Plastics Processing Data

Handbook

Second edition
Dominick V. Rosato, P.E.
Rhode Island School of Design
Chatham, MA, 02633
USA

CHAPMAN & HALL

London Weinheim New York Tokyo Melbourne Madras

Published by Chapman & Hall, 2-6 Boundary Row,

London SEl 8HN, UK
Chapman & Hall, 2-6 Boundary Row, London SEl 8HN, UK
Chapman & Hall GmbH, Pappelallee 3, 69469 Weinheim, Germany
Chapman & Hall USA, 115 Fifth Avenue, New York, NY 10003, USA
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3205, Australia
Chapman & Hall India, R. Seshadri, 32 Second Main Road, CIT East,
Madras 600 035, India
First edition published by Van Nostrand Reinhold 1990
Reprinted by Chapman & Hall 1995
.Second edition 1997
1997 Dominick V. Rosato
Typeset in 10/12 Palatino by Best-set Typesetter Ltd., Hong Kong
Printed in Great Britain by The University Press, Cambridge
ISBN O 412 80190 6
Apart from any fair dealing for the purposes of research or private study,
or criticism or review, as permitted under the UK Copyright Designs and
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regard to the accuracy of the information contained in this book and
cannot accept any legal responsibility or liability for any errors or
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Preface

This second edition modifies and updates the previous book with more
concise and useful information which interrelates processes with plastic
materials7 product requirements, and costs. It includes more details on the
different processes and continues to simplify the understanding of how
plastics behave during processing. The past few years have seen the
continuing development of many advances in plastic materials and corresponding advances in processing techniques.
This book has been prepared with an awareness that its usefulness will
depend greatly upon its simplicity. The overall guiding premise has therefore been to provide all essential information. Each chapter is organized to
best present a methodology for processing with plastics.
This comprehensive book is useful to those in any industry to expand
their knowledge in one or more processes. It has been prepared to be
useful to those using plastics as well as those contemplating their use. To
this end, the presentations are comprehensive yet simplified, so that even
the specialist will obtain useful information.
The book may be used and understood by people in fabrication and
production, design, engineering, marketing, quality control, R&D, and
management. Sufficient information is presented to ensure the reader has
a sound understanding of the principles involved, and thus recognizes
what problems could exist, or more importantly, how to eliminate or
compensate for potential problems. Knowledge of all these processing
methods, including their capabilities and limitations, helps one to decide
whether a given product can be fabricated and by which process.
Many guidelines are provided for maximizing plastics processing efficiency in the manufacture of all types of products, using all types of
plastics. A practical approach is employed to present fundamental yet
comprehensive coverage of processing concepts. The information and
data presented by 290 figures and 137 tables relate the different variables
that affect the processes listed in the table of contents.

The text presents a great number of problems pertaining to different

phases of processing. Solutions are provided that will meet product performance requirements at the lowest cost. Many of the processing variables and their behaviors in the different processes are the same, as they
all involve the basic conditions of temperature, time, and pressure. The
book begins with information applicable to all processes, on topics such as
melting, melt flow, and controls; all processes fit into an overall scheme
that requires the interaction and proper control of systems. Individual
processes are reviewed to show the effects of changing different variables
to meet the goal of zero defects. The content is arranged to provide a
natural progression from simple to complex situations, which range from
control of a single manually operating machine to simulation of sophisticated computerized processes which inteface with many different processing functions.
Many of the procedures used in an individual process are identical or
similar to those of other processes. A reader interested in a process can
gain a different perspective by reviewing other processes. When an obvious correlation exists, a cross-reference is made to the other processes.
Other pertinent information includes processing guidelines for troubleshooting, etc.
Both practical and theoretical viewpoints are presented. Persons dealing with practicalities will find the theoretical explanations enlightening
and understandable. And theorists will gain insight into the practical
limitations of equipment and plastics (which are not perfect). The various
process limitations are easily understood.
Processing is interdisciplinary. It calls for the ability to recognize situations in which certain techniques may be used and to develop problemsolving methods to fit specific processing situations.
It is important to reemphasize that all the data on plastic properties are
to be used as guides. Obtain the latest, most complete data from material
suppliers and data banks.
Information contained in this book may be covered by US and worldwide patents. No authorization to utilize these patents is given or implied;
they are discussed for information only. Any disclosures are neither a
license to operate nor a recommendation to infringe any patent. No attempt has been made to refer to patents by number, title, or ownership.
As trade and competition increase throughout the world, maintaining a
competitive advantage depends on the ability to use the technology contained in this book most efficiently and bring the advanced technologies
rapidly to the marketplace.
D. V. Rosato
Waban, MA, USA
October, 1996

Contents

Preface ...................................................................................

xvi

1. Fundamentals .................................................................

Introduction ....................................................................................

Product Requirements and Machine Performance ......................

Processing Fundamentals ............................................................

Processability ................................................................................

Processes ......................................................................................

Overview ...........................................................................

Processing and Properties ................................................

12

Processing Methods .........................................................

14

Machine Operation Terminology .......................................

14

Plastics Memory and Processing ......................................

14

Drying Plastics ..................................................................

21

Air Entrapment ..................................................................

27

Release Agents ................................................................

27

Heat History, Residence Time, and Recycling ..................

28

Heat Profile .......................................................................

29

Processing and Tolerances ...............................................

30

Screw Plasticating ............................................................

34

Intelligent Processing ........................................................

35

Processing Diagrams ........................................................

35

Selecting a Process ..........................................................

37

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vi

Contents
Plastic Materials ............................................................................

49

Introduction .......................................................................

49

Molecular Properties .........................................................

54

Thermoplastics .................................................................

55

Thermosets .......................................................................

57

A-, B- and C-Stages ..........................................................

59

Properties Influencing Processes ......................................

59

Melt Flow and Rheology ...................................................

77

Thermal Properties ...........................................................

85

Degradation ......................................................................

93

Orientation: Defect or Benefit? ..........................................

93

Density and Specific Gravity .............................................

98

Selecting Plastics ..............................................................

98

Product Design .............................................................................. 103

Design Features That Influence Processing and
Performance ............................................................. 106
Process Controls ........................................................................... 112
Temperature Controls ....................................................... 115
Timing and Sequencing .................................................... 115
Screw Speed Control ........................................................ 116
Weight, Thickness, and Size Controls ............................... 116
Microprocessor Control Systems ...................................... 116
Problems in Process Controls ........................................... 117
Processors ..................................................................................... 118
Custom ............................................................................. 118
Captive ............................................................................. 118
Proprietary ........................................................................ 119
Advantages and Disadvantages ................................................... 119
Troubleshooting ................................................................ 119

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Contents

vii

2. Injection Molding ............................................................ 121

Basic Process ................................................................................ 121
Machine Characteristics .................................................... 124
Machine Types ................................................................. 126
Machine Variables ............................................................ 127
Productivity and Cycle Time .............................................. 128
Material Movement and Setup .......................................... 129
Screw/Barrel Performance ............................................................ 135
Mixing Devices .................................................................. 139
Barrier Screws .................................................................. 140
Custom-Designed Screws ................................................. 140
Mechanical Requirements ................................................. 142
Valves and Screw Tips ..................................................... 142
Vented Barrels .................................................................. 143
Air Entrapment .................................................................. 147
Shot-to-Shot Variation ....................................................... 147
Purging ............................................................................. 149
Wear ................................................................................. 151
Output ............................................................................... 152
Clamping ....................................................................................... 152
Basic Types ...................................................................... 152
Different Systems ............................................................. 156
Clamping Forces ............................................................... 157
Tie-Bar Growth .............................................................................. 158
Hydraulic and Electric IMMs ......................................................... 158
Molds ............................................................................................. 160
Types ................................................................................ 164
Runner Systems ............................................................... 171
Other Considerations ........................................................ 174
Mold Guides ..................................................................... 176
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viii

Contents
Process Controls ........................................................................... 176
Computer-Integrated Injection Molding ......................................... 179
Microprocessor Control Systems ...................................... 179
Process Simulations ......................................................... 180
Improving Performance ..................................................... 180
Molding Variables Versus Performance ....................................... 180
Melt Flow Behavior ........................................................... 180
Parting Lines ..................................................................... 186
Back Pressure .................................................................. 187
Screw Bridging .................................................................. 187
Weld/Meld Lines ............................................................... 188
Tolerances and Shrinkages .......................................................... 189
Molding Techniques ...................................................................... 190
Gas-Assisted IM ............................................................... 191
Coinjection ........................................................................ 191
Liquid IM ........................................................................... 192
Injection-Compression Molding (Coining) .......................... 192
Continuous IM ................................................................... 193
Fusible-Core Molding ........................................................ 196
Multilive Feed IM ............................................................... 196
Costing IMMs ................................................................................ 197
Troubleshooting ............................................................................. 198
Wear ................................................................................. 205
Inspection ......................................................................... 206
Rebuilding Screws/Barrels ................................................ 207

3. Extrusion ......................................................................... 209

Basic Process ................................................................................ 209
Plastics Handling ........................................................................... 213
Barrel and Feed Units ................................................................... 215

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Contents

ix

Types of Extruder .......................................................................... 217

Screw/Barrel Performance ............................................................ 218
Single-Screw Extruders .................................................... 219
Mixing and Melting ............................................................ 222
Venting ............................................................................. 224
Screen Packs .................................................................... 225
Multiple-Screw Extruders .................................................. 227
Heating and Cooling Systems ........................................... 232
Barrel and Screw Materials ............................................... 233
Gear Pumps .................................................................................. 234
Dies ................................................................................................ 237
Overview ........................................................................... 237
Basics of Flow ................................................................... 249
Special Dies ...................................................................... 251
Coextrusion ................................................................................... 253
Tie-Layers ......................................................................... 260
Orientation ..................................................................................... 260
Blown Film ..................................................................................... 266
Flat Film ......................................................................................... 270
Coating .......................................................................................... 273
Compounding ................................................................................ 278
Fibers ............................................................................................. 279
Netting ........................................................................................... 282
Pipe ................................................................................................ 283
Postforming ................................................................................... 285
Profile ............................................................................................. 287
Reactive ......................................................................................... 289
Sheet ............................................................................................. 290
Tubing ............................................................................................ 291
Wire and Cable .............................................................................. 292
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Contents
Process Controls ........................................................................... 294
Downstream Controls ....................................................... 298
Extruder Operation ........................................................................ 303
Costing ........................................................................................... 306
Troubleshooting ............................................................................. 307
Extrusion Instabilities or Variabilities ................................. 315

4. Blow Molding .................................................................. 316

Basic Process ................................................................................ 316
Extrusion Blow Molding ................................................................. 324
Continuous Extrusion ........................................................ 324
Intermittent Extrusion ........................................................ 326
Melt Behavior .................................................................... 330
Parison Thickness Control ................................................ 332
Parison Swell .................................................................... 334
Pinchoff ............................................................................. 335
Blowing the Parison .......................................................... 338
Cooling ............................................................................. 340
Clamping .......................................................................... 342
Shrinkage ......................................................................... 344
Surface Treatment ............................................................ 346
Injection Blow Molding .................................................................. 347
Stretching/Orienting BM ................................................................ 350
Molds ............................................................................................. 353
Plastics .......................................................................................... 355
Coextrusion/Coinjection .................................................... 359
Other Processes ............................................................................ 359
Controls ......................................................................................... 360
Costing ........................................................................................... 362
Troubleshooting ............................................................................. 363

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Contents

xi

5. Calendering ..................................................................... 368

Introduction .................................................................................... 368
Materials ........................................................................................ 371
Films ................................................................................. 371
Recycled ........................................................................... 372
Contamination ................................................................... 373
Fluxing and Feeding ...................................................................... 373
Processing Conditions .................................................................. 374
Design Aspects ................................................................. 375
Surface Finishing .............................................................. 375
Coating ............................................................................. 376
Controls ......................................................................................... 376
Advantages of Calendering Over Extrusion ................................. 378
Costing ........................................................................................... 378
Troubleshooting ............................................................................. 381

6. Casting, Encapsulation, and Potting ............................ 382

Overview ........................................................................................ 382
Casting ........................................................................................... 383
Acrylic Casting .................................................................. 384
Embedding .................................................................................... 385
Encapsulation ................................................................................ 386
Potting ............................................................................................ 387
Impregnation .................................................................................. 387
Molding .......................................................................................... 387
Processing Characteristics ............................................................ 387
Vacuum Systems .............................................................. 388
Mixing ............................................................................... 389
Cycle Times ...................................................................... 389
Exothermic Reactions ....................................................... 389
Molds ................................................................................ 390
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xii

Contents
Materials ........................................................................................ 390
Advantages and Disadvantages ................................................... 391
Costing ........................................................................................... 391
Troubleshooting ............................................................................. 391

7. Coatings .......................................................................... 392

Introduction .................................................................................... 392
Film Formation .................................................................. 392
Thermoplastics ................................................................. 394
Thermosets ....................................................................... 395
Film Formation and Curing ................................................ 396
Processing Methods ...................................................................... 396
Paint Coatings ............................................................................... 396
Coating Films and Fabrics ............................................................ 397
Films ................................................................................. 397
Fabrics .............................................................................. 400
Leatherlike Materials ......................................................... 401
Equipment ........................................................................ 402
Spray Coatings .............................................................................. 404
Overview ........................................................................... 404
Airless Atomization ........................................................... 405
Electrostatic Spray Coatings ............................................. 405
Flame Spray Coatings ...................................................... 405
Spray-Paint Transfer Efficiency ......................................... 406
Powder Coatings ........................................................................... 406
Flood Coatings .................................................................. 407
Fluidized-Bed Coatings ..................................................... 407
Electrostatic Coatings ....................................................... 409
Electrostatic Fluidized Coatings ........................................ 410
Vacuum Coatings .......................................................................... 410

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Contents

xiii

Microencapsulation Coatings ........................................................ 411

Electrodeposition Coatings ........................................................... 411
Floc Coatings ................................................................................ 412
Pinhole-Free Thin Coatings .......................................................... 412
Dip Coatings .................................................................................. 413

8. Compression Molding and Transfer Molding ............... 415

Introduction .................................................................................... 415
Materials ........................................................................................ 416
Processing Characteristics ............................................................ 419
Preheating ..................................................................................... 420
Mold Heating ................................................................................. 420
Outgassing .................................................................................... 421
Shrink Fixtures ............................................................................... 421
Postcuring ...................................................................................... 421
Compression Molding ................................................................... 422
Transfer Molding ........................................................................... 423
Insert Molding ................................................................... 425
Molds ............................................................................................. 425
Pressure ........................................................................... 427
Cavity Plating .................................................................... 427
Venting ............................................................................. 428
Flash ................................................................................. 430
Mold Construction ......................................................................... 430
Runners: Cold and Hot ..................................................... 431
Shrinkage ...................................................................................... 431
Thermoplastics .............................................................................. 432
Design Analysis ............................................................................. 432
Costing ........................................................................................... 432
Troubleshooting ............................................................................. 433

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xiv

Contents

9. Foam Molding ................................................................. 434

Basic Process ................................................................................ 434
Foam Definitions ........................................................................... 435
Processes ...................................................................................... 440
Blowing Agents .............................................................................. 441
Foamed Polystyrene Sheets ......................................................... 444
Expandable Polystyrenes .............................................................. 445
Expandable Polyethylenes ............................................................ 447
Expandable Polyethylene Copolymers ......................................... 448
Expandable SANs ......................................................................... 448
Foamed Polyurethanes ................................................................. 449
PUR Dispensers ............................................................... 450
Foamed Polyvinyl Chlorides

........................................................ 451

Foamed Injection Molding ............................................................. 451

Low Pressure .................................................................... 451
Low Pressure with Coinjection .......................................... 452
Low Pressure with Surface Finish ..................................... 452
Gas Counterpressure ........................................................ 453
High Pressure ................................................................... 453
Structural Foams ........................................................................... 454
Foamed Reservoir Molding ........................................................... 454
Syntactic Foams ............................................................................ 454
Designs .......................................................................................... 455
Costing ........................................................................................... 456
Troubleshooting ............................................................................. 456

10. Forming ........................................................................... 461

Introduction .................................................................................... 461
Thermoforming .............................................................................. 463
Processing ..................................................................................... 463
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Contents

xv

Forming Definitions ........................................................... 469

Materials ........................................................................................ 474
Recycling .......................................................................... 476
Quality Products ............................................................... 476
Other Forming Methods ................................................................ 476
Postforming ...................................................................... 478
Equipment ..................................................................................... 478
Pneumatic Controls ........................................................... 481
Temperature Controls ....................................................... 484
Molds ................................................................................ 487
Designs .......................................................................................... 488
Tolerances ........................................................................ 491
Costing ........................................................................................... 492
Troubleshooting ............................................................................. 492

11. Reaction Injection Molding ............................................ 495

Introduction .................................................................................... 495
Processing ..................................................................................... 496
Advantages and Disadvantages ................................................... 498
Costing ........................................................................................... 499
Troubleshooting ............................................................................. 499

12. Reinforced Plastics ........................................................ 500

Introduction .................................................................................... 500
Reinforcements ............................................................................. 501
Directional Properties ........................................................ 501
Materials ........................................................................................ 506
Sheet Molding Compound ................................................. 506
Bulk Molding Compound ................................................... 507
Recycle Scrap ................................................................... 507
Void Content ..................................................................... 507
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xvi

Contents
Processes ...................................................................................... 516
Open Mold ........................................................................ 518
Sprayup ............................................................................ 521
Vacuum Bag ..................................................................... 525
Pressure Bag .................................................................... 526
Autoclave .......................................................................... 527
Foam Reservoir ................................................................ 528
Resin Transfer .................................................................. 528
Reaction Injection ............................................................. 530
Compression and Transfer ................................................ 531
Cold Press ........................................................................ 532
Stamping .......................................................................... 532
Pultrusion .......................................................................... 533
Continuous Laminating ..................................................... 534
Centrifugal Casting ........................................................... 534
Encapsulation ................................................................... 535
Filament Winding .............................................................. 535
Injection ............................................................................ 540
Coining ............................................................................. 541
Designs .......................................................................................... 541
Costing ........................................................................................... 549
Troubleshooting ............................................................................. 549

13. Rotational Molding ......................................................... 552

Introduction .................................................................................... 552
Processing ..................................................................................... 553
Molds ............................................................................................. 555
Materials ........................................................................................ 556
Designs .......................................................................................... 557
Costing ........................................................................................... 557

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Contents

xvii

Troubleshooting ............................................................................. 557

14. Vinyl Dispersions ............................................................ 558

Basic Process ................................................................................ 558
Processing Plastisols .................................................................... 559
Processing Organosols ................................................................. 560
Open Moldings .............................................................................. 561
Closed Moldings ............................................................................ 561
Dip Moldings .................................................................................. 561
Dip Coatings .................................................................................. 562
Slush Moldings .............................................................................. 562
Rotational Castings ....................................................................... 563
Spray Coatings .............................................................................. 563
Continuous Coatings ..................................................................... 564
Screened Inks ............................................................................... 564
Hot Melts ....................................................................................... 564
Heating Systems ........................................................................... 564
Molds ............................................................................................. 565
Troubleshooting ............................................................................. 565

15. Other Processes ............................................................. 566

Overview ........................................................................................ 566
Wood-Plastic Impregnation ........................................................... 566
Plastic-Concrete ............................................................................ 569
Injection Molding Nonplastics ....................................................... 570
Machining ...................................................................................... 570
Cutting Guidelines ............................................................ 572

16. Auxiliary Equipment ....................................................... 573

Introduction .................................................................................... 573
Types ............................................................................................. 573
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xviii

Contents
Communication Protocol ............................................................... 575
Material Handling .......................................................................... 576
Energy Conservation ........................................................ 579
Parts Handling ............................................................................... 580
Clean Pellets and Plant ................................................................. 581
Drying Plastics ............................................................................... 582
Feeders and Blenders ................................................................... 585
Granulators .................................................................................... 588

17. Secondary Operations ................................................... 591

Overview ........................................................................................ 591
Annealing ....................................................................................... 591
Postcuring ...................................................................................... 592
Joining and Assembling ................................................................ 592
Adhesives ......................................................................... 592
Ultrasonic Welding ............................................................ 598
Vibration Welding .............................................................. 598
Spin Welding .................................................................... 599
Radio Frequency Welding ................................................. 599
Heat Welding .................................................................... 599
Electromagnetic and Induction Welding ............................ 599
Finishing and Decorating .............................................................. 610
Surface Preparation .......................................................... 611

18. Summary ......................................................................... 613

Introduction .................................................................................... 613
Plant Control .................................................................................. 617
Equipment Improvements ............................................................. 618
Energy .............................................................................. 619
Plastics and Energy ....................................................................... 620
Computer Aids ............................................................................... 620
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Contents

xix

Testing and Quality Control ........................................................... 621

Statistical Process Control ................................................ 622
Process Validation ............................................................ 623
Preventive Maintenance ................................................................ 623
Recycling ....................................................................................... 624
Plastics and Pollution .................................................................... 625
Troubleshooting ............................................................................. 625
Plastics Bad and Other Myths ....................................................... 626
Cost ............................................................................................... 626
Estimating Part Cost ......................................................... 632
Technical Cost Modeling ................................................... 634
People ............................................................................................ 637
Processing and Patience .................................................. 637
Plastics Growth ............................................................................. 637

Appendix ............................................................................... 642

Metric Conversion Charts .............................................................. 642
Mathematical Symbols and Abbreviations .................................... 646
Greek Alphabet ............................................................................. 647
Properties of Water ....................................................................... 647

References ............................................................................ 648

Index ...................................................................................... 652

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Fundamentals

INTRODUCTION
This chapter reviews information pertinent to the processing of a diverse
group of plastics that are summarized in Figs 1.1 to 1.3. There are many
different types of plastics processed by different methods to produce
products meeting many different performance requirements, including
costs. This chapter provides guidelines and information that can be followed when processing plastics and understanding their behavior during
processing. The basics in processing relate to temperature, time, and
pressure. In turn they interrelate with product requirements, including
plastics type and the process to be used (Fig. 1.4). Worldwide plastics
consumption is at least 200 billion tons; the estimated use by process is
shown in Table 1.1. In the United States it is estimated that about 70000
injection molding machines (IMMs), 14000 extruders and 6000 blow
molders (BMs) are in about 22000 plants with annual sales of about $20
billion [1-93].
The various processes reviewed in this book are used to fabricate all
types and shapes of plastic products; household convenience packages,
electronic devices and many others, including the strongest products in
the world, used in space vehicles, aircraft, building structures, and so on.
Proper process selection depends upon the nature and requirements of
the plastic, the properties desired in the final product, the cost of the
process, its speed, and product volume. (Note that a plastic also may be
called a polymer or a resin.) Some materials can be used with many kinds
of processes; others require a specific or specialized machine. Numerous
fabrication process variables play an important role and can markedly
influence a product's esthetics, performance, and cost.
This book will provide information on the effects on performance and
cost of changing individual variables during processing, including upstream and downstream auxiliary equipment. Many of these variables
and their behaviors are the same in the different processes, as they all

THE COMPLETE PROCESSING OPERATION

FALLO APPROACH
SOFTWARE
OPERATION

SET REQUIREMENTS
DESIGN PART
ORGANIZE PLANT

HARDWARE
OPERATION

BASIC
PROCESSING
MACHINE
MOLD/DIE

SOFTWARE
OPERATION
following
PRODUCTION
start again
and
REEVALUATE

DESIGN,
PLASTIC,
PROCESSING LINE
to
REDUCE COST

MATERIAL HANDLING
AUXILIARY EQUIPMENT
PREVENTATIVE
MAINTENANCE
FALLO
TESTING/QUALITY
FOLLOW ALL OPPORTUNITIES
CONTROL
TROUBLESHOOTING GUIDE
FLOW DIAGRAM WITH FEEDBACK LOOPS
START

DVR

Figure 1.1 Developing a procedure: (a) the mythical appraoch, (b) the factual
approach.

relate to temperature, time, and pressure. This chapter contains information applicable to all processes characterized by certain common variables
or behaviors: plastic melt flow, heat controls, and so forth. It is essential to
recognize that, for any change in a processing operation, there can be
advantages and/or disadvantages. The old rule still holds: for every
action there is a reaction. A gain in one area must not be allowed to cause

Performance Requirements

Practical
Approach

Engineering
Approach

Material Selection

Properties

Processes

Cost

Ideal choice/Compromise
Figure 1.2 Product manufacture: a simplified flow diagram.

Table 1.1 Plastics consumption by processes

Extrusion
Injection
Blow
Calendering
Coating
Compression
Powder
Others

36%
32%
10%
6%
5%
3%
2%
6%

a loss in another; changes must be made that will not be damaging in any
respect.
All processes fit into an overall scheme that requires interaction and
proper control of different operations. An example is shown in Fig. 1.1 (b),
where a complete block diagram pertains to a process. This FALLO (Follow All Opportunities) approach can be used in any process by including
those 'blocks' that pertain to the fabricated product's requirements.
The FALLO concept has been used by many manufacturers to produce
acceptable products at the lowest cost. Computer programs featuring this
type of layout are available. The FALLO approach makes one aware that
many steps are involved in processing, and all must be coordinated. The

ENERGY
SOURCES

NATURALGAS

ETHANE

FEEDSTOCKS

PETROLEUM

PROPANE

BENZENE

COAL

AGRICULTURE

NAPHTHA

BUTENE

MONOMERS

ETHYLENE
STYRENE
FORMALDEHYDE
POLYOL
ADIPATE
PROPYLENE
VINYL CHLORIDE
CUMENE
ACRYLIC

PLASTICS

POLYETHYLENE
POLYSTYRENE
ACETAL
POLYCARBONATE
POLYPROPYLENE
POLYVINYLCHLORIDE
NYLON

EXTRUSION

FABRICATION

BLOW

CALENDER

COATING

BUILDING
PACKAGING
TRANSPORTATION
RECREATION
ELECTRICAL
CONSUMER
INDUSTRIAL

MARKETS

PRODUCTS

INJECTION

PIPE

APPLIANCE
PACKAGING
LUGGAGE
MARINE
SIGN
TOY
SIDING
COMMUNICATION
ELECTRICAL
MEDICAL
AUTO TOOL

Figure 1.3 Simplified flowchart of plastics from raw materials to products.

Products
Properties
Appearance
Cost

Resin
Density
Melt Index
MoI. Wt. Distribution
Additives

Process
Temperature
Pressure
Cycle
Mold And Process Design

Figure 1.4 Interrelation of products, resin, and process.

specific process (injection, etc.) is an important part of the overall scheme
and should not be problematic. The process depends on several interrelated factors: (1) designing a part to meet performance and manufacturing
requirements at the lowest cost; (2) specifying the plastic; (3) specifying
the manufacturing process, which requires (a) designing a tool 'around'
the part, (b) putting the 'proper performance' fabricating process around
the tool, (c) setting up necessary auxiliary equipment to interface with the
main processing machine, and (d) setting up 'completely integrated' controls to meet the goal of zero defects; and (4) 'properly' purchasing equipment and materials, and warehousing the materials [1-9].
Major advantages of using plastics include formability, consolidation of
parts, and providing a low cost-to-performance ratio. For the majority of
applications that require only minimum mechanical performance, the
product shape can help to overcome the limitations of commodity resins
such as low stiffness; here improved performance is easily incorporated in
a process. However, where extremely high performance is required, reinforced plastics or composites are used (Chapter 12).
Knowledge of all processing methods, including their capabilities and
limitations, is useful to a processor in deciding whether a given part can
be fabricated and by which process. Certain processes require placing
high operating pressures on plastics, such as those used in injection
molding, where pressures may be 2000-30 000 psi (13.8-206.9MPa). High
pressures coupled with the creation of three-dimensional parts make injection molding the most complex process; nevertheless, it can be easily
controlled. Lower pressures are used in extrusion and compression, ranging from 200 to 10 000 psi (1.4 to 69MPa); and some processes, such as
thermoforming and casting, operate at relatively low pressure. Higher

pressures allow the development of tighter dimensional tolerances with

higher mechanical performance; but there is also a tendency to develop
undesirable stresses (orientations) if the processes are not properly understood or controlled. A major exception is reinforced plastics processing at
low or contact pressures (Chapter 12). Regardless of the process used, its
proper control will maximize performance and minimize undesirable
process characteristics.
PRODUCT REQUIREMENTS AND MACHINE PERFORMANCE

Part Complexity

High

Almost all processing machines can provide useful products with relative
ease, and certain machines have the capability of manufacturing products
to very tight dimensions and performances. The coordination of plastic
and machine facilitates these processes. This interfacing of product and
process requires continual updating because of continuing new developments in manufacturing operations. The information presented in this
book should make past, present and future developments understandable
in a wide range of applications.
Most products are designed to fit processes of proven reliability and
consistent production. Various options may exist for processing different
shapes, sizes and weights (Table 1.2). Parameters that help one to select
the right options are (1) setting up specific performance requirements; (2)
evaluating material requirements and their processing capabilities; (3)
designing parts on the basis of material and processing characteristics,
considering part complexity and size (Fig. 1.5) as well as a product and
process cost comparison; (4) designing and manufacturing tools (molds,
dies, etc.) to permit ease of processing; (5) setting up the complete line,

Blow Molding
Injection Molding
Compression

Low

Thermoforming
Extrusion
Small

Large
Part Size
Figure 1.5 Processing characteristics.

Table 1.2 Competitive processes

Injection
molding
Bottles, necked
containers, etc.
Cups, trays, open
containers, etc.
Tanks, drums, large
hollow shapes,
etc.
Caps, covers,
closures, etc.
Hoods, housings,
auto parts, etc.
Complex shapes,
thickness changes,
etc.
Linear shapes, pipe,
profiles, etc.
Sheets, panels,
laminates, etc.

Extrusion

2, A

Blow
molding

Thermof arming

2, A
1

1
1

1
2

Rotational
molding

Compression
and transfer
molding

Matched
mold, sprayup
2

2
1

2
2

2, A
2

1
2, B

Reaction
injection
molding

1, C

1 = prime process.
2 = secondary process.
A = combine two or more parts with ultrasonics, adhesives, etc. (Chapter 17).
B = short sections can be molded.
C = also calendering process.

2, B
2

including auxiliary equipment (Fig. 1.1 and Chapter 16); (6) testing and
providing quality control, from delivery of the plastics, through production, to the product (Chapter 16); and (7) interfacing all these parameters
by using logic and experience and/or obtaining a required update on
technology.
PROCESSING FUNDAMENTALS
Polymers are usually obtained in the form of granules, powder, pellets,
and liquids. Processing mostly involves their physical change (thermoplastics), though chemical reactions sometimes occur (thermosets). A
variety of processes are used. One group consists of the extrusion processes (pipe, sheet, profiles, etc.). A second group takes extrusion and
sometimes injection molding through an additional processing stage
(blow molding, blown film, quenched film, etc.). A third group consists of
injection and compression molding (different shapes and sizes), and a
fourth group includes various other processes (thermoforming, calendering, rotational molding, etc.).
The common features of these groups are (1) mixing, melting, and
plasticizing; (2) melt transporting and shaping; (3) drawing and blowing;
and (4) finishing. Mixing melting, and plasticizing produce a plasticized
melt, usually made in a screw (extruder or injection). Melt transport and
shaping apply pressure to the hot melt to move it through a die or into a
mold. The drawing and blowing technique stretches the melt to produce
orientation of the different shapes (blow molding, forming, etc.). Finishing
usually means solidification of the melt.
The most common feature of all processes is deformation of the melt
with its flow, which depends on its rheology. Another feature is heat
exchange, which involves the study of thermodynamics. Changes in a
plastic's molecular structure are chemical. These properties are reviewed
briefly in the following paragraphs, and will be discussed in detail
throughout the book, with a focus on how they influence processes.
PROCESSABILITY
Processability does not mean the same thing to all processors. It describes
quite generally the ease or difficulty with which a plastic can be handled
during its fabrication into film, molded products, pipe, etc. A plastic with
good processability possesses the properties necessary to make it easy to
process the plastics into desired shapes. The main characteristics or properties which determine a plastic's processability are molecular weight,
uniformity, additive type and content, and plastic feed rates.
However, processability is usually considered in less tangible terms,
using properties derived from the basic characteristics above. In extru-

sion, for example, these characteristics include drawdown (hot melt extensibility), pressure and temperature sensitivity, smoke and odor, product stability during hauloff, and flow rate (which is an operating
condition). And there are other factors, too (Chapter 3). Often, however,
it is not the plastic but unfavorable operating conditions that lead to
inadequate plastic performance.
PROCESSES
Overview
The type of process to be used depends on a variety of factors, including
product shape and size, plastic type, quantity to be produced, quality and
accuracy (tolerances) required, design load performance, cost limitation,
and time schedule. Each of the processes reviewed provides different
methods to produce different products. As an example, extrusion with its
many methods produces films, sheet, pipe, profile, wire coating, etc. Some
of the process overlap since different segments of the industry use them.
Also terms such as molding, embedding, casting, potting, impregnation
and encapsulation are sometimes used interchangeably and/or allowed
to overlap. However, they each have their specific definitions [9].
Almost all processing machines can provide useful products with relative ease, and certain machines have the capability of manufacturing
products to very tight dimensions and performances. The coordination of
plastic and machine facilitates these processes; this interfacing requires

Plastics flowability
Bulk density
Particle size distribution
Tablet density
Tablet height

Feeding ease
Feeding accuracy
Preheating

Melt flow behaviour

Curing characteristic
Water content

Compression molding
transfer molding
injection molding
preheating (temperature, time)
mold filling (time, pressure)
curing
(temperature, time)

Shrinkage characteristic
Water content
Stickiness (adhesion)

Dimensional stability
Demolding behaviour

Wear

Mold life
Machine wear

Process:

Figure 1.6 Processing behavior: some examples.

continual updating because of continuing new developments in processing operations.

During the conversion of plastics into products, various meltprocessing procedures are involved. The inherent viscoelastic properties
of each plastic type can lead to certain undesirable processing defects, so
additives are used to ease these processing-related problems. Examples
are heat and light stabilizers, antioxidants, and lubricants. There are usually many different additives already in the plastics [3, 9]. Some plastics
have limited applications due to their undesirable physical properties
and/or their poor processing (Fig. 1.6). These limitations have greatly
been reduced through the use of plastic blends and alloys. By mixing two
or more plastics, the overall balance of physical and processing properties
can be optimized. These processing aids are used in such small quantities
that their effect on the final physical properties of the major plastic or
plastic mixture is minimized.
Most processes fit into an overall scheme that requires interaction and
proper control of its different operations. There are machines that perform
multifunctions. Figure 1.7 shows the world's first machine to combine
more that seven processes; it includes injection molding, flow molding,
stamping, coinjection, gas injection, compression molding, flow forming
and proprietary processes. This one-of-a-kind machine is 75ft (23m) long,
50ft (15m) wide, and 55ft (17m) tall; it can produce parts up to 6ft (1.8m)
square.
Some products are limited by the economics of the process that must be
used to make them. For example, hollow parts, particularly very large
ones, may be produced more economically by the rotational process than
by blow molding. Thermosets (TSs) cannot be blow molded (to date) and
they have limited extrusion possibilities. The need for a low quantity may
allow certain processes to be eliminated by going to casting. Thermoplastics (TPs) present fewer problems for extrusion than for injection molding,
but extrusion suffers greater problems over dimensional control and
shape. However, as the plastic leaves the extrusion die, it can be relatively
stress-free. It is drawn in size and passed through downstream equipment
from the extruder to form its shape as it is cooled, usually by air and/or
water. The dimensional control and the die shape required to achieve the
desired part shape are usually solved by trial-and-error settings; the more
experience one has in the specific plastic and equipment being used, the
less trial time will be needed.
Other analyses can be made. Compression and injection molds, which
are expensive and relatively limited in size, are employed when the production volume required is great enough to justify the mold costs and the
sizes are sufficient to fit available equipment limitations. Extrusion produces relatively uniform profiles at unlimited lengths. Casting is not
limited by pressure requirements, so large sheets can be produced.

Figure 1.7 Alpha 1 is a multipurpose machine in the GE Plastics Polymer Processing Development Center, Pittsfield MA.

Calendered sheets are limited in their width by the width of the material
rolls, but are unlimited in length. Vacuum forming is not greatly limited
by pressure, although even a small vacuum distributed over a large area
can build up an appreciable load. Blow molding is limited by equipment
that is feasible for the mold sizes. Rotational molding can produce relatively large parts.
Injection molding and extrusion tend to align long-chain molecules in
the direction of flow. This produces markedly greater strength in the
direction of flow than at right angles to the flow. An extruded pressure
pipe could have its major strength in the axial/machine direction when
the major stresses in the pipe wall are circumferential. Proper controls on
processing conditions allow the required directional properties to be obtained. If in an injection mold the plastic flows in from several gates, the
melts must unite or weld where they meet. But this process may not be
complete, especially with filled plastics, so the welds may be points of
weakness. Careful gating with proper process control can allow welds to
occur where stresses will be minimal.
Certain products are most economically produced by fabricating them
with conventional machining out of compression-molded blocks, laminates or extruded sheets, rods or tubes. It may be advantageous to design
a product for the postmolding assembly of inserts, to gain the benefit of
fully automatic molding and automatic insert installation.
The choice of molder and fabricator places no limits on a design. There
is a way to make a part if the projected values justify the price; any job
can be done at a price. The real limiting factors are tool-design considerations, material shrinkage, subsequent assembly or finishing operations,
dimensional tolerances, allowances, undercuts, insert inclusions, parting
lines, fragile sections, the production rate or cycle time, and the selling
price.
Applying the following principles, applicable to virtually all manufacturing processes, will aid in specifying parts that can be produced at
minimum cost: (1) maintaining simplicity; (2) using standard materials
and components; (3) specifying liberal tolerances; (4) employing the most
processable plastics; (5) collaborating with manufacturing people; (6)
avoiding secondary operations; (7) designing what is appropriate to the
expected level of production; (8) utilizing special process characteristics;
and (9) avoiding processing restrictions.
Processing and properties
In order to understand potential problems and their solutions, it is helpful
to consider the relationships of machine capabilities, plastics processing
variables, and part performance. A distinction should be made between
machine conditions and processing variables as summarized in Fig. 1.8.

Figure 1.8 Relationship between manufacturing process and properties of

injection-molded product.

Machine conditions are temperature, pressure, and processing time (such

as screw rotation in RPM for a screw plasticator), die and mold temperature and pressure, machine output rate (Ib h"1), etc. Processing variables
are more specific than machine conditions: the melt in the die or the mold
temperature, the flow rate, and the pressure used.
The distinction between machine conditions and fabricating variables
is important when considering cause-and-effect relationships. If the
processing variables are properly defined and measured, not necessarily
the machine settings, they can be correlated with the part properties. For
example, if one increases cylinder temperature, melt temperatures do not
necessarily increase, too. Melt temperature is also influenced by screw
design, screw rotation rate, back pressure, and dwell times (Chapter 2). It
is much more accurate to measure melt temperature and correlate it with
properties than to correlate cylinder settings with properties.
The problem-solving approach that ties the processing variables to part
properties includes considering melt orientation, polymer degradation,
free volume/molecular packing and relaxation and cooling stresses. The
most influential of these four conditions is melt orientation, which can be
related to molded-in stress or strain.
Polymer degradation can occur from excessive melt temperatures or
abnormally long times at temperature, called the heat history from
plasticator to cooling of the part. Excessive shear can result from poor
screw design, too much screw flight-to-barrel clearance, cracked or wornout flights, etc.
Orientation in plastics refers simply to the alignment of the meltprocessing variables that definitely affect the intensity and performance of
orientation.

Processing methods
Table 1.3 is a very brief review and guide on the different processes. The
relevant chapters give more details, the many exceptions, and any
changes that can occur, particularly limitations.
Machine operation terminology
Terminology in the plastics industry regarding the operation of machinery is as follows:
Manual operation
Each function and the timing of each function is controlled manually by
an operator.
Semiautomatic operation
A machine operating semiautomatically will stop after performing a complete cycle of programmed molding functions automatically. It will then
require an operator to start another complete cycle manually.
Automatic operation
A machine operating automatically will perform a complete cycle of programmed molding functions repetitively; it will stop ontyfor a malfunction on the part of the machine or mold, or when it is manually
interrupted.
Plastics memory and processing
Thermoplastics can be bent, pulled, or squeezed into various useful
shapes. But eventually, especially if heat is added, they return to their
original form. This behavior, known as plastic memory, can be annoying.
If properly applied, however, plastic memory offers interesting design
possibilities for all types of fabricated parts.
When most materials are bent, stretched, or compressed, they somehow
alter their molecular structure or grain orientation to accomodate the
deformation permanently, but this is not so with polymers. Polymers
temporarily assume the deformed shape, but they always maintain the
internal stresses and keep wanting to force the material back to its original
shape. This desire to change shape is what is usually called plastic
memory.
This memory is often unwelcome. Sometimes we prefer that thermoplastic parts forget their original shape and stay put, especially when

Table 1.3 Plastic processing methods preliminary guide

Process

Description

Limitations

Blow

An extruded parison tube of heated thermoplastic is

positioned between two halves of an open split mold
and expanded against the sides of the closed mold via
air pressure. The mold is opened and the part ejected.
Low tool and die costs, rapid production rates, and
ability to mold fairly complex hollow shapes in
one piece.

Generally limited to hollow or tubular parts;

some versatile mold shapes, other than
bottles and containers.

Calendering

Dough-consistent thermoplastic mass is formed into a

sheet of uniform thickness by passing it through and
over a series of heated or cooled rolls. Calenders are
also utilized to apply plastic covering to the backs of
other materials. Low cost, and sheet materials are
virtually free of molded-in stresses.

Limited to sheet materials and very thin

films are not possible.

Casting

Liquid plastic which is generally thermoset except

for acrylics is poured into a mold without presssure,
cured, and taken from the mold. Cast thermoplastic
films are produced via building up the material (either
in solution or hot-melt form) against a highly polished
supporting surface. Low mold cost, capability to form
large parts with thick cross sections, good surface
finish, and convenient for low- volume production.

Limited to relatively simple shapes.

Most thermoplastics are not suitable for
this method. Except for cast films, method
becomes uneconomical at high volume
production rates.

Centrifugal casting

Reinforcement is placed in mold and is rotated. Resin

distributed through pipe; impregnates reinforcement
through centrifugal action. Utilized for round objects,
particularly pipe.

Limited to simple curvatures in single-axis

rotation. Low production rates.

Table 1.3 Continued

Process

Description

Coating

Process methods vary. Both thermoplastics and

thermosets widely used in coating of numerous
materials. Roller coating similar to calendering process.
Spread coating employs blade in front of roller to
position resin on material. Coatings also applied via
brushing, spraying, and dipping.

Economics generally depends on close

tolerance control.

Cold pressure molding

Similar to compression molding in that material is

charged into a split mold; it differs in that it employs
no heat, only pressure. Part cure takes place in an
oven in a separate operation. Some thermoplastic
billets and sheet material are cold formed in a
process similar to drop-hammer die forming or fast
cold-form stamping of metals. Low-cost matched-tool
moldings exist which utilize a rapid exotherm to cure
moldings on a relatively rapid cycle. Plastic or concrete
tooling can be used. With process comes ability to
form heavy or tough-to-mold materials; simple,
inexpensive, and often has rapid production rate.

When compared to process such as injection

molding it is limited to relatively simple
shapes, and few materials can be processed
in this manner.

Compression molding

Principally polymerized thermoset compound, usually

Extremely intricate parts containing
preformed, is positioned in a heated mold cavity; the
undercuts, side draws, small holes, delicate
mold is closed (heat and pressure are applied) and the
inserts, etc.; very close tolerances are
materialflowsand fills the mold cavity. Heat completes difficult to produce.
polymerization and the part is ejected. The process
is sometimes used for thermoplastics, e.g. vinyl
phonograph records. Little material waste is attainable;
large, bulky parts can be molded; process is adaptable
to rapid automation (racetrack techniques, etc.).

Limitations

Encapsulation

Mixed compound is poured into open molds to

surround and envelope components; cure may be at
room temperature with heated postcure. Encapsulation
generally includes several processes such as potting,
embedding and conformal coating.

Extrusion molding

Widely used for continuous production of film, sheet,

Usually limited to sections of uniform cross
tube, and other profiles; also used in conjunction with
section.
blow molding. Thermoplastic or thermoset molding
compound is fed from a hopper to a screw and barrel
where it is heated to plasticity then forwarded, usually
via a rotating screw, through a nozzle possessing the
desired cross section. Production lines require input and
takeoff equipment that can be complex. Low tool cost,
numerous complex profile shapes possible, very rapid
production rates, can apply coatings or jacketing to core
materials (such as wire).

Filament winding

Excellent strength-to-weight. Continuous, reinforced

filaments, usually glass, in the form of roving are
saturated with resin and machine-wound onto
mandrels having shape of desired finished part. Once
winding is completed, part and mandrel are cured;
mandrel can then be removed through porthole at end
of wound part. High-strength reinforcements can be
oriented precisely in direction where strength is
required. Good uniformity of resin distribution in
finished part; mainly circular objects such as pressure
bottles, pipes, and rocket cases.

Low-volume process subject to inherent

limitations on materials which can lead
to product defect caused by exotherm,
curing or molding conditions, low
thermal conductivity, high thermal
expansion, and internal stresses.

Limited to shapes of positive curvature;

openings and holes can reduce strength
if not properly designed into molding
operations.

Table 1.3 Continued

Process

Description

Limitations

Injection molding

Very widely used. High automation of manufacturing

is standard practice. Thermoplastic or thermoset is
heated to plasticity in cylinder at controlled
temperature, then forced under pressure through a
nozzle into sprues, runners, gates, and cavities of
mold. The resin undergoes solidification rapidly,
the mold is opened, and the part ejected. Injection
molding is growing in the making of glass-reinforced
parts. High production runs, low labor costs, high
reproducibility of complex details, and excellent
surface finish.

High initial tool and die costs; not

economically practical for small runs.

Laminating

Material, usually in form of reinforcing cloth,

paper, foil, metal, wood, glass fiber, plastic, etc.,
preimpregnated or coated with thermoset resin
(sometimes a thermoplastic) is molded under pressure
greater than lOOOpsi (7MPa) into sheet, rod, tube, or
other simple shapes. Excellent dimensional stability of
finished product; very economical in large production
of parts.

High tool and die costs. Limited to simple

shapes and cross sections.

Matched-die molding

A variation of the conventional compression molding

this process employs two metal molds possessing a
close-fitting, telescoping area to seal in the plastic
compound being molded and to allow trim of the
reinforcement. The mat or preform reinforcement is
positioned in the mold and the mold is closed and
heated under pressures of 150-400psi (1-3MPa).
The mold is then opened and the part is removed.

Prevalent high mold and equipment costs.

Parts often require extensive surface
finishing.

Pultrusion

This process is similar to profile extrusion, but it does

not provide flexibility and uniformity of product
control, and automation. Used for continuous
production of simple shapes (rods, tubes, and angles)
principally incorporating fiberglass or other
reinforcement. High output possible.

Close tolerance control requires diligence.

Unidirectional strength usually the rule.

Rotational molding

A predetermined amount of powdered or liquid

thermoplastic or thermoset material is poured into
mold; mold is closed, heated, and rotated in the axis
of two planes until contents have fused to inner walls
of mold; mold is then opened and part is removed.
Low mold cost, large hollow parts in one piece can be
produced, and molded parts are essentially isotropic
in nature.

Limited to hollow parts; production rates

are usually slow.

Slush molding

Powdered or liquid thermoplastic material is

poured into a mold to capacity; mold is closed and
heated for a predetermined time in order to achieve a
specified buildup of partially cured material on mold
walls; mold is opened and unpolymerized material is
poured out; and semifused part is removed from mold
and fully polymerized in oven. Low mold costs and
economical for small production runs.

Limited to hollow parts; production rates

are very slow; and limited choice of
materials that can be processed.

Thermoforming

Heat-softened thermoplastic sheet is positioned over

male or female mold; air is evacuated from between
sheet and mold, forcing sheet to conform to contour

Limited to parts of simple configuration,

high scrap, and limited number of materials
from which to choose.

Table 1.3 Continued

Process

Description

Limitations

of mold. Variations are vacuum snapback, plug assist,

drape forming, etc. Tooling costs are generally low,
large part production with thin sections possible,
and often comes out economical for limited
part production.
Transfer molding

Related to compression and injection molding

processes. Thermoset molding compound is fed from
hopper into a transfer chamber where it is then heated
to plasticity; it is then fed by a plunger through sprues,
runners, and gates into a closed mold where it cures;
mold is opened and part ejected. Good dimensional
accuracy, rapid production rate, and very intricate
parts can be produced.

High mold cost; high material loss in sprues

and runners; size of parts is somew hat
limited.

Wet-layup or contact
molding

Several layers, consisting of a mixture of reinforcement

(generally glass cloth) and thermosetting resin are
positioned in mold and roller contoured to mold's
shape; assembly is usually oven-cured without the
application of pressure. In spray molding, a
modification, resin systems and chopped fiber are
sprayed simultaneously from a spray gun against the
mold surface. Wet-layup parts are sometimes cured
under pressure, using vacuum bag, pressure bag, or
autoclave, and depending on the method employed,
wet-layup can be called open molding, hand layup,
sprayup, vacuum bag, pressure bag, or autoclave
molding. Little equipment required, efficient, low cost,
and suitable for low- volume production of parts.

Not economical for large-volume

production; uniformity of resin
distribution difficult to control; only one
good surface; limited to simple shapes.

the parts must be coined, formed, machined, or rapidly cooled.

Occasionally, however, this memory or instability can be used
advantageously.
Most plastic parts can be produced with a built-in memory. That is,
their tendency to move into a new shape is included as an integral part of
the design. So after the parts are assembled in place, a small amount of
heat can coax them to change shape. Plastic parts can be deformed during
assembly then allowed to return to their original shape. In this case the
parts can be stretched around obstacles or made to conform to unavoidable irregularities without their suffering permanent damage.
The time- and temperature-dependent change in mechanical properties
results from stress relaxation and other viscoelastic phenomena that are
typical of polymers. When the change is an unwanted limitation, it is
called creep. When the change is skillfully adapted to use in the overall
design it is called plastic memory.
Potential memory exists in all thermoplastics. Polyolefins, neoprenes,
silicones and other cross-linkable polymers can be given memory either
by radiation or by chemical curing. Fluorocarbons, however, need no such
curing. When this phenomenon of memory is applied to fluorocarbons
such as TFE, FEP, ETFE, ECTFE, CTFE, and PVF2, interesting hightemperature or wear-resistant applications become possible.
Drying plastics
There is much more to drying resins for processes such as injection
molding, extrusion, and blow molding than blowing 'hot air' into a hopper. Effects of excessive moisture cause degradation of the melt viscosity
and in turn can lead to surface defects, production rejects, and even failure
of parts in service (Table 1.4). First one determines from a supplier, or
experience, the resin's moisture content limit. Next one must determine
which procedure will be used in determining water content, such as
'weighing, drying, and reweighing/ This procedure has definite limitations. Fast automatic analyzers, suitable for use with a wide variety of
resin systems, are available that provide quick and accurate data for
achieving in-plant control of this important parameter.
Drying or keeping moisture content at designated low levels is important, particularly for hygroscopic resins (nylon, PC, PUR, PMMA, ABS,
etc.). Most engineering resins are hygroscopic and must be 'dry' prior to
processing. Usually the moisture content is <0.02 wt%. In practice, a drying heat 300C below the softening heat has proved successful in preventing caking of the resin in the dryer. Drying time varies in the range 2-4 h,
depending on moisture content. As a rule of thumb, the drying air should
have a dew point of -30 0F (-34 0C) and be capable of being heated up to
25O0F (1210C). It takes about IfPmirf 1 of air for every Ibh"1 of resin

Table 1.4 Moisture troubleshooting guide

Si/mptom

Possible causes

Solutions

Silver streaks, splay

Wet material due to improper

drying, high percent
regrind, over wet virgin
resin

Follow resin manufacturer's drying instructions and dryer

manufacturer's operating and maintenance instructions
Use desiccant dryer

Brown streaks /burning

Contamination

Purge barrel /screw and clean dryer /auxiliary equipment

Check resin
Check molding equipment settings and controls
Check resin manufacturer's instructions about processing
temperatures

Overheating of material

Bubbles

High moisture content

Trapped air

Brittle parts

Flash

Wet resin or overdried resin

Molded-in stresses

Check each step of drying process

Check dried resins exposure to air
Force air out of feed vent
Increase screw speed and /or back pressure

Poor part design

Check drying instructions and conditions

Increase melt temperature /reduce injection pressure
Review part design
Review design for notches and other stress concentrators

Wet material
Insufficient clamp tonnage
Excessive vent depth
High injection pressure
Damaged mold
Misaligned platen

Check drying procedures

Use larger machine
Change mold design
Decrease injection pressure
Repair damage
Realign platen

Material temperature too high

Cycle time too long
Plunger pushing forward
too long

Decrease material temperature by lowering cylinder

temperature, decrease screw speed /lower back
pressure (screw machine)
Decrease overall cycle time
Decrease plunger forward time
Check resin data sheet for meltdown temperature
Make sure operators know correct process temperature
set point

Material in drying hopper

caking or meltdown
occurring

Process temperature set

too high

Dew point reading too high

Dirty process /auxiliary filter(s) Clean or replace filters3

Dry cycle machine for several complete cycles. (This is
Desicant saturated
common with equipment which is not operated on a
continual basis)
Replace with larger hopperb
Material residence time in
hopper too short
Add 'after-cooler' to return air line
Return air temperature
too high
Replace
Heaters burned out
Replace
Bad heater thermostat or
thermocouple
Adjust or replace
Cycle timer malfunctioning
Air control valves not seating
Adjust
properly
Replace0
Contaminated or wornout
desiccant

Table 1.4 Continued

Symptom

Solutions

Possible causes
Incorrect blower rotation
Regeneration heating
elements inoperative
Desiccant assembly not
transferring

Check and correct rotation

Check electrical connections; replace elements if needed

Moist room air leading into

dry process air
Dew point meter incorrect

If valve system, check and repair valve /drive assembly

If rotational system, adjust drive-assembly. Check electrical
connections on motor and replace motor if needed
Check hopper lid, all hose connections, hoses and filters.
Tighten, replace, repair as needed
Check meter and recalibrate

Dew point cycling from

high to low

Electrical malfunctions
Desiccant bed(s) contaminated

Check electrical connections on heaters /controller. Repair/

replace0

Process air temperature

too high

Incorrect temperature setting

Thermocouple not properly
located
Electrical malfunctions

Reset for correct temperature

Secure thermocouple probe into coupling at inlet of hopper

Insufficient reactivation
airflow
Malfunctioning cycle time
Blades of blower wheel dirty

See Insufficient airflow7

Incorrect temperature setting

on controller
Controller malfunctioning
Process heating elements

Reset for correct temperature

Excessive changeover
temperature

Process air temperature

too low

Check electrical connections and replace if necessary

Insulate hopper and hopper inlet air line

Adjust or replace
Clean

Check electrical connections. Replace /repair if needed

Check electrical connections
Replace /repair if needed

Thermostat malfunction
Voltage differentials
Inadequate airflow
Hose connections incorrect
Inadequate insulation
Dryer inadequate for required
temperatures
Insufficient airflow
(Dew point reading could be
good but resin is still wet)

Process or auxiliary filter(s)

blocked
Blower rotation incorrect
Air ducts blocked
Airflow meter incorrect
Desiccant bed contaminated
Tightly packed material in
hopper

Heater burn out

Excessive vibration
High voltage condition
Malfunction in heater
thermostat
Blades on blower wheel dirty

Replace or repair
Check supply voltage
Check /clean filters, check blower rotation and correct,
check and repair airflow meter
Check connections. Delivery hose should enter hopper
at bottom
Insulate hopper and hopper inlet air line
Replace with high temperature dryer
Clean or replace3
Check manufacturer's electrical instructions, and change
blower rotation
Remove obstruction
Disengage line exiting dryer repair if needed
Replace desiccant0
Increase hopper size or drain hopper and refill
Relocate dryer, reduce vibration
Reduce voltage, relocate dryer, or use heaters rated for
actual voltage
Adjust or replace
Clean

An inexpensive pressure-differential switch, common option for almost every brand of dehumidifying dryer, will signal when a filter is restricting
airflow.
drying systems tend to be designed for a specific material, different materials may need longer residence times or higher drying temperatures.
Plastic dust contaminants, because of their flash point, can ignite during regeneration of the desiccant bed causing a fire inside the dehumidifier.

b
Since
c

% of Ultimate

processed when using a desiccant dryer. The pressure drop through the
bed should be less than 1 mm H2O per millimeter of bed height.
Simple tray dryers or mechanical convection, hot-air dryers, while adequate for some resins, are simply incapable of removing enough water
for proper processing of hygroscopic resins, particularly during periods of
high ambient humidity. The most effective and efficient drying system for
these resins incorporates an air-dehumidifying system in the material
storage/handling network. Consistently and adequately it has to provide
moisture-free air in order to dry the 'wet' resin.
Initially expensive, it does give improved production rates and helps to
achieve zero defects. There are several manufacturers and systems from
which to choose. All the systems are designed to accomplish the same end
results, but the approaches to regeneration of the desiccant beds vary.
Hygroscopic resins are commonly passed through dehumidifying hopper dryers before they enter a screw plasticator. However, except where
extremely expensive protective measures are taken, the drying may be
inadequate, or the moisture regain may be too rapid to avoid product
defects unless barrel venting is provided (Chapters 2 and 3 review venting). To ensure proper drying for 'delicate' parts such as lenses, some
plants use drying prior to entry into the barrel as well as venting. Although it is much less hygroscopic than the usual resin (ABS, PC, etc.), PS
too is usually vented during processing to protect against surface defects.
The effect of having excess moisture manifests itself in various ways,
depending on the process being employed. The common result is a loss in
mechanical properties (Fig. 1.9) and physical properties, with splays, nozzle drool between shot-size control, sinks, and other losses that may occur
during processing. The effects during extrusion can also include gels,

% H7O
Figure 1.9 Moisture affects the mechanical properties of hygroscopic PET plastic
during molding.

trails of gas bubbles in the extrudate, arrowheads, waveforms, surging,

lack of size control, and poor appearance.
Air entrapment
Air entrapment is a common problem in most processes. With screw
plasticators (injection, extrusion, blow molding) it is caused by air being
taken in with plastics from the feedhopper. Compression of the solid
material in the screw feed section (Chapter 2) will normally force air out
of the 'solid' melt bed. However, there are times that the air cannot exit
back to the hopper. Thus, it moves forward with the melt until it exits
from the mold or die. These air pockets can cause problems such as
inclusions or surface imperfections.
There are solutions to this situation. The more popular and simple
approach is to change the temperature in the solids-conveying zone to
achieve a more positive compacting of the solid bed. Often a temperature
increase of the first barrel section reduces the air entrapment; however, a
lower temperature sometimes gives an improvement. In any case, the
temperatures in the solids-conveying zone are important parameters for
air entrapment. The barrel and screw temperatures are both important.
The next step is an increase in the mold or diehead pressure to alter the
pressure profile and hopefully to achieve a more rapid compacting of the
solid bed. Another possible solution is to starve-feed the extruder, but this
will probably reduce the output and requires additional hardware such
as, an accurate feeding device.
If the problem still exists, a change in plastic particle size or shape could
help. Other options include a vacuum hopper system (rather complex and
expensive), a grooved barrel section (rapid compaction occurs), reduced
friction on the screw (applying a coating), and increased compression
ratio of the screw (Chapter 2).
Note that the problem may not be air entrapment. It could be volatiles
from the plastic, plastic degrading, additives or surface agents, and/or
moisture. By determining which problem exists, it may be easier to resolve the problem of air. Vented barrels may be the solution.
Release agents
Release agents (RAs) are substances that control or eliminate the adhesion
between two surfaces. They are known by a variety of terms indicative of
their function: adherents, antiblocking agents, antistick agents, external or
surface lubricants, parting agents, and slip aids. Processors use RA in a
wide variety of general handling operations, such as calendering, casting,
molding, packaging and labeling, and protection of equipment. Processors can be confronted with parts adhering to mold or die surfaces.

