Applied Energy 199 (2017) 479–494

Contents lists available at ScienceDirect

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

Increasing the operational capability of a horizontal axis wind turbine by

its integration with a vertical axis wind turbine
Bala Govind
Department of Mechanical and Aerospace Engineering, North Carolina State University, Raleigh, North Carolina 27606, United States

h i g h l i g h t s g r a p h i c a l a b s t r a c t

A new mechanism transfers torque Sha Rotaon Reversal CVT HAWT Generator
from HAWT rotor to an integrated
VAWT drive-train at high wind
speeds.

Operational range is improved for
prototype-scale 12 kW HAWT-10 kW
VAWT combination.

A k-x (SST) turbulence model
suggests safe rotor clearance for the Primary Right Angle Transmission
integrated system.
Shell-VAWT Moon Transfer

Aerodynamic feasibility reveals
effects of torque ripple on the
VAWT Generator
combined power output.

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

Article history: A major difficulty encountered by a horizontal axis wind turbine is the limit of aerodynamic torque that it
Received 31 January 2017 can withstand at high wind speeds. A novel strategy is proposed to improve the operational capability of a
Received in revised form 8 April 2017 prototype scale system by increasing its rated wind speed for power generation. This is achieved by inte-
Accepted 26 April 2017
grating its drivetrain with that of a vertical axis wind turbine supported on a common tower. Excess torque
Available online 12 May 2017
is transferred from the horizontal axis rotor to the vertical axis rotor’s drivetrain by coupling them using a
continuously variable transmission. In this article, firstly, the concepts of motion transfer that facilitate
Keywords:
this combined operation are discussed. A combination of a 12-kW horizontal axis rotor and a 10-kW ver-
Horizontal axis wind turbine
Vertical axis wind turbine
tical axis wind turbine is studied to estimate the increased benefit of increments in rated wind speed.
Hybrid wind turbine design Performance of this hybrid system is predicted at potential wind sites and is shown to exceed the stan-
Motion transfer dalone mechanical power output of both subsystems under different wind regimes. The critical criterion
Computational fluid dynamics of the system’s aerodynamic feasibility is then investigated. Turbulence modelling is performed for a con-
Turbulence modelling figuration which involves a combination of the NREL Phase VI rotor and a NACA 0021 profiled vertical axis
H-rotor. A 3-D simulation, using a validated k-x (Shear Stress Transport) computational fluid dynamics
model helps confirm the ability of both turbines to operate aerodynamically independent of each other.
Further, by this methodology, a safe clearance between the two rotors is pre-determined. Analysis of tur-
bulent flow scenarios reveals the characteristic effects of aerodynamic torque ripple experienced by the
vertical axis wind turbine and its impact on combined power output. Parameters outlined in this article
will be of assistance in the practical implementation of the integrated axes wind turbine.
Ó 2017 Elsevier Ltd. All rights reserved.

