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Applied Thermal Engineering 53 (2013) 405e413

Contents lists available at SciVerse ScienceDirect

Applied Thermal Engineering


journal homepage: www.elsevier.com/locate/apthermeng

Thermal optimisation of polymer extrusion using in-process


monitoring techniques
Javier Vera-Sorroche a, Adrian Kelly a, *, Elaine Brown a, Phil Coates a, Nayeem Karnachi b,
Eileen Harkin-Jones b, Kang Li c, Jing Deng c
a
Polymer IRC, School of Engineering, Design and Technology, University of Bradford, Bradford BD7 1DP, UK
b
School of Mechanical & Aerospace Engineering, Queen’s University Belfast, Belfast BT9 5AH, UK
c
School of Electronics, Electrical Engineering and Computer science, Queen’s University Belfast, Belfast BT9 5BN, UK

a r t i c l e i n f o a b s t r a c t

Article history: Polymer extrusion is an energy intensive process, which is often run at less than optimal conditions. The
Received 12 December 2011 extrusion process consists of gradual melting of solid polymer by thermal conduction and viscous
Accepted 4 April 2012 shearing between a rotating screw and a barrel; as such it is highly dependent upon the frictional,
Available online 24 April 2012
thermal and rheological properties of the polymer. Extruder screw geometry and extrusion variables
should ideally be tailored to suit the properties of individual polymers, but in practice this is rarely
Keywords:
achieved due to the lack of understanding of the process. Here, in-process monitoring techniques have
Polymer extrusion
been used to characterise the thermal dynamics of the extrusion process. Novel thermocouple grid
Melt temperature
Energy
sensors have been used to measure melt temperature fields within flowing polymer melts at the
Optimisation entrance to an extruder die in conjunction with infra-red thermometers and real-time quantification of
energy consumption. A commercial grade of polyethylene has been examined using three extruder screw
geometries at different extrusion operating conditions to understand the process efficiency. Extruder
screw geometry, screw rotation speed and set temperature were found to have a significant effect on the
thermal homogeneity of the melt and process energy consumed.
Ó 2012 Elsevier Ltd. Open access under CC BY license.

1. Introduction The extruder is arguably the single most important piece of


polymer processing machinery [3,4]. The majority of polymer
Polymer processing is an energy intensive industrial sector, due processing steps involve extrusion and this stage typically repre-
to the need to melt, mix, form and solidify polymeric materials in sents around 50% of the total process energy. An extruder consists
large quantities at high throughputs. European plastics production of an Archimedean screw rotating within a heated barrel, gradually
totalled 55 million tonnes in 2009, 24% of the global total, and melting polymeric granules or powder and conveying this melt to
worldwide production has grown steadily for several decades. The a die where it is formed into shape. Polymer is melted by the dual
packaging sector accounts for the largest proportion of polymer action of electrical heaters along the length of the barrel and
production (40.1% in 2009), with construction, automotive and viscous shearing by the rotation of the screw. For each kg of poly-
electronics also accounting for significant consumption of poly- mer processed it is necessary to supply, on average, 0.3 kW/kg/h [2].
meric materials. In Europe alone it is estimated that more than 1.6 A typical polymer processing plant will consist of polymer drying
million people work in the polymer conversion industry in over equipment, polymer processing machines, chiller units for cooling
50,000 companies, many in SMEs (small and medium-sized enter- water and compressors for conveying materials and service air.
prises), generating turnover in the region of 300 billion Euros per Despite the high intensity of thermal energy utilised within the
year [1]. For a typical UK plastics company the electricity bill is polymer processing industry, extrusion processes are commonly
usually between 1 and 3% of turnover, which amounts to £380 run at less than optimal conditions due to a number of factors.
million per annum for the UK in electricity costs. It has been shown Often there is a lack of understanding of process conditions and
by Kent et al. [2] that simple no cost or low cost energy practices can their relation to product quality and energy consumption. As
reduce energy consumption by between 10 and 20%. a result, extrusion processes are operated at conservative rates to
minimise process disturbances; long set-up and downtimes can
* Corresponding author. Tel.: þ44 (0) 1274 234532; fax: þ44 (0) 1274 234529. occur due to difficulties in selecting operating parameters [5].
E-mail address: A.L.Kelly@bradford.ac.uk (A. Kelly). Historically there has been little interest in operating with process