Plastics most frequently needing RAs include polyurethanes, polyesters

(TPs and TSs), polyolefins, polycarbonates and epoxies.
RAs come in a wide variety of forms and modes of application. Both
neat liquids and solvent solutions, as well as solids such as powders and
flakes, compounded mixtures and pastes, emulsions, dispersions, preformed films, in situ film formers, and integral migratory additives are
available. Many formulated products serve more than one processing
function and contain other additives, such as antioxidants. Combined
lubricant-stabilizer packages are often used with polyvinyl chloride. The
external treatment types can be applied by any of the standard coating
methods, including brushing, dipping, dusting, spraying, electrostatic
coating, and plasma arc coating.
Despite the diversity of products, RAs have some features in common,
notably inertness to at least one of the surfaces in question at the temperature of the release process and low surface tension. Low surface tension is
important in obtaining good wetting of a mold. It is also a reflection of the
low intermolecular forces desirable in effective release compositions. Not
surprisingly, inertness and weak cohesion are the opposite of good adhesive properties.
The release agent should be chosen with subsequent events in mind,
as well as for ease of release and stability. In addition to ease of release,
other selection criteria include prevention of buildup; mold cleanability;
compatibility with secondary operations such as painting, plating, and
ultrasonic welding; mold compatibility; type and time available for application; health and safety requirements and cost. As an example, when
using silicone as an RA, it becomes difficult or impossible to paint on it or
to attach it adhesively.
Heat history, residence time, and recycling
The process of heating and cooling TPs can be repeated indefinitely by
granulating scrap, defective parts, and so on. During the heating and
cooling cycles of injection, extrusion, and so on, the material develops a
'time-to-heat' history, or residence time. With only limited repeating of
the recycling, the properties of certain plastics are not significantly affected by residence time. However, some TPs can significantly lose certain
properties. Heat can also develop significantly if improper granulating/
recycling systems are used, producing quick degradation of plastics.
Chapter 16 gives more details on recycling.
The residence time and its distribution only partially determine the
chance of degradation in screw plasticizing systems. The other factors that
play an important role are the actual stock temperatures and the strain
rates occuring during melting. These two characteristics are closely related. Residence time will be reviewed throughout this book.

Heat profile
To obtain the best processing melts for any plastics, one starts with the
plastic manufacturer's recommended heat profile and/or one's own experience. These are starting points for various types of plastics, as shown
in Fig. 1.10 and Table 1.5. The time and effort spent on startup make it
possible to achieve maximum efficiency of performance versus cost for the
processed plastics. By the application of logic, the information gained can
be stored and applied to future setups. In all probability, similar machines
(even from the same manufacturer) will not permit duplication of a process, but knowledge thus gained will guide the processor in future setups.
An amorphous material usually requires a fairly low initial heat in a
screw plasticator; its purpose is to preheat material but not melt it in the
feed section before it enters the compression zone of the screw. On the
other hand, crystalline material requires higher initial heating to ensure
that it melts before reaching the compression zone; otherwise satisfactory
melting will not occur. Careful implementation of these procedures produces the best melt, which in turn produces the best part. (Filled plastics,
particularly those with thermally conductive fillers, usually require different heat profiles, i.e., a reverse profile where the area of the feed throat is
better than the front zone.)
Example of a Thermoset

Temperature

Processing Heat-Time Profile Cycle

a. Start of process
b. Plastic melted
d. Plastic permanently hard

Example of a Thermoplastic

Temperature

Processing Heat-Time Profile Cycle

a. Start of process
b. Plastic melted
c. Plastic hard but can
be resoftened

Figure 1.10 Melting characteristics of TPs and TSs.

Table 1.5 Melt processing temperatures for TPsa

Processing temperature rate
Material
ABS
Acetal
Acrylic
Nylon
Polycarbonate
LDPE
HOPE
Polypropylene
Polystyrene
PVC, rigid

180-240
185-225
180-250
260-290
280-310
160-240
200-280
200-300
180-260
160-180

356-464
365-437
356-482
500-554
536-590
320-464
392-536
392-572
356-500
320-365

Values are typical for injection molding and most extrusion

operations. Extrusion
coating is done at higher temperatures
(i.e., about 60O0F for LDPE). See the appendix for metric
conversion charts (page 642).

Processing and tolerances

Processing is extremely important for tolerance control, sometimes it is
the most influential factor. The dimensional accuracy of the finished part
relates to the process, the accuracy of mold or die production, and the
process controls, as well as the shrinkage behavior of the plastic. Changing the dimensions of a mold or a die can cause wear to arise during
production; this should always be taken into account.
The mold or die is one of the most important pieces of production
equipment in the plant. This controllable, complex device must be an
efficient heat exchanger and provide the part's shape. The mold or die
designer needs to understand how to produce the tooling required for the
part and to meet the appropriate tolerances. To maximize control in setting tolerances there is usually a minimum-to-maximum limit on thickness based on the process used. Examples are shown in Tables 1.6 to 1.8.
Adequate process control and its associated instrumentation are essential for product quality control. Sometimes, the goal is precise adherence
to a control point. Sometimes it is simply to maintain the temperature
within a comparatively narrow range.
A knowledge of processing methods can help to determine the tolerances obtainable. With such high-pressure methods as injection and compression molding that use 13.8-206.9MPa (2000-30 000 psi) it is possible to
develop tighter tolerances, but there is also a tendency to develop undesirable stresses (i.e., orientations) in different directions. The low-pressure

Table 1.6 Guidelines for wall thicknesses of TS molding materials

Alkyd, glass filled

Alkyd, mineral filled
Dially phthalate
Epoxy, glass filled
Melamine, cellulose filled
Urea, cellulose filled
Phenolic, general purpose
Phenolic, flock filled
Phenolic, glass filled
Phenolic, fabric filled
Phenolic, mineral filled
Silicone glass
Polyester premix

Minimum
thickness,
in. (mm)

Average
thickness,
in. (mm)

Maximum
thickness,
in. (mm)

0.040 (1.0)
0.040 (1.0)
0.040 (1.0)
0.030 (0.76)
0.035 (0.89)
0.035 (0.89)
0.050 (1.3)
0.050 (1.3)
0.030 (0.76)
0.062 (1.6)
0.125 (3.2)
0.050 (1.3)
0.040 (1.0)

0.125 (3.2)
0.187 (4.7)
0.187 (4.7)
0.125 (3.2)
0.100 (2.5)
0.100 (2.5)
0.125 (3.2)
0.125 (3.2)
0.093 (2.4)
0.187 (4.7)
0.187 (4.7)
0.125 (3.2)
0.070 (1.8)

0.500 (13)
0.375 (9.5)
0.375 (9.5)
1.000 (25.4)
0.187 (4.7)
0.187 (4.7)
1.000 (25.4)
1.000 (25.4)
0.750 (19)
0.375 (9.5)
1.000 (25.4)
0.250 (6.4)
1.000(25.4)

Table 1.7 Guidelines for wall thicknesses of TP molding materials

Acetal
ABS
Acrylic
Cellulosics
FEP fluoroplastic
Nylon
Polycarbonate
Polyester TP
Polyethylene (LD)
Polyethylene (HD)
Ethylene vinyl acetate
Polypropylene
Polysulfone
Noryl (modified PPO)
Polystyrene
SAN
PVC, Rigid
Polyurethane
Surlyn (ionomer)

Minimum,
in. (mm)

Average,
in. (mm)

Maximum,
in. (mm)

0.015 (0.38)
0.030 (0.76)
0.025 (0.63)
0.025 (0.63)
0.010 (0.25)
0.015 (0.38)
0.040 (1.0)
0.025 (0.63)
0.020 (5.1)
0.035 (0.89)
0.020 (0.51)
0.025 (0.63)
0.040 (1.0)
0.030 (0.76)
0.030 (0.76)
0.030 (0.76)
0.040 (1.0)
0.025 (0.63)
0.025 (0.63)

0.062 (1.6)
0.090 (2.3)
0.093 (2.4)
0.075 (1.9)
0.035 (0.89)
0.062 (1.6)
0.093 (2.4)
0.062 (1.6)
0.062 (1.6)
0.062 (1.6)
0.062 (1.6)
0.080 (2.0)
0.100 (2.5)
0.080 (2.0)
0.062 (1.6)
0.062(1.6)
0.093 (2.4)
0.500 (12.7)
0.062 (1.6)

0.125 (3.2)
0.125 (3.2)
0.250 (6.4)
0.187 (4.7)
0.500
0.125 (3.2)
0.375 (9.5)
0.500 (12.7)
0.250 (6.4)
0.250 (6.4)
0.125 (3.2)
0.300
0.375 (9.5)
0.375 (9.5)
0.250 (7.6)
0.250 (7.6)
0.375 (9.5)
1.500 (38.1)
0.750 (19.1)

Table 1.8 Guide to tolerances of TP extrusion profiles

PVC

Wall thickness (%)

Angle ()

HIPS

PC,
ABS

PP

Rigid

Flexible

LDPE

8
2

8
3

8
3

8
2

10
5

10
5

0.010
0.020
0.025
0.027
0.035
0.037
0.050
0.065
0.093
0.125

0.010
0.015
0.020
0.027
0.035
0.037
0.050
0.065
0.093
0.125

0.007
0.010
0.015
0.020
0.025
0.030
0.045
0.060
0.075
0.093

0.010
0.015
0.020
0.030
0.035
0.040
0.065
0.093
0.125
0.150

0.012
0.025
0.030
0.035
0.040
0.045
0.065
0.093
0.125
0.150

Profile dimensions (in., )

0.007
<0.125
0.012
0.125-0.500
0.017
0.500-1.00
0.025
1.0-1.5
1.5-2.0
0.030
2-3
0.035
3-4
0.050
0.065
4-5
5-7
0.093
7-10
0.125

processes, including contact and casting with no pressure, rarely lend

themselves to tight tolerances. There are exceptions, such as certain reinforced plastics (RPs) that are processed at quite low pressures. Regardless
of the process, exercising appropriate control will maximize the achievable tolerances and increase their repeatability.
For example, certain injection-molded parts can be molded to extremely
close tolerances of less than a thousandth of an inch, or down to 0.0%,
particularly when TPs are filled with additives or when TS compounds
are used. To eliminate shrinkage and provide a smooth surface, one
should use a small amount of a chemical blowing agent (<0.5 wt%) and a
regular packing procedure. For conventional molding, tolerances can be
met of 5% for a part 0.020in. (0.5mm) thick, 1% for 0.050 in. (1.27mm),
0.5% for 1.000 in. (25.4mm), 0.25% for 5.000 in. (127mm), and so on.
Thermosets are generally more suitable than TPs for meeting the tightest
tolerances.
Economical production requires that tolerances are not specified to be
tighter than necessary. However, after a production target is met, one
should mold 'tighter' if possible, for greater profit by using less material.
Table 1.9 reviews factors affecting tolerances. Many plastics change dimensions after molding, principally because their molecular orientations
or molecules are not relaxed. To ease or eliminate the problem, one can
change the processing cycle so that the plastic is 'stress relieved/ even

Table 1.9 Parameters that influence part tolerance

Part design
Material
Mold design

Machine capability

Molding cycle

Part configuration (size/shape). Relate shape to flow of

melt in mold to meet performance requirements that
should at least include tolerances.
Chemical structure, molecular weight, amount and type
of fillers/additives, heat history, storage, handling.
Number of cavities, layout and size of cavities/runners/
gates/cooling lines/side actions/knockout pins/etc.
Relate layout to maximize proper performance of melt
and cooling flow patterns to meet part performance
requirements; pre-engineer design to minimize wear
and deformation of mold (use proper steels); lay out
cooling lines to meet temperature-to-time cooling
rate of plastics (particularly crystalline types).
Accuracy and repeatability of temperature, time, velocity,
and pressure controls of injection unit, accuracy and
repeatability of clamping force, flatness and parallelism
of platens, even distribution of clamping on all tie-rods,
repeatability of controlling pressure and temperature
of oil, oil temperature variation minimized, no oil
contamination (by the time you see oil contamination,
damage to the hydraulic system could have already
occurred), machine properly leveled.
Set up the complete molding cycle to repeatedly meet
performance requirements at the lowest cost by
interrelating material, machine and mold controls.

though that may extend the cycle time, or heat-treat according to the resin
supplier's suggestions.
Shrinkage
One factor in tolerances is shrinkage. Generally, shrinkage is the difference between the dimensions of a fabricated part at room temperature and
the cooled part, usually checked 12-24h after fabrication. Having an
elapsed time is necessary for many plastics, particularly the commodity
TPs, to allow parts to complete their shrinkage behavior. The extent of this
postshrinkage can be almost zero for certain plastics or may vary considerably. Shrinkage can also depend on climatic conditions such as temperature and humidity, under which the part will exist in service, as well as its
conditions of storage.
Plastics suppliers can provide the initial information on shrinkage that
has to be added to the design shape and will influence its processing. The
shrinkage and postshrinkage will depend on the types of plastics and

fillers. Compared to the TPs, the TSs generally have more filler. The type
and amount of filler, such as its reinforcement, can significantly reduce
shrinkage and tolerances.
Inspection
Inspection variations are often the most critical and most overlooked
aspect of the tolerance of a fabricated part. Designers and processors base
their development decisions on inspection readings, but they rarely determine the tolerances associated with these readings. The inspection variations may themselves be greater than the tolerances for the characteristics
being measured, but this can go unnoticed without a study of the inspection method capability.
Inspection tolerance can be divided into two major components: the
accuracy variability of the instruction and the repeatability of the measuring method. The calibration and accuracy of the instrument are
documented and certified by its manufacturer, and the instrument is
periodically checked. Understanding the overall inspection process is extremely useful in selecting the proper method for measuring a specific
dimension. When all the inspection methods available provide an acceptable level of accuracy, the most economical method should be used.
As the overall fabricating tolerance is analyzed into the sources of its
variation components, the potential advantage of analytical programs
comes into play with their ability to process all these factors efficiently. All
the empirical tolerance ranges for each tooling method and inspection
method are stored in data files for easy retrieval. For each critical dimension the program sums all the component tolerances and computes a
overall tolerance for each critical dimension. The program then provides
a tabulated estimate of the achievable processing tolerances and pinpoints
the areas that contribute most to the required overall tolerance. This
information is useful in identifying the needed tolerances, which usually
exceed the initial design tolerances.
Screw plasticating
The screw plasticator is an important device that plasticates or melts
plastic. Many methods are used, but by far the most common is the single
plasticating screw/barrel system. The twin-screw is primarily used in
compounding plastics. The single-screw is used for injection molding,
extrusion and blow molding. A helically flighted, hard steel shaft rotates
within a barrel to process the melt mechanically and to advance it through
a die or into a mold. Screw plasticating systems are reviewed in Chapters
2 and 3. They include the use of two-stage vented or devolatilizing screw
systems.

Intelligent processing
To remain competitive on a worldwide basis, processors must continue to
improve productivity and product quality. What is needed is a way to cut
ineffciency and the costs associated with it. One approach that promises to
overcome these difficulties is called intelligent processing of materials.
This technology utilizes new sensors, expert systems, and process models
that control processing conditions as materials are produced, without the
need for human control or monitoring.
Sensors and expert systems are not new in themselves. What is novel is
the manner in which they are tied together. In intelligent processing, new
nondestructive evaluation sensors are used to monitor the development
of a material's microstructure as it evolves during production in real time.
These sensors can indicate whether the microstructure is developing
properly. Poor microstructure will lead to defects in materials. In essence,
the sensors are inspecting the material online, before the end product is
produced.
Next, the information these sensors gather is communicated, along with
data from conventional sensors that monitor temperature, pressure, and
other variables, to a computerized decision-making system. This decision
maker includes an expert system and a mathematical model of the process. The system then makes any changes necessary in the production
process to ensure the material's structure is forming properly. These
might include changing temperature or pressure, or altering other variables that will lead to a defect-free end product.
There are several significant benefits that can be derived from intelligent processing. There is a marked improvement in overall product
quality and a reduction in the number of rejected products. And the
automation concept that is behind intelligent processing is consistent with
the broad, systematic approaches to planning and implementation being
undertaken by industries to improve quality.
Intelligent processing involves building in quality rather than attempting to obtain it by inspecting a product after it's made. Thus, industry can
expect to reduce post-manufacturing inspection costs and time.
Being able to change manufacturing processes or the types of material
being produced is another potential benefit of the technique. The technology will also help to shorten the long lead time needed to bring new
materials from R&D to mass production. Although much effort has gone
into applying this technology to advanced materials, it also holds promise
in making such conventional materials as steel and cement.
Processing diagrams
The processor setting up a machine, regardless of the type of controls
available, uses a systematic approach that should be outlined in the

Ram pressure

Flash area

Molding
area

Short shot area

Mold temperature
Figure 1.11 Two-dimensional molding area diagram (MAD)
molding ram pressure versus mold temperature.

that plots injection

machine and/or control manuals. Once the machine is operating, the

processor methodically makes one change at a time to determine the
result. Two basic examples are presented to show a logical approach to
evaluating changes made with any processing machine. As the injection
molding machine is very complex with the all controls required to set it
up, these examples refer to the injection molding process.
Figure 1.11 shows what happens when changing mold temperature and
injection (ram) pressure. This molding area diagram (MAD) provides
information on the best combination. Any setting outside the diagram
produces defective molded parts that will not meet the required performances. The size of the diagram shows the latitude available to produce
good parts. However, to mold at the fastest cycle and/or lowest cost, the
machine would be set at the lowest temperature and highest pressure, or
the upper left corner of the diagram. One must be aware that there could
be variations in the material (thermoplastic), basic machine functions,
and/or controls; so even with operation in that corner of the diagram,
defective parts can occur. Unless the original cycles were run with all
these variables at their worst, all parts should be okay. It is statistically
probable that rejects will occur; so one must determine how far away from
optimum and in what directions the molding conditions can deviate and
still provide good parts. If a thermoset were used and a diagram were
developed, its best operation would be at high pressure and high
temperature, or the upper right corner of the diagram. In spite of the

 Ram pressure psi

Figure 1.12 Three-dimensional molding volume diagram (MVD) that plots melt
temperature, mold temperature, and ram pressure.
different shapes developed for a TP and a TS, the approach is similar for
both.
The second example is the use of a three-dimensional diagram (Fig.
1.12). This molding volume diagram (MVD) compares the behavior of a
thermoplastic in the mold based on varying melt temperature, mold temperature, and ram pressure. Thus all parts molded within the volume
produce good parts. To operate with maximum efficiency, one should
plan to operate the machine at the highest possible pressure, the lowest
possible melt temperature, and the lowest possible mold temperature.
This approach can be continued with any controls available in the machine, easier said than done. A costly amount of time will initially be
required, but eventually this becomes second nature so that many
shortcuts can be taken. The fact remains that some logical approach has to
be used to determine the best setting for the machine. Proper record
keeping is vital. With the computer control systems that are available, a
systematic approach can be readily conducted, process parameters can be
stored, and an 'expert system' can be developed.
Selecting a process
The processing information presented throughout this book provides a
variety of useful selection guides. Summary selection guides are provided
in Figs 1.13 and 1.14 as well as Tables 1.10 to 1.14. The most important

PART TO BE FORMED

LARGE PART
OVER 1 sq ft
OVER 5 lbs

OVER 25O0F
THERMOSETS

SMALL PART
LESS THAN 1 tq ft
LESS THAN 5 Ib

UNDER 25O0F
THERMOPLASTICS

LARGE AREA I
LOW-PRESSURE
LAMINATION
FILAMENT WtNDING
COMPRESSION
HIGH-PRESSURE
LAMINATION
POST FORM
ADHESIVE BOND
MACHINE
PULTRUSION

THERMOFORM
FOAM
HEAT SEAL
WELD
ROTOFORM
BLOW MOLD
ADHESIVE BOND
STRUCTURAL
FOAM
RIM

OVER 2SO0F
THERMOSETS

LONG LENGTHS I
EXTRUDE

HIGH VOLUME I
COMPRESSION
TRANSFER
INJECTION
LAMINATION
PULTRUSION

LESS THAN 250F

THERMOPLASTICS

LOW VOLUME

HIGH VOLUME

CASTING
MACHINING
LOW PRESSURE
LAY UP
POST FORM
SPRAY UP
RESINTRANSFER

INJECTION
BLOW MOLD
THERMOFORM
EXTRUSION
ROTOFORM
RIM

Figure 1.13 Guide to process selection.

I LOW VOLUME
MACHINE
THERMOFORM
COMPRESSION
CASTING
ROTOFORM
FOAM
ADHESIVE BOND

TOOL TO BE MADE

PROCESSES

EXTRUSION

INJECTION

HI VOL

BLOW MOLDING

LOW VOL

HI VOL

HI VOL

LOVOL

HI VOL

LOVOL

STEEL
CAST AL
MACHINE
HOBBED
ELECTRO MACH. AL
FORM&
BACK-UP
KIRKSITE

STEEL

AL

AL

AL

BCu

PLASTER

STEEL
(MACH
HOBBED)

ELECTROFORM
& BACK UP

EPOXYFIBERGLAS

FILLED RIM
EPOXY
STEEL
CASTAL
MEHANITE
FILLED
EPOXY

FILLED
EPOXY

THERMO
FORMING

COMP & TRANS.

H, LO
AL WOOD

ROTOFORM

HI VOL

LO VOL

ELECTROFORMED

CASTAL

SHEET
METAL

SPRAY METAL

PLASTER ELECTROFORM
ELECTRO FORM
& BACK-UP
FILLED
EPOXY
FOAM
PROCESS
(NOT STRUCT)
PLASTER

AL
PLASTIC

CASTING

DIPPED METAL
SILICONE
REIN/F
ENCAP
PLASTICS PLASTIC
ELASTOMER DIP METAL
PLASTIC
PLASTIC
AL
(TP OR TS)
WOOD

ELECTROFORM

STEEL

SPRAYED
METAL

ELECTRO FORM
SPRAYED
METAL
ELASTOMER

Figure 1.14 Guide to tool selection.

ELASTOMER

Table 1.10 Molding process guide to plastic materials3

Material
family
ABS
Acetal
Acrylic
AUyI
ASA
Cellulosic
Epoxy
Fluoroplastic
Melamineformaldehyde
Nylon
Phenolformaldehyde
Poly
(amide-imide)
Polyarylether
Polybutadiene
Polycarbonate
Polyester (TP)

Injection

Compres- TransCold
sion
fer
Casting molding Coating

X
X
X

X
X
X

X
X

X
X
X
X

X
X
X

X
X
X

X
X

X
X
X
X

Structural Extru- Lami- Sheet

foam
sion nating forming

X
X

X
X
X

X
X
X
X
X
X
X
X

X
X

X
X
X
X
X

X
X
X
X

RP
Dip
molding Fila- and
RotaFRP
ment slush Blow tional

X
X
X

X
X
X

X
X
X
X
X

X
X

X
X
X

X
X

X
X

X
X

X
X

X
X
X
X

Polyesterfiberglass (TS)
Polyethylene
Polyimide
Polyphenylene
oxide
Polyphenylene
sulfide
Polypropylene
Polystyrene
Polysulfone
Polyurethane
(TS) (TP)
SAN
Silicone
Styrenebutadiene
Ureaformaldehyde
Vinyl
a

Compounding permits using other processes.

Table 1.11 Guide to compatibility of processes and materials

Polyester PET

Polyester PBT

Polystyrene

Polyphenylene oxide

ABS

Polyphenylene sulfide

Polypropylene

Polycarbonate

Nylon-6,6

Nylon-6

Acetal

Thermoplastics

Polyurethane

Epoxy

Polyester BMC

Polyester SMC

Polyester

Thermosets

Injection
molding
Hand layup
Sprayup
Compression
molding
Preform
molding
Filament
winding
Pultrusion
Resin transfer
molding
Reinforced
reaction
injection
molding

processing requirements should be based on the plastic to be processed,

the quantity of the part, its dimensions, and the tolerances. Process selection is a critical step in product design. Failure to select a viable process
during the initial design stages can dramatically increase development
costs and timing. The process can have a significant effect on the performance of the finished part. The following examples are based on material
considered throughout this book.
1. The nature of the process may have a profound influence on a product's mechanical strength.
2. Excessive heat during processing can consume sacrificial heat stabilizers for certain plastics, rendering stabilization levels insufficient to
ensure long life at elevated temperatures. Thermal degradation usually

Table 1.12 General information relating processes and materials to properties of

plastics
Thermosets

Properties

Polyesters
Properties shown
also apply to
some polyesters
formulated for
thermoplastic
processing by
injection molding

Simplest, most versatile,

economical and most widely
used family of resins, having
good electrical properties,
good chemical resistance,
especially to acids

Epoxies

Excellent mechanical
properties, dimensional
stability, chemical resistance
(especially alkalis), low water
absorption, self-extinguishing
(when halogenated), low
shrinkage, good abrasion
resistance, very good
adhesion properties
Good acid resistance, good
electrical properties
(except arc resistance), high
heat resistance
Highest heat resistance, low
water absorption, excellent
dielectric properties, high arc
resistance
Good heat resistance, high
impact strength
Good electrical insulation, low
water absorption

Phenolics

Silicones

Melamines
Diallyl phthalate
Thermoplastics
Polystyrene

Nylon

Polycarbonate

Low cost, moderate heat

distortion, good dimensional
stability, good stiffness,
impact strength
High heat distortion, low water
absorption, low elongation,
good impact strength, good
tensile and flexural strength
Self-extinguishing, high
dielectric strength, high
mechanical properties

Processes
Compression molding
Filament winding
Hand layup
Mat molding
Pressure bag molding
Continuous pultrusion
Injection molding
Sprayup
Centrifugal casting
Cold molding
Comoform3
Encapsulation
Compression molding
Filament winding
Hand layup
Continuous pultrusion
Encapsulation
Centrifugal casting

Compression molding
Continuous laminating
Compression molding
Injection molding
Encapsulation
Compression molding
Compression molding

Injection molding
Continuous laminating
Injection molding
Blow molding.
Rotational molding
Injection molding

Table 1.12 Continued

Thermosets
Styreneacrylonitrile
Acrylics

Vinyls

Acetals

Polyethylene

Fluorocarbons

Polyphenylene
oxide,
modified
Polypropylene

Polysulfone

Properties
Good solvent resistance,
good long-term strength,
good appearance
Good gloss, weather resistance,
optical clarity, and color;
excellent electrical properties
Excellent weatherability,
superior electrical properties,
excellent moisture and
chemical resistance, selfextinguishing
Very high tensile strength
and stiffness, exceptional
dimensional stability, high
chemical and abrasion
resistance, no known room
temperature solvent
Good toughness, light weight,
how cost, good flexibility,
good chemical resistance;
can be 'welded'
Very high heat and chemical
resistance, nonburning,
lowest coefficient of friction,
high dimensional stability
Very tough engineering plastic,
superior dimensional stability,
low moisture absorption,
excellent chemical resistance
Excellent resistance to stress or
flex cracking, very light
weight, hard, scratch-resistant
surface, can be electroplated;
good chemical and heat
resistance; exceptional impact
strength; good optical
qualities
Good transparency, high
mechanical properties, heat
resistance, electrical
properties at high
temperatures; can be
electroplated

Processes
Injection molding
Injection molding
Vacuum forming
Compression molding
Continuous laminating
Injection molding
Continuous laminating
Rotational molding
Injection molding

Injection molding
Rotational molding
Blow molding
Injection molding
Encapsulation
Continuous pultrusion
Injection molding

Injection molding
Continuous laminating
Rotational molding

Injection molding

Comoform is an extension of the cold molding process which utilizes a thermoformed

plastic skin to impart excellent surface to a cold-molded laminate.

3.

4.

5.

6.

7.

produces embrittlement (tests can be conducted to determine the remaining levels).

The slow cooling of crystalline polymers, such as HDPE and PP, can
allow large crystal formations to develop. Such crystals embrittle the
resin and make it prone to stress cracking.
The rapid cooling of certain plastic parts can produce 'frozen-in'
stresses and strains (particularly with injection molding). The stresses
may decay with time, in a viscoelastic manner. However, they will
act like any other sustained stress to aggravate cracking or crazing in
the presence of aggressive media and hostile environments like UV
radiation.
Annealing at temperatures below the Tg (glass transition temperature)
where material becomes leathery is not necessarily beneficial. For
example, annealing a PC greatly accelerates both its crazing and rupture under sustained loading. In general, the annealing of a plastic
lowers its properties; however, its dimensional stability may be
improved. Heating a material to above its Tg relieves the internal
stresses.
Knit or weld lines form where the melt flow during processing meets
after flowing through separate gates in an injection mold or after being
parted by either 'spiders' in an extruder die or bosses in an injection
mold. Because the material is not well mixed in the zone of the knit or
weld line, the seam thus formed can be weak or brittle under long-term
or impact loads. This problem can easily arise with fiber-reinforced
plastics, where 40-60% of their strength can be lost, since fibers fail to
knit together at their seams.
In reinforced plastics, insufficient compaction and consolidation of a
composite before resin cure will produce air pockets, incomplete
wet-out and encapsulation of the fibers, and/or insufficient fiber or
uniform fiber content. These deficiencies lead to loss of strength and
stiffness and susceptibility to deterioration by water and aggressive
agents.

In summary, when considering alternative processes for producing

plastic and composite products, the major concerns usually involve
(1) limitations that may be imposed by the material, because not all materials can be processed by all methods; (2) limitations imposed by the
design, such as the size, single-piece versus multiple-piece construction,
a closed or open shape, and the level of dimensional and tolerance
accuracy required; (3) the number of products required; and (4) the available capital equipment. Certain equipment may already be available
and in use, although it may not necessarily give the lowest production
cost.

Table 1.13 Specific processing methods as a function of part designa

Process

Ribs

Bones

Vertical
walls

Spherical
shape

Box
sections

Thermoplastics
Injection
Injection compression
Hollow injection
Foam injection
Sandwich molding
Compression
Stamping
Extrusion
Blow molding
Twin-sheet forming
Twin-sheet stamping
Thermoforming
Filament winding
Rotational casting
Thermosets
Compression
Powder
Sheet molding compound
Cold-press molding
Hot-press molding

Slides/
cores

Weldable

Good finish,
both sides

Varying
cross section

High-strength sheet
molding compound
Prepreg
Vacuum bag
Hand layup
Injection
Powder
Bulk molding compound
ZMC
Stamping
Reaction injection molding
Resin transfer molding, or
resinject
High-speed resin transfer
molding, or fast resinject
Foam polyurethane
Reinforced foam
Filament winding
Pultrusion
a

Y
N
N
N
Y
Y
Y
N
Y
Y
Y
Y
Y
Y
Y

Y = yes; N = no; N/ A = not applicable.

Table 1.14 Basic processing methods as a function of part design

Part design

Blow
molding

Casting

Compression

Extrusion

Filament
winding

Major shape
characteristics

Hollow
bodies

Simple
configurations

Moldable
in one
plane
Equipment
0.5
(12.7)
0.125
(3.18)
>1
0.01-0.125
(0.25-3.18)
Yesb
NR
Yes
No
Yes
Yes
Yes
Yes

Constant
cross section
profile
Material
6
(150)
0.01-0.125
(0.25-3.18)
NRb
0.001
(0.02)
No
Yes
Yes
Yesd
Yes
Yes
Yes
No

Structure
with surfaces
of revolution
Equipment
3
(76)
0.125
(3.18)
2-3
0.015
(0.38)
No
NR"
Yes
Yes
Yes
Noe
No
No

Equipment
6
(150)
0.01-0.125
(0.25-3.18)
<1
0.005
(0.1)
Yesa
Yes
Yes
Yes
Yes
Yes
Yes
Yes

1-2

1-2

4-5

2-3

0.001

0.005

0.005

0.001

0.005

0.01

Limiting size factor Material

Max. thickness, in.
>0.25
(mm)
(6.4)
Min. inside radius, in. 0.125
(mm)
(3.18)
Min. draft (deg.)
O
Min. thickness, in.
0.01
(mm)
(0.25)
Yes
Threads
Undercuts
Yes
Inserts
Yes
Built-in cores
Yes
Molded-in holes
Yes
Bosses
Yes
Fins or ribs
Yes
Molded in designs
Yes
and numbers
Surface finish8
1-2
Overall dimensional
tolerance ()
0.01
a
Special mold required.
b
Not recommended.
c
Only flexible material.
d
Only direction of extrusion.
e
Possible with special techniques.
f
Fusing premix/yes.
g

Material
None
0.01-0.125
(0.25-3.18)
0-1
0.01-0.125
(0.25-3.18)
Yesa
Yes
Yes
Yes
Yes
Yes
Yes
Yes
2

0.001

Rated 1 to 5 (1 = very smooth. 5 = rough).

Next Page

Injection
Few
limitations

Matched die
molding Rotational

Thermoforming

Moldable Hollow Moldable

in one
bodies
in one
plane
plane
Equipment Material Material
2
0.5
3
(51)
(12.7)
(76)
0.06
0.01-0.125 0.125
(1.5)
(0.25-3.18) (3.18)
1
1
1
0.03
0.02
0.002
(0.8)
(0.5)
(0.05)
No b
Yesc
No a
NR
Yes
Yes
Yes
Yes
NRb
Yes
Yes
Yes
Yes
Yes
No
Yesf
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes

Transfer
compression
Simple
configurations

Wet layup
(contact
molding)

Equipment
6
(150)
0.01-0.125
(0.25-3.18)
1
0.01-0.125
(0.25-3.18)
Yesb
NR
Yes
Yes
Yes
Yes
Yes
Yes

Moldable
in one
plane
Mold size
0.5
(12.7)
0.25
(6.4)
O
0.06
(1.5)
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes

1-3

1-2

4-5

0.01

0.001

0.02

PLASTIC MATERIALS

Previous Page

Introduction
Plastics (polymers, resins, etc.) are organic materials with high molecular
weight, produced by combining highly purified simple molecules under
controlled heat and pressure, frequently in the presence of catalysts, accelerators, or promoters [9]. The profound impact of plastics in all industries
is due to the intelligent application of modern chemistry and engineering
principles that utilized the versatility and vast array of inherent plastic
properties as well as high-speed/low-energy processing techniques. The
result has been the development of cost-effective products that compete
well with conventional and new products of metal, glass, etc.
There are literally hundreds of classes of polymers with about 20 principal classes used in production. New subclasses exist and are always
being created by ingenious combinations of polymers, additives, fillers,
alloying, etc. Development of desired properties for a specific application
depends upon a good understanding of comparative molecular achitectures of candidate polymers; modifications made via additives,
grafting, etc., have created about 17000 processable plastics worldwide.
The following overview points out some plastic features that influence
processing properties and product performance. As shown in Fig. 1.3
(page 4), feedstocks are used to produce monomers. Monomers are chemical compounds consisting of simple molecules having different molecular
structures which can be joined together by polymerization. The result is
to produce a plastic composed of much more complex molecules. A
monomer is the basic material from which plastics are made; it is a simple
molecule capable of reacting with like or unlike molecules to form the
polymer (plastic); it is the smallest repeating structure of a polymer (a
mer). Addition polymers are produced from a monomer that is the original unpolymerized compound. Styrene is a monomer for polystyrene
plastic, vinyl chloride is a monomer for polyvinyl chloride plastic, etc.
Polymerization is a chemical reaction in which the molecules of a
monomer are linked together to form large molecules with a molecular
weight that is a multiple of the molecular weight of the original substance.
When two or more monomers are involved, the process is called copolymerization. The molecular structure of a polymer is determined during its
formation by polymerization; the conditions (temperature, time, monomer concentration, catalyst or initiator concentration, etc.) must therefore
be chosen so that the polymer with the desired structure is obtained. The
repeat unit structure is determined by the choice of monomer, but the
degree of polymerization (DP) depends on polymerization conditions.
The polymer may be contaminated by unreacted monomer or other materials, especially solvent required for polymerization.

Strength

Plastics
Composites / Reinforced Plastics
Wood
Steel
Aluminum
Concrete

Modulus of Elasticity

Plastics
Composites/Reinforced Plastics
Wood
Steel
Aluminum
Concrete

Specific Gravity

Plastics
Composites / Reinforced Plastics
Wood
Steel
Aluminum
Glass
Concrete - Stone

Figure 1.15 A general comparison of different materials.

Plastics commercially provide more types than all the other materials
put together. Many variations are available, providing a wide range of
properties (Figs 1.15 and 1.16). Like other materials, plastics are variously
identified, such as plastics, resins, polymers, elastomers, foams, reinforced
plastics, and composites. The terms polymers, plastics and resins are usually
taken as synonymous. This book treats them as synonymous but there are
technical distinctions. A polymer is a pure unadulterated material that is
usually taken as the family name for a group of materials; a polymer is a
NEAT material (nothing else added to). Pure polymers are seldom used
on their own. The terms plastic or resin are used when additives are
included. Resin tends to be used with thermoset 'plastic' materials.
Elastomers are plastics (or polymers) that are flexible. Reinforced plastics (RPs) or composites are plastics (or resins) with reinforcing additives
such as fibers and whiskers to increase mechanical properties (Chapter
12). Throughout this book these terms are used according to their respective areas of interest.
The term plastics is not a definitive one. Metals, for instance, are also
deformable and are therefore plastic. How else could roll aluminum be
made into foil, or tungsten wire be drawn into filament for an incandescent lightbulb, or a 100 ton ingot of steel be forged into a rotor for an
electric generator?
The term plastics became attached to polymeric materials because they
are capable of being molded or formed, as are clay or plaster. Potters use
wet clay to create their art, although objects are not called plastics. Despite
this seeming contradiction in the use of the term, plastics definitely identifies the materials described in this book and those produced by the worldwide plastics industry.

TOUGH
ABS

NYLON
POLYCARBONATE
ACETAL
POLYPROPYLENE VINYL
POLYETHYLENE DAP
POLYSTYRENE
PHENOLIC ACRYLIC
POLYESTER
BRITTLE
Note: With formulation changes (via additives, fillers, reinforcements, alloying, etc.) position of plastic can move
practically any place in the "pie."
Figure 1.16 A range of mechanical properties for several plastics.

Table 1.15 Types of plastics

Acetal (POM)
Acrylics
Polyacrylonitrile (PAN)
Polymethylmethacrylate (PMMA)
Acrylonitrile butadiene styrene (ABS)
Aery lonitrile / methy lmethacry late
(AMMA)
Acrylonitrile/styrene/acrylate (ASA)
Alkyd
Allyl diglycol carbonate (CR-39)
AUyIs
Diallyl isophthalate (DAIP)
Diallyl phthalate (DAP)
Aminos
Melamine formaldehyde (MF)
Urea formaldehyde (UF)
Carboxymethyl cellulose (CMC)
Casein (CS)
Cellulosics
Cellulose acetate (CA)
Cellulose acetate butyrate (CAB)
Cellulose acetate propionate (CAP)
Cellulose nitrate (CN)
Cellulose plastics, general (CE)
Cellulose propionate (CP)
Cellulose triacetate (CTA)
Ethyl cellulose (EC)
Chlorinated polyether
Cresol formaldehyde (CF)
Epoxy (EP)
Ethylene vinyl acetate (EVA)
Ethylene vinyl alcohol (EVOH)
Fluorocarbons
Ethylene-tetrafluoroethylene
copolymer (ETFE)
Fluorinated ethylene propylene
(FEP)
Polymonochlorotrifluoroethylene
(CTFE)
Polytetrafluoroethylene (PTFE)
Polyvinyl fluoride (PVF)
Polyvinylidene fluoride (PVDF)
Furan
Furan formaldehyde (FF)
Ionomer

Ketone
Liquid crystal polymer (LCP)
Aromatic copolyester (TP polyester)
Melamine formaldehyde (MF)
Nylon (Polyamide) (PA)
Parylene
Phenolic
Phenol formaldehyde (PF)
Phenoxy
Polyallomer
Polyamide (nylon) (PA)
Polyamide-imide (PAI)
Polyarylethers
Polyaryletherketone (PAEK)
Polyaryl sulfone (PAS)
Polyarylate (PAR)
Polybenzimidazole (PBI)
Polycarbonate (PC)
Polyesters
Aromatic polyester (TS polyester)
Thermoplastic polyesters
Crystallized PET (CPET)
Polybutylene terephthalate (PBT)
Polyethylene terephthalate (PET)
Unsaturated polyester (TS
polyester)
Polyetherketone (PEK)
Polyetheretherketone (PEEK)
Polyetherimide (PEI)
Polyimide (PI)
Thermoplastic PI
Thermoset PI
Polymethylmethacrylate (acrylic)
(PMMA)
Polymethylpentene
Polyolefins (PO)
Chlorinated PE (CPE)
Cross-liked PE (XLPE)
High-density PE (HDPE)
Ionomer
Linear LDPE (LLDPE)
Low-density PE (LDPE)
Polyallomer
Polybutylene (PB)
Polyethylene (PE)

Table 1.15 Continued

Polypropylene (PP)
Ultrahigh molecular weight PE
(UHMWPE)
Polyoxymethylene (POM)
Polyphenylene ether (PPE)
Polyphenylene oxide (PPO)
Polyphenylene sulfide (PPS)
Polyurethane (PUR)
Silicone (SI)
Styrenes
Acrylic styrene acrylonitrile (ASA)
Acrylonitrile butadiene styrene
(ABS)
General-purpose PS (GPPS)
High-impact PS (HIPS)
Polystyrene (PS)

Styrene acrylonitrile (SAN)

Styrene butadiene (SB)
Sulfones
Polyether sulfone (PES)
Polyphenyl sulfone (PPS)
Polysulfone (PSU)
Urea formaldehyde (UF)
Vinyls
Chlorinated PVC (CPVC)
Polyvinyl acetate (PVAc)
Polyvinyl alcohol (PVA)
Polyvinyl butyrate (PVB)
Polyvinyl chloride (PVC)
Polyvinylidene chloride (PVDC)
Polyvinylidene fluoride (PVF)
Etc. . . .

Table 1.16 Properties of some plastics

Property
Low temperature
Low cost
Low gravity
Thermal expansion
Volume resistivity
Dielectric strength
Elasticity
Moisture absorption
Steam resistance
Flame resistance
Water immersion
Stress craze resistanceB
High temperature
Gasoline resistance
Impact
Cold flow
Chemical resistance
Scratch resistance
Abrasive wear
Colors

Thermoplastics
TFE
PP, PE, PVC, PS
Polypropylene
methylpentene
Phenoxy glass
TFE
PVC
EVA, PVC, TPR
Chlorotrifluorethylene
Polysulfone
TFE, Pl
Chlorinated polyether
Polypropylene
TFE, PPS, Pl, PAS
Acetal
UHMWPE
Polysulfone
TFE, FEP, PE, PP
Acrylic
Polyurethane
Acetate, PS

Thermosets
DAP
Phenolic
Phenolic / nylon

Epoxy-glass fiber
DAP
DAP, polyester
Silicone
Alkyd-glass fiber
DAP
Melamine
DAP
All
Silicones
Phenolic
Epoxy-glass fiber
Melamine-glass fiberglass
Epoxy
AUyI diglycol carbonate (C-39)
Phenolic-canvas
Urea, melamine

Each plastic has its own distinct or special properties and advantages.
See Tables 1.15 and 1.16 for names and properties typical of plastics. They
fall into two groups: thermoplastics (TPs) and thermosets (TSs). The dividing line between a TP and a TS is not always distinct. For instance,
cross-linked TSs are TPs during their initial heat cycle and before chemical
cross-linking. Others, such as a cross-linked polyethylene (XLPE), are
normally TPs that have been cross-linked either by high-energy radiation
or chemically, during processing.
In addition to the broad categories of TPs and TSs, TPs can be further
classified in terms of their structure, as either crystalline, amorphous, or
liquid crystalline. Other classes include elastomers, copolymers, compounds, commodity resins, and engineering resins. Additives, fillers, and
reinforcements are other classifications that relate directly to plastic properties and performance.
Molecular properties
The size and flexibility of a polymer molecule explain how an individual
molecule would behave if it were completely isolated from its neighbors.
Such isolated molecules are encountered only in theoretical studies on
dilute solutions. In practice, polymer molecules always occur in a mass,
and the behavior of each individual molecule is very greatly affected by its
relationship to adjacent polymer molecules in the mass. These intermolecular relationships between adjacent molecules may be divided into two
groups: intermolecular order which describes the geometrical arrangement of adjacent molecules in space, and intermolecular bonding which
describes the attractive forces between adjacent molecules in the polymeric mass. Together these two relationships modify the simple effects of
molecular size and flexibility, and determine the overall behavior of homogeneous plastic materials.
Polymer science recognizes three distinctly different states of order,
namely amorphous, crystalline, and oriented for TPs. When molecules are
arranged in completely random, intertwined coils, this completely
unordered structure is known as an amorphous state. When they are
neatly arranged so that each of their atoms falls into a precise position in
a tightly packed, repeating, regular structure, the molecules are in a crystalline state. When molecules are stretched into a rather linear conformation and lie fairly parallel to each other in the mass, this partially ordered
structure is described as an oriented state.
Three basic molecular properties of density, average molecular weight,
and molecular weight distribution affect most of the mechanical and
thermal properties essential for processing plastics and obtaining
the required performance of fabricated parts. Small variations in these
basics may improve or impair some of these properties considerably.

Increasing the MW will generally increase a plastic's tensile and

compressive strength. Similarly, copolymerization and alloying can improve a plastic's mechanical properties. Alloys or composite polymers
sometimes contain a weaker polymer, which has an adverse effect on
mechanical properties, but it may be used to increase lubricity or frictional
characteristics.
Put simply, processability is best at low molecular weight (MW),
whereas properties of the finished product are best at high MW. Even
though there are exceptions to this simple rule, it is sufficiently important
to play a major role in the design for practical use, such as (1) the largest
volume of plastic usage is based upon thermoplastic at a constant MW
and this MW is chosen to represent the best compromise between
processability and final part properties; (2) on the other hand, the greatest
variety of plastics and processes, particularly in thermosets, elastomers,
and coatings, start with a low MW for easy processing and convert it into
a high MW for best ultimate properties.
In particular, processability requires an optimum MW for each processing technique that is used. Stretching, orientation, and thermoforming
involve the ability of a plastic film or fiber to withstand high mechanical
stress and permit considerable elongation without failure; they are therefore best at quite high MW. Extrusion in the form of continuous profile
requires sufficient strength so that the molten product coming from the
hot die in the unsupported form will be strong enough to retain its shape
until it is cooled to the point of substantial strength.
When the melt is injection molded, the final product is well supported
on all sides by the cold mold and does not require such a high melt
strength; all that is required is the lowest MW to provide optimum melt
flow in the mold. Coating applications require all of the fluidity of adhesives (using a fairly low MW) but place fewer demands upon quick
strength; they are generally best carried out with a still lower average
MW, most often obtained by the addition of large amounts of monomeric
solvents. Each type of process involves its own optimum MW range for
optimum processability.
Thermoplastics
Thermoplastics (TPs) are resins that repeatedly soften when heated and
harden when cooled (Fig. 1.17 and Table 1.17). Many are soluble in specific solvents and burn to some degree. Their softening temperatures vary
with the polymer type and grade. Care must be taken to avoid degrading,
decomposing, or igniting them. Chemical changes rarely take place during processing. An analogy would be a block of ice that can be softened
(turned back to a liquid), poured into any shape of mold or die, then
cooled to become a solid again. Compared with TSs, TPs generally offer

Thermoplastic:
These plastics become soft when exposed
to sufficient heat and harden when cooled,
no matter how often the process is repeated.

Thermosetting:
The plastics materials belonging to this group
are set into permanent shape when heat and
pressure are applied to them during forming.
Reheating will not soften these materials.

Figure 1.17 Characteristics of thermoplastics (TPs) and thermosets (TSs).

Table 1.17 Melt-processing temperatures for thermoplasticsa

Processing temperature rate
Material
ABS
Acetal
Acrylic
Nylon
Polycarbonate
LDPE
HOPE
Polypropylene
Polystyrene
PVC, rigid
a

180-240
185-225
180-250
260-290
280-310
160-240
200-280
200-300
180-260
160-180

356-464
365-437
356-482
500-554
536-590
320-464
392-536
392-572
356-500
320-365

Values are typical for injection molding and most extrusion

operations. Extrusion
coating is done at higher temperatures
(i.e., about 60O0F for LDPE).

higher impact strength, easier processing, and better adaptability to complex designs.
Most TP molecular chains can be thought of as independent, intertwined strings resembling spaghetti. When heated, the individual chains
slip, causing a plastic flow. Upon cooling, the chains of atoms and molecules are once again held firmly. With subsequent heating the slippage
again takes place. There are practical limitations to the number of heating
and cooling cycles before appearance or mechanical properties are
affected.
Thermosets
Thermosets (TSs) are resins that undergo chemical change during processing to become permanently insoluble and infusible (Figs 1.18 and 1.19)
Figure 1.18 shows viscosity change during the processing of TSs. The Bstage represents the start of the heating cycle that is followed by a chemical reaction (cross-linking) and solidification of the plastics. Also used in
the TS family are such natural and synthetic rubbers (elastomers) as latex,
nitrile, millable polyurethanes, silicone butyl, and neoprene, which attain
their properties through the process of vulcanization. The best analogy
with TSs is that of a hard-boiled egg whose yolk has turned from a liquid
to a solid and cannot be converted back to a liquid. In general, with their
tightly cross-linked structure, TSs resist higher temperatures and provide
greater dimensional stability than most TPs.

VISCOSITY

CONSTANT
TEMPERATURE

MELTING

X-LINKING

TIME

COMPOUNDING
("B" STAGING)
(MOLDING)
Figure 1.18 Thermoset viscosity during temperature rise.

Similar to TPs, TSs have a chainlike structure. Before molding, TSs

resemble TPs. Cross-linking is the principal difference between TSs and
TPs. During curing or hardening of TSs the cross-links are formed between adjacent molecules, producing a complex, interconnected network
that can be related to its viscosity and performance (Figs 1.18 and 1.19).
These cross-bonds prevent the slippage of individual chains, thus preventing plastic flow under the addition of heat. If excessive heat is added
after cross-linking has been completed, degradation rather than melting
will occur.
TSs on their own can seldom be used as structural components; they
must, be filled or reinforced with materials such as calcium carbonate,
talc, or glass fiber. The most common reinforcement is glass fiber, but
others are also used.
Curing may be defined as changing the properties of resin or rubber
formulations by chemical reaction. This is usually accomplished by the
action of heat under varying conditions of pressure. Although the term
cure is used in connection with thermosets and TS rubbers, it is also
applied to thermoplastics; this usage is incorrect since no chemical reaction occurs in thermoplastics.

Mechanical property

Elastic modulus

Strength

Stress-intensity factor

Distance between cross-links

Figure 1.19 The effect of distance between TS cross-linked sites on compressive
properties.

A-, B- and C-stages

The various stages of a catalyzed thermoset plastic are known as Astage, B-stage, and C-stage. A-stage material is still soluble in certain
liquids and is fusible. B-stage material softens when heated and swells
when in contact with certain liquids, but does not fully fuse or dissolve.
Thermoset molding compounds and prepregs are examples of B-stage
materials. C-stage plastic is fully cured; it is relatively insoluble and infusible. A-stage is uncured, B-stage is partially cured, and C-stage is fully
cured.

Properties influencing processes

Structure and morphology
In addition to the size of the molecules and their distribution, the shapes
or structures of individual polymer molecules also play an important role
in determining the properties and processability of plastics. Some are
formed by aligning themselves into long chains of molecules, others with
branches or lateral connections to form complex structures. All these
forms exist in either two or three dimensions. Because of the geometry, or
morphology, of these molecules some can come closer together than
others. These are identified as crystalline, all others as amorphous.
Morphology influences mechanical properties, thermal properties, swelling and solubility, specific gravity, chemical properties, and electrical
properties.
The morphology of polymers is concerned with the shape, arrangement, and function of crystals alone or embedded in the solid. Polymers
are either truly homogeneous, amorphous solids or heterogeneous,
semicrystalline solids. Polymer morphology or structure dramatically
affects processability and product performance. The structure of an
amorphous material is characterized by the absence of a regular threedimensional arrangement of molecules that are large compared to atomic
dimensions, i.e., there is no long-range order. However, due to the close
packing of the particles in the condensed state, certain regularity of the
structure exists on a local scale.
The structure is not static, it is subject to thermally driven fluctuations.
The local structure changes continuously as a function of time due to
orientational and translational molecular motions. The timescale of these
motions may range from nanoseconds up to several hundred years.
This behavior of morphology occurs with TP but not TS plastics. When
TSs are processed, their individual chain segments are strongly bonded
together during a chemical reaction that is irreversible.

Crystalline and amorphous plastics

Plastic molecules that can be packed closer together can more easily form
crystalline structures in which the molecules align themselves in some
orderly pattern. During processing they tend to develop higher strength
in the direction of the molecules. Since commercially perfect crystalline
polymers are not produced, they are technically identified as semicrystalline TPs, but in this book they are called crystalline (as used by the
plastics industry).
Amorphous TPs, which have their molecules going in all different
directions, are normally transparent. Compared to crystalline types, they
undergo only small volumetric changes when melting or solidifying
during processing. Tables 1.18 to 1.22 compare the basic performance
of crystalline and amorphous plastics. Exceptions exist, particularly
with respect to the plastic compounds that include additives and
reinforcements.
As symmetrical molecules come within a critical distance of each other,
crystals begin to form in the areas where they are most densely packed. A
crystallized area is stiffer and stronger, a noncrystallized (amorphous)
Table 1.18 General morphology of thermoplastics
Crystalline
No
Excel
No
High
High
Low
Yes
Yes

Amorphous
Transparent
Chemical resistance
Stress-craze
Shrinkage
Strength
Viscosity
Melt temperature
Critical T/Tb

Yes
Poor
Yes
Low
Low3
High
No
No

a
Major
b

exception is PC.
T/T = Temperature/time.

Table 1.19 Distinctive characteristics of polymers

Crystalline
Sharp melting point
Usually opaque
High shrinkage
Solvent resistant
Fatigue/wear resistant

Amorphous
Broad softening range
Usually transparent
Low shrinkage
Solvent sensitive
Poor fatigue/wear

Table 1.20 Examples of crystalline (semicrystalline) and amorphous TPs

Crystalline
Acetal (POM)
Polyester (PET, PBT)
Polyamide (nylon) (PA)
Fluorocarbons (PTFE, etc.)
Polyethylene (PE)
Polypropylene (PP)

Amorphous
Acrylonitrile-butadiene-styrene (ABS)
Acrylic (PMMA)
Polycarbonate (PC)
Modified polyphenylene oxide (PPO)
Polystyrene (PS)
Polyvinyl chloride (PVC)

Table 1.21 Examples of key properties for engineering TPs

Crystalline
Acetal
Best property balance
Stiffest unreinforced thermoplastic
Low friction
Nylon
High melting point
High elongation
Toughest thermoplastic
Absorbs moisture
Glass reinforced
High strength
Stiffness at elevated temperatures
Mineral reinforced
Most economical
Low warpage
Polyester (glass reinforced)
High stiffness
Lowest creep
Excellent electrical properties

Amorphous
Polycarbonate
Good impact resistance
Transparent
Good electrical properties
Modified PPO
Hydrolytic stability
Good impact resistance
Good electrical properties

area tougher and more flexible. Increased crystallinity causes other

effects. Polyethylene exhibits increased resistance to creep, heat, and
stress cracking as well as increased mold shrinkage.
A polymeric solid can be partially crystalline, such as polyethylene
and polyethylene terephthalate, or noncrystalline, such as commercial
poly methyl methacrylate (PMMA) and polystyrene. Partially crystalline
polymers, called crystalline polymers, are constructed by a complicated

Table 1.22 General properties of TPs during and after processing

Property
Melting or softening
Density (for the
same material)
Heat content
Volume change on
heating
After-molding shrinkage
Effect of orientation
Compressibility

Crystalline*

Amorphous*

Fairly sharp melting

point
Increases as crystallinity
increases
Greater
Greater

Softens over a range of

temperature
Lower than for
crystalline material
Lower
Lower

Greater
Greater
Often greater

Lower
Lower
Sometimes lower

Typical crystalline plastics are polyethylene, polypropylene, nylon, acetals, and thermoplastic polyesters.
Typical amorphous plastics are polystyrene, acrylics, PVC, SAN, and ABS.

aggregation of crystalline and amorphous regions. In the amorphous

region the molecular chains are in a conformationally random state.
Crystalline plastics are generally more difficult to process. They require
more precise control during fabrication, they have higher melting temperatures and melt viscosities, and they tend to shrink and warp more
than amorphous plastics. They have a relatively sharp melting point, i.e.,
they do not soften gradually with increasing temperature but remain hard
until a given quantity of heat has been absorbed, then change rapidly into
a Iow-viscosity liquid. If the amount of heat is not applied properly during
processing, product performance can be drastically reduced or there may
be an increase in processing costs. This is not necessarily a problem,
because the qualified processor will know what to do. Amorphous plastics soften gradually as they are heated, but during molding they do not
flow as easily as crystalline materials.
Processing conditions influence the performance of plastics. For example, heating a crystalline material above its melting point then quenching
it can produce a polymer that has a far more amorphous structure. Its
properties can be significantly different than if it is cooled properly
(slowly) and allowed to recrystallize, so it becomes amorphous. The effects of time are similar to those of temperature in the sense that any given
plastic has a preferred or equilibrium structure in which it would prefer to
arrange itself. However, it is prevented from doing so instantaneously or
at short notice. If given enough time, the molecules will rearrange themselves into their preferred pattern. Heating causes this to happen sooner,
perhaps accompanied by severe shrinkage and property changes in all
directions in the processed plastics. This characteristic morphology of

plastics can be identified by tests. It provides excellent control as soon as

material is received in the plant, during processing and after fabrication
[3].
Liquid crystalline polymers
Liquid crystalline polymers (LCPs) are best thought of as being a separate,
unique class of TPs. Their molecules are stiff, rodlike structures organized
in large parallel arrays or domains in both the melted and solid states.
These large, ordered domains provide LCPs with characteristics that are
unique compared to those of the basic crystalline or amorphous plastics
(Table 1.23).
Unlike many high-temperature plastics, LCPs have a low melt viscosity
and are thus more easily processed, and in faster cycle times, than those
with a high melt viscosity. They have the lowest warpage and shrinkage
of all the TPs. When they are injection molded or extruded, their molecules align into long, rigid chains that in turn align in the direction of
flow, acting like reinforcing fibers and giving LCPs their high strength
and stiffness. As the melt solidifies during cooling, the molecular orientation freezes into place. The volume changes only minutely, with virtually
no frozen-in stresses.
Molded parts experience very little shrinkage or warpage in service.
They have high resistance to creep. Their fiberlike molecular chains tend
to concentrate near the surface, producing parts that are anisotropic,
meaning they have greater strength and modulus in the flow direction,
typically on the order of 3-6 times those of the transverse direction.
However, adding fillers or reinforcing fibers to LCPs significantly reduces
their anisotropy, more evenly distributing strength and modulus, even
Table 1.23 General properties of crystalline, amorphous, and liquid crystalline
polymers
Property
Specific gravity
Tensile strength
Tensile modulus
Ductility, elongation
Resistance to creep
Max. usage temperature
Shrinkage and warpage
Flow
Chemical resistance

Crystalline

Amorphous

Liquid
crystalline

Higher
Higher
Higher
Lower
Higher
Higher
Higher
Higher
Higher

Lower
Lower
Lower
Higher
Lower
Lower
Lower
Lower
Lower

Higher
Highest
Highest
Lowest
High
High
Lowest
Highest
Highest

boosting them. Most fillers and reinforcements also reduce overall cost
and place mold shrinkage to almost zero. Consequently, parts can be
molded to tight tolerances. These low melt viscosity LCPs thus permit the
design of parts with long or complex flow paths and thin sections.
Elastomers
An elastomer may be defined as a natural or synthetic material that
exhibits the rubberlike properties of high extensibility and flexibility.
Although the term rubber originally meant the TS elastomeric material
obtained from the rubber tree (Hevea brasiliensis), it now identifies any
thermoset elastomer (TSE) or thermoplastic elastomeric (TPE) material.
Synthetics such as neoprene, nitrile, styrene butadiene, and butadiene are
grouped with TS natural rubber.
They may be formulated to produce rubbers with certain characteristic
properties, including high resilience; high tensile strength and elongation;
resistance to tear, flexing, freezing, and abrasion; and low permanent set.
Elastomer composition can range from relatively uncomplicated homopolymer elastomers such as TS natural rubber to very complex
multimonomer copolymers, EPDM elastomers.
Elastomers are generally lower-modulus flexible materials that can be
stretched repeatedly to at least twice their original length at room temperature, but will return to their approximate original length when the
stress is released. TS elastomeric or rubber materials will always be required to meet certain desired properties, but TPEs are replacing traditional TS natural and synthetic rubbers. TPEs are also widely used to
modify the properties of rigid TPs, usually by improving their impact
strength. TPEs offer a combination of strength and elasticity as well as
exceptional processing versatility. They present creative designers with
endless new and unusual product opportunities. More than 100 major
groups of TPEs are produced worldwide, with new grades continually
being introduced to meet different electrical, chemical radiation, wear,
swell, and other requirements.
Previous work concerning polymerization reactions produced polymers that in turn were heated via processing to produce products. With
natural rubber (TS) vulcanization is used to provide their high strengths
and other properties. These materials forcibly retract approximately to
their original shape after a large mechanical deformation. Vulcanization
can be defined as a process that increases the retractive force and reduces
the amount of permanent deformation remaining after removal of the
deforming force. Thus, vulcanization increases elasticity and decreases
plasticity. It is generally accomplished by the formation of a cross-linked
molecular network.

