components at C2. Atom C1 is then in
BIND C2B C3B’
BIND C2B C3B”
but then
BIND 2 3
BIND 2 4
now enables the H atoms to be generated correctly. Since SHELXL allows atoms to have the same names if they have different
Other new features in SHELXL
One of the most common cases of instability in crystal structure refinements is when the atomic displacement parameters refine to appreciably negative values. The new
The new
As in SHELXL97, ‘+filename’ may be used to insert further instructions whilst reading the
Although the
The
Details of further changes since 2008 may be found on the SHELX homepage (http://shelx.uni-ac.gwdg.de/SHELX/).
Conclusions
This account of changes and extensions to SHELXL since 2008 is testimony to the continuous development of the structure refinement techniques that is still taking place. In that time, CIF has advanced to become the standard for the deposition and archiving of crystallographic data, and this is reflected in many of the changes in SHELXL. The
Displacement ellipsoid style plot, drawn using SHELXLE (Hübschle et al., 2011 ▶), of N-acetyl-4-hydroxy-l-proline monohydrate, (a) without and (b) with the application of

Acknowledgments
The author is very grateful to many SHELX users for patiently reporting bugs and suggesting improvements, and in particular to Ton Spek, Regine Herbst-Irmer, Tony Linden, Tim Gruene and Birger Dittrich for many useful discussions. He thanks the Volkswagen-Stiftung and the state of Niedersachsen for the award of a Niedersachsen (Emeritus) Professorship.
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