1359-4311 Ó 2012 Elsevier Ltd. Open access under CC BY license.


doi:10.1016/j.applthermaleng.2012.04.013
406 J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413

energy consumption in mind, so the effects of processing condi- measured temperature at that point. Using such techniques the
tions on energy consumption are not well understood and gener- effect of extruder screw speed, polymer type and screw geometry
ally extruders are not equipped with energy monitoring have been measured [12]. The fragility of such sensors restrict their
equipment. Often extruders are operated with extruder screw use to research rather than production environments.
geometries, which are not suited to the polymer being used, either Infra-red (IR) sensors offer a non-intrusive, fast response method
through lack of understanding or financial restrictions. of polymer melt temperature measurement. Typical response times
The quality of extruded polymer is highly dependent upon the of infra-red sensors are around 10 ms and several studies have re-
homogeneity of the molten polymer being fed into the die, which ported their use in polymer extrusion, mainly using sensors flush
should ideally be supplied at a constant pressure, temperature and mounted to the surface of the extruder die [13e15]. Measurements
throughput. Another difficulty faced by the industry is that the from infra-red sensors can provide some information about melt
temperature of flowing polymer melt is inherently difficult to temperature within a flowing melt, however the effective penetra-
quantify without adversely affecting the flow. To address this tion depth of this technique is difficult to quantify and has been
measurement need, a number of real-time melt temperature shown to depend heavily on the emissivity of the polymer melt under
measurement techniques have been developed, primarily more measurement [13]. Such sensors can be used in production envi-
suited to research rather than a production environment. These are ronments although the cost of the devices and the fragility of optical
discussed in more detail in the following section. The aims of this fibres and electronics limit their use. Measurement techniques based
work were to relate thermal energy consumption of the single on alternative physical principles have also been developed to
screw extrusion process to operating conditions and screw geom- measure polymer melt temperatures, such as ultrasound [16] or
etry. The reported study forms part of a wider research project to fluorescence spectroscopy [17], but the cost of the systems and
provide the polymer industry with tools to optimise energy effi- complexity of calibration and analysis has limited their use. A
ciency using a whole systems approach. summary of these measurement techniques is shown in Table 1:
The work reported in this study utilises the thermocouple grid
2. Polymer melt temperature measurement technique and infra-red temperature measurement combined with
real-time quantification of energy consumption to investigate
Single screw extruders are controlled by setting barrel and die thermal optimisation of the extrusion process.
temperatures and screw rotation speed. Melt temperature is widely
acknowledged as being one of the key variables in polymer extru-
sion which directly influences process stability and product quality 3. Experimental
[4]. However, most extruders are supplied with only wall temper-
ature measurement capability, usually through a thermocouple All measurements were carried out on a 63.5 mm diameter
flush mounted at the extruder die wall. Such sensors have been single screw extruder (Davis Standard BC60). A linear high density
shown to be heavily dependent upon the temperature of the metal polyethylene (Ineos HD5050EA) was used throughout the studies
wall rather than the flowing melt [6], although slight improvements which has a quoted melt flow index (MFI) of 4.0 g/10 min (2.16 kg,
can be obtained by using thermocouples embedded in an insulating 190  C). A comparison of shear viscosity measured using capillary
medium, such as a ceramic. Protruding thermocouples have also rheometer is shown in Fig. 1 to highlight the importance of the
been used in an attempt to measure the melt temperature profile, temperature dependence. Viscosity decreased with increasing
but these have the disadvantage of disturbing the process flow and temperature as could be expected.
hence risking weld lines in the extruded product [7]. Traversing Three extruder screws were used throughout the experiments
thermocouples are also subject to conduction errors along the with a length to diameter ratio of 24:1. These polyolefin screw
length of the sensor and shear heating around the tip. Several designs were selected to provide a comparison of melting condi-
techniques have been reported whereby a number of thermocou- tions with screws typically used in the polymer industry but had
ples have been mounted on a supporting structure to measure not been specifically designed for this study.
temperature radially across the melt flow but these also suffer from Schematic representations of the screw designs are shown in
disturbance of the melt streamlines and slow response times [8,9]. Fig. 2, and details are provided below:
Sensors based on grids of thermocouple wires placed within the
melt flow have been used to generate detailed information con- (a) 3:1 compression ratio, with gradual compression and % free
cerning melt temperature profiles and temperature variation volume (FV) ¼ 31.64
[10,12]. These thermocouple meshes use unsheathed thermocouple (b) 3:1 compression ratio, with rapid compression and % free
wires with small diameters to minimise the flow disturbance and volume (FV) ¼ 26.99
reduce response time. Wires of opposing polarity are fused (c) 2.5:1 compression ratio, barrier flighted with Maddock mixer
together to form thermocouple junctions whose e.m.f. is related to and % free volume (FV) ¼ 36.05