Important characteristics related to the vulcanization process are the

time elapsed before cross-linking starts, the rate of cross-link formation,
and the extent of cross-linking at the end of the process to complete the
cure. There must be sufficient delay or scorch resistance (resistance to
premature vulcanization) to permit mixing, shaping, forming, and flowing in the mold. Then the formation of cross-links should be rapid and the
extent of cross-linking must be controlled.
Quite large elastic strains are possible with minimal stress in TPEs;
these TPEs are the synthetic rubbers. TPEs have two specific characteristics: their glass transition temperature (Tg) tends to be below their usage
temperature and their molecules are highly kinked, as in natural TS rubber (isoprene). When a stress is applied, the molecular chain uncoils and
the end-to-end length can be extended several hundred percent, with
minimum stresses. Some TPEs have an initial modulus of elasticity of less
than 10 MPa (ISOOpsi); once the molecules are extended, the modulus
increases.
The modulus of metals decreases with an increase in temperature. The
opposite is true of stretched TPEs because at higher temperatures there is
increasingly vigorous thermal agitation in their molecules. Therefore, the
molecules more strongly resist the tension forces attempting to uncoil
them. To resist requires greater stress per unit of strain, so the modulus

Elastic Limit (Percent)

Figure 1.20 Strength and elasticity of different materials.

increases with temperature. When stretched into molecular alignment

many rubbers can form crystals, an impossibility when they are relaxed
and kinked.
To date, with the exception of vehicle tires, TPEs have been replacing TS
rubbers in virtually all applications. Unlike natural TS rubbers, most TPEs
can be reground and reused, thereby reducing overall cost. The need to
cure or vulcanize them is eliminated, reducing cycle times, and parts can
be molded to tighter tolerances. Most TPEs can be colored, whereas natural rubber is available only in black. TPEs also weigh 10-40% less than
rubbers.
TPEs range in hardness from as low as 25 Shore A up to 82 Shore D
(ASTM test). They span a temperature range of -34 to 1770C (-29 to
35O0F), dampen vibration, reduce noise, and absorb shock (Fig. 1.20).
However, designing with TPEs requires care; unlike TS rubber, which is
isotropic, TPEs tend to be anisotropic during processing and injection
molding. Tensile strengths in TPEs can vary as much as 30-40% with
direction.
Copolymers
Polymer properties can be varied during polymerization. The basic
chemical process is carried out at the resin company, during which the
polymer is formed under the influence of heat, pressure, a catalyst, or a
combination thereof, inside vessels or tubular systems called reactors.
One special form of property variation involves the use of two or more
different monomers as comonomers, copolymerizing them to produce
copolymers (two comonomers) or terpolymers (three monomers). Their
properties are usually intermediate between those of homopolymers,
which may be made from the individual monomers, and sometimes superior or inferior to them. (A polymer such as polyethylene is formed from
its monomer ethylene, polyvinyl chloride polymer from its vinyl chloride
monomer, and so on.)
Compounds and additives
Since the first cellulosic was produced in 1868, there has been as ever
growing demand for specially compounded plastics. Using a postreactor
technique, resins can be compounded by alloying or blending polymers,
using colorants, flame retardants, heat or light stabilizers, lubricants, and
so on, and adding fillers and reinforcements, or a combination thereof.
The resulting reinforced compounds are usually called reinforced plastics
(RPs) or composites (Fig. 1.21).
In compounding, a polymer is modified physically and chemically by
additives that change its properties. For example, the incorporation of
glass fibers improves impact strength, and the incorporation of a pigment

Plastic Composition

Additives
Plastic

Fillers
Reinforcements

Interplay Between
Composite Constituents
Plastic

Reinforcing
Medium

The
Interface

Figure 1.21 Composition of plastics.

imparts color. The ways in which a polymer can be modified are manifold;
consequently, a polymer is usually available from the compounder in a
wide range of grades. These grades provide a plethora of material choices
from which to make products.
Compounding also embraces the physical mixing of two or more polymers to form blends. Blends may be miscible, e.g., polyphenylene oxide in
polystyrene, or immiscible, e.g., polyurethane in polyoxymethylene.
The importance of compounding to the plastics industry cannot be
overstated. A particular goal can be reached by employing various polymers, additives, compounding processes, and a variety of routes. The
compounding line may be arranged in several ways; it involves many
operations, each of which can be executed on more than one specific piece
of equipment. This offers numerous choices, the best of which is frequently the simplest.
The precise quantity of additive is very important to ensure the required properties. To this end, the ingredients must be precisely weighed
before compounding, using scales in a batch operation, a weight-belt
feeder or continuous weighing (or metering) for direct additions to a
continuous process. The choice is not solely a technical matter, because the
economics of the process, available equipment, and workloads must also

be considered. Processing equipment includes nonintensive mixers,

medium-intensity mixers, and intensive-fluxing mixers.
Additives are a diverse group of speciality materials. They may be
added to plastic formulations or to the surfaces of finished products
(Chapter 17). Sometimes they are added by the material supplier before
the formulation is processed, sometimes they are added by the processor.
Among the additives used as processing aids are blowing (or foaming)
agents, organic peroxides, mold-release agents, and lubricants. Additives
intended to improve properties of fabricated goods include antimicrobial,
antioxidants, antistatic agents, colorants, flame retardants, impact modifiers, and ultraviolet light stabilizers. Some additives, such as plasticizers
and heat stabilizers, enhance both processability of plastic resins and the
properties of finished products made from them.
Others include antiblocking agents, antifoaming agents, antifogging
agents, antistatic agents, biocides, coupling agents, curing agents, lowprofile additives, mold-release agents, odorants, slip agents, urethane
catalysts, viscosity-control agents.
Each additive can provide special characteristics. The primary role of
plasticizers is to increase the flexibility, softness, and extensibility of inherently rigid thermoplastic resins, thermosetting resins, rubbers, coatings,
and other compositions. Secondary benefits include improved melt
processability, greater impact resistance, and depressed brittle point. The
performance benefits obtained from plasticizer additives can be offset by
unwanted effects, including reduced tensile strength, lowered heat distortion temperature, increased flammability, and the occurence of plasticizer
volatilization and permanence problems.
Plasticizers can also function as vehicles for plastisols (liquid dispersions of resins which solidify upon heating) and as carriers for pigments
and other plastics additives. Some offer synergistic heat and light stabilization or flame retardance.
Colorants
Plastics can be colored by dyes and inorganic and organic pigments. Dyes
soluble under the conditions of use must be completely dissolved, leaving
no color streaks and little or no haze. Pigments are insoluble and consist
of particles that must be dispersed by physical means.
Dispersion of a dry pigment into a liquid vehicle or molten plastic takes
place in two steps: the pigment agglomerates are first broken up into
much smaller particles; the air is then displaced from the particle surfaces
to obtain a complete pigment-vehicle interface.
TPs are completely polymerized, and are processed, i.e., colored, at or
near their melting points. Scrap may be reground and remolded. TS resins

are only partially polymerized when the colorants are incorporated.

Polymerization is completed when the resin is processed. The result is
a nonmeltable cross-linked plastic that cannot be reworked. For these
plastics, it is customary to incorporate colorants into the less/reactive
ingredient.
A reaction may occur between a plastic and a colorant at processing
temperatures. More often allowance must be made for thermal stability
and additives, such as antioxidants, flame retardants, ultraviolet light
absorbers, and fillers. The final use of the resin often indicates the selection
of colorant. Colorants need to be evaluated for later processing conditions
in view of the subsequent fate of the fabricated parts.
Alloys and blends
Alloys are combinations of polymers that are mechanically blended. They
do not depend on chemical bonds, but they often require special
compatibilizers. Plastic alloys are usually designed to retain the best characteristics of each constituent. Most often the property improvements are
in areas such as impact strength, weather resistance, improved low-

Synergistic effect

Property

Additive effect

Antisynergistic effect

Figure 1.22 Compounding aims for synergistic effects.

Notched izod impact strength, ft-lb/inch

PVC/ABS ratio
Figure 1.23 How alloying may produce synergistic gains. The curves in this graph
reflect four different poly blends.

temperature performance, and flame retardation (Figs 1.22 to 1.25 and

Tables 1.24 to 1.26)
The classic objective of alloying and blending is to find two or more
polymers whose mixture will have synergistic property improvements
beyond those that are purely additive in effect (Figs 1.22 and 1.23). Among
the techniques used to combine dissimilar polymers are cross-linking, to
form what are called interpenetrating networks (IPNs), and grafting, to
improve the compatibility of the resins. Grafting two dissimilar plastics
often involves a third plastic whose function is to improve the compatibility of the principal components. This compatibilizer material is a grafted
copolymer that consists of one of the principal components and is similar
to the other component. The mechanism is similar to having soap improve
the solubility of a greasy substance in water. The soap contains components that are compatible with both the grease and the water.

ACRYLONITRILE

STRENGTH
CHEMICAL RESISTANCE
NBR

AGING
RESISTANCE
HEAT RESISTANCE
CHEMICAL RESISTANCE
TENSILE STRENGTH

CHEMICAL RESISTANCE
ABRASION RESISTANCE
HARDNESS
SAN

ABS

TOUGHNESS
LOW-TEMPERATURE
PROPERTY RETENTION
IMPACT STRENGTH

LUSTER
MOLDABILITY
STRENGTH
RIGIDITY

SBR
STRENGTH

BUTADIENE

STRYENE

Figure 1.24 ABS terpolymer properties may be influenced by individual constituent polymer properties.

Unmodified resin
Plastic
Polypropylene
Polystyrene
Impact styrene (alloy)
ABS
ABS/PVC (alloy)
ABS/Polycarbonate (alloy)
Rigid PVC
PVC/acrylic (alloy)
Polyphenyleneoxide (Noryl)
Polycarbonate

Cost index

Alloy

Yield strength index

Impact strength index

Polysulfone
Polysulfone/ABS (alloy)
Figure 1.25 Different plastics can be combined to provide cost-to-performance
improvements.

Table 1.24 Upgrading PVC by alloying and blending

Upgraded property

Blending polymer

Impact resistance

ABS, methacyrylate-butadiene-styrene, acrylics,

polycaprolactone, polyimide, polyurethanes,
PVC-ethyl acrylate
ABS, methacyrylate-butadiene-styrene,
polyurethanes, ethylene-vinyl acetate
Styrene-acrylonitrile, polyurethanes,
polyethylene, chlorinated polyethylene,
copolyester
Styrene-acrylonitrile, methacrylate-butadienestyrene
ABS, methacyrylate-butadiene-styrene,
polyimide, polydimethyl siloxane
Styrene-acrylonitrile, methacrylate-butadienestyrene, chlorinated polyethylene, PVC-ethyl
acrylate, ethylene-vinyl acetate, chlorinated
polyoxymethylenes (acetals)
Acrylics, polycaprolactone
Polycaprolactone, polyurethanes, nitrile rubber,
ethylene-vinyl acetate, copolyester,
chlorinated polyoxymethylenes (acetals)
Acrylics, polymide
Acrylics
Nitrile rubber, ethylene-vinyl acetate
Ethylene-vinyl acetate

Tensile strength
Low-temperature toughness
Dimensional stability
Heat-distortion temperature
Processability

Moldability
Plasticization
Transparency
Chemical /oil resistance
Toughness
Adhesion

Table 1.25 Outstanding properties of some commercial plastic alloys

Alloy
PVC/acrylic
PVC/ABS
Polycarbonate /ABS
ABS/ poly sulf one
Polypropylene / ethy lenepropylene-diene
Polyphenylene oxide /polystyrene
Styrene acrylonitrile/olefin
Nylon / elastomer
Polybutylene terephthalate/
polyethylene terephthalate
Polyphenylene sulfide/ nylon
Aery lie/ polybutylene rubber

Properties
Flame, impact, and chemical resistance
Flame resistance, impact resistance,
processability
Notched impact resistance, hardness, heatdistortion temperature
Lower cost
Low-temperature impact resistance and
flexibility
Processability, lower cost
Weatherability
Notched Izod impact resistance
Lower cost
Lubricity
Clarity, impact resistance

Table 1.26 Plastic blends with advantages and applications

System
PVC-ABS

PVC-acrylic
PVC-chlorinated PE
PC-ABS

PSF-ABS

PC-PE
PC-PET
PC-PBT
PET-PMMA
PC-SMA

PP-EPDM

PE-ethylene
copolymers
Nylon-ethylene
copolymers

Property advantages
Better processibility and
toughness than PVC,
better fire retardance
than ABS
Impact-modified, similar to
PVC-ABS
Better impact than PVC
Better toughness and HDT
than ABS, better
processibility and lower
cost than PC
Similar to PC-ABS,
composition can be
electroplated, lower cost
than polysulfone (PSF)
Better flow and energy
absorption than PC
Better chemical resistance
and processibility and
lower cost than PC
Better solvent resistance
and processibility than
PC
Lower cost than PMMA,
lower warp and shrink
than PET
Impact-modified, better
toughness and ductility
than SMA, better
retention of properties
upon aging at high
temperature and lower
cost than PC
Better impact and
toughness than PP
Better chemical resistance,
impact, and toughness
than PE
Better toughness and
impact

Applications
Mass-transit interiors,
appliance housings
Mass-transit interiors,
appliance housings
Pipe and siding
Appliance and businessmachine housings,
automotive
components
Plumbing fixtures,
food-service trays,
appliances
Automotive
applications
Tubing, auto bumpers,
business-machine
housings
Tubing, auto bumpers,
business-machine
housings
Electrical and electronic
applications
Automotive
applications,
appliances, cookware

Wire and cable

insulation, auto
bumpers, hose and
gaskets
Film
Transport containers,
sports equipment

Reactive polymers
A reactive polymer is simply a device to alloy different materials by
changing their molecular structure inside a compounding machine. True
reactive alloying induces an interaction between different phases of an
incompatible mixture and assures the stability of the mixture's morphology. The concept is not new; this technology is now capable of producing
thousands of new compounds to meet specific design requirements. The
relatively low capital investment associated with compounding machinery (usually less than $1 million for a line, compared with many millions
for a conventional reactor), coupled with a processing need for small
amounts of tailored materials, now allows small and mid-sized compounding companies to take advantage of it.
A variety of reactive alloying techniques are now available to the
compounder. They typically involve the use of a reactive agent or
compatibilizer to bring about a molecular change in one or more of the
blend's components, thereby facilitating bonding. They include the grafting process mentioned earlier and copolymerization interactions, whereby a functional material is built into the polymer chain of a blend
component as a comonomer, with the resultant copolymer then used as a
compatibilizer in ternary bonds, such as a PP-AA copolymer that bonds
polypropylene and acrylic acid. Another technique is to use solvent-based
interactions of materials such as polycaprolactone, which is miscible in
many materials and exhibits strong polarity, as well as hydrogen bonding,
using the simple polarity of alloy components.
The manufacture of products made from plastics traditionally involved
two operations: reaction and processing. Polymerization reactors made
monomer molecules into polymer (plastic) molecules. Processing equipment fabricated the plastic molecules into shaped products.
Reactive processing combines these two operations by conducting polymerization and polymer (plastic) modification reactions in processing
equipment. This type of processing can be done by reactive extrusion
(REX) and injection molding (Chapter 3).

Reinforced plastics and composites

Reinforced plastics (RPs) or composites hold a special place in the design
and manufacturing industry because they are quite simply unique materials (Fig. 1.26). During the 1940s reinforced plastics (or low-pressure
laminates, as they were then commonly known) were easy to identify. The
basic definition then, as now, is simply that of a plastic reinforced with
either a fibrous or nonfibrous material.
What essentially characterizes RPs is their ability to be molded into
extremely small but also large shapes well beyond the basic capabilities of

Tensile Yield Stress, psi x 10

Composite and Engineered Plastics

Typical Steel

Commodity Plastics

Temperature, F
Figure 1.26 Guide to maximum short-term tensile stress versus temperature.

other processes, at little or no pressure. Also, there are instances in which

less heat is required (Chapter 12). Consequently, RPs went by the name
low-pressure laminates.
In the past, the term high-pressure laminates was reserved for TS
melamine- and phenolic-impregnated papers or fabrics compressed under high pressures (about 13.8-34.5MPa, 2000-5000 psi) and heated to
form either decorative laminates (e.g., Formica and Micarta) or industrial
laminates for electrical and other industries.
By the early 1960s, the processing of RPs had begun to involve higher
pressures, and 'low-pressure laminates' was dropped in favor of RPs. But
even then, the name referred primarily to reinforced TSs and encompassed specialized RP molding processes.
By 1970 major changes had occurred. Reinforcements other than glass
fiber were in use and TPs as well as TSs were being reinforced in volume.
The application of RTS and RTP methods of processing began to increase,
using conventional processing techniques like injection molding and rotational molding. By this time the industry required a more inclusive term
to describe RPs, so composite was added. (For some of the different
composites that exist see Table 1.27). The fiber reinforcements included
higher-modulus glasses, carbon, graphite, boron, and aramid (Du Pont's
Kevlar aramid is the strongest synthetic fiber in the world, five times as

Table 1.27 Comparison of theoretically possible and actual values of fibers (1944
data)
Modulus of elasticity

Type of material

Theoretical,
Nmm~2
(kpsi)

Polyethylene

300000

Polypropylene

(43500)
50000

Polyamide-66

(7250)
160000

Glass

(23200)
80000

Steel

(11600)
210000

Aluminum

(30400)
76000
(11000)

Fiber, Nonfiber,
N mm"2 Nmm~2
(kpsi)
(kpsi)
100000
(33%)a
(14500)
20000
(40%)
(2900)
5000
(3%)
(725)
80000
(100%)
(11600)
210000
(100%)
(30400)
76000
(100%)
(11000)

1000
(0.33%)
(145)
1600
(3.2%)
(232)
2000
(13%)
(290)
70000
(87.5%)
(10100)
210000
(100%)
(30400)
76000
(100%)
(11000)

Tensile strength
Theoretical,
Nmm~2
(kpsi)
27000
(3900)
16000
(2300)
27000
(3900)
11000
(1600)
21000
(3050)
7600
(1100)

Fiber, Nonfiber,
N mm"2 N mm"2
(kpsi)
(kpsi)

1500
(5.5%)
(218)
1300
(8.1%)
(189)
1700
(6.3%)
(246)
4000
(36%)
(580)
4000
(19%)
(580)
800
(10.5%)
(116)

30
(0.1%)
(4.4)
38
(0.24%)
(5.5)
50
(0.18%)
(7.2)
55
(0.5%)
(8.0)
1400
(6.67%)
(203)
600
(7.89%)
(87)

For an experimental value the percentage of the theoretically calculated value is given in
parentheses, e.g. (33%).
strong as steel on an equal-weight basis). Plastics include use of the heatresistant TPs: the polimides, polyamide-imide, and so on [3, 4].
Commodity and engineering plastics

About 90% of plastics (by weight) can be classified as commodity resins;

the others are engineering plastics. The five commodities of LDPE, HDPE,
PP, PVC, and PS account for about two-thirds of all the resins consumed.
The engineering resins - nylon, PC, acetal, and so on - are characterized
by improved performance in higher mechanical properties, better heat
resistance, higher impact strength, and so forth. Thus, they demand a
higher price. There are commodity resins with certain reinforcements
and/or alloys with other resins that put them into the engineering category. Many TSs are engineering resins.

Multilayer materials
All materials (plastics, metals, glass, wood, paper, etc.) have certain
strengths and weaknesses, advantages and disadvantages. Two or more
materials can often be layered and combined to overcome weaknesses
economically. Multilayer materials, made via coinjection, coextrusion,
blow molding and other processes (Chapters 2, 3, 4), provide better
strength and improve on other properties of any single plastic. Improvements may be gas barriers, clarity, use of recycled plastics, product compatibility, and so on; costs may also be reduced. Polyethylene (PE) or
polypropylene (PP) coextrusions produce lower-cost products for food
contact, excellent barriers to water vapor, barriers to oxygen, etc.
Polyethylene vinyl alcohol is a relatively high-cost material that provides
an excellent oxygen barrier but is very sensitive to water, which can
deteriorate its properties. The water problem is eliminated by a thin layer
between the layers of PE or the layers of PP; this construction has been
used for many decades in different applications.
A common problem with certain multilayers is that different layers will
not adhere (stick) to each other. A thin layer of 'adhesive' is therefore used
to create the bond. Multilayers offer a wide latitude for material selection
and also allow the use of recycled materials. An example of a coextruded
product is a seven-layer gas tank containing PE as the structural material
and other layers to prevent the emission of gasoline fumes, etc.
Melt flow and rheology
Rheology is the science that deals with the deformation and flow of matter
under various conditions (such as plastic melt flow). The rheology of
plastics, particularly TPs, is complex but manageable. These materials
combine the properties of an ideal viscous liquid (pure shear deformations) with those of an ideal elastic solid (pure elastic deformation). Plastics are therefore said to be viscoelastic. The mechanical behavior of
plastics is dominated by viscoelastic phenomena such as tensile strength,
elongation at breaks, and rupture energy, which are often the controlling
factors. The viscous attributes of polymer melt flow are also important
considerations in plastics processing and fabrication.
Viscoelasticity
The flow of plastics is compared to that of water in Fig. 1.27 to show their
different behaviors. With plastics there are two types of deformation or
flow: in viscous flow the energy causing the deformation is dissipated, in
elastic flow that energy is stored. The combination produces viscoelastic
plastics. Viscosity is a material's resistance to viscous deformation (flow).

Flow

Pressure '

MODULUS OF ELASTICITY

Figure 1.27 Rheology and flow properties of plastics (solid line).

SEMICRYSTALLINE

SEGMENTED/
BLOCKCOPOLYMER

AMORPHOUS CROSS-LINKED

Figure 1.28 Modulus of elasticity is a dynamic mechanical property.

The resistance to elastic deformation is the modulus of elasticity (E); its
range for a plastic melt is 1000-700OkPa (145-1015 psi), called the rubbery
range (Figs 1.28 and 1.29).
Not only are there two classes of deformation; there are also two modes
in which deformation can be produced: simple shear and simple tension.
The actual action during melting, as in a screw plasticator, is extremely
complex, with all types of shear-tension combinations. Together with
engineering design, deformation determines the pumping efficiency of a

MODULUS OF ELASTICITY (10s psi)

GLASSY

TRANSITION

RUBBERY

FLOW

TEMPERATURE (0C)
Figure 1.29 Modulus of elasticity plotted against temperature.
screw plasticator and controls the relationship between output rate and
pressure drop through a die system or into a mold.
Shear rate
When a melt moves in a direction parallel to a fixed surface, such as a
screw barrel, mold runner, or die wall, it is subject to a shearing force. As
the screw speed increases, so does the shear rate, with potential advantages and disadvantages. Advantages of an increased shear rate are a less
viscous melt and easier flow. This shear-thinning action is required to
'move' plastic. When water (a Newtonian liquid) is in an open-ended
pipe, pressure can be applied to move it and by doubling the water
pressure, the flow rate of the water is doubled. Water does not have a
shear-thinning action. However, in a similar situation but using a plastic
melt (a non-Newtonian liquid), if the pressure is doubled, the melt flow
may increase from 2 to 15 times, depending on the plastic used. As an
example, linear low-density polyethylene (LLDPE), with a low shearthinning action, experiences a very low rate increase, which explains why
it can cause more processing problems compared to other PEs in certain
equipment. The higher-flow melts include polyvinyl chloride (PVC) and
polystyrene (PS).
A disadvantage observed with the higher shear rates is that too high a
heat increase may occur, potentially causing problems in cooling, as well
as degradation and discoloration. A high shear rate can lead to a rough
product surface (melt fracture, etc.). For each plastic and every processing

condition, there is a maximum shear rate beyond which such problems

can develop.
Shear in the channel of the screw is equal to nDN/ 60 h (where D =
average barrel inside diameter, N = screw RPM, and h = average screw
channel depth). This formula does not include the melt slippage between
the barrel wall and screw surfaces, but the shear rate obtained is still
useful for purposes of comparison. A 2l/2in. (63.5mm) screw with a
0.140 in. (3.6mm) channel rotating at 100 RPM produces a shear rate of
93.5s"1. This value is approximately the desired value in most extrusion
processes, with 10Os'1 generally the target.
The same formula can be used to determine the shear rate of the slippage between the barrel and screw. With a new barrel, which usually has
a small clearance of 0.005 in. (0.127mm), a very high shear rate of about
2618s'1 can exist. With this small clearance only a small amount of melt is
subject to the higher heat, so that any overheating is overcome by the mass
of melt it encounters (mixes with). As the screw wears, more melt flows
through enlarged clearances, but the shear rate is lower. The effect of wear
on overheating is usually very small and is not the main reason why the
complete melt overheats.
Shear rates can also be determined in melt flow through mold cavities
and particularly in extrusion dies. The formulas applicable to the different
die shapes seldom account for slippage of melt on the die surfaces, but
they can be used to compare the processability of melts and to control melt
flow. The formula for a die extruding a rod is 4Q/7ijR3, for a long slit it is
6Q/wh2, and for an annulus die it is 6Q/nRh2 (where Q = volumetric flow
rate, R = radius, w - width, and h = die gap).
Molecular weight distribution
Plastics consist of molecules arranged in long flexible chains which become entangled with each other. These entanglements are largely responsible for high viscosity in melts. Shear can be envisioned as sliding
molecules in rotation; this rotation causes the chains to disentangle. At
low shear, molecular chains become entangled; as the shear rate increases,
they gradually disentangle, and the viscosity is reduced. The result, expressed as a so-called flow curve (Fig. 1.27), is related to the processability
of the plastic material.
One method of defining plastics uses their molecular weight (MW), a
reference to the plastic molecules' weight or size. Here MW refers to the
average weight of a plastic, which is always composed of molecules
having different weights. These differences are important to the processor, who uses the molecular weight distribution (MWD) to evaluate materials. A narrow MWD enhances the performance of plastic products (see
later). Melt flow rates depend on the MWD, as illustrated in Fig. 1.30.

Number of
chains at a given
molecular weight

Narrow MWD
Material

Low

Wide or Broad
MWD Material

Molecular Weight Distribution

Molecular

Narrow
Wide
Shear

Viscosity

Viscosity

Distribution

High

Pressure
Filler

Additive
Temperature
Shear

Figure 1.30 (a) Molecular weight distribution (MWD) curves; (b) viscosity versus
shear rate as related to MWD; (c) factors influencing viscosity.

Elasticity
As a melt is subjected to a fixed stress (or strain), the deformation - time
curve will show an initial rapid deformation followed by a continuous
flow (Fig. 1.31). The relative importance of elasticity (deformation) and
viscosity (flow) depends on the timescale of the deformation. For a short
time, elasticity dominates; over a long time, the flow becomes purely
viscous. This behavior influences processes. When a part is annealed, it
will change its shape; or swelling occurs with postextrusion (Chapter 10).
Deformation contributes significantly to process flow defects. Melts with
small deformation have proportional stress-strain behavior. As the stress
on a melt is increased, the recoverable strain tends to reach a limiting
value. It is in the high-stress range, near the elastic limit, that processes
operate.
Molecular weight, temperature, and pressure have little effect on elasticity; the main controlling factor is MWD. Practical elasticity phenomena
often exhibit little concern for the actual value of the modulus and the
viscosity. Although the modulus is influenced only slightly by MW and
temperature, these parameters have a great effect on viscosity and can
therefore alter the balance of a process.

Deformation
A-B: Viscoelasticity with slow deformation
B: Load removed
B-C: Viscoelastic recovery

F = Constant
Load

BEFORE
LOADING

LOAD
APPLIED

AFTER
LOAD
RELEASED

O-A: Instantaneous loading produces immediate strain.

A-B: Viscoelastic deformation (or creep) gradually occurs with sustained
load.
B-C: Instantaneous elastic recovery occurs when load is removed.
C-D: Viscoelastic
recovery gradually occurs; where no permanent deformation (D1) or with a permanent deformation (D"-D'). Any permanent
deformation is related to type plastic, amount & rate of loading and fabricating procedure.

F = Variable Load
Strain = Constant
O-A. Instantaneous loading produces immediate strain.
A-X: With strain maintained gradual elastic relaxation occurs.
X-Y lnstanteous deformation occurs when load is removed.
Y-Z: Viscoelastic deformation gradually occurs as residual stresses are relieved. Any permanent deformation is related to type plastic, amount &
rate of loading and fabricating procedure.
Figure 1.31 Elasticity and strain: (a) basic deformation versus time curve; (b)
stress-strain deformation versus time (the creep effect); (c) stress-strain deformation versus time (the stress-relaxation effect); (d) material exhibiting elasticity; and
(e) material exhibiting plasticity.

Flow performance
In any practical deformation there are local stress concentrations. Should
the viscosity increase with stress, the deformation at the stress concentration will be less rapid than in the surrounding material; the stress concentration will be smooth, and the deformation will be stable. However,

when the viscosity decreases with increased stress, any stress concentration will cause catastrophic failure.

Flow defects
Flow defects, especially as they affect the appearance of a product, play an
important role in many processes. Flow defects are not always undesirable, as, for example, in producing a matt finish. Six important types of
defects can be identified, and are applied here to extrusion because of its
relative simplicity. These flow analyses can be related to other processes;
and even to the complex flow of injection molding.
Nonlaminar flow Ideally, a melt flows in a steady, streamlined pattern in
and out or a die. In practice the extrudate is distorted, causing defects
called melt fracture or elastic turbulence. To reduce or eliminate this
problem, the entry to the die is tapered or streamlined.
Sharkskin During flow through a die, the melt next to the die tends not to
move, whereas that in the center flows rapidly. When the melt leaves the
die, its flow profile is abruptly changed to a uniform velocity. This change
requires a rapid acceleration of the surface layer, resulting in a high local
stress. If this stress exceeds some critical value, the surface breaks, giving
a rough appearance (sharkskin). With the rapid acceleration, the deformation is primarily elastic. Thus the highest surface stress, and worst sharkskin, will occur in plastics with a high modulus and high viscosity, or in
high molecular weight plastics of narrow MWD at low temperatures and
high extrusion rates. The addition of die-lip heating, locally reducing the
viscosity, is effective in reducing sharkskin.
Nonplastication This condition produces uneven stress distribution, with
consequent lumpiness. The product could appear ugly or have a fine matt
finish. With a wide MWD there could be a lack of gloss.
Volatiles Many plastics contain small quantities of material that boil at
processing temperatures; or they may be contaminated by water absorbed
from the atmosphere. These volatiles may cause bubbles, a scarred surface, and other defects. Chapters 2 and 3 describe methods for removing
volatiles (vented barrels and dryers).
Shrinkages The transition from room temperature to a high processing
temperature may decrease a plastic's density up to 25%. Cooling causes

possible shrinkage (up to 3%) and may cause surface distortions or voiding with internal frozen strains. As reviewed in other chapters, this situation can be reduced or eliminated by special techniques, such as cooling
under pressure in the injection molding process.

Melt structures High shear at a temperature not far above the melting point
may cause a melt to take on too much molecular order. In turn, distortion
could result. This subject is discussed further in this and other chapters.

Thermodynamics
With the heat exchange that occurs during processing, thermodynamics
becomes important. It is the high heat content of melts (about 400Jg'1)
combined with the low rate of thermal diffusion (10"3Cm2S-1) that
limits the cycle time of many processes. Also important are density
changes, which, for crystalline plastics, may exceed 25% as melts
cool. Melts are highly compressible; a 10% volume change for lOOOOpsi
(7OMPa) is typical. Surface tension of about 2OgCm"1 may be typical
for film and fiber processing when there is a large surface-to-volume
ratio.

Chemical changes
The chemical changes which can occur during processing include
(1) polymerization and cross-linking, which increases viscosity;
(2) depolymerization or damaging of molecules, which reduces viscosity; and (3) complete changes in the chemical structure, which may
cause color changes. Already degraded plastics may catalyze further
degradation.

Trends
Because melts have many different properties and there are many ways to
control processes, detailed and factual predictions of final output are
difficult. Research and hands-on operation have been directed mainly at
explaining the behavior of melts or plastics. Modern equipment and controls are overcoming some of the unpredictability. Processes and equipment should ideally be designed to take advantage of the novel properties
of plastics rather than to overcome them.
Next Page

Thermal properties

Previous Page

In order to select materials that will maintain acceptable mechanical

characteristics and dimensional stability, one must be aware of both
the normal and extreme operating environments to which a product
will be subjected, including the environment (conditions) during processing to manufacture the product. Processes are influenced by the
thermal characteristics of plastics, such as melt temperature (Tn),
glass transition temperature (Tg), thermal conductivity, thermal diffusivity, heat capacity, coefficient of linear thermal expansion and decomposition temperature (Td) (Tables 1.28 and 1.29). All these properties
relate to the selection of the optimum processing conditions. There is a
maximum processing temperature - or to be more precise, a maximum
time-to-temperature cycle - for all materials prior to their decomposition or destruction. Thermal properties change according to the types
of additives in plastics (metal powders, glass fibers, calcium carbonate,
etc.).
Most plastics are processed and fabricated at elevated temperatures,
often as a melt, necessitating the transfer of substantial quantities of heat
first to the material to reach the desired temperatures and then to return
the formed or cured product to a solidified state at room temperature.
Because of the low thermal conductivities and thermal diffusivities of
plastics in general, this process can be both slow and expensive, especially
when large masses are involved. The heaters and heat-exchange equipment must therefore be carefully designed to ensure efficient and effective
heat transfer, particularly if phase changes take place.
After formation or curing processes, most plastic products are cooled
from relatively high temperatures, accompanied by shrinkage and dimensional changes. These effects must be carefully considered during the
design stage of processing equipment and can become ever more critical
with multiphase products, such as filled plastics or composite systems.
And accurate thermal property data are required for modeling processing
steps such as molding or extrusion.
Other more subtle heating and cooling effects may also play an important role. For example, when a mass of crystallizable plastic is cooled from
its melt, the inner regions of the mass tend to cool more slowly than the
other surfaces because of a slow overall heat-transfer process. This leads
to a more highly crystalline, and hence brittle, inner core. This coolinginduced morphology may be beneficial or detrimental, depending on the
use of the product. Thus, an intimate relationship exists between thermal
properties and energy or dimensional considerations on the one hand and
equipment design and fabrication techniques on the other. Ultimately,
process optimization rests on these relationships.

Table 1.28 Examples of thermal properties of TPs (properties of some common materials included for comparison)

Plastic and 3
(morphology)
PP
HOPE
PTFE
PA
PET
ABS
PS
PMMA
PC
PVC

(C)
(C)
(C)
(C)
(C)
(A)
(A)
(A)
(A)
(A)

Aluminum
Copper /bronze
Steel
Maple wood
Zinc alloy
3

Melt
temperature
(TJ, 0C (0F)

Glass
transition
temperature
(Tg), 0C (0F)

Thermal
conductivity,
10 1
W- CaIs-1CmC'
10 1
(BtUW- F' )

Heat capacity,
cal g-^C'1 (Btu Ib-10F-1)

Thermal
diffusivity,
IQ-4Cm2S'1 (IQ-3^h'1)

Thermal
expansion,
-6
o
W
C-l ^0-6 op-l)

0.9 (56)
0.96 (60)
2.2 (137)
1.13 (71)
1.35 (84)
1.05 (66)
1.05 (66)
1.20 (75)
1.20 (75)
1.35 (84)

168 (334)
134 (273)
330 (626)
260 (500)
250 (490)
105 (221)
100 (212)
95 (203)
266 (510)
199 (390)

5 (41)
-110 (-166)
-115 (-175)
50 (122)
70 (158)
102 (215)
90 (194)
100 (212)
150 (300)
90 (194)

2.8 (0.068)
12 (0.290)
6 (0.145)
5.8 (0.140)
3.6 (0.087)
3 (0.073)
3 (0.073)
6 (0.145)
4.7 (0.114)
5 (0.121)

0.9 (0.004)
0.9 (0.004)
0.3 (0.001)
0.075 (0.003)
0.45 (0.002)
0.5 (0.002)
0.5 (0.002)
0.56 (0.002)
0.5 (0.002)
0.6 (0.002)

3.5 (1.36)
13.9 (5.4)
9.1 (3.53)
6.8 (2.64)
5.9 (2.29)
3.8 (1.47)
5.7 (2.2)
8.9 (3.45)
7.8 (3.0)
6.2 (2.4)

81 (45)
59 (33)
70 (39)
80 (44)
65 (36)
60 (33)
50 (28)
50 (28)
68 (38)
50 (128)

2.68 (167)
8.8 (549)
7.9 (493)
0.45 (28.1)
6.7 (418)

1000
1800
2750
400 (burns)
800

3000 (72.5)
4500 (109)
800 (21.3)
3 (0.073)
2500 (60.4)

0.23
0.09
0.11
0.25
0.10

4900 (1900)
5700 (2200)
1000 (338)
27 (10.5)
3700 (1430)

19 (10.6)
18 (10)
11 (6.1)
60 (33)
27 (15)

Density,
gem-3 3
dbfr )

C = crystalline resin, A = amorphous resin.

Table 1.29 General properties of a few plastics

Polymer

Shear
modulus
G' (GPa)

Young's
modulus
E' (GPa)

Tensile stress
aUT (MPa)

Tensile
strain
EUT (%)

Poisson's
ratio VL'

Specific heat
C(Jk8-1K'1)

Thermal
conductivity
kat2K
(TnWm-1K-1)

Integral
thermal
expansion
AL/L (%)

Epoxy resin
Thermoplastic polymers
HDPE
PTFE
PS
PSU
PVC
PC
POM

2.6

8.1

179

2.1

0.37

1.6

70

-1.2

3.5
2.8
2.1
1.9
2.6
2.2
5.0

9.7
8.5
5.0
6.0
7.9
6.0
13.0

175
81
68
150
110
170
170

4.0
1.2
2.1
3.0

0.30

1.0

26

0.35
0.37

4-6

25

-1.8 to -2.2
-1.6
-1.5
-1.1

0.39
0.32

1.1

20
25
30

-1.4
-1.5

Polyamide
Polyimide

2.55
2.35

7.5

190

3.5
1.5
2.2

40

-0.8
-0.8

6.6

0.30
0.39

1.6

Melt properties
The melt temperature (Tm) occurs at a relatively sharp point for crystalline
materials. The amorphous materials do not have a Tm; they start melting
as soon as the heat cycle begins. In reality there is no single Tm point, but
a range. It is often taken as the peak of a DSC curve [3].
Tm depends on the processing pressure and time at heat, particularly
during a slow temperature change for relatively thick melts. Also if Tm is
too low, the melt's viscosity is high, and more power is required to
process it. Degradation will occur if the viscosity is too high.
Glass-transition temperature
The glass-transition temperature (Tg) is the point below which plastic
behaves like glass - it is brittle but very strong and rigid. Above this
temperature it is neither as strong or rigid as glass, but neither is it brittle.
At Tg the plastic's volume or length increases (Figs 1.32 and 1.33). The
amorphous TPs have a more definite Tg.
A plastic's thermal properties, particularly its Tg, influence its
processability in many different ways. The selection of a plastic should
take these properties into account. A more expensive plastic could cost

Length

Glass transition

Temperature
Figure 1.32 Effect of Tg on volume or length of plastics.

Freezing

Specific volume

amorphous

Crystalline

Temperature
Figure 1.33 Solidification during processing of glassy/amorphous and crystalline
TPs.
less to process because of its shorter processing time, requiring less energy
for a particular weight.
The Tg is unique to amorphous TPs. It occurs at a specific temperature
that depends on pressure and specific volume and is lower than the
melting point. Designers should know that, above Tg, the mechanical
properties are reduced. Most noticeable is a reduction in stiffness by a
factor that may be as high as 1000. Therefore, the operating temperature of
an amorphous TP is usually limited to below its Tg. Amorphous TPs
generally have several transitions.
The glass transition generally occurs over a relatively narrow temperature span and is similar to the solidification of a liquid to a glassy state; it
is not a phased transition. Not only do hardness and brittleness undergo
rapid changes in this temperature region, but other properties, such as the
coefficient of thermal expansion and specific heat, also change rapidly.
This phenomenon has been called second-order transition, rubber transition, and rubbery transition. The world transformation has also been used
instead of transition. When more than one amorphous transition occurs in
a polymer, the transition associated with segmental motions of the polymer backbone chain, or accompanied by the largest change in properties,
is usually considered to be the glass transition.
The glass-transition temperature can be determined readily only by
observing the temperature at which a significant change takes place in a
specific electrical, mechanical, or other physical property. Moreover, the

observed temperature can vary significantly, depending on the specific

property chosen for observation and on details of the experimental technique (e.g., the rate of heating, or frequency). Therefore, the observed Tg
should be considered only as an estimate. The most reliable estimates are
normally obtained from the loss peak observed in dynamic mechanical
tests or from dilatometric data (ASTM D-20).
Mechanical properties and Tg
As can be seen from Table 1.28 (page 86), the value of Tg for a particular
plastic is not necessarily a low temperature, which immediately helps
explain some of the differences we observe in plastics. For example, because at room temperature polystyrene and acrylic are below their respective Tg values, we observe them in their glassy state. But at room
temperature, natural rubber is above its Tg [Tg = -75 0C (-1030F); Tm = 300C
(860F)], with the result that it is very flexible. When it is cooled below its
Tg, natural rubber becomes hard and brittle.
Dimensional stability
Dimensional stability is an important thermal property for the majority
of plastics. It is the temperature above which plastics lose their dimensional stability. For most plastics the main determinant of dimensional
stability is their Tg. Only with highly crystalline plastics is Tg not a
limitation.
Substantially crystalline plastics in the range between Tg and Tm are
described as leathery; this is because they are made up of a combination of
rubbery noncrystalline regions and stiff crystalline areas. Plastics such as
PE and PP are still useful at room temperature and nylon is useful in
moderately elevated temperatures, even though they may be above their
respective glass-transition temperatures.
Thermal conductivity and thermal insulation
Thermal conductivity is the rate at which a material will conduct heat
energy along its length or through its thickness. ASTM tests give an
indication of how much heat must be added to a unit mass of plastic in
order to raise its temperature by 10C. This is an important factor, since
plastics are often used as effective heat insulation in heat-generating applications and in structures where heat dissipation is important. The high
degree of molecular order for crystalline TPs means their values tend to be
twice those of the amorphous types.
The thermal conductivity of plastics depends on several variables and
cannot be reported as a single factor. But it is possible to ascertain the two

principal dependences, temperature and molecular orientation. In fact,

molecular orientation may vary within a product, producing a variation
in thermal conductivity. Thus, it is important for the designer to recognize
such a situation. Certain products require skill to estimate a part's performance under steady-state heat flow, especially products made of composites. The method and repeatability of the processing technique can
have a significant effect.
In general, thermal conductivity is low for plastics and their structures
do not alter their values significantly. To increase it, the usual approach is
to add metallic fillers, glass fibers, or electrically insulating fillers such as
alumina. Thermal conductivity can be decreased by foaming.
Heat capacity
The heat capacity or specific heat of a unit mass of material is the amount
of energy required to raise its temperature by 10C. It can be measured
either at constant pressure or constant volume. If at constant pressure it is
larger than at constant volume, because additional energy is required to
bring about a volume change against external pressure. The specific heat
of amorphous plastics increases with temperature in an approximately
linear fashion below and above Tg, but a steplike change occurs near Tg.
No such stepping occurs with crystalline types.
The heat capacity of plastics is usually reported during constant pressure heating. Plastics differ from traditional engineering materials because their specific heat is temperature sensitive.
Thermal

diffusivity

Whereas heat capacity is a measure of energy, thermal diffusivity is a

measure of the rate at which energy is transmitted through a given plastic.
It relates directly to processability. In contrast, metals have values hundreds of times larger than those of plastics. Thermal diffusivity determines a plastic's rate of energy change with time. This function depends
on thermal conductivity, specific heat at constant pressure, and density,
all of which vary with temperature; nevertheless, thermal diffusivity is
relatively constant.
Coefficient of linear thermal expansion
Like metals, plastics generally expand when heated and contract when
cooled. For a given temperature change, TPs usually have a greater
change than metals. The coefficient of linear thermal expansion (CLTE) is
the ratio between the change of a linear dimension to the original dimension of the material per unit change in temperature (per ASTM standards).
It is generally given as 0C"1 (0F"1).

The CLTE is an important consideration if dissimilar materials like one

plastic to another or a plastic to metal and so forth are to be assembled.
The CLTE is influenced by the type of plastic (e.g., liquid crystal) and
composite, particularly the glass-fiber content and its orientation. It is
especially important if the temperature range includes a thermal transition such as Tg. All this activity with dimensional changes is normally
available from material suppliers, allowing the designer to apply a logical
approach and to understand what could happen.
The design of products has to take into account the dimensional
changes that can occur during fabrication and during its useful service
life. With a mismatched CLTE there could be destruction of plastics from
factors such as cracking or buckling.
Expansion and contraction can be controlled in plastic by its orientation,
cross-linking, adding fillers or reinforcements, and so on. With certain
additives the CLTE value could be zero or almost zero. For example,
plastic with a graphite filler contracts rather than expands during a temperature rise. Composites with only fiberglass reinforcement can be used
to match those of metal and other materials. In fact, TSs are especially
compounded to have little or no change.
In a TS the ease or difficulty of thermal expansion is dictated for the
most part by the degree of cross-linking as well as the overall stiffness of
the units between the cross-links. The less flexible units are also more
resistant to thermal expansion. Influences such as secondary bonds have
much less effect on the thermal expansion of TSs.
Any cross-linking has a substantial effect on TPs. It reduces expansion
in amorphous TPs, but in a crystalline TP the decreased expansion as a
result of cross-linking may be partially offset by a loss of crystallinity.
Thermal or residual stresses
Processing operations are usually carried out under highly nonisothermal
conditions in which the melt passes through a complicated temperature
history with solidification. Depending on the process, cooling rates can be
as high as several thousand degrees per minute. During the initial stage of
cooling, the surface layer cools so fast that the temperature difference
between the surface layer and the core attains a maximal value. Then the
core cools faster than the surface layer until uniform temperature is attained. During the initial stage of cooling, the contraction of the surface
layer is greater than the contraction of the core. This introduces tensile
stresses at the surface and compressive stresses in the core. Later the core
contracts more than the surface, leading to tensile stresses in the core and
compressive stresses in the surface.
Stresses that arise during rapid inhomogeneous cooling of the melt
through the glass-transition temperature or melting point are called

thermal or cooling stresses (stresses due to a change in temperature). In

this case the thermal stresses are introduced into a material that was
originally stress-free and externally unconstrained.
Thermal stresses also arise in externally constrained polymeric products subjected to a change in temperature (cooling or heating) even without the occurrence of a solidification or phase transition. Thermal stresses
that arise in products are developed from a melt which is not originally
stress-free. They occur in the presence of unrelaxed flow stresses. Accordingly, development of residual stresses in products during processing is
due to the coupled effect of flow stresses and of thermal stresses arising
from a temperature gradient and an external constraint at the boundary.
Thus, the term residual stresses identifies the system of stresses that are in
effect locked into a product, even without external forces acting on it.
It is well known that the presence of residual stresses greatly affects the
mechanical properties and performance characteristics of products. Thus,
understanding the factors governing the development of residual stress in
products is of great importance to the design of plastic products. It is also
important to be able to measure and predict the development of residual
stress during polymer processing.
Degradation
Plastics degradation is a deleterious change in characteristics such as the
chemical structure, physical and mechanical properties, and/or appearance of plastics. A degraded appearance usually means discoloration.
Degradation can occur during processing. Factors that are important in
determining the rate of degradation are (a) residence time, (b) stock (melt)
temperature and distribution of stock temperature, (c) deformation rate
and deformation rate distribution, (d) presence of oxygen or other
degradation-promoting additive, and (e) presence of antioxidants and
other stabilizers.
Orientation: defect or benefit?
Plastic molecular orientation can be accidental or deliberate. (Here, accidental refers to orientations that occur in processing plastics that may be
acceptable. However, excessive frozen-in stresses can be extremely damaging if parts are subject to environmental stress cracking or crazing in the
presence of chemicals, heat, etc.) The molecules are initially relaxed; molecules in amorphous regions are in random coils, and those in crystalline
regions relatively straight and folded. During processing, the moelcules
tend to be more oriented than relaxed, particularly when sheared, just
as during injection molding and extrusion. After temperature-timepressure is applied, and the melt goes through restrictions (molds, dies,

etc.), molecules tend to be stretched and aligned in a parallel form. The

result is a change in directional properties and dimensions. The amount of
change depends on the type of TP, the amount of restriction, and most
important, the rate of cooling. The faster the cooling rate, the greater the
retention of frozen orientation. After processing, parts could be subject to
stress relaxation, with changes in performance and dimensions. With
certain plastics and processes there is an insignificant change. If changes
are significant, one must take action to change the processing conditions,
particularly increasing the cooling rate.
By deliberate stretching, the molecular chains of a plastic are drawn in
the direction of the stretching, and inherent strengths of the chains are
more nearly realized than they are in their naturally relaxed configuration. Stretching can take place with heat during or after processing (blow
molding, extruding film, thermoforming, etc.). Products can be drawn in
one direction (uniaxial) or in two opposite directions (biaxial), in which
case many properties significantly increase uniaxially or biaxially (Table
1.30 and Fig. 1.34) [3].
Products with designed-in orientation are increasingly important in the
polymer industry. They include filaments with uniaxial orientation and
films and bottles with biaxial orientation. A variety of molding operations

Table 1.30 Effects of orientation on polypropylene films

Stretch (%)
Property
Tensile strength, psi
(MPa)
Elongation at break (%)

None

200

400

600

900

5600
(38.6)
500

8400
(58.0)
250

14000
(96.6)
115

22000
(152.0)
40

23000
(159.0)
40

Property*
Tensile strength, psi (MPa)
MD
TD
Modulus of elasticity, psi (MPa)
MD
TD
Elongation at break (%)
MD
TD
a

Uniaxial
orientation

Balanced
orientation

5700(39.3)
3200(22.1)

8000(55.2)
40000 (276)

26000(180)
22000 (152)

96000 (660)
98000(680)

150000 (1030)
400 000 (2760)

340000 (2350)
330 000 (2280)

As cast

425
300

300
40

80
65

MD = machine direction, TD = transverse direction and direction of uniaxial orientation.

Graph (a)
strength

MECHANICAL PROPERTY

elastic modulus

elongation to
fracture
energy to break

INCREASING ORIENTATION

Graph (c)
Graph (b)

Glass
transition
region

Flexibility

Permeability

Hardness

Thermechanical analysis
Stylus penetration

Physical properties

Glass
transition
temperature

Glassy
state

Rubbery
state

Liquid or
decomposition

Increasing temperature
Increasing temperature
Figure 1.34 Effect of orientation on the properties of plastics.

have been developed in which multiaxial orientation is built in during the

process. Uniaxial orientation produces high tensile modulus and high
tensile strength in one direction, whereas equal biaxial orientation produces equal properties in all directions in the film plane. Biaxial orientation in bottles balances the mechanical properties between the bottle-axis
direction and the hoop direction.
Efforts toward orientation processing has led to new molding technology. A process for extruding, reheating, and inflating tubes has produced
orientation. In an injection molding process the core of an annular mold

Table 1.31 Examples of shrink film properties

Film type
Polyethylene
(low density)
Polyethylene,
(low density,
irradiated)
Polyethylene
(copolymer)
Polypropylene
Polyester
Poly(vinyl
chloride)

Tensile strength,
psi (MPa)
9000 (62)
8000-13000 (55-90)
19000(131)
26000 (179)
30000 (207)
9000-14000 (62-97)

Elongation (%)

Tear strength,
gfmil'1 (mNm'1)

Maximum
shrink (%)

Shrink tension,
psi (MPa)

Film shrink
temperature range,
of (oC)

130

8 (3.1)

85

250-400 (1.7-2.8)

150-250 (65-120)

115

5-10 (1.9-3.9)

80

400 (2.8)

170-250 (75-120)

130

7 (2.7)

60

450 (3.1)

180-260 (85-125)

50-100
130
140

5(1.9)
10-60 (3.9-23.2)
variable

80
55
60

600 (4.1)
700-1500 (4.8-10.3)
150-300 (1-2.1)

250-330 (120-165)
170-300 (75-150)
150-300 (65-150)

rotates to produce a helically oriented molded part [3]. The Du Pont work
on biaxially oriented polyethylene terephthalate (PET) involved the
molding of an isotropic glassy parison that was heated and inflated with
air in a mold to form a biaxially oriented bottle. This led to a new technology called stretch blow molding [2].

Table 1.32 Specific gravity and density comparisons of different materials

Materials
Thermoplastics
ABS
Acetal
Acrylic
Cellulose acetate
Cellulose acetate butyrate
Cellulose propionate
Ethyl cellulose
Methyl methacrylate
Nylon, glass-filled
Nylon
Polycarbonate
Polyethylene
Polypropylene
Polybutylene
Polystyrene
Polyimides
PVC, rigid
Polyester
Thermosets
Alkyds, glass-filled
Phenolic, GP
Polyester, glass-filled
Rubber
Metals
Aluminum SAE-309 (360)
Brass, Yellow (#403)
Steel, CR Alloy (Strip & Bar)
Steel, Stainless 304
Magnesium AZ-91B
Iron, Pig, Basic
Zinc, SAE-903
a

Specific gravity3

Density (Win."3)

1.06
1.43
1.19
1.27
1.19
1.21
1.10
1.20
1.40
1.12
1.20
0.94
0.90
0.91
1.07
1.43
1.20
1.31

0.0383
0.0516
0.0430
0.0458
0.0430
0.0437
0.0397
0.0433
0.0505
0.0404
0.0433
0.0339
0.0325
0.0329
0.0386
0.0516
0.0433
0.0473

2.10
1.40
2.00
1.25

0.0758
0.0505
0.0722
0.0451

2.64
8.50
7.85
7.92
1.81
7.10
6.60

0.0953
0.3070
0.2830
0.2860
0.0653
0.2560
0.2380

The number of grams per cubic centimeter is the same as the specific gravity. For
example, if the specific gravity is 1.47, that substance has a density of 1.47gem"3.

New polymers have been biaxially oriented by older technologies.

Tentering-frame and double-bubble technologies have been used to make
a biaxially oriented polypropylene film.
An example of the many oriented products is the heat-shrinkable material found in flat or tubular film or sheets. The orientation in this case is
terminated downstream of an extrusion-stretching operation when a cold
enough temperature is achieved. Reversing the operation, or shrinkage,
occurs when a sufficiently high temperature is introduced. The reheating
and subsequent shrinking of these oriented plastics can produce a useful
property (Table 1.31). It is used in heat-shrinkable tubular or flat communication cable wrap, heat-shrinkable furniture webbing, pipe fittings,
medical devices, and many other products.
Density and specific gravity
The density of any material is a measure of its mass, per unit volume,
usually expressed in grams per cubic centimeter (gcnrf3) or pounds per
cubic inch (Ib in."3) (Tables 1.32 and 1.33 and Fig. 1.35). Figure 1.36 shows
how to determine the specific gravity of filled compounds. It is necessary
to know the density of a particular plastic in order to calculate the relationship between the weight and volume of the material in a specific
product.
Specific gravity is the ratio of the mass in air of a given volume (of
plastic) compared to the mass of the same volume of water, both being
measured at room temperature (230C, 73.40F); in other words, it is the
density of the plastic divided by the density of the water. Since this is a
dimensionless quantity, it is convenient for comparing different materials.
Like density, specific gravity is used extensively in determining part costs,
weight, and quality control.
The ASTM D792 standard provides the relationship of density to specific gravity at 230C:
Density (gcm"3) = specific gravity x 0.9975
Also
Specific gravity x 0.0361 = Ib in.3
Selecting plastics
The information and data presented in this chapter and other chapters
provide a variety of useful selection guides. Figures 1.37 to 1.40 present
general overall data, ratings and guides; Fig. 1.40 provides general heatresistance properties of plastics retaining 50% of properties at room
temperature with resin exposure and testing at elevated temperature.

WEIGHT IN GRAMS

VOLUME IN CUBIC INCHES

Figure 1.35 Weight in grams and volume in cubic inches versus specific gravity.

Zone 1: Acrylics, cellulose esters, LDPE, PS, PVC, SAN, SBR, UF, etc. Zone
2: Acetals, ABS, chlorinated polyether, ethyl cellulose, EVA, ionomer, PA,
PC, HDPE, PET, PP, PVC, PUR, etc. Zone 3: PCTFE, PVDF, etc. Zone 4:
Alkyds, fluorinated ethylene-propylene, MF, polysulfone, etc. Zone 5: TS
acrylic, DAP, epoxy, PF, TS polyester, PTFE, etc. Zone 6: Parylene,
polybenzimidazole, silicone, etc. Zone 7: PAI, PI, etc. Zone 8: Plastics in

Table 1.33 Specific gravity as a function of mass per volume3

Specific
gravity

0.90
0.91
0.92
0.93
0.94
0.95
0.96
0.97
0.98
0.99
1.00
1.01
1.02
1.03
1.04
1.05
1.06
1.07
1.08
1.09
1.10
1.11
1.12
1.13

Density
in ozin~3

Density
in gin.~3

Specific
gravity

Density
in ozin~3

Density
in gin.'3

Specific
gravity

Density
in ozin~3

Density
in gin~3

0.5220
0.5258
0.5316
0.5374
0.5431
0.5489
0.5447
0.5605
0.5662
0.5720
0.5778
0.5836
0.5894
0.5951
0.6009
0.6067
0.6125
0.6182
0.6240
0.6298
0.6356
0.6414
0.6471
0.6529

14.748
14.912
15.076
15.240
15.404
15.568
15.732
15.895
16.059
16.223
16.387
16.551
16.715
16.879
17.042
17.206
17.370
17.534
17.698
17.862
18.026
18.189
18.353
18.517

1.31
1.32
1.33
1.34
1.35
1.36
1.37
1.38
1.39
1.40
1.41
1.42
1.43
1.44
1.45
1.46
1.47
1.48
1.49
1.50
1.51
1.52
1.53
1.54

0.7569
0.7627
0.7685
0.7743
0.7800
0.7858
0.7916
0.7974
0.8031
0.8089
0.8147
0.8205
0.8263
0.8320
0.8378
0.8436
0.8494
0.8551
0.8609
0.8667
0.8725
0.8783
0.8840
0.8898

21.467
21.631
21.795
21.959
22.122
22.286
22.450
22.614
22.778
22.942
23.106
23.269
23.433
23.597
23.761
23.925
24.089
24.253
24.417
24.581
24.745
24.908
25.072
25.236

1.71
1.72
1.73
1.74
1.75
1.76
1.77
1.78
1.79
1.80
1.81
1.82
1.83
1.84
1.85
1.86
1.87
1.88
1.89
1.90
1.91
1.92
1.93
1.94

0.9880
0.9938
0.9996
1.0054
1.0112
1.0169
1.0227
1.0285
1.0343
1.0400
1.0458
1.0516
1.0574
1.0632
1.0689
1.0747
1.0805
1.0862
1.0920
1.0978
1.1036
1.1094
1.1152
1.1209

28.022
28.186
28.350
28.513
28.677
28.841
29.005
29.169
29.333
29.497
29.660
29.824
29.988
30.152
30.316
30.480
30.644
30.808
30.971
31.135
31.299
31.463
31.627
31.791

1.14
1.15
1.16
1.17
1.18
1.19
1.20
1.21
1.22
1.23
1.24
1.25
1.26
1.27
1.28
1.29
1.30
a

0.6587
0.6645
0.6702
0.6760
0.6818
0.6876
0.6934
0.6991
0.7049
0.7107
0.7165
0.7222
0.7280
0.7338
0.7396
0.7454
0.7511

18.681
18.845
19.009
19.173
19.337
19.501
19.664
19.828
19.992
20.156
20.320
20.484
20.648
20.811
20.975
21.139
21.303

1.55
1.56
1.57
1.58
1.59
1.60
1.61
1.62
1.63
1.64
1.65
1.66
1.67
1.68
1.69
1.70

0.8956
0.9014
0.9071
0.9129
0.9187
0.9245
0.9303
0.9360
0.9418
0.9476
0.9534
0.9591
0.9649
0.9707
0.9765
0.9823

25.400
25.564
25.726
25.891
26.055
26.219
26.383
26.547
26.711
26.875
27.039
27.202
27.366
27.530
27.694
27.858

1.95
1.96
1.97
1.98
1.99
2.00
2.01
2.02
2.03
2.04
2.05
2.06
2.07
2.08
2.09
2.10

1.1267
1.1325
1.1383
1.1440
1.1498
1.1556
1.1614
1.1672
1.1729
1.1787
1.1845
1.1903
1.1960
1.2018
1.2076
1.2134

31.955
32.119
32.282
32.446
32.610
32.774
32.938
33.102
33.266
33.429
33.593
33.757
33.921
34.085
34.249
34.413

The number of grams per cubic centimeter is the same as the specific gravity. For example, if the specific gravity is 1 .47, that substance has a density
of 1.47 gem"3.
Factor used in converting to ounces per cubic inch = specific gravity multiplied by 0.5778.
Factor used in converting to grams per cubic inch = specific gravity multiplied by 16.387.
To compute:
Specific gravity: multiply pounds per cubic foot by 0.01604.
Pounds per cubic foot: multiply specific gravity by 62.4.
Pounds per cubic inch: multiply specific gravity by 0.0361.
1 QZ = 28.3495 g
Ig = 0.0352793 oz

Reference line

Specific gravity, compound

Specific gravity, resin or filler

Weight fraction

Figure 1.36 Nomograph for determining the specific gravity of filled compounds
by using various fillers and reinforcements.

