Chapter 6: Imperfections in Solids

ISSUES TO ADDRESS...
• What are the solidification mechanisms?

• What types of defects arise in solids?

• Can the number and type of defects be varied

and controlled?

• How do defects affect material properties?

• Are defects undesirable?

Chapter 6 - 1
 Imperfections in Solids

• Solidification- result of casting of molten material

– 2 steps
• Nuclei form
• Nuclei grow to form crystals – grain structure

(now the National Institute of Standards

Bureau of Standards, Washington, DC

and Technology, Gaithersburg, MD.)]

• Start with a molten material – all liquid

[Photomicrograph courtesy of L. C.
Smith and C. Brady, the National
nuclei crystals growing grain structure
liquid Adapted from Fig. 6.20 (b), Callister & Rethwisch 9e.

• Crystals grow until they meet each other

Chapter 6 - 2
 Polycrystalline Materials

Grain Boundaries
• regions between crystals
• transition from lattice of
one region to that of the
other
• slightly disordered
• low density in grain
boundaries
– high mobility
– high diffusivity
– high chemical reactivity
Adapted from Fig. 6.14,
Callister & Rethwisch 9e.

Chapter 6 - 3
 Solidification
Grains can be - equiaxed (roughly same size in all directions)
- columnar (elongated grains)
~ 8 cm Adapted from Fig. 5.17,
Callister & Rethwisch 3e.
(Reproduced with permission
from Metals Handbook, Vol. 9,
9th edition, Metallography and
Microstructures, ASM
International, Materials Park,
OH, 1985.)

heat
flow

Shell of
Columnar in equiaxed grains
area with less due to rapid
undercooling cooling (greater
ΔT) near wall

Grain Refiner - added to make smaller, more uniform, equiaxed grains.

Chapter 6 - 4
 Imperfections in Solids
There is no such thing as a perfect crystal.

• What are these imperfections?

• Why are they important?

Many of the important properties of

materials are due to the presence of
imperfections.

Chapter 6 - 5
Crystal imperfections have strong influence upon many properties of
crystals, such as strength, electrical conductivity and hysteresis loss of
ferromagnets. Thus some important properties of crystals are
controlled by as much as by imperfections and by the nature of the host
crystals.

 The conductivity of some semiconductors is due entirely to trace

amount of chemical impurities.
 Color, luminescence of many crystals arise from impurities and
imperfections
 Atomic diffusion may be accelerated enormously by impurities or
imperfections
 Mechanical and plastic properties are usually controlled by
imperfections

Chapter 6 - 6
 Types of Imperfections

• Vacancy atoms
• Interstitial atoms Point defects
• Substitutional atoms

• Dislocations Line defects

• Grain Boundaries Area defects

Chapter 6 - 7
Chapter 6 - 8
 Point Defects in Metals
• Vacancies:
-vacant atomic sites in a structure.

Vacancy
distortion
of planes

• Self-Interstitials:
-"extra" atoms positioned between atomic sites.

self-
interstitial
distortion
of planes

Chapter 6 - 9
 SELF-INTERSTITIAL: very rare occurrence

• This defect occurs when an atom from the crystal occupies

the small void space (interstitial site) that under
ordinary circumstances is not occupied.
• In metals, a self-interstitial introduces relatively (very!)
large distortions in the surrounding lattice.

Chapter 6 - 10
 POINT DEFECTS
• The simplest of the point defect is a vacancy, or vacant lattice site.
• All crystalline solids contain vacancies.
• Principles of thermodynamics is used explain the necessity of the
existence of vacancies in crystalline solids.
• The presence of vacancies increases the entropy (randomness) of
the crystal.
• The equilibrium number of vacancies for a given quantity of
material depends on and increases with temperature as follows:

Total no. of atomic sites Energy required to form vacancy

Equilibrium no. of vacancies
T = absolute temperature in Kelvin
Nv= N exp(-Qv/kT) k = gas or Boltzmann’s constant

Chapter 6 - 11
 Measuring Activation Energy

• We can get Qv from Nv - Qv

an experiment.
= exp
N kT
• Measure this... • Replot it...

Nv Nv slope
ln
N N
- Qv /k
exponential
dependence!