Table 1
Summary of temperature measurement methods.

Method Comments Intrusive Dynamic response References


Wall mounted TC Bulk measurement, dominated by wall temperature NO w1 s [6]
Protruding TC Temperature profile, interruptions of the melt flow, YES >1 s [7]
conduction error in length and shear heating around the tip
Traversing TC Temperature profile, subject to conduction and shear heating errors YES w1 s [8,9]
TC mesh Multiple readings, provide a 2D profile of the temperature YES w0.1 s [10,12]
Infra-red Bulk measurement over a conical volume near to the wall, NO 10 ms [13e15]
measurement dependent upon material type
Ultrasound Bulk measurement across the centreline of entire flow, NO w1 ms [16]
requires careful calibration due to changes with pressure and material type
Fluorescence Temperature profile, dependent upon material type NO w0.5 s [17]
J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413 407

thermocouple junctions, wires were fused together using a controlled


amount of current discharged from a capacitor. Thermocouple wire
diameter was 0.3 mm. The thermocouple grid was located at the
entrance to a 6 mm diameter rod die, in an instrumented adaptor
section (internal diameter 38 mm) of the single screw extruder (in the
‘die TC grid’ position shown in Fig. 3). The design of the thermocouple
grid incorporated seven junctions located on a central axis across the
flow channel in a non-symmetrical spacing.
Additionally, measurements from a wall thermocouple (3 mm
diameter J-type) and an insulated J-type thermocouple of 0.5 mm
diameter protruding 1.0 mm into the flow were made in the
instrumented adaptor section prior to the die. Melt pressure was
also monitored using a Dynisco PT422A pressure transducer. Melt
temperature in the screw channel close to the end of the extruder
screw was monitored using an infra-red temperature sensor
(Dynisco MTX) flush mounted to the barrel surface. Energy
consumption was monitored using a 3-phase unbalanced loads
energy meter (Hioki 3169) connected to the 3-phase power supply
to the extruder. This measured total energy consumption of the
Fig. 1. Shear viscosity of polyethylene measured using off-line capillary rheometer at
180  C, 210  C and 240  C. extrusion process including consumption by the motor, heaters and
cooling fans. Experiments were carried out at a range of extruder
screw speeds from 10 to 90 rpm in steps of 20 rpm, and sufficient
Thermal homogeneity was assessed using thermocouple grid and time was allowed for conditions to stabilise at each screw speed. All
infra-red techniques. The thermocouple grid sensors used in this measurements were made at a frequency of 10 Hz. Three set
work have been described in detail previously [10] including cali- temperature conditions were used as detailed in Table 2.
bration techniques and quantification of shear heating and conduc-
tion errors. These devices consist of a two dimensional array of 4. Results and discussion
interconnected exposed thermocouple junctions mounted in a sup-
porting frame. Two different wire types were used to construct The performance of each of the three extruder screws in terms
thermocouple junctions; at each junction, an EMF is generated of throughput is compared in Fig. 4, at each set temperature and
which can be correlated to the local temperature. To create the screw rotation speed. In single screw extrusion, the feeding section

