Defects and Dislocations

in Crystals
What is defect?
A defect in a solid is any deviation from its
periodicity. Defect influences properties of
solids in different ways as follows
• A defect may scatter conduction electrons in a
metal, increasing its electrical resistance.
• Some defects decreases the strength of the
crystal.
• Pure salts having impurities and imperfections
are often coloured.
CRYSTAL DEFECTS AND IMPERFECTIONS

•An ideal crystal is a perfect crystal in which each atom has identical surroundings.
Real crystals are not perfect. A real crystal always has a large number of
imperfections in the lattice. Since real crystals are of finite size, they have a surface
to their boundary. At the boundary, atomic bonds terminate and hence the surface
itself is an imperfection.
•The arrangement of atoms or molecules in most crystalline materials is not perfect
or Crystals inherently possess imperfections, and referred to as crystalline defects.
• One can reduce crystal defects considerably, but can never eliminate them
entirely.
The study of imperfections has a two fold purpose, namely,
• A better understanding of crystals and how they affect the properties of metals.
• Exploration of possibilities of minimizing or eliminating these defects.
 Imperfections or defects:
The term “defect” or “imperfection” is generally used to describe any deviation from
the perfect periodic array of atoms in the crystal.
Any deviation from the perfect atomic arrangement in a crystal is said to contain
imperfections or defects. In fact, using the term “defect” is sort of a misnomer since these
features are commonly intentionally used to manipulate the mechanical properties of a material.
Adding alloying elements to a metal is one way of introducing a crystal defect.
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
Different crystal Defects
 There is only one way to be perfect but there are
numerous ways to be imperfect

Different kinds of Defects

1.Point defects: it’s of 4 types
 Interstitial atom
 Schottky defect (Vacancy)
 Frenkel defect
 Substitutional impurity atom (presence of a
foreign atom in the lattice)
2.Line defects
Dislocation is an example for line defects.
It’s mainly of two types
 Edge dislocation
 Screw dislocation
3.Plane defects: it’s mainly 3 types
 Lineage boundary
 Grain boundary
 Stacking fault (In hexagonal close packed layers)
All the above imperfections come under the category of
Static Imperfections
4. Electronic imperfections
Errors in charge distribution or Energy in solids.
5. Excitation states of crystals: some examples are
 Phonons and magnons
 Conduction electrons and holes
 Excitons
6. Transient imperfections: introduced in to the crystal from
external sources. Examples are
 Photons
 High energy charged particles ( electrons, protons, mesons...)
 High energy uncharged particles(neutrons, neutral atoms...)
 Point defects

Point defects are imperfect point- like regions, one or two

atomic diameters in size and hence referred to as ‘zero
dimensional imperfections’.
Point defects are where an atom is missing or is in an irregular
place in the lattice structure. Point defects include self
interstitial atoms, interstitial impurity atoms, substitutional
atoms and vacancies.

•A self interstitial atom is an extra atom that has crowded its

way into an interstitial void in the crystal structure. Self
interstitial atoms occur only in low concentrations in metals
because they distort and highly stress the tightly packed
lattice structure.
•A substitutional impurity atom is an atom of a different type
than the bulk atoms, which has replaced one of the bulk
atoms in the lattice.
•Interstitial impurity atoms are much smaller than the atoms
in the bulk matrix. Interstitial impurity atoms fit into the open
space between the bulk atoms of the lattice structure.
 POINT DEFECTS
• Vacancies:
-vacant atomic sites in a structure.

