# US 10,310,351 B2 · Electrochromic devices and methods for forming such devices

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- Number: US 10,310,351 B2
- Document ID: US10310351B2
- Status: Granted
- Kind: B2
- Application number: 14/294,952
- Filed: 2014-06-03
- Published: 2014-09-25
- Granted: 2019-06-04
- Earliest claimed: 2011-03-22
- Assignees: Clearist, Inc.
- Applicants: Paul Phong Nguyen
- Inventors: Paul Phong Nguyen
- Web page: https://patentgrep.com/patent/US10310351B2

## CPC

- G02F 1/1524: Transition metal compounds
- G02F 1/1347: Arrangement of liquid crystal layers or cells in which the final condition of one light beam is achieved by the addition of the effects of two or more layers or cells
- G02F 1/1503: caused by oxidation-reduction reactions in organic liquid solutions, e.g. viologen solutions
- G02F 1/1523: comprising inorganic material
- G02F 1/1533: {structural features not otherwise provided for}
- G02F 1/155: Electrodes
- G02F 1/133357: {Planarisation layers}
- G02F 2001/1536: {additional, e.g. protective, layer inside the cell}
- G02F 2202/38: Sol-gel materials
- G02F: OPTICAL DEVICES OR ARRANGEMENTS FOR THE CONTROL OF LIGHT BY MODIFICATION OF THE OPTICAL PROPERTIES OF THE MEDIA OF THE ELEMENTS INVOLVED THEREIN; NON-LINEAR OPTICS; FREQUENCY-CHANGING OF LIGHT; OPTICAL LOGIC ELEMENTS; OPTICAL ANALOGUE/DIGITAL CONVERTERS

## Abstract

Embodiments of the invention generally provide electrochromic devices and materials and processes for forming such electrochromic devices and materials. In one embodiment, an electrochromic device contains a lower transparent conductor layer disposed on a substrate, wherein an upper surface of the lower transparent conductor layer has a surface roughness of greater than 50 nm and a primary electrochromic layer having planarizing properties is disposed on the lower transparent conductor layer. The upper surface of the primary electrochromic layer has a surface roughness less than the surface roughness of upper surface of the lower transparent conductor layer, such as about 50 nm or less. The electrochromic device further contains an ion conductor layer disposed on the primary electrochromic layer, a secondary electrochromic layer disposed on the ion conductor layer, an upper transparent conductor layer disposed on the secondary electrochromic layer, and an antireflection layer disposed on the upper transparent conductor layer.

## Claims

### Claim 1

An electrochromic device comprising a plurality of layers disposed over a transparent substrate of glass or plastic, including at least one planarizing layer having an upper surface roughness which is less than or equal to half of the upper surface roughness of an underlying layer in contact with a lower surface of the at least one planarizing layer, wherein: (i) at least valleys of the underlying layer are filled by the lower surface of the at least one planarizing layer; (ii) at least one of the plurality of layers of the electrochromic device is electrochromic; (iii) one of the plurality of layers is a lower transparent conductor layer comprised of large-grained polycrystalline doped tin oxide; (iv) one of the plurality of layers is an upper transparent conductor layer having a sheet resistance of 1 to 50 ohm/square; and (v) the upper surface roughness is defined as an arithmetic average of absolute values of peak-to-valley heights.

### Claim 2 (depends on 1)

The electrochromic device of claim 1, comprising from bottom to top:
the substrate;
the lower transparent conductor layer;
a first electrochromic layer;
an ion conductor layer;
a second electrochromic layer; and
the upper transparent conductor layer,
wherein: (a) the first electrochromic layer is a primary electrochromic layer and the second electrochromic layer is a secondary electrochromic layer, or (b) the first electrochromic layer is the secondary electrochromic layer and the second electrochromic layer is the primary electrochromic layer.

### Claim 3 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer is at least one of, or is each of:
the lower transparent conductor layer;
the first electrochromic layer;
the ion conductor layer;
the second electrochromic layer; and
the upper transparent conductor layer.

### Claim 4 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer is located on at least one of, or is on each of:
the upper surface of the substrate and below the lower transparent conductor layer;
the upper surface of the lower transparent conductor layer and below the first electrochromic layer;
the upper surface of the first electrochromic layer and below the ion conductor layer;
the upper surface of the ion conductor layer and below the second electrochromic layer;
the upper surface of the second electrochromic layer and below the upper transparent conductor layer; and
the upper surface of the upper transparent conductor layer.

### Claim 5 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer is located on the upper surface of the ion conductor layer.

### Claim 6 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer is located on the upper surface of the second electrochromic layer.

### Claim 7 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer is located on the upper surface of ion conductor layer and the upper surface of the second electrochromic layer.

