Keeping up with collaboration

Collaborating with business partners successfully is not just about talking to them when there is an issue to be resolved. Rather, it’s a long-term commitment and work ethos that fosters an environment of trust between organizations and people.

Imagine organizations around the world thriving together – it’s easy if you try. With today’s ever-changing business climates, companies can achieve more by collaborating. Collaboration can usher companies into success in a myriad of ways, but what exactly does it take for organizations to collaborate? And what is the real bottom line for business?

Air traffic controllers at work in the Heathrow Airport air traffic control tower.

Step inside the Heathrow Airport air traffic control tower.

The world keeps changing, and big challenges call for big solutions. Climate action requires countries and industries to work together in order to lower carbon emissions by 2050. Fighting off large-scale conflicts compels everyone to cooperate. Upholding human rights and equality for all requires policy solutions from government sectors around the globe. One thing is clear: no one organization or individual can do it alone. And that is why collaborating is inevitable as a means of achieving the world’s most important goals.

From a business perspective, organizations will often seek partners that complement their capabilities to ensure that they meet the expectations of their stakeholders and, at the same time, gain access to new markets. Collaborating in business requires a commitment amongst parties to co-create opportunities that would lead to mutual and fair benefits for all. A recent study (2018 Global CEO Outlook) conducted by KPMG reports that global CEOs favour strategic alliances as the most important strategy to drive growth, making it an imperative for organizations to learn how to collaborate successfully.

However, successful collaborations don’t just happen overnight. While there is absolutely no iron-clad rule on how to collaborate, ISO 44001 presents a framework to assist an organization of any size, industry or region to develop its internal and external business relationships – opening doors for greater innovation, competitiveness and successful outcomes.

A management systems approach

Air traffic controller's hand on ramp departure console.

ISO 44001, Collaborative business relationship management systems – Requirements and framework, provides the overall components of a management system for business relationships as well as operational process requirements. It bridges the gap between organizational cultures to form a more robust partnership or alliance, provide confidence to participants and lay a strong foundation for collaboration. The International Standard features an eight-stage life cycle to ensure a disciplined approach to collaborative relationships which includes operational awareness, value creation, knowledge, internal assessment, partner selection, working together, staying together and exit strategies.

David Hawkins, Chief Operating Officer at the Institute of Collaborative Working and Chair of ISO/TC 286, the technical committee for collaborative business relationship management that developed the standard, says the publication of ISO 44001 has established a recognized framework on which to build and sustain collaborative working: “The need for organizations to work together has perhaps never been more critical in today’s economic environment, to meet the demands of the market and growing global competition and the impact of technology and in particular communications and transparency of markets. We see today a marketplace where success is more about what we bring to the market rather than simply what we produce as individual organizations,” he says.

Collaborating is easier said than done, and perhaps some of the key factors organizations might consider are: What would be the scope and boundaries of the collaboration? What would be each partner’s role in it? And how do we monitor and measure its success ? These points are all very relevant and important to bear in mind, as even the most strategic alliances often involve organizations with very different cultures. Parth Amin, Head of the US Delegation of the same ISO technical committee, says that despite increased awareness of the importance of strategic alliances in the corporate world, most organizations still lack the knowledge and management capabilities to realize the full potential of collaboration: “This is where ISO 44001 comes into the picture. For the very first time, there is now an International Standard that any organization can use as a strategic tool in making collaborative relationships and alliances work,” he says.

The standard is applicable to both private and public organizations of all sizes and follows the same overall structure as other ISO management system standards (known as the High-Level Structure), making it easier for any organization using multiple standards to integrate it into its management systems. Since its publication in 2017, organizations worldwide that implemented the standard have reported that, with a systemic approach to collaboration through ISO 44001, relations are strengthened.

Breaking new ground together

Two men talking at a conveyor belt on the factory shop floor.

When something works really well, it’s quite easy to assume that you can always make it even better. That was the vision of NATS, the UK’s leading provider of air traffic control services, when it collaborated with Leidos, a global leader in information technology, engineering, and science solutions and services.

With London Heathrow having some of the busiest airport runways in the world with an average of 1 300 aircraft landings and take-offs per day, it faces a big challenge on disruptive impact of weather – particularly strong winds affecting airport operations and mainly its passengers. Together, NATS and Leidos have pioneered an innovative solution, enhanced Time-Based Separation (eTBS), a technology which separates arriving aircraft by time instead of distance, in order to cut delays caused by strong winds.

Through this collaboration, the results were multifold: not only were the aircraft landing delays addressed and reduced by 62 %, it also allowed two additional aircraft landings per hour average, which is equivalent to extending Heathrow’s operating day by over 30 minutes, with a bonus on overall cost savings of EUR 23 million a year. This paved way for NATS and Leidos to deliver valuable operational resilience, enhanced on-time performance and a better passenger experience. Adrian Miller, Head of Supply Chain Partnerships & Collaboration at NATS, says: “We expanded our thinking on where we could be more together as partners, and in order to find new business opportunities, we had to fully collaborate with Leidos.”

Early last year, the NATS/Leidos partnership, alongside Heathrow Airports Limited, was recognized at the annual Jane’s Air Traffic Control Awards in Madrid for its contributions to enhancing the capacity and safety of its stakeholders. Following the success of the eTBS implementation in Heathrow, the same technology and partnership is now set to benefit Toronto Pearson Airport in Canada and Schiphol Airport in the Netherlands – a concrete testament that collaborative business models, when managed successfully, can help companies reach greater heights and be replicated by other players in the same industry and beyond.

Think win/win

85 %

of companies view partnerships and alliances as essential to their businesses

only 33 % of them have a formal & clear strategy for collaboration

Let’s keep it real though: Regardless of the type of model, the process of forming an alliance is not easy. Most collaborations fail because of competitive self-interest, lack of trust and absence of shared purpose among partnering organizations. A study conducted by the Chief Marketing Officer (CMO) Council and the Business Performance Innovation (BPI) Network reports that while 85 % of companies view partnerships and alliances as essential to their businesses, only 33 % have a formal and clear strategy for collaboration, and almost half of them still report failure rates of 60 % or more. To fully collaborate means that all parties should be willing to look beyond and see what more could be achieved together, in order to realize that the whole is truly greater than the sum of its parts.

A collaborative relationship can only produce desired outcomes if both parties meet the expected levels of performance and demonstrate the right behaviours. According to Miller, what made the NATS and Leidos collaboration truly successful is that they created a 50/50 balanced partnership wherein both organizations will benefit equally. “We recognized that the best way to ensure a successful collaboration is to guarantee mutual benefits that are fair and shared. We maintain a focus with our partners to ensure that our collaboration delivers the results all of us expect,” Miller noted.

A shared purpose

Airplanes line up on runway for departure.

Competition is growing. Consumers make smarter decisions, influencing the way organizations should behave, both ethically and in terms of sustainable responsibility. The business world is forever changing to meet these challenges. Despite new technologies opening up new avenues for organizations, at the core of these will be the ever-present need to ensure that the relationships between them and the individuals involved will have a significant effect on stability, resilience and performance. “In this turmoil, one factor remains constant: relationships are a core ingredient for successful business,” Hawkins adds.

What organizations need is a structure that supports their alliance strategy. ISO 44001 endorses that approach, with its structured framework designed to help organizations identify potential key partners, develop shared policies and processes, and promote the culture and behaviour required to establish successful collaborative relationships and to drive continual improvement.

Collaboration is at the core of every successful business. Whilst every business relationship is unique and there is no “one size fits all” solution for everyone, ISO 44001 provides a roadmap that will enable organizations to consider the implications and benefits of collaborative working. Collaboration is not a solution in itself but more of a means towards a common goal driven by a shared purpose. Just keep in mind: if you want to go fast, go alone; but if you want to go far, better go together!

By |2020-03-10T09:03:47+00:00March 10th, 2020|Weld Engineering Services|Comments Off on Keeping up with collaboration

Building success through people

It’s one thing to bring people on board, but how do you keep your employees motivated, productive and happy? ISO standards have the solutions to better manage your workforce.

It is often felt that recruitment is a lottery. You interview candidates, make a shortlist and finally settle on the best person for the job. Or so you think. Many top employees begin to lose interest when they feel that their skills and talents are being underutilized. That’s why empowerment through career coaching and training can bring your demotivated star players back to life.

Mixed-age, multi-ethnic group of colleagues having a work discussion.