Vacancy
distortion
of planes

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

self-
distortion interstitial
of planes
 Point Defects
Schottky Defects:
According to thermodynamics equilibrium
concentration of a solid under low external
pressure at a temperature T is determined by
minimum value of Helmholtz free energy.
F = U - TS U= nEp
S= k logW.
Where
U – Total increase in energy due to production of n number of vacancies.
Ep – Energy of a vacancy pair
k – Boltzmann constant
W – number of ways in which total vibrational energy of a crystal may be distributed
over possible vibrational modes
S – entropy
n – number of schottky defect present at any temperature T.
Most common defects in alkali halides are schottky defects
Density of crystal decreases because of increase in volume without increase of
mass
 The Frenkel Defect
Number of ways in which Frenkel defect can be formed
is given by

Ni - Number of interstitial atoms.

n- number of Frenkel defects
Change in free enrgy produced due to formation
of n Frenkel defect is
F= nEi – kT log[ ]
Ei – Energy required to displace an atom from
normal position to interstitial position

 Frenkel defects are most commonly found in

silver halides.
 No change in density because no change in
volume or mass
• Extrinsic Vacancies: Vacancies produced by adding
proper type of impurities in crystal.
 Schottky Defect Frenkel Defect
Schottky defect occurs in those ionic crystalsFrenkel defect usually occurs in those ionic
where difference in size between cation and crystals where size of anion is quite large as
anion is small. compared to that of the cation.
In Schottky defect, both cation and anion leave
In Frenkel defect, only the smaller ion (cation)
the solid crystal. leaves its original lattice site; whereas, the anion
remains in original lattice sites.
The atoms permanently leave the crystal. Here, atoms leave the original lattice site and
occupy interstitial position. So atoms reside
within the solid crystal.
One Schottky defect leads to the formation of One Frenkel defect creates one vacancy and one
two vacancies. self-interstitial defect.
Two atoms reduce from the crystal for each The number of atoms present in the crystal
Schottky defect. before and after Frenkel defect remains same.
Due to vacancy formation, Schottky defect Density of the solid crystal before and after
reduces density of the solid. Frenkel defect remains same as no atom leaves
the solid.
Common materials where Schottky defect can be Common materials where Frenkel defect can be
found are: found are:
(KBr) ,AgBr), (CeO ), (ThO ) Zinc Sulfide (ZnS),
2 2

Silver Chloride (AgCl)

Schottkey &Frenkel Defect
Schottkey imperfection Frenkel imperfection
Schottkey imperfection is a type of In ionic crystals, an ion displaced from a
vacancy in which an atom being free from regular site to an interstitial site is called
regular site, migrates through successive ‘Frenkel imperfection’. As cations are
steps and eventually settles at the crystal generally the smaller ones, it is possible for
surface. In a ionic crystal, however a them to get displaced into the void space.
vacancy on either a cation or anion site • Anions do not get displaced as the void space
must be electrically balanced by some is too small compared to the size of the anions.
means. This may be achieved if there are • A Frenkel imperfection does not change the
an equal number of cation and anion overall electrical neutrality of the crystal. This
vacancies, or if for every ionic crystal type of defect occurs in silver halides and
vacancy a similar charged interstitial CaF2.
appears. The combination of anion cation
vacancies (in pairs) is called Schottkey
imperfections.
 COLOUR CENTRES
• It’s a lattice defect which absorbs light. It can be
obtained by different methodes
 By addition of suitable chemical impurities
 By introducing stochiometric excess of cation
 By exposing them to high energy radiations
• F Centres: in German, Fabre = colour
Dislocations:
LINE DEFECTS
• are line defects,
• cause slip between crystal plane when they move,
• produce permanent (plastic) deformation.

Schematic of a Zinc (HCP):

