Analytical Modeling of

Hydraulically Expanded
Nor Eddine Laghzale
Ph.D. Student
e-mail: lagnore@yahoo.com
Abdel-Hakim Bouzid
Professor
e-mail: hakim.bouzid@etsmtl.ca
Department of Mechanical Engineering,
Ecole de Technologie Superieure,
1100 Rue Notre-Dame Ouest,
Montreal, QC, H3C 1K3, Canada
Tube-To-Tubesheet Joints
The loss of the initial tightness during service is one of the major causes of failure of
tube-to-tubesheet joints. The initial residual contact pressure and its variation during the
lifetime of the joint are among the parameters to blame. A reliable assessment of the
initial contact pressure value requires accurate and rigorous modeling of the elastoplas-
tic behavior of the tube and the tubesheet during the expansion process. This paper deals
with the development of a new analytical model used to accurately predict the residual
contact pressure resulting from a hydraulic expansion process. The analytical model is
based on the elastic perfectly plastic material behavior of the tube and the tubesheet and
the interaction between these two elements of the expanded joint. The model results have
been compared and validated with those of the more accurate finite element analysis
models. Additional comparisons have been made with existing methods.
关DOI: 10.1115/1.3027462兴

Introduction
The process of expansion of tube-to-tubesheet joints is not ad-
equately covered by a detailed standardized design procedure.
While existing standards such as TEMA, ASME, CODAP, UPV,
and JIS give detailed structural integrity calculations of heat ex-
changers, they do not account for the tube expansion 关1兴. TEMA
standard 关2兴 provides some guidance as the preparation of the
components being subjected to the expansion process in terms of
dimensions and clearance of the tubes and tubesheet holes. How-
ever it does not give a step by step design methodology to follow
to achieve a desired structural integrity and tightness after the
expansion process of the tube-to-tubesheet joint. It is often left to
the good judgment of the design or manufacturing engineer and
the limited tests conducted on few samples, which occasionally
lead to unsatisfactory operation.
The expansion of tube-to-tubesheet joints has been the subject
of both analytical and experimental studies. Several researchers
have developed analytical models and proposed equations that
give the residual contact pressure 关3–6兴. Finite element analyses
共FEAs兲 have been conducted to verify the available analytical
solutions, and adjustments have been proposed in some cases
关7,8兴. The effects of tube-to-hole clearance and material hardening
were also studied in Refs. 关8–12兴. Studies to explain the various
failure mechanisms in the expanded-to-unexpanded transition
zones have been reported in Refs. 关12–17兴. Several push-pull tests
were completed mainly to evaluate the strength of the tube-to-tube
sheet and tightness, as described in Refs. 关18–20兴.
elastic perfectly plastic tube behavior was proposed 关4兴. Based on
the displacement of the tube and the tubesheet at the contact di-
ameter, the method proposes the following equation:
1
P*c = 共Pe − Pmin兲 共1兲
K
Pmin denotes the minimal pressure that closes the joint without
residual contact pressure and is compared to the pressure that
causes the tube to be fully autofrettaged. The constant K is a
coefficient that takes account of the geometrical and material char-
acteristics of the joint. Later, thanks to a comparison with a finite
element analysis, Allam et al. 关6兴 modified Eq. 共1兲 by introducing
two coefficients ␣1 and ␣2, which correct for the von Mises yield
criterion. The values of these coefficients are 1.15 and 0.85, re-
spectively, noting that these values are close to 2 / 冑3 and its in-
verse, respectively. Equation 共1兲 is then put in the form below,
␣1
P*c = 共Pe − ␣2 · Pmin兲 共2兲
K
In 1992, Yokell 关5兴 developed a model based on an infinite
sleeve thickness and proposed a new residual contact pressure
formula given by Eq. 共3兲. While the von Mises criterion is used
with a perfectly plastic tube behavior, The tube and the sleeve that
model the tubesheet are supposed to be of the same material, and
the sleeve external diameter is assumed to be infinite,

