341

FILTERS AND FILTRATION

HYDRAULIC SYSTEMS operate at considerable pressure, and in order to provide the

efficiency at such pressures, pumps and motors have close clearances, and control valves
and servos require even smaller clearances. It is not surprising, therefore, that small
particles within the system fluid - the solid contamination - may well cause damage and
blockage within the system. Other contaminants, such as water (in mineral oils) and
biological growth (in water based fluids), also have a serious effect on the system. Air, too,
may be a contaminant. It is, therefore, important to include some means of separating the
contaminant from the working system in order to achieve trouble-free operation and long
component life.
Filters and filtration are the major components in contamination separation and control.
This chapter, therefore, introduces the subject of such control by looking at the most
important aspect, before the next chapter goes into the more intricate details of the
complete subject. However, in order to fully understand the filtration mechanisms, it is
valuable to have a basic understanding of contamination; this is provided by the brief
following section.

Contaminants
Suffice to say, at this stage, contaminants are not just confined to the original build.
Contamination is constantly being generated and ingested, and hence filtration is an on-
going requirement.
The types of contaminant likely to be present, or generated, in hydraulic systems can
be generally classified as:
i) 'Soft' particles - soluble, or non-soluble
ii) 'Hard' particles - metallic or non-metallic (e.g. silicaceous)
iii) Liquid - water or chemical
Solid non-soluble contaminants, smaller than the clearance spaces, can silt up the clear-
ances, resulting, for example, in valves 'sticking'. Larger non-soluble contaminants can
produce 'blocking' so that flow is restricted in orifices. Abrasive contaminants of the same
sizes as the clearances can lead to high rates of wear. Very much smaller solid particles can
also lead to erosion in parts of the system having high fluid velocities. It is therefore
342 THE HYDRAULIC HANDBOOK

essential to incorporate filtration in any closed hydraulic system in order to remove solid
contaminants of all types above the particle size considered to be seriously detrimental to
the system. These particles can be governed by the general 'cut-off' rating of the filters
employed. This is further emphasised by the fact that the presence of solid contaminants
in the system will inevitably generate more contaminants, often at an accelerating rate.
Contaminants within a typical hydraulic system may be derived from both external and
internal sources, and may be in the original build or ingested later. Table 3.2.1 gives an idea
of the range of contaminants which may be present:

Size of contaminant particles

Particles in a system may vary from the infinitely small to possible a few millimetres
across. To attempt to remove the submicron particles from hydraulic systems would not
only be difficult, it would be extremely costly due to the number of very fine filter elements
which would have to be changed at frequent intervals. Generally for hydraulic systems,
it is considered, that particles are either
• Coarse particles - wear and silicaceous dust (greater than 5 /lm)
• Fine particles - silt (5 /lm or less)
The silt particles are mainly responsible for clogging if allowed to build up; they also cause
erosion and general degradation of the system if the particles are abrasive. Wear particles
are usually the larger particles which can cause catastrophic failure, or be the result of
catastrophic failures, e.g. by forcing open a check or relief valve or causing binding in a
pump or motor; the silicaceous dust would be ingested in such as quarry environments, as
well as many other situations. It may be possible to deal with only one of these size types,
but most systems would need to control both.

Water contamination
Water can seriously derate the effectiveness of hydraulic mineral oils. It can also
cause corrosion. (See chapter on Fluids.) Where the content is large, most of the water
can be removed by draining-off from the bottom of reservoirs (after a static period).
FILTERS AND FILTRATION 343

Smaller percentages can be absorbed by appropriate 'water absorbent' filters or vacuum

dehydration.

Filters
There are two schools of thought as to the most efficient means of removing solid particles
from the fluid (it is also possible to advocate contaminant insensitive components)
• The particles should be allowed to settle, for removal later
• The particles should be encouraged to remain in suspension, so that the filters can
work to their maximum efficiency.
Whilst a choice may be possible with some static systems, all mobile equipment must
attempt to deal with particles by seeking to remove them from a flowing system, i.e. by
filtration. The general use of smaller reservoirs also gives more rapid circulation of fluid
and thus less opportunity for particles to settle out.
It has been assessed that over 70% of hydraulic system failures are due to contamination
or poor fluid condition. In the case of mobile hydraulics failure rates due to fluid
deterioration may be even higher. Essentially, therefore, filters are necessary in hydraulic
systems to provide a particular or specified level of contaminant removal. This can vary
with the type of system, types of components involved, application and duty cycle.

