Shampoo and Conditioner Science, Robert Y ... - Allured Books
Shampoo and Conditioner Science, Robert Y ... - Allured Books
Shampoo and Conditioner Science, Robert Y ... - Allured Books
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Practical Modern Hair <strong>Science</strong><br />
Chapter 3<br />
www.<strong>Allured</strong>books.com<br />
<strong>Shampoo</strong> <strong>and</strong><br />
<strong>Conditioner</strong> <strong>Science</strong><br />
<strong>Robert</strong> Y. Lochhead<br />
University of Southern Mississippi<br />
<strong>Shampoo</strong>s <strong>and</strong> conditioners are the highest volume of products<br />
sold in personal care. In this chapter, we will consider the science<br />
that underpins the functioning of these product types. The principal<br />
function of shampoos is to cleanse the hair. However, since the<br />
introduction of two-in-one shampoos in the 1970s, it has not<br />
been sufficient for a shampoo to merely cleanse the hair. Modern<br />
shampoos should at least cleanse, condition, make the hair easier<br />
to style, <strong>and</strong> fragrance the hair with a pleasant, lingering smell.<br />
Modern conditioners should lower the friction between hair fibers to<br />
allow easier grooming <strong>and</strong> alignment of the hair fibers while leaving<br />
them glossy <strong>and</strong> avoiding lankness.<br />
The science of shampoos <strong>and</strong> conditioners is still evolving <strong>and</strong><br />
in addition to describing fundamentals, this chapter attempts<br />
to take the reader to the frontiers of research in shampoo <strong>and</strong><br />
conditioner science.<br />
Introduction<br />
Located within the hair follicle is a sebaceous gl<strong>and</strong> that<br />
continuously excretes an oily material, known as sebum, onto<br />
the hair <strong>and</strong> scalp. This substance consists of compounds such as<br />
fatty acids, hydrocarbons, <strong>and</strong> triglycerides, <strong>and</strong> serves as nature’s<br />
conditioning treatment—providing lubrication <strong>and</strong> surface<br />
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hydrophobicity, while potentially replenishing components of<br />
the cell membrane complex. However, after a day or so, buildup<br />
of this substance begins to result in a greasy look <strong>and</strong> feel.<br />
Moreover, particulate dust <strong>and</strong> dirt adhere readily to this sebum<br />
layer. In modern cultures such sebum-soiled hair is deemed to<br />
be undesirable, <strong>and</strong> therefore, it should be removed on a regular<br />
basis by a facile process. This process is, of course, shampooing.<br />
Sebum cannot be removed by water because oil <strong>and</strong> water do not<br />
mix. Aqueous shampoos can remove oily soil from the hair surface<br />
because shampoos contain surface-active agents, commonly<br />
abbreviated as surfactants. The molecules of these surface-active<br />
agents self-assemble into micelles, which are the agents that<br />
solubilize oily soils.<br />
To underst<strong>and</strong> how surfactants work, it is necessary to consider<br />
the exact process that leads to oil <strong>and</strong> water being incompatible.<br />
There are two different possibilities for substances to be insoluble<br />
in water. In one case, substances have stronger intermolecular<br />
cohesion than water. This is why substances like s<strong>and</strong>, clay, <strong>and</strong><br />
glass are insoluble in water; the molecules of s<strong>and</strong> attract each<br />
other more strongly than the molecules of water <strong>and</strong> this attraction<br />
leads to the s<strong>and</strong> being insoluble. This reason for the insolubility is<br />
exactly opposite to the reasons for the insolubility of hydrophobic<br />
substances such as oils. The intermolecular forces between the oil<br />
molecules are weaker than the intermolecular bonds between water<br />
molecules <strong>and</strong> the oils are expelled from water. This expulsion arises<br />
largely from entropy <strong>and</strong> the effect has been coined hydrophobic<br />
interaction. 1,2 From the time of the Phoenicians, it has been known<br />
that oil spreads to calm troubled waters. This effect arises from the<br />
fact that the spread oil has a lower surface tension than the water. At<br />
this point it is appropriate to consider the effect known as surface<br />
tension. Molecules in the bulk of liquids are attracted on all sides<br />
by their neighboring molecules. However, molecules at the surface<br />
are subjected to imbalanced forces because they are attracted by the<br />
underlying liquid molecules, but there is essentially no interaction<br />
with the vapor/gas molecules on the other side of the liquid/vapor<br />
76
Chapter 3<br />
boundary. This imbalance leads to a two-dimensional force at the<br />
surface, namely surface tension. The surface tension is numerically<br />
equal to the surface free energy. 3 The magnitude of surface tension<br />
directly correlates with the strength of the intermolecular forces.<br />
Water has hydrogen bonds, dipole-dipole interaction, <strong>and</strong> dispersion<br />
forces between its molecules, <strong>and</strong> as a consequence the surface<br />
tension of water is rather high—72 mN/meter at room temperature.<br />
On the other h<strong>and</strong>, only dispersion forces are present between the<br />
molecules of alkanes. As a consequence, the surface tension of<br />
alkanes is relatively low—ranging 20–30 mN/meter.<br />
Surfactants comprise molecules that contain two parts: a<br />
hydrophobic segment that is expelled by water <strong>and</strong> a hydrophilic<br />
segment that interacts strongly with water. Such molecules are said<br />
to be amphipathic (amphi meaning “dual” <strong>and</strong> pathic from the<br />
same root as pathos which can be interpreted as “suffering”). Thus,<br />
a surfactant molecule “suffers” both oil <strong>and</strong> water. This dual nature<br />
confers interesting properties on surfactants in aqueous solution.<br />
At very low concentrations, the surfactant is expelled to the surface,<br />
a process called adsorption. This adsorption causes the surfactant<br />
concentration at the surface to be much higher than the surfactant<br />
concentration in the bulk of the solution. At extremely low<br />
concentrations, when the surfactant molecules on the surface are<br />
located too far apart to effectively interact with each other, Traube’s<br />
Rule applies. Traube’s Rule states that the ratio of the surface<br />
concentration to the bulk concentration increases threefold for each<br />
CH 2 group of an alkyl chain. 4 This ratio is called the surface excess<br />
concentration. 5 According to this rule, soap with a dodecyl chain<br />
should have a surface excess concentration that is more than a halfmillion<br />
times its concentration in the bulk solution. At extremely<br />
low concentrations, the surfactant molecules on the surface act as a<br />
two-dimensional gas. As the concentration increases, the surfactant<br />
molecules begin to interact, but they are still mobile within the<br />
plane; they behave as two-dimensional liquids. At even higher<br />
concentrations, as the surfactant saturates the surface, the chains<br />
orient out of the surface plane <strong>and</strong> the chain-chain interactions<br />
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cause the surfactant to behave as a two-dimensional solid. Irving<br />
Langmuir was awarded the 1932 Nobel Prize in Chemistry for<br />
measuring this effect <strong>and</strong> explaining it on a molecular basis. 6<br />
When a surfactant adsorbs to saturate an aqueous surface, the<br />
surface is largely composed of the surfactant’s hydrophobic groups;<br />
this means that the surface essentially has low surface energy. As a<br />
consequence of the low surface energy, the surface area is easier to<br />
exp<strong>and</strong> to a film. This means that the system is easier to foam, since<br />
aqueous foams really consist of water films with entrapped gas. If<br />
the foam surface is structured by the adsorbed surfactant, then foam<br />
stability can be achieved. 7<br />
Surfactant Micelles<br />
Relatively large aggregates form within solution just beyond<br />
the concentration at which the surface becomes saturated with<br />
surfactant. 8 These aggregates are surfactant micelles in which<br />
the hydrophobes are segregated within the core of the aggregate<br />
<strong>and</strong> the hydrophilic groups are located on the surface where they<br />
interact strongly with water. 9 For a given system, micelles initially<br />
form at the precise concentration at which the driving force for<br />
surface adsorption becomes equal to the driving force for aggregate<br />
formation. This driving force is the chemical potential of the<br />
surfactant species. The lowest concentration at which micelles form<br />
is named the critical micelle concentration (CMC). The aggregates are<br />
large; for example, micelles of sodium dodecyl sulfate at the CMC<br />
contain about 100 molecules <strong>and</strong> the thickness of the head group<br />
layer is about 0.4 nm. 10<br />
Surfactant micelles have liquid centers. They effectively solubilize<br />
hydrophobic substances only when the temperature of the system is<br />
above the Krafft point. Krafft found this phenomenon in 1895, <strong>and</strong><br />
68 years later Shinoda explained that the Krafft point corresponds to<br />
the melting point of the hydrated solid surfactant. 11<br />
Micelles have different shapes. The simplest shape is the<br />
spherical micelle that was postulated by Hartley in 1936. The<br />
shape of a micelle can be explained on the basis of the principle<br />
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Chapter 3<br />
of opposing forces (see Figure 1). Two or three amphipathic<br />
molecules alone cannot form a stable micelle because micellization<br />
is essentially a cooperative process that requires the participation<br />
of many amphipathic molecules bound together by hydrophobic<br />
interaction. However, if hydrophobic interaction accounted solely<br />
for the formation of micelles, then the association would continue<br />
until phase separation occurred, as in oil separating from water.<br />
Therefore, there must be a force that opposes the hydrophobic<br />
association <strong>and</strong> controls the size of the micelles. This force is the<br />
repulsion between the head groups that could arise from ion-ion<br />
repulsion <strong>and</strong>/or hydration of the head groups. 12 Theoretically,<br />
the repulsive surface terms are difficult to h<strong>and</strong>le from a<br />
thermodynamic perspective but the presence of micelles has been<br />
validated experimentally.<br />
Figure 1. The shape of a surfactant micelle is determined by<br />
the balance between the mutual repulsion between hydrophilic<br />
groups at the micelle surface <strong>and</strong> the cohesion due to hydrophobic<br />
interaction. This has been dubbed the principle of opposing forces.<br />
If micelle structure was determined solely by thermodynamics,<br />
spherical micelles would always be favored over other shapes.<br />
However, real micelles are not restricted to a spherical shape;<br />
spherical structures account for only a small minority of micelles.<br />
The shapes of surfactant molecules <strong>and</strong> the way they can be packed<br />
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also plays an important role in determining micelle shape. Although<br />
thermodynamics <strong>and</strong> packing geometries are inextricably linked,<br />
by considering the limits of possible packing arrangements we can<br />
obtain insight into the shapes of micelles <strong>and</strong> the transformation<br />
from one shape to another as physical <strong>and</strong> chemical conditions<br />
are changed. In this context, the many shapes of micelles, arising<br />
from the principle of opposing forces, can be appreciated by<br />
considering Packing Factor Theory (Figure 2). 13 First, consider a<br />
spherical micelle. In this instance the micelle radius, R, the volume<br />
of the hydrophobic core, v, <strong>and</strong> the surface area of the amphipathic<br />
molecule at the hydrophobe/water interface, a, are related by:<br />
80<br />
Eq. 1<br />
The radius of a micelle, R, cannot exceed the fully extended<br />
length, l, of the hydrophobe chain of the surfactant molecule. This<br />
gives the critical condition for the formation of spherical micelles:<br />
Eq. 2<br />
Figure 2. The packing factor of a surfactant molecule is the volume of<br />
the tail group divided by the volume of the cylinder subtended by the<br />
head group to the length of the tail group.