Fig. 2. Extruder screw geometries used a) Single flighted, tapered compression. b) Single flighted, stepped compression, c) Barrier flighted with spiral mixer.
408 J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413

Fig. 3. Instrumented extruder die showing location of thermocouple grid at die entrance.

of the screw is flood fed and the screw channels operate full of The total energy consumption for each screw is compared in
polymer. Therefore, the set screw rotation speed has a direct Fig. 6. This was found to be heavily dependent upon screw rotation
influence on the throughput. For both single flighted screws there speed and ranged from 850 to 2600 J/g. This minimum value of
was a linear relationship between screw speed and throughput, and energy consumption required in the process is much higher than
in both cases the set temperature had a negligible effect on the enthalpy of PE between ambient and process temperatures
throughput. The barrier flighted screw with spiral mixer was (202 J/g) [19], and it is therefore clear that significant process
influenced more by set temperature. At 180  C the throughput from energy losses occur. At low screw speeds the barrier flighted screw
this screw was lower than the two single flighted screws and dis- consumed less energy per unit mass than both of the single flighted
played a non-linear behaviour. The throughput is heavily depen- screws, although at higher screw speeds the single flighted screws
dent upon the polymer’s thermal and frictional properties and due compared more favourably. Brinkman numbers [20] were calcu-
to their design, barrier flighted screws ‘work’ the polymers harder lated for each case and showed that conduction was the dominant
as the melt is forced to flow over extra flights in the barrier and form of heat generation within the process at lower throughputs,
mixer sections of the screw. This extra work, required at lower up to screw speeds of approximately 50 rpm at 180  C and w70 rpm
temperatures appears here to inhibit the total throughput, espe- at 220  C which could also explain the higher values of energy
cially at higher speeds where achieving melting is more chal- consumption observed. Set temperature appeared to have a rela-
lenging. At 220  C however, the barrier flighted screw produced tively minor effect on energy consumption especially for the barrier
higher throughputs than the single flighted screws. Furthermore, flighted screw. Higher set extruder temperatures requires a more
the barrier flighted screw had a higher free volume than the single significant contribution from the electrical barrel and die heaters
flighted screw which may be able to explain the higher throughput but also causes the polymer melt to have a lower viscosity and
produced at 220  C, the lower melt viscosity allowing channel therefore a lower torque requirement for viscous shearing along
filling more readily. Barrier flighted screws have been shown in the screw channels. These two competing effects appeared here to
previous studies to provide higher throughputs [18]. be mutually cancelling to a large extent for this particular grade of
Measured die head pressures are displayed in Fig. 5. For single polymer.
flighted screws the increase in pressure was relatively linear with Melt homogeneity can be assessed by measurement of pressure
screw speed and was affected significantly by set temperature. Lowest and temperature at the extruder die. A typical set of raw data is
set temperature caused the highest die pressure due the temperature- shown in Fig. 7 for the tapered compression screw at a set
dependent viscosity of the polymer. For the barrier flighted screw, temperature of 220  C and set screw rotation speeds of 10, 30, 50,
pressure increase was not linear with screw rotation speed; screw 70 and 90 rpm. Melt pressure was found to increase with extruder
rotation speed having less effect on pressure at higher speeds. In screw speed and rapidly reached an equilibrium at each speed. The
contrast to the single flighted screws, set extruder temperature had wall thermocouple reflected only the temperature of polymer at or
a relatively minor effect on die pressure for this screw. close to the metal wall and maintained at relatively constant levels
Total energy consumption per unit mass was defined as the except at the highest speed of 90 rpm when it reduced by around
energy output from the energy meter divided by throughput. Both 2  C. Temperature measurements made using a junction of the
values, the monitored measurement of energy and the throughput, thermocouple grid and infra-red sensor reflected much higher
were obtained over a period of 1 min. deviation in temperature with increasing screw speed, showing
temperature to reach maximum values at a screw speed of 30 rpm.
Total energy consumption per unit massðJ=gÞ
At high throughputs, single screw extruders have been found to
Energy outputðJ=sÞ have limited melting ability, especially those with simpler single
¼ :
Throughput ðg=sÞ flighted designs. Fig. 7 also shows a high level of variation in melt
temperature at high screw speeds whereas levels of pressure
Table 2
variation remained relatively constant. The good correlation
Extruder set temperatures.
between measurements made with the infra-red sensor in the
Code Zone 1 Zone 2 Zone 3 Zone 4 Die zones screw channel and thermocouple grid at the extruder die suggest
180  C 130 155 165 180 180  C that this use of infra-red could be potentially useful for industrial
200  C 140 170 185 200 200  C extrusion applications, and will be explored more fully during our
220  C 150 185 205 220 220  C
studies.
J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413 409

