Effective troubleshooting of extrusion problems

Chris Rauwendaal

Citation: 1779, 030021 (2016); doi: 10.1063/1.4965491

View online: http://dx.doi.org/10.1063/1.4965491
View Table of Contents: http://aip.scitation.org/toc/apc/1779/1
Published by the American Institute of Physics
 Effective Troubleshooting of Extrusion Problems
Chris Rauwendaal

Rauwendaal Extrusion Engineering, Inc., 10556 Combie Road PMB 6677, Auburn, CA 95602-8908, phone
530.269.1082

Abstract. Trouble shooting and solving extrusion problems is one of the most critical activities in extrusion production
operations. Inefficient troubleshooting can lead to long down times, off quality products, and, thus, lost profit. In this article we
will describe the basic prerequisites for efficient trouble shooting and discuss logical step-by-step approaches to solving various
extrusion problems. Due to length restraints, only some of the major extrusion problems can be discussed. The information in this
article is an excerpt of an extrusion trouble shooting software package that is currently under development.
Keywords: troubleshooting, output variation, melt temperature variation,

IMPORTANT REQUIREMENTS
Before dealing with specific extrusion problems, there are some issues that should be addressed first. There are
some important prerequisites to an efficient problem solving process; they are:
x Good instrumentation with data acquisition system (DAS)
x Good understanding of the extrusion process
x Collect and analyze historical data
x Verify information
x Practice critical and independent thinking
x Document the troubleshooting process and develop a database
x Team building

We will now discuss these requirements.

Good Instrumentation
The extrusion process is to a large extent a black box process. In other words, it is not possible to visually
observe what goes on inside the extruder. We can see material going into the extruder and material coming out of
the extrusion die. However, what happens between the feed opening and the die exit cannot be seen on normal
extruders because the process is obscured by the extruder barrel.
That means that we are largely dependent on instrumentation to determine what happens inside the extruder. We
can think of instrumentation as our “window to the process.” Obviously, without good instrumentation it is very
difficult to determine what is happening inside the extruder. As a result, successful problem solving requires good
instrumentation in the process.
It is not sufficient to have ample instrumentation on the extruder; it is also important to make sure that the
sensors and readouts are working correctly. For instance, if a temperature zone along the extruder is showing an
excessively low or high temperature, we should verify that the temperature reading is correct. The measuring
instruments have to be correctly calibrated and we should ascertain that the instrument is capable of measuring the
variation that we are interested in measuring. In SPC specific procedures have been developed to determine the
capability of the measuring instrument (1, 2).
Data acquisition capability is indispensable in determining the dynamic characteristics of the process. A DAS is
very useful in process optimization and even more important in troubleshooting. The DAS should allow trending of

Proceedings of the Regional Conference Graz 2015 – Polymer Processing Society PPS
AIP Conf. Proc. 1779, 030021-1–030021-10; doi: 10.1063/1.4965491
Published by AIP Publishing. 978-0-7354-1441-9/$30.00

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all important variables, especially the vital signs of the extruder: melt pressure, melt temperature, and motor load.
The vital signs should be available on a trend plot to the operator and process engineer. Graphical information can
be interpreted quickly and easily; this allows rapid detection of problems. The vital signs of the extrusion process
should be measured at least 10 times per second so that short term variation can be properly assessed.