Chapter 3<br />
The fraction, v/al, is known as the packing factor (Figure 3).<br />
When the packing factor has a value of 1/3, the surfactant molecule<br />
can be approximated by a conical shape <strong>and</strong> the molecules pack into<br />
a sphere (Figure 4).<br />
Figure 3. Surfactant molecules with a packing factor of 1/3 have a<br />
shape that can be approximated by a cone.<br />
Figure 4. These conical molecules pack naturally into a sphere.<br />
When the packing factor has a value of ½, the micelles become<br />
cylinders (Figure 5), <strong>and</strong> when the packing factor has a value of<br />
1, the surfactant molecules pack as planar bilayers in a so-called<br />
lamellar structure (Figure 6).<br />
For ionic surfactants, the area per head group can be decreased<br />
by adding soluble salt to the solution to lessen the ionic repulsion<br />
between the head groups. (Salt also enhances the hydrophobic<br />
interaction. 14 ) Increase in salt <strong>and</strong>/or surfactant concentration causes<br />
spherical micelles to transition to rods <strong>and</strong> then to long worm-like<br />
micelles. 15 The wormlike micelles behave like polymers in solution. 16<br />
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These micelles also form branched as well as linear structures, <strong>and</strong><br />
above a certain concentration (the critical overlap concentration, C*)<br />
they entangle just like polymer molecules 17 <strong>and</strong> display viscoelastic<br />
rheology. 18-20 This behavior is depicted in Figure 7 as it was<br />
explained by C<strong>and</strong>au in 1993. 21 An increase in salt concentration<br />
causes spherical or elliptical micelles to transition into rods, then<br />
to worms then to branched worms. As the surfactant concentration<br />
increases, the micelles form entangled networks. Consumers desire<br />
82<br />
Figure 5. Surfactant molecules with a packing factor<br />
of ½ pack naturally into cylinders.<br />
Figure 6. Surfactant molecules with a packing factor of 1 pack<br />
naturally into bilayer planes.
Chapter 3<br />
thicker shampoos, in part because they are easier to apply, but<br />
also for aesthetic reasons; a thicker formula is generally perceived<br />
as being more-luxurious. The desired rheology is achieved from<br />
formulations that contain worm-like micelles.<br />
Figure 7. Ionic surfactant micelles change shape as a function of ionic<br />
strength <strong>and</strong> surfactant concentration.<br />
Wormlike micelles do, however, show “non-polymeric” behavior<br />
at certain shear rates when the shear stress becomes independent of<br />
the shear rate <strong>and</strong> the relaxation time becomes monodisperse. 22 This<br />
behavior has been explained on the basis that the entanglements<br />
can be broken <strong>and</strong> reformed as the rod-like micelles disassemble<br />
<strong>and</strong> then reassemble upon passing through each other. 23-24 Systems<br />
like these have been dubbed “phantom networks” by Cates to<br />
signify that one micelle flows through another just as we imagine a<br />
phantom would pass through a wall. The phantom network behavior<br />
may explain why shampoos can show viscoelasticity without the<br />
“stringiness” observed in entangled polymer solutions.<br />
At higher concentrations, the rod-like micelles mutually repel,<br />
<strong>and</strong> this favors alignment into a nematic phase. At still higher<br />
concentrations the aligned rods pack in a hexagonal array to form<br />
hexagonal phase liquid crystals (Figure 8). The hexagonal phase<br />
has the properties of a clear ringing gel that is birefringent in<br />
polarized light.<br />
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As the surfactant concentration is increased further <strong>and</strong>/or<br />
dissolved salt concentration is increased, the surface of the micelles<br />
becomes less curved until the large planar aggregates of the lamellar<br />
phase are formed (Figure 9). Modern shampoos consist essentially<br />
of entangled worm-like micelles <strong>and</strong> conditioners are usually in the<br />
form of the lamellar phase.<br />
In summary, shampoo <strong>and</strong> conditioner formulation essentially<br />
involves the preparation of surfactant mixtures that possess the<br />
84<br />
Figure 8. Rod-like micelles can pack into hexagonal liquid crystal phase.<br />
Figure 9. Increase in surfactant concentration causes micelles to transition from<br />
spheres to rods to hexagonal phase to lamellar phase to inverse hexagonal<br />
phase to inverse micelles.
Chapter 3<br />
aforementioned structures, while also being esthetically pleasing.<br />
The hair care formulation scientist has an ever-increasing variety<br />
of surfactants available in the formulation toolbox, <strong>and</strong> so these<br />
structures can be obtained via a wide range of concoctions.<br />
Nonetheless, attaining such stable structures is not a trivial task,<br />
due to the presence <strong>and</strong> interactions of so many ingredients in<br />
the typical formulation. Therefore, with historical knowledge<br />
involving many established ingredients already being relatively<br />
well-understood, it is a brave formulation chemist that opts to cut a<br />
new pathway. Moreover, it is also probably prudent to arrive at these<br />
structures in the most cost-effective manner. For these reasons, it<br />
is imperative to underst<strong>and</strong> how the surfactant structure, together<br />
with interactions with other molecules alters the nature of the<br />
aggregate structures.<br />
Oily Soil Removal Mechanisms<br />
The principal function of a shampoo is to remove oily soil from<br />
the hair. There are several principal detergency mechanisms for<br />
removing oily soils: “roll-up,” 25 emulsification, penetration, <strong>and</strong><br />
solubilization.<br />
In the roll-up mechanism, the detergent solution causes a steady<br />
increase in the contact angle of the oil at the oil/fiber/aqueous<br />
interface (Figure 10).<br />
Figure 10. In this mechanism the oil contact angle at the oil/water/fiber interface<br />
steadily increases until it “rolls up” <strong>and</strong> floats off of the solid surface. This<br />
mechanism was first reported by N. K. Adams.<br />
The oil droplet is rolled up on the surface, <strong>and</strong> when the contact<br />
angle reaches 180 degrees, the interfacial force that is holding it to<br />
the surface is overcome by the wetting tension of the oil <strong>and</strong> aqueous<br />
solutions on the fiber surface. Roll-up is favored by fibers that are<br />
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oleophobic <strong>and</strong> hydrophilic. 26 The removal of oily soil by detergent<br />
compositions is not necessarily predictable due to the wide variation<br />
of the surface properties of hair that arise from prior treatments<br />
<strong>and</strong> weathering. Moreover, the transport of the detergent solution<br />
to the fiber surface can occur by three different routes: (i) along the<br />
fiber surface, (ii) through a previously applied permeable surface<br />
treatment, or (iii) through the body of the fibers (Figure 11).<br />
Roll-up of oily drops on fibers occurs when the contact angle<br />
exceeds a critical value <strong>and</strong> this causes the oily drop to adopt an<br />
unstable axially asymmetric attachment on one side of the fiber. 27<br />
The rate of roll up depends also on the viscosity of the oily soil,<br />
<strong>and</strong> mechanical action is often necessary to dislodge viscous oily<br />
soils from the fiber surface. In some cases, the oil forms a viscous<br />
emulsion when contacted by the detergent composition, <strong>and</strong> the<br />
resulting viscous soil can be difficult to remove from the fiber.<br />
“Perfect” hair is covered by a covalently attached monolayer of<br />
18-methyleicanosoic acid (18-MEA), which confers hydrophobicity<br />
on the hair. Modern grooming techniques <strong>and</strong> weathering removes<br />
this layer of 18-MEA. 28 Removal of the layer of 18-MEA results<br />
in hair becoming macroscopically hydrophilic. 29 The roll-up<br />
mechanism, therefore, should be expected to become more<br />
prominent on damaged rather than pristine hair.<br />
Initially if the fiber is completely coated in oil, or if the fiber itself<br />
is hydrophobic, the detersive solution cannot easily reach the oil/fiber<br />
interface, <strong>and</strong> the soil will be removed by emulsification (Figure 12).<br />
86<br />
Figure 11. In the roll-up mechanism, the detergent solution can be transported<br />
to the fiber/oil interface along the fiber surface, through a permeable coating<br />
on the fiber, or through the fiber itself.