The truth is, employees with a high level of engagement in the workplace are more likely to contribute to their employer’s success. Online training provider eduCBA reports that organizations that are successful in the 21st century value the skills of their people at 85 % of their total assets. People may be defined as “intangible assets” in that they are not easily accounted for in monetary terms like factories, machinery or products, yet it is those same people who will stay longer in their jobs and work actively to contribute to improvements in the systems and outputs of their organizations if they feel respected and supported.

Two ISO standards on people management have undergone an update to include useful steps on how the value of an employee can be enhanced, extended and nurtured. And it’s not just the content that’s had a facelift, the titles have been revised too. ISO 10015 has become Quality management – Guidelines for competence management and people development, and ISO 10018 is now Quality management – Guidelines for people engagement. Both International Standards present practical steps for managers and leaders to follow, adopt and measure. These standards are designed to be regularly referred to and not simply handed to employees in binders and then left to gather dust on the shelf.

Aligning the experts

Three workers pore over a construction works plan at a building site.

Published by ISO’s technical committee ISO/TC 176 (quality management and quality assurance), through its subcommittee SC 3 for supporting technologies, with input from technical committee ISO/TC 260 (human resource management), both standards are based on the process-oriented concepts of ISO 9001 for quality management. John J. Guzik, who serves as participating member on the US Technical Advisory Group (TAG) to ISO/TC 176, explains that the two standards rely heavily on the definitions found within ISO 9000:2015, Quality management systems – Fundamentals and vocabulary, but also make this information more accessible.

“When it comes down to people, quality management systems (QMS) are often considered as being technical or inaccessible guidelines for compliance that bear little reality to the work or products they are involved in making.” During his career, Guzik was a quality manager at two large US packaging firms. “ I worked my way up from the plant floor, so I understand how quality management systems need to be accessible and understandable to the employees, and not be a burden to them.”

ISO 10015 provides guidelines to help organizations and their managers design appropriate and timely training for their staff. With the ongoing quest for continuous improvement and rapid changes in markets, technology and customer needs, organizations must regularly evaluate what skills and competencies their people need if they are to remain successful and competitive today.

Fellow ISO/TC 176 member Mark Eydman agrees that the standard is a good fit for most organizations. “ISO 10015 is all about how to build competence and develop people to make quality management happen. It considers requirements at the organizational, team level and individual level. It adopts a Plan-Do-Check-Act cycle and is a perfect partner with ISO 10018.”

A game changer

With more investors demanding that public companies invest in human capital and engagement, the arrival of ISO 10018 promises to shake up the marketplace for traditional engagement solutions. It works by establishing an accepted framework that focuses on better integration of engagement strategies across an organization.

ISO 10018 recognizes that it can be difficult encouraging staff to take up quality management systems and understand how they are relevant to their daily work. The standard includes guidelines on how to enhance people’s involvement and competence within an organization and feel a valued part of it.

Dr Ron McKinley, former Chair of ISO/TC 260 on human resource management, who worked primarily on ISO 10018, agrees that it accompanies ISO 10015 but with a greater focus on the people. “Organizations are nothing more than a collective of people. Without people designing the product, making the product and using the product, there is no organization.”

Engaged and happy

Mixed-aged, multi-ethnic group of colleagues having a work discussion.

The term “people engagement” has been around for a couple of decades and is an oft used buzzword, yet many organizations and managers are not entirely sure what it means. ISO 10018 provides clear definitions on how it relates to employees in an organization and how to enhance their involvement and competence within that organization. “People engagement means much more than being present as an employee; it means making an active contribution, feeling genuinely valued and achieving quality outcomes for your organization,” Eydman says.

McKinley goes further, explaining that the term “people engagement” used to mean organizations trying to find out if their people at work were “happy”. Two decades ago, the notion was that happy people would work harder and make better products, resulting in happier customers. He observes that surveys were often conducted, and action plans written, but they tended to lack a strategic and systematic approach which meant that they did not necessarily encourage people to stay at an organization.

“ISO 10018 applies to everyone, not just employees. It’s an ʻenterpriseʼ or organizational approach that includes vendors, investors and customers. Defining ʻpeople engagementʼ means that all people who are actively involved in the organization are doing so in a positive way. By ʻpeopleʼ, we mean anyone who encounters that organization: vendors, customers, owners, investors, staff.”

For employees, engagement means that they should have some ownership of the issues that are relevant to their jobs within the organization. “If they liaise with vendors, then they should have input into assessing current vendors or selecting new ones. That way, people will have a vested interest in the organization and be allowed to assert a reasonable amount of control and endure less micromanagement.”

Engaged organizations will have well-thought-out ways of developing their staff. Their aim is to have people there for a career, not just a job. Successful organizations often provide opportunities for staff to move to different areas within the organization to learn new skills and enhance their expertise. “While management still ultimately decides on promotions and training, staff should be able to see that a career trajectory is achievable within the organization and that their development is encouraged and valued,” McKinley says.

Evaluating success

Close shot of bicycle mechanic repairing a wheel while a salesman attends a client in the background.

Several metrics can be used to measure the success of people engagement. Turnover, in ISO 10018, does not mean financial profit or loss, but staff attrition. The aim for all organizations is to lower this rate. When people leave, they take their knowledge with them. Recruitment and training costs organizations money and a loss of human capital can be difficult to replace or replicate.

Customer satisfaction is also important. Customers are stakeholders who are actively affected by the organization and can provide valuable information for service and product improvement, which ensures that they will keep returning. McKinley cites company call centres as a good measure of satisfaction because they are the first point of contact for customers experiencing problems with a service or product and provide opportunities for organizations to collect data. “This is commonly known as the ʻgrudge-buying industry’ that deals with unhappy clients, and endeavours to resolve their problems and leave them satisfied after they hang up the phone. Bonuses for staff can be offered on customer satisfaction levels and not the volume of calls received, so that staff feel valued for the personal service and skills they use.”

Staff competence and development should be a collective aspect of the organization and not just for specific individuals, Guzik points out. People need to see the connection between their current work and how further training can provide more opportunities within the organization. “If they see that their organization is investing in their skills through training and other career tracks, they will feel engaged.”

What will we learn?

With these ideals in mind, what can busy managers and business owners expect? Practical measures, solutions and achievable steps. ISO 10018 was written for an audience of managers and leaders who realize the importance of staff retention and engagement, but don’t necessarily know where to start. Eydman explains: “We came up with six key areas where we believe that, if leaders give them attention, they will achieve a higher level of people engagement within their organization. The first three – strategy, culture and leadership – are perhaps the key principles.”

ISO 10018 proposes that quality management can only flourish in a setting where leadership is being demonstrated; the “do as I do” instead of “do as I say” approach. Strategy is a simple planning process to achieve your vision. ISO 10018 shows that if you want people to undertake a quality-driven journey with you, then they must understand the path to get there and the destination.

Farmers picking fresh tomatoes.

“Culture is very interesting,” says Eydman, “as it defines the rules, beliefs and behaviours that operate within an organization. Essentially, this is what happens when managers and leaders aren’t looking. It works alongside leadership, as leaders set the example.” Therefore, the other three principles – training and development, knowledge and awareness, and improvement – are intended to show people that they are valued and connected to the organization.

Never too small

Ultimately, both ISO 10015 and ISO 10018 are useful for any organization that employs more than two people. From small local businesses to large corporate conglomerates, the dynamics are the same, McKinley explains. “Internal issues include ensuring that management keeps all staff informed about issues that affect them; that there is a top-down, down-up and sideways flow of information from all levels of staff, effective liaison with customers, and a good relationship with vendors. All of these aspects result in customers receiving the quality product or service that they’re paying for.”

There is an added bonus. The QMS principles are applicable to other management systems. “While these guidelines were originally written for quality management systems, they can be applied to any management system such as environmental systems and occupational health and safety,” Guzik says.

And if that’s not reason enough, there are also the cost savings, according to McKinley. “Ultimately, the beauty of an ISO standard is that for a small company that cannot afford to hire a large consulting firm to do the work, they can buy this standard instead, apply the strategies and it will help them.”

By |2020-03-10T09:03:47+00:00March 10th, 2020|Weld Engineering Services|Comments Off on Building success through people

How Microsoft makes your data its priority

Privacy protection is a societal need in a world that’s becoming ever more connected. As requirements for data protection toughen, ISO/IEC 27701 can help business manage its privacy risks with confidence. Here, Microsoft opens up about protecting data privacy in the cloud.

