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Hydrokinetic Energy Conversion Systems and


Assessment of Horizontal and Vertical Axis
Turbines for River and Tidal...

Article in Applied Energy October 2009


DOI: 10.1016/j.apenergy.2009.02.017

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Applied Energy 86 (2009) 18231835

Contents lists available at ScienceDirect

Applied Energy
journal homepage: www.elsevier.com/locate/apenergy

Hydrokinetic energy conversion systems and assessment of horizontal and vertical


axis turbines for river and tidal applications: A technology status review
M.J. Khan a,*, G. Bhuyan a, M.T. Iqbal b, J.E. Quaicoe b
a
Power System Technologies, Powertech Labs Inc., Surrey, BC, Canada V3W 7R7
b
Faculty of Engineering & Applied Science, Memorial University, St. Johns, NL, Canada A1B 3X5

a r t i c l e i n f o a b s t r a c t

Article history: The energy in owing river streams, tidal currents or other articial water channels is being considered as
Received 13 August 2008 viable source of renewable power. Hydrokinetic conversion systems, albeit mostly at its early stage of
Received in revised form 23 February 2009 development, may appear suitable in harnessing energy from such renewable resources. A number of
Accepted 24 February 2009
resource quantization and demonstrations have been conducted throughout the world and it is believed
Available online 1 April 2009
that both in-land water resources and offshore ocean energy sector will benet from this technology. In
this paper, starting with a set of basic denitions pertaining to this technology, a review of the existing
Keywords:
and upcoming conversion schemes, and their elds of applications are outlined. Based on a comprehen-
Renewable energy
Tidal current
sive survey of various hydrokinetic systems reported to date, general trends in system design, duct aug-
River stream mentation, and placement methods are deduced. A detailed assessment of various turbine systems
Hydrokinetic technology (horizontal and vertical axis), along with their classication and qualitative comparison, is presented.
Duct augmentation In addition, the progression of technological advancements tracing several decades of R&D efforts are
highlighted.
2009 Elsevier Ltd. All rights reserved.

Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1823
2. Hydrokinetic energy conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1824
2.1. Conversion schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1824
2.2. Terminologies for turbine systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1825
2.3. Areas of application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1826
3. Technology survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1826
3.1. Survey methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1826
3.2. Analysis of survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1827
4. Horizontal and vertical axis turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1828
4.1. Rotor configurations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1828
4.2. Duct augmentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1830
4.3. Rotor placement options. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1831
5. Technical advantages and disadvantages of horizontal and vertical turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1832
6. Conclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1832
Acknowledgement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1833
Appendix A. List of surveyed technologies (in alphabetic order). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1833
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1833

1. Introduction

* Corresponding author. Tel.: +1 604 590 6634; fax: +1 604 590 8192.
E-mail addresses: jahangir.khan@powertechlabs.com (M.J. Khan), gouri.bhuyan@
The process of hydrokinetic energy conversion implies utiliza-
powertechlabs.com (G. Bhuyan), tariq@mun.ca (M.T. Iqbal), jquaicoe@mun.ca tion of kinetic energy contained in river streams, tidal currents,
(J.E. Quaicoe). or other man-made waterways for generation of electricity. This

0306-2619/$ - see front matter 2009 Elsevier Ltd. All rights reserved.
doi:10.1016/j.apenergy.2009.02.017
1824 M.J. Khan et al. / Applied Energy 86 (2009) 18231835

