8.
24 Extruder Controls
G. A. PETTIT (1972, 1985),
B. A. JENSEN (1995),
M. L. BERNS (2005)
INTRODUCTION
Integrated extrusion control requires more than controlling the
extruder and associated equipment variables at appropriate set
points. Extrusion control integrates all the functions an oper-
ator normally performs in the correct order at the proper time.
This involves the complete integration of controlling, inter-
locking, sequencing, and scheduling of the extruder system
with the other parts of the plant.
An equally important consideration in the automation
effort is the interfacing to allow the operator or the higher
level plantwide control system to retrieve the necessary data
and to provide the means to control the operations of the
equipment up- and downstream of the extruder.
Implementation of the various forms and levels of extruder
automation is a continuing stepwise process. Achieving the
benefits of extrusion automation is a matter of layering infor-
mation functions and advanced supervisory strategies upon
the basic regulatory and interlocking control strategies.
Extruder Production Rate
The extruder output flow is a function of the screw speed,
plastic viscosity, screw leakage, pressure build-up, and so on.
Assuming an uninterrupted resin supply and negligible screw
overflight leakage, the relationship between the production
rate of the extruder and the above listed factors is as follows:
k1N − k2 P
Q= 8.24(1)
µ
where
k1 = constant, based on geometry of the last screw flight
N= screw speed
k2 = constant, based on geometry of melting zone
P= pressure of the melt at the nose of the screw
m= viscosity of plastic
Equation 8.24(1) shows that the output of the extruder is
proportional to the speed of the screw and that an increase
in output pressure reduces output flow rate.
1932
© 2006 by Béla Lipták
Extruder
Flow sheet symbol
Polymer Types and Characteristics
All lists of commercial polymers are incomplete owing to
the rapid progress of polymer science and production. The
common extruded products, such as polyethylene and poly-
styrene, extrude rather simply and are relatively stable, and
their behavior is reasonably predictable.
Polymers in the vinyl chloride group are not so stable at
extrusion temperatures. If not promptly removed from the
process, they decompose, emitting hydrogen chloride gas,
which is very corrosive to metal. Consequently, dies for vinyl
chloride are commonly chrome-plated and designed to elim-
inate pockets or crevices where the material may become
entrained and decompose.
An important characteristic of synthetic polymers that com-
plicates their extrusion is sensitivity to shear rate, a phenome-
non known as non-Newtonian behavior (Equation 8.24[1]). The
relationship between apparent viscosity and shear rate is also
dependent on temperature and must be considered when
4
extruder controls are considered. Certain polymers, such as
polyvinyl chloride (PVC) and acrylonitrile-butadiene-styrene
(ABS), are much more sensitive to shear rate than are more
crystalline materials, such as nylon and acrylics. This is espe-
cially true if color pigment additives are used.
A wide variety of additives or fillers are available to
reduce or eliminate various types of degradation (thermal,
mechanical, chemical, environmental). Additives such as UV
stabilizers, antioxidant, processing aids, flame retardants,
lubricant concentrates, and impact modifiers are normally
used in very small quantities. Other additives include rein-
forcing materials such as fiberglass and, of course, pigment
additives for color. Fillers include mineral fillers, such as talc
and CaCO3 plus mica, which are added to improve physical
properties and function as low-cost extenders.
COMPONENTS OF THE EXTRUDER SYSTEM
The extruder itself is the main component in an extrusion
process. It is composed of a drive motor, gear box, screw,
barrel zones, and die. On older systems, the screw drive
motors are generally DC drives, while on newer systems

Hopper Hopper
#1 #X
Feeder #1 Feeder #X
Lube oil
pump
Gear
Main drive Extruder
box
Air
Main drive
cooling fan
FIG. 8.24a
Extrusion flow diagram.
variable-frequency AC drives or open-loop vector-controlled
AC drives are more often used (see Section 7.10 for details
on variable-speed drives). The most important component in
the compounding process is the screw-type extruder. In addi-
tion, an extruder system consists of several other pieces of
equipment, including: blenders and feeders on the inlet of
the extruder and coolers (water baths), pelletizers, tube cutter-
pullers, shears, and stackers on its outlet side. In addition,
the system includes such auxiliary equipment as fans and
vacuum pumps.
An example of an equipment layout is shown in
Figure 8.24a.
Blenders
The resin feed usually is blended with different additives such
as pigments and fillers before it is fed into the extruder. The
blenders can be volumetric and gravimetric. Both types con-
sist of a resin station, one or more dosing stations, the mixer,
and a controller.
The feed rate of a volumetric feeder typically ranges from
3 3
3 to 1500 ft /hr (0.085 to 42.5 m /h) and is determined by the
gear ratio and the diameter of the metering screw. The asso-
ciated microprocessor-based controller performs the follow-
ing functions: 1) allows the operator to create, store, and recall
recipes, 2) controls the running time of the dosing stations,
3) controls the running time of the agitator, 4) maintains the
level of the material in each dosing station, 5) displays the
status of the operation, and 6) warns the operator if abnormal
conditions occur. Figure 8.24b provides a block diagram of
the volumetric blender.
A gravimetric feeder measures the actual weight of each
additive before loading it into the mixer. The rate of a gravi-
© 2006 by Béla Lipták
8.24 Extruder Controls 1933
Exhaust fan
and
vacuum pump
Pelletizer/
dicer
Dryer Screener
Water bath
Packaging
bins
metric feeder typically ranges from 0.55 lb/hr to 16,500 lb/hr
(0.25 kg/h to 7500 kg/h). A microprocessor-based controller
performs the same control functions on a gravimetric blender
as was described for the volumetric blender. Blender manu-
facturers use the same controllers for both types of feeders.
Figure 8.24c provides a block diagram of the gravimetric
blender.
Cooling System
When the molten extrudate exits the die, cooling is required
to solidify the product. Different types of cooling systems
are used, including: 1) water baths with vacuum sizing, which
are used in pipe and tube manufacturing, 2) cooling rollers,
which are used in sheet manufacturing, and 3) water baths,
which are used in coating processes, including wire and cable
covering.
The vacuum sizing tank system consists of the tank,
which is under vacuum, a water reservoir, water, and vacuum
pumps. The water pump circulates the water between the
water reservoir and the vacuum tank through entrance and
exit rings. The continuous circulation of the water ensures
adequate cooling of the extrudate.
The molten extrudate enters the vacuum sizing tank
through an entrance ring. The diameter of the entrance ring
determines the size of the pipe or tube. The difference between
the air pressure inside the tube or pipe and the vacuum outside
it determines the inside diameter of the tube or pipe. The
vacuum pressure in the tank can be controlled manually or
automatically. (For a description of vacuum gauges and vac-
uum transducers, refer to the first volume of this handbook.)
When the extruded sheet leaves the die it passes through
an air space of 3–10 ft (1–3 m). Here, additional cooling is
1934 Control and Optimization of Unit Operations