R&D, etc. Since plastics compounding is rather extensive, certain basic

resins can be modified to meet different heat-resistance properties.
Remember that the values given here and elsewhere in this book are
representative rather than precise. Values vary depending on the specific
type of plastics, the manufacturing settings, and the methods of evaluation. The procedure to follow when a specific material and process is to be
used requires proper identification and documentation of the 'facts' such
as machine settings, operator, etc. The data in this book are not intended
to be used as a substitute for the more accurate information obtained from
developing and/or past performances.

HOPE blow
molding
Density (g cm-3)

HOPE film

HOPE pipe
and
sheet

LLDPE
MDPE film
pipe
and
sheet
New
developing
Rotomolding
area
HDPE film

HOPE
injection
molding

HDPE
injection
molding
LLDPE
injection
molding

Melt index (grams per 10 min)

Figure 1.37 Example of PE markets based on melt index versus density [3].
PRODUCT DESIGN
There is a practical and easy approach to designing with plastics. Figures
1.41 and 1.42 illustrate its similarity to designing with other materials:
steel, aluminum, wood, glass, etc.
Many different products can be designed using plastics. They will take
low to extremely high loads and operate in widely differing environments, from the highly corrosive to those involving electrical insulation.
They challenge the designer with a combination of often unfamiliar advantages and limitations. The designer can meet this challenge by understanding the many different structures and properties as well as the
design and fabrication capabilities, as demonstrated by the existence of
the many different products made from plastics.
Although plastics and composites may appear to some observers to be
new, because the industry has an unlimited capacity to produce new
plastics to meet new performance and processing requirements, plastics
have been used in no-load to extremely high-load situations for over a
century. The ever evolving technology does not mean that plastics will
automatically replace other materials. Each material (plastics, metals,
wood, aluminum, etc.) will be used in favorable cost-to-performance situations. Since the early 1980s, more plastics were used worldwide on a
volumetric basis than any other materials except wood and concrete. And
by the end of this century, it will also hold on a weight basis.
With plastics and composites, to a greater extent than with other materials, an opportunity exists to optimize design by focusing on a material's
composition and orientation as well as the geometry of its structural

MECHANICAL PROPERTIES

HIGH TENSILE STRENGTH

>5x103 PSI

GL ASS- REJ NFORCE D

> 15 x 1O3PSI
THERMOSET POLYESTER
ALKYD
VINYL ESTER
NYLON (INCLUDING AROMATICS)
THERMOPLASTIC POLYESTERS
(INCLUDING AROMATICS)
POLYCARBONATES/ALLOYS
POLYSULFONES
POLYSTYRENE / COPOLYMERS
(EXCEPT ABS)
EPOXY
POLYPHENYLENE SULFIDE
ABS
POLYACETAL
PHENOLIC
PPOBASED
POLYIMIDES
MELAMINE

STANDARD AND
NON-GLASS FILLED
> 10 x 1O3PSI
THERMOSET POLYESTER
ALKYD
VINYL ESTER
NYLON (INCLUDING AROMATICS)
POLYIMIDES
POLYAMIDE-IMIDES
THERMOPLASTIC POLYESTERS
(INCLUDING AROMATICS)
POLYSULFONES
POLYSTYRENE / COPOLYMERS
(EXCEPTABS)
EPOXY
POLYPHENYLENE SULFIDE
PHENOLIC
PPO BASED
UREAS
PVC & COPOLYMERS

LOW TENSILE STRENGTH

<5 x 103 PSI

IMFACT STRENGTH
<flFT LBS/IN. OF NOTCH

THERMOPLASTIC ELASTOMERS
POLYMETHYLPENTENE
POLYBUTYLENE
FURAN
SILICONE
POLYETHYLENE & COPOLYMERS
CELLULOSICS
POLYURETHANE
PVC & COPOLYMERS
FLUOROPLASTIC / COPOLYMERS
POLYPROPYLENE
PHENOLIC
ABS
EPOXY
POLYSTYRENE
THERMOPLASTIC POLYESTERS
POLYAMIDE-IMIDES
POLYIMIDES
ALKYD
VINYL ESTER

POLYBUTYLENES
THERMOPLASTIC ELASTOMERS
FLUOROPLASTICS
NYLONS
CELLULOSICS
POLYTHYLENE & COPOLYMERS
POLYURETHANE
PVC & COPOLYMERS
EPOXY
THERMOSETTING POLYESTERS
ALKYDS
VINYL ESTERS
POLYPROPYLENE
POLYCARBONATE
MELAMINES
PHENOLIC
POLYIMIOE
ALLYLS
ACRYLIC
ABS
PPO BASED
POLYARYL ETHOR
GLASS-REINFORCED SILICONE
POLYSTYRENE COPOLYMERS

Figure 1.38 Overview of mechanical properties.

MISCELLANEOUS PROPERTIES
LOW FRICTION
< 0.8 ON STE E L
ABS
POLYACETALS
SOME NYLONS
POLYSULFONES
THERMOPLASTIC POLYESTERS
FLUOROPLASTICS
GRAPHITE, MOLYBDENUM DISULFIDE
AND FLUOROPLASTIC FILLED COMPOUNDS
COLORABILITY
UNLIMITED
ABS
ACETAL
ACRYLIC
ALKYD
ALLYL
CELLULOSIC
FLUOROPLASTICS
MELAMINES
NYLONS
PPOBASED
POLYARYLETHER
POLYCARBONATES
THERMOPLASTIC &
THERMOSETTING
POLYESTER
POLOLEFINS
POLYSTYRENES
POLYURETHANES
THERMOPLASTIC
ELASTOMERS
UREAS
VINYLS
VINYL ESTERS

LIMITED
EPOXY
FURAN
PHENOLIC
POLYAMIDE IMIDE
POLYIMIDE
POLYPHENYLENE SULFIDE
SILICONES

ABRASION RESISTANCE
< 10,000 MG/KC
NYLONS
POLYURETHANES
POLYACETALS
ACRYLIC/PVC ALLOY
ABS/POLYURETHANE ALLOY
POLYSULFONES
PPO BASED
THERMOPLASTIC POLYESTER
POLYIMIDES
SOME POLYSTYRENES
FLUOROPLASTIC COPOLYMERS
SOME FLUOROPLASTICS
UHMWPE
GRAPHITE FILLEDCOMPOUNDS

NON-FLAMMABILITY
INHERENTLY-V-O
FLUOROPLASTICS
IONOMER
MELAMINES
POLYPHENYLENE SULFIDES
POLYSULFONES
VINYLS
POLYIMIDES
POLYAMIDE-IMIDES

LOWEST DENSITIES
< 1.0 UNFILLED
POLYMETHYLPENTENE
POLYOLEFIN TPR
POLYPROPYLENE
POLY (ETHYLENE CO PROPYLENE)
POLYBUTYLENE
POLYETHYLENE
(INCLUDING UHMWPE)
POLY (EHTYLENE CO VINYL ACETATE)
POLY (ETHYENE CO ETHYL ACRYLATE)
IONOMER

0.83-0.84
0.88-0.90
0.89-0.91
0.896-0.899
0.908-0.917
0.910-0.940
0.92-0.95
0.93
0.93-0.96

ELECTRICAL PROPERTIES
DC.
FREQUENCY
EOWLOW
VOLTAGE
MOST PLASTIC MATERIALS

ARC RESISTANCE
>200SECS
ACRYLICS
NOTRACK
ALKYDS
75-420
FLUOROPLASTICS 7O-3BO
CEL
ULOSI
C
S
50-310
EPO LS
Y
45-300
ALL
115-250
HIFREQUENCY
GH
SILI
ONE
60-250
ACE AL
HIGH VOLTAGE
ESTER(TS)158ft 240100-240
POLYETHYLENE ANDCOPOLYMERS POL
POL ETHYLENE
CHLORINATED PVC (HIGH VOLTAGE) COPOLYMERS
135-235
POLYSTYRENE
ANDCOPOLYMERS POLYIMIDE
230
POLYPROPYLENE
MELAMINES
96-200
OLEFINIC
POLYPHENLENE
RUOKRSTHERMOPLASTIC
SULFIDC
200
AROMATIC
POLYESTERS
FLUOROPLASTICS

WITH MODIFICATION
OR COMPOUNDING
ABS
ACRYLIC
ALKYD
CELLULOSE ACETATE
ALLYLS
EPOXY
NYLONS
PHENOLICS
PPOBASED
POLYCARBONATE
POLYESTER (TP & TS)
POLYOLEFINS
STYRENICS
POLYURETHANES
SILICONES
UREAS

Figure 1.39 Overview of other properties.

TRANSPARENCY (COLORLESS)
THICK SECTION > 0.100 IN.
ACRYLIC
POLYCARBONATE
POLYSTYRENE
CELLULOSSICS
SAN
POLYESTERS (TP)
NYLON
POLYSULFONE & POLYETHER SULFON
THIN SECTION (0.001 TO 0.050 IN.)
POLYETHYLENE
POLYPROPYLENE
POLYVINYLS
POLYBUTYLENES
IONOMER
POLYMETHYLPENTENE
FLUROPLASTICS

Temperature, 0C

Time, h
Figure 1.40 Heat resistance of plastics retaining 50% of properties.

members. There are also important interrelationships among shape, material selection (reinforced plastics, elastomers, foams, etc.), the consolidation of parts, manufacturing selection, and other factors that provide low
cost-to-performance products. For the many applications that require
only minimal mechanical performance, shaping through processing techniques can help to overcome limitations such as low stiffness with commodity (lower cost-to-performance) plastics. And when extremely high
performance is required, reinforced plastic (RP), composites, and other
engineering plastics are available. In this book the term plastics also refers
to composites. Examples of these plastic products are shown in Figs 1.42
to 1.44.
Design features that influence processing and performance
The successful design and fabrication of good plastic products requires a
combination of sound judgment and experience. Designing good products requires a knowledge of plastics that includes their advantages and

disadvantages and some familiarity with processing methods. Until the

designer becomes familiar with processing, a fabricator mustibe taken into
the designer's confidence early in development and consulted frequently
during those early days. The fabricator and mold or die designer should
advise the product designer on materials behavior and how to simplify
processing. The designer should not become restricted by understanding
only one process, method, particularly just a certain narrow aspect of
it.
One of the earliest steps in product design is to establish the configuration of the parts that will form the basis on which strength calculations
will be made and a suitable material selected to meet the anticipated
requirements. During the sketching and drawing phase of working with
shapes and cross sections, there are certain design features with plastics
that have to be kept in mind to avoid degradation of the properties. Such
features may be called property detractors or constraints. Most of them
are responsible for the unwanted internal stresses that can reduce the
available stress level for load-bearing purposes. Other features, which are
covered in this chapter, may be classified as precautionary measures that
may influence the favorable performance of a part if they are properly
incorporated.
Although there is no theoretical limit to the shapes that can be created,
there are practical considerations which need to be met. These relate not
only to part design, but also to mold or die design, since they must be
considered as one entity in the total creation of a usable, economically
feasible part. In the sections that follow, various phases considered important in the creation of such parts are examined for their contribution to
and effect on design and function.
Before designing a part, the designer should understand such basic
factors as those summarized in Fig. 1.45. Success with plastics, or any
other material, for that matter, is directly related to observing design
details (Figs 1.46 and 1.47). For example, something as simple as a stiffening rib is different for an injection molded or structural foam part, even
though both parts may be molded from the same plastic (Fig. 1.45). However, a stiffening rib that is to be molded in a low mold shrink, amorphous
TP will differ from a high mold shrink, crystalline TP rib, even though
both plastics are just injection molded. Ribs molded in RP or composite
plastics have their own distinct requirements:
The important factors to consider in designing can be categorized as
follows: part thickness, tolerance, ribs, bosses and studs, radii and fillets,
draft or taper, holes, threads, color, surface finish and gloss level, decorating operations, the parting line, gate locations, molded part shrinkage,
assembly techniques, mold or die design, production volume, the tooling
and other equipment amortization period, as well as the plastic and machine selected. The order that these factors follow can vary, depending on

PROJECT
TEAM
FEASIBILITY
STUDY

Identify
specific
functions

Dimensions, structural loads, gov'f industry standards, service environments, etc.

Target quantity, cost and production schedule

Apply available experience

Manual approach r

i Conceptual product layout

Computer approach |

Apply design creativity

Formulate plan
Geometric drawings
or graphic analysis
PRELIMINARY
DESIGN
ANALYSIS

Dimensions & tolerances

Solid I
Wire I
Surface

Image manipulation |
Structural integrity

Engineering
analysis

Environment |
Physical integrity

Mechanical
simulation
Finite element modeling

Minimum weight/cost
Aesthetic, etc.|
Material selection

Fabrication
analysis

Mold/die design
OPTIMIZE
DESIGN
Set up safety factors to
meet product functions

Process selection |
Cost analysis j

Melt flow analysis

Tool thermal analysis
Tool part
selection
Provide detailed/individual
orthotropic drawings
Material
Process/equipment/tools
Produce service performance
Plant personnel capability

Databases and/or available

information

Shrinkage analysis
Cycle time |
Standard parts
I Nonstandard parts

Static
Dynamic

Release tooling (mold/die) for manufacture

Set up processing specifications

MANUFACTURING
ANALYSIS

Plant layout

Manufacturing processing specifications

I Equipment |
Material handling |
I Automation/robotics |
Preventive maintenance
I Safety procedures |
Machine operations |
j Troubleshooting guide
J Testing/quality control

Plant personnel capability evaluation

Document good manufacturing practice (GMP) procedure
OPTIMIZE &
DOCUMENT
PRODUCTION

Update plant
personnel training
Develop production cost models

Ensure product quality

Finalize testing & quality control

Product output schedule

Accounting schedule
Purchasing schedule
Inventory schedule

Documentation for management to ensure meeting delivery schedules and profitability

PRODUCT
RELEASE

Ensure meeting all product functions

Set up value analysis (VA)J

After start of production, analyze complete design (again)

to change design/production/safety factors in order to
reduce costs

Figure 1.41 Flow diagram with feedback loops; design through processing.

Figure 1.42 An electric iron using different plastics and processes.

Figure 1.43 Injection-molded plastic and RP open layup produces the leisure boat.

the product to be designed and the designer's familiarity with particular

materials and processes.
Preparing a complete list of design constraints is a crucial first step in
plastic part design; failure to take this step can lead to costly errors. For
example, a designer might have an expensive injection mold prepared,
designed for a specific material's shrink value, only to discover belatedly
that the initial material chosen did not meet some overlooked design

Figure 1.44 RP parts on the Boeing 777.

Figure 1.45 How different plastics and molding processes can affect the design
details of a stiffening rib.

Oie

Hinge

Blow
molded port

Porison

Figure 1.46 An extrusion blow-molded container with a living hinge in the asmolded position.

constraint. Flammability, fiberglass fillers to provide a higher modulus,

and other requirements are best considered before a tool is made-otherwise, the designer may have the difficult if not impossible task of finding
a plastic that does meet all the design constraints, including the important
appropriate shrink value for the existing mold. Such desperation in the
last stages of a design project can and should be avoided. As emphasized
from one end of this book to the other, it is vital to set up a complete
checklist of product requirements, to preclude the possibility that a critical
requirement may be overlooked initially. Apparently impossible approaches and 'approaches7 to be avoided can often produce excellent
products, but it is easier to take the direction with the fewest problems.
Establishing initial design tolerances is often done on an arbitrary,
uninformed basis. If the initial estimated tolerance proves too great, a
lower-shrink plastic could be used to reduce the shrinkage range. But if
the key dimension is across a main parting line, the tooling could be
redesigned to eliminate the condition and consequently reduce variation
from tool construction. Even with all these data processed by a computer,
estimating tolerances is difficult if they are not properly interrelated with
the highly dependent factors of the part and processing capability.
PROCESS CONTROLS
Adequate process control (PC) and its associated instrumentation are
essential for product quality control (Figs 1.48 and 1.49). Sometimes the

After flexing 200% to 300%

elongation aligns the
polymer molecules

Figure 1.47 Molded living hinge in (a) the as-molded position and (b) a flexed
position (the dimensions are in inches).
goal is precise adherence to a control point, other times it is sufficient to
maintain the temperature within a comparatively narrow range. For effortless controller tuning and lowest initial cost, the processor should
select the simplest controller (of temperature, time, pressure, melt flow
rate, etc.) that will produce the desired results.
PCs for the individual machines and the complete fabricating line can
range from unsophisticated equipment to extremely sophisticated devices. They can (1) provide closed-loop control of temperature and/or
pressure, (2) maintain preset parameters for a process, (3) monitor and/or
correct machine operation, (4) constantly fine tune equipment, and (5)
provide consistency and repeatability in the operations. PC is not a toy or
a panacea; it demands a high level of expertise from the processor.
Based on the process control settings, different behaviors of the plastic
will occur. Regardless of the type of controls available, the processor

Process

Product

Information
on quality

Process
measures

Product
dimensions

Figure 1.48 Summarizing process contol in a simplified pattern.

PROCESS CONTROL MODEL

PROCESS
ANALYSIS

PROCESS
PARAMETERS

PRODUCT
REQUIREMENTS

FILLING PHASE
AND RATE

MODEL
FORMING

FOLLOW-UP
PRESSURE PHASE

PRODUCT
.CHARACTERISTICS

RNAL MACHINE
SETTINGS WITH
OPERATING RANGES

INTERFERENCE
MAGNITUDES

PROCESS MODEL

PROCESS
CLOSED-LOOP

PROCESS COMPUTER
MACHINE PARAMETER
CORRECTION

SET POINT

ACTUAL

CONTROL
SYSTEM

INTERFERENCE
MAGN(TUOES

FINISHED
PRODUCTS

Figure 1.49 A process control model.

setting up a machine uses a systematic approach that should be outlined

in the machine or control manuals. Once the machine is operating, the
processor methodically makes one change at a time, to determine the
result.
Temperature controls
Heat is usually applied in various amounts and in different locations,
whether in a metal plasticating barrel (extrusion, injection molding, etc.)
or in a metal mold/die (compression, injection, thermoforming, extrusion,
etc.). With barrels a thermocouple is usually embedded in the metal to
send a signal to a temperature controller. In turn it controls the electric
power output device regulating the power to the heater bands in different
zones of the barrel. The placement of the thermocouple temperature
sensor is extremely important. The heat flow in any medium sets up a
temperature gradient in that medium, just as the flow of water in a pipe
sets up a pressure drop, and the flow of electricity in a wire causes a
voltage drop.
The introduction of automatic reset into controllers for the plastic processor has made it possible to hold the temperature constant even in the
presence of extremely long lags. Automatic reset is a characteristic added
to a proportional controller that functions as an integrating or averaging
system, looking at the droop, or temperature error, over a period of time
and adjusting the output so the droop goes to zero. As a result, the actual
temperature goes to the set point. Automatic reset is almost always used
with an additional 'rate7 term, which adds an anticipatory characteristic
that does not affect steady-state performance but does speed up the response to changes in operating conditions. A modern proportional plus
automatic reset plus rate, a three-mode controller, is capable of controlling
within I 0 F (0.60C) of the set point all the way from full heating to full
cooling, even when controlling from a deep-well sensor.

Timing and sequencing

Most processes operate more efficiently when functions must occur in a
desired time sequence or at prescribed intervals of time. In the past,
mechanical timers and logic relays were used. Now electronic logic and
timing devices predominate, based on the so-called programmable logic
controller. These devices provide sophisticated sequencing and timing,
and lend themselves easily to reprogramming if it becomes necessary.
Different suppliers provide special consoles that can be plugged in, and
logic sequences can be added using 'ladder diagrams', which represent
the desired functions and/or timing.

Screw speed control

Many processes require speed controls. Performance and reliability of
these controls are very similar to those of the temperature controls - you
get what you purchase. Like temperature controllers, the early speed
controllers were mechanical. Speeds were held within 5%, producing
poor plastic melt control. Where better speed control is desired, the solution is the same as in temperature control; only the equipment names are
changed. A device is added to the motor, and an integral characteristic is
provided, corresponding to the automatic reset with heat. It brings the
speed closer to the set point. A derivative characteristic, corresponding to
the rate in heat, ensures a prompt response to any upsets.
The arguments for the use of integral or derivative control of speed are
the same as for temperature. Different systems are available, the latest
being the all-digital speed control on plastic processing machines that
require speed control. These speed controls permit accuracies of 0.5% or
less. An all-digital phase-locked loop system permits all motors in a machine and/or a processing line to be synchronized with each other exactly
or in a desired speed ratio, just as if they were mechanically geared
together.
Weight, thickness, and size controls
By controlling important factors such as final product weight, thickness,
and/or size, enhanced product performance and a lower product cost can
definitely be achieved. Many different systems are used to ensure product
performance (from different suppliers), so product controls will directly
influence process control [1-4]. In controlling the feeding of many processes, it is very important to meter material accurately by volume and/
or weight.
Microprocessor control systems
Many microprocessor systems are available to control all of the different
sequences required, including those described in this book for all the
different processes. Some are dedicated and have been designed for specific processes. All these systems consist of electronic devices that can
receive and store all types of information (upstream activities like machine operation, melt process, and materials handling, as well as downstream operations like takeoff, weighing, quality control, decorating, and
packaging, plus other activities besides). Some microprocessors can be
programmed to make decisions on inputs and/or machine operation
responses. These devices have memories that can store and retrieve all the
pertinent data.

Today's microprocessors react and scan inputs quickly; a time of 10ms

includes all this as well as mathematical analysis. Tomorrow's systems
will do even more, so it is important to consider using microprocessors
that can be easily updated and integrated with new developments to
improve performance and cost of products.
Problems in process control
Purchasing a sophisticated process control system is not a foolproof solution that will guarantee perfect parts. Solving problems requires a full
understanding of their causes, which may not be as obvious as they first
appear. Failure to identify contributing factors when problems arise can
easily prevent the microprocessor from doing its job. The conventional
place to start troubleshooting a problem is with the basics: temperature,
time, and pressure limits. A problem may often be very subtle, such as a
faulty control device or an operator making random control adjustments.
Process controls cannot usually compensate for such extraneous conditions; however, if desired, they may be included in a program that provides the capability to add functions as needed.
Most controls, particularly the older ones, are open-loop controls. They
merely set mechanical or electrical devices to some operating temperature, time, and pressure. If this is all that is required, the control may
remain in operation. However, this setup is subject to a variety of hard-toobserve disturbances that are not compensated by open-loop controls.
Process control must therefore close the loop to eliminate the effect of
process disturbances.
There are two basic approaches to problem solving: (1) find and correct
the problem, applying only the controls needed; or (2) overcome the
problem with an appropriate process control strategy. The approach one
selects depends on the nature of the processing problem, and whether
enough time and money are available to correct it. Process controls usually provide the most economical solution. To make the right decision, one
must systematically measure the magnitude of the disturbances, relate
them to product quality, and identify their cause so that proper control
action can be taken.
Before investing in a more expensive system, the processor should
methodically determine the exact nature of the problem, to decide
whether or not a better control system is available and will solve it. For
example, the temperature differential across a mold (for injection
molding, etc.) can cause uneven thermal mold growth. The mold growth
can also be influenced by uneven heat on tie-bars (uppers can be hotter,
causing platens to bend, and this, change may be reflected on the mold).
Once the cause is determined, appropriate corrective action can be taken.
(For example, if the mold heat has varied, perhaps all that is needed is to

close a large garage door nearby, to eliminate the flow of air over the
problem mold; or perhaps it is sufficient to change the direction of flow
from an air-conditioning duct.)

PROCESSORS
This is the part of the plastics industry where advances in materials and
machinery are combined to create the finished products that the consuming public buys, products that range from the triviality of swizzle sticks to
the lifesaving glory of an artificial heart. There are three types of processor: custom, captive, and proprietary.
Custom
These are operations that in the metalworking field might be known as job
shops. They process plastics into components for other manufacturers to
use in their products. For example, a manufacturer of refrigerators may
retain a custom thermoformer to make inner door liners. Or a typewriter
manufacturer may have keys made by a custom molder. Custom processors typically have a close relationship with the companies for whom they
work. They may be involved (to varying degrees) in the design of the part
and the mold, they may have a voice in material selection, and in general
they assume a reasonable level of responsibility for the work they turn
out. There is a subgroup in custom processing known as 'contract'
molders, They have little involvement in the business of their customers.
In effect, they just sell machine time.

Captive
These are operations of manufacturers who have acquired plastics
processing equipment to make parts they need for the product they manufacture. For example, a car maker may install equipment to mold accelerator pedals, or instrument cluster housings (rather than have a custom
molder produce them). A refrigerator manufacturer may acquire a
thermoforming machine to produce inner door liners. Generally speaking, manufacturers will install a captive plastics processing operation only
when their component requirements are large enough to make it economical. Some manufacturers who are big enough to run their own plastics
shops will nevertheless place a portion of their requirements with outside
vendors to keep their own capital investment down, to avoid internal
single-source supply, and to maintain contact with the market and the
pricing intelligence it provides. Automobile makers are a good example of
this type of operation.

Proprietary
These are operations where the molder makes a product for sale directly
to the public under his or her own name. Boonton Molding Co. (no longer
in existence) made melamine dinnerware sold to the public under the
Boontonware label.
ADVANTAGES AND DISADVANTAGES
Like any process (metals, etc.), materials (steel, etc.), products, people,
governments, etc., nothing reaches 'perfection', so it is best to recognize that limitations exist. Disadvantages exist when limitations are not
recognized.
Achievable program plans begin with the recognition that smooth does
not mean perfect. Perfection is an unrealistic ideal. It is a fact of life that the
further someone is removed from a task, the more they are apt to expect
perfection from those performing it. The expectation of perfection blocks
genuine communication between workers, departments, management,
customers, and vendors. Therefore, one can define a smoothly run program as one that creates a product which meets the specifications, is
delivered on time, falls within the price guidelines, and stays close to
budget. Perfection is never reached; there is always room for more development. To live is to change, and to approach perfection is to have
changed often (in the right direction).
Troubleshooting
With all the types of plastics processes, troubleshooting guides are set up
to take fast, corrective action when products do not meet their performance requirements. Guides are provided in the following chapters. A
simplified approach to troubleshooting is to develop a checklist that incorporates the rules of problem solving such as (a) have a plan and keep
updating it based on the experience gained; (b) watch the processing
conditions; (c) change only one condition or control at a time; (d) allow
sufficient time for each change, keeping an accurate log of each; (e) check
housekeeping, storage areas, granulators, etc.; (f) narrow the range of
areas in which the problem belongs, e.g. machine, molds or dies, operating controls, material, part design, environment (humidity, ventilation,
etc.), people and management.
When a startup for a process is conducted, the operator will set the
operation in all its different modes of operation going from not enough (or
too little) to more than what is required to fabricate acceptable products.
This approach follows the FALLO approach (Fig. 1.1, page 2). By going
through all these setups, one becomes exposed to many, perhaps all,

problems that will develop when the process is not producing acceptable
products. One could record all the problems encountered and how they
were corrected. This would set up a troubleshooting guide, targeting for
what is known as total control.

Injection molding

BASIC PROCESS
The injection molding machine (IMM) basically goes through the following stages:
Plasticizing: heating and melting of the plastics and venting of the melt.
Injection: injecting under pressure of the melt into the closed mold, solidification of the plastics begins on the cavity walls.
After-filling: maintaining the injected material under pressure for a specific time period to prevent backflow of melt and to compensate for the
decrease in volume of melt during solidification.
Cooling: cooling the molded part until it is sufficiently rigid to be ejected.
Mold release: opening the mold, ejection of the molding and closing the
mold so it is ready for the next cycle.
Thus, the IMM features two basic components: an injection unit to melt
and transfer the plastic into the mold and a clamping unit to close and
open the mold.
The IM process is extremely useful since it permits the manufacture of
very complex shapes and their three dimensions can be more accurately
controlled and predicted than with other processes. Its operation is more
complex than other processes, so IM needs to be thoroughly understood
[I]. Figures 2.1 to 2.4 are schematics of the load profile and the molding
cycle, schematics which highlight the way in which the melt is plasticized
(softened) and forced into the mold.
The injection unit (also called plasticator or extruder) melts the plastic
then injects it into the mold with controlled pressure, temperature, and
rate (time). It uses two basic injection units: a two-stage unit (screw
preplasticator) and a reciprocating screw. A two-stage unit uses a fixed
plasticating screw (first stage) to feed melted plastic into a chamber (second stage). A plunger then forces the melt into the mold. Its advantages

MOID
AREA

CLAMP
CYlIWCT

INJECTION
UNIT

CONTROL
CABINET

Figure 2.1 General layout for an injection molding machine.

Nozzle

Screw
2.25 in. dia.
(4 sq. in.)

Hopper

Sprue
Mold
Runner
Gate 12,000 psi
Molded part
4,000 psi

Hydraulic
Cylinder,
7.16 in dia.
(40 sq. in.)

Oil from
pump
# 2,000 psi

Figure 2.2 Pressure loading on a plastic melt during injection molding.

are consistent melt quality, high pressures, fast rates, accurate shot size
control, product clarity, molding very thin-walled parts, etc. Disadvantages include uneven residence time, higher equipment costs, and increased maintenance.
The reciprocating screw injection unit is most commonly used; it melts
and injects the plastic without a plunger (no separate second-stage unit).
Plastic is melted in the machine's barrel and transferred to the nozzle end
of the machine by a rotating screw. The accumulation of melt at the screw
tip forces the screw towards the rear of the machine until enough material
is collected for a shot (shot represents the volume of melt required in the
mold cavity or cavities). The screw is then driven forward, forcing the
melt into the mold (the screw is normally not turning; it acts like a

Press
No. 3

Hopper and accumulator

Shown Sideways for
Illustration
Accumulator
24:1 or 30:1 L/D Extruder

Press
No. 2

Nozzles Have
Positive Shut-Off
Operator's Console
Press
No. 1

Direct
Drive
Hyd. Power Unit

Figure 2.3 A two-stage machine with three clamping presses.

COMPLETE CYCLE
COOLING

SCREW-RAM
TRAVEL
PLASTIC COOLING IN MOLD
8 SEC
47 SEC.
MOLD MOLD
FILL PA C KI N G DWELL
RAM
FREE
GATE
SHRINKAGE OCCURS
TRAVEL
SEAL
I N MOLD
TIME
17 SEC

EJECTION

MOLD OPEN
PART REMOVAL
MOLD CLOSED

INJECTION

Figure 2.4 An injection molding cycle for processing thermoplastics (TPs).

Figure 2.5 Reciprocating screw sequence of operations: (a) injection, screw moves
axially forward; (b) shot preparation, screw rotates and retracts; (c) soak or idle, no
screw movement.
plunger, as shown in Fig. 2.5). Different designs of screw-tip nonreturn
valves are used at the end of the barrel to prevent melt from flowing back
along the screw when it acts as a plunger (Fig. 2.6).
The advantages of reciprocating screw units include reduced residence
time, self-cleaning screw action, accurate and responsive injection control.
These advantages are key to processing heat-sensitive materials or when
making color or resin changes. They offer repeatable part-to-part consistency and the capability to produce increasingly complex parts with faster
cycle times and meeting tight tolerances.
Even though most of the literature on processing (even in this book)
specifically identifies or refers to TPs (representing at least 90wt%) some
TSs are processed. During injection molding the TPs reach maximum heat
before entering a cool mold, whereas TSs reach maximum temperature in
hot molds (Fig. 1.10, page 29).

Machine characteristics
IMMs are characterized by their shot capacity, plasticizing capacity, rate
of injection, injection pressure and clamp pressure (or mold-locking
force). Shot capacity may be given in terms of the maximum weight that
can be injected per shot, usually quoted (as a standard) in grams or ounces
of general-purpose polystyrene. This depends on the swept volume of the
cylinder during one stroke of the plunger and on the volumetric capacity
of the feed mechanism, so it is necessary to correct for bulk density and
specific gravity when dealing with other materials. A better way of expressing shot capacity is in terms of the volume of material which can be
injected into a mold at a specific pressure.

DISCHARGE

BALL
BALL SEAT

NOSE CONE
RETAINER PIN

INLETS
BODY

Figure 2.6 Basic screw-tip design: (a) plain or smearhead (disassmebled); (b)
sliding ring (disassembled); (c) ball check (assembled).

One of the factors affecting the output of an IMM is the plasticizing

capacity, usually defined as the plastic weight per hour of a particular
material that can be brought to temperature required for molding. Injection rate is also an important factor in determining the output of the
machine; it is usually expressed as the volume of material discharged per
second through the nozzle during a normal injection stroke. This obviously depends on pressure, temperature, material used, and on the size of
the smallest aperture in the flow line. With low-viscosity materials and
fairly large gates, etc., the plunger speed may be a limiting factor.
The injection pressure is the pressure exerted by the face of the plunger
and can vary from about 2000psi (14MPa) to 30000psi (20OMPa). Pressure losses in the system mean that pressure in the mold cavity or cavities
is much less than the plunger pressure. Nevertheless, the actual force
exerted on the inside surface of the mold is large if the projected area (in
line with the pressure) of the mold is large. The clamp pressure is therefore an important factor in determining the maximum projected area that
can be molded on a particular machine.

Machine types
The range of injection molding machines is extremely wide. Apart from
their different shot capacities - from a few grams to many kilograms
(Fig. 2.7) - there are IMMs that run with or without preplasticizing, IMMs
that run automatically or semiautomatically and IMMs using shuttle or
rotary molds. And the preplasticizer can be inline, piggyback, or in a
variety of other designs. Giant machines with kilogram shot capacities use
at least two or three plasticizers operating in a parallel flow pattern.
Development of the larger IMMs has not been due solely to the demand
for larger single moldings; economies of scale also apply. One machine
with a 4 oz (113g) shot size is slightly cheaper than two machines with a
2 oz (57 g) shot size, so there is a tendency to use larger machines with
multicavity molds. However, the flexibility of operation is a point in favor
of single-mold faster-cycle machines. Another factor to be considered is
where several different-colored moldings are required, and it may be
better to run several smaller machines rather than one large machine
using multicavity molds. The larger machines with multicavity molds
have a cost advantage because they produce parts at a faster rate. The
approach to be used on deciding size and number of machines depends
on one's knowledge and capability of IM; the mulicavity molds (128
cavities and upwards) have continued to be very popular. Another important factor is quantity and future orders.
A different approach is the use of shuttle and rotary mold machines [1],
where a single IMM feeds several molds. Another approach is multicolor

MoW Closed

Mold Open
Figure 2.7 Injection shot capacity for this Billion machine is 350 Ib (177kg); its
clamping capacity is 10 000 tons. A, approach cylinders; B, clamp cylinders; C,
locking cylinders; D, ejector; E, pivoting cylinder (closing); F, returning cylinder;
G, pivoting plate; H, support plate; and J, pivoting cylinder (opening).
molding using a rotary horizontal table or rotary vertical platform on a
vertical IMM platen. Two or more colors are used (with two or more
plasticators for each color or resin). Take three colors as an example. The
first color is injected and the mold opens, then the mold with plastic
automatically rotates 120, matching a mold half that provides a cavity
only for the second color. It rotates a further 120 to the third position,
matching a cavity only for the third color. There is great controversy over
the economics of these machines, but they continue to be used where they
appear to be feasible.
Machine variables
For any particular material, successful molding is determined by part and
mold design, and the correct setting of the following variables.
Injection pressure
Injection pressures can vary quite widely; they depend on mold design
and the machine size. In general, the aim is to use minimum pressure to
produce full-shot moldings free from such defects as surface sink marks
or voids. Excess pressure should be avoided as this could lead to flashing
(escape of material from the mold parting lines).

Cylinder temperature
The object of heating the molding material is to bring it to a suitably
plasticized condition by the time it is ready for injection to the mold
cavities. The temperature of the material depends not only on the temperature of the cylinder but also on the rate at which the material passes
through it. Uniform heating of the material therefore depends on accurate
temperature control of the heating cylinder and on strict control of the
time cycle. Heating is usually carried out by band heaters on the outside
walls of the heated cylinder. The band heaters are arranged in two or three
zones, each controlled separately. Thin-walled moldings require higher
cylinder temperatures than thick sections. This is because they require less
time to freeze (solidify) in the mold, reducing the overall time cycle and,
consequently, the residence time of the molding material in the heating
cylinder (Chapter 3).
Cycle time
From the standpoint of economics, the aim should be the minimum time
for each part of the molding cycle consistent with good-quality molding.
The injection stroke speed was mainly governed by the viscosity of the
material (and therefore the material temperature), the ram pressure, and
the minimum aperture size in the flow line. The minimum ram-forward
time is governed by the required duration of the pressure. If pressure is
removed too early from the molding, surface sinking or internal voiding
can occur; it is therefore essential that the gate should freeze off completely before the ram is retracted.
Mold temperature
The aim is constant mold temperature, below the softening point of the
material; this is normally carried out by circulation of a constanttemperature fluid through channels in the mold. With TSs it is above the
melt temperature, usually using electric heating elements in the mold.
Productivity and cycle time
Productivity is directly related to cycle time. There is usually considerable
common knowledge about part geometry and process conditions that will
provide a minimum cycle time. Solidification time will be decreased by
using thinner wall sections, cold versus hot runners for TPs, or hot versus
cold for TSs, narrow sprues and runners, optimal size and location of
coolant (or heat) channels, and lower melt/mold heat when possible.
Numerous factors affect the elapsed time required to eject a part, as
different plastics can have dramatically different melt behaviors. Many

of these influences are poorly understood. Some critical factors are the
coefficient of expansion, melt rheology, thermal diffusivity, and the
thermomechanical spectrum (Chapter 1). Although the usual and important ways to optimize time are based on part design and process conditions, it can be shown that additional and significant decreases occur by
using modified molding compounds via additives, alloying ratios, molecular weight distribution, and so on (Chapter 1).
Mathematical models of part geometry and melt flow within the mold
cavity, which are available for mold design, are useful tools for optimizing
cycle times. They allow a wide variety of plastics materials and process
parameters to be evaluated in a convenient and cost-effective manner.
Computer-aided design (CAD) and computer-aided engineering (CAE)
algorithms offer a continually higher level of sophistication in determining the best heat distribution throughout the part. In practice the parts are
not ejected according to a measurement of the internal or wall temperature. Ejection times are set through secondary thermal characteristics of a
part, such as its ability to withstand the forces of ejection, the occurrence
of sink marks or other thermal warpage, and the overall gloss or appearance. The prediction of sink marks appears amenable to CAD/CAE. Part
appearance still plays a larger role in the art of IM.
Material movement and setup
Plastic moves from the hopper onto the feeding portion of the reciprocating extruder screw. The flights of the rotating screw cause the material to
move through a heated 'extruder' barrel, where it softens (is made fluid)
so it can be fed into the shot chamber (front of screw). This motion
generates pressure, usually 50-300 psi (0.3-2MPa), which causes the
screw to retract. When the preset limit is reached, the shot size is met and
the screw stops rotating; at a preset time the screw acts as a ram to push
the melt into the mold. Injection takes place at high pressure, up to
30 000 psi (20OMPa) melt pressure in the nozzle. Adequate clamping pressure must be used to eliminate mold opening (flashing). The melt pressure
within the mold cavity ranges from 1-15 tons in.2 (14-21OMPa), and depends on the plastic's rheology or flow behavior (Chapter 1).
Time, temperature, and pressure controls indicate whether performance requirements of a molded part are met. Time factors include rate of
injection, duration of ram pressure, time of cooling, time of plastication,
and screw RPM (Fig. 2.4, page 123). Pressure factors are injection high and
low pressure, back pressure on the extruder screw, and pressure loss
before the plastic enters the cavity, which can be caused by a variety of
restrictions in the mold (Fig. 2.8). Temperature factors are mold (cavity
and core), barrel and nozzle temperatures, as well as the melt temperature
due to back pressure, screw speed, frictional heat, and so on (Fig. 2.9).

CAVITY PRESSURE

CAVITY PRESSURE PROFILE

/ Monitored by Pressure Transducer \
\ Located in Cavity Near Gate /
Dvershoot (Peak Pressure)
Boost Cutoff

Shrinkage
During S
Hold/
Gate
Freeze

Dynamic Pressure
AfterFeed
Holding Packing

Filling of the Cavity

Filling of
Sprue and Runner

Finish
INJECTION RAM POSITION
Figure 2.8 Cavity pressure profile.

HEATRISE
AT
MOLDGATE

MOLD
HEAT

HEATRISE
HEAT
AT
DUETO NOZZLE
SCREW
WORK
BARREL
TEMR
TEAAR

PLASTICIZING

CURE TIME

START
FINISH
For thermoplastics, curve is similar from start to heat rise at gate and thereafter it goes down during
its cooling time period.
Figure 2.9 Thermal load profile during injection molding of thermosets (TSs). (For
TPs the curve is similar from the start to the heat rise at the gate; thereafter it
descends during its cooling time period.)

Nozzle Melt Temperature

Mold Temperature
Runner Temperature
Heat
Cycle Time

Fill Time
Ram Stroke
Plasticate Time

Melt Viscosity
Melt Compressibility
Shot Size Distance
Pull Back Distance
Material
Boost Pressure
Boost Flow
Back Pressure
Back Pressure Build Up Time
Back Pressure Build Up Rate

Peak Hydraulic Pressure

Peak Plastic Pressure

Hold Pressure
Hold Pressure Build up Time
Hold Pressure Build up Rate

Average Hold Pressure

Screw RPM
Screw Condition
Screw Tip
Final Fil Speed
Overall FiII Speed
Machine Friction
Average Back Pressure

Cure Time
Clamp Opening Time
Clamp Closing Time
Clamp Open Time
Hold Timer Setting

Figure 2.10 Injection molding machine controls.

Material
Screw RPM
Back Pressure
Barrel Heats

Virgin
Fillers
Regrind
Reinforcements

Table 2.1 Guide for injection molding and extrusion machine settings3

C
O

-S

U
S^?

Resin datab
ABS, extrusion
ABS, injection
Acetal, injection
Acrylic, extrusion
Acrylic, injection
CAB
Cellulose acetate, extrusion
Cellulose acetate, injection
Cellulose proprionate, extrusion
Cellulose proprionate, injection
CTFE
FEP
Ionomer, extrusion
Ionomer, injection
Nylon-6

'^
S
CX)
O
^
<-0U

1.02
1.05
1.41
1.19
1.16
1.20
1.28
1.26
1.22
1.22
2.11
2.11
0.95
0.95
1.13

L
^
^
CDS
<x>
Q

64.0
65.0
88.0
74.3
72.0
74.6
80.2
79.0
76.1
75.5
134.0
134.0
59.6
59.1
70.5

1
S
1
&
U
coL

27.0
26.0
19.7
23.3
24.1
23.1
21.6
21.9
22.7
22.9
13.1
12.9
29.0
29.2
24.5

JSQ
S<sj
^i
^s
u
>S-

S
^
1
SL
S
S^
S
SCD
I

*
0.980
0.952
0.709
0.839
0.868
0.833
0.781
0.794
0.821
0.828
0.473
0.465
1.050
1.060
0.886

i-
O
S
I
I
<X>
K
S
."
^-R"*H

435
500
390
375
380
380

450
440
450

380
600
500

520

425
550
600
420
550

SL>
I
'C
CD
^S
"og
I
Ll

0.005
0.005
0.020
0.004
0.005
0.004
0.005
0.005
0.004
0.004
0.008
0.010
0.007
0.007
0.013

?
fe
3
S
I
1
S
^
0.34
0.40
0.35
0.35
0.35
0.35
0.40
0.36
0.40
0.40
0.22
0.28
0.54
0.54
0.40

^
^
CM
S
S
d
eO
+SZV)

0.25
0.40
0.25
0.30
0.20
1.50
2.50
2.40
1.70
2.00
0.01
<0.0l
0.07
0.20
1.60

CD
Ko .H>
^^
fc
1
S5
I
S^
^
Ji
K S
i*? "S

0.20
0.08
0.15
0.20
0.25

0.15

Nylon-6,6
Nylon-6,10
Nylon-6,12
Nylon-11
Nylon-12
Phenylene oxide based
Polyallomer
Polyarylene ether
Polycarbonate
Polyester PBT
Polyester PET
HD polyethylene, extrusion
HD polyethylene, injection
HD polyethylene, blow molding
LD polyethylene, film
LD polyethylene, injection
LD polyethylene, wire
LD polyethylene, ext. coating
LLD polyethylene, extrusion
LLD polyethylene, injection
Polypropylene, extrusion
Polypropylene, injection
Polystyrene, impact sheet
Polystyrene, gp crystal
Polystyrene, injection impact
Polysulfone
Polyurethane
PVC, rigid profiles
PVC, pipe

1.14
1.08
1.07
1.04
1.02
1.08
0.90
1.06
1.20
1.34
1.31
0.96
0.95
0.95
0.92
0.92
0.92
0.92
0.92
0.93
0.91
0.90
1.04
1.05
1.04
1.25
1.20
1.39
1.44

71.2
67.4
66.8
64.9
63.7
67.5
56.2
66.2
74.9
83.6
8.18
59.9
59.3
56.9
57.44
57.4
57.4
57.1
57.4
58.0
56.8
56.2
64.9
65.5
64.9
77.4
74.9
86.6
87.5

24.3
25.6
25.9
26.6
27.1
25.6
30.7
30.7
23.1
20.7
21.1
28.8
29.1
28.8
30.1
30.1
30.1
30.0
30.1
29.8
30.4
30.7
26.6
26.2
26.6
22.3
23.1
19.9
19.7

0.878
0.927
0.935
0.962
0.980
0.926
1.110
0.940
0.832
0.746
0.746
1.040
1.050
1.040
1.090
1.090
1.090
1.090
1.087
1.075
1.100
1.110
0.963
0.943
0.968
0.807
0.834
0.720
0.714

510
475
460
450
480
405
460
550
480
410

510
450
500
450
445
525
405
535
575
460
490
480

410
350
400
400
600
500

0.015
0.011
0.011
0.005
0.003
0.006
0.015
0.006
0.006
0.020
0.002
0.025
0.025
0.025
0.032
0.032
0.025
0.025

0.40
0.40
0.40
0.47

0.40
0.55
0.55
0.55
0.55
0.55
0.55
0.55

1.50
0.40
0.40
0.30
0.25
0.07
0.01
0.10
0.20
0.08
0.10
<0.01
<0.01
<0.01
<0.01
<0.01
<0.01
<0.01

0.005
0.018
0.005
0.004
0.006
0.007
0.020
0.025
0.025

0.50
0.50
0.34
0.32
0.34
0.28
0.40
0.25
0.25

0.03
<0.01
0.10
0.03
0.10
0.30
0.10
0.02
0.10

0.32
0.50
0.30

0.15
0.15
0.20
0.10
0.10

0.02
0.04
0.005

425
450
490
450
410
650
400
365
380

425
440
680
400

0.05
0.03

Table 2.1 Continued

Resin datab
PVC, rigid injection
PVC, flexible wire
PVC, flexible extruded shapes
PVC, flexible injection
PTFE
SAN
TFE
Urethane elastomers
a

1.29
1.37
1.23
1.29
2.16
1.08
1.70
0.83

83.6
85.5
76.8
80.5
134.8
67.4
106.1
51.6

21.0
20.2
22.5
21.4
12.9
25.6
16.3
33.5

0.756
0.731
0.814
0.776
0.464
0.927
0.589
1.210

380
300

0.025
0.025
0.025
0.025

470
610
400

0.005
0.040
0.001

365
350
420
390

0.25

0.10

0.25
0.31
0.46
0.46

<0.01
0.03
0.01
0.07

0.07

0.02
0.03

Specific information on all machine settings and plastic properties is initially acquired by using the resin supplier's data sheet on the particular
compound
or resin to be used.
b
These are strictly typical average values for a resin class; consult your resin supplier for values and more accurate information.

The large number of variables summarized in Fig. 2.10 (page 131) will
cause part changes if not controlled properly. Basic settings for these
variables are provided by the plastic producer: the injection barrel temperature (Table 2.1), the cavity melt pressure, and so on. However, the
final setting are determined by the processor on a specific machine and
mold.
SCREW/BARREL PERFORMANCE
The screw is a helically flighted, hard steel shaft which rotates within a
plasticizing barrel to mechanically process and advance a plastic being
prepared for processes such as IM, extrusion, or blow molding (Chapters
3 and 4). Regarding the conventional reciprocating single screw, Figs 2.11
and 2.12 explain the melt action of the plastics as it travels around the
screw inside the barrel.
This review concerns processing TPs. TS plastics are also processed
through IMMs, but the screw is usually limited in design having an L/D
of 1 (L/D to be explained later) and the barrel provides heat usually via
hot water. The TS cannot be permitted to overheat in the barrel as it will
solidify (Fig. 1.10, page 29). If it does, the screw must be removed from the
barrel and the hard TS removed from the screw. With TPs the material
cannot be permitted to cool in the cylinder as it will solidify. If it solidifies,
the screw is generally removed from the barrel, in turn removing the solid
TP.
With nearly all machines, only the cylinder temperature is directly
controlled. The actual heat of the melt, within the screw and as it is ejected
from the nozzle, can vary considerably, depending on the efficiency of the
screw design and the method of operation. Factors affecting melt heat
include the time plastic remains in the cylinder (the residence time); the
internal surface heating area of the cylinder and the screw per volume of
material being heated; the thermal conductivity of the cylinder, screw,
and plastic (Table 1.28, page 86); the heat differential between the cylinder
and the melt; and the amount of melt turbulence in the cylinder. In
designing the screw, a balance must be maintained between the need to
provide adequate time for heat exposure and the need to maximize output
most economically.
In general, heat transfer problems have led screw designers to concentrate on turning screws into more efficient heat transfer devices. As a
result, the internal design and performance of screws vary considerably to
accommodate the different plastics that are used. Most machines are
single, constant-pitch, metering-type screws to handle the majority of
plastics (Figs 2.11 and 2.12).
Plastic in the screw channel is subject to changing experiences as the
screw operation changes during the cycle. Each operation of the screw,

SHAMK LENGTH
SHANK STYLES VARY
FROM DIFFERENT
MANUFACTURERS

RCAR
RADIUS

FEED POCKCT
OCARING
WIDTH

FRONT
^RADIUS

FEED
DCPTM

OVERALL
LEMGTH (O.AjJ
FLIGHT
LENGTH (FL)OUTSIDE
DIAMETER

PITCH
(LEAD)

FLIGHT
WIDTH

MfTtUING
OCPTM

REOISTDR
WIDTH

ROOT DIAMCTER
FEED SECTION
CONSTANT ROOT DIA

VALVE

TRANSITION
INVOLUTE TAPCR

Figure 2.11 Screw nomenclature.

MCTEMIMG SCCTION
CONSTANT ROOT DIA

Figure 2.12 Cutout of a Negri Bossi injection unit (plasticizing unit) using a
reciprocating screw with a squash-plate hydraulic drive.

Figure 2.13 Melt model for a standard screw.

whether it is moving forward, rotating and retracting during shot preparation or static during an idle period, subjects the plastic to different
thermal and shear situations. Consequently, the IM plasticating process
becomes rather complex, but it is controllable and repeatable within the
limits of equipment capability. At a fixed screw speed, the screw pitch,
diameter, and channel depth determine output. A deep-channel screw is
much more sensitive to pressure changes than a shallow-channel screw. In
the lower pressure range, a deep channel will provide more output; however, the reverse is true at high pressures. Shallower channels tend to give
better mixing and flow patterns. Although the screw is usually a simplelooking device, its three sections accomplish many different operations at
the same time: (1) solids conveying or feeding; (2) compressing, melting,
and pressurizing the melt; and (3) mixing, melt refinement, and pressuretemperature stabilization (Fig. 2.13).
Hypothetical data on screws are given in Table 2.2, which provides
some examples of variations on the same length-to-diameter screw
processing different plastics. In reality, the LID ratios (flight length/out-

Table 2.2 Hypothetical screw designs for general types of plastic

Dimensions (in.)

Rigid
PVC

Impact
polystyrene

Low-density
polyethylene

High-density
polyethylene

Nylon

Cellulose
acetate/butyrate

Diameter
Total length
Feed zone (F)
Compression zone
Metering zone (M)
Depth (M)
Depth (F)

4V2
90
13V2
76V2
O
0.200
0.600

4V2
90
27
18
45
0.140
0.600

4V2
90
22V2
45
22V2
0.125
0.600

4V2
90
36
18
36
0.155
0.650

4V2
90
67V2
4V2
18
0.125
0.650

4V2
90
O
90
O
0.125
0.600

side diameter) vary according to the rheology of the resin. Advantages of

a short L/D are lower residence time in the barrel, so heat-sensitive resins
need not be kept at melt heat for so long, lessening the chance of degradation; the design occupies less space; it requires less torque, making the
screw strength and amount of horsepower less important; and it requires
a smaller investment cost, both initially and for replacement parts. Advantages of a long L/D are the screw can be designed for a greater output or
recovery rate, provided that sufficient torque is available; it can be designed for more uniform output and greater mixing; it will pump at
higher pressures and give greater melting with less shear, as well as
providing more conductive heat from the barrel.
The compression ratio (CR) relates to compression that occurs on the
resin in the transition section; it is the ratio of the volume at the start of the
feed section divided by the volume in the metering section (determined
by dividing the feed depth by the metering depth). The CR should be high
enough to compress the low-bulk unmelted resin into a solid melt without
air pockets. A low ratio will tend to entrap air bubbles. High percentages
of regrind, powders, and other low-bulk materials will be achieved by a
high compression ratio. A high CR can overpump the metering section. A
common misconception is that engineering and heat-sensitive resins
should use a low CR. This is true only if it is decreased by deepening the
metering section, not by making the feed section shallower. The problem
of overheating is related more to channel depths and shear rates than to
CR. As an example, a high CR in polyolefins can cause melt blocks in the
transition section, leading to rapid wear of the screw and/or barrel. CR is
usually zero for processing TS material; this helps to prevent overheating,
which could cause the melt to solidify in the barrel. But should there be
any melt solidification, the zero CR makes it easy to remove - remove the
nozzle, and the solid can be 'unscrewed'. Zero ratios are also used for TPs
when the rheology so requires.
The output of a metering screw is fairly predictable, provided the melt
is under control. With a square-pitch screw (a conventional screw where

the distance from flight to flight is equal to the diameter), a simplified

formula for rate or output is
R = 23D2HgN
where R = rate or output (Ib tf1), D = screw diameter (in.)/ h = depth of the
metering section (in.) (for a two-stage screw use the depth of the first
metering section), g = gravity of the melt, and N = screw RPM.
This formula does not take into account backflow and leakage flow over
the flights. These flows are not usually a significant factor unless the resin
has a very low viscosity during processing, or the screw is worn out. The
formula assumes pumping against low pressure, giving no consideration
to melt quality and leakage flow of screws with a severely worn outside
diameter (OD). Despite these and other limitations, the formula can still
provide a general guide to output. If the output is significantly greater,
caused by a high CR that overpumps the metering section, it may sometimes be desirable but it can lead to surging and rapid screw wear if it is
excessive. If the output is a lot less than estimated, it usually indicates a
feed problem or a worn screw and/or barrel. A feeding problem can
sometimes be corrected by changes in the barrel heat. More often the
probem is caused by factors such as screw design, shape and bulk density
of the feedstock, surface conditions of the screw root, and the screw heat.
The problem of screw/barrel wear can be assessed by measuring the
screw/barrel.
An accurate method used to determine output loss due to screw wear
is to compare the worn screw's current output with the initial production
benchmark, originally determined by shooting into a bucket to check the
shot weight. Another approach is to measure the worn screw's clearance
to the barrel wall (W), which is used along with the original measured
screw clearance (O) and the metering depth (M) from the screw root to the
barrel wall. Here the approximate percentage output loss (OL) with constant RPM is calculated from
OL = (W-0)/MxlOO
Mixing devices
Processors have developed an almost universally accepted model for
melting in a single screw (Fig. 2.11, page 136). This model, which is the
basis for most computer simulations, has been demonstrated to be correct
by many freeze tests. The model shows how the plastic goes from the solid
state to a melt as it moves through the action of the controlled screw and
barrel. The results describe such relationships as high output via deep
screws, low melt temperatures via deep screws, and melt quality via
shallow screws. For these different situations, solutions have been devel-

oped to provide good mixing and product uniformity at high production

rates without excessive melt heat.
A variety of different mixing and barrier screws (principally used in
extruders, Chapter 3), designed to improve melt processability with high
output, can be used to meet the different flow requirements of the various
plastics. The Dulmage Mixer (Dow Chemical), one of the first, is usually
located at the end of the screw. It has a series of semicircular grooves cut
on a long helix in the direction of the screw flights. These grooves interrupt laminar flow by dividing and recombining the melt many times, like
a static mixer. Mixing pins placed radially in the screw root, using different patterns and shapes, improves performance. The Maddock Mixer
(Union Carbide) is a series of opposed, semicircular grooves along the
screw exit. Alternate grooves are open to the upstream entry, and the
other grooves are open to the downstream discharge. Its ribs and flutes,
which divide the alternating entry and discharge grooves, also alternate.
This mixer does an effective job of mixing and screening unmelted plastics. Unmelted material gets trapped in the grooves, mixes with the melt,
and itself becomes molten. In the Pulsar Mixer (Spirex Corp.) the metering
section is divided into constantly changing sections, which are either
deeper or shallower than the average metering depth. The resin alternates
many times between the shallower depth with a somewhat higher shear
and deeper channels with a lower shear. This tumbling and massaging
action produces excellent mixing and melt uniformity without high
shear [I].
Barrier screws
The original barrier screw was a very important design. The first patent, in
1959 (Maillefer and Geyer of Uniroyal), had broad claims; so all subsequent barrier screw designs pay a royalty under the original patent. Barrier screws have two channels in the barrier section, which are located
mainly in the transition section (Fig. 2.14). A secondary flight is started,
usually at the beginning of the transition, to create two distinct channels,
a solids channel and a melt channel. The barrier flight is undercut below
the primary flight, allowing melt to pass over it.
There are many different barrier screw designs, each offering unique
advantages. They include the Uniroyal (the original barrier screw); the
MC-3 of Hartig; the Efficient of New Castle Industries; the Barr 2 of R. Barr
Inc.; the VPB of Davis Standard; the Willert II of W. H. Willert Inc.; and the
Double Wave of HPM Corp. [I].
Custom-designed screws
The specially designed barrier screws meet special requirements. Plastics
tailored for specific applications usually have a high or very high molecu-

PRIMARY FLIGHT

BARRIER FLIGHT

MELT CHANNEL
SOLIDS CHANNEL

w
(1) The feed section establishes the solids conveying in the same way as a conventional screw.
(2) At the beginning of the transition (compression), a second flight is started. This flight is called the barrier or intermediate flight,
and it is undercut below the primary flight OD. This barrier flight separates the solids channel from the melt channel.
(3) As melt progress down the transition, melting continues as the solids are pressed and sheared against the barrel, forming a melt
film. The barrier flight moves under the melt film and the melt is collected in the melt channel. In this manner, the solid pellets and
melted polymer are separated and different functions are performed on each.
(4) The melt channel is deep, giving low shear and reducing the possibility of overheating the already melted polymer. The solids
channel becomes narrower and/or shallower forcing the unmelted pellets against the barrel for efficient frictional melting. Break up of
the solids bed does not occur to stop this frictional melting.
(5) The solids bed continues to get smaller and finally disappears into the back side of the primary flight.
(6) All of the polymer has melted and gone over the barrier flight. Melt refinement can continue in the metering section. In some
cases mixing ssections are also included downstream of the barrier section. In general, the melted plastic is already fairly uniform
upon exit from the barrier section.
HOPPER
BARREL

BARRIER TYPE SCREW (BARR-2 SHOWN)

Figure 2.14 Melt model for the barrier screw.