Emulsification is favored by low oil/water interfacial tension that<br />
allows the oil surface to be exp<strong>and</strong>ed into an emulsion droplet. 30<br />
Figure 12. Emulsification can remove the soil if the interfacial tension between the<br />
oily soil <strong>and</strong> the surfactant solution is low.<br />
Chapter 3<br />
In the penetration mechanism of oily soil removal, surfactantrich<br />
phases penetrate the oil at the interface. This results in an<br />
interfacial liquid crystalline phase that swells <strong>and</strong> is broken off<br />
to reveal a fresh soil interface, <strong>and</strong> then the process is repeated<br />
again <strong>and</strong> again. 31 The penetration mechanism occurs with polar<br />
soils <strong>and</strong>/or phase separated coacervates of nonionic surfactants<br />
above the lower critical solution temperature (LCST). Spontaneous<br />
emulsification, in the absence of detersive surfactant, has been<br />
observed for non-polar-polar soil mixtures like sebum. 32 The<br />
penetration mechanism can occur with anionic surfactants that<br />
form coacervate phases in the presence of calcium salts. 33<br />
Solubilization is the process of incorporating a water-insoluble<br />
hydrophobic substance in the internal hydrophobic core of micelles.<br />
Direct solubilization can occur in the presence of an excess of<br />
surfactant micelles with respect to oily soil. 34 The rate of exchange<br />
of surfactant molecules between micelles is important because the<br />
micelles must re-assemble around the soil to solubilize the soil by<br />
encompassing it inside the micelle.<br />
Foam/Lather<br />
One essential attribute of a shampoo is its ability to produce<br />
a rich lather or foam. The important elements of a foam are<br />
the lamellae <strong>and</strong> the Plateau border. The micrograph in Figure<br />
13 depicts these structural features of a foam. The lamellae are<br />
stabilized by surfactants adsorbed at the air-water interface.<br />
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Foams lose stability by two main mechanisms: draining of the<br />
liquid <strong>and</strong> puncture of the lamellae. The foam lamellae are the<br />
junctions between two foam bubble cells <strong>and</strong> the plateau border is<br />
situated at the triple-cell junction. The Laplace pressure in the liquid<br />
components of the foam is inversely proportional to the curvature<br />
of the interface. The higher curvature of the plateau border results<br />
in a lower pressure in that region <strong>and</strong> this causes the liquid in the<br />
foam to drain preferentially from the lamellae to the plateau borders.<br />
Based upon this reasoning, it can be understood that drainage can<br />
be hindered in two ways, namely by blockage of the lamellae or by<br />
blockage at the plateau border. About two decades ago, Des Goddard<br />
carefully measured the drainage from foam films <strong>and</strong> deduced<br />
that polyquaternium-24 adsorbed across the lamellar interface <strong>and</strong><br />
hindered the drainage of liquid from the foam. In addition, about<br />
thirty years ago, Stig Friberg concluded that certain liquid crystals<br />
blocked the plateau border region <strong>and</strong> delayed foam drainage <strong>and</strong><br />
conferred longer-term stability on surfactant foams. In the case of<br />
cationic polymers, hindered drainage of the lamellar liquid could be<br />
caused by adsorption of the cationic entities at the lamellar surface<br />
with the nonionic <strong>and</strong>/or anionic blocks in the lamellar liquid.<br />
88<br />
Figure 13. Micrograph showing surfactant foam structure.
Chapter 3<br />
Alternatively, formation of phase-separated coacervates between the<br />
cationic polymer <strong>and</strong> the anionic surfactant could result in blockage<br />
of the plateau border. Of course, if the interaction of the cationic<br />
polymer was strong enough to form “inverse micellar” structures,<br />
then there would be a possibility that the phase-separated particles<br />
could cause a local reversal of the curvature in the lamellae <strong>and</strong> this<br />
in turn would result in breakage of the lamellar film <strong>and</strong> subsequent<br />
foam destabilization. This type of foam destabilization mechanism<br />
has been extensively reported by Peter Garrett.<br />
Solid Foams<br />
Cationic conditioners<br />
that would normally be<br />
incompatible with liquid<br />
shampoos can be delivered<br />
from solid foams. Solid<br />
foams also make it possible<br />
to have one scent for the<br />
solid <strong>and</strong> then to allow<br />
a different fragrance to<br />
bloom when the solid is<br />
wetted by water. 35 The<br />
porous solids are made by<br />
mixing the surfactants,<br />
glycerin as a plasticizer,<br />
<strong>and</strong> water in the presence<br />
of a water-soluble polymer.<br />
Figure 14 shows a solid<br />
foam in which poly(vinyl<br />
alcohol) is the water-soluble<br />
polymer. After a heating Figure 14. Micrograph showing solid foam structure<br />
<strong>and</strong> mixing cycle, the (reproduced from US Patent Application 20110195098).<br />
porous solid is formed by<br />
aeration.<br />
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The Anatomy of a <strong>Shampoo</strong> Formulation<br />
<strong>Shampoo</strong>s consist essentially of water, a primary surfactant,<br />
one or more co-surfactants, <strong>and</strong> soluble salt. Other ingredients<br />
are added for fragrance, preservation, conditioning, <strong>and</strong> styling<br />
attributes. Cleaning is achieved mainly by the primary surfactant,<br />
which is often an anionic surfactant that would adopt a conical<br />
shape if it was present in water alone. The co-surfactant is usually<br />
a nonionic or zwitterionic surfactant with a relatively small head<br />
group surface area. This molecular shape allows the co-surfactant<br />
to serve two roles: (i) it packs between the molecules of the primary<br />
surfactant to reduce the curvature <strong>and</strong> to promote the formation<br />
of worm-like micelles with their high viscosity <strong>and</strong> luxurious<br />
rheology; <strong>and</strong> (ii) it packs between the primary surfactant in the<br />
lamellae of the foam to provide good lather that is easily removed<br />
by rinsing. Salt enhances the function of the co-surfactant by<br />
“damping down” the ionic repulsion between primary surfactant<br />
head groups <strong>and</strong> promoting the formation of wormlike micelles. If<br />
excess salt or co-surfactant is added, shampoo compositions can<br />
separate into phases that contain co-existing micelles <strong>and</strong> liquid<br />
crystals. These phase-separated compositions often exhibit thin<br />
viscosities <strong>and</strong> haziness.<br />
The Primary Surfactant<br />
The lauryl sulfates have been the primary surfactant workhorses<br />
of the shampoo industry for decades. The sulfate head groups bear<br />
an anionic charge when dissolved in water. The long chain alkyl<br />
tail group has an average length of 12 carbon atoms. It is important<br />
to underst<strong>and</strong> that this is an average chain length; commercial<br />
lauryl sulfates have a distribution of chain length from as short as<br />
8 carbons to as long as 18 carbons. This chain length distribution<br />
changes from supplier to supplier <strong>and</strong> it also changes depending<br />
on the source of raw materials. Formulators should be aware that<br />
changes in the chain length distribution of the surfactants can lead<br />
to subtle changes in the properties of the shampoo.<br />
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Chapter 3<br />
During the 1970s, triethanolamine lauryl sulfate was preferred<br />
as a primary surfactant due to its excellent cleaning properties <strong>and</strong><br />
luxurious flash foaming capability. However, it was replaced by<br />
laureth sulfates for two reasons: the concern over the formation of<br />
nitrosamines from secondary amine components <strong>and</strong> the reduced<br />