Resin
Pigment
Resin dosing control
Resin level
Pigment level
Pigment dosing control
Controller
Agitator control
Mixer level
Mixer
Extruder hopper level

Extruder

FIG. 8.24b
Block diagram of a volumetric blender and its controls.

provided by a set of cooling fans, which are placed above Cutters

and below the sheet. In some applications, water-cooled roll-
ers are also used to provide adequate cooling of the material.
When covered wires and cables are manufactured, they
are cooled by passing through a cooling trough. To reduce
the length of the trough and to maintain the high speed of
production, it might be necessary to have several passages
inside the trough.
Depending upon the end product of the extrusion process, a
cutting machine can be used to cut the extrudate strands into
shorter lengths.
Pelletizers and Dicers Depending upon the type of the extru-
date, a pelletizer, dicer, or some other kind of cutting machine
is used to cut the strands into shorter lengths. Pelletizers

Resin
Pigment
Resin weight
Resin dosing control
Resin level
Pigment level
Pigment dosing control
Controller
Pigment weight
Mixer Agitator control
Load cell
Mixer level
Extruder hopper level

Extruder

FIG. 8.24c
Block diagram of a gravimetric blender and its controls.

© 2006 by Béla Lipták


generally cut spaghetti-like strands into small pellets suitable
for packaging in bags or boxes. Dicers are used to cut sheets
into strips suitable to be wound up into rolls, or they can also
be left flat.
Control of the pelletizers and dicers primarily involves
the control of their speed so as to maintain the size of the
pellets and the ratio of the pelletizer and feed speeds constant.
The speed ratio is achieved by feedforward control of the
pelletizer/dicer speed based upon the dynamically compen-
sated master feed rate to the extruder.
Pullers-Cutters Cutter-pullers are used in the production of
pipes and thin-wall tubes. As their name implies, they pull
the extrudate through a vacuum sizer/cooler and cut the tube
or pipe to the desired length. The speed of the puller is set
by a slave controller to correspond to the speed of the
extruder. Reciprocal movement of the cutting head is syn-
chronized with the linear speed of the sleeve or pipe, and at
a preset length, a blade cuts the sleeve and retracts. Then the
cutting head moves back by the distance equal to the required
tube or pipe length.
Auxiliary Equipment
Exhaust fans and vacuum pumps are some of the auxiliary
equipment required to remove fumes from the extruder.
Because during compounding a variety of gaseous by-products
can form, special vent sections are provided in the extruder to
allow the removal of these gases. Venting is also required to
remove the vapors generated by moisture removal and devol-
atilizing. A decompression chamber is incorporated at the
point of venting so that the process material does not extrude
out through the vent port.
When the processing involves the sending of strands
through a water bath, often these strands are sent through a
vacuum system to dry them.
Screeners are used to sift pellets, ensuring common diam-
eters and lengths.
EXTRUDER TYPES AND SUBSYSTEMS
Single-Screw Extruders
Single-screw extruders usually convert granular resin feeds
into sheets, films, pellets, and shapes such as pipe. These
extruders are described by their screw diameters (in inches
or millimeters) and by their L/D ratio, L being the screw
length and D the screw diameter.
Single-screw extruders are available in almost any size
imaginable. Common sizes are 5/8, 3/4, 1, 11/2, 21/2, 31/2, 41/2,
51/2, 6, 8, 12, 15, and 20 in. (16, 19, 25, 37.5, 62.5, 87.5,
112.5, 132, 150, 200, 300, 380, and 500 mm). L/D ratios
range from 5:1 to 48:1, with 20:1 to 30:1 being some of the
common choices. The single-screw extruder is by far the most
© 2006 by Béla Lipták
8.24 Extruder Controls 1935
frequently used design; however, the twin-screw extruder is
1
becoming even more popular.
Twin-Screw Extruders
Machines using twin screws are generally large-volume pro-
duction units used for resin pelletizing in petrochemical
plants. They are equipped with various combinations of inter-
meshing and nonmeshing screws that can be either the co-
rotating or the counter-rotating variety. The following types
of processing can be performed in a single machine: 1) melt-
ing, 2) mixing and blending, 3) homogenizing, gelling, and
dispersing, 4) reacting, 5) pumping, 6) compounding and
formulation, 7) devolatilizing and degassing, and 8) drying.
Twin-screw machines are often melt-fed directly from
polymerization reactors and perform multiple functions on
the polymer prior to pelletizing and packaging it as a finished
product. The twin-screw extruder is normally selected as the
solution to many compounding and reactive extrusion tasks.
Twin-screw extruders can be either intermeshing or noninter-
meshing. Nonintermeshing extruders behave like two single-
screw extruders with only minor interactions between the two
screws.
A further subdivision of twin-screw types is the direction
of rotation. Co-rotating extruders have both screws rotating
in the same direction, and therefore the material is exchanged
between the screws, while counter-rotating screws transport
the process material through the extruder in a figure eight
channel.
Compounding requires that the resin be melted and homog-
enized while incorporating additives or fillers at a given shear
level. The key is the isolation of the high, medium, and low
shear sections along the screw length, as well as the feeding of
additives at the appropriate points. The advantages of twin
screws include the capability for mixing, dispersion, and heat
control in addition to efficient conveying.
Extruder Dies and Barrels
Die Types The shape and the ultimate use of the extruded
product are defined by the die shape. Dies are broadly clas-
sified as follows:
1. Sheet dies for extruding flat sheets, up to 120 in. (3 m)
wide and 1/2 in. (12.5 mm) thick.
2. Shape dies for making pipe, gaskets, tubular products,
and many other designs.
3. Blown film dies, using an annular orifice to form a
thin-walled envelope. The diameter of the envelope is
expanded with low-pressure air to roughly three times
the annular orifice diameter to form a thin film. The
process is used for films up to 5 mils thick (0.005 in.,
or 0.125 mm) at the upper limit.
4. Spinnerette dies for extrusion of single or multiple
strands of polymer for textile products, rope, tire cord,
or webbing.
1936 Control and Optimization of Unit Operations