BARREL
TRANSVERSE FLOW

CENTER OF CHANNEL-NO TRANSVERSE

FLOW = NO HIXlNG
Figure 2.15 Typical flow profile for a conventional screw.
lar weight; they are often sensitive to heat and shear. Single-flighted
screws traditionally provide melts via relatively high shear rates. As the
solid plastic moves down the screw, a thin melt film forms between
the barrel and the solid plastic bed. Due to screw rotation, the shear on the
film is quite high, generating a great amount of shear-energy heat. This
heat is transferred to the solid bed, promoting additional melting. The
film becomes thicker as it moves to the rear of the channel, where it is
scraped off the barrel by the screw flight. Then the only place it can go is
down into the channel to create the usual flow profile in the screw (Fig.
2.15). The melting barrier type of screw is now a well-known means of
improving melt processability. But in spite of its advantages, it has difficulty running at a low enough melt heat for high molecular weight plastics; this is because it relies on high-shear melting.
Mechanical requirements
Screws always run inside a stronger, more rigid barrel, so they are not
subjected to high bending forces. The critical strength requirement is
resistance to torque. This is particularly true of smaller screws with diameters of 21X2 in. (64mm) or less. Unfortunately, the weakest area of a screw
is the portion subject to the highest torque. This is the feed section, which
has the smallest root diameter. A rule of thumb is that a screw's ability to
resist twisting failure is proportional to the cube of the root diameter in
the feed section. The maximum torque that can be applied to a screw can
then be calculated [I].
Valves and screw tips
When the melt is forced into the mold, the plunger action could cause the
melt to flow back into the screw flights. With heat-sensitive resins such as

Table 2.3 Comparison of sliding-ring valve with ball-check valve

Advantages

Disadvantages

Sliding-ring valve
Greater streamlining for less
Less positive shutoff, especially in
degrading of materials; best
4V2 in. dia. and larger sizes; less
shot control
for heat-sensitive materials
Less barrel wear
More expensive than front-discharge
ball-check
Less pressure drop across valve
Best for vented operation
Easier to clean
Less expensive than
side-discharge ball-check
Ball-check
More positive shutoff; better
shot control
Front-discharge ball-check less
expensive than sliding-ring valve

valve
Less streamlined; more degrading
of heat-sensitive materials
More barrel wear
Side-discharge type more expensive
than sliding-ring type
Greater pressure drop, creating more
heat
Poor for vented operation
Harder to clean

PVC and thermosets, a plain or smearhead screw tip is generally used. But
this is not adequate for other resins; several different check valves are
used instead. They work in the same manner as a check valve in a hydraulic system, allowing fluid to pass only in one direction. These check
valves, which are basically a sliding-ring or ball-check design (Fig. 2.6,
page 125) are supplied by many manufacturers. Table 2.3 shows some
comparisons and Table 2.4 shows the influence of check valves on plastics
performance.
Vented barrels
Moisture retention in and on plastics has always been a problem for all
processors. Surface moisture or moisture absorbed within the plastic can
cause splay, an unsightly surface defect of the molded part, and reduce
mechanical properties. The increased use of hygroscopic plastics (Chapter
1) also requires care and the assurance of proper drying of material via the
usual technique, using dryers and/or vented barrels (Fig. 2.16). There are
advantages of using vented barrels as opposed to the more familiar dryers
[54].

Table 2.4 Effect of varying check valves and processing conditions on final physical properties of dry blended polystyrene
copolymer

Check valve
Gate size (in.)
Back pressure (psi)
Screw speed (RPM)
Fill-time (s)
Notched Izod impact
strength (ft Ib"1 in."1)
Flexural strength (kpsi)
Flexural modulus (Mpsi)

Control

Check valve

Gate size

Back pressure

Screw speed

Fill-time

ring
0.13 x 0.25
O
73
1

ball
0.13 x 0.25
O
73
1

ring
0.062 x 0.063
O
73
1

ring
0.13 x 0.25
125
73
1

ring
0.13 x 0.25
O
53
1

ring
0.13 x 0.25
O
73
4

3.2
17
0.98

2.6
17
0.98

1.9
17
0.98

1.5
17
0.98

4.0
19
1.00

3.9
18
0.98

(1) Wet material enters from a conventional hopper. (2) The pellets are conveyed forward by the screw feed section, and are
heated by the barrel and by some frictional heating. Some surface moisture is removed here. (3) The compression or transition
section does most of the melting. (4) The 1st metering section accomplishes final melting and evens flow to the vent section. (5)
Resin is pumped from the 1st metering section to a deep vent or devolitizing section. This vent section is capable of moving
quantities well in excess of the material delivered to it by the 1st metering section. For this reason, the flights in the vent section
run partially filled and at zero pressure. It is here that volatile materials such as water vapor, and other nondesirable materials,
escape from the melted plastic. The vapor pressure of water at 50O0F is 666 psi. These steam pockets escape the melt, and travel
spirally around the partially filled channel until they escape out the vent hole in the barrel. (6) Water vapor and other volatiles
escape from the vent. (7) The resin is again compressed and pressure is built in the 2nd transition section. (8) The 2nd metering
section evens the flow and maintains pressure so that the screw will be retracted by the pressure in front of the non-return valve.
(9) A low resistance, sliding ring, non-return valve works in the same manner as it does with a nonvented screw.
Figure 2.16 Basic operation of a vented barrel.

Elimination of predrying: a vented injection unit removes moisture more

completely without a dryer. Often a dryer cannot do the job completely
in a reasonable time period.
Rapid startup and color or material changes: you do not have to wait for
hours when starting up or when changing colors or materials. This
increases machine and personnel utilization.
Superior parts: the improved melt, free of volatiles, renders higherquality parts with excellent appearance and better physical properties.
Splay marks are eliminated from appearance parts and parts to be
plated.
Energy efficiency: the vented machine uses less energy. BTUs are not lost
while material stands in large hoppers at elevated temperatures for
long periods. Dryers are large users of energy.
Removal of other volatiles: water vapor is not always the only volatile
contaminant that should be removed. The vent removes other undesirable materials that come off at temperatures not possible in a dryer.
Escape of volatiles is easier from a melted and agitated plastic. This has
been very effective in solving mold and ejector pin plate-out problems.
Elimination of dryer maintenance: dryers are high-maintenance items
with clogged filters, heater-element burnout, and contaminated desiccant beds. Even in shops with good routine maintenance programs, it
is common to operate with ineffective dryers for long periods before
they are noticed. When this happens, quality goes down, and scrap
accumulates.
Contamination and material-handling cut: there is no need to clean out
larger complicated hopper dryer systems on every material or color
change. The simple, lightweight, standard hopper is easier to clean.
Less space required: the hopper dryer requires a large volume in order to
get up to 5 h of drying time. This means a heavy, large, and high hopper
that may not fit into the space available.
Elimination of dryer variability: the variation in part quality and appearance due to changes in dryer performance is eliminated. The vent
operates the same all the time.
Greater use of regrind: the improved moisture removal ability of the vent
allows the use of percentages of regrind. The vent also allows the
storage of materials in open containers.
Reduced mold venting: the removal of volatiles from the vent reduces the
mold-venting problem. It can also eliminate the problem of clogged
mold vents.
Care is required when a plug is placed in the vent opening so that a vented
barrel can be used in the same way as a solid nonvented barrel. Internal
barrel pressure can develop that exceeds the strength of the bolt retaining
the plug, causing the plug to be released with an explosive action. Opera-

tors may be hit by the plug and/or the hot melt. One safety precaution is
to rotate the barrel so the plug is pointing downward or away from the
operator. The most important safety measure is to use retaining bolts (or
another method of plug attachment) that will provide more than enough
strength to prevent plug release. The injection molding or extrusion barrel
manufacturer should be able to supply the information needed to ensure
safe operation. Another precaution is to install a pressure gauge at the
head of the barrel and to establish a maximum pressure at which the
barrel can be safely operated. To eliminate any runaway situation, shear
bolts or a rupture disk can be installed near the plug.
During startup and operation of a vented barrel, make sure the barrel in
front of the vent is at a temperature above the 'freezing' point of the
plastic. To help retain heat in the metal barrel, thermal insulation should
be used to cover exposed metal surfaces (even if the barrel is not vented).
Air entrapment
Air can be entrapped in the melt during processing. This can happen
when plastic (pellets, flakes, etc.) is melted in a normal air environment (as
in a plasticating extrusion process or in an injection barrel, compression
mold, casting form, spray system, etc.), and the air cannot escape (Chapter
1). The melt is generally subject to a compression load, or even a vacuum,
which causes release of air; but sometimes the air is trapped. If air entrapment is acceptable, no further action is required, although performance
and esthetics usually mean that air entrapment is unacceptable.
Changing the initial melt temperature in either direction may solve the
problem. With a barrel and screw, it is important to study the effects of
temperature changes. Another approach is to increase the pressure in
processes which use process controls. Particle size, melt shape, and the
melt delivery system may have to be changed or better controlled. A
vacuum hopper feed system may be useful. With screw plasticators,
changes in screw design may be helpful. A vented barrel will usually
solve the problem.
The presence of bubbles could be due to air alone or moisture, plastic
surface agents or volatiles, degradation, or the use of contaminated
regrind. With molds such as those used for injection, compression, casting, or reaction injection, air or moisture in the mold cavity will be the
culprit. So the first step to resolving a bubble or air problem is to be sure
what problem exists. A logical troubleshooting approach can be used.
Shot-to-shot variation
Shot-to-shot variations can occur during IM. Major causes of inconsistency are worn nonreturn valves, bad seating of a nonreturn valve, a

broken valve ring, a worn barrel in the valve area, and/or a poor heat
profile. To identify the cause, one follows a logical procedure [I]. Any
problem created by the valve will cause the screw to rotate in the reverse
direction during injection. To locate the trouble, one must pull and inspect
the valve, and check the OD of the ring for wear. The inspector looks for
a broken valve stud (caused by cold startup when the screw is full of
plastic), bad seating of the ring or ball (angles of the ring ID and the seat
must be different, in order to ensure proper shutoff action at the ID of the
ring), and a broken ring. One checks the dimensions of the valve and
compares them with those determined before using the machine.
A poor heat profile for crystalline resins can cause unmelted material to
be caught between the ring and the seat, holding the valve open and
allowing leakage. A change in the heat profile (Chapter 1) or the machine's plasticizing capacity is not sufficient to correct the problem. For
any resin, if the problem does not occur with every shot, the cause may be
improper adjustment or damaged barrel heat controls.
Nonuniform melt density could be caused by nonuniform feeding to
the screw and/or the regrind blend, which could have a different bulk
density. Increasing the back pressure may help [I]. This throughput condition, the residence time of the plastic in the barrel, and the barrel heat
profile are all important in obtaining the best melt quality. The heat profile
is the most important parameter and varies from resin to resin, as well as
with different cycle times and shot sizes. As the following example shows,
a screw operating under two different conditions will produce different
results.
Consider a screw that has a 2 in. (51 mm) diameter, L/D = 20, and a 20 oz
(0.57kg) melt screw capacity. With a 15s cycle and a shot size of 2oz (57g),
it operates as follows:
20 oz (screw capacity) -s- 2oz = 10 cycles
15s cycle = 4 cycles per minute
10 cycles -5- 4 = 2.5 min of residence time, from the time plastic starts
through the screw until it enters the mold
Another set of requirements uses a 6 oz (170 g) shot size with the same 15s
cycle:
20 oz -* 6 oz = 3.33 cycles
3.33 cycles -5- 4 = 0.83 min of residence time
In the second case, a higher rate of melting will be required, with the
probability that the screw will be inadequate for the melt, and problems
will develop.
The inventory in a screw will run between IV2 and 2 times the maximum shot size rating in polystyrene. With other resins, calculate the

differences in density to arrive at the maximum shot size and the expected
inventory.
Purging
Purging has always been a necessary evil, consuming substantial amounts
of materials, labor, and machine time, all nonproductive. In IM (extrusion,
blow molding, etc.), it is sometimes necessary to run hundreds of pounds
of resin to clean out the last traces of a dark color before changing to a
lighter one. Sometimes there is no choice but to pull the screw for a
thorough cleaning. Although there are few generally accepted rules on
how to purge, the following tips should be considered: (1) try to follow
less viscous with more viscous resins; (2) try to follow a lighter color with
a darker color resin; (3) maintain the equipment; (4) keep the materialshandling equipment clean; and (5) use an intermediate resin to bridge the

Table 2.5 Guidelines for purging agents

Material to be purged

Recommended purging agent

HDPF
Cast acrylic
Polystyrene, general-purpose, ABS, case acrylic
Cast acrylic, polystyrene
Polystyrene, low melt index HDPE, cast acrylic
Next material to be run
Polystyrene, low melt index HDPE, cast acrylic
Cast acrylic or polycarbonate regrind; follow
with polycarbonate regrind; do not purge
with ABS or nylon
Acetal
Polystyrene; avoid any contact with PVC
Polystyrene, low melt index, HDPE, cast
Engineering resins
acrylic
Cast acrylic, followed by polyethylene
Fluoropolymers
Cast acrylic, followed by polyethylene
Polyphenylene sulfide
Polysulfone
Reground polycarbonate, extrusion-grade PP
Reground polycarbonate, extrusion-grade PP
Polysulfone/ABS
General-purpose polystyrene, cast acrylic
PPO
Material of similar composition without
Thermoset polyester
catalyst
Filled and reinforced materials Cast acrylic
Immediate purging with natural, non-flameFlame-retardant compounds
retardant resin, mixed with 1 % sodium
stearate
Polyolefins
Polystyrene
PVC
ABS
Nylon
PBT polyester
PET polyester
Polycarbonate

temperature gap (such as that encountered in going from acetal to nylon),

and use a PS as a purge.
Ground/cracked cast acrylic and PE-based materials are the main purging agents, but others are commercially available for certain machines and
materials. Cast acrylic, which does not melt completely, is suitable for
virtually any resin. About one pound (45Og) for each ounce (28 g) of
Table 2.6 Guidelines for resin changes
Material in
machine

Material
changing to

Mix with rapid

purge and soak

ABS
ABS
ABS
ABS
ABS
Acetal
Acetal
Acrylic
Acrylic
TPE
Nylon
Nylon
PBT
PC
PC
PC
PE
PE
PE
PE
PETG
Polysulfone
Polysulfone
PP
PP
PP
PP
PS
PVC
PVC
PPS
SAN
SAN

PP
SAN
Polysulfone
PC
PBT
PC
Any material
PP
Nylon
Any material
PC
PVC
ABS
Acrylic
ABS
PVC
Ryton
PP
PE
PS
Polysulfone
ABS
ABS
ABS
Acrylic
PE
PP
PP
Any material
PVC
PE
Acrylic
PP

ABS
SAN
ABS
ABS
ABS
Acetal
PE
Acrylic
Acrylic
PE
PC
Nylon
PBT
PC
PC
PC
PE
PP
PE
PS
PETG
Polysulfone
Cracked acrylic
ABS
Acrylic
PE
PP
PP
LLDPE or HOPE
LLDPE or HDPE
PPS
Acrylic
SAN

Temperaturebridging
material

follow with

_
PE
PE
PE
PE
PE
PE
PE
PE
PE
PE
PE
-

PP
SAN
Polysulfone
PC
PBT
PC
New material
PP
Nylon
New material
PC
PVC
ABS
Acrylic
ABS
PVC
Ryton
PP
PE
PS
Polysulfone
ABS
ABS
ABS
Acrylic
PE
PP
PP
New material
PVC
PE
Acrylic
SAN

injection capacity will be needed (5-101bin. l or 17.83gmm l of screw

diameter in an extruder). With extruders, special conditions and preparations are required, which suppliers of the purging compound can recommend (remove dies, screen packs, etc.).
PE-based compounds usually contain abrasive and release agents. They
are used to purge the 'softer7 TPs (polyolefins, styrenes, some PVCs, etc.).
With extruders, many of the requirements and restrictions do not apply.
These purging agents function by mechanically pushing and scouring
residue out of the machines. Others also apply chemical means. Tables 2.5
and 2.6 provide information on purging.
Wear
Wear in screw plasticators generally causes an increase in the clearance
between screw flight and barrel. It often occurs towards the end of the
compression section. This type of wear is more likely to occur when the
screw has a high compression ratio. Wear in the compression section of
the screw reduces the melting capacity, and will lead to temperature
nonuniformities and pressure fluctuations. Wear in the metering section
of the screw will reduce the pumping capacity; however, the reduction in
pumping capacity is generally quite small as long as the wear does not
exceed 2-3 times the design clearance. An increased flight clearance will
also reduce the effectiveness of the heat transfer from the barrel to the
plastic melt and vice versa; this may contribute to temperature nonuniformities in the plastic melt.
Wear can only be detected by disassembling the unit and by inspection
of the screw and barrel. If the wear is serious enough to affect performance, it will often be noticeable with the naked eye. However, it is
recommended to measure the ID of the barrel and the OD of the screw
over the length of the machine. If this is done regularly, one can determine
how fast wear is progressing with time. By extrapolating to the maximum
allowable wear, one can determine when the screw and/or barrel should
be replaced or rebuilt. If replacement as a result of wear is necessary after
several years of operation, the easiest solution is simply to replace the
worn parts. However, if replacement as a result of wear becomes necessary within a short period of time, perhaps several months, then simple
replacement will not provide an acceptable solution. In short-term wear
problems, the cost of downtime and replacement parts can easily become
unacceptable and the solution has to be found in reducing the actual wear
rate instead of simply replacing the worn parts. To reduce the wear rate,
one has to understand the wear mechanism(s) in order to determine the
most effective way to reduce wear. Mechanisms that cause wear include
adhesive wear (metal-to-metal contact under high stresses), abrasive wear
(galling), laminar wear (thin outer layers of the metal interface wear),

surface-fatigue wear (micro- or macroscopic separation from the surfaces)

and corrosive wear (chemical reaction and mechanical attack of the sliding surfaces) [63].
Output
The objective of a screw design is generally to deliver the largest amount
of output at acceptable melt quality. Unfortunately, high output and
mixing quality are, to some extent, conflicting requirements. As output
goes up, residence time goes down and so does the mixing quality. However, the mixing quality can generally be restored by incorporating mixing sections; either a mixing section along the screw or a static mixing
section.
It is also important to realize that all functional zones of the extruder are
interdependent. It makes little sense to drastically increase the pumping
capacity if the melting rate is the real bottleneck in the process. Thus,
before designing a new screw to replace an existing screw, one should
determine which part of the extruder is limiting the rate.
CLAMPING
Basic types
The IMM clamp is used (1) to close the mold, (2) to hold the mold closed
during the melt injection and 'curing7 (solidification), and (3) to open the
mold for the removal of molded product [I7 64-72, 80, 86-88]. Types
of design include toggle (Fig. 2.17), hydraulic (Fig. 2.18), and
hydromechanical (Fig. 2.19). There are also hydraulic-electric and the
increasingly popular all-electric IMMs that will be reviewed later. Toggle
clamps are very popular on low-tonnage machines because they are less
expensive to manufacture and provide operating (molding) advantages.
Their features include high mechanical advantage at lockup, inherent
built-in clamp slowdown, and rapid clamp operation. A hydraulic cylinder moves the toggle's crosshead forward, extending the toggle links and
moving the platen forward. As the clamp closes, the mechanical advantage is low, producing rapid platen movement. As the platen approaches
the mold-close position, the toggle links undergo a transition from high
speed and low mechanical advantage to low speed and high mechanical
advantage. Low speed is critical for mold protection and high mechanical
advantage is needed to build clamp tonnage.
When the linkage is fully extended, locking the mold closed, hydraulic
pressure is not needed to hold tonnage; with the hydraulic IMM the
pressure has to be held. Since the toggle linkage must be at full stroke to
achieve tonnage, adjusting the clamp to different mold heights (width of
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surface-fatigue wear (micro- or macroscopic separation from the surfaces)

and corrosive wear (chemical reaction and mechanical attack of the sliding surfaces) [63].
Output
The objective of a screw design is generally to deliver the largest amount
of output at acceptable melt quality. Unfortunately, high output and
mixing quality are, to some extent, conflicting requirements. As output
goes up, residence time goes down and so does the mixing quality. However, the mixing quality can generally be restored by incorporating mixing sections; either a mixing section along the screw or a static mixing
section.
It is also important to realize that all functional zones of the extruder are
interdependent. It makes little sense to drastically increase the pumping
capacity if the melting rate is the real bottleneck in the process. Thus,
before designing a new screw to replace an existing screw, one should
determine which part of the extruder is limiting the rate.
CLAMPING
Basic types
The IMM clamp is used (1) to close the mold, (2) to hold the mold closed
during the melt injection and 'curing7 (solidification), and (3) to open the
mold for the removal of molded product [I7 64-72, 80, 86-88]. Types
of design include toggle (Fig. 2.17), hydraulic (Fig. 2.18), and
hydromechanical (Fig. 2.19). There are also hydraulic-electric and the
increasingly popular all-electric IMMs that will be reviewed later. Toggle
clamps are very popular on low-tonnage machines because they are less
expensive to manufacture and provide operating (molding) advantages.
Their features include high mechanical advantage at lockup, inherent
built-in clamp slowdown, and rapid clamp operation. A hydraulic cylinder moves the toggle's crosshead forward, extending the toggle links and
moving the platen forward. As the clamp closes, the mechanical advantage is low, producing rapid platen movement. As the platen approaches
the mold-close position, the toggle links undergo a transition from high
speed and low mechanical advantage to low speed and high mechanical
advantage. Low speed is critical for mold protection and high mechanical
advantage is needed to build clamp tonnage.
When the linkage is fully extended, locking the mold closed, hydraulic
pressure is not needed to hold tonnage; with the hydraulic IMM the
pressure has to be held. Since the toggle linkage must be at full stroke to
achieve tonnage, adjusting the clamp to different mold heights (width of

Actuating
Piston Rod

LOCKED

Stationary Platen
Moving Platen

Actuating
Cylinder
CrossheadLink RearLink
Crosshead
OPEN

FrontLink

Tie Rods

Moving Platen Stationary Platen

LOCKED
Tie Rods

Rear Link
Actuating
Piston Rod

FrontLink
Actuating
OPEN Cylinder

Actuating
Cylinder
Cross Link

Mold

Actuating
Piston Rod

LOCKED
Rear Link

FrontLink

Stationary Platen

Moving Platen
Tie Rods
OPEN
Figure 2.17 Mechanical clamping systems use a variety of toggles.

Actuating
Plunger

Removable
Spacer

Mold
Halves
Injection
Nowle

Hydraulic
Cramping
Cylinder

Tie Rod
Cylinder
Base Plate

Stationary
Platen

Moving
Platen

Figure 2.18 Hydraulic clamp, schematic.

Traversi
Cylinderng

Short-Stroke
Cylinder

Mold Halves

RearPlatFienxed

Locking Cylinder

Compression Res
Moving Platen

Stationary Platen
CtAMPOPEN

CLAMP CLOSS
Figure 2.19 Hydromechanical clamp, schematics.

mold between platens) is accomplished by moving the entire toggle

mechanism and moving the platen assembly to accommodate the mold.
Advantages of the toggle design include fast operation reduced energy
consumption and lower machine costs. But compared to hydraulic designs it has relatively complicated mold setup and startup, maintenance
for the link pins and bushings, particularly with older machines, and there
is a potential difficulty in retaining parallelism, especially with large
molds. However, major advances in toggle designs have reduced toggle
maintenance and setup problems. Among the improvements have been
graphite-impregnated oilless bushings, automatic tonnage adjustment to
ease mold setup and oversized platen-support skates to improve platen
parallelism. Another advance has been the totally electric machine, which
uses AC servo motors to replace hydraulic power on toggle clamp machines. Electric power greatly reduces the energy required to mold parts
and also offers a high degree of machine accuracy.

Hydraulic clamps are used predominately in machines of 150-4000

tons. Rapid closing is accomplished by either a booster tube internal to the
clamp cylinder or outboard hydraulic cylinders of relatively small diameter. Applying large amounts of oil to a small area produces faster clamp
speeds. Using outboard cylinders for clamp transversing simplifies clamp
design; it also eliminates internal booster tubes and the need for piston
rings on the main ram. Prefill valve designs have also been simplified,
allowing higher oil flows and faster clamp speeds.
By eliminating the booster tube and leakage over the ram piston rings,
reliability has been improved and the hydraulic pressure for clamp tonnage is effectively trapped inside the ram cylinder. This eliminates the
need for a hydraulic pump to maintain clamp tonnage, improves clamp
reliability, and reduces energy requirements. Regardless of design, the
hydraulic system offers ease and flexibility in machine setup and operation (compared to toggle). Since tonnage can be developed anywhere
along the clamp stroke, mold setup is performed by simply setting a
position that corresponds to where the mold halves touch. Other advantages include fewer moving parts, less lubrication, and more sensitive
low-pressure mold protection.
Potential disadvantages include greater oil requirements, higher energy
consumption, slower clamp operation, more difficult clamp slowdown
control, and ram-seal oil leakage. However, advances in the relatively
newer designs have minimized these disadvantages. The use of smalldiameter, outboard, rapid-transverse cylinders and regenerative hydraulic circuit designs increases clamp speeds and reduces energy
consumption, making them comparable to toggle systems. Accumulatorassisted tonnage is also used for short-cycle production.
Hydromechanical clamps combine mechanical and hydraulic functions
to move the clamp and build up tonnage. They are used typically in clamp
sizes of 1000 tons and larger. The hydromechanical design includes the
following parts: (1) hydraulic cylinders to traverse the moving platen to a
position where the mold halves almost touch, (2) a mechanical locking
plate to prevent rearward movement during tonnage buildup, and (3) one
or more short-stroke cylinders to move the mold the final distance to
closing and tonnage buildup. Advantages include fast tonnage build time,
lower oil requirements, and with certain designs, small machine footprints. A disadvantage is a high degree of complexity.
Variable-speed, brushless DC electric motors have been used in conventional toggle or hydraulic-clamping IMMs for injection screw rotation.
They can provide significant energy savings. And variable-speed,
brushless DC motors are used in place of hydraulic-drive AC motors.
These variable-speed motors with variable-volume hydraulic pumps can
provide up to 70% energy savings and improve power factors up to a
factor of 0.98 [1, 60-62, 67, 69, 71, 87-9O].

Different systems
The usual IMM has three platens (Figs 2.17 to 2.19): the stationary platen,
the moving platen, and the cylinder base plate/platen. There are also twoplaten IMMs, currently providing economical (energy-saving), spacesaving (one-third floor space) hydraulic and hydromechanical clamp designs for machine over 500 tons; these machines use tie-bars as hydraulic
pistons. They usually have four high-pressure cylinders mounted on the
fixed platen for locking, and short-stroke clamping cylinders on the moving platen for quick buildup of clamping force and fast mold opening.
During the 1960s this type of design was used by various machine builders (Fig. 2.20). They are now becoming more popular.

Figure 2.20 This 2500 ton hydraulic machine has a special retractable tie-rod system; the car is included for scale.

Figure 2.21 A tie-bar less injection molding machine.

Another design is the tie-barless IMM. Figure 2.21 (Engel hydraulic

machine) identifies (a) stationary platen, (b) opening for the injection unit,
(c) mold, (d) movable platen, (e) rotary joint, (f) clamping piston, (g)
clamping cylinder, and (h) IMM frame. The clamping is a fully hydraulic,
low-friction plunger design with internal jack ram for fast closing. The
clamping force is contained in a very rigid C-frame structure open at the
top. Compensation is made for any slight rotation of the stationary and
movable platens with respect to one another as a result of frame deformation under the action of the clamping force. A rotary joint with a precisely
adjustable positive stop is used between the clamp ram and the movable
platen. As the clamp force builds up, the movable platen adjusts itself to
be exactly parallel with the stationary platen [1, 56].
Clamping forces
The clamping force required to keep the mold closed during injection
must exceed the force given by the plastic melt pressure in the live'
cavities and the total projected area of all impressions and runners. The
projected area can be defined as the area of the shadow cast by the molded
shot when it is held under a light source, with the shadow falling on a
plane surface parallel to the parting line.
With cold-runner systems for TPs (or hot-runner systems for TSs), the
projected areas include runners and sprues. For hot-runner TPs (coldrunner TSs), runners and sprue are not included. As an example, if the
projected area is 132 in.2 (852cm2), and a pressure of 4000 psi (28MPa) is
required, the clamp force is
132 in.2 x 4000 psi = 528 000 Ib
528 000 Ib -* 2000 Ib - 264 tons

0.0852 m2 x 28 MPa - 2.38 MPa

One should consider including a safety factor of 10-20% to ensure sufficient clamping force, particularly when not familiar with the operation
and/or material. Then the clamping force would be 290-317tons (2.622.86MPa) in the cavity. However, because of partial hardening of plastic
as it flows through the relatively restrictive sprue and runners in a coldrunner TP system (or a hot-runner TS system), the actual pressure in the
cavity is less than the applied plunger pressure (Fig. 2.2, page 122).
The actual pressure developed within a mold cavity varies directly with
the thickness of the molded section and inversely with the melt viscosity.
Thick sections require greater clamping force than thin sections because
the melt in the thick sections stays semifluid longer. Similarly, a higher
stock heat, hotter mold, larger gates, or a faster rate of injection will
require a higher clamping force [I].
Whereas the projected area determines the clamping force, the weight
or volume of a shot determines the capacity of the IM machine required.

For the hot runners of TPs, the shot size includes the gate and runners.
Capacities of machines are generally rated in ounces of general-purpose
PS; with other resins, convert to the correct capacity by relating the resin
densities to that of PE. If the shot size is based on volume, densities are not
involved.
Using too much clamping force has drawbacks: (1) a slower cycle time;
(2) possible damage to the mold; (3) reduced venting; (4) possible damage
to platens if a small mold is used in a large-platen machine (the machine
builder should provide information); and (5) extra energy consumption in
hydraulics
To determine the proper clamping force, one must start at low force and
begin molding at a reduced injection pressure, gradually building up melt
pressure until the mold fills without flashing. If flash occurs prior to mold
fill, it is necessary to increase the clamp tonnage gradually until no flash
exists. Then the mold lockup is set correctly. If the melt temperature is
lowered, the injection pressure and time will have to be changed, with a
possible increase of clamp force.
If the mold still flashes, usually in the center, the mold-clamping area
may be too large. To determine if this is the problem, one rubs machinist
bluing on the face of one mold half, then clamps and opens the mold to see
if bluing was transferred. With incomplete transfer, the processor puts the
mold in a machine with higher clamp tonnage, and operating costs go up.
Running the mold in the original machine would require removal of
probably 0.010 in. (254 JJJTL) of metal in the cavity areas that were not blued.
TIE-BAR GROWTH
One problem that most controls do not consider involves the effect of heat
on tie-bars, which can directly influence mold performance, particularly
at startup. If the heat differs from top and bottom bars, it is necessary to
insulate the mold from the platens. The insulator pad used also confines
heat more to the mold, producing savings in heat and/or better heat
control. Tie-bar elongation calculations can be made and related to IM
performance [I].
HYDRAULIC AND ELECTRIC IMMs
IMMs in the high clamping force range have for many years been following a trend towards individual electric drives. This development is not
new; three-phase synchronous motors with intermediate gears have been
used since the start of the screw drive [1, 63, 69, 87, 88, 9O]. Advances in
three-phase servoengineering, in particular frequency converters, expanded the use of electric drives in IMMs and other processes (extrusion,
blow molding, etc.). These individual electric drives have advantages

such as lower energy consumption, the possibility of precise control,

accurate reproducibility, and high dynamics of startup and shutdown
movements during the IM process. Their disadvantage to date has been
their very high price (a factor of about 1.6) which tends to restrict their
use. The main reason for the price differential is their expensive drive
components.
Not only do all drive components offer a good cost-to-performance
ratio, they also provide technical advantages. The logical result has been
the combination of these two systems. The combination provides advantages in each separated system. The range today extends from all-electric
IMMs (desired and used in certain product markets such as medical) to
hybrid IMMs (hydraulic-electric). The all-electric drives have individual
electric drives for all functions of the IMM, including a separate electric
motor for screw plasticizing.
The concept of the hybrid machine represents a technically effective and
economically reasonable compromise. Because of their low energy consumption and their rapid movements, hybrid machines are suitable for
molding complicated and thin-walled parts. At the current rate of technical development, it is predicted that more economical and efficient electric
drives will become available in the near future, making it possible to build

Locating Ring
Sprue Bushing
Front Clamping Plate
Clamp Slot
Front Cav. Retainer Pl.
Water Channels
Guide Pin
Cavity
Force (Male Cavity)
Guide Pin Bushing
Rear Cav. Retainer Pl.
Push-back Pin
Support Plate
Ejector Pin
Sprue Lock Pin
Support Pillar
Ejector Retainer Pl.
Ejector Plate
Clamp Slot
Ejector Housing
Figure 2.22 A two-part standard mold.

an all-electric IMM having a reasonable and competitive cost-toperformance capability [1, 69, 88].
MOLDS
A mold must be considered as one of the most important pieces of production equipment in the plant. It is a controllable complex device (Fig. 2.22)
that must be an efficient heat exchanger. If not properly handled and
maintained, it will not be an efficient operating device. Under pressure,
hot melt moves rapidly through the mold. Water or some other medium
circulates in the mold to remove heat (for TPs) or add heat (for TSs). Air
is released from cavities to eliminate melt burning and/or voids in the
part. All kinds of action operate, including sliders and unscrewing devices
[I]. Parts are ejected (knockout pins, air, etc.) at the proper time. These
Table 2.7 Examples of steels used in different parts of a mold
Type of steel

Typical uses in injection molds

4130/4140
P-20

General mold base plates

High-grade mold base plates, hot-runner manifolds, large
cavities and cores, gibs, slides, interlocks
Best grade mold base plates (no plating required), large
cores, cavities and inserts; hobbed cavities

4414 SS, 420 SS

(prehardened)
P5,P6
Ol
06
H-13
S7
A2
A6
AlO
D2
420 SS

44OC SS

250, 350
455M SS
M2
ASP 30

Gibs, slides, wear plates

Gibs, slides, wear plates, stripper rings
Cavities, cores, inserts, ejector pins and sleeves (nitrided)
Cavities, cores, inserts, stripper rings
Small inserts in high-wear areas
Cavities, cores, inserts for high-wear areas
Excellent for high-wear areas, gibs, interlocks, wedges
Cavities, cores, runner and gate inserts for abrasive
plastics
Best all-around cavity, core, and insert steel; best
polishability
Small to medium-size cavities, cores, inserts, stripper
rings
Highest toughness for cavities, cores, small unsupported
inserts
High toughness for cavities, cores inserts
Small core pins, ejector pins, ejector blades (up to 5/8in.,
16mm diam.)
Best high-strength steel for tall, unsupported cores and
core pins

Mold
Design
Cost
and
Cycle Time

Part Shape

Number of
Parts Required

Number of Cavities

Tool Life

Mold
Cooling
Analysis

Type Mold
Tolerances

Plastic
MeltFlow

2-Plate
3-Plate
Stacked
CamActions
Core Pullers
Inserts
Others

Melt
Temperature
Melt
Pressure
Melt Time

Figure 2.23 Mold operation: important control factors.

Type Bushins
Runner Length
Runner Diameter
Cavity Locations
Others

basic operations in turn require all kinds of interaction, including such

parameters as fill-time, hold pressure, and other variables, as shown in
Figs 2.10 and 2.23. Typical mold steels are shown in Table 2.7.
Each of the plastics used has special distinctive properties. Some are
abrasive or corrosive; others require very tight heat control and pressure
(Fig. 2.10, page 131). Settings that work for one resin will not probably
work for another; a machine change to a duplicate will probably require
different settings. Shrinkage requires special attention. Crystalline resins
shrink more than amorphous resins (Chapter 1). Differential shrinkage
can cause warpage. With tight part tolerances, it is necessary to leave
more, rather than less, steel in the mold so that corrections requiring metal
'cutting' can correlate processing with tolerances.
Table 2.8 Protective coatings for molds/dies
Material
Chromium
Nickel
Electroless nickel
Nedox electroless nickel
Tufram TFE aluminum
TFE ceramic
Tungsten silicide
Tungsten carbide
Aluminum oxide

PTFE
Polyimide, aramid

Filled polyimide, aramid

Method of application
Plating
Plating
Solution treatment
Solution treatment followed by TFE impregnation;
used on copper and ferrous alloys
Deep anodizing process followed by TFE
impregnation; used on aluminum alloys
Spray and bake application; used for all die
materials that can withstand 250 0C bake
Solution treatment; used on steel and ferrous
alloys
Explosion impact or flame spray with plasma arc;
used for all high-melting metals to improve
abrasion resistance
Plasma flame spray; used for extreme abrasion
resistance; used on steel dies but usually limited
to small dies because of expansion problems;
works best on 18-8 stainless
Spray and bake application; used for low-friction
and low-adhesion application; poor abrasion
resistance
Straight organic coatings with high softening
points (450-55O0C), which are applied by spray
and baked; low friction characteristics against
some resins (for example, PVC); moderate
abrasion resistance
Aramid and polyimide systems containing TFE
and other fluorocarbon resins to improve the
friction properties

Table 2.9 Guide to mold/die cleaning methods3

Method
Chemical tank
Ultrasonic chemical
Wet-blast glass bead
Dry-blast glass bead
Plastic dry-blast
Hand cleaning
Dry-blast with sand or other abrasive

Mold
wear

Expense

Cleaning
speed

Cleaning
degree

Hazard
waste

Disposal
problem

Operating
hazard

Damage
caused

2
2
5
8
1
2
10

4
10
7
1
1
5
1

5
3
8
10
10
5
10

1
5
1
10
10
10
10

1
1
10
10
10
5
10

Yes
Yes
No
No
No
No
No

Yesb
Yesb
No
No
No
No
No

a
a
b,c
b, c,d
None
e
b, c, d

a = surface etching, b = surface pitted, c = round edge, d = removes chrome, e = filing /grinding premature surface/edge wear.
a
1
b

= low/slow, 10 = fast/best.
Use proper precautions.

CAD and CAE programs are available that can aid in mold design and
in setting up the complete process. These programs are concerned with
melt flow to part solidification, and the meeting of performance requirements. Many different factors are incorporated, including heat transfer,
thermal conductivity, thermal expansion, coefficients of friction, and machine and mold operating setup.
Some plastics, particularly filled plastics, can be very abrasive. This
necessitates use of abrasion-resistant metals in the mold or the application
of special coatings (Table 2.8). Some resins degrade during processing and
are corrosive; so proper materials are required for construction and coatings. Mold cleaning keeps the molds operating properly. Certain plastics
and mechanical mold operations may require daily cleaning (as recommended by resin suppliers) (Table 2.9).
Types
Although molds may look different on the outside, their structures are
probably similar (Fig. 2.22, page 159), consisting of a frame and five plates.
There is a top clamping plate; the A plate retains the mold female cavities;
the B plate retains the mold male cores; then comes a support plate; finally
Table 2.10 Functions of an injection mold
Mold component
Mold base
Guide pins
Sprue bushing (sprue)
Runners
Gates
Cavity (female) and
force (male)
Water channels
Side (actuated by cams,
gears, or hydraulic
cylinders)
Vents
Ejector mechanism
(pins, blades,
stripper plate)
Ejector return pins

Function performed
Hold cavity (cavities) in fixed, correct position
relative to machine nozzle
Maintain proper alignment of the two halves of a
mold
Provide means of entry into mold interior
Convey molten plastic from sprue to cavities
Control flow into cavities
Control size, shape, and surface texture of molded
article
Control temperature of mold surfaces, to chill
plastic to rigid state
Form side holes, slots, undercuts, threaded sections
Allow escape of trapped air and gas
Eject rigid molded article from cavity or force
Return ejector pins to retraced position as mold
closes for next cycle

Sliding Shutoff
Opening
Parting
Line

Side View of Part

Figure 2.24 Aligning core and cavity to eliminate an undercut.

Figure 2.25 A mold with mechanically actuated side cores.

the ejector housing, which includes the knockout plate. The mold parting
line is the area where the A and B plates meet (Table 2.10). The mold frame
supports and aligns the cores and cavities when the mold opens and the
knockout plate moves forward, ejecting the molded part and runner system if runners solidify (Fig. 2.24).
The cavity gives the part its outside shape and the core fits into the
cavity to make the internal shape of the part. Shrinkage of the plastic
occurs onto the core as the part cools. The runner system includes melt
flow channels which guide and control the flow of melt from the
plasticator nozzle to the cavities. A gate is at the end of the runner system,
and meters the melt into the cavities. The gate is critical to the cycle time
and most important to the quality of the part.
Cooling channels are located in the A plate, the B plate, and the support
plate. They direct and hold the cooling fluid, which can be water or oil.
The temperature for the cooling agent generally ranges from 60-35O0F
(16-1770C), depending on the melt requirements for TP materials; with
TSs it is usually lower. The final element of an injection mold is the ejector

End core
lock pin

Mold

Bottom core
lock pin

Cell core

Core

Figure 2.26 A mold with side-core action; it produces a battery case in

polyproylene.

Figure 2.27 Stainless steel cavity blocks for PVC pipe elbows; the blocks have
retractable cores.

system. This system includes such components as the knockout plate which ejects the finished product from the core - the knockout pins, the
knockout sleeve, and the stripper plate.
Injection mold manufacturers are responsible for parts of many shapes,
sizes, materials, etc., so they specialize in the design and/or manufacture

Figure 2.28 Mold with wedge-side core action.

Figure 2.29 A mold with a rotating core that operates during mold opening and
closing. The drive gear rotates via the worm shaft, which in turn transmits the
rotation to the gear core. The core then unscrews the threaded molded part.

of specific types of mold. Examples of different molds with different

actions are shown in Figs 2.25 to 2.31. Figure 2.31 shows a way to injection
mold a telephone part.
Many parts of an injection mold will influence the final product's
performance, dimensions, and other characteristics. These mold parts
include the cavity shape, gating, parting line, vents, undercuts, ribs, and
hinges. The mold designer must take all these factors into account. At
times, to provide the best design, the product designer, processor, and
mold designer may want to jointly review where compromises can be
made to simplify meeting product requirements. With all this interaction,
it should be clear why it takes a certain amount of time to ready a mold for
production.
In the design of any IM part there are certain desirable goals that the
designer should use. In meeting them, problems can unfortunately develop. For example, the most common mold design errors of a sort that
can be eliminated usually occur in the following areas:

Thick/thin sections, transitions, warp, and stress

Multiple gates and weld lines
Wrong gate locations
Inadequate provision for cavity air venting
Parts too thin to mold properly, as diaphragms
Parts too thick to mold properly
Plastic flow path too long and tortuous

Figure 2.30 Cutaway view of a closed mold frame. Cores can be positioned in
rows and each core resides within a gear. When engaged by one of the parallel
racks, the gear causes the core to rotate, unscrewing the molded caps.

(a)

(b)

Figure 2.31 Molding a telephone part using a removable metal insert: (a) the
complete molded part (bottom), a cross-section (middle) and the two-part metal
insert to shape the interior, which after molding is shaken out; (b) the bottom half
of the mold including two-part metal inserts placed on each mold cavity; and (c)
the molded part containing the two-part metal inserts that are being removed and
shaken to dislodge the metal inserts (other molding methods do not include such
removable metal inserts or the use of cold runners).

Runners too small

Gates too small
Poor temperature control
Runner too long
Part symmetry versus gate symmetry
Orientation of polymer melt in flow direction
Hiding gate stubs
Stress relief for interference fits
Living hinges
Slender handles and bails
Thread inserts
Creep or fatigue over long-time stress (extremely important)

Prototype molds
For engineering evaluation, such as performance of the product in its
intended use, a prototype mold must be designed with the essential
features planned for the production mold, such as runners, gating and
gate location, venting, and cooling. With little additional cost for ejection,
such a mold, even though designed for prototyping, should perform in a
manner similar to the production mold, but with one or two cavities only.
Production molds
Production molds generally differ only in the method of product and
runner ejection. A semiautomatic (SA) mold requires an operator to remove the product from the mold and to ensure that the mold is clean
before initiating the next cycle. Today, however, almost all molds are
designed so that the assistance of an operator is not required to remove
the product. Better ejection designs and mold finishes eliminate the need
for mold spray, and automatic lubrication of the mold can be connected
with the lubrication system of the machine.
Runner systems
Even though a molder has received a mold intended to meet a parts
performance requirements at the lowest cost, it may not be cost-efficient
because of a poor runner design. One can simulate the gate and runner
design on commercial CAD programs before the runner system is built.
Once it is built, very limited rework can be done.
Traditionally there have been several misconceptions about proper runner design. For example, the larger the runner in a cold-runner system, the
faster the melt enters the cavity. Here larger actually means a longer chillcycle time; a larger shot size and a larger machine capacity are needed,
and more scrap and a higher reprocessing cost with potential increase of
contamination; there is a greater projected area, requiring a higher clamping force, and so on. Impossible as it appears, with high production it may
pay to have extensive rework done on the mold, runner, and cavity to
obtain higher profits. It is easy to have the mold properly designed initially with all the tools available
Types of molds for TPs based on different runner systems are shown in
Fig. 2.32. Hot-runner molds, although commercially available since the
1960s, have become dramatically more popular during the past decade.
Hot-runner systems virtually eliminate runners, keeping the plastic from
cooling as it goes from the nozzle to the cavity. One result is faster cycle
time. Other advantages include increased capacity, automated parts
handling, reduced injection pressures and clamping requirements, less

Figure 2.32(a) Injection molds: cold-runner two-plate mold, cold-runner threeplate mold, and hot-runner mold [I].

Figure 2.32(b) Injection molds: insulated-runner mold, hot-manifold mold, mold

stacked mold [I].

material required, and improved gate cosmetics. But hot runners will not
work with certain plastics and part configurations (Chapter 8).

Other considerations
Because parts that are made in multicavity molds tend to lose their dimensional accuracy, there is also a trend to move away from high-cavity
molds. Molds with fewer cavities are particularly useful when manufacturing products with tight tolerances, and when quicker changeovers,
reduced cycle times, and faster startups are required.

Venting
The air inside the mold must be released as the plastic enters the cavity
space. Improvements in mold designs and the increased use of strippers
or air ejection, combined with rapid injection, made the location and
shape of vents more important. Vent design has become an important part
of mold engineering, and vents are machined at the time the mold is built.
The designer analyzes the probable flow path and provides as many vents
as possible for fast, uniform filling of the cavity.

Mold heating and cooling

The processing temperature needs to be high enough for easy filling, but
cold enough for rapid cooling (for TPs). Mold cooling occurs by normal
heat transfer. Cooling efficiency depends on factors such as the temperature difference AT1 between coolant entering and leaving, the coolant
volume passing through the channels, its speed, the Reynolds number
indicating laminar (poor) or turbulent (good) flow, and the chemistry of
the coolant. By feeding all available data into the computer and varying
the parameters under control of the designer, such as diameters, location,
and lengths of bores, number of cooling circuits, distances from molding
surfaces, and mold materials, the engineer can select the most advantageous design.

Alignment of mold halves

To ensure the mold halves meet without lateral shifting, leader pins and
bushings have been used almost universally. They are still used extensively, but where high accuracy of alignment is required, leader pins are
assisted or replaced by taper locks.

TO

THE MOLDMAKERS DIVISION

THE SOCIETY OF THE PLASTICS INDUSTRY, INC.
3150 Des Plaines Avenue (River Road), Des Plaines, III. 60018, Telephone: 312/297-6150
FROM
QUOTE NO.
DATE
DELIVERY REQ

Gentlemen:
Please submit your quotation for a mold as per following specifications and drawings:
COMPANY NAME
Name 1.
BIP No.
Rev. No.
No. Cav.
of
2.
B/P No.
Rev. No.
No. Cav.
Part/s 3.
B/P No.
Rev. No.
No. Cav.
No. of Cavities:
Design Charges:
Price:
Delivery:
Compression D Transfer D Other (specify)
Type of Mold: D Injection
Material
Special Features
Mold Construction
Leader Pins & Bushings in K.O. Bar
Standard
Cavities
Spring Loaded K.O. Bar
3 Plate
Tool Steel
Inserts Molded in Place
Stripper
Beryl. Copper
Spring Loaded Plate
Hot Runner
Steel Sinkings
Insulated Runner
Knockout Bar on Stationary Side
Other (Specify)
Accelerated K.O.
Other (Specify)
Positive K.O. Return
Press
Hyd. Operated K.O. Bar
Clamp Tons
Mold Base Steel
Parting Line Locks
*1
Make/Model
Double Ejection
#2
Other (Specify)
#3
Finish
Hardness
Cooling
Cavities
Cores
Cavities
Cores
Cavities
SPE/SPI
Hardened
Inserts
Mach. Finish
Pre-Hard
Retainer Plates
Chrome Plate
Other (Specify)
Other Plates
Texture
Bubblers
Ejection
Other (Specify)
Other (Specify)
Cavities
Cores
Side Action
K.O. Pins
Tyoe of Gate
Cavities
Cores
Blade K.O.
Angle Pin
Edge
Sleeve
Hydraulic CyI.
Center Sprue
Stripper
Sub-Gate
Air CyI.
Air
Positive Lock
Pin Point
Special Lifts
Cam
Unscrewing (Auto)
Other (Specify)
Removable Inserts (Hand)
K.O. Activated Spring Ld.
Other (Specify)
Other (Specify)
Design by: D Moldmaker Q Customer
Type of Design: D Detailed Design n Layout Only
Limit Switches: D Supplied by
[J Mounted by Moldmaker
Engraving: D Yes D No
Approximate Mold Size:
Heaters Supplied By: n Moldmaker n Customer
Duplicating Casts By: D Moldmaker DCustomer
Mold Function Try-Out By: D Moldmaker G Customer
Tooling Model/s or Master/s By: G Moldmaker D Customer
Try-Out Material Supplied By: D Moldmaker D Customer
Terms subject to Purchase Agreement. This quotation holds for 30 days.
Special Instructions:

Cores

Core

The prices quoted are on the basis of piece part print, models or designs submitted or supplied. Should there be
any change in the final design, prices are subject to change.
By
Title
Distribution: Use of this 3 part form is recommended as follows 1) White and yellow sent with request to quote.
Figure 2.33 Guide for mold quotation.

Stage 2: Design and build

Stage 3. Development

Design
Preliminary mold design
Approve preliminary
Order steel
Detail design
Review and approve

Mold complete; Sampling begins

Drawing release,Place order

Stoge ): Quotation
Elapsed time varies
Design product
Decide on quantity
Decide number of cavities
Select molding machine
Set mold specifications
Screen candidate vendors
Issue quote request
Review quotes
Review mold concepts
Finalize product drawing
Place order
Release drawing, place order

Machining
Core and cavity
Slide and inserts
Core pins etc.
Mold base
Benching
Detailing
Fitting
Polishing
Assembly

Vendor try-out I first)

Mold functioning
Major dimensions
Corrections
Vendor tryoutl additional!
Q.C. detailed inspection
Corrections; touch-up
In-plant try-ouKs)
O.C. inspections)
Touch-upls)
Process standards
Q.C. release
Engineering release
Release for production

Figure 2.34 Time line: divided into weeks, it gives an idea of events that could
occur; also called Gantt chart.

Special molds
Special molds include stack molds, insert molds, two-color molds, injection blow molds, and coinjection molds.
Mold guides
To ensure the mold meets design requirements, it is important to consider
all the requirements and variables. Figure 2.33 was prepared by the
Moldmakers Division of SPI (Society of Plastics Industry). People
who work with ordering or manufacturing molds know that it takes
time. Figure 2.34 provides a guide on time considerations that must be
allowed to go from the design stage to producing a mold that will function
properly.
PROCESS CONTROLS
Process controls can range from unsophisticated to very sophisticated
devices. Their cost includes the equipment and using them correctly (they
take time, patience, and a willingness to learn new ways of molding).
Figure 2.35 provides a simplified approach to understanding controls, and
Fig. 2.36 reviews some variables that influence part performance. Figures
2.10 and 2.23 (pages 131 and 161) show the many parameters that are
interfaced to develop the most efficient machine operation. Trade-offs are
inevitable in a complex operation such as IM. Many of these variables
influence end results, and some of the variables interact.

Hydraulic Pressure
Transducer

Live
Stroke
Cavity Pressure Sensing
loaded! Behind Ejector Pin
Cushion
Sense Point
MOLD AND CLAMP
Clamp Tonnage
Mold Temperature
Cavity Pressure

Correction
Zone
Shot Size
limit

MATERIAL
Regrind Ratio
Regrind Size
Batch To Batch Viscosity Index Changes
Botch To Batch Density Changes
Addition Of Color Concentrates
Moisture

Ram Position
Transducer

MACHINE HYDRAULICS
Oil Pressure
Oil Temperature
Solenoid And Relief
Valve Performance
Variations

EXTRUDER
Shot Size
Cushion
Screw R P M
Back Pressure
Barrel Pressure
Barrel Temperature
Injection Velooty And Pressure

Figure 2.35 Process controls: reasons why they are needed.

INJECTION TIME VS.

INJECTION PRESSURE
BARREL TEMPERATURE
NOZZLE DIAMETER

INCREASE

INCREASE

Figure 2.36 (a) Injection stock temperature versus injection ram speed, barrel temperature, screwback pressure, injection pressure, nozzle
diameter, and screw speed; (b) Injection time versus injection pressure, barrel temperature, and nozzle diameter.

The development of powerful computer controls and programs has

greatly accelerated integrating process variables with a goal of zero defects at the lowest cost. The computer simplifies the fine tuning of machine
settings with molding variables. Examples include establishing melt conditions for mold filling and packing, which involves the simultaneous
measurement and control of two or more critical variable parameters (Fig.
2.10, page 131). It is during this phase of operation that most variations
make themselves evident and can be easily detected. A change in melt
viscosity is reflected as a change in ram speed and can be detected by
measuring the ram position with respect to time.
A change in resin viscosity is reflected as a change in melt pressure
and can be detected by measuring mold or cavity pressure with respect to
time. Other variations that similarly display themselves and can be detected include melt temperature, hydraulic pressure, and oil temperature.
COMPUTER-INTEGRATED INJECTION MOLDING
The ultimate result of computer-integrated injection molding (CIIM)
in software packages is to translate the results of computer simulation
of the molding of a specific part into machine settings for specific
microprocessor-controlled machines (Figs 2.35 and 2.36). CIIM automates
the entry of a large number of set points in microprocessor-controlled
machines and maximizes their efficiency.
Microprocessor control systems
Microprocessor control systems (MCS) make it possible to completely
automate an IM plant. They control machines, automatically, enabling
them to achieve high quality and zero defects. These systems readily
adapt to enhancing the ability of processing machines. There are many
moldings that would be difficult, if not impossible, to produce at the
desired quality level without this feature.
Once processing variables are optimized through computer simulation,
these values are entered in computer programs in the form of a large
number of machine settings. Establishing the initial settings during
startup is inherently complex and time-consuming. The many benefits of
these systems are well recognized and accepted, but it is evident that selfregulation of IM can be effective only when the design of the part and the
mold are optimized, and when the correct processing conditions for the
operation have been predetermined. Otherwise, a self-regulating machine
is confused and can provide conflicting instructions. The results could be
disastrous, damaging the machine or the mold. Therefore, the efficient
utilization of microprocessor control systems depends on the success of
utilizing correct and optimum programs.
Next Page

Previous Page

The development of powerful computer controls and programs has

greatly accelerated integrating process variables with a goal of zero defects at the lowest cost. The computer simplifies the fine tuning of machine
settings with molding variables. Examples include establishing melt conditions for mold filling and packing, which involves the simultaneous
measurement and control of two or more critical variable parameters (Fig.
2.10, page 131). It is during this phase of operation that most variations
make themselves evident and can be easily detected. A change in melt
viscosity is reflected as a change in ram speed and can be detected by
measuring the ram position with respect to time.
A change in resin viscosity is reflected as a change in melt pressure
and can be detected by measuring mold or cavity pressure with respect to
time. Other variations that similarly display themselves and can be detected include melt temperature, hydraulic pressure, and oil temperature.
COMPUTER-INTEGRATED INJECTION MOLDING
The ultimate result of computer-integrated injection molding (CIIM)
in software packages is to translate the results of computer simulation
of the molding of a specific part into machine settings for specific
microprocessor-controlled machines (Figs 2.35 and 2.36). CIIM automates
the entry of a large number of set points in microprocessor-controlled
machines and maximizes their efficiency.
Microprocessor control systems
Microprocessor control systems (MCS) make it possible to completely
automate an IM plant. They control machines, automatically, enabling
them to achieve high quality and zero defects. These systems readily
adapt to enhancing the ability of processing machines. There are many
moldings that would be difficult, if not impossible, to produce at the
desired quality level without this feature.
Once processing variables are optimized through computer simulation,
these values are entered in computer programs in the form of a large
number of machine settings. Establishing the initial settings during
startup is inherently complex and time-consuming. The many benefits of
these systems are well recognized and accepted, but it is evident that selfregulation of IM can be effective only when the design of the part and the
mold are optimized, and when the correct processing conditions for the
operation have been predetermined. Otherwise, a self-regulating machine
is confused and can provide conflicting instructions. The results could be
disastrous, damaging the machine or the mold. Therefore, the efficient
utilization of microprocessor control systems depends on the success of
utilizing correct and optimum programs.

Process simulations
The simulation approach replaces the traditional trial-and-error method.
Programs are packaged for the complete molding process, including materials selection, molding and cost optimization, flow analysis, computerized shrinkage evaluation, and mold thermal analysis. The programs are
mold filling, packing, and so forth, which accurately model the performance of microprocessor-programmed injection. Major 3D CAD systems
for part and mold design, as well as for structural and flow analysis, are
integrated with these systems.
Improving performance
Machine control coordinates functions of the molding machine. Control
functions have evolved to advanced high-speed microprocessor-based
systems. Surface-mount control-board technology is being used to reduce
the size of machine control systems.
To complement the new controls, sophisticated hydraulics have been
introduced. Servo control valves offer increased flexibility and accuracy,
as well as shortened machine function response time. Microprocessor
controls and servo proportional hydraulics provide dynamic response to
achieve true closed-loop systems. Closed-loop systems maintain longterm repeatability of machine velocities and pressures independent of
component wear and factors such as oil temperature, ambient temperature, and variations that occur in material viscosity.
MOLDING VARIABLES VERSUS PERFORMANCE
Melt flow behavior
There are variables during molding that influence part performance such
as machine settings (Fig. 2.37 and Table 2.4 on page 144). The information
presented here shows how melt flow variables behave to influence product properties. A flow analysis can be made to aid designers and
moldmakers in obtaining a good mold. Of paramount importance is controlling the fill pattern of the molding so that parts can be produced
reliably and economically. A good fill pattern for a molding is one that is
usually unidirectional in nature, thus producing a unidirectional and
consistent molecular orientation in the molded product. This approach
helps to avoid warpage problems caused by a differential orientation, an
effect best demonstrated by the warpage that occurs in thin center-gated
disks. In this case all the radials are oriented parallel to the flow direction,
with the circumferences transverse to the flow direction. The difference in
the amounts of shrinkage manifests itself in terms of warpage of the disk.

With flow
Shrinkage

Across flow

Shrinkage
in line
of flow
Gate area

Mold temperature

With flow
Shrinkage
Across flow

Differential
shrinkage

Melt temperature

Cavity thickness

Restricted gate

Restricted gate
Shrinkage

Shrinkage
Open gate

Open gate
Cavity thickness

Packing time
Cold mold
Post
molding
shrinkage
of
crystalline
polymer

Hot mold
Annealed

Degree
of
orientation
in molding

Mold temperature
Cavity
thickness Injection
pressure
Packing
time
Melt
temperature

Ageing time
Figure 2.37 Machine settings: how they affect plastic properties, including
shrinkage.

the best balance of gate locations for cosmetic impact and molding considerations. Figures 2.38 to 2.44 show various flow patterns, orientation
patterns, and property performances.
In the practical world of mold design there are many instance where
design trade-offs must be made in order to achieve a successful overall
design. Although naturally balanced runner systems are certainly desirable, they may lead to problems in mold cooling or increased cost due to

Figure 2.38 Cavity melt flow: looking at a part's thickness (fountain flow).
SHEAR THINNING LAYER

PLUG FLOW

ORIENTATIOI

FAST FILL

SLOW FILL

Figure 2.39 The effects of different fill rates.

Fill point
Flow path
Cavity

Figure 2.40 During the compensation phase, plastic melt does not flow uniformly
through the diaphragm of the plate mold (a), but spreads in a branching pattern
(b).
Tensile

Notched Izod impact

Flexural

Figure 2.41 Test specimens with different ways of gating produce different flow
directions and properties.

STRESS P A R A L L E L TO ORIENTATION

STRESS PERPENDICULAR TO ORIENTATION

Figure 2.42 Orientation affects strength: the highest tensile strength is in the
direction parallel to the orientation.

Figure 2.43 Flow lines or weld lines in a telephone handset: the gate was located
at the top-center of the handle.

Molding variables versus performance

185

Figure 2.44 Locating a gate to obtain the required performance of a retainer

product that is subject to being flexed in service: (a) retainer edge gated; (b)
retainer center gated; and (c) left and center retainers (between fingers) that were
edge gated, with the failed retainer on the right which was center gated.

excessive runner-to-part weights. And there are many cases, such as parts
requiring multiple gates or family molds, in which balanced runners
cannot be used. Flow analysis tools allow successful designs of runners to
balance for pressure, temperature, or a combination of both.
Parting lines
The IM processing parting line technique controls the process by using the
movement between the two halves as the plastic is injected into the mold
as the feedback variable. This movement across the mold parting line is
used to initiate the transfer from injection to holding pressure; it therefore
performs as a transfer point controller (TPC). TPCs have been around for
some time and are a common component of most process control packages for IM. Four strategies are included in the usual commercial transfer
point packages; parting line adds a fifth. Parting line has a major advan-

tage in that its sensor is simply added to the outside of the mold. This
technique adds little or no machining cost. It may be an add-on to older
machines without full control packages.