eye irritation exhibited by the laureth sulfates.<br />
Over the last two decades, the primary surfactants of most<br />
shampoos have been sodium laureth sulfate, ammonium lauryl<br />
sulfate, <strong>and</strong> sodium lauryl sulfate.<br />
The co-surfactant–often called the foam booster–has most<br />
prominently been selected from two types of materials: alkylamide<br />
MEA <strong>and</strong> alkylamidobetaines. Modern shampoos contain primarily<br />
betaines as co-surfactants.<br />
Enhancing Mildness<br />
Isethionates are surfactants noted for their mildness to skin,<br />
<strong>and</strong> for at least three decades, they have been the basis of non-soap<br />
detergent bars such as Dove (Unilever). They have been making<br />
inroads into shampoos based upon mildness claims. Moreover,<br />
Unilever researchers discovered that the mildness can be enhanced<br />
even further by including mildness benefit agents that can be<br />
flocculated by cationic polymers present in the formulation <strong>and</strong><br />
delivered as flocs upon dilution of the formulation. 36 The preferred<br />
benefit agent in this case is petrolatum; the cationic polymers<br />
are well known polymers like polyquaternium-10 <strong>and</strong> guar<br />
hydroxypropyltrimonium chloride. This could form the basis of<br />
shampoos that are mild to the skin.<br />
Certain non-cross-linked linear acrylic copolymers can lower<br />
the irritation potential of surfactants <strong>and</strong> provide products that are<br />
clear <strong>and</strong> highly foaming. 37 The preferred polymers interact with the<br />
surfactant <strong>and</strong> effectively shifting the CMC to higher concentrations,<br />
while lowering the critical aggregation concentration—the latter<br />
being the concentration at which the surfactant selectively interacts<br />
with the polymer rather than adsorbing at the liquid surface<br />
(Figure 15). It is postulated that free surfactant molecules <strong>and</strong><br />
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free surfactant micelles are responsible for irritation of skin <strong>and</strong><br />
eyes <strong>and</strong> that binding of the surfactant to the polymer effectively<br />
reduces the concentration of free micelles. A measure of mildness<br />
is the delta CMC, which is defined as the difference between the<br />
CMC of the surfactant alone <strong>and</strong> the higher CMC of the surfactant<br />
in the presence of the polymer. Larger values of delta CMC for a<br />
particular surfactant are apparently correlated with lowering of the<br />
irritation potential. The delta CMC provides a measure that is useful<br />
for selecting, comparing, <strong>and</strong> optimizing polymers that reduce the<br />
irritation potential of selected surfactant systems. Carbomer <strong>and</strong><br />
acrylates copolymer have been identified as polymers that exhibit a<br />
satisfactory delta CMC.<br />
Conditioning <strong>Shampoo</strong>s<br />
Today’s conditioning shampoos are expected to confer wet-hair<br />
attributes of hair softness <strong>and</strong> ease of wet-combing, <strong>and</strong> the dry hair<br />
attributes of good cleansing efficacy, long-lasting moisturized feel,<br />
<strong>and</strong> manageability with no greasy feel.<br />
The origin of conditioning shampoos can be traced to the<br />
balsam shampoos of the 1960s followed by the introduction of<br />
polyquaternium-10 by Des Goddard 38,39 in the 1970s <strong>and</strong> 1980s in<br />
which he introduced the concept of polymer-surfactant complex<br />
coacervates that phase-separate <strong>and</strong> deposit on the hair during<br />
92<br />
Figure 15. Plot of surface tension vs. surfactant concentration for<br />
surfactant alone <strong>and</strong> for surfactant in the presence of polymer. The<br />
difference in the CMC induced by the presence of the polymer is<br />
claimed to be related to the effect of the polymer in enhancing the<br />
mildness of a shampoo.
Chapter 3<br />
rinsing. The first two-in-one shampoos depended on a complex<br />
coacervate being formed between anionic surfactant <strong>and</strong> the<br />
cationic hydroxyethylcellulose, polyquaternium-10. This complex<br />
was solubilized in excess surfactant <strong>and</strong> it phase-separated as a<br />
coacervate liquid phase upon dilution during the rinsing cycle.<br />
Later guarhydroxypropyltrimonium chloride was introduced as<br />
an alternative cationic polymer that worked on the same principle<br />
as polyquaternium-10. These two polymer types continue to<br />
dominate the compositions of conditioning shampoos. 40 Guar is a<br />
galactomannan <strong>and</strong> it is interesting that, in recent years, recently<br />
a new cationic galactomannan hydrocolloid, cationic cassia,<br />
has been claimed to confer conditioning shampoo benefits. 41,42<br />
Polygalactomannans consist of a polymannan backbone with<br />
galactose side groups. In guar gum, there is a pendant galactose<br />
side group for every two mannan backbone units. These galactose<br />
groups sterically hinder the substitutable C-6 hydroxyl unit,<br />
limiting the extent of possible cationic substitution on guar gum.<br />
In cassia, however, there is less steric hindrance of the C-6 hydroxyl<br />
group <strong>and</strong>, consequently, higher degrees of cationic substitution<br />
are possible with cassia (60% for cassia relative to 30% for guar).<br />
Cationic cassia can be used as a conditioning polymer in shampoos<br />
<strong>and</strong> conditioners to impart cleansing, wet-detangling, drydetangling,<br />
<strong>and</strong> manageability.<br />
The mechanism of conditioning shampoos depends upon the<br />
formation of polymer/surfactant coacervates that phase-separate<br />
during rinsing (Figure 16). Polyions in aqueous solution are<br />
surrounded by an electrical double-layer of counterions, <strong>and</strong> the<br />
location of the counterions with respect to the polyion is determined<br />
by a balance between chemical potential <strong>and</strong> electrochemical<br />
potential, called the Donnan Equilibrium. Surfactant ions contain a<br />
large hydrophobic group that makes them intrinsically less soluble<br />
in water than inorganic ions such as chloride or bromide. When<br />
surfactant ions interact with an oppositely charged polyion, they<br />
bind strongly <strong>and</strong> displace the water-soluble inorganic ions from<br />
the polyion; that is, they ion-exchange. Once the surfactant ions<br />
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bind, hydrophobic interaction between the hydrophobic surfactant<br />
tails causes the polymer-surfactant complex to phase separate at<br />
concentrations below the surfactant critical micelle concentration.<br />
Above the CMC, the surfactant concentration is sufficiently high<br />
to form micelles or hemi-micelles along the polyion chain, <strong>and</strong> the<br />
polyion/surfactant complex is solubilized. Conditioning shampoos<br />
are formulated within the range of surfactant concentrations that<br />
correspond to this solubilized regime. When these shampoos are<br />
diluted to a concentration that is in the vicinity of the CMC, then the<br />
complex coacervate phase-separates. The separated phase is deposited<br />
on the hair during rinsing, <strong>and</strong> it can co-deposit other additives such<br />
as silicone conditioning agents or anti-d<strong>and</strong>ruff agents. Maximum<br />
coacervate deposition occurs at precise ratios of cationic polymer to<br />
anionic surfactant, but the optimum ratio for coacervation might not<br />
coincide with the best ratios for cleaning <strong>and</strong> foaming.<br />
Cationic guar has been a known additive for 2-in-1 shampoos<br />
for more than three decades. However, it has now been shown that<br />
improved post-shampoo detangling times are achieved by including<br />
a small degree of hydrophobic substitution in the cationic guar<br />
derivatives. 43<br />
94<br />
Figure 16. A schematic phase diagram that explains the mechanism of coacervate<br />
formation in 2-in-1 shampoos.