Other Requirements
In order to solve extrusion problems efficiently, one has to have a good understanding of the extrusion process.
For people new to extrusion, it is recommended to take classes that cover material characteristics of plastics, typical
features of extrusion machinery, instrumentation and operating control, the inner workings of the extruders, as well
as screw and die design.
To understand why a process is not behaving correctly, we have to compare the current process conditions to
previous conditions when the problem did not exist. This means not only process information from the extruder,
such as temperatures, pressures, motor load, line speeds, barrel dimensions, screw dimensions, etc., but also
information on the material.
It is critically important to verify information. Invariably some of the information presented to the
troubleshooter will be incorrect. When incorrect information is accepted as correct information, this will jeopardize
the troubleshooting process and it may make it impossible to solve the problem. The “three bin” concept can be
useful in this respect. When information is clearly correct it is put in the green bin. When information is clearly
incorrect it is put in the red bin. When it is not clear whether the information is correct it is put in the yellow bin –
this is a holding bin.
Information in the yellow bin can move to the green bin when more information becomes available that indicates
that the information is correct. When more information becomes available that indicates that the information is
incorrect, it is moved into the red bin. This concept is clearly useful not only in troubleshooting but in many other
activities.
The most powerful troubleshooting tool is the human mind. Critical and independent thinking is essential in
solving extrusion problems. Consider a situation where 20 people are in a meeting; 19 people have a certain opinion
on an issue with only one person having a different opinion. Does that mean that the one person with a different
opinion is wrong? No, that person is clearly at a numerical disadvantage but that person can still be right. You
should not change your position simply because you are outnumbered. You should only change your position if you
are presented with convincing evidence that your position is incorrect.
Process changes can occur not only because of machine parameters, but also because of material changes. For
instance, a change in the stabilizer level in the plastic can cause degradation problems without any changes in the
machine conditions and settings.
If the scope of a problem is small, a single individual can go through the problem solving process and there is no
need to organize a team. In many cases, however, problems involve different departments and functions and require
a wide range of skills to come to a solution. In such cases, problem solving requires a team effort. Extrusion
problems often require input from materials QC, purchasing, maintenance, engineering, and possibly other
departments.

MAIN TYPES OF PROBLEMS

The number of extrusion problems that can occur is nearly infinite. In this paper we will discuss on the
following problems.
x Output problems
x Appearance problems
x Functional product properties
x High melt temperature
x High motor load
x Wear of screw and/or barrel

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 Output problems
These can be: low output or output variation.

Low output
Compare the actual output to the typical output achieved on an extruder of the same diameter. For a quick
number of the expected output for a single screw extruder one can use the power law rule. The output is
proportional to the diameter cubed. In Imperial (US) units we get the following expression for a screw speed of
about 50 rev/min.
Output in lbs/hr ~ 10(screw diameter in inches)3
If we use SI units the power law rule can be written as:
Output in kg/hr ~ 0.29(screw diameter in cm)3

For a 25-mm (1-inch) extruder the typical output is 4.5 kg/hr (10 lbs/hr, for a 50-mm (2-inch) extruder 36 kg/hr
(80 lbs/hr), for a 114-mm (4.5-inch) extruder 430 kg/hr (950 lbs/hr), for a 150-mm (6-inch) extruder 980 kg/hr (2160
lbs/hr), etc. The power law rule is illustrated in figure 1.
It should be noted that the power law rule is only an approximation. Polymers with high density will have higher
output than polymers with lower density. The output will be higher at screw speeds above 50 rpm. Since the output
is usually proportional to the screw speed, the predicted output can determined by multiplying with the ratio of
actual rpm to 50 rpm.

FIGURE 1, Output versus extruder diameter

If the actual output is much below the power law rule, then it is possible that the extruder has an output problem.
The logical steps in the analysis of low output problems are shown in the flow chart shown in figure 2. The power
law rule can be used to determine whether the actual output is less than the expected output.

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 FIGURE 2, Flow chart for low output

Output variation
If the problem is variation of the extruder output, we should check the nature of the variation. Is the output
variation:
x Regular cyclic variation? If yes, what is cycle time?
x Gradually decreasing? If yes, how fast in percent per day or week?
x Gradually increasing? If yes, how fast in percent per day or week?
x Occasional increase or decrease without a clear pattern?

Cyclic variation
The variation can be categorized by how fast the variation occurs (3). We can distinguish:
x Fast variation, several times per revolution of the screw
x Variation at the frequency of the screw speed, i.e. each revolution of the screw
x Slow variation, every ten to twenty revolutions of the screw
x Very slow variation, occurring over several minutes
x Hourly variation, occurring over one to several hours
x Daily variation, occurring over one to several days

The flow diagram shown in figure 3 illustrates the possibilities with cyclic variation.