Whatever business you’re in today, you’re in the data privacy business. This isn’t a problem that just affects chief data officers or IT security departments anymore. It’s a problem that spans across organizations affecting human resources, customer service representatives, and more generally anyone who comes into contact with personal data.

With the number of cyber-attacks against businesses on the rise, cybersecurity is a growing concern. The question then becomes : How can organizations manage people’s private information ? New privacy regulations introduced by governments in recent years, such as the European Union General Data Protection Regulation (GDPR) or the California Consumer Privacy Act, require companies to respond. But with different countries developing different regulations for data privacy, how can global corporations such as Microsoft ensure seamless data protection ?

The recently published ISO/IEC 27701, Security techniques – Extension to ISO/IEC 27001 and ISO/IEC 27002 for privacy information management – Requirements and guidelines, helps companies manage their privacy risks for personally identifiable information. It can also help companies comply with GDPR as well as other data protection regulations. Drafted under the joint stewardship of ISO and the International Electrotechnical Commission (IEC), it is the world’s very first global privacy standard. Here, Jason Matusow, General Manager of Microsoft’s Corporate Standards Group, gives us the low-down on this groundbreaking standard.

ISOfocus: ISO/IEC 27701 is the first privacy information management system standard, or PIMS for short. Can you tell us a bit about the standard? What makes it so groundbreaking?
Jason Matusow

Jason Matusow, General Manager of Microsoft’s Corporate Standards Group.

Jason Matusow: The first thing about ISO/IEC 27701 is that it’s an easy and efficient way to address the issue of spreading consistent data processing practices across an organization. Although cybersecurity and privacy are interrelated, in many organizations they are still treated as different projects. The smart move with ISO/IEC 27701 – and my compliments to the experts who developed it – was to attach the standard to the cybersecurity world via the ISO/IEC 27000 series on information security management systems, to which thousands of companies are already audited each year. By layering PIMS on top of that structure, the cybersecurity community in an organization can work together with the privacy community to establish data processing practices that encompass both security and privacy considerations.

PIMS takes into account the need to think about data protection holistically. In GDPR, like many other privacy laws around the world, there’s a requirement for companies to have a data protection officer. One of the big challenges for these people is how to create effective documentation; in other words, how do you work across a whole organization to establish evidence that you’re handling the data processing of information correctly? The PIMS process allows you to build out more comprehensive operations for privacy and then to establish documentation and behaviours that are represented externally.

There’s a prevailing dynamic in data privacy which is that everyone is very focused on the regulators. But the underpinnings of business are the business-to-business relationships – contracts. Microsoft has thousands of companies in its supply chain, and we are in the supply chain of thousands of other companies, so the representation of good data processing behaviours becomes a real question mark in that whole chain. What PIMS does is enable that evidence of good behaviour. Trust comes with verification, and that verification is based on good PIMS practices.

Can this new standard help companies achieve compliance with the GDPR, or the California Act, for example?

At this point in time, there is no standard that is identified as a representation of legal compliance for privacy, so there’s a lot of discretion right now in Europe as to how regulation is interpreted by companies, and that includes Microsoft. The standard isn’t about having a clear path that leads to legal compliance – that doesn’t exist today. It’s about strong practices, good hygiene, establishing responsible behaviours that are documented, that are repeatable and that have the ability to get better over time. Because one of the main things about a processing management system is its focus on continuous improvement.

It’s important to note that there is not one privacy law; there could be as many as 30 of them… GDPR, the California Act, and countries like Australia or Japan all have their own. One of the things that makes PIMS so interesting is that it embodies a consistent set of privacy practices (i.e. controls) that can be mapped against any privacy law.

Woman in the IT server room.
Technology is constantly evolving and companies must adapt. Do you see ISO/IEC 27701 still being useful in a couple of years’ time?

The fact that technology moves on means you can never say “we’ve got it sorted and therefore we can hold still”. It just doesn’t work that way. Every business is evolving every day. A standard like ISO/IEC 27701 creates the opportunity for a consistency of approach while being flexible enough to adapt to the changes that happen underneath.

An important notion to master is the privacy impact assessment, which is a systematic process for evaluating the potential effects of your system on privacy. Although this is not a feature of the standard itself, ISO/IEC 27701 does have a requirement for a scope of applicability, where a company is called upon to measure the impact of its data processing in a given context. The standard then provides a series of controls to counteract that impact, which can be mapped against the law, either the GDPR specifically, or the Australia, Japan or California privacy laws. It’s the combination of these pieces put together that can get you across the line of responsible practices for data protection. Think of it as a journey, not a destination!

What’s at stake for Microsoft? Why has it been such a big supporter of the standard?
XXXL Network servers

That conversation starts essentially with our customers. The reality is that the standard allows the people who are working in cloud services, and using our technologies, to join forces with Microsoft, taking steps forward together and making assertions about good data management practices collectively. ISO/IEC 27701 plays that central role in building a harmonized conversation between organizations. It’s critical in the conversation you can have with regulators, but it’s really also about the business-to-business relationships.

PIMS is a valuable asset in the use of information technology in any business, so our primary interest has been in having the solid privacy approach that our customers need. The next step is about our own behaviours. But I will say this, our operations for privacy have reached well beyond the process to qualify for, let’s say, a PIMS audit at some point. That’s something we are committed to doing, and ISO/IEC 27701 is part of our audit process.

Microsoft has extended GDPR protections to all citizens in the world using our technologies. If we are going to do the essential engineering work and the ongoing improvements to make our systems respectful of citizens’ data, then we have to approach it in a constructive, holistic way. PIMS will be able to layer on top of that to put the practices we already have within the framework of a third-party audit.

What does it mean for a business to adopt ISO/IEC 27701? Can you tell us a little more about what’s involved?

As I mentioned before, this standard builds on the ISO/IEC 27000 series, so PIMS involves taking that holistic route and accepting that it will require the engagement of an information security management system, which can later be extended to privacy. It’s about looking at your systems and processes, and then establishing controls. Think of a control as a prescriptive behaviour that you have committed to follow; in time, it will become a repeatable behaviour that you can then document.

Teacher helps school children using a tablet in the classroom.

That’s a job for the data protection officer whose primary responsibility is to make sure the company is adhering to its impact assessments. However, larger companies will ultimately call on an external compliance organization to help them think through all the systems they need. In a nutshell, though, the controls you put in place should span everything from the collection of data, use of data, disposal of data, how you handle data breaches, how you notify customers, and everything else that might be in that chain of thinking.

What does the future hold for Microsoft with regard to standardization?

I will break that question down into two different concepts. First of all, not all standardization is the same. On the one hand, we have technical specifications like Bluetooth or Wi-Fi or other such protocols. These are done by Microsoft’s product groups on an as-needed basis. And within that space, one of the most interesting things to emerge over the last five years has been the massive growth in open source software. The way in which people are solving collaboration problems has not necessarily been in the traditional standards context, but via collaborative development in an open source context. That doesn’t mean standardization is going away, but the landscape is changing significantly.

On the International Standards side, the type developed by ISO and its partner organizations, the International Electrotechnical Commission (IEC) and the International Telecommunication Union (ITU), I think people are really looking at the growth of regulation and how standards act as “soft law” in relation to regulation. How does PIMS stand between the existing laws and the behaviours of an organization? You need something in between them and standards can play a central role in bridging the gap. They are particularly helpful in dealing with the diffusion of regulatory approaches, for example reconciling Australia’s privacy laws with those of the GDPR. So the incredibly important role that ISO/IEC 27701 can play is to act as a Rosetta stone between the different regulatory approaches.
It’s a very powerful thing!

Close-up of a young woman at work in front of three computer screens.

te

Providing security for any kind of digital information, the ISO/IEC 27000 family of standards is designed for any size of organization.
It’s all about trust
Artificial intelligence (AI) has the potential to aid progress in everything from the medical sphere to saving our planet, yet as the technology becomes ever more complex, questions of trust arise. Increased …
By |2020-03-10T09:03:47+00:00March 10th, 2020|Weld Engineering Services|Comments Off on How Microsoft makes your data its priority

Standards mean business in the latest ISOfocus

If you’re a business, you already know the multitude of challenges you’re up against in today’s business world. That’s where our standards come in. Whether you want to monitor and improve your brand, toughen up your IT security, or keep your employees motivated, productive and happy, using ISO standards can help.