emerging class of renewable energy technology is being strongly analyzed in light of the questions above. Discussions on perfor-
recognized as a unique and unconventional solution that falls mance analysis and modeling issues are beyond the scope of this
within the realms of both in-land water resource and marine en- work and will be addressed through separate publications (such
ergy. In contrast to conventional hydroelectric plants, where an as, [21]). While a complete converter system may incorporate var-
articial water-head is created using dams or penstocks (for ious important sub-systems (such as, power electronics, anchoring,
large-hydro and micro-hydro, respectively), hydrokinetic convert- and environmental monitoring, Fig. 1), this work mostly deals with
ers are constructed without signicantly altering the natural path- the front-end process of hydrodynamic-to-mechanical power
way of the water stream. With regard to ocean power utilization, conversion.
these technologies can be arranged in multi-unit array that would
extract energy from tidal and marine currents as opposed to tidal
barrages where stored potential energy of a basin is harnessed. 2. Hydrokinetic energy conversion
While modularity and scalability are attractive features, it is also
expected that hydrokinetic systems would be more environmen- Being an emerging energy solution, there exists noticeable
tally friendly when compared to conventional hydroelectric and ti- ambiguity in dening the technology classes, eld of applications,
dal barrages. and their conversion concepts. This section aims at elaborating on
In addition to worldwide interest, recent initiatives by North these issues in consultation with the existing literature and present
American entities have also seen a greater momentum [14]. trends.
Resource and technology assessment by EPRI in US [5], BC Hy-
dro/Triton [6] and NRC in Canada [7] have given newer perspec- 2.1. Conversion schemes
tives of North Americas tidal current energy potential. While a
number of projects are being actively pursued, notable progress The energy ux contained in a uid stream is directly depen-
has been made in Bay-of-Fundy (Nova Scotia) and in Puget Sound dent on the density of the uid, cross-sectional area, and uid
(Washington) [8,9]. Recently (20032007), preliminary investiga- velocity cubed. In addition, the conversion efciency of hydrody-
tions on the use of hydrokinetic technologies for in-land water namic, mechanical, or electrical processes reduce the overall out-
resources have been conducted by organization such as, US Depart- put. While turbine systems are conceived as prime choices for
ment of Energy [10], EPRI [11], Idaho National Laboratory [12], and such conversion, other non-turbine approaches are also being pur-
National Hydropower Association [13]. In response to interests sued with keen interest. A brief description of ten (10) interrelated
from a number of project developers, US Federal Energy Regulatory concepts categorized in two broader classes (turbine/non-turbine)
Commission (FERC) has stated this technology as of tremendous is given below:
potential [14]. Also, the US congress has endorsed the Energy Inde-
pendence and Security Act of 2007 (the EISAct [15]) bringing fur-  Turbine Systems
ther encouragement to the development of this technology. At the Axial (Horizontal): Rotational axis of rotor is parallel to the
same time various projects and proposals are in place within a incoming water stream (employing lift or drag type blades)
number of jurisdictions in North America ([1620]). [22].
While the enthusiasm in this eld is obvious, skepticism on Vertical: Rotational axis of rotor is vertical to the water sur-
technological viability is also prevalent. In addition to several fun- face and also orthogonal to the incoming water stream
damental inquiries (resource availability, denition of technolo- (employing lift or drag type blades) [23].
gies, eld of application, etc.), a number of technology-specic Cross-ow: Rotational axis of rotor is parallel to the water
questions (such as, what converter type is best suited, whether surface but orthogonal to the incoming water stream
duct augmentation is worth attempting, how to place a turbine (employing lift or drag type blades) [24].
in a channel) are continuously being put forward. In this paper, Venturi: Accelerated water resulting from a choke system
based on a comprehensive technology survey, the approach of a (that creates pressure gradient) is used to run an in-built or
number of technology developers as well as R&D institutions are on-shore turbine [25].
Gravitational vortex: Articially induced vortex effect is used
in driving a vertical turbine [26].
 Non-turbine Systems
Flutter Vane: Systems that are based on the principle of
power generation from hydroelastic resonance (utter) in
free-owing water [27].
Piezoelectric: Piezo-property of polymers is utilized for elec-
tricity generation when a sheet of such material is placed
in the water stream [28].
Vortex induced vibration: Employs vibrations resulting from
vortices forming and shedding on the downstream side of a
bluff body in a current [29].
Oscillating hydrofoil: Vertical oscillation of hydrofoils can be
utilized in generating pressurized uids and subsequent tur-
bine operation [30]. A variant of this class includes biomi-
metic devices for energy harvesting [31].
Sails: Employs drag motion of linearly/circularly moving
sheets of foils placed in a water stream [32].

At present, various turbine concepts and designs are being


widely pursued (Fig. 2) while the non-turbine systems (Fig. 3)
Fig. 1. Outline of a hydrokinetic energy converter system [37]. are mostly at the proof-of-concept stage (with some exceptions
M.J. Khan et al. / Applied Energy 86 (2009) 18231835 1825

Fig. 2. Example of turbine systems: (a) Free FlowTM [22]; (b) KoboldTM [23]; (c) AtlantisstromTM [24]; (d) HydroVenturiTM [25]; (e) Neo-AerodynamicTM [26].

Fig. 3. Example of non-turbine systems: (a) OCPSTM [27]; (b) EELTM [28]; (c) VIVACETM [29]; (d) SeasnailTM [30]; (e) Tidal SailsTM [32].

[30]). Therefore, the former type of devices are given due attention In a 1981 US Deportment of Energy report [34], this class of
as they hold promise for deployment in the near future. technology has been dened as Low pressure run-of-the-river ul-
tra-low-head turbine that will operate on the equivalent of less
2.2. Terminologies for turbine systems than 0.2 m of head. A more recent (2006) assessment by this orga-
nization [10] has classied these devices as Low Power/Unconven-
The term Hydrokinetic Turbine has long been interchangeably tional Systems that may use hydro resources with less than 8 feet
used with other synonyms such as, Water Current Turbine (WCT) head. As indicated in Fig. 4, the USDoE report uses the hydropower
[19,33], Ultra-low-head Hydro Turbine [34], Free Flow/Stream potential and working hydraulic head of a potential project as mea-
Turbine (implying use of no dam, reservoir or augmentation) sures of technology classication. This also indicates that the con-
[35], Zero Head Hydro Turbine [33,36], or In-stream Hydro Tur- ventional hydroelectric plants use higher head and/or capacity in
bine [11]. For tidal applications, these converters are often termed sharp contrast to the unconventional low-head/hydrokinetic
as Tidal In-stream Energy Converter (TISEC) [5] or simply Tidal schemes.
Current Turbine. For rivers or articial waterways the same tech- In keeping with the present norms [5,1012,35] and adopting a
nology is generally identied as River Current Turbine (RCT), Riv- concise term, the word Hydrokinetic is used here. While other
er Current Energy Conversion System (RCECS) [37], River In- terms may deem suitable for application-specic cases (river, arti-
stream Energy Converter (RISEC) [11], or in brief,River Turbine. cial channel, tidal, or marine current), this approach envelopes a
Other common but somewhat misleading identiers include broader spectrum where all kinetic energy conversion schemes
Watermill, Water-wheel, or even Water Turbine [33]. for use in free-owing/zero-head hydro streams are considered.

Fig. 4. Conventional hydro versus hydrokinetic energy conversion schemes [10].