L Hopper Extruder barrel Die

Gear
box
D

Feed Com- Metering

Control
section pres- section Drive zone
sion Motor
section Zone temperature Band type
sensor heaters
FIG. 8.24d
Typical single screw extruder
Typical extruder screw.
FIG. 8.24e
Single-screw extruder with band heaters.
5. Pelletizing dies for granular products in resin produc-
tion, synthetic rubbers, and scrap reclaiming. These
dies form multiple strands roughly 1/8 in. (3.125 mm) is determined by the type of feed, the screw type, and the
in diameter. Rotating knives continuously cut the resin feed location. External heating of the barrels can be
strands in short lengths, after which the pellets drop provided by electric resistance heaters and by hot oil systems.
into water for cooling. Band-type silicon control rectifier (SCR) resistance heat-
6. Cross-head dies for wire coating, in which the bare ers are of two-piece construction to facilitate removal.
wire or cable enters the die and emerges coated with Another type of electric heating is inductance heating, which
semimolten polymer. The wire enters and leaves the is accomplished by coiling a copper wire about the barrel to
die at an angle of 90º to the extruder axis. induce an electromagnetic field. This technique is more
responsive than resistance-type heating. The coil is energized
Many special configurations of extruder dies are used to with 60 cycle current and is usually controlled by contactors.
produce composite films. In such designs, two polymers enter After extrusion has begun, heat is internally generated
the die from two extruders and exit as a sheet. The top and from the friction and shear of the rotating screw. This heat
bottom polymer layers are of different chemical composition is a function of the square of the screw speed. The amount
so that one might obtain a film or sheet of two colors or to of heat generated is also influenced by screw design, head
utilize the other desirable characteristics of both materials. pressure, and resin viscosity. In some zones, the melt tem-
Dies for rigid foam production are similar to blown film perature may rise above accepted maximum, and barrel cool-
dies. Special dies with moving parts can continuously extrude ing is required.
netting. Most dies require a short connecting pipelike piece,
commonly called the adaptor, which connects to the extruder Cooling Systems
head. Also, twin-screw extruders require an additional special
adaptor piece called an “eight-to-oh” (8/O) zone to convert The barrels are commonly cooled by fans (Figure 8.24f) or
the twin configuration (which physically looks like a figure by a water-cooled jacket. Many extruders use aluminum heat-
eight lying on its side) to an output configuration of the ing shells with casting heaters of encased nichrome coiled
adaptor (zero or the letter “O”).
A typical extruder screw is shown in Figure 8.24d.
TIC
Barrels and Heater Rings The barrel of an extruder is usu- TSH
Electric
ally divided into roughly 15–18 in. (375–450 mm) long tem- power
perature control zones. A 41/2 in. (112.5 mm) extruder, for supply
example, may have four to six barrel zones. The number of S
zones depends upon the L/D ratio, the number of feed points
for additives, and on the type of material being extruded; 4–6
zones is most common, but it is not unheard of to have 12–15
Power
zones (Figure 8.24e).
supply Extruder
Conventional temperature control loops include a power S barrel
Automatic
control device, temperature sensor, and heater for each zone. M
Off
Adapter, 8/O, and die zones may all be provided with tem- On
perature controllers.
Extruders require large heater ratings to decrease heating FIG. 8.24f
time. A typical barrel zone electrical heater can be rated The extruder barrel is provided with fins and with temperature
anywhere from 1.2 to 11 kW and greater. The size generally controls using electric heating and cooling by air fans.

© 2006 by Béla Lipták

 8.24 Extruder Controls 1937

Temperature the water from the passages and to eliminate trapped fluid,
TIC sensor which could cause erratic cooling.
TSH
Cooling water is often injected in very short pulses,
Electric which are followed by the immediate removal of the water
power
supply to reduce cooling. Running the exchanger sump at higher
S temperatures also reduces the severity of water-cooling.
Heater
Solenoid terminal
valve
SENSORS, VARIABLES, AND THEIR CONTROL
End view showing split
heater with supply and
drain connections Temperature Measurement
Visible Accurate temperature measurement is very important for effi-
drain
cient extrusion and overall quality of the end product. The
TCV most common extruder temperature sensors are thermocouples
Drain (TCs) and resistance temperature detectors (RTDs). RTDs
Cooling
detect the change in their electrical resistance, which is pro-
Heat exchanger sump water portional to their temperature, while thermocouples produce
a millivoltage output, which is related to the temperature of
FIG. 8.24g the TC’s junction.
The extruder barrel is provided with fins and with temperature A detailed discussion of all temperature sensors is provided
controls using electric heating and cooling by water. in Chapter 4 of the first volume of this handbook.

throughout the aluminum jacket. The shells are constructed
in two segments clamped together to surround the extruder
barrel. Shells for fan cooling have fins cast to the outside
surface to increase their surface area. Motor-driven fans or
blowers are positioned directly below the zone, and when
switched on by a high-temperature switch, they cool the
barrel by forced convection. A zone fan on a 21/2 in. (62.5
mm) extruder can typically remove the equivalent of 5 kW
per hour.
Water-cooled extruders are provided with aluminum
shells with cast-in tubing as well as heaters. Treated water is
continuously circulated through the coils by a common pump
and heat exchanger (Figure 8.24g). Solenoid valves, regu-
lated by the zone temperature controller, allow circulation to
each zone in order to maintain the proper barrel zone tem-
perature. The solenoid valves can be operated by an auxiliary
high-temperature switch, which is part of the zone tempera-
ture controller. The switch is designed to operate in a time-
proportioning manner with extra slow cycle rate and capa-
bility for very short pulses.
Water-cooling can be too effective compared with fan
cooling. The cooling water is usually flashed into steam at
most barrel temperatures used for processing thermoplastic
materials. Some machine builders use compressed air to clear
Temperature Control
The zone temperature of extruders is usually controlled by
time proportioning PID controllers. In such a control system,
the on-time of the electric heater is modulated by the PID
controller, while the total cycle period (usually 8–10 sec)
remains fixed. In some systems each zone is provided with
its own single-loop controller, while in others a programma-
ble logic controller (PLC) executes the PID algorithms in
sequence.
Time-proportioning control is less expensive than con-
tinuous modulation, because it allows the use of electrome-
chanical or solid-state contactors. A block diagram of the
time-proportioning controller is shown on Figure 8.24h.
Duration of on-time period of the final control element is
a function of the continuous output of the PID controller. There-
fore, if the output of the controller is 40% and the cycle period
is 10 sec, then the on-time period of the solenoid or contactor
is 4 sec. The output signal generated by the time-proportioning
control system in response to a continuous PID controller output
is illustrated in Figure 8.24i.
Temperature control is complicated by several factors.
These include heating caused by the shearing action of the
screw, changes in the feed rate, conduction of the heat along

SP
PID loop calculations Time proportioning Process PV

FIG. 8.24h
Block diagram of a time-proportioning controller.

