Extrusion of Elastomers and Plastics

6
Extrusion of Elastomers and Plastics
INTRODUCTION
An extruder is a standard piece of equipment used in rubber and plastic process
ing for such operations as injection and blow molding, for processing thermoset
ting resins, and for the hybrid process of injection blow molding. The apparatus
is fed room temperature resin in the form of beads, pellets, or powders, or if
rubbers are being processed, the feed material may be in the form of particulates
or strips. The unit converts the feedstock into a molten polymer at sufficiently
high pressure to enable the highly viscous melt to be forced through a nozzle into
the mold cavity (injection-type molding) or through a die (e.g., blow molding or
continuous extrusion of articles). In the initial portion of the extruder the polymer
is conveyed along the extruder barrel and is compressed. The material is then
heated until soft, eventually reaching a molten state. As fresh feed material
enters, heat transfer takes place between the molten fluid and solid polymer.
Once in the molten state, the extruder acts like a pump, transferring the molten
polymer through the extruder channel building up pressure prior to flow through
the discharge nozzle or die. The principal components of a single-screw extruder
are illustrated in Figure 1. The machine has a motor drive, a gear train, and a
screw that is keyed into the gear reducing train. The fluid layers between the
screw flights and barrel wall maintain the screw balanced and centered.
Modem units are equipped with continuous variable speeds and barrels are
usually electrically heated, usually by band heaters with either “ on-off” or
proportional control. The barrel can be “ zoned” according to the number of
302
E x tru sio n o f E la sto m ers and P la s tic s 303
Figure 1 Principal design features of a single-screw extruder.
controllers on the heater bands. Depending on the application and type of ser
vice, the screw may be cored to allow for heating or cooling.
A die can be attached at the end of the extruder. Die designs range from very
simple geometries such as an annulus for pipe and tubing profiles, to very
complex shapes such as the rubber seals used as glass run channels around the
windows of automobiles.
Older extruders used in manufacturing various consumer articles are equipped
with minimal instrumentation. Standard instrumentation usually consists of a
pressure gauge at one point along the barrel (usually at the head) and a thermocou
ple in the hot melt region. In noncritical operations, the operator will monitor
pressure, temperature, and screw speed. Mass flow rates are typically monitored
by the sample weight-time method.
In operations requiring close tolerances on extruded articles, a greater de
gree of instrumentation is employed. Usually, several pressure transducers and
thermocouples along the barrel are used to ensure uniform extrusion and to
control barrel and stock temperatures. Some designs may include thermocouples
on the screw to monitor and control conveying flights.
There are numerous types of extruders, the most common of which is screw
extrusion, which can be of the single or twin type. Another common type is the
304 C h a p ter 6
plunger or ram-type extruder. Materials such as TFE Teflon and ultrahigh-

molecular-weight polyethylene are normally handled by ram extrusion. The melt
ing temperatures of these polymers are very high; hence, these materials cannot be
pumped readily as in screw extrusion. In this chapter discussions largely cover
screw extrusion of low- to moderate-molecular-weight plastics and elastomers.
SINGLE-SCREW EXTRUSION
Many commercial extruders plasticate and pump materials in the range of 10 ~ 15
lb/hr-hp. However, pumping capacity is a relative quantity that depends on the
material. In adiabatic mixing, machine capacities can be as low as 3 ~ 5 lb/hr-hp.
Also, a machine which handles a thermoplastic elastomer could show as much as a
3 — 4 times increase in mass throughput when switched to a low melt viscosity
material such as nylon.
Screw configuration depends to a large extent on the properties of the
material being processed. Figure 2 illustrates several common arrangements. A
constant-pitch metering screw is usually employed in applications not requiring
intensive mixing. Where mixing is important, say for color dispersion, a two-
stage screw equipped with a let-down zone in the center of the screw is appropri
ate. Turbulence promoters can also be included at or near the tip of the screw. In
some applications with two-stage screws, venting at the let-down section may be
needed.
The screw section immediately ahead of the gear train acts as a solids
metering or feed zone. It is characterized by a deep channel between the root of
the screw and the barrel wall. The plasticating zone is ahead of the solids
metering zone. This is a transition region where the channel narrows. The pur
pose of this zone is to provide intense friction between solids and a region for
melting of the polymer to take place. Near the tip of the screw is the melt
metering zone, where pressure builds up. In this region the polymer melt is
essentially homogenized and raised to the proper temperature for extrusion of the
article.
The action of an extruder is analogous to that of a positive-displacement
pump. The flight depth along the screw (i.e., the ratio of the solids metering
channel depth to the melt pump channel depth) is known as the compression
ratio. The purpose of screw flights is to enable the screw to transport polymer
down the barrel. The pitch angle of the flights again depends on the type of
material handled. Many elastomer applications employ a general-purpose screw
which is of a constant pitch (i.e., flight equals the diameter). The pitch angle of
this single-flighted screw is usually 17.61°. Typical extruder specifications are as
follows:
Compression ratio: 2:1 — 6:1 (for materials ranging from LDPE to some nylons)
Extrusion of Elastomers and Plastics 305
METERING VACUUM PUMPING
/
—■
Z o
111
1st-STAGE o 111
2nd-STAGE METERING p IL
111
METERING 3 fc:BARREL- 55
z o
YPE MIXI UG < <
L_
iu re i-
O SECTION H
< ... +1
(0
Figure 2 Screw p ro files and cro ss section o f vented barrel extruder.

306 Chapter 6
Pitch angle: 12 - 20°

Length-to-diameter ratio (LID): 16:1 — 36:1 (low 40’s typically for easily
melting/flowing polymers requiring high mixing and venting)
Extrusion pressures: 10000 — 30000 psi
For extrusion pressures, low ratings (—10000 psi) are usually sufficient for
many thermoplastic materials. The upper limit typifies FEP Teflon.
The lead on a screw is defined as the distance between the flights. As an
approximation it is equal to the ID of the barrel for a single-flighted screw. The
radial clearance between the flight tip and the barrel is tight (usually —0.001
in./in. of barrel ID). The reason for such a tight clearance is that if the gap is too
great, the material may flow back along the barrel, resulting in a loss of melt
pumping zone capacity.
The initial region of the extruder plays an important role in the machine’s
overall operation. It consists of a hopper or feed arrangement and a solid feed
stock conveying region. Its purpose is to transfer the cold polymer feed from the
feed hopper into the barrel, where it is initially compressed. This compression
forces air out between the interstices of resin pellets or rubber chunks (air being
expelled back through the hopper) and breaks up lumps and polymer agglome
rates. This action creates a more homogeneous feedstock that can be readily
melted.
Important features of the screw are shown in Figure 3. The relative motion
of the extruder barrel to the screw is at an angle to the flights, where the helix
angle of the flight is c(). From a vector diagram of the relative motion, the forward
velocity of the plug is the velocity down the flights divided by c|>. The volumetric
capacity of the screw is
(la)
or
(lb)
where
Uz = forward plug velocity

P = number of flights in parallel
e = width of flight
h = channel depth
Rs, Rb = radii of the screw root and inside barrel, respectively
SOLIDS MELT
ZONE METERING ZONE ZONE
SCREW FLIGHT
w m rtirm tm u n m / m y m m n rr n n T i Tn7 7 ninjy//j/n /nnj\
HOPPER E DIE END
T T jrm riT m in /T m jfH n T rm n .w w rm n n trn rrrn n rm

----- --------------- ----- :--------------------------
FEED COMPRESSION METERING SECTION
SECTION SECTION
Figure 3 Configuration of screw.

308 Chapter 6
Throne (1979) notes that the plug velocity at the barrel surface is:
^ = 5 Te (2)
where 0 is the angle of advance of the plug relative to the screw axis (typically
10 ~ 25°).
Frictional forces between the plug and barrel depend on angle 0, which in
turn is a function of the force and torque exerted on the polymer plug.
The preceding relationship is however an oversimplification. A more de
tailed force and torque balance on the plug shows that c|> is a function of the
forces and pressures:
/ W \ ( tan (b tan 0 \
e, = rv’NHDM - », ( — ) ( ,^ ^ |an9) (3)
where W is the average channel width (note that for most designs W > e). This
expression is based on the following relationships:
Ub tan <j> tan 0

tan <|) + tan 0
where
Ub = NDb
N = screw speed (rpm)
W = - h) sin <|> - e (5)
Following Throne (1979) and Tadmor and Klein (1969), the following values are
introduced, which typify a more or less conventional single-screw design:
<}> = 17.61°
0 = 17.61°
Negligible pressure drop along solids transport zone
Hence, tan <|) = cotan 0, and for no friction between the screw and solid plug:
Qfs — pTT2NhDb(Db — h ) sin c() cos cf> (6)
and
sin c|> cos <|) = 0.2884

This provides a basis for defining a screw’s discharge coefficient in terms of the
solids conveying capacity as follows:
Q* = % = 0.2884 (tan <|> tan 0)/(tan <$> + tan 0) (7 )

Qs
This ratio provides a relative rating of the solids flow rate. For practical ranges of
0, Eq. (7) indicates that the actual solids throughput can be of the order of 6%
less than the maximum theoretical throughput.
Defining i|/0 as the friction between the plug and screw channels; then
i|/ = Fi^DlJLs cos((J> + 0) — i|i0 (8)
where
v|f = frictional force or push that a self-containing solid plug can exert on an
obstruction
F = frictional force per unit area between the barrel and polymer solids
Ls = channel length filled with polymer
The resistance force that would obstruct the solid plug is
i|in = 2TrDbi~ (9 )
where £ is the non-self-conveying friction per unit surface.

For solids to be conveyed, the condition that i|* > i|*n must exist. This can be
stated more explicitly as:
( 10)
The form of the feed material can have a dramatic effect on the solids-
conveying efficiency of the extruder. For example, in plastic extrusion applica
tions, when the resin is fed as pellets, the coefficient of friction generally tends to
be lower than in powder form; hence, pellets can tend to show higher conveying
rates. In general, Eq. (10) indicates that increasing F (e.g., increasing the coeffi
cient of friction between the material and the barrel) results in more effective
conveying.
Mechanical heat is generated in the solids-conveying zone, which can be
described in terms of the amount of heat added per pound of polymer conveyed:
Hs _ FDbLs{tan (J) + tan 0)

(tan c|> tan 0) ( 11)
Qs Ph(Db - h)[W /(W + e)\
310 Chapter 6
This thermal energy is the heat generated due to friction. This relationship shows
that to generate frictional heat, a large frictional force between the barrel and
solids is needed. This in part can be accomplished by using an extruder having a
relatively shallow channel height and a long feed section.
Following Tadmor and Klein (1969), the pressure in the solids-conveying
zone increases exponentially with distance down the flight and can be described
by
where
Px = pressure at the extruder inlet

Zs = distance down the channel
^ i , 2>^ 1,2 >K = functions of the solids properties and screw geometry
The inlet of the extruder usually has a hopper immediately above it when hand
ling plastic resins. The pressure at the extruder inlet therefore follows the Janssen
equation, which shows that the pressure exerted by solids on the floor of a vessel
is independent of the height or head of material, that is
” ~ D?b (13)
4<f>'K
where <|>' is the friction coefficient between the solid pellets or powder and the
wall.
The value of § 'K can be determined experimentally. More accurate predic
tions of the pressure exerted at the base of the hopper can be obtained by
considering the pressure profiles of the solids through the bin (Bridgwater and
Scott, 1983).
An important limitation of the Janssen equation is that it is based on a static
bin analysis. Extruder hoppers in fact are usually conical. In addition, they are
not operated like static hopper-bins or freely discharging hopper-bins. Flow rates
through extruder hoppers are controlled by the feed rate to the extruder. The
operator must ensure that the feed rate from the hopper matches that of the
extruder output. Pressure fluctuations due to variations of feed material levels in
the hopper can cause surging and uneven extrudate profiles.
Once the polymer feed has been compacted, the solid resin particles or
rubber chunks must be transformed into a homogeneous melt. Two major re
quirements are needed for proper operation:
1. There must be adequate heat conduction from the barrel to the resin or
elastomer.
2. There must be sufficient mixing of the melt with the unmelted resin.
Shear heating between the resin and barrel surface may be necessary for the latter
to occur. In general, the larger the amount of viscous dissipation within the m elt-
solid mixture, the less amount of energy need be supplied to the barrel, which
translates into lower operating costs. Materials such as ABS can be heated from
its resin state to a melt without supplying heat along the barrel. In this manner the
extruder is operated adiabatically. In processing different elastomers the extruder
operation can be isothermal; that is, the barrel, screw, and rubber are maintained
at constant temperature and we rely on shearing energy to convert the polymer
from a solid to a melt state.
Considering the melt as a Newtonian fluid and y as the direction from the top
of the solid bed to the barrel surface, the velocity profile in the melt is
Imposing the no-slip condition at the wall, Uz(0) = 0, and the velocity
component of the barrel in the down-channel direction is Uz{h) = U'z (where 8 is
the thickness of the melt layer), then
(15)
Equation (15) describes the velocity profile across the melt. Now the heat trans
fer which includes viscous dissipation is
(16)
where
km = melt thermal conductivity

r\ = melt viscosity
Conduction is the primary mechanism for heat transfer in laminar flow. The
melt temperature is T(y = 0) = Tm and at y = 8, T = Tb, which is the barrel
temperature. The preceding relations combine to provide the temperature profile
through the melt:
312 Chapter 6
T 7m= B r ( ^ ) ( ^ ) + f (17)
Th ~ T r
where Br is the dimensionless Brinkman number. The Brinkman number pro

vides a measure of the relative importance of viscous heat generation to heat
conduction due to the imposed temperature differential, Tb — Tm. It is defined as
Br = 7k r ^ '- Tm)
T (18)
Differentiating Eq. (17) and evaluating the expression 3' = 0 gives the heat
flow from the melt into the solid plug of polymer preceding it
j] UL2
- q = km(Tb - Tm)8 + (19)
In the solid bed the material’s surface temperature is T(0) = Tm, and the
temperature at some sufficiently large distance from the inlet is Ts. If the solids
move in a plug flow fashion, the heat conduction for this material is
dT = d 2T
PsCsVsy — = k, — (20)
dy ~ s dy 2
where
Vsy = bed velocity in y-direction

cs — specific heat
ks = thermal conductivity
Solving Eq. (20) gives
where a s = thermal diffusivity of the bed.

