PH 332

SOLID STATE PHYSICS

INSTRUCTOR: N. R. MLYUKA

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 Course Outline
1. CRYSTAL STRUCTURE
1.1 Introduction
1.2 The Crystal Lattice
1.3 Lattice Symmetry and Symmetry Operation
1.4 Lattice Types
1.5 Miller Indices
1.6 Typical Crystal Structures

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2. THE RECIPROCAL LATTICE AND
DIFFRACTION IN CRYSTALS
2.1 The Reciprocal Lattice (Brillouin Zones)
2.2 Brag and Von Laue Formulation
2.3 Experimental Diffraction Methods

3. CRYSTAL BINDING
3.0 Introduction
3.1 Crystals of Inert Gases
3.2 Ionic Crystals
3.3 Other Bonding Mechanisms of Crystals
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4. LATTICE DYNAMICS
4.1 The Vibrational Modes of a Continuous
System: (1-d case)
4.2 Elastic Waves in an infinity Monatomic
Lattice in 1-d
4.3 Normal Vibrational Modes of a 1-D Diatomic
Lattice
4.4 Phonon Statistics and the Lattice Specific
Heat

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5. ELECTRONS IN METALS
5.0 Introduction
5.1 Quantum Free Electron Theory
5.2. The Band Theory of Solids
5.3 Dynamics of Electron Motion
5.4 Superconductivity
6. SEMICONDUCTORS
6.1 Equilibrium Electron Statistics
6.2 Electronic Transport in a Semiconductor

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 REFFERENCES
1. Kittel C., Introduction to Solid State Physics, 7th Edition,
John Wiley & Sons, 1996
2. Ali Omar, Elementary Solid State Physics: Principles and
Applications, Addison-Wesley; 4th edition, 1994
3. Kittel C. Quantum theory of Solids, 2nd edition, John
Wiley and sons, Inc, New York, 1987
4. Dalven R. Introduction to applied solid state physics, 2nd
edition, Plenum, 1990.
5. Caikin P.M and Lubensky T. C., Principals of Condenced
Matter Physics. Cambridge University Press, Cambridge,
1995.
6. Yuri M. Galperin, Introduction to Modern Solid State
Physics
7. Nayak C. , Solid State Physics, University of California,
6
Los Angeles, 2000
 OTHER INFORMATION
• Delivery: 45 Contact Hours.
• Assessment: 40% coursework; 60% Final
examination.
• Test 1 – 15 marks
• Test 2 – 20 marks
• Home work– 5 marks

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 TIMETABLE
Monday; 12:00 -
Tuesday;
Wednesday;
Thursday;
Friday;

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 CHAPTER 1:
CRYSTAL STRUCTURE

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1.0 INTRODUCTION
• Matter can be divided into three forms: Solids, Liquids and
Gases. This course is concerned with then study of the solid
forms of matter.
• 2 groups of solids
(a) Crystalline solids: Characterized by high degree of order.
There is a periodic repetition of certain pattern composed of
atoms or molecules. Crystalline solids are subdivided into
two forms:
– Single crystals
– Polycrystalline
• Grain boundaries: Small regions which interrupt the
periodicity of polycrystalline solids. Dimensions of grains
vary from a few Å to 104 Å
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(b) Amorphous solids: Characterized by high degree of disorder.
There is a considerable degree of short range order in the nearest-
neighbor bonds e.g glasses and plastics.

In this course we shall mainly be concerned with the study of

crystalline solids

1.1 THE CRYSTAL LATTICE

Since crystalline solids possess a periodic structure, it is possible
to define a minimum repeating displacement in any direction such
that any two points separated by such a displacement will be
equivalent in every respect
For a one-dimensional solid, the distance between any two
consecutive points is the minimum periodic distance (see figure 1.1).
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 a
Figure 1.1 Showing the minimum periodic distance in a
1-d solid
Definitions:
Bravais lattice: is an infinite regular periodic arrangement of
points (lattice points) in space that appears the same when
viewed from any point in the lattice (both in arrangement and
orientation).  
In 2-d we define two vectors a1 and a2

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They are called fundamental translation vectors that generate all
the equivalent points of the lattice (2-d lattice).
  
R  n1a1  n2 a 2 …………………………………………………1

Where n1 and n2 are integers. Such a lattice is illustrated in

figure 1.2 .


a2

a1

Figure 1.2 Fundamental vectors of a 2-d lattice.

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A Bravais lattice in 2-d is also called a net.

In 3-d the fundamental translation vectors are three

  
a1 , a2 and a3 and equivalent points are generated by:
    3

R  n1a1  n2 a 2  n3 a3   ni ai ……………………...2
i 1
With ni, i =1,2,3 arbitrary integers.
  