Chapter 3<br />
Synthetic copolymers of acrylamide <strong>and</strong> a Triquat monomer are<br />
postulated to provide improved deposition on hair <strong>and</strong> improved<br />
conditioning performance with respect to wet combing. 44<br />
Silicones have become st<strong>and</strong>ard ingredients in many conditioning<br />
shampoos for the smooth, silky hair feel that they confer. Silicones<br />
were introduced to shampoos as 2-in-1 conditioning agents in<br />
the 1980s. The introduction of silicones needed to overcome two<br />
substantial deficiencies: (i) silicones are well known defoamers, <strong>and</strong><br />
(ii) silicones are incompatible with typical shampoo compositions<br />
<strong>and</strong> they tend to separate due to their low specific gravity. Initial<br />
attempts to stably suspend the silicone included the use of water–<br />
miscible saccharides such as corn syrup. 45 Later products comprised<br />
xanthan gum in the shampoo as a suspending agent <strong>and</strong> acceptable<br />
foaming attributes were conferred on the shampoos by formulating<br />
with relatively high levels of alkyl sulfates as the primary surfactant,<br />
cocamide MEA as the co-surfactant, <strong>and</strong> ethylene glycol distearate<br />
as a surfactant structuring agent. 46 In the actual application, there<br />
is a technical contradiction involved in the deposition of silicone<br />
conditioning components from a detersive, cleansing system;<br />
the detersive system is designed to remove oil, grease, dirt, <strong>and</strong><br />
particulate material from the hair, <strong>and</strong> the conditioning agent<br />
has to be deposited on that same hair in one process. As a result,<br />
large excess amounts of silicone are used to ensure deposition,<br />
<strong>and</strong> one consequence of this is that large amounts of the expensive<br />
conditioning silicone can be rinsed away rather than deposited on<br />
the hair. Cationic polymer/anionic surfactant coacervates enhance<br />
the deposition of silicones on hair <strong>and</strong>, consequently, increase the<br />
efficiency of conditioning shampoos. 47,48<br />
Volatile cyclic siloxanes confer the desired silky initial feel, but<br />
these materials are difficult to formulate in consistent homogenous<br />
formulations, They tend to spread uncontrollably over the hair <strong>and</strong><br />
skin. 49 This effect can be controlled with polymeric silicone gels<br />
formed in volatile silicones to provide both the initial silky feel <strong>and</strong> a<br />
high viscosity <strong>and</strong> smooth feel when dry. 50 Branched molecules with<br />
a silicone core <strong>and</strong> hydrocarbon branches, or networks formed from<br />
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these branched units, have been disclosed as suitable for improving<br />
sensory feel, while minimizing phase separation <strong>and</strong> conferring<br />
good shampoo removability. 51<br />
<strong>Shampoo</strong>s containing more than one cationic conditioning<br />
polymer <strong>and</strong> a quaternary silicone give more uniform deposition on<br />
hair than st<strong>and</strong>ard shampoos based on polyquaternium-10 as the<br />
sole conditioning polymer. Thus, a conditioning polymer “cocktail”<br />
comprising poly(acrylamide-co-acrylamidopropyltrimonium)<br />
chloride, guar hydroxypropyltrimonium chloride, <strong>and</strong> silicone<br />
quaternium-13 give uniform deposition on hair. In this instance, the<br />
claims are based upon multiple testing <strong>and</strong> analysis: 52<br />
96<br />
• A multiple attribute consumer assessment study that measured<br />
the attributes of cleanliness, wet-comb, dry-comb, hair softness,<br />
lather amount, <strong>and</strong> creaminess.<br />
• Secondary Ion Mass spectrometry to detect silicon on the hair<br />
surface. This method revealed that a st<strong>and</strong>ard commercial<br />
shampoo concentrated silicone on the cuticle edges of the hair,<br />
whereas the patent application shampoo “distributed silicone<br />
more evenly.”<br />
• X-ray photoelectron spectroscopy (XPS) to measure the thickness<br />
of the silicone polymer layer on hair from Si:C:O ratios. This<br />
method revealed that the commercial shampoo deposited<br />
a significant amount of silicone, <strong>and</strong> the patent application<br />
shampoo deposited only one or two molecular layers.<br />
• Instron ring compression as a measure of combability.<br />
Complex coacervates can also be formed from mixtures of<br />
cationic <strong>and</strong> anionic polymers. This could be the underlying<br />
mechanism in shampoos that include an anionic <strong>and</strong> cationic<br />
polymer that provide sleekness <strong>and</strong> gloss. 53<br />
Two drawbacks of silicones are that they often destabilize foam<br />
<strong>and</strong> the final compositions are hazy due to light scattered from<br />
the suspended silicone droplets. Initially, silicone copolyols were<br />
introduced to overcome the insolubility of silicones in shampoo<br />
compositions, but this drastically reduced the amount of silicone
Chapter 3<br />
deposited onto hair <strong>and</strong> compromised conditioning performance.<br />
Clear, silicone-containing conditioning shampoos have been<br />
formulated by adding trideceth-2 carboxamide MEA to reduce the<br />
silicone droplet size. 54 Transparent conditioning shampoos can be<br />
formulated by incorporating the silicone as microemulsified droplets,<br />
but the small microemulsion droplets tend to be rinsed away rather<br />
than deposited during the shampooing process. Moreover, coalescence<br />
of the droplets can lead to loss of transparency in the product during<br />
storage. Attempts have been made to overcome these challenges by<br />
including silicone emulsions with high internal viscosities, typically<br />
greater than 100,000 centistokes, but the high internal phase viscosity<br />
gives deposited silicone that is can be difficult to remove <strong>and</strong> this<br />
causes buildup with each consecutive shampooing. Such buildup<br />
usually reduces the volume of the desired hair style <strong>and</strong> causes<br />
“droop” <strong>and</strong> flatness. Fortunately, shampoo compositions providing<br />
superior conditioning to hair while also providing excellent storage<br />
stability <strong>and</strong> optionally high optical transparency or translucency can<br />
be obtained by combining low viscosity microemulsified silicone oil<br />
with cationic cellulose polymers <strong>and</strong> cationic guar polymers having<br />
molecular weights of at least about 800,000 <strong>and</strong> charge densities<br />
of at least about 0.1 meq/g. 55 Conditioning shampoo formulations<br />
that include a silicone microemulsion in a conditioning shampoo<br />
containing guar hydroxypropyltrimonium chloride <strong>and</strong> an anionic<br />
detersive surfactant have also been reported to be clear. 56,57 If pregelatinized<br />
starch, such as hydroxypropyl distarch phosphate, is<br />
included with polyquaternium-10, transparent conditioning shampoos<br />
can be obtained. 58<br />
Another way to minimize buildup is to treat the hair with waterin-water<br />
emulsions that can be prepared by including cationic<br />
polymers with soluble salts in surfactant compositions. 59 These waterin-water<br />
emulsions provide conditioning benefits with good spread<br />
of the conditioning phase on the hair <strong>and</strong> less chance of buildup.<br />
The living free radical polymerization techniques that have<br />
emerged in the last decade offer the prospect of preparing precise<br />
polymers with unprecedented accuracy in molecular structure <strong>and</strong><br />
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variety of chemical types. 60 This technique has enabled synthesis of<br />
a wide diversity of block <strong>and</strong> graft polymers that were previously<br />
unattainable. Such polymers offer the prospect of conferring<br />
conflicting properties within one molecule, which in turn can lead<br />
to improved compatibilities in the same system while maintaining<br />
stability. These conflicting properties could possibly be achieved<br />
by blending different polymers, but different polymers do not mix<br />
readily at the molecular level <strong>and</strong> phase separation may result. 61<br />
Block, graft, <strong>and</strong> gradient copolymers serve to compatibilize such<br />
compositions <strong>and</strong> gradient polymers have been proposed for this<br />
purpose. Block copolymers comprising polycationic blocks <strong>and</strong><br />
nonionic blocks for surface deposition 62 <strong>and</strong> for improved foam<br />
retention 63 have been claimed, which are desired to deposit on<br />
hair in order to modify the chemical properties of the surface<br />
for protection or compatibility; to modify hair’s hydrophobic or<br />
hydrophilic surface properties; or to modify feel or mechanical<br />
properties of the substrate from two-in-one products. The polymers<br />
disclosed are block copolymers of polyTMAEAMS (methylsulfate<br />
[2-(acryloyloxy)ethyl]-trimethylammonium) g/mole) <strong>and</strong><br />
polyacrylamide.<br />
