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F O U R T H
E D I T I O N
Donald L. Pavia
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INTRODUCTION
TO SPECTROSCOPY
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Gary M. Lampman
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James R. Vyvyan
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Department of Chemistry
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Bellingham, Washington
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Introduction to Spectroscopy,
Fourth Edition
Donald L. Pavia, Gary M. Lampman,
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PREFACE
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his is the fourth edition of a textbook in spectroscopy intended for students of organic
chemistry. Our textbook can serve as a supplement for the typical organic chemistry lecture
textbook, and it can also be used as a “stand-alone” textbook for an advanced undergraduate
course in spectroscopic methods of structure determination or for a first-year graduate course in
spectroscopy. This book is also a useful tool for students engaged in research. Our aim is not only to
teach students to interpret spectra, but also to present basic theoretical concepts. As with the previous editions, we have tried to focus on the important aspects of each spectroscopic technique without dwelling excessively on theory or complex mathematical analyses.
This book is a continuing evolution of materials that we use in our own courses, both as a supplement to our organic chemistry lecture course series and also as the principal textbook in our upper
division and graduate courses in spectroscopic methods and advanced NMR techniques. Explanations and examples that we have found to be effective in our courses have been incorporated into
this edition.
This fourth edition of Introduction to Spectroscopy contains some important changes. The
discussion of coupling constant analysis in Chapter 5 has been significantly expanded. Long-range
couplings are covered in more detail, and multiple strategies for measuring coupling constants are
presented. Most notably, the systematic analysis of line spacings allows students (with a little
practice) to extract all of the coupling constants from even the most challenging of first-order
multiplets. Chapter 5 also includes an expanded treatment of group equivalence and diastereotopic
systems.
Discussion of solvent effects in NMR spectroscopy is discussed more explicitly in Chapter 6,
and the authors thank one of our graduate students, Ms. Natalia DeKalb, for acquiring the data in
Figures 6.19 and 6.20. A new section on determining the relative and absolute stereochemical configuration with NMR has also been added to this chapter.
The mass spectrometry section (Chapter 8) has been completely revised and expanded in this
edition, starting with more detailed discussion of a mass spectrometer’s components. All of the
common ionization methods are covered, including chemical ionization (CI), fast-atom bombardment (FAB), matrix-assisted laser desorption ionization (MALDI), and electrospray techniques.
Different types of mass analyzers are described as well. Fragmentation in mass spectrometry is discussed in greater detail, and several additional fragmentation mechanisms for common functional
groups are illustrated. Numerous new mass spectra examples are also included.
Problems have been added to each of the chapters. We have included some more solved problems, so that students can develop skill in solving spectroscopy problems.
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Preface
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The authors are very grateful to Mr. Charles Wandler, without whose expert help this project
could not have been accomplished. We also acknowledge numerous contributions made by our students who use the textbook and who provide us careful and thoughtful feedback.
We wish to alert persons who adopt this book that answers to all of the problems are available on
line from the publisher. Authorization to gain access to the web site may be obtained through the
local Cengage textbook representative.
Finally, once again we must thank our wives, Neva-Jean, Marian, Carolyn, and Cathy for their
support and their patience. They endure a great deal in order to support us as we write, and they
deserve to be part of the celebration when the textbook is completed!