1826 M.J. Khan et al. / Applied Energy 86 (2009) 18231835

2.3. Areas of application on how the technology evolves, this type of alternative
schemes may also fall within the distributed generation sce-
Two main areas where hydrokinetic devices can be used in narios in the near future. Bulk power generation through
power generation purposes are, (a) tidal current, and (b) river tidal power plants are expected in longer time horizons. It
stream. Ocean current represent another potential source of ocean is expected that these technologies will face similar network
energy where the ow is unidirectional, as opposed to bidirectional integration challenges as wind power systems and will take
tidal variations. In addition to these, other resources include, man- advantage of higher resource predictability [39].
made channels, irrigation canals, and industrial outows [22,38]. Other purposes: Hydrokinetic turbines can potentially be used
While all hydrokinetic devices operated on the same conversion in conjunction with an existing large hydroelectric facility,
principles regardless of their areas of application, a set of subtle where the tailrace of a stream can be utilized for capacity
differences may appear in the forms of design and operational fea- augmentation (i.e, resource usage maximization) [10,19]).
tures. These include, Direct water pumping for irrigation, desalination of seawater,
and space heating are other potential areas of end-use.
 Design
Size: In order to achieve economies of scale, tidal current tur-
bines are currently being designed with larger capacity (sev- 3. Technology survey
eral MW). River turbines on the other hand, are being
considered in the range of few kW to several hundred kW In order to aid the advancement of hydrokinetic conversion
[5,19]. technologies and develop suitable solutions to various relevant
Directionality: River ow is unidirectional and this eliminates problems, it is important to identify the current status of this eld
the requirement for rotor yawing. In tidal streams, a turbine of engineering and research. A survey that provides insight into the
may operate during both ood and ebb tides, if such yaw/ historical perspective and also indicates the industry trends can be
pitch mechanism is in place. very useful in that regard. As part of this work, a comprehensive
Placement: Depending on the channel cross-section, a tidal or technology review has been conducted and most of the major
river current turbine may only be placed at the seaoor/riv- schemes reported to date have been considered. This survey essen-
erbed or in other arrangements (oating or mounted to a tially overlaps the authors previous work [37], complements a set
near-surface structure). This arises from a multitude of tech- of more recent reports published by EPRI [5], Verdant Power [19],
nical (power generation capacity, instrumentation) and non- and Powertech Labs [20], and identies subtle advancement in
technical (shipping, shing, and recreational boating) contrast to some previous reviews [34,40].
constraints.
 Operation 3.1. Survey methodology
Flow characteristics: The ow characteristic of a river stream
is signicantly different from tidal variations. While the for- The survey conducted in this work not only identies commer-
mer has strong stochastic variation (seasonal to daily), the cial systems, but also accommodates various R&D initiatives
latter undergoes uctuations of dominant periodic nature undertaken in the academia. As indicated in Appendix A, total of
(diurnal to semidiurnal). In addition, stage of a stream may seventy six different devices and schemes were analyzed. Due to
have diversely varying prole for these two cases. availability of limited information for many devices, mostly the
Water density: The density of seawater is higher than that of primary conversion hardware and their peripherals (rotors, ducts,
freshwater. This implies, lesser power generation capacity for placement method in a stream, etc.) are evaluated.
a tidal turbine unit when placed in a river stream. In addition, The information gathered along the process is organized
depending on the level of salinity and temperature, seawater through the following headings:
in different location and time may have varying energy
content.  Application: In the previous section, various areas of application
Control: Tidal turbines are candidates for operating under for hydrokinetic devices have been identied. This discussion is
forecasted tide conditions. River turbines may not fall into carried forward into the survey by categorizing the potential
such paradigms of control and more dynamic control sys- use of a given device into (a) tidal current (for tidal and ocean
tems may need to be synthesized. current resources) (b) river stream (for free-owing/zero-head
Resource prediction: Tidal conditions can be almost entirely rivers), and (c) multi-application (river, tidal, and other applica-
predicted and readily available charts can be used in coordi- tions). While the information disseminated through the relevant
nating the operation of a tidal power plant. For river applica- technology developer, research institute, or public-domain docu-
tions, forecasting the ow conditions is more involved and ment has been the basis of this classication, several ambiguous
many geographical locations may not have such arrange- cases have been considered as Multi-application.
ments. For a hydrokinetic converter, the level of power out-  Technology type: In light of the discussion presented earlier, all of
put is directly related to ow velocity (and stage). Even the 76 devices or concepts have been attributed to one of the ten
though volumetric ow information is available for many (10) conversion schemes. However, further division into tur-
locations, water velocity varies from one potential site to bine or non-turbine systems has not been carried out.
the other depending on the cross-sectional area. Therefore,  Duct: Ducts are engineered structures that elevate the energy
unless a correlation between ow variations and site density of a water stream as observed by a hydrokinetic con-
bathymetry is established, and turbines are operated accord- verter. Considerations for these devices is of high signicance
ingly, only sub-optimal operation can be achieved. primarily because of two opposing reasons (a) potential to aug-
 End-use ment the power capacity and hence reduce the cost of energy (b)
Grid-connectivity: While tidal current systems may see large- lack of condence as far as their survivability and design/dem-
scale deployment (analogous to large wind farms), hydroki- onstration are concerned. In this survey, attempts were made
netic converters used in river streams may become feasible to identify whether a given scheme is considered for duct aug-
in powering remote areas or stand-alone loads. Depending mentation (unknown cases were identied separately) or not.
M.J. Khan et al. / Applied Energy 86 (2009) 18231835 1827

