AS 3857—1999

Australian Standard™

Heat exchangers— Tubeplates—

Method of design
This Australian Standard was prepared by Committee ME/1, Pressure Equipment. It
was approved on behalf of the Council of Standards Australia on 16 April 1999 and
published on 5 July 1999.

The following interests are represented on Committee ME/1:

A.C.T. WorkCover
Australasian Corrosion Association
Australasian Institute of Engineer Surveyor
Australian Aluminium Council
Australian Building Codes Board
Australian Chamber of Commerce and Industry
Australian Industry Group
Australian Institute of Energy
Australian Institute of Petroleum
Boiler and Pressure Vessel Manufacturers Association of Australia
Bureau of Steel Manufacturers of Australia
Department for Administration and Information Services, S.A.
Department of Employment Training and Industrial Relations, Qld
Department of Industries and Business, N.T.
Department of Infrastructure, Energy and Resources (Tasmania)
Department of Labour, New Zealand
Electricity Corporation of New Zealand
Electricity Supply Association of Australia
Institute of Materials Engineering Australasia
Institution of Engineers, Australia
Institution of Professional Engineers, New Zealand
National Association of Testing Authorities, Australia
New Zealand Engineering Federation
New Zealand Heavy Engineering Research Association
New Zealand Institute of Welding
New Zealand Petrochemical Users Group
Victorian WorkCover Authority
Welding Technology Institute of Australia
WorkCover N.S.W.
WorkSafe Western Australia

Review of Australian Standards. To keep abreast of progress in industry, Australian Standards are subject
to periodic review and are kept up to date by the issue of amendments or new editions as necessary. It is
important therefore that Standards users ensure that they are in possession of the latest edition, and any
amendments thereto.
Full details of all Australian Standards and related publications will be found in the Standards Australia
Catalogue of Publications; this information is supplemented each month by the magazine ‘The Australian
Standard’, which subscribing members receive, and which gives details of new publications, new editions
and amendments, and of withdrawn Standards.
Suggestions for improvements to Australian Standards, addressed to the head office of Standards Australia,
are welcomed. Notification of any inaccuracy or ambiguity found in an Australian Standard should be made
without delay in order that the matter may be investigated and appropriate action taken.

This Standard was issued in draft form for comment as DR 99023.

 AS 3857—1999

Australian Standard™

Heat exchangers— Tubeplates—

Method of design

Originated as AS 3857 — 1990.

Second edition 1999.

Published by Standards Australia

(Standards Association of Australia)
1 The Crescent, Homebush, NSW 2140
ISBN 0 7337 2689 5
AS 3857 — 1999 2

PREFACE

This Standard was prepared by the Joint Standards Australia/Standards New Zealand
Committee ME/1, Pressure Equipment, to supersede AS 3857 — 1990, Heat
exchangers — Tubeplates — Method of design. Acknowledgment is gratefully made of the
considerable assistance provided by Orica Engineering Pty Ltd (formerly ICI Australia
Engineering Pty Ltd) which developed this method of design.
This Standard is the result of a consensus among representatives on the Joint Committee
to produce it as an Australian Standard. Consensus means general agreement by all
interested parties. Consensus includes an attempt to remove all objection and implies
much more than the concept of a simple majority, but not necessarily unanimity. It is
consistent with this meaning that a member may be included in the Committee list and yet
not be in full agreement with all clauses of this Standard.
The main change in this revision is the incorporation of Amendment No. 1 to
AS 3857 — 1990.
The Standard covers a method for the design of heat exchanger tubeplates. The Standard
was originally drafted with the intention that it would be incorporated into AS 1210,
Pressure vessels, as a replacement for the method contained in the first and second
editions of AS 1210 but the draft was subsequently terminated. However, during the
course of development of the proposal, its content was extended and it is now a
self-contained method of design, suitable for publication as a separate Standard.
The Standard provides an additional method to other methods specified in AS 1210 for
the design of tubeplates for heat exchangers complying with that Standard. The method
may also be suitable for the design of some boiler tubeplates.
Although the design method may appear to be somewhat complex, it is no more so than
some design methods for other pressure vessel components such as flanges.
While the method is applicable to long-hand calculations, its most effective use will be
achieved by programming a computer. An appendix provides a simple algorithm for
calculating Lord Kelvin’s modified Bessel functions and this algorithm allows programs
to be compiled on a computer. Tabulated values of the functions are also provided in the
appendix. Suggested worksheets and worked examples of calculations are included in
another appendix.
As the proposed design method allows actual stresses at any location to be determined, it
can be used for heat exchangers designed to AS 1210 Supplement 1, Unfired Pressure
vessels — Advanced design and construction (Supplement to AS 1210 — 1997).
The theoretical background for the method given in this Standard is given in a technical
paper titled ‘Australian Tubesheet Code’ by P McGowan and I Mirovics presented at the
ASME Conference on Pressure Vessels and Piping at Nashville, Tennesee in June 1990.
The terms ‘normative’ and ‘informative’ have been used in this Standard to define the
application of the appendix to which they apply. A ‘normative’ appendix is an integral
part of a Standard, whereas an ‘informative’ appendix is only for information and
guidance.
 3 AS 3857 — 1999

CONTENTS
Page

1 SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2 APPLICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
3 REFERENCED DOCUMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
4 MATERIALS AND COMPONENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
5 DESIGN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

APPENDICES
A TUBE-TO-TUBEPLATE JOINT—DETERMINATION OF AXIAL
BREAKING LOAD AND JOINT EFFICIENCY . . . . . . . . . . . . . . . . . . . . . . 23
B LORD KELVIN’S MODIFIED BESSEL FUNCTIONS . . . . . . . . . . . . . . . . . 25
C SAMPLE CALCULATION SHEETS AND WORKED EXAMPLES . . . . . . . . 31

© Copyright STANDARDS AUSTRALIA

Users of Standards are reminded that copyright subsists in all Standards Australia publications and software. Except where the
Copyright Act allows and except where provided for below no publications or software produced by Standards Australia may be
reproduced, stored in a retrieval system in any form or transmitted by any means without prior permission in writing from
Standards Australia. Permission may be conditional on an appropriate royalty payment. Requests for permission and information
on commercial software royalties should be directed to the head office of Standards Australia.
Standards Australia will permit up to 10 percent of the technical content pages of a Standard to be copied for use
exclusively in-house by purchasers of the Standard without payment of a royalty or advice to Standards Australia.
Standards Australia will also permit the inclusion of its copyright material in computer software programs for no royalty
payment provided such programs are used exclusively in-house by the creators of the programs.
Care should be taken to ensure that material used is from the current edition of the Standard and that it is updated whenever the
Standard is amended or revised. The number and date of the Standard should therefore be clearly identified.
The use of material in print form or in computer software programs to be used commercially, with or without payment, or in
commercial contracts is subject to the payment of a royalty. This policy may be varied by Standards Australia at any time.
AS 3857 — 1999 4

STANDARDS AUSTRALIA

Australian Standard
Heat exchangers — Tubeplates — Method of design

1 SCOPE This Standard sets out a method for designing flat, circular tubeplates of the
following configurations:
(a) Fixed tubeplates as in heat exchangers consisting of two tubeplates clamped or
welded to a shell between them, with or without an expansion joint in the shell.
(b) Tubeplates of U-tube or bayonet heat exchangers.
(c) Floating tubeplates.
Such tubeplates are used in shell-and-tube heat exchangers and in some types of boilers
including fire-tube and waste heat boilers.

2 APPLICATION This Standard is intended for use in association with an appropriate

pressure vessel or boiler Standard such as —
(a) shell-and-tube heat exchangers . . . . . . . . . . . AS 1210 or AS 1210 Supplement 1
(b) boilers . . . . . . . . . . . . . . . . . . . . . . . . . . . . AS 1228.
Calculated and permissible stresses in the tubeplates, tubes and shell shall be determined
from this Standard but all other design criteria specified in the relevant pressure vessel or
boiler Standard shall apply.
In the application of this Standard it will also be necessary to determine metal temperature
from other sources (see Clause 5.1).

3 REFERENCED DOCUMENTS The following documents are referred to in this

Standard:
AS
1210 Pressure vessels
1210 Supplement 1 Unfired pressure vessels — Advanced design and construction
(Supplement to AS 1210 — 1997)
1228 Pressure equipment — Boilers
EJMA Standards of the Expansion Joint Manufacturers Association, Inc.

4 MATERIALS AND COMPONENTS

4.1 Acceptable materials Materials for tubeplates and associated components shall
comply with a material specification listed, or as otherwise permitted, in AS 1210,
AS 1210 Supplement 1 or AS 1228, as appropriate.
4.2 Design strength The material design strengths, used in the analysis of the
tubeplate, shall comply with the values specified, or as otherwise permitted, in AS 1210,
AS 1210 Supplement 1 or AS 1228, as appropriate.
4.3 Coefficient of thermal expansion The values which shall be used for the mean
coefficient of thermal expansion are given in Table 4.3.
4.4 Young modulus (modulus of elasticity) The values which shall be used for Young
Modulus are given in Table 4.4.
4.5 Expansion joints Metallic expansion joints should comply with the requirements
specified in the ‘Standards of the Expansion Joint Manufacturers Associations, Inc.’ or
equivalent.

