UNITED STATES PATENT AND TRADEMARK OFFICE
`
`_________________________
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_________________________
`
`
`
`TIANMA MICRO-ELECTRONICS CO., LTD.,
`Petitioner
`
`v.
`
`JAPAN DISPLAY INC. and PANASONIC LIQUID CRYSTAL DISPLAY CO.,
`Patent Owners
`_________________________
`
`Case No. _____
`Patent No. 7,718,234
`
`LIQUID CRYSTAL DISPLAY AND
`METHOD FOR MANUFACTURING SAME
`_________________________
`
`
`
`DECLARATION OF DR. JOHN LAWTON WEST
`IN SUPPORT OF
`PETITIONER’S PETITION FOR INTER PARTES REVIEW
`
`
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`Page 1 of 97
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`Tianma Exhibit 1003
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`I.
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`
`
`Declaration of Dr. West
`U.S. Patent No. 7,718,234
`
`
`Table of Contents
`
`Introduction ...................................................................................................... 1
`
`II. My Qualifications ............................................................................................ 1
`
`III.
`
`Information Considered ................................................................................... 5
`
`IV. Person of Ordinary Skill in the Art .................................................................. 7
`
`V.
`
`State of the Art as of December 2002 ............................................................. 7
`
`A.
`
`Liquid Crystal Display .......................................................................... 7
`
`1.
`
`2.
`
`Twisted nematic LCD ................................................................. 9
`
`In-plane switching scheme ........................................................11
`
`B.
`
`Polyimide Alignment-Control Layers for Liquid Crystal
`Displays ...............................................................................................13
`
`1.
`
`Process for forming polyimide alignment film .........................15
`
`VI. Overview of the ’234 Patent ..........................................................................25
`
`VII. Remarks on the Patent Prosecution History of the ’234 Patent ....................32
`
`1.
`
`2.
`
`3.
`
`Remarks about the alleged “unexpected results”
`presented during the prosecution of the ’871 patent .................39
`
`It would have been predictable to one of ordinary skill in
`the art that Comparative Examples 1 and 3 exhibited
`inferior properties as compared to other Examples of the
`’234 patent .................................................................................45
`
`It would have been predictable to one of ordinary skill in
`the art that Comparative Example 2 exhibited inferior
`properties as compared to other Examples of the ’234
`patent .........................................................................................46
`
`VIII. Claim Construction ........................................................................................47
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`U.S. Patent No. 7,718,234
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`IX. Certain References Fully Describe All of the Elements of Claims 1-
`16, 23, and 24 .................................................................................................48
`
`A. Ground 1: Tomioka in Combination with Nishikawa Discloses
`All of the Features of Claims 1-6, 8-12, 14-16, 23, and 24 of the
`’234 Patent. ..........................................................................................48
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`Claim 1 ......................................................................................49
`
`Claim 2 ......................................................................................59
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`Claim 3 ......................................................................................60
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`Claim 4 ......................................................................................60
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`Claims 5 and 6 ...........................................................................66
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`Claim 8 ......................................................................................66
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`Claim 9 ......................................................................................67
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`Claims 10 and 11.......................................................................68
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`Claim 12 ....................................................................................69
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`10. Claim 15 ....................................................................................69
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`11. Claim 16 ....................................................................................70
`
`12. Claim 23 ....................................................................................79
`
`B. Ground 2: Tomioka in Combination with Nishikawa and
`Chaudhari Discloses All of the Features of Claim 7 of the ’234
`Patent ...................................................................................................80
`
`C. Ground 3: Tomioka in Combination with Nishikawa and
`Suzuki Discloses All of the Features of Claim 13 of the ’234
`Patent. ..................................................................................................82
`
`D. Ground 4: Tomioka in Combination with Nishikawa and Morii
`Discloses All of the Features of Claim 14 of the ’234 Patent .............84
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`Declaration of Dr. West
`U.S. Patent No. 7,718,234
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`E.
`
`Ground 5: Tomioka in Combination with Nishikawa and Kim
`Discloses All of the Features of Claim 24 of the ’234 Patent. ............88
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`X.
