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9 Journal of Oleo Science Copyright ©2013 by Japan Oil Chemists’ Society J. Oleo Sci. 62, (1) 9-16 (2013) The viscosity stability of O/W emulsion containing α-gel through an ionic-complex system Makoto Uyama* , Kaori Ikuta, Takashi Teshigawara, Kei Watanabe and Reiji Miyahara Shiseido Research Center (Shin-Yokohama), Shiseido Co. Ltd., 2-2-1 Hayabuchi, Tsuzuki-ku, Yokohama, Kanagawa 224-8558, Japan 1 INTRODUCTION Various active ingredients, which often are electrolytes, are used in cosmetic products for moisturizing and whiten- ing the skin. When these electrolytes are added to an oil in water(O/W)emulsion system, stability generally deterio- rates remarkably because of the increasing hydrophobici- ties of the surfactants in the system, particularly in cases of nonionic surfactants, and their cloud points decrease. To reconcile the stabilities of O/W emulsion systems contain- ing electrolyte-type active ingredients, a system containing an α-crystalline phase(α-gel), which consisted of water, higher alcohols, and the anionic surfactant, sodium N-stea- royl-N-methyl taurate(SMT, Fig. 1(a)), was developed by Konno and Watanabe1, 2). An α-gel(α-type hydrate crystal)is one of the hydrated crystalline state of surfactants and lipids that appears as a highly viscous gel3, 4). The long-periodic structure of an α-gel has a repeating bilayer structure, with its packed (sub-cell)structure of hydrophobic groups forming a hex- agonal sub-lattice and its hydrophilic groups holding a large amount of water. α-Gel is often confused with a lamella liquid crystalline phase, because both have a repeated bilayer structure. However, unlike an α-gel, the hydrophobic groups of a *Correspondence to: Makoto Uyama, Shiseido Research Center (Shin-Yokohama), Shiseido Co. Ltd., 2-2-1 Hayabuchi, Tsuzuki-ku, Yokohama, Kanagawa 224-8558, Japan E-mail: makoto.uyama@to.shiseido.co.jp Accepted July 14, 2012 (recieved for review May 22, 2012) Journal of Oleo Science ISSN 1345-8957 print / ISSN 1347-3352 online http://www.jstage.jst.go.jp/browse/jos/ http://mc.manusriptcentral.com/jjocs lamella liquid crystalline phase are in a molten(liquid)state with no specific sub-lattice structure. The two forms can be easily distinguished by X-ray scattering measurements. In the wide-angle X-ray scattering pattern of an α-gel, a sharp peak is observed at 15 nm-1(Bragg angle of 21°), which corresponds to the diffraction of the sub-lattice. In contrast, no peak is evident for the sub-lattice structure of lamellar liquid crystalline phases. Abstract: Although many active ingredients are used in cosmetic products for moisturizing and whitening the skin, they are often electrolytes, and the stabilities of oil in water (O/W) type emulsion formulae containing electrolytes are generally difficult to control. To solve this problem, formulae containing an α-crystalline phase (α-gel) consisting of water, higher alcohols, and anionic surfactants such as sodium N-stearoyl-N-methyl-taurate (SMT) have been developed. However, in spite of their excellent salt tolerance, these formulae have poor viscosity stability under non-electrolyte conditions, and the viscosity decreases over time. To obtain adequate viscosity stability, the required electrolyte concentration is approximately 1wt%, which is somewhat high for cosmetic applications. To replace the salts, distearyl dimethyl ammonium chloride (DSAC), a cationic surfactant, with an opposite electric charge to SMT, was used in O/W emulsion formulae, resulting in improved viscosity stability at a lower concentration than that of salts. The stabilization mechanism with DSAC was found to be different from that of salts. Key words: α-Crystalline phase, α-gel, Emulsion, Sodium N-stearoyl-N-methyltaurate, Distearyl dimethyl ammonium chloride, DSC, SAXS, cryo-SEM Fig. 1 Chemical structures of SMT (a), DSAC (b), and C22TAC (c). M. Uyama, K. Ikuta, T. Teshigawara