The March/April 2020 issue of ISOfocus highlights the fastest-growing trends in business, including how to tackle today’s complex and interconnected challenges. It features everything from collaborative business relationships to new payment solutions for seamless transactions to brand dos and don’ts, to business continuity management systems.

What we uncover in this issue is the contribution of ISO standards to solving many of today’s business-related challenges. As Dr Endo, President of the Japanese Industrial Standards Committee (JISC), writes in his introductory remarks: “International Standards play a significant role in helping companies adapt to the new realities of society, providing practical solutions for a better, safer and more sustainable world.”

The latest issue of ISOfocus provides expert analysis and commentary on the biggest business standards. It gives a thorough review of how standards can boost business, including their impacts and their relevance for international trade, innovation and economic development. What’s more, a one-on-one interview with Microsoft gives us a sneak peek into a real-life standards best practice.

Here’s the bottom line: Standards are a set of powerful business tools for organizations of all sizes. They inspire confidence, drive down costs, boost productivity and improve profits. Interested to learn more? Browse for business trends and read all about standardization successes in the latest ISOfocus.

By |2020-03-10T08:57:35+00:00March 10th, 2020|Weld Engineering Services|Comments Off on Standards mean business in the latest ISOfocus

ISO brings gender to the forefront on International Women’s Day

Sunday 8 March is International Women’s Day. In the spirit of celebrating the next generation of women and girl leaders, the United Nations’ theme is “I am Generation Equality: Realizing Women’s Rights”. It’s a call to action for everyone to push for complete gender equality. ISO is helping to advance the agenda with a number of gender action initiatives.

Launched in 2019, the ISO Gender Action Plan outlines five priority areas that focus on collecting data, creating a network to share best practice, and raising awareness of standards in support of gender equality and women’s empowerment.

As a Gender Champion, ISO Secretary-General Sergio Mujica explains: “We, at ISO, recognize that International Standards are essential tools toward reducing inequalities, creating greater sustainability and encouraging inclusive economic growth, all of which largely contribute to the United Nations Sustainable Development Goals, including SDG 5 (Gender Equality).”

With gender equality and women’s empowerment being key to achieving all 17 Sustainable Development Goals, multiple efforts are underway within ISO to mobilize gender action initiatives. An International Workshop Agreement (IWA) on women-owned businesses will be held later this year. The IWA aims to increase accessibility for women business owners to public and private procurement opportunities, give access to capacity-building programmes and incentive schemes, and reduce certification costs for supplier diversity programmes. The IWA is being organized by SIS, the ISO member for Sweden, in collaboration with the International Trade Centre (ITC).

Society has come a long way since the first International Women’s Day over a hundred years ago. Yet, looking ahead, there are still barriers that need breaking. Applying a gender lens to standardization work means addressing specific needs for women and girls, which in turn will help to develop more gender-responsive and -inclusive standards for everyone. Ultimately, addressing gender responsibilities will lead to transformative change and a more equal world overall.

For more updates on ISO gender initiatives throughout the year, be sure to follow on Twitter, Facebook and LinkedIn. Join the conversation with #ISOGenderAction.

Achieve gender equality and empower all women and girls
Turning tides: encouraging gender diversity on World Maritime Day
While traditionally seen as male-dominated, the maritime sector benefits from gender equality just like any other industry.
By |2020-03-06T09:14:38+00:00March 6th, 2020|Weld Engineering Services|Comments Off on ISO brings gender to the forefront on International Women’s Day

Ab initio Structure Prediction Methods for Battery Materials

The ability to store clean energy is paramount in the struggle to decarbonise the global economy; the demand for cheaper, higher performance and more sustainable energy storage technologies is growing rapidly with the market for electric vehicles and distributed energy grids. A key challenge is discovering new battery materials which outperform present technologies. However, experimental materials discovery requires extensive amounts of laboratory resources. This makes materials modelling an attractive tool that can reduce the cost and time associated with the discovery process. The effort to accurately model battery materials has been made possible largely by a quantum-mechanical theory for molecules and materials, known as DFT (1, 2). DFT is an ab initio (or first-principles) technique that requires no experimental input to make predictions about materials. By using DFT to understand how a material behaves at the atomic level, predictions can be made about its behaviour as a battery component.

Results from DFT can both guide experimental design and also help to interpret experimental results. However, in order to make these predictions, the atomic structure of the material must be known. When this is not the case, crystal structure prediction (CSP) can be used to search for the most likely arrangements of the atoms. Given a crystal structure, it is then possible to perform theoretical spectroscopy calculations, which can be compared to the experimental spectra. Examples include NMR (3), X-ray absorption spectroscopy (XAS), electron energy loss spectroscopy (EELS) (4, 5), Raman and infrared (IR) spectroscopies (6). This is especially important in the context of battery materials, as changes in the atomic structure and chemical bonding during device operation are crucial to battery function.

This review provides an overview of DFT and CSP applied to battery materials modelling and highlights recent computational research on battery anodes and solid electrolytes. Section 2 outlines DFT and CSP methods. Section 3 explains how experimentally relevant properties of battery materials can be computed. In Section 4, several examples of applying these techniques to battery materials are discussed, including conversion/alloying anodes, solid electrolytes and anodes for Na-ion batteries.

2.1 Density Functional Theory

DFT calculations have become an important part of materials research to discover and explain the causes of experimentally observed phenomena at the atomic scale. They provide insights into the physics and chemistry of materials which aid in further optimisation of materials for a specific application. DFT primarily provides a means for calculating the total energy and electron charge distribution of any configuration of atoms.

The atomic-scale processes in materials are described by the quantum mechanical time-independent Schrödinger equation, Equation (i):

(i)

in which the wavefunction for the set of electrons and nuclei is denoted by Ψ({Rj},{ri}) where Rj are the positions of the nuclei, ri are the positions of the electrons and Ĥ is the Hamiltonian of the system. The energy E obtained from this equation represents a specific energy level for the system. In general, the ground-state energy of the system, E0, is the quantity of interest. The Hamiltonian for this time-independent equation is Equation (ii):

(ii)

The first two terms in Ĥ are the kinetic energy operators of the nuclei and electrons, and the third is the potential energy. Nuclei and electrons interact via the Coulomb interaction. Unfortunately, the conventional Schrödinger equation is too complicated to solve beyond just a handful of particles. Therefore, approximations are required in order to solve this equation and obtain the ground-state energy of the system of interacting electrons and nuclei. Since electrons move on very fast timescales compared to nuclear motion, the nuclei can be treated as fixed in space while the electronic-ground state is computed. This is the Born-Oppenheimer approximation, which results in a Schrödinger equation for the electrons, in which the nuclear positions and charges enter as parameters only. The underpinning principle of DFT, the Hohenberg-Kohn theorem (1), builds from this approximation, providing a theoretical basis for working not with the wavefunction, but with the much simpler ground-state electron density, n(r).

Figure 1 shows an example of the calculated ground-state electron density of the atoms in a silicon crystal structure, represented by the smooth surface surrounding the atoms. The total energy of a system of electrons and fixed nuclei is a function of all possible electron density functions. Using the Kohn-Sham ansatz, finding the ground-state electronic density is made computationally feasible by expressing it in terms of auxiliary wavefunctions which describe a fictitious non-interacting system of the same density (2). The full expression for the ground-state energy EKS may then be written as Equation (iii):

(iii)
Fig. 1.

Three-dimensional (3D) visualisation of the electron density for a Si crystal structure. The blue spheres in the structure represent Si atoms, connected by rods which depict bonds. In the solid state, structures are periodic, with the basis vectors shown in the bottom left corner (a, b and c). The boundary of the unit cell is shown by the black box surrounding the atoms: (a) Si shown along the a direction; (b) Si shown along the a* direction. The electron density for this system is depicted using an isosurface within the crystal and a colourmap along the simulation box boundary. The isosurface is shown in yellow and the boundary box is shown in blue and green, where blue are areas of lower electron density and green are areas of high electron density

Three-dimensional (3D) visualisation of the electron density for a Si crystal structure. The blue spheres in the structure represent Si atoms, connected by rods which depict bonds. In the solid state, structures are periodic, with the basis vectors shown in the bottom left corner (a, b and c). The boundary of the unit cell is shown by the black box surrounding the atoms: (a) Si shown along the a direction; (b) Si shown along the a* direction. The electron density for this system is depicted using an isosurface within the crystal and a colourmap along the simulation box boundary. The isosurface is shown in yellow and the boundary box is shown in blue and green, where blue are areas of lower electron density and green are areas of high electron density

where the first term, T[n], is the kinetic energy associated with the non-interacting Kohn-Sham particles; the second term, ENN, is the nuclear-nuclear interaction; and the third term, Vext, is the external potential of ion cores in which the electrons move. The fourth and fifth terms represent electron-electron interaction energies. The fourth term is the exact classical electrostatic energy; the interaction energy of an electron with the mean field of all electrons. The fifth term is the exchange-correlation energy, which attempts to account for all interactions not accounted for within the first four terms. By dividing up the energy in this way, while the exact exchange-correlation functional remains unknown, it may be approximated in various tractable ways.

