Water, 4.

Treatment by Flocculation and Filtration

MARTIN JEKEL, Technische Universität Berlin, Fachgebiet Wasserreinhaltung, Berlin,
Germany
ROLF GIMBEL, Gerhard-Mercator-Universität Gesamthochschule Duisburg und
Rheinisch-Westfälisches Institut für Wasserchemie und Wassertechnologie, Mülheim,
Germany

1. Flocculation. . . . . . . . . . . . . . . . . . 1 1.5.5. Operational Aspects. . . . . . . . . . . . . 8

1.1. Introduction . . . . . . . . . . . . . . . . . 1 2. Filtration. . . . . . . . . . . . . . . . . . . . 8
1.2. Definitions . . . . . . . . . . . . . . . . . . . 1 2.1. Introduction . . . . . . . . . . . . . . . . . 8
1.3. Chemicals Used in Coagulation and 2.2. Slow Sand Filters . . . . . . . . . . . . . 9
Flocculation. . . . . . . . . . . . . . . . . . 2 2.3. Polishing Filters. . . . . . . . . . . . . . . 10
1.3.1. Inorganic Chemicals . . . . . . . . . . . . 2 2.4. Rapid Filters . . . . . . . . . . . . . . . . . 11
1.3.2. Organic Chemicals . . . . . . . . . . . . . 3 2.4.1. Design . . . . . . . . . . . . . . . . . . . . . . 11
1.4. Kinetics of Aggregation . . . . . . . . . 3 2.4.2. Fields of Application and Modes of
1.5. Process Technology for Coagulation Operation . . . . . . . . . . . . . . . . . . . . 12
and Flocculation . . . . . . . . . . . . . . 4 2.4.3. Filter Performance. . . . . . . . . . . . . . 14
1.5.1. Dosing. . . . . . . . . . . . . . . . . . . . . . 4 3. Symbols and Abbreviations . . . . . . 16
1.5.2. Rapid Mixing . . . . . . . . . . . . . . . . . 5 References. . . . . . . . . . . . . . . . . . . 16
1.5.3. Reactors for Floc Formation . . . . . . . 5 Further Reading . . . . . . . . . . . . . . 17
1.5.4. Integrated Flocculation Systems . . . . 6

1. Flocculation raw water with low suspended solids and coag-

ulant demand.
1.1. Introduction The removal of particulate substances is usu-
ally the primary objective of flocculation, but
Most surface waters contain finely dispersed important cases exist in which dissolved
substances below about 10 μm, that cannot be inorganic and organic substances can be removed
separated by simple sedimentation or rapid effectively by coagulants and flocculants via
filtration. These dispersed particles are respon- precipitation, coprecipitation, or adsorption
sible for the turbidity of water and may consist onto the flocs. Examples are phosphates, some
of silica and clays, algae cells, bacteria, viruses, heavy metals, or dissolved organic substances of
organic detritus, or insoluble pollutants [1]. In natural or anthropogenic origin (DOC) → Water,
groundwater, particles can be formed by a pre- 2. Treatment by Adsorption Processes,
ceding precipitation (e.g., lime precipitation for Section 4.2 Adsorption Equilibrium, → Surfac-
softening) or by oxidation of iron(II) and man- tants, Section 15.3.1 Methods for Determining
ganese(II) ions. The finely dispersed particles Biological Degradation. The removal of DOC
have to be coagulated by coagulation techniques has become a major task in water treatment,
using suitable chemicals known as coagulants especially in raw water colored by natural humic
and flocculants. substances or with a high DOC [2].
The aggregates formed can be removed by
subsequent separation processes such as sedi-
mentation, flotation, or filtration. In the produc- 1.2. Definitions
tion of high-quality water such as drinking
water, sedimentation and flotation usually are Scientific and technical terms that are used
followed by rapid filtration, while direct filtra- frequently in flocculation are listed and
tion of flocs (see Chapter Filtration) is limited to explained below [3–6]:

 2015 Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim

10.1002/14356007.o28_o15.pub2
2 Water, 4. Treatment by Flocculation and Filtration