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Donald L. Pavia
Gary M. Lampman
George S. Kriz
James R. Vyvyan
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CHAPTER 1
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CONTENTS
MOLECULAR FORMULAS AND WHAT CAN BE LEARNED
FROM THEM
1
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Elemental Analysis and Calculations
1
Determination of Molecular Mass
5
Molecular Formulas
5
Index of Hydrogen Deficiency
6
The Rule of Thirteen
9
A Quick Look Ahead to Simple Uses of Mass Spectra
Problems
13
References
14
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1.1
1.2
1.3
1.4
1.5
1.6
12
CHAPTER 2
INFRARED SPECTROSCOPY
The Infrared Absorption Process
16
Uses of the Infrared Spectrum
17
The Modes of Stretching and Bending
18
Bond Properties and Absorption Trends
20
The Infrared Spectrometer
23
A. Dispersive Infrared Spectrometers
23
B. Fourier Transform Spectrometers
25
Preparation of Samples for Infrared Spectroscopy
26
What to Look for When Examining Infrared Spectra
26
Correlation Charts and Tables
28
How to Approach the Analysis of a Spectrum (Or What You Can Tell at a Glance)
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2.1
2.2
2.3
2.4
2.5
15
2.6
2.7
2.8
2.9
30
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2.10
54
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2.15
2.16
2.17
2.18
2.19
2.20
2.21
2.22
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2.11
2.12
2.13
2.14
Hydrocarbons: Alkanes, Alkenes, and Alkynes
31
A. Alkanes
31
B. Alkenes
33
C. Alkynes
35
Aromatic Rings
43
Alcohols and Phenols
47
Ethers
50
Carbonyl Compounds
52
A. Factors that Influence the CJO Stretching Vibration
B. Aldehydes
56
C. Ketones
58
D. Carboxylic Acids
62
E. Esters
64
F. Amides
70
G. Acid Chlorides
72
H. Anhydrides
73
Amines
74
Nitriles, Isocyanates, Isothiocyanates, and Imines
77
Nitro Compounds
79
Carboxylate Salts, Amine Salts, and Amino Acids
80
Sulfur Compounds
81
Phosphorus Compounds
84
Alkyl and Aryl Halides
84
The Background Spectrum
86
Problems
88
References
104
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CHAPTER 3
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NUCLEAR MAGNETIC RESONANCE SPECTROSCOPY
PART ONE: BASIC CONCEPTS
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3.2
3.3
3.4
3.5
3.6
3.7
3.8
105
Nuclear Spin States
105
Nuclear Magnetic Moments
106
Absorption of Energy
107
The Mechanism of Absorption (Resonance)
109
Population Densities of Nuclear Spin States
111
The Chemical Shift and Shielding
112
The Nuclear Magnetic Resonance Spectrometer
114
A. The Continuous-Wave (CW) Instrument
114
B. The Pulsed Fourier Transform (FT) Instrument
116
Chemical Equivalence—A Brief Overview
120
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3.12
3.13
3.14
3.15
3.16
3.17
3.18
3.19
Integrals and Integration
121
Chemical Environment and Chemical Shift
123
Local Diamagnetic Shielding
124
A. Electronegativity Effects
124
B. Hybridization Effects
126
C. Acidic and Exchangeable Protons; Hydrogen Bonding
127
Magnetic Anisotropy
128
Spin–Spin Splitting (n + 1) Rule
131
The Origin of Spin–Spin Splitting
134
The Ethyl Group (CH3CH2I)
136
Pascal’s Triangle
137
The Coupling Constant
138
A Comparison of NMR Spectra at Low- and High-Field Strengths
141
1
Survey of Typical H NMR Absorptions by Type of Compound
142
A. Alkanes
142
B. Alkenes
144
C. Aromatic Compounds
145
D. Alkynes
146
E. Alkyl Halides
148
F. Alcohols
149
G. Ethers
151
H. Amines
152
I. Nitriles
153
J. Aldehydes
154
K. Ketones
156
L. Esters
157
M. Carboxylic Acids
158
N. Amides
159
O. Nitroalkanes
160
Problems
161
References
176
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3.10
3.11
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CHAPTER 4
NUCLEAR MAGNETIC RESONANCE SPECTROSCOPY
PART TWO: CARBON-13 SPECTRA, INCLUDING HETERONUCLEAR COUPLING WITH
OTHER NUCLEI
177
4.1
4.2
4.3
The Carbon-13 Nucleus
177
Carbon-13 Chemical Shifts
178
A. Correlation Charts
178
B. Calculation of 13C Chemical Shifts
180
13
Proton-Coupled C Spectra—Spin–Spin Splitting of Carbon-13 Signals
181
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Proton-Decoupled 13C Spectra
183
Nuclear Overhauser Enhancement (NOE)
184
Cross-Polarization: Origin of the Nuclear Overhauser Effect
186
13
Problems with Integration in C Spectra
189
Molecular Relaxation Processes
190
Off-Resonance Decoupling
192
A Quick Dip into DEPT
192
Some Sample Spectra—Equivalent Carbons
195
Compounds with Aromatic Rings
197
Carbon-13 NMR Solvents—Heteronuclear Coupling of Carbon to Deuterium
Heteronuclear Coupling of Carbon-13 to Fluorine-19
203
Heteronuclear Coupling of Carbon-13 to Phosphorus-31
204
Carbon and Proton NMR: How to Solve a Structure Problem
206
Problems
210
References
231
ll.