Fig. 5. Measured extruder die head pressures from each extruder screw. a) Tapered
Fig. 4. Measured extruder throughputs from each extruder screw. a) Tapered
compression. b) Stepped compression. c) Barrier flighted.
compression. b) Stepped compression. c) Barrier flighted.
410 J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413

Fig. 7. Comparison of measured raw temperature and pressure data; tapered


compression screw at 220  C (set screw speeds indicated in text boxes).

Radial melt temperature profiles measured using the thermo-


couple grid (averaged over a period of 1 min) are displayed for the
tapered compression and barrier flighted screws at 180  C in Fig. 8.
Data from both screws showed a significant dependence upon set
screw speed. At low speeds of 10 and 30 rpm the temperature profile
generated by each screw was very similar, with the bulk of polymer
in the centre of flow having a temperature of around 195  C, drop-
ping towards the die wall. At higher throughputs the peak
temperature for both screws increased to a maximum of around
212  C, however with the barrier flighted screw melt temperature
was increased across the total flow volume, whereas for the single
flighted screw lower temperature regions were measured towards
the die walls. This is thought to result from the less efficient melting
of single flighted screws, causing the solid bed of polymer in the
screw channel to be fully molten later along the screw length [11].
Melt temperature profiles at low screw speeds were found to be
independent of extruder screw geometry at all set temperatures;
therefore melt temperatures at intermediate (50 rpm) and high
(90 rpm) throughputs are investigated for each screw in more
detail in Figs. 9e11. Set temperature was found to have a direct
effect on measured melt temperature, causing a shift in the profile,
as could be expected.
The difference in melt temperature across the flow volume can
have a direct effect on the quality of the extruded product, influ-
encing dimensions, properties and morphology. At 90 rpm both
single flighted extruder screws (Figs. 9 and 10) were found to display
significant variation across the flow channel, with low temperature
regions close to the die walls evident. Interestingly, this low
temperature dip was more pronounced at higher set temperatures.
The barrier flighted screw achieved much better temperature
homogeneity across the melt channel, with no areas of low
temperature being observed. This confirms the improved melting
ability of the barrier flighted geometry with spiral mixer [21],
which could be assumed to provide improved melt consistency at
the extruder die.
Melt temperature measurements made across the depth of the
screw channel are shown in Fig. 12 for the gradual compression
screw at screw rotation speeds of 10, 50 and 90 rpm at 200  C.
These measurements were obtained by placing the IR sensor flush
mounted to the surface of the extruder barrel close to the extruder
die. Due to the location of the IR sensor, the data are periodic in
nature and are disrupted once per screw rotation by the action of
Fig. 6. Measured energy consumption from each extruder screw. a) Tapered the extruder flight passing the tip of the IR sensor. Therefore, the
compression. b) Stepped compression. c) Barrier flighted. effect of the screw flight in each of the measurements can be
observed either as a periodic dip or peak in temperature.
J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413 411

Fig. 10. Measured average melt temperature profiles; stepped compression screw
geometry at 3 set temperatures and screw speeds of 50 and 90 rpm.

