We have measured a strictly linear π plasmon dispersion along the axis of individualized single wall carbon nanotubes, which is completely different from plasmon dispersions of graphite or bundled single wall carbon nanotubes. Comparative ab initio studies on graphene based systems allow us to reproduce the different dispersions. This suggests that individualized nanotubes provide viable experimental access to collective electronic excitations of graphene, and it validates the use of graphene to understand electronic excitations of carbon nanotubes. In particular, the calculations reveal that local field effects (LFE) cause a mixing of electronic transitions, including the 'Dirac cone', resulting in the observed linear dispersion. PACS numbers: 73.20.Mf,78.20.Bh Single-wall carbon nanotubes (SWNT) and its parent compound graphene are archetypes of low dimensional systems with strongly anisotropic and unique electronic properties which make them interesting for both fundamental research and as building blocks in nanoelectronic applications [1]. Their electronic bandstructure is frequently studied. In graphene, the linear band dispersion at the Fermi level, the 'Dirac cone', leads to unique characteristics in nanoelectronic devices [2]. One can expect a strong analogy between graphene and isolated SWNT for excitations along the sheet and along the tube axis, respectively. Within the zone-folding model, i.e. neglecting curvature effects, the graphene bandstructure is sliced along parallel lines when the sheet is rolled up into a cylinder. The result are characteristic van Hove singularities (VHS) in the density of states (DOS) [3]. Bulk (i.e. bundled) SWNT show an optical absorption peak at ∼ 4.5 eV due to transitions of the π electrons [4]. In vertically aligned SWNT (VA-SWNT) one finds the same peak position for onaxis polarization and an additional peak for perpendicular polarization at ∼ 5.2 eV [5]. Further information can be obtained from collective electronic excitations (plasmons) beyond the optical limit [6] (i.e. momentum transfer q > 0). Angle resolved electron energy loss spectroscopy (EELS) assesses the detailed plasmon dispersion [7,8], but it is so far missing for freestanding isolated sp 2 carbon systems. Models based on the homogeneous electron gas [9], or the tight-binding scheme [10,11] have been used to describe these excitations. The former are however bound to metallic systems. The latter have provided valuable insight and predictions for the properties of isolated sheets, tubes, and assemblies of these objects; in particular, they have predicted an almost linear plasmon dispersion for isolated systems. However, the tight binding results neglect screening beyond the π bands, and they depend on parameters that hide the underlying complexity. No realistic parameter-free calculations have been performed to predict the plasmon dispersion in these systems, nor has its origin been analyzed. Instead, ab initio spectroscopy calculations have dealt with absorption spectra (q → 0) for SWNT [12,13,14],...

We performed ab initio calculations of the optical absorption spectrum and the wave-vector-dependent dielectric and energy-loss functions of graphite in the framework of the random-phase approximation. In the absorption spectrum, the most prominent peaks were analyzed in terms of interband transitions from specific regions of the Brillouin zone. The inclusion of the crystal local-field effects (LFE) in the response had an important influence on the absorption spectrum for light polarization parallel to the c axis. The calculated electron energy-loss spectra, even without LFE, were in very good agreement with existing momentumdependent energy-loss experiments concerning the peak positions of the two valence-electron plasmons. Important aspects of the line shape and anisotropy of the energy-loss function at large momentum transfer q were also well described: the splitting of the total ͑ + ͒ plasmon and the appearance of peaks originating from interband transitions. Finally, the role of the interlayer interaction was studied, in particular with regard to its effect on the absorption spectrum for light polarization parallel to c, and to the position of the higher-frequency + plasmon.

We performed ab initio calculations of the anisotropic dielectric response of small-diameter single-walled carbon nanotubes in the framework of time-dependent density-functional theory. The calculated optical spectra are in very good agreement with experiment, both concerning absolute peak positions and anisotropy effects. The latter can only be described correctly when crystal local-field effects ("depolarization" effects) are fully taken into account. Moreover, interactions between the tubes can strongly modify their absorption and electron energy-loss spectra.

We determined the anisotropic dielectric response of graphite by means of time-dependent density-functional theory and high-resolution valence electron energy-loss spectroscopy. The calculated loss function was in very good agreement with the experiment for a wide range of momentum-transfer orientations with respect to the graphitic basal planes, provided that local-field effects were included in the response. The calculations also showed strong effects of the interlayer Coulomb interaction on the total pi+sigma plasmon. This finding must be taken into account for the explanation of recent loss spectra of carbon nanotube materials.

We present results for the optical absorption spectra of small-diameter single-wall carbon and boron nitride nanotubes obtained by ab initio calculations in the framework of time-dependent density functional theory. We compare the results with those obtained for the corresponding layered structures, i.e. the graphene and hexagonal BN sheets. In particular, we focus on the role of depolarization effects, anisotropies and interactions in the excited states. We show that already the random phase approximation reproduces well the main features of the spectra when crystal local field effects are correctly included, and discuss to which extent the calculations can be further simplified by extrapolating results obtained for the layered systems to results expected for the tubes. The present results are relevant for the interpretation of data obtained by recent experimental tools for nanotube characterization such as optical and fluorescence spectroscopies as well as polarized resonant Raman scattering spectroscopy. We also address electron energy loss spectra in the small-q momentum transfer limit. In this case, the interlayer and intertube interactions play an enhanced role with respect to optical spectroscopy.

International audienceClassical Hartree effects contribute substantially to the success of time-dependent density functional theory, especially in finite systems. Moreover, exchange-correlation contributions have an asymptotic Coulomb tail similar to the Hartree term, and turn out to be crucial in describing response properties of solids. In this work, we analyze in detail the role of the long-range part of the Coulomb potential in the dielectric response of finite and infinite systems, and elucidate its importance in distinguishing between optical and electron energy loss spectra (in the long wavelength limit q 0). We illustrate numerically and analytically how the imaginary part of the dielectric function and the loss function coincide for finite systems, and how they start to show differences as the distance between objects in an infinite array is decreased (which simulates the formation of a solid). We discuss calculations for the model case of a set of interacting and noninteracting beryllium atoms, as well as for various realistic systems, ranging from molecules to solids, and for complex systems, such as superlattices, nanotubes, nanowires, and nanoclusters

The incorporation of interstitial hydrogen in yttria was studied by means of ab initio calculations based on density-functional theory (DFT) and muonium spin polarization spectroscopy (μSR). The density-functional calculations, based on a semilocal functional within the GGA-PBE and a hybrid functional, uncovered multiple geometrical configurations for the neutral, H 0 , and the negatively charged, H − , states of hydrogen, thus demonstrating the existence of metastable minimum-energy sites. It was observed that the low-energy configurations for H 0 and H − are similar: they prefer to relax in deep, interstitial sites, whereas the equilibrium configurations for the positively charged state, H + , were bond-type configurations with the hydrogen forming a covalent O-H bond with an O anion. For all neutral and negative configurations, localized defect levels were found inside the gap. Overall, the results for the formation energies obtained by the two different functionals are qualitatively similar; an amphoteric behavior was found for hydrogen after considering the lowest-energy structures for each charge state. The calculated acceptor transition level, obtained by the hybrid functional and seen near midgap, is consistent with μSR data from literature. The results are consistent with the present μSR data, where the observed diamagnetic signal is attributed to a donor-like muonium at the oxygen-bonded configurations and the paramagnetic signal to an acceptor-like deep muonium at the interstitial sites.

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