E-mail addresses: bgovind@ncsu.edu, pirc123123@gmail.com

http://dx.doi.org/10.1016/j.apenergy.2017.04.070
0306-2619/Ó 2017 Elsevier Ltd. All rights reserved.
480 B. Govind / Applied Energy 199 (2017) 479–494
Nomenclature
HAWT horizontal axis wind turbine
VAWT vertical axis wind turbine
CFD Computational Fluid Dynamics
NREL National Renewable Energy Laboratory
TSR Tip Speed Ratio
CVT Continuously Variable Transmission
RANS Reynolds Averaged Navier-Stokes (Equations)
NACA National Advisory Committee for Aeronautics
NASA National Aeronautics and Space Administration
Rpm revolutions per minute
Z 1 ,Z 2 ,Z 3 ,Z 4 tooth numbers of VAWT motion transfer gear-train
r CVT ratio
ucH cut in wind speed for the HAWT
uHB rated wind speed for the HAWT
uVB rated wind speed for the VAWT
uFH furling wind speed for the HAWT
uFV furling wind speed for the VAWT
xH angular speed of HAWT rotor
1. Introduction
Horizontal axis wind turbines (HAWTs) are the primary source
of grid connected wind power [1]. A primary issue encountered is
that at high wind speed nearing its wind rated speed, the HAWT’s
operation is stall regulated or pitch controlled to limit power gen-
eration by reducing lift on its blades [2]. This limits the optimal
torque exerted and causes the wastage of a portion of potential
mechanical power at a site. Therefore, to better facilitate energy
capture from the three-bladed turbine, drivetrain modifications
and control schemes are being designed and improved to maxi-
mize the power drawn at varying wind speed. More recently,
research is veering towards the incorporation of artificial neural
networks [3,4] which form a framework of learning algorithms
which help correlate on-site wind data with the power coefficient
and pitch angles. In particular, the adaptive neuro-fuzzy inference
system (ANFIS) [5–7] is gaining popularity. On a broader scale, it
can also assist in maximizing profit from empirical wind profiles
for wind farms [8–10]. Feathering and pitch actuation models are
also being improved to optimize the angle of attack of the wind
and the instantaneous Tip Speed Ratio (T.S.R) of the HAWT. These
are supported by soft computing techniques for power coefficient
optimization [11,12] and Maximum Power Point Tracking (MPPT)
algorithms [13,14] which enhance the synchronous power output
from the turbine’s grid-connected Permanent Magnet Synchronous
Generator (PMSG) or Doubly-Fed induction Generator. Here, the
use of the sliding mode control strategy [15–17] is a popular
method which helps optimize the functioning of the turbine’s driv-
etrain elements. While these strategies may assist in compensating
for the limitations in the existing capability of the HAWT, attention
must pivot towards the fundamental design of the three-bladed
system.
To increase the mechanical power a HAWT can harness,
changes in the design of the three-bladed rotor are being
attempted. One imaginative method to draw more power is to
access the stream of fast-flowing wind at higher altitudes by the
crosswind motion of tethered wings [18,19]. Another bold
approach entails radically increasing the swept area of the turbine.
For example, a new design was tested by Vestas Wind Systems [20]
wherein multiple 3-bladed rotors were supported at different
eccentricities from a central tower to achieve a 900-kW output.
While it is claimed that this reduces the Levelized Cost of Energy
(LCOE) [21] and construction and transportation costs, the rotor
xHB rated Angular speed of HAWT rotor
xV angular speed of VAWT rotor
saH aerodynamic torque on HAWT main shaft
scH control torque exerted by HAWT generator
saV aerodynamic torque on VAWT central shaft
scV control torque exerted by VAWT generator
R radius of rotor
q density of air
k Tip Speed Ratio
Cp coefficient of power
Cq coefficient of torque
P  P1 gauge pressure
A projected area of rotor
v1 free stream wind speed
TKE Turbulent Kinetic Energy
overhang in such a configuration could be challenging. The key
consideration for all such hybrid designs is that implementation
at a megawatt-scale is governed by economy. This is compounded
by the breakdown of critical components, thus increasing opera-
tional cost [22].
To improve the mechanical power output at the hub height of
the HAWT, some improvements in the existing motion transfer
mechanism within the nacelle have been undertaken. These
include the use of direct-driven PMSGs which avoid the need of
intermediate gearboxes. Also, to facilitate smooth gear ratio transi-
tion, the use of Continuously Variable Transmission [23–25] is
being investigated. Contrary to a manual or a conventional auto-
matic transmission, the operation of a CVT involves no torque
interruption during change in angular speed. While CVTs have
been investigated for active drivetrains in HAWTs to convert gusty
wind power to stable alternating current for synchronous genera-
tion [26], practical designs which address optimum torque transfer
and ability to raise rated wind speed haven’t been adequately
implemented.
With an apparently disparate purview, to harvest more energy
near the ground surface, vertical axis wind turbines (VAWTs) too
are being re-designed to up-scale their drivetrains. To save costs,
intermediate gearboxes are avoided and instead, low solidity ratio
models which facilitate low torque and high rpm central shaft rota-
tion to optimize the use of alternators, are used [27]. Consequently,
more effort has been directed to fabricate VAWTs of a 1–20 kW
scale [28]. By arranging these turbines in arrays so they may mutu-
ally aid each other in rotation [29], it is claimed that they produce a
higher aggregate of mechanical power. Unlike their horizontal axis
counterparts, however, VAWTs cannot access the stream of fast
flowing wind as they are located at a lower elevation, have a smal-
ler swept area and suffer from turbulence at ground level.
In an attempt to address these difficulties, the author proposes a
new mechanism for a prototype scale wind turbine system. This
incorporates the use of a shell-type VAWT installed on the same
support tower as the HAWT. This constitutes a strategy to optimize
the power output of the HAWT in a unique way. A novel motion
transfer mechanism comes into operation when the wind speed
at the hub height of the HAWT approaches or exceeds its original
rated wind speed. The modified HAWT drivetrain is designed to
transfer the excess torque exerted on the HAWT’s main shaft to
the VAWT’s central shaft. This further utilizes a CVT for a purpose
removed of its normal purpose of power transmission from rotor to
 B. Govind / Applied Energy 199 (2017) 479–494
generator. As it is capable of smooth acceleration with no motion
seizure, the CVT facilitates the seamless integration of the HAWT
rotor drivetrain and the shell-VAWT drivetrain at high wind
speeds.
In this design, the excess mechanical power of the HAWT acts as
a source and the VAWT generator acts as a sink. While two-ended
torque transfer can be achieved until both turbines reach their
rated wind speeds, a VAWT’s rotor may not normally facilitate
the source of extra energy. The HAWT, therefore, possesses the
higher angular momentum which must be limited. Since electric
power is also independently generated by the VAWT at a lower
height location on the same support tower, this arrangement pro-
vides a high-density power resource in wind farms which have
space constraints. This progressive technology also aims to provide
a failsafe option for operators to use a low-capacity aging HAWT at
higher wind speeds without having to decrease aerodynamic tor-
que by sub-optimally using feathering or pitch mechanisms. By
reducing the loading on the HAWT’s original drivetrain, excess
power is derived at the VAWT’s generator while also making opti-
mum use of ‘real estate’ of the tower. This considerably increases
the net swept area of the original turbine.
The article is divided into two main sections which discuss the
practical considerations of the proposed design’s implementation.
The first section expounds on the design of drivetrain elements
within the nacelle and H-rotor VAWT which benefit from torque
transfer at hub-height wind speeds exceeding the standalone
HAWT’s rated wind speed. It further offers the preferred mode of
operation in different regimes. A combination of the NREL Phase
VI rotor and a small manufacturer’s 10 kW VAWT and their rele-
vant power characteristics is utilized to estimate of the mechanical
power drawn for increments in new rated wind speeds. Power pre-
dictions at two potential wind sites in the state of North Carolina
are also made. For instance, it is shown that during integrated
operation, by preventing further reduction of power coefficient of
a 12-kW HAWT beyond its original rated wind speed and using
only a 1 m/s rise in rated wind speed, the system can yield an extra
2.9 kW at the VAWT’s generator. This is in addition to the 12 kW of
independent HAWT power output and the 10–12 kW of indepen-
dent VAWT output power.
The second section critically examines the aerodynamic feasi-
bility intended for the prototype scale hybrid system. It is impor-
tant to minimize the possible mutual effects of turbulence caused
by either turbine during combined operation. This is discussed
using a 3-D time transient Computational Fluid Dynamics (CFD)
approach to visualize the quasi steady-state performance of the
integrated system. The hybrid design uses the NREL Phase VI
S809 rotor and NACA 0021 profiled H-rotor geometry. The
HAWT’s independent performance is first validated with NREL’s
experimental results and the model is extended to study and con-
firm the aerodynamically independent operation of both turbine
subsystems for cases of different angular speed and wind speed.
The analysis further reveals the effects of the characteristic tor-
que ripple experienced by a straight-bladed VAWT on the total
mechanical power output. This will help design the H-rotor to
operate in a pre-determined profitable range of angular speed.
The stability of solutions of turbulence modelling also helps
establish the suitability of the k  x (Shear Stress Transport)
model [30,31] over the k  e (Realizable) model [32] for this
investigation.
An attempt to fabricate the design of the prototype scale inte-
grated axes wind turbine will be undertaken shortly. Notably, the
strategy of the proposed operational sequence of its drivetrain is
generic. Only real-time data may facilitate an optimal learning
framework for the control of the hybrid modes and the associated
convertor circuity. This article will constitute an effort to explain
481
the concepts of motion transfer and more importantly, findings
pertinent to aerodynamic feasibility of the hybrid system. The pre-
ferred method of actuation of drivetrain components is explained
further in the author’s specification (US Pat. Appl. 2016/0201652
A1 [33]).
2. Primary drive-train and methodology to effect torque
transfer from the horizontal-axis subsystem to the vertical-axis
subsystem
Under normal operating conditions, a conventional HAWT rotor
facilitates a prime mover rotating at an angular speed conducive to
independent synchronous electricity generation. When its main
shaft’s angular speed dips below a reference rpm, auxiliary power
is supplied to make the rotation synchronous. Alternatively, the
pitch of its blades is varied to alter the Tip Speed Ratio (TSR) which
normally lies in range of 5–6 for a 3- bladed turbine. In cases of
excessive dynamic load, mechanical or electrical brakes may be
applied to limit electricity generation until favourable conditions
ensue. The energy supplied by the wind at every instant is propor-
tional to swept area of the rotor and to the cube of the prevailing
wind speed. Therefore, by limiting the force of the wind by sub-
optimally altering the Tip Speed Ratio, the full potential of the
wind may, at higher wind speed, be unutilized due to limitations
of generator loading. Instead, if there were a mechanism by which
the excess mechanical power from this energy source at a higher
altitude could be siphoned to a sink (or a lower energy source),
then the HAWT rotor may continue operating at its rated angular
speed in a free wind stream which exceeds its original rated wind
speed.
To obtain a profitable combined performance, the coupled sys-
tem proposed must fulfil three criteria:
(1) A mechanically robust motion transfer mechanism which
ensures complementary rotary action between both
subsystems.
(2) Aerodynamic feasibility, i.e. the effect of the rotation of one
turbine on the flow field should not adversely affect the
other turbine.
(3) An intelligent operation sequence/control algorithm which
ensures a smooth transition in the hybrid power curve.
The mechanism presented here serves to aid the original low-
capacity HAWT and accommodate the increment in extra torque
at higher wind speeds. This is done by directing the extra aerody-
namic torque exerted on the HAWT to the drivetrain of a VAWT
mounted on the same support tower. This VAWT’s generator pro-
duces a control torque which may be varied electromechanically
to track the optimal power point according to prevalent wind con-
ditions. While this may avoid having to completely reinforce the
blades and tower, local strength at certain divisions of the tower
will need to be enhanced.
From Fig. 1, it can be conceived that in the prototype-scale ‘Inte-
grated Axes Wind Turbine’ system, a modified H-rotor VAWT is
mounted on the support tower of a HAWT. The model for this pro-
totype consists of two rotors whose design is contingent on a few
trade-offs:

Drivetrain analysis [34] shows that the torque ripple effect
common in VAWT designs due to upstream and downstream
loading on VAWT blades is more pronounced for a 2-bladed
design than a 3-bladed design. There would a time periodicity
in the net torque acting on the VAWT shell and support tower
if a 2-bladed design was used. This supports the selection of a
giromill-type rotor for a simplified model to avoid complica-
482 B. Govind / Applied Energy 199 (2017) 479–494
Sha Rotaon Reversal CVT HAWT Generator
Primary Right Angle Transmission
Shell-VAWT Moon Transfer
VAWT Generator
Fig. 1. Primary drive train of the prototype-scale hybrid system consisting of
horizontal axis wind turbine and vertical axis wind turbine sub-systems. Excess
mechanical power is drawn at the VAWT generator by torque transfer.
tions arising from excessive superimposition of oscillations on
the steady mean torque used to estimate the integrated axes
turbine’s performance.

Exhaustive aerodynamic analysis [35,36], however, shows that
VAWT designs with struts can introduce large amounts of drag
and can significantly reduce its performance.

To alleviate ground turbulence effects the HAWT hub height
may be increased but this necessitates more material for tower
installation.
To better visualize the sequence of motion transfer, the action
of the new drivetrain is explained as a series of its components
which now follows.
2.1. Rotary motion transfer within the vertical axis wind turbine and
its active pitch mechanism
The VAWT consists of a thin-walled shell which rotates about
the central axis of the HAWT’s tower. Radial arms are attached
by suitable means to the shell. This provision is made so that mate-
rial is distributed at a greater radius from the axis and subse-
quently yields a greater moment of inertia. This generates
greater torque and, therefore, more mechanical power.
Animation sequence 1 (a) shows a variation in motion transfer
arrangement from the tower-concentric rotating shell of the verti-
cal axis turbine to the central shaft of the VAWT sub-system. As
shown, the configuration consists an external ring bevel gear
which transfers rotary motion to an internal central gear via bevel
gear pinions. The pinions rotate faster that the main bevel gear.
Noticeably, the apexes of all the bevel gears are coincident.
It is possible to improve this arrangement. Animation
sequence 1 (b) shows a face gear drive which is easier to assemble
than the bevel gear drive. For instance, it is simple to equalize
input and output velocities by selecting appropriate tooth numbers
to fulfil the condition given by ZZ21  ZZ43 ¼ 1, where Z 1 and Z 2 are
tooth numbers of gear and pinion for the outer drive and Z 4 and
Z 3 are tooth numbers of gear and pinion for the inner drive. How-
ever, installation of gear drives necessitates that the tower be made
locally strong. If this modification is extended to a multi-megawatt
utility, this may require a newer certification.
Another implication of this alteration in a conventional VAWT’s
design is the change in active pitch mechanism design. Its skeletal
representation is shown in Animation sequence 2. Here, straight
blades are mounted on the H-rotor shell by means of revolute
joints at the ends of radial arms. In practice, the angular position
of blades would depend on the elevation of a cylindrical slider
whose position is in turn dependant on the action of a plurality
of hydraulic cylinders which are housed outside the tower (refer
specification [33]). This enhances serviceability and ease of
replacement.
2.2. Continuously Variable Transmission for coupling the two turbine
subsystems
To resolve the issue of a smooth transition in rotary power
transfer, an intermediate Continuously Variable Transmission unit
is installed in the HAWT nacelle. Although numerous variants in
CVT designs can be considered, the push-belt design is employed
here for explanatory purposes. However, for a higher torque
(100 kW–2 MW) wind turbine utility, the hydro-viscous type
[23,24] is preferable.
Fig. 2 shows an expanded schematic of this setup. In practice,
compact actuation is possible. This configuration is governed by
two sets of movable and fixed pulley sheaves and a segmented
steel belt which transfers power between two parallel shafts akin
a transaxle arrangement. The radii of the CVT’s sheaves depend
on the varying speed ratio of the parallel shafts passing through
them.
The CVT’s transient ‘gear ratio’ is continuously varied by chang-
ing the width of the sheaves which result in seamless change in
angular speed. As shown, the secondary main shaft’s excess torque
acts as the drive. Unlike gear-trains, this ensures smooth coupling
of the rotors without sudden changes in rpm of power transmitting
elements of both supporting drivetrains. This further makes provi-
sion for a constant speed drive from the HAWT when the VAWT’s
central shaft’s rpm is maintained constant after it reaches its rated
value. This, however, requires that a highly durable steel belt of
constant length be used to withstand the increased sheave pres-
sure during compression.
Fig. 2 also shows the mechanism of engagement with the CVT
and is similar to the mechanism of a dog clutch. Hydraulic linear
actuators engage toothed wheels to the slotted cavities in the
sheaves of the CVT. Retractable telescopic shafts engage with the
CVT via a spring mechanism. They are protected from wobbling
effects by support fixtures.
2.3. Main Right-Angled Transmission within the HAWT nacelle
The excess torque is transferred from the secondary main shaft
to an eccentrically aligned horizontal shaft which is engaged with
the Main Right-Angled Transmission. This transfer occurs only
when the two parallel, horizontally aligned shafts are engaged
with the CVT. There is an advantage to using two helically profiled
bevel gears to transfer motion from the secondary main shaft the
VAWT central shaft. They ensure that torque interplay between
from the horizontal rotor to the central shaft occurs when the
nacelle simultaneously yaws about the tower. This is shown in
Animation Sequence 3. Here, the bevel gear which is integral to
the nacelle rolls along the circumference of the other bevel gear
which is integral to the central shaft. The latter’s axis of rotation
corresponds to the axis of rotation of the nacelle and also to the
longitudinal axis of the support tower of the HAWT. In the pre-
 B. Govind / Applied Energy 199 (2017) 479–494
Fig. 2. Expanded schematic of mechanisms incorporated in (a) the HAWT’s nacelle, (b) the shell-VAWT’s rotary motion transfer and (c) simplified VAWT active pitch control.
ferred construction, it is desired that both bevel gears be equally
sized to transmit uniform angular speed without speed reduction.
2.4. Shaft rotation reversal gearbox to ensure complementary rotary
action
One disadvantage of the push-belt CVT is that the belt is direc-
tional. It isn’t designed to transfer equal torque to the transaxle in
the reverse direction. If the HAWT and VAWT rotors do not facili-
tate such complementary rotation by independent operation when
engaged, there wouldn’t be profitable power transfer between the
coupled drivetrains and as such, they would oppose each other.
Therefore, for completeness in operating procedure, a gearbox
containing a bevel gear clutch is installed prior to the engagement
of the HAWT main shaft to the CVT in the nacelle.
The action of this shaft rotation reversal mechanism in the drive
train is shown in Animation sequence 4. As shown in Fig. 2, the
bevel gear A is the driver. The secondary main shaft rotates in
either clockwise or anticlockwise direction depending on which
of the two gears B or C is engaged by the clutch. B and C rotate
freely on the secondary main shaft. The clutch consists of a toothed
collar and has a splined profile to engage with the output shaft. The
gearbox further forms a secondary right angle transmission which
transfers motion from the eccentrically aligned HAWT primary
main shaft to the secondary main shaft. When actuated, this gear-
483
box ensures that the two parallel horizontal shafts engaged with
the CVT complement the rotation of the VAWT central shaft.
The integration of the aforementioned components embodies a
new system that transmits optimal torque of horizontal and verti-
cal axes rotors to their electricity generating components.
Other support fixtures, fluid couplings and bearings [33]
installed will mitigate problems caused by the fatigue loading
and vibration in the tower. Arguably, to increase the rated wind-
speed of the HAWT rotor, a generator with a higher power rating
could be installed, and thereby avoid the entire CVT/VAWT
arrangement. However, it may only accommodate an increased
aerodynamic torque which cannot far exceed the rated loading of
the original drivetrain. The point of the design is to make the inte-
grated components modular. While the idea of using a single gen-
erator in the nacelle to couple both turbines may be considered, it
isn’t preferable for two reasons:

It is expensive to redesign or install a generator which was orig-
inally electrically rated to match the original HAWT drivetrain’s
capabilities

Directly engaging an extended central shaft to the HAWT gener-
ator and without variable speed transmission may be mechan-
ically and materially infeasible when scaled up. Further, during
downtime or component service, operations of both turbines
would be halted.
484 B. Govind / Applied Energy 199 (2017) 479–494
3. Generic drivetrain coupling sequence and prediction of
additional power derived
The flow-of-control sequence leading to torque interplay
between the horizontal and vertical axes rotors is shown in
Fig. 3. The controller receives input data of wind speed at the
HAWT hub height (uH ), wind speed at the VAWT mid-plane height
(uV ), aerodynamic torque on the primary main shaft (saH ), aerody-
namic torque on VAWT central shaft (saH ), angular speed of the
secondary main shaft (xH ) and angular speed of the VAWT central
shaft (xV ).
The controller then monitors the gradient in angular speeds xH
and xV . It may optimize independent synchronous generation
from the HAWT according to the Maximum Power Point Tracking
algorithm in the wind-speed range ucH 6 uH 6 uHB at the hub
height of the HAWT, where ucH is the HAWT cut-in speed and uHB
is the original rated wind-speed of the HAWT. It may further follow
a similar tracking procedure or Hill Climb Search algorithm for the
VAWT, i.e. in the range ucV 6 uV 6 uVB at the mid-plane height of
the VAWT.
Release HAWT and VAWT
subsystems’ mechanical brakes
Check if starting torque( ) on HAWT is sufficient
Yes No
Vary HAWT blade pitch angle/
yaw angle/ supply auxiliary power
Monitor gradient of rise in secondary main shaft’s
rpm by varying HAWT control torque
Check if secondary main shaft
Yes No
Check if rotational sense of both rotors would be
complementary during engagement with CVT.
Yes No
Actuate Shaft Rotation Reversal Mechanism
Engage (or continue engagement of) HAWT secondary
main shaft and VAWT central shaft by CVT
Vary VAWT generator’s to keep integrated
HAWT’s under original rated
Continue HAWT’s independent operation
Fig. 3. Mode of operation leading to the coupling of HAWT and VAWT drivetrains. It culminates torque transfer from the horizontal rotor to the vertical rotor’s drivetrain
when uH exceeds uHB .
At every instant, the collective aerodynamic torque exerted on
the HAWT rotor hub and blades is saH ¼ 12 q  pR3  C q ðb; kÞ  uH ðtÞ2 .
xH R
Here, Tip Speed Ratio (T.S.R), k, equals uH
and the torque coeffi-
Simultaneously, a control torque, scH is exerted
Cp
cient, C q , equals k
.
by the HAWT generator and is responsible for the horizontal axis
rotor’s synchronous speed regulation. This control torque cannot
exceed a maximum value scHB which may be pre-determined by
the DFIG/PM generator characteristics.
The most typical scenario of hybrid operation may arise as fol-
lows. If by site-specific design, the VAWT central shaft reaches its
rated angular speed xVB before the HAWT reaches its rated rpm
of xHB , xV would be maintained constant at xVB even before cou-
pling the two drivetrains. Also, at the culmination of the mode of
operation corresponding to ucH 6 uH 6 uHB , the HAWT’s angular
speed would approach xHB and would need to be maintained con-
stant by a combination of torque transfer and optimal pitch con-
trol. This implies that after coupling the two rotors, the
controller would monitor the gradient of the rise in their rpm
and by suitable actuation, vary the lift forces on the turbines’
blades by the pitch mechanism of either turbine to keep xH under
Check if starting torque ( )on VAWT is sufficient
No Yes
Vary VAWT blade pitch angle/
supply auxiliary power
Monitor gradient of rise in central shaft’s rpm by
varying VAWT control torque
Check if wind Yes
speed
equals or exceeds No
Disengage/ (continue disengagement of) HAWT
main shaft and VAWT central shaft from CVT
Continue VAWT’s independent operation
 B. Govind / Applied Energy 199 (2017) 479–494 485

xHB . Effectively, even though the wind-speed exceeds that corre- Table 1
sponding to the HAWT’s rated angular speed, it continues to draw Vital characteristics of SAWT Inc. PK-10 AB 10 kW (nominal rating) VAWT.

a larger magnitude of power due to the transfer of a fraction of tor-
que which exceeds that of its independent rated operation.
DP HAWT , the incremental power extracted, is a product of incre-
mental torque DsH and the constant rated angular speed xHB . To
implement this, the CVT must be brought into action to couple
the HAWT’s main shaft and the central shaft of the VAWT genera-
tor at its desired constant speed of xVB . The additional power is
optimized by varying VAWT control torque and keeping constant
the angular velocity of both the HAWT main shaft and VAWT cen-
tral shaft after their integration, while maintaining an optimal T.S.
xV
R. Ideally, CVT ratio r would be given by x .
H The two subsystems’ independent power curves are shown in
The mode of hybrid operation is effective in the range
uHB 6 uH 6 uFH , where uFH is the furling speed. Importantly, during
this mode, effective torque on the HAWT during operation of the
CVT equals saH  scHB .
The excess torque can be expressed as
1 1
DsH ¼ q  pR3  C qH ðb; kÞ  uH ðtÞ2  q  pR3  C qHB ðb; kÞ  uHB ðtÞ2
2 2
C qH would be maintained constant at C qHB in this regime. If the
transmission efficiency of the CVT and right angle transmission is
say, gtr ; the equivalent torque transmitted to the VAWT generator is
 