Equation (21) states that the temperature profile in the solid exponentially
decreases from its melt temperature at the surface to the screw temperature Ts (if
the extruder is sufficiently long) or some other reference temperature, in the
interior of the bed.
The rate at which the melt enters the region above the solid bed is approxi
mately the mass rate of flow leaving the melt pool; hence,
Q' = Vv p ,x = (22)
where
Q’ = rate of melting per unit down-channel distance

p5 = solid’s density
Vbx = velocity of barrel in the screw axis direction relative to the screw
pw = melt density
x = average solids bed width
The heat flux into the solid is obtained from the heat conduction equation (Eq.
(20)). From an overall heat balance
t 8 + r)(/'2/28 ] ~ “ Ts) = V^ H' (23)
where
H ’ = heat of fusion of solids
Throne (1979) gives the following two expressions for the thickness of the melt
and the velocity of the bed:
= f [2km(Tb - T J + t \U '*] x 1 1/2

I VbxPmcs(Tm ~ T , ) + H ' J
f lVbxPmk J T h - T m) + t i ^ 2/211 i/2 .

V I 2 [cs(Tm - T s) + H ' J
where v is the speed of rotation and thus the velocity of the solid bed.
The rate of melting is proportional to the square root of the width of the solid
bed, and the solid’s volumetric flow rate is related to the rate of melting:
d(hx)
- P s V sz = V (26)
Throne (1979) imposes the following model assumptions:

1. The melt film thickness is small and constant during the melt phase,
2. The height of the bed hs is equal to the height in the channel.
314 Chapter 6
3. The channel is tapered and therefore the height can be described by h = h0

- az, where h0 = channel height at beginning of melt zone and a = slope of
the channel.
4. At the beginning of melting (i.e., at z = 0), X = W, the channel width.
By applying these assumptions, substituting Eq. (25) into Eq. (26), and simplify
ing terms, the following relation is obtained
(27)
The solution to this equation is:
(28)
where is a transformation variable defined in terms of the mass flow rate G:
§W m
(29)
~G!h(7
and
G = Vszh0W Ps (30)
A plot can be prepared of XIW versus z/Z, for different alty values [where Z
= (/z0/ty)(2 ~ a/ty), the total melting length], which shows the effect of screw
flight tapering on the solid bed profile. The relationship for Z shows that by
increasing the extruder channel width, the length of melting required decreases.
Further, increasing barrel temperature, melt viscosity, and screw speed decrease
for melting length.
After the polymer has been completely melted it enters the metering or
pumping zone of the extruder. This portion of the machine is designed for a
certain length so that sufficient pressure builds up for injection or extrusion
through dies. The most widely referenced model of this portion of extrusion is
that of Squires (1964). The model was later modified by Carley (1971). This is a
drag flow model. The relationship between pressure drop in the flow channel and
the velocity profile is
E xtru sio n o f E la sto m ers an d P la s tics 315
where
T) = melt viscosity (assume Newtonian for immediate discussions)

Vz = velocity component along Z-direction
y = distance above the root of the screw
By integration we obtain:
v = yV£ _ y(h - yXdP/dz)

Vz h 2t\
Integration of the velocity profile across the channel height gives the volumetric
flow rate
q = W J Vz dy
j 0
= V^Wh _ Wh3(dP/dz) ■
2 12tt|
By incorporating terms describing the channel geometry, Eq. (33) transforms to

the following:
Q = Fd (34)
where
(J> = helix angle

D = barrel diameter
N = screw speed
L = length of melt zone of screw in the axial direction
Fd, Fp — geometric functions of W/h; drag flow and pressure flow shape
factors, respectively
The first term on the right-hand side of Eq. (34) represents the drag flow
induced by the moving barrel surface. The second term represents the pressure
flow induced by the axial pressure gradient in the extruder. Note that for melt
flow in very narrow channels, Fp = Fd = 1.
316 Chapter 6
INFLUENCE OF RHEOLOGY ON EXTRUSION

Proper scale-up and use of polymer processing equipment such as extruders, as
well as an understanding of the physical processes taking place in the apparatus,
require a knowledge of the polymer melt and its dependence upon the shear,
temperature and molecular properties of the polymer. This information is per
haps most important in processes where the polymer melt undergoes high shear
and heat treatment and/or where degradation of the polymer may occur. In some
applications, polymer degradation may actually be desirable in order to achieve
the proper characteristics of the final polymer melt.
There have been a number of attempts to relate rheological properties of
polymers to screw extruder design. Zavadsky et al. (1982) developed mathemati
cal descriptions of flow curves of a degradable type of polypropylene (TE430)
and applied these relationships to the design of plasticating screw extruders for
the production of polypropylene fibers. In this study the flow curves were mea
sured on a Gottfert laboratory extruder over a temperature range of 190-310°C
and shear rates of 1-300 s-1 . A Takara plastometer was used to obtain the final
melt index for each measurement. The effective viscosity of the melt t| was
computed as the ratio of the wall shear stress t = A PJ/4L to the nominal shear
rate T at the wall, calculated without any correction as T = 8 uld (where d = die
diameter, L = length of die, u = mean flow velocity). Munstedt (1978) describes
a method to generate a master curve for all temperatures based on an Arrhenius-
type relationship.
(35)
where
aT = shift factor
E = activation energy of flow
R = universal gas constant
T0 = absolute reference temperature
T = absolute temperature of measurement
The master curve has the general form:
(36)
Zavadsky et al. (1982) redefined the shift factor in terms of the melt index (MI)
such that
- m <37)
A logarithmic plot of r)MI/ar versus YaTIM l for measured data of the flow
velocity u and pressure difference AP converted to r\ and T over the entire range
of temperatures for the study was found to lie on a master linear correlation (see
Figure 4). This type of relationship can be readily defined in terms of a power
series:
In y) = In aT + 2 0/(ln aT T)*"1 (38)
where the temperature shift factor takes the form
a7.m = (MI)«8 e x p (a 6 + ^ ) (39)
ln (D a T / M l )
Figure 4 Master flow curve developed by Zavadsky et al. (1982) for a TE430 poly
propylene for a temperature range of 190-310°C.
318 Chapter 6
The coefficients in the power series can be evaluated by the method of least
squares and for the data of Zavadsky, these values are as follows:
Gi = 10.306 a2= 0.52327 a3 = -0.019027

a4 = 0 a5—0 a6 = —10.718
a7 = 4263 <z8= —0.87968
Melt index is a function of the temperature and residence time of the melt in
the apparatus. Residence time can be quantified from the volumetric throughput
of the extruder and a mathematical expression such as that derived by Zavadsky
et al. can be derived from a multivariable regression analysis:
MI = 5.1 + tc x 1.0725('-321-5> + tl x 1.2082<'-338 1> (40)
where
t = temperature
tc = residence time
A more convenient relationship for describing the flow curves of poly

propylene, and indeed many other polymers, is a power law model expression:
T| = wiq exp( kt)Yn~^ (41)
For calculation purposes, this relation is more convenient than Eq. (38). The
power law coefficients A: and n can be derived by the comparison of the partial
derivatives of Eqs. (41) and (38) to give
n = 1 + a2 + 2a3 ln(aTmT) (42a)
k = (42b)
And the flow consistency index m0 is simply
m0 = T| exp(& 0P-w (43)
Zavadsky points out that the parameters of the power law model change because
of the degradation of the polymer even under conditions of constant shear rate
and temperature. The importance of the melt index on these parameters becomes
evident by performing a simple series of parametric calculations using the pre
ceding relationships. Figure 5 illustrates the effect of MI on k, n, m0 and rp
In the case of polypropylene degradation of the polymer can have a significant

effect on the extrusion process. Zavadsky et al. applied their model to the
evaluation of several single-screw extruder configurations. Figure 6 shows model
predictions of the influence of polypropylene degradation on the energy dissipa
tion, temperature, and pressure down-channel profiles, accounting for progressive
degradation as given by the empirical relation of Eq. (40). The value of such a
model is that it can guide the user in selecting an extruder geometry suitable for the
particular polymer characteristics. The study shows that the influence of shear rate
and MI on the rheological parameters k and n is distinct but diminishes with
increasing values of both quantities. In general, the influence of shear rate on
parameter m0 is negligible but this parameter is a strong function of the melt index.
There are a number of mathematical treatments of the extrusion process
based on various methods. For example, Marshall et al. (1965) and Klein et al.
(1965) used regression analysis to fit a system of empirical equations to data
obtained from an experimental extruder. These relations, however, can only be
used to describe the performance of other machines of similar size working with
similar materials. More universal methods are based on principles of continuum
mechanics. In this case the extruder is conceptually divided into several zones in
order to develop a mathematical description of the extrusion process as described
earlier.
Zavadsky (1978) developed a mathematical model of an extruder by divid
ing the apparatus into the following zones:
The zone under the hopper
The solids-conveying zone
The delay zone
The melting zone
The melting/conveying zone
The mathematical description of a particular zone and its exact solution
depend on several simplifying assumptions. The model equations can be solved
numerically only by using a digital computer. Therefore, in choosing suitable
mathematical models for the various zones a compromise must also be made
between cost and accuracy.
For the zone under the hopper, the length of the zone is assumed to be equal
to the inside diameter of the hopper neck. The barrel is usually cooled here. It
can be assumed that the solid polymer in this zone is heated by hot air from the
extruder to an average of the temperatures of the barrel, screw, and solids in the
hopper. The pressure can be estimated by the solid polymer hydrostatic pressure.
In the solids-conveying zone the solids movement strongly depends on the
friction coefficient in the solids-barrel and solids-screw regions. The mathemati
cal model developed by Zavadsky is based on the work of Broyer (1972) for two-
dimensional, nonisothermal, nonisotropic plug flow of solid material described
320 Chapter 6
k (1 / C )
Ml ( g / 1 0 m in )
n
E X P O N E N T,
LAW
POWER
0 20 40 60 80
Ml (g / 1 0 m in )
F i g u r e 5 Effect of melt index and shear rate on (A) k parameter, (B) power law
exponent n, (C) parameter m0, (D) apparent viscosity r\.
m0 ( P a - s n
(Thousands]
Ml ( 9 / I O m in)
(P a -s)
APPARENT VISCOSITY
(Thousands)
Ml (g / 1 0 m in)
322 Chapter 6
CHANNEL-DEPTH RELIEF
OL
2
TURNS
o (A)
o
(B )
TURNS
(C )
Figure 6 Computer prediction of (A) down-channel pressure profiles; (B) down-channel

melt temperature profiles; (C) down-channel melt index profile; and (D) down-channel
dissipated energy profiles, for one extruder configuration.
earlier. Examples of typical temperature and pressure profiles are shown in

Figure 7. Friction coefficient-temperature relations are given by Chung et al.
(1977).
As noted in an earlier discussion, there is a transition region in the extruder
which can be thought of as a delaying zone. Once the solid resin has been
conveyed a certain distance along the extruder it becomes important that it reach
its melting temperature. The friction forces in the barrel are replaced by shear
stress in the film. In the delay zone, heat is conducted from the hot barrel through
the melt film to the m elt-solid interface. Heat is also generated by viscous
o
ei *■
*?0 im m
_: 21
ro0
BARREL OO- —
1.0 1—1 7 7 ------------------------------------------------- -----
0.8
0.6
0.4
0.2 i ' v\ (
SCREW
40 60 80 100 120 140 160
TEMPERATURE (°C)
(A )
P ARAME T E R Z
(B )
Figure 7 (A) Model predictions of the solid bed temperature profiles in the solids-
conveying zone reported by Zavadsky and Kamis (1985) for one-extruder configuration,
(B) Model predictions of the axial pressure distribution in the solids-conveying zone.
324 Chapter 6
dissipation in the film. The heat energy melts the solid polymer causing the
thickness of the melt film to grow. A mathematical model of this zone for
constant depth of the screw channel and constant solid bed velocity was given by
Kacir and Tadmor (1972). The average value of the film thickness at the end of
the delaying zone can be five times larger than the flight clearance. The flow of
polymer between the barrel and m elt-solid interface can be modeled as the flow
of a power law fluid between moving plates with a linear temperature profile
across the film thickness. This mathematical model can be extended to account
for changes in the channel depth. Typical pressure and film thickness profiles are
shown in Figure 8. The end of the zone is given when the film thickness has
grown to the initial value of film thickness in the melting zone.
Tadmor et al. (1966, 1970) provide a model of the melting zohe, where the
mechanism of heat transfer is similar to that described in the delaying zone.
Here, however, the melt film is continuously scraped by the advancing flight and
accumulates in the rear of the screw channel. Melting exists only at the m elt-
solid interface along the barrel. The model assumes a constant solid bed velocity
along the axis of the channel. The flow of the melt in the film can be simulated in
the same way as the flow in the delaying zone, that is, fully developed drag flow
of a power-law fluid with linear temperature profile across the film thickness,
with heat generated in the flow being conducted to either the solid bed or barrel
surface. The rate of melting is given by the balance of heat fluxes on the m elt-
solid interface using an effective latent heat of fusion, and the change of the solid
bed width is given by a mass balance. In a simplified analysis the solid bed can
be treated as a semi-infinite plate with heated surface. Therefore, the boundary
condition given by the screw temperature has no influence on the temperature of
I-
f ( mm)
PARAMETER Z PARAMETER Z
(A ) (B )
Figure 8 Model predictions of (A) axial pressure profiles in the delaying zone and (B)
axial film thickness profiles reported by Zavadsky and Kamis (1985) for two-extruder
configurations.
the solid bed and the bed temperature profile is independent of the downstream
position. Relations for simulating the down-channel pressure profile were de
rived for the model of Zavadsky et al. (1982).
For the melt conveying zone, Zavadsky employs two different mathematical
models. For optimizing the channel depth (maximum mass flow rate) with respect
to strength and calculating the screw core and flight, a two-dimensional isothermal
Newtonian model is used. The velocity is assumed to be fully developed in the
axial direction and the channel rectangular with one moving plane, namely, the
barrel. The computed mass flow is modified with the aid of correction factors for
channel curvature and for flow in the flight clearance. The pressure gradient is
given by the difference between the initial and required end pressures divided by
the melt conveying zone length. The melt viscosity is calculated for the required
melt properties at the end of the extruder. For computing the temperature and
pressure profiles along the channel axis a non-Newtonian, nonisothermal two-
dimensional model with heat dissipation is used.
The heat balance in an infinitesimal element of the length is made with the
aid of barrel-melt screw heat transfer coefficients. The relation between shear
stress and shear rate is given by a power law model:
t — tyIq e~kt y n (44)
The parameters m0, k, and n can be given as a function of temperature, shear

rate, and varying properties of the melt, due, for example, to its degradation. In
each zone the barrel temperature is constant, whereas the screw temperature
grows linearly along its axis.
EXTRUSION OF ETHYLENE-PROPYLENE ELASTOMERS