© 2006 by Béla Lipták

1938 Control and Optimization of Unit Operations
Sampling time
Output
Continuous
On
Off
FIG. 8.24i
Illustration of the continuous output signal from a PID controller
(top) and the corresponding output generated by a time-proportioning
controller (bottom).
the barrel, and the difference between the process gains that
exist during heating and during cooling. An increase in screw
speed increases the shear in the screw channel and the mechan-
ical work, which raises the resin temperature. At the same time
an increase in screw speed and output flow rate reduces the
amount of cooling, because the resin spends less time in contact
with the same heat-transfer surface.
If the operating pressure is low, due to a low-resistance
die size, the amount of frictional heat developed may not be
sufficient to compensate for the decrease in conducted heat,
and therefore, the resin temperature will drop as the screw
speed increases. At higher pressures, the temperature may
show an initial increase before dropping off. At still higher
pressures (heavy screen packs or small dies), the same screw
and operating conditions can result in an increased temper-
ature with increasing screw speed, because the mechanical
2
heating effect exceeds the decrease in conducted cooling.
In some cases, as much as 80–100% of the heat produced
throughout the extruder can be generated by screw shear alone.
Effective temperature control requires accurate removal of
heat as well as accurate application of the heat from the barrel
heaters.
Zone temperature control is designed to maintain a con-
stant temperature in each barrel, adaptor, and die zone to
achieve a desired profile and thus guarantee the consistent
melting of the extrudate. Feeding and compression zones are
most effectively controlled at relatively constant tempera-
tures, because under such conditions they will provide the
optimum wall friction for efficient feeding.
Temperature can have a dramatic effect on both through-
put and product quality. Good temperature control in the rear
zones can increase the hourly output for some materials. On
the other hand, some crystalline thermoplastics are relatively
impervious to temperature variations of as much as 50°F.
Zone temperature is usually controlled either by single-
loop PID control loops or by PLC-executed PID controls.
However, the installation and maintenance of the RTD-, ther-
mocouple-, or thermistor-type sensors is critical. (See Chapter 4
© 2006 by Béla Lipták
in the 4th edition of Volume 1 of this handbook.) The major
problem is to maintain an optimal temperature profile, which
is a function of the dynamics of heating, cooling, shear heat,
and conduction. Adaptive tuning and the use of dead time
PID control can improve performance.
Pressure Measurement
The accurate knowledge of extruder pressure is very impor-
tant for efficient extrusion. Chapter 5 of the first volume of
this handbook provides an in-depth description of all the
available pressure sensors.
The commonly used extruder pressure sensors include
grease-sealed gauges. These are direct-reading Bourdon tube
gauges with a tube tip capillary for complete filling with high-
temperature grease, usually silicone. The grease remains vis-
cous at high temperatures and prevents the molten polymer
from entering and solidifying in the gauge or piping. Disad-
vantages of this sensor include the need for periodic greasing
and the occasional contamination of the product.
Force-balance transmitters provide a linear output signal
that can be sent to digital or analog pressure indicators,
recorders, and controllers. Their force-balance operating
principle makes them less sensitive to process temperature
variations.
Strain gauge-type pressure transducers are higher accu-
racy pressure sensors, and for that reason, they are widely
used in extruder applications.
Pressure Control
Synthetic fiber processes frequently use an extruder to melt
and transport nylon and polyesters to a bank of gear pumps
feeding individual spinning die heads. The shear character-
istics of these polymers are near-Newtonian and their viscos-
ity is relatively constant at wide variations in shear rate. In
such processes, the pressure is nearly proportional to screw
speed, and therefore pressure can be controlled by the manip-
ulation of the screw speed.
In contrast, PVC can be pumped through a restriction
orifice at increasing rates without an increase in the pressure
drop across the orifice, because its apparent viscosity
decreases with increased pumping shear rate. In this case, the
pressure cannot be controlled by the manipulation of the screw
speed.
Figure 8.24j illustrates the control scheme used in fiber
processes. Because some of the fiber spinning pumps fre-
quently fail or are stopped intentionally, it is necessary that
the pressure controller quickly respond to such events by
immediately slowing the extruder screw to a new output rate
determined by the number of constant volume pumps remain-
ing in operation.
In the past, screw drive motors were generally DC drives
or eddy current clutches. Today, these drives are being sub-
stituted by variable-frequency AC drives. These drives can
 8.24 Extruder Controls 1939

Constant M DIC
(Temperature control not shown) volume
gear NIP rolls
pumps

PT
Variable-speed
motor Inflated envelope
Motor HK PIC (plastic tube)
speed P10
control
Panel Man/auto
station
DT
FIG. 8.24j
Extruder pressure control used in the production of synthetic fibers. Extruder

Beta
PI ray Wind up
be modulated by either digital or analog control signals. The Blow source roll
variable-frequency drives provide virtually instantaneous film
die PCV
response, which is important to guarantee stable control.
Air supply
Depending upon shear characteristics, die head pressure
can remain uncontrolled or can be controlled by either feed FIG. 8.24k
rate or screw speed. Synthetic fiber processes frequently use Film thickness control through nip roll speed manipulation.
an extruder to melt and transport nylon and polyesters to a
bank of gear pumps feeding individual spinning die heads. The
shear characteristics of these polyesters are near-Newtonian
and, thus, have relatively constant viscosity at wide variations Polymer viscosity variations of the feed constitute the
in shear rate. This characteristic is responsible for the dis- most difficult aspect of extruder design, simulation, and con-
charge pressure being nearly proportional to screw speed, trol. The feed viscosity tends to have more influence on the
which is necessary for pressure control by the regulation of extrusion process and on the dimensional quality of the pel-
the screw speed. letizing extruder output than all other variables. For the
In contrast, PVC can be pumped through a restricted ori- description of viscosity detectors, see Sections 8.62 to 8.64
fice at increasing rates without an increase in back-pressure in Chapter 8 in Volume 1 of this handbook.
because its apparent viscosity drops with increased pumping In tube and pipe production lines, the outer diameter, wall
shear rate. The pressure of such a process is nearly impossible thickness, and concentricity are determining factors of pro-
to control by manipulating screw speed. duce quality. Outer diameter is set by the entrance ring of

