COSMETIC SCIENCE AND TECHNOLOGY: THEORETICAL PRINCIPLES AND APPLICATIONS K S AZUTAMI AKAMOTO R Y. L OBERT OCHHEAD H I. M OWARD AIBACH Y Y UJI AMASHITA Elsevier Radarweg29,POBox211,1000AEAmsterdam,Netherlands TheBoulevard,LangfordLane,Kidlington,OxfordOX51GB,UnitedKingdom 50HampshireStreet,5thFloor,Cambridge,MA02139,UnitedStates Copyright©2017ElsevierInc.Allrightsreserved. Nopartofthispublicationmaybereproducedortransmittedinanyformorbyanymeans,electronicormechanical, includingphotocopying,recording,oranyinformationstorageandretrievalsystem,withoutpermissioninwritingfrom thepublisher.Detailsonhowtoseekpermission,furtherinformationaboutthePublisher’spermissionspoliciesandour arrangementswithorganizationssuchastheCopyrightClearanceCenterandtheCopyrightLicensingAgency,canbe foundatourwebsite:www.elsevier.com/permissions. ThisbookandtheindividualcontributionscontainedinitareprotectedundercopyrightbythePublisher(otherthanas maybenotedherein). 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LibraryofCongressCataloging-in-PublicationData AcatalogrecordforthisbookisavailablefromtheLibraryofCongress BritishLibraryCataloguing-in-PublicationData AcataloguerecordforthisbookisavailablefromtheBritishLibrary ISBN:978-0-12-802005-0 ForinformationonallElsevierpublicationsvisitour websiteathttps://www.elsevier.com/books-and-journals Publisher:JohnFedor AcquisitionEditor:KostasKIMarinakis EditorialProjectManager:SarahWatson ProductionProjectManager:MariaBernard CoverDesigner:VictoriaPearsonEsser TypesetbyTNQBooksandJournals List of Contributors T.Abe TohokuUniversity,Sendai, Japan J.Kishimoto ShiseidoGlobalInnovationCenter,Yokohama, H.Ando OkayamaUniversity ofScience, Okayama, Japan Kanagawa,Japan M. Ardigo` San Gallicano Dermatological Institute, Rome, T.Kitano OHNO& PARTNERS,Tokyo,Japan Italy H. Kojima National Institute of Health Sciences (NIHS), E. Berardesca San Gallicano Dermatological Institute, Tokyo,Japan IRCCS,Rome,Italy Y.Konno KOSE´ Corporation, Tokyo,Japan H. Fukui FUKUI Professional Engineer Office, Yokohama, J. Koyama Shiseido Global Innovation Center, Yokohama, Japan Japan M.J.Garcı´a-Celma FacultyofPharmacyandFoodSciences, V.R. Leite-Silva Universidade Federal de Sa˜o Paulo, University of Barcelona (UB) and Biomedical Research UNIFESP-Diadema SP,Brasil Networking Center: Bioengineering, Biomaterials and B. Lindman Lund University,Lund,Sweden Nanomedicine(CIBER-BBN), Barcelona,Spain R.Y. Lochhead The University of Southern Mississipi, A. Ghofranian University of California, San Francisco, CA, Hattiesburg, MS, United States UnitedStates P.S. Lopes Universidade Federal de Sa˜o Paulo, UNIFESP- D.Gra¨bner University ofBayreuth,Bayreuth,Germany DiademaSP,Brasil J. Grice The University of Queensland, Woolloongabba, A.C.H.R. Machado Universidade Federal de Sa˜o Paulo, QLD,Australia UNIFESP-Diadema SP,Brasil F.Harada Lion Corporation, Odawara, Kanagawa,Japan H.I. Maibach University of California, San Francisco, CA, I.N.Haridass TheUniversityofQueensland,Woolloongabba, UnitedStates QLD,Australia H.Masaki TokyoUniversityofTechnology,Hachioji,Tokyo, M.Hatao ShiseidoGlobalInnovationCenter,Yokohama,Japan Japan I. Hatta Nagoya Industrial Science Research Institute, M.Masuda Consultant, Ninomiya,Kanagawa,Japan Nagoya,Japan M.Minamino BelleVienus Co.,Ltd., Osaka,Japan M.Hayase Kao Corporation, Odawara,Japan R.Miyahara ShiseidoGlobalInnovationCenter,Yokohama, S.Herman DiffusionLLC, Totowa,NJ, UnitedStates Japan T.Himeno KOSE´ Corporation, Tokyo,Japan M.Miyake Lion Corporation, Tokyo,Japan T.Hirao Chiba Instituteof Science, Choshi, Japan S. Nafisi Central Tehran Branch, IAU, Tehran, Iran; H.Hoffmann