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UNIVERSITY OF CINCINNATI Date:___________________ I, _________________________________________________________, hereby submit this work as part of the requirements for the degree of: in: It is entitled: This work and its defense approved by: Chair: _______________________________ _______________________________ _______________________________ _______________________________ _______________________________ Self Assembly In Aqueous And Non-aqueous Sugar-Oil Mixtures A dissertation submitted to the Division of Research and Advanced Studies of the University of Cincinnati in partial fulfillment of the requirements for the degree of DOCTOR OF PHILOSOPHY in the Department of Chemical and Materials Engineering of the College of Engineering December 17, 2008 By Hiteshkumar Dave M.Tech. Indian Institute of Technology, Bombay, India (2002) B.E. L.D. College of Engineering, Ahmedabad, Gujarat, India (2000) Committee Chair: Dr. Carlos Co Abstract In aqueous systems, the hydrophobic effect drives the self-assembly of amphiphiles into a broad range of micellar, rod-like, bicontinuous, and liquid-crystalline complex fluids, which have myriad biological, materials, and product applications. However, amphiphilic self-assembly is not limited to aqueous systems. We have explored the self- assembly of surfactants in anhydrous sugars. Our study reveals that anhydrous powders of sugars and surfactants suspended in oil spontaneously form molten microemulsion glasses with nanometer-size domains of sugar and liquid oil without mixing. The low cost, water solubility, low toxicity and stabilizing properties of glassy sugars make them ideal water replacements for many pharmaceutical, food and materials synthesis applications. The optical clarity and solid appearance of these glasses at room temperature belie their inclusion of more than 50% (vol.) oil, which confers liquid-like diffusivity. We have also investigated the phase behavior and characterization studies of edible microemulsions of d-limonene (orange oil) with concentrated sugar solutions (>65 wt%) using sucrose laurate and sucrose oleate as surfactants. The phase behavior of these mixtures is studied as a function of temperature and surfactant composition, identifying the specific effects of sugar concentration, surfactant chain length, and oil loading on the formation of microemulsion and lamellar phases. Small-angle neutron scattering experiments confirm the presence of well-structured microemulsions with domain sizes ranging from ~35 to 60 nm. With few exceptions, the patterns of microemulsion phase behavior with concentrated sugar solutions are very similar to that of aqueous systems. These studies simulate the effect of either increasing sugar concentrations or removing iii water (e.g. spray drying) on the one phase microemulsion region. In addition to providing better understanding of the underlying phenomena of formation of sugar based microemulsion glasses, these aqueous sugar based microemulsions have potential applications in encapsulation of hydrophobic and hydrophilic actives, which are used in food, pharmaceuticals and many other industries. iv Acknowledgements I take this opportunity to express my thanks and gratitude to my advisor, Dr. Carlos Co, for his continuous guidance and support during my graduate studies at University of Cincinnati. I would also like to thank my Ph.D. committee members, Dr. Chia-Chi Ho, Dr. Gerald B. Kasting and Dr. Steve Clarson for their valuable suggestions during my Ph.D. research. I am grateful to Dr. Jing-Huei Lee and Dr. Matthew Liberatore for their successful collaborative research efforts on characterization of sugar-oil glasses using self-diffusion coefficient measurements and rheological measurements respectively. I would like to thank my lab mates – Dr. Girish kumar, Dr. Feng Gao, Weiyi Li, Stephen Fenimore and Brian Shoop for their help and making my graduate study experience unique and memorable. I am deeply grateful to one of my best friends and lab mate, Dr. Dan Wu, for her support and guidance during this Ph.D. research work. Her suggestions and support provided a solid backbone to keep myself motivated and focused during the difficult periods of my Ph.D. research. There are no words to express my gratitude to my beloved parents (Rajeshkumar Dave and Aruna Dave) and my brother (Kirtesh Dave) and sister-in-law (Bhavisha Dave) for their love, support, care, and encouragement during the five years of my graduate studies. I would like to acknowledge the Givaudan Flavors Corporation and National Science Foundation (NSF) for providing the funding support during this research work. v Table of Contents Abstract….........................................................................................................................iii Acknowledgements ........................................................................................................... v List of Figures................................................................................................................... ix List of Abbreviations ..................................................................................................... xvi Chapter 1 Introduction................................................................................................... 1 1.1 Dissertation Outline ............................................................................................ 3 Chapter 2 Background ................................................................................................... 4 2.1 Surfactant ............................................................................................................ 4 2.2 Surfactant Self-Assembly ................................................................................... 4 2.2.1 Morphologies of Self-Assembled Aggregates............................................ 5 2.3 Sugar Based Surfactants ................................................................................... 12 2.3.1 Comparison of Sugar Based Surfactants to Petroleum Based Nonionic Surfactants................................................................................................................. 12 2.3.2 Phase Behavior of Sugar Based Microemulsions ..................................... 13 2.3.2.1 General Patterns of Nonionic Microemulsions Phase Behavior........... 14 2.3.2.2 Alkyl polyglucoside (APG) Surfactant Based Microemulsions ........... 20 2.3.2.3 Sucrose Ester Surfactant Based Microemulsions ................................. 24 2.3.2.4 Sugar Based Nonaqueous Microemulsions .......................................... 28 Chapter 3 Experimental Section.................................................................................. 40 3.1 Introduction....................................................................................................... 40 3.2 Sugar Based Aqueous Microemulsions ............................................................ 40 3.2.1 Materials ................................................................................................... 40 vi 3.2.2 Phase Diagram Determination .................................................................. 42 3.2.2.1 Microemulsion Sample Preparation...................................................... 42 3.2.3 Neutron Scattering .................................................................................... 43 3.3 Sugar Based Non-aqueous Microemulsions ..................................................... 45 3.3.1 Materials ................................................................................................... 45 3.3.2 Phase Diagram Determination .................................................................. 45 3.3.2.1 Microemulsion Glass Sample Preparation............................................ 45 3.3.3 Neutron Scattering .................................................................................... 47 3.3.4 Modulated Differential Scanning Calorimetry (MDSC) .......................... 48 3.3.5 Rheometry................................................................................................. 48 3.3.6 Magnetic Resonance Imaging................................................................... 48 3.3.7 Scanning Electron Microscopy................................................................. 49 Chapter 4 Sugar Based Aqueous Microemulsions..................................................... 50 4.1 Summary........................................................................................................... 50 4.2 Introduction....................................................................................................... 50 4.3 Results............................................................................................................... 51 4.3.1 Effects of Increasing Sugar Concentration ............................................... 51 4.3.2 Effects of Surfactant Alkyl Chain Length ................................................ 54 4.3.2.1 Sucrose Ester Surfactants...................................................................... 54 4.3.2.2 Alkyl Polyglucoside Surfactants........................................................... 57 4.3.3 Compensatory Effects of Sugar Concentration and Surfactant Alkyl Chain Length…. .................................................................................................................. 57 4.3.4 Effects of Varying Oil Loading ................................................................ 60 vii 4.3.5 Effects of Increasing Surfactant Concentration