Film Thickness Control

Blown film, which is used in the production of tubular and

flat film to 5 mils (0.125 mm) thickness, requires thickness Display meter,
measurement and control. Thickness can be adjusted by the controls and
amplifier
speed of the take-up rolls if the thickness uniformly varies
(in machine direction) across the film. Increasing the take- ∆I
up speed reduces the film-gauge, while decreasing the speed Radiation
increases its thickness (Figure 8.24k). detector
Thickness variations in die direction (across the width)
can be measured, but most attempts to automate sheet die
nip adjustments have been unsuccessful. Sheet dies extrude Material being gauged
materials up to 1/2 in. (12.5 mm) thick and 120 in. (3 m ) wide.
Measurement of film thickness to 100 mils (2.5 mm) is
made with radiation instruments (Figure 8.24l), using beta
rays. Among design variations are scanning heads that mea-
sure and record thickness over the entire width of materials. Collimated
Infrared, LVDT, laser, capacitance, ultrasonic, and mechan- radiation
ical devices have also been used. For details on these sensors, source
refer to Section 7.20 in Chapter 7 in the first volume of this FIG. 8.24l
handbook. Radiation absorption gauge.

© 2006 by Béla Lipták

1940 Control and Optimization of Unit Operations

the water tank and can be slightly adjusted by the speed of
the puller. Concentricity can be adjusted by controlling the
vacuum inside the vacuum tank. Wall thickness can be
adjusted by controlling extrusion speed.
Advanced Control
Advanced controls include the cascade control of melt tem-
perature, zone flux control, auto-tuning of temperature con-
trollers, maximizing production, and extrudate quality control.

EXTRUDER CONTROL SYSTEMS Melt Temperature Control The output melt temperature is
a function of the internal shear energy (converted to heat
The overall extrusion control system serves more than con- energy) plus or minus the conducted heat (barrel cooling),
trolling the extruder and associated equipment at appropriate depending on the operation. The temperature of the melt is
set points. Extrusion control should integrate all the functions as important, because it influences the output rate for quality
that an operator normally performs into a control system that extrusion. The cascade control to reset the zone controller
keeps the steps of the extrusion process in the correct order set point achieves continuous temperature control of the melt.
6
at the proper time. This includes the complete integration of Figure 8.24m shows the arrangement for cascade feedback.
controlling, interlocking, sequencing, and scheduling the ex- One special feature is that the system allows only depres-
truder system with the other parts of the plant.
5 sion of the zone temperature controller set points, which is
An equally important consideration in the automation a safety consideration because of heat degradation and pres-
effort is the interfacing provided for the operator to retrieve data sure build-up in polymer systems. A safety interlock with the
and to provide the means for control. Modern extruder control extruder screw drive is usually incorporated in order to pre-
systems are based on programmable logic controllers or indus- vent both polymer freezing during shutdowns and drive dam-
trial computers to control temperatures and screw speeds. Using age at start-up.
programmable logic controllers and networking offers sys- Zone controllers provide both heating and cooling, and
tems that not only govern machine functions and parameters their set points are regulated by the melt controller. Each
but also integrate them with upstream equipment, such as the
feeders and mixers, and with downstream equipment, such
as pelletizers, dryers, and conveyors.
Tachometer 2 or 3 mode melt
generator temperature
Basic Control ST cascade master
on screw
motor drive controller
Regulatory, discrete, and interlock controls are needed to TIC
operate an extrusion system. The typical basic control system
consists of the several subsystems, including: 1) feeder mass % % %
TY TY TY
flow rate control, 2) individual zone temperature control
along the extruder barrel, 3) motor speed control, 4) die head
pressure controls, and 5) auxiliary discrete devices for on/off Σ Σ Σ
operation of fans, pumps, pelletizers, and so on. SY SY SY
Mass flow rate control is designed to allow the operator
to set the overall mass flow rate to the extruder. Feed rate
Drive
control for blending is implemented by setting mass flow rate system
set points for each feeder, based upon the individual percent- 1 1 1
status Set Set Set
ages determined by the recipe, and multiplied by the overall interlocks point point point
mass flow rate. For a detailed discussion of mass flow meter TIC TIC TIC
designs, see Sections 2.11 to 2.13 in Chapter 2 in the first Proportional
only zone
volume of this handbook. controllers
Main screw speed control is designed to maintain a rea- Control
signal to
sonably consistent torque and specific energy of the extrudate electric
at various feed rates. Implementation is based upon feedfor- Electric heater
heater
ward control from the master feed rate to the extruder screw controls
speed, which is adjusted in a simple ratio. Extruders used in Coolant Coolant Coolant TIC
compounding tend to be run at top speed for extended periods SCR SCR SCR

and require only minor variations in RPM. Feeding Compression Metering

Interlocks build upon regulatory and discrete control
functions in order to provide additional equipment and per-
Extruder barrel zones Adapter Die
sonnel protection in the case of hardware failure. The most
common interlocks control the main drive motor, lube oil FIG. 8.24m
pump, feeders, feed hoppers, and pelletizers/dicers. Melt temperature cascade system.

