Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410

https://doi.org/10.1007/s40430-021-03122-1

TECHNICAL PAPER

Effect of bearing dissipative torques on the dynamic behavior

of H‑Darrieus wind turbines
Kelvin Alves Pinheiro1 · Sérgio de Souza Custódio Filho1 · Jerson Rogério Pinheiro Vaz1 ·
Alexandre Luiz Amarante Mesquita1

Received: 19 February 2020 / Accepted: 26 July 2021 / Published online: 7 August 2021
© The Brazilian Society of Mechanical Sciences and Engineering 2021

Abstract
In recent years, the study on wind turbines for electricity generation has achieved significant advances in the development of
new formulations, analysis or even in efficiency. The growth in the use of wind technologies comes from two main facts: (i)
utilization of renewable energy sources, and (ii) as an alternative solution to the existing global potential. Hence, vertical-
axis wind turbines (VAWTs) present, among other advantages, the possibility of greater efficiency at low tip speed ratios,
mainly compared to the horizontal-axis ones. Additionally, the possibility of receiving flow from any direction without the
need of tail assembly. As disadvantages, VAWTs present difficult in starting shaft rotation from the rest, being it even more
perceptible in small wind turbines, as the drivetrain resistance is relevant. In this sense, this work aims to study the effect of
bearing dissipative torques on the dynamic behavior of a H-Darrieus (straight-bladed Darrieus) wind turbine. An approach
adding bearing resistance torques is proposed considering their influence on the final rotational speed of the rotor turbine.
The proposed method is based on the Newton’s second law, with the torque generated by the turbine and the forces acting
on the bearings provided by the double-multiple streamtube model. Bearing dissipative torques are calculated using two
methodologies. A correction of those methodologies, in order to consider the Stribeck effect, is also implemented. The results
of the model are compared with data from the literature, demonstrating good physical consistency.

Keywords  Vertical-axis wind turbine · H-Darrieus · Double-multiple streamtube model · Dynamic model

1 Introduction has been largely exploited for electricity generation, either

through unit installation in isolated communities or in a large
Clean energy technology solutions to reduce environmental scale using wind farms.
impacts have been increased in the last decades. The level As stated by [11], 45.3% of the Brazilian energy matrix is
of development in research of wind energy has been shown filled with renewable sources. The wind energy occupies the
to be increasingly solid [12, 18, 22]. Also, wind energy third place (7.6%) behind only of hydraulic energy (66.6%)
and biomass (8.5%). According to the Brazilian Wind
Energy Association, this kind of energy represents about
Technical Editor: Monica Carvalho. 14.7 GW of installed capacity in the country [1].
In this scenario, energy production through small wind
* Kelvin Alves Pinheiro
kelvin.pinheiro@itec.ufpa.br turbines can significantly increase due to the harnessing of
low wind speeds in locations as the Amazon region [12].
Sérgio de Souza Custódio Filho
custodio@ufpa.br However, the use of small wind turbines in urban environ-
ments is still little explored [10], but its potential for using
Jerson Rogério Pinheiro Vaz
jerson@ufpa.br both in urban environments [21] and in isolated communities
not assisted by Brazilian utilities is promising.
Alexandre Luiz Amarante Mesquita
alexmesq@ufpa.br Low wind speeds favor the use of vertical-axis wind
turbines (VAWTs), which have high efficiency even at
1
Graduate program in Mechanical Engineering, Institute low tip speed ratios (TSRs). This is due to their construc-
of Technology, Federal University of Pará, Augusto Corrêa tive characteristics, the ability of receiving flow from
Street, 01, Belém, Pará, Brazil