Conditioning shampoos can also be formulated to function<br />
by mechanisms other than cationic polymer-induced complex<br />
coacervation, such as:<br />
98<br />
• Conditioning can be achieved by including chain extended<br />
silicones in an anionic surfactant-based shampoo. Specific<br />
examples of useful silicones include silicone emulsions<br />
containing divinyldimethicone/dimethicone copolymer. 64<br />
• <strong>Shampoo</strong>s containing polyalkylene oxide alkyl ether particles<br />
give larger coacervate cohesive flocs (20–500 microns) that<br />
resist shear <strong>and</strong> confer superior deposition efficiency on hair for<br />
good wet conditioning. 65<br />
• Conditioning shampoos containing a polyester formed from<br />
adipic acid <strong>and</strong> pentaerythritol provides conditioning for dry<br />
hair (possibly from reduced hair friction), with no greasy feel. 66
• Inclusion of polybutene is thought to increase the deposition<br />
of silicone conditioners <strong>and</strong> provide improved conditioning<br />
benefits, such as wet <strong>and</strong> dry feel <strong>and</strong> combing.<br />
Chapter 3<br />
O’ Lenick disclosed a unique class of alkyl polyglucoside quaternary<br />
surfactants possessing all the multifunctional attributes of cleansing,<br />
conditioning, <strong>and</strong> self-preserving. 67 This could have the potential of<br />
greatly simplifying the formulation of multifunctional shampoos.<br />
A conditioning shampoo that contains a conditioning gel<br />
phase in the form of vesicles is described by Unilever researchers. 68<br />
Cationic conditioners are usually incompatible with anionic<br />
shampoos, <strong>and</strong> consequently conditioners based upon cationic<br />
surfactants are usually applied as separate post-shampoo products.<br />
The Unilever researchers prepared a conditioning gel phase by<br />
combining a small amount of water, fatty alcohol, a long-chain<br />
secondary anionic surfactant (sodium cetostearyl sulfate), <strong>and</strong><br />
a long-chain cationic surfactant (behenyltrimethylammonium<br />
chloride), <strong>and</strong> subjecting the mixture to high shear to form a stable<br />
vesicular gel phase. Prolonged shear causes the lamellar gel phase to<br />
roll-up into an array of multilamellar vesicles (Figure 17). The gel<br />
phase was added to a dilute primary surfactant solution (sodium<br />
laureth sulfate) to form a conditioning shampoo that conferred good<br />
wet smoothness on hair.<br />
Figure 17. Lamellar gel subjected to high shear rolls up into vesicles of gel phase that can<br />
be used for conditioning. (Figure reproduced from US Patent Application 20110243870).<br />
Deposition of Particles on Hair to Confer Styling Benefits<br />
Whereas conditioning shampoos are formulated to reduce hair<br />
inter-fiber friction, some consumers need an increase in friction in<br />
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order to achieve styling benefits. Factors that influence hair body<br />
<strong>and</strong> fullness include hair diameter, hair fiber-to-fiber interactions,<br />
natural configuration (kinky, straight, wavy), bending stiffness,<br />
hair density, <strong>and</strong> hair length. Increases in friction can be achieved<br />
by depositing particles such as titanium dioxide, clay, pearlescent<br />
mica, or silica on the hair surface. Particles can be deposited for<br />
more purposes than merely increasing inter-fiber friction, e.g., for<br />
conferring color, for slip (spherical particles are best for this), <strong>and</strong><br />
for conditioning (hollow silica, hollow polymer particles). Hollow<br />
particles can be included in shampoo to increase hair volume. 69,70<br />
Deposited hollow particles that can increase fiber-fiber interaction<br />
include complexes of gas-encapsulated microspheres (such as silica<br />
modified ethylene/methacrylate copolymer microspheres <strong>and</strong><br />
talc-modified ethylene/methacrylate copolymer microspheres);<br />
polyesters; <strong>and</strong> inorganic hollow particles.<br />
It has already been noted that cationic guar enhances<br />
the deposition of conditioning agents. In a like manner, this<br />
macromolecule enhances the deposition of particles on hair. 71<br />
Silicones <strong>and</strong> particulates can be deposited simultaneously. Thus,<br />
enhanced deposition of particulate actives, such as zinc pyrithione<br />
(shown on cadaver skin treated in a Franz diffusion cell), has<br />
been reported 72 from shampoos comprising a water-soluble<br />
silicone (such as silicone quaternium-13, cetyltriethylammonium<br />
dimethicone copolyol phthalate, or stearalkonium dimethicone<br />
copolyol phthalate), a cationic conditioning agent (such as<br />
acrylamidopropyltrimonium chloride/acrylamide copolymer, or<br />
guar hydroxypropyltrimonium chloride), a cleansing detergent,<br />
<strong>and</strong> suspending agents (such as carbomer, hydroxyethylcellulose,<br />
<strong>and</strong> PVM/MA decadiene cross-polymer) to insure homogeneous<br />
distribution of the insoluble active.<br />
Hydrophobic modification of cationic hydroxyethylcellulose<br />
is claimed to endow better efficacy. Thus, polyquaternium-24,<br />
a hydrophobically modified cationic hydroxyethylcellulose, is<br />
also disclosed as being a preferable thickener for zinc-depositing<br />
compositions. 73<br />
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Chapter 3<br />
It has been discovered that responsive particles, with two<br />
contrasting polymers adsorbed to the particle core, 74 can adsorb<br />
to the hydrophilic hair surface <strong>and</strong> render it hydrophobic, thereby<br />
conferring conditioning attributes to the hair. For example, grafting<br />
of aminopropyl-terminated dimethicone <strong>and</strong> polyethylenimine<br />
on titanium dioxide particles produces responsive particles.<br />
These particles form stable dispersions in water <strong>and</strong> aqueous<br />
solutions because they are sterically stabilized by expansion of<br />
the polyethylenimine into the aqueous medium. However, when<br />
they are deposited on hair <strong>and</strong> dried, the polyethylenimine layer<br />
collapses <strong>and</strong> the dimethicone layer exp<strong>and</strong>s to render the surface<br />
hydrophobic. The usefulness of these responsive particles is<br />
demonstrated by including them in typical conditioning shampoo<br />
<strong>and</strong> conditioner formulations. In the case of the shampoo, inclusion<br />
of the responsive particles results in a higher water contact angle on<br />
the treated hair <strong>and</strong> the conditioner with particles causes an increase<br />
in the hydrophobicity of the hair. On the other h<strong>and</strong>, shampoos<br />
containing ethoxylated alcohols have been found to enhance the<br />
deposition of large particle silicones (5–2000 microns), <strong>and</strong> in this<br />
case it is claimed that cationic polymer is not required. 75<br />
Two-phase Systems for Visual Attributes:<br />
There is esthetic appeal to products that exist as separate phases<br />
in the bottle but which mix during application to provide added<br />
benefit, such as moisturizing or conditioning, by interaction of the<br />
components of the two phases. The most obvious way to formulate<br />
such products is to use the immiscibility of water <strong>and</strong> oil in<br />
formulations that are shaken prior to use to produce a metastable<br />
emulsion. However, when a surfactant is included in the system such<br />
a visually attractive phase separation can be mixed into an emulsion<br />
due to shear in manufacturing <strong>and</strong> packing operations. There are<br />
known de-emulsifiers, which are widely used in the oil industry,<br />
but these demulsifiers also tend be defoamers that compromise the<br />
lather of shampoos. Neutralized polyacrylate can be added as a nonemulsifying<br />
foam stabilizer to yield phase-separated compositions<br />
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that resist the production difficulties to make phase-separated<br />
shampoos that form temporary emulsions upon shaking <strong>and</strong> foam<br />
during use. 76 A two-phase shampoo system can also be formed by<br />
mixing polar lipophilic shampoo components with non-polar lotion<br />
constituents such as mineral oil. 77<br />
Under appropriate conditions, phase-separated systems can be<br />
prepared from polymer solutions or micellar surfactant solutions. If<br />
two distinct aqueous phases are desired in a composition, one must<br />
take into consideration the thermodynamics of coexisting phases<br />
<strong>and</strong> the driving force for such phase separation that comes directly<br />
from the chemical thermodynamics of the system. This is especially<br />
the case for systems that contain polymers or micelles because the<br />
configurational entropy is reduced as molecules are assembled<br />
into polymers or aggregated into micelles, <strong>and</strong> mixing can become<br />
unfavorable. If the free energy of mixing is insufficient to maintain<br />
uniform dispersion, spontaneous phase separation will occur.<br />
Phase separation becomes more likely as the micellar aggregates or<br />
