†Corresponding author. E-mail: lizhang@scu.edu.cn
The structural, elastic, and electronic properties of a series of lanthanide hexaborides ( LnB6) have been investigated by performing ab initio calculations based on the density functional theory using the Vienna ab initio simulation package. The calculated lattice and elastic constants of LnB6 are in good agreement with the available experimental data and other theoretical results. The polycrystalline Young’s modulus, shear modulus, the ratio of bulk to shear modulus B/G, Poisson’s ratios, Zener anisotropy factors, as well as the Debye temperature are calculated, and all of the properties display some regularity with increasing atomic number of lanthanide atoms, whereas anomalies are observed for EuB6 and YbB6. In addition, detailed electronic structure calculations are carried out to shed light on the peculiar elastic properties of LnB6. The total density of states demonstrates the existence of a pseudogap and indicates lower structure stability of EuB6 and YbB6 compared with others.
Lanthanide hexaborides (LnB6: Ln = La, Ce, Pr, Nd, Pm, Sm, Eu, Gd, Tb, Dy, Ho, Er, Tm, Yb, Lu) have attracted extensive experimental and theoretical interest due to their intriguing physical properties. For example, LaB6 is a typical metal and becomes superconducting at TC = 0.45 K, [1, 2] CeB6 is a dense Kondo material and shows heavy fermion behavior.[3] SmB6, a typical mixed valence compound, has been theoretically proven to be a topological Kondo insulator, which is supported by recent photo emission and transport experiments.[4, 5] YbB6 is found to be a moderately correlated Z2 topological insulator, similar to SmB6 but having a much larger bulk band gap.[6] Furthermore, the lanthanide hexaborides are also considered as hard and refractory materials because of their special cage structure.[7] Bulk lanthanide hexaborides have low work functions ranging from 2.1 eV to 3.8 eV, which make them excellent candidate materials for electron emitter devices.[8] Moreover, they have been applied as scratch-resistant surface decorative coatings due to their tunable attractive colors. For instance, the stoichiometric LaB6 is usually purple, while its color turns to deep blue when it is lanthanum deficient. Consequently, the investigation of the basis physical properties of a series of lanthanide hexaborides such as structural, elastic, and electronic properties is necessary and offers credible references for their various applications.
In general, the elastic properties of a solid are important because some physical properties, such as the bulk modulus, shear modulus, Young’ s modulus, and Poisson’ s ratio can be derived from the elastic constants.[9] Up to now, most studies have focused on the magnetic and thermodynamic properties of LnB6.[10] The structural and elastic properties of some LnB6 have also been investigated experimentally by several groups but their results are relatively contradictory or insufficient. Some significantly different values have been reported for the measured elastic constants of CeB6, especially C12; Takegahara et al.[11] gave C12 = − 93 GPa while Nakamura et al.[12] reported a value of 53 GPa for the same constant. The bulk moduli also show small differences among the various experimental reports.[13] On the other hand, single crystal elastic constants for the LnB6 compounds are scarce due to the difficulties of the experiments. The elastic properties of a solid are also closely associated with various fundamental solid-state properties, such as phonon spectra, specific heat, Debye temperature, etc. In view of this, it is necessary and essential to obtain their elastic constants by the first-principles calculations.
As we all know, in the lanthanide series both Eu and Yb are divalent in the solid state while all of the others are in the trivalent state. There is a substantial energy penalty for Eu and Yb to be in the trivalent state. Consequently, systematics are observed for the trivalent Ln and their compounds in terms of crystal structures and physical properties, whereas anomalies are observed for Eu and Yb.[14] The abnormalities relating to Eu and Yb are probably due to their special electronic configurations. Eu has a half-filled 4f orbital and Yb has a completely filled 4f orbital; therefore, they have stable configurations of low energy. But their compounds disturb the stable electronic configurations through charge transfer or chemical bonding. The deviations will be seen repeatedly throughout this work.
The main objective of this paper is to study the regularity of elastic properties and electronic structure of the LnB6 compounds. This paper is organized as follows. The computational methodologies employed in the current study are given in Section 2. We present and discuss the results obtained and compare them with the available experimental and theoretical data in Section 3. Finally, the results are summarized in Section 4.