The vectors a1 , a2 and a3
Are not unique provided they satisfy the following
requirements:

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 •all equivalent points satisfy (2) with suitable choices of ni .

•all integral choices of ni must represent lattice points.

The above can be taken as an alternative definition of a

Bravais lattice.
Note that a lattice is not the crystal structure.

Crystal Structure = Lattice + Basis………………………………3

basis is an atom, a group of atoms, molecules or ions, which

form a single point of the lattice

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   
The fundamental translation vectors a1 , a2 and a3
Are said to be primitive when they are derived as follows


a1 is the shortest possible periodic length in the lattice.
 
a2 is the next shortest periodic length, but not parallel to a1
 
a3 is thenext shortest length which is not coplanar with a1
and a2
  
The parallelopiped defined by the vectors a1 , a2 and a3
is called a primitive cell.
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The primitive cell contains one lattice point, but the number of
atoms per primitive cell is the number of atoms in the basis.

1.2 LATTICE SYMMETRY AND SYMMETRY OPERATION.

A symmetrical object looks the same when viewed from

several different directions or points.

Finding all the different actions (transformations) on the

object that leave it unchanged (indistinguishable) specifies
the symmetry of an object. Such actions are called symmetry
operations.

Space group: The total collection of symmetry operations on

an object, this specifies the symmetry of the object.

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Examples of symmetry operations:

a) Translational symmetry:

A crystal lattice may be brought into indistinguishable

position through a translation operation.
    3

T  n1a1  n2 a2  n3a3   ni ai …………………………4
i 1

Where n.i .i=1,2,3 are integers. Equation (4) implies that if R
  
is a lattice point then so is the point R  T  R'

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b). Rotational Symmetry:
A rotational symmetry operation takes a crystal into
indistinguishable position after a rotation about an axis
through a suitable angle. The angle must be of the form
2
n
where n is an integer. The axis of rotation is then called n-fold
axis. A single molecule or basis can have any degree of
rotational symmetry, but an infinite periodic lattice can only have
1,2,3,4 and 6-fold rotational symmetry.

For example a Bravais lattice cannot have a 5-fold or 7-fold

rotational symmetry. This is readily shown in 2-d by pentagons
or heptagons not fitting neatly, whereas triangles, squares and
hexagons fit neatly together.

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c) Inversion Symmetry:

Inversion through a lattice point is made up of a rotation of 

 
followed by a reflection in a plane normal to the rotational axis.
The whole operation is equivalent to replacing r by - r
taking the inside out), or right handed to left handed.
The geometry of the basis of atoms rules out inversion
symmetry in most solids.
Other symmetry operations include:
•Reflection at a plane.
•Glide (=Reflection + Translation)
•Screw (=Rotation + Translation

Point Group: The set of all symmetry operations of a

lattice about a given lattice point.
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 1.3 LATTICE TYPES:
Definition:

Unit Cell: Also called conventional cell, is a non-primitive

cell that shows the full symmetry of the lattice.

Note: The primitive cell often does not depict the full
symmetry of the lattice. The unit cell is necessarily larger
than the primitive cell. The non-primitive fundamental
translation vectors define the axes of the unit cell. The unit
cell may contain more than one lattice point.

In 2-d, the type of lattice is determined by the translation

 
1 a2 and the angle  between them.
vectors a

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There are five 2-d Bravais lattices
(a) Oblique Lattice
 
a1  a2 and 0 <  < 


a2 

a1  
a2

a1

Figure 1.4 The oblique lattice

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(b) Square Lattice

 
This lattice is specified by setting a1  a2 and   
2
(see figure 1.5)


a2 

a1

Figure 1.5 The square Lattice.

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c) The Rectangular Lattice:
  
This type of lattice is specified by setting a1  a2 and  
2
It is illustrated in figure (1.6) below.


a2 

a1

Figure 1.6 The rectangular lattice.

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d) The centered Rectangular
  
This type of lattice is specified by a1  a2 and  
2
This is illustrated in figure 1.7 below.


a2

a2 
a1


a1

Figure 1.7 The centered rectangular lattice.

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 The symmetry is the same as that for any other rectangular
lattice in addition to the minimum symmetry of the oblique
lattice.

(e) Hexagonal Lattice.

 
The 2-d hexagonal lattice is specified by setting a1  a2 and

 This type of lattice is illustrated in figure 1.8 below.
3


a2 

a1
Figure 1.8 The hexagonal lattice 26
Note that all 2-d lattices have inversion symmetry. The total
number of bravais lattices in 2-d is equal to five.

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3-D Lattice Types.

  
In 3-d, the unit cell which specifies the lattice type is
determined by six quantities a a and
1 2 a3
the fundamental vectors and ,, and  which are the angles
between the fundamental vectors.