T 1/ T
defect concentration
Chapter 6 - 12
Example Problem 4.1/6.1
Calculate the equilibrium number of vacancies per cubic meter for copper at
1000°C. The energy for vacancy formation is 0.9 eV/atom; the atomic weight and
density (at 1000 ° C) for copper are 63.5 g/mol and 8.4 g/cm3, respectively.

Solution.
Use equation 4.1. Find the value of N, number of atomic sites per cubic meter for
copper, from its atomic weight Acu, its density, and Avogadro’s number NA.

N A  (6.023x10 23 atoms / mol )(8.4 g / cm 3 )(106 cm 3 / m3 )

N 
ACu 63.5 g / mol
 8.0x10 28 atoms / m 3
Thus, the number of vacancies at 1000 C (1273K ) is equal to

Chapter 6 -
 Continuing:

 Qv 
N v  N exp  
 kT 
 ( 0 .9eV 
 (8.0x10 atoms / m ) exp
28 3 
 (8.62 x10 5 eV / K )(1273K ) 
 
 2.2x10 25 vacancies/m 3

And Note: for MOST MATERIALS just below Tm

 Nv/N = 10-4
Here: 0.0022/8 = .000275 = 2.75*10-4

Chapter 6 -
 Observing Equilibrium Vacancy Conc.
• Low energy electron
microscope view of
a (110) surface of NiAl.
• Increasing temperature
causes surface island of
atoms to grow.
• Why? The equil. vacancy
conc. increases via atom
motion from the crystal
to the surface, where Reprinted with permission from Nature (K.F. McCarty,
they join the island. J.A. Nobel, and N.C. Bartelt, "Vacancies in
Solids and the Stability of Surface Morphology",
Nature, Vol. 412, pp. 622-625 (2001). Image is
Island grows/shrinks to maintain 5.75 mm by 5.75 mm.) Copyright (2001) Macmillan
equil. vancancy conc. in the bulk. Publishers, Ltd.

Chapter 6 - 15
 Point Defects in Ceramics (i)
• Vacancies
-- vacancies exist in ceramics for both cations and anions
• Interstitials
-- interstitials exist for cations
-- interstitials are not normally observed for anions because anions
are large relative to the interstitial sites

Cation
Interstitial
Cation
Vacancy
Fig. 6.2, Callister & Rethwisch 9e.
(From W.G. Moffatt, G.W. Pearsall, and J.
Wulff, The Structure and Properties of
Materials, Vol. 1, Structure, p.78. Copyright
©1964 by John Wiley & Sons, New York.
Reprinted by permission of John Wiley and
Sons, Inc.)

Anion
Vacancy Chapter 6 - 16
 Point Defects in Ceramics (ii)
• Frenkel Defect
-- a cation vacancy-cation interstitial pair.
• Shottky Defect
-- a paired set of cation and anion vacancies.
Shottky
Defect: Fig. 6.3, Callister & Rethwisch 9e.
(From W.G. Moffatt, G.W. Pearsall, and J.
Wulff, The Structure and Properties of
Materials, Vol. 1, Structure, p.78. Copyright
©1964 by John Wiley & Sons, New York.
Reprinted by permission of John Wiley and
Sons, Inc.)

Frenkel
Defect

• Equilibrium concentration of defects

Chapter 6 - 17
 Imperfections in Metals (i)
Two outcomes if impurity (B) added to host (A):
• Solid solution of B in A (i.e., random dist. of point defects)

OR

Substitutional solid soln. Interstitial solid soln.

(e.g., Cu in Ni) (e.g., C in Fe)
• Solid solution of B in A plus particles of a new
phase (usually for a larger amount of B)
Second phase particle
-- different composition
-- often different structure.