Ethylene-propylene elastomers have been used widely in extruded parts for over
a quarter of a century. This is principally due to the’ recognized ease of pro-
cessability of E-P compounds in extrusion operations and the broad range of
physical properties that are obtained to satisfy the myriad of applications. Major
uses include hoses, dual durometer weatherseals, glass run channels for auto
mobiles, building profiles, and electrical insulation for the automotive, architec
tural, and construction industries. The reader should refer to the work of Johnson
(1983), which provides a detailed review of extrusion technology. In this section
an overview of the characteristics of ethylene-propylene polymers is presented
to show how these parameters affect the extrusion process. Specific structural
factors, namely, molecular weight and breadth of molecular-weight distribution,
are then related in more detail to processability in the extruder. In a more general
sense, these principles are equally applicable to other types of polymers, such as
plastics. It is important to keep in perspective that regardless of the particular
326 Chapter 6
polymer in use, the rheological properties of that material play a dominant role in
the extrusion or mixing process. In the previous section the concepts of extruder
modeling were reviewed, with emphasis placed more on apparatus scale-up and
design. However, the consumer or end-use manufacturer most often does not
have the freedom to alter equipment configuration. He must in fact work with
fixed equipment and is therefore faced with the problem of selecting a polymer of
suitable properties for manufacturing the article. To achieve the proper rheology
for processing and, of course, the correct physical, chemical, and cure properties
of the final product, the polymer manufacturer must synthesize a suitable mo
lecular structure. Rational selection of engineering polymers must therefore be
based on our ability to relate molecular properties to physical, chemical, and
rheological characteristics, which in turn, must be related to the materials’ pro
cessability and end usage.
Ethylene-propylene elastomers are uniquely suited for many extruded auto
motive and industrial applications noted above because of their unlimited ozone
resistance, outstanding weatherability, good heat resistance, and low compres
sion set. EP polymers have characteristically long, flexible, an$ mobile chain
segments, which permit easy incorporation of fillers, plasticizers, and other
rubber additives. From a processability viewpoint, this is an important feature
because extrusion throughput is greatly increased as the viscoelastic effects of the
rubber are reduced. In addition, compound cost savings also accrue from in
creased loadability of the E-P rubber. Thus, the finished article has the potential
for attractive manufacturing economics.
Ethylene-propylene elastomers are described in terms of both structural and
compositional factors for complete definition of any product. For a very thor
ough discussion of ethylene-propylene elastomers, the reader should consult Ver
Strate in the Encyclopedia o f Polymer Science and Engineering and the paper by
Keller (1985). These parameters are as follows:
EP molecular parameters for grade definition
Structural factors
Molecular weight (or Mooney viscosity)
Molecular-weight distribution
Long-chain branching
Monomer sequence distribution
Compositional factors
Ethylene-propylene ratio
Diene type and concentration
Ethylene and propylene are the basic monomeric units of this elastomer as
illustrated by the structures shown in Figure 9. Polymerization proceeds in the
presence of transition metal halide/aluminum alkyl chloride catalyst systems to
yield high-molecular-weight elastic products. The copolymer may be combined
COPOLYMER (EPM)
CH, CH,
CH2 = CH2 + CH = CH. ^ -C H J - tC H - C H J ,

i
TERPOLYMER (EPDM)
CH; CH,
CH2 = CH2 + CH = CH2 + -4 C H .-C H J,, (C H -C H J n-~
C -C H ;
H C— CHj
H
Figure 9 Structure of EP elastomers.
with a third or in some instances even a fourth monomer to provide unsaturated

functionality along the polymer chain to increase vulcanization response with
peroxides or to make the rubber sulfur curable. These structures are somewhat
oversimplified. Rather than alternating monomers even at a 50/50 weight ratio of
C2/C 3, there are more or less random distributions of ethylene and propylene units
which are determined by catalyst system and other polymerization conditions. In
general, the Mooney viscosity at 125°C of commercial EP elastomers varies from
less than 20 to well over 100 for oil-extended grades. Typical extrusion grades are
found in the medium-to-high Mooney series, although blends of polymers from all
groups may be used.
In addition to the sequence distribution of monomers in any given polymer
chain, molecular-weight distribution also varies greatly among commercial EP
elastomers. MWD typically spans the entire range from narrow to broad, with
some bimodal and even multimodal distributions. A generalized schematic of
narrow and broad distributions is given in Figure 10. In the extrusion process,
narrow distribution grades tend to have higher throughput rates and extrudates are
usually smoother. However, because of the absence of high-molecular-weight
ends, stocks generally feed poorly. On the other hand, broad MWD polymers have
better extruder feeding characteristics but also yield higher die swell. Another
manifestation of MWD is the effect on state of cure. Figure 11 illustrates a
curemeter response for two EP polymers that differ only in MWD (Mooney,
ethylene, and diene content are similar). The narrow elastomer cures at a faster rate
and to a higher cure state, because there are fewer chain ends in these polymers,
328 Chapter 6
Figure 10 General molecular-weight distribution of EP elastomers.
Time, minute
Figure 1 1 A com parison o f narrow and broad M W D polym ers in cure response.
which results in a more efficiently formed network. In general, as the average

weight-to-number molecular weight (M JM n) decreases, cure state of the com
pound increases. This is illustrated by the data in Figure 12, which is a plot of the
difference between the maximum and minimum readings in the curemeter versus
the weight to number average ratio as obtained from GPC techniques.
When the ethylene content in the polymer is typically above 55 wt %,
measurable levels of crystallinity can be detected using differential scanning
calorimetry (DSC) techniques. There are several important aspects for the use of
high ethylene products in extruded articles. Toughness and green strength are
imparted to the compound, essential in a cold feed process; thus, the poor feed
qualities of narrow MWD polymers are overcome via the semicrystalline route.
Further, stocks employing high ethylene grades tend to be more thermoplastic,
which enhances mass flow. Finally, the profile should have better size control
and dimensional stability. Figure 13 shows the effect of ethylene content on the
green strength of an extrusion compound. Depending on the catalyst and reactor
conditions employed, a 1-2 MPa increase in green strength is observed as low as
57 wt % in one type of polymer while at 64 wt % in another. Thus, at any given
80
70
30
20
1 2 3 4 5 6 7 8 9 10
Mw/Mn (GPC)
Figure 1 2 T h e e ffe c t o f M W D on the state o f cure.

330 Chapter 6
5
✓
0
50 55 60 65 70 75
Ethylene, wt.%
Figure 13 The effect of ethylene content on rubber green strength.
ethylene content, type A polymer is more amorphous than type B. This is

noteworthy because ethylene content has a major influence on tensile strength.
For the same level of cold green strength or toughness as might be encountered in
the case of mandrel forming a radiator hose, the type A polymer is expected to
yield higher tensile properties in the finished product.
The green strength of the rubber compound is critical to cold feed extruders
and generally depends on the level of crystallinity in the polymer. A measure of
crystallinity is the polymer’s heat of fusion, as measured by DSC techniques. A
typical DSC curve is shown in Figure 14. It is important to note that the presence
of monomers such as nonconjugated dienes can affect the level of crystallinity.
As shown in Figure 14B, the addition of a small amount of diene [ethylidene
norbomene (ENB)] significantly reduces the heat of fusion. The effect of the
monomer is to disrupt the ethylene sequence distribution so that the true ethylene
content of the polymer is approximately defined as follows:
Corrected ethylene content (wt %) = (1-diene content/100)

x ethylene level (45)
Figure 15A shows crystallinity data for a group of polymers made using the same
catalyst system. As shown, below about 55%, the polymers are amorphous.
Figure 15B shows the dependence of compound green strength (polymers com-
pounded in a sulfur cure system with carbon black) on the level of crystallinity.
E x tru sio n o f E la sto m ers an d P la s tics 331
(A)
TEMPERATURE (C)
(B)
TEMPERATURE (C)
Figure 14 (A) Typical thermogram of a copolymer. (B) Thermogram of same polymer

with 0.5% ENB (terpolymer).
332 C h ap ter 6
(c a l/g )
OF FUSION
HEAT
CORRECTED ETHYLENE CONTENT (WT. 96)

(A)
(MPa)
STRENGTH
GREEN
COMPOUND
HEAT OF FUSION (c a l/g )
Figure 15 (A) Dependence of crystallinity on ethylene content of polymer. (B) Rela

tionship between green strength and crystallinity.
In cold feed extruders, high green strength values tend to produce smoother
feeding and compaction within the extruder with the net result of increased
throughput. Figure 16 shows the effect of green strength on mass extrusion rates
for a series of polymers extruded in a single-screw extruder.
As noted above, the monomers employed to introduce olefinic sites for
sulfur curing are nonconjugated dienes. The most widely used is ENB. This
diene polymerizes through the strained ring, resulting in a carbon-carbon double
bond pendant to the main chain. The unique feature is its fast cure response,
which is an important consideration in extruded profiles, particularly for sponge
as well as other applications. Other dienes, illustrated in Figure 17, are also
utilized to provide some distinctive characteristic. 1,4-Hexadiene (HD) is the
most difficult to incorporate into the main chain because it does not involve a
strained ring as does ENB. However, terpolymers containing HD generally
impart somewhat better heat resistance than other EPDM grades. Dicyclopenta-
diene (DCPD) polymerizes into the main chain, but the second or five-membered
ring double bond is also accessible to Ziegler catalysis, which can lead to long
chain branching. Norbomadiene (NBD) has two equivalent double bonds that are
reactive in polymerization. In some E-P rubber grades, a small amount of NBD
is utilized to develop controlled branching. In general, reaction of the residual
double bond results in tetrafunctional long-chain branch points in EPDM. In
Z
o
w
D
COMPOUND GREEN STRENGTH (MPa)
Figure 16 E xtru sio n throughput increased with compound green strength.

334 C h ap ter 6
Name & Structure Features Branching

Ethylidene Norbornene • Fast Cure Nil
C -C H ; • Good Tensile
• Good Set
1,4 - Hexadiene C = C - C - C= C - C • Best Compression Set Nil

• Normal Cure Rate
• Scorch Safe
Dicyclopentadiene • Low Cost High

• Very Slow Cure
• Good Set
Norbomadiene Branching Very High
Figure 17 Chemical structures of different dienes used in EPDM elastomers.
some extruded applications a small amount of branching may be desirable as a

process aid and to maintain profile definition prior to vulcanization. However, if
the branching reactions are left uncontrolled, gel formation occurs, which is
obviously undesirable.
As noted earlier, the processing characteristics of EPDM and other polymers
depend on compositional and molecular-weight properties. In designing extru
sion products and/or assessing different polymers in new or different extrusion
applications formulas, the ability to project small-scale processing tests to com
mercial extrusion is essential. Laboratory rheological testing can assist in defin
ing the proper balance of molecular-weight distribution to enhance extrusion
operations. The molecular-weight distribution (MWD) is defined by various
molecular-weight averages or moments of the MWD. Figure 18 shows a typical
MWD curve with the important moments defined as follows:
where Niy Mb and Wt are the number molecular weight and weight fraction of the
ith species.
The high ends of the distribution are characterized by the z and z + 1
averages:
(48a)
o
2
o>
1
Molecular Weight
Figure 18 Important features of a typical molecular-weight distribution curve for a

polymer.
[f|] = KM« (49)
The M ark-Houwink relationship of viscosity to molecular weight states that

where [f]] is the limiting viscosity number (or inherent viscosity), M is the
molecular weight, and K and a are constants which depend on the polymer-
solvent system in use. Mv is defined as the viscosity average molecular weight,
which can be approximated by (Slade, 1975):
- 2 NJd}+a
(50)
with a a constant that is temperature and solvent dependent. From Figure 18 it is

seen that:
Mn < Mv < Mw < Mz < Mz+l (51)
Indexes of MWD such as M J M n, Mz/Mw can be used to compare different

polymers on a relative basis.
336 Chapter 6
The importance of these moments or indexes to extrusion can be studied

with small-scale rheological testing of compounded stock. In the elastomers
industry the Mooney viscometer and the Monsanto processability tester (MPT)
are widely used to characterize both neat rubber and compound rheological
properties.
The Mooney viscometer measures torsional flow between a stationary and
rotating disk to determine the shear stress at the outer radius of the disk, and, as
normally applied in product quality control, provides a single-point viscosity
measurement at one shear rate and temperature. In general, Mooney viscosity
can be used to show the overall effect of MWD on the bulk polymer viscosity.
Figure 19 shows a plot of compound Mooney viscosity versus gum Mooney
viscosity. Curve A polymers have M J M n averages of about 2.0, whereas the
lower compound viscosity polymers (curve B) have 3 < M J M n < 4. Figure 19
implies that broader-MWD polymers process (i.e., mix, mill, extrude) better
than narrow-MWD polymers. This is a generality, however, and can be better
defined in terms of the moments of the MWD.
The relationship between compound viscosity and the higher moments of the
distribution are illustrated by a plot of the compound Mooney viscosity versus
MJMn in Figure 20. This plot illustrates that the high ends of the distribution can
play an important role in compound rheology.
A capillary rheometer also provides a means of studying MWD effects on
rheology, over a wide range of shear rate conditions, which more closely approx
imate extrusion operations. The Monsanto processability tester (MPT) is widely
Figure 19 A plot o f compound versus gum polym er M oon ey visco sity .