COPYRIGHT
 5 AS 3857—1999

TABLE 4.3
MEAN COEFFICIENT OF THERMAL EXPANSION BETWEEN 25°C AND DESIGN TEMPERATURE

Mean coefficient of thermal expansion between 25°C and temperature, K–1 × 10–6 (µm/m.K)
Material
Design temperature, °C
Type or grade Nominal composition –50 0 50 100 150 200 250 300 350 400 450 500
Carbon and low C, C–Mn, .5Ni–2Mo–V, .75Ni–.2Mo–Cr–V, 
alloy steels .75Ni–.5Mo.3Cr–V, .75Ni–1Mo–.75Cr, 

.75Ni–.5Cr–.5Mo–V, 1Ni–.5Cr–.5Mo,  11.15 11.45 11.75 12.07 12.39 12.69 12.99 13.29 13.57 13.84 14.09 14.34
.5Ni–.5Cr–.25Mo–V, .75Ni–.5Cu–Mo 

.75Cr–.75Ni–Cu–Al, .75Cr–.5Ni–Cu 
C–Si, C–.5Mo, .5Cr–.5Ni–.2Mo, .5Cr–.5Mo, 
.5Cr–.2Mo–V, 1Cr–.5Mo–1Cr–.2Mo,  9.29 9.89 10.49 11.08 11.63 12.14 12.60 13.02 13.40 13.74 14.02 14.27

1Cr–.2Mo–Si, 1.75Cr–.2Mo–Cu
C-Mn-Si,.5Cr-.25Mo-Si,1Cr-.Mo-V, 8.96 9.56 10.16 10.77 11.34 11.86 12.34 12.77 13.16 13.51 13.82 14.08
1.25Cr-.5Mo(+ Si), 2Cr-.5Mo, 3Mo-1Mo
Mn–Mo, Mn–Mo–Ni 12.37 12.60 12.83 13.09 13.34 13.58 13.80 14.01 14.20 14.38 14.55 14.70
1.25Ni–1Cr–.5Mo, 1.75Ni–.75Cr–.25Mo, 
2Ni–.755Cr–.25Mo, 2Ni–.75Cr–.33Mo,  10.74 11.10 11.46 11.86 12.21 12.54 12.83 13.11 13.36 13.60 13.82 14.01
2.5Ni, 3.5Ni, 3.5 Ni–1.75Cr–.5Mo–V, 
2.25Cr–1Mo 11.13 11.50 11.87 12.15 12.46 12.75 13.01 13.24 13.46 13.64 13.82 13.98
5Cr–.5Mo, (+Si, +Ti) 11.34 11.60 11.85 12.05 12.24 12.41 12.59 12.75 12.91 13.06 13.21 13.35
7Cr–.5Mo, 7Cr–1Mo 10.18 10.40 10.62 10.83 11.04 11.24 11.43 11.62 11.80 11.97 12.14 12.29
Mn–V 11.39 11.80 12.21 12.55 12.88 13.18 13.45 13.70 13.93 14.14 14.33 14.51
5Ni–.25Mo 10.59 11.00 11.41 11.74 12.03 12.29 12.55 12.78 13.01 13.23 13.44 13.64
8Ni, 9Ni 9.25 9.75 10.25 10.72 11.09 11.39 11.66 11.90 12.12 12.31 12.48 12.63
Stainless steel
405, 410 12Cr–Al, 13Cr 10.25 10.55 10.85 11.08 11.27 11.44 11.58 11.70 11.81 11.91 12.02 12.13
429, 430 15Cr, 17Cr 9.66 9.70 9.74 9.94 10.13 10.31 10.49 10.65 10.81 10.96 11.11 11.24
304 18Cr–8Ni 14.67 15.10 15.53 15.90 16.24 16.55 16.84 17.11 17.36 17.59 17.81 18.00
316, 317 16Cr–12Ni–2Mo, 18Cr–13Ni–3Mo 14.45 14.95 15.45 15.86 16.26 16.63 16.96 17.25 17.52 17.77 18.00 18.23
321 18Cr–10Ni–Ti 15.99 16.12 16.25 16.41 16.57 16.72 16.85 16.98 17.10 17.22 17.34 17.45
347 and 348 18Cr–10Ni–Nb 14.64 15.15 15.66 16.14 16.58 16.97 17.30 17.59 17.85 18.08 18.29 18.51
309, 310 23Cr–12Ni, 25Cr–12Ni, 25Cr–20Ni 15.60 15.80 16.00 16.15 16.26 16.35 16.43 16.51 16.57 16.64 16.71 16.78
S31803, 2304 22Cr–5Cr–3Mo, 23Cr–4Ni 12.25 12.50 12.75 13.00 13.25 13.50 13.75 14.00 14.25 14.50
N08904 25Ni–20Cr–4.5Mo–1.5Cu 13.50 14.00 14.50 15.00 15.50 16.00 16.25 16.50 16.75 17.00
N08028 31Ni–27Cr–3.5Mo–1.0Cu 14.25 14.50 14.75 15.00 15.25 15.50 15.75 16.00 16.25 16.50
(continued)

COPYRIGHT
AS 3857—1999 6

TABLE 4.3 (continued)

Mean coefficient of thermal expansion between 25°C and temperature, K–1 × 10–6 (µm/m.K)
Material
Design temperature, °C
Type or grade Nominal composition –50 0 50 100 150 200 250 300 350 400 450 500
Aluminium
alloys 21.75 22.25 22.75 23.23 23.72 24.21
3003 and 3004 22.38 22.85 23.32 23.82 24.33 24.83
5052 and 5454 22.54 23.05 23.56 24.06 24.57 25.08
5083 and 5086 21.84 22.35 22.86 23.35 23.85 24.34
6061 21.92 22.45 22.98 23.47 23.95 24.44
6063
Copper and
copper alloys Copper 16.30 16.50 16.70 16.90 17.10 17.30 17.50 17.70 17.90 18.10 18.30 18.50
Brasses: 90Cu–10Zn 16.63 16.87 17.12 17.36 17.60 17.84 18.08 18.33 18.57 18.81 19.05 19.29
80Cu–20Zn 16.96 17.25 17.53 17.82 18.10 18.38 18.67 18.95 19.24 19.52 19.81 20.09
70Cu–30Zn 17.29 17.62 17.95 18.27 18.60 18.93 19.25 19.58 19.91 20.23 20.56 20.88
60Cu–40Zn 17.62 17.99 18.36 18.73 19.10 19.47 19.84 20.21 20.57 20.94 21.31 21.68

Cu–Ni 90Cu–10Ni 15.50 15.74 16.00 16.26 16.52 16.76 16.94 17.10 17.26 17.42 17.58 17.74
80Cu–20Ni 14.56 14.85 15.18 15.51 15.84 16.13 16.28 16.40 16.51 16.62 16.73 16.85
70Cu–30Ni 14.30 14.60 114.95 15.30 15.65 15.95 16.10 16.20 16.30 16.40 16.50 16.60
Bronze 16.50 16.74 16.99 17.23 17.47 17.71 17.95 18.20 18.44 18.68 18.92 19.16
Nickel and
nickel alloys
200, 201 Ni, Low C–Ni 11.39 11.80 12.21 12.62 12.99 13.30 13.64 13.94 14.22 14.46 14.68 14.91
330 Ni–44Fe–18Cr–1Si 13.95 14.35 14.75 15.04 15.29 15.53 15.77 15.99 16.20 16.38 16.54 16.69
400 and 405 Ni–32Cu 13.44 13.75 14.06 14.36 14.65 14.92 15.16 15.37 15.56 15.73 15.88 16.02
600 Ni–15.5Cr–8Fe 11.41 11.95 12.49 12.96 13.35 13.67 13.94 14.17 14.36 14.52 14.68 14.82
800 and 800H Ni–46Fe–21Cr 13.14 13.80 14.46 14.90 15.20 15.43 15.62 15.77 15.90 16.02 16.15 16.27
825 Ni–30Fe–21Cr–3Mo–2Cu 13.20 13.40 13.60 13.80 13.98 14.15 14.31 14.48 14.63 14.78 14.92 15.05
B Ni–28Mo–5Fe 10.76 10.90 11.04 11.28 11.46 11.57 11.64 11.71 11.78 11.86 11.95 12.05
C–4 Ni–16Cr–16Mo 11.00 11.10 11.40 11.76 11.95 12.20 12.43 12.65 12.83 12.99 13.12 13.25
C–276 Ni–15.5Cr–16Mo–5.5Fe–4W 10.59 10.80 11.01 11.35 11.67 11.98 12.28 12.55 12.79 13.00 13.20 13.40
Titanium and
titanium alloys
1, 2, 3 and 7 8.40 8.40 8.40 8.46 8.53 8.59 8.66 8.73 8.80 8.86
Zirconium and
zirconium alloys
702 Zr 5.85 5.87 5.89 5.89 5.89 5.89 5.89 5.89 5.89 5.89
705 and 706 Zr–2.5Nb 6.30