et al. J. Oleo Sci. 62, (1) 9-16 (2013) 10 Konno has reported that an O/W emulsion showing ex- cellent long-term viscosity stability can be obtained with SMT as an anionic surfactant in the α-gel structure of the emulsion, even with electrolytes, unlike other anionic sur- factants1). However, approximately 1wt% NaCl was needed to obtain long-term viscosity stability, because under low- or non-electrolyte conditions, remarkable viscosity deterio- ration was observed over time. Although the α-gel system with SMT showed outstanding salt tolerance, its excellent viscosity stability could be lost in non- or low-concentration electrolyte conditions over time. Moreover, the use of 1 wt% NaCl is marginally intolerable for preparing cosmetic formulae. This study investigated materials that can be used with SMT at lower concentrations to enhance the long-term vis- cosity stability of O/W emulsions. In particular, this study focused on the following two points. First, materials should be cationic, to weaken the electrostatic repulsion of SMT and neutralize its electric charge. Second, they should be hydrophobic surfactants, because unlike water-soluble NaCl, they are integrated into the α-gel structure of the system at concentrations lower than that required by NaCl. Distearyl dimethyl ammonium chloride(DSAC, Fig. 1 (b))5-9), a cationic surfactant, is a strongly hydrophobic double-alkyl-chain-type surfactant, which is insoluble in water. DSAC is thought to be easily incorporated into the α-gel structure because of its straight alkyl chains, and to interact electrostatically with SMT in the α-gel. Using cryo- genic scanning electron microscopy(cryo-SEM), Yamagu- chi et al. studied changes in the structure of assembly in the ternary 1-hexadecanol, octadecyl trimethyl ammonium chloride, and water system, altering the molar ratio of 1-hexadecanol to octadecyl trimethyl ammonium chloride, as well as the preparation temperature10, 11). Nagahara et al. observed the cationic assembly in the system composed of behenyl trimethyl ammonium chloride, behenyl alcohol, and water, with or without amido propyl betaine laurate also using cryo-SEM12-14). This study shows(1)the improvement of the long-term viscosity stability of an O/W emulsion system containing an α-gel, and(2)a possible mechanism through an SMT/DSAC ionic complex. 2 EXPERIMENTAL 2.1 Materials SMT and behenyl alcohol were purchased from Nikko Chemicals(Tokyo, Japan). DSAC, behenyl trimethyl am- monium chloride(C22TAC, Fig. 1(c)), and stearyl alcohol, were purchased from Sanyo Chemical Industries(Kyoto, Japan), Toho Chemical Industry(Tokyo, Japan), NOF cor- poration(Tokyo, Japan), respectively. Other materials used in this study were cosmetic grade and used as received. 2.2 Methods 2.2.1 Preparations of O/W emulsions Formulae of O/W emulsion sample used in this study are provided in Table 1. O/W emulsion samples were prepared Table 1 Basic formulae of O/W emulsions (wt%). Ingredients NaCl added* DSAC added** C22TAC added*** Water phase Sodium N-stearoyl-N-methyltaurate (SMT) Humectant Xanthan gum Citrate buffer Sodium chloride Disodium EDTA Preservative Water Oil phase Stearyl alcohol Behenyl alcohol Hydorocarbon Oil Silicone Oil Distearyl Dimethylammonium chloride (DSAC) Behenyl trimethyl ammonium chloride (C22TAC) 0.2 13 0.1 0.1 0 or 1 0.1 proper wt. up to 100 0.3 1.1 2 3 - - 0.2 13 0.1 0.1 - 0.1 proper wt. up to 100 0.3 1.1 2 3 0-0.1 - 0.2 13 0.1 0.1 - 0.1 proper wt. up to 100 0.3 1.1 2 3 - 0-0.1 *Formula added with NaCl. **Formula added with distearyl dimethyl ammonium chloride (DSAC). ***Formula added with behenyl trimethyl ammonium chloride (C22TAC). The viscosity stability of O/W emulsion containing α -gel through an ionic-complex system J. Oleo Sci. 62, (1) 9-16 (2013) 11 by adding the oil phase heated at 85℃ to the water phase heated at 80℃ and subsequent emulsification using a ho- mogenizer(T.K. ROBOMIX®)(PRIMIX, Osaka, Japan). Emulsion