`
`Conclusion .....................................................................................................90
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`Declaration of Dr. West
`U.S. Patent No. 7,718,234
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`LIST OF EXHIBITS
`
`Publications marked with (+) were co-authored by myself.
`
`Description
`Exhibit
`Ex. 1001 U.S. 7,718,234 to Tomioka et al., issued May 18, 2010
`
`Ex. 1002 U.S. file history for U.S. 7,718,234
`
`Ex. 1003 Declaration of Dr. John L. West regarding U.S. 7,718,234
`
`Ex. 1004 U.S. 8,758,871 to Tomioka et al., issued June 24, 2014
`
`Ex. 1005 U.S. file history for U.S. 8,758,871
`
`Ex. 1006 Reserved
`
`Ex. 1007 Curriculum vitae of Dr. John L. West
`
`Ex. 1008 U.S. 2001/0048498 to Tomioka et al., published December 6, 2001
`
`Ex. 1009 U.S. 5,969,055 to Nishikawa et al., issued October 19, 1999
`
`Ex. 1010 U.S. 2001/0012081 to Chaudhari et al., published August 9, 2001
`
`Ex. 1011
`
`JP 10-307295 to Suzuki et al., published November 17, 1998,
`with translation
`
`Ex. 1012 U.S. 6,141,078 to Morii et al., issued October 31, 2000
`
`Ex. 1013 Kim et al., Appl. Phys. Lett., Vol. 73, pp. 3372-74 (1998)
`
`Ex. 1014 Hoogboom et al., J. of Mater. Chem., Vol. 16, pp. 1305-14 (2006)
`
`Ex. 1015 U.S. 3,731,986 to Fergason, issued May 8, 1973
`
`Ex. 1016 Stöhr et al., J. of Electron Spec. and Related Phenom., Vol. 98-99, pp.
`189-207 (1999)
`
`Ex. 1017 Kawamoto, Proceedings of the IEEE, Vol. 90, No. 4, pp. 460-500
`(Apr. 2002)
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`Declaration of Dr. West
`U.S. Patent No. 7,718,234
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`Description
`Exhibit
`Ex. 1018 U.S. 6,242,060 to Yoneya et al., issued June 5, 2001
`
`Ex. 1019 U.S. 5,731,405 to Gibbons et al., issued March 24, 1998
`
`Ex. 1020 U.S. 2001/0046570 to Gibbons et al., published Nov. 29, 2001
`
`Ex. 1021 U.S. 3,994,567 to Matsuo et al., issued Nov. 30, 1976
`Ex. 1022 Andrienko et al., Jpn. J. Appl. Phys., Vol 39, pp. 1217-1220 (2000)+
`
`Ex. 1023
`
`JP 2002-229039 to Yamada et al., published August 14, 2002,
`with translation
`
`Ex. 1024 Kim et al., Jpn. J. Appl. Phys., Vol. 40, pp. 3381-86 (2001)
`
`Ex. 1025
`
`JP 09-90367 to Nishikawa et al., published April 4, 1997, with
`translation
`Ex. 1026 Nishikawa et al., Appl. Phys. Lett., Vol. 72, pp. 2403-2405 (1998)+
`
`Ex. 1027 U.S. 6,312,769 to Hiraoka et al., issued November 6, 2001
`
`Ex. 1028 Kim et al., Physical Review E, Vol. 57, pp. 5644-5650 (May 1998)
`
`Ex. 1029 Park et al., Jpn. J. Appl. Phys., Vol 37, pp. 5663-5668 (1998)
`Ex. 1030 Nishikawa et al., Jpn. J. Appl. Phys., Vol 38, pp. L334-L337 (1999)+
`Ex. 1031 Nishikawa et al., Mol. Cryst. Liq. Cryst., Vol. 325, pp. 63-78 (1998)+
`
`Ex. 1032 Rabilloud, Vol. 3, High Performance Polymers, Chp. 7 (2000)
`
`Ex. 1033 Nishikawa et al., Mol. Cryst. Liq. Cryst., Vol. 333, pp. 165-179
`(1999)+
`Ex. 1034 Nishikawa et al., Liquid Crystals, Vol. 26, No. 4, pp. 575-580 (1999)+
`
`Ex. 1035 Nishikawa et al., Mol. Cryst. Liq. Cryst., Vol. 329, pp. 579-587
`(1999)+
`Ex. 1036 Nishikawa et al., SID 98 Digest, Vol. 29, pp. 131-134 (1998)+
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`Declaration of Dr. West
`U.S. Patent No. 7,718,234
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`Description
`Exhibit
`Ex. 1037 Acharya et al., Phys. Rev. E, Vol. 60, pp. 6841-6846 (1999)
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`I.