 Placement: The method of placement of a hydrokinetic device, in


relation to a channel cross-section, is a very signicant compo-
nent for two basic reasons:
The energy ux in the surface of a stream is higher than that
of a channel-bottom. In addition, this quantity takes diverse
values depending on the distance from the shore and chan-
nel-geography. Therefore, water velocity has a highly local-
ized and site-specic three-dimensional prole and rotor
positioning against such variations will dictate the amount
of energy that can be effectively extracted.
Competing users of the water stream (recreational boats,
shing vessels, bridges & culverts, etc.) would essentially
reduce the effective usable area for a turbine installation
[19,20]. In this work, three classes of mounting arrangements
are considered: (i) BSM Bottom Structure Mounted (Fixed)
Fig. 6. Use of ducts and applications.
(ii) FSM Floating Structure Mounted (Buoyant), and (iii)
NSM Near-surface Structure Mounted (Fixed). Each of the
devices or schemes has been assigned to one of these meth- The present trend clearly indicates that the area of multiple applica-
ods, whereas unknown systems are identied separately. tion (such as, river, tidal, articial waterways, dam tailrace, and
industrial outows) is of high importance, as these technologies
In addition to the aspects mentioned above, each of the R&D ini- can probably be tailored to suit resource-specic needs.
tiatives is observed for its present status of development and chro- In addition to realizing various rotor concepts, considerations
nology of progression. The summary of these assessments are for incorporating duct augmentation to these systems is a very sig-
given in the following section. nicant aspect of this technologys overall advancement. As shown
in Fig. 5, vertical axis systems are given more emphasis for such
3.2. Analysis of survey arrangements, whereas signicant portion of axial-ow turbines
are considered for non-ducted application.
Although a number of novel concepts have emerged recently, Regardless of the eld of application (river, tidal or others), duct
hydrokinetic energy conversion has mostly seen advancements in augmentation has naturally seen lesser share of consideration
the domain of axial (horizontal) and vertical axis turbine systems. (Fig. 6). This arises from the fact that most of the turbine concepts
The signicantly higher number of initiatives and several commer- are still at the R&D level, whereas ducts are peripherals to such
cial/pre-commercial deployments have brought these systems at systems.
the forefront this emerging industry. Placement of a turbine system, in relation to a given open-chan-
The commercial systems (existing/discontinued) mostly repre- nel, is another eld of progression where basic design (structural
sent several small-scale river turbines employing inclined [41 strength, oatation, and anchoring) and feasibility studies (surviv-
44] and oating [45,46] horizontal axis turbines. These systems ability, provisions for competing users, etc.) are being investigated.
were developed for remote powering applications in various coun- As seen in Fig. 7, most vertical axis turbines are being considered
tries (Sudan, Peru, etc.). However, the current market-status of for either oating (FSM) or near-surface (NSM) placements. On
many these devices is unknown. the contrary, about one-third of the axial turbines are considered
One interesting observation derived from the survey is that a for seabed/riverbed installations. Other concepts have indicated
great number of technology developers and researchers view their early stage plans on their placement methods, which needs to be
initiatives as solutions for a wide spectrum of applications, beyond re-evaluated as these systems attain further advancement (see
river or tidal applications only. Reecting the lesser level of resource Fig. 8).
availability, the number of technologies being developed speci- From applications point of view, river turbines have been
cally for river applications is less than that of tidal energy systems. designed and developed for either oating or near-surface

Fig. 5. Use of ducts and conversion schemes.


1828 M.J. Khan et al. / Applied Energy 86 (2009) 18231835

Fig. 7. System placement and conversion schemes.

ment, and demonstration (RD&D) initiatives [20]. In addition to


aiming for specic applications (such as, tidal currents or river
streams), a great number of development efforts are directed to-
ward realizing solutions that may serve both of these areas. Duct
augmentation is another area, which apparently did not nd much
success in the wind energy domain. However, it is perceived as a
critical element to hydrokinetic conversion concepts.
In this article, an attempt is made to shed light on many of these
issues using qualitative and broad observations. This article, how-
ever, does not attempt to indicate superiority of one option against
the other. Rather, observations of generic nature are provided for
the reader and these may appear useful depending on the scope
and nature of any RD&D effort in this domain. The following dis-
cussions focus on rotor congurations, duct augmentations, and
placement schemes, followed by a qualitative discussion on vari-
Fig. 8. System placement and applications. ous technical advantages and disadvantages of these options.

arrangements. On the contrary, many tidal turbines are being con- 4.1. Rotor congurations
sidered for placement at the bottom of the channel. This reects
the constraints imposed by other competing sea users (shipping, As discussed in Section 3, hydrokinetic energy conversion may
shing, and other usage) as well as design challenges associated employ either rotary turbo machinery or can use non-turbine
with large oating or near-surface-xed structures, especially in schemes. While the former class (turbine system) encompasses
harsh sea conditions. various classical rotary technologies, the latter group (non-tur-
While both vertical and axial turbines have long been consid- bine system) is mostly based on various unconventional concepts.
ered as primary choices for hydrokinetic energy conversion, a Such schemes include, oscillating hydrofoil [30], vortex induced
number of unconventional concepts (such as, vortex induced vibra- vibration [29], piezo polymer conversion [28], and variable geom-
tion, and piezoelectric conversion) have appeared recently. Several etry sails [32]. Presently, most of these technologies are either at
early river turbine prototypes were deployed and operated from their proof-of-concept stage or being developed as part-scale
late 1970s to late 1990s [41,45] until these were eventually models. On the other hand, rotary turbine systems employing
decommissioned. Various non-turbine concepts (namely, oscillat- horizontal, vertical, or cross ow turbines are occupying most of
ing hydrofoil and piezoelectric conversion) had gained good atten- the discussion. A broad survey of existing and discontinued
tion in the past [28,30,47]. However, their present status of RD&D initiatives are explored and classied in various maturity
development is unknown. Analyzing the modern day history of groups (from concept to commercial) in Fig. 9a. It should be
hydrokinetic energy conversion, it can be clearly noticed that the noted that many of the commercial systems, as shown in the g-
present decade has so far seen the greatest level of research and ure, employ inclined horizontal axis turbines and probably no
development initiatives. These efforts have enveloped a multitude longer exist in the market.
of technological concepts as well as diverse elds of applications In Fig. 9b, percentages of the turbine systems among all the
where hydrokinetic technologies may prosper in future. studied RD&D efforts (76 systems) are shown. It can be seen that
horizontal and vertical axis turbines consist of the greater share
4. Horizontal and vertical axis turbines (43% and 33%, respectively). Although this result is not surprising,
the point of interest is that vertical axis systems are seeing re-
At the present state of this technology, both horizontal and ver- newed interest, especially when the wind energy industry has
tical axis turbines are key contenders for further research, develop- effectively discarded this technology.
M.J. Khan et al. / Applied Energy 86 (2009) 18231835 1829

