# Patent

## Title
Synergistic preservative system

## Abstract

A novel three-component synergistic preservative system has zinc oxide, a phenoxyethanol component, and caprylyl glycol. The preservative system provides sufficient preservative activity without the use of other preservatives such as parabens. It provides broad spectrum activity against yeast and molds, and remains effective long term.

## Background
CROSS-REFERENCE TO RELATED APPLICATIONS
The present application claims priority to U.S. Provisional Patent Application No. 61/443,040, filed on Feb. 15, 2011.


BACKGROUND OF THE DISCLOSURE
1. Field of the Disclosure
The present disclosure relates to novel preservative systems. More particularly, the present disclosure relates to three-component preservative systems that exclude commonly used preservatives that may raise concerns with undesirable side effects.
2. Description of the Related Art
Effective preservative compositions must be both anti-microbial and anti-fungal. Most current preservative compositions contain some form of paraben, often in combination with phenols and quaternary compounds. However, some of the current paraben preservative systems are limited in their global acceptability. For example, some parabens are not allowed in either Europe or Japan, because they have shown estrogenic activity and other undesirable effects in various test models.
Other commonly used preservatives, such as formaldehyde donors, isothiazolinones, and ethanol, while being effective, can have safety/compatibility-related issues, for example, high irritation potential and incompatibility with avobenzone.
Accordingly, there is a need to develop a preservative system that exhibits strong preservative activity, without including preservatives, such as parabens, that exhibit undesirable side effects.
SUMMARY OF THE DISCLOSURE
The present disclosure provides a three-component synergistic preservative system including: zinc oxide; phenoxyethanol; a phenoxyethanol derivative, or a combination thereof; and caprylyl glycol. This preservative system provides strong preservative activity. This is surprising because zinc oxide has minimal preservative activity at low concentrations, phenoxyethanol has limited antifungal activity, and caprylyl glycol has no antifungal activity at all. The combination of these three components thus provides far greater preservative activity than one would normally expect.
Accordingly, in one embodiment, the present disclosure provides a preservative system comprising: zinc oxide; phenoxyethanol; a phenoxyethanol derivative, or a combination thereof; and caprylyl glycol. The ratio of the zinc oxide, the phenoxyethanol, phenoxyethanol derivative, or combination thereof, and the caprylyl glycol in the preservative system is between 0.5:0.2:0.2 and 20:5:2 by weight. The preservative system exhibits synergistic preservative activity.
In another embodiment, the present disclosure provides a composition comprising a preservative system. The preservative system comprises: zinc oxide, in an amount of 1.5 to 5.0 wt %, based on the total weight of the composition; phenoxyethanol, a phenoxyethanol derivative, or a combination thereof, in an amount of 0.2 to 5.0 wt %, based on the total weight of the composition; and caprylyl glycol, in an amount of 0.2 to 2.0 wt %, based on the total weight of the composition. The preservative system exhibits synergistic preservative activity.



BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 shows the effect of zinc oxide concentration in the preservative system of the present disclosure on reduction in mold population;
FIG. 2 shows the effect of phenoxyethanol concentration in the preservative system of the present disclosure on reduction in mold population; and
FIG. 3 shows the effect of caprylyl glycol concentration in the preservative system of the present disclosure on mold population.