E x tru sio n o f E la sto m ers an d P la stics 337
Figure 20 Effect of the high ends of the molecular-weight distribution on the com
pound Mooney viscosity. All polymers have approximately the same neat Mooney vis
cosity and were compounded in the same carbon black formulation. (LALLS, low-angle
laser light scattering.)
used to assess the flow and elastic response of various compound stocks. This
instrument is an automated capillary rheometer equipped with a data acquisition
system which can record shear stress and running/relaxed die swells at shear
rates ranging from 1 to 104 s- 1 . Shear rates in commercial extruders are typically
in the region from 30 to 1000 s- 1 . Shear stress can be correlated in the usual
manner with a power law expression
t = kyn (52)
where k and n are the so-called consistency and pseudoplasticity indexes. The
consistency index is calculated from the intercept on the t axis at unit shear rate.
From Newton’s law of viscosity,
T = Tl0if (53)
The apparent viscosity can be related to coefficients k and n by combining Eqs.

(52) and (53):
r\a = k j n~l (54)

338 Chapter 6
Figure 21 shows typical shear rate-viscosity flow curves on a log-log plot for
two different polymers in both gum and compounded stocks at 100°C. The
broader MWD polymer is shown to have a lower compound viscosity over the
entire range of shear rates than the narrower MWD sample, despite the fact that
in the gum state, the polymer is much more viscous than the narrow MWD
sample. At very high shear rates, the rheological flow curves tend to converge as
illustrated by the compound viscosity data in Figure 21. Nonetheless, over the
shear rate range of interest for extrusion applications, the broader polymer with a
high molecular weight end is lower in viscosity, which directionally should
translate into faster extrusion.
Sezna (1984) has shown that the k and n constants for compound stocks as
measured in the MPT properly describe the rheological characteristics of extru
sion. By relating k and n to MWD, some generalizations for selecting polymers
for certain extrusion applications can be made. Table 1 reports typical k and n
values for both gum and compound samples along with their MWDs. Data are
shown for four samples in the same compound formulation, and one sample in
two widely different compounds. In scanning the table, it is found that n is nearly
constant despite significant variation in MWD and that it appears to be more of a
function of the specific compound. The ^-values, however, vary, implying a
&-MWD and Mw dependency.
Figure 22 shows a plot of compound A;-values versus M JM W averages for
Shear Rate, 1/Sec
Figure 21 Effect of shear rate on viscosity of extrusion polymers at 100°C.

E xtru sio n o f E la sto m ers and P la s tics 339
Table 1 Values of k and n for Gums and Compound Polymers
Gum Compound
Mooney
viscosity MWD Mz/Mw k n k n
53 3.1 16 2223 0.26 402.9 0.29

72 3.8 30 2296 0.26 804.8 0.24
73 3.4 12.4 3125.9 0.23 323.9 0.31
60 2.2 3.1 1844 0.23 571.2 0.26
60 2.2 3.1 1844 0.23 148.6 0.16
several polymers with approximately the same M J M n. This illustrates that com
pound viscosity can be significantly altered by varying the moments of the
MWD. In this example the importance of the high end of the distribution is
illustrated. The lower A:-value signifies lower compound viscosity, which should
result in a faster extrusion for the compound formulation studied.
As discussed, the processing characteristics of EPDM and other elastomers
depend on contributions from three main areas: compositional properties,
molecular-weight properties, and the presence of long-chain branching. In terms
of composition, when the ethylene content in the polymer is generally above 55
wt %, measurable levels of crystallinity can be detected using differential scan-
Figure 22 D ep end ency o f polym er flow index on M JM Wratio.

340 Chapter 6
ning calorimetry (DSC) techniques. Crystallinity can play an important role in

extruded articles. Toughness and green strength in compounds are generally
derived from crystallinity, which can establish good feeding characteristics in
cold feed extruder operations. In addition, compound stocks derived from crys
talline-like polymers tend to be more thermoplastic, which enhances mass flow.
Finally, extruded profiles typically have better size control and dimensional
stability.
Narrow-MWD polymers tend to demonstrate higher throughput rates in
extrusions, with extrudates typically having smooth surfaces. Note, however,
that the absence of high-molecular-weight ends results in a compound stock
having little guts; hence these materials generally feed poorly. Narrow-MWD
polymers are sometimes preferred because they cure faster than broader polymers;
hence the poor feed qualities of the narrow MWD polymers are overcome some
what by introducing semicrystallinity. In contrast, broad-MWD polymers have
better extruder feeding characteristics; however, they tend to show higher die
swell.
The chemistry of long-chain branching (LCB) is complex and theoretical
discussions are given by Flory (1953). During polymerization, propagated by
free radicals, a chain may occasionally enter into a chain transfer reaction with a
polymer molecule. The growing chain is terminated and the reactivated polymer
molecule proceeds to grow a new chain attached to the unit involved in the chain
transfer. The resulting branched polymer may subsequently undergo activation at
another of its units, and hence another chain is added to the molecule at this
point. Repetition of this process may yield highly branched molecules. Polymers
with low levels of LCB tend to be more shear-thinning, and hence will exhibit a
lower viscosity when subjected to stress. The net result is faster extrusion.
Hence, from a processing standpoint a controlled amount of branching can be
favorable.
The presence of branching can be detected by coupling the techniques of gel
permeation chromatography (GPC) with laser light scattering in a multidetector
apparatus for molecular-weight characterization measurements. This technique
enables comparison of linear model molecules with their branched counterparts .
At a given elution time, the quantity
(55)
where a = Mark-Houwink exponent for the solvent used, can be related to the
degree of branching. The technique is described by Baldwin and Ver Strate
(1972), Krevelen (1972), Kresge et al. (1984), and Scholte (1983). A crude
branching index can therefore be defined from the ratio of weight average molecu
lar weights as measured by GPC and low-angle laser light scattering (LALLS).
Table 2 Summary of Data for Extrusion Study
Branch
Polymer K n MJMn MJMW Mw x 10~5 index
A 589.5 0.25 2.22 1.8 1.7 1.17

B 605.9 0.29 2.69 2.53 1.94 1.01
C 602.73 0.25 2.78 2.67 1.895 1.04
D 661.53 0.25 2.87 2.69 2.002 1.16
E 983.24 0.25 3.51 2.73 2.525 1.3
F 822.49 0.23 2.87 2.77 2.005 1.07
G 832.6 0.24 4.04 2.92 3.402 0.96
H 957.4 0.22 3.83 3.11 3.1 0.94
I 523.46 0.26 2.7 3.22 1.587 0.83
J 607.88 0.25 2.85 3.53 1.899 0.92
K 842.9 0.21 3.64 3.64 2.774 0.98
L 472.2 0.3 2.67 3.65 1.837 0.78
M 323.9 0.32 3.35 4.17 2.086 0.9
N 415.2 0.27 3.12 4.7 1.661 0.94
O 458.8 0.27 3.24 5.76 2.059 0.84
To illustrate the coupling of molecular properties to rheology and then to the

ultimate extrusion process, 15 polymers were synthesized in the Exxon laborato
ries and a capillary rheometer was used to determine the flow and elastic responses
of their compounded stocks over a range of shear rates anticipated in the extruder .
All stocks were prepared in the same applications formula using IR B #5 carbon
black at about 30%. Shear rates ranged from 30 to 180 s~ 1and measurements were
made at three temperatures (75°C, 100°C, 125°C). These temperatures covered the
wall temperature ranges anticipated for the extruder. Table 2 provides a summary
of the power law model rheological coefficients obtained at 100°C along with the
molecular weight and branching characteristics of each polymer. A stepwise
regression of fc-values (using log values) as a function of M J M n, MZIMW, Mw, and
branching index was performed and the results are tabulated in Table 3. As shown,
fc correlates with the weight average molecular-weight distribution
Usually when branching indices are larger than or equal to 0.9, it is believed that
no branching exists; hence the lack of fc-dependency is not surprising. The
correlation derived from this empirical fit of the data is
fc = exp(6.386)(Mz/Mvv)_a558 (Mw x 10-5)0.923 (56)

342 Chapter 6
Table 3 Spreadsheet Regression Results: Run Summary
Proc # Proc Name Result

1 STEP ok
ProcOl: Step
Dep.Var: LLNIK) R-Square 67.037
File : RE6RESS adj R-Sq 61.543
Range: St. Error 0.199
3.00 Variables F-Stat 12.202
15.00 Observations Dur/Wat 1.811
Det. 1.000
Stepping Report: adj R-Sq.

Step 1: Add LN(Mh ) 38.7333
Step 2: Add LN(Hz/Mw) 61.5430
Step 3: Add LN(INDEX) 61.4801
Step 4: Del LN(INDEX) 61.5430
Var Nane Coeff t-Stat St.Err Beta

Intercept 6.386
LN(Mz/Hw) -0.558 -2.951 0.189 -0.489
LN(Mn ) 0.923 3.936 0.234 0.652
Actual Calcltd. Percent

K-Value K-Value Residual Deviation
589.50 697.70 -108.20 -18.35
605.90 651.78 -45.88 -7.57
602.73 618.93 -16.20 -2.69
661.53 648.42 13.11 1.98
983.24 796.73 186.51 18.97
822.49 638.78 183.71 22.34
832.60 1010.44 -177.84 -21.36
957.40 895.31 62.09 6.49
523.46 473.32 50.14 9.58
607.88 530.67 77.21 12.70
842.90 740.11 102.79 12.19
472.20 505.15 -32.95 -6.98
323.90 527.35 -203.45 -62.81
415.20 399.74 15.46 3.72
458.80 435.10 23.70 5.16
Figure 23 shows a parity plot of the calculated versus the measured fc-value,
indicating that the correlation is good to within ±20%.
The power law exponent n in this example appears to be nearly constant
(refer to Table 2). For EPDMs it appears to be a strong function of branching.
The consistency index varies with temperature according to the Arrhenius-
type relationship:
where
T, T0 = measurement and reference absolute temperatures, respectively

E = activation energy of flow
To summarize to this point, we can relate the MWD of a polymer through an

empirical relation, Eq. (56), to its power law coefficients, and the rheology-
temperature relation can be determined by Eq. (57).
PARITY PLOT OF CONSISTENCY INDEX
(Thousands)
MEASURED CONSISTENCY INDEX, K
Figure 23 Parity plot o f co n sisten cy index ^-correlation.

344 Chapter 6
The elastic response of the test stocks in a capillary rheometer must also be
measured in terms of a Bagley correction experiment. Using the method de
scribed in Chapter 2, the Bagley correction is calculated by comparing capillary
pressures at the same shear rate for two or more dies with different LID ratios.
The entrance correction term g can be computed from
IP2(LID), - P i (L!D)2]
S (58)
where
Pi = pressure at one shear rate using a die with (L /D )1

P2 = pressure at same shear rate using a die with (L/D )2
This correction accounts for the additional pressure developed as the stock is
accelerated into a smaller die opening. Using this entrance correction, the true
shear stress at a die opening is
T ' = 4 ( L I D + g) <59)
Figure 24 shows a plot of g versus the effective shear rate y, generated in the
capillary die.
We may now relate the preceding information to extruder operation by
restating the one-dimensional extruder expressions in terms of the apparatus’s
configuration. The extrusion data reported in the discussions that follow were
generated in a 2.5-in.-diameter, single-screw extruder that was 69 in. in length
and equipped with an adjustable slit die. The extruder was equipped with three-
zone heating and although conditions were set to maintain close to isothermal
operation, conduction-loss calculations indicated that the barrel was typically
10 ~ 15°C cooler than the die. Head pressures and temperatures were measured
with dual thermocouple-transducer sensors. Linear mass rates were measured
using the weight-time method at near steady-state conditions as indicated by
machine torque measurements. Relaxed die swell measurements were made on
extrudate samples.
The shear rate through the slit die can be approximated from the analysis of
flow between parallel plates to give
ac
o
a
<
2
5u
DC
o:
o
o
o
<
a
Figure 24 Bagley correction term as a function of shear rate.
where
Q = volumetric flow rate

W = die width opening
H = die height opening
The shear stress at the die is
P
T = (61)
4 (LID + g)
Using the definition that t = k y n in Eq. (6 1 ) and solving for the extruder
head pressure gives
- 4 F + *)*( (62)
To solve Eq. (62) for P and Q, a second expression is needed. Considering

the cold feed extruder as a melt conveying screw of simple geometry, the appar-
346 Chapter 6
ent flow through the apparatus then reflects two types of flow, namely, drag flow
(i.e., no restriction at the die, Qd) and pressure flow, Qp . Qd represents the
maximum theoretical output of the extruder, which is reduced by the head
pressure developed at the die (Qp). Therefore, the actual throughput is
Q = Qa ~ Q P (63)
As discussed earlier in this chapter, the drag flow contribution can be ap
proximated simply by
Qd = AN (64)
where
A = [Tr2D 2tf 7120] sin c|> cos 4> (65)

N = screw speed
D = barrel diameter
H' = minimum flight depth
c|> = helix angle of screw (17.6°)
For the extruder used in the experiments, A = 2.87 X 10~4 m3-min/s.