4.4
4.5
4.6
4.7
4.8
4.9
4.10
4.11
4.12
4.13
4.14
4.15
4.16
CHAPTER 5
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NUCLEAR MAGNETIC RESONANCE SPECTROSCOPY
PART THREE: SPIN–SPIN COUPLING
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Coupling Constants: Symbols
233
Coupling Constants: The Mechanism of Coupling
234
1
A. One-Bond Couplings ( J)
235
B. Two-Bond Couplings (2J)
236
3
C. Three-Bond Couplings ( J)
239
4 n
D. Long-Range Couplings ( J– J)
244
Magnetic Equivalence
247
Spectra of Diastereotopic Systems
252
A. Diastereotopic Methyl Groups: 4-Methyl-2-pentanol
252
B. Diastereotopic Hydrogens: 4-Methyl-2-pentanol
254
Nonequivalence within a Group—The Use of Tree Diagrams when the n + 1 Rule
Fails
257
Measuring Coupling Constants from First-Order Spectra
260
A. Simple Multiplets—One Value of J (One Coupling)
260
B. Is the n + 1 Rule Ever Really Obeyed?
262
C. More Complex Multiplets—More Than One Value of J
264
Second-Order Spectra—Strong Coupling
268
A. First-Order and Second-Order Spectra
268
B. Spin System Notation
269
270
C. The A2, AB, and AX Spin Systems
D. The AB2 . . . AX2 and A2B2 . . . A2X2 Spin Systems
270
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5.2
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5.5
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5.7
233
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5.8
5.9
5.10
E. Simulation of Spectra
272
F. The Absence of Second-Order Effects at Higher Field
272
G. Deceptively Simple Spectra
273
Alkenes
277
Measuring Coupling Constants—Analysis of an Allylic System
Aromatic Compounds—Substituted Benzene Rings
285
A. Monosubstituted Rings
286
B. para-Disubstituted Rings
288
C. Other Substitution
291
Coupling in Heteroaromatic Systems
293
Problems
296
References
328
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CHAPTER 6
NUCLEAR MAGNETIC RESONANCE SPECTROSCOPY
PART FOUR: OTHER TOPICS IN ONE-DIMENSIONAL NMR
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6.3
6.4
6.5
6.6
6.7
6.8
6.9
6.10
Protons on Oxygen: Alcohols
329
Exchange in Water and D2O
332
A. Acid/Water and Alcohol/Water Mixtures
332
B. Deuterium Exchange
333
C. Peak Broadening Due to Exchange
337
Other Types of Exchange: Tautomerism
338
Protons on Nitrogen: Amines
340
Protons on Nitrogen: Quadrupole Broadening and Decoupling
Amides
345
The Effect of Solvent on Chemical Shift
347
Chemical Shift Reagents
351
Chiral Resolving Agents
354
Determining Absolute and Relative Configuration via NMR
A. Determining Absolute Configuration
356
B. Determining Relative Configuration
358
Nuclear Overhauser Effect Difference Spectra
359
Problems
362
References
380
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CHAPTER 7
ULTRAVIOLET SPECTROSCOPY
7.1
7.2
7.3
381
The Nature of Electronic Excitations
381
The Origin of UV Band Structure
383
Principles of Absorption Spectroscopy
383
329
342
356
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Instrumentation
384
Presentation of Spectra
385
Solvents
386
What Is a Chromophore?