DETAILED DESCRIPTION OF THE DISCLOSURE
The present disclosure provides a three-component preservative system that includes zinc oxide; phenoxyethanol, a phenoxyethanol derivative, or a combination thereof; and caprylyl glycol. Many prior art preservative systems included parabens such as methyl paraben and propyl paraben, which are very useful as antifungal agents. The present disclosure has surprisingly found that when the parabens are removed from the preservative system, the system still provides both antimicrobial and antifungal activity, even though the remaining compounds are not known for their antifungal activity. This is true even when the level of zinc oxide is low. Unexpectedly, the formula passed rigorous preservative challenge testing, as described in greater detail below.
Theoretically, the product should have failed the preservative challenge test, especially against fungi, since the zinc oxide level was too low to have any preservative effect, phenoxyethanol provides slight fungicidal activity, and caprylyl glycol has no fungicidal activity. The formula was prepared and tested multiple times, and all lots passed preservative challenge testing. The above-described preservative system can be used in any composition where preservative (i.e., countering the deteriorative effects of microorganisms in the composition) activity is desired, for example a sunscreen composition, or any other cosmetic composition.
The zinc oxide can be present in the composition at a level of 0.5% to 20%, 1.5% to 5%, or 2.5% to 3.5%, all based on the total weight of the composition. The zinc oxide can be uncoated, or coated, such as with silicas, silanes, methicones, dimethicones, or methicone/dimethicone copolymers. Zinc oxide is a weak antimicrobial and weak fungistat even at very high levels. In the paint industry, for example, zinc oxide is present in compositions at level of 30% by weight, which is the preferred use level to retard growth of mildew. Mildew growth can occur at 20% level of zinc oxide in paint compositions. At the weight ranges recited above for the compositions of the present disclosure, zinc oxide alone has almost no bactericidal or fungicidal properties. Very surprisingly, however, both coated and uncoated zinc oxide were effective in the 3-component preservative system of the present disclosure, even at very low levels of zinc oxide.
Phenoxyethanol, a phenoxyethanol derivative, or a combination thereof, can be present in an amount of 0.2% to 5%, or 0.5%-1%, based on the total weight of the composition. It is an oil soluble liquid that is an antimicrobial agent with very minor fungicidal activity.
Caprylyl glycol can be present in an amount of 0.2% to 2%, or 0.5% to 1%, based on the total weight of the composition. It is an oil soluble semi-solid, having antimicrobial properties and no fungicidal activity.
In one embodiment, the preservative system consists essentially of zinc oxide, phenoxyethanol, and caprylyl glycol, meaning that the preservative system, and/or the composition in which it is used, is free of any other components that exhibit preservative activity. In another embodiment, the preservative system consists of zinc oxide, phenoxyethanol, and caprylyl glycol.
The preservative system may also comprise zinc oxide, phenoxyethanol, and caprylyl glycol, if additional preservative activity is desired. Additional preservative components can be added to some embodiments of the preservative system of the present disclosure, but as the three components discussed above exhibit strong preservative activity on their own, adding additional components may be redundant and would make the resulting composition unnecessarily costly.
The preservative system of the present disclosure has several advantages over those currently available. It is free of parabens. Parabens are sometimes undesirable because they have exhibited estrogenic activity. It is also free of other preservatives, such as formaldehyde donors and isothiazolinones, which can cause skin irritation. The preservative system of the present disclosure also exhibits preservative activity over a broad spectrum, e.g. both antimicrobial and antifungal activity. It is able to kill all types of microorganisms, including fungi such as yeast and mold, and Gram-positive and Gram-negative bacteria. It is effective at low concentrations, which is advantageous in that it can be used at the lowest concentrations to meet preservative requirements, while also reducing chances of irritation and addressing other toxicity concerns. It has high water solubility, which is advantageous since most microorganisms grow in the water phase or at the water-oil interface. Preservatives should thus be in the water phase to function. The more water soluble and the less oil-soluble the preservative system is, the better it will function. The preservative system of the present disclosure is also effective over the anticipated shelf life of the compositions in which it is used. All of these features are available at low levels of zinc oxide, and with only the three components or ingredients discussed above. This saves on cost, and makes the preservative system easier to prepare.
The preservative system of the present disclosure is also stable under all temperature and pH conditions that it would encounter during the manufacture of the composition in which it is ultimately used. It is also colorless and odorless, and does not add color or odor to the composition, or react with other ingredients to form colors or odors. The preservative system of the present disclosure is compatible will all ingredients in the composition, and does not lose preservative activity in their presence. The preservative system should also function during the manufacturing and throughout the intended life of the cosmetic product, and be safe to use.
The term “preservation” as used in the present disclosure refers to the prevention or retardation of product deterioration due to microorganisms present in the product, from the time of manufacture until the product (such as a topical composition) is used up by the consumer. A “preservative” is an ingredient that reacts with, prevents, or retards the growth of microorganisms in the personal care product. Ideally, a single preservative would act equally well against all microorganisms, but it is extremely difficult to find such a compound. Preservatives that are active against bacteria are usually poor against fungi, and vice versa. Therefore, a preservative system, using two or more preservatives, is needed.
Preservative Efficacy Testing
The adequacy of a particular preservative system is established by conducting a Preservative Efficacy Test (PET), also known as challenge testing. The major purpose of performing PET is to determine if the product can withstand consumer contamination. Other uses include establishing the efficacy of the preservative and the ability to withstand contamination during manufacturing. The data below establishes the adequacy of the preservative system of the present disclosure.
For purposes of the present disclosure, a “synergistic effect” is noted when a combination of ingredients is able to reduce bacterial and fungi colony forming units (cfu) from “To Numerous To Count (TNTC)” which could be greater than 10,000 cfu/mL, to: <10 cfu/mL at Day 7 and 14 for bacteria with no increase in growth for the remaining test period, and <1000 cfu/mL at Day 7 and 14 for fungi with no increase in growth for the remaining test period. No increase in growth is defined “as not more than half a log unit higher than the previous value measured.
Reinoculation occurs on Day 7, after the count. Reinoculation of the bacteria and mold simulates post-sale conditions. For example, when a user applies a sunscreen, they will often use the product once, close the container in which it is held, then open the container again, which exposes the composition to additional bacteria and fungi.
The microorganisms used in the testing are as follows:
Bacterial Pool:
