University ofBayreuth, Bayreuth,Germany UniversityofCalifornia,SanFrancisco,CA,UnitedStates J. Hosoi Shiseido Global Innovation Center, Yokohama, N.Naito KOSE´ Corporation, Tokyo,Japan Japan Y.Nakama KishiKasei Co.,Ltd, Kanagawa,Japan P. Huber ZHAW Zurich University of Applied Sciences, N.Nakamura KISHI KASEI CO.,LTD., Yokohama,Japan Wa¨denswil, Switzerland Y.Nakazawa ShiseidoGlobalInnovationCenter,Yokohama, O. Ifuku Maruzen Pharmaceuticals Co., Ltd., Fukuyama, Kanagawa,Japan Hiroshima, Japan J. Nikitakis Personal Care Products Council, Washington, S. Inoue Cosmetic Health Science, Gifu Pharmaceutical DC,UnitedStates University, Gifu,Japan Y. Nonomura Yamagata University Graduate School of T. Iwata Procter & Gamble, Singapore Innovation Center, ScienceandEngineering, Yonezawa, Japan Singapore,Singapore F.Nozaki LinbergCo.,Ltd.,Tokyo, Japan TJosephLin TJosephLinAssociates,PacificPalisades,CA, T. Nylander Lund University, Lund, Sweden; Mid Sweden UnitedStates University, Sundsvall, Sweden; Nanyang Technological F.Kanda ShiseidoGlobalInnovationCenter,Yokohama,Japan University,Singapore,Singapore K.Kikuchi DepartmentofDermatology,TohokuUniversity N. Oguchi-Fujiwara Shiseido Global Innovation Center, GraduateSchoolofMedicine, Sendai,Japan Yokohama,Japan ix x LISTOFCONTRIBUTORS E.Oshimura Ajinomoto Co., Inc.,Tokyo,Japan T. Suzuki CosmosTechnical CenterCo., Ltd.,Tokyo,Japan T.Ozawa SocietyofCosmeticChemistsofJapan,Yokohama, H.Tagami EmeritusprofessorofTohokuUniversity,Sendai, Japan Japan C.P. Raffier The University of Queensland, Woolloongabba, M.Takahashi TakahashiCosmeticConsulting,Tokyo,Japan QLD, Australia K. Tsujii Hokkaido University (retired),Wakayama,Japan M. Roberts The University of Queensland, Woolloongabba, Y. Uchida University of California, San Francisco, CA, QLD, Australia United States; Department of Veterans Affairs Medical C.M.Rocafort BASFCorporation,FlorhamPark,NJ,United Center,SanFrancisco,CA,UnitedStates; NorthernCalifornia States Institute for Research and Education, San Francisco, CA, T. Sakai Material Science Research Laboratories, Kao UnitedStates Corporation, Wakayama-shi, Wakayama, Japan K.Watanabe ShiseidoGlobalInnovationCenter,Yokohama, K. Sakamoto TokyoUniversity ofScience, Chiba,Japan Japan J. Sanzone Estee Lauder Companies, Inc., New York, NY, Y.Yamashita ChibaInstitute ofScience, Choshi, Japan UnitedStates J.Yang Beauty Hi-tech InnovationCo., Ltd.,Kobe,Japan C. Solans Institute of Advanced Chemistry of Catalonia, Spanish Council for Scientific Research (IQAC-CSIC) and Biomedical Research Networking Center: Bioengineering, Biomaterials and Nanomedicine (CIBER-BBN), Barcelona, Spain Biography Kazutami Sakamoto, PhD KazutamiSakamotoisaformerprofessoroftheFacultyofPharmacyatChibaInstituteofScienceandcurrentlya guest professor of the Department of Pure and Applied Chemistry, Faculty of Science and Technology, at Tokyo University of Science. He graduated from the master’s program of Applied Chemistry, School of Engineering at Tohoku University in 1971 after finishing an undergraduate program at the same university. He received his PhD from the Faculty of Science at Tohoku University in 1980. In 1971, Dr. Sakamoto joined the Central Research Lab- oratoriesofAjinomotoCo.,Inc.asaresearchchemistandspentmostofhisprofessionalcarrierwiththecompany until2003.DuringhistimewithAjinomoto,Dr.SakamotoworkedonthedevelopmentoftheAjinomoto’sfunctional chemical products especially cosmetic ingredients. He also conducted basic research in the area of colloid and interfacialchemistryandskinscience.In2003,heretiredfromAjinomotoandjoinedShiseidoResearchCenterasa