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Eur. Phys. J. B (2017) 90: 256 DOI: 10.

1140/epjb/e2017-80383-1

Advances in theoretical and experimental XAFS studies of


thermodynamic properties, anharmonic effects and structural
determination of fcc crystals
Nguyen Van Hung, Cu Sy Thang, Nguyen Ba Duc, Dinh Quoc Vuong, and Tong Sy Tien
Eur. Phys. J. B (2017) 90: 256
DOI: 10.1140/epjb/e2017-80383-1 THE EUROPEAN
PHYSICAL JOURNAL B
Regular Article

Advances in theoretical and experimental XAFS studies of


thermodynamic properties, anharmonic effects and structural
determination of fcc crystals
Nguyen Van Hung 1,a , Cu Sy Thang 2,3 , Nguyen Ba Duc 4 , Dinh Quoc Vuong 5 , and Tong Sy Tien 6
1
Institute of Research and Development, Duy Tan University, 03 Quang Trung, Da Nang, Viet Nam
2
Institute of Geological Sciences (IGS), Vietnam Academy of Science and Technology (VAST), 18 Hoang Quoc
Viet, Cau Giay, Ha Noi, Viet Nam
3
Graduate University of Science and Technology, Vietnam Academy of Science and Technology (VAST), 18 Hoang
Quoc Viet, Cau Giay, Ha Noi, Viet Nam
4
Department of Physics, Tan Trao University, Km 6, Trung Mon, Yen Son, Tuyen Quang, Viet Nam
5
Cam pha School, Quang Ninh Education & Training Department, Nguyen Van Cu, Ha Long, Quang Ninh,
Viet Nam
6
Department of Basic Sciences, University of Fighting & Prevention, 243 Khuat Duy Tien, Thanh Xuan, Ha Noi,
Viet Nam

Received 28 June 2017 / Received in final form 8 October 2017


Published online 18 December 2017 – c EDP Sciences, Società Italiana di Fisica, Springer-Verlag 2017

Abstract. Thermodynamic properties, anharmonic effects and structural determination of fcc crystals
have been studied based on the theoretical and experimental Debye–Waller factors presented in terms
of cumulant expansion up to the third order, thermal expansion coefficient, X-ray absorption fine structure
(XAFS) spectra and their Fourier transform magnitudes. The advances in these studies are performed by
the further development of the anharmonic correlated Einstein model primary only for approximating three
first XAFS cumulants into the method using that all the considered theoretical and experimental XAFS
parameters have been provided based on only the calculated and measured second cumulants. The obtained
cumulants describe the anharmonic effects in XAFS contributing to the accurate structural determination.
Numerical results for Cu are found to be in good agreement with the experimental values extracted by
using the present advanced method and with those obtained by the other measurements.

1 Introduction R = hri with r being the instantaneous bond length


between absorber and backscatterer atoms, and σ (n) (n =
X-ray Absorption Fine Structure (XAFS) has developed 1, 2, 3, . . . ) are the cumulants describing Debye–Waller
into a powerful technique for providing information on factors (DWFs).
the local atomic structure and thermodynamic properties Hence, the cumulants or DWFs are very important for
of substances. The formalism for including anharmonic the anharmonic XAFS where the even cumulants con-
effects in XAFS is often based on cumulant expansion tribute to the amplitude, the odd ones to the phase
approach [1] from which the anharmonic XAFS function of XAFS spectra, and for small anharmonicities, it is
has resulted as sufficient to keep the third and fourth cumulant terms
( [2]. They are crucial to quantitative treatment of XAFS
e−2R/λ(k) spectra. Consequently, the lack of the precise DWFs or
χ(k) = F (k) Im eiΦ(k) cumulants has been one of the biggest limitations to
kR2
" #) accurate structural determinations (e.g., the coordination
X (2ik)n numbers and the atomic distances) [3] and to specify
(n)
× exp 2ikR + σ , (1) the thermodynamic properties of substances [4–9] from
n!
n XAFS experiments. Therefore, investigation of DWFs or
cumulants and XAFS is of great interest.
where F (k) is the real atomic backscattering amplitude, Many efforts have been made to overcome such limita-
k and λ are the wave number and mean free path tions by the theoretical and experimental investigations,
of photoelectron, respectively, Φ is the net phase shift, for example see [1–27]. Here the anharmonic correlated
Einstein model (ACEM) [10] is successfully applied to
a
e-mail: hungnv@vnu.edu.vn XAFS studies but it is limited only for approximating
Page 2 of 8 Eur. Phys. J. B (2017) 90: 256

