z

Introduction
n to Solid State
y
Physics
Lecture 5
x
Prof. Igor Shvets
ivchvets@tcd.ie
 Lattice Planes
Given a particular Bravais lattice, a lattice plane is defined to be
any plane containing at least three non-collinear lattice points.
Because of the translational symmetry, it will contain infinite
number of points, which in turn form a two-dimensional Bravais
lattice.

A family of lattice planes is a set

of parallel equally spaced planes
which together contain all the
points of the three-dimensional
Bravais lattice.
Any lattice plane is a member of
one such family
 Lattice Planes z

In order to define a plane

geometrically one generally uses a
n
vector normal to the plane.

All points in the plane, r, y

satisfy the condition;

 
r n  A x

There is an intimate relation between vectors in the reciprocal

lattice and planes of point in the direct lattice. This relation
can be used to classify all possible families of lattice planes.
 Relating reciprocal vectors and lattice planes

Theorem
a) For any family of lattice planes separated by a
distance d, there are reciprocal lattice vectors
perpendicular to the planes, the shortest of which
has a length of 2π/d .

b) Conversely, for any reciprocal lattice vector k, there is

a family of lattice planes normal to k and separated
by a distance d, where 2π/d is the length of the
shortest reciprocal lattice vector parallel to k.
 Proof of a)

Outline
Given any family of lattice planes
separated by a distance d. d d d d d

 2 n
We will show that K  is a
reciprocal vector. d
  n
Then that any K1  K could not
be a reciprocal vector. k
 Proof of a)

In order to show
  that K is a reciprocal lattice vector we must
iK R 
show that e  1 , where R is any point on the planes.
(Definition of a reciprocal lattice vector)

We must:
 
iK R
1) Show the plane wave
 e c is constant in planes
perpendicular to K
 
iK R
2) Show the plane wave e  c has the same value in
planes separated by a distance d  2 k

3) Put 1) and 2) together and show that this constant value is 1.

 Proof of a)
 
iK R
1) The plane wave e c is constant in planes perpendicular
to k.

Choose an origin, 0, and let R be the vector from the origin
to any point on a plane in the family.

Separate R into two vectors,
  
R  R   R||
 
Where R  is perpendicular to the planes and R || is parallel to the
planes.
     
ik  R ik ( R   R || )
Expanding R in the equation
for the plane wave gives,
e e
   
ik  R  ik R ||
e e
 Proof of a)
 
For all R chosen on this plane
 R will
remain constant and only R || will vary
so, d d d d d
 
ik R 
e  Constant
 
As R|| is always perpendicular to k for
all R we can say,  n
  R
 
k  R ||  0 R
 R ||
  R R ||
ik R ||
e 1 O

 R ||
And so for all R chosen on this plane, 
  R
ik R
e  Constant
 Proof of a)
 
iK R
2) The plane wave e  c has the same value in planes
separated by a distance d  2 k

Recall that the distance vector to a plane, R, can be split into

components parallel and perpendicular to the planes
    
ik  R ik ( R   R || )
e e
   
ik  R  ik R ||
e e
Using the justification outlined in 1) without loss of generality we
can consider only the perpendicular component of R. This
makes for an easier geometric proof.
 Proof of a)

Let R 1 be the distance vector to a d d d d d
plane in the family.
Let R 2 be the distance vector to
the next plane in the family.Where
the difference is given by R.
n
    
R1 R 2
R 2  R1  R O

Subbing this into our wave

equation gives,

     
ik R 2 ik R1 ik R
e e e
 Proof of a)
So      
ik R 2 ik R1 ik R
e e e
In order to show that the wave equation is constant from
plane to plane we require,
 
k  R  2  m m
  
ik R
Recall that R  d so e has the same value in
planes separated by a distance d as long as the wave
vector has the form,
 2 m
k 
d
 Proof of a)

3) Put 1) and 2) together and show that this constant value is 1.

Every point of the Bravais lattice d d d d d

must belong to one of the planes in
the family. From the definition of
family of lattice planes.
n
Due to this we can set our
origin to actually be on one
of the planes O

This corresponds to the R  0 case.
So for this point,
 
ik R
e 1
 Proof of a)

In summary
Due to 1) for all points on the same plane as the origin,
 
ik R
e 1
Due to 2) this is true for any point on any plane separated by a
distance d  2 m k

 2 m
And so k  is a reciprocal lattice vector.
d
 Proof of a)

Lastly, to complete the definition we need to show k  2 d
is the shortest reciprocal lattice vector.

