WIND MILLS WITH HORIZONTAL AND VERTICAL SHAFT

Vladimir A. Dobrovolski,
Wind Energy Department of Moscow Aviation Institute (MAI), Director, Molinos Co. Ltd.,
Moscow, Russia
Keywords : Wind, Wind speed, Wind power, Airfoil, Blade, Drive train, Lift force, Drag
force, Lift to drag ratio, Tip speed ratio, Pitch, Pitch angle, Rotational speed, Savonius rotor,
Darrieus rotor, Self starting, Yawing mechanism, Variable-speed turbine, Gearbox, Torque,
Aerodynamic stall, Tower, Fatigue, Power coefficient
Contents
1. General Considerations
2. Development of Large Horizontal-Axis Systems
3. Development of Vertical-Axis Systems
4. Control Systems
5. Aerodynamics
6. Structural Dynamics
7. Fatigue and Failure Analysis
Related Chapters
Glossary
Bibliography
Biographical Sketch
Summary
This Article presents a historical summary of wind turbines of small and large power capacity
with horizontal and vertical shafts. Advantages and disadvantages of Darrieus type wind
turbine are described. The problems of control systems, aerodynamics, structured dynamics,
fatigue and failure analysis of wind turbines are discussed.
1. General Considerations
There are two main types of wind turbines: horizontal axis wind turbines (HAWT) and
vertical axis wind turbine (VAWT) see Figure1.

Figure 1. Main types of wind turbines a) HAWT; b) VAWT; 1- wind direction for an upwind
rotor; 2- wind direction for a downwind rotor
HAWT can be divided into two categories low and high speed. Low speed turbines usually
rely on drag forces to extract the kinetic energy from the wind. Drag devices always move
slower than the wind and their motion reduces rather than enhances the power extraction.
High-speed wind turbines rely on lift forces and their motion is several times faster than that
of the wind. The ratio of the power extracted by a lift device to that of a drag device is usually
greater than 3:1 for the same swept area.
Consider a blade rotating in a plane perpendicular to the undisturbed wind flow. The relative
airflow over the blade (a combination of the wind velocity and the rotational velocity of the
blade) gives rise to a lift force, which is perpendicular to the direction of the relative air flow,
and a drag force - parallel to the flow. The resultants of these forces can be resolved into
components of normal and tangential force, perpendicular and normal to the plane of blade
rotation.
The results of some studies show that increasing the number of blades increases the
performance due to reduced tip losses; increasing the tip speed ratio (see Fundamentals of
Energy Extraction from Wind) reduces the energy loss due to wake rotation and tip losses,
hence increase the performance. As a consequence the performance, at higher tip speed ratios,
depends on the lift to drag ratio; the higher is the lift to drag ratio, for any blade number or tip
speed ratio, the higher is the performance.
2. Development of Large Horizontal-Axis Systems
A large wind turbine is a machine with a rated capacity of 100 kW or larger. In terms of basic
appearance and function, large and small turbines are similar. The greater size and weight of
components in large machines demand stronger materials and special design efforts. For

example, the rotor blades of very large machines could be longer than the wingspan of a
jumbo jet. The latest computer technology is needed to control the pitch angle and rotational
speed of these huge blades. Made of steel, laminated wood, fiberglass, or a combination of
these materials, the blades must withstand a variety of stresses and loads, including cyclical
fatigue loads and random wind loads associated with turbulence.
In addition to blade material, some of the technological issues currently under discussion
include prediction and reduction of dynamic and fatigue loads, shape of the airfoil, number of
blades, design of the transmission system, and selection of rigid of flexible towers.
3. Development of Vertical-Axis Systems
Like horizontal axis wind turbines, either drag forces or aerodynamic lift forces propel
VAWT. Drag type VAWT use plates or cups as the drag device. The most common
configuration is the Savonius rotor (S-shaped rotor), which provides some lift force but is
predominantly a drag device. These machines are useful for applications requiring relatively
high starting torque, such as water pumping, but they have relatively low power output in
proportion to rotor size, weight and cost.
The high speed vertical axis wind turbine was first proposed by Darrieus (see Wind Energy)
but was not developed because of a general lack of interest in wind power. A series of these
machines was built and tested both in a wind tunnel and in the field. These early tests showed
that the machine could attain performance coefficients of about 30% which is considerably in
excess of other vertical axis designs, such as the Savonius rotor, and comparable with the
performance of horizontal axis machines.
In his patent (1931), Darrieus included many versions of the basic idea but the main
alternatives are straight blades or blades curved like a skipping rope the so-called
troposkien such that they resist centrifugal force loads by pure tension. Structurally, the
curved blade design has a clear advantage but aerodynamically it suffers from the
disadvantage of fixed geometry and no simple means of pitch variation is available with
which to control the speed and output power of the turbine.
The most common Darrieus configuration has two or three curved blades with airfoil crosssections that are attached to a central tower at the upper and lower ends. High-speed VAWT
are normally not self-starting although variable pitch and increased solidity can improve this
situation. The starting mechanism may be direct mechanical, hydraulic, or electrical, with
electrical being preferred when utility power is available. The induction machine may work as
a motor for starting purposes, and then automatically change role and become a generator as
the Darrieus rotor accelerates. This is a convenient and economical method of starting the
turbine. Starting a high-inertia load such as a large Darrieus turbine requires careful design to
assure that adequate but not excessive torque is available for a reasonable time to start the
turbine without damaging the electrical equipment.
Most wind turbines operate at fixed rotational speed except when starting and stopping. This
simplifies system operation when using synchronous generators connected to the utility grid.
It also helps to prevent the turbine from being operated at a speed, which will excite a
mechanical resonance that might destroy the turbine. However, fixed rotational speed
operation means that the maximum power coefficient Cpm is attained only at a particular wind
speed. For all other wind speeds the power coefficient will be less, which reduces the energy
output below that which might be expected from variable speed operation. That is, if the
turbine speed could be adjusted in relation to the wind speed providing for a higher average
power coefficient and a higher average power output.