Resident Special Technical Advisor, where he spent three years consulting on the creation and promotion of Shiseido’s new R&D projects. He then worked for Seiwa Kasei Co. LTD. as a director of R&D. Along with his industrial career, Dr. Sakamoto has been active in research and education at various universities including YokohamaNationalUniversity,ShinsyuUniversity,andTokyoUniversityofScienceasanadjunctprofessor.After retiringfrom industry in 2008,he has been expanding his academic activities. Dr. Sakamoto has done extensive research on the physicochemical properties of amino acidebased chiral mol- ecules, especially of their self-assembled conditions, since the late 1970s. His explorations of chiral self-assemblies includedmicelles,lyotropicliquidcrystals,whichwerepioneeringstudiesinthe1970s.Thediscoveryoflyotropic cholesteric liquid crystal formed by acylamino acid as a chiral surfactant is a good example of this work. His cu- riosityregardingthestructureandfunctionsofchiralassemblyledDr.Sakamototocreatechiralmesoporoussilica asasolidmatter,whichwastemplatedfromchirallyotropicliquidcrystalformedbyacylaminoacidasasoftmatter. His study “Self-organization of Amino AcideBased Chiral Surfactants: Evaluation of Organized Structures and Interactions with Biological System” received an award from the Japan Oil Chemists’ Society in 2005. In the past 10years,hehasactivelyparticipatedinmanyinternational conferencesasaninvitedspeaker.Dr.Sakamotowasa chairman of theDivision of Colloid and Surface Chemistry of the Chemical Society of Japan for 2007e08. Robert Y. Lochhead, PhD, FRSC A long-time leader in polymers for cosmetics, Dr. Lochhead is currently Professor and Director Emeritus of PolymerScienceattheUniversityofSouthernMississippi.HeservedasaprofessorattheSchoolofPolymersand HighPerformanceMaterialsattheUniversityofSouthernMississippi,andhewasdirectorofthatschoolforalmost 2decades. His students have won best annual national/international paper awards for 18 of the 26years that he spent in academia. Prior to joining academia, the first 25years of his career were spent in industrial research that rangedfrompolymerandsiliconesynthesistocolloidandsurfacescienceforcosmeticsandpersonalcareproducts and to the management of the rheology applications segment of a large hydrophilic polymer research group. Dr. Lochhead is theauthorof morethan 100 scientific papers and reviewsanda named inventor on 25 patents. His inventions have enabled new and better technologies that benefit society and the environment. These include: (cid:129) Camouflage “makeup”that protectspersonnel fromthe ballisticthermal frontsof explosions (cid:129) Stimulus-responsive polymeresurfactant systems for personal careandhome care(thestimulus-responsive coacervate formation that underpins themechanismof conditioning shampooshas been named “the Lochhead Effect”) xi xii BIOGRAPHY (cid:129) The concept of polymeric emulsifiers andthe first polymeric emulsifier, which enabled: (cid:129) skin lotionsfor sensitiveskin and sports sunscreens; (cid:129) the now common stimulus-responsive alcoholsanitizinggels; (cid:129) spraysthatstayactiveonplantsevenwhenitrains,therebyloweringthefrequencyofuseandreducingrunoff of pesticidesand herbicides; (cid:129) waterborne water seal coating compositions that essentially eliminate thevolatile organiccompound emis- sions of earlieroil-based water seal formulations (cid:129) Bioadhesive polymers for the lubrication of mucous membranes and drug delivery (cid:129) Compositions for therepairof retinal tears (cid:129) Hypochlorite-resistant waterbornerheology modifiers that enabled automatic