Filter ratings
Filters for solid contaminants are rated according to their ability to cope with the
contaminant. The ratings cover the size of particle filtered out (and efficiency), the
pressure drop experienced, the pressure rating of the element and housing, and the amount
of contaminant which can be retained.

The efficiency of particle size fIltration

So-called 'nominal' filtration size ratings are no longer acceptable in high precision fluid
power systems. Such a rating is open to considerable abuse, as there is no standard of that
type which is sufficiently closely controlled to ensure consistency.
'Absolute' filtration is, according to the definition, where 100% of a certain size of
particle (and larger) is retained by the filter. Whilst this may be possible and true where
beads are being retained by an accurately machined porous sheet, it is not practicable for
the real particles (of considerable shape variety) in a 'randomly' constructed fibres filter.
Another possibility is where the 'efficiency' of the filter is quoted in relation to the
proportion of contaminant in a certain test fluid which is retained by the filter. Again this
is open to abuse, because this proportion would vary depending on the concentration of
contaminant, the flows used and the time over which the test has been conducted. It is, thus,
an arbitrary value determined by the filter manufacturer and oflittle use in comparing one
filter (from one supplier) with that obtained from another.
The only currently internationally acceptable rating is that prepared by the International
Standards Organisation (ISO), and quoted under ISO 4572 - Hydraulic fluid power -
Filters - Multi-pass method for evaluating filtration performance. Two Multi-pass test
stands are shown in Figure 3.2.1.
346 THE HYDRAULIC HANDBOOK

dependent only on the size of the filter housing, and remains constant for a constant flow
rate) and partly by a viscous loss (which depends on fluid viscosity and the permeability
of the filter medium). This latter loss increases as the element becomes more clogged,
leading to a gradual rise in pressure drop as contaminants collect on the element.
Eventually the pressure drop will rise sharply after the fashion shown in Figure 3.2.2. The
apex of the 'knee' so formed by such a characteristic curve determines the useful life of
the element, in terms of an 'acceptable' level of differential pressure increase, and the
period over which this increase is substantially low and linear in characteristics. The
differential pressure can be expected to rise very sharply after this with further testing.
The filter bypass would normally be set to this 'knee' pressure, or to the safe limiting
pressure for the strength of the element, whichever is the more significant. Generally
speaking, a 'safe' pressure would not be more than about 50% of the 'bursting' or
disrupting pressure of the element, although the bypass would normally start to open
below this figure to give some differential pressure release.
Whilst oil viscosity does increase slightly with system pressure, changes in the differential
pressure developed across the filter element are mainly due to flow. This explains why
relatively weak filter elements, with a disrupting pressure of perhaps 0.7 MPa (7 bar ) or
less can perform satisfactorily in systems operating at a pressure of 21 MPa (210 bar ) or
more. In the ideal situation with no pressure surges, the element would never be subjected
to more pressure than the actual differential developed across it, unless it becomes clogged
and is not pressure-relieved by a bypass valve. The inertia of such a valve may, however,
make it susceptible to damage under rapid surge pressure conditions mainly because of the
instantaneously modified flow rates and changes in velocity head.
The limiting differential pressure depends on the filter medium construction and may
vary widely with different types. As a general rule for filters of the same construction, the
finer the filtering the lower the permissible differential pressure, which in turn means the
larger the size of filter likely to be required.
The relationship between pressure drop and flow rate is largely determined by the
design and size of the complete filter (see Figure 3.2.3), and by the fluid viscous losses
through the element. Characteristic curves in this case can be calculated for a specific fluid
and specific fluid temperature specific fluid viscosity). Performance curves of this
type are normally available from manufacturers for each filter type and size.
The general relationship between pressure drop, flow rate and fluid viscosity can be
expressed for the element in the form:
FILTERS AND FILTRATION 347

Integrity tests need to be undertaken to ensure that the filter will be safe and provide
reliable service in the chosen system. Collapse and burst resistance tests are part of the
suite ofISO standard tests. A full list of the ISO tests is given in the chapter on Standards.