`
`Introduction
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`
`
`Declaration of Dr. West
`U.S. Patent No. 7,718,234
`
`1.
`
`I have been retained by Petitioner Tianma Micro-electronics Co., Ltd.,
`
`as an independent expert consultant in this proceeding before the U.S. Patent and
`
`Trademark Office. I am being compensated for the time I spend on this matter, but
`
`no part of my compensation is dependent on the outcome of this proceeding.
`
`2.
`
`I understand that this proceeding involves U.S. Patent No. 7,718,234
`
`(“the ’234 patent,” Ex. 1001), issued on May 18, 2010. I understand that the
`
`application for the ’234 patent was filed on June 8, 2005, as U.S. Patent
`
`Application No. 10/537,825, which is a national stage application of International
`
`Application No. PCT/JP03/15658, filed on December 8, 2003. (Id., cover) This
`
`U.S. Patent Application claims priority to JP 2002-356461, which was filed on
`
`December 9, 2002. (Id.)
`
`3.
`
`I have been asked to consider whether certain references describe the
`
`alignment-control film, used in a liquid crystal display, of claims 1-16, 23, and 24.
`
`My opinions are provided below.
`
`II. My Qualifications
`I am a University Trustee Professor of Chemistry at Kent State
`4.
`
`University.
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`1
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`Declaration of Dr. West
`U.S. Patent No. 7,718,234
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`5.
`
`I received a B.S. in Chemistry from the College of William and Mary
`
`in 1976, and a M.S. and Ph.D. in the field of chemistry from Carnegie Mellon
`
`University in 1979 and 1980, respectively.
`
`6.
`
`I worked as a Postdoctoral Fellow in photochemistry at the University
`
`of Utah from 1980 to 1981. I was then the Director of Research for the Digital
`
`Recording Corp. in Salt Lake City, Utah from 1981 to 1984.
`
`7.
`
`In 1984, I joined the Liquid Crystal Institute (“LCI”) at Kent State
`
`University as a Senior Research Fellow. I continue to hold that position today. The
`
`LCI is the world’s first research center focused on the basic and applied science of
`
`liquid crystals. Research at the LCI addresses the entire range of multidisciplinary
`
`topics associated with the science and technology of liquid crystals and related
`
`self-organized materials and devices.
`
`8.
`
`From 1990 to 1996, I was the Associate Director for the Liquid
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`Crystal Institute. I became the Director in 1997 and held that title until 2003.
`
`9.
`
`At the time I became the Director for the Liquid Crystal Institute, I
`
`also served as the Director for the NSF Science & Technology Center for
`
`Advanced Liquid Crystalline Optical Materials (“ALCOM”). The work of
`
`ALCOM was directed to both basic and applied research in liquid crystal materials
`
`and their application in displays and other devices. I received the NSF Pioneer
`
`
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`2
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`U.S. Patent No. 7,718,234
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`Award for my leadership of ALCOM in 2003 when I concluded my work as
`
`director.
`
`10.
`
`In 1997, I became a Professor of Chemistry at Kent State University
`
`and continue to actively teach and advise undergraduate and graduate students in
`
`the field of liquid crystals.
`
`11.
`
`I also have commercial experience in the field of liquid crystal
`
`displays, having formed a new company, FITOS, to commercialize technology
`
`developed in my lab and patented by Kent State.
`
`12.
`
`I have received numerous awards for my work in the area of liquid
`
`crystals,
`
`including
`
`the Goodyear Corporate Inventor Award (1997),
`
`the
`
`Distinguished Service Award from Kent State University (1998), and the National
`
`Science Foundation Pioneer Award (2003).
`
`13. My curriculum vitae, which includes a more detailed summary of my
`
`background, experience, and publications, is marked as Exhibit 1007.