three first XAFS cumulants. Moreover, there is still no The values of kef f , k3ef f for fcc crystals included in all
method which can provide certain simplification and cumulants and XAFS expressions are determined based on
reduction of XAFS calculations and measurements based the FNNCA which was successfully applied to bcc crystals
on only the leading parameter like the second cumulant. [9]. For fcc structure, each atom is bonded to its 12 first
The purpose of this work is to study the thermodynamic shell near neighbors, so that the oscillation of a single
properties, anharmonic effects and structural determina- bond pair of atoms (e.g., absorber and backscatterer) is
tion of fcc crystals based on their theoretical and experi- influenced by their first shell near neighbors. Therefore,
mental XAFS parameters such as the DWFs presented in the anharmonic interatomic effective potential equation
terms of cumulant expansion up to the third order, ther- (2) has the form
mal expansion coefficient, XAFS spectra and their Fourier
transform magnitudes. The advances in these studies are
performed by the further development of the ACEM [10] Vef f (x) = V (x) + Ψ (x),
into the present method applied not only to theoretical  x  x x
but also to experimental XAFS studies based on that Ψ (x) = 2V − + 8V − + 8V , (3)
2 4 4
the XAFS calculations and measurements are necessary
only for the second cumulants from which all the consid- which is the sum over not only the term V (x) describing
ered XAFS parameters can be provided. This method has the pair-interaction between absorber and backscatterer
resulted (Sect. 2) based on describing the quantum statis- atoms but also the second one Ψ (x) including the contri-
tically derived analytical expressions of all the considered butions of projections of pair-interactions of absorber and
XAFS quantities in terms of second cumulants or mean bacscatterer with their first shell near neighbors along the
square relative displacements (MSRDs). The many-body bond direction. Unfortunately, in equation (3) Ψ (x) con-
effects included in the present one-dimensional model have tains only 18 terms because the contributions of two first
been taken into account based on the first shell near neigh- shell near neighbors being the absorber and backscatterer
bor contributions approach (FSNNA) to the vibrations are already included in V (x) and those of 4 others lying
between absorber and backscatter atoms. Morse potential in the surface perpendicular to the bond direction provide
is assumed to describe the single-pair atomic interaction zero contribution.
included in the anharmonic interatomic effective potential. Hence, in equation (3) by including the first shell near
The obtained cumulants describing anharmonic effects neighbors contributions to the vibration between absorber
in XAFS contribute to the accurate structural determi- and backscatterer atoms the many-body effects or an
nation. Numerical results for Cu in fcc phase (Sect. 3) affect of crystal lattice on atomic vibration have been
are compared to the experimental values measured at taken into account, and by projecting such contribu-
the Beamline BL8, Synchrotron Light Research Insti- tions along the bond direction the purely one-dimensional
tute (SLRI), Thailand, at 300 K, 400 K, 500 K and to model is recovered. This is the significance of the anhar-
those obtained by the other measurements [11–14]. They monic effective potential for XAFS study in the present
show their good agreement and the evident temperature many-body fcc system.
dependence of the thermodynamic properties, anharmonic The Morse potential expanded up to the third order
effects and structural parameters of the considered mate- around its minimum
rial. The conclusions on the obtained results are presented
in Section 4.
V (x) = D e−2αx − 2e−αx


