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A simple model of throughput calculation for single screw

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

A simple model of throughput and pressure

development for single screw

Y. Béreaux a,∗ , J.-Y. Charmeau b , M. Moguedet c

a Site de Plasturgie/LAMCOS UMR 5514, INSA-Lyon, F-69621, France
b Site de Plasturgie/IMP-LMM UMR 5625, INSA-Lyon, F-69621, France
c Pôle Européen de Plasturgie, 6 rue Pierre et Marie Curie, 01108 Oyonnax, France

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

Article history: To be able to predict the throughput of a single-screw extruder or the metering time of
Received 28 February 2007 an injection moulding machine for a given screw geometry, set of processing conditions
Received in revised form and polymeric material is important both for practical and designing purposes. The model
4 February 2008 is based on viewing the entire screw simply as a pump, conveying a solid and a molten
Accepted 20 February 2008 fraction. The evolution of the solid fraction is the essence of the plastication process, but
under a particular hypothesis on solid bed acceleration, its influence on the throughput is
nil. This allows getting a good estimate on the throughput and pressure development along
PACS: the screw. Calculations are compared to a large set of experiments available from the liter-
83.50.Ha ature. Consistent agreement with these published results is obtained, both for throughput
83.50.Uv and pressure along the screw. The effect of the plasticating process on the throughput is
83.60.Fg Keywords: non-existent if the plastication length is short, and more visible if the plastication length
Single screw takes a good part of the screw length (for instance, at higher screw rotation frequency). This
Extrusion diminishes the throughput value and widens the pressure peak. The model also shows that
Injection moulding the screw geometry is the most important parameter, followed by polymer rheology and
processing conditions. Melting properties and length seem to intervene to a lesser extent.
Finally, the model is used for screw design, highlighting the influence of the compression
zone on throughput.
© 2008 Elsevier B.V. All rights reserved.

consumption needed by the machine. Therefore, it is impor-

1. Introduction
Plastic parts like tubing, water bottles, car bumpers, films and
plastic sheets are made by extrusion or injection moulding.
In both cases, the polymeric material has to be processed in
a barrel and screw system. The throughput of an extruder
is directly linked to production capacity, while the metering
time of an injection moulding machine should not exceed
the cooling time of the part in order not to impinge onto
the overall cycle time. Moreover, the pressure reached inside
the barrel is directly linked to the screw torque and energy
tant, both for practical and designing purposes, to be able to
predict the throughput and pressure development of a single-
screw extruder or the metering time of an injection moulding
machine for a given screw geometry, set of processing condi-
tions and polymeric material.
While some software dedicated to designing screw geome-
try and predicting plasticating length (see for example Potente
et al., 1999) are available, these approaches are both com-
plex and wide-ranging, and they need a number of accurate
thermo-physical parameters often missing in common com-
mercial polymers. One often wonders if there is a simpler