Colloids (→ Colloids) are particles with diam- Precipitation (→ Crystallization and Precipi-
eters in the range of 0.001–1 μm. They do not tation, Chapter 8. Precipitation) is the forma-
settle, and they cause turbidity. tion of insoluble substances from dissolved
matter and the chemicals added. The important
Suspended particles have diameters > 1 μm coagulants Al3+ and Fe3+ salts can precipitate as
and are detected under a light microscope. hydroxides in the neutral pH region and are thus
Aggregation (→ Colloids, Chapter 4. Propert- removed from water.
ies of Colloidal Systems) denotes the general
Coprecipitation is the inclusion of dissolved or
process of forming larger flocs from primary
particulate substances into a precipitate (e.g., of
particles.
aluminum or iron(III) hydroxide). Particles are
Stabilization. Colloidal particles can be stabi- then aggregated by the important sweep coagu-
lized against aggregation. Most important in lation mechanism, with the amorphous, gelati-
aqueous systems are the negative surface nous hydroxide flocs acting as particle
charges hindering coagulation due to repulsion collectors.
[1, 3, 4].
Destabilization. Stable colloids are rendered 1.3. Chemicals Used in Coagulation and
unstable through neutralization of their negative Flocculation
surface charges by adsorption of positively
charged coagulants. 1.3.1. Inorganic Chemicals (→ Flocculants,
Section 2.1 Inorganic Flocculants)
Coagulation (→ Colloids, Chapter 4. Propert-
ies of Colloidal Systems) refers to (1) the elim- The most important coagulants in water treat-
ination of electrostatic repulsion forces between ment are the salts of iron(III) and aluminum
particles via addition of certain coagulants, and ions, available in various commercial forms and
(2) in technical terms, the first phase of floc purities. Iron(III) chloride or aluminum sulfate
formation after chemical mixing and destabili- (alum) is used frequently because of low cost.
zation, but before dosing of flocculants (see Mixed coagulants are also available, especially
below) [4]. for applications in wastewater treatment. These
Flocculation (→ Disperse Systems and Disper- coagulants dissolve readily in water, and the
sants, Section 3.2.2 Steric Stabilization) (1) metal ions form hexaquo complexes,
Flocculation is the mechanism of floc aggrega- Me…H2 O†3‡ 6 , which are acidic species and split
tion by high molar mass polymers that adsorb on off protons [7].
the particles and form bridges between them. (2) The aquo complexes are stable below pH 3–4
In water treatment, flocculation is the phase of (Al3+) and 1–2 (Fe3+). After stepwise formation
formation of large flocs by addition of a sec- of hydroxo – aquo complexes with increasing
ondary chemical called a flocculant or flocculant pH, insoluble hydroxides are formed at higher
aid [4]. pH (Al3+, pH > 5.5–6.0; Fe3+, pH > 4.5–5) as
voluminous, amorphous flocs. The residual con-
Coagulants are chemicals used for destabiliza- centrations of dissolved metal ions are well
tion in the first phase of floc formation. Most below the drinking water standards of 0.2
common are the salts of Al3+ and Fe3+ ions; mg/L for Fe and Al. The Al(OH)3 dissolves
sometimes, organic cationic polymers are used. as aluminate ‰Al…OH†4 at pH > 7.5–8.0, which
must be avoided in water treatment [8];
Flocculants (→ Filtration, 1. Fundamentals, Fe(OH)3redissolves at pH > 10–11 to form
Section 8.2 Application of Flocculants (Poly- Fe…OH†4 .
electrolytes)) designate chemicals used to The cationic partially hydrolyzed species
improve the formation of larger flocs. Floccu- present in a slightly acidic medium can con-
lants are high molar mass water-soluble poly- dense to form polymeric products with a high
mers. Flocculant aid or coagulant aid is used as a positive charge. Various oligomeric and poly-
synonym. meric products are known [e.g.,Al13 …OH†7‡32 and
 Water, 4. Treatment by Flocculation and Filtration 3

Fe3 …OH†5‡4 ]. For more details on hydrolysis and natural, or modified natural polymers) with
condensation reactions, see [7]. Cationic alumi- mean molar masses in the range of 104–107
num polymers are available as commercial g/mol. The following monomers are included
products or are produced by partial hydrolysis [5] (→ Flocculants, Chapter 2. Classification of
and polymerization. These coagulants are usu- Flocculants):
ally called polyaluminum salts. Acrylamide (nonionic), acrylic acid (anionic),
Fe(III) and Al-salts exhibit two different N,N-(dimethylaminopropyl)methacrylate (cat-
mechanisms in particle aggregation [9]: ionic), and ethyleneamine (cationic).
The resulting polymers can be nonionic,
1. Cationic polymeric species adsorb on nega- cationic, or anionic; the charge density can
tively charged particles and neutralize them vary from low to very high, depending on
at an optimum dosage (charge neutraliza- copolymer composition. The molecular diame-
tion). Overdosing leads to restabilization ter of the polymers in solution is 10–500 nm.
because of charge reversal. Most commercial polymers are copolymers,
2. Insoluble hydroxides precipitate and enmesh containing at least two monomer types. The
the particles by the sweep coagulation mech- monomer content of these products is limited
anism. Optimum coagulation is achieved to 0.05–0.1 % if they are used in drinking water
under conditions of maximum precipitation treatment [12].
of the hydroxides. The nature and concen- Highly charged cationic polymers can be
tration of particles have no effect. applied as coagulants, instead of Al3+ and
Fe3+ salts because of their effective charge
The sweep coagulation process is the domi- neutralization mechanism at optimum dosage
nant mechanism in most cases, whereas charge [13].
neutralization may be important in the coagula- High molar mass polymers with low to
tion of algae, humic colloids, or more concen- medium charge densities are flocculants, acting
trated suspensions and at a pH of < 6.0–6.5. by the adsorption-bridging mechanism [3]. Typ-
The optimum dosages of Al3+ or Fe3+ may ical dosages are in the range of 0.05–1.0 mg/L,
vary with water source and, because of frequent and the polymer should be added at least 30 s
changes in raw water quality, even in the same after addition of the metal salts. Flocs formed
plant within a few hours. The typical dosages with the aid of these polymers are larger, are
given below are a preliminary guide for frequent more resistant to erosive and destructive forces,
cases: and settle faster.
In addition, natural or modified natural poly-
1. Treatment plants for river water with set- mers such as starch, modified starch, or algi-
tling: 0.05–0.2 mol/m3 Me3+ nates can be used. Since natural polymers tend
2. Treatment plants for lake and impounded to be less effective, are unstable, and may
water with direct or in-line filtration: support bacterial growth, they must be applied
0.01–0.1 mol/m3 Me3+ with more care.
3. Treatment plants for color and DOC
removal: 0.01–0.05 mmol Me3+ per mg
DOC; optimum pH values for Al3+: 1.4. Kinetics of Aggregation
5.5–6.5; for Fe3+: 4.5–6 [10, 11]
The particle transport processes necessary for
Laboratory tests are usually performed to particle collisions are usually slower than mix-
find the most suitable coagulation conditions ing, chemical reactions, adsorption, and desta-
before adjusting dosages in the plant. bilization. The kinetic rate of aggregation is thus
determined by the particle collision rate, which
1.3.2. Organic Chemicals (→ Flocculants, itself depends on three basic transport processes
Section 2.2, → Flocculants Section 2.3.1) [3, 14].
Particle diffusion is based on Brownian
Organic substances added in flocculation are movement and dominates in concentrated col-
linear, water-soluble polymers (synthetic, loidal systems if the particle diameter is < 0.5–1
4 Water, 4. Treatment by Flocculation and Filtration