≈ D −1 + α2 x2 − α3 x3 ,

2 Advanced method for XAFS calculations (4)
and measurements
is assumed to describe the single-pair atomic interaction
2.1 XAFS cumulants and thermal expansion included in the anharmonic effective potential given by
equation (3) where α describes the width of the potential
coefficient of fcc crystals
and D is the dissociation energy.
In order to include anharmonic effects, the Hamiltonian For deriving XAFS cumulants we describe the anhar-
of system in the present theory involves the anharmonic monic interatomic effective potential equation (3) for fcc
interatomic effective potential expanded up to the third crystals in the summation of the harmonic contribution
order as and a perturbation δV due to anharmonicity in XAFS as

1 1
Vef f (x) ≈ kef f x2 + k3ef f x3 , x = r − r0 , (2) Vef f (y) = kef f y 2 + δ V (y) ,
2 2
δV ∼
= 5Dα2 ay + k3ef f y 3 , y = x − a, a = hxi . (5)
where kef f is the effective local force constant and k3ef f
is the cubic anharmonic parameter giving an asymmetry The derivation of XAFS cumulants for fcc crystals in this
of the anharmonic effective potential, r and r0 are the work is based on quantum statistical perturbation theory
instantaneous and equilibrium distances between absorber [28] and the parameters of the anharmonic interatomic
and backscatterer atoms, respectively. effective potentials given by equations (2), (3) and (5),
Eur. Phys. J. B (2017) 90: 256 Page 3 of 8

as well as an averaging procedure using the canonical where the correlated Einstein frequency and temperature
partition function Z and statistical density matrix ρ, e.g., contained in the above cumulants are given by

1 r
hy m i = T r (ρ y m ) , m = 1, 2, 3, . . . (6) 10Dα2 ~ωE
Z ωE = , θE = , (12)
M kB
Atomic vibrations are quantized in terms of phonons, and
anharmonicity is the result of phonon–phonon interaction, M is the atomic mass and kB is Boltzmann constant.
that is why we express y in terms of the annihilation and Moreover, using the first cumulant given by
creation operators, â and â+ , respectively equation (10), the expression for thermal expansion
coefficient has been derived and given by
r
+
 ~ωE
y ≡ a0 â + â , a0 = , (7) 2
2 2
10Dα2 1 da 0 σ (T ) − σ02
αT (T ) = = αT ,
r dT T2
which have the following properties 15Dα3
αT0 = . (13)
4kB r

â+ |ni = n + 1|n + 1i,
√ (1)
In the above obtained expressions, σ0 , σ02 , σ0 are
(3)
â|ni = n − 1|n − 1i,
+
zero-point energy contributions to three first XAFS cumu-
â â|ni = n|ni, lants σ (1) (T ), σ 2 (T ), σ (3) (T ), respectively, and αT0 is the
â, â+ = 1,
 
(8) constant value which the thermal expansion coefficient
approaches at high-temperatures.
as well as use the harmonic oscillator state |ni as the Note that the second cumulant given by equation (9) is
eigenstate with the eigenvalue En = n~ωE for n being harmonic while the experimental data always include the
the phonon number, ignoring the zero-point energy for temperature-dependent anharmonic effects. That is why
convenience. we introduce the total second cumulant or MSRD as
The operations expressed by equation (8) have been
applied to calculate the matrix elements for deriving the
2
cumulants using the procedure depicted by equations (6) σtot (T ) = σ 2 (T ) + σA
2
(T ), (14)
and (7).
Consequently, the analytical XAFS expressions have which involves an anharmonic contribution
resulted for the second cumulant or MSRD