Fig. 9. General technology status of hydrokinetic turbine technologies.

The choice of turbine rotor conguration requires consider- Based on the alignment of the rotor axis with respect to water
ations of a broad array of technical and economical factors. As an ow, three generic classes could be formed (a) horizontal axis, (b)
emerging eld of energy conversion, these issues become even vertical axis, and (c) cross ow turbines. The horizontal axis (alter-
more dominant for hydrokinetic turbines. A general classication nately called as axial-ow) turbines have axes parallel to the uid
of these turbines based on their physical arrangements is given ow and employ propeller type rotors. Various arrangements of
in Fig. 10. This list is by no means exhaustive, and many of the con- axial turbines for use in hydro environment are shown in Fig. 11.
cepts are adopted from the wind engineering domain. Inclined axis turbines have mostly been studied for small river
energy converters. Literature on the design and performance anal-
ysis could be found in [33,48,49]. Information on several commer-
cial products utilizing such topologies is available in [4244,50].
Most of these devices were tested in river streams and were com-
mercialized in limited scales. The turbine system reported in [50]
was used for water pumping, while the others [4244] were pro-
moeted for remote area electrication. It is however not clear
whether these latter devices are still being commercialized.
Horizontal axis turbines are common in tidal energy converters
and are very similar to modern day wind turbines from concept
and design point of view. Turbines with solid mooring structures
require the generator unit to be placed near the riverbed or sea-
oor. Reports and information on rigidly moored tidal/river tur-
bines are available in [22,34,5155]. Horizontal axis rotors with a
buoyant mooring mechanism may allow a non-submerged gener-
Fig. 10. Classication of turbine rotors.
ator to be placed closer to the water surface. Information on

Fig. 11. Horizontal axis turbines. Fig. 12. Vertical axis turbines.
1830 M.J. Khan et al. / Applied Energy 86 (2009) 18231835

N/A
3% N/A
16%

Yes
33%
No
36%
Nc Yes
64% 48%

Fig. 13. Reported consideration for duct augmentation for (a) horizontal axis and (b) vertical axis turbines.

submerged generator systems can be found in [56,57] and that of


non-submerged types are presented in [35,58].
The cross ow turbines have rotor axes orthogonal to the water
ow but parallel to the water surface. These turbines are also
known as oating waterwheels. These are mainly drag based de-
vices and inherently less efcient than their lift based counter-
parts. The large amount of material usage is another problem for
such turbines [33,35,59]. Darrieus turbines with cross ow
arrangements may also fall under this category.
Various arrangements under the vertical axis turbine category
are given in Fig. 12. In the vertical axis domain, Darrieus turbines
are the most prominent options. Although use of H-Darrieus or
Squirrel-cage Darrieus (straight bladed) turbine is very common,
examples of Darrieus turbine (curved or parabolic blades) being
used in hydro applications is non-existent. In publications such
as, [35,6068] a wide array of design, operational and performance Fig. 14. Augmentation channel classication.

issues regarding straight bladed Darrieus turbines are discussed.