COPYRIGHT
 7 AS 3857—1999

TABLE 4.4
YOUNG MODULUS (MODULUS OF ELASTICITY (E))
Young modulus, GPa
Material
Temperature, °C
Type or grade Nominal composition –50 0 50 100 150 200 250 300 350 400 450 500
Carbon and low
alloy steels C ≤ .3%C 207 204 201 198 195 192 189 186 179 171 162 150
C > .3%C 206 203 200 197 194 191 187 184 178 170 161 149
C–.5M0, Mn–.5Mo, Mn–.25Mo, Mn–V 205 202 199 196 193 190 187 184 178 170 160 150
.5Ni–.5Mo–V, .5Ni–.5Cr–.25Mo–V 
.75Ni–.5Mo–Cr–V, .75Ni–1Mo–.75Cr, 

.75Ni–.5Cu–Mo, 1Ni–.4Cr–.5Mo,  196 193 190 187 184 181 178 175 171 167 163 159
.75Cr–.5Ni–Cu, .75Cr–.75Ni–Cu–Al, 

2Ni–1Cu, 2.5Ni, 3.5Ni 
.5Cr–.5Mo, 1Cr–.5Mo,
210 207 204 200 196 193 190 187 183 179 174 170
1.25Cr–.5Mo(+Si), 2Cr–.5Mo
2.25Cr–1Mo, 3Cr–1Mo 217 213 209 206 203 199 196 192 188 184 179 175
5Cr–.5Mo(+Si, +Ti), 7Cr–.5Mo, 9Cr–Mo 219 215 211 207 204 201 198 194 190 184 176 168
Stainless steel
405, 410 12Cr–Al, 13Cr,
205 202 199 196 192 189 185 181 178 174 166 156
429, 430 15Cr, 17Cr
304 18Cr–8Ni 
316, 317 16Cr–12Ni–2Mo, 18Cr–13Ni–3Mo 
321 18Cr–10Ni–Ti  202 198 194 190 186 183 179 175 172 169 164 161

347 and 348 18Cr–10Ni–Nb 

309, 310 23Cr–12Ni, 25Cr–12Ni, 25Cr–20Ni 
S31803, 2304 22Cr–5Ni–3Mo, 23Cr–4Ni 205 200 195 190 185 180 175 170 165 160
N08904 25Ni–20Cr–4.5Mo–1.5Cu 200 196 193 190 185 180 175 170 167 165
N08028 31Ni–27Cr–3.5Mo–1.0Cu 204 201 198 195 192 190 185 180 175 170
Aluminium alloys
3003, 3004,6061, 6063 71 70 68 66 63 60
5052, 5054 73 71 69 67 65 62
5083, 5086 74 72 70 68 65 62
(continued)

COPYRIGHT
AS 3857—1999 8

TABLE 4.4 (continued)

Young modulus, GPa

Material
Temperature, °C
Type or grade Nominal composition –50 0 50 100 150 200 250 300 350 400 450 500
Copper and
copper alloys Copper > 95% 117 114 111 108 105 102 99 95 92 89 86 83
Brasses: 10 and 20 Zn 105 103 100 97 95 92 89 86 83 80 77 75
30 and 40 Zn 94 91 89 86 84 82 79 76 74 71 69 66
Cu–Ni: 10Ni 140 137 133 130 126 122 119 114 110 107 103 100
20 and 30 Ni 152 148 144 140 137 133 129 124 120 116 112 108
Bronze 110 107 104 102 99 96 93 89 86 84 81 78
Nickel and
nickel alloys
200, 201 Ni and Low C Ni 211 208 205 202 199 197 194 192 189 186 182 179
330 Ni–44Fe–18Cr–1Si 197 194 191 188 185 183 181 179 177 174 170 167
400 and 405 Ni–32Cu 184 181 178 175 173 171 168 166 164 161 158 155
600 Ni–15.5Cr–8Fe 219 215 211 208 206 204 201 199 196 192 189 185
800 and 800H NI–46Fe–21Cr 200 197 194 191 189 187 185 183 180 177 174 170
825 Ni–30Fe–21Cr–3Mo–2Cu 197 194 191 188 185 183 181 179 177 174 170 167
B NI–28Mo–5Fe 218 215 212 209 206 204 201 199 197 193 189 185
C–4 Ni–16Cr–16Mo 209 206 203 200 197 195 193 191 188 185 181 177
C276 Ni–15.5Cr–16Mo–5.5Fe–4W 209 206 203 200 197 195 193 191 188 185 181 177
Titanium and
titanium alloys
1, 2, 3 and 7 110 108 106 103 100 97 93 88 84 80
Zirconium and
zirconium alloys
702 Zr 101 100 98 95 92 86 80 74 68
705 and 706 Zr–2.5Nb 103 102 100 93 86 80 75 71 67

COPYRIGHT
 9 AS 3857 — 1999

5 DESIGN
5.1 Analysis In the method of analysis in this Clause, moments, stresses and
deflections across the tubeplate are calculated. To determine the maximum stresses, full
moment and deflection curves shall be calculated and constructed for several cases for
each design condition (see Clause 5.4).
NOTE: Such calculations are most effectively performed using a computer.
Permissible stresses shall be based on the design strengths specified in the pressure vessel
or boiler Standard applicable to the equipment in which the tubeplate is to be a
component, e.g. AS 1210, AS 1210 Supplement 1 or AS 1228.
To determine metal temperature, a heat transfer analysis shall be undertaken for each
design condition.
NOTE: Guidance in estimating heat transfer coefficients and fouling resistances may be found
in technical publications such as —
(a) for pressure vessels —
(i) Tubular Exchanger Manufacturers Association (TEMA) Standards *;
(ii) Compact Heat Exchangers †; and
(b) for boilers — AS 1228.
5.2 Assumptions The analysis is based on the following assumptions:
(a) The tubeplates are flat, circular and the tube pattern is approximately axisymmetric.
(b) The tube pattern is equilateral triangular (although some approximate results for
square patterns are included).
(c) R > Ri − tp and R > 4.5t p.
(d) Ls > 6ls (if an expansion joint is used, it is placed at least 3ls from the tubeplate).
(e) Channel shell length > 2lc (where channel shell is welded to tubeplate).
(P − d t)
(f) tp ≥
2
(g) Nt ≥ 37.
(h) q > 0.09.
(i) The movement of the tubeplate is not obstructed by anything (e.g. channel baffles),
except the tubes.
(j) For fixed tubeplates — both have the same flexural rigidity.
(k) Tube bending is ignored.
(l) Stresses due to temperature gradient across the tubeplate are disregarded except as
specified in Clause 5.8.
For situations falling outside the above, special analysis is required to accurately calculate
stresses.
5.3 Notation and calculation parameters For the purpose of this Standard, notation
and calculation parameters tabulated below apply. The notation for dimensions of
components are shown on Figures 5.3(A), 5.3(B), and 5.3(C).
The symbols for units used in this Clause are combinations of the following:
(a) mm (millimetre).
(b) N (newton).
(c) MPa (megapascal).
(d) °C (degrees Celsius).
(e) K (kelvin).
(f) rad (radian).

* Standards of Tubular Exchanger Manufacturers Association, Inc.

† Kays, W.M. and London, A.L. Compact Heat Exchangers. 3rd ed. New York: McGraw-Hill, 1984. p. 352.

COPYRIGHT
AS 3857 — 1999 10

FIGURE 5.3 (in part) NOTATION FOR DIMENSIONS OF HEAT EXCHANGER

COMPONENTS

COPYRIGHT
 11 AS 3857 — 1999

FIGURE 5.3 (in part) NOTATION FOR DIMENSIONS OF HEAT EXCHANGER

COMPONENTS

Quantity Quantity/Calculation parameter Unit symbol

symbol

A, B, C = coefficients of deflection (see Clause 5.5.1) mm

As = metal cross-section area of shell mm 2
= 2πRmts
At = metal cross-sectional area of tubes mm 2
= πNt(dt − tt)tt
a = tubeplate characteristic radius mm
  0.25
 D  0.25  πR 2 D 
=   =  
K  2k t 
a1 = factor
2k t b4
= b1 − − (R m − R)e3
ks
a2 = factor
2k t b3
= b2 − − (R m − R)e4
ks

COPYRIGHT
AS 3857 — 1999 12

Quantity Quantity/Calculation parameter Unit symbol

symbol
a3 = factor
b3 x R
= − e3
a
a4 = factor
b4 x R
= + e4
a
as = fraction of perforated tubeplate exposed to shell side
pressure
 2
d 
= 1 − Nt  t 
 2R 
at = fraction of perforated tubeplate exposed to tubeside
pressure
dt
N t( − t t) 2
2
= 1 −
R2
b1 = ber(xR)
NOTE: ber and bei are Lord Kelvin’s modified bessel functions of
the first kind, order zero. An algorithm to generate these functions is
included in Appendix B where calculated values are tabulated.
b2 = bei(x R)
b3 ber ′(x R)
=
xR
bei ′(x R)
b4 =
xR
 x  4i
∞ ( 1)  2  i

