The Essentials of Formulation

A lotion with aloe vera!
A shampoo with the hip new fragrance!
A cleaning solution with orange extract!

All commercial formulations begin with a brilliant idea. From imaginative uses of natural scents to popular interest in herbal remedies, these concepts spark innovation and new product development.

First, however, the market should be researched for existing products similar to that brilliant idea. A patent analysis will avoid potential legal challenges. If the market is still open and viable, the next step is development of product formulation.

Formulation of new products is often accomplished internally by a company’s research and development department. When time and resources are limited, outsourcing of commercial formulation development is a useful option. Whether hiring outside formulators or relying on your in-house R & D department, some helpful sources of preliminary formula information include:

Suppliers/Formularies: Formularies may be willing to share general formulas and sample supplies to begin product development. However, for this help they may want you to continue using their supplies for your product.

Internet: Although free and plentiful, internet resources should be viewed with caution. This information has not always gone through the rigors of peer-reviewed published methods.

Books: Books provide common formulation information, some useful sources are:

Cosmetic and Toiletry Formulations; Ernest Flick, Noyes Publications
Handbook of Cosmetic Science & Technology; Audre Barel, CRC
Cosmetic Dermatology; Leslie Bauman, McGraw-Hill Professional

The Right Stuff: Types of Chemicals

Several types of chemical classes will be used to formulate a new personal care or household product.

A surfactant (surface active agent) is a broad term used to describe a chemical that breaks down the surface tension between water and oil. Therefore, a surfactant has a broad application to a variety of products. For personal care products a surfactant is often the cleansing component of the formulation. "Gentler" and "harsher" surfactants are often combined in order to give a product a unique cleansing effect. Surfactants are also important components of inks, paints and adhesives, as well as many other common products. Common surfactants include:

Sodium Lauryl Sulfate
Sodium Laureth Sulfate
ALS
ALES
C14-16 Olefin Sulfonate
Lauramide DEA
Cocoamide DEA
Cocamidopropyl Betaine
Cocoamphodiacetate

Humectants are the moisturizers in a formulation. These act by absorbing water from the surrounding environment and closely binding it to the product. Humectants are used in personal care products to hydrate both skin and hair. They also can be added to a product which would otherwise cause significant drying. Humectants are commonly added to food products to maintain their moisture. Common humectants include glycerine and hyaluronic acid.

Emollients help maintain moisture as well as provide a unique feel or texture to the product. Emollients are commonly found in personal care products. The term is often used in association with humectants due to their "water-loving" nature. Common emollients include:

Isopropyl Myristate/Palmitate
Oils/Botanicals
Propylene Glycol
Shea Butter

Like emolients, thickeners provide the product with a sense of feel, and also give shape and structure to a product. Often a formulated product may be too liquid and not easily handled. A thickener can be the difference between having a product applied appropriately or having it run through your fingers. Common thickeners include:

Carbomer
Cellulose Gum
Resins (PVP)
Carageenan
Bentonite Clay
Magnesium Aluminum Silicate (Veegum)
Xanthan Gum

A formulated product can often be highly acidic or basic, with damaging effects. To help mitigate this, formulators often add buffers as neutralizers to their final products. The neutralizers also assist in extending the shelf life of the product. Common neutralizers include:

Triethanolamine (TEA)
Diisopropylamine (DIPA)
Tetrahydroxypropyl Ethylenediamine (TE)
Aminomethyl Propanol (AMP)
Sodium Hydroxide
Phenoxyethanol

It is important for a product to have a reasonably long shelf life. For preservatives, formulators rely on several compounds to enhance the longevity of their products. Common preservatives include:

Parabens
DMDM Hydantoin (Formaldehyde)
Potassium Sorbate
Sodium Benzoate
Imazolidinyl Urea
Methylchloroisothiazolinone
Methylisothiazolinone

During the formulation of a product, it may become necessary to use processing aids. Typically, these additives assist in preventing the ingredients from reacting together when the formulation is being produced. Common processing aids include:

Hydrochloric Acid
Citric Acid
Sodium Hydroxide
Sodium Chloride

Additives are usually added to the formulation to help distinguish it in the market place. Additives may be scent, a dye or even vitamins and minerals. For example, a perfume manufacturer may want to make a bath wash which includes their signature scent.

Active ingredients are the "work horses" of a formulated process. Active ingredients are what make the product effective. Along with additives, this is the most important factor in your product’s success. Common active ingredients include:

Triclosan (Antibacterial Soap)
Ethyl Alcohol (Hand Sanitizer)

Mix it Up: Lab Scale and Production

To develop a product with the desired effects, small batches are formulated in a lab to determine the right balance of ingredients. Typically this is done at the gram scale. Once completed, levels of scale-up will be conducted in order to troubleshoot production problems when larger batches are created. Unfortunately, the scale-up version of the process rarely imitates the smaller scales. Careful modifications are made in order to insure the final scaled-up version represents the initial lab scale.

If the product you are making is meant for personal care use, chances are you will need to develop a stability profile of your product. This helps insure that the product remains safe and effective over a period of time. It will also determine the product expiration date. Stability studies involve storing a product over a period of time in various heat and humidity conditions. Samples are analyzed at specified time points to determine if the composition of the product changed over time.

Chemir Analytical Services Can Help

Transforming a product “brainchild” into a marketed product is both an exciting and long process. Many companies do not have the resources to develop a product on their on own and choose to outsource research and development activities. Chemir Analytical Services has years of experience helping clients formulate and analyze their products.

Since 1959 this independent laboratory has helped solve thousands of issues for the personal care, consumer product, polymers, plastics, packaging, coatings, food/ beverage, and specialty chemical industries. Other services include materials analysis, contaminant and impurity identification, deformulation (reverse engineering), formulation, product failure analysis, stability testing, and more. Chemir Analytical Services also provides litigation and expert witness testimony in support of these analytical servcies. For more information, visit www.chemir.com.