polymers get bigger. The addition of salts to ionic surfactant micellar<br />
systems causes a reduction in the surfactant intra-micellar headgroup<br />
interaction, <strong>and</strong> often an increase in hydrophobic interaction.<br />
This can cause a pronounced increase in micelle size <strong>and</strong> consequent<br />
phase separation into a surfactant-rich phase <strong>and</strong> a surfactant-poor<br />
phase. This approach has been adopted by adding mineral salt to<br />
induce two distinct layers, 78 <strong>and</strong> by adding the detergent builder,<br />
sodium hexametaphosphate, to cause phase separation. In this case,<br />
a thickener is required <strong>and</strong> the system comprises a surfactant, a<br />
thickener, a polyalkylene glycol, <strong>and</strong> a non-chelating mineral salt.<br />
The system spontaneously separates into two layers.<br />
A multiphase composition comprising surfactant, betaines,<br />
co-surfactant (such as an alkyl ether carboxylate, an acylglutamate;<br />
or an acylisethionate), <strong>and</strong> an appropriate concentration of salt<br />
forms a stable multiphase system that becomes temporarily<br />
uniformly dispensed upon agitation. 79<br />
Multiphase cleansing products have been introduced that go<br />
beyond mere phase separation insofar as the separate phases can be<br />
102
Chapter 3<br />
arranged to form visually attractive patterns inside a transparent<br />
container. 80 The phases comprise an aqueous cleansing phase, a<br />
benefit phase, <strong>and</strong> a non-lathering structured phase. The aqueous<br />
cleansing phase must be capable of adequate lathering. 81 The<br />
benefit phase comprises hydrophobic component(s) or conditioning<br />
components. These products are designed at the nanoscale: the<br />
structured phase can be a lamellar-phase formed by adding sufficient<br />
electrolytes to an appropriate surfactant. Structurants such as<br />
starch have been used in personal cleansing formulations, 82 but the<br />
surfactant itself can be structured. Thus, lamellar phase does exhibit<br />
a yield stress that is sufficient to stably suspend the benefit phase.<br />
However, the yield stress of lamellar phase can vary dramatically<br />
with temperature, <strong>and</strong>, in order to overcome this problem, the<br />
cleansing <strong>and</strong> benefit phases were density matched by adding<br />
microsphere particles to reduce the specific gravity of the cleansing<br />
phase or high density particles to the benefit phase to increase its<br />
specific gravity. In this context, it is interesting that it has been<br />
recently disclosed that controlled phase separation <strong>and</strong> deposition<br />
could conceivably be achieved by loading the desired “active” phase<br />
into hollow-sphere polymer carriers, 83 <strong>and</strong> again it has been reported<br />
that certain cationic guar derivatives can enhance the deposition of<br />
conditioning additives <strong>and</strong>/or solid particle benefit agents. 84<br />
Lamellar phase, especially if it is made from unneutralized longchain<br />
fatty acids, usually displays poor dispersion kinetics <strong>and</strong> a<br />
lather that is slow to build up or slow to rinse off. However, it has<br />
surprisingly been discovered that swollen lamellar gels can exhibit<br />
both high product viscosity <strong>and</strong> fast dispersion kinetics if they are<br />
formed by combining C16-24 normal monoalkylsulfosuccinates<br />
with n-alkyl fatty acids of approximately the same chain length. 85 In<br />
this context, Guth claimed a composition that was low-irritating to<br />
skin <strong>and</strong> eyes but synergistic in foaming by combining zwitterionic<br />
surfactants-fatty acid complexes with sulfosuccinates, 86 <strong>and</strong> Pratley<br />
reported synergistic foaming <strong>and</strong> mildness from compositions<br />
with combinations of specific long-chain surfactants with specific<br />
short-chain surfactants <strong>and</strong> these included fatty acids <strong>and</strong><br />
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alkylsulfosuccinnates. 87 Amine-oxide copolymers have also been<br />
claimed as suds-enhancers. 88<br />
Concentrated Cleansing Compositions<br />
Most personal care products are based on aqueous compositions<br />
but concentrated cleansing/personal care compositions offer<br />
the benefits of lower transportation costs, less packaging, <strong>and</strong><br />
convenience for air travelers. If these products are solid, they<br />
must possess sufficient strength to resist the forces of extrusion<br />
during manufacture, shipping, <strong>and</strong> h<strong>and</strong>ling, but should disperse<br />
rapidly in water during use. Porous solid particles that are<br />
strengthened by hydrophilic polymers such as poly(vinyl alcohol)<br />
or hydroxylpropylmethylcellulose have been shown to exhibit the<br />
desired properties. 89 Control of interconnectivity of the porous<br />
network is vital to this application <strong>and</strong> is described by a star volume,<br />
a structure model index, or a percent open cell content.<br />
<strong>Conditioner</strong>s<br />
Conditioning of damaged hair is commonly achieved by<br />
treatment with aqueous formulations that contain fatty alcohols,<br />
cationic surfactants, <strong>and</strong> (optionally) silicones. These components<br />
are considered to adsorb in a hydrophilic head-down, hydrophobic<br />
tail-up conformation that confers hydrophobicity on the damaged<br />
hydrophilic hair surface. The role of a conditioner is to confer sleek<br />
lubricity <strong>and</strong> gloss on the hair. <strong>Conditioner</strong>s are usually based<br />
upon cationic surfactants, <strong>and</strong> they most often are in the form<br />
of emulsions of multi-lamellar vesicles. <strong>Conditioner</strong>s comprise a<br />
primary cationic surfactant, a co-surfactant, <strong>and</strong> dissolved salt.<br />
Conventional conditioner formulations are based upon lamellar<br />
gels or emulsions using either ceto-stearyl trimethylammonium<br />
chloride or distearyldimethylammonium chloride as cationic<br />
surfactants <strong>and</strong> ceto-stearyl alcohol as co-surfactant.<br />
As a primary surfactant, the vast majority of conventional<br />
conditioners contain either cetyl/stearyl trimethylammonium<br />
104
Chapter 3<br />
chloride or distearyldimethylammonium chloride. The secondary<br />
surfactant is most often ceto-stearyl alcohol.<br />
Cetyl/stearyl trimethylammonium chloride is a conical molecule<br />
according to Ninham’s packing factor. On the other h<strong>and</strong>, cetostearyl<br />
alcohol consists of molecules with the approximate shape<br />
of an inverted conical molecule. The role of ceto-stearyl alcohol<br />
in a conditioner is to pack between the cationic cones <strong>and</strong> convert<br />
the micellar structure into a lamellar structure with just enough<br />
curvature to form a vesicle. Distearyldimethylammonium chloride<br />
spontaneously forms vesicles in the presence of salt, <strong>and</strong> therefore<br />
there is usually no need to add a long-chain alcohol to conditioner<br />
formulations based upon distearyldimonium chloride.<br />
These products form a gel matrix that confers conditioning<br />
benefits from rinse-off products. They have been the basis of hair<br />
conditioners for the last half-century, <strong>and</strong> they provide excellent<br />
detangling, wet- <strong>and</strong> dry-combing, <strong>and</strong> good anti-static properties,<br />
but they can leave the hair feeing lank <strong>and</strong> greasy, <strong>and</strong> they give a<br />
long-lasting slippery feel during rinsing which is perceived by some<br />
consumers as an unclean hair feel.<br />
Pristine hair, as it emerges from the scalp, is coated with a<br />
covalently bound layer of 18-methyleicanosoic acid (18-MEA). 90-92<br />
It has been shown that the layer of 18–MEA confers hydrophobicity<br />
<strong>and</strong> boundary lubrication on hair fibers. 93 This discovery has<br />
influenced researchers to seek to include 18-MEA in conditioner<br />
formulations. 94 Pristine hair shows a measured advancing water<br />
contact angle that is high, but a receding contact angle that is<br />
likewise high, <strong>and</strong> the hair tends to align. However, once the<br />
18-MEA layer is removed, the receding contact angle is low (even<br />
approaching 0 degrees), <strong>and</strong> this corresponds to cuticle edges that<br />
are essentially hydrophilic. This means that the major differences<br />
for such 18-MEA deficient hair would be in its drying behavior<br />
rather than its wetting characteristics. The low receding contact<br />
angle would tend to “pin” the water to the hair. This would<br />
lead to longer drying times during which the capillary forces<br />
imparted by the water between hair fibers would tend to cause<br />
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the hair fibers to clump <strong>and</strong> entangle. The inclusion of 18-MEA<br />
in prototype conditioner formulations that were based upon<br />
stearoxypropylmethylamine, dimethylaminopropylstearamide, <strong>and</strong><br />