1 1
DscVH ¼ q  pR3  C qH ðb; kÞ  uH ðtÞ2  q  pR3  C qH ðb; kÞ  uHB ðtÞ2
2 2
Consequently, the increment in mechanical power derived is
equal to DscVH  xVBH . This is manifested as electromechanical con-
version at the VAWT’s generator, subject to constraints of effi-
ciency of transmission such as influence of slip and friction in
the CVT variator. gtr should normally vary in the range of 70–
90%, depending on xH [37].
If uH subsides to a value less than uHB , the decoupling of the
main HAWT shaft and the VAWT central shaft will follow. How-
ever, if uH exceeds the furling speed uFH of the integrated system,
the HAWT’s further operation is stopped due to mechanical and
electrical limitations. Feathering mechanisms and mechanical
brakes would then be used for both rotors when uH P uHF and
uV P uVF .
Rated Power/Maximum Power 10 kW/12 kW
Rated Wind Speed, uHB 12 m/s
Cut-in Wind Speed, ucV /Cut-out Wind 2 m/s/25 m/s
Speed, uFV
H-rotor diameter 6m
Blade height 6.2 m
Generator Type/Rated Voltage Permanent Magnet-3 Phase/AC
250 V
Speed Control Automatic Pitch Control and
Hydraulic Brake
Fig. 5. The independently operating HAWT’s uHB equals 12.5 m/s
and the independently operating VAWT’s uVB equals 12 m/s. When
uH exceeds uHB , torque transfer comes into effect. Fig. 5 further
shows the consequent increase in mechanical power drawn from
the integrated axes wind turbine. It far exceeds the combined indi-
vidual capacity of both turbines. Predictions are also shown for
increments of 1 m/s, 2 m/s and 3 m/s in uHB of the Phase VI rotor.
ð1Þ The torque transfer to the VAWT generator in this range of uHB is
immediately apparent. These predictions show that even if rotary
motion is inefficiently transmitted by the CVT and the intermedi-
ate right angle transmission and HAWT’s rotation is maintained
at a C qHB of only 0.524, or a C pH of 0.1, the integrated system would
harness an additional 2.93 kW of mechanical power at the VAWT
gtr
 generator with an increase of only 1 m/s in uHB . This is in addition
r
to the independent 10–12 kW mechanical power output of the
ð2Þ
VAWT. Further, this can be implemented without feathering or
sub-optimally varying the HAWT’s blades’ pitch. This formulation
will be used to draw parallels with the forthcoming aerodynamic
feasibility discussion.
To better estimate the performance of the integrated system at
potential installation sites, wind profile data was collected from
two onshore weather stations in the state of North Carolina. This
data is archived by the State Climate Office of North Carolina at
North Carolina State University. The data was collected for Hat-
teras, Dare County and Grandfather Mountain, Avery County and
was sampled at an hourly rate for a 90-h cycle. By estimating the
mechanical power available at the hub height of the HAWT
8

4. An illustrative power curve prediction r = 0.5

Additional Torque at VAWT Generator (in kN-m)

As outlined in the preceding section, in its simplest mode of

6
operation, the VAWT is designed to independently reach its rated r = 0.625
mechanical power output before the HAWT reaches its indepen-
5
dent rated mechanical power output. One preferred combination r = 0.75
of a prototype setup entails integration of the two-bladed NREL
4 r = 0.875
Phase VI S809 HAWT rotor [38–40] and SAWT Inc.’s PK-10 AB
r = 1.0
VAWT [41,42]. The former has a blade length of 4.8 m and its r = 1.125
rotor’s design will be discussed further in the forthcoming section 3 r = 1.25
r = 1.375
of turbulence modelling of the hybrid turbine. The VAWT is a small r = 1.5
manufacturer’s commercially available 10 kW H-rotor and is of 2
comparable scale as the HAWT. Its details are listed in Table 1. Fur-
ther, this VAWT’s capabilities are similar to those used in the forth- 1
coming discussion on aerodynamic feasibility.
Using Eq. (2) of the preceding formulation, the maximum excess 0
torque exerted at the VAWT generator can be estimated. This var- 14 14.5 15 15.5 16 16.5 17 17.5 18
ies with CVT ratio. Assuming ideal transmission, this increment in Wind Speed u (in m/s)
sH is shown in Fig. 4. Importantly, this predicts the degree of over-
Fig. 4. Maximum additional design torque, assuming ideal transmission, exerted at
sizing of the VAWT generator. This prediction is site-specific with a the VAWT generator. This varies with CVT ratio r during the coupled operation of
target of utilizing torque transfer at wind speeds exceeding the the NREL S809 rotor HAWT and SAWT Inc. PK-10 VAWT turbines and comes into
Phase VI rotor’s rated wind speed. effect when uH exceeds uHB .
486 B. Govind / Applied Energy 199 (2017) 479–494

40 This far exceeds the Phase VI rotor’s performance even when the
hybrid system is operated at a suboptimal C pH of 0.1. While this
35
IAWT, u =17.3 m/s
optimistic estimate assumes ideal transmission, future research
HB
into a robust control algorithm will better determine gtr derived
IAWT, u =16.3 m/s
30 HB from a friction model [43] of the CVT and intermediate right-
IAWT, u =15.3 m/s angled transmission elements.
HB
25
Power (in kW)

5. A note on practical installation

20

Here, an initial assessment of additional capital costs for com-

15
NREL S809 HAWT ponents in the 20 kW HAWT – 10 kW VAWT integrated axis wind
SAWT Inc. PK-10 VAWT
turbine prototype system is provided (Table 2), roughly in accor-
10
dance with current market value.
Realization of a small-scale system is made easier by increased
5
expenditure on individual components to ensure a robust design.
This may be further aided by aeroelastic analyses done by compu-
0
0 5 10 15 20 tational researchers for tower loading such as that for the NREL
Phase VI rotor’s tower [44,45] and structural loading of a standard
Wind Speed, u (in m/s)
VAWT [46]. The tower design will be more challenging for scaled
Fig. 5. Power curves showing mechanical power vs wind speed for (a) the versions and models could be extended to predict dynamic
independent operation of the NREL Phase VI rotor rotating at an enforced xH of response of tower modes for a multi-megawatt scale integrated
72 rpm and C pH 0.1 (b) independent operation of the SAWT Inc. PK-10 VAWT axes wind turbine system. The increased breadth of the design
subsystem and (c) combined power output from the integrated system for modes of relating to power electronics and spacing of cables and ladders
operation uH 6 uHB and uH P uHB , assuming ideal transmission for three plausible
increments in uHB .
inside a scaled tower lends to a future discussion.

6. Aerodynamic feasibility
(19 m) and the mid-blade height of the VAWT (5.2 m), the suitabil-
ity of both sites can be gauged. The hourly wind profiles for the It is critical to investigate the effect of turbulence caused by one
sites are shown in Figs. 6a and 7a. turbine on the flow field of the other. Here, a computational fluid
The mechanical power drawn by the VAWT subsystem dynamics approach is used. The simulation justifies a minimum
approaches its independent rated performance at several instances clearance between the rotors for pre-stall conditions.
during the cycle. The leading distinction is the predicted mechan-
ical power output of the Phase VI rotor subsystem at the two loca- 6.1. Validation of the CFD model
tions. As shown in Fig. 6b, at Hatteras, Dare County, the original uHB
is not encountered. The net output is, therefore, a simple sum of First, the accuracy of the commercial solver Fluent 16 is vali-
power of the two independently operating subsystems. However, dated. The NREL Unsteady Aerodynamic Experiment (UAE) Phase
the combined operation has decisive effect when uH exceeds uHB VI provides a standard test case for 3D CFD HAWT rotor analysis.
at the Grandfather Mountain site, Avery County where a wind Experimental results are documented by the National Renewable
speed uH up to 22.3 m/s is recorded. As shown in Fig. 7b, this fur- Energy Laboratory. The test case was studied exhaustively by com-
nishes an opportunity to design the integrated system for three putational researchers [47–49] to validate their software and
increments in uHB . Assuming ideal transmission when the drive- improve prediction of aerodynamic performance.
train is coupled, for a new uHB of 15.3 m/s, the system yields The rotor geometry makes use of the NREL S809 airfoil, the
28.8 kW while for a heightened uHB of 17.3, it may yield 33.2 kW. geometry of which is modelled in GAMBIT. To implement a rotat-

25
Latitude: 35.23 o u V at VAWT mid-plane height of 5.2 m
o
Longitude: -75.62 u H at HAWT hub height of 19 m
Elevation: 17 ft. above sea level
20
Wind Speed (in m/s)

15

10

0
0 10 20 30 40 50 60 70 80 90

12 a.m: 29th March, 2017 Time of record (in hours) 6 p.m: 1st March, 2017

Fig. 6a. Hourly wind speed profile recorded at Hatteras Weather Service Office, Dare County, NC.
 B. Govind / Applied Energy 199 (2017) 479–494 487

35

IAWT uHB=15.3 m/s

30
NREL Phase VI rotor
SAWT Inc. PK-10 VAWT

Mechanical Power (in kW)

25

20

15

10

0
0 10 20 30 40 50 60 70 80 90
12 a.m: 29th March, 2017 Time of record (in hours) 6 p.m: 1st March, 2017

Fig. 6b. Time-transient prediction of mechanical power from independent HAWT and VAWT subsystems and the integrated axes wind turbine (IAWT) for a1 m/s increment
in uHB .