The Gorlov turbine is another member of the vertical axis family, bines where the channels are of rectangular cross-section. This im-
where the blades are of helical structure [36,69,70]. Savonious tur- poses a design asymmetry and subsequent structural vulnerability
bines are drag type devices, which may consist of straight or for the former type. The lesser number of duct augmentation being
skewed blades [62,63,71]. considered for horizontal axis turbines can be attributed to this is-
Hydrokinetic turbines may also be classied based on their lift/ sues. These results only indicate accumulated experience and
drag properties, orientation to up/down ow, and xed/variable understanding of duct augmentation options for horizontal and
(active/passive) blade pitching mechanisms. Different types of ro- vertical axis turbines, as perceived to date. It is believed that further
tors may also be hybridized (such as, DarrieusSavonious hybrid) RD&D on this area will go hand in hand with turbine development.
in order to achieve certain performance features. A simplied classication of various channel designs are given in
Figs. 14 and 15. A simple channel may consist of a single nozzle, cyl-
4.2. Duct augmentation inder (or straight path) with brim or diffuser. In a hybrid design, all
three options may be incorporated in one unit. Test results on a
Augmentation channels induce a sub-atmospheric pressure number of hydrodynamic models can be found in [72,73] and an
within a constrained area and thereby increase the ow velocity. example shape is given in Fig. 15a. This work has reported a maxi-
If a turbine is placed in such a channel, the ow velocity around mum velocity increase factor of 1.67 (i.e, power coefcient1 in-
the rotor is higher than that of a free rotor. This increases the pos- creases 4.63 times). In [74] various hybrid models with rectilinear
sible total power capture signicantly. In addition, it may help to paths are experimented (Fig. 15b). Diffusers with multi-unit hydro-
regulate the speed of the rotor and impose lesser system design foils (Fig. 15c) are also possible when higher efciency is required.
constraints as the upper ceiling on ow velocity is reduced [72]. A straight model with a brim (Fig. 15d) may have a velocity amplica-
Such devices have been widely tested in the wind energy domain. tion factor of 1.32. Analytic and test results of various rectilinear dif-
Terms such as, duct, shroud, wind-lens, nozzle, concentrator, dif- fuser models (Fig. 15e) can be found in [75,76]. It has been found that,
fuser, and augmentation channel are used synonymously for these a diffuser with an inlet and brim performs the best in this category.
devices. Discussions on duct augmentation in river/tidal applica- Information on various annular ring shaped diffuser models
tions can be found in [34,7274]. A survey conducted with seventy (Fig. 15f) can be found in [34,77]. In [34], it has been shown that a
six hydrokinetic system concepts show that around one-third of power coefcient as high as 1.69 is possible, exceeding the Betz limit
the horizontal axis turbines are being considered for such arrange- of 0.59.
ments. On the contrary, vertical axis turbines are being given more Each of these models come with unique set of performance
attention when it comes to duct augmentation. Almost half of the merits and design limitations. For instance, the hybrid types per-
studied systems consider some form of augmentation scheme to be form better at the expense of bigger size (as high as 6 times the ro-
incorporated with the vertical turbine (see Fig. 13).
The ducts for horizontal axis turbines mostly take conical shapes 1
A measure of extracted power against the theoretical uid power considering
(for operation under unidirectional ow) as opposed to vertical tur- free-stream/unducted water velocity.
M.J. Khan et al. / Applied Energy 86 (2009) 18231835 1831

Fig. 15. Channel shapes (top and side view).

of the vertical axis turbines are being considered for near-surface


placement. This probably arises from the fact that this option allows
the generator and other apparatus to be placed above the water le-
vel. However, at the present state of this technology, there is no clear
direction on the most attractive option. Several subtle aspects that
can be observed in this regard are highlighted below (see Fig. 17):

 Energy capture: The energy ux in a river/tidal channel is higher


near the surface. This suggests that the FSM option is the best
option as long energy extraction is the prime concern. In con-
trast, the BSM method allows only sub-optimal energy capture.
Fig. 16. Turbine mounting options. Also, energy capture using the NSM scheme would see uctuat-
ing output subject to variations in river stage or tide height.
 Competing users: While placing a turbine at the surface of a
tor diameter). The annular shapes also perform very well when channel seems attractive, competing users of the water resource
hydrodynamic shapes are optimally designed. Nevertheless, de- may object to such arrangement. Fishing, shipping, recreational
tailed investigation on optimal size, shape and design is still an un- boating, and many other activities may leave the BSM or NSM
solved problem. methods as the only option. Floating structures are still possible
but these need to be placed closer to the shore where energy
4.3. Rotor placement options resources may appear limited.
 Construction challenge: Experience of oating structure design
While the type of rotor to be deployed and duct augmentation for energy harvesting is limited. In contrast, knowledge in civil
to be incorporated are of paramount importance, placement of engineering domain for bottom mounted structures (e.g,
the system in a channel also deserves due attention. A turbine bridges, offshore oil and gas platforms) are quite abundant.
may incorporate bottom structure mounting (BSM) arrangement  Footprint: Any trenching, piling, or excavation at the riverbed/
where the converter is xed near the seaoor/riverbed. Also, tur- oceanoor may become subject to environmental scrutiny.
bine units may operate under variable elevation if a oating struc- Floating or near-surface structures appear more permissible in
ture mounting (FSM) is devised. The last option is to mount the this context.
converter with a structure that is closer to the surface (near-sur-  Design and operational constraints: Depending on where a tur-
face structure mounting, NSM). bine is to be placed various power conversion apparatus (gener-
The technology survey conducted as part of this work indicates ator, bearing, gearboxes, and power conditioning equipment)
that axial-ow turbines are given almost equal consideration for would require special design considerations such as, water seal-
the three options outlined above (Fig. 16). However, more than half ing, lubrication, and protection. Also, variation of water velocity

N/A
3% BSM
N/A
8%
12%
NSM
BSM
27% FSM
37%
28%

NSM
52%
FSM
33%

Fig. 17. Percentage of turbines considered for various placement arrangements (a) horizontal axis and (b) vertical axis.
1832 M.J. Khan et al. / Applied Energy 86 (2009) 18231835