stearyltrimethylammonium chloride left the conditioner on the<br />
hair surface, <strong>and</strong> this in turn yielded improvements in inter-fiber<br />
lubricity due to improved deposition at the hair surface.<br />
Conditioning Polymers in Hair Straightening Applications<br />
The two main processes for relaxing or straightening hair are<br />
hair treatment with a reducing agent to cleave the disulphide cystine<br />
bridges (S—S) within the hair structure, <strong>and</strong> treatment of stretched<br />
hair with a strong alkaline agent.<br />
Repeated relaxation treatments can cause significant hair damage,<br />
to both the cuticles <strong>and</strong> the cortex. The damage can be assessed by<br />
measuring the porosity of the hair, <strong>and</strong> the porosity of the keratin<br />
fibers can be measured by fixing 2-nitro-para-phenylenediamine<br />
at 0.25% in an ethanol/buffer mixture (10:90 volume ratio) at pH<br />
10 at 37°C for 2 minutes. Cationic <strong>and</strong> amphoteric polymers, such<br />
as polyquaternium-6, polyquaternium-7, <strong>and</strong> polyquaternium-39,<br />
added to hair relaxer formulations, mitigate this degradation of the<br />
hair structure. Also, the inclusion of high molecular-weight (>106<br />
g/mole) copolymers of acrylamide <strong>and</strong> diallyldimethylammonium<br />
chloride, acryloyloxytrimethylammoniumchloride, or<br />
acryloyloxyethyldimethylbenzylammonium chloride in the relaxing<br />
formula results in significant reduction in the hair structural<br />
damage caused by alkaline relaxation.<br />
Conditioning Polymers<br />
Cationic conditioning polymers are used to enhance the<br />
conditioning properties, especially to mitigate the effects of extreme<br />
processing that are experienced during hair-straightening. Cationic<br />
polymeric conditioners can improve wet combability <strong>and</strong> ameliorate<br />
electrostatic charging of the hair (manifested by flyaway).<br />
Many cationic polymers have been developed for the purpose<br />
of conferring conditioning properties on hair. In fact, there are<br />
106
Chapter 3<br />
now more than one hundred polyquaternium ingredients listed in<br />
the INCI dictionary, <strong>and</strong> this list is still exp<strong>and</strong>ing. The primary<br />
purpose of polyquaternium polymers is to confer good conditioning<br />
benefits. A non-exhaustive list of conditioning polymers is shown in<br />
Table 1.<br />
Table 1. Examples of cationic conditioning polymers<br />
Chitosan<br />
Cocodimonium hydroxypropyl hydrolyzed Collagen<br />
Cocodimonium hydroxypropyl hydrolyzed hair Keratin<br />
Cocodimonium hydroxypropyl hydrolyzed Keratin<br />
Cocodimonium hydroxypropyl hydrolyzed Wheat protein<br />
Cocodimonium hydroxypropyl Oxyethyl Cellulose<br />
Steardimonium hydroxyethyl Cellulose<br />
Stearyldimonium hydroxypropyl hydrolyzed Oxyethyl Cellulose<br />
Guar hydroxypropyltrimonium Chloride<br />
Starch hydroxypropyltrimonium Chloride<br />
Lauryldimonium hydroxypropyl hydrolyzed Collagen<br />
Lauryldimonium hydroxypropyl hydrolyzed Wheat protein<br />
Stearyldimonium hydroxypropyl hydrolyzed Wheat protein<br />
polyquaternium-4<br />
polyquaternium-10<br />
Cationic hydroxyethylcellulose<br />
polyquaternium-24<br />
hydrophobically modified cationic hydroxyethylcellulose<br />
poly(methacryloxyethyltrimethylammonium methosulfate)<br />
poly(N-methylvinylpyridinium chloride)<br />
Onamer M (polyquaternium-1), peI-1500 (poly(ethylenimine)<br />
polyquaternium-2<br />
polyquaternium-5-poly(acrylamide-methacryloxyethyltrimethylammonium<br />
ethosulfate)]<br />
polyquaternium-6 poly(dimethyldiallylammonium chloride)<br />
polyquaternium-7<br />
poly(acrylamide-co-dimethyldiallylammonium chloride)<br />
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Table 1. Examples of Cationic Conditioning Polymers (Cont.)<br />
polyquaternium-8<br />
polyquaternium-11<br />
108<br />
[poly-(N-vinyl-2-pyrrolidone-methacryloxyethyltrimethylammonium ethosulfate)]<br />
polyquaternium-16 [Co(vinyl pyrrolidone-vinyl methylimidazolinium chloride)<br />
polyquaternium-17<br />
polyquaternium-18<br />
polyquaternium-22<br />
poly(sodium acrylate – dimethyldiallyl ammonium chloride)<br />
polyquaternium-27<br />
polyquaternium-28<br />
polyvinylpyrolidone-methacrylamidopropyltrimethylammonium chloride)<br />
polyquaternium-31<br />
poly(N,N-dimethylaminopropylacrylate-N-acrylamidine-acrylamideacrylamidine-acrylic<br />
acid-acrylonitrile) ethosulfate<br />
polyquaternium-39<br />
poly(dimethyldiallylammonium chloride–sodium acrylate–acrylamide)<br />
polyquaternium-43<br />
poly(acrylamide-acrylamidopropyltrimoniumchloride-2-acrylamidopropyl<br />
sulfonate-DMapa)<br />
polyquaternium-44<br />
poly (vinyl pyrrolidone--imidazolinium methosulfate)<br />
polyquaternium-46<br />
poly (vinylcaprolactam-vinylpyrrolidone-imidazolinium methosulfate)<br />
polyquaternium-47<br />
poly (acrylic acid-methacrylamidopropyltrimethyl ammonium chloride–methyl<br />
acrylate)<br />
polyquaternium-53<br />
polyquaternium-55<br />
poly(vinylpyrrolidone-dimethylaminopropylmethacrylamide-lauryldimethylpropy<br />
lmethacrylamido ammonium chloride)<br />
pVp/Dimethylaminoethyl Methacrylate Copolymer<br />
Vp/DMapa acrylate Copolymer<br />
pVp/Dimethylaminoethylmethacrylate polycarbamyl<br />
polyglycol ester
Table 1. Examples of Cationic Conditioning Polymers (Cont.)<br />
pVp/Dimethiconylacrylate/polycarbamyl polyglycol ester<br />
Quaternium-80 (Diquaternary polydimethylsiloxane)<br />
poly(vinylpyrrolidone--dimethylamidopropylmethacrylamide)<br />
Vp/Vinyl Caprolactam/DMapa acrylates Copolymer<br />
amodimethicone<br />
peG-7 amodimethicone<br />
trimethylsiloxyamodimethicone<br />
Ionenes<br />
poly(adipic acid-dimethylaminohydroxypropyldiethylenetriamine)<br />
poly (adipic acid-epoxypropyldiethylenetriamine) (Delsette 101)<br />
Silicone Quaternium-8<br />
Silicone Quaternium-12<br />
Chapter 3<br />
Polyampholytes have been commercially available as<br />
conditioning polymers for a considerable time. A prominent<br />
example is polyquaternium-39, which is a copolymer of<br />
diallyldimethylammonium chloride, acrylamide, <strong>and</strong> acrylic acid.<br />
When this is polymerized in a single batch process, the mismatch<br />
in reactivity ratios between these monomers results in a lack of<br />
compositional uniformity. An improved version of this type of<br />
terpolymer of diallyldimethylammonium chloride, acrylamide, <strong>and</strong><br />
acrylic acid has been made by a monomer feed method for better<br />
control of molecular weight <strong>and</strong> composition. 95<br />
Copolymers comprising a diallylamine (typically diallyldimethyl<br />
ammonium chloride) <strong>and</strong> vinyllactam monomers (typically<br />
polyvinylpyrrolidone) are useful film-formers that confer<br />
conditioning properties such as good wet <strong>and</strong> dry combability, feel,<br />
volume, <strong>and</strong> h<strong>and</strong>leability. 96<br />
Silicone <strong>Conditioner</strong>s<br />
Silicone quaternaries have long been known as hair conditioning<br />
compounds.<br />
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A recent patent application from Evonik Goldschmidt is<br />
directed to silicone quats that confer conditioning with longer<br />
lasting conditioning through several shampoo cycles. The premise<br />
is that long-term substantivity to hair requires the conditioning<br />
agent to contain a string of cationic charges. This was achieved<br />
by Goldschmidt by polymerizing cationic monomers <strong>and</strong><br />
grafting them to silicone backbones. In general, water-soluble<br />
monomers polymerized in the presence of silicones yield a<br />
mixture of water-soluble polymers <strong>and</strong> unsubstituted silicones<br />
because the two ingredients are incompatible <strong>and</strong> attachment<br />
of the polymer chain to the silicone would require appropriate<br />
“coupling groups.” The Evonik researchers rose to the challenge<br />
by polymerizing the cationic monomers in the presence of<br />
silicone polyethers. The ether groups are compatible with the<br />
quat monomers, <strong>and</strong> they readily chain transfer to give graft<br />
copolymers. Once grafted, the copolymers are quaternized to<br />
confer permanent positive charges with enhanced substantivity<br />
to hair. The grafts are obtained by polymerizing the readily<br />
available monomers, dimethylaminoethylmethacrylate, or<br />
3-trimethylammoniopropyl-methacrylamide.<br />
Leave-on silicone conditioners specifically targeted to nonshampoo<br />
applications confer enhanced <strong>and</strong> relatively durable<br />
conditioning. These contain emulsified vinyl-terminated silicones<br />
applied in combination with a conventional cationic conditioner. A<br />
preferred product type is a mousse. These silicone block copolymers<br />
can achieve excellent conditioning at relatively high viscosities (100<br />
KPa/s-1).<br />
Improved conditioning that confers surprisingly reduced friction<br />
on hair can be achieved by including an aminosilicone in which the<br />
aminosilicone has a fairly large range of average particle sizes from<br />
about 5–50 microns. 97<br />
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