`
`14. As shown in my curriculum vitae, I have coauthored over a hundred
`
`scientific papers in respected and refereed scientific journals regarding a variety of
`
`aspects of liquid crystals and liquid crystal displays (“LCD”s).
`
`15. More specifically, from 1997 to 2000, I have coauthored more than 20
`
`papers relating to the use of polyimides for photo-alignment of liquid crystals. A
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`majority of those papers are directed to the same polyimide films disclosed in the
`
`’234 patent.
`
`16. Specifically, each of Exhibits 1022, 1026, 1030, 1031, and 1033 to
`
`1036 relates to polyimide alignment-control layers derived from 1,2,3,4-
`
`cyclobutane-tetracarboxylic acid dianhydride (“CBDA”) and their applications to
`
`LCD devices. CBDA is used as a dianhydride in 10 out of 13 examples of the ’234
`
`patent. (Ex. 1001 at Examples 1, 2-5, 7-12.) Additionally, as shown below,
`
`compounds of formula I recited in claim 1 of the ’234 patent are merely derivatives
`
`of CBDA (i.e., cyclobutane moiety in the center of CBDA is modified by one or
`
`more substituents).
`
`
`
`
`
`CBDA Formula I recited in claim 1 of the ’234 patent
`
`17. Based on my 30 plus years of experience, as detailed in my
`
`curriculum vitae, I consider myself an expert in the field of liquid crystals and
`
`LCDs, including alignment-control films used in LCDs. More specifically, given
`
`my extensive experience with CBDA-based polyimide alignment-control films, I
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`consider myself qualified to testify as to technical conclusions that one of ordinary
`
`skill in that field would have reached before the filing of the ’234 patent.
`
`III.
`
`Information Considered
`
`18.
`
` The opinions summarized in this Declaration are based on the
`
`documents I reviewed, my education, knowledge, professional judgment, and 30
`
`plus years of experience in the field of LCDs. The documents I reviewed include
`
`the following:
`
`− U.S. 7,718,234 to Tomioka et al. (Ex. 1001);
`
`− U.S. file history for U.S. 7,718,234 (Ex. 1002);
`
`− U.S. 8,758,871 to Tomioka et al. (Ex. 1004);
`
`− U.S. file history for U.S. 8,758,871 (Ex. 1005);
`
`− U.S. 2001/0048498 to Tomioka et al. (Ex. 1008);
`
`− U.S. 5,969,055 to Nishikawa et al., (Ex. 1009);
`
`− U.S. 2001/0012081 to Chaudhari et al., (Ex. 1010);
`
`− JP 10-307295 to Suzuki et al. with translation (Ex. 1011);
`
`− U.S. 6,141,078 to Morii et al., (Ex. 1012);
`
`− Kim et al., Appl. Phys. Lett., Vol. 73 (1998) (Ex. 1013);
`
`− Hoogboom et al., J. of Mater. Chem., Vol. 16 (2006) (Ex. 1014);
`
`− U.S. 3,731,986 to Fergason, (Ex. 1015);
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`− Stöhr et al., J. of Electron Spec. and Related Phenom., Vol. 98-99 (1999)
`
`(Ex. 1016);
`
`− Kawamoto, Proceedings of the IEEE, Vol. 90, No. 4 (2002) (Ex. 1017);
`
`− U.S. 6,242,060 to Yoneya et al. (Ex. 1018);
`
`− U.S. 5,731,405 to Gibbons et al. (Ex. 1019);
`
`− U.S. 2001/0046570 to Gibbons et al. (Ex. 1020);
`
`− U.S. 3,994,567 to Matsuo et al. (Ex. 1021);
`
`− Andrienko et al., Jpn. J. Appl. Phys., Vol 39 (2000) (Ex. 1022);
`
`− JP 2002-229039 to Yamada et al. with translation (Ex. 1023);
`
`− Kim et al., Jpn. J. Appl. Phys., Vol. 40 (2001) (Ex. 1024);
`
`− JP 09-90367 to Nishikawa et al. with translation (Ex. 1025);
`
`− Nishikawa et al., Appl. Phys. Lett., Vol. 72 (1998) (Ex. 1026);
`
`− U.S. 6,312,769 to Hiraoka et al. (Ex. 1027);
`
`− Kim et al., Physical Review E, Vol. 57 (1998) (Ex. 1028);
`
`− Park et al., Jpn. J. Appl. Phys., Vol 37 (1998) (Ex. 1029);
`
`− Nishikawa et al., Jpn. J. Appl. Phys., Vol 38 (1999) (Ex. 1030);
`
`− Nishikawa et al., Mol. Cryst. Liq. Cryst., Vol. 325 (1998) (Ex. 1031);
`
`− Rabilloud, Vol. 3, High Performance Polymers, Chp.7 (2000) (Ex. 1032);