= 1 +  
ber(x)
i 1 (2i)!2

 x  4i 2
∞ ( 1)  2  i

=  
bei(x)
i 1 (2i 1)!2

d ber(x)
ber ′(x) =
dx
d bei(x)
bei ′(x) =
dx
D = flexural rigidity to tubeplate N.mm
3
E t p p
=
2
12(1 − vp )

COPYRIGHT
 13 AS 3857 — 1999

Quantity Quantity/Calculation parameter Unit symbol

symbol
Dc = flexural rigidity of channel N.mm
3
E c tc
=
12(1 − v 2)
Df = flexural rigidity of flange N.mm
3
Etf
=
12 (1 − v 2)
Ds = flexural rigidity of shell N.mm
3
E t s s
=
12(1 − v 2)
dp = diameter of holes drilled in tubeplate mm
dt = outside diameter of tubes mm
E = Young modulus of tubeplate as its mean temperature (see MPa
Table 4.4)
Ec = Young Modulus of channel at its mean metal temperature MPa
(see Table 4.4)
Ep = effective Young modulus of drilled tubeplate MPa
2.89t p/P
= E 1 − (1 − q)2 [1 + 1.7q(1 − e )]
Es = Young modulus of shell at its mean metal temperature (see MPa
Table 4.4)
Et = Young modulus of tube at its mean metal temperature (see MPa
Table 4.4)
e1 = factor 1/mm
2πDx R
=
aβ
e2 = factor 1/mm
4 (R m − R) k t
=
β
e3 = factor 1/mm
= e1[b2 + (1 − v p)b3] + e2b4
e4 = factor 1/mm
= e1 [b1 − (1 − v p) b4] + e2b3
F = tube span constrain coefficient
= 1 for unsupported spans between baffles
= 2 for unsupported spans between a tubeplate and a baffle
= 4 for unsupported spans between two tubeplates

COPYRIGHT
AS 3857 — 1999 14

Quantity Quantity/Calculation parameter Unit symbol

symbol
fb = design strength of bolts MPa
fbt = design strength of elastic (column) buckling of tubes MPa
2
Fπ2E t rg
= (minimum value)
2
1.5Lu
fj = design strength used in calculating joint efficiency (see MPa
Appendix A)
fp = design strength of tubeplate at design temperature MPa
fs = design strength of shell at design temperature MPa
ft = design strength of tubes at design temperature MPa
K = effective foundation modulus of tubeplate due to support of N/mm3
tubes
2k t
=
πR 2
ke = axial stiffness of expansion joint N/mm
ks = axial stiffness of shell N/mm
Es As
= if no expansion joint
Ls
1
=
 
 1 + L s  with expansion joint
k E s A s 
 e

kt = total axial stiffness of tubes N/mm

At Et
=
Lt
L = distance between outside faces of tubeplates mm
Le = length removed from shell to accommodate expansion joint mm
Lp = length of expanded portion of tube mm
Ls = effective shell length mm
= L − 2t p − L e
Lt = free tube length mm
= L for tubes welded to front of tubeplate
= L − tp for expanded tubes
= L − 2tp for tubes welded to back of tubeplate
Lu = unsupported tube span mm
lc = channel characteristics length mm
 R 2 t 2  0.25
=  m c 
 2 
 3(1 − v ) 

COPYRIGHT
 15 AS 3857 — 1999

Quantity Quantity/Calculation parameter Unit symbol

symbol
ls = shell characteristic length mm
 R 2 t 2  0.25
=  m s 
 2 
 3(1 − v ) 
Mmax = maximum absolute value of tubeplate moment (see
Clause 5.6) N.mm
Mb = moment on flange at operating conditions N.mm
πRg p t (R b − R m)
2
=
= ‘0’ for clamped plate
Mc = circumferential tubeplate moment which produces
circumferential tensile stress on the shell side, per unit N.mm/mm
width
Me = tubeplate moment at edge of perforations for a U-tube
bundle, per unit width N.mm/mm
(φR − φu)
=
 
 1 + 2π R 
β β 
 u
Mp = moment on undrilled portion of tubeplate due to pressure N.mm
π(p t − p s)(Ri − R 2)(R m − R)
2

= for flanged plate

2
π(p t − p s)(Rg − R 2)(R g − R)
2

= for clamped plate

2
Mr = radial tubeplate moment with produces radial tensile stress
on the shell side, per unit width N.mm/mm
Mu = tubeplate moment at centre of simply supported tubeplate,
per unit width N.mm/mm
(p t − p s)(3 + v p)R 2
=
16
Np = where tube pattern is interrupted by missing tubes due to
shell-side baffle support rods or tube-side baffles etc., Np is
the number of tubes if pattern were complete.
Where the tube pattern is not interrupted as above, Np = Nt

Approximate results may be obtained for square tube

2N t
patterns by taking N p = .
√3
Nt = number of tubes
P = pitch of tubes in tube pattern mm
ps = shell-side pressure MPa
pt = tube-side pressure MPa

COPYRIGHT
AS 3857 — 1999 16

Quantity Quantity/Calculation parameter Unit symbol

symbol
q = ligament efficiency
dp
= 1 −
P
R = radius of tubeplate perforation limit mm
= 0.525P√Np
Rb = pitch circle radius of bolts in flange mm
Re = largest radius within the convolutions of the expansion
joint to which the shellside pressure is exposed mm
Rf = outside radius of tubeplate flange or rim mm
Rg = outside radius of tubeplate gasket mm
Ri = inside radius of shell mm
Rm = mean shell radius mm
ts
= Ri +
2
r = radius from centre of tubeplate to any point on the mm
tubeplate
rg = radius of gyration of tube mm
2
= 0.25√[dt + (d t − 2t t)2]
Sa = axial stress (see Clause 5.5) MPa
Sb = bending stress (see Clause 5.5 and 5.6) MPa
Sc = circumferential stress (see Clause 5.5) MPa
Se = fictitious expansion stress MPa
= E t(αp − αt)(θp − 25)
Sp = peak ligament stress (see Clauses 5.5 and 5.6) MPa
Ss = stress intensity in shell (see Clause 5.5) MPa
St = stress intensity in tubes (see Clause 5.5) MPa
tc = channel shell thickness mm
tf = flange thickness (where no flange is set up) mm
tp = tubeplate thickness mm
ts = shell thickness mm
tt = tube thickness mm
W = axial tubeplate deflection at radius r with datum at cold mm
unpressured conditions
W1s = axial movement of shell due to pressure mm
π(p s − p t )(Ri − R 2)
2

= + We
2k s
W2s = axial movement of shell due to Poisson effect mm
 
= Z − (L − 2l ) vR m  p s
 s s
E st s  2


COPYRIGHT
 17 AS 3857 — 1999

Quantity Quantity/Calculation parameter Unit symbol

symbol
W3s = axial thermal growth of shell mm
(L − t p)αs(θs − 25)
=
2
W4s = axial movement of rim due to rotation mm
− (M b + M p)(R m − R)
=
β
Ws = total axial shell movement mm
= W1s + W2s + W3s + W4s
W1t = axial movement of tube due to pressure mm
πR (p sa s − p ta t)
2
=
2k t
W2t = axial movement to tube due to Poisson effect mm
L tv(p s − p t)(d t − t t)
=
4E tt t
W3t = axial thermal growth of tube mm
(L − t p)αt(θt − 25)
=
2
We = axial initial compression of expansion bellows at mm
installation
Wt = total axial tube movement mm
= W1t + W2t + W3t
WR = Ws − Wt mm
x = scales radius
r
=
a
xR = dimensionless radius of perforated tubeplate
R
=
a
Y = stress multiplier
0.06
= 2.0 +
q
Z = Poisson coefficient mm/MPa
= increase in length of unrestrained expansion joint when
1 MPa internal pressure is applied to the convolutions of
the joint
In the absence of better data use —
π(Re − Ri )
2 2

=
2k e
αp = mean coefficient of thermal expansion of tubeplate between
25°C and mean metal temperature (see Table 4.3) K -1

COPYRIGHT
AS 3857 — 1999 18

Quantity Quantity/Calculation parameter Unit symbol

symbol
αs = mean coefficient of thermal expansion of shell between
25°C and mean metal temperature (see Table 4.3) K -1
αt = mean coefficient of thermal expansion of tubes between
25°C and mean metal temperature (see Table 4.3) K -1
βc = channel rotation stiffness N.mm/rad
 t 
2πR mD c 1 + (1 + p )2
 lc 
=
lc
= 0 when channel is bolted or clamped to shell.
βf = flange and rim rotation stiffness N.mm/rad
4πD f(R f − R)
=
(R f + R)
βs = shell rotation stiffness N.mm/rad
 t 
2πR mD s 1 + (1 + p )2
 ls 
=
ls
= 0 when tubesheet is bolted or clamped to shell.
β = total rotation stiffness N.mm/rad
= βf + βs + βc
βu = edge rotation stiffness of U-tube tubeplate, per unit N.mm/mm.rad
circumference
3
D(1 + v p) E pt p
= =
R 12(1 − v p)R
∆ = α 1α 4 − a 2α 3
ηs = weld efficiency of shell
ηt = weld efficiency of tubes
ηp = joint efficiency of tube-to-tubeplate welds or expanded
joints. (See also Appendix A.)
= 1.0 for fully radiographed welds
= 0.85 for spot radiography fo welds
= 0.75 for automatic but non-radiographed welds
= 0.5 for manual welds
= 0.6 for expanded tubes with ≥2 expansion grooves
= 0.5 for expanded tubes with 1 expansion groove
0.4L p
= (0.4 max) for expanded tubes with no grooves
dp
The above values of ηp apply only under any of the following
conditions:
(a) −ft < Se < 0.