Chapter 6 - 18
 Imperfections in Metals (ii)
Conditions for substitutional solid solution (S.S.)
• W. Hume – Rothery rule
– 1. Δr (atomic radius) < 15%
– 2. Proximity in periodic table
• i.e., similar electronegativities
3 Hume-Rothery rules
– 3. Same crystal structure for pure metals
– 4. Valency
• All else being equal, a metal will have a greater tendency
to dissolve a metal of higher valency than one of lower
valency
For complete substitutional solubility the following criteria must be met:
1) the difference in atomic radii between host and the other element (ΔR%) must
be less than ±15%,
2) the crystal structures must be the same,
3) the electronegativities must be similar, and
4) the valences should be the same, or nearly the same. Chapter 6 - 19
 Imperfections in Metals (iii)
Application of Hume–Rothery rules – Solid
Solutions Element Atomic Crystal Electro- Valence
1. Would you predict Radius Structure
(nm)
nega-
tivity
more Al or Ag Cu 0.1278 FCC 1.9 +2
to dissolve in Zn? CH 0.071
0.046
More Al because size is closer and val. Is O 0.060
higher – but not too much – FCC in HCP Ag 0.1445 FCC 1.9 +1
2. More Zn or Al Al
Co
0.1431
0.1253
FCC
HCP
1.5
1.8
+3
+2
Cr 0.1249 BCC 1.6 +3
in Cu? Fe 0.1241 BCC 1.8 +2
Surely Zn since size is closer thus Ni 0.1246 FCC 1.8 +2
causing lower distortion (4% vs 12%) Pd 0.1376 FCC 2.2 +2
Zn 0.1332 HCP 1.6 +2
 substitutional solid solutions of
incomplete solubility. Because not all of Table on p. 177, Callister & Rethwisch 9e.
the three criteria of HUME-ROTHERY and ΔR were met. When
all are met that is called complete solubility.
Chapter 6 - 20
 Imperfections in Ceramics
• Electroneutrality (charge balance) must be maintained
when impurities are present
• Ex: NaCl Na + Cl -
cation
• Substitutional cation impurity vacancy
Ca 2+
Na +
Na +
Ca 2+
without impurity Ca 2+ impurity with impurity
• Substitutional anion impurity anion vacancy
O 2-

Cl - Cl -
without impurity O2- impurity with impurity
Chapter 6 - 21
 Point Defects in Polymers
• Defects due in part to chain packing errors and impurities such
as chain ends and side chains

Adapted from Fig. 6.8,

Callister & Rethwisch 9e ISV.

Chapter 6 - 22
 Impurities in Solids
• Specification of composition
m1
– weight percent C1  x 100
m1  m2
m1 = mass of component 1

n m1
– atom percent C 
'
1 x 100
nm1  n m 2

nm1 = number of moles of component 1

Chapter 6 - 23
Converting Between: (Wt% and At%)

C1  A2
C 
'
1  100
C1  A2  C2  A1
Converts
C2  A1 from wt% to
C 
'
2  100 At% (Ai is
C1  A2  C2  A1
atomic
C  A1
'
weight)
C1  ' 1
 100
C1  A1  C2  A2
'
Converts
from at% to
C2'  A2
C2  '  100 wt% (Ai is
C1  A1  C2  A2
'
atomic
weight)
Chapter 6 -
Determining Mass of a Species per Volume

• i is density of pure
  element in g/cc
 C 
C1"   1
  103 • Computed this way,
 C1  C2  gives “concentration”
  
 1 2  of speciesi in kg/m3 of
  the bulk mixture
 C  (alloy)
C2"   2
  103
 C1  C2 
  
 1 2 

Chapter 6 -
 Wt. % and At. % -- An example
Typically we work with a basis of 100g or 1000g
given: by weight -- 60% Cu, 40% Ni alloy
600 g
nCu   9.44m
63.55 g / m
400 g
nNi   6.82m
58.69 g / m
9.44
CCu 
'
 .581 or 58.1%
9.44  6.82
6.82
C Ni 
'
 .419 or 41.9%
9.44  6.82
Chapter 6 -
 Line Defects
Dislocations:
• are line defects,
• slip between crystal planes result when dislocations move,
• produce permanent (plastic) deformation.

Schematic of Zinc (HCP):

• before deformation • after tensile elongation

slip steps

Chapter 6 - 27
 Imperfections in Solids
Linear Defects (Dislocations)
– Are one-dimensional defects around which atoms are
misaligned
• Edge dislocation:
– extra half-plane of atoms inserted in a crystal structure
– b perpendicular () to dislocation line
• Screw dislocation:
– spiral planar ramp resulting from shear deformation
– b parallel () to dislocation line

Burger’s vector, b: : is a measure of lattice distortion and

is measured as a distance along the close packed
directions in the lattice

Chapter 6 - 28
 Imperfections in Solids
Edge Dislocation

Fig. 6.9, Callister & Rethwisch 9e. (Adapted from

A. G. Guy, Essentials of Materials Science, McGraw-Hill
Book Company, New York, NY, 1976, p. 153.)

Chapter 6 - 29
 Motion of Edge Dislocation
• Dislocation motion requires the successive bumping
of a half plane of atoms (from left to right here).
• Bonds across the slipping planes are broken and
remade in succession.