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`− Nishikawa et al., Mol. Cryst. Liq. Cryst., Vol. 333 (1999) (Ex. 1033);
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`U.S. Patent No. 7,718,234
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`− Nishikawa et al., Liquid Crystals, Vol. 26, No. 4 (1999) (Ex. 1034);
`
`− Nishikawa et al., Mol. Cryst. Liq. Cryst., Vol. 329 (1999) (Ex. 1035);
`
`− Nishikawa et al., SID 98 Digest, Vol. 29 (1998) (Ex 1036); and
`
`− Acharya et al., Phys. Rev. E, Vol. 60 (1999) (Ex. 1037).
`
`IV. Person of Ordinary Skill in the Art
`19. My opinions have been guided by my appreciation of how a person of
`
`ordinary skill in the art would have understood the subject matter of the ’234
`
`patent at the time of the alleged invention. I have been asked to initially assume
`
`that this date is December 9, 2002, which I see is the date for “Foreign Application
`
`Priority Data” on the ’234 patent. (Ex. 1001, cover.)
`
`20.
`
`In my opinion, at the time of the alleged invention, a person of
`
`ordinary skill in the art would have had (i) a Ph.D. in polymer chemistry/physics or
`
`polymer engineering and about 2 years of experience in LCD technology or (ii) a
`
`M.S. or a B.S. degree in polymer chemistry/physics or polymer engineering and
`
`about 3-5 years of experience in LCD technology.
`
`V.
`
`State of the Art as of December 2002
`A. Liquid Crystal Display
`In December 2002, one of ordinary skill in the art would have known
`21.
`
`that, as shown in Figure 1, an LCD comprises the following basic components:
`
`• a pair of substrates,
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`U.S. Patent No. 7,718,234
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`• electrodes and active devices such as thin film transistors formed on
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`the substrates,
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`• a liquid crystal layer sandwiched between the pair of substrates, and
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`• alignment-control layers placed in between the liquid crystal layer and
`
`substrates.
`
`FIGURE 1
`
`
`
`22. One of ordinary skill in the art would have known that liquid crystal
`
`(“LC”) molecules are materials with properties between those of conventional
`
`liquids and those of solid crystals. Specifically, LCs may flow like a liquid, while
`
`maintaining an orientational order. This results in an orientational anisotropy in
`
`many of the physical properties, including refractive index and dielectric constants.
`
`LCs may be oriented by an applied electric field.
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`23. Based on
`
`the unique electro-optical properties of LCs,
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`light
`
`transmission through LCDs can be controlled by applying an electric field to the
`
`LC layer so that the LCs are oriented in a fashion such that all, some, or none of
`
`the light passes through the LCD.
`
`Twisted nematic LCD
`
`1.
`24. One of the most widely used cell configurations for LCD is the
`
`twisted nematic (“TN”) scheme. This has been attributed to the work of an early
`
`member of the LCI at Kent State and others. (See Ex. 1014 (Hoogboom et al.), pp.
`
`1305-07; see also, Ex. 1015 (US Patent No. 3,731,986).) The TN scheme is based
`
`on two observed phenomena of LCs: (i) nematic liquid crystals placed between
`
`two substrates with aligning layers of differing alignment will align in different
`
`directions at those substrates, and (ii) electric fields will influence the liquid crystal
`
`alignment. (See Ex. 1018 (US 6,242,060), p. 1306; see also Ex. 1016 (Stöhr et al.),
`
`p. 191; Ex. 1017 (Kawamoto), Figure 16(a).)
`
`25. Figure 2 provides a schematic of a cross section of a TN-LCD.