Gram Negative Bacilli




Pseudomonas aeruginosa
ATCC 9027



Burkholderia cepacia
ATCC 25416



Gram Positive Bacilli



Staphylococcus aureus
ATCC 6538



Gram Negative Enteric Bacilli



Eschericia coli
ATCC 8739



Klebsiella pneumonia
ATCC 13833










Fungi Pool:
















Yeast




Candida albicans
ATCC 10231



Mold



Penicillium chrysogenum
ATCC 10106



Aspergillus niger
ATCC 15404










The PET consists of challenging a non-contaminated product with prescribed inoculums of suitable microorganisms according to standardized procedures, and storing the inoculated product at a prescribed temperature. Using serial dilutions and plate counts, the number of organisms surviving in the test products is determined at specified intervals. Products meeting the specified criteria will be considered adequately preserved for manufacture and consumer use. Products not meeting the criteria will be considered inadequately preserved. The various studies below validate the synergistic effect of the preservative system of the present disclosure, at very low use levels of zinc oxide, phenoxyethanol and caprylyl glycol.
ABBREVIATION KEY


    
    
        ZnO—Zinc Oxide
        PhE—Phenoxyethanol
        CapG—Caprylyl Glycol
        PP—Propyl Paraben
        MP—Methyl Paraben
        A—Adequate
        I—Inadequate
        Ma—Marginal, result at the borderline, indicating weak effectiveness
        M—Month

Section 1

    
    


Confirmation of Preservative System Effectiveness at Initial Time Point
The formulation base was an oil-in-water emulsion containing typical emollients, emulsifiers, thickeners, film formers, and sunscreen actives. In general, oil and water phases are heated separately to high temperatures with the novel preservative system already added, then combined with homogenization, and then cooled to room temperature. In some emulsions, a cold process may be used, and there may be more than two phases.
As shown in Table I, three different lots prepared on different dates and microbiologically tested on different dates unexpectedly and successfully passed the PET. Knowing that the first lot 3002-38 passed the PET, we wanted to have positive and negative control batches for the second round of evaluation to verify PET accuracy. The negative control lot 3002-63-3, which is missing phenoxyethanol, had CFU that were TNTC on Day 7 and Day 14. The data in Table I confirms the reproducibility of the novel preservative system consisting of zinc oxide, phenoxyethanol, and caprylyl glycol. Also, the data in Table I shows that when the additional preservatives propylparaben and methylparaben are added, the resulting preservative system still passes testing.