Compatibility with the system fluid must relate to the system temperatures involved to
ensure that no degradation of the element or its seals occurs during its normal service life.
Degradation can occur through:
i) Absorption of fluid into the filter medium or binder rising causing swelling
(increased pressure drop and choking)
ii) Hardening or embrittlement of the filter element which can cause cracking and
breakdown of the material.
iii) Disintegration of the element.
In general glass micro-fibres and wire mesh are fully compatible with all hydraulic fluids
(provided the complete filter does not include parts in aluminium, cadmium, magnesium
or zinc which are attacked by water-in-oil fluids). Cellulose media tend to swell in water
and are not generally suitable for water-in-oil and water-glycol fluids. Filters with active
media cannot be employed as these are capable of removing additives commonly used in
hydraulic oils.
Compatibility with other system components needs little comment, other than that the
filter should be readily fitted and coupled to existing units and the fact that filters of the
348 THE HYDRAULIC HANDBOOK

required size are available to fit standard line sizes, etc. It is also desirable that the form
of the filter is such that it is readily accessible for removal of the bowl or body and element
for cleaning or element replacement.

The 'filter' consists of several parts, as shown in Figure 3.2.4. Not all features are included
in every filter, and there are other parts which relate to special filters. The key feature of
the filter is the 'element', which may be integral with the housing (spin-on canister), or a
separate item which can be replaced. Obviously, for expensive housings used for high
pressure systems, it is more cost effective to have a replaceable element.

Examples of different types of filter element used in hydraulic filters are given in Table
3.2.3. Paper (cellulose media) and wire mesh are widely favoured but can only provide
partial silt control. Finer filtration involves the use of glass fibres, and these are now
extensively used in fluid power applications.
Sintered porous metal and glass fibre media are capable of providing full silt control.
Glass fibre covers a wide range of size; it offers good pore size distribution, greater open
area than cellulose or wire mesh media because of the smaller fibre diameter, and better
dirt holding capacity. Basically it may have low strength, but this can be enhanced with
resin treatment. It is normal practice to support glass fibre elements on both the upstream
and downstream sides.
350 THE HYDRAULIC HANDBOOK

Cleanable versus disposable filter elements

In view of the difficulty of removing all trapped contaminant, the cleaning of filters is
generally not undertaken. Inefficient cleaning may actually cause the filter to become a
hazard, because debris may be shaken out of the filter pores but not removed - it then is
ready to enter the system as soon as full flow is reached. In some cases the cost of re-
cleaning may be as high or higher than the replacement element.
Where cleaning is considered a viable option, and is economically acceptable, then the
more robust media - e.g. wire mesh and sintered porous metal elements - are the most likely
to be used as they are more economically re-cleaned, and may be used a number of times.
Three to seven cycles of cleaning and re-use are typical, but this depends on the service
conditions and cleaning facilities available. The most suitable cleaning system for woven
mesh is an ultrasonic bath; metal fibre elements usually require chemical cleaning.

Electrostatic fIlters
Electrostatic 'filters' are used off-line. The 'filters' are alongside the flow, and hence, do
not become clogged in the same way. The idea of such a filter is that when particles in the
fluid enter a high voltage field, then each particle becomes charged (either positively or
negatively). The charged particles then move across to adhere to the side of the 'filter'
sheet. Large quantities of contaminant can therefore be trapped without in any way
increasing the pressure drop through the 'filter' .The idea of the electrostatic filter is shown
in Figure 3.2.6.
Such filters are not suitable for water based fluids due to the high electrical conductivity.
Only a small proportion of particles are trapped at each pass, and at start-up there is a
certain shedding of particles; this means that such filters cannot be used in the main fluid
line, but over long periods of time may be very effective off-line.
Filter location
Filter location in a system is equally as important as the type of filter. General practice is
to locate filters either as a protection of a susceptible component (such as a servo-valve),
or to trap the debris generated by a wearing component, on the pressure side of the
pump. A filter on the suction side of the pump can be less robust and less costly, but would
have to be of large size and relatively coarse to avoid the possibility of restricted flow
starving the pump and causing cavitation; a suction gauze in a reservoir may be used. To
keep the general level of contaminant to an acceptable standard, off-line filtration may be
more acceptable (or an extra); very low levels of contaminant overall can be achieved by
this means. (Such low levels may also be achieved in-line in specific regions, by suitable
fine filtration.)
So possible positions for filter location (see Figure 3.2.7) are:
i) In the delivery line immediately downstream of a pump.
ii) At the inlet point to each critical component, if necessary
iii) In the return line to the reservoir.
iv) In the pump-case drain line.
v) Off-line and run independently.