 
First assume there is a vectork'  k 2
This would mean that the  d
wavelength of this new wave k'
would be greater than d,

In order for this new vector to be a

d d d d d reciprocal lattice vector the wave it
 
ik R represents must have the same
e value on each plane. As is the case
with k.
 
ik ' R
e This
 is not the case with k’ and so
k  2 d is the length of the
shortest reciprocal lattice vector.
 Relating reciprocal vectors and lattice planes
So, to recap, we had our theorem in two parts:

a) Any family of lattice planes separated by distance d, has

reciprocal lattice vectors, k, perpendicular to the planes,
the shortest of which has a length of 2π/d .

Proved

b) For any reciprocal lattice vector k, there is a family of

lattice planes normal to k, separated by a distance d,
where 2π/d is the length of the shortest reciprocal
lattice vector parallel to k.

Wish to prove
Proof of b)

Suppose k, k1, k2, ... form a set of parallel reciprocal

lattice vectors


k Suppose k is the shortest
vector in this set.
k1

k2  
 ik r
Construct a plane
k 3 wave from this vector, e

k4
 Proof of b)

Let us consider the set of real space planes (not necessarily

lattice planes) on which the plane wave with wave-vector k is
equal to 1.
 
ik S
e 1
Where S is the vector from the origin to points on the real space
planes.

2 2 2 2 2
    
k k k k k These planes are
  perpendicular to k and
S S  are separated by a
 distance 2
O S k
k
 Proof of b)

For Bravais lattice planes defined by vectors R,

 
ik R
e 1
This implies that the real space planes must contain the family
of Bravais lattice planes as a subset
Real space planes
2 Possible Bravais lattice subset

k

d1
 Proof of b)

For Bravais lattice planes defined by vectors R,

 
ik R
e 1
This implies that the real space planes must contain the family
of Bravais lattice planes as a subset
Real space planes
2 Other possible Bravais lattice subset

k

d1
 Proof of b)
Is the situation possible where some of the real space planes
are not Bravais planes?

NO!
2
This would mean d1  d   which, from part a),
k
would mean k would not be the shortest reciprocal lattice
vector. Therefore, every simple real space plane in this set
must be a Bravais lattice plane,
 Summary

We showed that for any family of lattice planes separated by a

distance d, there are reciprocal lattice vectors perpendicular
to the planes, with a minimum length of 2π/d.
So the plane separation can be related to reciprocal lattice
vectors and vice versa with ease.


k  2 d
 Miller Indices

Using the connection between the lattice planes and the

reciprocal lattice vectors we can define a way to classify the
different families of lattice planes.

The Miller indices of a lattice plane

are the coordinates of the shortest
reciprocal lattice vector normal to
that plane, with respect to a
specified set of primitive reciprocal
lattice vectors.

Thus a plane with Miller indices h, k, l, is normal to the reciprocal

lattice vector h b1+k b2+ l b3.
From this very definition we know that the Miller indices h, k, l,
must have integer values.
 Miller Indices

Note:
a1; a2; a3 can be chosen in many different ways.

b1; b2; b3 can be chosen in many different ways.

Strictly speaking there is no unique choice of miller indices.

However, in most cases the choice of a1; a2; a3 is obvious

and given by symmetry of the lattice and so there is no
ambiguity.
 Miller Indices
Another way to interpret the Miller indices is to consider where
the plane intersects the axes in real space.
Consider the conventional unit cell of a crystal. To keep things
easy let’s use the simple cubic lattice with lattice constant a.
Place the axes in the usual position
Now introduce a lattice plane that
cuts through the unit cell.
(It may not appear that the plane has
at least three non-collinear points of
the lattice. In this case one must
consider more than one unit cell.)