Theoretical Background
In the absence of defect of the crystalline structure of material,
the rigidity of the expanded joint is affected by several design
冋 冉 冊 册 冉 冑 冊 冋 冉 冊册
P*c = Pe 1 −
ri
ro
2
−
2
3
Syt ln
ro
ri
共3兲

parameters including the types of materials used and the geometri-
cal characteristics of the joint. Generally, this is measured in terms
of residual contact pressure. The theoretical analysis of the re-
sidual stresses in the joints and, particularly, the residual contact
pressure was the subject of investigation of several authors. In
1976, a formulation of the residual contact pressure based on an
Contributed by the Pressure Vessel and Piping Division of ASME for publication
in the JOURNAL OF PRESSURE VESSEL TECHNOLOGY. Manuscript received April 4, 2007;
final manuscript received October 2, 2007; published online December 1, 2008.
Review conducted by G. E. Otto Widera. Paper presented at the 2007 ASME Pres-
sure Vessels and Piping Conference 共PVP2007兲, San Antonio, TX, July 22–26, 2007.
This paper presents a new proposed analytical approach based
on a rigorous analysis of the hydraulically expanded tube-to-
tubesheet process. The elastic perfectly plastic behavior of both
the tube and tubesheet during the loading phase and the reverse
yielding of the tube that may occur during the unloading phase are
considered. The method is based on the compatibility equation of
the radial displacement at the interface of both the tube and the
tubesheet for the case of plane stress using the Tresca yield crite-
rion. The buildup of the contact pressure is analyzed during the
whole expansion process and is given as a function of the expan-
sion pressure loading and unloading sequences, as shown in Fig.
1.

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 The expressions of the radial and tangential stresses, at ri and ro
of the tube according to the expansion pressure Pe, are given
below by the Lamé equations,
␴rt共ri兲 = − Pe
共6兲
Pe共1 + Y t2兲
␴␪t 共ri兲 =
共Y t2 − 1兲
and
␴rt共ro兲 = 0
共7兲
2Pe
␴␪t 共ro兲 =
共Y t2 − 1兲
Fig. 1 Expansion pressure sequence
Tube Elastoplastic Deformation. Beyond the pressure Pesyt, the
tube starts to deform plastically starting at the inner surface. The
elastic-plastic zonestresses are given in Ref. 关23兴. The equation for
3 Analytical Model the pressure that causes a plastic zone of radius ct is
In the analytical model, the tubesheet is modeled by a sleeve
with an equivalent external diameter, as described by Chaaban
et al. 关21兴 and later used by Kohlpaintner 关22兴. It is assumed that
Pe =
Syt
2
冋ct2
1 − 2 + 2 ln
ro
ct
ri
冉 冊册 共8兲

the tube undergoes plastic collapse before it contacts the Equation 共5兲 remains valid in the elastic zone and can be used
tubesheet. According to the maximum level of the expansion pres- to determine the displacement of the tube outside the radius as a
sure, the geometrical and material characteristics of the joint, function of the elastic-plastic interface radius c. Replacing Pe by
three cases will be distinguished: Pesyt and Y t by Y tc = ro / c in Eqs. 共4兲 and 共5兲 gives
1—case of expansion without plastic deformation of the sleeve
共Fig. 1 steps 1-2-3-4-ab-5-bfg兲. roSyt
2—case of expansion with plastic deformation of the sleeve Ut共ro兲 = 2 共9兲
EtY tc
during the loading phase 共Fig. 1 steps 1-2-3-4-acd-5-dhi兲.
3—case of expansion with plastic deformation of the sleeve and The collapse condition is given by Eq. 共8兲 with c = ro and Y tc = 1
reverse yielding of the tube during the unloading phase shown by such that
the steps fg⬘ or hi⬘ 共Fig. 1 steps 1…5-bfg⬘ or 5-dhi⬘兲. PAt = Syt ln共Y t兲 共10兲
The analytical results of three different cases will be compared
to those of FEA. Results from Eqs. 共1兲–共3兲 will also be compared The stresses at ro are given by Lamé equations substituting the
and commented on in this paper. pressure with Eq. 共4兲:

