Fundamental Function of

Filters for Dams

James R. Talbot, P.E.

Consulting Engineer

Introduction
Issues related to the formation, and character of a
filter cake that stops progression of a concentrated
leak requires some explanation of SCS (NRCS)
filter study
Small gradation difference of filter between
success and failure (no transition)
Rapid determination of success and failure soil
entering the filter is washed on through
Filter function of forming a filter cake on the
upstream face of the filter preventing a
concentrated leak development some
characteristics of the filter cake

Introduction Continued
Gravelly soil testing differences in response
Filters need to be designed for the fine matrix
of gravelly soils

Most Failures are Seepage/Piping

Related
New dam first
filling
Failed with
small amount of
water stored in
the reservoir
Foundation and
embankment
cracks
suspected
Dispersive clay
soils were
involved

Teton Dam, Idaho

Famous dam
Failure
Started as
seepage
through cracks
in the rock of
the right
abutment
Dam had no
filter-drainage
zone

SCS (NRCS) Performed A Study on

Filters
1980 to 1985 the late
James L. Sherard worked
with SCS to study filters
for protection of
embankment dams from
concentrated leak
development caused by
erosion in cracks

Sand Testing Basic Properties

Schematic of test
apparatus for
testing the basic
properties of sand
and gravel filters
Uniform sand over
graded filter high
pressure water
source
No simulated crack
or opening

Void space along apparatus boundary is largest.

We used finer material along the circumference of
the cylinder forcing failure in the center of the
filter

- Performing test for

basic properties of
filter
- High velocity
water running
through base soil
(sand) and filter
sieve used to catch
particles that get
through filter and
test for size of these
particles

Results show D15 of filter = 9 times d85 of base soil

(sand) with good correlation results found by
changing filter with same base and by changing
base with same filter

Findings Basic Properties of Filters using

Sand
Small filter gradation difference between success and
failure
Once base soil starts passing through filter, most of
the base soil is eroded through in a short time
Very good correlation between D15 of the filter and
d85 of the base soil same as other researchers
For sands, D15 = 9 d85 or (d85 = 0.11 D15). Tergazhi
used Max D15 = 5 d85 for factor of safety about 2
We found thesis by Lund (U of London) - same
results
For silt and clay soils, used specimen with simulated
crack or opening

Grain-size curves of the base soil (sand)

used in testing for the basic properties of
sand and gravel filters

Grain-size curves of the filters used in the testing

program of sand soils

Testing of silts and clays using simulated

crack or other opening
Started with a slot formed in the compacted specimen
of silt or clay with water under high pressure passed
through the slot into filter downstream
Several arrangements of slots or holes were tried with
variable specimen thickness
Tests were run horizontal as well as vertical no
difference found for horz. or vert. or for specimen
thickness vertical used because less complicated
Finally settled on using a specimen approximately 1inch thick with a 1-mm diameter hole and 40 psi water
pressure applied we named it the No Erosion Filter
Test because for successful tests, there was no
visible erosion

Schematic of test apparatus for the slot test.

Approximately 40 psi of water pressure was used
for high pressure tests. Success or failure of the
filter determined very quickly with no doubt

No Erosion Filter Test Setup

- For soil with no
gravel, the specimen
is 1-inch thick and 1mm diameter hole is
made through it
-

High water pressure

(40 psi) is used

- Success or failure is
determined quickly
visually

The No Erosion
Test setup
Successful
filters seal the
opening quickly
to a drip or no
flow

 Water under high pressure passes through the

simulated crack & the filter
Eroded particles of the base soil collect at the filter face
and stop flow in the crack
Hydraulic
Fracturing caused
filter cake to
extend some
distance on each
side of the
simulated crack
Filter beyond
no filter cake,
open for seepage
collection

NRCS Filter Study

Eroding soil catches at
the face of the filter and
seals it
The filter face seals at
the opening and some
distance to each side
because hydraulic
fracturing from high
gradients causes
further widening of the
seal
The remaining filter is
open to receive normal
seepage (between
cracks)

- The soil particles collected at the filter face penetrate

only about 1 to 2 mm into the filter for some width
beyond the crack
- Any particles that penetrate beyond 2 mm into the
filter will pass on through with the water

Process for forming filter cake at upstream

surface of filter for successful test
When pressure is applied to soil specimen with simulated
crack, a shot of cloudy water discharges
First colloidal particles not caught and pass through
Sand (very fine and larger) particles are caught
Almost immediately, flow either stops or reduces to a
clear drip as
Subsequent colloidal particles are caught on the very fine
sand and silt. This builds a cake of very low permeability
Base soil should have some variance in particle size
Filter cake is only about 2 to 3 mm thick with 40 psi on
upstream side and no pressure on downstream with very
little flow passing through it

 Results of filter testing for silts and clays plotted

points are boundary between success and failure
Boundary shown is beyond all plotted points
Can test for your soil and filter combination

A 10-inch diameter apparatus was used for

gravelly base soil containing particles up to 2
inches in diameter
Test took a
little longer
because
gravel
particles
armored the
hole so
erosion was
sometimes
slower

Filter failure in the large test

Successful filter test for gravelly clay

soil in large test
Test results
show that
filter design
for gravelly
soil must be
based on
the fine
matrix of
the soil (the
portion
passing No.
4 Sieve)

Filter Criteria
Table 26-2
Filtering criteria Maximum D15
______________________________________________________________
Base soil
Filtering Criteria
Category
___________________________________________________________