∗
Corresponding author.
E-mail address: yves.bereaux@insa-lyon.fr (Y. Béreaux).
0924-0136/$ – see front matter © 2008 Elsevier B.V. All rights reserved.
doi:10.1016/j.jmatprotec.2008.02.070
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612 j o u r n a l o f m a t e r i a l s p r o c e s s i n g t e c h n o l o g y 2 0 9 ( 2 0 0 9 ) 611–618
Fig. 1 – Standard three zones screw.
approach which could be relatively precise but also much more
hierarchical in the sense that it could give insight in which
are the critical factors in throughput calculations from screw
geometry, polymer rheology, polymer melting properties and
processing conditions.
A standard single screw (Fig. 1) is usually divided into three
zones according to their depth: feed, compression, metering.
In an extruder, the screw is rotating at a constant rate. An
injection moulding machine screw operates differently from
an extruder screw, in that the screw has to slide backward
while rotating during the melt preparation, then pushes for-
ward the melt through the nozzle and remains idle in between
these two steps.
The processing of polymeric material along a single screw
is usually divided in four steps:
(1) First in the feed zone of the screw, there is conveying of
a solid bed made of compacted pellets. Pressure increases
steeply along the screw but cannot reach very high values
in smooth barrel extruder without actually provoking the
melting of the superficial layer in contact with the barrel
hence releasing any extra-pressure.
(2) The next step is called the delay zone whereby the molten
film of polymer increases in thickness and possibly per-
meates the solid bed itself. This takes place at the end of
the feed zone of the screw.
(3) Proper melting should occur in the compression zone,
when the melt film has increased up to a point where it
pierces the solid bed to create a melt pool. This melt pool
coexists side by side with the solid bed of ever decreasing
width.
(4) Toward the end of the compression zone and in the meter-
ing zone the solid bed is completely melted and there is
Fig. 2 – Flow between plates of infinite width, with one plate in motion. Velocity profiles according to the sign of the
pressure gradient.
melt conveying solely. Throughput in the conveying zone
is the combination of two factors: one is screw rotation
which provides a drag flow, the other is the pressure gra-
dient in the screw channel. When the pressure gradient is
positive it hinders the drag flow, while it promotes the flow
when negative (Fig. 2). Throughput is constant along the
channel, while pressure development (Fig. 1) starts from
atmospheric pressure and ends at back pressure imposed
on the screw in the case of injection moulding, or at atmo-
spheric pressure at the die exit in the case of extrusion.
In extrusion, the level of back pressure is the result of
the combination of die and screw, so it cannot be set at
will, while in injection moulding it is a freely adjustable
processing parameter.
The model presented in this work hinges on the idea of
viewing the entire screw as a melt pump. Using this simple
model, overall operating conditions of the screw such as the
throughput and peak pressure can be quantified. From the
results, it can be shown that the screw geometry is the most
important parameter, followed by polymer rheology and pro-
cessing conditions. Melting properties seem to intervene to a
lesser extent.
2. Model development
2.1. Flow between plates
2.1.1. Constant channel depth
The very basis for modelling a melt pump is given in a one-
dimensional relationship between flow rate and local pressure
gradient for a power-law fluid flowing between two infinite
plates (Tadmor and Gogos, 1979; Rauwendaal, 2001; Bird et al.,
1987).
The rheological behaviour of a molten polymer in shear at
a given temperature can be at first described by the power law
of viscosity:
 = K(T)˙ n−1 (1)
where  is the viscosity, K the consistency factor, itself a func-
tion of temperature T; ˙ is the shear rate and n the power-law
index. This rheological model is the simplest way to take into
account the shear thinning properties of thermoplastics mate-
rials.
A shear flow takes place between two plates of infinite
width, set apart by a depth H with one of the plate in motion at
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constant velocity V0 . Depending on the sign of the local pres- f () = (1 − )|1 − |1+s + ||1+s − (2 + s)||1+s (9)
sure gradient dP/dZ, different velocity profiles are available
Fig. 2. The flow rate Q that crosses a section of width W or, alter- 1+s
0 = ||1+s − |1 − |1+s + (10)
natively, the pressure gradient dP/dz found corresponding to |6G|s sgn(G)
a determined flow rate, are given by the following equations:
The solutions (q, G, ) of this non-linear system are obtained
1 numerically, and can be organised around particular solu-
s=
n tions drawn in Table 1. Obtaining these numerical solutions
V0 WH (2)
Q= |6G|s sgn(G)f () will require an iterative procedure with a well-defined start-
(1 + s)(1 + 2s) ing point. Depending on the sign of the pressure gradient, the
parameter  can reach very different values. A two-steps pro-
Hn+1 dP cedure has been designed to find a starting point as close as
G= (3)
6KV0n dZ possible to the solution.

f () = (1 − )|1 − |1+s + ||1+s − (2 + s)||1+s (1) A starting flow rate value q0 is compared to the values
1+s (4)
of flow rates in Table 1 in order to linearly interpolates it
0= ||1+s − |1 − |1+s +
|6G|s sgn(G) between two bracketing values.
(2) The coefficient of interpolation found in (1) is then applied
where G is a dimensionless pressure gradient,  is the dimen-
to estimate the pressure gradient G0 .
sionless depth at which the shear rate vanishes.
(3) Moreover, an initial guess for parameter 0 is found as the
root of Eq. (10) using the preset value of G0 . This finally
2.1.2. Dimensionless equations
gives a couple of initial values (G0 , 0 ) which can be fed
A dimensionless description of the screw is obtained using the
into the full system of equations where q is also unknown.
feed zone characteristics as reference. The reference length is
taken as the feed depth Hfeed :
2.1.4. Approximation for closed discharge
H Z W Among these particular solutions in Table 1, the case of
h= , z= , w= (5) (0, Gmax , max ) deserves special attention. It corresponds to the
Href Hfeed Wfeed
situation of closed discharge whereby the pressure gradient
with H being the depth of the screw channel, W its width and is at its maximum, entirely counteracting the drag flow. The
Z a coordinate taken along the length of the unwound screw resulting throughput is zero. In this particular case, the numer-
channel. ical solution for a power-law fluid can easily be approximated
The reference flow rate, consistency factor and pressure using a first-order expansion around the Newtonian solution
drop are taken as: (0, 1, 13 ):