particle sizes were observed withthe optical mi- croscope and made below 5 μm. The samples were then cooled at 40℃ in an ice/water bath. 2.2.2 Viscosity measurements The prepared sample was stored at room temperature, and viscosity was measured by a rotary viscosity meter(B- type, VDA2)(Shibaura systems, Tokyo, Japan)at 1, 15, and 30 days after preparation. For the measurements, rotor No. 3 was used at 12 rpm at 30℃ for 1 min. 2.2.3 Small-angle X-ray scattering(SAXS)measurements SAXS measurements were performed with a SAXSess camera(Anton Paar, Graz, Austria). Cu-Kα(λ : 1.542 Å)ra- diation was used. The scattering intensity of each sample was measured at 25℃ for 10 min with a cyclone imaging plate detection system(Perkin-Elmer, Waltham, MA, USA) and analyzed by SAXSQuant software(Anton Paar). Emul- sion samples for SAXS measurements were ultracentri- fuged at 65,000 rpm for 7 hours at 25℃, using a himac CP100wx(Hitachi Koki, Tokyo, Japan)before SAXS mea- surements. 2.2.4 Differential scanning calorimetry(DSC) DSC measurements were performed using a DSC Q2000 (TA Instruments, Delaware, USA), equipped with a refrig- erated cooling system(RCS 90)(TA Instruments), over a temperature range of 25 to 85℃ at a heating rate of 1℃/ min. Tzero pans and Tzero hermetic lids(TA Instruments) were used, and the sample weight was adjusted to approxi- mately 10 mg. 2.2.5 Electron microscopy and image analysis Cryo-SEM can fix and observe the actual state of a col- loidal material, such as a cream product, while preserving its α-gel structure. Under conventional SEM operating conditions, α-gel structural information would be lost due to possible gel structure coalescence at ambient temperature. To obtain the cryo-SEM images of prepared samples, a small amount of sample was put onto a specimen holder and plunged into liquid nitrogen. The frozen specimen on the holder was transferred to a microscope cold stage at -70~-90℃. Then, the surface of specimen was fractured on the stage and observed with a scanning electron microscope(Hitachi S-3000N)(Hitachi High-Technologies, Tokyo, Japan)with an acceleration potential of 5 kV. 3 RESULTS AND DISCUSSION 3.1 Effect of DSAC on the viscosity of O/W emulsions Base formulae used in this study are shown in Table 1. Although the concentrations and the types of humectants varied to some extent, the variations were confirmed to have no influence on the viscosity stability of the sample emulsion in a separate experiment(data not shown). Simi- larly, the influence of humectants on the viscosity stability was also hardly taken into consideration in a previous report1). Xanthan gum(0.1 wt%), a thickening agent, was also confirmed to have practically no effect on the viscosity (data not shown). Citrate buffer(citric acid and sodium citrate)was used to control the emulsion pH between 5.8 and 6.2. Cationic surfactants are known to attenuate the electric charge of SMT. We expected that a small amount of DSAC would affect the viscosity of O/W emulsion samples more strongly than salts, because DSAC has two straight alkyl chains that are easily incorporated in the α-gel, and can ef- ficiently shield the electric charge of SMT in the α-gel. Figure 2 shows the viscosity changes upon addition of DSAC. The viscosities of samples containing 0, 0.02, and 0.05 wt% DSAC decreased from 3560, 3920 and 4080 mPa・ s at 1 day to 2950, 3210, and 3950 mPa・s at 30 days post- preparation, respectively. Decreases in the viscosities of samples containing 0, 0.02, and 0.05 wt% DSAC for 30 days were found to be 610, 710, and 130 mPa・s, respectively. On the other hand, the viscosities of samples containing Fig. 2 Time-course of the viscosity of O/W emulsion samples containing DSAC or NaCl. Plots repre- sent viscosity of samples containing (●) 0 wt% DSAC; (▲), 0.02 wt%; (■), 0.05 wt%; (◆), 0.07 wt%; and (×), 0.10 wt% DSAC. The stars (*) represent the viscosity of the sample con- taining 1.0 