COPYRIGHT
 19 AS 3857 — 1999

Quantity Quantity/Calculation parameter Unit symbol

symbol
(b) For welded joints, 0 < Se < 0.5ft.
(c) For expanded joints with grooves, 0 < Se < 0.2ft.
(d) For expanded joints without grooves, 0 < Se < 0.1ft.
If one of these conditions does not prevail, ηp shall be
determined by the method specified in Appendix A.
θc = mean metal temperature of channel °C
θp = mean metal temperature of tubeplate °C
θs = mean metal temperature of shell °C
θt = mean metal temperature of tubes °C
v = Poisson’s ratio.
In the absence of better data a value of 0.3 may be used.
vp = effective Poisson’s ratio of drilled tubeplate.
−2.89t p/P
= 0.3 + (1 − q)7.0(0.7 − 10.92q e )
φ = tubeplate rotation rad
dW
=
dr
φR = rim rotation rad
(M b + M p)
=
β
φu U-tube tubeplate edge rotation due to pressure rad
2
(p t − p s)R
=
8βu
2
Laplacian operator
d2 1 d
= +
2 x dx
dx
4
= Biharmonic operator
= ( 2) 2

5.4 Design conditions As it is impossible, in general, to predict the most arduous

operating conditions for a heat exchanger, the vessel integrity shall be designed for the
following conditions:
(a) At nameplate conditions when new.
(b) At nameplate conditions when corroded (i.e. old).
(c) Failure of shell side conditions.
(d) Failure of tubeside conditions.
(e) Other reasonably expected plant operating conditions, including startup and
shutdown.

COPYRIGHT
AS 3857 — 1999 20

5.5 Fixed tubeplates

5.5.1 Moments and deflections Moments and deflections in a fixed tubeplate may be
determined as follows:
(a) Using the nomenclature of Clause 5.3 and under the assumptions of Clause 5.2, it
may be shown that —
4
(i) W+W=A . . . 5.5.1(1)
(ii) whose solution is W = A + Bber(x) + Cbei(x) . . . 5.5.1(2)
where A = Wt . . . 5.5.1(3)

(a4W R − a2φR)
B = . . . 5.5.1(4)
∆

(a1φR − a3W R)
C = . . . 5.5.1(5)
∆

dW Bber ′(x) + Cbei ′(x)

φ = = . . . 5.5.1(6)
dr a
(b) The circumferential bending moment is given by —

φ dφ
Mc = D + vp
r dr

 
 D  (1 − v p) (1 − v p) 
=   B ( − v pbei(x) + ber ′(x)) + C (v pber(x) + bei ′(x)) . . . 5.5.1(7)
a   
2 x x
(c) The radial moment is given by —
dφ vφ
Mr = D + p
dr r
 
 D  (1 − v p) (1 − v p) 
=   B( − bei(x) − ber′ (x) + C(ber(x) − bei′ (x)) . . . 5.5.1(8)
a   
2 x x
(d) For each of the conditions specified in Clause 5.4, W, Mc and Mr should be tabulated
or plotted and the maximum and minimum values found.
(e) In the case of Mc and Mr, the maximum absolute value shall be denoted as M max.
5.5.2 Stresses in tubeplate Stresses in the tubeplate shall comply with the following:
(a) Maximum mean ligament bending stress is given by —

6Mmax
(i) Sb = . . . 5.5.2(1)
2
qtp

(ii) Sb shall not exceed 1.5fp . . . 5.5.2(2)

(b) Peak ligament stress is given by —
(i) Sp = YSb . . . 5.5.2(3)
(ii) Sb shall not exceed 3fp . . . 5.5.2(4)

COPYRIGHT
 21 AS 3857 — 1999

(c) where the vessel has a cyclic operation, a fatigue analysis shall also be done using
0.5Sp as the stress amplitude.
5.5.3 Stresses in tubes Stresses in the tubes shall comply with the following:
(a) The circumferential membrane stress is given by —

(p t − p s)(d t − t t)
Sc = . . . 5.5.3(1)
2t t

(b) (i) The axial membrane stress in the tubes is given by —

2(W − W2t − W3t)E t

Sa = . . . 5.5.3(2)
Lt

(ii) The absolute maximum of Sa shall not exceed the lesser of —

hp fp and hp ft . . . 5.5.3(3)
(iii) The maximum axial compressive stress shall not exceed —

1
. . . 5.5.3(4)
1 1  0.5
 + 
f 2 f
2
 t bt 
(c) (i) The maximum stress intensity Stmax in the tubes is given by the maximum of
the following:
Sc − Samax , Sc − Samin ,
Sc , Samax , Samin . . . 5.5.3(5)
(ii) The tube stress intensity shall not exceed ftηt . . . 5.5.3(6)
(d) Where the vessel has a cyclic operation, a fatigue analysis shall be done using
0.5Stmax as the stress amplitude.
5.5.4 Stresses in shell Stresses in the shell shall comply with the following:
(a) Circumferential stress is given by —

ps Rm
Sc = . . . 5.5.4(1)
ts

(b) Axial stress is given by —

2[k s W1s − 2k t (Bb4 − Cb3)]

Sa = . . . 5.5.4(2)
As

(c) Maximum stress intensity Ssmax is given by the maximum of the following:
Sa − Sc , Sc , Sa . . . 5.5.4(3)
The shell stress intensity shall not exceed fsηs . . . 5.5.4(4)
(d) Where the vessel has a cyclic operation, a fatigue analysis shall be done using
0.5Ssmax as the stress amplitude.

COPYRIGHT
AS 3857 — 1999 22

5.6 U-tube and bayonet tubeplates Stresses in a U-tube or bayonet tubeplate shall
comply with the following:
(a) The radial moment distribution across the tubeplate is given by —

 
  r  2
Mr = Mu 1 −    + Me . . . 5.6(1)
 R 
The maximum absolute value of Mr, denoted Mmax, will therefore be either
Mu + Me at the centre, or
Me at the edge . . . 5.6(2)
(b) Mean ligament bending stress is given by —

6Mmax
Sb = . . . 5.6(3)
2
qtp

Sb shall not exceed 1.5fp . . . 5.6(4)

(c) Peak ligament stress is given by —
Sp = YSb . . . 5.6(5)
Sp should not exceed 3fp . . . 5.6(6)
(d) Where the vessel has a cyclic operation, a fatigue analysis shall be done using 0.5Sp
variation as the stress amplitude.
5.7 Floating tubeplates Floating tubeplates may be analysed using the method in
Clause 5.5 by taking ks as a very small value e.g. 10 N/mm.
5.8 Temperature gradients through the tubeplates Where thermal stresses through
the tubeplate are expected to be severe, particularly under cyclic conditions, suitable
allowances shall be made in the design calculations, or provision made to reduce the
severity of the thermal stresses.
NOTE: The temperature gradients that arise in the great majority of heat exchangers, have little
effect on maximum tubeplate stresses and therefore can often be safely neglected.

COPYRIGHT
 23 AS 3857 — 1999

APPENDIX A
TUBE-TO-TUBEPLATE JOINT — DETERMINATION OF AXIAL
BREAKING LOAD AND JOINT EFFICIENCY
(Normative)

A1 SCOPE This Appendix specifies a method of determining the axial force required
to cause mechanical failure of the tube or joint of a tube-to-tubeplate joint and of
calculating its joint efficiency.

A2 APPLICATION The method shall be used where conditions (a) to (d) in the
notation for ηp in Clause 5.3 do not prevail or where it is desired to use a higher joint
efficiency than that specified in the notation for ηp, as appropriate.

A3 APPARATUS The apparatus for the test comprises 12 test blocks complying with
Clause A4 and a means of applying an axial force to the central tube in each test block
and measuring the force to an accuracy of 1 percent of the breaking force.