TABLE I







Multiple Lot Confirmation of Synergistic Preservative System Effectiveness















PET Start





PET*



Date
ZnO %
PhE %
CapG %
PP %
MP %
Result


















Lot #









3002-38
Dec. 05, 2008
3.0
1.0
1.0
—
—
A


3002-63-2
Feb. 09, 2009
3.0
1.0
1.0
—
—
A


3002-73-1
Feb. 23, 2009
3.0
1.0
1.0
—
—
A


Controls


3002-63-1
Feb. 09, 2009
3.0
1.0
1.0
0.15
0.25
A


3002-63-3
Feb. 09, 2009
3.0
—
1.0
—
—
I





*Procedure for PET specifies re-inoculation of sample on Day 7.






In an effort to fully establish the uniqueness of the synergistic preservative system, another series of sunscreen oil-in-water emulsions were prepared to determine the effectiveness of various combinations of just two of the ingredients in the 3-component preservative system. Results shown in Table II proved that only the unique to combination of zinc oxide, phenoxyethanol, and caprylyl glycol was effective in preserving the product.







TABLE II







Establishing Uniqueness of 3-Component Synergistic Preservative System















PET Start





PET*



Date
ZnO %
PhE %
CapG %
PP %
MP %
Result


















Lot #









3002-68-2
Feb. 16, 2009
3.5
1.0
1.0
—
—
A


Controls


3002-68-3
Feb. 16, 2009
3.5
—
1.0
—
—
I


3002-70-2
Feb. 16, 2009
3.5
1.0
—
—
—
I


3002-70-3
Feb. 16, 2009
3.5
—
—
—
—
I





*Procedure for PET specifies re-inoculation of sample on Day 7.






Section 2

Confirmation of Synergistic Preservative System Effectiveness after Storage at Elevated Temperature
It is equally important that the preservative system remain effective during shelf-life storage, and that the preservative system does not deteriorate or cause the product to deteriorate. Therefore, formulated products were stored at 40° C. for one and three months and then subjected to PET. The data in Table III and Table IV confirmed the long term effectiveness of the 3-component preservative system. All batches passed color, odor, and appearance at initial, and at the elevated storage condition of 40° C. for up to three months. In Table III, control batch 3002-63-1 included 0.15 wt % of methyl paraben, and 0.25 wt % of propyl paraben.







TABLE III







Multiple Lot Confirmation of Synergistic Preservative System Effectiveness


After Long Term Storage Stability at Elevated Conditions















PET Start



Initial
1M 40° C.
3M 40° C.



Date
ZnO %
PhE %
CapG %
PET*
PET*
PET*


















Lot #









3002-63-2
Feb. 09, 2009
3.0
1.0
1.0
A
A
A


3002-73-1
Feb. 23, 2009
3.0
1.0
1.0
A
A
A


Controls


3002-63-1
Feb. 09, 2009
3.0
1.0
1.0
A
A
A


3002-63-3
Feb. 09, 2009
3.0
—
1.0
I
I
I





*Procedure for PET specifies re-inoculation of sample on Day 7.













TABLE IV







Confirmation of Synergistic Preservative System Effectiveness


After Long Term Storage Stability at Elevated Conditions















PET Start



Initial
1M 40° C.
3M 40° C.



Date
ZnO %
PhE %
CapG %
PET*
PET*
PET*


















Lot #









3002-68-2
Feb. 16, 2009
3.5
1.0
1.0
A
A
A


Controls


3002-68-3
Feb. 16, 2009
3.5
—
1.0
I
I
Ma


3002-70-2
Feb. 16, 2009
3.5
1.0
—
I
I
I


3002-70-3
Feb. 16, 2009
3.5
—
—
I
I
I





*Procedure for PET specifies re-inoculation of sample on Day 7.






Section 3

Establishing Range of Zinc Oxide for the Novel Synergistic Preservative System
The zinc oxide concentration in the oil-in-water emulsion system was varied from 2.0-3.5%, and studied over time to approximate a lower limit. As shown in Table V, the PET end results were adequate though out the long term stability studies for all the various levels of ZnO. However, differences in ZnO efficiency were noted among the concentration levels when examining the actual number of CFU during the course of the PET studies with the initial time point samples as illustrated in FIG. 1.







TABLE V







Effect of Zinc Oxide Concentration in the Synergistic Preservative System















PET Start



Initial
1M 40° C.
3M 40° C.