Our first-principles electronic structure calculations are based on the density functional theory (DFT) in conjunction with projector augmented wave potentials (PAW)[15, 16] within the generalized gradient approximations (GGA) of Perdew– Burke– Ernzerhof (PBE) as implemented in the Vienna ab initio simulation package (VASP).[17– 20] Generally, the PAW potentials are more reliable than the ultra-soft pseudopotentials because of the smaller cut off radius and the more accurate valence electron wave functions in the nuclear area. The validity for the LnB6 binary compounds has been widely verified.[12] Two choices of potentials are available for each Ln element: a standard version in which the entire set of f levels are treated within the valence band and a divalent or trivalent version (e.g., Yb2+ for Yb and Pm3+ for Pm) in which some f electrons are kept frozen in the core. There are several exceptions: (i) there is only a standard potential available for La because it has no occupied f levels in its elemental state, and (ii) there is only a trivalent version of potential available for Tb, Dy, Ho, and Er with VASP. Furthermore, the previous studies of the ground state structures, formation energies, and elastic constants of the Ln elements and compounds[21] indicate that the f core approach is the correct method to treat the Ln elements when thermodynamic and elastic properties are of interest. In this work, pseudopotentials with the f electrons frozen in the core were used throughout. A plane-wave energy cutoff of 550 eV was taken for all LnB6. The 13× 13× 13 k-points for LnB6 unit cell with the Monkhorst– Pack scheme were adopted for the Brillouin zone sampling. In all cases, the total energy of self-consistent convergence was 10− 5 eV/cell and the process was terminated when the atomic force was less than 10− 3 eV/Å . Spin polarization with ferromagnetic ordering was used in all calculations and we found that all the LnB6 considered here are not magnetic. To produce more accurate densities of states, a dense k-point mesh of 19 × 19 × 19 was used, and the total DOS was computed by the Gaussian smearing method.[17– 20] The chosen plane-wave cut off and numbers of k points have been tested carefully to ensure good converged results for all of the computations. The elastic constants were calculated through the energy strain method. The analysis of the density of states indicated the existence of a pseudogap.
As illustrated in Fig. 1, the lanthanide hexaborides crystallize in cubic CsCl-type structure which belongs to the space group
The most common assessment of mechanical properties can be made by the determination of the elastic constants. The elastic properties present valuable information about the mechanical and dynamical properties of crystals, the forces operating in solids, and they also provide important data for developing the interatomic potentials.[32, 33] The elastic constants are identified as proportional to the second order coefficient in a polynomial and they can be derived from the energy variation by applying small strains to the equilibrium lattice configuration.[34] For the cubic structure, the independent elastic constants are C11, C12, and C44, [31] which can be calculated through the following sets of strains: (i) ε 11 = ε 12 = δ ; (ii) ε 11 = ε 22 = ε 33 = δ ; and, (iii) ε 12 = ε 21 = ε 13 = ε 31 = ε 23 = ε 32 = δ /2. In the present work, we have calculated 15 sets of Δ E/V ∼ δ by varying δ from − 0.014 to 0.014 in steps of 0.002. The results are listed in Table 1. As a comparison, the previous theoretical result and the available experimental data are also presented in Table 1. The published data on the elastic properties of hexaborides are scarce for most compounds, while there are ample experimental and theoretical results for LaB6 and CeB6. For C11 and C44, our results are in excellent agreement with others, while for C12 the experimental and theoretical results given in the table demonstrate a large discrepancy among themselves. The origin of the large errors for C12 can be understood because C11 and C12 are determined using associated methods for both theoretical calculations and experiments. As C11 is considerably larger than C12, the large numerical error is consequently hard to avoid in the determination of C12.[34] Obviously, the agreement between experiments and our calculations affirms the feasibility of our calculation scheme. The mechanical stability criterion[35] of the cubic lattice for elastic is (C11− C12) > 0, C11 > 0, C44 > 0, and (C11 + 2C12) > 0. As illustrated in Table 1, the elastic constants meet the criterion mentioned above, which indicates that all of the LnB6 are mechanically stable under zero pressure.
