Crystallographic Planes and Directions

Silicon Based Epitaxial Thin Films

Epitaxy is defined as the "regularly oriented growth of one crystalline

substance on another".

Both homoepitaxy (growth of an epitaxial layer of the same material as the

substrate) and heteroepitaxy (growth of an epitaxial layer composed of
material that is different than the substrate) processes are used in
semiconductor device fabrication.
 MILLER INDICES

The crystal lattice may be regarded as made

up of an infinite set of parallel equidistant
planes passing through the lattice points
which are known as lattice planes.
In simple terms, the planes passing through
lattice points are called ‘lattice planes’.
For a given lattice, the lattice planes can be
chosen in a different number of ways.

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MILLER INDICES

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 Miller indices are used to specify directions and planes.
 These directions and planes could be in lattices or in crystals.
 The number of indices will match with the dimension of the lattice or the crystal:
in 1D there will be 1 index, in 2D there will be two indices, in 3D there will be 3
indices, etc.

Miller Indices Miller Indices

Directions Planes Lattices Crystals

Note: both directions and planes are imaginary constructs

 Crystallographic directions
 A lattice row defines a crystallographic direction.

Lattice rows
These are straight lines that pass through two nodes in the lattice.

 A crystallographic direction is a specific orientation in a crystal lattice

that describes the path along which atoms or ions are arranged and
interact.

 A direction is represented in square brackets

 In cubic system, [hkl] direction is always perpendicular to the (hkl) planes

 Set of equivalent directions is represented by angular bracket “”

Miller indices for DIRECTIONS

 A vector r passing from the origin to a lattice point can be written as:
r = r1 a + r2 b + r3 c  
 Where, a, b, c → basic vectors (or generator vectors).
r r1 a  r2 b  r3 c
• Basis vectors are unit lattice translation vectors, which define the coordinate axis
(as in the figure below) .

• Note that their lengths are usually one lattice translation

and not 1 lengthscale unit! (this is unlike for the basis
vectors of a coordinate axis). To give an example, if a
rectangle crystal has lattice parameters a = 1 cm and b =
2.5 cm, then |a| = 1 cm and |b| = 2.5 cm (it is not 1 cm
along the axes and the scale of the unit along the two
directions are different).
 Another 2D example
Miller Indices for directions in 2D

This direction is  [4 2]
Normally, we ‘take out’ the common factor
Miller Indices with magnitude  2[2 1]
Miller indices → [53] And then omit it! Miller Indices  [2 1]

STEPS in the determination of Miller indices for directions

 Position the vector, such that start (S: (x1, y1)) and end points (E: (x2, y2)) are lattice points
and note the value of the coordinates. Subtract to obtain: ((x2x1), (y2y1)).
 Write these number in square brackets, without the ‘comma’: [* *].
 ‘Remove’ the common factors. (Note: keep the common factor, preferably outside the bracket, if the length has to be
preserved in further computations).
 Set of directions represented
by the Miller index
[42] 2[2 1]

Miller Indices  2[2 1]

This
This Miller
Miller index
index represents
represents aa set
set (an
(an infinite set) of
infinite set) of all
all such
such parallel
parallel vectors
vectors (and
(and not
not just
just one
one vector)
vector)
originating at a lattice point and ending at a lattice point.
How to find the Miller Indices for an arbitrary direction?  Procedure
 Consider the example below.
 Subtract the coordinates of the end point from the starting point of the vector denoting the
direction  If the starting point is A(1,3) and the final point is B(5,1)  the difference
(BA) would be (4, 4).

 Enclose in square brackets, remove comma and

write negative numbers with a bar  [4 4]
 Factor out the common factor  4[11]

 If we are worried about the direction and

magnitude then we write  4[11]
 If we consider only the direction then we
write  [11]
 Crystallographic directions in 3D

Steps

1. Draw x, y and z axes.

2. Assign origin as the tail of the direction vector.
3. If there is a negative number in the direction, then move the origin in the
positive direction for that axis.
4. Determine the vector end point (remove a common factor if any of the
indices are greater than one).
5. Draw the vector.
Further points
 General Miller indices for a direction in 3D is written as [u v w].
 The length of the vector represented by the Miller indices is: u 2  v 2  w2

Important directions in 3D represented by Miller Indices (cubic lattice)

Z  Three important set of directions related
[011]
to the cube are:
[001] (i) cell edge ([001] type),
(ii) face diagonal ([011] type),
(iii) body diagonal ([111] type).
Memorize
these
[101] Body diagonal

[010]
Y [111]
[100] Face diagonal

[110
X ] [110]
Procedure as before
• (Coordinates of the final point  coordinates of the initial point).
• Reduce to smallest integer values.
Crystallographic directions
 Crystallographic planes

Crystallographic planes are defined purely from the shape and dimensions of
the unit cell.