wt% NaCl. M. Uyama, K. Ikuta, T. Teshigawara et al. J. Oleo Sci. 62, (1) 9-16 (2013) 12 0.07 and 0.1 wt% DSAC increased from 3960 and 2530 mPa・s at 1 day to 4130 and 2900 mPa・s at 30 days post- preparation, respectively, indicating that DSAC was able not only to suppress spontaneous viscosity decreases but also to increase the viscosity of the samples in a dose-de- pendent manner. The minimum concentration of DSAC for obtaining the suppression effect was 0.05 wt%, which was quite lower than those of salts. This result indicated that the systems containing 0.07 and 0.10 wt% DSAC were in condensed states, because van der Waals attractions became more dominant than electrostatic repulsions. Therefore, the optimal concentration of DSAC in this system was 0.05 wt%. On the other hand, the viscosities of sample containing 1.0 wt% NaCl were found to be 4050 mPa・s at 1 day and 3770 mPa・s at 30 days after preparation, and yielding a de- crease in the sample viscosities of 280 mPa・s, over 30 days. This result indicated that 0.05 wt% DSAC suppressd the spontaneous viscosity decrease more than 1.0 wt% NaCl. 3.2 Effect of C22TAC on the viscosity of O/W emulsions C22TAC has a single straight alkyl chain and is water soluble(>50℃), in contrast to DSAC. Yet, C22TAC is also a cationic surfactant that was expected to form an ionic complex with SMT. Figure 3 shows the results of the viscosity change upon addition of C22TAC. Spontaneous viscosity decrease was slightly suppressed only in the sample containing 0.100 wt% C22TAC, indicating that a larger amount of C22TAC than DSAC was required to suppress the spontaneous de- crease in viscosity. It may be possible to include C22TAC in an α-gel that consists of water, higher alcohols, and SMT but probably a large portion of C22TAC exists as micelles in the system12, 15). 3.3 Mechanism for the improvement in the viscosity sta- bility of O/W emulsions by addition of DSAC 3.3.1 Phase behavior and interlamellar distance SAXS measurements were performed on O/W emulsion samples with or without DSAC(Fig. 4). The samples were the same samples used in the viscosity measurement ex- periments in Fig. 2. Samples were ultracentrifuged before SAXS measurement to condense the α-gel, because the α-gel concentration was low and resulted in insufficiently Fig. 4 SAXS patterns of ultracentrifuged O/W emul- sion samples containing DSAC having pos- sible interlamellar distances of structures and a sample of hydrate crystal of higher alcohol. The samples were the same samples used in the vis- cosity measurement experiments (Fig. 2). Pat- tern (a) shows a sample containing 0 wt%; (b), 0.02 wt%; (c), 0.05 wt%; (d), 0.07 wt%; and (e), 0.10 wt% DSAC. Pattern (f) shows a sample of the hydrate crystal of the higher alcohol. Down- ward arrow indicates the peak originating from the hydrated crystal of the higher alcohol. Fig. 3 Time-course of the viscosity of O/W emulsion samples containing C22TAC. Plots represent viscosity of samples containing (●) 0 wt% C22TAC; (▲), 0.045 wt%; (■), 0.063 wt%; (◆), 0.085 wt%; and (×), 0.100 wt% C22TAC. The viscosity stability of O/W emulsion containing α -gel through an ionic-complex system J. Oleo Sci. 62, (1) 9-16 (2013) 13 intense signals. A diffraction pattern derived from a lamel- lar structure was observed for all samples. Generally, the addition of electrolytes, such as NaCl, to this sort of emul- sion system reportedly allows the hydrophilic groups of surfactants to dehydrate, resulting in the shrinkage of the interlamellar distance of the lamellar structures1, 16, 17). Al- though DSAC is not a salt, shrinkage of the interlamellar distance was observed in a dose-dependent manner. The interlamellar distances of samples containing 0, 0.02, 0.05, 0.07, and 0.10 wt% DSAC were 23, 22, 21, 21, and 19 nm, respectively. Generally, oppositely charged surfactants form an ion complex, allowing the shrinkage of the interla- mellar distance18, 19). However, when DSAC was added to the system at more than0.10 wt%, a peak different from that of a lamellar structure was observed(the arrow in Fig. 4(e), q=1.07 nm-1). The peak was speculated to originate from a hydrate crystal of a higher alcohol(Figs. 4(e) and (f)). However, a peak shape change was not observed clearly in the wide-angle upon the addition of DSAC, prob- ably because the intensity was weak(data not shown). 