Back pressure
IM back pressure indicates resistance to the backward movement of the
screw during preparation for a subsequent melt shot. This pressure is
exerted by the plastic on the screw while it is being fed into the shot
chamber (forward end of the barrel, in front of the screw). During rotation
of the screw and the material under pressure, thorough mixing of the
plastic is achieved, and some temperature increase also occurs. In dealing
with heat-sensitive and shear rate insensitive plastics, care must be taken
to keep this value within prescribed limits. The action reviewed concerns
a conventional screw where back pressure is used to improve the melting
characteristics of an otherwise marginally performing screw for the plastic
being processed.
With a two-stage screw, the first stage is hydraulically isolated from the
second-stage screw by the unfilled devolatization zone. Consequently,
back pressure cannot be used to affect melting. Applying back pressure
affects the second stage only, and serves to increase the reverse pressure
flow component. This will necessitate a longer filled length of the second
stage to produce adequate conveying, so the length of unfilled channel
will be reduced and devolatilization impaired. In an extreme case,
backfilling can progress to the vent port and vent bleed will occur. The
only practical advantage lies in the additional mixing it induces in the
second stage. However, the additional length of a two-stage screw is
almost always sufficient to ensure adequate mixing without application of
back pressure.

Screw bridging
When an empty hopper is not the cause of failure, plastic might have
stopped flowing through the feed throat. An overheated feed throat, or
startup followed with a long delay, could build up sticky plastics and stop
flow in the hopper throat. Plastics can also stick to the screw at the feed
throat or just forward from it. When this happens, plastic just turns
around with the screw, effectively sealing off the screw channel from
moving plastic forward. As a result, the screw is said to be bridged and it
stops feeding the screw.
The common cure is to use a rod to break up the sticky plastic or to push
it down through the hopper and into the screw, where its flight may take
a piece of the rod and force it forward. The type of rod fed into the screw

should be made of the plastics being processed. Other rods used could be
of relatively soft material such as copper.
Weld/meld lines
Problems can develop when molding parts include openings and/or
multiple gating (Fig. 2.45). In the process of filling a cavity the hot melt is
obstructed by the core, and by the meeting of two or more melt streams.
With a core the melt splits and surrounds the core. The split stream then
reunites and continues flowing until the cavity is filled. The rejoining of
the split streams forms a weld line that lacks the strength properties in an
area without a weld line; this is because the flowing material tends to wipe
air, moisture, and lubricant into the area where the joining of the stream
takes place and introduces foreign substances into the welding surface.
Furthermore, since the plastic material has lost some of its heat, the
temperature for self-welding is not conducive to the most favorable results. A surface that is to be subjected to load-bearing should not contain
weld lines. If this is not possible, the allowable working stress should be
reduced by at least 15% for unreinforced plastics and 40-60% with RPs.
The meld line is similar to a weld line except the flow fronts move parallel
rather than meeting head on.

Weld

Meld

Figure 2.45 Flow paths are determined by part shape and gate location. Flow
fronts that meet head-on will weld together, forming a weld line. But parallel
fronts tend to blend, potentially producing a less distinct weld line but a stronger
bond (called a meld line).

TOLERANCES AND SHRINKAGES

Certain IM parts can be molded to extremely close tolerances of less than
a thousandth of an inch (25.4 Jim), or down to 0.0%, particularly when TPs
are filled with additives or TSs are used (Chapter 1). To eliminate shrink
and to provide a very smooth and aesthetic surface, one should use a
small amount of chemical blowing agent (<0.5wt%) and a regular IM
packing procedure (Chapter 9).
Table 2.11 provides a guide on shrinkage rates. Chapter 1 includes
dimensional information pertaining to IM.
Table 2.11 Guidelines for nominal TP mold shrinkage rates using ASTM test
specimens
Average rate per ASTM D 955
Material
ABS
Unreinforced
30% glass fiber
Acetal, copolymer
Unreinforced
30% glass fiber
HDPE, homo
Unreinforced
30% glass fiber
Nylon-6
Unreinforced
30% glass fiber
Nylon-6,6
Unreinforced
15% glass fiber + 25% mineral
15% glass fiber + 25% beads
30% glass fiber
PBT polyester
Unreinforced
30% glass fiber
Polycarbonate
Unreinforced
10% glass fiber
30% glass fiber
Polyether sulfone
Unreinforced
30% glass fiber
Polyether-etherketone
Unreinforced
30% glass fiber

0.125in. (3.18mm)

0.250in. (6.35mm)

0.004
0.001

0.007
0.0015

0.017
0.003

0.021
NA

0.015
0.003

0.030
0.004

0.013
0.0035

0.016
0.0045

0.016
0.006
0.006
0.005

0.022
0.008
0.008
0.0055

0.012
0.003

0.018
0.0045

0.005
0.003
0.001

0.007
0.004
0.002

0.006
0.002

0.007
0.003

0.011
0.002

0.013
0.003

Table 2.11 Continued

Average rate per ASTM D 955
Material

0.125in. (3.18mm)

0.250in. (6.35mm)

0.005
0.002

0.007
0.004

0.005
0.001

0.008
0.002

0.011
0.002

0.004
NA

0.015
0.0035

0.025
0.004

0.004
0.0005

0.006
0.001

Polyetherimide
Unreinforced
30% glass fiber
Polyphenylene oxide/PS alloy
Unreinforced
30% glass fiber
Polyphenylene sulfide
Unreinforced
40% glass fiber
Polypropylene, homo
Unreinforced
30% glass fiber
Polystyrene
Unreinforced
30% glass fiber

There are various methods of estimating shrinkages. An easy method

for estimating shrink allowance is as follows:

M = (1 + S)L
where M = mold dimension, S = plastic shrinkage (in./in. or mm/mm),
and L = part dimension.
If parts are small and have thin walls, this estimate is the best guide. If
parts are larger (>10in., 0.25m) and/or use rather high-shrink plastics,
consider using
LM = L/(1-L)
where LM = largest mold dimension.
MOLDING TECHNIQUES
In addition to the conventional IM reviewed, specialized techniques are
used to meet specific product requirements that generate cost reductions
and reduce cycle time; coupled with this are the necessary molding capabilities to produce specific products. They include gas-assisted IM,
coinjection, liquid IM, injection-compression molding (coining), continuous IM, fusible-core molding, multilive feed molding, reaction IM

(Chapter 11), reactive IM (Chapter 3), tandem IM, metal and ceramic IM,
two-color IM, foam molding (Chapter 9), expandable polystyrene (Chapter 9), structural sandwich molding, parts consolidation molding, offset
molding, jet molding, oscillatory molding, molding with rotation
(stretch/orientation that differs from injection stretch blow molding; see
Chapter 4), and others [1, 9]. Some of these methods are now reviewed.
Gas-assisted IM
A significant development in injection molding technology has been the
introduction of gas assist. Nitrogen, an inexpensive inert gas, is introduced to the plastic melt through the injection nozzle, the mold runner, or
directly into the mold cavity. The gas does not mix with the plastic, but
takes the line of least resistance through the less viscous parts of the melt.
The plastic is pushed against the mold and leaves hollow channels within
the part.
Along with the ability to produce hollow parts, parts with heavy ribs
and bosses can be achieved with low in-mold stresses, reduced part warpage, and the elimination of sinks. Along with the lowering of inmold
stresses, gas-assisted injection offers material savings (since gas displaces
resin and less plastic is used), lower clamp tonnage requirements, and
reduced cooling/cycle times. The gas pressure is maintained through the
cooling cycle. In effect, the gas packs the plastic into the mold without a
second-stage high-pressure packing in the cycle as used in IM, which
requires high tonnage to mold large parts [1, 14, 69].
Coinjection
Coinjection means that two or more different plastics are 'laminated'
together. These plastics could be the same except for color. When different
plastics are used, they must be compatible in that they provide proper
adhesion (if required), melt at approximately the same temperature, and
so on. Two or more injection units are required, with each material having
its own injection unit. The materials can be injected into specially designed molds: rotary, shuttle table, etc. [I].
The term Coinjection can denote different products, such as sandwich
construction, double-shot injection, multiple-shot injection, structural
foam construction, two-color molding, and inmolding. Whatever its designation, a 'sandwich' configuration has been made in which two or
more plastics are laminated together to take advantage of the different
properties each plastic contributes to the structure.
This form of injection has been in use since the early 1940s. Many
different advantages exist: (1) it combines the performance of materials;
(2) it permits the use of a low-cost plastic such as a regrind; (3) it provides

a decorative 'thin' surface of an expensive plastic; (4) it includes reinforcements; (5) it permits the use of barrier plastics (Chapter 4). Coinjection
molding is being redefined today in light of the approaches now available
for molding multicomponent parts such as automotive taillights, containers, and business machine housings.
Liquid IM
Liquid IM (LIM) has been in use longer than reaction IM (RIM), but the
processes are practically similar. The advantages it offers in the automated low-pressure processing of (usually) thermoset resins - fast cycles,
low labor cost, low capital investment, energy saving, and space saving may make LIM competitive to potting, encapsulating, compression transfer, and injection molding, particularly when insert molding is required
[I].
Different resins can be used, such as polyester, silicones, polyurethanes,
nylon, and acrylic. A major application for LIM with silicones is encapsulation of electrical and electronic devices.
LIM employs two or more pumps to move the components of the liquid
system (such as catalyst and resin) to a mixing head before they are forced
into a heated mold cavity. Screws or static mixers are used in some
systems. Only a single pump is required for a one-part resin, but systems
having two or more parts are normally used. Equipment is available to
process all types of resin systems, with unsophisticated or sophisticated
control systems. A very critical control involves precision mixing. If voids
or gaseous by-products develop, vacuum is used in the mold.
Injection-compression molding (coining)
Coining, also called injection stamping and more often injection-compression molding, is a variant of injection molding (Figs 2.46 and 2.47). The
essential difference lies in the manner in which the thermal contraction of
the molding during cooling (shrinkage) is compensated. With conventional injection molding, the reduction in material volume in the cavity
due to thermal contraction is compensated by forcing in more plastic melt
during the pressure-holding phase.
By contrast with injection-compression molding, the melt is injected
into a cavity that has a relatively short shot in a compression mold (male
plug fits into a female mold) rather than the usual flat surface matching
mold halves for injection molding. The melt injected into the cavity is
literally stress-free; it works without a holding pressure phase, and the
transport of plastic melt that accompanies this action avoids stresses in the
part, particularly in the gate area(s). The ICM process for thermoplastics
has been used for parts of different sizes, particularly thick-walled parts

Figure 2.46 Coining combines injection molding and compression molding.

with tight dimensional requirements, such as optical lenses. When melt

enters the mold, it is not completely closed. The short-shot melt literally
flows unrestricted in the cavity and is basically stress-free. After injection
is completed, the mold is closed, with the pressure on the melt very
uniform.
Continuous IM
IMMs have been used to mold continuous all-plastic products or strips.
An example is the Velcro strips that uses rotating mold halves with a
constant flow of plastic melt from the injection unit to the mold [I]. There
are systems where metal fiber, etc., are continuously fed through a
multicavity mold and precision plastic parts molded around the metal.

Temperature - controlled manifold,

220-24O 0 F (104-1160C)

Material

Material distribution
Runner cutoff
Pressure sensor

Movable mold half

Stationary mold half

Mold cavity, 3400F (1710C)
Opened between 0.10in. and 0.20 in.
(2.5mm and 5mm)

Figure 2.47 Close-up of a coining mold.

Figure 2.48 shows six copper wires being directed through the open mold
halves. The IMM is on a movable platform; moving in a rectangular
motion. The wires have gone through squeeze rolls, to produce the desired diameter, and move at a constant speed. With the mold closed, melt
is injected into the multicavity mold (20 cavities around each wire).
The mold has recesses to accurately retain the wires. During mold
filling, the mold and the IMM move at the constant speed of the wires.
When the mold opens, the IMM moves sideways to reposition the mold
away from the wires that have the plastic 'buttons7. The wires continue
traveling while the IMM returns to the starting position. The platform
moves sideways (back to its original position) and the mold closes, so it is
ready for the next injection shot. These buttons are accurately molded
(diameter and thickness) and accurately spaced about lin. (25.4mm)
apart. The accurate spacing is kept from shot to shot. Tolerances for
all dimensions are in thousandths of an inch (tens of micrometers). The
product was used in high-frequency electrical lines. Figure 2.48 shows
the buttons around the wire exiting the IMM. The runners were cold
runners, one of the three major types. Each runner feeds melt around two
wires.

Figure 2.48 Coaxial cable cores produced by continuous IM using polystyrene buttons around copper wires.

Fusible-core molding
The use of fusible-core technology (FMCT), as well as soluble-core technology (SCT), to injection mold parts with cavities that could not otherwise be formed or released has been known in the plastics industry since
at least the 1940s, but not frequently used (since it was more of a mystery
in the past). Other forms, types, or terms include lost-core technology
(LCT), soluble salt-core technology (SSCT), lost ice-core technology
(LICT), and ceramic-core technology (CCT). LCT has been the most popular term, used since the 1940s and possibly earlier; it also pertains to all the
other terms.
More recently, fusible cores and soluble cores have been used. Automobile engine intake manifolds molded of glass fiber reinforced nylon appear to be economical and technologically interesting. Use of a fusible core
to mold the complex, curved part produced the sought-after properties of
high quality and a smooth interior surface.
Multilive feed IM
The patented Scorim process is a molding method to improve the strength
and stiffness of parts by eliminating weld lines and controlling the orientation of fibers. A conventional injection molding machine uses a special
head that splits the melt flow into the mold into two streams. During the
holding stage, two hydraulic cylinders alternately actuate pistons above
and below the head, compressing the material in the mold in one direction

Figure 2.49 Multifeed molding, schematic.

then the other. This action aligns the fibers, removes weld lines, and
induces orientation in liquid crystal polymers (LCPs). Figure 2.49 shows
two packing pistons that oscillate 180 out of phase, two packing pistons
that oscillate in phase, and two packing pistons that compress melt with
equal constant pressure.
COSTING IMMS
A major investment is the purchase of IMMs. The cost of an IMM, in
combination with the capability of that machine to repay the investment,
can make the difference between success and failure of a business. Many
molders make their purchasing decisions using empirical information
based on hearsay or the performance of another machine they already
own. This approach has its merits, but it could be disastrous for those with
little knowledge of machines [1, 65, 69, 87, 88, 9O].
Just like people, not all machines are created equal. Recognize that
identical machine models, built and delivered with consecutive serial
numbers to the same site can perform so differently as to make some
completely unacceptable. There can be significant differences between
machines, so the molder usually uses one machine for certain jobs and
another for special precision jobs. Differences are due to factors such as
hydraulic design, which affects long-term pressure drift. The consistency
of the machine control affects the machine timing. Another area is the final
calibration or tuning of a molded product during startup.
One cannot depend on identical calibration or identical performance
from many sources. The machine to be purchased needs to perform as
required. There is always new technology that can successfully differentiate good machines from those with poor expected performance.
To compare IMMs, you need to have done your homework; you need to
find out what you need to monitor in the machine and how you desire it
to operate. You also need to know the relative importance of each factor
for the parts you intend to manufacture. You need to be able to compare
a machine under test conditions to a common yardstick, and you need to
know where flaws exist that might inhibit productivity [9O].
The monitoring system needs to relate to the molded part requirements.
This sets up a good set of parameter guides to be monitored to define
the relationship between process deviation and part quality with the
soundness of the machine design and construction of the machine. Factors
to analyze include machine movements (clamping speed, injection ram
time, back pressure holding capability, etc.), number of wires to the machine sequence control using quick-disconnect clips in an effort to synchronize the measurements with the machine cycle, and location of
pressure transducer(s) connecting the injection ram cylinder to clamping
speed.

Reviewing these data will show what can and cannot be met to operate
the machine to a set of standards such as cycle deviation, clamping speed
limitation, injection time, back pressure drifting, mold hold time, and
plasticizing time. Some believe a machine runoff should be conducted
with a mold that is representative of the type to be used in production. It
is okay but not necessary. A simple molding block with a bleed hole that
allows some material to escape during injection and hold will be sufficient. Thus, the repeatability of the machine is measured rather than the
performance of the mold. The plastic to be used, however, should be the
type that will be used in production.
TROUBLESHOOTING
All types of processing (IM, extrusion, etc.) have become more sophisticated, particularly with regard to process and power controls; so troubleshooting requires a thorough, logical understanding of the complete
process (Fig. 1.1, page 2) and continues to be a very important function.
Problems are presented throughout this book, with suggested approaches
to solutions. One must assemble information of this type as the basis for a
troubleshooting guide (Tables 2.12 and 2.13). Each problem will have its
own solution or solutions (Fig. 2.50). Simplified guides to troubleshooting
granulators, conveying equipment, metering/proportioning equipment,
chillers, and dehumidifiers are available.
No two similar machines (from one or more suppliers) will operate in
exactly the same manner, and plastics do not melt or soften as perfect
blends, but they do all operate within certain limits.
A simplified approach to troubleshooting is to develop a checklist that
incorporates the basic rules of problem solving: (1) have a plan and keep

Call your Supervisor If anything

even LOOKS wrong.

Figure 2.50 Anticipate any problems.

GATE

BEING
MOLDED

MOLD CAVITY
(HIGHLY
EXAGGERATED)
AFTER
EJECTIONS
& COOLING
CROSS
FLOW
SHRINKAGE
FLOW DIRECTION
SHRINKAGE
Figure 2.51 Directional shrinkage when processing crystalline TP.

updating it based on experience gained; (2) watch the processing conditions; (3) change one condition/control at a time; (4) allow sufficient time
for each change, keeping an accurate log of each; (5) check housekeeping,
storage areas, granulators, etc.; and (6) narrow the range of areas in which
the problem belongs - machine, mold/dies, operating controls, material,
part design, and management. To accomplish the last item, several steps
may be taken:
(a) Change the resin. If the problem remains the same, it is probably not
the resin.
(b) Change the type of resin used, as that may pinpoint the problem.
Figure 2.51 is an example where shrinkage of crystalline plastics
(Chapter 1) is not isotropic; even shrinkages in all directions occurs
with amorphous plastics.
(c) If the trouble occurs at random, it is probably a function of the machine or the heat control system. Change the mold/die to another
machine to determine if it is the machine. Also consider changing the
operator.

Table 2.12 IM troubleshooting guide (Courtesy of RTP Co., Winona MN)

Problem

Try remedies in descending order

Change gate location
Clean mold faces
Clean vents
Check for material contamination
Check for uneven mold temperature
Check mold faces for proper fit
Dry material
Increase amount of material
Increase back pressure
Increase clamp pressure
Increase cooling time
Increase holding pressure
Increase injection hold time
Increase injection pressure
Increase injection speed

Increase injection time

Increase mold temperature
Increase size of gates
Increase size of runners
Increase size of sprue
Increase size of vent
Locate gates near heavy cross sections
Raise material temperature
Redesign ejection mechansim
Reduce amount of regrind
Reduce back pressure
Reduce cylinder temperature
Reduce holding pressure
Reduce injection pressure
Reduce injection speed
Reduce mold temperature
Reduce molded stress
Reduce overall cycle time
Reduce screw speed

Table 2.13 Common molding faults

Defect
Short moldings

Flashing at mold
parting lines

Surface sink marks

Possible cause
Insufficient feed
Insufficient pressure
Inadequate heating
Insufficient injection
time
Cold mold
Back pressure due to
entrapped air
Unbalanced cavity in a
multicavity cavity
mold
Insufficient locking force
Injection pressure too
high
Material too hot
Mold faces out of line
Mold faces contaminated
Flow restricted to one
or more cavities (in
multicavity mold)
Material too hot when
gate freezes
Insufficient dwell
plunger forward time
Insufficient material shot
into cavity
Insufficient pressure
Piece ejected too hot

Voids

Material too hot (gas

formation)
Condensation of
moisture on polymer
granules
Condensation of
moisture on the mold
surface
Internal shrinkage after
case-hardening of
outer layer

Suggested remedy
Adjust feed setting
Increase pressure
Increase temperature or
lengthen cycle
Increase injection time
Increase mold temperature
Improve venting of mold
Check sizes of cavities
Increase locking force
Reduce injection pressure
Reduce cylinder temperature
Rebed mold faces
Clean mold faces
Check and remove restriction
Reduce cylinder temperature
or enlarge gate
Increase dwell time
Increase feed
Increase cylinder temp.
Increase mold temp.
Increase pressure
Increase cooling time in the
mold
Reduce cylinder temp.
Predry granules
Increase mold temp.
Increase pressure
Increase mold temp.
Enlarge size of gates
Lengthen dwell time

Table 2.13 Continued

Defect
Weld Lines

Distortion of
moldings

Crazing and
blistering
Surface streaks
Burn marks
Brittleness

Possible cause
Material too cold
Mold too cold
Injection pressure too low
Gates wrongly located
(including too big a
distance from gate to
weld joint) or designed
Ejection of molding at too
high a temperature
Ejection pin working
unevenly
Existence of molded-in
stresses due to material
too cold, bad design,
cavity overpacked in
vicinity of gates
Excessive surface strain
because of cold mold
Overheating of material
Moisture in granules
Air trapped in mold
cavities
Material too cold
Material has degraded
Contamination with
other material
Mold too cold

Suggested remedy
Increase cylinder temp.
Increase mold temp.
Increase injection pressure
Relocate gates and /or
redesign
Increase mold cooling time
Correct or adjust ejection
pins
Increase cylinder temp.
Redesign molding
Check feed setting. Reduce
injection pressure and
cylinder temperature.
Reduce injection time
Increase mold temperature
Reduce cylinder temperature
Predry granules
Improve mold venting
Increase cylinder temp.
Decrease cylinder temp.
Check the material for
contamination
Check cylinder and hopper
Increase mold temperature

(d) If the problem appears, disappears, or changes from one operator to

another, observe the differences between their actions.
(e) If the problem always appears in about the same position of a singlecavity mold, it is probably a function of the flow pattern due to
unsatisfactory cooling, and requires readjustments.
(f) If the problem appears in the same cavity or cavities of a multicavity
mold, it is in the cavity or gate and runner system.
(g) If a machine operation malfunctions, check the hydraulic or electric
circuits. As an example, a pump makes oil flow, but there must be
resistance to flow to generate pressure. Determine where the fluid is
going. If actuators fail to move or move slowly, the fluid must be

bypassing them or going somewhere else. Trace it by disconnecting

lines if necessary. No flow, or less than normal flow in the system, will
indicate that a pump or pump drive is at fault. Details on correcting
malfunctions are in the machine instruction manual.
(h) Check for hydraulic contamination. Too little attention is paid to the
cleanliness required of the oil used. Dirt is responsible for the majority of malfunctions, unsatisfactory component performance, and
machine degradation, particularly with the increased use of electrohydraulic servosystems. Injection pressure, holding pressure,
plasticating pressure, boost pressure, and boost cutoff are adversely
affected by increased contamination levels in the fluid. Sources of
contamination include new oil, a hydraulic system built with poor
quality control, air from the environment, wear of hydraulic components, leaking or faulty seals, and shop maintenance activity. Contamination control is accomplished with the proper filters (such as
1OjIm) (see suppliers), and with preventive maintenance procedures
that are both correct and properly used.
(i) Set up a procedure to 'break in' the new mold/die.
The procedure for setting up a mold/die is as follows. (1) Obtain samples
and molding cycle information if the mold was used by others. (2) Clean
a used mold. (3) Visually inspect the mold and make corrections if required. (4) Check out, on a bench, the actions of the mold/die cams, slides,
unscrewing devices, and so on. (5) Install safety devices. (6) Operate the
mold/die in the machine, and move it very slowly under low pressure. (7)
Open the mold/die and inspect it. (8) Dry-cycle the mold without injecting melt to check knockout stroke, speeds, cushions, and low-pressure
closing [54]. (9) After the mold is at operating heat, dry-cycle it again;
expansion or contraction of the mold parts may affect the fits. (10) Take a
shot, using maximum mold lubrication and under conditions least likely
to cause mold damage, usually low melt feed and pressure. (11) Build up
slowly to operating conditions, and run the process until stabilized (usually 1-2 h). Record operating information. (13) Take the part to quality
control for approval. (14) Make required changes. (15) Repeat the process
until it is approved by the customer.
Faulty or unacceptable parts usually result from problems in one or
more of these areas: (1) premolding, material handling and storage
(Chapter 16); (2) molding, conditions in the processing cycle; and (3)
postmolding, parts handling and finishing operations (Chapter 17).
Problems caused in premolding and postmolding may include those
involving contamination, color, the static dust collector, and so on. In
molding (item 2) the molder is required to produce a good-quality melt
based on visual observation as it flows freely from the nozzle. Each mold
is unique and each material is unique, so one cannot generalize about

what makes a good melt. The experience of the molder and a knowledge
of the process needs are the final determining factors.
There are several ways to determine the efficiency of the melt. One
method is to observe the screw drive pressure; it should be about 75% of
maximum. If it is less than that, lower the rear-zone heat until the drive
pressure starts to rise. With melt quality changing, raise the center zone to
restore quality to what is required. Heat changes should be accomplished
in 10-150C increments, with 10-15 min of stabilization time allowed before the next change.
Once the rear zone is set, one should lower the front zones to whatever
level will still give good molding conditions. With crystalline types, such
as nylon, PP, and PE, the operator must watch the screw return. If the
screw is moving backward in a jerky manner, there is insufficient heat in
the rear zone; the unmelted resin is jamming or plugging the screw
compression zone. The heat energy required to melt crystalline plastics is
different from that needed for amorphous plastics (Chapter 1).

Wear
All screws, barrels, molds or dies, and any device that handles melt will
wear, but hopefully by an insignificant amount that does not influence
processability [54]. The wear of screws (particularly on the flight OD)
and barrels is a function of (1) the screw-barrel-drive alignment; (2) the
straightness of the screw and barrel; (3) the screw design; (4) the uniformity of barrel heating; (5) the material being processed; (6) abrasive fillers,
reinforcing agents, pigments, and so on; (7) the screw surface material; (8)
the barrel liner material; (9) a combination of the screw surface and the
barrel liner; (10) improper support of the barrel; (11) excessive loads on
the barrel discharge end and heavy molds or dies; (12) corrosion caused
by additives such as flame retardants; (13) corrosion caused by certain
polymer degradation; and (14) excessive back pressure on the injection
recovery.
Screws are usually aligned properly by the supplier before shipment,
but can become misaligned during shipment, during installation, and by
accidental impacts and other aspects of their use. An angular misalignment will generally cause wear uniformly around the screw in a fairly
localized area. In that vicinity the barrel will be worn around the entire ID.
If the barrel is bent, the screw will be worn all around near the center and
near the discharge, whereas the barrel is usually worn on one side near the
center. Wear on screws and barrels generally falls into three categories.
Abrasive wear is caused by abrasive fillers such as calcium carbonate, talc,
glass fibers, barium sulfate (used in magnetic tapes, etc.), and even the
titanium dioxide pigments used in all white and pastel shades. Glass

fibers tend to abrade the root of the screw at the leading edge, and in
severe cases can undermine the screw flight completely, usually leaving
no flight in the compression-transition zone. This action occurs extensively when partially melted or unmelted plastic pushes the glass
against the screw or barrel.
Adhesive wear or galling is caused by metal-to-metal contact. Certain sensitive metals can momentarily weld to each other because of very high
localized heating. As the screw rotates, the weld separates, and metal is
pulled from the screw to the barrel or vice versa. Proper clearance
usually eliminates this problem with proper alignment and hardness.
With an improperly designed screw for a plastic operating at high
output rates, an unmelted blockage will result, forcing the screw against
the barrel and causing rapid adhesion wear.
Corrosion wear is caused by chemical attack in the melting of certain
plastics, such as PVC, ABS, PC, and PUR, as well as flame-retardant
compounds, fiber-sizing agents, and so on. Material suppliers can identify the offending agents. The wear usually shows a pitted appearance
and is usually downstream, where it has a chance to overheat and
degrade. This type of wear can be controlled by using proper operating
procedures; do not let the machine stay at the operating heat for any
length of time. Proper selection of the screw design and corrosionresistant screw/barrel materials can help. Nonreturn valves and screw
tips are also subject to wear, so it is important to use the best available
material.
Different coatings such as chrome and nickel plating are used to protect
the screw surface. Depending on the specific plastic being processed, a
particular coating will be available. The wear surfaces, primarily of flight
lands, are usually protected by welding special wear-resistant alloys over
these surfaces. The most popular and familiar alloys are Stellite (trademark of Cabot Corp.) and Colmonoy (trademark of Wall Colomonoy
Corp.); others are also used and are available from different suppliers.
Different heat treatments are also used on the steels to increase wear
resistance.

Inspection
Screws do not have the same outside continuous diameter. Upon receiving a machine or just a screw, it is a good idea to check its specified
dimensions (diameters versus locations, channel depths, concentricity
and straightness, hardness, spline/attachment dimensions, etc.) and
make a proper visual inspection. This information should be recorded so
that comparisons can be made following a later inspection. The initial
check also guarantees proper delivery. Some special equipment should be

Table 2.14 Manufacturing tolerances on screws [54]

Diameters
Outside diameter
Shank diameter
Injection registers
Clearance diameters
Lengths
Overall length (OAL)
Transition zones
Vent sections
Shank lengths
Ring valve location
Concentricity
TIR of OD
<100in.
>100in.
Hardness
Base material 4140
Flame-hardened flights
Nitr alloy3 135M
(or equivalent)
Stelliteb no. 6
Stelliteb no. 12

0.001 in.
0.005 in.
0.0005 in.
+0.015 in.

Channel depths
Depth
0.000-0.150 in.
0.151-0.350 in.
0.351-0.750 in.

iV^in.
'/10 dia.
Vio dia.
V32in.
+V32 in.

Hollow bore length:

Flight widths:
0-0.500 in.
0.501-1. 000 in.
>1.001in.

0.010 in.
0.0515 in.
+0.020 in.

0.002 in.
0.004 in.

Hollow bore to shank

Injection registers

0.015 in.
0.001 in.

28-32Rc
48Rcmin.

Colmonoyc no. 5
Colmonoyc no. 56
Colmonoyc no. 6
Colmonoy 84
N-45d
N-50d
N-55d

36-40Rc
46-50Rc
50-55Rc
36-42Rc
40-44Rc
44-48Rc
46-50Rc

60-70Rc
38-42Rc
42-48Rc

Tolerance
0.002 in.
0.003 in.
+0.005 in.
V4

Finish
Unplated screws 16 RMS max.
Plated screws
Root
8RMS max.
Flight sides, OD, and shank 16 RMS max.
a
Trademark
b
Trademark
c
Trademark
d

of Joseph T, Ryerson & Son, Inc.

of Cabot Corp.
of Wall Colmonoy Corp.
Trademark of Metallurgical Industries Inc.

used for inspection other than the usual methods (micrometer, etc.) to
ensure that the inspection is reproduced accurately. Such equipment is
available from suppliers [54] and actually simplifies testing and takes less
time, particularly for roller and hardness testing. It is important that
screws are manufactured to controlled tolerances such as those given in
Table 2.14.
Rebuilding screws/barrels
In a properly designed plasticator, the majority of wear is concentrated on
the screw because the screw can be replaced and built more easily than the

barrel. The rebuilding of injection (also extrusion, blow molding, etc.)

screws has become so common that the rebuilding business became a
major segment of our industry. One reason for the popularity of screw
building is that rebuilding is usually considerably less expensive than
replacement of a new screw. Rebuilding is usually done with hardfacing
materials. With the proper choice of hardfacing metallic material, the
rebuilt screw can perform better than the original screw [54, 63, 65].
It is considerably more difficult and costly to repair a worn barrel than
to rebuild a worn screw. If it is not greater than about 0.5mm (0.02 in.), the
whole barrel can be honed to a larger diameter and an oversized screw
can be used. If the wear occurs near the end of the barrel, a sleeve can be
placed inside. But despite these remedies, a worn barrel generally needs
to be replaced.

Extrusion

BASIC PROCESS
The extruder, which offers the advantages of a completely versatile
processing technique, is unsurpassed in economic importance by any
other process. This continuously operating process, with its relatively low
cost of operation, is predominant in the manufacture of shapes such as
films, sheets, tapes, filaments, pipes, rods, and others. The basic processing concept is similar to that of injection molding (IM), in that material
passes from a hopper into a cylinder in which it is melted and dragged
forward by the movement of a screw. The screw compresses, melts, and
homogenizes the material. When the melt reaches the end of the cylinder,
it is usually forced through a screen pack prior to entering a die that gives
the desired shape with no break in continuity (Fig. 3.1).
A major difference between extrusion and IM is that the extruder processes plastics at a lower pressure and operates continuously. Its pressure
range is usually 200-1500 psi (1.4-10.4MPa) and could go to 5000 or possibly lOOOOpsi (34.5-69MPa) (Table 3.1). IM pressures are 2000-3000psi
(14-21OMPa). However, the most important difference is that the IM melt
is not continuous; it experiences repeatable abrupt changes when the melt
is forced into a mold cavity (Chapter 2). With these significant differences,
it is actually easier to theorize about extrusion and to process plastics
through extruders, as many more controls are required in IM.
Good-quality plastic extrusions require homogeneity in terms of the
melt heat profile and mix, accurate and sustained flow rates, a good die
design, and accurately controlled downstream equipment for cooling and
handling the product. Four principal factors determine a good die design:
internal flow length, streamlining, the materials of construction, and uniformity of heat control. Heat profiles, such as those in Fig. 3.2, are preset
via tight controls (Chapters 1 and 2). To accomplish this control, cooling
systems are incorporated in addition to heater bands. Barrels use forced

Hesm

Hopper
Screw Thermocouples
Adapter
Heaters
Barrel
Thermocouple
Resin
Flow
to Die
Feed
Screen Pack
Compression
Metering
Section Section
Section
Breaker Plate

Figure 3.1 Cross section of a single-screw extruder.

Table 3.1 Typical extruder diehead pressures
Melt pressure at the die
Extruded shape

psi

MPa

Film, blown
Film, cast
Sheet
Pipe
Wire coating
Filament

1000-5000
200-1500
200-1500
400-1500
1000-5000
1000-3000

6.9-34.5
1.4-10.4
1.5-10.4
2.8-10.4
6.9-34.5
6.9-20.7

air and/or water jackets. Some machines have water bubbler channels
located within the screws. (Table 2.1, pages 132-4, provides a guide for
machine settings.)
It is important to realize that the barrel-plastic interface constitutes only
about 50% of the total plastic-metal interface. Thus, with only barrel
heating and/or cooling, only about 50% of the total surface area available
for heat transfer is being utilized. The screw surface therefore constitutes
a very important heat-transfer surface. Many extruders do not use screw
cooling or heating; they run with what is called a neutral screw. If the
external heating or cooling requirements are minor, then screw heating or
cooling is generally not necessary. But if the external heating or cooling
requirements are substantial, then screw heating or cooling can become
very important and is usually essential [3, 9, 54, 60, 63].
On leaving the extruder, the product is drawn by a pulling device, and
in this stage it is subject to cooling, usually by water and/or blown air.
This is an important aspect of control if tight dimensional requirements
exist and/or conservation of plastics is desired. Lines usually do not have
adequate control of the pulling device. The processor's target is to deter-

TEFLON
TEMPERATURE,( 0 F)

POLYSULFONE
POLYCARBONATE
NYLON
ABS

PVC

EXTRUDER BARREL
TEMPERATURE ZONES
Figure 3.2 Temperature profiles of different plastics going through an extruder.
mine the tolerance required for the pull rate and to see that the device
meets the requirements. One should check with a supplier on the speed
tolerances available. Even if tight dimensional requirements do not exist,
the probability is that better control of the pull speed will permit tighter
tolerances and reduce the material output. One should check the cost of
replacing the puller.
As the molecules of the melt flow are aligned in the direction of the
output from the die, the strength of the plastic is characteristically greater
in that direction than at right angles. Depending on the product use, this
may or may not be favorable. The degree of orientation can be controlled
(reviewed later and in Chapter 1).
Most plastics extruders incorporate a single screw rotating in a horizontal cylindrical barrel with an entry port mounted over one end and a
shaping die mounted at the discharge end. A large-capacity, single-screw
extruder may have a screw diameter of 600mm and be designed to
extrude 29 ton h'1; the smallest models, for torque rheometers, have a
capacity of Stonh"1. Very small extruders are used in laboratories and
commercially for special applications such as extruding a narrow red
stripe for decoration on polypropylene soda straws. Most US single-screw
extruders are sized in diameter by inches 2-10in. (51-254mm).
The twin-screw extruders and other multiple-rotor devices are usually
more expensive than conventional single-screw extruders. Their use is
confined primarily to tasks that cannot be performed easily. For both
single-screw and twin-screw extruders the screw design affects the

performance capabilities of the extruder. A typical simple screw design

for a solid-fed single-screw extruder must convey the plastic entering the
screw into a heated, compacted environment, where the shear force developed by the rotating screw melts the plastic and mixes it to a reasonably
uniform temperature while pressurizing the melt and pumping it uniformly through the die.
Advances in screw design and control features are making the singlescrew extruder increasingly versatile. Nevertheless, new developments in
combining plastics and incorporating various additives are placing more
demands than ever on twin-screw extruders, thus assuring their expanded use. Both single-screw and twin-screw extruders can be designed
with one or more vents to remove volatiles and with additional feedports
downstream of the first feedport. Sometimes extruders are arranged in
tandem or as coextruders to produce different layers of molten plastics
through the same die. At the extruder exits, melt filtration may be provided, usually by screen packs. A static mixer is occasionally placed in an
adapter tube leading to the die, and sometimes a gear pump may precede
the die to assure a more consistent output rate. The possibilities for
die design are almost unlimited and cover many applications, such as
compounding (coloring and blending of melts, additives, and fillers),
crosshead extrusion (wire, garden hose), sheet, film, coatings, pipe, rod,
profiles, and coextruded products.
The success of any continuous extrusion process depends not only upon
uniform quality and conditioning of the raw materials (Chapters 1,2, and
16) but also upon the speed and continuity of the feed of additives or
regrind along with the virgin resin. Practically only thermoplastics go
through extruders; markets have not developed to date for extruded
thermosets. As reviewed in Chapters 1 and 16, variations in the bulk
density of materials exist in the hopper, requiring controllers such as
weight feeders and perhaps requiring some type of packing feed, such as
rams and screw packers.
Each line has interrelating operations, as well as specific line operations,
to simplify processability. The extruder is usually followed by some kind
of cooling system to remove heat at a controlled rate, causing plastic
solidification. It can be as simple a system as air or water cooling, or a
cooled roll contact can be used to accelerate the cooling process. Some
type of takeoff at the end of the line usually requires an accurate speed
control to ensure product precision and save on material costs by tightening thickness tolerances. The simplest device might be a pair of pinch rolls
or a pair of opposed belts (a caterpillar takeoff). A variable-speed drive is
usually desired to give the required precision.
Extruder film is the biggest output from extruders. Film is usually
defined as material having a thickness of up to ten thousandths of an inch
(250 |nm), thicknesses above this are called sheet. There are fundamentally

two different methods of extruding film, blow extrusion and cast or slotdie extrusion. Blow extrusion produces tubular film, which may be
gussetted or layflat; cast or slot-die extrusion produces flat film.
Of the 38 wt% of all plastics going through extruders about 45% are PE,
25% PVC, 14% PP, 8% PS, and 8% others. Many plastics are first extruded
in polymer manufacturing plants and in compounding operations before
reaching final extrusion (injection molding and other) processes used to
make fabricated products. Many other materials are formed through extruders: metals, clays, ceramics, foodstuffs, etc. The food industry extrudes noodles, sausages, snacks, cereals, and so on. This book confines
itself to plastics, predominately thermoplastics.
PLASTICS HANDLING
Care should be taken to prevent conditions that promote surface condensation of moisture on the plastic and moisture absorption by any existing
pigments in color concentrates. Surface condensation can be avoided by
proper storage of the plastic and keeping it in an area at least as warm as
the operating temperature for at least 24 h prior to its use. If moisture
absorption by a color concentrate is suspected, heating in an oven for 824 h at 250-30O0F (120-15O0C) should permit sufficient drying. With
hygroscopic resins, special precautions and drying are required (Chapters
1 and 16). Heat from a hopper dryer can be used to improve melt performance and extruder output capacity (Fig. 3.3). When the dryer preheat is
insufficient, heat can be applied in the screw's solids-conveying zone
and/or the barrel feed throat (assuming the capability exists).

Melt at 5990F (3150C)

Example
start0 at
248 F (12O0C)
Room
temperature
Start screw
conveying

Melt exits
extruder

Figure 3.3 Improving material and/or machine performance by preheating

'solids7 entering the extruder's feed throat.

High
(output Ib/hr)

Proper temperature profile

Low

improper temperature profile

Low

(Screw RPM)

High

Figure 3.4 Plastics entering the barrel throat at a higher temperature will increase
the extruder output capacity with an increase in RPM.

A typical heat profile that is adequate at low screw speed may be

inadequate when speeds are increased, because of the greater rate of
material flow through the extruder. (In fact, the heat profile may even be
inadequate at low speed.) The output may not increase at a linear rate
with increasing speed unless the heat profile increases (Fig. 3.4). With a
proper heat profile, a linear relationship between speed and output can be
maintained through a wider operating range. However, too high a heat at
low screw speed is likely to cause melting all the way back to the barrel
throat, causing resin bridging and degradation.
Different techniques are used to improve feeding from the hopper: a
ram stuffer, a tapered (larger) screw in the throat section, a grooved feed
section, starved feeding, etc. All have advantages and disadvantages,
based on the capabilities of the machines and of the resin being processed.
What may help with one machine in the plant may be useless in another
machine using the same resin. Early melting can be avoided by using a
barrel feed with an intensively water-cooled, grooved barrel section. The
grooves impart better solids conveying for resins with a low coefficient of
friction, such as UHMWPE, and other resins where additives make them
extremely slippery. The grooves usually have a right-angled profile and
axial arrangements, although helical grooves are used for certain materials. Optimum sizing and dimensioning of the feed section and the correct
control of cooling are necessary, as well as proper design of the feed
screw, to achieve a high-output revolution with a low-friction load.
If a resin exhibits a feeding inefficiency (as the screw speed is increased,
the output of the extruder does not measurably increase), grooved feed

sections should be considered. Most materials feed well, as seen through

moderate or high pressure levels early in the barrel, and the state of screw
design had led to efficient 'melting rate limited' extrusion. A grooved feed
that is already limited by the melting rate will overdrive the screw and
cause melt quality effects that must be corrected through the use of shallower screws. If a material is not melting rate limited, feeding reasonably
well, a grooved feed will increase the output. Probably the next larger
screw will accomplish the same result at a lower cost. One must consider
economics, including the added maintenance and operational costs of
grooves.
Starve or metered feeding devices do not allow equipment to run with
feed flights completely filled, so this approach is best avoided, although
some vented screws do use it. Machines will run most efficiently and with
the best cleaning when feed flights are full. Starve feeding leads to flights
that are partially empty for some distance, an undesirable situation (causing wear problems, etc.). Some two-stage screws that handle a variety of
resins may not be versatile enough, then a feeder gives added control.
Starving can help when machines are having a feed problem and no other
approach is possible.
As the feeder is adjusted, the screw's performance will eventually deteriorate, so the output consistency or the melt efficiency is threatened.
Adjusting the screw design to preclude the need to starve is a better
alternative, and is usually economically feasible.
Twin-screw extruders producing profiles will often use starve feeders
to reduce torque requirements. But when feasible, a better approach is to
accomplish this via a screw design with adequate extruder torque power.
Slight starving of twins may not seriously deteriorate the melt, but moderate to high levels of starving will reduce stability.
As explained in previous chapters and in Chapter 16, regrind can be a
major problem. Many extruder lines, such as film trim and scrap, are
reprocessed; the material is granulated and/or plasticized by a small
extruder and fed back with virgin resin. The extrudability of the combination may be quite different from that of virgin resin. Problems can also
develop in the blending of two or more different resins, such as LLDPE
and LDPE, to improve specific performances. The LLDPE starts melting or
breaking down at a lower heat than LDPE, so their blend is more difficult
to process than virgin or regrind blends. New screw designs overcome
such problems.
BARREL AND FEED UNITS
The feed throat and feedhopper units are important in ensuring that
plastics are properly plasticized. The feed throat is the section in an
extruder barrel (and other screw plasticator such as injection molding)

where material is directed into the screw channel. It fits around the first
few flights of the screw. Some extruders do not have a separate feed
throat. In these extruders the feed throat is an integral part of the barrel,
even though it may not be the best design approach. The feed-throat
casting is generally water-cooled to prevent and early temperature rise of
the plastics. If the temperature rises too high, it may cause the plastic to
adhere (stick) to the surface of the feed opening, causing a materialconveying problem to the screw, usually called bridging. The problem
can also develop on the screw, with plastic sticking to it, restricting forward movement of material.
Where the feed-throat casting connects with the barrel, a thermal barrier is usually included to prevent barrel heat from escaping through the
feed throat. This action is not possible in a barrel with an integral feed
opening.
The geometry of the feed section should be such that the plastic can flow
into the extruder with minimum restrictions. The shape of the inlet is
usually round or square. The smoothest transition from feedhopper to
feed throat will occur if the cross-sectional shape of the hopper is the same
as the shape of the feed opening; a circular hopper feeds into a circular
feedport. Some machines have grooved barrel sections to aid in feeding
the screw. The effective length of the grooves may be 3-5 diameters of the
screw. Its depth varies with axial distance; maximum depth is at the start
of the grooves and reduces to zero where the grooved section meets the
smooth barrel. This approach produces excellent cooling. The result is a
good thermal barrier between the feed section and the barrel. It also gives
a high-pressure capability. Stress between the plastic and the grooves can
be very high, so wear can be a problem, particularly when the plastic
contains abrasive additives. To reduce or eliminate this problem, the
grooved design is made with highly wear-resistant steel materials.
The feedhopper must ensure the plastics enter the screw plasticator at a
controlled weight rate (not volume rate). The plastics flow by gravity in
many machines. Although satisfactory for some materials, gravity flow
may be unsuitable for bulky materials with very poor flow characteristics;
additional devices are then used to ensure steady flow. A vibrating pad
may be attached to the hopper to dislodge any bridges that may want to
form. Stirrers are also used to mix materials (virgin, recycled, etc.), to
provide an even distribution, or to prevent separation. The stirrers can be
used to wipe material from the hopper wall if the bulk material tends to
stick to it. Crammer feeders are used with certain bulky materials when
other devices do not have the capability to provide the proper feeding
action (Chapter 16).
Air entrapment can occur with certain plastics, particularly those having low bulk density. As explained in Chapter 1, if air cannot escape
through the feedhopper, it will be carried with the plastic melt through

the die, and problems can develop. One way to eliminate air entrapment
is to use a vacuum feedhopper, but this is rarely practical. Problems can
develop over loading the hopper without losing vacuum. Double-hopper
vacuum systems are used where plastic is loaded into a top hopper and
the air is removed before the plastic is dumped in the main hopper
feeding the screw. This unit has merit when used very carefully but it can
encounter problems such as leaks.
Another important aspect to the hopper is its sidewall angle from the
horizontal. The angle should be larger than the angle that would cause
internal friction between material and the sidewall. Some plastics slide
easily but others want to stick. Experience or trial-and-error evaluations
are needed. If the bulky material has a very large angle of internal friction,
it will bridge in almost all hoppers; this situation may be resolved by
using a force-feeding mechanism (Chapter 16) [1, 26, 32, 54, 63, 65, 69,
91].
TYPES OF EXTRUDER
There are two basic types of extruders: continuous and batch (discontinuous). Continuous extruders have the capability to develop a steady,
continuous flow of material, whereas batch extruders operate in a repeatcycle pattern. Continuous extruders use rotating-screw processes, processes reviewed in this chapter. Batch extruders generally have a
reciprocating screw (like the injection molders reviewed in Chapter 2);
they also use designs for preparing compound mixes, etc.
There are many different types of the basic continuous-screw extruder.
The main types are classified as (1) screw extruders with single or
multiple screws; (2) disk or drum extruders; (3) discontinuous, or batch,
reciprocating extruders. Details will be presented regarding continuousscrew extruders, particularly single screws, since they represent the
vast majority of extruders used to manufacture the products in this
chapter [9].
The disk or drum types are represented by viscous drag and elastic plastic melt plasticizing actions. The viscous types include the spiral disk,
drum, dispact, and stepped-disk extruders. The elastic types include the
Maxwell and screw/disk extruders. The discontinuous types comprise
the ram extruders (melt feed and capillary rheometer types) and reciprocating extruders (injection molding and compounding extruders) [1, 6, 9,
26, 29, 39, 59, 60, 63-7O].
Innovations in the design of screws and associated control systems will
continue to keep pace with advances in technology and applications research. Among the likely future developments will be the screwless
extruder, in which a smooth barrel with a dam, in conjunction with a
rotating cylinder, will hasten the melting process. Such improvements

will provide higher operating rates and product quality, along with lower
processing costs [9].
SCREW/BARREL PERFORMANCE
Screw design is at the heart of the extrusion process, which suffers if
the screw design is not well suited to the application. Before 1967 most
screws were of conventional single-stage and two-stage design, and
theoretical attention was directed to optimizing the length and depth of
conventional feed, transition, and metering sections in relation to processing requirements. Some screws were built with different pitches and
multiple flights, and occasionally mixing pins, ring barriers, undercut
spiral barriers, and Dulmage sections (many parallel interrupted mixing
flights), plus a few other novelties were employed. In a notable study on
mixing screw design, a highly sensitive oscillograph recorder traced temperature and pressure. It was demonstrated that incorporation of a Union
Carbide mixing section in a conventional screw extruding polyethylene at
good output rates could reduce temperature and pressure fluctuations
entering the die to about 0.25%. Other mixing sections were developed,
and since then, high-performance screws have been used more and more
[63].
The extruder screw is the heart of the machine. Everything revolves
around the extruder screw, literally and figuratively. The rotation of the
screw causes forward transport, contributes to a large extent to the heating of the plastic, and causes homogenization of the material. In simple
terms the screw is a cylindrical rod of varying diameter with helical flights
wrapped around it. The outside diameter of the screw, from flight tip to
flight tip, is constant on most extruders. The clearance between screw and
barrel is usually small. The ratio of radial clearance to screw diameter is
generally around 0.001, with a range of about 0.0005-0.0020.
In all these applications the design of the extruder screw is the most
critical part of the machine. Although a single all-encompassing (or universal) design was once employed, today's screws are generally customized for a particular process (review Chapter 2). The specific screw type
involves factors such as the type of polymer being processed, the temperature limitations, the degree of mixing, the amount of pressure required to
move the polymer, and the form of extrudate and its level of homogeneity.
Current screw designs are configured for such specific needs as high
dispersion, high distribution (mixing), high temperature, low temperature, and good homogeneity.
Another factor in screw design involves removal of unwanted vapors
during processing (which may be facilitated by use of vents at various
points on the barrel) and the need for sufficient pressure to move the
plastic through a die. Pressure requirements usually run from 1500 psi

Table 3.2 Guide to extruder plastics output rates in Ib h la

Screw diameter (in.)
Material

I1I2

21I2

31I2

41I2

ABS
Acrylic
PC
PP
HIPS
PVC, flexible
PVC, rigid
LDPE
LLDPE
HDPE

280
320
210
280
340
300
180
310
200
215

400
470
320
400
560
450
250
525
300
325

825
900
680
825
1100
900
500
1050
600
725

1350
1500
1025
1350
1800
1500
800
1750
1000
1175

2270
2700
1850
2270
3250
2700
1450
3000
1800
2150

4100
4750
3200
4100
5750
4750
2300
5500
3260
3750

Output deviation from average is 10-15%; output rates are based on different processing
machine settings and the general composition of the plastics (as reviewed in the chapter). To
obtain the actual output rate, weigh the actual output based on machine
settings and the
specific plastic processed. A 'rough' estimate for output rate (OR) in Ib h'1 can be calculated
by using the barrel's inside dimension (ID) in inches in the following equation: OR = 16 ID22.
Pounds x 0.4536 = kilograms; see the appendix for metric conversion charts (page 642).
Standard barrel inside diameters,
in inches (mm in parentheses) are generally IV2 (38), 2 (50),
2V2 (64), 3V4 (83), 3V2 (89), 41X2 (115), 6 (153), and 8 (204).

(103MPa) for a compounding or reclaim material to 4000-5000 psi (276345MPa) for a blown-film extrusion operation.
Extruders are usually selected on the basis of their size. Machine sizes
are classified by their screw diameters and lengths. Diameters may be 0.518in. (10-460mm, 46cm). Lengths are measured in length-to-diameter
ratios (L/D); these range from 6 to 48. Most polymer processing machines
have L/D values of 24-36.
Rates of throughput, or the speed at which material is moved through
the extruder, have continuously been pushed higher as a result of design
advances. Throughput rates generally range from a few kilograms per
hour to more than 5 tonnes per hour on single-screw machines (Table 3.2).
Twin-screw extruder diameters are generally sized in millimeters, and
range from 14mm to 300 mm in diameter. Throughput rates on twinscrew machines vary from a few kilograms per hour to as much as to 30
tonnes per hour.
Single-screw extruders
The standard metering extrusion screw with its three zones (conveying,
compression, and metering) operates rather like a conventional injection

feed

transition/compression

metering

Metering screw
feed

transition

first meter

vent transition

second meter or pump

Two stage screw

feed

transition

metering

PIn mixing screw

feed

transition

feed

Maddock mixing screw

barrier flight melt channel
primary flight

metering

Davis-Standard Barrier (DSB) screw

feed

primary flight

barrier flight

melt channel

Davfs-Standard VPB screw

feed

primary flight

barrier flight

melt channel

Wlllert Barrier Il screw

Figure 3.5 Screw designs with different mixing sections.

molding (IM) screw, as reviewed in Chapter 2. The nomenclature is the

same for each (Fig. 2.11, page 136), except that no valve is used at the end
of the extrusion screw (Fig. 3.5) Extrusion screws operate at lower pressures and in a continuous mode (IM is repeatable with abrupt, completely
on/off pressure changes and very fast cycles). Even though many variables must be considered, extrusion requires fewer controls and presents
fewer problems than IM.

Single-screw extruders have changed greatly over the years. Today's

functional modular concept developed mainly for reasons of effectiveness
and favorable cost comparisons. Their output rates have significantly
surpassed those of older designs. The output rates in Table 3.2 can be used
as a guide to predict the output rate of a process. The performance of all
machines and production lines (film, profile, etc.) will depend on the
many factors that have to be controlled and synchronized, going from
upstream through the extruder and the downstream equipment. The type
of screw has always been a major influence in the complete line.
The blown-film extruder has typified the new generation of extruders.
The most effective screw design has usually been an L/D of 25. Longer
machines with L/D = 30-33 are chosen for venting or special requirements. High outputs are obtained with LDPE blown-film or PP cast-film
extrusion. The L/D = 20 machines are now almost always used only for
heat-sensitive plastics. The L/D = 25 version offers exactly the right compromise for obtaining a high output and preventing overheating and
damage of thermally sensitive plastics.
Even in today's hi-tech world, the art of screw design is still dominated
by trial-and-error approaches. However, computer models (based on
proper input and experience) play an important role. When new materials
are developed or improvements in old materials are required, one must
go to the laboratory to obtain rheological and thermal properties before
computer modeling can be performed effectively (Chapter 1). New screws
improve one or more of the basic screw functions of melt quality, mixing
efficiency, melting performance along the screw, melt heat level, output
rate, output stability, and power usage or energy efficiency.
Heating can be controlled by using different machine settings, which
involve various trade-offs. For example, in choosing the optimum rotation
speed, a slow speed places the melt in contact with the barrel and screw
for a longer time via heat conduction, and the slower speed produces less
shear, so that dissipative heating is reduced, and properties of the plastic

Figure 3.6 Concept of screw with internal heat and/or cooling system.

(particularly of a film) are enhanced. An internal heat control is sometimes

used with a screw (Fig. 3.6). This type of screw is characterized by deeper
channels, steeper helical angles, and an internal heating element. Its internal heating lowers the amount of viscous heating needed to process the
material. As a result, the melt heat can be reduced by 5O0F (3O0C).
Mixing and melting
In typical extrusion operations, mixing devices are used in the screws.
Many dynamic mixers, such as those included in Fig. 3.5, are used to
improve screw performance. Static mixers are sometimes inserted at the
screw end (Fig. 3.7) or at the and of the barrel. There are also mixing
devices that remain independent of the screw.
Proof of the success and reliability of dynamic online mixers is shown
by their extensive use. Each mixer offers its own advantages and disadvantages (Chapter 2) with different machines and materials. Unfortunately there is no one system that solves all melting problems. The data
available from the different equipment suppliers can be used in comparative studies.
Static mixers are successfully installed in the adapters between the
barrel and the die for further thermal homogenization of the melt after it

Figure 3.7 A static mixer located at the end of a screw.

leaves the screw. This causes transitory fluctuations and temperature

variations in the melt to decrease considerably. As a result, an increased
pressure drop occurs and the heat level increases a few degrees; temperature peaks disappear. Thus, in selecting a static mixer, one should be sure
that its resistance to flow is as low as possible.
The dynamic mixing elements should be fitted as near as possible to the
end of the metering zone. For maximum performance, a standard screw
can have the following sectional dimensions in respect to its diameter (D):
feed zone = 5D, compression zone = 3D, metering zone = 12-13D, and
mixing zone 2-3D. In principle, any mixing zone, wherever it is located
within the metering zone, is more effective in homogenizing than the
screw threads normally present in that position. Where practical, mixers
should be located in a region where the melt viscosity is not too low. Only
in the metering zone can the flow phenomenon be explained theoretically.
In this analysis the melt flow conveyed in the screw channel to discharge
is visualized as the resultant of the positively directed drag flow and
the negative, backward-directed pressure flow. Also directed backward,
across the flight lands, is the leakage flow due to the pressure drop.
Leakage flow, despite its significance with nonwetting materials, is rarely
considered in a flow analysis. The extrusion process is best balanced when
the initial pressures measured at the start of the metering zone and in the
extruder die are about equal.
It is important to note that the backflow increases in proportion to the
third power of the depth of the thread, so screws with deep channels are
not the best choice for thermoplastics (but are okay with thermosets). If
the speed of single-screw extruders is increased, especially in the processing of high molecular weight, viscous melts, the extrudate obtained may
be rough and unattractive in appearance, making it unsalable. Such results can also occur with slower-running machines using relatively deepcut screws in conjunction with extrusion dies of low resistance to flow.
This situation is due to an unstable combination of screw and die,
and can be related to unsuitable pressure-melt variations. Approaches to
improving the situation include longitudinally adjustable (regular mechanical) screws with tapered clearances as throttling sections, and independent throttling valves in different positions of the die. The goal is to
eliminate dead spots in which stagnating melt could be thermally degraded; so streamlining is in order, such as that provided by conical screw
tips (Figs 3.5 and 3.6).
Inline dynamic mixers, independently driven at optimum speeds, perform distributive mixing with moderate pressure losses, low power requirements, and small heat increases. The use of dynamic mixers
mounted on the end of a screw may not be optimum because extruders
may have to be driven at slower speeds to avoid problems such as surging; but independently driven mixers can be sized and run at optimum

speeds to provide the best mixing. Other benefits of independently driven

mixers involve feeding. For example, metering pumps can inject liquid
additives directly into the mixer in the exact quantitites needed to modify
a resin. In fact, an auxiliary extruder can add a secondary melt stream to
the mixer, thereby allowing for such techniques as resin alloying while
simultaneously coloring or stabilizing the resin.
A major and important use of mixers is to ensure minimum exposure of
the melt to shear and high heat, so that less stabilizer is needed with heatsensitive melts. With these devices, a moderate pressure drop and melt
uniformity are achieved in a short process time. The mixers can be placed
adjacent to a die, to provide the lowest flush time between material
changes.
All the mixing devices discussed in this section make it possible to
achieve better melts by literally breaking up the solid beds. Like an ice
cube that more easily melts in water when it is cracked, the plastic 'solids'
break up, producing a better melt.
Venting
During extrusion, as in IM (Chapters 1 and 2), melts must be freed of
gaseous components (monomer, moisture, plasticizers, additives, etc.), so
a vented screw is used (Figs 2.16, on page 145 and 3.8). It is very difficult
to remove all the air from some powdered materials, unless the melt is
exposed to vacuum venting (a vacuum is connected to the vent's exhaust).
The standard machines operate on the principle of melt degassing. The
degassing is assisted by a rise in the vapor pressure of volatile constituents, which results from the high melt heat. Only the free surface layer is
degassed; the rest of the plastic can release its volatile content only

Vent
zone 1

Vent
zone 2

Figure 3.8 A double-vented extruder.