• before deformation • after tensile elongation

slip steps
 DISLOCATIONS
Slip & Plastic deformation
 The process of sliding is called Slip.
 Plastic deformation takes place in a crystal
due to the sliding of one part of a crystal w.r.t
other.
Shear strength of single crystal
Ʈ- Shear stress
Ʈc – maximum critical stress above which crystal
become unstable
a – distances between atoms in the direction of
shear
x – amount of displacement of atom from
original position.
 linear or line defects
In linear or line defects groups of atoms are in
irregular positions. Linear defects are commonly
called dislocations. Any deviation from perfectly
periodic arrangement of atoms along a line is called
the line imperfection. In this case, the distortion is
centered only along a line and therefore the
imperfection can be considered as the boundary
between two regions of a surface which are perfect
themselves but are out of register with each other.
The line imperfection acting as boundary between
the slipped and un-slipped region, lies in the slip
plane and is called a dislocation. Dislocations are
generated and move when a stress is applied. The
strength and ductility of metals are controlled by
dislocations.
To extreme types of dislocations are distinguish as
1. Edge dislocations and
2. Screw dislocations.
Edge Dislocations:
•In perfect crystal, atoms are arranged in both vertical and horizontal planes parallel to the
side faces.
• If one of these vertical planes does not extend to the full length, but ends in between
within the crystal it is called ‘edge dislocation’.
• In the perfect crystal, just above the edge of the incomplete plane the atoms are squeezed
and are in a state of compression.
• Just below the edge of the incomplete plane, the atoms are pulled apart and are in a state
of tension.
•The distorted configuration extends all along the edge into the crystal.
• Thus as the region of maximum distortion is centered around the edge of the incomplete
plane, this distortion represents a line imperfection and is called an edge dislocation.
• Edge dislocations are represented by ‘’ or ‘‘ depending on whether the incomplete
plane starts from the top or from the bottom of the crystal.
• These two configurations are referred to as positive and negative edge dislocations
respectively.
 The inter-atomic bonds are significantly distorted only in the immediate vicinity
of the dislocation line. As shown in the set of images above, the dislocation moves
similarly moves a small amount at a time. The dislocation in the top half of the crystal is
slipping one plane at a time as it moves to the right from its position in image (a) to its
position in image (b) and finally image (c). In the process of slipping one plane at a time
the dislocation propagates across the crystal. The movement of the dislocation across the
plane eventually causes the top half of the crystal to move with respect to the bottom half.
However, only a small fraction of the bonds are broken at any given time. Movement in
this manner requires a much smaller force than breaking all the bonds across the middle
plane simultaneously.
The Edge Dislocation
It’s a line imperfection

• Dislocation line

• Slip plane
 Screw Dislocations:
•In this dislocation, the atoms are displaced in two separate planes perpendicular to
each other.
• It forms a spiral ramp around the dislocation.
• The Burgers Vector is parallel to the screw dislocation line.
• Speed of movement of a screw dislocation is lesser compared to edge dislocation.
Normally, the real dislocations in the crystals are the mixtures of edge and screw
dislocation.
The screw dislocation is slightly more difficult to visualize. The motion of a screw
dislocation is also a result of shear stress, but the defect line movement is perpendicular
to direction of the stress and the atom displacement, rather than parallel.
The Screw Dislocation( Burgers dislocation)
Introduced by Burger in 1939
• Burger vector
The Motion of Dislocation
Motion of dislocation is possible either by a
Climb or by a Slip or by a Glide
Burger vector

Uz – displacement along the direction of

dislocation.
b – Burger vector
Ɵ – angle between radius vector and slip plane.
Dislocation is Crystal Growth
 Spiral growth – screw dislocation
 Helicoid
Stacking Faults and Twin Boundaries

A disruption of the long-range stacking sequence can produce two other common types

of crystal defects: 1) a stacking fault and 2) a twin region.

A change in the stacking sequence over a few atomic spacings produces a stacking

fault whereas a change over many atomic spacings produces a twin region. A stacking fault is a

one or two layer interruption in the stacking sequence of atom planes. Stacking faults occur in a

number of crystal structures, but it is easiest to see how they occur in close packed structures.

For example, it is know from a previous discussion that face centered cubic (fcc) structures

differ from hexagonal close packed (hcp) structures only in their stacking order. For hcp and fcc

structures, the first two layers arrange themselves identically, and are said to have an AB

arrangement. If the third layer is placed so that its atoms are directly above those of the first (A)

layer, the stacking will be ABA. This is the hcp structure, and it continues ABABABAB.
SURFACE IMPERFECTIONS
•Surface imperfections arise from a change in the stacking of atomic planes on or across a
boundary.
•The change may be one of the orientations or of the stacking sequence of atomic planes.
•In geometric concept, surface imperfections are two- dimensional. They are of two types
external and internal surface imperfections.