3.3.2 DSC Measurements To confirm the inclusion of DSAC in the α-gel, DSC mea- surements of the samples were performed20-23). The DSC data for the samples used in Fig. 2 are shown in Fig. 5. Single endothermic peaks were observed in the samples containing 0-0.05 wt% DSAC. Upon increasing DSAC from 0.05 to 0.10 wt%, the peaks moved toward lower tem- peratures, and other peaks appeared in the lower tempera- ture region(~59℃ and ~61℃). An endothermic peak that appeared in this region was probably derived from the melting of the higher alcohol hydrate crystal that was ex- cluded from the α-gel, rather than the melting of the DSAC hydrate crystal, because(1)the possible electrostatic and hydrophobic interactions between SMT and DSAC were very strong, impeding the independent precipitation of DSAC, and(2)the melting point of the hydrate crystal (Krafft point)of DSAC is known to be 37℃5). To prepare an O/W emulsion formula having excellent viscosity stability and a single α-gel structure, the ratio of SMT and DSAC was very important, and our findings indi- cated an optimal ratio of DSAC to SMT of approximately 4 to 1(25 wt%). This ratio does not change dramatically, even when converted into a molar ratio, because the mo- lecular weight of SMT and DSAC are 427.62 and 585.60, respectively. 3.3.3 Cryo-SEM observations Figure 6 shows the cryo-SEM photographs of the control O/W emulsion sample(Fig. 6(A)), a sample containing 1.0 wt% NaCl(Fig. 6(B)), a sample containing 0.05 wt% DSAC(Fig. 6(C)), and a sample containing 0.10 wt% C22TAC(Fig. 6(D))10-14), 24, 25). All samples were observed seven days after preparation. To prevent samples from be- coming difficult to freeze or easy to melt, humectants were removed from the basic formula. Konno reported that after the addition of 0.5 wt% NaCl to an O/W emulsion sample, no layer structures were observed1). In this study, stratified vesicle structures having 3 or 4 layers around emulsion particles were observed in the control(Fig. 6(A)). Fig. 5 DSC thermograms of O/W emulsion samples containing DSAC. The samples were the same samples used in the viscosity measurement ex- periments (Fig. 2). Line (a) shows the thermo- gram of the sample containing 0wt%; (b), 0.02 wt%; (c), 0.05 wt%; (d), 0.07 wt%; and (e), 0.10 wt% DSAC. Fig. 6 �Cryo-SEM photographs of O/W emulsion samples containing SMT. The magnifications of photographs were 500, and cryo-SEM observa- tion was performed at –70 – –90 ℃. Photograph (A) is the control sample; (B), sample contain- ing 1.0 wt% NaCl; (C), sample containing 0.05 wt% DSAC; (D), sample containing 0.10 wt% C22TAC. All samples were observed 7 days af- ter the preparation. The arrows in photograph (C) and (D) indicate plate-like structures. M. Uyama, K. Ikuta, T. Teshigawara et al. J. Oleo Sci. 62, (1) 9-16 (2013) 14 However, the addition of 1.0 wt% NaCl gave a slightly stratified vesicle structure(Fig. 6(B)). The interlamellar distance was compressed by the addition of NaCl, and the stratified vesicle structure disappeared in cryo-SEM. On the other hand, in the system containing DSAC, no strati- fied vesicle structure was observed completely, but rather, a plate-like structure was observed(arrows in Fig. 6(C)). Yamagata et al. studied the effects of temperature on the development of the internal structure of the cetyltrimeth- ylammonium chloride/cetyl alcohol/ water system13). Using cryo-SEM, they discussed the system’s internal structure using the terms lamellar structure(plate-like lamellar structure in this