`
`Specifically, LC materials are placed in between two alignment layers. The bottom
`
`alignment layer aligns the LC molecules in a direction parallel to the bottom
`
`polarizer alignment. The top alignment layer aligns the LC molecules in a direction
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`that is perpendicular to the alignment direction of the bottom alignment layer and
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`bottom polarizer. This causes the LC director to twist 90° from the bottom to the
`
`top of the device.
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`26. As shown in Figure 2 on the left, when no electric field is applied, the
`
`linearly-polarized light follows the twist of the LC layer such that it passes through
`
`the top polarizer, which has the same alignment as the top alignment layer. As
`
`shown in Figure 2 on the right, when an electric field is applied between the pixel
`
`and common electrodes, the LCs align with the electric field and do not alter the
`
`polarization of the light. As a result, the light does not twist as it passes through the
`
`LCD and, thus, cannot pass through the top polarizer, and the pixel becomes dark.
`
`(See Ex. 1016, pp. 191-92; Ex. 1017, Figure 16(a) & (b).)
`
`FIGURE 2: Schematic of a cross section of a TN-type LCD.
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`U.S. Patent No. 7,718,234
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`27. TN technology, however, has a main drawback of providing narrow
`
`viewing angles. That is, when viewing the picture from above or from the sides of
`
`a TN-based display, the contrast of the LCD is reduced or even reversed.
`
`In-plane switching scheme
`
`2.
`28. To improve on the poor viewing angle of the TN-type LCD, an in-
`
`plane switching scheme (“IPS”) was developed well before the filing of the ’234
`
`patent. In contrast to the earlier TN scheme, the electric field is applied in the plane
`
`of the substrates and therefore LC molecules in an IPS-type LCD move parallel to
`
`the panel plane instead of perpendicular to it when this field is applied.
`
`FIGURE 3: Schematic of a cross section of an IPS-LCD.
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`U.S. Patent No. 7,718,234
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`29. For example, as shown in Figure 3, in many embodiments of the IPS
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`mode, no twisting of LC molecules occurs as the top alignment layer and the
`
`bottom alignment layer align the LC molecules in substantially the same direction.
`
`In those embodiments, the dark state of the IPS device can be achieved by making
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`the orientation of LC molecules parallel to each other and one of the polarizers.
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`The bright state can be achieved by applying an electric field parallel to the
`
`substrate so that the LC molecules are aligned at an angle with reference to the
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`both polarizers. In this arrangement, polarization of light is rotated on passing
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`through the LC and passes through the top polarizer. As shown in Figure 3, in an
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`IPS-LCD, a pair of electrodes is formed on one of the two substrates to generate an
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`electric field that can drive the rotation of LC molecules.
`
`30. While the LC molecules align with the alignment film in the x-y
`
`plane, they may also have z-directionality, i.e., out of the plane. The angle between
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`the long axis of the LC molecules and the surface of the substrate is referred to as
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`the “pre-tilt angle.”
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`U.S. Patent No. 7,718,234
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`FIGURE 4
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`31. As of December 2002, one of ordinary skill in the art would have
`
`known that, with the IPS-LCD, the smaller the pre-tilt angle of the LC molecules,
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`the better the viewing angle effect, with the widest viewing angle being provided
`
`theoretically when the pre-tilt angle is 0°. (See Ex. 1018, 12:50-55.)
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`Polyimide Alignment-Control Layers for Liquid Crystal Displays
`
`B.
`32. When a liquid crystal comes in contact with a surface it chooses an
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`alignment orientation in 3-D space based on the chemical and physical properties
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`of the substrate. Thus, the polymeric alignment layers that are in direct contact
`
`with the LC control the default alignment of the LC molecules in the absence of an
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`electric field. As such, the performance of LCDs can be greatly affected by the
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`choice of alignment-control layers and the methods used to generate the alignment-
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`control property in such a layer.
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`U.S. Patent No. 7,718,234
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`33. Requirements of alignment-control layers for LCDs include uniform
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`alignment, small thickness, high glass transition temperature, transparency to
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`visible light (no color), good dielectric properties, long-term thermal and optical
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`stability, and a controlled uniform pre-tilt angle. (See e.g. 1019 (US 5,731,405),
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`2:5-10; Ex. 1008, ¶ [0073]; Ex. 1010, ¶¶ [0012]-[0013].)