387
The Effect of Conjugation
390
The Effect of Conjugation on Alkenes
391
The Woodward–Fieser Rules for Dienes
394
Carbonyl Compounds; Enones
397
Woodward’s Rules for Enones
400
a,b-Unsaturated Aldehydes, Acids, and Esters
402
Aromatic Compounds
402
A. Substituents with Unshared Electrons
404
B. Substituents Capable of p-Conjugation
406
C. Electron-Releasing and Electron-Withdrawing Effects
406
D. Disubstituted Benzene Derivatives
406
E. Polynuclear Aromatic Hydrocarbons and Heterocyclic Compounds
Model Compound Studies
411
Visible Spectra: Color in Compounds
412
What to Look for in an Ultraviolet Spectrum: A Practical Guide
413
Problems
415
References
417
CHAPTER 8
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7.15
7.16
7.17
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7.4
7.5
7.6
7.7
7.8
7.9
7.10
7.11
7.12
7.13
7.14
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MASS SPECTROMETRY
The Mass Spectrometer: Overview
418
Sample Introduction
419
Ionization Methods
420
A. Electron Ionization (EI)
420
B. Chemical Ionization (CI)
421
C. Desorption Ionization Techniques (SIMS, FAB, and MALDI)
D. Electrospray Ionization (ESI)
426
Mass Analysis
429
A. The Magnetic Sector Mass Analyzer
429
B. Double-Focusing Mass Analyzers
430
C. Quadrupole Mass Analyzers
430
D. Time-of-Flight Mass Analyzers
432
Detection and Quantitation: The Mass Spectrum
435
Determination of Molecular Weight
438
Determination of Molecular Formulas
441
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8.3
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8.5
8.6
8.7
425
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8.8
A. Precise Mass Determination
441
B. Isotope Ratio Data
441
Structural Analysis and Fragmentation Patterns
445
A. Stevenson’s Rule
446
B. The Initial Ionization Event
447
C. Radical-site Initiated Cleavage: a-Cleavage
448
D. Charge-site Initiated Cleavage: Inductive Cleavage
448
E. Two-Bond Cleavage
449
F. Retro Diels-Adler Cleavage
450
G. McLafferty Rearrangements
450
H. Other Cleavage Types
451
I. Alkanes
451
J. Cycloalkanes
454
K. Alkenes
455
L. Alkynes
459
M. Aromatic Hydrocarbons
459
N. Alcohols and Phenols
464
O. Ethers
470
P. Aldehydes
472
Q. Ketones
473
R. Esters
477
S. Carboxylic Acids
482
T. Amines
484
U. Selected Nitrogen and Sulfur Compounds
488
V. Alkyl Chlorides and Alkyl Bromides
492
Strategic Approach to Analyzing Mass Spectra and Solving Problems
Computerized Matching of Spectra with Spectral Libraries
497
Problems
498
References
519
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8.10
CHAPTER 9
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Example 1
522
Example 2
524
Example 3
526
Example 4
529
Problems
531
Sources of Additional Problems
586
520
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CHAPTER 10
NUCLEAR MAGNETIC RESONANCE SPECTROSCOPY
PART FIVE: ADVANCED NMR TECHNIQUES
Pulse Sequences
587
Pulse Widths, Spins, and Magnetization Vectors
589
Pulsed Field Gradients
593
The DEPT Experiment
595
Determining the Number of Attached Hydrogens
598
A. Methine Carbons (CH)
598
B. Methylene Carbons (CH2)
599
C. Methyl Carbons (CH3)
601
D. Quaternary Carbons (C)
601
E. The Final Result
602
10.6 Introduction to Two-Dimensional Spectroscopic Methods
602
10.7 The COSY Technique
602
A. An Overview of the COSY Experiment
603
B. How to Read COSY Spectra
604
10.8 The HETCOR Technique
608
A. An Overview of the HETCOR Experiment
608
B. How to Read HETCOR Spectra
609
10.9 Inverse Detection Methods
612
10.10 The NOESY Experiment
613
10.11 Magnetic Resonance Imaging
614
10.12 Solving a Structural Problem Using Combined 1-D and 2-D Techniques
A. Index of Hydrogen Deficiency and Infrared Spectrum
616
B. Carbon-13 NMR Spectrum
617
C. DEPT Spectrum
617
D. Proton NMR Spectrum
619
E. COSY NMR Spectrum
621
F. HETCOR (HSQC) NMR Spectrum
622
Problems
623
References
657
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10.1
10.2
10.3
10.4
10.5
587
ANSWERS TO SELECTED PROBLEMS
ANS-1
APPENDICES
Appendix 1
Appendix 2
Appendix 3
Infrared Absorption Frequencies of Functional Groups
A-1
1
Approximate H Chemical Shift Ranges (ppm) for Selected Types
of Protons
A-8
Some Representative 1H Chemical Shift Values for Various Types
of Protons
A-9
616
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Appendix 12
Appendix 13
Appendix 14
I-1
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INDEX
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Appendix 8
Appendix 9
Appendix 10
Appendix 11
H Chemical Shifts of Selected Heterocyclic and Polycyclic Aromatic
Compounds
A-12
Typical Proton Coupling Constants
A-13
1
Calculation of Proton ( H) Chemical Shifts
A-17
13
Approximate C Chemical-Shift Values (ppm) for Selected Types
of Carbon
A-21
13
Calculation of C Chemical Shifts
A-22
13
C Coupling Constants
A-32
1
H and 13C Chemical Shifts for Common NMR Solvents
A-33
Tables of Precise Masses and Isotopic Abundance Ratios for Molecular