dishwashing gels (cid:129) Novel, ecologically beneficialdispersants foroilspills (cid:129) Polymersfortextileandcarpetprintingthatessentiallyreplacedkeroseneemulsionsandthepollutionthatoften went along with theuse of these emulsions Dr.Lochhead hasreceivedmany awardsforhis contributions and these include: (cid:129) The Maison G. DeNavarremedal from the Societyof CosmeticChemists (cid:129) The Chemical Pioneer Awardfrom the American Institute of Chemists (cid:129) The EducationAwardfrom the Society of Plastics Engineers Dr. Lochhead serves on the International Nomenclature of Cosmetic Ingredients committee and he has served twice as the President of the Society of Cosmetic Chemists and President of the International Association of Formulation Chemists. Howard I. Maibach, MD, PhD Dr.HowardMaibachisanexpertincontactandoccupationaldermatitisandseespatientsattheEnvironmental DermatosisClinic,whichispartoftheDermatologyClinic.Hisspecialtiesaredermatotoxicology,orskinexposure toxicity; allergies and skin disorders; and dermatopharmacology or the study of medications for skin disorders. Dr.Maibachhasbeenontheeditorialboardofmorethan30scientificjournalsandisamemberof19professional societies,includingtheAmericanAcademyofDermatology,SanFranciscoDermatologicalSociety,andtheInternal Commission on Occupation Health. He is aprofessor in the Departmentof Dermatology atUCSF. Dr.Maibachhaswrittenandlecturedextensivelyondermatotoxicology(thetoxicitytomanfromskinexposure) and dermatopharmacology (the treatment of skin diseases). His current research programs include defining the chemical-biological faces of irritantdermatitis andthe study ofpercutaneous penetration. WhenDr.Maibachisnotinthelabconductingresearchorintheclassroomteaching,heisseeingpatientsatthe EnvironmentalDermatosesClinic(oftheDermatologyClinic),mostlyprovidingsecondopinionsonallergiccontact dermatitis. Dr. Maibach has been on the editorial boards of over 30 scientific journals and is a member of 19 professional societies, including the American Academy of Dermatology, San Francisco Dermatological Society, and the Inter- nationalCommissionon Occupational Health. Clinical Specialties. (cid:129) Dermatopharmacology (cid:129) AllergicContact Dermatitis Research Interests. (cid:129) Dermatotoxicology (cid:129) Dermatopathology (cid:129) Percutaneous Penetration xiii BIOGRAPHY Yuji Yamashita, PhD Yuji Yamashita received his MS and BS from Yokohama National University, Japan, and his PhD in natural science from the University of Bayreuth, Germany, in 2005. After several years of research work on thermotropic liquid crystals at Chisso Petrochemical Co., Japan, he began to study dermatology, especially transdermal drug deliverysystems,asapostdocatSt.MariannaUniversity,Japan.InOctober2011,Dr.Yamashitabecameanassistant professor at Chiba Institute of Science, teaching and researching cosmetic science; he was promoted to junior associate professor in 2014. His area of expertise is surfactant science such as phase behavior and self-assembly, whichisrelatedtoformulationtechnology.Hiscurrentresearchtopicsincludeestablishmentofanovelparameterto replace the HLB number, emulsion stability under microgravity, micro-calorimetric study on the structural transi- tionsofself-organizedmatters,andalpha-gelformulation,ofwhich“establishmentofanovelparametertoreplace theHLB number”receivedan awardin November 2016fromthe Society of CosmeticChemists of Japan. Foreword Kazutami Sakamoto Tokyo University ofScience, Chiba, Japan Ifyoupickedupthisbook,youlikelyhaveaninterestincosmeticsandyoumayfindyourselfstrugglingtofind your specific area of interest in