The pressure flow contribution can be estimated from
(66)
where
B = [ttD H ’3I 12L] sin2 <\> (67)

P = head pressure
= viscosity of the stock in the barrel
For the extruder, B = 2.62 X 10~6 m3.

The viscosity of the stock in the barrel is based on the channel apparent shear
rate:
itDN
(68)
la 60 H ’
which at the mean barrel wall temperature is

(69)
where k depends on temperature and the molecular weight and molecular weight
distribution of the polymer.
The output of the extruder with a die can now be estimated by
(70)
Equations (70) and (62) can be solved by the method of successive approxima
tions. The iterative calculation procedure is as follows:
1. Input data are the MW (molecular weight) and MWD (molecular-weight
distribution), extruder conditions (barrel and screw temperature, screw
speed). The rheological coefficient k can be estimated from the empirical
equations (56) and (57). The power law exponent n in this example is
assumed a constant, reflecting the average value for the samples.
2. Compute the channel shear rate from Eq. (68) using the specified N. Using
the appropriate A:-value, obtain an estimate of nq, from Eq. (69).
3. Make an initial estimate of Q and
a. Compute the die shear rate, Eq. (60).
b. Compute the head pressure at the die, Eq. (62).
c. Use Eq. (70) to compute the head pressure based on N, g est, and r\s for
the barrel section.
4. If the computed head pressures agree to within some specified tolerance
(e.g., 2%), then the estimate of Q is correct. If not, then select anew Q and
repeat the calculations until convergence is achieved.
Model predictions of the pressure drop for polymer A (Table 2) are com
pared to measurements in Figure 25 in terms of a plot of head pressure versus
screw speed. As shown, the model predictions are in good agreement with
experimental data for the majority of experiments. The scatter in measured head
pressure and the low values at higher screw speeds suggest problems with the
transducer accuracy.
Model predictions of the linear extrudate rate for three of the polymers listed
in Table 2 are shown in the parity plot of Figure 26. As shown, the model
provides good predictions for polymers widely different in molecular-weight
distribution. In fact, the more accurately the molecular-weight distribution is
characterized, the more precise are model predictions. Figure 27 shows model
predictions of the volumetric throughput as a function of screw speed for two
polymers. The comparison to measured values in this figure illustrates that the
simple model is capable of quantitative predictions.
348 Chapter 6
S C R E W S P E E D (R P M )
Figure 25 Model predictions (solid line) of head pressure are compared to measured
values.
M E A S U R E D L IN E A R R A T E ( m / s )
Figure 26 Parity plot showing m odel properly predicts lin ear throughput.
13 in
at
oXuj
o
§»
II
ce
O
>
S C R E W S P E E D (R P M )
Figure 27 Model predictions of volumetric throughput for two polymers.
The manufacturer of extruded articles not only must define and control his
throughput capacity, but must also control the article’s swell. In rubber applica
tions dies are usually cut to accommodate the article’s tolerances based on the
characteristics of a single polymer supply or fixed blend production, the reason
for this being largely cost; that is, dies, particularly complex geometries such as
cross-head dies, are simply too expensive to retool to accommodate different
polymer supplies. Consequently, a common problem among elastomer manufac
turers in attempting to qualify their products as a second source of supply or even
in introducing new products to extruded article manufacturers is to provide a
polymer having proper swell characteristics. Again, capillary rheometer data can
provide some guidance as a predictive tool in designing polymer structures
and/or selecting polymers for a particular application. A very simple, empirical
approach is to correlate capillary rheometer swell measurements with a power
law relation:
Swell = k ' y n' (71)
Table 4 provides tabulated data on the swell indices k r and n f along with
molecular-weight properties of the various polymers tested. An additional pa-
350 Chapter 6
Table 4 Sum m ary o f Sw ell Index D ata G enerated in C apillary R h eo m eter
Polymer nf K' M JM n MJMW Mw Index IV
A 0.08 11.44 2.22 1.80 1J 0 1.17 2.28

B 0.12 14.13 2.69 2.53 1.94 1.01
C 0.06 12.67 2.78 2.67 1.90 1.04 2.46
D 0.05 13.26 2.87 2.69 2.00 1.16 2.47
E 0.08 15.20 3.51 2.73 2.53 1.30 3.03
F 0.05 15.56 2.87 2.77 2.01 1.07 2.70
G 0.05 16.23 4.04 2.92 3.40 0.96 2.98
H 0.05 16.49 3.83 3.11 3.10 0.94 2.78
I 0.13 10.74 2.70 3.22 1.59 0.83
J 0.05 12.28 2.85 3.53 1.90 0.92 2.30
K 0.06 15.57 3.64 3.64 2.77 0.98 2.92
L 0.09 14.58 2.67 3.65 1.84 0.78
M 0.10 13.30 3.35 4.17 2.09 0.90 2.39
N 0.10 9.15 3.12 4.70 1.66 0.94 1.99
0 0.11 9.43 3.24 5.76 2.06 0.84 2.06
rameter, IV (intrinsic viscosity), is also tabulated. The intrinsic viscosity is a

solution viscosity normally measured in a solvent such as decolin and can be
viewed as a crude measure of molecular weight. A multivariable regression of
the data in Table 4 reveals that k! is directly proportional to IV:
kr ~ IV 1-357 (72)
The results of the regression are summarized in Table 5, and the correlation is
shown in Figure 28. The correlation offers no surprise; as expected, higher-
molecular-weight polymers generally tend to swell more (i.e., they have higher
U-values). Index n f does not show any dependency to any of the parameters
tabulated in Table 4; hence an average value representative of the polymers
studied can be used.
Using the effective shear rate for the extruder die, Eq. (72) was applied
directly to estimating the extrudate swell, and comparisons to experiments are
shown in Figure 29. The simple relationship provides a good qualitative predic
tion of the extruder operation and for polymer A actually provides quantitative
predictions. Figure 30 shows a parity plot of predicted and measured extrudate
E x tru sio n o f E la sto m ers an d P la s tic s 351
Table 5 Spreadsheet Regression Results
ProcOls Step
Dep.Var: LLN(K') R-Square: 90.341

File : RE6RESS adj R-Sq: 89.376
Range: St.Error: 0.065
2.00 Variables F-Stat : 93.534
12.00 Observations Dur/Hat : 2.858
Det. 1.000
Stepping Report: adj R-Sq.

Step 1: Add LN(Hh ) 52.8098
Step 2: Add LN(Nz /Hh ) 71.0405
Step 3: Add LN(1V) 87.0506
Step 4: Del LN(Hm ) 88.4285
Step 5: Del LNIHz/Hw) 89.3755
Step 6: Add LN(INDEX) 89.2526
Step 7: Del LN(INDEX) 89.3755
Var Naae Coeff t-Stat St.Err Beta

Intercept: 1.329
LN(IV) 1.357 9.671 0.140 0.950
ACTUAL CALCLTD. PERCENT

K' K' RESIDUAL DEVIATION
11.44 11.56 -0.12 -1.03
12.67 12.81 -0.14 -1.13
13.26 12.88 0.38 2.83
15.20 17.00 -1.80 -11.85
15.56 14.54 1.02 6.56
16.23 16.62 -0.39 -2.42
16.49 15.13 1.36 8.27
12.28 11.70 0.58 4.75
15.57 16.17 -0.60 -3.85
13.30 12.32 0.98 7.36
9.15 9.61 -0.46 -5.03
9.43 10.07 -0.64 -6.80
352 Chapter 6
INTRINSIC VISCOSITY
Figure 28 Relationship of swell index to intrinsic viscosity for 1O0°C data.
swells for several of the polymers listed in Table 4. Although the relationship of
Eq. (72) does not provide highly accurate predictions, it in fact provides a good
relative comparison between different polymers. As a first-pass approach to
selecting a polymer for an intended extrusion application, Eq. (72) certainly
provides some guidance.
Sezna (1984) provides a more elegant approach to predicting die swell using
data generated on the MPT (Monsanto processability tester). As noted by Sezna,
the extruder die may have a different die geometry, and hence a different stress
history is applied to the stock. Also, the stock extruded through a capillary is
much smaller than the extrudate discharging from an extruder; thus the thermal
histories of the stocks can be very different. These differences in cooling rates
lead to differences in stresses, resulting in different die swell levels. Sezna
regressed the MPT die swell data to a general quadratic equation with tempera
ture, shear rate, and die LID ratio as the independent variables. The shear rate
used for predicting die swell was based on the effective shear rate in the extruder,
which was estimated as 7 = 3 2 Q l^ d 3. The general form of the die swell
expression obtained is
Swell — &Q -f- &iy + &2T ^3(7^//)) + k4y 2 + k5T 2 + k^{L/D)2

+ k7(yT) + k8[y (LID)] + k9[T(LID)] (73)
£(/)
lii
5
aUi
x
<
mJI
U
QC
SCREW SPEED (RPM)
Figure 29 Extrudate swell increases with screw speed (i.e., shear rate). Solid lines are
predictions from Eq. (72); symbols are measured swell.
£
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Ui
5
Q
Ui
I-
o
Q
Ui
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15 25 35 45
MEASURED DIE SWELL (% )
Figure 30 Parity plot comparing predicted and measured extrudate swells for several
polymers.
354 Chapter 6
TWIN-SCREW EXTRUSION
There are a variety of twin-screw extruder designs employed throughout the
polymers industry, with each type having distinct operating principles and ap
plications in processing. Designs can be generally categorized as corotating and
counterrotating twin-screw extruders. Eise et al. (1981) has classified twin-screw
extruders in terms of the mechanisms of operation, and the same terminology is
adopted for the present discussion.
Different arrangements of twin-screw systems are illustrated in Figure 31.
The figure illustrates differences between corotating and counterrotating as well
as between intermeshing and nonintermeshing screw arrangements. Note the
difference between fully intermeshing and partially intermeshing systems and
between open- and closed-chamber types. For example, a counterrotating screw
shown in Figure 31 (type 1) is an axially closed, single-chamber pumping sys
tem, whereas a corotating screw (type 4) is an axially open mixing system
relying on drag forces.
A screw system open in axial direction is actually open in the longitudinal
direction of the screw channel since it has a passage from the inlet to the outlet of
the apparatus. This means that material exchange can take place lengthwise
along the channel. In a closed arrangement the screw flights in the longitudinal
direction are closed at intervals. It is important that the cross section of the screw
channel be open in order for material exchange to take place from one flight to
the other in a direction normal to the screw channel. There is usually some
leakage over the screw crests and through the areas required for mechanical
clearances. Whether the screws are open lengthwise or crosswise, or have a
closed geometry, has a direct effect on conveying conditions, mixing action, and
the pressure buildup capacity of the system. Nonintermeshing systems, for ex
ample, are open lengthwise and crosswise (refer to Figure 31). Fully intermesh
ing, counterrotating systems can be closed lengthwise and crosswise, and regard
less of mechanical clearances they can develop closed chambers. This is the case
with screw pumps. Lengthwise and crosswise closed, fully intermeshing corotat
ing systems (Figure 31, type 2) are theoretically impossible, as is a lengthwise
open and crosswise closed counterrotating system.
Fully intermeshing, corotating screws are open lengthwise. When normal
screw flights are employed they are closed crosswise, and when staggered screw
discs are used they are open crosswise. This design is illustrated by types 4 and 6
in Figure 31.
There are several types of partially intermeshing screws, e.g., lengthwise
open and crosswise closed systems and lengthwise and crosswise open systems.
Most commercial intermeshing counterrotating screw extruders are combinations
of Systems 1, 9a and 9b, shown in Figure 31. Commercial nonintermeshing,
counterrotating screws correspond to System 11, and are used along with a
single-screw discharge extruder.
SCREW CO-ROTATING
ENGAGEMENT SYSTEM COUNTER-ROTATING
LENGTHWISE AND THEORETICALLY