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 FIGURE 3, Flow chart for output variation

Appearance problems
These can be: lines, discoloration, orange peel, bubbles, specks, gloss, etc. Appearance problems can originate
before the extruder (e.g. contamination), in the extruder (e.g. degradation), and after the extruder (e.g. lines from the
calibrator). One problem analysis technique that is popular in statistical process control is the fishbone chart or
Ishikawa diagram (1). An example of a fishbone chart for a problem with bubbles or voids in the extruded product is
shown in figure 4.

FIGURE 4, Fishbone chart for voids in extruded product.

The fishbone chart shows the problem on the right and the possible causes are shown at the end of the branches.
More detail can be added such as shown for the branch “inefficient venting.” The fishbone chart is helpful in listing
all the possible causes of a problem and can aid in a logical step-by-step problem solving process.

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 Functional product problems
These problems can be tensile strength, cracking, etc.; basically, any undesirable property that makes the part
unable to perform its intended function. It may be hard to list all the cases that can make a part nonfunctional. This
can be related to mechanical properties, electrical properties, optical properties, etc. An example of a functional
product problem is environmental stress-cracking, ESC. In this problem fracture occurs when the plastic product is
under stress and exposed to a chemical that reduces the crack resistance of the plastic. For instance, detergent can
cause ESC in HDPE.
The stress can be an applied external stress, an internal stress, or a combination of the two. Internal frozen-in
stresses can result from the extrusion or molding process when the plastic is strained and cooled at a sufficient rate
to prevent the stresses from relaxing. As a result, ESC can be reduced by changing the extrusion process to minimize
the strain rate in the forming process and to maximize the relaxation of the plastic molecules.
Strain rates can be reduced by opening the die gap, reducing the extrusion rate, and by reducing draw down
between the die and the take-up. Relaxation can be improved by maintaining higher temperatures in the plastic, e.g.
by cooling less rapidly.

High melt temperature

What is the measured melt temperature and how is it measured? What is the polymer being extruded? Check to
see if the Tm>>Tmp+50°C for semi-crystalline polymer or Tm>>Tg+100°C for amorphous polymer with
temperatures in degrees Centigrade. If this is not the case, there may not be a high melt temperature problem. The
flow chart in figure 5 shows the questions to be asked for high melt temperature problems.

FIGURE 5, Flow chart for high melt temperature.

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 High motor load
Check the SEC (specific energy consumption). This is the ratio of the motor load in kilowatt and the output in
kilograms per hours. If the ratio is above 0.3 kW.hr/kg (~ 0.2 hp.hr/lb) then the actual motor power is higher than it
should be, probably causing excessive temperature rise of the plastic in the extruder.
Most plastics have a specific energy requirement (enthalpy rise) between 0.08-0.16 kW.hr/kg (0.05-0.10
hp.hr/lb) when extruded starting from room temperature. If the actual specific energy consumption (SEC) is much
higher, this indicates that there is excessive power consumption in the extruder. In most extrusion operations, a high
motor load condition coincides with a high melt temperature condition. The plastic temperature rise is mostly due to
dissipation of the mechanical power of the drive into heat to raise the plastic temperature. As a result, the flow chart
for high melt temperature, figure 5, can be used to a large extent to troubleshoot problems with high motor load.

Wear problems
The flow chart in figure 6 shows the various questions that have to be addressed.

FIGURE 6, flow chart for wear problems.

The first question that should be asked is if the wear is slow or rapid. If slow (several months to years) then
probably all that is required is to replace the worn parts. If the wear is rapid (days to weeks) than simply replacing
the worn parts is usually not an acceptable option and the cause of the wear problem has to be removed or mitigated.