this field, which involves a number of disciplines including natural sciences, technologies, and even social sciences. Cosmetics is an exceptional field where cutting-edge sciences and tech- nologies are quickly applied into innovative products deeply integrated with social, cultural, and traditional lifestyles. This book is structuredin four sections to introduce the world of cosmetics by integrating scientific and technological aspects: General Views of Cosmetic Science and Technology, Fundamental Resources for Cos- metics, Physicochemical Aspects and Formulations,andPhysiological and Dermatological Aspects. Weprovidetheessenceneededtolearnwhatcosmeticsare,frombothscientificandtechnologicalperspectives with interwoven contents in relation to beauty and care. You may be a scientist seeking updated knowledge in cosmetic science and looking for the most advanced and practical information, or perhaps you are a nonscientist looking for reliable and easily accessible introductory information with a robust scientific basis in cosmetics. This bookaimstofulfillsuchneedsbyprovidingwell-integratedcontentwrittenbytheleadingscientistsinthefield.It provides basic scientific aspects that are integrated into cosmetics in the areas of material development, physico- chemical aspects of formulations, and dermatological concerns. I am grateful to all the contributors that made this book possible by offering their expertise on the basis and applicationofcosmeticscienceandtechnologies.Myheart-filledthanksgotothecoeditors;withoutthemitwould have been impossible to bring this endeavor to fruition. Dr. Howard I. Maibach opened my eyes not only to the world of science but also connected me with a new network of people. When I arrived in San Francisco in late August1983,IhadnopracticalcommunicationskillsinEnglishandhesokindlyofferedtohelpmeineveryaspect of living and working in the United States. Since then, Howard has always been my mentor. Dr. Robert Y. Lochhead,withwhomIbecameacquaintedthroughacolleagueatAjinomotoUSAInc.,kindlyacceptedascientist from Ajinomoto to study at his lab in the mid-1990s. Since then we have become close friends. Bob has been kind enoughtovisitandencouragemystudentsatChibaInstituteofScience(CIS)inJapan,afterIopenedmyownlab for cosmetic science in 2012. My relationship with Dr. Yuji Yamashita started at the beginning of the 21st century. I was a guest professor at Prof. Hironobu Kunieda’s lab at the time and Yuji was a graduate student, and I have supervised for his master’s degree thesis. When I started my new career at CIS in 2010, Yuji was a postdoctoral scientistattheSt.MariannaUniversitySchoolofMedicineinJapanafterfinishinghisPhDatBayreuthUniversity inGermanyunderProfessorHeinz Hoffman andhadseveral yearsof experienceinindustry.Iinvited Yujitojoin me to establish our lab, and Yuji now leads the lab after my retirement from CIS. I feel life is always filled with unexpected encounters with people and opportunities, which grow into an interwoven network. In this sense, this book is a great outcome of my long journey. I hope readers will enjoy this book and find an opportunity to explore the world of cosmetic science and technology, and go further with their own journeys. My first thanks goes to Emeritus Professor Hiroyuki Ohshima of Tokyo University of Science (TUS) and Dr. Kostas Marinakis of Elsevier B.V. Registered Office who brought this project to me. One day in early 2013, Prof.OhshimafoundmeontheplatformofKashiwaStation,whichmanypeopleusetocommutetoTUS.Sincewe were both members of the Division of Colloid and Surface Chemistry at Chemical Society Japan, he knew