Karl Terzaghi: From Theory to Practice in Geotechnical

Filter Design
Jonathan Fannin1
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Abstract: In a period of just over 10 years, Karl Terzaghi proved the idea of a weighted filter in simple laboratory tests while on faculty
at the American Robert College in Turkey, patented the concept, developed empirical rules for the grain size distribution of filter through
specialist consulting advice on relatively small weirs in Europe, and firmly established those rules as a basis for engineering practice on
the Bou-Hanifia Dam in North Africa. The Terzaghi filter criteria are commonly attributed to experience gained on that latter project.
However, an evaluation of unpublished letter reports, contract documents, and correspondence suggests the evolution of those criteria for
soil retention and permeability occurred during his earlier collaboration with the Austrian consulting company of J. Pfletschinger & Co.
This new insight appears to be confirmed by the uncovering of a draft patent claim, prepared in the name of Josef Pfletschinger, which sets
out the precise details of those filter criteria and whose existence was acknowledged in contract documents for Bou-Hanifia.
DOI: 10.1061/共ASCE兲1090-0241共2008兲134:3共267兲
CE Database subject headings: Sand; Gravel; Filters; Pipes; Design.

Introduction of protective filters undertaken at Harvard University, in which

Bertram 共1940兲 had sought to compare his laboratory results on
Karl Terzaghi was born in 1883 in Prague, then a part of the Ottawa sand with filtration criteria that he attributed to “K. von
Austro-Hungarian “crown land” of Bohemia. He attended the Terzaghi, unpublished report on the Bou-Hanifia Dam, North
Technical University of Graz where, in 1904, he received a degree Africa.”
in mechanical engineering and, in 1906, completed graduate stud- It transpires the “path of discovery” that first led Terzaghi to
ies in civil engineering with a minor in applied geology. Thereaf- the concept of a filter, and subsequently to recommendations for
ter, he embarked on an early career that was the precursor to a its gradation curve, spans three very distinct periods of his life
life-long commitment to research, teaching, and specialist inter- and career: field observations as a young site engineer; early re-
search studies as an academic; and a series of challenging assign-
national consulting. Casagrande 共1960兲 was later to observe, “as a
ments as a specialist consultant. The objective of this paper is to
result of . . . research work, his lecturing, and widespread con-
fully report that path of discovery. It traces the evolution of his
sulting activities, soil mechanics is now universally recognized as
recommendations for engineering design, from theoretical con-
an indispensable tool in all engineering operations involving earth
cept to engineering practice. The account is based on reference to
for support or as a construction material.”
published literature, and also on examination of unpublished re-
Among his many original contributions to the founding of soil ports and uncatalogued materials of the Terzaghi Library at the
mechanics in engineering practice was the concept of a graded Norwegian Geotechnical Institute 共NGI兲.
filter and, several years later, empirical criteria to establish a suit-
able grain size distribution of that filter material. The classic text
of Terzaghi and Peck 共1948兲 provides a recommendation for the
Early Professional Record „1906–1916…
specification of graded filters, where “experiments have shown
that a material satisfies the essential requirements for a filter if its
Terzaghi’s initial work experience included positions as a drafts-
15 percent size D15 is at least four times as large as that of the man and then superintendent of construction, working for Adolf
coarsest layer of soil in contact with the filter and not more than Barron Pittel on projects related to hydroelectric power develop-
four times as large as the 85 per cent size D85 of the finest ment in Austria and Hungary 共Terzaghi 1926a兲. Growing ambi-
adjoining layer of soil.” A single reference was cited in support of tion and a genuine quest for adventure led him, in 1909, to join
the recommendation. It was to an experimental investigation Adriatique Éléctricité, a French enterprise that was seeking to
develop hydroelectric power in the karst terrain of Croatia and
1
Professor of Civil Engineering, Dept. of Civil Engineering, The subsequently to relocate, albeit briefly, to Russia in 1911 with A.
Univ. of British Columbia, 6250 Applied Science Lane, Vancouver BC, Lorentzen & Co. for projects including the foundation of a mul-
Canada V6T 1Z4. E-mail: [email protected] tistory building. He drew on these early experiences in geotech-
Note. Discussion open until August 1, 2008. Separate discussions nical design and construction for a doctoral thesis that he obtained
must be submitted for individual papers. To extend the closing date by
that same year from the Technical University of Graz. Then, in
one month, a written request must be filed with the ASCE Managing
Editor. The manuscript for this paper was submitted for review and pos- 1912, he departed for the United States, attracted by a massive
sible publication on August 25, 2006; approved on February 2, 2007. This program of investment in water resources under the management
paper is part of the Journal of Geotechnical and Geoenvironmental of the U.S. Reclamation Service 共renamed the Bureau of Recla-
Engineering, Vol. 134, No. 3, March 1, 2008. ©ASCE, ISSN 1090-0241/ mation in 1923兲. Its mandate was storage and irrigation projects
2008/3-267–276/$25.00. in support of settlement of arid lands, and Terzaghi was deter-