2
(T ) = βA (T ) σ 2 (T ) − σ02 ,
 
1 + z(T ) σA (15)
σ 2 (T ) = σ02 ,
1 − z(T )
containing the anharmonic factor
~ωE
σ02 = ,
10Dα2
z(T ) = exp (−θE /T ) , (9) 9α2 2
βA (T ) = σ (T )
8
for the first cumulant or net thermal expansion  
3α 2 3α 2
× 1+ σ (T ) 1 + σ (T ) , (16)
4R 4R
(1)
(1) 1 + z (T ) σ
σ (1) (T ) = a = σ0 = 02 σ 2 (T ), derived based on the relative volume change due to ther-
1 − z (T ) σ0
mal expansion and described also in terms of second
(1) 3α 2
σ0 = σ , (10) cumulant.
4 0 Hence, the above derived analytical expressions for the
first, third cumulants and thermal expansion coefficient
and for the third cumulant or mean cubic relative dis- σ (1) , σ (3) and αT , respectively, as well as the total second
placement (MCRD) cumulant given by equations (14)–(16) including anhar-
monic effects are presented in terms of second cumulant
"  2 # σ 2 or MSRD. This leads to creating the present advanced
(3) (3) σ 2 (T ) method based on that the calculations and measurements
σ (T ) = σ0 3 −2 ,
σ02 are necessary only for the second cumulants from which
(3) α 2 2 the first, third cumulants, thermal expansion coefficient
σ0 = σ , (11) and other XAFS parameters can be provided.
2 0
Page 4 of 8 Eur. Phys. J. B (2017) 90: 256

2.2 Anharmonic XAFS based on cumulant expansion 3 Experimental and numerical results and
For anharmonic XAFS calculation, we develop further the
discussions
XAFS function given by equation (1) into an analytical
form explicitly including the above obtained cumulants 3.1 Experimental
for the temperature-dependent K-edge anharmonic XAFS The measurements of second cumulants or MSRDs, XAFS
spectra as spectra and their Fourier transform magnitudes of Cu in
fcc phase at 300 K, 400 K and 500 K have been performed
at the Beamline BL8 (SLRI, Thailand). It is the routinely
X S 2 Nj 2 2 operated for X-ray absorption spectroscopy (XAS) in an
0 −(2k σ (T )+2Rj /λ(k))
χ(k, T ) = 2 Fj (k)FA (k, T )e
kR j
immediate photon energy range (1.25–10 keV). The exper-
j
  imental set-up conveniently facilitates XAS measurements
× sin 2kRj + Φj (k) + ΦjA (k, T ) , (17) in transmission and fluorescence-yield modes at several
K-edges of elements ranging from magnesium to zinc [30].
The experimental values of the first, third cumulants, ther-
mal expansion coefficients and other XAFS parameters of
which contains the anharmonic contribution to amplitude Cu at 300 K, 400 K, and 500 K have been extracted from
described by the factor the measured values of second cumulants using the present
advanced method based on the description of these quan-
tities in terms of second cumulants presented in Section 2.
The obtained experimental values will be presented in
FA (k, T ) = exp −2k 2 σA
2 Section 3.2 compared to the calculated results and to
 
(T ) , (18)
those measured by the other works [11–14].

3.2 Numerical results compared to experiment and


causing the anharmonic attenuation and the anharmonic
contribution to phase discussions
Now the expressions derived in the previous Section 2 are
applied to numerical calculations for Cu using its Morse
   potential parameters [31] D = 0.3429 eV, α = 1.3588 Å−1
1 1 which were obtained using experimental values for the
ΦjA (k, T ) (1) 2
= 2k σ (T ) − 2σA (T ) −
Rj λ(k) energy of sublimation, the compressibility, and the lattice
2
 constant.
− σ (3) (T )k 2 , (19)
3
3.2.1 XAFS cumulants and thermal expansion coefficient
Figure 1 illustrates good agreement of (a) first cumulant
causing the anharmonic phase shift of XAFS spec- σ (1) (T ) and (b) total and harmonic second cumulants
2
tra. Here, the derivation of equation (19) is based on σtot (T ), σ 2 (T ), respectively, of Cu calculated using the
equation (5) of reference [2] applied to the present case. present theory with the experimental values at 300 K,
In the anharmonic XAFS function given by 400 K and 500 K extracted by using the present advanced
equation (17), S02 is the square of the many body method and with the other measured data [11] for the
overlap term, Nj is the atomic number of each shell, the first cumulant and [12] for the second cumulant. Here,
2
second cumulant σ 2 and its anharmonic contribution σA 2 σtot (T ) is a little different from σ 2 (T ) at temperatures
are calculated by equations (9) and (15), respectively, the greater than the room temperature due to the anhar-
mean free path λ is defined by the imaginary part of the monic contributions. Note that from this first cumulant we
complex photoelectron momentum p = k + i/λ, and the can also obtain temperature dependence of the first shell
sum j is over all the considered atomic shells. Moreover, near neighbor distance based on the expression R(T ) =
all parameters of this function can be obtained from the R(0) + σ (1) (T ).
second cumulants or MSRDs, and this function equation Temperature dependence of third cumulant σ (3) (T )
(17) will return to the harmonic case calculated by the (Fig. 2a) and thermal expansion coefficient αT (T )
well-known FEFF code [29] if the anharmonic contribu- (Fig. 2b) of Cu calculated using the present theory agrees
tions to amplitude FA (k, T ) and to phase ΦA (k, T ) are well with the experimental values at 300 K, 400 K and
excluded. Inversely, the FEFF code can also be modified 500 K extracted by using the present advanced method
by including these anharmonic contributions to XAFS and with the other measured data [12,13] for the third
amplitude and phase to calculate the anharmonic XAFS cumulant and [14] for the thermal expansion coefficient.
spectra and their Fourier transform magnitudes. This is Here, the theoretical and experimental thermal expan-
the evident advantage of the present advanced method sion coefficients of Cu approach the constant values at
which will be applied to the numerical calculations of high-temperatures.
the considered XAFS quantities and to the extraction of Figure 3 illustrates good agreement of temperature
2
experimental data for Cu presented in Section 3. dependence of (a) anharmonic contributions σA (T ) to the
Eur. Phys. J. B (2017) 90: 256 Page 5 of 8