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`34. As the material for the LC alignment-control film, well known resins
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`such as polyimides, polyamides, and polyesters have been proposed and studied.
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`(See Ex. 1009 (US 5,969,055), 1:32-37.)
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`35. Prior to the filing of the ’234 patent, one of ordinary skill in the art
`
`would have known that polyimides have been considered to be particularly suitable
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`for alignment films. (See Ex. 1020 (US 2001/0046570), ¶ [0013]; Ex. 1022
`
`(Andrienko et al.), p. 1217.) Specifically, polyimide films (and their associated
`
`polyamic acid films) are known to exhibit excellent thermal and electrical stability
`
`properties. (Ex. 1020, ¶ [0013].) In addition, as of December 2002, it was known
`
`that polyimide films are capable of providing “excellent initial alignment of the
`
`liquid crystal interposed there between.” (See Ex. 1021 (US 3,994,567), 2:35-36.)
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`Moreover, the selection of polyimides expanded the scope of viable LC materials
`
`that may be used in LCDs.
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`Process for forming polyimide alignment film
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`1.
`36. The process for forming polyimide alignment films generally include
`
`the following steps:
`
`(1) preparing a polyamic acid varnish by reacting one or more types of
`
`dianhydride monomers with one or more types of diamine monomer (Ex.
`
`1009, cols. 13-15);
`
`(2) coating the substrate with the poly(amic) acid varnish and then curing the
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`varnish with heat to achieve imidization (i.e., forming a polyimide); (Id.,
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`15:35-39); and
`
`(3) imparting alignment-control ability to the polyimide film with additional
`
`treatment such as rubbing or irradiating with polarized ultraviolet light (Id.,
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`15:62-16:4) that will be further discussed below.
`
`37.
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`In 1998, Kim et al. taught a modified process in which steps (2) and
`
`(3) were conducted simultaneously, i.e., during the thermal imidization step (2),
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`the polyamic acid films were simultaneously heated and exposed to linearly-
`
`polarized ultraviolet light (LPUV). (Ex. 1013 (Kim 1998), p. 3372; see also, Ex.
`
`1024 (Kim 2001).) To distinguish it from the conventional three-steps process
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`disclosed above, Kim referred to this modified process as the “in situ” UV
`
`exposure method. (Ex. 1013, p. 3372.)
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`38. According to Kim, this in situ method “can be applied to any UV
`
`sensitive polymer to produce an alignment layer.” (Id.) Also, the alignment layers
`
`prepared by this modified method “exhibit higher thermal stability while requiring
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`shorter processing time than the conventional UV alignment method for PI films,”
`
`which employs UV exposure after the imidization of polyimide is complete. (Ex.
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`1024, p. 2381; see also, Ex. 1013, p. 3372.)
`
`39. Kim further explains possible factors that may be responsible for the
`
`enhancement in thermal stability of the in situ method as follows:
`
`[I]n the in situ method, the depolymerization by LPUV
`and polymerization by
`thermal
`reaction occur
`simultaneously. Therefore,
`the
`imidization
`rate
`is
`anisotropic. Moreover, since we expose LPUV at high
`temperature in the in situ method, the mobility of
`polymer chains is higher. Small polymer chains that
`reorient and become perpendicular to the direction of
`polarization are likely to undergo imidization and thus
`increase the number and length of the chains in that
`direction. Thus, the resulting alignment films are not only
`free of strain energy and hence more stable, they are
`more effective than the conventionally prepared films. It
`is believed that this method holds the promise of
`producing even more stable alignment layers, when all
`parameters, such as temperatures of soft and hard bake,
`intensity of UV, duration, and the time of UV exposure,
`have been optimized.
`
`(Ex. 1013, p. 3372-73.)
`
`40. One of ordinary skill in the art would have known that the thickness
`
`of a polyimide alignment films may range from 1 nm to 1000 nm, such as 5 nm to
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`500 nm. (Ex. 1009 (US 5,969,055), 15:60-61.) For example, as reported in several
`
`of my papers published in 1998-1999, one of ordinary skill in the art would have
`
`known that polyimide alignment films can be easily controlled at 50 nm. (Ex.