Variable pitch operation at a fixed speed also helps to improve the average power coefficient,
but this is not feasible for turbines such as the Darrieus. Variable pitch operation also
increases complexity and cost, hence may not be the most economical solution for all
applications.
Variable speed operation requires a load that has a suitable curve of power demand versus
rotational speed. The optimum load will have a cubic variation of power demand versus
rotational speed. Among various types of loads the power demand of pumps and fans often
has a cubic variation with rotational speed. The power load of an electrical generator
connected to a fixed resistance will vary as the square of the rotational speed. The power
demand of a generator used to charge batteries will vary even more rapidly than cubic.
The Darrieus VAWT offers several potential advantages with respect to HAWT designs.
VAWTs do not need to be turned into or out of the wind as the wind direction changes. This
eliminates the need for a yawing mechanism with its associated complexities. Because the
VAWT drive train and generator parts are at ground level, larger components can be used,
such as a direct- or linear-drive generator, which eliminates the need of a gearbox and
provides the advantages of variable-speed operation. In addition, the VAWT offers easy
service access because the drive train components and controls are close to the ground at the
base of the machine.
Darrieus blades are geometrically simple, they are not twisted or tapered. Making these
simpler blades using manufacturing processes such as extrusion are possible ways to reduce
costs. VAWT do require a guyed tower, and significant vertical preloading is necessary to
achieve tower stability. As a result, the cost of placing VAWT on higher platforms to take
advantage of stronger winds is apt to be quite high.
Theoretically, the Darrieus rotor is inherently mechanically stronger than HAWT rotors
because the curved blades are attached at each end to the central mast.
The most simple low-technology design of a wind mill with vertical-axis is presented by the
Savonius rotor. Such windmills can be cheaply manufactured from large drums used to ship
costly oil. This procedure involves cutting the drum in half (lengthwise) to create two halfcylinder sections and affixing these sections to end caps to create an S-shaped turbine (see
Figure 2).

4. Control System
The control system regulates turbine start-up and shutdown, as well as power output and
power quality. Wind turbines are designed to operate within certain wind speeds. They start up
only when there is enough energy in the wind to generate useful power, and they shut down
when wind speeds exceed operational limits. Control systems protect turbines from exceeding
their load and rotational speed limits and are also used for emergency stopping.
Advanced sophisticated control systems may evaluate local wind conditions, site
characteristics, seasonal and diurnal wind patterns, and turbine operating requirements. The
control system will turn each individual turbine on or off to maximize overall power plant
output.
Developments in generators, power-electronic devices, and high power rapid-switching
circuits have made possible use of variable-speed wind turbines. These design rely on
electronic devices to regulate the frequency and quality of power being delivered by the wind
turbine. Allowing the rotor to speed up in response to the wind reduces shock loads to the
drive train. This development permits to use lighter materials and smaller components in the
shaft and the gearbox, resulting in reduced manufacturing costs. Another advantage of
variable-speed turbine is increased efficiency of wind energy utilization. Varying the rotor
speed in response to varying wind speeds allows the airfoils to operate more efficiently.
A constant speed machine is designed to operate well away from any resonance frequencies of
the rotor or other components. If the turbine operates at resonance frequencies for a long time,
oscillations and vibrations are amplified and can shake the system apart. A variable speed
rotor is more likely to occur at these resonance frequencies; therefore control strategies that