A4 TEST BLOCK Each test block shall comprise a central tube and one row of tubes
surrounding it, all mounted in the test block i.e. 7 tubes for a triangular tube layout and
9 tubes for a square tube layout, as indicated in Figure A1.
The dimension of the tubes and the tube pitch in the test block shall be the same as in the
tubeplate it represents, except that the test block may be thinner but not thicker than the
tubeplate. Provision shall be made to apply axial loading to the central tube only.
The methods, materials and procedures used to join the tubes to the test block shall be
identical to those used in the tubeplate it represents. The central tube shall not be the first
or the last tube joined to the test block.

A5 PROCEDURE The test procedure shall be as follows:

(a) Before the tests are carried out, heat all the test blocks to a temperature 10°C above
the maximum design temperature, hold at that temperature for 6 h and then allow to
cool slowly (50°C/h maximum rate).
(b) Test six test blocks at ambient temperature by applying axial loading to the central
tube of each test block in turn until the tube or joint breaks. Record the breaking
force for each ambient temperature test.
(c) Heat the remaining six test blocks to the maximum design temperature and test at
that temperature by applying axial loading to the central tube of each test block in
turn until the tube or joint breaks. Record the breaking force for each test at
maximum design temperature.

A6 CALCULATIONS The joint efficiency (ηp) shall be calculated as follows:

(a) (i) Calculate the mean axial breaking force (G) of the batch of six test blocks
tested at ambient temperature.
(ii) Using the mean axial breaking force from Item (i) above, calculate the joint
efficiency from the following equation:

G
ηp = . . . A(1)
2π(d t − t t)t t f j

where fj = lesser value of fp and ft at ambient temperature.

COPYRIGHT
AS 3857 — 1999 24

(b) Repeat procedures in Item (a) above for the batch of six test blocks tested at
maximum design temperature, but in Equation A(1) use —
fj = lesser value of fp and ft at maximum design temperature.
(c) The joint efficiency (ηp) shall be taken as the lesser of the values determined by
Items (a) and (b) above but shall not exceed 1.0.

FIGURE A1 TEST APPARATUS TO MEASURE TUBE AXIAL FAILURE LOAD

COPYRIGHT
 25 AS 3857 — 1999

APPENDIX B
LORD KELVIN’S MODIFIED BESSEL FUNCTIONS
(Normative)

Figure B1 provides an algorithm for generating Lord Kelvin’s modified Bessel functions.
Table B1 lists values for Lord Kelvin’s modified Bessel functions of the first kind, order
zero.

COPYRIGHT
AS 3857 — 1999 26

FIGURE B1 ALGORITHM FOR GENERATING LORD KELVIN’S MODIFIED

BESSEL FUNCTIONS

COPYRIGHT
 27 AS 3857 — 1999

TABLE B1
LORD KELVIN’S MODIFIED BESSEL FUNCTIONS OF THE FIRST KIND,
ORDER ZERO
x ber bei ber′ bei′
0.00 1.00000 0.00000 0.00000 0.00000
0.10 1.00000 0.00250 −0.00006 0.05000
0.20 0.99998 0.01000 −0.00050 0.10000
0.30 0.99987 0.02250 −0.00169 0.14999
0.40 0.99960 0.04000 −0.00400 0.19997
0.50 0.99902 0.06249 −0.00781 0.24992
0.60 0.99798 0.08998 −0.01350 0.29980
0.70 0.99625 0.12245 −0.02143 0.34956
0.80 0.99360 0.15989 −0.03199 0.39915
0.90 0.98975 0.20227 −0.04554 0.44846
1.00 0.98438 0.24957 −0.06245 0.49740
1.10 0.97714 0.30173 −0.08308 0.54581
1.20 0.96763 0.35870 −0.10781 0.59352
1.30 0.95543 0.42041 −0.13697 0.64034
1.40 0.94008 0.48673 −0.17093 0.68601
1.50 0.92107 0.55756 −0.21001 0.73025
1.60 0.89789 0.63273 −0.25454 0.77274
1.70 0.86997 0.71204 −0.30484 0.81310
1.80 0.83672 0.79526 −0.36118 0.85093
1.90 0.79752 0.88212 −0.42384 0.88574
2.00 0.75173 0.97229 −0.49307 0.91701
2.10 0.69869 1.06539 −0.56906 0.94418
2.20 0.63769 1.16097 −0.65200 0.96661
2.30 0.56805 1.25853 −0.74202 0.98361
2.40 0.48905 1.35749 −0.83920 0.99443
2.50 0.39997 1.45718 −0.94358 0.99827
2.60 0.30009 1.55688 −1.05513 0.99426
2.70 0.18871 1.65574 −1.17375 0.98149
2.80 0.06511 1.75285 −1.29926 0.95897
2.90 −0.07137 1.84718 −1.43141 0.92566
3.00 −0.22138 1.93759 −1.56985 0.88048
3.10 −0.38553 2.02284 −1.71410 0.82230
3.20 −0.56438 2.10157 −1.86362 0.74992
3.30 −0.75841 2.17231 −2.01769 0.66214
3.40 −0.96804 2.23345 −2.17550 0.55769
3.50 −1.19360 2.28325 −2.33606 0.43530
3.60 −1.43531 2.31986 −2.49825 0.29366
3.70 −1.69326 2.34130 −2.66078 0.13149
3.80 −1.96742 2.34543 −2.82216 −0.05253
3.90 −2.25760 2.33002 −2.98074 −0.25965
4.00 −2.56342 2.29269 −3.13465 −0.49114
4.10 −2.88431 2.23094 −3.28182 −0.74817
4.20 −3.21948 2.14217 −3.41995 −1.03186
4.30 −3.56791 2.02365 −3.54652 −1.34325
4.40 −3.92831 1.87256 −3.65877 −1.68325
4.50 −4.29909 1.68602 −3.75368 −2.05263
4.60 −4.67836 1.46104 −3.82801 −2.45201
4.70 −5.06388 1.19460 −3.87824 −2.88180
4.80 −5.45308 0.88366 −3.90060 −3.34218
4.90 −5.84294 0.52515 −3.89106 −3.83308
5.00 −6.23008 0.11603 −3.84534 −4.35414
5.10 −6.61065 −0.34666 −3.75890 −4.90464
5.20 −6.98035 −0.86584 −3.62697 −5.48350
5.30 −7.33436 −1.44426 −3.44453 −6.08923
5.40 −7.66739 −2.08452 −3.20636 −6.71986
5.50 −7.97360 −2.78898 −2.90703 −7.37291
5.60 −8.24658 −3.55975 −2.54096 −8.04536
5.70 −8.47937 −4.39858 −2.10240 −8.73357
5.80 −8.66445 −5.30685 −1.58551 −9.43325
5.90 −8.79367 −6.28545 −0.98438 −10.13939
(continued)

COPYRIGHT
AS 3857—1999 28

TABLE B1 (continued)

x ber bei ber′ bei′

6.00 −8.85832 −7.33475 −0.29308 −10.84622
6.10 −8.84908 −8.45449 0.49429 −11.54718
6.20 −8.75606 −9.64374 1.38352 −12.23481
6.30 −8.56879 −10.90074 2.38035 −12.90078
6.40 −8.27625 −12.22286 3.48985 −13.53576
6.50 −7.86689 −13.60651 4.71738 −14.12942
6.60 −7.32869 −15.04699 6.06746 −14.67041
6.70 −6.64918 −16.53842 7.54418 −15.14626
6.80 −5.81551 −18.07363 9.15098 −15.54341
6.90 −4.81456 −19.64399 10.89051 −15.84711
7.00 −3.63293 −21.23940 12.76452 −16.04149
7.10 −2.25715 −22.84808 14.77372 −16.10948
7.20 −0.67370 −24.45648 16.91758 −16.03286
7.30 1.13080 −26.04919 19.19421 −15.79221
7.40 3.16946 −27.60877 21.60012 −15.36700
7.50 5.45496 −29.11571 24.13012 −14.73560
7.60 7.99938 −30.54826 26.77706 −13.87533
7.70 10.81396 −31.88236 29.53136 −12.76255
7.80 13.90892 −33.09154 32.38218 −11.37273
7.90 17.29313 −34.14683 35.31443 −9.68062
8.00 20.97396 −35.01673 38.31133 −7.66032
8.10 24.95690 −35.66708 41.35277 −5.28548
8.20 29.24521 −36.06112 44.41531 −2.52956
8.30 33.83976 −36.15940 47.47210 0.63410
8.40 38.73840 −35.91983 50.49241 4.23183
8.50 43.93587 −35.29770 53.44162 8.28952
8.60 49.42311 −34.24576 56.28083 12.83214
8.70 55.18692 −32.71432 58.96671 17.88338
8.80 61.20974 −30.65138 61.45136 23.46546
8.90 67.46872 −28.00288 63.68195 29.59828
9.00 73.93573 −24.71278 65.60077 36.29938
9.10 80.57644 −20.72355 67.14489 43.58300
9.20 87.34994 −15.97642 68.24618 51.45962
9.30 94.20846 −10.41165 68.83119 59.93556
9.40 101.09633 −3.96931 68.82112 69.01181
9.50 107.95003 3.41057 68.13184 78.68389
9.60 114.69714 11.78702 66.67398 88.94047
9.70 121.25605 21.21751 64.35308 99.76283
9.80 127.53566 31.75755 61.06958 111.12426
9.90 133.43444 43.45911 56.71986 122.98843
10.00 138.84047 56.37046 51.19526 135.30930
10.10 143.6306 70.5344 44.3839 148.0293
10.20 147.6705 85.9873 36.1707 161.0788
10.30 150.8141 102.7584 26.4376 174.3751
10.40 152.9034 120.8673 15.0657 187.8208
10.50 153.7686 140.3238 1.9344 201.3036
10.60 153.2277 161.1251 −13.0758 214.6944
10.70 151.0869 183.2546 −30.0828 227.8464
10.80 147.1407 206.6809 −49.2021 240.5946
10.90 141.1724 213.3539 −70.5436 252.7541
11.00 132.9544 257.2052 −94.2119 264.1194
11.10 122.2492 284.1440 −120.3022 274.4635
11.20 108.8104 312.0555 −148.8993 283.5370
11.30 92.3834 340.7999 −180.0760 291.0677
11.40 72.7074 370.2077 −213.8880 296.7594
11.50 49.5166 400.0798 −250.3744 300.2921
11.60 22.5436 430.1830 −289.5517 301.3214
11.70 −8.4831 460.2438 −331.4116 299.4785
11.80 −43.8279 489.9698 −375.9191 294.3705
11.90 −83.7528 518.9997 −423.0057 285.5809
(continued)