Screen
pack

through diffusion. Diffusion in the nonvented screw is always timedependent, and long residence times are not possible for melt moving
through an extruder. Thus a vented extruder is used.
Most single-screw vented extruders have two stages (Fig. 2.16); a few
have two vents and three stages (Fig. 3.8). The first stages of the transition
and metering sections are often shorter than the sections of a single-stage
conventional screw. The melt discharges at zero back pressure into the
second stage, under vacuum instead of pressure. The first-stage extrudate
must not be hot enough to become overheated in the second stage. And
the first stage must not deliver more output per screw revolution at
discharge pressure than the second stage can pump through the die under
the maximum normal operating pressure, such as might occur just prior to
a screen pack change. This usually means that the second-stage metering
section must be at least 50% deeper than the first stage.
In practice the best metering-section depth ratio (pump ratio) is about
1.8:1. The best ratio depends on factors such as screw design, downstream equipment, feedstock performance, and operating conditions.
There is likely to be melt flow through the vent if the compression ratio is
high or the metering depth ratio is slightly too low. If the metering depth
ratio is moderately high, there is gradual degradation of the output. If the
screw channel in the vent area is not filled properly, the self-cleaning
action is diminished, and the risk of plate-out increases. In any case,
sticking or smearing of the melt must be avoided, or degradation will
accelerate.
Screen packs
Melt from the screw is usually forced through a breaker plate with a
screen pack. Extra heat develops when melt goes through the screens, so
some heat-sensitive materials cannot use a screen pack. The function of a
screen pack is initially to reduce rotary motion of the melt, remove large
unmelted particles, and remove other contaminants. This situation can be
related to improper screw design, contaminated feedstock, poor control of
regrind, and so on. Sometimes screen packs are used to control the operating pressure of extruders. However, there are advantages in processing
with matched and controlled back pressure, operating within the required
melt pressure, as this can facilitate mixing, effectively balancing out
melt heat.
In operation, the screen pack is backed up by a breaker plate that has a
number of passages, usually many round holes ranging from V8 to 3/16in.
(3.2-4.8 mm) in diameter. One side of the plate is recessed to accommodate round disks of wire screen cloth, which make up the screen pack
(Table 3.3). Pressure controls should be used on both sides of the breaker
plate to ensure the pressure on the melt stays within the required limits.

Table 3.3 Screens used before the breaker plate to filter out contaminants in the
melt3
Wire mesh
Contaminant
G e l captured
Contaminant capacity
Permeability

Metal fibers

Square weave
5

6
4

1
2
4

Sintered
powder

Dutch twilt
2
3
1

3
3
2

Range is from poorest (1) to best (6). Multiple screens are normally used; example screen
pack has 20 mesh against breaker plate, followed by 40,60, and 100 mesh (coarsest mesh has
lowest mesh number).
b
Woven in parallel diagonal lines.
Based on the processing requirements, the screen changers may be
manual or highly sophisticated. Manual systems are used for limited runs
or infrequent changes. The packs are usually mounted outside the extruder between the head clamp and the die; they can be changed via
mechanical or hydraulic devices. Continuous screen changes also are
used. The more sophisticated the system, the higher its costs. One should
consult suppliers about screen capabilities, disadvantages, and so forth.
The commonly used square-weave wire mesh has poor filtering performance but good permeability. If filtering is really important, another
filter media should be employed. Metal fibers stand out in their ability to
capture gels and hold contaminants. Gel problems are particularly severe
in small-gauge extrusion such as low-denier fibers and thin films. It is
particularly in these applications that metal-fiber filters have been applied. If the plastic is heavily contaminated, the screen will clog rather
quickly. If the screens have to be replaced frequently, an automatic screen
changer is often employed. In these devices, the pressure drop across the
screens is monitored continuously. If the pressure drop exceeds a certain
value, a hydraulic piston moves the breaker plate with the screen pack out
of the way; simultaneously a breaker plate with fresh screens in moved
into position. These units are called slide-plate screen changers.
Screen changers are generally classified as manual; slide plate (discontinuous); continuous flow and constant pressure; and backflush. Each
have performance variations to meet different requirements. Manual
screen changers usually require shutdown of the extruder to change the
filter pack.
The more common type is a manually shifted slide-plate screen
changer. A screen change can be performed within seconds following
extruder shutdown and depressurization of the melt. Shifting a slide-plate
screen changer while the line is running may introduce air into the melt,

causing a momentary disruption of the process. An array of continuous

screen-changer technologies has evolved to eliminate this problem. These
comprise two types: continuous flow and constant pressure.
No air is introduced with continuous-flow designs, but the melt pressure upstream of the breaker plate will still rise during a screen change.
However, the variation in die pressure may be sufficiently minor as to
have no major effect on a number of processes such as blown and cast
film. Technologies include a design that splits the flow through two filters
in a single slide plate. Another involves screen changers that split the flow
through single or dual filters in two slide plates or sliding bolts, or a
rotating wheel. Others offer prefilled filters that create a momentary disruption as they are hydraulically placed into the melt.
Constant-pressure machines provide an absolutely minimal change in
die pressure while continuing to filter impurities. They have been applied
on virtually every type of process. They are well suited for pipe, profiles,
thin-gauge film, and foam production.
Meanwhile, recycling is exerting pressure upon screen changers. To
address new demands on changing frequency, screen use, and operator
intervention, backflush screen changers are being introduced. Most rely
on downstream melt pressure that forces clean polymer to flush contamination off a screen pack in the screen changer, in an off-line position. Some
backflush changers utilize a piston pump to meter and inject clean plastic
upstream against a small portion of the online screen pack, which has
been isolated from plastic flow. Backflush screen changers are claimed to
extend the time between screen changes by a factor between 10 and
100.
These are also filtration devices that employ laser-drilled drums in
place of typical screen packs. The holes frequently number 600000 to over
3 million and are equivalent in filtration to screens of 100-150 mesh.
Contaminants trapped on the surface of the holes are wiped away by
mechanical arms, and are removed.
Multiple-screw extruders
Regardless of their particular designs, all extruders have the function of
conveying plastic and converting it into a melt. For this purpose, both
single-and multiple-screw extruders are suitable; but they all have characteristic features. Practical and theoretical data show that each type has its
place. The single-screw machine dominates and will be the focus of discussion in this chapter. However, other types are available, such as the
twin-screw extruders shown in Fig. 3.9, and they are often used to achieve
improved dispersion and mixing, as in the compounding of additives.
Other claims for multiscrews, most often twin-screw designs, include a
high conveying capacity at low screw speed, a positive and controlled

PARTIALLY
INTERMESHING

FULLY
INTERMESHING

COUNTER-ROTATING

NOT
INTERMESHING

NOT
INTERMESHING

INTERMESHING

SCREW
ENGAGEMENT

LENGTHWISEAND
CROSSWISECLOSED
LENGTHWISE OPEN
THEORETICALLY
AND
NOT POSSIBLE
CROSSWISE CLOSED
POSSIBLE
LENGTHWISE AND THEORETICALLY
BUT PRACTICALLY
CROSSWISE OPEN
NOT REALIZED
LENGTHWISE OPEN
AND
CROSSWISE CLOSED

CO-ROTATING
THEORETICALLY
NOTPOSSIBLE

THEORETICALLY
NOT POSSIBLE

LENGTHWISE AND
CROSSWISE OPEN

LENGTHWISE AND
CROSSWISE OPEN

Figure 3.9 Different types of commercial twin-screw extruder mechanisms are

used; they differ widely in operating principles and functions.

pumping rate over a wide range of temperature and coefficients of friction, low frictional heat generation which permits low-heat operation, low
contact time in the extruder, relatively low motor-power requirements,
and the ability to feed normally difficult feeding materials such as powders. Twin-screw types, because of their low-heat extrusion characteristics, have found increasingly wide usage in heat-sensitive PVC
processing. The most popular and functional multiscrews are the twinscrew designs.
Twin-screw extruders with nonintermeshing counterrotating screws
are mostly used for compounding by resin manufacturers, including situations where volatiles must be removed during extrusion. Meshing twin
screws have found a substantial market in difficult compounding and
devolatilization processes. To provide specialized compounding and mixing, particularly in the laboratory, different techniques are required, such
as using interchangeable screw sections on a splined shaft (Fig. 3.10).
Most of the commercial machines on the market and in use today are
intermeshing. One interesting feature of nonintermeshing twins is the
possibility of running the two screws at different speeds, thus creating
frictional relationships between them, which in some instances can be
exploited for the rapid melting of powders. In some twins, one screw is
significantly shorter than the other. This design is used for resins that may

Figure 3.10 The Werner and Pfleiderer screw assembly offers specialized processing combinations.

be adequately conveyed by a single screw, once in the form of a melt, and

which are difficult to feed into screw flights because of low bulk density
or very low coefficients of friction of the solid against the surrounding
walls. Thus, after melting by the twins, the resin moves through the single
screw.
Constant screw diameters can be used, as in single designs, or the
screws can be conical. A conical twin with a large-diameter, rear feed zone
has a capacity greater than the compression and metering zones. This
design allows a greater amount of powder to be moved to the feed zone
per RPM while using the least possible clearance between flights, to
provide a higher output rate with minimum shear and frictional heat
accumulation. Different variables are involved in multiscrew machines
compared to singles, so multiscrews are generally sized on the basis of
Ibh"1 (kghf1) rather than L/D and/or diameters.
With intermeshing screws, the relative motion of the flight of one screw
inside the channel of the other acts as a wedge that pushes material from
the back to the front of the channel and from screw to screw. This pattern
keeps the screw moving forward, almost as if the machine were a positive-

displacement gear pump, which conveys material at rather low RPM with
low compression and very little friction. The friction in a single screw that
causes material to move forward also generates heat. Twin screws do not
have the problem of frictional heat buildup because heat is not influenced
by friction. Heat is controlled from an outside source (barrels) - an action
that becomes very critical in the processing of heat-sensitive plastics, such
as PVC. The multiple screws provide the advantages of higher output
rates and very tight heat control, as required, e.g., to produce large PVC
pipes. However, single screws are also used to produce PVC pipe.
Although multiple screws are more expensive than single screws, they
do have some advantages. Twins can be used effectively in handling PVC
dry blends that are compounded in a plant, potentially offering significant
costs savings as compared to buying compounded PVC. With a multiple
and its lower operating heat profile, lower levels of heat stabilizers can be
used, with potential savings in material costs.
Other uses for twin screws include the processing of extruded
expandable PS (EPS) sheet and high molecular weight polymers. For EPS
there might be cost advantages in using one machine rather than the
usual tandem single-screw setup. One machine mixes while the other
extrudes, with the second machine providing the required cooling period.
Products such as high molecular weight polyolefins or some of the TFEfluoroplastics can be gently melted in twin screws, and these highviscosity melts can be conveyed through a die without pulsations, a
major advantage in processability.
In counterrotating systems, the basic advantage is that material which
does pass through the nip of the two screws is subject to an extremely high
degree of shear, just as if it were passing through the nip between two
rolls of a two-roll mill. By varying the clearance (the free space left after
the two screws have intermeshed), it is possible to vary the position of the
material carried through axially. The narrower the clearance between the
screws, the greater the shear force exerted, and the larger the proportion
of material remaining in the 'bank7. With this action, it is easy to adjust the
amount of shear to be applied.
In corotating twin-screw extrusion, one screw transports the material
around and up to the point where the screws intermesh. Intermeshing
creates two equal and opposite velocity gradients, so nearly everything
that one screw has carried is taken over by the other screw. In this system,
plastics will follow a figure eight path along the entire barrel length.
Advantages of corotation are (1) chances are better statistically that all
particles will be subjected to the same shear; (2) with the relatively long
figure eight path, the melt heat has a good opportunity to influence the
plastic; (3) at the deflection point, the shear energy introduced can be
regulated within very wide limits by adjusting the depths of the screw
flights; and (4) the system allows for a much greater degree of self-

cleaning or self-wiping than in other designs, as one screw completely

wipes the other screw. And more important, self-cleaning allows greater
control over the residence time distribution, crucial for heat-sensitive
plastics.
To summarize the comparison of screw types, in a single extruder the
screw rotating inside the barrel is not able to push the material forward by
itself. If the material filling the channels adheres to the screw, it becomes
a rotating cylinder and provides no forward motion. Material pushed
forward should not rotate, or at least should rotate at a slower rate than
the screw. The only force that can keep the material from turning with the
screw and make it advance along the barrel is the friction between the
material and the inside surface of the barrel. The more friction, the less
rotation of material with the screw; the less rotation, the more forward
motion. To yield sufficient production with a low friction factor, the screw
must have a large diameter and turn at high speed. However, a largediameter screw rotating at high speed develops very high shear. The heat
produced may increase the melt temperature over its limit, so cooling is
necessary during the process (water jacket and/or blown air over the
barrel). A nonintermeshing twin screw functions like a single-screw extruder, with friction as the prime mover. Twins with intermeshing screws
operate on a completely different principle. The direction of rotation,
whether corotating or counterrotating, has a great influence on the operation of the screws.
Counterrotating twins tend to accumulate and compress the material
where the screws meet and remove material where they part, thereby
creating zones of high and low pressure around the screws. Material that
is forced by this pressure through small passages at high speeds is subjected to high localized shear. In corotating twins, material is transferred
from one screw to the other without such high shear action.
In corotating twins, the screws act like a positive-displacement gear
pump and do not depend on friction against the barrel to move material
forward. As there is no relationship between the screw speed and the
output rate, they can work with starve feeding. The channel depth is 3-4
times greater than in a single screw, and more important, the screw speed
is much lower (use 15-20 RPM); so the total shear rate is much less
(perhaps 80% less in twin screws). The low screw speed accounts for the
low shear rate; this situation keeps the material more viscous and reduces
the stock heat. Consequently, any additional heat required has to be
applied through the barrel heaters.
Unfortunately, there are losses as well as gains. The higher-cost
multiple-screw machines, with their more expensive and complicated
drive systems, require constant preventive maintenance; otherwise, rather
extensive downtime (and repair costs) may occur. Regardless of the disadvantages, multiscrews have an important role in processing plastics.

Their disadvantages should not influence their use if there are cost
advantages.

Heating and cooling systems

There are three principal methods of heating extruders: electric heating,
fluid heating, and steam heating. Electric heating is the most common
because of its important advantages. It can cover a much larger temperature range, it is clean, inexpensive, and efficient. Electric heaters are generally placed along the barrel, grouped in zones. Each zone is usually
controlled independently, so the temperature profile can be maintained
along the barrel (Fig. 3.2, page 211).
Fluid heating allows even temperature over the entire heat-transfer
area, avoiding local overheating. If the same heat-transfer fluid is used for
cooling, an even reduction in temperature can be achieved. The maximum
operating temperature of most fluids is relatively low for processing TPs,
generally below 4820F (25O0C). Because of the even temperature, fluid
heating is used when processing TS plastics; even heating is required
because accidental overheating could cause the TS to chemically react and
solidify in the barrel. Even though very little TS is used in extrusion, the
fluid system has been used with injection molding TSs (Chapter 2).
Steam heating was used in the past, particularly when processing rubber. Now rarely used, steam is a good heat-transfer fluid because of its
high specific heat capacity, but it is difficult to get steam to the temperatures required for plastics processing, 392 0F (200 0C) and greater.
Cooling of extruder barrels is often an important aspect. The target is to
minimize any cooling and, where practical, to eliminate it. In a sense,
cooling is a waste of money. Any amount of cooling reduces the energy
efficiency of the process, because cooling directly translates into lost energy; it contributes to the machine's power requirement. If an extruder
requires a substantial amount of cooling, when compared to its past
operating history or other machines, it is usually a strong indication of
improper process control, improper screw design, excessive length-todiameter ratio (L/D), and/or incorrect choice of extruder (single screw
versus twin screw).
Cooling is usually required. Most extruders use forced-air cooling by
blowers mounted underneath the extruder barrel. The external surface of
the heaters or the spacers between the heaters is often made with cooling
ribs to increase the heat-transfer area (ribbed surfaces will have a larger
area than flat surfaces), which significantly increases cooling efficiency.
Forced air is not required with small-diameter extruders because their
barrel surface area is rather large compared to the channel/rib volume,
providing a relatively large amount of radiant heat losses.

Fluid cooling is used when substantial or intensive cooling is required.

Air cooling is a rather gentle type of cooling because its heat-transfer rates
are rather small compared to water cooling. But it does have an advantage
in that, when the air cooling is turned on, the change in temperature
occurs gradually. Water cooling produces a rapid and steep change in
temperature. This faster action requires much more accurate control and
is harder to handle than air cooling. Control equipment is used to provide
the proper control.
Water cooling is mostly used with grooved barrels and the feed-throat
castings because they require intense cooling action. However, problems
could develop. If the water temperature exceeds its boiling temperature,
evaporation will occur. The water system is an effective way to extract
heat, but causes a sudden increase in cooling rate. This produces a
nonlinear control problem, so it is more difficult to regulate the extruder
temperature. Nevertheless, the water-cooling approach is used with adequate control and, most important, proper startup procedures. Note that
the cooling efficiency of air can be increased by 'wetting' it with water.
However, this approach requires cooling channels made out of corrosionresistant material [63-67].
Barrel and screw materials
The majority of barrels and screws are made from special steels (Table
3.4), which are nitrided to a minimum depth by special techniques. Lowalloy steels are sometimes used with wear-resistant liners. Bimetallic cylinders usually experience almost three times as much wear as the others.
In the processing of abrasive materials, feed sections are sometimes
finished in hard metal or other special materials, and matched with the
screws. If there is wear in the extruder, the greatest damage is always on

Table 3.4 Materials of screw construction3

Material
4140 tool steel
17-4PH stainless steel
Hastalloy C-276
4140 chrome-plated
4140 electroless nickel-plated
4140 with hardfacing
Stellite 6
Colmonoy 56
3

Ra tings: 1 = poorest, 10 = best.

Strength

Corrosion resistance

Cost

10
8
1
10
7
10

1
4
10
5
8
5

3
3
10
3
3
6

the screw. The screw is often the only part to be replaced as it is assumed
the barrel is not damaged. But this assumption is usually incorrect. If the
screw is worn out, the barrel has been affected to some extent. It may well
need complete replacement.
The rate of wear is increased considerably when the feed contains fillers
such as titanium dioxide and glass fibers. As reviewed in Chapter 2, there
are many variables that cause damage to the barrel and the screw. If a
problem is likely to occur frequently, protect the screw and consider using
barrels with replaceable inner liners.
GEAR PUMPS
Gear pumps, also called melt or metering pumps, have been standard
equipment for decades in textile fiber production and in postreactor polymer finishing. In the 1980s they established themselves in all kinds of
extrusion lines. They consist of a pump, a drive for the pump, and pump
controls, located between the screen pack (or screw) and the die. Two
counterrotating gears will transport a melt from the pump inlet (extruder
output) to the pump discharge outlet (die) (Fig. 3.11). Gear rotation creates
a suction that draws the melt into a gap between one tooth and the next.
This continuous action, from tooth to tooth, develops surface drag that
resists flow, so some inlet pressure is required to fill the cavity.
Strictly speaking, the gear pump is a closely intermeshing, counterrotating, twin-screw extruder. However, since gear pumps are solely used
to generate pressure, they are seldom called an extruder, even though the
gear pump is an extruder.
The inlet pressure requirements vary with material viscosity, pump
speed, and mixing requirements. These pressures are usually less than
lOOOpsi (69MPa) but cannot go below certain specified pressures such as
300 psi (21MPa). An extruder specifically designed for use with a pump
only has to 'mix', with no need to operate at high pressures to move the
melt. It only has to generate the low pump-inlet pressure; thus it can
deliver melt at a lower than usual heat, requiring less energy and often
yielding a higher output rate. The positive-displacement gear device
pumps the melt at a constant rate. It delivers the melt to the die with a
very high metering accuracy and efficiency. It is common to have pressure
differentials as high as 4000 psi (276MPa) between the pump inlet and the
discharge.
The pump's volumetric efficiency is 85-98%. Some melt is deliberately
routed across the pump to provide lubrication, some slips past the gears.
An incomplete fill on the inlet side will show up as a fast change in output
and pressure at the exit. The extended loss of inlet pressure can damage
the pump by allowing it to run dry. Overpressurization at the inlet,
caused by the extruder's sudden surge, will at least change the melt

EXTRUDER

EXTRUDER
DRIVEMOTOR

EXTRUDER
DRIVE
CONTROLS

INLETANDDlSCHARGE
PRESSURE RECORDER
VALVE

GEARPUMP
INLETPRESSURE
CONTROLSYSTEM

Figure 3.11 A gear pump used in a typical extrusion system.

conditions and, in extreme cases, can be dangerous to both equipment and

operator. The problem can be eliminated by closed-loop pressure controls
at the inlet and exit. To prevent overfeeding and overpressure, the metering section of the screw should have a barrel clearance larger than normal.
Melt pumps are most appropriate when the characteristics of the screw
and die combine to give a relatively poor pumping performance by the
total system. This can happen when die pressures are low but more often
occurs when they are extremely high, or when the melt viscosity is extremely low. When pumps are used to increase the production rate by
reducing the extruder head pressure without a corresponding increase in

the screw speed, it often increases the solids content of the extrudate,
creating an inferior product. This problem often necessitates additional
filtration, which serves to increase pressure and may counteract many of
the benfits expected from the pump, as well as increasing the financial
investment even further.
Depending on the screw design, the extruder often creates pulses, causing the production rate to fluctuate. Some products can seldom tolerate
even minor fluctuations, and a pump can often assist in removing these
minor product nonuniformities. A pump can generally provide output
uniformity of 0.5% or better. Products include films (down to 0.75 mil,
19 Jim, thickness), precision medical tubing, HIPs with 3 500 Ib rf1
(1600 kg hf1) output, fiber-optic sheathing, fibers, PET magnetic tape, PE
cable jacketing (weight per unit length variation) reduced from 14 to
2.7%), and so on.
Pumps are very helpful to sheet extruders who also do in-house
thermoforming, as they often run up to 50% regrind mixes. Normally
having a variable particle size, this mix promotes surging and up to 2%
gauge variation. Pumps practically eliminate the problem and make
cross-web gauge adjustments much easier. Pumps are recommended in
(1) most two-stage vented barrels where output has been a problem, such
as ABS sheet; (2) extrusions with extremely critical tolerances, such as
CATV cable, where slight cyclic variations can cause severe electrical
problems; (3) coextrusion, where precise metering of layers is necessary
and low pressure differentials in the pump provide fairly linear outputs;
and (4) twin-screw extruders, where pumps permit long wear life of
bearings and other components, thus helping to reduce their high operating costs.
Besides improving gauge uniformity, a pump can contribute to product
quality by reducing the resin's heat history. This heat reduction can help
blown-film extruders, particularly those running high-viscosity melts
such as LLDPE and heat-sensitive melts such as PVC. Heat drops of at
least 20-3O0F (11-170C) will occur. In PS foam sheet extrusion, a cooling
of 10-150F (6-80C) occurs in the second extruder as well as a 60% reduction in gauge variation by relief of back pressure. One must be aware
that all melts require a minimum heat and back pressure for effective
processing.
Pumps cannot develop pressure without imparting some energy or
heat. The heat increase of the melt depends on its viscosity and the
pressure differential between the inlet and the outlet (or AP). The rise can
be 5 0 F (30C) at low viscosity and low AP, and up to 3O0F (170C) when
both these factors are higher. By lowering the melt heat in the extruder,
there is practically no heat increase in the pump when AP is low. The
result is a more stable process and a higher output rate. This approach can
produce precision profiles with a 50% closer tolerance and boost output

rates by 40%. Better control of PVC melt heat could increase the output up
to 100%. In one case the output of totally unstabilized, clear PVC blownfilm meat wrap went from 600 to over 1000 Ib rf1 (from 270 to 450 kg h'1)
with the use of the gear pump.
With pump use, potential energy savings amount to 10-20%. Pumps are
50-75% energy efficient, whereas single-screw extruders are about 5-20%
efficient.
Although they can eliminate or significantly improve many processing
problems, gear pumps cannot be considered a panacea. However, they are
worth examining and could boost productivity and profits very significantly. Their major gains tend to be in (1) melt stability, (2) temperature
reduction in the melt, and (3) increased throughput with tighter tolerances
for dimensions and weights. They can cause problems when the plastic
contains abrasive additives (the small clearances make the gear pump
very susceptible to wear) and when the plastic is susceptible to degradation (gear pumps are not self-cleaning; combined with high temperatures,
this will cause degraded plastic to be pumped).

DIES
Overview
The function of the die is to accept the available melt (extrudate) from an
extruder and deliver it to takeoff equipment as a shaped product (film,
sheet, pipe, profile, filament, etc.) with minimum deviation in the crosssectional dimensions and a uniform output by weight, at the fastest possible rate. A well-designed die should permit quick changes of color and
compatible plastics without producing large quantities of off-grade material. It will distribute the melt in the die's flow channels so that it exits with
uniform velocity and uniform density (crosswise and lengthwise). Examples of different dies are shown in Figs 3.12 to 3.16.
Figure 3.13 shows the blown-film, spiral-groove die system used as the
best method for even distribution of melt flow; distribution can be improved by lengthening the spirals and/or increasing the number of distribution points. The end sections of the sheet die (Fig. 3.14) have a higher
temperature than the center area. This profile equalizes the cooling rate of
the melt as it passes through the die. The target is to equilibrate the rate of
melt flow and the stock temperature across the width of the sheet as it
exits the die.
Examples of profile dies are shown in Fig. 3.15. They show how the
shape of the die opening and the length of the land are related to the shape
within the die for extruding different profiles. Examples of successful
profile shapes with unbalanced walls are shown in Fig. 3.16.
Next Page

Previous Page

rates by 40%. Better control of PVC melt heat could increase the output up
to 100%. In one case the output of totally unstabilized, clear PVC blownfilm meat wrap went from 600 to over 1000 Ib rf1 (from 270 to 450 kg h'1)
with the use of the gear pump.
With pump use, potential energy savings amount to 10-20%. Pumps are
50-75% energy efficient, whereas single-screw extruders are about 5-20%
efficient.
Although they can eliminate or significantly improve many processing
problems, gear pumps cannot be considered a panacea. However, they are
worth examining and could boost productivity and profits very significantly. Their major gains tend to be in (1) melt stability, (2) temperature
reduction in the melt, and (3) increased throughput with tighter tolerances
for dimensions and weights. They can cause problems when the plastic
contains abrasive additives (the small clearances make the gear pump
very susceptible to wear) and when the plastic is susceptible to degradation (gear pumps are not self-cleaning; combined with high temperatures,
this will cause degraded plastic to be pumped).

DIES
Overview
The function of the die is to accept the available melt (extrudate) from an
extruder and deliver it to takeoff equipment as a shaped product (film,
sheet, pipe, profile, filament, etc.) with minimum deviation in the crosssectional dimensions and a uniform output by weight, at the fastest possible rate. A well-designed die should permit quick changes of color and
compatible plastics without producing large quantities of off-grade material. It will distribute the melt in the die's flow channels so that it exits with
uniform velocity and uniform density (crosswise and lengthwise). Examples of different dies are shown in Figs 3.12 to 3.16.
Figure 3.13 shows the blown-film, spiral-groove die system used as the
best method for even distribution of melt flow; distribution can be improved by lengthening the spirals and/or increasing the number of distribution points. The end sections of the sheet die (Fig. 3.14) have a higher
temperature than the center area. This profile equalizes the cooling rate of
the melt as it passes through the die. The target is to equilibrate the rate of
melt flow and the stock temperature across the width of the sheet as it
exits the die.
Examples of profile dies are shown in Fig. 3.15. They show how the
shape of the die opening and the length of the land are related to the shape
within the die for extruding different profiles. Examples of successful
profile shapes with unbalanced walls are shown in Fig. 3.16.

If the exit opening of the extruder barrel does not match up with the
entry opening of the die, an adapter is used between barrel and die. Dies
specifically designed for a certain extruder will usually not require an
adapter. However, since there is little standardization in extruder design
and die design, the use of adapters is quite common.

Cross section of spider leg

Cross section of A at X
showing 3 legs of spider
A.
B.
C.
D.
EF.

Die body
Mandrel, pin, male die part
Die, die bushing, female
die part
Die retaining ring
Die retaining bolt
Die centering bolt

G. Spider leg
H. Airhole
I. Seat for breaker plate
J. Ring for attachment
to extruder
K. Die land

A.
B.
C.

Die body, crosshead

Mandrel, pin, male die part
Die, die bushing, female
die part
D. Die retaining ring
E. Die retaining bolt
F. Die centering bolt
G. Mandrel holder
H. Air hole
I. Seat for breaker plate
J. Ring for attachment extruder
K. Die land
Figure 3.12 Examples of dies with nomenclature: (1) pipe or tubing die for inline
extrusion; (2) pipe or tubing die for crosshead extrusion; (3) cast-film die; (4) sheet
extrusion die.

Figure 3.12 Continued

The die is a very critical part of the extruder. It is here that the forming
of the plastic takes place. The rest of the extruder has only one task: to
deliver the plastic melt to the die at the required pressure and consistency.
Thus, the die-forming function is a very important part of the entire
extrusion process.
The flow rate is influenced by all the variables that can exist in preparing the melt during extrusion - die heat and pressure with time in the die.
Unfortunately, in spite of all the sophisticated polymer-flow analysis
and the rather mechanical computer-aided design (CAD) capabilities, it is
very difficult to design a die. An empirical approach must be used, as it is
quite difficult to determine the optimum flow-channel geometry from

(1) SIDE FEED DIE

Advantages:
1. Low initial cost
2. Adjustable die opening
3. Will handle low flow
materials
Disadvantages:
1. Mandrel deflects with
extrusion rate, necessitating
die adjustment
2. Die opening changes with
pressure
3. Non-uniform melt flow
4. Cannot be rotated
5. One weld line in film

(2) BOTTOM FEED SPIRAL DIE

Advantages:
1. Positive die opening
2. Can be rotated
3. Will handle low flow resins
Disadvantages:
1. High initial cost
2. Very hard to clean
3. Two or more weld lines in
film

Exit orifice
Primary land

Preland

Spiral
mandrel manifold

Adjusting
ring

(3) SPIFiAL FEED ROLE

Advantages:
1. No weld line in film
2. Positive die opening
3. Easy to clean
4. Can be rotated
5. Improved Film Optics
Disadvantages:
1. High head pressure
2. Will not handle low flow
resins without modification

Flow
Figure 3.13 Blown-film dies.

End sections of melt die are higher than center area equalizing the cooling rate of melt as it
passes through the die, thus equalizing the flow rate and stock temperature of the sheet across
the width of die.
Figure 3.14 Sheet die using temperature control pattern.

engineering calculations. It is important to employ rheological flow properties and other melt behavior (Chapter 1) via the applicable CAD programs for the type of die required. The most important ingredient is
experience, and novices can find this within the computer program. Nevertheless, die design has remained more of an art than any other aspect of
process design. Design experience can work only if the operator of the
processing line has developed the important ability to debug it.
The example presented below, using a simplified equation (G. P. Lahti)
obtained through a high-speed computer study during the early 1960s,
continues to be extremely useful in CAD programs. It provides an excellent empirical approach that pertains to extrusion channels and dies of
several shapes. Flow equations for dies of simple shapes, such as circular
or rectangular channels, were known in the last century, and were first
developed by M. J. Boussinesq in 1868 (Journal de Mathematiques Pures et
Appliquees, 2(13), 377-424, 27 July 1868). Formulas for pressure drop
through more complex channels had not yet developed; this was because
they required extremely complicated mathematics. As shown in Fig. 3.17,
the following equations can be used:

or

Figure 3.15 Die designs to produce different profiles, (a) The method of balancing
flow to produce this shape requires having a short land where the thin leg is
extruded. This design provides the same rate of flow for the thin section as for the
heavy one. (b) This die for making square extrusions uses convex sides on the die
opening so that straight sides are formed upon melt exiting; the corners have a
slight radius to help obtain smooth corners. The rear and sectional views show
how part of the die has been machined away to provide short lands at the corners
to balance the melt flow, (c) In this die for a P shape, the hole in the P is formed by
a pin mounted on the die bridge. The rate of flow in thick and thin sections is
balanced by the shoulder dam behind the small-diameter section of the pin. The
pin can be positioned along its axis to adjust the rate of flow to meet the melt
characteristics, (d) In this die to extrude a rather complicated, nonuniform shape,
a dam or baffle plate restricts the flow at the heavy section of the extrudate to
obtain uniform flow for all sections. The melt flows between the die plate and the
dam to fill the heavy section. The clearance between the dam and the die plate can
be adjusted as required for different plastics with different melt behaviors, (e) In
this die for extruding a quarter-round profile the die opening has convex sides to
give straight sides on the right-angled portion, and the corners have a slight radius
to aid in obtaining smooth corners on the extrusion.

Figure 3.16 Examples of successful profile shapes with unbalanced walls: (a) a
rigid PVC shoe; (b) an ABS house-trailer trim section; (c) a flexible PVC armrest for
a bus; and (d) a rigid PVC insulator for an electrical bus bar.

where
H = minimum dimension of cross section, in. (mm)
B = maximum dimension of cross section, B ^ H , in. (mm)
AP = pressure drop
|i = viscosity
Q = volumetric flow rate
L = length of channel
F = flow coefficient
To account for the entrance effect when a melt is forced from a large
reservoir, the channel length (L) must be corrected or the apparent viscosity must be used, once it has been obtained from shear rate - shear stress
curves for the L/H value of the existing channel. The entrance effect
becomes negligible for L/H > 16. This single equation can be used for a
variety of flow channels, as shown in Fig. 3.17.
A well-built die with adjustments - temperature changes (Fig. 3.12 [3]),
res tricter/choker bars, valves, and/or other devices - may be used with a
particular group of materials. A die is usually designed for a specific resin.
For example, conventional LDPE blown-film dies with 0.030 in. (0.8mm)
die gaps will not process LLDPE satisfactorily at high output rates. The
higher-viscosity LLDPE increases back pressure significantly, thereby
decreasing the throughput. And there may be melt fracture (sharkskinning), which produces a rough surface finish. With its extensional
rheology, processors of LLDPE can overcome these problems with wide
die gaps of about 0.090 in. (2.3mm). With an increase in the die gap, the
head pressure decreases, allowing significant increase in output.
LLDPE can be drawn or stretched in the melt with low induced orientation (Chapter 1), so a wide die gap does not add undesirable film
stresses for LLDPE, as with LDPE. The optimum die gap for each applica-

DIMENSIONLESS FLOW COEFFICIENT F

THIN SLOT

AP =
U =
Q =
L=
F =
B=
H-

ELLIPSE

SEMI CIRCLE
(F =.447)

pressure drop
viscosity
volumetric flow rate
length of channel
flow coefficient
maximum dimension
minimum dimension

SQUARE
(F = .4217)

CIRCLE

ASPECT RATIO, H/B

Figure 3.17 Flow coefficients calculated at different aspect ratios for various
shapes using the same equation.
tion will vary according to resin grade, melt heat, and output rates. Only
the die mandrel requires modification for conversion to LLDPE. If only
LLDPE is to be run, the existing mandrel can be machined down. If both
resins are to be run, two separate mandrels are required. As cast film is
processed at considerably higher heats than blowm film, shear stresses are
minimized and no die modifications are required.
A good PS-sheet die can usually run some other resins. The gaugecontrol capability of the die for PS or other resins is largely determined by

the flow adjustments. Heavy-gauge dies might have a lip land length of
3-4 in. (75-1OO mm) and a relatively coarse method of adjusting the massive lips. In contrast, a film die would have a lip land length of 0.75 in.
(20mm) and a lip adjustment capable of extremely fine adjustments.
Many film dies and thin-gauge sheet dies utilize a flexible lip for extremely close gauge control.
Any analysis of die efficiency must include a careful examination of the
compatibility of the die with the products to be extruded. If a die is

POOR

BETTER

POOR

BETTER

POOR

BETTER

POOR

BETTER

FLEXIBLE

r u.xinLi:
V INVL

VRIGID
I,'J Y L
BEST

POOR

POOR

BETTER

POOR

BETTER

BEST

BEST

Figure 3.18 Influence of part design on reducing extrusion process variables.

Die

Melt
swell

Drawdown
rom pull rolls

LAND LENGTH

Die

Melt
swell

Drawdown
Prom pull rolls

Figure 3.19 Effect of land length on swell.

designed for sheet thicknesses of 0.150-0.375 in. (3.8-9.5 mm), it is extremely difficult to extrude 5 mil (125 jum) film. As there is no die design
that could be called a universal die, it is very inefficient to expect an
operator to run a die beyond its capabilities. The result would be poor
gauge control, and so forth. If the geometry of the flow channel is
optimized for a resin under a particular set of conditions (heat, flow rate,
etc.), a simple change in flow rate or in heat can make the geometry very
inefficient. Except for circular dies, it is essentially impossible to obtain a
channel geometry that can be used for a relatively wide range of resins
and a wide range of operating conditions, such as those reviewed for
LLDPE and LDPE.
Adjustment capabilities are therefore provided in the die to permit heat
and pressure changes. Some dies require the heat profile to be across one
direction or in different directions, using individual heating pads, and so
on, with appropriate controls. The following general classification may be
helpful as a guide to film and sheet selection for a die: (1) film dies are
generally applicable for thicknesses of 0.010 in. (250 Jim) or less; (2) thingauge sheet dies are normally designed for thicknesses up to 0.060 in.
(1.5 mm); (3) intermediate sheet dies may cover a thickness range of 0.0400.250 in. (1.0-6.4 mm); and (4) heavy-gauge sheet dies extrude thicknesses
of 0.080-0.500in. (2.0-12.7mm).
To simplify the processing operation, the die design should consider
certain factors if possible. The goals are to have extrudate (product) of
uniform wall thickness (otherwise the heat transfer problem is magnified);
to minimize the use of hollow sections; to minimize narrow or small
channels; and to use generous radii on all corners, such as a minimum of
0.02 in. (0.5mm). An 'impossible7 or difficult process can be designed, but
it requires extensive experience (both practical and theoretical), with trialand-error runs, to make it practical (Figs 3.18 to 3.22).

Die Shape

Die Shape

Part Shape

Part Shape

Square Section Requires

Distorted Die
Product

Die

Square Die Yields

Distorted Section
Product
Figure 3.20 Effect of die orifice shape on square extrudate.

SLOW
COOL

FAST
HOT

SLOW
HEAT

COLD
STRETCH

FAST
COOL

HOT
STRETCH

DIE EXIT

Figure 3.21 Examples of temperature, pressure, and takeoff speed (time) variation
that can potentially influence the shape of the extrudate.
Dimensions of die orifice

Dimensions of final product

Figure 3.22 Examples of changes in dimensions of a PVC profile shape from the
die orifice to the product.

Basics of flow
The non-Newtonian behavior of a plastic (Chapter 1) makes its flow
through a die somewhat complicated. When a plastic melt is extruded
from the die, there is some swelling (Fig. 3.19 and Table 3.5). After exiting
the die, it is usually stretched or drawn down to a size equal to or smaller
than the die opening. The dimensions are reduced proportionally so that,
in an ideal resin, the drawn-down section is the same as the original
section but smaller proportionally in each dimension. The effects of melt
elasticity mean that the material does not draw down in a simple proportional manner; thus the drawdown process is a source of errors in the
profile. The errors are significantly reduced in a circular extrudate, such as
wire coating (Fig. 3.23). These errors must be corrected by modifying the
die and takeoff equipment (Fig. 3.17).
There are substantial influences on the material due to the flow orientation of the molecules, so there are different properties parallel and perpendicular to the flow direction. These differences have a significant effect on
the performance of the part (Chapter 1).
Another important characteristic, melts are affected by the orifice shape
(Fig. 3.20). The effect of the orifice is related to the melt condition and the
die design (land length, etc.), but a slow cooling rate can have a significant
influence, especially with thick parts. Cooling is more rapid at the corners;
in fact, a hot center section could cause a part to 'blow7 outward and/or
include visible or invisible vacuum bubbles. The popular coat hanger die,
used for flat sheet and similar products, illustrates an important principle
in die design. The melt at the edges of the sheet must travel farther
through the die than the melt that goes through the center of the sheet.

Table 3.5 General effect of shear rate on die swell of

various thermoplastics
Die swell ratio at 3920F (20O0C)
for the following shear rates
Plastic

Ws~l

WOs-1

40Os'1

PMMA-HI
LDPE
HOPE
PP, copolymer
PP, homopolymer
HIPS
HIPVC

1.17
1.45
1.49
1.52
1.61
1.22
1.35

1.27
1.58
1.92
1.84
1.9
1.4
1.5

1.35
1.71
2.15
2.1
2.05
1.52

70Os'1
1.90

1.53

(1) DDR in a circular die is the ratio of the cross sectional area of the die
orifice/opening to the final extruded shape.

(2) DRB aids in determining minimum and maximum values that can be used for
different plastics. Outside these limits can cause at least out of round and
melt degradations.

Definition of draw ratio balance = 1

Figure 3.23 Drawdown ratio (DDR) and draw ratio balance (DRB): applicable to
different products, as shown here for wire coating. Plastics have different DDRs
and DRBs which can be used as guides to processability and to help establish the
various melt characteristics.

1
2
3
4
5

Die lips
Manifold
Choke bar
Choke bar adjustment screw
Die lip ad|ustmem screw

Figure 3.24 A coat-hanger die: lower half and cross section.

Thus, a diagonal melt channel with a triangular dam in the center is used
to restrict the direct flow to some degree. The principle of built-in restrictions is used to adjust the flow in many dies (Fig. 3.24). With blowmolding dies (Chapter 4) and profile dies, the openings require special
attention to provide the proper product shape (Figs 3.21 and 3.22).
Special dies
Some special dies are shown in Fig. 3.25; they produce interesting flow
patterns and products such as tubular-to-flat netting dies. For a circular
output, a counterrotating mandrel and orifice have semicircular slits
through which the melt emerges. If one part is held stationary, it forms a
rhomboid or elongated pattern; if both parts rotate, it forms a true
rhombic mesh. When the slits overlap, a crossing point is formed where
the emerging threads are 'welded7. For flat netting, the slide is in opposite
directions.
Materials of construction
Flat film and sheet dies are usually constructed of medium-carbon alloy
steels. The flow surfaces of the die are chrome-plated to provide corrosion
resistance. The exterior of the die is usually flash chrome-plated to prevent

SPROCKET DRIVE
MOVABLE DIE LIPS
DRIVECHAlN

Flat netting with different positions of die lips

Round plastic netting

FEED TO SLOT
AND CENTER
DIEOPENING

Rotating mandrel die

makes perforated tubing

WIRE FEED
SLOT

SECTION
AA

BEARING

DRIVE GEAR
REAR BUSHING

SPIRAL SPACER WFR

WIRE

Coaxial cable with a spiral spacer web that keeps coated wire in the center

SEAL
OSCILLATING DRIVF
SECTION AA
Varying tube wall thickness using an oscillating mandrel in cross head tube die

INTERMITTENT
SEAL

SECTION AA

OSCILLATING DRIV

Different perforated tubing pattern;

using oscillating mandrel die

Figure 3.25 Special-action dies that produce round and flat products.

rusting. Where chemical attack can be a severe problem (with PVC, etc.),
various grades of stainless steel are used.
Profile, pipe, blown-film, and wire-coating dies are generally constructed of hot-rolled steel for low-pressure melt applications. Highpressure dies are made of 4140 steel and chrome plating is generally
applied to the flow surfaces, particularly with EVA. Stainless steel is used
for any die subject to corrosion.

Maintenance
The die is an expensive and delicate portion of any extrusion line. Great
care should be taken in the disassembly and cleaning of components.
Disassembly should be attempted only when the die has had sufficient
time to heat-soak or at the end of a run. Experience has shown a temperature of 4500F (232 0C) to be adequate for cleaning most nondegradable
resins. For degradables, cleanup should begin immediately after shutdown to prevent corrosive action on the flow surfaces. While the heat is
left on, all die bolts should be broken loose. The heat should then be
turned off, and all electrical and thermocouple connections removed carefully; then while it is still hot, the equipment is disassembled and
thoroughly cleaned with 'soft7 brass and copper tools.
If the extruded materials tend to cling to the flow surfaces, it is usually
best to purge the die prior to cleanup, with a purging compound (Chapter
2). During assembly, the die bolts should be just snugged tight until the
die heat is in the normal operating range. Once this heat is reached and a
sufficient heat soak has been allowed (which could take at least 1530min), all bolts should be tightened to the manufacturer's recommended
sequence and torque levels. If the die is stored disassembled, care should
be taken in its handling to prevent damage to individual components and
to flow surfaces, which can include storage in a vacuum-sealed container.

COEXTRUSION
Coextrusion provides multiple molten layers - usually using one or more
extruders with melts going through one die - that are bonded together.
This technique permits the use of melt heat to bond the various plastics
(Table 3.6 and Figs 3.26 and 3.27) or using the center layer as an adhesive.
Coextrusion is an economical competitor to conventional laminating processes by virtue of reduced materials-handling costs, raw materials costs,
and machine-time costs. Pinholing is also reduced with coextrusion, even
when it uses one extruder and divides the melt into at least a two-layer
structure. Other gains include elimination or reduction of delamination
and air entrapment.

Table 3.6 Examples of compatibility between plastics for coextrusion3

LDPE
HDPE
P
P
Ionomer
Nylon
E V A

LDPE

HDPE

PP

Ionomer

3
3
2
3
1
3

3
3
2
3
1
3

2
2
3
2
1
3

3
3
2
3
3
3

Nylon
1
1
1
3
3
1

EVA
3
3
3
3
1
3

1 = layers easy to separate, 2 = layers can be separated with moderate effort, 3 = layers
difficult to separate.

Two-layer die

Foil
Coextrusion
laminated web

Paper

Figure 3.26 A typical coextrusion lamination process.

A processor desiring to enter the field once had little choice of equipment, but the increased interest in coextrusion has led to a proliferation.
With rapidly changing market conditions and the endless introduction of
useful materials, the design of machines has become much more involved.
It is important that the processor has flexibility in making selections, but
not at the expense of performance, dependability, or ease of operation.
One should provide for the material or layer thickness necessary in product changeover without high scrap rates. The target is to incorporate scrap
regrind in the layered construction.
It is very important to be able to control the individual layer distribution across the width of the die. As the viscosity ratio, or the thickness
ratio, of the polymers being combined increases, it is normal for the
individual layer distribution(s) of the composite film to become displaced.
Viscosity differences influence reduction and saving of materials.

EMBOSSED
FLEXIBLE
VINYL

CAN BE
CUT HERE

RIGID
METHOD OF VINYL
MAKE-UP

DUAL DUROMETER REPLACEMENT SEAL

FLEXIBLE VINYL
CUT OFF

-RIGID VINYL

REPLACEMENT SEAL

EVA

RIGID V I N Y L

Figure 3.27 Design tips for coextrusion: (a) a dual extrusion for a modular cabinet
wall panel; (b) if the flexible sealing portion wears out from abrasion, a replacement flexible insert can be slid into the slot in a rigid portion; (c) a cross section of
a dual extrusion (a ball-return trough for a billiard table); (d) a bowling-ball return
trough made from a 6 in. (15cm) diameter extruded tube with one or more layers.
The tube is slit while still workable and guided over a forming die; (e) typical dual
extrusions of rigid and flexible PVCs; (f) typical extrusions of rigid and flexible
PVCs showing different applications; (g) a cross section of a window frame with
a metal embedment; (h) nonbondable plastic can be joined by keying or fitting; (i)
noncircular hollows are easier to form if each part of the surrounding wall is made
from the same family of plastic: (A) the rigid PVC base will remain flat and not
bulge, (B) the air pressure inside the hollow will cause the flexible base section to
bulge; (j) different applications for metal-embedment extrusions.

DUAL EXTRUSIONS

FLEXIBLE
VINYL
WINDOW
FRAME
METAL RIGID VINYL

METAL-EMBEDMENT
EXTRUSIONS
STORM-WINDOW
FRAME
EASY

METAL WIRE

RIGID VINYL
TUBULAR
EXTRUSIONS

METAL
DIFFICULT

Fig. 3.27.

Continued

RIGID
VINYL

Table 3.7 Comparison of feedblock and multimanifold coextrusion dies

Characteristic
Basic
difference

Cost
Operation
Number
of layers
Complexity
Control flow

Layer
uniformity
Thin skins
Viscosity
range
Degradable
core
material
Heat
sensitivity
Bonding

Feedblock

Multimanifold

Melt streams brought

together outside die body
(between extruder and die)
and flow through the die as
a composite
Lower
Simplest
Not restricted; seven- and
eight-layer systems are
commercial
Simpler construction; no
adjustments
Contains adjustable matching
inserts, no restrictor bar

Each melt stream has a

separate manifold; each
polymer spreads
independently of others; they
meet at die preland to die exit
Higher
Generally restricted to three
or four layers

Individual layer thickness

correction of 10%
Better on dies >40 in. (1 m)
Usually limited to 2/1 or 3/1
viscosity range of materials
Usually better

More complex
Has restrictor bar or flow
dividers in each polymer
channel; but with blown-film
dies, control is by individual
extruder speed or gearboxes
Restrictors and manifold can
meet 5%
Better on dies <40in. (1 m)
Range usually much greater
than 3/1

More

Less

Potentially better; layers are

in contact longer in die

"

Several techniques are available for coextrusion, some of them patented

and available only under license. Three types exist: feedblock, multiplemanifold, and a combination of the two (Table 3.7 and Fig. 3.28).
With the feedblock die, different melts are combined just upstream of
the die, before they enter it via a special adapter. Laminar flow keeps the
layers from mixing together, so the layup exits the die as an integral
construction.
A multiple-manifold die involves the combination of melts within the
die (Figs 3.29 and 3.30). Each inlet port leads to a separate manifold for the

Feed port section

Programming section
Transition section
Figure 3.28 Schematic of a feedblock sheet die.

Figure 3.29 Multimanifold three-layer flat-film die.

individual layers involved. The layers are combined at or close to the final
land of the die, and they exist as an integral construction through a single
lip. Although the multimanifold die can be more costly than the feedblock
type, it has the advantage of more precise control of individual layer
thickness.
A third approach combines the feedblock and multimanifold dies to
provide further processing alternatives as the complexities of coextrusion increase. This approach has been used successfully in barrier-sheet
coextrusions where requirements preclude other alternatives. The feedblock is placed on the manifold or manifolds, permitting the combination
of materials of similar flow characteristics in the feedblock while feeding
dissimilar materials directly into the die.

Figure 3.30 A three-layer blown-film die.

Assuming both types have a good manifold design, the multimanifold

can process a broader range of flow resins than the feedblock. No matter
which method is used, it is important to maintain the melt heat of each
layer above the 'freezing' temperature of all layers, else the adhesion will
be poor. The heat has to be the most important operating requirement for
all resins. Figure 3.27 shows various design tips for coextruded profiles.
It is also desirable to be able to vary and control the thickness of the
plies. As there are two or more extruders feeding the separate inlet channels, the first step is to calibrate them in terms of output rate versus screw
speed; gear pumps can be used. The next step is to establish the required
width-to-thickness and the takeoff speed, and to convert them into an
output rate for each resin. These output rates and calibration curves are
then used to establish the screw speeds. When a feedblock is not designed
properly, problems such as excessive pressure drops, shear rates, or residence time can affect the quality of the extrudate. The teardrop manifold
has proved beneficial for coextrusion (Fig. 3.12, part 4).

All extrusion processes require some form of melt transfer from the
extruder to the feedblock or die. The transfer device can be short, such as
an extruder adapter, or longer, as required in coextrusion piping. The pipe
design is integral to coextrusion success; in general, the inside diameter
should be large enough to avoid excessive pressure drops, but not so large
as to cause extended residence time. Its heavy wall provides maximum
thermal stability and heat distribution efficiency. The heat should be
uniform to avoid hot and cold spots. Low-voltage heaters are desirable,
but heater tapes are dangerous because of the possibility of nonuniform
heat distribution.
Safety consideration should be the determining factor in the design of
piping. Pipes have been known to cold-pack, depending on shutdown
procedures. The location of the control thermometer is important. Overheating of a zone, particularly on startup, can cause degradation of the
plastic into a gas, creating extremely high pressures.
Tie-layers
Choosing an adhesive layer is by no means a simple operation; there are
many different types, each with specific capabilities, with EVAs forming
the bulk. Selection of a material is based on its providing good adhesion
and surviving the process. For example, high melt strength in a blow film
improves bubble stability. At temperatures above 46O0F (2380C), EVAs
could suffer from gel formation and decomposition. High melt strength
can also help in cast extrusion and thermoforming processes, and the melt
draw is important in coextrusion of cast film/sheet or a coating. Good
melt draw is required to run higher take-up speeds and/or thinner adhesive layers without causing flow-distribution or edge-weave problems.
Effects such as neck-in and edge bead are also minimized by choosing
adhesives with a good draw.
Various processing conditions can require the tie resin to fall into a
particular melt index (MI) classification. MI is inversely related to molecular weight (MW) (Chapter 1); a high-MW adhesive will have a low
ML Most adhesive are available in a range of MIs to meet different
requirements.
The melt stability or flow is easily influenced by regrind. It is important
that the regrind is compatible with the adhesive.
ORIENTATION
Orientation consists of a controlled system of stretching plastic molecules
to improve their strength, stiffness, optical, electrical, and other properties. Used for almost a century, it became prominent during the 1930s for
stretching fibers up to 10 times. Later it was adapted to stretching film,

Table 3.8 Example of orientation used to fabricate different types of TP film tapes
Ranges of
application
Carpet basic
weave

Tarpaulins
Sacks

Demands made
Low shrinkage
High strength
Temperature stability
Specific splicing tendency
Matt surface
High strength

High strength
High friction value
Specific elongation
Weather resistant
High tensile strength
Ropes
Specific elongation
Good tendency to splicing
Twine
High tensile strength
High knotting strength
Separating weave High strength
Filter weave
Low shrinkage
Abrasion resistant
Reinforcing
Low shrinkage
weave
Specific elongation
Temperature resistance
Tapestry and
UV resistance
Low static charge
home
textiles
Uniform coloration
Textile-type handle
Outdoor carpets
Low shrinkage
Wear resistance
Weather resistance
Elastic recovery
Uniform coloration
Defined splicing
Decorative tapes
Effective surface
Low specific gravity
Knitted tapes,
High knotting strength
sacks, and other Low splicing tendency
packagings,
Suppleness
seed and
UV resistance
harvest
protective nets
Packaging tapes
High strength
Low splicing tendency
Fleeces
Fiber properties

Rate of
stretching

Thermoplastic

1:7
1:5

PP
PETP

1:7

PP
PE
PP
PE

1:7

1:9 to 1:11
(15)

PP

l:9tol:ll
1:7
1:7
1:5
1:7
1:5

PP
PP/PE
PP
PP
PETP
PP
PETP

1:7

PE

1:7
1:5

PP
PETP

1:6

PP with
blowing agent
PP
PE

1:6.5

1:9
1:7
1:7

PP
PETP
PP and blends

sheet and more recently blow-molded containers. Many other products

take advantage of its benefits (tape, pipe, profile, thermoformed parts,
etc.) (Table 3.8). Practically all plastics can undergo orientation, although
certain types find it particularly advantageous (PET, PP, PVC, PE, PS,
PVDC, PVA, and PC). Of the 12 million tons of plastic film sales worldwide, about 20% are sales of oriented material (Chapter 1).
In extrusion the most important orienting processes are used for blown
film, flat film/sheet, and blow molding (Chapter 4). During blown-film
processing the blowup ratio determines the degree of circumferential
orientation, and the pull rate of the bubble determines longitudinal orientation (Fig. 3.31). The optimum stretching heat for amorphous resins
(PVC, etc.) is just above the glass transition temperature; for crystalline
types (PET, PE, etc.) it is just below the melting point (Table 3.9). During
M.D.-Machine Direction
T.D.-Transverse Direction
Lay flat
Width

Layflat
Main Nip Rolls

Layflat
Die Dia.

Blow Ratio

Bubble of Film
Bubble
Diameter

Frost Line
Bubble Dia. Blow Up Ratio
Die Dia.
(BUR)

Die Diameter

Die Diameter

Figure 3.31 Blown film: (a) terminology, (b) orientation.

Balanced Shrink Film

1:1 DDR/BUR @1.5 MIL
ILLUSTRATION

Typical Converter Film

4:1 DDR/BUR @ 1.5 MIL

THEORY

THEORY

ILLUSTRATION

1.5 MIL
@ 60 FPM
Line Speed

6 MIL
@ 15 FPM
Line Speed

.1.5 MIL
@ 120 FPM
Line Speed

32" Dia. Bubble

50" Layflat

12 MIL
@ 15 FPM
Line Speed

Frost Line

16" Dia Bubble

25" Layflat
BUR= Blow Up Ratio
DDR= Draw Down Ratio
FPM= Feet Per Minute

8" Dia. DIE

024" DIE GAP
1" DIE LAND
15 FPM
Melt Velocity
Figure 3.31 Continued
Table 3.9 Examples of orienting conditions for plastics
Modulus of elasticity (Gpa)

Plastic

Melting
temperature,
Tn, (0C)

PVC
HDPE
PP
PA
PET

_
138
134
260
250

Glass
transition
Biaxially oriented film
temperature,
0
Longitudinal Transverse
Ts ( C)
70 to 90
-7OtO-IlO
-5 to -20
50 to 75
70 to 110

2.5-2.7
3^
3-4
2-2.5
4-5.7

3-3.5
3^
2-3
2-2.5
4.5-8.5

Oriented fiber
Unoriented
film

Melt
spun

Gel
spun

Density
(gcm~3)

2.2
1.2
0.9
0.5
1.5

5.5
5
5
4.5
15

_
170
18
19
28

1.35
0.96
0.90
1.13
1.35

the stretching process, the structure changes because of crystallization,

usually necessitating an increase in heat if further deformation is planned.
Afterward, the orientation is 'frozen in7 by lowering the heat or, with
crystalline types, set by increasing the crystalline portion.