The crystallographic plane may be represented by

hx + ky + lz = 1

The intercepts of the plane on X, Y, Z will be 1/h, 1/k, 1/l respectively.

h, k, l, are integers and are known as Miller indices.

A family of lattice planes is defined by a sequence of three integers,

and these are included within braces (curved brackets): (h k l).

The symbol is used to indicate set of planes that are equivalent.

Ex: (010), (100), (001) in cubic crystal are equivalent and represented as 100
19
 Miller indices of planes
Crystal properties along different planes are different

Planes are represented by Miller indices

Steps to obtain Miller indices of set of planes

1c
 Find the intercepts on the axes in terms of
the lattice constants.
2b
 Take the reciprocals of these numbers and
then reduce to three smallest integers
having the same ratio.
3a
 Enclose in parentheses
 PROCEDURE FOR FINDING MILLER INDICES

Step 1: Determine the intercepts of the plane

along the axes X,Y and Z in terms of
the lattice constants a,b and c.
Step 2: Determine the reciprocals of these
numbers.
Step 3: Find the least common denominator (lcd)
and multiply each by this lcd.
Step 4: The result is written in paranthesis.This is
called the `Miller Indices’ of the plane in
the form (h k l).

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 PROCEDURE FOR FINDING MILLER INDICES

Plane ABC has intercepts of 2 units along X-axis, 3 units

along Y-axis and 2 units along Z-axis.
Step 1:The intercepts are 2,3 and 2 on the three axes.
Step 2:The reciprocals are 1/2, 1/3 and ½.
Step 3:The least common denominator is ‘6’.
Multiplying each reciprocal by lcd,
we get, 3,2 and 3.
Step 4:Hence Miller indices for the plane ABC is (3 2 3)

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Miller Indices for PLANES
Miller indices for planes is not as intuitive as that for directions and special care must be taken
in understanding them

Illustrated here for the cubic lattice

 Find intercepts along axes → 2 3 1 1 1

1
 Take reciprocal → 1/2 1/3 1* 2 3
 Convert to smallest integers in the same ratio → 3 2 6
 Enclose in parenthesis → (326) Note the type of brackets
 Note: (326) does NOT represent one plane but an infinite set of parallel
planes passing through lattice points.

* As we shall see later reciprocals are taken to avoid infinities in the ‘defining indices’ of planes
  Why do need Miller indices (say for planes)?
 Can’t we just use intercepts to designate planes?

Miller indices does the following:

 Avoids infinities in the indices (intercepts of (1, , ) becomes (100) index).
 Avoids dimensioned numbers
 Instead we have multiples of lattice parameters along the a, b, c directions (this implies
that 1a could be 10.2Å, while 2b could be 8.2Å).
 IMPORTANT FEATURES OF MILLER INDICES
For the cubic crystal especially, the important features of Miller
indices are,
A plane which is parallel to any one of the co-ordinate axes
has an intercept of infinity (). Therefore the Miller index for
that axis is zero; i.e. for an intercept at infinity, the
corresponding index is zero.

( 1 0 0 ) plane

Plane parallel to Y and Z axes

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 IMPORTANT FEATURES OF MILLER INDICES

In the above plane, the intercept along X axis is 1 unit.

The plane is parallel to Y and Z axes. So, the intercepts

along Y and Z axes are ‘’.

Now the intercepts are 1,  and .

The reciprocals of the intercepts are = 1/1, 1/ and 1/.

Therefore the Miller indices for the above plane is (1 0 0).

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 IMPORTANT FEATURES OF MILLER INDICES
A plane passing through the origin is defined in terms of a
parallel plane having non zero intercepts.

All equally spaced parallel planes have same ‘Miller

indices’ i.e. The Miller indices do not only define a particular
plane but also a set of parallel planes. Thus the planes
whose intercepts are 1, 1,1; 2,2,2; -3,-3,-3 etc., are all
represented by the same set of Miller indices.

It is only the ratio of the indices which is important in this

notation. The (6 2 2) planes are the same as (3 1 1) planes.