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 Fig. 1. Hand-written entry to a summary of work experience by
Terzaghi 共c. 1926, with permission of NGI, Norway兲

mined to gain from that experience first hand. Over a period of

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nearly 2 years, he compiled an extensive series of meticulous

observations and data gathered from projects in the western
United States and northern Mexico.
Terzaghi returned to Europe and, in January 1914, took up
employment with Josef Pfletschinger to work on projects involv-
ing “waterworks and hydraulic power development” 共see Fig. 1兲.
The position undoubtedly offered a very good fit with his
international experience, and the two men were to establish a
professional relationship that would later prove instrumental to
Terzaghi’s contributions on filter design. However, he had re-
turned to a Europe in which political relations had developed into
a system based on rival blocs, with political tensions fueled by
unprecedented military rearmament. A diplomatic crisis in June
1914 led directly to war. The Central Powers of Germany and
Austria-Hungary, soon joined by the Ottoman Empire, with Tur-
key at its core, were in conflict with the Entente 共Allied兲 Powers
led by Great Britain, France, and Russia 共Times Books 2004兲.
Fig. 2. Karl Terzaghi records laboratory observations 共with
Within months, Terzaghi was called to active military service.
permission, NGI, Norway兲

First Research Studies „1916–1925…

ceived the idea of preventing the development of subsurface ero-
In September 1916, a directive of the Austrian Educational Mis- sion in foundation soils through the use of a filter, and then tested
sion to Turkey led Terzaghi to be reassigned from military service the theoretical concept in the laboratory. The findings were re-
to the Imperial College of Engineering at Constantinople, where ported in a paper on the failure of dam foundations by piping
the Technical University of Graz Professor of Hydraulic Engi- 共Terzaghi 1922兲. As he later remarked in a hand-written commen-
neering Philipp Forchheimer had been appointed Dean of Engi- tary on the article, “I started with an evaluation of the forces
neering. It was Forchheimer, the author of an outstanding book exerted by the percolating water . . . determined by the flownet
that was first published in 1914 on the subject of hydraulics which can readily be constructed . . . on the basis of Forchhe-
共Rouse and Ince 1957兲, who had devised the flow net diagram as imer’s theory of groundwater flow . . . . In order to get informa-
a graphical solution to the Laplace equation for two-dimensional tion concerning the mechanical effects of the seepage pressure on
seepage problems. The assignment established the beginning of the subsoil, I filled a cylindrical vessel with sand and let the water
Terzaghi’s academic career and his research on soil. The two men percolate through the sand in a vertical upward direction. The top
shared a common interest, and Forchheimer’s development of the surface of the sand supported a small weight. The hydraulic gra-
flow net diagram inspired Terzaghi to better understand ground- dient i was steadily increased and the corresponding discharge
water seepage and the concept of a critical hydraulic gradient, was measured. . . . As i increased the effective weight of the sand
which he resolved to investigate by means of a laboratory study. decreased, but the coefficient of permeability k remained constant
However, the collapse of the Central Powers in 1918, and defeat and the weight did not move, which indicated that the structure of
for Austria, resulted in his dismissal from the position. Terzaghi, the sand remained intact. However, at the instant when i␥w be-
now a citizen of the new state of Czechoslovakia, gratefully ac- came equal to ␥⬘ . . . the sand surface rose, k increased abruptly
cepted a lectureship at the Engineering School of the American and the weight sank to the bottom of the vessel, as if the sand had
Robert College, north of Constantinople. He continued his aca- suddenly disappeared.” An untitled photograph dating from this
demic career, pursuing laboratory research that, in 1919, was time shows Terzaghi recording observations from a laboratory test
principally concerned with the phenomena of consolidation and that appears to involve upward seepage flow through a cylindrical
of uplift below concrete dams as a result of groundwater flow. permeameter 共Fig. 2兲.
Perhaps not surprisingly, his earliest work experience on hydro- Results of these element tests led Terzaghi to conduct scale
power development appears to have exerted a strong influence on model tests, first on weirs and then on sheet-pile cofferdams.
some of his first research interests. From the weir tests he observed “if the gradient is a maximum
While at Robert College, Terzaghi undertook a systematic close to the surface at the downstream edge of the water retaining
study of all German, French, and English literature on earthwork structure…the failure is preceded by the formation of local boils
and foundation engineering, resorting chiefly to libraries in Vi- and it occurs by erosion, involving the formation of a tunnel-
enna during frequent visits to Austria 共Soydemir 1970兲. He con- shaped conduit, leading from the upstream to the downstream

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Fig. 3. The concept of a loaded inverted filter 共from Terzaghi 1922, with permission of John Wiley & Sons兲