The simplest approximation to EXC is the local density approximation (LDA), where the exchange-correlation energy per particle is taken to be equal to that of a uniform electron gas of the same electron density, at each point in space. Generalised gradient approximation (GGA) functionals improve on the LDA by taking into account both the electron density and the gradient of that density, resulting in a more accurate description of exchange and correlation (3). These functionals have limitations; most seriously, both electron localisation and electronic band gaps are underestimated. So‐called ‘hybrid functionals’ have aimed at semi-empirically correcting the electronic band gap (4) and developing functionals beyond the LDA and GGA is the focus of much of the theoretical work in the field of DFT today, where the ultimate goal is to find an exchange-correlation functional which accurately describes all possible systems (5).

Within this framework, total energies, forces, equilibrium geometries, elastic behaviour and many other properties of interest can be readily and accurately predicted. However, to predict a material’s properties using DFT, it is necessary to know how its atoms are arranged. Thus, in the following section, we describe the method of CSP, which uses DFT to generate structures of novel materials.

2.2 Crystal Structure Prediction

There are multiple materials databases. Some contain only the experimental crystal structures and other relevant properties of known materials, while others contain the computed properties of both known and hypothetical materials. These can be leveraged to perform CSP. For example, known crystal structure prototypes can be decorated with any set of atomic species, resulting in new hypothetical materials. The stability and synthesisability of these new materials can then be assessed using DFT calculations and by comparing against thermochemical data in the database. Three of the major exhaustive databases of DFT calculations, the Open Quantum Materials Database (OQMD) (6), the Automatic Flow (AFLOW) framework for materials discovery (7) and the Materials Project (8) have been used to predict new materials and screen for desired properties using a combination of high-throughput ab initio calculations and, increasingly, statistical and machine learning approaches. In addition, experimentally identified structures are found in the Inorganic Crystal Structure Database (ICSD) (9) and the Crystallography Open Database (COD) (10). These databases have been used as a starting point for many theoretical studies, leading to several new discoveries in the field of energy storage, including identifying SrFeO3-δ as a material for carbon capture (11), verifying Li3OCl as a solid electrolyte with high ion conductivity (12) and predicting LiMnBO3 as a Li-ion battery cathode (13). While these databases are useful for comparisons of known structures and enable the discovery of materials that are based on known crystal structure prototypes, it is likely that new structures exist which cannot be classified as one of the currently known prototypes. Therefore, it is necessary to perform CSP in order to explore novel phases of materials.

The search for new thermodynamically stable materials (those favoured to form during synthesis, when kinetic factors are excluded) using CSP can take one of many approaches (14), but all involve a search for the lowest energy minimum in a high-dimensional configuration space. The configuration space for a periodic structure with N atoms per unit cell has dimension 3N+3, taking into consideration the rotational symmetries and unit-cell degrees of freedom, whilst the number of local minima in the space scales exponentially with N (15). Ideally, all low-lying minima would be sampled during CSP since metastable phases may be synthesised experimentally, or indeed be thermodynamically stable under different conditions; for example, graphite is the most stable allotrope of carbon under ambient conditions, but diamond can be easily synthesised under high pressure. Particularly popular approaches to CSP include the use of evolutionary algorithms to ‘breed’ new structures (15) and particle swarm optimisation (1618).

AIRSS (19) is the focus of this review. Despite the potential for having a high computational cost, AIRSS remains an effective method for structure prediction which allows for a breadth of searching and has proven successful in a wide range of materials. Beyond the ease of its implementation, AIRSS has several advantages. Firstly, individual relaxations do not depend on one another, hence all trials can be run concurrently making the algorithm trivially parallelisable to the largest of supercomputers. Secondly, AIRSS allows for the easy application of chemically intuitive constraints which reduce the initial search space to the most experimentally relevant trial structures. This constraint greatly reduces the size of the search space and makes AIRSS applicable to a wide range of systems, including those at high pressure (20, 21). These chemical constraints include, for example: the phases of conversion and alloying anodes (2225) were constrained by space group symmetries and atomic distances; high pressure phases of ice (26) were constrained to H2O units; encapsulated nanowires (27) were constrained by rod group symmetries; metal-organic frameworks (28) were constrained to molecular building blocks; grain-boundary interfaces (29) and point-defects (30) had some atoms fixed to describe the lattice and systematically randomised other atoms to describe interface and defect structures.

AIRSS explores configuration space using random sampling as shown in Figure 2(a) and proceeds as follows.

Fig. 2.

(a) Workflow schematic of the AIRSS method which is used to find the ground-state structures of different materials; (b) example of a convex hull of elements A–B which details how AIRSS can identify a lower energy structure in the A–B phase diagram. Each green circle represents one structure from an AIRSS search, plotted as composition vs. formation energy. The dashed lines represent a convex hull in which the A2B structure is on the hull but no A3B structures have been identified yet. The solid lines represent the convex hull which contains a new structure of A3B, identified from an AIRSS search, which is lower in energy than A2B

(a) Workflow schematic of the AIRSS method which is used to find the ground-state structures of different materials; (b) example of a convex hull of elements A–B which details how AIRSS can identify a lower energy structure in the A–B phase diagram. Each green circle represents one structure from an AIRSS search, plotted as composition vs. formation energy. The dashed lines represent a convex hull in which the A2B structure is on the hull but no A3B structures have been identified yet. The solid lines represent the convex hull which contains a new structure of A3B, identified from an AIRSS search, which is lower in energy than A2B

To search for a new phase with chemical formula, Ax By , any number of atoms of element A and B are placed randomly (denoted ‘Randomise’ in Figure 2(a)) into a 3D simulation cell in the ratio x :y . The cell and atomic positions are allocated such that they obey a set of chosen symmetry operations (a space group in 3D). Further constraints, such as minimum separation between atoms and a feasible range for the atomic density of the unit cell, may be imposed. These constraints narrow the region of the configuration space of possible structures by avoiding regions that describe unrealistic arrangements of atoms.

The forces on the atoms and stresses on the cell are calculated with DFT and then minimised using the traditional optimisation algorithms (for example, conjugate gradients). This step is denoted ‘Relax’ in Figure 2(a). The energy of the system is used as a metric to gauge how stable the structure is.

Steps 1 and 2 are then repeated several thousand times in order to generate a representative set of structures in the A-B chemical space. The search is stopped once the lowest energy structures have been found multiple times. The set of lowest energy structures are the candidates for phases that are likely to form experimentally.

Using the DFT energies, one can construct a ‘convex hull’ of all the structures found by AIRSS, as shown in Figure 2(b). The structures Ax By which are likely to form, must both have a negative formation energy relative to elemental A and B and lie on the convex hull tie-line between A and B to avoid decomposition into other binary phases. This tie-line is shown by the black line connecting the lowest energy structures in Figure 2(b). This figure illustrates the process of constructing a convex hull using the optimised structures from AIRSS. Suppose at a given point during the AIRSS search, the only structures on the convex hull are AB, AB2 and A2B, connected by the dashed line in Figure 2(b). Subsequently, a novel phase, A3B, is identified using AIRSS and is found to lie below the existing tie-line. In this case, CSP has identified a new ground-state structure which suggests an additional phase, A3B is likely to exist within the A-B phase diagram. Therefore, as shown in Figure 2(b), the hull is reconstructed to include the phase A3B, rendering A2B unstable, given that it is now no longer on the convex hull. Although this example is given for two dimensions (i.e. a binary system containing elements A and B) the convex hull construction is generalisable to N dimensions, in which the tie-lines between the lowest energy structures are computed in a similar manner.

In this way, AIRSS enables the prediction of new thermodynamically stable and metastable compounds in a given phase diagram and the convex hull construction provides a guide to their stability compared to previously known phases, without performing exhaustive chemical synthesis. Synthesis experiments can then be targeted at the most promising compositions and characterisation experiments can be guided by the predicted model structures.