Fig. 1. Temperature dependence of (a) first cumulant σ (1) (T ) and (b) total and harmonic second cumulants σtot
2
(T ) and σ 2 (T ),
respectively, of Cu calculated using the present theory compared to the experimental values at 300 K, 400 K, 500 K measured
in this work and with the other measured values [11] for the first cumulant and [12] for the second cumulant.

Fig. 2. Temperature dependence of (a) third cumulant σ (3) (T ) and (b) thermal expansion coefficient αT (T ) of Cu calculated
using the present theory compared to the experimental values at 300 K, 400 K, 500 K extracted by using the present advanced
method and with the other measured data [12,13] for the third cumulant and [14] for the thermal expansion coefficient.

2
Fig. 3. Temperature dependence of (a) anharmonic contribution σA (T ) to second cumulant or MSRD and (b) anharmonic factor
βA (T ) of Cu calculated using the present theory compared to the experimental values at 300 K, 400 K and 500 K extracted by
using the present advanced method.
Page 6 of 8 Eur. Phys. J. B (2017) 90: 256

Fig. 4. Temperature dependence of cumulant ratios (a) αT rT σ 2 /σ (3) and (b) σ (1) σ 2 /σ (3) of Cu calculated using the present
theory compared to the experimental values at 300 K, 400 K and 500 K.