edge of the base of the structure.” In the cofferdam tests, he found had now been granted international recognition for its intellectual
that if the maximum gradient “is located at a considerable depth property.
below the sand surface . . . the failure is preceded by the rise of Terzaghi’s patent describes the concept of a filter that is “per-
the sand…and involves upward movement associated with disin- meable to water and consisting for instance of grit, gravel and
tegration of the entire mass of sand located above the seat of broken stones” and can be attributed directly to his laboratory
incipient failure.” This led him to speculate that “in both cases it research. It does not, however, provide recommendations for es-
should be possible to prevent the failure by covering the seat of tablishing a suitable grain size distribution for the filter medium.
potential disintegration of the sand by a permeable surcharge
heavy enough to counterbalance the seepage pressures which tend
to break up the structure of the subsoil.” From theoretical reason-
Specialist Consulting for Josef Pfletschinger
ing, he estimated the necessary surcharge pressure and verified
„1923–1926…
the hypothesis by placing a surcharge of lead shot on the sand,
leading him to conclude “Subsurface erosion can reliably be pre-
vented by covering the discharge points of water veins with Josef Pfletschinger, with whom Terzaghi had worked prior to the
a…loaded inverted filter” illustrated schematically in Fig. 3. The First World War of 1914–1918, was greatly interested by this
subsoil could be loaded by the weight of the filter layer 共f兲 alone, patent. Writing from Vienna, J.Pfletschinger 关From letter to Terza-
or the filter in combination with a berm 共t兲. Terzaghi compiled the ghi, December 11, 1923 共in German兲兴 was pleased to advise that
findings of his early construction experience and research studies “we have subcontracts with the company Leykam-Josefsthal, and
in a textbook on earthwork mechanics 共Terzaghi 1925a兲. In Chap. are trying to introduce your method of foundation construction for
VI, Sec. 28, he cites the results of these laboratory experiments the weir at Gratwein.” For this project on the River Mur, Pfletsch-
and indicates, in a footnote, his patent on the concept. inger sought a recommendation on the dimensions of a filter layer
of coarse gravel they were proposing to quarry. He asked Terzaghi
for a clear description of his analytical approach, including the
Patents „1922–1924… supporting theory, so that they could rework his design them-
selves if there was a need for changes at short notice. J. Pfletsch-
The loaded inverted filter is a simple yet ingenious concept, for inger 关From letter to Terzaghi, November 26, 1924 共in German兲兴
which Terzaghi filed a patent claim in Germany and Austria in also inquired on several design issues for a weir in the Dutch East
1922, and, the following year in Switzerland and the United Indies, and another in Russia. For the latter project, he requested
States. U.S. Patent #1,499,956 of 1924 recognized “Dr. Karl Terzaghi to “specify the grain size distribution of the filter, in
Terzaghi, a citizen of the Republic of Czechoslovakia, residing at order that seepage through it could be removed by pumping in the
Vienna, Austria” as the inventor of a “means which will prevent coarsest layer, without undue disturbance to the underlying finer
the hollowing out or washing away of buildings, retaining walls, sand layer.” The correspondence is filed together with a hand-
weirs and the like by that part of the backwater which leaks or sketched conceptual drawing by Terzaghi, dated 9 December
trickles through the foundation. The characteristic feature of the 1924, which depicts the arrangement of a three-layer filter 共Fig.
invention consists in arranging . . . a filter of such a characteristic, 5兲. Early the next year, J. Pfletschinger 关From letter to Terzaghi,
that it will permit the free outflow of the underground-water but March 23, 1925 共in German兲兴 provided Terzaghi with data he had
prevent the passage through of constituents or parts of the soil, requested on the earthworks at Gratwein, and a picture of the
and whereby the filter is loaded or weighted in such a manner, excavation during the placement of the filters. Further, on the
that the layers located underneath the filter and through which the Russian project, Pfletschinger acknowledged use of Terzaghi’s
leakage water flows cannot be driven upwardly. . . . The correct- principles in the most extensive manner, and asked him to provide
ness of the static calculation on which the dimensioning is based a detailed sketch of the optimized version of the design of the
has been checked by experiments.” Two schematic drawings of filter including, once again, a request for grain size distribution
the 1922 journal article 共Fig. 3兲 were used to illustrate the patent curves. A 1926 advertisement for J. Pfletschinger & Co. in the
共Fig. 4兲. The published research, arising from an interest driven journal “Die Wasserwirtschaft” makes reference to an interna-
by his early professional experience in hydropower development, tional practice in hydrotechnical works, including a specialist ca-

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Fig. 4. Protection of weirs to prevent hollowing out or washing away 共from US Patent 1,499,956兲

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Fig. 6. Placement of the “Terzaghi filter” at the Hallein weir 共with

Fig. 5. Hand-sketched concept of filter provisions 共by Terzaghi 1924, permission, NGI, Norway兲
with permission, NGI, Norway兲

advises that “to prevent the finer particles of the downstream

pacity in filter foundations, and a dedicated laboratory facility for section of the dam from being washed out through the down-
soils testing. stream toe, a filter should be provided between the dam proper
and the toe. The effective size of the filter should not exceed ten
times the average grain size of the dam construction material.”
Massachusetts Institute of Technology „1925–1929… Accordingly, his recommendation implies:

Taking leave of absence from the American Robert College, D10f ⬍ 10D50b 共1兲
Terzaghi moved to Boston to accept the offer of a Visiting Lec-
where f denotes the filter material and b denotes the base soil.
tureship at the Massachusetts Institute of Technology 共MIT兲 from
Although he fully appreciated the need to limit the grain size of
Professor Charles Spofford, Head of the Department of Civil and
the filter material, it appears the empirical rule for soil retention
Sanitary Engineering. His return to the United States marked the
had not yet been established in the “classic” form advocated later
beginning of a very significant period of his career, and his emer-
in Terzaghi and Peck 共1948兲. No companion rule was suggested
gence as the leading international authority on soil mechanics.
in his report for permeability.
Terzaghi’s courses established a pattern for teaching the subject.
J. Pfletschinger 关From letter to Terzaghi, September 4, 1926
His laboratory research, carried out in part at the MIT laboratory
共in German兲兴 wrote again on the weir at Hallein, providing Terza-
that he developed and in part at the Bureau of Public Roads,
ghi with plan drawings for the nearly 5 m high spillway, and
Washington, D.C., where he was a research consultant, estab-
proposing the filter be constructed in three layers comprising “a
lished a sound basis for the practice of soil mechanics 共Casa-
well-cleaned and rounded shot rock of 50 to 100 mm, a well-
grande 1960兲. Speaking on foundation engineering to the Boston
sorted and rounded gravel of 10 to 20 mm, and a layer of 2 to
Society of Civil Engineers, and specifically on the design of weirs
7 mm.” The configuration of the lowermost layer was to control
on permeable ground, Terzaghi 共1925b兲 acknowledged that with
flow from an underlying stratum of conglomerate, with placement
Forchheimer’s transposing of the geometry of isothermal systems
from downstream to upstream, and compaction by hand 共see Fig.
to theoretical hydraulics and derivation of formulas for seepage
6兲. Terzaghi was asked to give his opinion on the suitability of the
losses: “It remained to analyze the stresses produced by the per-
proposal, and provide any feedback as soon as possible. A hand-
colating water and to determine their effect on the equilibrium of
written draft response by K. Terzaghi 关From draft letter to
the underground. This problem formed part of my own investiga-
Pfletschinger, September 25, 1926 共in German兲兴 notes his ap-
tions.” He proceeded to summarize the influence of hydrody-
proval of the configuration. The size range proposed for the filter
namic forces, the concept of a filter, and the results of his labo-
layers indicates a D10 in the cobbles three to four times the D50 of
ratory experiments. He also made reference to “the first weir
the medium gravel, and a D10 for the medium gravel two to three
designed by means of the theory of piping effect . . . across the
times the D50 of the fine gravel 共see Table 1兲. Accordingly, the
river Mur in the Alps” for which construction had been completed
proposal satisfies the recommendation Terzaghi had provided a
in the spring of 1925.
few months earlier for the Granville Dam, which suggests
J. Pfletschinger 关From letter to Terzaghi, April 26, 1926 共in
Pfletschinger was likely familiar with its general form. Interest-
German兲兴, now writing to Terzaghi at MIT, advised “we have a
ingly, it also satisfies the “classic” empirical rules for both soil
dam system at Hallein, on the Salzach River, where we are using
retention and permeability that were to follow later, relating D15f
your patented filter. We would like to ask you to check the fol-
of the filter to D85b of the base soil.
lowing analyses and would like to have your opinion on this filter
system.” The letter includes calculations for the Hallein project
that had been reworked from the methodology Terzaghi had pro-
vided in January 1924 for the weir on the River Mur at Gratwein. Table 1. Filter Layers for the Weir at Hallein, Austria
Specifically, Pfletschinger wanted to establish the pore water pres- Size range D10 D15 D50 D85
sure at the base of the filter, in order to optimize its configuration. Layer 共mm兲 共mm兲 共mm兲 共mm兲 共mm兲
Our first insight into Terzaghi’s recommendations on grain size
Cobbles 50–100 55 57.5 75 92.5
distribution appears in a consulting report to the company of Fay,
Medium gravel 10–20 11 11.5 15 18.5
Spofford and Thorndike on the site of the proposed Granville
Fine gravel 2–7 2.5 2.75 4.5 6.25
storage dam at Westfield, Mass. 共Terzaghi 1926b兲. In it, Terzaghi

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 It is fair to observe that, by this time, Pfletschinger & Co. had
also developed a thorough appreciation of the nature of ground-
water flow. Laufer 共1927兲, who worked for Pfletschinger, pub-
lished very detailed insights into the phenomenon of piping in
soils and its remediation based on a series of laboratory model
tests and astute field observations. He envisaged flow to occur
preferentially, with continuous exchange between submerged
pipes and pores in the soil. Of particular note was his recognition
of gas exsolution, as a result of temperature and pressure varia-
tions, yielding a change in interparticle stress at the pipe wall
共Laufer 1927兲. Acoustic monitoring, tracers, and temperature
measurements were all suggested for use in field investigations.
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The use of a weighted filter, attributed directly to Terzaghi, was