EXAMPLES OF ACTUAL EXTRUSION PROBLEMS

We will discuss a few examples of extrusion problems. The first problem is a “no output” condition. In this
example is an extruder that was started up after maintenance had been performed on the machine. The machine had
been heated correctly to the required temperatures, material was in the feed hopper, and the slide valve allowing

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material to flow into the feed throat was opened. However, with the screw turning at low speed no material came out
of the die. The question is what may be going on and what should be check?
It turned out that when maintenance was done on the motor; the terminals were switched causing the motor to
turn in the opposite direction. In other words, the screw was pumping backwards. This can be checked by looking at
the rotation of the screw at the drive end. For a right-handed screw, the rotation should be counter-clockwise; for a
left-handed screw, clockwise.
Most screws are right-handed; looking at the drive end of the screw, they should turn counter-clockwise and
looking at the discharge end of the screw, they should turn clockwise. Of course, there are a number of other
problems that could result in a no output condition. For instance, the screw could be broken in the feed section. In
this case, the screw would appear to be rotating, however, most of the screw would actually not be rotating and no
material would be forwarded by the screw.
High friction on the screw or low friction on the barrel in the feed section can also lead to a no output condition.
Bridging in the feed hopper is another possible cause.

Die Lines and Degradation in Blown Film Extrusion

Figure 7, left side, shows a blown film die with sharp angles at the entrance to the mandrel section. The sharp
angles caused a longitudinal line in the film, occasionally leading to splitting of the film. Also, the sharp corners led
to hang-up of material, resulting in degradation of the plastic. The blown film die was modified as shown in figure 7,
right side. This modification eliminated the die line problem and degradation.

FIGURE 7, Blown film die with poor streamlining (left) and improved streamlining (right)

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 Mixing Problems with Masterbatch
Figure 8 shows a mixing problem in the extrusion of polyolefins with a masterbatch of an inorganic pigment.

FIGURE 8, Mixing quality after 1 (left) and 10 minutes; top MB with regular MI and bottom MB with high MI.

The top two pictures show mixing after 1 (left) and 10 (right) minutes with a masterbatch with regular melt index.
The bottom two pictures show mixing after 1 and 10 minutes with a masterbatch using a high melt index matrix
material. It is quite clear that the high MI matrix material does not allow good dispersion of the ingredient due to the
low viscosity of the matrix material.

Degradation Due to High Melt Temperatures

This problem, a three layer coextrusion, was due to high melt temperatures in the extruder. Melt temperatures
were measured with a bridge across the melt stream between the extruder and the die. The bridge was equipped with
several temperature probes across the melt stream, see figure 9.

FIGURE 9, Temperatures measured across barrel discharge with thermo comb.

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 The melt temperature profile is relatively flat at low screw speed with a variation of about 5°C. The average
temperature at 30 rpm is about 200°C. The melt temperatures increase with screw speed especially in the mid
region of the channel. At 120 rpm the melt temperatures in the mid region of the channel increase to about 235°C.
The temperature variation at 120 rpm is about 25°C.

For the polymer used in this extrusion process the melt temperatures of 235°C caused degradation. The short term
solution for this problem is to reduce the screw speed. Of course, this reduces the extruder output as well. A better
long term solution is to change the screw geometry to one that generates less heat. This will allow maintaining the
output while reducing the melt temperatures at the same time.

CONCLUSIONS
In troubleshooting extrusion problems it is important to take a methodical, step-by-step approach. Some
extrusion problems have been discussed in this paper with flow charts to encourage systematic troubleshooting.
Clearly, many other problems can occur in extrusion.

REFERENCES
1. C. Rauwendaal, “Statistical Process Control in Injection Molding and Extrusion,” Second edition, Hanser-
Gardner Publications, Cincinnati, OH (2008)
2. B.H. Maddock, “Measurement and Analysis of Extruder Stability,” SPE Journal, 1277-1283, December (1964)
3. K.R. Fitzgerald, “Trouble Shooting in Extrusion Begins with Good Management,” Plastics World, 400-403,
Directory (1988)
4. M. del Pilar Noriega E. and C. Rauwendaal, “Troubleshooting the Extrusion Process, A Systematic Approach
to Solving Plastic Extrusion Problems,” 2nd edition, Hanser Publications, Cincinnati, OH (2010)

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