### Claim 8 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer is located on the upper surface of the lower transparent conductor layer.

### Claim 9 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer is located on the upper surface of the first electrochromic layer.

### Claim 10 (depends on 2)

The electrochromic device of claim 2, wherein the upper surface roughness of the underlying layer in contact with the lower surface of the at least one planarizing layer is greater than 50 nm and the upper surface roughness of the at least one planarizing layer is 50 nm or less.

### Claim 11 (depends on 2)

The electrochromic device of claim 2, wherein the at least one planarizing layer reduces at least one of light scattering and haze.

### Claim 12 (depends on 2)

The electrochromic device of claim 2, further comprising an antireflection layer on an upper surface of the upper transparent conductor layer.

### Claim 13 (depends on 2)

A method for fabricating the electrochromic device of claim 2, said method comprising:
forming the first electrochromic layer on the upper surface of the lower transparent conductor layer disposed on the substrate;
forming the ion conductor layer on the upper surface of the first electrochromic layer;
forming the second electrochromic layer on the upper surface of the ion conductor layer; and
forming the upper transparent conductor layer on the upper surface of the second electrochromic layer,
wherein the at least one planarizing layer is formed by at least one technique selected from the group consisting of dip coating, spin coating, electrophoresis, inkjet printing, roll coating, spray coating, spray pyrolysis, electrostatic coating, meniscus coating, curtain coating, sputtering, evaporation or chemical vapor deposition.

### Claim 14 (depends on 13)

The method of claim 13, wherein the at least one planarizing layer is at least one of, or is each of:
the lower transparent conductor layer;
the first electrochromic layer;
the ion conductor layer;
the second electrochromic layer; and
the upper transparent conductor layer.

### Claim 15 (depends on 13)

The method of claim 13, wherein the at least one planarizing layer is located on at least one of, or on each of:
the upper surface of the substrate and below the lower transparent conductor layer;
the upper surface of the lower transparent conductor layer and below the first electrochromic layer;
the upper surface of the first electrochromic layer and below the ion conductor layer;
the upper surface of the ion conductor layer and below the second electrochromic layer;
the upper surface of the second electrochromic layer and below the upper transparent conductor layer; and
the upper surface of the upper transparent conductor layer.

### Claim 16 (depends on 13)

The method of claim 13, wherein the at least one planarizing layer is located on the upper surface of the ion conductor layer.

### Claim 17 (depends on 13)

The method of claim 13, wherein the at least one planarizing layer is located on the upper surface of the second electrochromic layer.

### Claim 18 (depends on 13)

The method of claim 13, wherein the at least one planarizing layer is located on the upper surface of ion conductor layer and the upper surface of the second electrochromic layer.

### Claim 19 (depends on 13)

The method of claim 13, wherein the at least one planarizing layer is located on the upper surface of the lower transparent conductor layer.

### Claim 20 (depends on 13)

The method of claim 13, wherein the at least one planarizing layer is located on the upper surface of the first electrochromic layer.

### Claim 21 (depends on 13)

The method of claim 13, wherein the upper surface roughness is defined as: (a) an arithmetic average of absolute values of peak-to-valley heights; (b) a square root of a mean of squares of peak-to-valley heights; or (c) a maximum peak-to-valley height.

### Claim 22 (depends on 21)

The method of claim 21, wherein the upper surface roughness is from 1 nm to 300 nm.

### Claim 23 (depends on 13)

The method of claim 13, wherein the upper surface roughness of the underlying layer in contact with the lower surface of the at least one planarizing layer is greater than 50 nm and the upper surface roughness of the at least one planarizing layer is 50 nm or less.

### Claim 24 (depends on 13)

The method of claim 13, further comprising an antireflection layer on an upper surface of the upper transparent conductor layer.

### Claim 25 (depends on 13)

The method of claim 13, wherein all layers of the electrochromic device are planarizing layers.

### Claim 26 (depends on 1)

The electrochromic device of claim 1, wherein the upper surface roughness is from 1 nm to 300 nm.

### Claim 27 (depends on 1)

The electrochromic device of claim 1, wherein all layers of the electrochromic device are planarizing layers.

### Claim 28 (depends on 1)

The electrochromic device of claim 1, wherein the secondary electrochromic layer comprises at least one material selected from the group consisting of nickel oxide, lithium nickel oxide, tungsten nickel oxide, lithium tungsten nickel oxide, boron oxide, zirconium oxide, niobium oxide, iridium oxide, chromium oxide, tantalum oxide, zirconium oxides, boron oxide, lithium phosphorous oxynitride, lithium silicate, lithium aluminate, and lithium silialuminate.

### Claim 29 (depends on 1)

The electrochromic device of claim 1, wherein the ion conductor layer is inorganic or organic.