Wfeed Hfeed V0
 V n =
1
+ ,   1
0
Qref = , Kref =K(Tfeed ), Pref =Kref  13 
2 Hfeed
(6) f + =0
Q P 3
q= , dp=
Qref Pref
The value of  solution of this equation and the corresponding
where Tfeed is the barrel temperature setting along the feed maximum pressure gradient Gmax  are:
zone of the screw.
The dimensionless pressure gradient G now becomes : 22+s − 5 − 3s
= (11)
3(2 + s)(21+s + 2 + 3s)
Kref 1+n dp  n
G= h (7)
K dz 1 1+s
Gmax  = 1+s 1+s
(12)
6 ((2/3) + ) − ((1/3) + )
These dimensionless pressure and flow rate are very impor-
tant to recast in an uniform way different results obtained
2.1.5. Results for constant depth channel
for different screws or for the same screw but at different
A chart (Fig. 3) of dimensionless flow rate versus pressure gra-
processing conditions. In injection-moulding for instance, the
dient is obtained using the equations above (8)–(10). Curves
level of back pressure imposed is meaningful only when it is
of low shear thinning indices n depart markedly from the
related to the level of shear stress reached in the screw, the
later being function of the screw geometry, screw speed and
polymer rheology.
Table 1 – Particular operating points (dimensionless)
2.1.3. Non-linear system q G 
Now the non-linear system of dimensionless equations is
0 0 Gmax 0<<1
given by: 2 (1+s)n
1 2+s hw 6 0
2 hw 0 ±∞
|6G|s f ()sgn(G) (1+s)n
q = 2hw (8) 3 2hw 1+s − 1
(1 + s)(1 + 2s) 2+s 6
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A Gauss quadrature formula is a very fitting mean to cal-

culate this pressure difference:
   dP
dP dP
Pzone = dz = dH = wgi
dz dH dH i
i
1
Hi = (xgi (Hfeed − Hmeter ) + Hfeed + Hmeter )
2

where wgi is the Gauss weight and dP/dHi is the pressure gra-
dient computed at the depth Hi corresponding to the Gauss
point xgi .
It is sometimes claimed (Potente, 2001, p. 237) that a com-
pression zone can be approximated by a succession of short
constant depth channels with each channel of a different
depth, but this boils down to using a plain trapezoidal rule for
integrating the pressure difference and this is nowhere near
the speed and accuracy of the Gauss quadrature.
Finally, the pressure variations over the different zones of
the screw (feed, compression and metering) are added and
equated to the back-pressure hence closing with Eqs. (8)–(10)
the set of equations needed to describe the operational char-
acteristics of the screw:
Fig. 3 – Flow rate versus pressure gradient (dimensionless).
Back Pressure = Pfeed + Pcomp + Pmeter (16)

From the pressure gradient, the pressure can be computed

at any point along the screw as defined in Eqs. (13)–(15) and
Newtonian linear solution (n = 1). The first order analytical
compared to measurements.
approximation for closed discharge pressure gradient Gmax 
is very close to the numerical value.
2.2. Combined solid/melt conveying

2.1.6. Pressure development along the three zone screw During most of the process of plastication, a conveying of the
To fully predict the operational characteristics of a screw, the material in a solid fraction side by side with a molten fraction
pressure development along the three zones of the screw is taking place. This two-phase conveying can be also drawn
is needed, together with the flow rate. When the channel to the one-phase flow model of a melt pump by considering
is of constant depth, as in the feed and metering zones, the following discussion.
the pressure difference along the length L of the channel is The pressure gradient existing at the channel section is
simply: solely due to melt flow. The mass flow rate or throughput, at
any given cross-section can be simply stated as the sum of the
dP solid bed flow rate and of the melt pool flow rate:
P = L (13)
dZ
ṁ = m Qmelt + s Vsz HXs (17)
with dP/dZ related to the dimensionless pressure gradient G
by Eq. (7).
where Xs is the solid width, Qmelt the flow rate of the melt pool
Along the compression zone, the depth is varying slowly
and Vsz the solid bed velocity at the cross-section, m the melt
along the channel length, thus the pressure gradient is also
density and s the solid density.
varying slowly along the length and a lubrication approxima-
Due to their thinness, the direct contribution of the melt
tion can be used for the local pressure gradient dP/dZ. At any
films to the flow rate can be neglected and are not included in
given depth H the following relationship is used:
Eq. (17).
Before the onset of melting, the channel is entirely filled
dP dP Hfeed − Hmeter with solid polymer hence the throughput is also given by:
=− (14)
dZ dH Lcomp
ṁ = s Vsz0 Hfeed Wfeed (18)
in the previous equations. Now, the pressure gradient should
be integrated along the channel length to obtain the pressure where Vsz0 is the solid bed velocity in the feed section of the
difference: screw. The solid bed velocity in any other section can be related
 to the previous one by:
dP
Pzone = dz (15)
zone
dz Vsz = ˛Vsz0 (19)
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where ˛ is a solid bed acceleration parameter. When ˛ = 1 screw could be computed with little or no reference to the
there is no solid bed acceleration. Now, melting profile, model predictions should be compared to
previously, independently, published results on pressure and
˛ṁ throughput measurements. It is also important to investigate
Vsz = (20)
s Hfeed Wfeed how much the melting profile is influencing the throughput
and pressure development when no solid bed acceleration is
and by inserting this expression into Eq. (17):
chosen.
HXs
ṁ = m Qmelt + ˛ṁ (21) 3.1. Single screw extrusion
Hfeed Wfeed