CROSSWISE CLOSED NOT POSSIBLE
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AND NOT POSSIBLE
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£ 12
(A )
D ISC1 Axial distance a DISC 2
Circular paths of
points p during
a translation
movement of
disc 2 around
disc 1 which
is stationary
Motion of M2during a
translation movement
of disc 2 around disc 1
which is at rest
Direction of rotation when barrel is stationary
(B)
Figure 31 (A) Different twin-screw arrangements. (B) Movement principle of a co-

rotating screw.
35 6 Chapter 6
(A)
(B)
Figure 32 (A) Vector diagram of a counterrotating screw. (B) Cross section of counter-
rotating screws.
Counterrotating screws operate with both shafts turning with equal angular
velocity in a counteracting rotation. Figure 32 shows a vector diagram illustrat
ing the velocity fields and forces of a counterrotating screw operation. In con
trast, with corotating screws as shown in Figure 31, when screw 1 is held
stationary, screw 2 will not roll off, but will make a circular translation motion
around screw 1. The center point M2 moves in this fashion on a circular path
around M j, with the radius M 1MPV2; screw 2 itself produces no rotation of its
own. Each point describes a circular path with the same radius. If the arc P 1-P2
on the circumference of disc 2 is a screw crest, the points of this arc describe (as
shown with two intermediary points P3 and P4, Figure 31), a family of arcs
which cut out a halfmoon-shaped surface area F from screw 1.
Each point along the axial screw surface is tangentially wiped by the other
screw with a constant relative velocity. For simplicity, consider the screw simply
as a flat disc as shown in Figure 32. If disc 1 is held stationary, disc 2 with rolling
circle radius AM2 rolls off the base circle with the radius Mj A of disc 1. Each point
of disc 2 describes an elongated or abbreviated epicycloid depending on its
distance from M2. Let the arc P1-P 2 of the circumference of disc 2 define a screw
crest; then the points of this arc represented with two intermediary points (P3 and
P4) describe a family of cycloids which “ cut out” the surface area F from disc 1.
The shape of the cutout area F corresponds to the crosscuts of the screw channel
perpendicular to the turning axis. Figure 32B illustrates two examples of these
screw crosscuts. The forward rotation of the thin discs in a direction lengthwise to
the shaft axis results in screws with positive and negative pitch. Each point of the
surface area will be wiped by the other screw. The screw flanks are developed in
the crosscut from a cycloidal family and both screws roll off one another in a
fashion resembling that of gear wheels. In the wiping points, the relative velocity
depends on the distance of these points from the rotating axis and is in the area of
—2-nn(Ra — R x) < Vrel < + 2 ttn(Ra - R x). In contrast, with counterrotating ar
rangements, the screws in the wedge area roll off one another in a rolling motion
with locally different gliding velocities. This gliding velocity is small compared to
the circumferential speed and is typically +2n(Ra — R x). Corotating screws do
not roll off one another at any point, but instead have a translation movement,
where one crest edge wipes a screw flank tangentially with equally high relative
velocity. The relative velocity is high compared to the circumferential speed and is
V«n = 2 ttn(Ra + r x). In the wedge area the screws have equal pitch and equal
pitch direction are intermeshing.
The open area in the wedge part between the two screws is different. In
counterrotating designs, there are closed C-shaped chambers with a very small
volume such that no material transfer from one screw to the other takes place. In
this type of design the distributive mixing efficient is greatly reduced.
In contrast, corotating screws form V-shaped wedge areas that have four to
five times more volume. This enables material to be transferred from one screw
358 Chapter 6
to the other, resulting in a renewal of material layers and surfaces. The net result
is a higher degree of mixing.
Self-cleaning screws are often employed to prevent material from adhering
to the screw root. Material that adheres to the screw root can degrade, because of
a broad residence time distribution, and eventually fall off and be carried out
with the product, showing up as contamination.
Self-cleaning action is achieved in both counterrotating and corotating
screws, through an opposite roll-off motion or wiping motion. This self-wiping
is achieved in different ways in each system, each having different degrees of ef
fectiveness. With counterrotating screws, the roll-off process between the screw
crest and screw root and between the screw flanks simulates the action of a
calender. The necessary shear velocity required to wipe the boundary layers is
proportionately lower because of the low relative velocity. Also, the material is
drawn into the roller gap and is squeezed onto the surface.
In corotating screws, one crest edge wipes the flanks of the other screw with
a tangentially oriented, constant relative velocity. There is a higher relative
velocity in this arrangement, and hence there is a sufficiently high shear velocity
available to wipe the boundary layers. The calender effect does not occur; how
ever, a more efficient and uniform self-cleaning action is achieved.
The rolling motion of the screws in the counterrotating arrangement causes a
calender effect which results in pressure between the roll nip surfaces. This
V E L O C IT Y
D IS T R I B U T I O N
Figure 33 The velocity distribution and pressure buildup in the calendar gap of a
counterrotating screw extruder.
pressure acts to push the shafts apart. Figure 33 illustrates the pressure and
velocity distribution in the roller gap. The resultant parting forces on the two
shafts can cause wear of metal surfaces to occur.
Wearing of the screw surface will increase proportionally to the relative
velocity of the shafts. To minimize this effect intermeshing, self-wiping, coun
terrotating machines should be operated at relatively low speeds.
Since corotating screws have no calendering effect between the crest and the
flank of the screws, there is considerably less wear. Therefore, corotating ma
chines can be operated at much higher screw speeds with greater throughputs.
A typical corotating, self-wiping, twin-screw extruder with 170-mm-diameter
screws can process 9000-11,000 lb/hr of polypropylene at a screw speed of 300
rpm.
Some attention must be given to the design of the feed intake zone of twin
screws. Figure 34 schematically shows the cross section in the feed zone of a
counterrotating screw machine. To maximize feed intake the screws turn out
ward on top and inward at the bottom. If the screws turned inward at the top, the
material would have to be pulled in by the calender gap and there would be little
free volume available for the material to be drawn in. The polymer is conveyed
to the lower wedge where it is partially compressed and conveyed as a unit
volume toward the downstream melting zone. To maximize the intake free
volume, multiflighted deep-cut screw elements are sometimes used. The convey
ing principle of the counterrotating screws is based on closed chamber unit
volumes, which is desirable for feeding solids such as plastic resin pellets. The
entire free volume can be utilized, assuming optimum pitch angle. It should be
noted, however, that because of the calendering effect, solids are forced between
the screws and crushed (refer to Figure 34B). This action causes the screw
Eccentrically
Deflected Shafts-
Solids
(A) (B)
Figure 34 (A) Feed intake zone of counterrotating screw system. (B) Solids crushing in
the wedge region of counterrotating screws.
360 Chapter 6
elements to be forced apart in an angle at the top, where only the barrel can
provide support, which can result in severe wear. The wearing action can be
minimized if the gap between the screws is relatively large and if the screw speed
is low. However, the conveying volume is proportional to the screw speed, and
hence a low screw speed means lower throughput. Larger flank and root clear
ance measures can reduce the throughput.
In contrast, corotating screw elements convey the material from one screw
toward the lower wedge (depending on wedge resistance); the material is com
pressed and then picked up by the other screw and conveyed further. This is
illustrated in Figure 35. The wedge area provides a twist restraint on the resin,
which reduces the tendency of the material to rotate in the channel and increases
conveying capacity in the axial direction. The twist restraint in the wedge area
varies with the number of flights per unit length. The larger the wedge angle, the
larger the twist restraint and the greater the cross-section reduction in the wedge
area during transfer of the material from one screw to the other. Screw bushings
with wide crests can cause significant changes in direction of material flow,
leading to larger twist restraints. High conveying angles can be achieved with
fully intermeshing, self-wiping corotating screws. The conveying angle is the
angle between the vertical line to the screw axis and the true conveying direction
of the product. With single-screw machines the conveying angle can be calcu
lated by analyzing the machine design parameters and the physical properties of
the solids. Such relationships do not yet exist for corotating twin-screw extruders
since the function of the wedge area has not been mathematically formulated.
Therefore, experimental measurements of the conveying angle must be made
clear. Figure 36 shows the conveying angle of a fully intermeshing, self-wiping
corotating twin screw compared with a single-screw system in the processing of
high-density polyethylene powder. Note that each time the pitch approaches
H = Da a maximum is reached. Furthermore, the slope; of the pitch in the
corotating screws is lower than that of single screws. The conveying angle of
Figure 35 Feed intake zone of a corotating screw system.

Figure 36 Comparison of the conveying angles of a twin screw and single-screw

machine as a function of screw pitch H. Data are for HDPE reported by Eise et al. (1981).
fully intermeshing, self-wiping corotating screws is generally two to three times

greater than that of a single-screw machine, as noted by Eise et al. (1981).
We now direct attention to the melt zone of the machine, which can be
divided into two sections:
1. Compacting of the fluffy products in order to minimize air pockets. The air
in most cases escapes through the feed opening. Simultaneously, a melt film
is formed on the barrel walls and the resin solids fuse because of heat and
pressure.
2. Generation of melt through the shearing section of the product and mixing of
the unmolten particles with the already formed melt. As a result, a large heat
exchange surface is generated between the solid particles and the melt.
With fully intermeshing, self-wiping counterrotating screws, the compac
tion of the material is achieved by several methods:
1. By continuously reducing the screw channel
2. Using various melt zones with different screw pitches and number of flights
3. By continuously increasing the crest widths
4. By continuously decreasing outer and/or inner diameters
In machines having a tight clearance between screws, a compression over
several screw flights cannot be obtained nor will all of the air completely escape
out of the individual chambers toward the feed. It is for this reason that counter-
362 Chapter 6
rotating screws are constructed with loose clearances. This means that the advan
tages of the closed chambers offered by the counterrotating principle are ignored.
The melting process is similar to that in single-screw machines, with the follow
ing actions occurring:
1. Development of a melt film on the barrel wall,
2. Scraping off the melt film by means of a pushing side of the flank,
3. Collection of melt in front of the pushing flank.
The rolling motion of the counterrotating screw produces the following
additional effects:
4. In the wedge intake a melt whirlpool is created which draws in solid parti
cles and softens them.
5. The plasticized mass is now taken in by the calender gap and collected at the
trailing flank.
Because of the calendering effect in counterrotating screws, within one
rotation the chamber volumes are axially displaced by distance H. One screw can
roll off the other one time; therefore, only a fraction of the chamber volume
passes the calender gap. In spite of the high axial velocity, a relatively low shear
action of the calender gap is achieved, which is dependent on the low relative
velocity —2 ttn(Rz — R t) ^ Vre.x ^ + 2 Tm(Rz — R {) and the width of the calender
gap. If the machine has tight clearances a high shear velocity results but only
small amounts of the product are drawn into the gap. High clearance draws in a
greater amount of the chamber volume, however, with a low shear effect. In
creasing the screw speed results in displacement of the melting zone toward the
discharge end, which can result in an inhomogeneous product. Additional mix
ing devices (e.g., interrupted flights) result in improved mixing and uniform
heating of the product. In general, however, the plasticizing process is only
marginally improved. Unmolten particles can often be observed in the discharge
during such operations.
In corotating screws (fully intermeshing, self-wiping) the compression of
the intaken solids is produced through restriction which is caused by the reversed
screw (conveying in opposite pitch direction). These reversed screws are referred
to as left-handed screws. Figure 37 shows several screw arrangements for the
plasticating zone. In the left-handed screw restriction, pressure buildup is gener
ated by the upstream right-handed screws. Plasticizing results from the back-up
length generated by the left-handed screws. Melting of the resin is similar to that
of a single screw, that is, generation of melt film on the barrel wall and sintering
of the product; scraping off the film from the barrel wall by the pushing flank;
and collection of a melt pool in front of the pushing flank.
Through proper specification of pitch angle and screw speed it is possible to
shift the zero shear strain point of the axial flow components outside of the screw
(D)
Figure 37 Various screw arrangements in the plasticating zone of a twin-screw, co
rotating machine.
channel. This can result in greater shear stress imposed on the suspended solids
particles than is possible with counterrotating screws. In the wedge area the
material is picked up by the other screw and does not undergo a calendering
effect. The stresses are applied between the flanks by constant relative velocity,
Vrel = 2 tt n(Ra + /?,).
With the help of special mixing and shear elements such as kneading discs or
self-handed elements with large pitch, plasticating can be performed. These
elements improve the self-wiping action. Kneading discs are designed to have
the same cross section as the corresponding screws. Discs with various widths
and staggered angles can be arranged along the shaft. A kneading block works as
follows. When the barrel is rotated relative to the disc, a wedge-shaped flow
develops. Figure 37 shows the velocity distribution and pressure profile in such a
wedge when partially filled. Figure 38 shows the condition when the kneading
discs are completely filled and are under pressure. During superimposing pres
sure, the convergent as well as the divergent wedge can generate pressure. At the
maximum pressure (i.e ., when (dP/dp = 0)), there is pure drag flow and at this
point, p* of the wedge, the shear stress is constant. The entire amount of material
is drawn into the wedge. Through variation of radial clearances, speed, and
number of flights, all of which influence the shape of the wedge, leak flow and
shear effect can be varied in the shear gap. This type of wedge effect does not
take place in counterrotating screws because of the slope of the flank. The finite
width of the disc causes a melt flow in axial direction on both sides. The location
364 Chapter 6
0» 0** 0* 0* * 0
Figure 38 The pressure profile and velocity distribution with melt under pressure along
a kneading disc.
of the pressure maximum is shifted only slightly; however, the pressure intensity
drops considerably. By varying the disc widths the pressure profile in the cross
section can also be varied. By staggering in several directions, the material flows
axially on both sides into adjacent channels, resulting in a high degree of mixing
from channel to channel.
Counterrotating screws essentially have plug flow caused by their low clear
ance. To increase the longitudinal mixing, the flanks and the root clearances
must be enlarged. A system open in length and cross directions is purposesly
created to produce better homogenization of material.
In contrast the corotating screw conveys material by means of frictional
force. As such, there exists a flow in the partially filled melting zone, where each
particle is subjected to the minimum shear velocity of y = 2'uRa/n, In this
situation there is no shear-free dead zone. Varying the screw pitch and speed
provides different degrees of fill in the screw channel.
Counterrotating screw systems offer a positive conveying capability. Melt
conveying against pressure in closed chambers does have disadvantages. The
chamber volume is intermittently released, which leads to pressure and through
put fluctuations. To minimize these fluctuations, passage and conveying capa

bilities of the screw geometry must be in phase with each other. Overfeeding or
underfeeding of the screws increases the magnitude of these fluctuations. An
other way of minimizing the fluctuations is to purposely open the clearances to
approach an open lengthwise and open cross-direction system.
In corotating screws, the screw crests of corotating screws are connected
together to form the free wedge volume. Even in a fully intermeshing corotating
mechanism, an open system exists. Partial positive conveying is obtained be
cause of the influence of the wedge resistance. Downstream restrictions such as
dies cause the melt to accumulate along the screw channel upstream, usually over
several turns of the screw. Through proper screw configuration and appropriate
processing parameters, the development of dead shear zones in the screw channel
can be prevented. Optimal processing conditions can be calculated and adjusted
which results in uniform shear stress distribution and minimal backup length.
As noted earlier, the effects of velocity distribution, stress distribution, and
strain imposed in the material are distinct in each process. In addition to basic
geometric variations possible in corotating and counterrotating mechanisms,
there is an additional degree of process flexibility possible with corotating mech
anisms such as screw speed and throughput. Fully intermeshing counterrotating
screws form lengthwise and cross-wise closed C-shaped chambers, resulting in a
plug flow similar to that observed in a screw pump. In contrast, fully intermesh
ing corotating screws do not form closed chambers, but rather length-wise open
channels and crosswise closed chambers when mechanical clearances are dis
regarded. Polymer conveyance in this case depends on drag flow. Forced con
veyance can be defined as an angle of conveyance based on (opposing) screw
intermesh, where material is conveyed forward by each screw rotation for at least
the screw crest width. Because of the presence of an uninterrupted open channel,
material exchange can take place lengthwise along the machine, resulting in a
mixing system based on the drag flow within the lengthwise open screw channel.
Because of geometric differences, there are basic differences in velocity and
stress distribution of down-channel flow for intermeshing corotating and counter-
rotating twin-screw mechanisms, which have a significant effect on the plasticiz
ing and mixing capabilities of twin-screw systems.
To gain better perspective, consider a coordinate system superimposed on
the rotating screw surface so that the screw surface is stationary relative to the
observer, while the barrel rotates at a constant velocity.
Positioning the coordinate system on the screw surface of twin-screw inter
meshing mechanisms would not be meaningful since the eight-shaped barrel
opening and corresponding screw would rotate in relation to the stationary screw
where the coordinate is placed. Therefore, the coordinate system should be
placed on the inner barrel surface parallel to the screw axis. It is moved along in
the axial direction of the screw with the velocity Vx = Hn where H designates
366 Chapter 6
screw pitch and n screw rpm. With a constant screw speed and the same screw
geometry along the machine length, the boundary conditions become constant.
Following Eise et al. (1981), the coordinate system is such that the X-axis is
normal to the screw channel, the F-axis perpendicular to the barrel surface,
pointing toward the rotating axis, and the Z-axis parallel to the screw channel as
shown in Figure 39.
From a force balance, where F0z is the integration constant which denotes
the location of zero stress point of down-channel flow. The counterrotating screw
arrangement forms closed C-shaped chambers; therfore, the flow Q in the Z-
direction for the selected coordinate system is
Q fh
f = Vz dy = 0 (75)
w J0
where W = channel width.