If a plane cuts an axis on the negative side of the origin,

corresponding index is negative. It is represented by a bar,
like (1 0 0). i.e. Miller indices (1 0 0) indicates that the
plane has an intercept in the –ve X –axis.
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IMPORTANT FEATURES OF MILLER INDICES

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 What does the ‘symbol’ (111) mean/represent?
The symbol (111) represents Miller indices for an infinite set of parallel planes, with
intercepts 1, 1 & 1 along the three crystallographic axis (unit lattice parameter along
these), which pass through lattice points.
 (111) is the Miller indices for a plane (?) (to reiterate)
 It is usually for an infinite set of parallel planes, with a specific ‘d’ spacing. Hence, (100)
plane is no different from a (–100) plane (i.e. a set consists of planes related by translational
symmetry).
Points about planes and directions
 Typical representation of an unknown/general direction → [uvw].
Corresponding family of directions → <uvw>.
 Unknown/general plane → (hkl).
Corresponding family of planes → {hkl}.
 Double digit indices should be separated by commas or spaces
→ (12,22,3) or (12 22 3).
 In cubic lattices/crystals the (hkl) plane is perpendicular to the [hkl] direction
(specific plane perpendicular to a specific direction)
Note: the correct way is to put a ‘bar’.
 [hkl]  (hkl). E.g. [111]  (111).
However, this cannot be generalized to all crystals/lattices (though there are
other specific examples).

 The inter-planar spacing can be computed knowing the Miller indices for the planes (hkl)
and the kind of lattice involved. The formula to be used depends on the kind of lattice and
the formula for cubic lattices is given below.

cubic lattice a
Interplanar spacing (d(hkl)) in cubic lattice (& crystals) d ( hkl ) 
h2  k 2  l 2
 Miller indices of planes

What is the Miller indices of the given plane?

(323)
 Crystallographic planes

Planes parallel to YZ-plane of the unit cell is (h00)

Planes parallel to XZ-plane of the unit cell is (0k0)

Planes parallel to XY-plane of the unit cell is (00l)

Crystallographic planes parallel to X, Y and Z axis are defined by indices

(0kl), (h0l) and (hk0).
  What about the plane passing through the origin?

 The Miller indices refer to a whole set of parallel planes passing through lattice points. This
implies that one of the planes of the infinite set actually passes through the origin.
 As shown below, usually we do not take that particular plane for the determination of Miller
indices; but a parallel one, which does not pass through the origin.

Plane passing through origin

Plane passing through origin
Intercepts →  0  Hence use this plane
Plane → (0  0) Intercepts → 0 0 
Plane → (  0)
We want to avoid infinities in Miller indices
In such cases the plane is translated by a unit distance along the non zero axis/axes
and the Miller indices are computed
Intercepts →  1  Intercepts → 1 1 
Plane → (0 1 0) Plane → (1 1 0)
  What about planes passing through fractional lattice spacings?
(We will deal with such fractional intersections with axes in X-ray diffraction).

cubic lattice a
d 010  a
2 2 2
0 1  0 d 010
d 020 
a a 2
cubic lattice
d 020   (020) has half the spacing as (010) planes
2
0 2 0 2 2 2

Actually (020) is a superset of planes as compared to

the set of (010) planes

Intercepts →  ½ 
Plane → (0 2 0)
Practices
IMPORTANT FEATURES OF MILLER INDICES

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Practices

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Q. Draw (100), (110), (111), (300), (-100), (012), (10-1), (10-2), (202) planes in a cube.
 1) What happens to dhkl with increasing hkl?
2) Can planes have spacing less than inter-atomic spacings?
3) What happens to lattice density (no. of lattice points per unit area of plane)?
4) What is meant by the phrase: ‘planes are imaginary’?
1) As h,k,l increases, ‘d’ decreases  we could have planes with infinitesimal spacing.
2) The above implies that inter-planar spacing could be much less than inter-atomic spacing.

3) With increasing indices (h,k,l) the lattice

2D lattice has been considered for easy visualization.
Hence, planes look like lines!
density (or even motif density) decreases.
(in 2D lattice density is measured as no. of lattice points per
a a a unit length).
d13  d34  
25 5  E.g. the (10) plane has 1 lattice point for
10
length ‘a’, while the (11) plane has 1 lattice
point for length a2 (i.e. lower density).
With increasing indices the 4) Since we can draw any number of planes
interplanar spacing decreases
a
through the same lattice (as in the figure),
d10  a clearly the concept of a lattice plane (or
1
for that matter a crystal plane or a lattice
direction) is a ‘mental’ construct
a (imaginary).
a d11 
d12  2
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 Inter-planar (d-)spacing

d-spacing of a set of planes is the perpendicular distance between any pair of

adjacent planes

For a cubic unit cell the (100) planes have a d spacing of a, the value of cell edge.

d-spacing for any set of planes is given by the formula

1 h 2+𝑘2+ 𝑙 2
Cubic =
𝑑2 𝑎2

Tetragonal 1 h 2+𝑘2 𝑙 2
= +
𝑑2 𝑎2 𝑐2
1 h 2 𝑘2 𝑙 2
Orthorhombic 𝑑 2 = 𝑎2 + 𝑏 2 + 𝑐 2

1 4 h 2+ h𝑘+ 𝑘2 𝑙 2
Hexagonal = ( )+
𝑑2 3 𝑎2 𝑐2 43