Expansion Without Tubesheet Plastic Deformation. Refer- ␴rt共ro兲 = 0

ring to Fig. 1, the loading phase shown under steps 1 and 2 cor- 共11兲
responds to the elastic and plastic deformations of the tube. In step Syt
3, the tube already in the fully plastic state comes into contact ␴␪t 共ro兲 = 2
Y tc
with the tubesheet closing the gap without requiring any increase
in pressure. Step 4 corresponds to the elastic deformation of the The expressions of the stress at ri can be evaluated by considering
tubesheet. Finally step 5 represents the elastic recovery of the tube the plastic zone 关23兴,
and the tubesheet. It is important to note that the slopes of the ␴rt共ri兲 = − Pe
curves of Fig. 1 represent the rigidity of the structure and its
共12兲
冉 冉 冊 冉 冊冊
capability to resist pressure. Therefore, the slope of step 1 line 2 2
represents the tube rigidity. In step 2, the tube rigidity decreases to ri 1 Y tc −1
␴␪t 共ri兲 = Syt 1 + ln − 2
become zero at the end of this step and during step 3 in which c 2 Y tc
case the tube cannot resist pressure. In step 4 the slope represents
the rigidity of the tubesheet, while the tube does not resist even Closing of the Initial Clearance. Theoretically, no increase in
though the pressure acts on it. During unloading, in step 5, the the expansion pressure Pe beyond PAt is necessary to close the
pressure is resisted by both the tube and the tubesheet in which gap, and the displacement evolves independently until contact
case their combined rigidity represented by the slope of the un- with the tubesheet. The stress states at ri and ro are
loading line is higher than that of the tube or the tubesheet alone.
␴rt共ro兲 = 0
Tube Elastic Deformation. Under the effect of the expansion 共13兲
pressure, the tube deforms elastically until it reaches the value of ␴␪t 共ro兲 = Syt
Pesyt, the pressure at which yield of the tube starts. According to
the Tresca yield criterion, this pressure is given by and

Syt 共Y t2 − 1兲 ␴r共ri兲 = − Pe
Pesyt = 共4兲 共14兲
2 Y t2
␴␪共ri兲 = Syt − Pe
In the elastic range, considering the tube as an open-ended thick
cylinder subjected to an internal pressure, the outer radius dis- Elastic Expansion of Tubesheet. After step 3, the sleeve starts to
placement is given as follows: deform elastically by undergoing the same displacement at its
2Pero inside diameter 共ID兲 as the tube outside diameter 共OD兲 minus the
Ut共ro兲 = 共5兲 clearance. This is shown in step 4 of Fig. 1 when going from a to
Et共Y t2 − 1兲 b without surpassing point c. A contact pressure Pc builds up at

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 the interface until the expansion pressure Pe takes its maximum P*c = Peគmax共1 − 2␥兲 − pAt 共24兲
value Peគmax. In this case, the maximum pressure is supposed to be
lower than the expansion pressure Pesys required to cause the The interfacial displacement is given by
tubesheet to start yielding. The case of the tubesheet deforming
plastically, where Peគmax is higher than Pesys, will be treated later. Ri共Pc − Pcគmax兲关1 − ␯s + 共1 + ␯s兲Y s2兴
Ut共ro兲 =兩Ut共ro兲兩 Peគmax +
The relation binding the expansion pressure and the contact pres- Es共Y s2 − 1兲
sure is given by
共25兲
Pc = Pe − PAt = Pe − Syt ln共Y t兲 共15兲
where 兩Ut共ro兲兩 Peគmax is obtained by replacing Pe by Peគmax in Eq.
The radial displacement of the tube outer radius is given by that 共16兲. The tube stresses at ro are given by
of the tubesheet inner radius to which the clearance is added such
that ␴rt共ro兲 = − Pc␴␪t 共ro兲 =兩␴␪t 共ro兲兩 Peគmax
Ri共Pe − PAt兲共1 − ␯s + 共1 + ␯s兲Y s2兲 2共Peគmax − Pe兲 − 共Y t2 + 1兲共Pcគmax − Pc兲
Ut共ro兲 = C + 共16兲 − 共26兲
Es共Y s2 − 1兲 Y t2 − 1
The stresses at the tube ro are
where 兩␴t␪共ro兲兩 Pcគmax is obtained by replacing Pe by Peគmax in Eq.
␴rt共ro兲 = − Pc = − 共Pe − PAt兲 共17兲. The tube stresses at ri are given by
共17兲
␴␪t 共ro兲 = Syt − Pc = Syt − 共Pe − PAt兲 ␴rt共ri兲 = − Pe␴␪t 共ri兲 =兩␴␪t 共ri兲兩 Peគmax
And at the tube inner radius ri the stress state is still given by Eq. 共Y t2 + 1兲共Peគmax − Pe兲 − 2Y t2共Pcគmax − Pc兲
共14兲. At the tubesheet inner radius Ri, the Lamé equations apply, − 共27兲
Y t2 − 1
␴rs共Ri兲 = − Pc = − 共Pe − PAt兲
where 兩␴t␪共ri兲兩 Pcគmax is obtained by replacing Pe by Peគmax in Eq.
共18兲 共14兲, and the tubesheet stresses at Ri are given by
共1 + Y s2兲共Pe − PAt兲
␴␪s 共Ri兲 =
共Y s2 − 1兲 共Y s2 + 1兲共Pcគmax − Pc兲
␴rs共Ri兲 = − Pc␴␪s 共Ri兲 =兩␴␪s 共Ri兲兩 Peគmax −
Y s2 − 1
Unloading Phase Without Tubesheet Yielding. The contact pres-
sure is obtained by an analysis of the radial displacement of both 共28兲
the tube and tubesheet at their interface known as the geometrical where 兩␴s␪共Ri兲兩 Pe max
is obtained by replacing Pe by Peគmax in Eq.
compatibility equation. As shown in Fig. 1, once the contact has
established the loading starting from point a in step 4 and in 共18兲. The state of stress and displacement is given as a function of
subsequent steps the change in radial displacement is the same. In the expansion pressure and the contact pressure during the unload-
particular, the change in the radial displacement of the tube and ing phase. The residual stresses and displacement at the end of the
tubesheet at the interface during the unloading phase is given by expansion process may be given by setting the expansion pressure
Pe to zero and replacing the contact pressure Pc by its residual
⌬Ut共ro兲 = ⌬Us共Ri兲 共19兲 value P*c as per Eq. 共24兲.
During unloading, the tube relative radial displacement is given
by the elastic recovery from the state where it is subjected to
maximal internal and external pressures Peគmax and Pcគmax to a Expansion With Elastoplastic Deformation of Tubesheet
lower state level of internal and external pressures Pe and Pc such Loading Phase With Tubesheet Partial Yielding. Referring to
that Fig. 1, if the expansion is increased beyond point c during step 4,