30

Latitude: 36.10833 o u H at HAWT hub height of 19 m

o
Longitude:-81.8325 u V at VAWT mid-plane height of 5.2 m
25 Elevation: 5280 feet above sea level

20
Wind Speed (in m/s)

15

10

0
0 10 20 30 40 50 60 70 80 90
12 a.m: 29th March, 2017 6 p.m: 1st March, 2017
Time of record (in hours)

Fig. 7a. Hourly wind speed profile recorded at Grandfather Mountain (Experiment), Avery County, NC.

45
IAWT uHB =15.3 m/s
40 IAWT uHB =16.3 m/s
IAWT uHB =17.3 m/s
NREL Phase VI rotor
35
SAWT Inc. PK-10 VAWT
Mechanical Power (in kW)

30

25

20

15

10

0
0 10 20 30 40 50 60 70 80 90
12 a.m: 29th March, 2017 Time of record (in hours) 6 p.m: 1st March, 2017

Fig. 7b. Time-transient prediction of mechanical power from independent HAWT and VAWT subsystems and the integrated axes wind turbine (IAWT) for three 1 m/s
increments in uHB .
488 B. Govind / Applied Energy 199 (2017) 479–494
Table 2
Estimated additional component costs for integrating a 10 kW VAWT on the common
tower of a 20 kW HAWT (in k$).
10 kW VAWT Permanent Magnet generator and blade kit
On-grid 3 phase inverter and control unit
19-meter Mono-pole kit (Support tower) (1700 kg)
Push-belt Continuously Variable Transmission/Infinitely Variable
Transmission
HAWT right-angle transmission and shaft rotation reversal gearboxes
VAWT shell motion transfer gear train
Plurality of linear hydraulic actuators and housing unit for VAWT pitch
mechanism
Miscellaneous support members, bearings and cables
ing mesh methodology, sliding interfaces are defined between an
inner rotating volume (containing the rotor) and a stationary outer
volume representing the remaining fluid domain. The influence of
the hub, nacelle and tower on the rotor aerodynamics is negligible,
which is a fair approximation for an upwind turbine. The rotor
radius is 5.029 m and the blades are assumed to be rigid. The the-
oretical definition of the S809 profile indicates that it has a very
sharp trailing edge. Fig. 8a shows the development of the blade
by the specified chord lengths, taper angles and twist angles.
In this upwind configuration, the input wind speed is a constant
7 m/s with the nacelle oriented at a yaw angle of zero degrees. The
rotor rotates at an angular speed of 72 rpm. Blade surfaces are
defined as no-slip walls. Fig. 8b shows different boundaries and
contrast in mesh resolution in the computational domain. The
mesh is refined in the inner cylindrical region for better resolution
near the rotor. Air density and viscosity are 1.225 kg/m3 and
1:78  105 kg/(m s) respectively. The mesh consists of 2,883,965
tetrahedral elements.
The computations employ compressible Reynolds Averaged
Navier-Stokes (RANS) equations, using the k  x (SST) model
which is recommended for small-scale turbine systems [30,31].
The tip pitch angle is set to 3°. Unsteady inflow is neglected, con-
sidering that the experimental data set was derived from repeated
measurements. A time step of 0.01 s is chosen for simulation. The
parameter considered for validation is the pressure coefficient at
varying span-lengths, given by
P  P1
cp ¼
1
2
q½v 21 þ ðxRÞ2 
P  P1 is the gauge pressure of the point under consideration on the
surface of the blade, v 1 is free stream velocity and R is the radial
distance from the hub.
Fig. 8a. Development of NREL S809 airfoil by successively tapered and twisted
profiles.
11.0
9.5
8.6
0.8
0.6
0.6
1.2
1.0
Fig. 8b. Computational domain and relative mesh resolution for validation of NREL
S809 rotor’s aerodynamic performance.
Fig. 9 shows parity of CFD predictions with experimental results
[47,50] after 2 revolutions. A maximum variance of 9% is observed.
Therefore, this modelling is reliable and can be extended to reliably
predict the aerodynamic performance of the integrated axes
system.
6.2. CFD simulation of the integrated axes wind turbines’ operation
6.2.1. Modelling the hybrid system of the HAWT and VAWT
The horizontal axis rotor chosen is the same 2-bladed NREL
S809 rotor used in the solver’s validation. The HAWT’s nacelle is
of 0.7 m  0.7 m in cross section and 1 m in length.
The selection of a vertical axis rotor for an integrated system is
specific design and depends on the predicted wind speed (and con-
sequently, T.S.R). In this model, the rotor, concentric to the tower of
the HAWT, has straight blades which are 4.8 m in height. Its blades
have a uniform NACA 0021 profile with a chord length of 0.7 m. Its
struts, six in number, are simplistically modelled and connect the
air-foils to the rotating shell integral to the lower portion of the
tower. Choosing an aspect ratio (diameter/height) of 2 yields a
rotor radius of 4.8 m.
The clearance lies between the tip of the lower blade of the
S809 rotor at initial 6 o’ clock position, and the plane comprising
the higher end surface of the NACA 0021 profiled blade of the ver-
tical axis rotor. Again, the rotor zones are embedded in moving
ð3Þ
mesh regions and a stationary zone represents the remainder of
the control volume.
The computational domain is represented in Fig. 10a. A size
function associated with the rotor’s solid surfaces effects a progres-
sively increasing cell size. Fig. 10b shows the relative mesh
resolution.
A summary of boundary conditions may be found in Table 3. As
a neutral atmosphere is assumed, the Boussinesq approximation is
not employed to account for buoyancy effects caused by thermal
variation. For all cases, the unsteady, time-transient simulation
was performed with a time step of 0.01 s.
A preliminary choice is made between two turbulence models.
Case 1 (a) utilizes the k-x (Shear Stress Transport) equations while
Case 1 (b) utilizes the k-e (Realizable) equations. Conditions entail-
ing equal angular speeds for rotors of comparable moments of
inertia and altitude-invariant wind profile of 7 m/s may be less
realistic [51]. However, a higher angular speed of 72 rpm for both
rotors and a lessened clearance of 4 m produce greater turbulence
in the rotors’ clearance and this helps determine the degree of
intermixing of streamlines of induced velocity in the near wake
region and further interaction downstream.
Upon establishing a convergent model, performance is analysed
at two expected operating points. In effect, the same VAWT geom-
etry is used but different angular speeds/power output are consid-
 B. Govind / Applied Energy 199 (2017) 479–494 489

-6 -6
63.3 % Span Length Solver (Fluent 16) 80 % Span Length Solver (Fluent 16)
-5 NREL Experimental Data NREL Experimental data
-5

-4 -4

Coefficient of Pressure
Coefficient of Pressure

-3 -3

-2 -2

-1 -1

0 0

1 1

2 2
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
X/C X/C

Fig. 9. Comparison of chord-wise (x-position/chord-length) pressure coefficients at 2 stations along the span (63.3% and 80%). Shown here is the comparison between cp
obtained numerically using Fluent 16 and that measured by NREL experimental results at after 2 revolutions of the Phase VI rotor.