Ions under Mass 100 Containing Carbon, Hydrogen, Nitrogen,
and Oxygen
A-34
Common Fragment Ions under Mass 105
A-40
A Handy-Dandy Guide to Mass Spectral Fragmentation Patterns
A-43
Index of Spectra
A-46
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Appendix 5
Appendix 6
Appendix 7
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MOLECULAR FORMULAS AND WHAT
CAN BE LEARNED FROM THEM
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efore attempting to deduce the structure of an unknown organic compound from an examination of its spectra, we can simplify the problem somewhat by examining the molecular
formula of the substance. The purpose of this chapter is to describe how the molecular formula of a compound is determined and how structural information may be obtained from that formula. The chapter reviews both the modern and classical quantitative methods of determining the
molecular formula. While use of the mass spectrometer (Section 1.6 and Chapter 8) can supplant
many of these quantitative analytical methods, they are still in use. Many journals still require that
a satisfactory quantitative elemental analysis (Section 1.1) be obtained prior to the publication of
research results.
1.1 ELEMENTAL ANALYSIS AND CALCULATIONS
The classical procedure for determining the molecular formula of a substance involves three steps:
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1. A qualitative elemental analysis to find out what types of atoms are present . . . C, H, N,
O, S, Cl, and so on.
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2. A quantitative elemental analysis (or microanalysis) to find out the relative numbers (percentages) of each distinct type of atom in the molecule.
3. A molecular mass (or molecular weight) determination.
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The first two steps establish an empirical formula for the compound. When the results of the third
procedure are known, a molecular formula is found.
Virtually all organic compounds contain carbon and hydrogen. In most cases, it is not necessary to determine whether these elements are present in a sample: their presence is assumed.
However, if it should be necessary to demonstrate that either carbon or hydrogen is present in a
compound, that substance may be burned in the presence of excess oxygen. If the combustion
produces carbon dioxide, carbon must be present; if combustion produces water, hydrogen atoms
must be present. Today, the carbon dioxide and water can be detected by gas chromatographic
methods. Sulfur atoms are converted to sulfur dioxide; nitrogen atoms are often chemically reduced to nitrogen gas following their combustion to nitrogen oxides. Oxygen can be detected by
the ignition of the compound in an atmosphere of hydrogen gas; the product is water. Currently,
all such analyses are performed by gas chromatography, a method that can also determine the relative amounts of each of these gases. If the amount of the original sample is known, it can be
entered, and the computer can calculate the percentage composition of the sample.
Unless you work in a large company or in one of the larger universities, it is quite rare to find a
research laboratory in which elemental analyses are performed on site. It requires too much time to
set up the apparatus and keep it operating within the limits of suitable accuracy and precision.
Usually, samples are sent to a commercial microanalytical laboratory that is prepared to do this
work routinely and to vouch for the accuracy of the results.
1
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Molecular Formulas and What Can Be Learned from Them
m
4a
ll.
vn
Before the advent of modern instrumentation, the combustion of the precisely weighed sample was
carried out in a cylindrical glass tube, contained within a furnace. A stream of oxygen was passed
through the heated tube on its way to two other sequential, unheated tubes that contained chemical
substances that would absorb first the water (MgClO4) and then the carbon dioxide (NaOH/silica).
These preweighed absorption tubes were detachable and were removed and reweighed to determine
the amounts of water and carbon dioxide formed. The percentages of carbon and hydrogen in the
original sample were calculated by simple stoichiometry. Table 1.1 shows a sample calculation.
Notice in this calculation that the amount of oxygen was determined by difference, a common
practice. In a sample containing only C, H, and O, one needs to determine the percentages of only C
and H; oxygen is assumed to be the unaccounted-for portion. You may also apply this practice in situations involving elements other than oxygen; if all but one of the elements is determined, the last
one can be determined by difference. Today, most calculations are carried out automatically by the
computerized instrumentation. Nevertheless, it is often useful for a chemist to understand the fundamental principles of the calculations.