⌬Ut共ro兲 =
2ro共Peគmax − Pe兲
Et共Y t2 − 1兲
−
Et
冉
共Pcគmax − Pc兲ro Y t2 + 1
Y t2 − 1
− ␯t 冊 the tubesheet starts to deform plastically. The calculation of the
radial interface displacement Urt共ro兲 and the stress at ri, ro, and Ri
is similar to what was elaborated previously. The expansion pres-
共20兲 sure required to start yielding the tubesheet Pesys is given by Eq.
共4兲 applied to the tubesheet to which the tube collapsed pressure is
The tubesheet relative radial displacement at the inner radius Ri
added such that
共and noting that Ri = ro兲 is given by the elastic recovery from the
state where it is subjected to maximal internal contact pressures Sys 共Y s2 − 1兲
Pcគmax to the lower state level of internal pressure Pc such that Pesys = PAt + 共29兲
2 Y s2

⌬Us共ro兲 =
Es
冋
ro共Pcគmax − Pc兲 Y s2 + 1
Y s2 − 1
+ ␯s 册 共21兲
Beyond the pressure Pesys, the cross section of the tubesheet is
divided into two zones delimited by a circle of radius cs: an elastic
zone and a plastic zone. It is supposed that the maximal expansion
Any time during the unloading, the contact pressure Pc may be pressure Pcគmax remains below the pressure, which causes the
given as a function of the expansion pressure Pe by equating Eqs. plastic collapse of the tubesheet, that is to say,
共20兲 and 共21兲,
Pc = Peគmax − PAt − 2␥共Peគmax − Pe兲 共22兲 Peគmax 艋 PAt + PAs
共30兲
where ␥ is given by Peគmax 艋 Syt ln Y t + Sys ln Y s
1

冉 冉 冊冊
␥= 共23兲 This expansion pressure is the maximum value not to be exceeded
Y t2 +1 Et Y s2 + 1 as it will theoretically compromise the integrity of the joint be-
共Y t2 − 1兲 − ␯t + + ␯s cause of a plastic collapse. For an expansion pressure higher than
Y t2 −1 Es Y s2 − 1
Pesys and lower than Peគmax, the radial displacement of the
The residual contact pressure P*c is given by putting Pe equal to tubesheet at the inner radius is given by considering an elastoplas-
zero in Eq. 共22兲 such that tic cylinder under plane stress,

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 Us共Ri兲 =
Sys
Es
再
Ri共1 − 2␯s兲 ln
Ri
cs
−
1
2
冋冉冊 册
+
cs2
2R2o
共1 − ␯ s兲 +
cs2
2Ri2
共2 − ␯s兲 冎 共31兲