© 2006 by Béla Lipták


zone temperature set point can be adjusted individually to
follow a certain percentage of the feedback cascade signal
so that a preset program of zone depression will follow a
definite barrel temperature zone profile curve. The extruder
metering zones are capable of the greatest heat transfer and,
therefore, receive the greatest percentage of feedback and
most set point depression.
Feeding and compression zones are most effective at a
relatively constant temperature to provide optimum wall fric-
tion for most efficient feedings; therefore, they usually receive
a small percentage of the feedback signal. The melt controller
7
must have proportional and integral control actions with rate
action being beneficial. Some cascade systems also incorpo-
rate a tachometer feedforward signal to supply set point
depression proportional to screw speed. This function reduces
temperature departures from the control point caused by
screw speed drift or by intentional speed changes.
Flux Control Zone flux control is designed to maintain the
desired temperature at all points throughout the extruder so
that a consistent melt of the extrudate is achieved, which is
the same objective as that of basic zone temperature control.
Flux controllers are used to include feedforward control from
feed rate and the drive motor screw.
Flux is defined as the heat per unit area in the extruder
zone. It is the energy due to the heating elements, plus the
energy due to the screw shear, minus the energy removed by
cooling, and minus the energy required to heat and melt the
resin. These factors must be dynamically compensated and
applied to the measurement of the flux controller.
Both the motor and the feed energy terms provide feed-
forward responses to “load” disturbances. These disturbances
are generally not significant during normal operation but
become important during start-up and shutdown. This is
because as the screw starts, the motor power begins to rise,
which increases the flux controller’s measurement. In re-
sponse to this, the flux controller calls for a decrease in heat,
resulting in a decrease in output to the heating element or an
increase in the rate of cooling.
As feed is added to the extruder, the heat required to warm
and melt the feed results in a decrease in the flux controller’s
measurement. In response to this, the flux controller’s output
increases, calling for more energy to be put into the zone.
Therefore, the control algorithm must include dynamic terms,
which have to be field-tuned. Figure 8.24n illustrates the con-
trol block diagram for zone flux control.
Auto-Tuning Maintaining the extruder barrel temperature
profile is the most important factor in controlling the quality
of the final product. Therefore, the temperature control loops
must be tuned to ensure their optimal performance. Loop
tuning is performed by initiating a small change of the set
point (usually 10%) and adjusting the gain of the control loop
to achieve the fastest response (see Figure 8.24o). For an in-
© 2006 by Béla Lipták
8.24 Extruder Controls 1941
depth discussion of PID controller tuning, refer to Section 2.35
in Chapter 2.
Most PLCs and microprocessor-based single-loop control-
lers have an auto-tuning feature that implement the Ziegler-
Nichols method of tuning. Adaptive auto-tuning is designed
to continually update the PID-type zone temperature control-
ler’s tuning constants in response to process gain variations
caused by load variations. There are three methods of adap-
tive auto-tuning:
Programmed adaptive auto-tuning is based on automatic
adjustment of the proportional gain as a function of changes
in process dynamics. For example, the proportional gain of
the controller can be affected by changes in the controlled
variable, in the set point, and so on. The programmed adaptive
algorithm can be set for independent gain adjustment using
any combination of the process-related variables.
Model-based auto-tuning uses an internal model of the
process to determine the optimal PID settings. In this case, the
controller introduces step changes above and below the set
point and observes reaction to these changes. The PID settings
are then calculated according to predetermined criteria.
The pattern recognition method continuously examines
the response of the process to naturally occurring distur-
bances such as set point or load changes. When the resulting
error exceeds some threshold value (controller looks for peak
values) and after several peaks (usually two or three), the
controller determines the period of oscillation that is related
to the dead time of the loop and, based on it, calculates the
new PID tuning constants. See Chapter 2 for a general dis-
cussion of control theory and specifically for process mod-
eling and controller tuning.
Maximized Feed Rate Control Figure 8.24p illustrates a mas-
ter feed control system that is designed to maximize the
throughput of resin to the extruder by increasing the feed rate
until a constraint is reached. The master feed rate controller
set point is constrained by the outputs of a number of limit
controllers, which are sent to a select network. The output of
the selector is the lowest of any of the constraint controllers.
The output of the low select then becomes one of two
inputs into a high selector limit. The other input is the mini-
mum feed rate setting of the extruder. The resulting output is
the cascade master’s feed rate set point for the feed hopper
flow controllers. A set point for minimum feed rate is included
in order to have a low limit clamp.
The constraint variables normally include the die head
pressure, drive motor amps (or motor torque), extruder throat
or chute level, maximum feed rate, and minimum feed rate.
Many compounding extrusion processes can take advantage
of a maximum feed rate control because of excess upstream
storage capabilities. However, when feed to the extrusion
system is from some other continuous process, this type of
control may not be possible because of limited feedstock
availability.
The ultimate test of the quality of any control system is
the quality of the extrudate. Quality is affected by many
1942 Control and Optimization of Unit Operations

Melt temperature
set point

Melt temperature RTIC

PIC
A M
+
Dead +
Motor speed Σ
time

Output to heater
SCR power rating CALC

Motor energy
(AMPS) Dead
CALC
K time
Cooling water + + BTU/HR
Dynamics
valve position _ (KW)
CALC _ Σ Heat flux
K set point
R
Feed rate Dead L
CALC time
K
Dynamics Zone area PID
BTU/HR/FT2
(KW/M2)

Split
range

CALC CALC

AMPS out H2O out

FIG. 8.24n
Heat flux control.

parameters, including feed mixing, barrel temperatures, melt instruments can be used to measure certain extrudate prop-
temperatures, screw speed (shear rate), enthalpy (from exter- erties. They are becoming more numerous and more reliable.
nal sources), pressure, and rheological conditions. On-line Quality indicators measured by these instruments include
rheometers, machine vision analyzers, or other specialty such properties as melt flow index, viscosity, gels, color,

Over-damped response

10%

Critically damped response

SP
PV
Under-damped response

FIG. 8.24o
The response of a PID loop as a function of narrowing the proportional band (increasing the controller gain). The cycling curve corresponds
to a high gain setting, the critically damped curve to the correct setting, while the overdamped curve to a low gain setting.

© 2006 by Béla Lipták

 8.24 Extruder Controls 1943

Maximum Maximum Maximum High

die head pressure motor AMPS feed rate chute level
set point set point set point set point

Die head pressure PIC JIC FIC LIC

PID PID PID PID
A M A M A M A M
Master feed rate

Motor AMPS
Low
selector
Chute hopper level

High Minimum
selector feed rate

Limits
R L Master feed rate
set point

Feed hopper “N” Feed hopper “N”

Feed hopper #1
X percentage X set point
percentage
R L R L
Feed hopper #1
set point
Feed hopper #1 FIC FIC
flow rate PID PID

Feed hopper “N”

flow rate

FIG. 8.24p
Optimized control system, serving to maximize the feed rate to the extruder while obeying limit constraints.

agglomerates, and excess ingredients, which are all described
in Chapter 8 of Volume 1 of this handbook. A combination
mass flowmeter and viscosity detector is illustrated in
Figure 8.24q.
A measurable, repeatable value can be used as feedback
to one of the above-listed quality-related parameters. Calcu-
lations determining extrudate properties can also be used.
Choosing a manipulated variable from the above list is chal-
lenging because of the lack of sensitivity and the limited
number of degrees of freedom available.
One method of controlling the quality of the extrudate is
the manipulation of the feed ratio, i.e., the mixing of a par-
ticular feed resin with another resin of different properties
while all other parameters are held constant. Model-based
control or multivariable control can also be used to control
extrudate quality, but in most polymer processes the majority
of quality parameters of the feed can only be corrected at the
reactor and not at the extruder.
The large dead time of the process can also render feed-
back control impractical.