`
`1033, p. 167; Ex. 1034, p. 575; Ex. 1035, p. 580.)
`
`41.
`
`In addition, U.S. Patent Application No. 2001012081 to Chaudhari et
`
`al. (“Chaudhari,” Ex. 1010) notes that while LC molecules should return rapidly to
`
`their zero field alignment upon removal of an applied voltage, residual charges
`
`may accumulate within the alignment layer and cause “image sticking.” (Id.,
`
`¶ [0011].) To alleviate this problem, Chaudhari teaches using very thin alignment
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`films, such as 10 nm, that allow for charge hopping or tunneling to prevent image
`
`sticking. (Id., ¶¶ [0012]-[0013].) Chaudhari further reports that when 10 nm thick
`
`polyimide alignment layers are used, there is no observable image sticking, which
`
`lead to a very high quality display device. (Id., ¶ [0027].)
`
`42. Thus, as long as a uniform film can be obtained, one of ordinary skill
`
`in the art would have been motivated to prepare a polyimide alignment film with
`
`minimal thickness.
`
`a)
`
`Imparting alignment-control ability—rubbing
`treatment
`
`43. One of the original processes for imparting alignment-control ability
`
`to the polyimide film was to rub the film, such as with a roller wound with a cloth
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`made of a nylon or the like in a given direction. (Ex. 1009 (US 5,969,055), 19:62-
`
`67.)
`
`FIGURE 5 (Ex. 1016, (Stöhr), p. 191.)
`
`
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`44. Rubbing treatments, however, have several problems such as creation
`
`of contaminating particles and production of electrostatic charges, which lowers
`
`the production yield of LCDs. (See Ex. 1026 (Nishikawa et al.), p. 2403; see also,
`
`Ex. 1027 (US 6,312,769), 1:33:50; Ex. 1028 (Kim 1998), p. 5644; Ex. 1029 (Park
`
`et al.), p. 5663.) This led to the development of non-rubbing techniques in the late
`
`1990’s.
`
`b)
`
`Imparting alignment-control ability via polarized
`ultraviolet light exposure (photoalignment)
`
`45. Well before December 2002, one of ordinary skill in the art would
`
`have known that one of the most promising non-rubbing techniques for imparting
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`alignment control involves exposing the polyimide film to linearly-polarized
`
`ultraviolet-light. (Ex. 1030 (Nishikawa et al.), L334.)
`
`46. Figure 6, below, shows the schematic mechanism of LC alignment by
`
`polarized UV exposure. Before UV exposure, polyimide molecule chains of the
`
`alignment-control film are randomly aligned. Upon exposure to linearly-polarized
`
`UV-light, polyimide chains parallel to the UV polarization are selectively modified
`
`and later randomly relocated in the polyimide film. The residual polyimide chains
`
`perpendicular to the exposed UV polarization, which have not been modified,
`
`cause the LC molecules to align along the long axis of the polyimide chains. (Ex.
`
`1031 (Nishikawa et al.), pp. 75-76.)
`
`
`
`FIGURE 6 (Ex. 1031, p. 76.)
`
`Suitable polyimides for photoalignment
`
`c)
`It has been demonstrated, years before December 2002, that
`
`47.
`
`polyimides, such as those disclosed in the ’234 patent, when irradiated with a
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`linearly-polarized light exhibit good aligning properties for LCDs. (Ex. 1032
`
`(Rabilloud, Chp. 7,) p. 391.) This is seen, for example, in several articles that Dr.
`
`Nishikawa and I had published in 1998 and 1999.
`
`48. For example in Nishikawa et al, Mol. Cryst. Liq. Cryst. Vol. 333
`
`(1999) (Ex. 1033), we prepared polyimide alignment-control films using various
`
`tetracarboxylic dianhydrides as shown below.
`
`FIGURE 7 (Ex. 1033, p. 167)
`
`49. We reported that PI-1, a polyimide containing a cyclobutane moiety
`
`
`
`as shown in Figure 7, exhibits significantly higher photosensitivity for LC
`
`alignment behavior than other polyimide films with d