minimize the possibility of operation at resonance frequencies are basic to success of variable
speed wind turbines.
Power from wind turbine rotor is delivered to the shaft connected to a gearbox and a
generator. These components the shaft, gearbox, and generator are commonly referred to
as the drive train. A key component of the drive train is the gearbox. A wind turbine gearbox
is designated to increase the relatively slow rotational speed of the rotor to the speed of the
generator. The gearbox must have adequate load capacity within its design constraints of size
and weight. Gearboxes are designed to maximize efficiency while minimizing sound level.
They must be reliable and easy to maintain, and they must withstand temperature extremes
and resist contamination and corrosion. Gearbox reliability and cost are critical factors in the
success of the overall turbine design.
5. Aerodynamics
Aerodynamic analysis is important to design wind turbine rotor blades for optimum
performance and to determine aerodynamic loads for structural design of the wind turbine.
Using unsteady aerodynamic tests it is possible to explore the mechanisms underlying the
complex interactions between wind and turbine components and obtain input for design and
development of airfoils. Airfoils have special cross-sectional geometric shapes designed to
maximize the lift force as air flows over the blade surface.
Nowadays advanced airfoil shapes are tailored to match operating conditions of wind turbine.
These advanced airfoils reduce losses in rotor performance from surface roughness caused by
accumulation of bugs and dirt. They also increase energy production and improve power
control.
The airfoil should produce a strong torque or rotational force in low to medium winds from 5
to 15 m s-1 . Above 15 m s-1 the torque should decrease. Aerodynamic stall of the airfoil at
high wind speeds often is used to shed excessive wind power at speeds more than 15 m s-1.
This stall at high wind speeds reduces loads on wind turbine drive trains, especially loads
resulting from gusting, turbulent winds. Aerodynamic stall can also simplify control systems
by passively controlling peak power at high wind speeds.
6. Structural Dynamics
Structural dynamics is the area of research concerned with the dynamic and structural
responses of wind turbines to specific wind inputs for the purpose to increase the reliability
and lifetime of wind turbine systems, as well as to reveal ways to reduce manufacturing and
material cost. For example, HAWT must turn or yaw to adjust the rotor plane to the changing
wind direction. The dynamic behavior of wind turbines as they yaw is an important area of
study because the rotor shaft and yaw mechanism must withstand large forces and the yaw
strategy influences forces transmitted to the rest of the system.
Tower structures also deserve much attention. A wind turbine tower may represent as much as
25% of the entire system cost, depending on the type and height of the tower. Taller towers
are more expensive, but energy capture increases by as much as 20% to 30% if tower height
doubles from 30 to 60 m. HAWT have traditionally been installed on freestanding lattice or
tubular towers. The freestanding four legged lattice towers are relatively inexpensive to
manufacture and require in most locations inexpensive foundation. Tubular towers are used
for aesthetics and to avoid heavy icing, but they are more expensive and require large
foundation.

7. Fatigue and Failure Analysis.

Fatigue is a problem in structures of all types. At roughly 100 million revolutions during the
lifetime of a wind turbine, fatigue stresses on parts are much higher than those on bridges,
aircrafts, or cars. In addition, turbines experience large, fluctuating stresses from wind shear
and turbulence. Structural fatigue is the main cause of structural failure in wind turbines. The
best protection against fatigue problems is an accurate estimate of the fatigue life for
candidate or prototype wind turbine designs.
The process of building and testing new turbine prototypes is becoming less expensive with
the help of design tools and extensive field data.
Related Chapters
Click Here To View The Related Chapters
Glossary
Cp
Betz coefficient = 0.593
HAWT
rpm
VAWT
WECS

: Power coefficient of the wind wheel.

: Maximum power coefficient of the wind wheel
: Horizontal axis wind turbine
: Revolution per minute
: Vertical axis wind turbine
: Wind energy conversion system

Bibliography
Johnson G.L. (1998). Wind Energy Systems. Prentice-Hall, INC, Englewood Cliffs, N. J. 07632.
Lipman N.H. Musgrove P.J. Pontin G W-W. (1982). Wind Energy for the Eighties, Peter Peregrinus Ltd.
Wind Energy Information, Guide (1996). U.S. Department of Energy, April 1996.
Biographical Sketch
Professor Vladimir A. Dobrovolski, Ph.D. was born in Moscow, Russia in 1936. He graduated from Moscow
Aviation Institute in 1960 and Ph. D. Degree in 1968.
1960-1963 - test engineer, the USSR Civil Aviation
1963-1970 - researcher, Thermodynamics department of Moscow Aviation Institute
1970-1973 - head of department, Central Aerohydrodinamics Institute
1973-1977 - adviser, International Civil Aviation Organization (Montreal, Canada)
1977
- head of department, Moscow Aviation Institute. His present position is a director of Wind Energy
Department of Moscow Aviation Institute and director, Molinos Co. Ltd. Main activities: Development and
production of small scale wind mills.

To cite this chapter

Vladimir A. Dobrovolski, (2004), WIND MILLS WITH HORIZONTAL AND VERTICAL SHAFT, in
Renewable Energy Sources Charged with Energy from the Sun and Originated from Earth-Moon Interaction, [Ed.
Evald E. Shpilrain], in Encyclopedia of Life Support Systems (EOLSS), Developed under the Auspices of the
UNESCO, Eolss Publishers, Oxford ,UK, [http://www.eolss.net] [Retrieved April 12, 2007]