Table 1.2 shows how to determine the empirical formula of a compound from the percentage
compositions determined in an analysis. Remember that the empirical formula expresses the simplest
whole-number ratios of the elements and may need to be multiplied by an integer to obtain the true
molecular formula. To determine the value of the multiplier, a molecular mass is required.
Determination of the molecular mass is discussed in the next section.
For a totally unknown compound (unknown chemical source or history) you will have to use this
type of calculation to obtain the suspected empirical formula. However, if you have prepared the
compound from a known precursor by a well-known reaction, you will have an idea of the structure
of the compound. In this case, you will have calculated the expected percentage composition of your
TA B L E 1 . 1
he
CALCULATION OF PERCENTAGE COMPOSITION
FROM COMBUSTION DATA
CxHyOz + excess O2 ⎯→
23.26 mg
9.52 mg
w
.c
9.83 mg
x CO2 + y/2 H2O
23.26 mg CO2
= 0.5285 mmoles CO2
millimoles CO2 = ᎏᎏ
44.01 mg/mmole
mmoles CO2 = mmoles C in original sample
w
(0.5285 mmoles C)(12.01 mg/mmole C) = 6.35 mg C in original sample
w
9.52 mg H2O
= 0.528 mmoles H2O
millimoles H2O = ᎏᎏ
18.02 mg/mmole
(
)
2 mmoles H
(0.528 mmoles H2O) ᎏᎏ = 1.056 mmoles H in original sample
1 mmole H2O
(1.056 mmoles H)(1.008 mg/mmole H) = 1.06 mg H in original sample
6.35 mg C
% C = ᎏᎏ × 100 = 64.6%
9.83 mg sample
1.06 mg H
% H = ᎏᎏ × 100 = 10.8%
9.83 mg sample
% O = 100 − (64.6 + 10.8) = 24.6%
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1.1 Elemental Analysis and Calculations
3
TA B L E 1 . 2
CALCULATION OF EMPIRICAL FORMULA
Using a 100-g sample:
64.6% of C = 64.6 g
10.8% of H = 10.8 g
10.8 g
moles H = ᎏᎏ = 10.7 moles H
1.008 g/mole
giving the result
C5.38H10.7O1.54
m
4a
24.6 g
moles O = ᎏᎏ = 1.54 moles O
16.0 g/mole
ll.
64.6 g
moles C = ᎏᎏ = 5.38 moles C
12.01 g/mole
vn
24.6 g
24.6% of O = ᎏᎏ
100.0 g
Converting to the simplest ratio:
5.38
C⎯
⎯ H 10.7
⎯— O1.54
⎯— = C3.49H6.95O1.00
1.54
1.54
1.54
he
which approximates
C3.50H7.00O1.00
or
w
.c
C7H14O2
w
w
sample in advance (from its postulated structure) and will use the analysis to verify your hypothesis.
When you perform these calculations, be sure to use the full molecular weights as given in the periodic chart and do not round off until you have completed the calculation. The final result should be
good to two decimal places: four significant figures if the percentage is between 10 and 100; three
figures if it is between 0 and 10. If the analytical results do not agree with the calculation, the sample may be impure, or you may have to calculate a new empirical formula to discover the identity of
the unexpected structure. To be accepted for publication, most journals require the percentages
found to be less than 0.4% off from the calculated value. Most microanalytical laboratories can easily obtain accuracy well below this limit provided the sample is pure.
In Figure 1.1, a typical situation for the use of an analysis in research is shown. Professor Amyl
Carbon, or one of his students, prepared a compound believed to be the epoxynitrile with the structure shown at the bottom of the first form. A sample of this liquid compound (25 μ L) was placed in
a small vial correctly labeled with the name of the submitter and an identifying code (usually one
that corresponds to an entry in the research notebook). Only a small amount of the sample is required, usually a few milligrams of a solid or a few microliters of a liquid. A Request for Analysis
form must be filled out and submitted along with the sample. The sample form on the left side of
the figure shows the type of information that must be submitted. In this case, the professor calculated the expected results for C, H, and N and the expected formula and molecular weight. Note that
the compound also contains oxygen, but that there was no request for an oxygen analysis. Two
other samples were also submitted at the same time. After a short time, typically within a week, the