The radial displacement of the tube is given by

Ut共ro兲 = C + Us共Ri兲 共32兲
In this equation, the determination of Ut共ro兲 is conditioned by the
determination of the tubesheet elastoplastic radius cs. Combining
Eqs. 共15兲 and 共18兲 applied to the case of the tubesheet gives the
expansion pressure to produce a plastic zone in the tubesheet of
radius cs,

Pe = PAt +
Sys
2
冋 冉冊
2 ln
cs
Ri
cs2
+1− 2
Ro
册 共33兲

The state of stress at the tube inner radius is

␴rs共Ri兲 = 冋
Sys cs2
2 R2o
冉 冊册
− 1 − 2 ln
cs
Ri
␴␪s 共Ri兲 = Sys + ␴rs共Ri兲

冋 冉冊 册
Fig. 2 Tube in partial reverse yielding
Sys cs cs2
= 1 − 2 ln + 2 共34兲
2 Ri Ro
The state of stress at the tube inner and outer radii are given by
pletely released a plastic zone is present. When Prp is reached, the
Eqs. 共14兲 and 共17兲
stress state of the tube inner radius is ␴t␪共ri兲 艋 ␴rt共ri兲 艋 ␴zt共ri兲 = 0
Unloading Phase With Tubesheet Plastic Deformation. The pro- with yield being reached. Then it follows that
cedure to determine the contact pressure Pc is identical to the one
that lead to Eqs. 共22兲 and 共24兲, which are still applicable. The ␴z共ri兲 − ␴␪共ri兲 = Syt 共36兲
displacement of the interface Ury共ro兲 is given by The tangential stress at the tube inner radius given by Eq. 共27兲
is substituted into Eq. 共36兲 to give
共Pc − Pcគmax兲共1 − ␯s + 共1 + ␯s兲Y s2兲
Ut共ro兲 = C + Us共Ri兲 + Ri 共Y t2 + 1兲共Peគmax − Pe兲 − 2Y t2共Pcគmax − Pc兲
Es共Y s2 − 1兲 2Syt − Peគmax = 共37兲
Y t2 − 1
共35兲
Replacing Pc by its expression of Eq. 共22兲 and Pe by Pry in Eq.
Us共Ri兲 is given by Eq. 共31兲, and cs can be found by solving nu-
共37兲, the pressure at which reverse yielding starts is obtained as
merically Eq. 共33兲 after replacing Pe by Peគmax. The state of stress
of the tube at ri and ro is given by Eqs. 共26兲 and 共27兲, while the Pry = Peគmax − 共Peគmax − 2Syt兲␭ 共38兲
state of stress of the tubesheet at Ri is given by Eq. 共28兲,
where
with 兩␴s␪共Ri兲兩 Peគmax given by Eq. 共34兲.
共Y t2 − 1兲2
Unloading Phase With Tube Reverse Yielding. There are ␭= 共39兲
cases where during the unloading phase, reverse yielding of the 4Y t2

冉 冊
− 共Y t4 − 1兲
tube occurs, as shown in Fig. 1, by steps fg⬘ or hi⬘. This phenom- Y t2 + 1 Et Y s2 + 1
enon is very frequent in thick autofrettaged cylinders 关23,24兴 and − ␯t + + ␯s
Y t2 − 1 Es Y s2 − 1
is analyzed in the case of hydraulically expanded tube-to-
tubesheet joints. The equations of the loading phase remain valid As the expansion pressure continues to decrease, the plastic
with or without tubesheet partial yielding. However, during the zone increases to reach a radius cry. The determination of the
unloading phase, a point is reached 共point f or g兲 where reverse residual contact pressure resides on the determination of this ra-
yielding starts at the tube inner radius. Let the expansion pressure dius crp. Let us consider the elastic zone of the tube, which is
at which this occurs be Prp. When the expansion pressure is com- subjected to reverse yielding, as shown in Fig. 2. This is a cylinder

Table 1 Geometry and material properties

Case 1 Case 2 Case 3

Tube Sleeve Tube Sleeve Tube Sleeve

ro, Ro 共mm兲 8.725 21.12 9.5 36 9.5 36

ri, Ri 共mm兲 7.709 8.750 7.3 9.516 Var. 9.518
Et, Es 共GPa兲 211 201 207 207 207 207
Syt, Sys 共MPa兲 345 414 248 248 248 500
␯ t, ␯ s 0.3 0.3 0.3 0.3 0.3 0.3
Peគmax 共MPa兲 228 260 260
C 共mm兲 0.0254 0.016 0.016