μm. This perikinetic coagulation is probably not high G values induce smaller flocs. In designing
important in water treatment or is limited to the flocculation reactors, the use of two or more
first short phase until microflocs appear with reactors can reduce overall reactor volume. The
diameters >1 μm. first reactor is operated at high G values for high
Hydrodynamic shear gradients imposed by collision rates but small flocs, whereas the
stirring or turbulent flow are responsible for second reactor is needed to produce large flocs
different particle velocities. This important col- at low G values (see Section Process Technol-
lision mechanism (orthokinetic coagulation) ogy for Coagulation and Flocculation).
can be described for the initial period by The final flocs are separated by either set-
tling, flotation, or filtration, whereby the differ-

t
ln N/N 0 ˆ 4/π
α
ϕ
G (1) ent floc velocities induce further collisions and
floc growth. This third transport process is
where N and N0 are the total particle concentra- significant in settling and flotation tanks.
tions at time t or t = 0; α is the collision
efficiency factor; G is the mean shear gradient
(s-1); ϕ is the volume concentration of solids; 1.5. Process Technology for
and t is time. Coagulation and Flocculation
The collision efficiency factor depends on the
extent of destabilization of the particles (chemical The major process steps in coagulation and
factor), while G represents shear conditions. The flocculation are listed in Table 1. Steps 1 and
mean value G is used for turbulent conditions and 2 are physically different processes but are quite
can be calculated [3] according to the following: rapid and usually occur in the same reactor, the
For back-mix reactors rapid mix system. Steps 3 and 4 are performed
 1/2
in one, two, or more reactors, depending on
 ˆ P plant design.
G (2)
η
V

where P is the power input of stirrer; V the reactor 1.5.1. Dosing

volume; and η the dynamic viscosity.
For pipes and channels Coagulants and flocculants are generally pre-
pared as a stock solution or delivered as a
 1/2 concentrated solution. Some restrictions exist
 ˆ Δp
v
G (3)
l
η on the concentration of stock solutions and their
predilution before dosing. Iron(III) and alumi-
where Δp is the pressure loss; v the flow rate; l num salts may start to precipitate or hydrolyze at
the length of the pipe; and η the dynamic concentrations < 1 % (Fe, Al) and pH values
viscosity. > 1–2. All metal salts are acidic or alkaline
The orthokinetic equation is not longer valid solutions and require safety precautions. Iron
if larger flocs are formed and destroyed again. In (III) salts are especially corrosive.
this case, the formula must be extended by a floc Organic polymer solutions exhibit high vis-
destruction term [15], describing the fact that cosities at concentrations > 0.2–0.5 %, depend-
larger flocs are formed at low G values, while ing on their molar mass.

Table 1. Process steps for coagulation and flocculation systems

Step Task

Dosing of coagulants and rapid mixing homogeneous distribution of chemicals

Destabilization adsorption of coagulants on colloids and suspended particles, precipitation
of dissolved substances
Aggregation to microflocs (coagulation) rapid formation of small flocs from destabilized particles in high shear gradients,
without flocculants (polymers)
Aggregation to macroflocs (flocculation) formation of removable large flocs, with or without a flocculant (polymer)
 Water, 4. Treatment by Flocculation and Filtration 5

National and international standards exist and the technical solutions of plant designers →
regarding the purity of all applied chemicals Reactor Types and Their Industrial Applica-
to avoid secondary pollution in the finished tions, Chapter 2. Basic Types of Reactors.
drinking water. Cationic polymers are not The basic principles are as follows [4]:
approved for use in several countries because
their risks are unknown. 1. Stirred tanks (back-mix reactors)
2. Pipes (plug-flow reactors)
1.5.2. Rapid Mixing 3. Static systems (channels with baffles, plug
flow, and some back mixing)
The small flow of a dissolved coagulant and
4. Sludge contact systems (sludge recycling or
flocculant must be distributed rapidly in the
retention in flocculators)
large water flow by suitable reactors. Efficient,
rapid mixing is very important for destabiliza- 5. One or more of these reactors in series
tion of colloids. The present state of knowledge Stirred tanks (→ Stirred Tank Reactors) are
and technology is summarized in [16]. Rapid used widely and allow adjustment of the mean
mixing reactors can be designed as plug-flow or shear gradient independently of plant flow. The
back-mix systems. The latter apparently have tanks are designed in rectangular form or as
some deficiencies in terms of coagulation, round vessels with baffles. Retention times at
because the coagulant may not be transported nominal flow are generally between 10 and 30
evenly to all particles in a short time. Mixing min (total); longer times are needed if only one
studies indicate that the metal salts should be reactor is used. The required retention time is
mixed completely within 0.1–1 s, which may be lower (2–10 min) in direct filtration plants. The
difficult to achieve in large plants [16]. mean shear gradients adjusted by the stirrer
Possible rapid mixers are listed in Table 2. If speed are in the range of 10–100 s 1. In two
polymeric flocculants are dosed after the pri- or more sequential reactors, the G-value dec-
mary coagulants (usually metal salts), the reten- lines typically from ca. 100 s 1 to 10–30 s 1. If
tion time between dosing points should be at polymeric flocculants are added, the final shear
least 30 s or more to avoid a higher polymer gradient can be higher, ca. 25–50 s 1, because
demand. of more rigid flocs. Inlets and outlets must be
arranged properly to avoid short-circuits. The
1.5.3. Reactors for Floc Formation stirrers used are mostly of the blade or grid type,
and stirrer speed should be variable to optimize
A variety of reactors for aggregation exist in floc formation under various conditions of raw
water treatment, depending on historical devel- water and flow.
opments, national regulations and experience,
Flocculation in Pipes. Treatment plants offer
the possibility of using existing piping, but the
Table 2. Rapid mixer and destabilization units efficiency of flocculation depends on flow rate
[17]. At a low flow rate, the kinetics of aggre-
Basic type Examples, characteristics
gation are slower and solids may settle, while at
Pipes and channels without internals, with orifices or high flow the flocs tend to be destroyed. Poly-
(plug flow) in-line mixers
with pipe restrictions and expansions
meric flocculants are required, and the pipe
with static mixers design should avoid narrow bends and other
with high-speed injection high turbulences.
Stirred vessels (back mix) detention time 10–120 s
shear gradient >1000 s 1 Static Channel Flocculators. Similar reactor
special design to control back mixing
and retention time distribution
characteristics are found in static channel floc-
mixing energy can be varied culators equipped with baffles to induce back
Turbulent zones before, at, or after pumps mixing and establish shear gradients by the head
hydraulic jumps loss. These systems are in wide use in develop-
venturi tubes
weirs with overfall
ing countries because of their simple design and
construction [18, 19]. Total detention times are
6 Water, 4. Treatment by Flocculation and Filtration