Figure 1.9 The six quantities

that determine the lattice type
in 3-d.

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Note that:
  
 is opposite a1  is opposite a 2  is opposite a 3

There exist only 7 distinct point groups of the Bravais lattice in 3-d.

(a) The Triclinic System:

  
This is specified by setting a1  a2  a3 and    

This is the most general lattice type in 3-d. It is the derivative of

the oblique lattice in 2-d. A primitive cell of this lattice is
illustrated in figure 1.10(a). It has a lattice site at every corner
of the cell

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Figure 1.10(a) The Triclinic primitive cell

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(b) The Monoclinic System:
   
This lattice is specified by setting: a1  a2  a3 and     
2
There are two lattice types of this kind: the primitive monoclinic
and the base-centered monoclinic.

(a) (b)

Figure 1.10(b) The Monoclinic (a) primitive cell and (b) base
centered cell 31
(c) Orthorhombic System:
  
This type of lattice is specified by setting a1  a 2  a3 and

    
2
There are four bravais lattices of this type(see figure 10c)

(a) (b) (c) (d)

Figure 10c The Orthorhombic System 32

These are: orthorhombic
(a) primitive,

(b) base centered,

(c) body centered, and

(d) face centered structures.

The body centered cell has an additional lattice site at the

center of the cell, while the face centered cell has additional
sites at the center of each face.

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(d) The Tetragonal System:
  
This type of lattice is specified by setting a1  a2  a3 and

    
2
There are two bravais lattices of this type (see figure 10 d)
Namely primitive tetragonal and body centered tetragonal.

(a) (b)
Figure 10 d. The Tetragonal (a) primitive and (b) body
centered unit cells 34
(e) The Cubic System:
  
This type of lattice is specified by setting a1  a2  a3 and

    
2
There are three bravais lattices of this kind (see figure 10 e)

(a) (b) (c)

Figure 10 e. The Cubic (a) primitive, (b) body centered and

(c) face centered unit cells.
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 These are: Simple Cubic (SC),Body Centered Cubic, and
Face centered Cubic

(f)The Trigonal System:

  
This type of lattice is specified by setting a1  a2  a3 and

     There is only one bravais lattice of this kind.
2 This is illustrated in figure 10 f

Figure 10 f. The Trigonal

Primitive cell

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(g) The Hexagonal System:
  
This type of lattice is specified by setting a1  a 2  a3 and

  ,   120 o
2
There is only one bravais lattice of this kind. The primitive
hexagonal. This is illustrated in figure 10 g.

Figure 10 g. The Hexagonal

primitive cell

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The seven systems are obtained by successful distortion of a cube (see
figure 11).

Figure 11. The seven crystal systems which are obtained by38
successful distortion of a cube.
1.4 Miller Indices:

It is sometimes necessary to refer to systems of planes in a

crystal. The orientation of such planes is specified by a set of
three integers called miller indices and which are defined as
follows:
  
(i) Let the plane intercept the crystal axes a1 a 2 and a3
  
at the points ( n1 a1 n 2 a 2 n a )
3 3

with respect to an arbitrary lattice point as origin of the crystal

coordinate system, with the nI’s integral. (see figure 1.12)

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Figure 12 Illustrating a plane in a crystal
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 1 1 1
(ii) Take the reciprocal values of the integers  , , 
 n1 n2 n3 
(iii) Multiply the resulting three fractions by a suitable integer
(e.g the L.C.M) so that one is left with relatively prime numbers.
These are the miller indices written as (hkl) for the plane. An
example is illustrated in figure 13 for a 2-d lattice

Figure 1.13 Miller indices

for a 2-d lattice

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An example of miller indices in three dimensions is illustrated in
figure 1.14

Figure 1.14 The plane with miller indices (100)

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Note that planes with a high density of lattice points (that is
principal planes) have small Miller indices and conversely.

In 3-d, a plane whose intercepts are (1,-2,3) and reciprocals

 1 1 
1, ,  will have Miller indices 6 3 2 This is a low density plane
 2 3

Notation:

(a) The indices (hkl) denote a single plane or a set of parallel

planes.
(b) Planes equivalent by symmetry are denoted as {hkl}, that is
by curly brackets, e.g. {100}  (100), (010), (001), 1 00  0 1 0
and 00 1 

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(c) For hexagonal and trigonal crystals, the description of
crystal planes by a set of three Miller indices is still proper.
However for these crystals it is normal to use four Miller indices
expressed in terms of reciprocal intercepts with respect to the
 
vectors:  
a1 a2 3 anda c Refer to figure 1.15

Figure 1.15 The Miller

indices in a hexagonal
lattice.