Once a structure is obtained, either through CSP or from a database, it is possible to use DFT to calculate many experimentally observable properties. In this section, we highlight several methods for calculating quantities which are experimentally relevant to the field of battery research, especially regarding electrodes and solid electrolytes.

3.1 Theoretical Voltage Profiles

The electrochemical voltage profile is the voltage signal of the electrode measured (vs. a reference, usually Li+/Li) as a function of the number of ions (i.e. charge) stored in the electrode. The phase transitions, which occur within the electrode during cycling provide the characteristic shape of the voltage profile; two-phase regions show a constant voltage, while solid-solution regions show a sloping voltage. The voltage drop between two phases is proportional to the difference in their free energies and thus these voltage drops can be computed directly from the free energies of the phases which lie on the convex hull tie-line. The voltage-drop between two phases with active ion concentrations x1 and x2 is Equation (iv):

(iv)

where q is the charge of the active ion, F is the Faraday constant and ΔGrxn is the change in Gibbs free energy between phases. In practice, the change in Gibbs free energy in Equation (iv) is approximated by the change in the DFT total energy, under the assumption that entropic contributions will have a minimal effect on the free energy differences between phases during cycling.

When studying a phase diagram computationally there are a finite number of phases on the tie-line, thus the profile will not be a continuous smooth line, but a sequence of two-phase regions with constant average voltages. Although the profile will not have the same characteristic curve as an experimental voltage profile, it is still possible to calculate quantities of interest such as theoretical capacity, which is calculated from the maximal difference in active ion concentration between the predicted stable phases. Similarly, the energy density of an electrode is found by integrating the voltage profile between the two endpoint phases.

3.2 Computational Nuclear Magnetic Resonance Spectroscopy

Beyond calculating the voltage profile, one may further validate a crystal structure against experiment by using DFT to predict its spectroscopic signatures. Many spectroscopic methods, including XAS, EELS (31) and Raman spectroscopy (32), can be readily calculated using DFT to aid characterisation.

Solid-state nuclear magnetic resonance (ssNMR) spectroscopy is a tool for investigating the element-specific local structure of materials, even for the disordered and dynamic systems present in battery materials (33). Due to the complex structures and processes that arise during battery cycling, the usefulness of NMR spectroscopy can be greatly enhanced by applying complementary techniques to aid the assignment of spectra to the local environment of each nucleus. Theoretical methods in DFT are sufficiently mature that the calculation of chemical shielding tensors across a diverse range of inorganic systems is now routine (34).

NMR spectroscopy involves the precise measurement of the response of nuclei in an applied magnetic field to weak oscillating perturbations; for a given pulse scheme, the frequency of perturbing oscillations is adjusted until resonance is achieved, at which point a signal is observed. The frequency of this resonance is a cumulative measure of several competing interactions between the spin of the nucleus and its local environment and, when referenced against a model nucleus, is referred to as the chemical shift. The observed chemical shift in most materials is determined by the nuclear spin interacting with the orbital angular momentum of paired electrons. In Figure 3, such a shift is given for the phases of Li-P which form during cycling of a Li-ion battery with a phosphorus anode (22). The 31P chemical shift of each Lix Py phase is distinct, as shown by the coloured peaks in the figure for each compound.

Fig. 3.

Calculated 31P NMR chemical shifts (22) for various thermodynamically stable Li-P compounds found using a combination of data mining and AIRSS. The shifts show a clear trend towards more negative shifts (increased chemical shielding) as the Li content of the structures increases. This is related to the number of nearest neighbour Li ions of each P. These DFT predictions of NMR shifts enable experimentalists to correlate observed shifts with specific local structure environments. Reproduced with permission from the American Chemical Society

Calculated 31P NMR chemical shifts (22) for various thermodynamically stable Li-P compounds found using a combination of data mining and AIRSS. The shifts show a clear trend towards more negative shifts (increased chemical shielding) as the Li content of the structures increases. This is related to the number of nearest neighbour Li ions of each P. These DFT predictions of NMR shifts enable experimentalists to correlate observed shifts with specific local structure environments. Reproduced with permission from the American Chemical Society

Whilst the theory for computing magnetic shielding for isolated systems (such as molecules and clusters) was developed in the 1960s and 1970s in the context of quantum chemistry (35), these methods were not easily extendable to solids (36). For periodic systems, such as battery anodes and cathodes, most modern implementations of theoretical ssNMR use DFT and the gauge including projector augmented wave (GIPAW) approach (3739). It is not only possible to compute the full chemical shielding tensor, but also several other effects that can modify the lineshape of the NMR signal, namely quadrupolar coupling (for spin I >1/2 nuclei), dipolar coupling (which can be simulated directly from the geometry using for example the SIMPSON software package (40)) and J-coupling (interaction of electron spins which can probe chemical bonds directly) (41).

3.3 Predicting Transport Properties with DFT

Finally, beyond just characterising the static crystal structure of a battery material, it is also possible to predict the dynamics of ions moving through the material, which is especially useful when studying ionic transport in electrodes and solid electrolytes. The charge and discharge rates are key performance factors in battery design, defining the time required to fully charge a battery and the amount of power it can deliver, respectively. Rate capability is determined by the speed with which the charge carriers can move through the materials. Since both ions and electrons move in a battery, the rate capability depends on both the electronic and ionic conductivity of the materials. While the electrodes in batteries must be mixed electronic-ionic conductors, the electrolyte must be electronically insulating. First principles methods, such as DFT, can be used to study both electronic conductivity and ionic conductivity of battery materials. Electronic conductivity can be assessed from electronic structure calculations (4244), while ionic conductivity can be calculated using ab initio molecular dynamics (AIMD) or the nudged elastic band (NEB) method (45), as outlined below.

The bulk ionic conductivity, σ(T), of a solid electrolyte can be related to diffusion coefficients via the Nernst-Einstein relation (46) defined as Equation (v):

(v)

where n is the diffusing particle density, e the elementary electron charge, z the ionic charge, kB the Boltzmann constant, T the temperature, D(T) the ionic diffusivity and HR the Haven ratio accounting for the correlated ionic motion.

3.3.1 Ab Initio Molecular Dynamics Simulations

One way to compute ionic diffusivity of a given material, using AIMD simulations, combines the first principles aspects of DFT with the ability of molecular dynamics (MD) to model ionic forces and trajectories. Methods to screen the mobility of ions along an MD trajectory include mean square displacement (MSD), mean jump rate (MJR) (47, 48), velocity autocorrelation function (VACF) (4952) van Hove correlation function (53, 54) and others (55, 56). MSD is the most straightforward and robust and thus the commonly used definition of diffusivity.

One can extract the diffusion coefficient D(T) from the gradient of the MSD, given a well-converged MD trajectory such that the MSD is a linear function of time. Here, the slope of the line of best fit gives the diffusion coefficient D, times twice the dimensionality d of the diffusion (2d * D). For ionic diffusion in three dimensions, d = 3. Depending on the level of mobility of ions in the system, good convergence of the MSD of ions may require long trajectories, for example 50–100 ps, thereby requiring tens of thousands of time steps. As each step involves DFT energy or force evaluations, AIMD can be a computationally demanding process. Two common solutions to this are: (a) to analyse trajectories obtained at elevated temperatures (500–2000 K) to foster higher mobility and faster convergence of the MSD; or (b) to utilise parameterised atomic force-fields to allow faster evaluation of the interatomic forces in the system compared to ab initio methods like DFT. A drawback of parameterised force-fields is non-transferability, so one needs a new set of fitted parameters for the specific set of atoms in a new system.

The activation energy (Ea) for the ionic transport in a given electrolyte or electrode can be obtained from AIMD simulations using the Arrhenius law, Equation (vi):

(vi)

where D0 is the theoretical maximum diffusivity at infinite temperature, under the assumption that the diffusion mechanism is not temperature dependent and no phase transition occurs. Analysis of the trajectories from the AIMD simulations can also provide useful information on the crystallographic sites with higher occupation probability, while also revealing the preferred ionic conduction pathways between these sites (47, 57, 58).