Figure 1. Rectangular settlers

a) Rapid mixing; b) Flocculator; c) Sedimentation

generally about 20–40 min. Design parameters of 2–4 m/h. A commercial system uses a pul-
and examples are given in [19]. sating raw water flow [20]. Equipped with
parallel plates, a more recent version can operate
Sludge contact systems use the positive kinetic at an 8–12 m/h upflow rate. New flocculators
effect of high volume concentrations of sus- use a stirred upflow tank to form pellet-like flocs
pended solids (see ϕ in Equation (2) by retaining of high density [21].
the flocs in reactors by various methods. Besides
more rapid floc formation, denser and larger 1.5.4. Integrated Flocculation Systems
flocs are formed, which settle faster. Sludge
contact is established only in combination Because of the great variety of reactors and floc
with sedimentation. Basically, two techniques separators employed only a few examples are
are applied: shown here. Classic process schemes including
settling are depicted in Figures 1 and 2. The total
1. Recycling of settled sludge to the floccula-
tors (stirred tanks)
2. Sludge blanket systems (→ Wastewater, 3.
Anaerobic Biological Treatment, Section 7.2
Upflow Anaerobic Sludge Blanket (UASB)
Reactors) in upflow tanks with vertical or
inclined walls

A sludge blanket is established when the

flocs have a settling rate equal to the upflow
rate. Raw water enters the bottom after rapid
mixing via a pipe system, and destabilized
particles are captured by the large flocs of the
blanket. Excess sludge is removed via sludge
hoppers. Sludge blanket reactors need an
extended period of startup and are somewhat
sensitive to rapid flow increase. They have
advantages for low-turbidity and algae-laden
raw water. Their upflow rate is in the range Figure 2. Circular system
 Water, 4. Treatment by Flocculation and Filtration 7

Figure 3. Process scheme of treatment plant with multiple stirring, parallel plate settler, and thickener
a) Coagulant mixing; b) Polymer mixing; c) Stirred flocculator; d) Parallel plate settler; e) Sludge thickener

detention time is 2–4 h, and the systems are and polymer mixing (b); two stirred flocculators
most suitable for treatment of river water with a (c); parallel plate settlers (d); and a sludge
variable content of mineral solids. The settler thickener (e) below the plates. The total deten-
itself can be designed as a rectangular (Fig. 1) or tion time is only 30 min at full capacity [5, 22].
a circular (Fig. 2) tank with a flocculator in the
inner section [5]. Settled sludge may be recycled Direct filtration of flocculated water can be
to the flocculators by a pump. employed for low-turbidity raw water from
The introduction of parallel plates or tubes lakes and dams. The flocs can be quite small
into sedimentation units can reduce retention (microflocs) to be filtered off in dual- or triple-
times. Such a system is shown in Figure 3, media filters, at rates of 10–15 m/h. An example
including coagulant mixing (a), sludge recycle, is shown in Figure 4 [23].

Figure 4. Direct filtration plant with three-layer filter

a) Rapid mixing; b) Flocculator; c) Three-layer filter
8 Water, 4. Treatment by Flocculation and Filtration

Flotation is a feasible floc removal process for flotation. Flow-through pilot plants are usually
low-density flocs, formed in colored, humic acid designed according to full-scale systems and
water or in algae-rich raw water. The version allow more experiments, especially regarding
used mostly is dissolved air flotation (DAF) (→ hydrodynamic parameters. However, problems
Wastewater, 5. Physical Treatment), recycling occur in scaling-up pilot systems [27] because
5–10 % of the clarified water, which is saturated of different flow patterns. Large-scale plants
with air under a pressure of 5–10 bar. The are therefore often equipped with variable-
flocculated water and recycled pressurized speed stirrers or changeable reactor geometry
water are mixed; gas bubbles are formed, attach to adjust the reactors to flow variation. On-line
to the flocs, and cause them to float [24]. control and dosage adjustment have been
Since the 1970s, the introduction of pre- implemented sucessfully, based on novel tech-
ozonation before coagulant addition has proved niques and sensor systems [28], but their
successful to decrease turbidity and increase application require careful evaluation.
the removal of algae, to lower coagulant
demand, or to extend filter run times in direct
filtration [25]. Ozone is applied typically in
dosages of 0.5–2 mg/L, depending on raw
2. Filtration
water conditions. Other oxidants such as chlo-
rine or chlorine dioxide are less efficient or are
2.1. Introduction
avoided because of the formation of harmful
In this chapter, only the separation of turbidity-
byproducts.
causing solids (colloidal or suspended particles)
by filtration is described. This is clearly distin-
1.5.5. Operational Aspects guished from filtration through layers of acti-
vated carbon (→ Water, 2. Treatment by
The selection of suitable coagulants and floc- Adsorption Processes) or ion exchangers (→
culants and the continuous task of adjusting Ion Exchangers), which is used primarily for
their dosages to optimum values are based the removal of dissolved water constituents.
mainly on experience and extensive laboratory
and pilot-plant testing. The great number of Surface Filtration. The removal of turbidity
parameters that influence flocculation and the from water can be carried out by using surface
lack of quantitative models require adapted filtration (either cake filtration or cross-flow
testing procedures. The jar-test is the most filtration; see Fig. 5 A and B). In surface filtra-
widely used laboratory test, suitable for con- tion, the dimensions of the particulates are
ventional plants and chemical selection [3, 4, greater than the pore size of the filter medium
26]. Other tests include filtration or batch (or of the filter cake present on it). Therefore,