1
9 x d85 but not less than 0.2 mm

0.7 mm

[40 A / 40 15] [(4 x d85) 0.7 mm] + 0.7 mm

A = % passing #200 sieve after regrading
(If 4 x d85 is less than 0.7mm, use 0.7mm)

4 x d85 of base soil after regrading

NRCS Filter Design Document

Web Site

http://directives.sc.egov.usda.gov

Click on each in sequence

Handbooks
Title 210 Engineering
National Engineering
Handbook
Part 633 Soil
Engineering
Chapter 26 Gradation
Design of Sand and
Gravel Filters

Low pressure slot

tests made
simulating small
flood control dams
No flow ever came
through

Crack filled with

soft soil at end

High pressure tests

on sandy soils with
no simulated crack
for successful
filters was also
successful in
preventing piping

Summary
Successful filters caught eroding particles and formed
a filter cake very quickly at the filter face it required
a very small amount of erosion (no visible erosion)
Unsuccessful filters allowed eroding particles to pass
through the filter rapidly so that most of the base soil
could be eroded through in a short time
A very slight increase in gradation can change the
filter from successful to unsuccessful. A safety factor
should be used to avoid designing close to the
boundary between success and failure
Long-term high pressure tests showed successful
filters from simulated crack tests were also
successful in preventing piping in tests with no cracks

Summary Continued
For successful filters, test results indicate the first
colloidal particles that reach the filter are not caught
and pass through the filter with flowing water
Very fine sand and silt particles are caught and
subsequent colloidal particles are then caught
forming a filter cake with very low permeability
The filter cake is formed on the upstream surface of
the filter and any particles that penetrate beyond
about 2 mm into the filter will pass on through the
filter and not be deposited in the filter
Filter tests on gravelly soils took slightly longer to
form the filter cake because the hole is armored with
gravel particles
Filter gradation design for gravelly soil must be based
on the fine matrix (portion passing the No. 4 sieve)

Summary Continued
Tests showed properly graded filters are very effective in clogging
cracks or other openings as soil particles are caught at the filter
face; preventing development of a concentrated leak and failure
The filter is clogged over the width of the crack and for some
distance on each side of the opening, but is available for receiving
seepage through the pores of the soil with no piping at all other
locations
There is a narrow boundary between filter failure and success, well
defined by D15/d85 = 9 or d85 = 0.11 D15 for sandy soils, but the
traditional criteria used for many years of D15/d85 = 4 is
recommended for a factor of safety of about 2
Other criteria are appropriate for silt or clay base soils.
Conservative criteria have been developed for all soils based on a
margin of safety beyond the limits of the boundary between
success and failure for all tests. A test could be made for a given
soil to check for using other gradations

An example of a two-zone filter-drain in a dam

A properly designed filter-drainage zone

will prevent development of concentrated
leaks through cracks or holes in dams

Filter Construction

Placement Methods
Keep filter higher than adjacent zones
Alignment very important
Two bin box works well

Filter Construction

Compaction
Vibrating roller
Specify density or
number of passes
from test fill

Contamination
Control
Always keep filter
zones higher than
adjacent zones
No traffic over filter
zones allowed

Filter Construction

Compaction
Vibrating roller
Specify density or
number of passes
from test fill

Contamination
Control
Always keep filter
zones higher than
adjacent zones
No traffic over filter
zones allowed

As part of filter study, the repair measure was

tested in the field using dike to create a small
reservoir on upstream of dam

Cross section of dike used to create small

reservoir

Piezometers and
censors were placed
in center trench then
it was filled with filter
material before filling
reservoir with water

Water sensor used with alarm to monitor when

water entered trench through cracks

Reservoirs were filled with water

On one test, soil was cleaned off the

upstream slope water ran into cracks
this picture on similar test in Nebraska

After water was in reservoir for 30 days,

excavations made into cracked area and
filter

Cracks and filter

inspected

No water ever
entered the filter
cracks were full of
soft soil no water
or wetness D.S. of
filter

Filter removed
from trench
note crack filled
with soft soil
filter penetrated
short distance
into crack
sensor
detected no
water

Crack filled with soft soil in Nebraska test

6-inch wide crack filled with soft soil in

Nebraska test

One test made where no filter had been

installed this test site was excavated after 60
days dam did not fail with no filter

Cracks were
found, some
were nearly
closed from
swelling of soil

Excavation into downstream slope of test

where no filter was used

In test with no filter, water was found in a

crack within 2 feet of downstream slope of
the dam, but crack was nearly closed from
swelling

Root hole and water in crack near the

downstream slope

Seepage Control
Structural antiseep collars
used in the past
Many failures
using this
method of
seepage control
Philosophy of
anti-seep collars
is to stop flow
without
pressure
reduction

Picture Courtesy of Danny McCook, NRCS

Filter Diaphragm or Collar

For small homogeneous dams, a single filter collar is used
instead of structural anti-seep collars
If the dam has a chimney drain, that drain can act as the filter
collar
The collar extends around the pipe and an outlet to the toe is
provided

Filter Diaphragm Placement

NRCS has set
some
dimensions for
filter diaphragms
on conduits
through
embankment
dams

Seepage Control - Filter Diaphragms

Filter
diaphragms are
used instead of
collars - placed
where they will
intercept any
areas of poor
compaction,
cracking, or
potential for
concentrated
leak
development
Picture Courtesy of Danny McCook, NRCS

Filter Diaphragm Placement

Sketch of filter
diaphragm in
dam
Can tie into
drainage
system of dam
if it has one