Atomic view of edge

dislocation motion from
left to right as a crystal
is sheared.
(Courtesy P.M. Anderson)

http://www.wiley.com/college/callister/CL_EWSTU01031
_S/vmse/dislocations.htm Chapter 6 -
 Imperfections in Solids
: is a measure of lattice distortion and is
Screw Dislocation measured as a distance along the close
packed directions in the lattice
Screw Dislocation

b
Dislocation
line
Burgers vector b (b)
(a)
Adapted from Fig. 6.10, Callister & Rethwisch 9e.
[Figure (b) from W. T. Read, Jr.,Dislocations in Crystals,
McGraw-Hill Book Company, New York, NY, 1953.]

Chapter 6 - 31
 VMSE: Screw Dislocation
• In VMSE:
– a region of crystal containing a dislocation can be rotated in 3D
– dislocation motion may be animated

Front View Top View

VMSE Screen Shots
Chapter 6 - 32
Edge, Screw, and Mixed Dislocations
Mixed

Edge

Adapted from Fig. 6.11, Callister & Rethwisch 9e.

Screw [Figure (b) from W. T. Read, Jr., Dislocations in Crystals,
McGraw-Hill Book Company, New York, NY, 1953.]

Chapter 6 - 33
 Imperfections in Solids
Dislocations are visible in electron micrographs

Fig. 6.12, Callister & Rethwisch 9e.

(Courtesy of M. R. Plichta, Michigan
Technological University.)

Chapter 6 - 34
 Dislocations & Crystal Structures
• Structure: close-packed view onto two
planes & directions close-packed
planes.
are preferred.
close-packed directions
close-packed plane (bottom) close-packed plane (top)

• Comparison among crystal structures:

FCC: many close-packed planes/directions;
HCP: only one plane, 3 directions;
BCC: none
• Specimens that Mg (HCP)
were tensile
tested. tensile direction
Al (FCC)

Chapter 6 - 35
 Planar Defects in Solids
• One case is a twin boundary (plane)
– Essentially a reflection of atom positions across the twin
plane.

Adapted from Fig. 6.15,

Callister & Rethwisch 9e.

• Stacking faults
– For FCC metals an error in ABCABC packing sequence
– Ex: ABCABABC

Chapter 6 - 36
 Catalysts and Surface Defects
• A catalyst increases the
rate of a chemical
reaction without being
consumed Fig. 6.16, Callister & Rethwisch 9e.

• Active sites on catalysts

are normally surface
defects
Single crystals of
(Ce0.5Zr0.5)O2
used in an automotive
catalytic converter
Fig. 6.17, Callister & Rethwisch 9e.
[From W. J. Stark, L. Mädler, M. Maciejewski, S. E.
Pratsinis, and A. Baiker, “Flame Synthesis of
Nanocrystalline Ceria/Zirconia: Effect of Carrier
Liquid,” Chem. Comm., 588–589 (2003). Reproduced
by permission of The Royal Society of Chemistry.] Chapter 6 - 37
 Microscopic Examination
• Crystallites (grains) and grain boundaries.
Vary considerably in size. Can be quite large.
– ex: Large single crystal of quartz or diamond or Si
– ex: Aluminum light post or garbage can - see the
individual grains
• Crystallites (grains) can be quite small (mm or
less) – necessary to observe with a
microscope.

Chapter 6 - 38
 Optical Microscopy
• Useful up to 2000X magnification.
• Polishing removes surface features (e.g., scratches)
• Etching changes reflectance, depending on crystal
orientation.

crystallographic planes
Fig. 6.19(b) & (c), Callister &
Rethwisch 9e.

Courtesy of J.E. Burke, General Electric Co.