Figure 5. Schematic representation of various types of turbidity filtration

A) Cake filtration; B) Cross-flow filtration; C) Deep-bed filtration
a) Suspension flux; b) Filter medium or filter layer; c) Filtrate flux; d) Filter cake
 Water, 4. Treatment by Flocculation and Filtration 9

particles are retained because of sieve effects, mineral particles to particulate biomasses, par-
while water passes through the filter medium ticle agglomerates, and hydroxide flocs of very
under a pressure gradient. Surface filtration is low shear strength.
used in many different areas of industry for solid The design and mode of operation of depth
– liquid separation → Filtration, 1. Fundamen- filters are as diverse as the factors influencing
tals, Chap. 3, → Filtration, 1. Fundamentals, deep-bed filtration. Filters can be divided into
Chap. 5. The liquids treated range from different groups according to the typical filtra-
extremely dilute solutions to highly concen- tion rate in each case (water volume per unit
trated suspensions or sludge (dewatering). time and total filter cross-sectional area). These
Therefore, a large number of different processes groups are discussed in detail below. Today,
and equipment are available, which operate rapid filtration plays a dominant role in water
according to the basic principle of surface filtra- filtration.
tion. These also include membrane filtration
processes → Water, 5. Treatment by Membrane
Separation Processes. 2.2. Slow Sand Filters

Slow sand filters are operated at relatively low

Deep-Bed Filtration. In the treatment of any filtration rates of about 0.1 m/h. This type of
water, the dominant process is deep-bed filtration played a dominant role in the treatment
or depth filtration to eliminate turbidity (see of surface waters for the production of drinking
Fig. 5 C) → Filtration, 1. Fundamentals, water since start of water supply systems about
Chap. 4. In contrast to surface filtration, parti- 200 years ago. Here, purification processes are
cles are retained in the interior of a porous filter similar to natural soil filtration. Apart from
layer, which usually consists of a bed of granu- mechanical sieve effects and deep-bed filtration
lar material. To maintain the depth effect of mechanisms (transport and adhesion processes),
filters of this type, the particulates must be microbiological processes are especially impor-
considerably smaller than the pore size of the tant [29, 30].
filter layer. Otherwise, the top part of this layer Slow sand filters are usually employed in the
changes to cake filtration, resulting in an exces- form of open basins, which can have a filtration
sive pressure drop in the uppermost filter layer. area up to 10 000 m2. The filters are provided
Deep-bed filtration is used especially for the with a suitable drainage system or infiltrate
purification of liquids having very low solid directly to artificially recharge groundwater
concentrations or when the filtrate is required (see Fig. 6). The active filter layer consists of
in larger quantities and with a high purity (i.e., a bed of sand with a depth of 0.5–1.5 m and a
practically free of turbidity). A volume concen- grain size that can vary from 0.2 to 1 mm. The
tration of solids of < 0.05 % can serve as a rough head of water can reach ca. 1.5 m. A new filter
upper limit for the economically meaningful use develops its full efficiency only after a so-called
of depth filters. “Schmutzdecke” (dirt blanket) has been formed
To achieve separation, particles must be in the uppermost filter layer. This is formed
transported to the surface of the filter material from the retained water constituents by a com-
by various transport mechanisms in the interior bination of diverse physical separation mecha-
of the depth filter. At the surface, contact nisms and biochemical processes. The
between filter material and particles occurs. In "Schmutzdecke" can reach a height of a few
a second step, sufficiently stable adhesion of centimeters and the purification processes occur
particles to the filter material must take place. mainly in this layer.
The entire separation process is very complex Excellent water purification can be achieved
and can vary greatly depending on application. with slow sand filters. Not only the finest inorganic
This variability is due to the complicated flow particles but also particulate organic substances,
conditions in the filter layer and to the large especially protozoa, bacteria, and viruses, are
range of properties of normally used filter mate- retained. In addition, dissolved degradable organic
rials. Moreover, the dispersed solids to be sepa- substances can be mineralized and ammonia is
rated are diverse and can range from solid oxidized by aerobic biological processes.
10 Water, 4. Treatment by Flocculation and Filtration

Figure 6. Schematic representation of slow sand filtration

a) Biological filter layer (Schmutzdecke); b) Fine sand, height 0.8–1.5 m; c) Supporting layers, height 0.2–0.4 m; d) Drainage
system; e) Outflow controller