noted to require compatibility with the grain size distribution of
the base soil and also to require adequate permeability in the
filter.
Writing on the Hallein project, Pfletschinger 共1929兲 provided a Fig. 7. Draft patent claim of Josef Pfletshinger, on the design of a
review of its scope and acknowledged “a filter proposed by Prof. protective filter 共with permission, NGI, Norway兲
Dr. Ing. Terzaghi was used to give protection against underground
erosion.” In a companion article, Soeser 共1929兲 described the
progress of construction and referred to concerns for seepage- had founded the company “ing. G. & C. Impresa Costruzioni.”
induced instability in the gravel and sand of the foundation soils. Initial projects involving hydroelectric dams for production of
He illustrated placement of the graded granular filter noting “the power in Switzerland were followed by large projects in North
Terzaghi filter performed very well.” Laufer 共1929兲 reported bore- Africa for purposes of water supply, including the dam at Bou-
hole logs from the site, and the results of a grain size analysis and Hanifia. It formed part of a vast program for irrigation develop-
permeability tests, and explained the basis on which a filter acts to ment that was inaugurated by the Government of France in 1927.
protect against piping. G. Rodio 关from letter to Terzaghi, April 4, 1931 共in French兲兴
Speaking to the American Institute of Mining and Metallurgi- approached Terzaghi on matters of laboratory and site tests for
cal Engineers on the effect of geology on the safety of dams, and Bou-Hanifia and to establish his “willingness to collaborate with
specifically the mechanics of piping, Terzaghi 共1929兲 observed us on this project, if the subject interests you, and indicate where
that a filter located “beneath the body of the weir diverts part of and when we might be able to talk.” In a cordial reply, K. Terza-
the flow lines towards the bottom of the weir, where the upward ghi 关From letter to Rodio, April 15, 1931 共in French兲兴 observed
pull exerted by the flowing water is more than compensated by “as I don’t know the details of your problem in Algeria, I can’t
the dead weight of the structure.” He referred to the filter as “a confirm my collaboration in advance. However the subject inter-
method of construction which was used by the speaker in connec- ests me and I would be happy to discuss it with you. I’ll stay in
tion with several weirs in the Austrian Alps,” and indicates, in a Vienna until mid-May. In the event that you decide to come to
footnote, “Owners of the patent for Austria: J. Pfletschinger & Vienna, I would be really pleased to show you the work ongoing
Co., hydraulic consulting engineers, Vienna.” in my small laboratory.” The two men were destined to forge a
vibrant friendship over the next few years.
The terms and conditions of the assignment appear in anno-
Technical University of Vienna „1929–1938… tated but unsigned contract documents exchanged between the
company and Terzaghi 共Rodio, uncatalogued兲. The correspon-
The offer of a Professorship at the Vienna Technische Hochschule dence addresses the expectations of each party, the ownership of
in 1929 persuaded Terzaghi to return once again to Europe, where intellectual property arising from the work, and the right to patent
he acquired Austrian citizenship. He was accompanied by Arthur that intellectual property in Europe and the United States. With
Casagrande, his research assistant at MIT and a graduate of the respect to the latter, Rodio declared his awareness of six existing
Hochschule, and together they started to plan the development of Austrian patent claims in the joint names of Terzaghi and
a world-class soil mechanics laboratory with generous support Pfletschinger, making reference to a list of the individual titles of
from the university 共Goodman 1999兲. Terzaghi traveled exten- each claim. The list includes one on protection of erodible sub-
sively throughout Europe and North Africa to give lectures, attend soils against groundwater seepage by means of a filter. An origi-
professional meetings, and undertake international consulting as- nal version of this document 共see Fig. 7兲 was also uncovered by
signments. It was his commitment to provide specialist advice for the author at the Terzaghi Library 共Pfletschinger, uncatalogued兲.
a large dam in Algeria that led to the formal publication of em- The claim was prepared solely in the name of Josef Pfletschinger.
pirical criteria for the grain size distribution of a filter. Inspection shows it to contain the “classic” form of the empirical
rule 关see Fig. 8共a兲兴 for soil retention, given by

Specialist Consulting for Giovanni Rodio dx ⬍ 4d1 共2兲

„1931–1935…
where dx = D15f and d1 = D85b. The rule was based on an apprecia-
Terzaghi accepted an invitation from the Italian contractor Gio- tion that “the pore size of a broadly-graded filter comprises at
vanni Rodio to work on the design of a 56 m high rock-fill dam at maximum 1 / 5th of the diameter of the biggest grain of the finest
Bou-Hanifia in Algeria. Rodio was a graduate of the Swiss Fed- fraction of the filter materials.”
eral Institute of Technology 共ETH兲 in Switzerland, who in 1921 A similar expression for permeability was given by

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 Table 2. Filter Layers for the Dam at Bou-Hanifia, Algeria
Size range D10 D15 D50 D85
Layer 共mm兲 共mm兲 共mm兲 共mm兲 共mm兲
Coarse gravel 25–60 28.50 30.25 42.50 54.75
Medium gravel 6–25 7.90 8.85 15.50 22.15
Fine gravel 3.5–6 3.75 3.88 4.75 5.63
Gravel sand 0.5–3.5 0.80 0.95 2.00 3.05
Dune sand 0.1–0.5 0.14 0.16 0.30 0.44
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means of a 70 m articulated cut-off wall with inserted joints and,