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For example, a plane may be designated by 1 010 
or by (0001), where the fourth index is concerned with the
 
intercept on the c-axis. Note that since the vectors a
 1a 2
and a3 are co-planar, then we must have:

   
a1  a2  a3  0 always.

(d) The indices of orientation of a crystal plane (that is direction

normal to the plane) are written between square brackets [hkl].
For cubic lattices the direction [hkl] is always normal to the
plane (hkl).

(e) Orientations of equivalent symmetry are denoted by <hkl>

e.g the 4 diagonals of a cube.
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Note that the indices of direction [uvw] are the coefficients of
   
r  ua1  va2  wa3
in the crystal, where u, v, w are integers. These are not Miller
indices. To find the indices of direction

(i)Find any vector in the desired direction.   

(ii)Express this vector in terms of the 
 vectors a1, a2 , a3
 basis 
 
(iii)Divide the coefficients of a1, a2 , a3 by their greatest
common divisor so that you have a set of integers. The
resulting set of three integers, u,v,w defines a direction.
Negative signs in any of the numbers are indicated by placing a
u
bar over the number (e.g. ).
e.g. the body diagonal of a simple cubic lattice lies in the [111]
direction; and in general the lattice point
   
r  n1a1  n2a2  n3a3
lies in the [n1 n2 n3] direction from the origin 46
 1.5 Typical Crystal Structures:

(a) The Diamond Structure;

It is formed by carbon atoms in a diamond crystal and consists
of two interpenetrating f.c.c Bravais lattices, displaced along
the body diagonals of the cubic cell by 1
4
the length of the diagonal. It can be regarded as a f.c.c lattice
with two point basis at

0 and at a  xˆ  yˆ  zˆ 
4
The coordination number (that is the number of nearest
neighbors ) for each lattice point is 4. The diamond lattice is not
a Bravais lattice because it has no symmetry of orientation.
Examples of elements which crystallize in the diamond structure
include: C (diamond), Si, Ge and -Sn (Grey).
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The diamond (Zinc Blende) lattice is obtained by removing four
of the spheres from alternate corners of the b.c.c cell leaving a
central sphere surrounded tetrahedrally by four others (see
figure 1.16(a)).

Figure 1.16(a) The tetrahedral bond in Silicon. 48

The full symmetry of the diamond structure is illustrated in
figure 1.16(b)

Figure 1.16(b) The Diamond structure

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50
(b) The Hexagonal Close-packed Structure (hcp)
The atom positions do not constitute a Bravais lattice but
important because 30 elements crystallize in this structure, e.g
Mg, Zn, He(2K), Cd, Be, etc. The simple hexagonal lattice
obtained by stacking 2-d triangular nets directly above each
other is a Bravais lattice, with a basis of two identical atoms at
each lattice point (see figure 1.17

Figure 1.17 The simple hexagonal lattice  a1  a2  a 

 
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(a) 2-d net, (b) 3-d
Note that there are two possible arrangements of atoms in close
packing:
ABABABABABAB…………this leads to h.c.p structure which
is not a Bravais lattice.
ABCABCABCABC…………this leads to the f.c.c structure and
is a Bravais lattice. The two kind of arrangements are illustrated
in figure 1.18.

Figure 1.18 The close packed arrangements of hard spheres.

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A close-packed layer of spheres is shown with centers at
points marked A.
A second and identical layer of spheres can be placed on top
of this above and parallel to the plane of the drawing, with
centers over the points marked B.

There are two choices for a third layer. It can go in over A or

over C. If it goes in over A, the sequence is ABABAB… and the
structure is hexagonal close packed

If the third layer goes in over C, the sequence is

ABCABCABC….and the structure is face centered cubic.
The hcp structure has the primitive cell of the hexagonal
lattice, but with a basis of two atoms. The f.c.c primitive cell
has a basis of one atom. The number of nearest neighbors is
twelve in both cases.
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(c) The Sodium Chloride Structure:
It consists of equal numbers of Na+ and Cl- ions which are
placed at alternate points of a simple cubic lattice so that each
ion has six of the other kind of ions as its nearest neighbors.
This structure can be described as a f.c.c Bravais lattice with a
basis consisting of Na+ at the origin and Cl- at:
a
 xˆ  yˆ  zˆ 
2
(d) The Cesium Chloride Structure:
The lattice is b.c.c with equal numbers of Cesium and Chlorine
ions. Each ion has eight of the other kind as its nearest
neighbors. The basis consists of a Cesium ion at the origin and a
Chlorine ion at:
a
 xˆ  yˆ  zˆ 
2 54
(e) The Zinc blende Structure(ZnS) ( Also a diamond
structure)

Has equal numbers of Zinc and Sulphur ions. Has four nearest
neighbors of the opposite kind. It is a f.c.c structure similar to
diamond.

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