and stage will impose operational constraints. Due attention is The disadvantages associated with vertical axis turbines are:
also required to address the challenges associated with sever low starting torque, torque ripple, and lower efciency. Depending
storm conditions, especially for the near surface and oating- on their design, these turbines generally possess poor starting per-
type systems. formance. This may require special arrangement for external elec-
trical, mechanical, or electromechanical starting mechanisms. The
The areas of application will have specic repercussions on use blades of a vertical turbine unit are subject to cyclic tangential
of duct augmentations devices and corresponding placement pulls and generate signicant torque ripple in the output. Cavita-
schemes. For instance, tidal and marine current turbines work un- tion and fatigue loading due to unsteady hydrodynamics are other
der the natural events of daily tide ow and seasonal ocean current concerning issues associated vertical turbines. Axial-ow turbines
variations, respectively. River turbines operate under the inuence on the other hand, eliminate many of these drawbacks. In addition,
of varying volumetric water ow through a river channel subject to various merits of such rotors are:
various external factors such as, channel cross-section, rainfall, and
articial incidences (such as, transportation, upstream dam open-  Knowledgebase: Literature on system design and performance
ing, etc.). River water is less dense than seawater and therefore it information of axial type rotors is abundant. Advancements in
has lower energy density. Siting is more stringent in river channels wind engineering and marine propellers have signicantly con-
as the usable space is limited and river transportation may further tributed to this eld. Use of such rotors have been successfully
constrain the usability of the sites. There could also be varying demonstrated for large scale applications (10350 kW), espe-
types of suspended particles and materials (sh, debris, rock, ice, cially for tidal energy conversion [52].
etc.) in river and sea channels depending on the geography of a  Performance: One key advantage of axial type turbines is that all
site. It remains to be seen, how these factors will affect the design, the blades are designed to have sufcient taper and twist such
operation, and commercialization of various turbine concepts. that lift forces are exerted evenly along the blade. Therefore,
these turbines are self-starting. Also, their optimum perfor-
mance is achieved at higher rotor speeds, and this eases the
5. Technical advantages and disadvantages of horizontal and problem of generator matching, allowing reduced gear coupling.
vertical turbines  Control: Various control methods (stall or pitch regulated) of
axial type turbines have been studied in great details. Active
It is worthwhile to investigate the opportunities and challenges control by blade pitching allows greater exibility in over speed
associated with various hydrokinetic turbine systems, especially protection and efcient operation [52].
when this sector of energy engineering is mostly at the design  Annular ring augmentation channels: Annular ring type augmen-
and development phase. Of particular interest is a review of both tation channels provide greater augmentation of uid velocity as
horizontal and vertical axis congurations with regard to their these systems allow concentrated/diffused ow in a three-
technical merits and drawbacks. In this section these two congu- dimensional manner [34]. The circular shape of the propeller
rations will be studied further. rotors disc permits the use of this type of duct, which is not pos-
Vertical axis turbines, especially the straight bladed Darrieus sible for vertical axis turbines.
types have gained considerable attention owing to various favor-
able features such as: The major technical challenges encountered with axial type ro-
tors are: blade design, underwater generator installation and
 Design simplicity: As an emerging technology, design simplicity underwater cabling. While different types of rotors come with un-
and system cost are important factors that may determine the ique features, only extensive theoretical understanding, experi-
success of hydrokinetic turbine technology. In contrast to hori- mental validation, and design expertise would allow selection of
zontal axis turbines where blade design involves delicate an ideal system. As the industry matures, greater insight into var-
machining and manufacturing, use of straight blades make the ious rotor systems will be available.
design potentially simpler and less expensive.
 Generator coupling: For hydrokinetic applications, generator cou-
pling with the turbine rotor poses a special challenge. In the hor- 6. Conclusions
izontal axis turbines, this could be achieved by a right-angled
gear coupling, long inclined shaft or underwater placement of In this paper, the state of the hydrokinetic energy conversion
the generator. In vertical axis turbines, the generator can be technologies has been revisited with an emphasis on indicating
placed in one end of the shaft, allowing the generator to be the current trends in research and development initiatives. While
placed above the water surface. This reduces the need and sub- the initial discussions encompassed various denitions and classi-
sequent cost in arranging water-sealed electric machines. cations, the core analysis has been undertaken based on a com-
 Flotation and augmentation equipment: The cylindrical shape of prehensive literature survey. The major conclusions that can be
the Darrieus turbine allows convenient mounting of various cur- derived from the discussions presented earlier are:
vilinear or rectilinear ducts. These channels can also be
employed for mooring and oating purposes [72]. For axial-ow  Except for some early commercial systems (small-scale remote
turbines, ducts can not be easily used for oatation purposes. power generation from river streams), most of the technologies
 Noise emission: Vertical turbines generally emit less noise than are at the proof-of-concept or part-system R&D stage.
the horizontal turbine concepts due to reduced blade tip losses  A number of novel schemes (such as, piezo-electric, biomimetic
[78]. Subject to further research and investigation, this may and vortex-induced-vibration) have surfaced in recent times, in
prove to be benecial in preserving the marine-life habitat. addition to the continued progress on classical hydrokinetic
 Skewed ow: The vertical prole of water velocity variation in a energy conversion approaches (vertical, axial-ow turbines,
channel may have signicant impact on turbine operation. In a etc.).
shallow channel, the upper part of a turbine faces higher veloc-  In the presence of a wide variety of terminologies attributed to
ity than the lower section. Vertical turbines, especially the ones the fundamental process of kinetic energy conversion from
with helical/inclined blades are reportedly more suitable for water streams, the term Hydrokinetic energy conversion can
operation under such conditions [79]. be used as long as sufcient caveats are given for diverse elds
M.J. Khan et al. / Applied Energy 86 (2009) 18231835 1833