second, to address a concern for erosion, through provision of a
filter blanket covering a basal area of 40,000 m2. G. Rodio 关From
letter to Terzaghi, November 16, 1931 共in French兲兴 conveyed to
Terzaghi a request from the client for “examples of existing filters
for similar case studies to Bou-Hanifia.” The desire was for con-
fidence in the extrapolation of experience gained in filters for
relatively small concrete weirs on Alpine rivers to those for a
relatively large earth dam on a site with historic problems. Ques-
tions on the filter arose again with the client expressing concern
that “the filters may be too massive to retain the quasi-colloidal
particles that seepage flow could take from . . . the sandy marl, or
else too thin and susceptible to rapid clogging” 关G. Rodio, from
letter to Terzaghi, April 30, 1932 共in French兲兴. Terzaghi’s initial
suggestion of a filter comprising five layers was subsequently
amended, because of insufficient quantities of the necessary sand
关G. Rodio, from letter to Terzaghi, November 11, 1932 共in Ger-
man兲兴, and his advice was sought on a proposal for an alternative
configuration of six layers using a dune sand that could be easily
obtained and did not require washing. In a contribution to the 1st
International Congress on Large Dams on soils testing for earth
dams, Terzaghi 共1933兲 alluded to these generalized advances in
the design of filters “. . . it is possible that particles of base soil
may wash through the coarse pores of the filter. The experimental
investigations to determine a suitable grain size distribution are
not yet completed.” Two years later, he wrote on the requirement
of a reverse filter for soil retention noting that “In his earlier
designs, the writer specified that the average diameter of the
grains of the lowest layer of the filter should be approximately
five times as large as that of the largest grains of the covered soil.
Fig. 8. 共a兲 Empirical filter criteria 共from Pfletschinger undated, with However, as his experience increased, he found it advisable to
permission, NGI, Norway兲; 共b兲 application of the rule of Terzaghi determine, experimentally, in every case the most satisfactory
共Drouhin 1936, with permission from ICOLD, France兲; 共c兲 require- grain size for the bottom layer of the filter. Each one of the suc-
ments of the filter material 共Terzaghi 1939, with permission, Institu- ceeding layers is about five times coarser than the preceding one”
tion of Civil Engineers, United Kingdom兲; and 共d兲 grain size of filter 共Terzaghi 1935兲.
material 共Terzaghi and Peck 1948, with permission, R. Peck兲 The following year, at the 2nd International Congress on Large
Dams, Drouhin 共1936兲 reported on the contribution of laboratory
investigations to the design at Bou-Hanifia and gave the first com-
dx ⬎ 4d2 共3兲 prehensive description of the protective filter blanket. As con-
structed, it comprised five layers 共see Table 2 and Fig. 9兲. The
where d2 = D15b. The rule was based on the concept that perme- laboratory investigations included a series of permeameter tests,
ability “is proportional to the square of the finest grain size, 10 to in which a reconstituted sample of the base soil and first layers of
15% by mass” and hence “the filter is essentially 共10 to 20 times兲 the filter was subject to flow, in a glass cylinder, and any move-
more permeable than the soil.” An inquiry reveals this patent ment of grains observed. These and other tests sought to verify an
claim of Pfletschinger was apparently never registered with the empirical filter rule, attributed to Terzaghi 关see Fig. 8共b兲兴, wherein
Austrian Patent Office 共I. Weidinger, personal communication
from the Austrian Patent Office, 2004兲.
4D85b ⬎ D15f ⬎ 4D15b 共4兲
The site at Bou-Hanifia comprises interbedded sand, gravel,
marl, and sandstone layers, in a formation that was considered It is interesting to note, from inspection of the data in Table 2, that
very susceptible to internal erosion as a result of seepage flow. It each layer of the filter at Bou-Hanifia also satisfies the recommen-
overlies impervious, compressible marl. Accordingly, two key as- dation for soil retention of Eq. 共1兲 that Terzaghi had made 10
pects of the design were first to accommodate deformation, by years earlier in his letter report of 1926 on the Granville Dam.

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Fig. 9. Arrangement of the inverted filter at the Bou-Hanifia Dam,

Algeria 共Ott 1946, with permission, Revues TRACÉS, Switzerland兲

The year after, Rodio disseminated a report of his Centre for

Geotechnical Research located in Paris, on the phenomenon of
internal erosion. A copy was sent to Terzaghi. It gave a detailed
rationale for selecting a filter based on principles of soil retention
and permeability, given by the rules of Eq. 共4兲 that were attributed
Fig. 10. Terzaghi inspects piping at a road cut near Cameron Lake,
to Terzaghi. The rationale bears a remarkable similarity to that
B.C. in 1957 共with permission, NGI, Norway兲
articulated in the draft patent claim of Pfletschinger. Specifically,
on soil retention, it states that “. . . a grain diameter four times
smaller than the D15 of a broadly-graded soil is not able to pen-
etrate it” 共Rodio et al. 1937兲. Permeability was again recognized ghi and Peck 1948兲. The latter publication 关see Fig. 8共d兲兴 included
to be “. . . a function of the square of the grain diameter . . .,” with a sole reference to the validity of the filter rules, namely the
the rule providing for “. . . the filter having a sufficient perme- experimental study of Bertram at Harvard, which in turn made
ability 共10 to 20 times greater than the ground兲.” sole reference to an unpublished report for the Bou Hanifia Dam.
The empirical criteria were first published by Terzaghi himself It was only included in a final draft of the text at the suggestion of
关see Fig. 8共c兲兴 on the occasion of his James Forrest Lecture to the his coauthor 共R. B. Peck, personal communication, 2004兲.
Institution of Civil Engineers at London in 1939, when he de- Casagrande 共1960兲 was later to observe, “If I were to single
scribed the concern at Bou-Hanifia dam for “outcrops of several out the characteristics chiefly responsible for Terzaghi’s success, I
strata of fine sand which, after the reservoir is filled, will furnish would say that it was the rather unusual combination of the ana-
channels for an appreciable flow of seepage towards the base of lytical mind of a great physicist with the power of observation
the dam. Since the discharge-area will be covered with rockfill, and love of nature of a great natural scientist.” Doubtless, both
incipient piping of the water in the sand cannot be detected until attributes contributed strongly to his understanding of seepage
it is too late. The inverted filter serves to exclude the danger of and filtration phenomena. Yet it is intriguing to consider how
underground erosion without inducing a dangerous concentration Terzaghi must have reflected on his path of discovery from theo-
of flow-lines at some other point” 共Terzaghi 1939兲. By this time retical concept to engineering practice, with its confident leap in
Terzaghi had relocated to the United States and was working as a scale of construction from the weir at Hallein in 1926 共Fig. 6兲 to
consultant. He had resigned his position at Vienna, partly at con- the dam at Bou-Hanifia in 1932 共Fig. 9兲, when examining field
cern for impending conflict in Europe and, doubtless, also in re- evidence for piping phenomena in soils like that encountered on a
sponse to his feelings over the bitter and ultimately tragic aca- visit to British Columbia in 1957 共Fig. 10兲.
demic dispute with his former colleague Professor Fillunger
共Goodman 1999; de Boer 2005兲.
It was in the following year that Bertram 共1940兲, working Concluding Remarks
under the supervision of Casagrande at Harvard University, con-
ducted a very thorough series of permeameter tests in which he Terzaghi was an ambitious young engineer, possessed of an insa-
established the need for deaired water in any fundamental study tiable quest for adventure, an unshakeable confidence in his own
to eliminate problems of air segregation during testing, and the ability, and an astute entrepreneurial drive. His early professional
use of distilled water to avoid clogging by suspended solids. In experience developed through a variety of assignments in Europe
seeking to evaluate the filter criteria of Terzaghi he was the first to and the United States, forging in him an appreciation for soil
demonstrate, from analysis of reported experimental data, that for mechanics rooted firmly in engineering practice. Among his many
purposes of soil retention “The minimum critical ratio of the 15 contributions to the emerging discipline of soil mechanics was
per cent size of the filter to the 85 per cent size of the base at the that of a filter to protect against seepage-induced erosion and,
limit of stability is approximately 6.” Terzaghi now held a partial subsequently, empirical criteria for its grain size distribution. The
appointment at Harvard University, from where he prepared two path of discovery that led to those recommendations for engineer-
textbooks, one on Theoretical Soil Mechanics 共Terzaghi 1943兲 ing design comprises the following:
and the other on Soil Mechanics in Engineering Practice 共Terza- 1. His conceiving of the loaded inverted filter, and its proof-of-