With orientation, the thickness is reduced and the surface enlarged. If

film is longitudinally stretched in the elastic state, the thickness and the
width are reduced in the same ratio. If lateral contraction is prevented,
stretching reduces the thickness only.
The direct injection of liquid additives, such as polyisobutylene (PIB), to
produce stretched film prevents difficulties in extruding and offers a
processor a wider range of materials from which to select. It provides cost
reductions due to the use of more economical formulations. This method
is suitable for the injection of cross-linking agents, liquid colors, and the
like, via the extruder or a gear pump.
In orienting film or sheet the processor uses a tentering frame (typically
used for many decades in textile weaving), which is enclosed in a heatcontrolled oven, with a very accurate and gentle airflow used to hold the
oven at the required orienting heat (Fig. 3.32). The frame has continuous
speed control and diverging tracks with holding clamps. As the clamps
move apart at prescribed diverging angles, the hot plastic is stretched in
the transverse direction, producing single orientation (O). To obtain

SHEET
FEED
ROLLS
RETURN CLAMPS
SHEET

OVEN

Tensile strength
Nonoriented 5,000 psi
Oriented (machine direction) 4,000 psi
Oriented (transverse direction) 25,000 psi
EXTRUDER
PULLER

DRAWDOWN
400%

DIESWELL

DIE

Figure 3.32 Use of tenter frame to biorient film or sheet: (a) the ratio of the feederroll speed to the puller-roll speed is 4:1 (ratio of width W2 to width W1); (b) the
drawdown phenomenon with die swell to produce orientation in the longitudinal
(machine) direction.

bidirectional orientation (BO) an inline series of heat-controlled rolls are

located between the extruder and tenter frame. The rotation of each
succeeding roll is increased, based on the desired longitudinal stretch
properties.
Each line has interrelating operations, as well as specific line operations,
to simplify processability. The extruder is usually followed by some kind
of cooling system to remove heat at a controlled rate, to cause plastic
solidification. It can be as simple as an air and/or water cooling system, or
a cooled roll contact can be used to accelerate the cooling process. Some
type of takeoff at the end of the line usually requires an accurate speed
control to ensure product precision and/or save on material costs by
tightening thickness tolerances. The simplest device might be a pair of
pinch rolls or a pair of opposed belts (caterpillar takeoff). A variablespeed drive is usually desired to give the required precision.
Orienting plastics occurs in many different products. An example is an
oriented solid rod. A solid rod (billet) is directed through a reducing
conical die, usually with heat. This technique is a takeoff used in the metal
industry with rods, wires, etc. The amount of deformation is based on a
deformation ratio; the diameter before and after going through the die, as
well as travel speed and temperature. The compressing action orients the
plastic molecules and increases performance.
Oriented film (single or coextruded) has its major market in all types of
packaging bags. They attract wide interest and are used for diverse applications. As an example, shrinkbands are an important product used by
different industries (medical, electronic, etc.).
Most shrinkbands are made of oriented plastic films that shrink around
a container when heat is applied. They are used as labels, tamper-evident
neckbands, combination label/neck bands, and devices for promotional
packaging. These are called dry bands, in contrast to cellulose bands that
are applied wet and shrink to a tight fit as they dry. Dry bands are much
more versatile than wet bands, and they have become the predominant
form by a wide margin.
Most dry bands are made of PVC or vinyl copolymers. They can be
made of flat film that is stretched (oriented) and seamed, or from tubular
film that is stretched in the blowing process. The degree to which the band
shrinks is determined when the film is stretched. To obtain a band that
will eventually shrink 60%, the film must be stretched 60%. In effect,
stretching the film programs memory into the material. That memory is
recalled by applying heat after the band is placed on the container, and the
band shrinks to its original dimensions. The degree of shrink required is
determined by the shape of the container and the amount of container
coverage required; for example, to label a tapered container, with a wider
radius at the bottom than at the top, bands with relatively high shrink
capability accommodate the drastic difference in radius. Depending on

the grade of film, the material can yield a controlled accurate shrink of
65% or more with current technology.
The most common film thicknesses for most packaging applications are
1.5, 2, and 3 mil (38, 51, and 76|um). Uniaxially oriented (preferential) film
shrinks in height or width; biaxially oriented film shrinks in both directions. Uniaxial orientation is preferred for printed bands because they do
not wrinkle and graphics are not distorted.
BLOWN FILM
More plastics go through blown-film lines than other extrusion lines. The
process can vary in direction (up, down, or horizontal) and in the method
of flattening the film prior to windup (Fig. 3.33). Developments in these
lines relate to the extruder, dies, takeoff systems, and automation components. The development of high-speed extruders with a grooved feed
zone and barrier screws makes it possible to increase output while providing greater processing flexibility; this makes it unnecessary to change the
screws, particularly in coextrusion. Blown-film dies have been developed
with the goals of low-pressure consumption, good self-cleaning, material
changes, and ease of maintenance. The automation of blown-film plants to
reduce film thickness tolerances involves the increased use of linear
weight-control systems (upstream and downstream), as well as greater
opportunities to influence profile thickness via suitable control elements
on the die and cooling systems.
Regarding the film direction, horizontal operation entails no overhead
installation and a low building height, but requires a larger floor space
with probable adverse effects of gravity and uneven cooling. Verticaldown operation has the advantage of startup without flooding of the
annular die gap by exiting hot melt. However, vertical-up operation is the
usual method, provided sufficient melt strength exists for an upward
startup, and so on. Special die blowheads are designed, usually with a
multiple threaded helical mandrel discharging into an expansion space.
The tubular melt assumes its final shape in a smoothing-out zone, which
in all heads is a cylindrical land in a parallel position between the mandrel
and the orifice. Its length is about 10-15 times the annular gap width (the
lower value applies to thin film and the higher to thick film). The gap
width is generally 0.5-2.0 mm.
Different methods of bubble cooling exist, each with advantages and
disadvantages. For example, because of their different extensional
rheologies (flow), LLDPE bubbles are less stable than those of LDPE.
Proper cooling is very important in obtaining good gauge uniformity.
Gentle, very cold air has a better cooling effect than high-velocity cool air;
the gentle air helps to minimize bubble instability (usual pressure is
150-600 mm water column). Although single-lip air rings have proved

Side View

Front View
Angle A
Distance D, in
Edge E, in.
Center C, in.
OE, %

22
20
20%
2VA
5

11
5tt
40
80
40% 80%
40% 80Vi
1% 5/8

Figure 3.33 A basic (vertical-up) blown-film line; geometry of collapsing bubble.

adequate for some applications, dual-orifice designs provide enhanced

cooling, which effectively stabilizes the bubble and speeds up the line
(Fig. 3.34). Internal bubble cooling (IBC) with a dual-lip air ring is also
effective in increasing bubble stability at high production rates. However,
improperly arranged IBC configurations can cause melt fracture due to
chilling of the die lip.
Heat between the die and the pinch rolls influences the hauloff rate.
LDPE, for example, leaves the die at 150-17O0C. On its arrival at the pinch
rolls, the temperature should have fallen to 4O0C. The film should be
wound up at as low a heat as possible in order to prevent excessive
shrinkage on the roll, which causes blocking. Thin-walled film can
be taken off at speeds of at least 20-50 mmnT1. With film of 150-300 jurn
thickness, rates of at least 10-20 mmin"1 are achieved.
The blow ratio (Fig. 3.31 (a)) is usually 1.5-4.0, depending on the material being processed and the thickness required. With crystalline types,
melt leaving the die changes from a transparent (amorphous) condition to
hazy. The level at which this transition occurs is called the frost line (Fig.
3.31 (b)). The visual appearance (whether it is level/straight or shows a
varying line and height) of the melt exiting the die can be related to
processing conditions (uneven melt flow, heat variations, degree of orientation, etc.). For polyolefins (PE, PP, etc.) to be printed, a corona discharge
pretreatement is usually given following the layflat operation. This has
the effect of oxidizing and activating the surface. The weldability may be
impaired and the blocking tendency increased if the treatment is too
intensive.

Figure 3.34 Comparison of conventional single-lip and dual-lip air rings for cooling blown film.

Shrink Film
4:1 BUR
50" Layflat 4MIL
Line Speed 15 FPM

Typical Converter Film

2:1 BUR
25" Layflat 1 MIL
Line Speed 120 FPM

121X2 in./min.
Transverse
Speed of
Gauge Band
Around Bubble

25 in./ min.
Transverse
Speed of
Gauge Band
Around Bubble
60 Ft. Film Travel
Required for One
Rotation of Gauge
Band Around Bubble

Gauge
Band

480 Ft. Film Travel

Required for One
Rotation of Gauge
Band Around Bubble

8" Die Rotating @ Vi RPM

@ 150 Lb / Hr Instantaneous Output
Figure 3.35 Averaging out thickness changes in blown film by rotating the
diehead.
A certain degree of variation in thickness is unavoidable. When caused
by the tubular film die, these variations always occur at the same position.
A local film excess usually appears as a line. This can be countered by die
head, hauloff and windup gear, or, with a vertical extruder, the extruder
barrel is rotated or moved from side-to-side at regular intervals (Fig. 3.35).
Film gauge is affected by several factors, including takeoff speed, extruder output, barrel and die temperatures, blowup ratio, die-ring adjustment, and the rate of cooling of the bubble. Among the surface defects,
fish eyes are due to imperfect mixing in the extruder or to contamination.
Both these factors are controlled by the screen pack that creates a back
pressure which improves homogenization.
The advantages of blown-film extrusion over flat extrusion include the
ability to produce film with a more uniform strength in both the machine
and transverse directions. In flat-film extrusion (particularly at high takeoff rates), there is a relatively high orientation of the film in the machine
direction and a very low orientation in the transverse direction. In
blown-film extrusion by balancing blowup ratios against takeoff rate, it is

possible to achieve physical properties which are very nearly equal in

both directions, and this gives a film of maximum toughness. Another
advantage of blown film is in bag making, where the only seal necessary
is one across the bottom of the bag, whereas with flat film either one or
two longitudinal seals are also necessary. The main disadvantage is the
lower clarity of the blown film but this can be improved by more efficient
cooling. Blown film is often slit, after extrusion, and is then wound up as
flat film. Blown diameters can be produced, giving flat film widths that
are much wider than anything produced by slot-die extrusion. Such large
widths of polyethylene film find extensive uses in agriculture, horticulture, and building.
FLAT FILM
Flat films processed through slit dies are cooled principally by using
chilled rolls. Many different resins are used, with thicknesses of 15200jLim (Figs 3.36 and 3.37). Alternatively, certain plastics go directly into
a water tank, but that creates many technical difficulties in production.
Thus, the chill-roll process is preferred; and film up to 3m in width will
have output rates of at least 12OrUmIn"1.
In this process the melt film contacts (as quickly as possible, vertically or
at an angle) the first water-cooled highly polished (to 1 jim) chrome-plated
roll. An air knife can be used: its placement parallel to the die makes it
possible to press the film smoothly onto the first cooling roll by means of
a cold airstream. Lubricant plate-out on the cooling rolls is avoided by
operation with contact rolls. At hauloff rates of up to 60mmin~1, reel
NIP(ORPINCH)
ROLLS
EXTRUDER

RUBBER
STAINLESS
STEEL

TREATER BAR
TRIMMER
(SLITTER)

POWERED
CARRIER ROLLS
DIE

2 (or more)
WATER-COOLED
HIGHLY POLISHED
CHILLROLLS

RUBBER
NIP(OR PINCH)
ROLL
^

STAINLESS-STEEL
NlP(OR PINCH)
ROLL (driven)
WINDUP
(usually
twin station)

Figure 3.36 Chill-roll system for flat-film extrusion line.

Processing steps

Tapes

Granulate

Figure 3.37 (a) Chill-roll process used in oriented film tape line; (b) performance of oriented PP based on orienting heat and stretch
ratio.

Tape orientating temperature (0F)

Secant modulus
Elongation
Tenacity

Stretch ratio
Figure 3.37 Continued

5% Secant modulus /105 (psi)

Tenacity (grams per denier)

Elongation (%)

Elongation

5% Secant modulus /105 (psi)

Elongation (%)

Stiffness

Figure 3.38 Varying flow paths in simple slot die.

change is carried out by hand. Automatic changeover equipment is required at higher hauloff rates.
Advantages of the chill-roll process over the blown-film process include
preparing almost transparent film from crystalline resins (the frost line
forms about 50mm above the contact line with the chill roll); no risk of
blocking; a simple crease-free windup; continuous film thickness control;
high output; relatively small space requirement; and the fact that
pretreatment for printing can be applied simultaneously to both sides of
the film. Disadvantages are the limitation on maximum width of about
3m (blown-film layflat is at least 12m); loss through edge trimming; and
only uniaxial orientation.
Since the width of a slot die for flat film is large compared with the
diameter of the extruder head, the flow path to the extreme edges of the
die is longer than to the center (Fig. 3.38). Flow compensation is usually
obtained, in the case of thin film, by a manifold die. It consists of a lateral
channel (or manifold) of a diameter such that its flow resistance is small
compared with that offered by the die lips.
The inside surface of the die should be precision machined and well
polished since the slightest surface irregularities will create striations or
variations in gauge. A manifold is efficient in its task of flow compensation only if the viscosity of the melt is fairly low, so higher temperatures
are necessary for flat-film extrusion. This in turn limits the use of the
manifold die to materials of good thermal stability. Another consequence
of the higher extrusion temperature is that a heavier screen pack is necessary in order to maintain satisfactory back pressures.
COATING
With extrusion coating an extruder forces melted TP through a horizontal
slot die onto a moving substrate or web of material. The rate of application
controls the thickness of the continuous film deposited on the web. The
melt stream, extruded in one layer or coextruded layers, can be used as a
coating or as an adhesive to laminate or sandwich two or more materials
together, such as plastic film, foil, and paper.

There are three types of lines: thin-film or low-tension applications at

operating web tension levels of 8-80 lbf (35.6-356 N); paper and its combinations in the middle range of 20-200 lbf (89-887 N); and high-tension
applications for paperboard applications at 150-1500 lbf (667-6672 N).
As the melt leaves the die lips, the thin molten film is pulled down into
the nip between two rolls situated directly below the die. The substrate,
which is moving at a speed faster than the extruded film, draws the hot
film to the required thickness, while the pressure between the chill roll
and the pressure roll forces the film onto the substrate. Meanwhile, the
molten film is being cooled by the water-cooled, chromium-plated chill
roll. The pressure roll is also metal but is covered with a rubber sleeve,
usually neoprene or silicone rubber. After leaving the chill roll, the coated
material is drawn over a driven slitter roll where the edges are trimmed to
remove the uncoated edge and the small beads of plastic which builds up
at the edges of the film. After trimming, the coated material is wound up
on conventional windup equipment.
In this continuous operation, rolls of material are unwound, new rolls
are automatically spliced on the fly, and, when required, the surface of the
substrate is prepared by chemical priming or other surface treatment to
make it receptive to the extrusion coating, and to help develop adhesion
between the two materials (Figs 3.39 and 3.40). Pressure and temperature
on the web and extrudate combine to produce adhesion. The substrate

Front end
of extruder

Reel of
uncoated paper

Die
Manifold
Land area

Water-cooled
chill roller
(driven)
Slitter
(driven)

Wind-up

Coated
paper
Pressure
roll (idler)

Figure 3.39 Cross section of paper-coating extruder.

Alarm

Printer

CRT

Keyboard

Power supply

Memory
Motor
control

Microcomputer

Profile
measurement

Other
computer

Converter
Solid-state
contacters
Die-bolt
actuator
control

Extruder

Scanning-thickness
gauge

Carriage

Web

Figure 3.40 Controls on an extrusion coating line. (Courtesy Egan machinery)

normally provides the mechanical strength to the resultant structure, and

the plastic provides a gas, moisture, or grease barrier.
It is not economical to coat narrow substrate widths, since the cost of
equipment is high, so die widths are large with a consequent need for
large extruders. Higher temperatures are required for extrusion coating
than for unsupported film extrusion. The usual form of heating employed
in coating extruders and dies is high-capacity electrical heaters.
The weight of the coating deposited on the substrate is governed by the
speed of the chill roll. For any given extrusion rate, the higher the chill-roll
speed, the greater the drawdown, hence the lower the coating weight. The
chill roll has two other functions, one of which is to cool the coating to a
temperature low enough to enable it to be stripped from the roll. This
cooling has to be accomplished in about half a revolution of the roll thus
necessitating very efficient water cooling of the roll. The chill roll also
determines the surface finish of the film. For high gloss the surface of the
chill roll must be very highly polished; where dull film surfaces are
required, the chill roll may be etched or sandblasted.
Adhesion of the coating to the substrate is a matter of prime importance
and is affected by several factors. High melt temperatures are essential;
other factors include coating thickness (thick coatings adhere better than
thin ones) and drawdown rate (high drawdown rates have an adverse
effect on adhesion). Different substrates also have their own individual
problems as in the case of paper and board, where a low moisture content
is required for good adhesion. Adhesion of polyethylene to aluminum foil
is not an easy matter to achieve and the problems are sometimes overcome by an etching treatment of the foil surface. The coating of regenerated cellulose film also presents a problem.
One of the problems encountered in extrusion coating is that of 'beading' at the edges of the hot film where 'necking in' occurs. This local
thickening of the film has to be removed during the trimming operation
otherwise, when the roll is wound up, the beads at either end support the
weight of the roll, leaving a loosely wound and sagging roll in the middle.
The extra trimming required means a reduction in the usable web widths,
thus increasing the coating costs. In the case of polyethylene the incidence
of neck-in can be reduced by decreasing the melt index or the density, but
the risk of voids in the hot film at low coating speeds increases because of
imperfect melt flow, so an optimum combination of these two factors has
to be found.
The distance between the die lips and the chill roll should also be at a
minimum for minimum neck-in; increasing the screw speed will also
reduce neck-in. The balancing of requirements such as minimum neck-in,
high coating speeds, absence of voids, etc., is a matter of experience. One
should determine the minimum neck-in and bead size based on processing conditions, and use those observations as control parameters. Sensors

Table 3.10 Example of a surface coverage of

polyethylene coating (average density 0.920gem"2)
Thickness
(mm)

0.001
0.002
0.004
0.008

Mass (g) required by

1 m2 of substrate
5.8
11.6
23.2
46.4

Length (m) covered

by 0.45kg PE
175
85
42.5
21

of neck-in and beads can be used in automatic process control. An example of typical surface coverage using PE coating resin is given in Table
3.10. With 31X2 in. (89mm) extruders, coating widths may be 600-1200 mm;
with 4V2 in. (114mm) 900-2500 mm; with 6 in. (152mm) 1000-4000 mm;
and with 8 in. (203mm) 3000-5000 mm.
Plastic coatings are applied in different forms and shapes on many
different products, such as wire, cable, profiles (plastics, wood,
aluminum, etc.), films/foils (plastics, aluminum, steel, paper, etc.), rope,
and so on. Certain coatings only require snug fits, whereas others require
excellent adhesion, usually necessitating cleaning, priming, and/or heating substrates. Wire and cable coating is reviewed later in this chapter.
Examples of other coating lines include coating wood, film, and structural
reinforcement wire.
Coating wood profiles
Wood, as well as other materials (plastic, aluminum, steel, etc.), can be
easily coated in profile shape. Procedures used would be similar to wire
coating, including possible preheating and cleaning. For noncontinuous
profiles, special equipment is available; wood (or other material) is fed
automatically from a storage/feeding magazine (when required preheated and/or cleaned), through a crosshead die, and finally through a
cooling medium of air, water, gas, and so on (Fig. 3.41).
Coating films/foils
Extrusion coatings, using many different plastics, are applied to film, foil,
or sheet substrates of plastic, wood, aluminum, steel, paper, cardboard,
and so on. A 'curtain' of very hot melt is extruded downward from a slit
die (similar to flat-film slit dies). Preheating and/or cleaning operations
may be required. Hot melt contacts the substrate, which is supported by
a large, highly polished chill roll with a small rubber or metal nip roll. The
nip roll applies the required pressure to ensure proper air-free adhesion.
As the melt is usually at its maximum heat and pressure, 'delicate' opera-

PULL ROLLS

COOLING AIR
RADIANT HEATERS

DIE

CUTOFF UNIT
FINISHED-PARTS
COLLECTOR

CROSSHEAD
COATER

FEED ROLLS

Figure 3.41 Noncontinuous profiles being automatically coated with plastics.

tion is required in the equipment and the surrounding area. Changes in

air currents and moisture can cause immediate downtime; tighter controls
may not be necessary if all that is required is not to open a 'door7 particularly a large garage door.
Products from extrusion coating/lamina ting lines have six main market
classifications: liquid packaging; flexible packaging; board packaging;
industrial wraps; industrial products; and sacks.
COMPOUNDING
Of all the 17000 plastics available worldwide, most must undergo
compounding (the incorporation of additional ingredients needed for
processing) in order to have desired properties. These ingredients may
include additives to improve a polymer's physical properties, stability, or
processability (Chapter 1). The method used to compound these materials
can be either dry blending or melt mixing. In many cases both types of
mixing are required. Mixing can be continuous or in batches. Batch systems tend to be more labor-intensive and less complicated. Continuous
systems are more consistent and easier to instrument for statistical process
control [9].
Batch mixers are still a very important part of every compounding
operation, primarily in the premixing and postcompounding areas.
There are three intensities of batch mixing: low, medium, and high. Lowintensity mixers are the most commonly used because they are the least
expensive, are relatively easy to clean, and can be employed for a multitude of tasks where time and dispersion are not the prime consideration.
Medium-intensity mixers usually consist of low-intensity mixers fitted
with attachments called intensifiers. The intensifiers are normally a highspeed mixing head added to a low-intensity mixer.
The high-intensity mixer is a high-speed unit with specialized blade
designs. (Mixing times are typically measured in minutes, as compared to
Next Page

Previous Page

PULL ROLLS

COOLING AIR
RADIANT HEATERS

DIE

CUTOFF UNIT
FINISHED-PARTS
COLLECTOR

CROSSHEAD
COATER

FEED ROLLS

Figure 3.41 Noncontinuous profiles being automatically coated with plastics.

tion is required in the equipment and the surrounding area. Changes in

air currents and moisture can cause immediate downtime; tighter controls
may not be necessary if all that is required is not to open a 'door7 particularly a large garage door.
Products from extrusion coating/lamina ting lines have six main market
classifications: liquid packaging; flexible packaging; board packaging;
industrial wraps; industrial products; and sacks.
COMPOUNDING
Of all the 17000 plastics available worldwide, most must undergo
compounding (the incorporation of additional ingredients needed for
processing) in order to have desired properties. These ingredients may
include additives to improve a polymer's physical properties, stability, or
processability (Chapter 1). The method used to compound these materials
can be either dry blending or melt mixing. In many cases both types of
mixing are required. Mixing can be continuous or in batches. Batch systems tend to be more labor-intensive and less complicated. Continuous
systems are more consistent and easier to instrument for statistical process
control [9].
Batch mixers are still a very important part of every compounding
operation, primarily in the premixing and postcompounding areas.
There are three intensities of batch mixing: low, medium, and high. Lowintensity mixers are the most commonly used because they are the least
expensive, are relatively easy to clean, and can be employed for a multitude of tasks where time and dispersion are not the prime consideration.
Medium-intensity mixers usually consist of low-intensity mixers fitted
with attachments called intensifiers. The intensifiers are normally a highspeed mixing head added to a low-intensity mixer.
The high-intensity mixer is a high-speed unit with specialized blade
designs. (Mixing times are typically measured in minutes, as compared to

half an hour or more for other types of mixers.) High-intensity mixers are
used most often in the areas of pigment dispersion and premixing of the
compound.
Most continuous-melt mixer/extruders and single-screw extruders are
simple in design and reasonably priced. Processing with single-screw
extruders is normally limited to the barrel surface and conveying is only
by drag flow. This minimizes the use of single screws for low-viscosity
mixing. Heat transfer is difficult and is effective only on the barrels. Many
of the shortcomings of the single screw can be overcome by grooved
barrel walls, barrier screws, and shortened screw design. Twin-screw
extruders provide much higher torque and volume than single-screw
models.
The nonintermeshing twin-screw extruder has many advantages over
the single screw. These include better distributive mixing and feeding
because of the presence of higher volumes and the downward motion of
the counterrotating screw.
The fully intermeshing twin screw is by far the most versatile and the
most popular design currently used for mixing. The intermeshing screw
allows the mixer to approach plug flow, creating uniform heat and shear
mixing. This type of twin-screw extruder is a high-shear machine, permitting both distributive and dispersive mixing.
Distributive mixing is the homogenization of the ingredients without
particle-size reduction. Dispersive mixing is a high-shear operation that
reduces particle sizes.
Improvement in compounding has been through process control that
typically monitors the temperature of the motor, lubrication system, and
barrels; also the feed rates, shaft speed, torque, oil level, die pressure,
pelletizing speed, etc.
With data acquisition, the compounder collects data and trend variables
over the entire run to insure a consistent product. Statistical process control can be added to the system to inform the operator when the processing variables are out of specification.
Most compounding systems are starve-fed, so accurate control of the
feed streams is required. An accurate feeder is the loss-in-weight feeder.
In these systems the entire feeder, including the hopper, is placed on a
load cell or is sometimes suspended from load cells. The weight can be
measured as often as 10 times per second. This information is then processed to increase or decrease the feed rates, based on the set points.
FIBERS
So-called manmade fibers, which include those made from natural
organic polymers as well as synthetic organic polymers, are mostly produced by extrusion through fine holes, a process known as melt spinning.

The term derives from the formation of fibers into yarns; it is still
applied to these processes today. Since the natural polymers and their
derivatives undergo decomposition at or below their melting points, they
can be converted into a form suitable for spinning only by dissolution.
Thus, the two processes for extruding polymer solutions, known as dry
and wet spinning, were developed well before the third process, melt
spinning.
The spinneret is a type of extrusion die; it is usually a metal plate with
many small round or oval holes, through which a melt is forced and/or
pulled (rayon, nylon, glass, etc.). For glass, the plate is made of precious
metals such as gold, but principally platinum; they provide control of hole
size and wear resistance against the rubbing action of the glass. Filaments
may be hardened by cooling in air and/or water, or by chemical action.
Spinnerets enable extrusion of filaments of 1 denier or less (1 denier =
4OjUm). For commercial work 12-15 denier fiber is generally used [9].
The product obtained from the spinning is usually relatively weak, not
yet commercially suitable. Filaments are usually subjected to orientation
after leaving the die to increase their properties. Thermal setting and
thermal relaxation processes provide dimensional stability; twisting and
interlacing provide interfilament cohesion; texturing provides a voluminous yarn; crimping and cutting provide staple products similar in length
and processing behavior to natural fibers.
Continuous-filament yarn, which consists of a small number of roughly
parallel, continuous, individual filaments of unlimited length held together by a slight twist or by intermingling, is usually packaged as a tube
or cone. Staple fiber is made up of a very large number of discontinuous,
randomly oriented, individual fibers normally shipped in a box or bale. It
is usually subjected to a series of processes, culminating in textile spinning
to yarn. The precursor of staple fiber is tow, which consists of a large
number of roughly parallel, continuous filaments. It is converted by cutting or breaking into staple fiber or directly into a top or sliver, intermediate stages between staple fiber and yarn. In the latter case the filaments
remain parallel.
Substantial amounts of fiber are also sold as monofilament, which is a
single-filament yarn of substantially greater diameter than those present
in continuous-filament and staple yarn, and as tapes, fibrillated tapes, and
slit-film products. In addition, certain types of so-called nonwoven fabric
are directly formed from continuous filaments without isolation of a yarn.
Products of this type include melded and spun-bonded fabrics.
The three most common spinning processes are melt spinning, dry
spinning and wet spinning. Other types of fiber-forming process include
reaction spinning; dispersion, emulsion, and suspension spinning; fusionmelt spinning; phase-separation spinning; and gel spinning. Numerous
techniques for producing fibers without using a spinneret have been

Solid polymer
Molten polymer
Pump
Spinneref
Cooling air
blown by fan

Freezing zone (produced by

transverse airflow)

Bobbin
Guide
rolls
Figure 3.42 Melt spinning of fibers.

devised, including centrifugal spinning, electrostatic spinning, and tack

spinning. Also under investigation is solid-state extrusion (SSE), extruding through a capillary rheometer with a conical die; the processing temperature is close to the melting temperature.
Melt spinning was developed in the late 1930s for nylon-6 and nylon6, 6 and is now used for several fibers, including polyamides, polyesters,
and polyolefins. Molten polymer is forced by an extruder or gear pump
through the fine holes in a spinneret and solidified by passage through
cool air to a driven roll that draws the fibers away from the face of the
spinneret (Fig. 3.42).
In dry spinning, a polymer solution is extruded from a spinneret
through a zone in which the solvent is rapidly evaporated, leaving filaments that are wound up at speeds up to about lOOOmmin"1.
In wet spinning, a polymer solution is extruded from a spinneret into a
nonsolvent that coagulates (i.e., precipitates) the polymer. In some cases,
such as the viscose process, both the solution and the precipitation stages
involve chemical reaction. Conventional wet spinning is by far the slowest
in linear velocity of the principal processes, but since it permits very short
distances between the holes in the spinneret face, a single spinneret may
carry a very large number of holes. Hence, the productivity from a single
spinning position may be very high.

NETTING
Plastic netting is produced through couterrotating die lips as a feedstock
with strands at a nominal 45 to machine direction then oriented into a
lightweight tubular netting (Fig. 3.43). A variety of mesh sizes, diameters
and colors are available, usually made from PE. Different shapes are
shown in Fig. 3.25 (page 252). Most of the netting produced for flexible
packaging started during the mid 1950s (patent) and is now marked
throughout the world in forms such as (1) tubular netting on traversewound rolls (commonly called rope by the industry); (2) header-label bags
converted from rope, heat-set into open tubes (usually gussetted) and
sealed by the manufacturer with a folded and sewn printed label; (3) Gbags, which are lengths of material cut with a hot knife to produce a
gathered heat seal on one end; and (4) sleeving or cartridges, where
netting is shirred onto a collapsed corrugated board. The board can be
opened into a square or rectangle for transfer onto a tube or funnel.
The largest market for plastic netting is consumer-sized packaging in
the produce industry. Nearly complete ventilation reduces spoilage of
many fruits and vegetables such as citrus and onions. Automatic packaging equipment using rope shirred onto tubes offer labor and material costs
competitive with other consumer-size packages. Premade header-label
bags are also widely used by produce packers and by supermarkets that

Figure 3.43 Netting exits the die and undergoes postextrusion stretching.

package in-store. Other markets include pallet stretch-wrap, tools,

and toys.

PIPE
A typical pipe line consists of a single- or a twin-screw extruder, a die,
equipment for inside and outside calibration, a cooling tank, a wallthickness measuring device, marking equipment, hauloff and automatic
cutting and pallet equipment, or a windup unit for self-supporting pipe
coils or lengths that are coiled on a drum (Fig. 3.44). Figure 3.12 on pages
238-9, provides examples of pipe dies.
Single-screw extruders are generally used when processing PVC compound in granule form; twins handle powders of PVC. The adjustment
and control of back pressure are very critical. PVC pipe is a big and very
competitive market, so quality and profitability have been the most important requirements for years. Improving the equipment is almost of
secondary importance because the equipment for good-quality products
is already available.
The consumption of material, the main cost factor, can be gradually
minimized by the use of measuring and control systems. The goal is
always tighter tolerance control to save material. Calibrating disks and
pressure calibration methods of many different designs are used to meet
various requirements. Figure 3.45 provides calibration examples.
The operator's expertise in using these calibration systems is as important as controlling the complete line. A system of feedback and control of
the extruder by a microprocessor is used to control wall thickness, combining ultrasonic gauging with gravimetric proportioning. Such new technologies are available but have to be debugged. Perhaps it could be said
that any equipment from the past is definitely noncompetitive, based on
all the new equipment that has been made available from upstream,
through the extruder, and downstream. In the past few years, all the
equipment has been significantly altered to increase profits.

Sizing Unit

Cooling Tank

Haul-Off Unit
Traveling Cut-Off Saw

Figure 3.44 Important downstream equipment used in pipe and profile extrusion.

Differential pressure sizing for flexible tubing

Spacers
Differential pressure sizing unit
Bleed
Vacuum tank
valve

Extruder

Auxiliary
Cooling Tank

Caterpillar

Wmdup
unit

To drain

Figure 3.45 Calibration systems for pipe/tube extrusion lines. Top left schematic shows a vacuum tank calibration of rigid pipe with
cascading, temperature-controlled water baths: (a) pipe die, (b) vacuum with disks, (c) heated-zone water baths, and (d) caterpillar
takeoff puller. Top right schematic shows pressure calibration of rigid pipe using plug insert with water-spray cooling: (a) pipe die,
(b) pressure calibration, (c) water-spray cooling, (d) caterpillar conveyor-belt takeoff puller, and (e) plug insert to retain internal
pressure, helping to control inside pipe diameter. The bottom schematic is an example of differential pressure sizing for flexible
tubing.

POSTFORMING
Inline postforming, or postextrusion processing, refers to the special
processing that may be done to the extrudate, usually just after it emerges
from the die but before the material has a chance to cool. It provides
performance and cost advantages, principally for long production runs.
The process is used with different products such as sheet, film, rod,
profile, and tubes. Upon leaving the die, and retaining heat, the plastic is
continuously postformed (Figs 3.46 to 3.50). As an example, Fig. 3.48 is a
system that can be used with different profiles, such as small or large
extruded tubes producing corrugated tube/pipe. Moving molds would
use corrugated tubular cavities with vacuum, pressure, or water cooling
lines.
With this type of inline system, the hot plastic is reduced only to the
desired heat of forming. All it may require is a fixed distance from the die
opening. Cooling can be accelerated with blown air, a water spray, a water
bath, or combinations thereof. This equipment, like others, requires precision tooling with perfect registration.
When the material is worked in such a state it is known as inline
processing, as opposed to cutting, forming, or other processing, which
might be done on the cold extrusion. Inline processing is usually done
close to the extruder and is done automatically, with little or no extra labor

EMBOSSED
EXTRUSION

BACKUP ROLL

EMBOSSING ROLL

EXTRUDER DIE

EMBOSSING ROLL

EMBOSSED
EXTRUSION

BACKUP SURFACE

EXTRUDER DIE

POSITIVE ROLL
EXTRUDER DIE

DEEPLY EMBOSSED
EXTRUSION

EMBOSSING ROLL

DEEPLY EMBOSSED
EXTRUSION
RUBBER BACKUP ROLL

EXTRUDER DIE

NEGATIVE ROLL

Figure 3.46 Inline postforming with extruder: embossing one or both sides with
shallow or deep patterns.

EXTRUDATE
EXTRUDER DIE
VACUUM PORTS
VACUUM PLENUM
VACUUM
DRUM

DRUM SECTION

Figure 3.47 Inline vacuum-forming embossing roll with water-cooled temperature control.

FORMED EXTRUSION

PRESSURE-FORMING DIES
EXTRUDER DIE
UPPER CONVEYOR

VACUUM

VACUUM-FORMING DIES
Figure 3.48 Inline vacuum /pressure former for plastic sheet with matched, watercooled, forming molds on a continuous conveyor system.

SPIRAL
COUNTER ROLL

FEED ROLLS

CUTTER
EXTRUDER DIE
COILED
EXTRUSION
ROTATING
MANDREL
Figure 3.49 An inline coil former can produce telephone cords, springs, etc., using
extruded round, square, hexagonal, and other shapes.

ROTATING RING
TWISTED
EXTRUSION

Figure 3.50 Inline fixed/rotating rings used to twist extrudate.

on the part of the machine operator. The extra processing, which may
involve shaping, cutting, reforming, or a surface modification of the
extrudate, can considerably increase the value of the extrusion without
materially increasing its cost, but it may also be done to enable the use of
a lower-cost die, perhaps for flattening a tubular extrusion into an oval so
that a much lower-cost circular die can be used (Chapter 10).
PROFILE
Profile extrusion is similar to pipe extrusion. A die plate, in which an
orifice has been cut, is bolted to the face of the normal die assembly so that
it is then possible to change from one profile to another without the
necessity of a major die change. To maintain a smooth flow, the die-plate
orifice is blended to match the bore of the die body.
There is a surface drag on the molten plastic as it passes through the die
and this has the effect of lessening the flow through the thinner sections of
the orifice. To counteract this tendency, it is necessary to alter the shape of
the orifice, and there is often a wide difference in the orifice shape and the
desired extrusion profile. Some examples of sections and the die orifices
necessary to produce them are shown in Figs 3.15, 3.16, 3.18, 3.21, 3.22,
and 3.27. Table 3.11 includes examples of dimensional tolerances.
For complex profiles it is impossible to design a die plate from
first principles. It is usual to produce a first approximation in an unfinished form then to arrive at the correct orifice by trial and error on the
extruder.
As with pipe, the profile market is largely dominated by PVC and is
highly competitive. Automation at the processor level has reached a very
advanced stage. The operator's capability is needed to ensure maximum
product efficiency by controlling die swell, rate of pull, and so on. High
performance lines operate at over ZmmiiT1.
As changes have been made in PVC compounding to optimize processing, there has been a considerable change in the type of impact modifier
used. The use of acrylic, with butyl aery late, has almost replaced

Table 3.11 Some dimensional tolerances for plastic profile extrusions

Dimension
Wall thickness
Angles
Profile
dimensions.
mm (in.)
0-3 (0-V8)
3-13 (V8-V2)
13-25 (V2-D
25-38 (1-1V2)
38-50 (lV2-2)
50-75 (2-3)
75-100 (3-4)
100-125 (4-5)
125-180 (5-7)
180-250 (7-10)

Rigid vinyl (PVC)

Polystyrene

ABS

Polypropylene

Flexible vinyl
(PVC)

Polyethylene

8%
2

8%
2

8%
3

8%
3

10%
5

10%
5

0.18 mm (0.007 in.)

0.25 mm (0.010 in.)
0.38mm (O.OlSin.)
0.50mm (0.020 in.)
0.63 mm (0.025 in.)
0.75 mm (0.030 in.)
l.lmm (0.045 in.)
1.5mm (0.060 in.)
1.9 mm (0.075 in.)
2.4mm (0.093 in.)

0.18mm (0.007 in.)

0.30mm (0.012 in.)
0.43 mm (0.01 7 in.)
0.63 mm (0.025 in.)
0.75mm (0.030 in.)
0.90 mm (0.035 in.)
1.3mm (0.050 in.)
1.7mm (0.065 in.)
2.4mm (0.093 in.)
3.0mm (0.125 in.)

0.25mm (O.OlOin.)
0.50mm (0.020 in.)
0.63 mm (0.025 in.)
0.68mm (0.027 in.)
0.90 mm (0.035 in.)
0.94 mm (0.037 in.)
1.3mm (0.050 in.)
1.7mm (0.065 in.)
2.4mm (0.093 in.)
3.0mm (0.125 in.)

0.25mm (0.01 0 in.)

0.38mm (O.OlSin.)
0.50mm (0.020 in.)
0.68mm (0.027 in.)
0.90 mm (0.035 in.)
0.94mm (0.037 in.)
1.3mm (0.050 in.)
1.7mm (0.065 in.)
2.4mm (0.093 in.)
3.0mm (0.125 in.)

0.25 mm (0.01 0 in.)

0.38mm (0.015 in.)
0.50mm (0.020 in.)
0.75mm (0.030 in.)
0.90mm (0.035 in.)
1.0mm (0.040 in.)
1.7mm (0.065 in.)
2.4mm (0.093 in.)
3.0mm (0.125 in.)
3.8mm (O.lSOin.)

0.30mm (0.012 in.)

0.63mm (0.025 in.)
0.75mm (0.030 in.)
0.90mm (0.035 in.)
1.0mm (0.040 in.)
1.1 mm (0.045 in.)
1.7mm (0.065 in.)
2.4mm (0.093 in.)
3.0mm (0.125 in.)
3.8mm (0.150 in.)

modification with EVA. When modification is carried out with acrylate,

the elastomer phase is embedded in the form of beads in a continuous
PVC matrix. During processing it is retained to the decomposition range.
This wide processing latitude has at least made it easier to achieve the
present high outputs in profile extrusion. It has also provided low shrinkage, high heat distortion, and good weather resistance.

REACTIVE
Reactive extrusion is one of the rare occasions when an extruder is used as
a chemical reactor instead of merely as a melt processor. Reactive extrusion, also called reactive processing or reactive compounding, refers to the
performance of chemical reactions during extrusion processing of polymers (Chapter 1).
An extruder may be considered as a horizontal reactor with one or two
internal screws for conveying reactant polymer or monomer in the form of
a solid or slurry, melt, or liquid. The most common reactants are polymer
or prepolymer melts and gaseous, liquid, or molten low molecular weight
compounds. A particular advantage of the extruder as a chemical reactor
is the absence of solvent as the reaction medium. No solvent-stripping or
recovery process is required, and product contamination by solvent or
solvent impurities is avoided.
The chemical reaction may take place in the melt phase or, less commonly, in the liquid phase, as when bulk polymerization of monomers
is performed in an extruder, or in the solid phase when the polymer is
conveyed through the extruder in a solvent slurry. The types of reactions
developed include bulk polymerization, graft reaction, interchain
coploymer formation, coupling or branching reaction, controlled molecular weight degradation and functionalization or functional group modification (Chapter 1) [9, 63-65, 68-7O]. The extrusion device as a reactor
combines several chemical process operations into a single piece of equipment with accompanying high spacetime yields of product. An extruder
reactor is ideally suited for continuous production of material after equilibrium is established in the extruder barrel for the desired chemical
processes.
Because of their versatility, most extruder reactors are twin-screw extruders that possess a segmented barrel, each segment of which can be
individually cooled or heated externally. In addition to external heating, a
molten material may be shear heated by the resistance of viscous material
to the conveying motion of the screw; these processes provide energy for
chemical reaction. Extruder screws often have specialized sections or
configurations, e.g., high-shear mixing sections. Twin-screw extruder
screws may be equipped with interchangeable screw elements that

provide different degrees of mixing and surface area exposure by varying

the depth between screw flights, the individual flight thicknesses, and
direction and degree of flight pitch.
In a typical reactive extrusion process, the reactants are fed into the
extruder feed throat where the material is usually heated to initiate reaction or increase the reaction rate. The reactant mixture is conveyed
through sequential barrel segments where degree of mixing and specific
energy input bring the reaction to the desired degree of completion within
the limits of residence time in the extruder. At this stage the reaction may
be quenched by cooling or addition of a catalyst quencher where applicable, and volatile by-products or excess reactants may be removed. Melt is
forced from the extruder through a die with one or more openings. The
design of the die openings is one factor determining the pressure against
which the extruder has to pump by the conveving motion of the internal
screw as is the case with conventional extrusion processing. Melt from the
die is usual rapidly cooled by contact with a fluid medium such as water.
SHEET
Sheet is usually defined as being thicker than film, or thicker than 1-4 mm
(0.04-0.15 in.). However, certain products of the industry consider
0.254mm (0.010 in.) the separation thickness.
Sheet thickness can be at least 2mm (0.5 in.), and widths can be up to
30m (10ft). Hot melt from a slit die is directed to a combination of an air
knife with two cooling rolls, or a more popular choice, to a stand of three
cooling rolls (Fig. 3.51), which cools, calibrates, and produces a smooth
sheet. To aid the chill rolls, end sections of the die are operated at a higher
heat than the center (Fig. 3.14, page 241). Cooling rolls require this type of
heat control from their ends to the center.

Hopper Dryer
Cooling Rolls

Motor
& Drive

Rubber Pu|| Ro||s

Die

Screw

Extruder
Barrel

Figure 3.51 Sheet line using a stand of three cooling rolls.

Shear

Table 3.12 Important review of sheet problems

Defect
Continuous lines in direction of
extrusion
Continuous lines across the
sheet
Curved lines across a coloured
sheet
Discoloration
Bad gloss
Dull strip

Probable cause
Die contamination or scored rollers or
moisture in the polymer
Jerky operation; maybe too low a
temperature
Colour not mixed well enough
Too high a mass temperature or too high a
percentage of reground material added
Roll temperature too low or defective rolls
Die set too narrow at this point

The operation (as well as design) of a slit die, particularly for wide
sheets, requires extensive experience. Its rather high melt pressure can
deform the die.
The heated rollers are highly polished to give a good surface to the
semimolten sheet. This final polishing process cannot be used to cover up
defects in the sheet caused by faulty extrusion, and great attention must be
paid to eliminating surface defects before the sheet leaves the die. A brief
note on sheet faults and their probable causes is given in Table 3.12.
TUBING
Tubings are defined as long, hollow, flexible cylinders used to transport
fluids or solids. Pipe is rigid and larger in size. Tubing is flexible
with outside diameters up to 150mm. A flexible material can be stressed
or bent without breaking. The extent of flexibility is important in selecting a tubing material. Associated with flexibility is kinking. Kinks are
caused by reducing the bend radius to a point where the tubing wall
collapses.
Tube processing is similar to pipe processing where the relatively bigtank pipe technoogy is transformed into tubing such as very small medical tubing. The tubing extrusion process requires high precision and tight
process control to meet very tight dimensions and performances. Die
configurations are shown in Fig. 3.12 (pages 238-9). Vacuum-type calibrating/sizing units can be used with very strict control on extruder
output rate and downstream pullers.
Plastic tubings were introduced in the late 1930s as replacements for
rubber tubing and hose. Today cured elastomer tubings of natural or
synthetic rubber, silicone rubber, and fluoroelastomer materials are used,

but the growth of the tubing market has principally been in thermoplastic
materials that can be extruded into long lengths without the need for
postcuring. Because virtually all thermoplastics can be extruded, the
choice depends on the application. Unlike pipe, used mostly for plumbing, tubing is used in many different applications.
Requirements of the end-use application should be used to specify
tubing properties. Properties to consider include flexibility (bend radius),
hardness, chemical resistance, environmental stress-crack resistance, permeability and chemical absorption, burst pressure and working pressure,
recommended use temperatures, flammability, electrical conductivity,
peristaltic pumpability, surface wettability, abrasion resistance, dielectric
strength, fatigue resistance, and appearance.

WIRE AND CABLE

The demand for covered wire and cable in the various communication
industries is very large and steadily increasing, so this extrusion process is
a very important one. The types of crosshead die used are shown in Figs
3.23 and 3.52.
Coating is performed by extruding plastic. This may be accomplished
by feeding the wire directly through a hole in the center of the feed screw,
but by far the more popular method is to use a crosshead die (similar to
Fig. 3.12, part 2) through which the wire is fed. Hot melt is extruded over
a preheated wire to improve adhesion and reduce shrinkage stresses.
Before the wire enters the die, preheating is done by an electric current,
radiant heaters, and so on; thick wires or cables can be heated by a gas
flame or hot gas. Wire may travel at rates of ISOOmmin'1 ^OOOftmin"1).
Regardless of the speed, the rate of movement has to be held extremely
uniform (or perfect). In order to achieve uniformity, all peripheral (expensive) equipment is carefully controlled and monitored, from the input
drum to the output drum.
There are two basic types of die, called high- and low-pressure coaters.
With high pressure, the melt meets and coats the wire between the die lips
prior to exiting the die. The result is good contact of plastic to wire, tight
control of the plastic OD, and the ability to handle plastics that require
tight melt control, particularly with operation at 'peak7 heats and pressures. In the low-pressure type, the melt makes contact with the wire after
they both exit the die. Plastic hugs the wire, with formation of a loose
jacket which facilitates removal of plastic insulation. If spiders are used to
support the central mandrel, they are usually thin and streamlined to
minimize disruption of the velocity. Adjustment of the wall thickness
distribution and concentricity via die-centering bolts can be manual or
automatic (Fig. 3.12, part 2). Automatic control can be achieved with inline

PAY-OFF
(INPUT)DRUM

INPUT
CAPSTAN

WIRE
EXTRUDER
COATING
HOPPER
DIE
COOLING
PREHEATER
TROUGH

SPARK
TESTER

OUTPUT
CAPSTAN
DIAMETER
GAUGE ECCENTRICITY
GAUGE

Figure 3.52 General layout of a wire-coating extrusion line using a crosshead die.

TENSION
CONTROLLER

WINOUP
(OUTPUT)
DRUM

wall-thickness measurement probes, and so forth. With high-pressure

dies, a vacuum can be used in the die just before the wire goes through its
snug central support, to obtain an air-free and better bond. With a lowpressure die, low air pressure is applied through the center of the mandrel
tube to prevent collapse of the melt tubing on exiting (eliminating melt
adherence on the front of the die, which requires downtime and cleanup)
and to aid in maintaining the plastic ID.
Cooling of the thermoplastic coated wire usually occurs as soon as it
leaves the die through water-cooling troughs, which may have cascading
heated sections. The troughs are usually 20-1OO ft (6-3Im) long. With
thermoplastics or elastomers and natural rubber, the required higher heat
of melt solidification is added via hot-gas systems, vulcanization cures,
and so forth.
PROCESS CONTROL
Controlling extrusion processes takes two types of systems, one on
the extruder and another on the finished extruded product. In turn,
these controls have to be interfaced. Extensive efforts are continually
being made to achieve the maximum in speed, precision, and output
(Chapter 1).
For products with specific requirements, typically the best approach
has always been to control the weight per unit area or the length of output
that is directly related to a constant melt throughput, by weight. As
reviewed in this chapter (and others), many machine controls and designs
are required, such as feed rate of loading and screw design. Thickness
gauges were once very popular for adjusting film takeoff speeds.
However, better control is achieved with weight control systems. Depending on the given weights per unit length or area and the speed of the
line, the melt throughput rates of the extruder and precalculated accurately enough to ensure, via a melt throughput control system, that the
weight can be kept constant within a tolerance range of at least 0.5%.
Whereas measurement of takeoff speed using a wheel pulse counter is
relatively easy, measurement of melt throughput involves considerable
expense.
From a practical standpoint, extrusion lines appear to be relatively
simple and compact, with a long operating life; their controls should
provide ease of startup and shutdown, and must be easy to service. But
the real world is not that simple; the various materials and types of
equipment in the lines are not stable, and they all work within rather tight
limits. Although all types of very tightly controllable equipment are available, the operator or processor (and others) must recognize that all equipment and all materials have limits, optimum operating conditions, and so
on. To benefit from setting up or operating a line, one has to determine

what is required, determine the limits of operating materials and equipment, and establish quality control and other requirements as summarized in Fig. 1.1 (page 2).
Acquiring all this knowledge takes time and experimentation.
One must be aware of potential problems or limitations. As new ones
develop, one should accommodate them logically in processes. This approach provides a means of determining which materials and equipment
to purchase or upgrade. One could thus set up an ideal line with so-called
interchangeable and controllable features. Given a specification that must
be met on a complete line, one must meet the target (or no payment is
made). Few processors desire tight specifications, but such responsibility
can be managed, one step at a time. The processor should determine as
well as is possible what is required to meet product performance (color,
dimensions, strength, etc.), and relate the requirements to material and
equipment currently in use. It would be unfortunate if one were to purchase the 'best' material and equipment available at a particular time,
only to find that it did not perform as needed and that another piece
of equipment was required. This situation happens all too often, as
people hastily, or without full knowledge of an operation, make foolish
mistakes.
A processor does not have control of all the steps from basic material to
finished product. Material-processing capability is limited by what is
received and by when inspection is made or required; so selection tests are
important and must be subject to change (Chapter 16). In turn, the process
line has many variables that must be coordinated. A practical procedure
today, with all closed-loop process control systems, is to subdivide the
controls into distinct subsystems (Fig. 3.53). They can then be controlled
within single control loops or by simple intermeshed circuits. A singleloop feedback circuit has one input and one output signal; disturbances
that affect the process are registered by the controller directly, by an
additive term in the value of the controlled parameter. A disturbance is
registered by its own sensor and interacts with the control signal with an
open-loop controller. When the effect of a disturbing factor on a process is
well understood, disturbance control provides a rapid reaction to unpredictable influences.
Additional process control signals can be achieved in a single close-loop
system by having it cascade the signal. Cascade control offers the advantages of faster reaction time, reduced susceptibility to disturbance, and
less effect from incorrect settings. As this chapter's review of all the
variables that can exist and are controllable would suggest, interrelating
them with multiperforming controllers is desirable. Computer-integrated
microprocessor control systems can sometimes be used; they offer some
benefits when properly installed with matching hardware, but cannot do
the complete job. A complete package that would properly include all

Sequence or Process Machine Controls

Electromechanical

Solid state

Sequence control

Repeat melt process

Time
Position
Logic
Etc.

Programmable

Process control

Open
loop

Closed
loop

Adoptive

Temperature
Pressure
Time
Screw RPM
Velocity
Etc.

Figure 3.53 Simplified overview of process controls for an extrusion machine.

parameters is desirable but at present not very realistic. Computerized

integrated controllers are available and used, each type for its unique
capability. Better complete multiparameter controllers still need to be
designed. One must appreciate that use of a controller, whether simple or
highly computerized, requires the operator to recognize which parameters need to be controlled and to what degree; the operator then has to
correlate these factors. For example, if the output rate has to be increased,
is a screw RPM increase satisfactory, or should there be a change in back
pressure, resin feed rate, and so on, or combinations of certain controls, to
provide a product that is acceptable (according to various criteria)? The
possibilities of measuring back pressure in the melt and the melt heat at
the screw tip are of particular value in processing. In this manner it is
possible to control the reproducibility of the two most important parameters in every processing method: pressure and heat.
From the processor's point of view, the extruder has the following
objectives: (1) high throughput proportional to screw speed and independent of back pressure; (2) uniform, pulsation-free delivery, with optimum melt heat (with respect to power consumption and quality of

extrudate); (3) uniform melt heat locally and also throughout the run;
(4) delivery of an orientation-free, relaxed melt; (5) homogeneous mixing of the resin with all its additives; and (6) a pore-free extrudate, free
of volatiles, at high output rates for both granular and powder
feeds.
With all the varieties of materials available, and their individual grades
with many different formulations, it has not yet been possible to design a
screw in advance, based on the melt or the rheological/flow physical
relationships involved in plastification and conveying. Trial and error,
with an observant processor using reliable and reproducible controls,
makes the screw perform to its maximum efficiency.
As reviewed up to now, controls on extruders can consist of anything
from a discrete instrument panel to a fully integrated system of microprocessors. Assuring the correct temperature of the extruder barrel is
crucial to performance. Consequently, this function is maintained with
extreme accuracy by the control system. The speed at which the screw
rotates is also important and can be controlled by using electronic circuits
in conjunction with speed tachometers.
An extruder's head pressure is often monitored to ensure a steady state
of operation. Some processors, however, prefer to control the head pressure by use of a feedback loop to the drive controller. This is quite common in the fibers and film industry, where a constant pressure at the inlet
to the gear pump is required to give precise throughput.
The melt temperature is another variable than must be continuously
monitored to optimize extruder performance. The temperature can be
ascertained by inserting a thermocouple at some point just downstream of
the screw. The thermocouple is designed to be positioned in various areas
of the machine, including the adapter flange, a connecting pipe, at a die
inlet, or in the body of a die.
A common problem in measuring melt temperature is verifying the
accuracy of the readings. Many times, a melt temperature probe is likely
to be affected by the metal temperature of the surrounding steel rather
than the actual polymer melt. For this reason, variable-depth thermocouples are often employed because they allow the tip of the thermocouple to
be moved inward through the melt. This placement gives a truer indication of melt temperature homogeneity, as well as a good average melt
temperature.
Although pressure and temperature monitoring capabilities are present
in all control units, the more sophisticated microprocessor systems include extra features such as alarms, interlocks, and screens. Printers
linked to these systems can copy all the data on demand or at set time
intervals; they can even print out each change that is made by the operator. Such a report is known as a tattle tale because it is almost impossible
to change the operating conditions without detection and reporting by the

control system. The result is a steadily monitored state of operation, hence

consistent quality.
Other computerized enhancements include software which can simulate machine performance. These programs, which are now offered by
most equipment manufacturers, have been upgraded over the years by
the use of data generated at test facilities. As a result, they can be highly
effective tools in predicting extruder behavior during operation.
Simulation programs can greatly simplify screw design for any application once the rheological and physical properties of the plastic being
processed are known.
Downstream controls
Downstream product controls can be interconnected with process controllers so that any variation in the product is immediately reflected as a
corrective change. A decision is derived from the feedback signal about
the kind and extent of adjustment that should be made to a control
variable; in other words, the system has to be matched to the process. A
few systems permit the properties of the extrudate to be controlled: (1)
pipe-thickness distribution is controlled by centering of the die either
mechanically or thermally, and wall thickness by the hauloff speed; (2) the
average thickness of blown and flat film is controlled by extruder speed
and hauloff speed, the thickness profile by the die-gap restricter-bar
height (thermal or piezoelectric), the film width by the diameter of the
calibrator, the transverse thickness tolerances by cooling air, and the
edge shift by side-gusseted triangles; (3) a profile's dimensional stability
(weight per unit volume) is controlled by hauloff speed, screw speed, and
recorded melt throughput or a product dimension; and (4) all product
throughput is controlled by screw speed, and the running length by
hauloff speed and screw (gravimetric metering).
Transverse direction (TD) gauge control of cast film and sheet has been
successfully used for many years worldwide, by automatic dies employing thermal bolts to locally adjust the die gap. TD control of blown film is
now being used in a system that takes a different approach; it cools
segments of the die lip, in turn cooling the melt in contact with it, reducing
the melt's drawdown capability and thus increasing the thickness. The TD
gauge profile can be stabilized to a tolerance of 1.7%. In addition to
minimizing resin consumption, the system also reduces film curvature,
which increases as TD tolerance increases.
To monitor this gravimetric control system in the machine direction, an
electrical sensor is used. The transverse profile of the bubble is read by a
capacitance gauge that makes a complete circuit of the bubble in 2-3 min.
The system's microprocessor takes the data and displays the profile on

a color monitor. An additional display indicates the centering status of

the die prior to startup, guiding the material adjustment. The system
is then activated. Valves arrayed around the die at a spacing of about
0.75 in. (19mm) direct cold, compressed air through cooling channels
onto segments of the die lip, with the microprocessor controlling
the operation. In running 53jim LDPE film, the thickness tolerance
is reduced from 3.3% to 2.0% after 15min. After another 22min the tolerance is reduced to 1.7%, which is maintained as long as the control is
on.
There are different pulling and cutting units for film, sheet, pipe, and so
forth. Tube pullers are driven by various methods. Electric drives are
available with tachometer feedback accuracy 0.5-1.0%. Digital drives can
hold to 0.01%.
Table 3.13 compares cutting equipment capabilities. Automatic slitter/
rewinders, for handling blown or cast films such as rigid PVC, PS, and
nonuniform-thickness laminates, operate at speeds of 300-500 rnmin"1,
producing reels up to 3000mm in diameter and slit reels up to 1000mm
in diameter. Film is drawn from an unwind to the slitting/re winding
stations through a translation bridge equipped with idler rollers which
facilitate web feed and prevent the deposition of dust due to static.
Re winding/slitting machines are available that can handle highly
tension-sensitive materials such as PP and PET, video film, magnetic
tape, and heavy-gauge laminates, with working widths of 2500-3000 mm
and finished-reel diameters of up to 600mm for PP and PET. They
operate at 600mmnT1 and produce slit widths of 100mm and above.
Rewind units are also available that operate on single- and twinspindle roll-slitting principles. Units incorporate high-accuracy scissor
slitting, crush cutting for nonbrittle materials, and razor-blade slitting
for materials such as cellophane, PE, PP, PVC, and thin aluminum
foils.
Machines for automatic winding of blown and cast film, which includes
winding and slitting, are available; they handle all types, widths, and
thicknesses, and different winding characteristics, produce different reel
diameters on various core sizes, and divide film webs into different lane
widths during production. Reel changes are automatic, and reel production can continue for one or two shifts without operator intervention,
because of the incorporation of a reel-bar storage system.
Lines produce reels in widths of 900, 1200, and 1600mm and permit
winding of all film types on various cores with reel diameters of up to
600mm. They also provide automatic shaft changes at a predetermined
film length and gap winding that is steplessly adjustable from 1 to 10mm.
Jumbo reels run up to 2000 mm in diameter and weigh up to 3 tons in other
systems.

Table 3.13 Examples of cutting equipment capabilities

Cuts (min 1)
maximum

Cutter

Line speed
(m min"1)

Saws

150

30

0.015

90

50

0.015

4500

12000

0.004

High cut rates and

high accuracy

0.00

Inline finishing and

high accuracy

Guillotine
Flywheel

Die-set stationary
traveling

90

Accuracy
(mm)

Advantages

Disadvantages

Easy setup and

large capacity
Large capacity and
angle cuts

Requires cleanup via air systems, etc. and

uses clamping /travel table units
Slow blade speed; rigids need profiled
bushing and /or blade; high air
consumption and few cuts per minute
Not good under 300 cuts per minute;
must adjust blade RPM for speed
changes; profile bushings may be
needed for rigids; limited to smallangle cuts
Price, slow line speed, long setup time,
and long runs only

7,250 LAYERS

"FILM GUAGE 0.00098

AT EDGE
TAPERED ROLL

56.55"
CIRCUMFERENCE
Without tension this
edge will have a slight
ripple in converting
equipment. As edge to
edge guage difference
increases, ripple will
become more pronounced.

0.00002' EDGE TO EDGE

GUAGE DIFFERENCE

55.64"
CIRCUMFERENCE

Camber in flat film makes it

difficult to print and machine.

CONVEX ROLL

SURPLUS FILM AT CENTER

MAKES FILM BAGGY.

CONCAVE ROLL

SURPLUS FILM IN EDGES

CAUSES RIPPLE.

Figure 3.54 Influences on film performance during windup: (a) effect of tension;
(b) effect of uneven thickness.

Developments in web tension control systems are providing increased capability and function to eliminate problems (Fig. 3.54). They
included ultrasonic roll-diameter sensors, pneumatic pressure gauge
tension monitors, capston-Mt. Hope tension systems, and so on. As an
example, replacement of a web-tensioning system's conventional electromechanical drive with an ordinary AC motor enables processors to lower
system cost and improve web consistency, as has been done for many
years. A vector control system uses a belt and pulley arrangement to
remotely couple an encoder to the shaft of the AC induction motor. This
approach provides closed-loop feedback, without requiring that one
modify the relatively inexpensive motor by installing a special feedback
device.

FILM
OPTICAL
PROPERTIES

HAZE
VALUE

DIE TEMPERATURE

DIE LAND LENGTH

HIGH
RLM
IMPACT
STRENGTH

BLOW UP
RATIO

FILM
IMPACT
STRENGTH

FREEZE LINE HEIGHT

BLOW UP RATIO

HIGH
BLOW
UP RATIO
FILM
IMPACT
STRENGTH

LOW BLOW
UP RATfO

TENSILE
STRENGTH

TRANSVERSE
DIRECTION
MACHINE
DIRECTION

COOLING RATE

BLOW UP RATIO
LOW BLOW UP

FILM
TEAR
STRENGTH

TRANSVF.RSE,
Tns
DIRECTION UL>;
- x;
DlMACHINE
RECTION Cx MD
BLOW UP RATIO

FILM
TEAR
STRENGTH

HIGH BLOW UP
FREEZE LINE HEIGHT

Figure 3.55 How blown-film extrusion machine settings can affect the properties
of plastics.

EXTRUDER OPERATION
This section summarizes what has been reviewed in this chapter. Machine
operation takes place in three stages. The first stage covers the running
of a machine and its peripheral equipment. The next involves setting
processing conditions to a prescribed number of parameters for a specific
material, with a specific die in a specific processing line; to meet product
performance requirements. Figure 3.55 relates to blown-film settings. The
final stage is devoted to problem solving and fine tuning of the operation,
which will lead to meeting product performance requirements at the
lowest cost of operation. A successful operation requires close attention to
many details, such as the quality and flow of feed material, a heat profile
adequate to melt but not degrade the material, and a startup and shutdown that will not degrade the plastic. Processors must become familiar
with a troubleshooting guide.
Care should be taken to prevent conditions that promote surface condensation of moisture on the resin and moisture absorption by the pigments in color concentrates. Processors must avoid contamination from
other plastics, dust, paper clips, and so on, and take special care in cleaning feedhoppers, hopper dryers, blenders, scrap granulators, and other
material-handling equipment. Resin silos, containers and hoppers should
be kept covered to prevent contamination. Also, certain established procedures for startup should be followed to prevent contamination, overheating, and excessive pressures.
It is important to provide safe operating conditions for personnel and
equipment. One must realize that high production rates cannot be
achieved until all parts of the extrusion system reach the optimum operating conditions. This condition is best achieved by gradually increasing