second cumulant or MSRD and (b) anharmonic factor 3.2.2 XAFS spectra and their Fourier transform
βA (T ) characterizing percentage of anharmonic contri- magnitudes
butions at each temperature of Cu calculated using the
present theory with their experimental values at 300 K, In XAFS technique, XAFS spectra and their Fourier
400 K and 500 K extracted by using the present advanced transform magnitudes provide structural information of
method. These values are normally difficult to be directly substances [1]. Based on the present advanced method, the
measured, but using the present advanced method they FEFF code [29] has been modified by using equation (17)
have been calculated and extracted from the calculated including the amharmonic contributions to XAFS ampli-
and measured second cumulants. tude (Eq. (18)) and phase (Eq. (19)) described by the
above obtained cumulants to calculate XAFS spectra at
The cumulant ratios αT rT σ 2 /σ (3) and σ (1) σ 2 /σ (3) are
300 K, 400 K and 500 K of Cu and their Fourier transform
often considered as the standards for cumulant studies magnitudes.
[8–10,15] and to identify the temperature above which Figure 5 illustrates (a) the anharmonic amplitude atten-
the classical limit is applicable [10]. Figure 4 shows good uation factor FA (k, T ) and (b) the phase shift ΦA (k, T ) of
agreement of temperature dependence of (a) αT rT σ 2 /σ (3) XAFS of Cu at 300 K, 400 K and 500 K calculated using
and (b) σ (1) σ 2 /σ (3) of Cu calculated using the present the present theory based on the above obtained cumu-
theory with the experimental values at 300 K, 400 K and lants. The increase of these values shows the increase of
500 K extracted by using the present advanced method. anharmonicity as the wave number k-value and tempera-
The theoretical and experimental results of these ratios ture T increase.
show that above the Einstein temperature (θE = 218 K Using the obtained FA (k, T ) and ΦA (k, T ) (Fig. 5),
calculated using the present theory for Cu) they approach the anharmonic XAFS spectra of Cu at 300 K, 400 K
the classical value of 1/2 [8,15] so that the classical limit and 500 K have been calculated and presented in
is applicable. Figure 6a compared to their measured results presented
Consequently, the thermodynamic properties and in Figure 6b. The anharmonic amplitude attenuation and
anharmonic effects of Cu in fcc phase have been stud- phase shift are evidently shown in both the theoretical and
ied based on the anharmonic XAFS parameters. Here, experimental XAFS spectra. These theoretical and exper-
the second cumulant describing MSRD is primary a har- imental anharmonic XAFS spectra have been Fourier
monic effect plus small anharmonic contributions which transformed and their Fourier transform magnitudes are
appear only at high-temperatures. But the first cumulant presented in Figure 7. They show good agreement between
describing the net thermal expansion or lattice disorder, the theoretical and experimental results, as well as the
the third cumulant or MCRD describing the asymmetry of decrease of the peak heights and their shifts to the left as
pair atomic distribution function and the thermal expan- the temperature T increases.
sion coefficient are entirely anharmonic effects. The good Note that the anharmonic XAFS spectra of Cu at
agreement of the theoretical and experimental values of 300 K, 400 K, 500 K (Fig. 6a) and their Fourier trans-
the above quantities calculated and extracted by using the form magnitudes (Fig. 7) calculated based on including
present advanced method with the measured data of the the anharmonic contributions to XAFS amplitude and
other works [11–14] denotes not only the efficiencies of this phase using the cumulants obtained from the second
advanced method but also its better advantages described cumulants or MSRDs are found to be in good agree-
by the simplification and reduction of XAFS calculations ment with the measured data. Moreover, using the present
and measurements shown by obtaining all the considered advanced method and the measured second cumulants of
theoretical and experimental XAFS quantities only from Cu at 300 K, 400 K and 500 K we have reproduced all the
the calculated and measured second cumulants. considered experimental values including XAFS spectra
Eur. Phys. J. B (2017) 90: 256 Page 7 of 8

Fig. 5. Wave number k-dependence of (a) anharmonic amplitude attenuation factor FA (k, T ) and (b) phase shift ΦA (k, T ) of
XAFS of Cu at 300 K, 400 K and 500 K calculated using the present theory.

Fig. 6. (a) Theoretical XAFS spectra of Cu at 300 K, 400 K and 500 K calculated using the present theory and (b) their
experimental results measured at the Beamline BL8 (SLRI, Thailand).

and their Fourier transform magnitudes. The obtained


results agree well with the experimental values at these
temperatures presented in the above figures. That illus-
trates not only the validity and efficiency of the present
advanced method but also its useful contributions to the
accurate theoretical and experimental structural deter-
mination of the considered crystals based on only the
calculated and measured second cumulants or MSRDs.

4 Conclusions
In this work, the advances in the theoretical and exper-
imental studies of the thermodynamic properties, anhar-
monic effects and structural determination of fcc crystals
have been performed based on their theoretical and exper-
imental XAFS quantities such as the DWFs presented in
Fig. 7. Comparison of Fourier transform magnitudes of theo- terms of cumulant expansion up to the third order, ther-
retical XAFS spectra of Cu at 300 K, 400 K and 500 K (Fig. 6a) mal expansion coefficient, XAFS spectra and their Fourier
with those of their experimental results (Fig. 6b). transform magnitudes.
Page 8 of 8 Eur. Phys. J. B (2017) 90: 256

The most advantageous improvement in the above References


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