of application such as, rivers, articial channels, tides, and mar- 24. HammerfestTM, Hammerfest Strm AS, Norway.
ine currents. 25. HarmonicaTM, Tidal Sails AS, Norway.
 In addition to the specic focus on river or tidal current conver- 26. HydraTM, Statkraft, Norway.
sion, strong emphasis is given to technologies that may serve 27. Hydrokinetic GeneratorTM, Kinetic Energy Systems Corpora-
both of these areas as well as other potential resources (such tion, FL, USA.
as, man-made canals, irrigation channels, and industrial 28. Hydro VenturiTM, Hydro Venturi Ltd., UK.
outows). 29. Impulsa TurbineTM, UNAM Engineering Institute, Mexico.
 While both axial and vertical axis turbines are being developed 30. Inha University, South Korea.
for hydrokinetic energy conversion, considerations for duct 31. ITDG-Guba,Sudan; Supported by ITDG, UK.
usage have seen higher preference for the latter class. 32. Jack RabbitTM, Ampair, UK.
 Various options for turbine placement with respect to a channel 33. Kobold turbineTM, Ponte di Archimede S.p.A., Italy.
cross-section (bottom, oating, or near-surface/xed) are being 34. Memorial Univ. of Newfoundland, NL, Canada.
given almost equal emphasis. However, axial turbines are 35. Miscellaneous Demonstration projects.
mostly being considered for placement at the bottom of a chan- 36. Munich University of Technology, Germany.
nel, whereas vertical turbines are being designed for either oat- 37. Neo-Aerodynamic converterTM, Neo-Aerodynamic Ltd. Com-
ing or near-surface mounting arrangements. pany; TX, USA
 Recent technological advancement and project-development 38. Neptune Proteus Tidal Power PontoonTM, Neptune Renewable
initiatives clearly indicate a rejuvenated interest in the domain Energy, UK
of hydrokinetic energy conversion. 39. Nihon University, Japan
40. Northern Territory University, Darwin N.T., Australia.
As the hydrokinetic technologies evolve over time, new solu- 41. OCPSTM, Arnold Cooper Hydropower Systems, USA
tions emerge, and old concepts resurface/disappear, the review 42. Open Hydro TurbineTM, OpenHydro Group Ltd., UK
presented in this work may need to be re-evaluated. However, 43. OptimsetTM, Optimset, ON, Canada
the major observations made in this work may still appear useful 44. PEEHRTM, Rua Lcio de Azevedo,Lisboa, Portugal
in identifying the technology trend being followed in this eld of 45. Pole Mer BretagneTM, Pole Mer Bretagne, France
energy engineering. To conclude this discussion, it can be stated 46. Pulse GeneratorTM, Pulse Generation Ltd.,UK
that hydrokinetic energy technologies are emerging as a viable 47. RiverStarTM, Bourne Energy Pvt. Ltd.; Malibu, CA
solution for renewable power generation and signicant research, 48. RotechTM, Tidal Turbine Lunar Energy Limited, UK
development, and deployment initiatives need to be embarked 49. Russian cross ow turbine Russian cross ow turbine
upon before realizing true commercial success in this sector. 50. Rutten Company, Belgium
51. ScotrenewablesTM, Scotrenewables Tidal Turbine (SRTT), UK
Acknowledgement 52. SeaFlowTM, Marine Current Turbines Ltd., UK
53. SeasnailTM, Robert Gordon University, UK
Funding contributions from NSERC and AIF is duly 54. StringrayTM, The Engineering Business (EB), UK
acknowledged. 55. SwanturbinesTM, Swanturbines Ltd., UK
56. TGL turbineTM, Tidal Generation Ltd., UK
Appendix A. List of surveyed technologies (in alphabetic order) 57. Thropton TurbineTM, Thropton Energy Services, UK
58. Tidal FenceTM, Blue Energy International, BC, Canada
1. Alternative Hydro Solutions Ltd., ON, Canada 59. Tidal Stream GeneratorTM, Tidal Hydraulic Generators Ltd.
2. Amazon AquachargerTM, Marlec Engineering, UK (THGL), UK
3. AquanatorTM Atlantis Energy, Australia 60. Tidal StreamTM, J A Consult, UK (Tidal Stream Turbine)
4. Atlantisstrom, Germany 61. TidelTM, SMD Hydrovision, UK
5. Bangladesh Univ. of Engg. & Tech, Dhaka, Bangladesh 62. TocardoTM, Teamwork Technology, NL
6. BioPower Systems, Australia 63. TransverpelloTM Germany
7. Brazil-prototype (cross ow), Center of Research in Electrical 64. Tyson TurbineTM, Australia
Energy - CEPEL, Brazil 65. Underwater Electric Kite, US
8. Brazil-prototype (ducted axial), Department of Mech. Engg. 66. University College London, London UK
from the Univ. of Brasilia UNB, Brazil 67. University of British Columbia, Canada
9. CADDET Centre for Renewable Energy, UK. 68. College of Engineering, University of Buenos Aires, Argentina
10. Clean Current Power Systems Inc., BC, Canada. 69. Department of Mech. and Manu. Eng., University of Mani-
11. Cross Flow TurbinesTM, Coastal Hydropower Corporation, toba, Canada
Canada. 70. University of Southampton, UK
12. CurrentTM, Hydro Green Energy, LLC, TX, US. 71. Uppsala University, Sweden
13. Cycloidal TurbineTM, QinetiQ Ltd., UK. 72. Vertical Axis Ring Cam Turbine, Edinburgh University, UK
14. EELTM, OPT Ocean Power Technologies Inc., US. 73. VIVACETM,Vortex Hydro Energy LLC; Ann Arbor, MI, USA
15. EnCurrentTM, New Energy Corporation Inc., Canada. 74. Wanxiang Vertical Turbine Harbin Engineering University
16. EvopodTM, Oceanow Energy, Overberg Ltd., UK. (HEU), China
17. EXIMTM, Tidal Turbine Sea Power, Sweden. 75. Wild Water Power, Canada
18. Free FlowTM, Verdant Power LLC, US. 76. WPI Turbine- Water Power Industries, Norway
19. Gentec VenturiTM, Greenheat Systems Limited, UK.
20. Gorlov- Amazon demonstrations, Miscellaneous.
21. Gorlov TurbineTM, GCK Technology Inc., US. References
22. Gravitation water vortex power plantTM, ZOTLOETERER,
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