A ripening period of several days is required filters can be operated at average filtration rates
to form the Schmutzdecke. The length of a filter of about 1 m/h [31].
run (the time between two cleaning steps) is
usually some months. At the end of a filter run, Precoat Filters. In precoat filters, turbidity
the pressure drop in the topmost filter layer is removal occurs in a layer of a fine granular or
increased to such an extent that the required fibrous filter aid with a size of a few micro-
water throughput can no longer be maintained. meters. This layer has previously been filtered
In general, the necessary filter regeneration is onto a support. The aids employed are mainly
then carried out by peeling off the uppermost aluminum silicate (e.g., perlite) and diatoma-
3–5 cm of the filter layer. ceous earths. Other filter aids are also used in
The disadvantages of the slow sand filter are some cases. For example, powdered activated
a large area requirement and laborious filter carbon or a finely dispersed ion-exchange resin
regeneration. For this reason, new slow sand gives not only highly efficient separation of
filtration plants are rarely built in industrialized colloidal substances, but also retention of dis-
countries. In many existing plants, attempts are solved organic material or ions [32].
being made to lengthen the filter run by using In precoat filtration sieve effects on the sur-
appropriate pretreatment processes for turbid- face of the precoat layer can dominate after a
ity removal (flocculation, sedimentation, rapid relatively short filter run, resulting in clogging
filtration). of the surface. To achieve a sufficient perme-
ability of the resulting filter cake, filter aids are
often added continuously to the suspension to be
treated. In addition, the filter aids of the precoat
2.3. Polishing Filters layer can be conditioned with suitable polymers.
Precoat filters are usually available as closed
Polishing filters, which include precoat, disk, compact units in which the supports are flat or
and cartridge filters, are characterized by the tubular. After a filter run that lasts from hours to
relatively small radii of the filter pores (microm- days depending on the application, the precoat
eter range) and the shallow depth of the active layer is generally discharged by means of a
filter layer (millimeter to centimeter range). In pressure surge.
filters of this type, apart from physicochemical
transport and adhesion processes, sieve effects Disk and Cartridge Filters. The active filter
on the surface of the filter layer can also be layer in leaf and cartridge filters is available in a
significant, depending on the ratio of the size of preprepared form. The preprepared filter layers
suspended particles to pore size. These filters are can be made of fabric, fleece, felt, or wound
not pure depth filters and biological processes string especially in the case of cartridge filters.
are negligible in polishing filtration. With pres- Finely porous sintered materials such as fibrous
sure differences up to several bar, polishing or powdery metals, ceramic materials, and
 Water, 4. Treatment by Flocculation and Filtration 11

plastics are also used. In many cases, disk

and cartridge filters require not only mechanical
but also chemical cleaning. Alternatively,
some cheap filter materials are used only once
[33, 34].
Filter Performance. In general, excellent fil-
trate quality can be achieved with polishing
filters. They are used especially in the treatment
of boiler feed water and ultrapure water, as
required in the electronic, chemical, and phar-
maceutical industry. In addition, these filters are
often employed in smaller drinking water treat-
ment plants, in emergency water supply facili-
ties, in the treatment of water for swimming
pools and in the food industry for filtration of
beverages.

2.4. Rapid Filters

The term rapid filter is derived from the rela-

tively high filtration rate through the filter,
which is on average ca. 10 m/h. Filters of this
type consist of a coarse-grained filter material
(millimeter range) and a bed height of 1–2 m.
The deposition of particles within the filter layer
— which generally acts as a real depth filter —
is based primarily on physicochemical transport
and adhesion mechanisms. Figure 7. Basic design of a rapid filter
In industrialized countries, rapid filtration is a) Raw water distribution; b) Active filter layer (filter bed); c)
the most important filtration process used in the Supporting layer; d) Filter bottom; e) Clean water chamber
treatment of drinking water and industrial water
or in advanced wastewater treatment. This is
attributed to the low space requirement as a
result of high filter rate, but also to the simple The design of a classic rapid filter with one
design and mode of operation and to the largely media is represented in Figure 7. It consists of a
automated filter regeneration in which filter distributing device for raw water (a), an active
material is backwashed within the filter tank. filter bed (b), which is regarded as homoge-
neous; and a filter bottom (d), which supports
2.4.1. Design the filter material and allows the evenly distrib-
uted passage of filtered water into the clean-
The active layer of rapid filters consists of a bed water chamber (e). The filter bottom made of
of granular materials having an average diame- steel or reinforced concrete either is equipped
ter between 0.5 and 4 mm and a bed height of with filter nozzles provided with fine slits or is
0.5–2.5 m. If a fine-grained filter material is made of special porous components. To guar-
used, low bed heights are sufficient for good antee perfect functioning of the elements of the
removal efficiency. However, the capacity for filter bottom, especially if fine filter materials
the particulate load on the filter is exhausted are used, one or several supporting layers (c) are
quickly, which results in a short filter running included between the active filter bed and the
time. Quartz sand, anthracite, filter coke, acti- filter bottom. Each supporting layer has a grain
vated carbon, or pumice serve as filter materials size ca. two to four times coarser than the
[32]. material above it.
12 Water, 4. Treatment by Flocculation and Filtration

Table 3. Exemplary design of multimedia filters [33]

Material Bed depth, Bed weight, Grain size,

m kg/m3 mm

Dual-media filters
Filter coke, pumice, etc. 0.5–1.2 500–700 1.7–2.5
Sand 0.6–1.5 1000 0.8–1.2
Three-media filters
Activated carbon 0.3–0.6 250–350 3.0–5.0
Filter coke, etc. 0.6–1.2 500–750 1.5–2.5
Sand 0.5–0.8 1000 0.6–0.8