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 of Y ry = ro / cry subjected to an internal pressure P⬘ and an external
pressure Pc to which the stress at the beginning of the unloading
should be added to give
2 2 2
Y ry +1 2Y ry 1 + Y ry
Syt共2 − ln Y ry兲 − PAt = Pc − P⬘ 共40兲
Y t2 − 1 2
Y ry −1 2
Y ry −1
P⬘ is the pressure acting at r = cry. Equation 共40兲 has three un-
knowns P⬘, Pc, and Y ry. If the plastic zone is now considered, the
expression of P⬘ can be obtained by establishing the radial equi-
librium of the half tube cross section shown in Fig. 2, noting that
the tangential stress reaches yield everywhere in the plastic zone
because ␴t␪ 艋 ␴rt 艋 ␴zt = 0. Therefore,
Y ry
P⬘ = Syt + 共Pe − Syt兲 共41兲
Yt
An additional equation proves necessary to solve the problem.
It is the geometrical compatibility equation that states that the
change in the radial displacement at the interface during the un-
loading phase is the same for the tube and tubesheet as given by
Eq. 共19兲. The variation in the displacement at the tube outer radius
is obtained by considering the tube subjected to the inside and
outside pressures Peគmax and Pcគmax at the start of the unloading
and the elastic portion of the tube subjected to the inside and
outside pressures P⬘ and Pc such that

⌬Ut共ro兲 =
2ro Peគmax
Et共Y t2 − 1兲
−
Et
冉
Pcគmaxro Y t2 + 1
Y t2 − 1
− ␯t − 冊
2ro P⬘
Et共Y ry
2
− 1兲

+ 冉2
Pcro Y ry
2
+1
Et Y ry − 1
− ␯t 冊 共42兲

And for the tubesheet ⌬Ut共ro兲 is given by Eq. 共21兲. Combining

Eqs. 共21兲 and 共42兲 gives

冉冉
Et Y s2 + 1
2
Es Y s − 1
+ ␯s + 2 冊
Y t2 + 1
Yt − 1
2P⬘
− ␯t Pcគmax + 2 冊
−
2Peគmax
Y ry − 1 Y t2 − 1

冋 冊册
Pc =
2
Y ry
2
Y ry
+1
− 1
− ␯t + 冉
Et Y s2 + 1
Es Y s2 − 1
+ ␯s

共43兲
Equations 共40兲, 共41兲, and 共43兲 can be solved to give the three
parameters Pc, P⬘, and Y ry. The radius cry can therefore be ob-
tained as a function of the expansion pressure Pe. Of special in-
terest is its value when the expansion pressure is completely re-
moved. A positive value of the reverse yield pressure of Eq. 共38兲
indicates that reverse yielding occurs, and therefore a value of cry
between 1 and Y ry is obtained. A maximum residual contact pres-
sure can be reached before full collapse. Any increase in expan-
sion pressure beyond this maximum residual contact pressure will
not increase the residual contact pressure but will increase the
chance of a complete collapse of the joint. Equation 共30兲 gives the
limiting value of the expansion pressure.
The interfacial displacement Ut共ro兲 is given by Eq. 共35兲, while
the tubesheet stress state at Ri is given by Eq. 共28兲 in which the
tangential stress at Pe = Peគmax is given by Eq. 共18兲 or 共34兲 depend-
ing on the tubesheet yielding. The stress state of the tube outer
radius is obtained by considering the elastic zone and is given by
Eq. 共26兲 in which Y t is replaced by Y ry. The stress state at the tube
inner diameter is given by Eq. 共14兲. The residual stresses in the
tube and tubesheet are obtained from these equations by letting
the expansion pressure Pe equal to zero.
Finite Element Model
To validate the above theory, a few cases were run in both plane
and axisymmetric modeling using the general purpose finite ele-
ment program. The geometrical and mechanical characteristics of
the joint are shown in Table 1. Of particular interest are cases 1
Fig. 3 Plane and axisymmetric FE models
and 2. The first case corresponds to the case where the tubesheet is
not deformed plastically and no tube reverse yielding occurs. The
second case corresponds to the case of an expansion with the
tubesheet being partially deformed plastically with tube reverse
yielding. Other cases are run with different tube thicknesses to
compare the proposed model, with the other models given by Eqs.
共1兲–共3兲 in case 3. Isoparametric plane stress elements with eight
nodes were used to model the tube and the tubesheet. Special
contact elements were employed to model the deformable contact
surfaces of the tube and the tubesheet.
In order to overcome the problem of the divergence related to
the nonlinearity during the loading phase, the expansion pressure
was gradually applied, particularly when plastic collapse of the
tube is reached. The plane and the axisymmetric models are pre-
sented in Fig 3共a兲. A convergence criterion based on the final
residual contact pressure was used to refine the mesh. Nine ele-
ments were modeled through the thickness of the tube and 27
through the thickness of the sleeve. In the axisymmetric model,
the tube length exceeding the expansion zone shown in Fig. 3 is
greater than 2.45冑rt. The friction was not taken into account as
previous studies showed that the influence of friction on the re-