Micrograph of
brass (a Cu-Zn alloy)

0.75 mm
Chapter 6 - 39
 Optical Microscopy
Grain boundaries...
• are imperfections,
• are more susceptible
to etching,
• may be revealed as polished surface
dark lines,
• change in crystal surface groove
orientation across grain boundary
(a)
boundary. Fig. 6.20(a) & (b), Callister &
Rethwisch 9e.
ASTM grain [Fig. 6.20(b) is courtesy of L.C.
Smith and C. Brady, the National
size number Bureau of Standards, Washington,
DC (now the National Institute of
Standards and Technology,

N = 2 n-1 Gaithersburg, MD).]

number of grains/in2 Fe-Cr alloy

at 100x (b)
magnification
Chapter 6 - 40
 Optical Microscopy
• Polarized light
– metallographic scopes often use polarized
light to increase contrast
– Also used for transparent samples such as
polymers

Chapter 6 - 41
GRAIN SIZE DETERMINATION
The grain size is often determined when the properties of
a polycrystalline material are under consideration. The
grain size has a significant impact of strength and
response to further processing
Linear Intercept method
• Straight lines are drawn through several
photomicrographs that show the grain structure.
• The grains intersected by each line segment are
counted
• The line length is then divided by an average number
of grains intersected.
• The average grain diameter is found by dividing this
result by the linear magnification of the
photomicrographs.

Chapter 6 -
ASTM (American Society for testing and Materials)

ASTM has prepared several standard comparison charts, all having different
average grain sizes. To each is assigned a number from 1 to 10, which is termed
the grain size number; the larger this number, the smaller the grains.

VISUAL CHARTS (@100x) each with a number

Quick and easy – used for steel
Grain size no.

No. of grains/square inch

n = 2 G-1

NOTE: The ASTM grain size is related

(or relates) a grain area AT 100x
MAGNIFICATION
Chapter 6 -
Determining Grain Size, using a micrograph
taken at 300x
• We count 14 grains  M 
2
Gn 1
NM   2
in a 1 in2 area on  100 
M is mag. of image
the image
N M is measured grain count at M
• The report ASTM now solve for G
n:
grain size we need log( N M )  2  log  M   log  100     G
n  1 log  2 
N at 100x not 300x 
log  N m   2 log  M   4
• We need a G
n 1
log  2 
conversion method! log  14   2 log  300   4
n
G  1  7.98  8
0.301

Chapter 6 -
 For this same material, how many Grains
would I expect /in2 at 100x?

n 1 81
N 2 2  128 grains/in 2

Now, how many grain would I expect at 50x?

2 2
 100 
8 1  100 
NM  2     128*  
 M   50 
N M  128* 2  512 grains/in
2 2

Chapter 6 -
 At 100x
600

500
Number of Grains/in2

400

300

200

100

0
0 2 4 6 8 10 12
Grain Size number (n)

Chapter 6 -
 Microscopy
Optical resolution ca. 10-7 m = 0.1 μm = 100 nm
For higher resolution need higher frequency
– X-Rays? Difficult to focus.
– Electrons
• wavelengths ca. 3 pm (0.003 nm)
– (Magnification - 1,000,000X)
• Atomic resolution possible
• Electron beam focused by magnetic lenses.

Chapter 6 - 47
Electron Microscopes 
beam of electrons of
shorter wave-length
(0.003nm) (when
accelerated across large
voltage drop)

Image formed with

Magnetic lenses

High resolutions and

magnification (up to
50,000x SEM); (TEM up
to 1,000,000x)
Chapter 6 -
 Scanning Tunneling Microscopy
(STM)
• Atoms can be arranged and imaged!
Photos produced from the
work of C.P. Lutz,
Zeppenfeld, and D.M. Eigler.
Reprinted with permission
from International Business
Machines Corporation,
copyright 1995.

Carbon monoxide Iron atoms arranged

molecules arranged on a copper (111)
on a platinum (111) surface. These Kanji
surface. characters represent
the word “atom”.

Chapter 6 - 49
 Summary

• Point, Line, and Area defects exist in solids.

• The number and type of defects can be varied and
controlled
– T controls vacancy conc.
– amount of plastic deformation controls # of dislocations
– Weight of charge materials determine concentration of
substitutional or interstitial point ‘defects’
• Defects affect material properties (e.g., grain boundaries
control crystal slip).
• Defects may be desirable or undesirable
– e.g., dislocations may be good or bad, depending on whether
plastic deformation is desirable or not.
– Inclusions can be intentional for alloy development

Chapter 6 - 50