EXTERNAL SURFACE IMPERFECTIONS

•They are the imperfections represented by a boundary.At the boundary the atomic bonds are
terminated.
•The atoms on the surface cannot be compared with the atoms within the crystal.The reason
is that the surface atoms have neighbours on one side only. Where as the atoms inside the
crystal have neighbours on either sides.This is shown in figure 4.38. Since these surface
atoms are not surrounded by others, they possess higher energy than that of internal atoms.

INTERNAL SURFACE IMPERFECTIONS

•Internal surface imperfections are the imperfections which
occurred inside a crystal.
It is caused by the defects such as, grain boundaries. tilt
boundaries, twin boundaries and stacking faults
 AREA DEFECTS: GRAIN BOUNDARIES
Grain boundaries:
• are boundaries between crystals.
• are produced by the solidification process, for example.
• have a change in crystal orientation across them.
• impede dislocation motion. Metal Ingot
Schematic ~ 8cm

grain
boundaries

heat
flow
Adapted from Fig. 4.7, Callister 6e.
Adapted from Fig. 4.10, Callister 6e. (Fig. 4.10 is from
Metals Handbook, Vol. 9, 9th edition, Metallography and Microstructures,
Am. Society for Metals, Metals Park, OH, 1985.)
GRAIN BOUNDARIES
•They are the imperfections which separate crystals or grains of different orientation in a
poly crystalline solid during nucleation or crystallization.
•It is a two dimensional imperfection. During crystallization, new crystals form in different
parts and they are randomly oriented with respect to one another.
•They grow and impinge on each other.
•The atoms held in between are attracted by crystals on either side and depending on the
forces, the atoms occupy equilibrium positions.
•These positions at the boundary region between two crystals are distorted. As a result, a
region of transition exists in which the atomic packing is imperfect.
•The thickness of this region is 2 to 10 or more atomic diameters.
•The boundary region is called a crystal boundary or a grain boundary .
The boundary between two crystals which have different crystalline arrangements or
different compositions, is called as interphase boundary or commonly an interface.
Grain Boundaries
 Tilt boundary : boundary plane containing a
crystal axis common to the two crystals.
TILT BOUNDARIES
•This is called low-angle boundary as the orientation difference between two
neighbouring crystals is less than 10°.
•The disruption in the boundary is not so severe as in the high-angle boundary. In
general low-angle boundaries can be described by suitable arrays of dislocation.
TWIN BOUNDARIES

•If the atomic arrangement on one side of a boundary is a mirror reflection of the arrangement on
the other side, then it is called as twin boundary.
•As they occur in pair, they are called twin boundaries. At one boundary, orientation of atomic
arrangement changes.
•At another boundary, it is restored back. The region between the pair of boundaries is called the
twinned region.
•These boundaries are easily identified under an optical microscope.
STACKING FAULTS

•Whenever the stacking of atomic planes is not in a proper sequence throughout the crystal, the fault
caused is known as stacking fault.
•For example, the stacking sequence in an ideal FCC crystal may be described as A-B-C-A-B-C- A-B-C-
……. But the stacking fault may change the sequence to A-B-C-A-B-A-B-A-B-C. The region in which the
stacking fault occurs (A-B-A-B) forms a thin region and it becomes HCP.
•This thin region is a surface imperfection and is called a stacking fault.
VOLUME IMPERFECTIONS

•Volume defects such as cracks may arise in crystals when there is only small electrostatic
dissimilarity between the stacking sequences of close packed planes in metals. Presence of
a large vacancy or void space, when cluster of atoms are missed is also considered as a
volume imperfection.
•Foreign particle inclusions and non crystalline regions which have the dimensions of the
order of 0.20 nm are also called as volume imperfections.
Whiskers
Fine hair-like crystals which are seen to grow
under high super saturation and with out
necessity of having more than one dislocation or
any dislocation at all.
 Single crystal whiskers show strength of the
order of G/30.