Lot #
Date
ZnO %
PhE %
CapG %
PET*
PET*
PET*

















3002-68-2
Feb. 09, 2009
3.5
1.0
1.0
A
A
A


3002-73-1
Feb. 23, 2009
3.0
1.0
1.0
A
A
A


3002-73-2
Feb. 23, 2009
2.5
1.0
1.0
A
A
A


3002-73-3
Feb. 23, 2009
2.0
1.0
1.0
A
A
A





*Procedure for PET specifies re-inoculation of sample on Day 7.






Section 4

Establishing Range of Phenoxyethanol for the Novel Synergistic Preservative System
The phenoxyethanol concentration in the oil-in-water emulsion system was varied from 0.5% to 1.0%. As shown in Table VI, the PET marginal results for the lower levels of phenoxyethanol suggested that the overall preservative system was weak and there was a possibility of failures in the future. However, FIG. 2 depicts the differences in effectiveness of the various levels of phenoxyethanol, and shows that even if the preservative activity results were weak at the Day 7 stage, in the long term, each of the three samples tested, at varying weights of phenoxyethanol, showed adequate preservative activity at Day 28.







TABLE VI







Effect of Phenoxyethanol Concentration


in the Synergistic Preservative System













PET Test



Initial


Lot #
Date
ZnO %
PhE %
CapG %
PET*















3002-68-2
Feb. 09, 2009
3.5
1.0
1.0
A


3002-100-3
May 04, 2009
3.5
0.75
1.0
Ma


3023-4-1
May 04, 2009
3.5
0.5
1.0
Ma





*Procedure for PET specifies re-inoculation of sample on Day 7.






Section 5

Establishing Range of Caprylyl Glycol for the Novel Synergistic Preservative System
The caprylyl glycol concentration in the oil-in-water emulsion system was varied from 0.5% to 1.0% to help establish a lower limit. As shown in Table VII, the PET results were adequate for the 1% and 0.75% level of caprylyl glycol. It should be noted that at the 0.75% level the number of CFU was just above the marginal point suggesting a relatively weaker preservative system. The PET marginal results for the 0.5% level of caprylyl glycol suggested that this particular preservative system was less effective and there was a possibility of failures in the future. Similarly with phenoxyethanol, FIG. 3 depicts the differences in effectiveness of the various levels of caprylyl glycol, and shows that even if the preservative activity results were weak at the Day 7 stage, in the long term, each of the three samples tested, at varying weights of phenoxyethanol, showed adequate preservative activity at Day 28.







TABLE VII







Effect of Caprylyl Glycol Concentration


in the Synergistic Preservative System













PET Test



Initial


Lot #
Date
ZnO %
PhE %
CapG %
PET*















3002-68-2
Feb. 09, 2009
3.5
1.0
1.0
A


3002-100-1
May 04, 2009
3.5
1.0
0.75
A


3023-100-2
May 04, 2009
3.5
1.0
0.5
Ma





*Procedure for PET specifies re-inoculation of sample on Day 7.






Section 6

Influence of Emulsion Type on Novel Synergistic Preservative System
The 3-component synergistic preservative system adequately passed the PET when added to the oil-in-water emulsion. The next step was to verify its effectiveness in a water-in-oil emulsion system. Since water is the internal phase and present at much lower concentration, one would expect that less preservative would be needed to is adequately pass the PET. The data provided in Table VIII verified the capability of the 3-component synergistic system to adequately preserve a water-in-oil emulsion, even at lower concentration of phenoxyethanol and caprylyl glycol.







TABLE VIII







Synergistic Preservative System in Water-in-Oil Emulsion













PET Test



Initial


Lot #
Date
ZnO %
PhE %
CapG %
PET*





3023-9
May 18, 2009
3.0
1.0
1.0
A


3023-10
May 18, 2009
3.0
0.5
0.5
A









Section 7

Effect of Coated Zinc Oxide in Novel Synergistic Preservative System
Zinc oxide is available in coated and uncoated forms for use in cosmetic products. Therefore, it was important to determine the effectiveness of the coated zinc oxide in the synergistic preservative system. Zinc oxide with a triethoxycaprylsilane (TEC) surface treatment, and zinc oxide with a silica and methicone/dimethicone copolymer (SMD) treatment replaced the uncoated zinc oxide. The two modified preservative systems were incorporated into an oil-in-water emulsion formulation. It would ordinarily be suspected that coating zinc oxide would eliminate any preservative activity that it exhibited. Very surprisingly, the preservative systems containing the coated zinc oxides adequately passed the PET as shown in Table IX.