COPYRIGHT
 29 AS 3857—1999

TABLE B1 (continued)

x ber bei ber′ bei′

12.00 −128.5116 546.9486 −472.5688 272.6700
12.10 −178.3448 573.3812 −524.4648 255.1767
12.20 −233.4760 597.8151 −578.5058 232.6197
12.30 −294.1096 619.7196 −634.4568 204.4986
12.40 −360.4213 638.5122 −692.0275 170.2984
12.50 −432.5575 653.5589 −750.8715 129.4895
12.60 −510.6250 664.1720 −810.5780 81.5341
12.70 −594.6858 669.6094 −870.6682 25.8888
12.80 −684.7530 669.0752 −930.5921 −37.9919
12.90 −780.7775 661.7186 −989.7195 −110.6466
13.00 −882.6466 646.6357 −1047.3396 −192.6057
13.10 −990.1694 622.8701 −1102.6526 −284.3801
13.20 −1103.0704 589.4164 −1154.7662 −386.4545
13.30 −1220.9831 545.2207 −1202.6934 −499.2827
13.40 −1343.4330 489.1880 −1245.3447 −623.2706
13.50 −1469.8363 420.1827 −1281.5285 −758.7745
13.60 −1599.4809 337.0389 −1309.9447 −906.0818
13.70 −1731.5192 238.5661 −1329.1844 −1065.4014
13.80 −1864.9611 123.5542 −1337.7285 −1236.8551
13.90 −1998.6539 −9.2095 −1333.9457 −1420.4528
14.00 −2131.2812 −160.9377 −1316.0930 −1616.0894
14.10 −2261.3431 −332.8218 −1282.3215 −1823.5167
14.20 −2387.1494 −526.0203 −1230.6708 −2042.3303
14.30 −2506.8125 −741.6483 −1159.0808 −2271.9580
14.40 −2618.2290 −980.7462 −1065.3966 −2511.6257
14.50 −2719.0803 −1244.2754 −947.3726 −2760.3541
14.60 −2806.8156 −1533.0807 −802.6876 −3016.9222
14.70 −2878.6496 −1847.8715 −628.9560 −3279.8521
14.80 −2931.5571 −2189.2048 −423.7367 −3547.3942
14.90 −2962.2652 −2557.4389 −184.5624 −3817.4872
15.00 −2967.2545 −2952.7079 91.0553 −4087.7552
15.10 −2942.7568 −3374.9042 405.5874 −4355.4670
15.20 −2884.7591 −3823.6121 761.4658 −4617.5208
15.30 −2789.0061 −4298.1033 1161.0648 −4870.4297
15.40 −2651.0138 −4797.2623 1606.6424 −5110.2827
15.50 −2466.0737 −5319.5798 2100.3324 −5332.7431
15.60 −2229.2771 −5863.0758 2644.0741 −5533.0137
15.70 −1935.5341 −6425.2666 3239.5761 −5705.8270
15.80 −1579.5882 −7003.1339 3888.2846 −5845.4348
15.90 −1156.0681 −7593.0377 4591.2872 −5945.5849
16.00 −659.4969 −8190.7100 5349.3019 −5999.5236
16.10 −84.3614 −8791.1649 6162.5669 −5999.9828
16.20 574.8540 −9388.6698 7030.7970 −5939.1841
16.30 1323.5915 −9976.6777 7953.0847 −5808.8462
16.40 2167.2146 −10547.8219 8927.8925 −5600.1845
16.50 3110.8499 −11903.8000 9952.8636 −5303.9433
16.60 4159.3616 −11605.3721 11024.8032 −4910.4126
16.70 5317.2477 −12072.3061 12139.5694 −4409.4638
16.80 6588.5154 −12483.3305 13291.9547 −3790.6044
16.90 7976.6708 −12826.1300 14475.6755 −3042.9824
17.00 9484.4544 −13087.2682 15683.1382 −2155.5202
17.10 11113.8061 −13252.1987 16905.4220 −1116.9456
17.20 12865.7016 −13305.2421 18132.1517 84.1083
17.30 14739.9655 −13229.5850 19351.3684 1458.9723
17.40 16735.2544 −13007.2774 20549.5171 3018.9318
17.50 18848.6712 −12619.2610 21711.2023 4774.9354
17.60 21075.7234 −12045.3991 22819.1805 6737.5457
17.70 23410.0964 −11264.5262 23854.2404 8916.7459
17.80 25843.4051 −10254.5367 24795.0954 11321.7045
17.90 28365.1714 −8992.3907 25618.3709 13960.7555
(continued)

COPYRIGHT
AS 3857—1999 30

TABLE B1 (continued)

x ber bei ber′ bei′

18.00 30962.3273 −7454.3370 26298.4235 16840.8964
18.10 33619.1747 −5615.9739 26807.3544 19967.7186
18.20 36317.1098 −3452.4240 27114.9443 23345.0938
18.30 39034.3380 −938.5724 27188.6261 26974.8103
18.40 41745.8455 1950.9153 26993.4767 30856.5409
18.50 44422.8529 5241.0567 26492.2221 34987.0917
18.60 47032.7899 8956.4532 25645.2886 39360.3156
18.70 49539.0163 13120.9250 24410.8689 43966.6669
18.80 51900.5603 17757.0579 22745.0619 48792.7063
18.90 54072.0898 22886.1655 20601.8778 53821.0543
19.00 56003.4505 28527.3154 17933.6095 59029.4005
19.10 57639.6801 34697.1857 14690.9414 64390.4142
19.20 58920.8170 41409.4461 10823.2541 69871.1856
19.30 59781.7741 48674.0326 6279.0486 75432.6411
19.40 60152.3181 56497.0824 1005.9763 81029.4817
19.50 59956.9331 64879.4235 −5048.1895 86609.0543
19.60 59114.9081 73816.3902 −11935.3650 92111.2849
19.70 57540.3843 83296.9126 −19706.4832 97468.0882
19.80 55142.5405 93302.4965 −28410.6475 102602.7992
19.90 51825.5972 103807.1250 −38095.0617 107430.1049
20.00 47489.3703 114775.1974 −48803.1979 111855.0252

COPYRIGHT
 31 AS 3857 — 1999

APPENDIX C
SAMPLE CALCULATION SHEETS AND WORKED EXAMPLES
(Informative)

C1 SCOPE This Appendix sets out sample calculation sheets for fixed tubeplates and
for the tubeplate of a U-tube heat exchanger. It also provides worked examples for such
types of tubeplates.