Pendulum
FIG. 8.24q
A pendulum mounted on a single Coriolis tube generates both
torsional and lateral oscillations, which allow for the simultaneous
measurements of mass flow and viscosity.
Engineering Calculations Increased capabilities of modern
digital controls allow engineering calculations to be displayed
on the human-machine interfaces (HMIs) for the operator. The
displayed variable trends include specific energy, extruder
motor speed, torque, and current. Additional parameters such

© 2006 by Béla Lipták

1944 Control and Optimization of Unit Operations
as actual zone temperatures and deviations, equipment run
times, and other values are also displayed on auxiliary screens.
One such calculation is the physical property known as
melt factor or melt flow index (MFI) of the extrudate. Another
calculation could include viscosity or other indexing proper-
ties. The quality calculation is normally computed as a con-
tinuous on-line value. Because the laboratory result of the
sample is not available until some time after the sample was
taken, recording the current conditions allows a time-
synchronized comparison of the laboratory result with the
calculated value.
The process conditions are recorded at the time that the
sample is taken. The conditions from which MFI is normally
calculated are die pressure, melt temperature, and mass flow
rate. However, feed mixing, screw speed, and rheological
conditions are other nonmeasured parameters affecting extru-
date properties.
Another useful calculation is specific energy of the
extruder at the die head. The power input, whose units are
horsepower (watts), is multiplied by an efficiency constant
and by a constant conversion factor. This value is divided by
the total feed rate to give a result in the units of hp/lb (kw/kg).
This property relates to the shear rate and, thus, to the vis-
cosity of the resin.
Torque and percent maximum torque are important opera-
tional parameters for the extruder. A linear relationship can be
assumed to exist between the motor current (in amps) and screw
speed (in RPM). A constant voltage is assumed, allowing power
to be calculated from motor amps. Percent maximum torque is
also calculated from the current and screw speed. The current
torque measurement is divided by the maximum current rating
and maximum drive speed, and is expressed in percent.
Equipment run-time numbers are generally of interest to
maintenance personnel. The number of times the main drive
motor has been started, the percentage up-time since initial-
ization, total run time, and percentage up-time can be calcu-
lated for each extruder. The cutting time and the number of
times each pelletizer/dicer has been started gives mainte-
nance personnel information on when cutting blades should
be sharpened or when the equipment should be overhauled.
Sequences Sequences are automated so that step-by-step
procedures control the routine activities. Included in this
category are heater/contactor check, heat-up, start-up, shut-
down, and alarm disabling/enabling.
Heater/contactor checks provide the ability to test proper
operation of the heater/contactors and extruder thermocou-
ples, for those heating systems that are using electrical heat-
ing elements. A heater/contactor is suspected to be “bad”
whenever the maximum output is sent to the zone and the
expected amperage read back is not within a certain percent-
age of the expected value. The problem is either a bad con-
tactor or bad heater legs.
Extruder heat-up provides the ability to heat the extruder
to preset values in a series of steps and to display the duration
of the heat-up. This results in a heat-up profile in accordance
© 2006 by Béla Lipták
with the manufacturer’s specifications in order to minimize
thermal stress on the equipment.
Extruder start-up provides the ability to bring the extruder
equipment on-line from a heat-up condition to preset values in
a series of steps. The procedure checks system interlocks, starts
auxiliary equipment, and ramps the extruder speed and feed rate
to their preset recipe values. In addition, the appropriate alarms
are enabled as the sequence progresses. Once the feed material
is ready and a heat-up of the extruder has been performed, the
extruder can be started up in an orderly stepwise manner.
Extruder shutdown sequencing provides the ability to
bring the extruder equipment off-line from a running condi-
tion in a series of steps. The procedure turns off the feeders,
decreases screw speed in a preset manner, ramps the pellet-
izer speed to a minimum value, and shuts down the main
drive and auxiliary equipment. Appropriate alarms are inhib-
ited as the sequence progresses. In addition, a “panic button”
is normally provided for emergency shutdown. This button
cuts all power to the line, resulting in immediate shutdown
of the extrusion process in case of emergency.
The enabling and disabling of alarms is automated to
reduce the frequency of unnecessary signals. Normally this
function can be performed by the start-up and shutdown
procedures. Whenever a unit is being started up, alarms need
to be enabled to warn of abnormal occurrences during normal
operating conditions. Similarly, when a unit is being shut
down, certain alarms need to be disabled or inhibited to
prevent alarms from actuating, because it is normal that dur-
ing shutdown a number of alarm thresholds will be violated
as equipment is being shut down.
Integrated Control
Management information control is a higher level automation
activity. Timely information provided to engineers and man-
agement allows them to better evaluate performance and
maintain consistency. Integrated control includes those addi-
tional steps that serve to optimize the overall utilization and
performance of the extruders. Included in this category are
line scheduling, lot history, recipe management, and statistical
process control and statistical quality control (SPC and SQC).
Line scheduling provides the ability to optimize extruder
availability. Optimizing extruder availability maximizes
overall throughput. An individual extruder, chosen from a set
of many extruders, may need to be made available to run a
particular type of raw material to produce a certain grade of
product. Factors affecting the scheduling of a single extruder
line includes the amount of material to be run, availability
of raw material, grade of material, color of material, size of
extruder (screw diameter and number of barrel zones),
extruder configuration (single or twin screw), and the avail-
ability of auxiliary equipment.
Lot history is a function that captures all the information
associated with the process of extruding a resin product. This
is analogous to batch tracking in a chemical plant. The infor-
mation associated with extrusion of a resin product is normally