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Page 2 of 14 Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410
different directions besides being easy to build and install
[6, 17, 39]. VAWTs generally feature two rotor configu-
rations, drag-based (Savonius) and lift-based (Darrieus).
The H-Darrieus rotor is a variation of the Darrieus rotor,
originally designed with curved blades (troposkien-bladed
rotors), featuring straight blades connected by arms at a
distance from the axis of rotation. This turbine type is cur-
rently the most exploited and studied in Darrieus turbine
designs due to higher efficiency and lower manufacturing
costs when compared to the original troposkien-bladed
rotors [5].
Unlike large wind turbines, in small turbines the resist-
ance of drivetrain can significantly influence the energy
production, since high resistive torques combined with low
wind speeds can impact the starting of the turbine. Such
a starting corresponds to the minimum speed necessary to
make the turbine rotate, generating electricity [27].
In the literature, several studies on the importance of
considering the effect of drivetrain resistance in turbine
design have been published. Mesquita et al. [25] applied
the blade element theory (BET) in a turbine considering
the resistive effects of each component of the powertrain, in
order to analyze the behavior of a hydrokinetic turbine. In
their work, the dissipative torque is considered as in Witte
and Palmgren models, demonstrating good behavior. Fur-
ther, Lopes et al. [24] used the same methodology for an
application in a field test in the Amazon, achieving good
results. Vaz et al. [42] analyzed the influence of the dissipa-
tive torques of bearings on a turbine drivetrain, focusing on
the transition from static to the dynamic resistive torque,
demonstrating the importance of such a torque for the esti-
mation of the starting speed of a small horizontal-axis wind
turbine. They added to the Palmgren and SKF models a new
term referring to the Stribeck effect. Their work is one of the
pioneers to explore the starting of a turbine by the vision of
the dissipative torque applying the Stribeck effect. Moreira
et al. [27] experimentally investigated resistive torques typi-
cally found in small turbines including the effect of electric
charge. Their semiempirical results are in good agreement
with the experimental ones, demonstrating that the resistive
torque models described by Vaz et al. [42] are a good choice
for application in small turbines.
However, all these works are applied to horizontal-axis
turbines, wind and hydrokinetics, as wind turbines are
similar to hydrokinetic ones in terms of physical operating
principles, electrical equipment and variable speed capac-
ity for energy extraction. For this reason, they share similar
behaviors [43]. For vertical axis turbines, to improve the
starting performance, many works focus on evaluating the
modification of geometric parameters [3, 46], installation of
accessories [32, 47], flow augmentation systems [45], hybrid
turbine projects [16, 23, 31], use of magnetic levitation [2]
and others. The work of Nguyen et al. [28] is one of the
13
few papers that in a very simplified way consider resistive
torques in the turbine’s performance.
In this context, this work focuses on presenting an
analysis of the effect of bearing dissipative torques on the
dynamic behavior of a vertical-axis wind turbines consider-
ing their influence on the final rotational speed of a H-Dar-
rieus type. To specifically check the torques of the bearings,
in this study, the turbine does not take into account the effect
of multipliers, as well as the electric load. In the present
paper, the rotor aerodynamic calculations are made using the
double-multiple streamtube theory (DMST), which is based
on the BET. The dissipative torques are calculated using the
methodologies proposed by Palmgren and SKF. A correction
of those methodologies, recently proposed by Vaz et al. [42],
including the Stribeck effect is also employed.
The rest of this paper is structured as follows. In Sect. 2
the dynamic model is presented, as well as details of DMST,
Palmgren and SKF formulations. In Sect. 3, the approach
used in this work is described. Results and discussion are
presented in Sect. 4. The conclusions of the paper are shown
in Sect. 5.
2 Dynamic model of H‑Darrieus
In this section, the dynamic model applied to H-Darrieus
turbines is shown. As stated in the introduction of this
work, several studies on the effect of drivetrain resistance
in turbine design have been done most for wind turbines.
The authors are unaware of any work on bearing resistance
applied to H-Darrieus powertrain. Thus, the main contribu-
tion of this study is the assessment of bearings resistance on
VAWT drivelines. The model is proposed in order to allow
the analysis of the effect of bearing dissipative torques on
the dynamic behavior of the turbine. It is straightforward
from Newton’s second law, which makes the possibility of
coupling two important methodologies for a quasi-steady
analysis: aerodynamic and dissipative characteristics.
The turbine system comprises a rotor with mass moment
of inertia JT connected by a shaft to the turbine drivetrain,
which has two rolling bearings whose resulting mass
moment of inertia is JS . The shaft is considered to be infi-
nitely rigid. The dynamic model is presented in Eq. 1, where
TT represents the aerodynamic torque of the turbine, TD the
dissipative torque and Jtotal the total mass moment of inertia
of the system. The blades begin to rotate at a given angular
speed 𝜔T only when TT > TD . Figure 1 illustrates the turbine
system previously described.
d𝜔T
TT − TD = Jtotal (1)
dt
Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410 Page 3 of 14  410