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 concept based on laboratory tests he conducted in 1919–1921 Geotechnical Institute, and the writer is indebted to Dr. Suzanne
while on faculty at the American Robert College in Turkey, Lacasse, Director of NGI, for her sponsorship of the work.
which identified the role of seepage phenomena and hydrau-
lic gradient on piping failure in sand.
2. The granting of a patent for Germany, Austria, Switzerland,
and the United States, which describes the concept of a filter Notation
but does not provide information for the specification of its
gradation curve. The following symbols are used in this paper:
3. His specialist consulting for Josef Pfletschinger, principally D , d ⫽ grain size;
in 1923–1926 while at Robert College and later at MIT, k ⫽ permeability;
which brought the concept to engineering practice, most no- i ⫽ hydraulic gradient;
tably for the construction of a weir at Hallein in Austria that ␥ ⫽ unit weight; and
Downloaded from ascelibrary.org by YILDIZ TEKNIK UNIVERSITESI on 02/20/20. Copyright ASCE. For personal use only; all rights reserved.

involved a filter placed in three layers. ␥⬘ ⫽ buoyant unit weight.

4. An initial criterion for soil retention based on D10 of the filter
and D50 of the base, which is first declared in a consulting
report of 1926 for a dam at Westfield, Mass. and which, upon References
inspection, is also found to be in agreement with the filter of
the weir at Hallein in Austria. Bertram, G. E. 共1940兲. “An experimental investigation of protective fil-
5. His specialist consulting for Giovanni Rodio in 1932 for the ters.” Graduate School of Engineering, Harvard Univ., Cambridge,
dam at Bou-Hanifia in Algeria, involving a filter with five Mass., Soil Mechanics Series, No. 7.
layers, which brought universal recognition to the criteria for Casagrande, A. 共1960兲. “Karl Terzaghi—His life and achievements.”
soil retention and permeability based on D15 of the filter, and Theory to practice in soil mechanics, L. Bjerrum, A. Casagrande, R.
on D85 and D15 of the base, that were first published and B. Peck, and A. W. Skempton, eds., Wiley, New York, 3–21.
de Boer, R. 共2005兲. The engineer and the scandal—A piece of science
attributed to Terzaghi at the 2nd International Congress on
history, Springer, Berlin.
Large Dams held at Washington in 1936. Drouhin, M. 共1936兲. “On the contribution of permeability and seepage
In a period of just over 10 years, Terzaghi had proved the idea studies to the control of underground erosion at the Bou-Hanifia dam
of a weighted filter in simple tests; patented the concept; devel- 共in French兲.” Trans. 2nd Int. Congress on Large Dams, Washington,
oped empirical criteria for the grain size distribution of filter D.C., Vol. 4, Annex 1, 29–53.
through specialist consulting advice on relatively small weirs in Goodman, R. E. 共1999兲. Karl Terzaghi—The engineer as artist, ASCE
Europe; and firmly established those rules as a basis for engineer- Press, Reston, Va.
ing practice on a large dam in North Africa. The Terzaghi filter Laufer, A. 共1927兲. “Piping and its remediation 共in German兲.” Die Wasser-
criteria are commonly attributed to experience gained on that lat- wirtschaft, 20共24兲, 560–566.
ter project. However, an evaluation of unpublished letter reports, Laufer, A. 共1929兲. “Specialist construction details for the Hallein instal-
contract documents, and correspondence in the Terzaghi Library lation 共in German兲.” Die Wasserwirtschaft, 22共16兲, 307–312.
at the Norwegian Geotechnical Institute suggests the criteria for Ott, J.-C. 共1946兲. “Construction of the Bou-Hanifia dam, Algeria 共in
French兲.” Special edition of the Societe du Bulletin Technique de la
soil retention and permeability were in fact established through
Suisse Romande, taken from Bulletin Technique de la Suisse Ro-
earlier collaboration with the Austrian consulting company of J. mande, Feb. 5 & 9, 1944, 22 p.
Pfletschinger & Co. This insight appears to be confirmed by the Pfletschinger, J. 共1929兲. “The Hallein hydropower installation for control