Since the elastic constants actually refer to a single crystal at microscopic scale and are normally not representative of the mechanical properties at larger length scales in actual applications, we turn to estimate the macroscopic parameters such as the shear modulus G and the bulk modulus B.[36] The Voigt– Reuss– Hill (VRH)[37– 39] approximation is an average of the two bounds, namely, the lower bound of Voigt and the upper bound of Reuss, which provides the best estimation for the mechanical properties of polycrystalline materials from the elastic constants. In the Voigt average, [38] the shear modulus and the bulk modulus of a cubic lattice are provided by
while in the Reuss average, [39] they are given by
Therefore, by Hill’ s empirical average, [37] the shear modulus and the bulk modulus of the polycrystalline material can be expressed as
We also obtain the static results for the bulk modulus B0 and the pressure derivative of the bulk modulus
The single crystal shear moduli for the {100} plane along the [010] direction and for the {110} plane along the
It is known that the Young’ s modulus, the Poisson’ s ratio, Zener anisotropy factor A, and the ratio of B/G are the noteworthy parameters for materials in technology and engineering applications.[43] The results are plotted in Fig. 7. These parameters are calculated in terms of the elastic constants Cij via the following relations:
The Young’ s modulus serves as a measurement of the stiffness of a solid and the Poisson’ s ratio evaluates the stability of a crystal against shear.[42] The relationship between the hardness and the Young’ s modulus is not identical for different materials: the general tendency is that the larger the modulus, the harder the material. The Young’ s modulus decreases with increasing atomic number, which demonstrates that the hardness is reduced gradually for the LnB6 compounds except for EuB6 and YbB6. The smaller Poisson’ s ratio indicates that LnB6 is relatively stable against shear.[36] Pugh[41] introduced the quotient of bulk to shear modulus of polycrystalline phases, where the shear modulus G represents the resistance to plastic deformation while the bulk modulus B represents the resistance to fracture. A high (low) B/G corresponds to ductility (brittleness). The critical value which distinguishes ductile and brittle materials is about 1.75. Our calculated results are displayed in Fig. 7. The B/G of LnB6 tends to increase with increasing atomic number except for EuB6 and YbB6. The compounds lighter than SmB6 present a brittle behavior, while the rest are ductile materials. EuB6 and YbB6 are still out of the tendency and they are brittle compounds. The Zener anisotropy factor A is a measure of the degree of elastic anisotropy in a solid. The Zener anisotropy factor takes the value of 1 for a completely isotropic material. The calculated Zener anisotropy factor for LnB6 is smaller than 1, which indicates that the compounds are entirely anisotropic.[42]
The thermodynamic parameters such as the Debye temperature and the sound velocity are also essential physical parameters. In the present case, the Debye temperature θ D[44] is obtained with the calculated elastic constants according to the following relation:
where h is the Planck constant, k is the Boltzmann constant, NA is the Avogadro number, n is the number of atoms per formula unit, M is the molecular mass per formula unit, and ρ is the density.
The average sound velocity vm of materials can be obtained according to the following formula:
For the cubic crystal, vl and vt are the longitudinal and the transverse elastic wave velocities, which can be obtained from the elastic modulus by the famous Navier’ s equations[45]
Based on these equations, we derive the corresponding values which are tabulated in Table 2. It can be seen that the sound velocity decreases from LaB6 to LuB6 except EuB6 and YbB6. As far as we know, there are no available experimental or theoretical values to compare with our results for these parameters. We believe that the Debye temperature we obtained for LnB6 is reasonable in comparison with the theoretical Debye temperature for LaB6 (1165 K)[46] at zero pressure.
It is clear that the structural and elastic properties of the lanthanide series solid compounds change regularly, which is strongly related to the unique electron configuration of the lanthanide series atoms. From La to Lu, the valence electron configuration is 4f0− 145d0− 16s2 and electrons are added to the inner unfilled 4f shell continuously with the increasing atomic number, resulting in a continuous but minor change in the elemental properties. As can be seen from Fig. 8, the distribution of the total electronic density of states of LnB6 is very similar. The total DOS demonstrates that there is a deep valley close to the Fermi level EF and this valley is referred to as a pseudogap. This pseudogap indicates the presence of a strong covalent bonding in the B6 octahedron cage.[36] There is a relationship between the structural stability and the position of EF with respect to the pseudogap. From Fig. 8, we observe that the Fermi level falls below the pseudogap in EuB6 and YbB6 while is above the pseudogap in the other compounds. This indicates that not all of the bonding states are filled and some extra electrons are required to reach the maximum stability for EuB6 and YbB6. This phenomenon is consistent with the lower bulk moduli of EuB6 and YbB6.
In Fig. 9, the total and the partial densities of states (PDOS) are presented for EuB6 and YbB6. The B 2s and 2p hybridization controls the lower bonding peak located at the energy of approximately − 14 eV below the Fermi level.[47] Such states are typical for all CaB6 like hexaborides. The B 2s and 2p interactions from intraoctahedron contribute mainly to the upper bonding peaks in the energy range from − 10 eV to − 6 eV. The upper subgroup, which ranges from − 6 eV to the Fermi level, is composed of B 2p orbitals. The contributions are primarily from the interoctahedral bonds except for the range very close to the Fermi level where the intraoctahedral B– B bonds again become important. However, both the B-p and Ln-d states are spread out on both sides of the Fermi level. For the sake of simplicity, we only display the calculated band structures of SmB6, EuB6, TmB6, and YbB6 along the high symmetry directions in the Brillouin zone in Fig. 10. As we can see, there are dramatic differences between SmB6 and EuB6, and the same as to TmB6 and YbB6. It is amazing to find that small gaps may exist in EuB6 and YbB6, and both of them possess higher internal parameters x (see Table 1). As illustrated in Fig. 9, the band overlap in the Fermi level happens between the B-s and Ln-d states; and as x increases, the Ln atoms are further apart from the B cages, which leads to the raise of the dispersed conduction band. The intra-cage bonding states go down in energy, resulting in the opening of a small gap.
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