categorized according to a lot number. Select process alarm
information and process conditions are captured and stored as
part of the production history on file. Quality standards within
the batch industry mandate the reporting of all activity asso-
ciated with a batch run.
Recipe management maintains a database of master recipes
for various products, formulas, and procedures. Specific infor-
mation for the extrusion equipment and extrusion lines that can
perform the required operations are contained within the recipe.
The recipe is selected and accessed according to the relationship
of the material to be processed with a specific extruder line.
The recipe management function provides the ability to
automate the start-up and normal operation of the extruder.
Set points stored from previously run recipes and formulas
are useful, because they store the relationship to the grade of
materials that were processed in the past and can be inserted
into the controllers for new runs on the same extruder and
associated equipment. These set points include barrel zone
temperatures, feed rates, and screw speed.
Statistical quality control provides a history of quality
data for the extrudate. This process flags statistically improb-
able events in real time, evaluates process performance, and
validates newly installed operating conditions. Various cal-
culations and statistical tests can be made for each run. Real-
time and historical graphs can then display these data to the
operators and engineers as required.
CONCLUSIONS
During the last ten years digital control systems including
programmable logic controllers have become more powerful.
Today, even mid-size PLCs can perform complex calcula-
tions, including some modeling and floating-point mathemat-
ics. This allows extruder manufacturers to implement control
systems with complex algorithms that include auto-tuning of
temperature control and pressure control loops.
In addition, the human-machine interfaces allows storage
of recipes and can display historical trends of many operating
parameters. Because most mid-size PLCs have extensive net-
working capabilities, extruder manufacturers are able to offer
integration with upstream equipment, such as feeders and
mixers, and with downstream equipment, such as pelletizers,
dryers, and conveyors.
System control and data acquisition (SCADA) packages
provide plant management with production information that
allows them to improve quality control, planning, and allo-
cation of resources.
References
1. Collins, S. H., “Update on Continuous Compounding Equipment, Part
2: Twin-Screw Extruders and Specialized Compounders,” Plastics
Compounding, November/December 1982, pp. 29–44.
2. Maddock, B. H., “Factors Affecting Quality in Polyethylene Extru-
sion,” Thirteenth Annual National Conference of the Society of Plastic
Engineers, 1967.
© 2006 by Béla Lipták
8.24 Extruder Controls 1945
3. Mielcarek, D. F., “Twin-Screw Compounding,” Chemical Engineer-
ing Progress, June 1987, pp. 59–67.
4. Bernhart, E. C., Processing of Thermoplastic, New York: Van Nos-
trand Reinhold, 1959.
5. Jensen, B. A. and George, J., “Extruder Automation,” Proceedings of
the ISA/90, Vol. 45, Part 2, New Orleans, LA: Instrument Society of
America, October 1990.
6. Pettit and Ahlers, “Extruder Controls,” SPE Journal, Vol. 24, Novem-
ber 1968.
7. Meissner, S. C. and Meneges, E. P., Technical Papers, Vol. XVII,
Society of Plastic Engineers, May 1971.
8. Bateson, R. N., Introduction to Control System Technology, 5th edi-
tion, Engelwood Cliffs, NJ: Prentice Hall, 1996.
9. Johnson, C. D., Process Control and Instrumentation Technology, 6th
edition, Upper Saddle River, NJ: Prentice Hall, 1996.
10. Petruzella, F. D., Programmable Logic Controllers, New York:
McGraw Hill Companies, 1990.
11. Hensen, F., Plastic Extrusion Technology, 2nd edition, Cincinnati, OH:
Hanser-Gardner, 1997.
Bibliography
Bouilloux, A., Macosko, C. W., and Kotnour, T., “Urethane Polymerization
in a Counter-Rotating Twin-Screw Extruder,” Industrial and Engineer-
ing Chemistry Research, Vol. 30, pp. 2431–2436, November 1991.
Chui, Sh.-H. and Pong, Sh.-H., “Fuzzy Supervisory Predictive PID Control
of Plastic Extruder Barrel,” Journal of Applied Polymer Science,
September 1999, pp. 541–555.
Colbert, J. A., “Optimization of Compounding Extruders,” Plastics Com-
pounding, December 1989, pp. 25–32.
Collins, S. H., “Update on Continuous Compounding Equipment, Part 1:
Single-Screw Extruders,” Plastics Compounding, September/October
1982, pp. 69–82.
Fisher, H., “Electric Drives in Extrusion,” Kunststoffe Plast Europe,
September 1998, pp. 26–29.
Hopkins, B., “Temperature Control of Polymerization Reactors,” Instrumen-
tation Technology, May 1973.
Janssen, L. P., Twin-Screw Extrusion, New York: Elsevier, 1978.
Kepper, D. and Haney, J., “An Overview of Modern Extrusion Technology,”
Rubber World, June 1987.
Kilham, L. B., “A Systems Approach to Quality Control in the Production
of Polymer Products,” Tappi Journal, April 1989, pp. 113–116.
Klein, I. and Klein, R. J., “The Effect of Resin Properties on the Extrusion
Process,” Tappi Journal, August 1989, pp. 99–103.
Kramer, W. A., “Extruder Temperature Control with Adaptive Reset,” Engi-
neering Plastics, September 1996, pp. 341–350.
Marschall, U. and Reyer, K.-H., “Automating Extruder Control,” Kunststoffe
Plast Europe, February 1998, pp. 10–12.
Martin, T. L., “Temperature Control in Plastic Processing,” Plastics, April
1967.
Mercure, P. K. and Trainor, R., “Modeling and Optimization of Extruder
Temperature Control,” Polymeric Materials Science and Engineering,
Vol. 58, pp. 692–696, 1988.
Mober, C., “Control Schemes for Plastic Molding Machines Conserve
Energy,” Instrument and Control Systems, April 1982.
Tsai, Ch.-Ch. and Lu, Ch-H., “Fuzzy Supervisory Predictive PID Control
of Plastic Extruder Barrel,” Journal of the Chinese Institute of Engi-
neers, September 1998, pp. 619–624.
Yang, B. and Lee, L. J., “Process Control of Profile Extrusion Using Thermal
Method, Part 1. Mathematical Modeling and System Analysis,” Poly-
mer Engineering Science, November 1988, pp. 697–707.
Yang, B. and Lee, L.J., “Process Control of Profile Extrusion Using Thermal
Method, Part 2. Closed Loop Control,” Polymer Engineering Science,
November 1988, pp. 708–717.