uncovering of a draft patent claim, prepared in the name of Josef of the river Salzach 共in German兲.” Die Wasserwirtschaft, 22共16兲,
Pfletschinger, which sets out the precise details of those criteria, 291–299.
and whose existence was apparently known to Giovanni Rodio. Pfletschinger, J. 共uncatalogued兲. “Method to protect erodible foundation
soils against the mechanical attack of seepage water with the aid of a
filter 共in German兲.” Patent claim, undated. Terzaghi Library, Norwe-
gian Geotechnical Institute, Oslo, Norway.
Rodio, G. 共uncatalogued兲. Draft contract between the Rodio company and
Acknowledgments
Karl von Terzaghi, undated 共in German兲. Terzaghi Library, Norwegian
Geotechnical Institute, Oslo, Norway.
The preparation of this paper is based upon extensive reference to Rodio, G., Bernatzik, W., and Daxelhofer, J.-P. 共1937兲. “Internal erosion
unpublished project reports, technical documents, and personal 共in French兲.” Bulletin No. 5, Centre d’Etudes et de Recherche Geo-
correspondence held in the Terzaghi Library of the Norwegian techniques, Paris.
Geotechnical Institute at Oslo in Norway, and to journal holdings Rouse, H., and Ince, S. 共1957兲. History of hydraulics, Iowa Institute of
of the British Library at London. In particular, the writer wishes Hydraulic Research, The State University of Iowa, Iowa City, Iowa.
to thank the NGI librarian Mrs. W. Enersen for sharing her out- Soeser, M. 共1929兲. “On the construction operations of H. Rella & Co. for
standing knowledge of the Terzaghi collection, which continues the dam 共in German兲.” Die Wasserwirtschaft, 22共16兲, 299–307.
to grow with ongoing donations of additional material. Some of Soydemir, C. 共1970兲. “Terzaghi’s period in Turkey 共1916–1925兲.” Nor-
those uncatalogued materials proved of great significance to the wegian Geotechnical Institute, Internal Rep. No. 5002, Oslo, Norway.
Terzaghi, K. 共1922兲. “Failure of dam foundations by piping and means for
research for this paper. The writer also wishes to recognize the
preventing it 共in German兲.” Die Wasserkraft, Zeitschrift fur die gesa-
assistance of Dr. Siegfried Steimer, Dr. Markus Weiler, Mrs. Ca- mte Wasserwirtschaft, 17共24兲, 445–449.
rolla von Hahn, and Ms. Pascale Rousé with translation of works Terzaghi, K. 共1925a兲. Earthwork mechanics on the basis of groundphys-
published in German and French, and Mr. John Rowcliffe for his ics (Erdbaumechanik, in German), Franz Deuticke, Leipzig, Germany.
research assistance. Figs. 1, 2, 5–7, 8共a兲, and 10 are reproduced Terzaghi, K. 共1925b兲. “Modern concepts concerning foundation engineer-
from original holdings of the Terzaghi Library, with permission of ing.” J. Boston Soc. Civ. Eng., 12共10兲, 1–43.
the Norwegian Geotechnical Institute. The study was undertaken Terzaghi, K. 共1926a兲. “Curriculum vitae—Selected topics.” Hand-written
with support of a 14th Terzaghi Fellowship from the Norwegian draft, Terzaghi Library, Oslo, Norway.

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 Terzaghi, K. 共1926b兲. “On the underground conditions existing at the site Terzaghi, K. 共1935兲. “Discussion of ‘Uplift and seepage under dams on
of the proposed Granville storage dam for the water supply system of sand,’ by L.F. Harza.” Trans. Am. Soc. Civ. Eng., 100, 1391–1395.
Westfield, Mass.” Rep. of 17 August 1926 to Messrs. Fay, Spofford Terzaghi, K. 共1939兲. “Soil mechanics—A new chapter in engineering
and Thorndike, Consulting Engineers. science.” J. Inst. of Civ. Eng. (UK), 12共7兲, 106–141.
Terzaghi, K. 共1929兲. “Effect of minor geologic details on the safety of
Terzaghi, K. 共1943兲. Theoretical soil mechanics, Wiley, New York.
dams.” Technical publication 215, American Institute of Mining and
Metallurgical Engineers, 31–44. Terzaghi, K., and Peck, R. B. 共1948兲. Soil mechanics in engineering
Terzaghi, K. 共1933兲. “The standard testing of soil for rolled earth dams practice, Wiley, New York.
共in German兲.” Proc., 1st Int. Congress on Large Dams, Stockholm, Times Books. 共2004兲. Complete history of the world, 6th Ed., R. Overy,
Sweden, Question 2a, Rapport No. 18, 1–35. Ed. Harper Collins, London.
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