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 Fig. 4 Case of expansion without reverse yielding: radial
stress variation during expansion
sidual contact pressure is not significant 关10兴. The characteristics
given in Table 1 were used for the analytical and finite element
simulations. The residual contact stress as well as the stresses
including the equivalent stresses at ri, ro, and Ri are plotted as a
function of the radial displacement of the interface during the
expansion process.
Results and Discussion
To verify the developed methodology and the new theoretical
approach, the stresses and displacement at different stages of the
expansion process are compared. Figures 4 and 5 give the radial
and tangential stresses for case 1 where neither the tubesheet
yielding nor the tube reverse yielding occurs. The results of the
proposed analytical model and the FE models are in very good
agreement. Referring to Fig. 4, the radial stress at the tube OD is
equal to the radial stress of the tubesheet ID and is also the contact
pressure. At the end of the expansion process, the predicted re-
Fig. 5 Case of expansion without reverse yielding: tangential
stress variation during expansion
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Fig. 6 Case of expansion without reverse yielding: equivalent
stress variation during expansion
sidual contact stress with Eq. 共24兲 is 16 MPa versus 12 MPa, with
FEA noting that Eqs. 共1兲–共3兲 give 3 MPa, 10 MPa, and 1 MPa,
respectively. The equivalent stresses are shown in Fig. 6. While
the FEA gives the von Mises equivalent stresses, the present
theory is based on the Tresca equivalent stresses. This explains the
difference observed in the tube stresses and in particular in the
tangential stress, as shown in Fig. 5.
Figures 7–9 compare the results of case 2. It is important to
note that this time the tubesheet is deformed plastically. This is
shown in Fig. 7 by the nonlinear behavior of the expansion pres-
sure just before it reaches its maximum value. As already men-
tioned, the slope of the pressure line represents the rigidity of the
structure. The latter decreases as plasticity makes its way through
the thickness as in the case of the tube, noting that it becomes
equal to zero when full collapse is reached. In this case the devel-
oped model predicts a 15.4% elastic zone, while the FEA value is
8.4%. Nevertheless, the radial and tangential stresses obtained
from the developed theory are in good agreement with those of
Fig. 7 Case of expansion with reverse yielding: radial stress
variation during expansion
Transactions of the ASME
 Fig. 8 Case of expansion with reverse yielding: tangential
stress variation during expansion
FEA. Referring to Fig. 8, the tubesheet tangential stress is shown
to decrease when the expansion pressure reaches 181 MPa ac-
cording to the analytical model and 205 MPa according to FEA.
This is confirmed in the graph of the equivalent stresses of Fig. 9,
which shows that at these pressures yielding has started in the
tubesheet.
In addition to tubesheet yielding, tube reverse yielding is
present in this case. This is observed in Fig. 8, which shows that
the tangential stress reaches yield just before the end of the un-
loading according to the Tresca yield criterion. This is because
␴t␪ 艋 ␴rt 艋 ␴zt = 0. It is important to note that the tube ID starts to
yield first and the plastic zone builds its way through the thickness
as the expansion pressure is decreased. At the end of the expan-
sion process, the tube plastic zone due to reverse yielding is
19.9%, while the FEA value is 16.4%. The predicted residual
Fig. 10 Effect of reverse yielding on the residual contact pressure
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Fig. 9 Case of expansion with reverse yielding: equivalent
stress variation during expansion
contact stress with Eq. 共46兲 is 47 MPa versus 44 MPa with FEA,
noting that Eqs. 共1兲, 共2兲, and 共3兲 give 19 MPa, 31 MPa, and
31 MPa, respectively.
This case was pursued further to optimize the design by evalu-
ating the maximal expansion pressure to produce the highest re-
sidual expansion pressure. Figure 10 shows the effect of the ex-
pansion pressure on both the plastic zone due to reverse yielding
of the tube and the residual contact pressure. The plastic zone of
the tubesheet is also shown in the same graph. The optimum pres-
sure is obtained when 75% of yield is reached in the tube accord-
ing to the above analysis and 78% according to FEA, as shown in
Fig. 10. Further increase in the expansion pressure will not in-
crease the residual contact stress but will increase the tubesheet
plastic zone unnecessarily and will consequently increase the risk
of a full collapse of the joint.
FEBRUARY 2009, Vol. 131 / 011208-7