Pressure-line f'dtering
A pressure-line filter is located on the delivery side of the pump and is thus exposed to full
system pressure. It will protect the system downstream from pump-generated or pump-
passed contaminants, but not from any contaminants generated downstream of the filter.
Three possible filter configurations are shown in Figure 3.2.7. Locating the filter before
the relief valve gives constant flow through the filter. Located downstream of the relief
valve the flow through the filter will depend on system demand; and in off-load periods
will have leakage flow or full flow depending on whether the control valve is of blocked-
centre or open-centre type, respectively. Such positioning thus makes it more difficult to
estimate the varying flow rates to which the filter may be subjected and so the former
FILTERS AND FILTRATION 351

Filter location in a system is equally as important as the type of filter. General practice is
to locate filters either as a protection of a susceptible component (such as a servo-valve),
or to trap the debris generated by a wearing component, e.g. on the pressure side of the
pump. A filter on the suction side of the pump can be less robust and less costly, but would
have to be of large size and relatively coarse to avoid the possibility of restricted flow
starving the pump and causing cavitation; a suction gauze in a reservoir may be used. To
keep the general level of contaminant to an acceptable standard, off-line filtration may be
more acceptable (or an extra); very low levels of contaminant overall can be achieved by
this means. (Such low levels may also be achieved in-line in specific regions, by suitable
fine filtration.)
So possible positions for filter location (see Figure 3.2.7) are:
i) In the delivery line immediately downstream of a pump.
ii) At the inlet point to each critical component, if necessary
iii) In the return line to the reservoir.
iv) In the pump-case drain line.
v) Off-line and run independently.

A pressure-line filter is located on the delivery side of the pump and is thus exposed to full
system pressure. It will protect the system downstream from pump-generated or pump-
passed contaminants, but not from any contaminants generated downstream of the filter.
Three possible filter configurations are shown in Figure 3.2.7. Locating the filter before
the relief valve gives constant flow through the filter. Located downstream of the relief
valve the flow through the filter will depend on system demand; and in off-load periods
will have leakage flow or full flow depending on whether the control valve is of blocked-
centre or open-centre type, respectively. Such positioning thus makes it more difficult to
estimate the varying flow rates to which the filter may be subjected and so the former
352 THE HYDRAULIC HANDBOOK

system is normally preferred. In this case a bypass across the filter is essential to eliminate
excessive pressure build-up against the pump should the filter become clogged.
Additional protection for the system can then be provided by further filters preceding
critical components, or point-of-use filters. Filter requirements can be selected in a
number of different ways, depending on how critical the protection is for each component.
If the first filter (following the pump) provides the necessary fine filtering, the first
component in the system is protected. Subsequent components needing protection from
contaminants which may be generated by the first component can be preceded by an
additional fine filter. A component with more generous clearances not needing such
protection need not have a point-of-use filter preceding it.

Return-line filtering
A return-line filter is located downstream of the last working component in the system, but
upstream of the reservoir. It thus removes all contaminants (down to its rating level)
ingested or generated by the pump and system components before the fluid is returned to
the reservoir. It has the advantage that it is not likely to be subjected to large pressure surges
as can occur in pressure lines, but it can be subject to unsteady flow conditions. It thus
needs to be robust enough to accommodate flow surges. However, in general its cost will
be significantly lower than a pressure filter. Figure 3.2.8 shows tank mounted filters.

Off-line filtration
An off-line filter may be located in a separate loop between the hydraulic system pump
and the reservoir. It operates independently from the main system with its own low flow
pump; it may be fitted directly in and out of the reservoir. Its purpose is to provide a means
of maintaining the cleanliness of the fluid contained in the reservoir only (Figure 3.2.9 is
a typical unit). Where the loop enters the system upstream of the main system pump, it
provides an additional pressure boost for the pump. Fluid cooling may be included.
 Its particular use is for overall fluid cleaning at suitable maintenance intervals. It can,
if necessary, be operated when the main system is in use. It does not, of course, dispense
with the need for a filter or filters in the main system since it only cleans the amount of fluid
present in the reservoir. In general the filtration system used, such as electrostatic
filtration, can bring the level of contamination down to very low levels given sufficient
passes of the fluid. Main line filtration has a reasonably high efficiency withjust one pass.