ṁ Qmelt A complete set of data comprising screw geometry, pres-

= (22)
m 1 − (HXs /Hfeed Wfeed )˛ sure and throughput measurements, polymer rheology and
processing conditions is needed and fortunately available in
It can be specified that the melt pool flow rate Qmelt is directly publications by Bruker and Balch (1989), and Han et al. (1990,
proportional to the melt pool width W − Xs : 1996). All these pieces of information are needed to run the
calculations and assess the relevance of the model against
ṁ
= rplast Q (23) experimental data.
m
In Fig. 4, calculations of pressure development along the
(W − Xs /W) screw are compared to experimental data taken from (Bruker
rplast = (24) and Balch, 1989). It is apparent that both calculated peak
1 − (HXs ˛/Hfeed Wfeed )
pressure and throughput are consistent with experimental
where Q is the flow rate of the channel as if it were entirely values.
filled with melt. Thus, the solid bed reduction appears here Moreover in Fig. 5, it is clear to see that calculations with
as a correction factor of the screw melt pump. Further, if the plastication included do not change much of the pressure
solid bed acceleration parameter is to be taken as being the profile at low screw speed, but widens the pressure profile
screw compression ratio: together with lowering the throughput markedly at higher
speed. Actually, in this case, both the pressure profile and the
Hfeed Wfeed throughput are bracketed between calculations with and with-
˛= (25)
HW out plastication included. This could lead to the conclusion of
a value of the solid bed acceleration parameter ˛ bracketed
then rplast = 1. This particular choice of solid bed accelera-
between one and the value given by Eq. (25).
tion parameter, which is backed by experimental evidences
From the map of throughput versus back pressure at dif-
(Fukase et al., 1982; Bruker and Balch, 1989), leads to the claim
ferent screw frequencies (Fig. 6 it is clear that, when using
that the throughput and pressure development can be com-
a proper reference to make dimensionless the flow rate and
puted without reference to a melting profile.
the pressure such as Eq. (6), the actual throughput of the
screw does not vary much over a large range of back pres-
3. Results sure applied. Overall the throughput is more dependent on
the screw geometry than on anything else. The discrep-
To check the validity of the model and particularly the claim ancy between computed value and measured ones is more
that the throughput and pressure development along the apparent for higher screw frequency than lower screw fre-

Fig. 4 – Pressure along 63.5 mm diameter screw for PC at 15 and 25 rpm. Model predictions plotted against experimental
data from (Bruker and Balch, 1989). Computed and measured throughput (Md in kg/h) are also compared.
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616 j o u r n a l o f m a t e r i a l s p r o c e s s i n g t e c h n o l o g y 2 0 9 ( 2 0 0 9 ) 611–618

Fig. 5 – Pressure along 63.5 mm diameter screw for LDPE at 40 and 100 rpm. Model predictions (with and without
plastication included) plotted against experimental data from (Han et al., 1990). Computed versus measured throughput (Md
in kg/h) are also compared.

quency. Moreover at a given screw frequency, the discrepancy

is greater for low back pressure than for higher back pres-
sure. It is well known that high screw frequency and low
back pressure are two factors which increase the plastication
length.
Recent work by Wilczynski (1999, 2001) is similar in intent
to the model presented here. It differs in that it systematically
couples a solid bed calculation to the pressure development
and that the fluid is locally Newtonian in the melt pool
region. Fig. 7 displays the pressure development along a 45
mm conventional screw processing LDPE (Lupolen 302090)
at four different screw speeds (Wilczynski, 1999). A good
agreement with experimental data is obtained using the

Fig. 7 – Pressure along a 45 mm diameter screw processing

LDPE. Model predictions plotted against experimental data
from (Wilczynski, 1999).