Fig. 11 Evaluation of the residual contact pressure with differ-
ent methods
In view of the above successful results, the study was brought
one step ahead by investigating the effect of the use of the Tresca
yield criterion in lieu of the von Mises one. In fact an adjustment
to Eq. 共23兲 was made by introducing the von Mises exact solution
for the collapse pressure PAt of a cylinder under plain stress con-
ditions given in Ref. 关25兴 such that
2
PAt = Syt cos共␾a兲 共44兲
冑3
where ␾a is the root of the equation below,
冉 冊 冉冑 冉 冊冊
冑3 ␲ ␲
Y t2 − sin ␾a + exp 3 − ␾a =0 共45兲
2 6 2 关4兴 Krips, H., and Podhorsky, M., 1976, “Hydraulisches Aufweiten Em Dash Ein
As shown from the graph of Fig. 11, when these equations are
used in conjunction with Eq. 共24兲, the predicted residual contact
stress curve for different thicknesses to the outside diameter ratio
of the tube lies between those of plane strain and axisymmetrical
FEA models. It is worth mentioning that there is no significant
difference between those three curves. Nevertheless it is worth
noting that even with the Tresca collapse pressure, Eq. 共24兲 gives
much better results than those given in the literature as may be
appreciated from Fig. 11.
In this study, because the model is based on an elastic perfectly
plastic behavior, the clearance has no effect provided it is big
enough to allow the tube to fully collapse before it comes into
contact with the tubesheet. Therefore, although the clearances
used in this study may seem to be small compared to what is
typically used in practice 共0.125 mm兲, it has no impact on the
study except to help FEA models converge more rapidly.
Conclusion
An accurate analytical model of the hydraulically expanded
tube-to-tubesheet joint process was developed. It is based on the
elastic perfectly plastic behavior of the tube and tubesheet mate-
rials. It also takes into account the tube reverse yielding. The
proposed analytical solution of the residual contact pressure is
shown to give better results than the existing methods.
The model can be used to optimize designs as well as calculate
the stresses at different critical points in the expanded joint during
the whole expansion process. The accuracy in the evaluation of
these stresses relies on the elastic-plastic material behavior con-
sideration and the Tresca failure criterion used. Currently new
developments are underway to develop a model that accounts for
the strain hardening to study the effect of clearance and other
parameters.
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Nomenclature
␯ t, ␯ s ⫽ Poisson’s ratio of tube and tubesheet
␴rt, ␴rs ⫽ radial stress of tube and tubesheet 共MPa兲
␴t␪, ␴s␪ ⫽ hoop stress of tube and tubesheet 共MPa兲
␴zt, ␴zs ⫽ axial stress of tube and tubesheet 共MPa兲
ct, cry ⫽ tube elastic-plastic interface radius during load-
ing and reverse yielding 共mm兲
cs ⫽ tubesheet elastic-plastic interface radius 共mm兲
C ⫽ initial clearance 共mm兲
E t, E s ⫽ elastic modulus of tube and tubesheet 共MPa兲
Pesyt, Pesys ⫽ pressure to start yield in tube and tubesheet
共MPa兲
PAt, PAs ⫽ collapse pressure of tube and tubesheet 共MPa兲
Pe, Peគmax ⫽ expansion pressure and its maximal value
共MPa兲
Pc, Pcគmax ⫽ contact pressure and its maximal value 共MPa兲
P*c ⫽ residual contact pressure 共MPa兲
r i, r o ⫽ inner and outer tube radii 共mm兲
R i, R o ⫽ inner and outer tubesheet radii 共mm兲
Syt, Sys ⫽ yield stress of tube and tubesheet 共MPa兲
U t, U s ⫽ radial displacement of tube and tubesheet
共mm兲
Y t, Y s ⫽ inner to outer diameter ratio of tube and
tubesheet
Y ry ⫽ tube plastic to outer diameter ratio at reverse
yielding
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FEBRUARY 2009, Vol. 131 / 011208-9