3.3.2 Nudged Elastic Band Method

Another way to obtain ionic diffusivity from first principles is with optimisation-based methods, through the exploration of minimum energy paths (MEP) describing a set of predefined ionic migration pathways. To this end, the NEB algorithm is often used. Other approaches are also available for transition-state searches, for example the dimer (59), Lanczos (60) and eigenvector-following (EF) (61) methods as well as others (62, 63). Specifically, the NEB method computes the MEP (at 0 K) for a predefined route connecting the initial and final states of the motion of a single ion or a few, concertedly diffusing ions (45, 64). The ion-transport path is divided into intermediate steps (called NEB images), defined by the interpolation of these two end-point states. The NEB images are concurrently optimised by introducing a set of imaginary spring-forces to ensure the harmonic coupling of the consecutive images and a continuous path on the corresponding high-dimensional potential energy surface. Using the climbing-image NEB that maximises the energy of the saddle point(s) on the MEP, one can also locate the transition states, from which activation energies (Ea) are calculated.

In solids, the change of entropy during ionic diffusion is usually negligible and thus activation free energies are typically approximated by their 0 K values. The diffusion rate can then be related to the ionic diffusivity in the dilute carrier limit (65) (i.e. diffusion carriers do not interact) using Equation (vii):

(vii)

where λ is the hop distance between two adjacent sites, g is a geometric factor that depends on the symmetry of the sublattice of interstitial sites, f is the correlation factor, XD is the concentration of the diffusion-mediating defects, v* is the entropy difference between the initial and final states, the activation energy Ea is the energy difference between the initial and final states, kB is Boltzmann’s constant and T is the temperature of the simulation.

Static methods, such as NEB, provide computational efficiency over AIMD: NEB requires only a few hundred DFT steps to converge and is accurate within the regime in which the electronic structure of the model system does not change with the ionic migration (66). NEB calculations also allow for quantitative comparison of different migration routes. Nevertheless, NEB is less likely to reveal new conduction mechanisms compared to AIMD, and the complex cooperative conduction mechanisms may not be as straightforward to sample with NEB as with AIMD. Moreover, NEB usually operates in the dilute regime (Equation (vii)), where vacancy defects are manually introduced in the sublattice of the diffusing ions to have a low diffusion carrier concentration and mediate the ionic motion. These artificial defects not only decrease the accuracy of the simulation models, but also impede the integration of the NEB method in high throughput approaches. AIMD, in contrast, would in principle work with any concentration of diffusing ions by readily addressing the self-diffusion limit (67, 68). Given these tradeoffs, a common practice in the literature is therefore to combine AIMD with NEB calculations, specifically by identifying the potential conduction pathways from relatively shorter AIMD trajectories at a selected, elevated temperature and to probe the MEPs to get Ea and compute the other properties relevant to the ionic transport (57, 58, 6971).

In many cases, as in the high-voltage high-capacity anode material TiNb2O7 (TNO), both ionic and electronic conductivities are relevant to the performance of the battery material (72). In this case, density of states (DOS) calculations were used to determine that the electron-doped TNO is metallic, as compared to the pristine TNO. Additional localised electronic states were confirmed in AIMD as a result of bond distortions, thus exemplifying the need in this case for both AIMD and DOS calculations.

Each of the theoretical methods described in Section 3 still require a model crystal structure which can be obtained either from CSP or experiments. Thus, we establish a workflow from prediction to realisation in several simple steps. The general outline of this workflow is to: (a) use AIRSS or another CSP method to search for novel phases; (b) characterise these materials using DFT; (c) use DFT to predict and compare to experimental spectroscopy, or AIMD and NEB to predict diffusion pathways through ionically conducting materials. Large computational databases can be constructed for a particular electrode material, where one phase diagram may contain as many calculations as the entire databases mentioned in Section 2.2; the Python package ‘matador’ (73) has been created to perform this high-throughput workflow and automate this database construction from CSP results. The following sections provide examples in which this workflow has been successfully implemented for anodes and solid electrolytes.

Whilst this same methodology could be applied to cathode materials (66), we focus here on anodes as cathodes are typically layered oxides that undergo intercalation reactions where the structure of the host lattice is preserved. In this case, Li sites within the host can usually be enumerated and the most probable configurations studied using a cluster expansion (66, 74, 75).

4.1 Modelling Conversion and Alloying Anodes for Lithium-ion Batteries

Graphite is ubiquitous in contemporary commercial Li-ion batteries. However, alternative anode materials are a highly researched topic, due to graphite’s low capacity (372 mAh g–1) and tendency for Li plating and subsequent dangerous short-circuiting due to its low operating voltage (76). These factors make graphite anodes unattractive for applications that require high performance and capacity, such as electric vehicles.

Here we highlight developments in predicting high capacity conversion and alloying anodes to replace graphite, based on tin (990 mAh g–1) and antimony (660 mAh g–1). Such conversion and alloying anodes undergo a succession of reversible phase transformations during charging and results in their observed higher capacity retention than other conversion and alloying anodes (77).

Both Sn and Sb were previously employed as anodes in Li-ion batteries, showing evidence of conversion reactions, with unknown phases of Lix Sn and Lix Sb forming during Li insertion. An AIRSS search for the thermodynamically stable phases of both Lix Sn and Lix Sb was conducted (23, 78) in order to understand the voltage profiles and reaction mechanisms of these two alloying anodes. In this case, a new phase Li2Sn was identified by AIRSS to lie near the convex hull. The resulting voltage profile is compared with experimental measurements in Figure 4.

Fig. 4.

Comparison between theoretical and experimental voltage profiles for the Li-Sn conversion anode. The black line is the theoretical predicted voltage profile based on the phases that are on the convex hull tie-line (23), which matches well with the experimental results of Wang et al., shown in magenta and green for 25°C and 400°C respectively (79)

Comparison between theoretical and experimental voltage profiles for the Li-Sn conversion anode. The black line is the theoretical predicted voltage profile based on the phases that are on the convex hull tie-line (23), which matches well with the experimental results of Wang et al., shown in magenta and green for 25°C and 400°C respectively (79)

During the cycling process in conversion anodes such as Sn, the material at the anode undergoes several conversion reactions as Li is inserted (77). In the voltage profile shown in Figure 4, the black line is constructed from the ground state phases in the Li-Sn system, which were predicted using AIRSS (23, 78). Each plateau in Figure 4 represents a two-phase region between one ground state Li-Sn alloy and another, until a critical point is reached at which there is a phase transformation (a vertical line) to the next Li-Sn alloy.

The DFT predictions lie within the voltage range of the experiment and are an accurate match to both sets of experimental data by Wang et al. (79). In many cases, the experimental data has less-sharp distinctions between separated phases, due to reactions which appear to occur gradually rather than at a well-defined stoichiometry.

The Li-Sb phase diagram was found to be somewhat simpler, with only two stable phases predicted during cycling: Li2Sb and Li3Sb. Two competing polymorphs of Li3Sb were found and NMR calculations were performed on both to provide a signature of each phase to aid the interpretation of future experiments.

This work on Li-Sn and Li-Sb anodes provided theoretical confirmation of experimental binary phases in this family of conversion anodes and allowed for more concrete evidence of the specific mechanism of Li insertion into these anodes. Furthermore, this study confirmed the new phase of Li2Sn.

4.2 Modelling Lithium Diffusion in Solid Electrolytes

The electrolyte in a battery forms a conductive bridge between the anode and cathode which allows ions to move from one electrode to the other without permitting the flow of electrons. Conventional Li-ion battery architectures use a liquid electrolyte consisting of a Li salt mixture dissolved in an organic solvent. Two prominent safety concerns arise from the use of organic liquid electrolytes (80, 81). The first is that the organic solvent component tends to be flammable and poses a fire hazard when exposed to air if the battery casing is breached (82). The second is that Li dendrites (83, 84) form, which can eventually bridge the gap between the anode and cathode resulting in short-circuiting.

All solid-state batteries attempt to solve these safety issues by replacing the organic electrolyte solutions with solid equivalents, which exhibit high mechanical strength, suppressing dendrite formation, thus enabling the use of the high energy density Li-metal anodes (85, 86). Most proposed solid electrolytes have sufficient mechanical strength, as demonstrated by high throughput screening based on machine learning methods (87).