TABLE IX







Synergistic Preservative System Containing Coated Zinc Oxide














Coat-
PET Test



Initial


Lot #
ing
Date
ZnO %
PhE %
CapG %
PET*
















3023-12-1
TEC
May 18, 2009
3.5
1.0
1.0
A


3023-12-2
SMD
May 18, 2009
3.5
1.0
1.0
A









CONCLUSION
The discovery of a novel 3-component synergistic preservative system comprising zinc oxide, phenoxyethanol, and caprylyl glycol allows for products containing water to be formulated without the use of parabens. The 3-component system at low concentrations provided broad spectrum activity against yeast and molds. The synergistic preservative system remained effective long term as indicated by the adequate results from the 3 month 40° C. stability samples. The emulsions retained their integrity, indicating the compatibility of the preservative system with typical cosmetic formulation ingredients.
While the instant disclosure has been described with reference to one or more particular embodiments, it will be understood by those skilled in the art that various changes may be made and equivalents may be substituted for elements thereof without departing from the scope thereof. In addition, many modifications may be made to adapt a particular situation or material to the teachings of the disclosure without departing from the scope thereof. Therefore, it is intended that the disclosure not be limited to the particular embodiment(s) disclosed as the best mode contemplated for carrying out this disclosure.

## Claims

1. A preservative system, comprising:
zinc oxide;
a phenoxyethanol component selected from the group consisting of phenoxyethanol, a phenoxyethanol derivative, and a combination thereof; and
caprylyl glycol,
wherein the ratio of said zinc oxide, said phenoxyethanol component, and said caprylyl glycol in the preservative system is between 2.5:0.5:0.5 and 3.5:1:1 by weight, and
wherein the preservative system exhibits synergistic anti-bacterial activity, synergistic anti-fungal activity, or a combination thereof.

2. The preservative system of claim 1, wherein the preservative system is free of parabens, formaldehyde donors, and isothiazolinones.

3. The preservative system of claim 1, consisting essentially of said zinc oxide, said phenoxyethanol component, and said caprylyl glycol.

4. The preservative system of claim 1, consisting of said zinc oxide, said phenoxyethanol component, and said caprylyl glycol.

5. A composition comprising a preservative system, said preservative system comprising:
zinc oxide, in an amount of 1.5 to 5.0 wt %, based on the total weight of the composition;
a phenoxyethanol component selected from the group consisting of phenoxyethanol, a phenoxyethanol derivative, and a combination thereof, in an amount of 0.75 to 1.0 wt %, based on the total weight of the composition; and
caprylyl glycol, in an amount of 0.75 to 1.0 wt %, based on the total weight of the composition,
wherein the preservative system exhibits synergistic preservative activity.

6. The composition of claim 5, wherein
said zinc oxide is present in an amount of 2.5 to 3.5 wt %, based on the total weight of the composition.

7. The composition of claim 5, further comprising a sunscreen active.

8. The composition of claim 5, wherein said preservative system consists essentially of said zinc oxide, said phenoxyethanol component, and said caprylyl glycol.

9. A composition comprising a preservative system, the preservative system comprising:
zinc oxide, in an amount of 2.5 to 3.5 wt. %, based on the total weight of the composition;
a phenoxyethanol component selected from the group consisting of phenoxyethanol, a phenoxyethanol derivative, and a combination thereof, in an amount of 0.75 to 1.0 wt %, based on the total weight of the composition; and
caprylyl glycol, in an amount of 0.75 to 1.0 wt %, based on the total weight of the composition,
wherein the ratio of said zinc oxide, said phenoxyethanol component, and said caprylyl glycol in the preservative system is between 2.5:0.5:0.5 and 3.5:1:1 by weight, and
wherein the preservative system exhibits synergistic anti-bacterial activity, synergistic anti-fungal activity, or a combination thereof.