Suction fdters
The only provision usually made for filtering on the suction side of the pump is a simple
sump strainer fitted to the suction line in the tank or reservoir. The suction line connecting
to the tank should be located as far as possible from the turbulent flow induced by the return
line, and the two should be separated by baffles providing a sharp-edged weir barrier, if
possible, so that sediment cannot be carried across from the 'return' side to the 'suction'
side of the tank. Sometimes a strainer may also be fitted on the return line to prevent coarse
particles being released into the tank, but this should not be necessary in the case of static
installations as effective 'separation' can be achieved by good tank design. A major
problem with such filters is the difficulty in servicing, and many designers no longer
include reservoir based filters.
If a filter is used on the suction line, rather than in the reservoir, then only a coarse filter
should be used with a large housing to reduce pressure loss as much as possible. A bypass
is also essential.

The choice of fdter rating and size

There is a very large range of filter manufacturers and suppliers, each of whom has
available a selection of possibilities. Some of the larger manufacturers have available a
Guide for Selection, either in printed or computer form (CD ROM). The BFP A (British
Fluid Power Association) provides an independent guide (P5) which outlines a compre-
hensive process for filter choice.
There are different approaches to filter choice. For instance, one can consider the
hydraulic circuit and choose a filter which is simply related to the type of 'system' or
industry (Table 3.2.4). However, this is very basic and may be highly inaccurate because
354 THE HYDRAULIC HANDBOOK

each system contains a range of components which vary in contaminant sensitivity from
one system to another. Another approach is to break: the system down into regions and
consider the most sensitive component in each region that a filter has to cover.
Ultimately, the approach is to select appropriate filters to achieve the required
cleanliness level; this is how the BFPA P5 is arranged. To abbreviate this process would
not help; however, some indications of what is involved can be appreciated from the next
chapter - on Contamination Control.
A suitable size of filter is selected from the flow-rate/pressure drop characteristics,
bearing in mind that these must be corrected for fluid viscosity if it is different from the
empirical figures or quoted viscosity. Where size and weight are not important it is
generally best, for service life, to use an oversize rather than a marginal size filter, unless
the cost factor is critical. Alternatively, maintenance is easier by using 'duplex' filters,
with two or more filters in parallel so that one can be isolated for removal whilst the other
takes the full flow; this will increase both the number of connections required and the
pressure drop through the fittings. An oversize unit will give a lower pressure drop for the
same flow rate and a longer period between servicing.

Magnetic fdters
Magnetic filters range from simple magnetic plugs normally intended for fitting in
reservoirs, to versions of more or less conventional filters incorporating a permanent
magnet element. An example of the working of a magnetic filter is shown on an in-tank
insertion filter in Figure 3.2.10.

A magnetic filter will attract and collect ferrous metal particles, such as wear particles,
and polarised non-ferrous particles. A proportion of other particles may also be retained,
however, by a mechanical entrainment process (although performance in this respect is
unpredictable). Because the magnets are upstream of the main filter in the housing, any
particles shed during cold starting, when viscous forces are at a maximum, will be retained.
The inclusion of the magnets extends element life.
 Magnetic filters are usually only regarded as secondary filters for the specific purpose
of removing ferrous metal particles or initial wear products. On their own they in no way
replace the media type of filter for hydraulic circuits, but designs such as Figure 3.2.10,
providing a combination of both types in a single unit, are used in reservoirs either for
suction or return-line filtration.

Duplex fIlters
In situations where continuous flow is essential over long periods of time, a duplex filter
arrangement may be fitted. This allows a filter to be changed without flow cessation. See
Figure 3.2.11.

Filter testing
The chapter on Standards (the sections sub-headed Filters) lists a number of tests which
can be undertaken on filters and their assemblies. The testing is essential in order to be able
to maintain consistency, or to compare different filters (see Figure 3.2.1). More detail on
these tests are given in the Filters and Filtration Handbook and the Handbook of Filter
Media published by Elsevier.