my backgroundofworkinginindustryandacademia.Heproposedthisprojectwhenitwasstilljustaconceptbrought fromKostas.AtthemeetingwithKostasinNewOrleansattheSpringACSmeetinginApril2013,Kostasinspired metorevealthescientifictreasureshiddendeepinsidethecosmeticcompaniesandthesecretresourcesofcosmetic productsthatbringdreamstoconsumers.Myjourneystartedwiththesetwoencounters.HowardandBobguided mewiththeirexpertiseonhowtoexplorescienceandtechnologyevenfurther,andwithYuji’spatientsupportour xv xvi FOREWORD journeyhasfinallyreacheditsgoal. Wehope thisbookopens doorstoour readersandhelps them starttheirown expeditions. I am also indebted to Sarah J. Watson, editorial manager of Physical Science and Maria J. Bernard, project manager of Science and Technology Books at Elsevier for their editorial assistance and patience, and to my son Izumi Sakamoto for his contribution of translating many chapters originally written in Japanese to English while preserving the cultural flavors to the universal language just as cosmetics itself has a nature of commonality and demographic diversity. In closing, I offer my profound thanks. To my teachers, many friends who have enriched my life in more ways I can express. To my family who stood by me and supported me in the many years I lived in the United States and after resettling in Japan. I give special thanks to my wife Mariko for all the love and dedication to our family. Kazutami Sakamoto November28,2016 Preface Duringthepastquarterofacentury,thereachofcosmeticcompanieshasbecomeglobalandourunderstandingof the underlying scientific principles has sharpened and expanded. We now have a better understanding of structureepropertyrelationsdowntoingredientmolecularlevelsandphysicalinteractions;ourunderstandingofthe biochemistry,biology,andmorphologyofskinandhairhasadvancedsignificantly,evenasformulatedcompositions havebecomeincreasinglyconstrainedbyregulation.Cosmeticscienceisnowenteringaneraofincreasedecological awarenessthatwillprobablypersistforthenextquarterofacenturyasmoreoftheworld’sburgeoningpopulation becomesabletoenjoythebenefitsofpersonalcareproducts.Nevertheless,despiteworldwidedominationbyafew multinational corporations, there are still regional variations that result from cultural preferences and regulatory differences,andtheseoffernewchallengestotheformulatorsoftodayandtomorrow. Atthisjuncture,thereisaneedtoreviewthestateoftheart,tomentorthenextgenerationofcosmeticscientists, andtoestablishastartingpointfortheforthcomingeraofcosmeticscience.Thepurposeofthisbookistoaddressthat need.Itconstitutesacomprehensivereview,withcontributionsfromsomeoftheworld’sleadingcosmeticscientists. TheneedtocondenseourknowledgeintoadocumentwasbroughthometomepoignantlywhenIsoughtguidanceon atechnicalpointfromacolleague,onlytofindoutthathehaddied2weeksearlierandhisadvicewassilencedforever. I am grateful to Dr. Kazu Sakamoto for inviting me to participate as a co-editor and for taking the lead in this venture.IamalsothankfultoDr.YujiYamashitaforhisdedicatedeffortsinuploadingthechaptersandtoDr.Howard Maibachforlendinghisexperienceandskilltotheplanningandimplementationofthebook. Duringmycareerincosmeticscience,Ihavehadtheprivilegeofbeingmentoredbymanyexcellentscientists,too manytomentionindividuallyinthisshortpreface,andIthankthemformoldingmeintotheprofessionalthatIhave become.Inparticular,Iwishtothankmywife,Margaret,forherencouragementandforhercontributionstofigures andequationsinmypublications. Reader, I hope that this book will enlighten you, and I encourage you to drive our understanding of cosmetic sciencetoabroaderanddeeperlevel. RobertY.Lochhead August2,2016 xvii