Fig. 2  View of the streamtube models: a Simple model. b Multiple

model. c Double-multiple model. Adapted from Touryan et al. (1987)
cited by [36]

Figure 3 presents the behavior of the velocities involved

on a blade section. In this velocity diagram, the relative
velocity ( ur ) can be calculated by Eq. 2, the trajectory angle
( 𝛽  ) by Eq. 3 and the angle of attack ( 𝛼 ) by Eq. 4, which
depends on the azimuth angle ( 𝜃 ) and radius (R) of the
turbine.
√
ur = u2 + (𝜃R) ̇ 2 + 2u(𝜃R)
̇ cos 𝜃 (2)

Fig. 1  Simplified illustration of the H-Darrieus turbine ( )

̇
𝜃Rsen𝜃
𝛽 = arctan
̇ cos 𝜃 (3)
u + 𝜃R
2.1 Double‑multiple streamtube theory
|𝜋 + 𝛽 − 𝜃 |
𝛼 = || |−𝜋
| (4)
The aerodynamic torque TT is calculated using the DMST. | 2𝜋 |
This methodology consists of applying the conservation
of mass, momentum and energy in their integral form for Once the angle of attack is known, the lift ( CL ) and drag
each streamtube (blade section). Each streamtube is con- ( CD ) coefficients can be obtained from aerodynamic data
sidered to be parallel to the flow and connects the inlet of the airfoil used for designing the VAWT blades, experi-
limits to the outlet limits of the geometric model. The mentally [7] or through numerical tools [13]. So, the lift (L)
components of the velocities perpendicular to the flow are
neglected, thus making it unidirectional flow problem [41].
It is worth noting that a real H-Darrieus turbine has several
structural elements; the main ones are rotor shaft and blade
support (strut). Here, the influence of the blade support
and rotor shaft was not considered for the calculation of
lift and drag forces. The main objective of this work is
to propose the application of a quasi-steady analysis for
VAWTs, through the dynamic model described in Eq. (1).
Therefore, three types of streamtube models are com-
monly used [14]: single, multiple and double multiple.
According to Jin et al. [20], the simple model was applied
to vertical-axis turbines by Templin [40], which consisted
of seeing the turbine as an actuator disk in a single stream-
tube. The multiple model was introduced by Wilson and
Lissaman [44] in 1974. Another version was proposed by
Strickland [38] in 1975. They implemented the simple
model, but discretizing the simple streamtube into several
tubes. The double-multiple streamtube model was pro-
posed by Paraschivoiu [30], which implemented the idea
of multiple tubes considering the turbine as two actuator
disks, one for the first half cycle and another for the sec-
ond half cycle. Figure 2 shows the different views of the
streamtube models. Fig. 3  Forces and velocities acting on the blade. Adapted from [41]

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and drag (D) forces can be calculated according to Eq. 5 and interacting with both disks, u2 is the flow velocity in the
Eq. 6, respectively, where 𝜌 is the density of the fluid and c stage interacting with the downwind actuator disk, and uw is
the chord of the aerodynamic airfoil. the flow velocity in the wake.
The thrust ( Fi,x ) can(be expressed
) through the thrust coef-
1
L= 𝜌cu2r CL (5) ficient by CF1,x = F1,x ∕ 12 𝜌A1,st U∞
2
for the first half cycle and
2 ( )
CF2,x = F2,x ∕ 2 𝜌A2,st u2e for the second half cycle. Different
1