Assuming a Newtonian fluid, equations (74) and (75) can be integrated and
solved for the velocity and stress distributions:
DIRECTION OF
SCREW AXIS
Figure 39 Coordinate system for m odeling a tw in-screw m achine.

(76)
(77)
The velocity and stress distributions for a conventional screw pitch (c(> = 17.66°)
are shown in Figure 40A for the counterrotating system. At ylh = 0.36 there is a
zero stress point. The same zero stress point exists for each screw geometry.
In corotating screws open channels are formed. The material therefore can
pass from one screw to the other along the Z-direction. The flow Q can never
reach zero in a selected moving coordinate system when mechanical clearances
are neglected. Pressure drop can develop in the Z-direction, which varies, de
pending on operating conditions, between zero (pure drag flow) and maximum
value. The highest pressure is developed when the discharge end is closed.
Although of no practical significance, such an analysis establishes the maximum
pressure buildup capabilities of the machine. In this limiting case the observer
witnesses a through flow which corresponds to a theoretical plug flow, for which
the throughput is
(78)
Upon integration, the maximum pressure gradient is obtained:
dP 6'nDnr\ cos c()

(79)
dz max
For this maximum pressure gradient, the following velocity and stress distribu
tions are derived:
(80)
(81)
The distributions are shown plotted in Figure 40B, indicating that the zero shear
stress point exists in the screw channel at y0z/h = 2/3. In the open discharge
368 Chapter 6
Figure 40 (A) Velocity and shear stress distributions of down-channel flow for counter-
rotating screws. (B) Distributions of down-channel flow for corotating systems with
closed discharge. (C) Distributions for corotating screws with drag flow.
case, pure drag flow (dP/dz = 0) exists and the velocity and stress distributions
can be determined by solving Eq. (78):
Vz y . sin2 <b
— = -c o s <j) + ----- (82)
Vo " cos <J>
— ^ — = -c o s 4 (83)
n(V0/h )
Velocity and stress distributions in partially filled channels are given in Figure
40C. As shown, there is a constant stress component for the down channel flow
in the screw channel. The relationship between pressure gradient, velocity, and
location of zero stress point can be obtained from the following equations:
(84)
and
(85)
In the preceding analyses the effects of screw clearances and the wedge area
were not considered. Also, it was assumed that a Newtonian fluid was used.
With viscous materials, parabolas of a higher order for velocity distribution are
observed. The shear rate at the wall is increased accordingly as the areas with
lower shear stresses get broader. Significant qualitative differences are not ob
vious; however, the quantitative differences can be significant.
The velocity distribution and the shear stress distribution of the down chan
nel and cross flow for the counterrotating screws are given by Eise et al. (1981).
With both flow components, the apex of the velocity distribution, which position
is identical to the zero shear stress point, is located in the screw channel. For the
down-channel flow, it is y0z/h = 0.36, and for the cross flow it is y0x/h = 0.66.
The velocity distribution in fully intermeshing, counterrotating screws which
convey materials in C-shaped chambers can only be influenced by means of the
screw pitch. The boundary layers, particularly at the screw root, are subjected to
the greatest stresses and, since adherence to the wall is a prerequisite, they are
also subjected to the greatest amount of shear.
The velocity distribution of corotating screws can be influenced by changing
the throughput or by changing the screw speed as well as by changing screw
pitch. Eise et al. (1981) have shown that, with the same boundary conditions,
different velocity distributions and, therefore, different shear stress distributions
result. Equation (84) states that the velocity distribution is dependent not only on
the pitch angle c(>, but also on the position of the zero shear stress point y0z. This,
however, is a function of the pressure gradient, the viscosity, the screw speed
and the screw geometry as shown by the following relation:
JOz itDm)
(sin2 cj> - 1) + 1/2 (86)
h C O S (\)h2(dp/dz)
370 Chapter 6
The dependency between y0z/h and the flow Q can be seen from equations
(78) and (84). The velocity distribution therefore can be altered considerably by
preselecting the throughput and/or screw speed.
The relationships between the intensity, uniformity, and location of maxi
mum and minimum shear stresses define the basic differences between corotating
and counterrotating screws with identical screw geometries. These differences
can be summarized as follows:
The shear stress Tb at the barrel wall is greater with counterrotating screws than
with corotating screws.
The shear stress ts at the screw root is greater with counterrotating screws than
with corotating screws.
The maximum shear stress Tmax in the counterrotating screws (not considering
the wedge area and mechanical clearances) is identical to the shear stress at
the screw root, t s. In corotating screws it is identical to the shear stress at the
barrel 7b.
In counterrotating screws the minimum shear stress is at y/h = 0.38; however, in
corotating screws it is between 0.66 ^ y/h ^ 0 . 9 .
In counterrotating screws, the change of the shear stress di/dz in the channel
depth is considerably larger than with corotating screws, assuming that in
actual production closed discharge does not occur. This means that the shear
stress distribution of counterrotating screws is considerably broader than in
corotating screws.
The shear stress distribution is only dependent on the screw pitch H in counter-
rotating screws. In contrast, in corotating screws not only does the shear
stress distribution change with the pitch angle <)>, but it is also dependent on
the throughput and the screw speed.
Because of the first two differences between the designs, as well as the
increased tendency toward mechanical wear in counterrotating screws, the oper
ating speeds of counterrotating screws must be relatively low. When considering
throughput, the superior conveyance of the counterrotating screw is offset by the
higher operational speeds of the corotating screw.
In counterrotating screws, the material at the screw root is drawn into the
wedge area where it is exposed to high strain. In counterrotating screws the
minimal shear stress is inside the chamber. On the other hand, by properly
selecting operating conditions in corotating screws, the shear stress is nearer the
screw root.
In corotating screws the shear stress distribution under actual operating
conditions is in the area of 1 < y0z/h < 00 and is considerably more uniform. In
comparison to counterrotating screws, the layers at the screw root are subjected
to less shear strain. These layers are wiped by the crest of the oncoming screw
into the wedge area and are then recombined near the barrel wall. The material
layers from the area of the barrel wall are forced in the wedge area into the
bottom of the channel of the oncoming screw. In corotating screws, because of
the absence of the low shear stress zone and the layer transfer rearrangement in
the wedge area, the shear strain on the product is more uniform. This is a
favorable condition for uniform plasticizing and homogeneous mixing. Because
the external heating during the plasticizing process plays a secondary role, higher
screw speeds and large screw diameters can be employed.
COUNTERROTATING, TANGENTIAL TWIN-SCREW EXTRUDERS

The counterrotating, intermeshing-type extruder is most commonly used for the
processing of rigid PVC for pipe or siding. This type of extruder provides
positive conveying characteristics suitable for feeding rigid PVC powder dry
blend, and when combined with low speed screw (typically 50 rpm or less)
provides a low shear environment suitable for the processing of materials with
poor thermal stability.
The corotating, intermeshing system does not have positive conveying char
acteristics like the counterrotating intermeshing system. As noted, conveying
takes place by drag flow. As the channel is axially open, this system, like the
counterrotating, tangential type can be applied to process engineering (e.g.,
venting).
The counterrotating, tangential type was the first twin-screw extruder to be
manufactured in the United States. The counterrotating, tangential screw ar
rangement has been used in a broad range of process applications throughout the
polymer processing industry over the last 33 years. Nichols (1982) compares the
twin-screw extruder with single-screw extruders.
As noted above, tangentially opposed screws are not positive conveying
devices. However, unlike single-screw extruders, which depend upon frictional
forces for solids conveying, in the twin-screw extruder the lower apex applies a
“ keying” effect analogous to grooved feed bushings in single-screw extruders.
This effect continues through all of the functional zones and can be readily
observed in the partially filled vent zones as a rolling bank of polymer on the
lower apex. The outstanding feed acceptance of these extruders allows extremely
uniform performance while starve feeding, which is the feeding method most
commonly employed with all twin-screw extruders. While starve feeding has
been applied successfully to single-screw extruders, its use has been limited
because of feed acceptance problems. The highly advantageous feed acceptance
of counterrotating, tangential extruders also provides for the possibility of se
quential feeding. A benefit of sequential feeding is that separate ingredients of a
compound can be handled with dedicated feeding equipment, thus eliminating
the need for preblending. Other advantages of sequential feeding include higher
total throughput rates, lower product temperature, and improved product mixing.
372 Chapter 6
Melting in single-screw extruders was described earlier. In the counterrotat

ing, tangential twin-screw extruder, the melting mechanism varies considerably
from the single-screw model in that the keying effect of the lower apex and the
interaction of the staggered screw flights tend to promote a considerable amount
of exchange between the channels of the two screws. Thus, the polymer melt and
solid granules become mixed together instead of having a clear separation of melt
pool and solid bed.
In single-screw systems, screw designs to accelerate melting for high effi
ciency have developed along two opposing concepts. In the first case the melting
rate is controlled by providing a barrier between the solid bed and the melt pool
to assure that the solid bed does not break up prematurely and become encapsu
lated in the melt. An opposing concept is the wave screw. In this design concept
a conventional feed and melting zone are employed until the point at which about
50% of melting is completed, and then the melt and solids are mixed together.
This is accomplished by varying the metering channel depth in a sinusoidal
pattern, alternating between very shallow, high shear zones and rather deep, low
shear zones. The effect of this design is to promote the distributive mixing of the
now thoroughly broken up solid bed with the melt pool, thus using the residual
melt pool heat to complete the melting of the remaining solids, resulting in a very
low average extrudate temperature. This mechanism is similar to that which is
postulated for the counterrotating, tangential extruder except that the mixing
effect of twin-screw extruders is generally conceded to be significantly superior
to that which can be obtained in a single-screw design.
A comparison of the characteristic curves of the single-screw and the coun
terrotating, tangential extruders is given in Figure 41.
The single-screw characteristics at zero pressure or open discharge are de-
Figure 41 Comparison of screw characteristics of a single screw (a) to two single