Fig. 10a. Computational Domain for Cases 1 and 2.

Fig. 10b. Relative grid resolution in the computational domain.

ered. In Case 2 (a), the VAWT rotates at 45 rpm (CVT ratio
r ¼ 0:625) and in Case 2 (b), a VAWT rotates at a lower speed of
36 rpm (CVT ratio r ¼ 0:5). The HAWT has an increase of 2.4 m in
hub height, while its speed is a steady 72 rpm. The free stream
wind speed is increased to 9 m/s. As the choice of a vertical axis
rotor is dependent on site location and requirement to integrate
with a micro-scale grid, an independent power rating range of 5–
10 kW for the vertical rotor is targeted.
6.3. Results and discussion of turbulence modelling of the integrated
axes wind turbine
A neat convergence at each time-step is achieved after approx-
imately 25 iterations. A qualitative analysis of the simulation of the
rotors’ combined operation in the flow field now follows.
The parameter used for visualization of effects of vorticity is
Turbulence kinetic energy (TKE). TKE is the mean kinetic energy
490 B. Govind / Applied Energy 199 (2017) 479–494
Table 3
Summary of Cases 1 and 2.
Case 1 (a)
Turbulent Model used k  x (Shear Stress Transport)
Boundary Conditions
v 1 = 7 m/s

Rotor clearance of 4 m

xH ; xV = 72 rpm
Domain Size (x, y and z dimension)
Mesh strength 2,583,400 polyhedral cells (varying resolution)
per unit mass associated with eddies in turbulent flow and is char-
acterised by measured root-mean-square (RMS) velocity fluctua-
tions. TKE can be produced by fluid shear, friction or buoyancy,
or through external forcing at low-frequency Eddie scales [51]. This
energy is transferred down the turbulence energy cascade, and is
dissipated by viscous forces at the Kolmogorov scale.
In the integrated axes wind turbine model, TKE is measured in
relation to the centre-lines of three subsystems extending through
the length (x-positions) of the computational domain and which lie
in the x-y plane:
(1) The HAWT subsystem whose equatorial centre-line passes
through the origin of the domain and coincidentally, the
centre of the nacelle.
(2) The rotor clearance, the equatorial line of which passes
though the tower at a point 7 m below the nacelle for Cases
1 (a) and (b) and 8.2 m below the nacelle for Cases 2 (a) and
(b).
(3) The VAWT subsystem whose equatorial centre-line passes
through a point 11.4 m below the nacelle, for Cases 1 (a)
and (b) and 13.8 m below the nacelle for Cases 2 (a) and (b).
Fig. 11 shows the variation of Turbulent Kinetic Energy along
these centre-lines for two instances of flow time for Cases 1 (a)
and (b). The simulation also helps visualize if the streamlines indi-
cate a mutual interaction in the near and far wake regions of the
hybrid system. The wake development is shown by means of veloc-
ity contours plotted on iso-surfaces spaced at consecutive dis-
tances of 1 m in the computational domain.
An initial interaction of the two near wakes is manifested as an
intermixing and circulation of velocity vectors. This circulation is a
temporary phenomenon which is transported downstream and
diminishes with progressing time. The near wake behaves akin a
body of revolution reducing the effect of the free stream which
diverges around it and converges again. The tower shadow effect
does not bear significant aerodynamic influence. As Fig. 11 shows,
both k  x (SST) and k  e (Realizable) models predict similar
trends in far wake regions. The k  e (Realizable) model, however,
has stability issues due to numerical stiffness when flow is sepa-
rated. The k  e model performs poorly for the complex flow
involving steep pressure gradient and change in streamline curva-
ture near the tower. On the other hand, the k  x equation (SST)
model more accurately predicts vorticity at small magnitudes
and time scales and proves convenient near blade surfaces. It is,
therefore, selected for pre-stall conditions in Cases 2 (a) and (b).
The development of downstream-wake region shows that as
time progresses, there is lessened effect by either turbine on the
mean wind speed in the intermediate clearance (IAWT centre-
line). The only major variance in vorticity and TKE is only encoun-
tered at the position of the tower which presents an obstacle (x-
position equals zero). The TKE is found to have significantly
reduced after 10 revolutions of both turbines. Visibly, after a
quasi-steady flow regime is reached, the circulation caused by
Case 1 (b) Case 2 (a) Case 2 (b)
k  e (Realizable) k  x (Shear Stress Transport)

v 1 = 9 m/s

Rotor clearance of 6.4 m

xH = 72 rpm
xH = 72 rpm

xV = 45 rpm
xV = 36 rpm
117 m  49 m  80 m
2,640,669 polyhedral cells (varying
resolution)
either rotor does not appreciably affect the other’s operation for
a free stream speed of 7 m/s.
In Cases 2 (a) and (b) which use the preferred k  x (SST)
model, an expanded wake is formed behind both rotors in their
region of induced velocity. Again, the initial low-pressure circula-
tion is not sustained and is carried downstream. Fig. 12 indicates
that after 15 s of flow time, a quasi-steady flow regime is estab-
lished, albeit weak intermixing in the far wake region. With an
increased wind speed of 9 m/s, an increase in 2.4 m in clearance
permits the HAWT rotor to operate under little influence of the
VAWT rotor and this may be considered a safe configuration.
6.4. Mechanical power estimation and effects of VAWT torque ripple
on the combined operation
Having established the hybrid system’s aerodynamic feasibility,
a straightforward prediction of instantaneous mechanical power
from each rotor can now be made. A product of the aerodynamic
torque on each turbine about their relevant axes, as reported by
the validated solver, and their respective angular speeds, i.e.
7.53 rad/s for the S809 rotor and 4.71 rad/s (Case 2 (a)) and
3.76 rad/s (Case 2 (b)) for the NACA 0021 rotor, is taken. This out-
put, relative to flow time is shown in Fig. 13(a) and (b).
Interestingly, when a quasi-steady flow regime is achieved, the
time-response of mechanical power cases reveal that HAWT’s per-
formance is relatively unaffected by the VAWT’s rotation when
given a rotor clearance of 6.4 m. This is evident from Fig. 13
(a) and (b). Further, its independent output in the neighbourhood
of 11 kW correlates reasonably with experimental and predicted
power curves [40] of the Unsteady Aerodynamics Experiment
Phase VI.
The violent variation in axial moment exerted on the VAWT
typical of this H-rotor type design will also cause its characteristic
torque ripple effect [52] on its generator during its practical real-
ization. This is the natural outcome of integrating torque produced
by aerodynamic loads due to its rotating blades’ interaction with
steady wind.
Case 2 (b) is instructive as it shows that enforcing xV at
36 rpm is hardly profitable (see Fig. 13(b)). It effects an averaged
drop of 8 kW (40 percent drop in efficiency) in net output of the
integrated system’s output from that obtained at xV of 45 rpm in
Case 2 (a) (see Fig. 13(a)). The compensated torque per cycle
shows that energy is not harvested for a portion of its rotation
and for a small period, the VAWT behaves akin a propeller that
adds energy to the free stream. Also, after12 s of flow time, net
saV drops sharply to produce a near –zero (a mean of
0.13 kN m) positive moment.
7. Conclusions and scope of future work
The design of an integrated axes wind turbine has been pro-
posed and discussed. Its novel drivetrain involves the coupling of
a horizontal axis wind turbine and a vertical axis wind turbine at
 B. Govind / Applied Energy 199 (2017) 479–494 491