Fig. 12b shows melt temperatures measured by the IR sensor at


a screw speed of 50 rpm. At this screw speed the screw flight
disruption was represented by a sharp peak temperature. These
temperature measurements suggest that the melt temperature was
lower than the temperature of the screw at this condition. At this
screw speed, melt temperatures exhibited higher fluctuations with
significant levels of variation observed between the screw flight
disruptions. These are likely to result from melting instabilities
previously described by the authors with the use of thermocouple
meshes at the same conditions [11].
At 90 rpm, IR melt temperature is displayed in Fig. 12c. Levels of
temperature fluctuation were significantly greater with a variation
of up to 20  C. These results suggest that non-intrusive IR ther-
mometry in the metering section of the extruder screw was
Fig. 8. The effect of screw rotation speed on melt averaged melt temperature profile at sensitive to melt homogeneity, which depends of the melting
a set temperature of 180  C. a) Tapered compression screw. b) Barrier flighted screw. ability of the extruder screw.
In addition to average melt temperature profiles, variation over
time is also important. As already shown in Fig. 7, large temperature
Fig. 12a shows that at 10 rpm for the gradual compression screw
fluctuations can exist which may not be reflected in pressure vari-
at 200  C, minimum values were associated with the screw flights
ation. In order to compare the performance of the three extruder
passing the sensor, followed by increased values of temperature
screws and three set temperatures, the throughput, energy
which, reached a maximum value, before decreasing gradually
consumption, melt pressure variation and melt temperature vari-
during the rotation before dropping sharply again at the next screw
ation are plotted in bar chart form in Figs. 13e16 for screw speeds of
flight.

Fig. 9. Measured average melt temperature profiles; tapered compression screw Fig. 11. Measured average melt temperature profiles; barrier flighted screw geometry
geometry at 3 set temperatures and screw speeds of 50 and 90 rpm. with spiral mixer at 3 set temperatures and screw speeds of 50 and 90 rpm.
412 J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413

Fig. 13. Mass throughput at screw speeds of 50 and 90 rpm.

Fig. 14. Energy consumption at screw speeds of 50 and 90 rpm.

Fig. 12. Measured infra-red melt temperature in the channel of the metering section:
set die temperature 200  C. a) Screw speed at 10 rpm. b) Screw speed at 50 rpm. c)
Screw speed at 90 rpm.

50 and 90 rpm. Fig. 13 shows mass throughput to be of similar


magnitude for all three extruder screws but that the barrier flighted
screw was more affected by set temperature. At 180  C throughput
from this screw was 12% lower than that achieved with the tapered
compression screw. Energy consumption per unit mass (Fig. 14) was
comparable for all three screw geometries and relatively unaffected
by set temperature. Interestingly, energy consumption in the step-
ped compression screw was lowest, corresponding to the poorest
melt temperature homogeneity seen in Fig. 10.
Melt temperature fluctuations (defined as the difference
between maximum and minimum values over a 60 s period) shown
in Fig. 15 were found to be much higher with the two single flighted Fig. 15. Melt temperature variation (thermocouple mesh junction 2) at screw speeds
screws than with the barrier screw. Variations of up to 47  C were of 50 and 90 rpm.
J. Vera-Sorroche et al. / Applied Thermal Engineering 53 (2013) 405e413 413

Acknowledgements

This work was funded through an inter-disciplinary research


programme (EP/G059330/1) by the Engineering and Physical
Sciences Research Council of the UK. The technical assistance of
Steve Brook, Ken Howell and John Wyborn at the University of
Bradford are gratefully acknowledged.

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