The plane intersects the axes determined by the primitive lattice

vectors a1, a2, a3 at the points xa1, ya2, za3

With this example; x = 1/2 y=1 z = 1/2

 Miller Indices

Example plane intersect points;

r1 = a1/2 r2 = a2 r3 = a3/2

As the intercept points lie in the plane

they must satisfy the equation of the
plane,
K=A
r•n
Since the normal vector to the plane, K, is a reciprocal lattice
vector, K = h b1+k b2+ l b3
We used K instead of n in the above equation of the plane;
Furthermore, we
  recall that:
   
a1  K  2 h a2  K  2 k a3  K  2 l
 Miller Indices
   
r1  K  x1a1  K  2 hx1
   
r 2  K  x2a2  K  2 kx2
   
r 3  K  x3a3  K  2 lx3

Using these identities when subbing the

intercept points into the equation of the
plane you get;

x1  2 h  A 1 1 1
x2  2 k  A h:k :l  : :
x3  2 l  A
x1 x 2 x3

Thus the intercepts with the axes of a lattice plane are inversely
proportional to the Miller indices of the plane.
Miller Indices

Example plane intersect points;

r1 = a1/2 r2 = a2 r3 = a3/2

x1= 1/2 x2= 1 x3= 1/2

Recall that the intercepts with

the axes of a lattice plane are 1 1 1
inversely proportional to the
h:k :l  : :
Miller indices of the plane.
x1 x 2 x3

So the Miller indices for

this example are; h : k : l  2 :1: 2
 Miller Indices

In crystallography there are conventions as to how the indices

of planes and directions are written. When referring to a specific
plane, “round” brackets are used:
(hkl )

Vectors written in terms of multiples of the lattice vectors a1, a2,

and a3 are directions in the crystal written with “square”
brackets:
[UVW ]

A number of crystallographic directions can also be symmetrically

equivalent, in which case a set of directions are written with
“triangular” brackets:
<UVW >
 Miller Indices
Examples of Miller indices in a lattice with a cubic unit cell

Can you see how they would

correspond to families of
planes when many identical
unit cells are grouped
together?
Each example here leads to
a different family of planes
for the same lattice.

A bar over an index means

the intercept is in the
negative direction on that
axis.
 Theory meets reality
To see this in the world one needs a Scanning-Tunnelling
Microscope (STM). STM is a powerful technique for viewing
surfaces at the atomic level.

The STM is based on the concept of

quantum tunnelling.
When a conducting tip is brought very near
to a metallic (or semiconductive) surface, a
bias between the two can allow electrons to
tunnel through the vacuum between them.

For low voltages, this tunnelling

current is a function of the local
density of states (LDOS) at the
Fermi level, Ef, of the sample.
Variations in current as the probe
passes over the surface are
translated into an image
 STM Images

Molybdenum, (Mo)

(110) Surface

BCC crystal

[111]
STM Images

Tungsten, (W)

(001) surface

BCC crystal

[100] [100]

[001] [001]
 STM Images

Magnetite, (Fe3O4)

(001) surface

SC lattice

[110]

x
 STM Images

Magnetite, (Fe3O4)

(111) surface

SC lattice

[111] [111]
 Reflection high-energy electron diffraction (RHEED)

RHEED is a technique used to characterize the surface of

crystalline materials. RHEED systems gather information only
from the surface layer of the sample.

A RHEED system requires an electron source (gun), a

photoluminescent detector screen and a sample with a clean
surface all shown here.
 Reflection high-energy electron diffraction (RHEED)

The process is as follows:

 The electron gun generates a beam of electrons which strike the

sample at a very small angle relative to the sample surface.

 Incident electrons diffract from atoms at the surface of the sample.

 A small fraction of the diffracted electrons interfere constructively

at specific angles and form regular patterns on the detector.

 The electrons interfere according to the position of atoms on the

sample surface.
 The diffraction pattern at the detector is therefore a function of the

sample surface.
Reflection high-energy electron diffraction (RHEED)

RHEED pattern of a MgO

single crystalline substrate
along <100> azimuth after
cleaning.

RHEED pattern after the

growth of 10 monolayer
of Magnetite on the MgO
substrate.
Reflection high-energy electron diffraction (RHEED)

RHEED pattern of a MgO

single crystalline substrate
along <110> azimuth after
cleaning.

RHEED pattern after the

growth of 10 monolayer
of Magnetite on the MgO
substrate.
 Problems/Questions?
 What is meant by a family of lattice planes?
Did you follow the proof describing the relationship between
reciprocal vectors and lattice planes?
 What are Miller Indices?
Can you describe STM and RHEED techniques and what they are
used for?
I would urge you to know the answers to these questions before
next time.
Good resources
 Solid State Physics ~ Ashcroft, Ch. 5
 Solid State Physics ~ Hook & Hall, Ch. 1
 Introduction to Solid State Physics ~ Kittel, Ch. 1
 The Physics and Chemistry of Solids ~ Elliott, Ch. 2