COPYRIGHT
AS 3857—1999 32

CALCULATED RESULTS Unit

C2 SAMPLE CALCULATIONS
Length Ls = mm
C2.1 Fixed tubeplate calculation Radius rg = Rm = R = mm
VESSEL IDENTIFICATION: Area fraction at = as = q =
VESSEL CONDITION: Metal X-area At = As = mm2
SKETCH: Axial stiffness kt = ks N/mm
Flex. constants fbt = Ep = MPa
νp =
Df = Dc = Ds = D = N.mm
lc = ls = a = mm
XR =
βf = βc βs = β = N.mm/rad
Pressure moments Mb = Mp = N.mm

MISCELLANEOUS CONSTANTS

W1t = W2t = W3t = mm

W1s = W2s = W3s = W4s = mm
Wt = Ws = WR = mm
φR = rad
b1 = b2 = b3 = b4 =
e1 = e2 = e3 = e4 = 1/mm
Tubes Shell Tubeplate Unit a1 = a2 = a3 = a4 =
∆ =
INPUT DATA
A = B = C = mm
Thickness tt = ts = tp = mm
tc = (0 if none) tf = mm STRESS CALCULATIONS Stress multiplier Y =
Number Nt = Np =
Dimensions— mm Maximum Minimum Max. abs.
Ri = Rb =
Rg = Rf = mm Displacement W mm
dt = dp = mm W − W2t − W3t = mm
Lt = L = P = mm Radial moment Mr N.mm/mm
Bafl.-Bafl.: Lu = (F = 1) mm
Circumferential moment Mc N.mm/mm
Bafl.-T’sht: Lu = (F = 2) mm
T’sht-T’sht: Lu = (F = 4) mm Stresses Limit
Expn joint—
stiffness ke = (0 if none) N/mm Tubeplate:
Poisson coeff. Z = (0 if none) mm/MPa Mean ligament bending Sb MPa
Length Le = We = mm Ligament peak Sp MPa
OPERATING CONDITIONS Tubes:
Circumferential Sc MPa
Pressure pt = ps = MPa
Axial—Maximum & min. Sa MPa
Mean metal temp. θt = θs = θp = °C
Axial comp.—Maximum Sa MPa
Material
Stress intensity St max. MPa
Design strength ft = fs = fp = MPa
Young modulus Et = Es = E = MPa Shell:
Ec = MPa Circumferential and axial Sc, S a MPa
Mean exp coeff αt = αs = αp = 1/K Stress intensity Ss max. MPa
Joint efficiency ηt = ηs = ηp =

COPYRIGHT
 33 AS 3857—1999

C2.2 U-tube/tubeplate calculation

VESSEL IDENTIFICATION:
VESSEL CONDITION:
SKETCH:

Tubeside Shellside Tubeplate Unit

INPUT DATA
Thickness tc = ts = tp = mm
tf = mm
Number Nt = Np =
Dimensions Ri = Rb = mm
Rg = Rf = mm
dt = dp = mm
P = mm
OPERATING CONDITIONS
Pressure pt = ps = MPa
Mean metal temp. θc = θs = θp = °C
Material
Design strength fp = MPa
Young modulus Ec = Es = E = MPa
CALCULATED RESULTS
Rm = R = mm
νp = q =
Ep = MPa
Df = Dc = Ds = D = N.mm
lc = ls = mm
βf = βc = βs = β = N.mm/rad
Mb = Mp = N.mm
φR = φu = rad
βu = N/rad
Me Mu = Mmax = N.mm/mm
STRESS CALCULATION Stress multiplier Y =
Maximum Limit Unit
Mean Ligament Sb MPa
Ligament peak Sp MPa

COPYRIGHT
AS 3857—1999 34

C3 WORKED EXAMPLES CALCULATED RESULTS* Unit

Length Ls = 2380.0 mm
C3.1 Fixed tubeplate calculation
Radius rg = 8.303 Rm = 415.00 R = 379.40 mm
Area fraction at = 0.602 31 as = 0.439 74 q = 0.2031
VESSEL IDENTIFICATION: Test case to AS 1210 Supplement 1 Metal X-area At = 73 513 As = 26 075 mm 2
VESSEL CONDITION: Class 1H Axial stiffness kt = 5 822 251 ks = 2 136 415 N/mm
SKETCH: New—uncorroded Flex. constants f bt = 534.329 Ep = 28 604 MPa
νp = 0.441
Df = 3.857E + 09 Dc = 0.000E + 00 Ds = 1.786E + 07 D = 6.391E + 08 N.mm
lc = 0.000 ls = 50.117 a = 70.581 mm
XR = 5.375
βf = 6.647E + 09 βc = 0.000E + 00 Bs = 5.414E + 09 β = 1.206E + 10 N.mm/rad
Pressure moments Mb = 6.69E + 07 Mp = 2 026 499 N.mm
MISCELLANEOUS CONSTANTS
Wlt = −0.038 W2t = −0.017 W3t = 1.107 mm
Wls = −0.027 W2s = −0.036 W3s = 1.891 W4s = −0.203 mm
Wt = 1.052 Ws = 1.625 WR = 0.572 mm
φR = 5.71E−0.3 rad
b1 = −7.588 b2 −1.921 b3 = −0.608 b4 = −1.221 1/mm
e1 = 0.025 e2 = 0.069 e3 = −0.141 e4 = −0.217
a1 = −19.270 a2 = 9.117 a3 = 0.095 a4 = −0.310
∆ = 5.106
A = 1.052 B = −0.045 C = −0.032 mm
Tubes Shell Tubeplate Unit STRESS CALCULATIONS Stress multiplier Y = 2.295
INPUT DATA Maximum Minimum Max. abs. Unit
Thickness tt = 2.0 ts = 10.0 tp = 60.0 mm Displacement W 1.455 0.986 mm
tc = 0 tf = 60.0 mm W − W2t − W3t = 0.365 −0.104 0.365 mm
Number Nt = 500 Np = 510 Radial moment Mr 23 830 −2976 N.mm/mm
Dimensions— Ri = 410 Rb = 470 mm Circumferential moment Mc 16 397 −2976 23 830 N.mm/mm
Rg = 440 Rf = 500 mm
dt = 25.4 mm Stresses Limit Unit
dp = 25.5
Lt = 2 500 L = 2 500 P = 32.0 mm Tubeplate:
Bafl.-Bafl.: Lu = 410 (F = 1) mm Mean ligament bending S b 195.5 268.5 MPa
Bafl.-T’sht: Lu = 500 (F = 2) mm Ligament peak Sp 448.8 537.0 MPa
T’sht-T’sht: Lu = 0 (F = 4) mm
Tubes:
Exp’n joint—
Circumferential Sc 8.8 MPa
Stiffness ke = 0 N/mm
Axial—Maximum & min. Sa 57.7 −16.5 84.5 MPa
Poisson coeff. Z = 0 mm/MPa
Axial comp.—Maximum Sa 16.5 161.1 MPa
Length Le = 0 We = 0.0 mm
Stress intensity St max. 57.7 143.7 MPa
OPERATING CONDITIONS
Shell:
Pressure pt = 2.0 ps = 0.5 MPa Circumferential and axial Sc, S a 20.8 −35.9 MPa
Mean metal temp. θt = 100.0 θs = 150.0 θp = 150 °C Stress intensity Ss max. 56.6 148.0 MPa
Material AS 1836 TW9 AS 1548-7-430 AS 1548-5-490
Design strength ft = 169.0 fs = 148.0 fp = 179.0 MPa
* In this worked example, some mathematical symbols are expressed in computer style, e.g. ‘E + 09’ is used for ‘× 109’, ‘E − 03’ is used
Young modulus Et = 198 000 Es = 195 000 E = 195 000 MPa
for ‘× 10-3’
Ec = 195 000 MPa
Mean exp coeff. αt = 0.000 012 1 αs = 0.000 012 4 1/K
Joint efficiency ηt = 0.85 ηs = 1.0 ηp = 0.5

COPYRIGHT
 35 AS 3857—1999

FIGURE C1 FIXED TUBEPLATE ANALYSIS

COPYRIGHT
AS 3857—1999 36

C3.2 U-tube/tubeplate calculation

VESSEL IDENTIFICATION: Test case
VESSEL CONDITION: New—uncorroded
SKETCH:

Tubeside Shellside Tubeplate Unit

INPUT DATA
Thickness tc = 0 ts = 0 tp = 60.0 mm
tf = 60.0 mm
Number Nt = 280 Np = 285
Dimensions Ri = 300 Rb = 410 mm
Rg = 370 Rf = 370 mm
dt = 25.4 dp = 25.5 mm
P = 32.0 mm
OPERATING CONDITIONS
Pressure pt = 1.75 ps = 0.5 MPa
Mean metal temp. θc = 100.0 θs = 200 θp = 150.0 °C
Material AS 1548-7-430 AS 1548-7-430 AS 1548-7-430
Design strength fp = 108.0 MPa
Young modulus Ec = 198 000 Es = 192000 E = 195 000 MPa
CALCULATED RESULTS
Rm = 300.00 R = 283.62 mm
νp = 0.441 q = 0.2031
Ep = 28 604 MPa
Df = 3.87E + 09 Dc = 0.000E + 00 Ds = 0.000E + 00 D = 6.391E + 08 N.mm
lc = 0.000 ls = 0.000 mm
βf = 6.406E + 09 βc = 0.000E + 00 βs = 0.000E + 00 β = 6.406E + 09 N.mm/rad
Mb = 0.000E + 00 Mp = 9.58E + 06 N.mm
φR = 1.49E − 03 φu = 3.87E − 03 rad
βu = 3.247E + 06 N/rad
Me = −13 126 Mu = 21 623 Mmax = 17569 N.mm/mm
STRESS CALCULATION Stress multiplier Y = 2.295
Maximum Limit Unit
Mean Ligament Sb 144.2 162.0 MPa
Ligament peak Sp 330.9 324.0 MPa

COPYRIGHT