successfully. Typical examples of the design of

multimedia filters are given in Table 3.
Figure 8 shows the design of closed rapid
filters (pressure filters). Filters of this type are
usually made in the form of cylindrical steel
tanks. Filter surfaces up to 50 m2 are achieved in
vertical tanks. The usual pressure drops vary
between 0.2 and 2 bar at filtration rates of about
5–30 m/h.
Open rapid filters (gravity filters) are often
Figure 8. Exemplary design of a closed dual-media filter
a) Inlet; b) Outlet; c) Filter bottom; d) Sand; e) Filter coke; f) used in large plants. The pressure drop occur-
Water distribution ring in the filter bed must be compensated by a
head of water above the bed. The height varies
between 0.3 and 3 m of water column. Usual
The direction of flow in rapid filters is usually filter flow rates are in the range of 3–15 m/h.
from the top downward. The filter material Open filters are usually made in the form of
should have a particle-size distribution as uni- rectangular reinforced concrete tanks. Filter
form as possible. Otherwise, fine material surfaces up to 150 m2 have been achieved. Apart
becomes concentrated in the top filter layer from the classic type of rapid filter shown here,
during filter backwashing. This can result in a several special designs exist with upward or
change to surface filtration, which leads to an horizontal flow through the filter layer. Contin-
excessive pressure drop. To distribute particle uously operated rapid filters are also used
deposition over the greatest possible bed depth, increasingly. The loaded filter material is with-
dual-media filters are used frequently (see drawn continuously from the bottom and
Fig. 8). In this type, the upper filter layer con- returned at the top after a washing stage [35, 36].
sists of a relatively coarse material of low
density (filter coke in Fig. 8), while the lower
layer has a fine grain size and high density. If the 2.4.2. Fields of Application and Modes of
grain sizes and densities of the filter materials in Operation
the two layers are well suited to each other, this
structure remains even after filter backwashing. In water and wastewater treatment, the different
Because of its large pore size, the upper layer applications of rapid filters can be divided into
has a high load capacity for particulates, the following main groups [32].
whereas particle retention is not necessarily
complete. In comparison, the behavior of the
lower layer is the opposite. As a result, espe-
∙ Separation of Single Particles. Applica-
tions of this type can be encountered, e.g.,
cially in the case of high-turbidity influents, in the removal of turbidity from surface
longer filter running times can be attained water that is to be used as drinking water
with dual-media filters than with single-medium and industrial water. The particles are
filters. Three-media filters have also been used inorganic substances (e.g., clay minerals)
 Water, 4. Treatment by Flocculation and Filtration 13

and organic particles such as plant cells, can improve filtration. Oxidative pretreatment
algae, or bacteria. Further applications are of raw water (e.g., with ozone) can have a
the separation of CaCO3 particles after a similar effect.
water-softening step and the treatment of In normal depth filtration, the filter media is
boiler feed water and swimming pool fully saturated with water. In dry filtration,

∙
water. however, air is passed through the filter bed
Separation of Particle Agglomerates and together with water. This special process can be
Hydroxide Flocs. If turbidity-causing sol- used in water treatment if aerobic biological
ids are difficult to filter out as single processes in the filter bed need a continued
particles, agglomeration is usually carried supply of oxygen via air. This applies, for
out before rapid filtration, or the particles example, to the treatment of water with high
are embedded in iron or aluminum concentrations of ammonia or iron. Dry filtra-
hydroxide flocs by means of a flocculation tion is usually operated as a preliminary stage in
process. Dissolved substances can also be normal rapid filtration because turbidity reten-
bound in the flocs. Applications of this tion in the dry filter tends to be unstable [32].
type are encountered frequently in the
Operation. In the operation of rapid filters, it is
production of drinking water and indus-
preferred to keep the filtration rate constant
trial water from surface waters and in
during a run. This requires suitable control
advanced wastewater treatment. In the
because the resistance in the filter bed increases
latter, the hydroxide flocs to be separated
with increased filter running time due to depos-
contain not only turbidity but also colloi-
its. A constant filtration rate can be achieved by

∙
dal and adsorbed phosphate.
throttling the filter outflow at the beginning of
Removal of Iron, Manganese, and Ammo- the run. Throttling is then reduced, correspond-
nium. In the treatment of groundwater to ing to the increased pressure drop due to loading
produce drinking water and industrial of the filter bed. In open filters, the same result
water, the rapid filter is eliminating the can be achieved by an increase of the water
metals as hydroxides. These ions must be head.
converted to a separable form by chemical The run time of rapid filters is normally
or biochemical oxidation before or during between 10 and 150 h. In this time, both filtrate
actual filtration. In this widely encoun- quality (expressed as turbidity c) and pressure
tered application of rapid filters, chemical drop over the filter bed (ΔpV) change, as shown
– catalytic as well as biological processes qualitatively in Figure 9. In the continuous
are important. Ammonium can also be monitoring of filtration plants, a simple turbi-
eliminated by aerobic nitrification. dimeter is generally used in practice. As shown
In many cases, single-media filters are suffi- in Figure 9 three characteristic phases of a filter
cient for low levels of turbidity in raw water. For run can be distinguished. The level of turbidity
higher turbidity influents, multimedia filters can
be of advantage. The importance of multimedia
filters has increased since the 1970s because
the direct filtration process is often used for
economic reasons. In direct filtration, water
(without preliminary separation of flocs by sed-
imentation or flotation) is passed directly
through rapid filters after a coagulation stage.
Especially in direct filtration, pretreatment of
water is very essential. Apart from the type and
amount of coagulant used, the conditions of
coagulation (residence time up to the filter,
energy input in the coagulation step, etc.) are
also important. Moreover, the dosing of small Figure 9. Change in pressure drop and in turbidity with
amounts of polymeric flocculation or filter aids time in the filtrate of a rapid filter at a constant filtration rate
14 Water, 4. Treatment by Flocculation and Filtration