A key challenge in developing solid electrolytes is finding solids with room temperature (RT) ionic conductivities that approach those of their liquid counterparts. Among several solid electrolyte families identified to date, the thiophosphide ceramics, for example Li2S-P2S5, chemically-doped sulfides, like Li10GeP2S12 (LGPS) (88) and Li9.54Si1.74P1.44S11.7Cl0.3 (89), are known to deliver the highest RT Li-ion conductivities (1.2–2.5 × 10–2 S cm–1). Sulfides, however, have high moisture sensitivity and their chemical stability against common electrodes is low, thus limiting their practical use (90). By contrast, oxides like garnets (for example, Lix La3M2O12, where M = zirconium, niobium, tantalum) display notably higher chemical stability than sulfides but exhibit lower ionic conductivities (91). The latter limitation can be partly remedied by a chemical doping with diverse metals, including aluminium, gallium and scandium (92).

High throughput CSP is useful for exploring new superior electrolytes with combined high conductivity and chemical stability. Various studies have performed extensive screening of superionic conductors within databases such as the Materials Project (8), searching for phases with good phase stability, high Li+ conductivity, wide band gap and good electrochemical stability (12, 53, 9395).

Various LGPS-derived compositions were predicted using ab initio calculations through elemental swapping (95), such as Li10(Sn/Si)PS12 and then verified by experimental synthesis and measurements (96, 97). LiAlSO was discovered solely through structure prediction and proposed to be a superionic conductor with AlS2O2 layers, which facilitate faster movement of Li-ions, low activation barriers and a wider electrochemical window (94). Similarly, Fujimura et al. (98) presented a high throughput (HT) screening of the chemical phase space for Li3.5Zn0.25GeO4 (LISICON)-type electrolytes. The authors proposed new electrolytes with higher conductivities than the parent LISICON material. Later, Zhu et al. (93) reported a HT screening of the Li-P-S ternary and Li-M-P-S (where M is a non-redox-active element) quaternary chemical spaces and identified two Li superionic conductors, Li3Y(PS4)2 and Li5PS4Cl2. Particularly, Li3Y(PS4)2 is predicted to exhibit a room-temperature Li+ conductivity of 2.16 mS cm–1, which can be further enhanced with aliovalent doping (93). However, these materials are yet to be synthesised.

Following the structure prediction of these new solid electrolyte phases, it is then desirable to use NEB and AIMD simulations to investigate the atomistic origins of their ionic conductivity. For instance, Li-ion transport was elucidated in the sulfide-based electrolytes, Li7P3S11 (99), argyrodite Li6PS5Cl (48, 53), LGPS (57, 100), Li-Sn-S/Li-Sn-Se (101, 102) and Li-As-S/Li-As-Se alloys (103), Li3PS4 (48, 104, 105), Li4GeS4 (57, 103) as well as oxides, for example LLZO (71, 106108), LiTaSiO5, LiAlSiO4 (71), Li4SiO4−Li3PO4 solid mixtures (109) and several others. The problem of identifying solid electrolyte candidates for all solid-state batteries which are air stable and highly conducting can be solved using a combination of structure prediction techniques and atomistic modelling such as AIMD and NEB.

4.3 Beyond Lithium: Applying Structure Prediction to Na-ion Batteries

So far, the battery materials we have discussed (Sections 4.1 and 4.2) are based on Li-ion chemistry. However, cost and sustainability are driving research efforts into ‘beyond Li-ion’ batteries. The philosophy presented in Section 3, using CSP and DFT, is straightforward to extend to ‘beyond Li-ion’ chemistries. A prominent example is Na-ion batteries, where Li is replaced with the more earth-abundant Na.

Unlike in Li-ion batteries, graphite shows poor capacity for Na, although other carbonaceous materials offer some promise (110). As such, the success of future Na-ion batteries will rely on the discovery of new anode materials. There are many classes of anode materials which are applicable to Na-ion batteries including two-dimensional transition metal carbides (111) and group V elements (P, As, Sb) (112). Although this review focuses on one Na-ion anode material in particular, structure prediction has been used to predict phases of each of the anode materials in several cases (113115). In particular, black P shows a high theoretical capacity for Na of 2596 mAh g–1, corresponding to the formation of Na3P (22). Here, P acts as an alloying electrode, so its cycling is expected to involve multiple phase transformations. For these reasons, there has been recent focus on understanding sodiation processes in P.

Applying a combination of AIRSS, data mining (22) and a genetic algorithm (25), the convex hull of the Na-P system has been mapped out and is shown in Figure 5. The Na-P system contains a number of stable crystalline phases (coloured black circles in Figure 5) with compositions varying from NaP7 through Na3P, and the voltage curve derived from these phases shows good agreement with experimental measurements (25). In addition to these stable phases, there are metastable phases lying close to the convex hull across a range of compositions.

Fig. 5.

Convex hull (see Figure 1(b)) of the Na-P system as predicted using DFT through a combined approach using data mining, AIRSS and an evolutionary algorithm (22, 25). The ground state phases are labelled below the green tie line and their chemical compositions are given. The inset figures around the convex hull show the structures of intermediate Na phosphides, which are related to the structure of black P shown in the top left corner. In these structures the orange spheres represent P atoms and the purple spheres represent Na

Convex hull (see Figure 1(b)) of the Na-P system as predicted using DFT through a combined approach using data mining, AIRSS and an evolutionary algorithm (22, 25). The ground state phases are labelled below the green tie line and their chemical compositions are given. The inset figures around the convex hull show the structures of intermediate Na phosphides, which are related to the structure of black P shown in the top left corner. In these structures the orange spheres represent P atoms and the purple spheres represent Na

By following the structures which fall on or near the convex hull in Figure 5, from least sodiated (pure P) to most sodiated (Na3P), the calculations predicted many changes in local structure: the layered black P is broken upon successive Na insertion, forming P chains and helices, then dumbbells, which eventually break apart to form isolated P atoms. These structural motifs are distinctive and have characteristic NMR signatures, which can be accurately modelled. In order to confirm this explicitly, ex situ 31P solid-state NMR measurements were taken at different points during both the sodiation and desodiation cycle (25). Since contemporary NMR calculations lack a rigorous treatment of paramagnetic contributions to the isotropic shifts, the chemical shift anisotropies were computed for the thermodynamically accessible range of predicted structures to provide a set of chemical environments to screen against experimental measurements. During the reverse cycle when Na is removed from the system, P helices re-formed in a tangled fashion and the original crystalline P was not recovered. Amorphous phases were encountered experimentally on desodiation and, while modelling of amorphous materials is challenging, the local structural features of predicted metastable phases were discovered to be present even in the amorphous structures.

Aside from P, Sn also shows promise as a Na- ion battery anode. Sn presents a lower theoretical capacity for Na (847 mAh g–1) but offers better capacity retention than P (24). The results of an AIRSS search for Na-Sn phases (24), predicted that insertion of Na into Sn would result in hexagonally layered structures NaSn3 and NaSn2, before passing through an amorphous phase of approximate composition Na1.2Sn, after which a solid-solution consisting of Sn dumbbells surrounded by Na ions would form. The final product, Na15Sn4, contains isolated Sn atoms surrounded by Na. Importantly, the computational workflow used to study Li and Na-ion batteries is the same and is equally as applicable to conversion anodes for other chemistries.

In this review, we have provided an overview of computational modelling of battery materials using DFT, with a focus on cases where the atomic structure of the material is unknown. In these cases, CSP methods are used to find the most stable arrangements of the atoms during battery operation. Once the atomic structure is known, a variety of theoretical spectroscopy and other modelling techniques can be employed to compare these computational results to experiments. These include the prediction of NMR spectra, the probing of ionic conductivities using the AIMD or the nudged elastic band method and the construction of voltage profiles. In this way, CSP combined with chemical synthesis can accelerate battery research by creating a feedback loop between experimentalists and theorists. One method for CSP, AIRSS, has been used as a tool to predict new phases in battery electrodes and has been shown to be effective both for understanding the atomistic mechanisms for electrodes and electrolytes which are already in use, and for discovering new chemistries beyond those used in contemporary Li-ion batteries.

By reducing the experimental trial-and-error necessary to optimise new battery chemistries, computational modelling has the potential to reduce the time-to-market for novel device chemistries, as well as providing overarching design principles. In addition, CSP, and atomistic modelling more generally, can now be used to screen for new battery chemistries within the application-imposed constraints on performance and sustainability, with the goal of circumventing the need for unsustainable materials such as cobalt. This growing interplay between modelling and experiment will be crucial to meeting energy storage goals required for decarbonisation.

By |2020-03-04T09:48:15+00:00March 4th, 2020|Weld Engineering Services|Comments Off on Ab initio Structure Prediction Methods for Battery Materials
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