report)and multilamellar vesicles. The cause of the improvement of the viscosity stability of the O/W emulsion sample upon addition of DSAC was thought to be due to this plate-like structure. In the case of C22TAC, a plate-like structure was also observed, as in the case of DSAC, but the structure was sparse and caves were notably large(Fig. 6(D)). As illustrated in Fig. 7, electrolytes such as NaCl might be distributed according to the Boltzmann distribution from the surface of the α-gel to bulk water26-28), conse- quently, a high concentration of salt was necessary to sta- bilize the viscosity of the system. On the other hand, DSAC might be included in the α-gel, interacting with SMT di- rectly, and therefore, it was speculated that a smaller quantity of DSAC than that of salt would improve the vis- cosity stability. Unlike salt, which attenuated electrostatic repulsion and reduced the interlamellar distance, DSAC was able to neutralize the charge of SMT directly in the α-gel, resulting in a change in the α-gel microstructure. Figure 8 shows the schematic illustration of a possible mechanism explaining DSAC effect. After being added to an emulsion system, distearyl dimethyl ammonium(DSA) ion was incorporated into the α-gel through the hydropho- bic interaction of its alkyl chains with SMT, forming an ion complex with SMT through an electrostatic interaction. Then, entropy(ΔS)was increased by release of the sodium ion(the counter cation for SMT)from the surface of the α-gel to bulk water, resulting in a decrease in the Gibbs Free Energy(ΔG=ΔH-TΔS). Therefore, this process was speculated to be spontaneous and entropy-driven29-32). Al- though there was an entropic decrease upon incorporation of the DSA ion in the α-gel, a favorable change in Gibbs energy might be observed due the strong, unfavorable hy- drophobic interaction of DSA ion with bulk water. In addi- tion, the entropy of the chloride ion(the counter anion for DSA ion)increased when the DSA ion formed an ion complex with SMT. Therefore, being included in the α-gel, DSAC was speculated to be in a favorable energy balance state. Hydration and dehydration might also significantly affect the entropy(ΔS)of the system31). The incorporation of DSAC in the α-gel allowed the small sodium counterion of SMT to be exchanged for a bulky DSA ion, and this re- placement was thought to allow the microstructure of the α-gel to assume a plate-like lamellar structure instead of the curved structure formed in a stratified vesicle. This mi- crostructure change was speculated to contribute to the improvement of the viscosity stability and the increase of the storage modulus value upon addition of DSAC. Because the friction between stratified vesicles produced viscosity without DSAC, the inter-vesicle contact areas were small, and the structure collapsed easily when shear stress was applied to the system. On the other hand, with DSAC, the structure became difficult to collapse even under a high shear stress, because the friction between plate-like struc- tures was strong due to the large contact areas. Fig. 7 �Schematic illustration of the micro layer struc- ture of an α-gel in O/W emulsion samples. Illustration shows differences in the working mechanism between NaCl (A) and DSAC (B) for contributing to the formation of the structure. Fig. 8 �Schematic illustration of microstructural change of an α-gel in an O/W emulsion induced by DSAC. The viscosity stability of O/W emulsion containing α -gel through an ionic-complex system J. Oleo Sci. 62, (1) 9-16 (2013) 15 4 Conclusions In this report, DSAC was used instead of salts to solve the problem of the viscosity stability of O/W emulsions containing SMT. A small amount of DSAC improved the viscosity stability and more effectively than salts. The mechanism of the stabilization by DSAC was speculated to differ from that of salts. References 1) Konno, Y. 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