in the filter outflow decreases up to time t1. This should be about 2–5 m3/m2 per wash. If the
is the period of ripening, which can be very removal of turbidity in the filter depends greatly
pronounced, especially when chemical – cata- on biological or chemical – catalytic processes,
lytic or biological processes are important for excessive filter backwashing can be a dis-
filtering action. The level of turbidity in the advantage because a relatively long period of
filtrate is approximately constant between t1 filter ripening is required.
and t2. The breakthrough phase of the filter
starts at t2. The filter run can continue until
the maximal permissible turbidity is reached 2.4.3. Filter Performance
(e.g., at t3); then the filter must be backwashed.
Furthermore, Figure 9 shows that the pressure To design and operate a rapid filter optimally,
drop over the filter bed increases with filter run both the volume concentration c of a certain
time and reaches its maximum permissible type of particle and the filter loading σ, which
value at t4. One of the important optimization are functions of filter layer depth z and filter
tasks in rapid filtration is the close proximity of running time t, should be predetermined under
t3 and t4. For safety reasons in view of filtrate given feed conditions. The loading σ determines
turbidity, the t3 value chosen in practice is often the pressure distribution p in the filter layer and,
ca. 10–20 % greater than t4. finally, the total pressure drop. To describe c, σ,
and p as a function of z and t, a mass balance, a
Regeneration. At the end of its run time, a kinetic equation for the mass transfer from the
rapid filter must be regenerated. This is carried flowing phase to the stationary filter material,
out in a backwashing process in which the and a relation to describe the pressure distribu-
upward flow through the filter layer is so high tion in the filter are required for a differential
that the deposits on the filter grains are detached filter element [32, 37, 38].
and discharged. In single-media filters, back- The simplified mass balance is as follows:
washing is often carried out with water only. δc δσ
The flow rate must be high enough to convert vf ‡ ˆ0
δz δt
the bed from a fixed bed to a fluidized bed. To
achieve more intensive purification of the filter where vf is the filtration rate; c the volume
grains, air can be used in addition for backwash. concentration of particles; σ the filter load (vol-
In the first phase, the filter layer is whirled up ume of particles removed, based on filter layer
only with air, causing the loosening of filter volume); z a space coordinate (filter layer
grain aggregates. Subsequently, backwashing is depth); and t the filter running time.
often conducted with air and water, followed by For the kinetic equation, the relation pro-
water alone. posed by IWASAKI [39] is generally used. It
Multimedia layers are treated analogously. corresponds formally to first-order reaction
Simultaneous air – water backwashing is omit- kinetics:
ted because the danger of loosing filter material
with the wash water is possible. The last phase δc
ˆ λ
c
involves a stratification process, which causes δz
the different filter media to separate, thus the
original layer setup of the filter is reproduced. The filtration coefficient λ is a measure of
High wash water rates are applied and expan- filter efficiency. It corresponds to the probability
sion of the filter bed can reach ca. 40 % in the of a certain particle being retained in the filter
process. layer. The filtration coefficient depends on the
A filter backwash usually requires 10–20 properties of the filter material (e.g., grain size)
min. Depending on grain size and density, the and of the particles (e.g., particle size, density,
wash air and wash water rates vary from ca. 30 and surface charge) and on filter operating
to 100 m/h with a filter bed expansion of 10–50 conditions (e.g., filtration rate). However, λ
%. In a well-designed filter wash program, the also changes with increasing filter run time
water consumption based on the filter area because of the increase in filter loading with
 Water, 4. Treatment by Flocculation and Filtration 15

time. For this reason, λ is usually formulated as following:

follows [40]:
c λ0
z
ˆe
c0
λ ˆ λ0
f λ

λ0 represents the filtration coefficient in the where λ0 is determined by various forces that act
initial phase of filtration (i.e., as long as the within the filter layer on a particle to be depos-
influence of the filter load is still negligible); fλ ited. These forces must not only bring a particle
is a correction function, which essentially into contact with the surface of the filter material
describes the effect of the filter loading on (transport mechanisms), but also provide a sta-
particle deposition. In the idealized model ble particle adhesion on contact. Particle sepa-
case, fλ decreases linearly with filter load, i.e., ration is thus influenced by many parameters,
fλ = 1 - σ/σ s (σ s: saturation or maximum load). including the filtration rate and the size, shape,
Then, the following analytical solution for the and surface charge of the filter material. The
distribution of the particle concentration in the properties of water such as density and viscos-
filter layer can be obtained from the two partial ity, the pH value, and the other dissolved water
differential equations for the mass balance and constituents are also important. In addition, the
for the kinetic equation properties of the turbidity-causing solids, such
as density, particle size and shape, surface
c expfλ0
vf
c0
t/σ s g
charge, and shear strength, sometimes play a
ˆ dominant role. The important classic separation
c0 expfλ0
zg ‡ expfλ0
vf
c0
t/σ S g 1
mechanisms in deep-bed filtration of liquids are
where c0 is the volume concentration of parti- shown in Figure 10. In the case of interception
cles in the filter inflow. In case of a more (Fig. 10 A), a particle is assumed to move
complicated dependence fλ = f (σ), numerical through the filter layer with its center along a
solutions for describing the distribution of the stream line. It can come in contact with the
concentration and loading must be applied. The surface of a grain as a result of the constriction
same holds true in describing the pressure dis- of stream lines due to neighboring filter
tribution in the filter layer, which is usually grains. In the case of sedimentation (Fig. 10
based on the Carman – Kozeny equation [32, B), the particle can leave its original stream line
37, 38] → Filtration, 1. Fundamentals, Chap. 2. and come in contact with the filter material
For the initial phase of filtration (t → 0), the under the effect of gravity. If the turbidity-
above equation results in an exponential causing particle has a size <1 μm, a particle –
decrease in the volume concentration of partic- grain contact can also occur due to particle
ulates with bed depth, according to the diffusion (Fig. 10 C).

Figure 10. Schematic representation of classic particle deposition mechanisms in deep-bed filtration of liquids
A) Interception; B) Sedimentation; C) Particle diffusion
d = diameter of filter grain; x = diameter of turbidity-causing particle
16 Water, 4. Treatment by Flocculation and Filtration

Under normal conditions of water treatment, 11 Dempsey, B.A., Ganko, R.M., and O’Melia, C.R. (1984) “The
a range of ca. 1–10 m-1 can be given as a rough coagulation of humic substances using aluminium salts” J. Am.
guide for λ0. The maximum loading σ s attaina- Water Works Assoc., 76, 141–150.
12 DIN: Standard 19 622 (1977) Polyacrylamides for Water
ble is usually > 2 % by volume of the filter bed Treatment, Beuth Verlag, Berlin – Köln.
[32, 40]. 13 Gregory, J. (1976) “The effect of cationic polymers on the
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35–44.
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rapid filters usually increases with larger particle Quality Control (ed. W.J. Weber Jr.), Wiley-Interscience, New
size, higher particle density, lower filtration rate, York.
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