0.6
0.6
HAWT center -line
IAWT center-line HAWT center -line
0.5 VAWT center-line IAWT center-line
0.5 VAWT center-line

0.4
0.4
T.K.E (m /s )

T.K.E (m2/s2)
2 2

0.3
0.3

0.2 0.2

0.1 0.1

0 0
-40 -20 0 20 40 60 -40 -20 0 20 40 60

X-Position (m) X-Position (m)

Case 1 (a): Time of flow = 6 seconds (7.2 revolutions) Case 1 (a): Time of flow = 10 seconds (12 revolutions)

2
HAWT center -line HAWT center -line
2 IAWT center-line
1.8
IAWT center-line
VAWT center-line VAWT center-line
1.6

1.4
1.5
T.K.E (m 2/s 2)

T.K.E (m 2/s 2)

1.2

1
1
0.8

0.6
0.5
0.4

0.2

0 0
-40 -20 0 20 40 60 -40 -20 0 20 40 60
X-Position (m) X-Position (m)
Case 1 (b): Time of flow = 6 seconds (7.2 revolutions) Case 1 (b): Time of flow = 10 seconds (12 revolutions)

Fig. 11. Time-transient wake development for a rotor clearance of 4 m (v 1 = 7 m/s) at instances of 6 s and 10 s of flow time. Above: Velocity contours plotted on iso-surfaces
separated by 1 m in the computational domain. Below: Turbulent Kinetic Energy comparison along centre-lines through the length of the control volume (x-position) for
k  x (SST) model (Case 1 (a)) and k  e (Realizable) model (Case 1 (b)). The latter has stability issues.

high wind speeds. This facility enhances the existing capability of a
prototype scale HAWT while simultaneously producing power
from a tower-mounted VAWT. Further, it provides a source of
high-density wind energy conversion. A generic mode of operation
to facilitate the torque transfer from the horizontal-axis rotor to
the drivetrain of the vertical–axis rotor has also been presented.
To investigate its mechanical power capabilities, two potential
wind sites were selected and the output for plausible increments
in rated wind speed was estimated. The change in the hybrid
power curve reveals that the coupled system would yield power
far exceeding the individual capacity of either turbine subsystem.
Predictions for the small-scale system show, for example, a poten-
tial nominal power of up to 33.5 kW for a 3 m/s increase in rated
wind speed when the S809 rotor HAWT is sustained at even a
low power coefficient of 0.1 after it reaches independent rated
power output.
492 B. Govind / Applied Energy 199 (2017) 479–494

0.6
0.6
IAWT center-line
HAWT center -line
HAWT center-line
IAWT center-line
VAWT center-line 0.5
0.5 VAWT center-line

0.4 0.4

T.K.E (m /s )
2 2
T.K.E (m /s )
2 2

0.3 0.3

0.2 0.2

0.1 0.1

0 0
-40 -20 0 20 40 60 -40 -20 0 20 40 60
X-Position (m) X-Position (m)
Case 2 (a): Time of flow = 7.5 seconds Case 2 (a): Time of flow = 15 seconds

0.6 0.6
IAWT center-line
HAWT center-line HAWT center -line
VAWT center-line IAWT center-line
0.5 0.5 VAWT center-line

0.4 0.4
T.K.E (m /s )

T.K.E (m /s )
2 2

2 2

0.3 0.3

0.2 0.2

0.1 0.1

0 0
-40 -20 0 20 40 60 -40 -20 0 20 40 60
X-Position (m) X-Position (m)

Case 2 (b): Time of flow = 7.5 seconds Case 2 (b): Time of flow = 15 seconds

Fig. 12. Time-transient wake development for a rotor clearance of 6.4 m and v 1 = 9 m/s, using a k  x (SST) model. Above: Turbulent Kinetic Energy comparison along
centre-lines through the length of the control volume (x-position) for Case 2 (a). Below: Turbulent Kinetic Energy comparison along centre-lines through the length of the
control volume (x-position) for Case 2 (b) for two instances (7.5 s and 15 s) of flow time.

Turbulence modelling of the combined operation was used to
confirm the aerodynamically independent operation of the NREL
Phase VI rotor and a small manufacturer’s 10 kW VAWT used in
combination. Permutations of wind speed conditions and angular
speed of the two rotors assist in establishing safe configurations
with varying hub height by using Turbulent Kinetic Energy as a
parameter to find a safe rotor clearance. The model also helps
pre-determine the aerodynamic torque on both rotors in a quasi-
steady regime. The k  x (SST) model proved more stable for
pre-stall conditions. It allays concerns of possible mutual influence
of either rotors’ rotation on the other’s torque production. In prac-
tice, it would behove the designer to consider an accurate wind-
speed profile from the ground up while implementing the recom-
mended system. The effect of torque ripple is predominant. As sus-
pected, not all angular speed ratios are profitable. In one case, a
decrease of only 12 percent in the H-rotor VAWT’s angular speed
causes an overall decrease of 8 kW of the integrated system during
the two rotors’ normal, aerodynamically independent operation.
With the current design, it is indicated that the independent oper-
ation of both rotors is relatively unaffected by their superimposi-
tion on the same tower. This provides a guideline for designing
the rotating shell’s pitch mechanism to maintain its angular speed
above predetermined thresholds.
Future work would include examining the cyclical variation in
vertical axis rotor’s speed to determine the sensitivity of a suit-
able controller. If used in a scaled version, strength of the
mechanical linkage to the generator depends on such harmonic
aerodynamic torque fluctuations. Here, the smoothening of tran-
sient response caused by torque ripple by the VAWT is necessary
for synchronous power generation from the rotors and their on-
grid integration. Further, a complete friction model will be for-
mulated to accurately determine the losses in transmission in
the coupled drivetrain and CVT. A practical fabrication of the pro-
totype scale integrated system will be undertaken shortly. This
will determine, by extensive testing, the suitable sliding-mode
control logic for optimal power point tracking of hybrid modes
for various Tip Speed Ratios. While simulation implies that
small-scale, standard rotors and blade profiles for a prototype
system are profitable, the concept should bear fruition in a
multi-MW setting and could re-power aging HAWTs using scaled
Darrieus VAWT designs.
Objectively, this hybrid design would greatly increase net
swept area of a conventional wind turbine and is assisted by
the two-ended torque transfer that helps increase rated wind
speed.
 B. Govind / Applied Energy 199 (2017) 479–494 493

30 Appendix B. Supplementary material

VAWT (NACA 0021) subsystem-45 rpm
HAWT (NREL S809) subsystem-72 rpm
25 Integrated axes wind turbine Supplementary data associated with this article can be found, in
the online version, at http://dx.doi.org/10.1016/j.apenergy.2017.
04.070.
20
Mechanical Power (in kW)

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