model presented here, especially for peak pressure at higher

Fig. 6 – Flow rate versus back pressure at different screw
frequencies for PS (Han et al., 1996)(dimensionless).
screw speed. It should be noticed that Wilczynski (1999) has
reported a systematic overestimate of the pressure predic-
tion of his model due to the neglect of the shear thinning
properties of the polymeric material. This is in sharp contrast
to the model presented here where the power-law constitu-
tive equation is employed to compute the pressure in the
melt pool and therefore seems to be able to achieve better
results.
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Fig. 8 – Screw recovery rate for PS (Polystyrol 168N).
Comparison between model and data taken from (Gissing
and Knappe, 1982)(dimensionless).
3.2. Injection moulding
The metering time or screw recovery rate in injection mould-
ing are the equivalent of throughput in continuous extrusion.
Screw recovery rate is simply the ratio of throughput over
screw cross-section, while metering time is the metering
stroke divided by the screw recovery rate. The model has
been applied and compared to experimental data published
by Gissing and Knappe (1982), without taking into account
the melting profile which is far more complex in injection
moulding than in continuous extrusion. Fig. 8 exhibits the
comparison between screw recovery rate measured and cal-
culated for a 35 mm diameter screw processing Polystyrene
(Polystyrol PS 168N) at three different screw frequencies. From
this graph, it is clear that model predictions are much bet-
ter at high back-pressure and low frequency than at low
back-pressure and high frequency where plastication length is
likely to take much of the screw length and where the concept
of a melt pump is further off the mark.
3.3. Screw design
Turning now to the important issue of screw design, and how
it affects throughput, it would be highly desirable to know if,
for a given screw length, feed and metering depth, changes
in the relative length between the three zones are visible on
the screw operating characteristics and if a different polymer
rheology makes the changes more obvious. For that purpose,
the model is run on three different screws, keeping the same
diameter, same channel depth and same overall length, but
adopting three different layouts for the feed, compression and
metering lengths as recapped in Table 2. Two polymers with
different shear thinning indices, but same consistency factor
as defined in Eq. (1), are also considered in the calculations (cf.
Table 2).
617
Table 2 – Screws geometry and polymer rheology
applied in Fig. 9
Screws geometry
Db (mm) = 40 Hfeed (mm) = 7 Hmeter (mm) = 3
Feed (L/D) Compression (L/D) Metering (L/D)
8 8 8
12 11 1
12 6 6
Polymers rheology
n K (Pa sn )
0.25 7000
0.5 7000
Fig. 9 retraces the evolution of dimensionless throughput,
as defined in Eq. (6) versus the dimensionless back pressure,
for each screw design and each polymers. It should be noticed
that the scale of dimensionless back pressure applied is now
dependent on the shear-thinning index of the polymer.
From the plot, it is concluded that changes in screw design
are more obvious in the low range of back pressure, while
high back pressure tends to level off the differences between
screws, simply by uniformly decreasing the throughput. This
is especially the case of the more shear-thinning polymer,
which is also more sensitive to the back-pressure. However,
from Fig. 6 it can be noticed that in practice, screws are oper-
ated in the low range of dimensionless back pressure, roughly
from 0 to 500, where precisely the screw design is more impor-
tant. From the point of view of throughput the better screw is
the one with the longest compression zone.
Finally, one should stress that a natural development of
this attempt at screw design would be to run the model in an
optimization framework where the screw geometry would be
Fig. 9 – Comparison of dimensionless flow rate versus
dimensionless back pressure for three different screw
designs and two shear-thinning polymers.
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618 j o u r n a l o f m a t e r i a l s p r o c e s s i n g t e c h n o l o g y 2 0 9 ( 2 0 0 9 ) 611–618
taken as variables with the aim of optimizing targets such as
the throughput or the peak pressure.
4. Conclusions
A simple model of a single screw operational characteristics
(pressure development and throughput) has been developed,
based on a melt pump. The model predictions have been com-
prehensively and successfully compared to a large range of
experimental results available in the published literature. The
model shows that throughput is first and foremost a function
of screw geometry while pressure development, peak pressure
in particular, is a function of polymer viscosity. Plastication is
apparent on the pressure profile and throughput only when
the plastication length is large, for example at higher screw
frequency or lower back pressure. The model is applicable to
single screw extrusion and to injection moulding, and could
be applied further to screw design. It could also be extended
to barrier screws, in which the solid fraction is kept apart the
from the molten fraction in a separate channel. A more precise
handling of temperature in the channel would be desirable.
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View publication stats
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