screws (b) and a twin screw (c).
fined by the drag flow equation, and the slope of this screw characteristic over a
range of pressure is established by subtraction of the pressure flow characteristic
for various pressures. The screw characteristic curve for two single screws is the
algebraic sum of the result for one single screw. The screw characteristic for the
counterrotating, tangential twin-screw machine has a steeper slope than the char
acteristic of either one single screw or two single screws. The distance between
the intersection of the twin-screw characteristic and the single-screw characteris
tic lines and a point at equal pressure on the characteristic line of two single
screws can be defined as the longitudinal mixing flow through the open area at
the apexes, as shown in Figure 41. This flow component is a pressure flow term,
and hence as pressure flow increases, pumping capacity is correspondingly re
duced. Several components combine to produce the total mixing capability,
namely, the rotation of the material in the screw channel as would normally be
experienced in a single-screw extruder, interchange of material between the two
screws, and the longitudinal mixing flow component. These mechanisms com
bine to homogenize materials going through the apparatus.
In general, all extruders are assumed to be nominally “ once through equip
m ent.” This implies that preblending, or bulk mixing, is essential for good
mixing results, and, in fact, for single-screw extruders where feed acceptance is
often poor, preblending is a necessity. In counterrotating, tangential twin-screw
extruders however, since feed acceptance is unusually good, as long as sufficient
accuracy is provided in the associated feeding devices, uniform product quality
can be obtained by feeding separate streams either at the same axial location or
sequentially in various axial locations.
Two types of mixing that are important are distribution and dispersion.
Distributive mixing is used for any operation employed to increase the random
ness of the spatial distribution of the ultimate particles without reducing their
size. In simple mixing the ultimate particles of the system pass from a less
probable to a more probable arrangement. The term dispersive mixing applies to
those mixing processes that reduce the size of the ultimate particles as well as
randomize their positions. Dispersive mixing depends on exposing agglomerates
to ultimate particles to sufficiently high shear stresses to cause them to break
down. The level of shear stress required for deagglomeration to occur is related
to the size of the ultimate particles and to the nature of the bonds holding the
agglomerate together. The shear stress in the molten polymer is proportional to
the product of viscosity and shear rate. In general, the shear stress in normal melt
pumping channels is not sufficiently high to provide adequate dispersive mixing.
In counterrotating, tangential extruders, it is often beneficial to introduce all of
the components requiring dispersion in the initial feed so that they will be
exposed to the high shear stresses existing in the melting zone where the vis
cosity is very high. Consequently, the polymer melt is already prepared for
distributive mixing in a lower viscosity zone downstream. Alternatively, high
374 Chapter 6
shear stress mixing devices, such as reverse flight compounders or very restric
tive cylindrical compounders may also be used in the fully developed melt
region, but this may lead to undesirable temperature rise in the polymer melt
causing degradation. Distribution is somewhat limited in single-screw extruders,
and various auxiliary devices must be used to improve distributive mixing in
these machines.
One approach is the use of a static mixer, which provides a high degree of
radial mixing as a result of the placement of a series of fixed blades which
redirect the polymer flow path. This type of device is usually employed between
the end of the extruder screw and the extrusion die.
In many applications there is the additional requirement of removing un
desired volatiles from molten polymers. This has resulted in the development of
various types of vented extruders. The screw section under the vent cannot be
completely full, or else a path is not provided for the escape of the volatiles, and
further, if any positive pressure exists in this region, the polymer will flow out of
the vent opening. The relationships between the pumping section upstream of a
vent section (which pumps against zero pressure) and the downstream pump
(which must overcome the die resistance) are well defined if certain simplifying
assumptions are made. The key assumptions involved by the designer are:
The flights in the vent region between the two pumping sections are deeper
than the pumping sections, and therefore are only partially filled.
The upstream pumping (or melt metering) section is assumed to be full and
pumping against zero discharge pressure, and is pumping at a rate consistent with
the drag flow calculation. Figure 42 illustrates a typical screw design (single)
along with the pressure profile for a two-stage venting system. The assumption
that the first-stage metering section is the rate-controlling section of the entire
screw leads to the following relationships: since the first metering section does
not pump against a restriction, its output rate is defined by the drag flow relation
ship:
Gnet ~ Q d l (87)
Since the second metering section must overcome the resistance of the die
assembly, its rate must be defined by the algebraic sum of the drag and pressure
flow as noted earlier:
Gnet “ Q d l Q pl (88)
Combining the preceding expressions provides the mass balance for the
screw
Gnet “ Q d l — Q d l Q pl (89)
2 ,0 r
Figure 42 Screw design and pressure profile for a two-stage vented screw.
There are two imbalances in this expression— vent flow and surging. Vent flow
Gvent IS
Q dl > Q d2 ~ Q p2 (90a)
or
Q d l = Q d l ~~ Q p l + Gvent > (90b)
Surging is given by the following inequality:
Q d l < Q d l ~~ Q p l (9 1 )
At steady-state conditions, statement (91) cannot exist. It does, however,

indicate a real condition in which the pumping capacity of the second metering
section is such that until it “ fills up,” it pumps inefficiently, and when full, it
pumps with such great efficiency that it empties before the first-stage pump can
replenish it. This in fact is the surging due to a poorly designed two-stage screw.
In the design of a vented extruder screw, several criteria are needed in
addition to the requirements of rate, melt quality, andaverage melt temperature.
These criteria are de volatilizing capability, pressure stability, and pressure-
generating capability. Several design factors affect pressure-generating capa
bility. Inspection of the terms in the drag and pressure flow equations, neglecting
leakage flow, help to define these.
The drag flow equation is
_ ixD2h \\ — (ne/t)\ sin d> cos <b _

Q d = F d -------------------------^--------------------------N (92)
376 Chapter 6
The pressure flow equation is
_ nDh3[1 — (ne/t)] sin c|> cos $

Up ~ r p o ™ (93)
where the geometric shape factors Fd and Fp depend on the ratio channel depth h
and channel width W. This dependency is shown in Figure 43.
The preceding relationships show that drag flow is directly proportional to
the channel depth and the screw speed and is not related to the polymer viscosity,
nor is it affected by the metering section length. In contrast, pressure flow is
proportional to the third power of the metering section depth, is independent of
screw speed, is a function of polymer viscosity, and is inversely proportional to
metering section length. This would suggest that the second pump depth is the
most convenient variable to modify to correct a vent flow problem due to an
imbalance as described by Eq. (90a). In some cases, this is a correct action to
take, but often it can aggravate the problem. Simplifying equations (92) and (93)
and substituting appropriately in equation (89), we obtain:
K 1h l = K xh2 ~ (K2h\ AP) (94)
where K x represents all of the terms in the drag flow equation (92) except the
channel depth (hx or h2) and K2 represents all of the terms in the pressure flow
equation (93) except the channel depth (h3), and head pressure (AP).
By rearranging Eq. (94), the following is obtained:
h2 ~ h x
AP (95)
LL 1.0
TD
C 0.8 V
CO > /Fd
uT 0,6
0 0,4
G Fp7
£ 0,2
1
JZ -0 0,5 1.0 1,5 2,0
w channel-profile-quotient h/W
Figure 43 Shape factors for drag (Fd) and pressure flow (Fp) depend on channel profile
(h/W).
This relationship can be expressed in a dimensionless form and is shown

graphically in Figure 44 as pressure capability versus pump ratio for the two
metering zones. Note that the pressure-developing capability reaches a maximum
(for Newtonian fluids) at 1.5:1 pump ratio. With non-Newtonian polymers, the
maximum pressure development can occur at approximately 1.75:1 pump ratio.
Hence, the second-stage pump cannot be greatly deepened.
Nichols (1982) reports that the practical limits of pump ratio are a minimum
of 1.5:1 and a maximum of 2.0:1. Working toward the lower limit tends to
enhance stability but limits pressure capability, while working toward the upper
limit may help maximize pressure capability but may also result in somewhat less
stability, depending on how the extruder is operated. The use of a fixed orifice
valve with degradable polymers or an adjustable valve with stable polymers is
recommended.
Since there is a limitation on the second pump depth, the only two variables
which can significantly affect pumping (pressure-generating) capability are vis
cosity and the length of the second metering section. The extruder manufacturer
does not have the ability to specify the polymer viscosity, and therefore the only
variable left to work with is the second pump length.
Attention is now given to de volatilization. De volatilization rate is generally
thought to be limited by diffusion of the solvent molecule through a thick film of
polymer. From this viewpoint, the polymer fill can be considered as an infinite
slab; hence the approach to equilibrium is limited by end-to-end mixing (back
mixing) and that surface generation is combined with surface exposure time.
A counterrotating, tangential extruder has unique de volatilizing capability
and is found in widespread use in some of the most demanding large-scale
applications at rates of 5000-7500 kg/hr dry product, starting with solvent levels
as high as 50%. Single-screw extruders, by comparison, are rarely used for
volatile levels above 1%.
PUMP RATIO
Figure 44 P lot o f d im ensionless pressure capability versus pump ratio.

378 Chapter 6
With counterrotating extruders, the additional pressure flow through the

open apex area (the longitudinal mixing flow component) is detrimental to high
pressure generation. Therefore, counterrotating, tangential extruders often utilize
single-screw discharge pump sections. These can be designed as an integral part
of the main extruder screw operating at the process screw speed, or they can be
incorporated as cross-head extruders of different diameter and speed. To calcu
late the final discharge pump depth in a multistage system, one need only
determine the apparent metering capability of the first pump (in twin screw
extruders, this is often determined by a feed rate setting) and then the single
screw equations apply directly to design the discharge pump. To calculate pump
ing in the twin-screw sections, based on an isothermal Newtonian model using
drag flow and pressure flow correction factors to the basic single-screw equa
tions, use the following equation:
WH3f A P T\
C = hWHVbzFDTW- — { I £ ) F PTW (96)
where
4 /
Fd t w = T -T T -r (9 7 )
1 + 3/
4
Fprw ~~ 1 , or (98 )
1 + 3/
Param eter/is the fraction of helical length occupied by zone 1 and typically has a
value of 0.9. The ratio qslqD ~ 0.5, and twin screw extruders will typically
deliver about 1.73 times the flow rate of a single-screw machine.
Because of good devolatilizing capabilities, typical applications of the coun
terrotating, tangential twin-screw extruder are desolventizing during polymer
manufacture from solvent solutions, latex coagulation during polymer manufac
ture from latex emulsions, and compounding of plastics. This includes, among
other things, coloration, fiberglass addition, and preparation of hot melt adhe
sives.
NOTA TION
X2 physical and geometri cs specific heat

cal extrusion constants D hopper diameter
a slope of channel Db inside barrel diameter
Ar Arrhenius shift factor d die diameter
Br dimensionless Brink E activation energy
man number e width of flight
F frictional force per unit N screw speed

area N, number molecular
Fd*Fp extruder geometric weight of /th species
function and drag n power law exponent
flow/pressure flow nf swell power law expo
shape factors, respec nent
tively P pressure
f fraction of helical APt pressure rise per turn in
length occupied by twin extruder
zone 1 (Z JZ j) P number of flights in pa
G mass flow rate rallel
8 Bagely correction factor Qs theoretical volumetric
Hs mechanical heat genera throughput (i.e., no
tion rate friction)
H' heat of fusion Q* screw discharge coeffi
h channel depth cient
IV intrinsic velocity q heat flow
K geometric extrusion pa R universal gas constant
rameter Rs, R b radii of screw root and
k rheological coefficient inside barrel, respec
km melt thermal conductiv tively
ity T absolute temperature
k' swell index coefficient T0 reference temperature
L length t temperature
Ls channel length filled tc residence time
with polymer U velocity
MI melt index u mean flow velocity
Mn number average molec Vsy bed velocity in y-direc-
ular weight tion
Mv viscosity average mo w average channel width
lecular weight X average solids bed
Mw weight average molecu width
lar weight Y distance
Mz +i third and fourth mo z total melting length
ments of molecular- AZ, helical length per turn
weight distribution (AZ + AZ2)
m0 flow consistency index z axial distance
Greek Symbols
a solvent property con r nominal wall shear rate
stant in Mark-Houwink if shear rate
viscosity correlation 8 melt layer thickness
as thermal diffusivity of 'n viscosity
bed apparent viscosity
380 Chapter 6
T\ inherent viscosity T wall shear stress

0 angle of plug advance <!> helix angle of flight
relative to screw axis ¥ solids coefficient of fric
V speed of screw rotation tion
£ non-self-conveying * friction coefficient or
friction force per unit force
surface area * transformation variable
p density
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Extrusion of Elastomers and Plastics

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What are the principal components of a single-screw extruder?

What are the principal components of a single-screw extruder?

What are some common screw configurations for different material properties?

What are some common screw configurations for different material properties?

6

Extrusion of Elastomers and Plastics

Figure 1 Principal design features of a single-screw extruder.

plunger or ram-type extruder. Materials such as TFE Teflon and ultrahigh-

METERING VACUUM PUMPING

Figure 2 Screw p ro files and cro ss section o f vented barrel extruder.

Pitch angle: 12 - 20°

Uz = forward plug velocity

HOPPER E DIE END

T T jrm riT m in /T m jfH n T rm n .w w rm n n trn rrrn n rm

Figure 3 Configuration of screw.

Ub tan <j> tan 0

W = - h) sin <|> - e (5)

Qfs — pTT2NhDb(Db — h ) sin c() cos cf> (6)

sin c|> cos <|) = 0.2884

Q* = % = 0.2884 (tan <|> tan 0)/(tan <$> + tan 0) (7 )

i|/ = Fi^DlJLs cos((J> + 0) — i|i0 (8)

The resistance force that would obstruct the solid plug is

where £ is the non-self-conveying friction per unit surface.

Hs _ FDbLs{tan (J) + tan 0)

Px = pressure at the extruder inlet

km = melt thermal conductivity

where Br is the dimensionless Brinkman number. The Brinkman number pro­

Vsy = bed velocity in y-direction

Solving Eq. (20) gives

where a s = thermal diffusivity of the bed.

Q’ = rate of melting per unit down-channel distance

t 8 + r)(/'2/28 ] ~ “ Ts) = V^ H' (23)

H ’ = heat of fusion of solids

= f [2km(Tb - T J + t \U '*] x 1 1/2

f lVbxPmk J T h - T m) + t i ^ 2/211 i/2 .

Throne (1979) imposes the following model assumptions:

3. The channel is tapered and therefore the height can be described by h = h0

The solution to this equation is:

where is a transformation variable defined in terms of the mass flow rate G:

T) = melt viscosity (assume Newtonian for immediate discussions)

v = yV£ _ y(h - yXdP/dz)

By incorporating terms describing the channel geometry, Eq. (33) transforms to

(J> = helix angle

INFLUENCE OF RHEOLOGY ON EXTRUSION

The master curve has the general form:

In y) = In aT + 2 0/(ln aT T)*"1 (38)

where the temperature shift factor takes the form

a7.m = (MI)«8 e x p (a 6 + ^ ) (39)

Gi = 10.306 a2= 0.52327 a3 = -0.019027

MI = 5.1 + tc x 1.0725('-321-5> + tl x 1.2082<'-338 1> (40)

A more convenient relationship for describing the flow curves of poly­

T| = wiq exp( kt)Yn~^ (41)

n = 1 + a2 + 2a3 ln(aTmT) (42a)

And the flow consistency index m0 is simply

m0 = T| exp(& 0P-w (43)

In the case of polypropylene degradation of the polymer can have a significant

Figure 6 Computer prediction of (A) down-channel pressure profiles; (B) down-channel

earlier. Examples of typical temperature and pressure profiles are shown in

t — tyIq e~kt y n (44)

where Br is the dimensionless Brinkman number. The Brinkman number pro

A more convenient relationship for describing the flow curves of poly

Figure 15 (A) Dependence of crystallinity on ethylene content of polymer. (B) Rela