1 stages of flow through the turbine for each swept area of each
D= 𝜌cu2r CD (6)
2 streamtube ( Ast ) is considered. Applying the conservation of
momentum, it can also express the thrust coefficient through
The force imposed on the blade by the fluid can be
Eq. 10, where 𝜆 is the induction factor for the first ( 𝜆1 = U1  )
u
expressed by the lift and drag components according ∞
and second ( 𝜆2 =  ) half of a cycle. However, for values of 𝜆
u2
to Eq. 7. To calculate the torque of each blade, Eq. 8 is ue
used, where 𝐥 = − sin 𝛽𝐢 + cos 𝛽𝐣  , 𝐝 = cos 𝛽𝐢 + sin 𝛽𝐣 and below ≈ 0.6 , Glauert proposed a modification (Eq. 11) based
𝛕 = − cos 𝜃𝐢 − sin 𝜃𝐣 . Thus, the power for a blade can be on experimental data [41].
calculated according to Eq. 9.
CFi,x = 4𝜆i (1 − 𝜆i ) (10)
𝐅 = [D cos 𝛽 − L sin 𝛽]𝐢 + [D sin 𝛽 + L cos 𝛽]𝐣 (7)

⎧ 1849∕900 − 26𝜆 ∕15 𝜆 < 43∕60

𝐓 = R𝐅 ⋅ 𝐭 = R(L𝐥 + D𝐝) ⋅ 𝛕 (8) ⎪ i i
=⎨ (11)
𝜆i ≥ 43∕60
CFi,x � �
⎪ 4𝜆i 1 − 𝜆i
2𝜋 ⎩
2𝜋 ∫0
1
P= ̇
𝜃Td𝜃 (9)
To solve the induction factor, another expression for thrust at
For the double-multiple streamtube model, which is cur- any azimuth angle is necessary. Such expression (Eq. 12) is
rently considered the most accurate model, the fluid pass obtained in a similar way as presented in Eq. 7, but using lift
through two actuator disks. The turbine domain is discretized and drag coefficients. The thrust coefficient can be rewritten
at the front, and at the rear part, with the multiple stream- according to Eq. 13, after the thrust (Eq. 7) be integrated for
tubes parallel to the flow, as shown in Fig. 4. U∞ represents each streamtube.
the undisturbed fluid velocity (freestream velocity), u1 is the ( )
1
flow velocity in the stage interacting with the upwind actua- Fi,x (𝜃) = 𝜌cu2i,r CD cos 𝛽 − CL sin 𝛽 (12)
2
tor disk, ue is the flow velocity in the equilibrium state when
2
𝜎 u1,r ( )
CF1,x = 2
CD cos 𝛽 − CL sin 𝛽 (13a)
𝜋 sin 𝜃 U∞

−𝜎 u22,r ( )
CF2,x = 2
CD cos 𝛽 − CL sin 𝛽 (13b)
𝜋 sin 𝜃 U∞ (2𝜆1 − 1)

Using Eqs. 11 and  13, 𝜆1 (𝜃) and 𝜆2 (𝜃) can be calculated.

The torque coefficient for each blade as a function of the azi-
muth angle of the first blade should be obtained using Eq. 14.
For a turbine with Nb equidistant blades, the total torque coef-
ficient using turbine parameters can be calculated by Eq. 15.

Tb (𝜃) u2r ( )
CTb (𝜃) = 1 2 R
=
U∞2
CL 𝐥 + CD 𝐝 ⋅ 𝛕 (14)
2
𝜌cU∞

( )
𝜎 ∑
Nb
i−1
CT (𝜃) = CTb 𝜃 + 2𝜋 (15)
Nb i=1 i 3

Fig. 4  Double-multiple streamtube model. Adapted from [41]

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Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410 Page 5 of 14  410

( )
Finally, the power coefficient CP = P∕ 1∕2𝜌AU∞ 3 is the sum Table 1  Values of Xs and Ys [15]
given by Cp = Cp,1 + Cp,2 , where each term is expressed by Single-row Double-row
Eqs. 16a and 16b, respectively. The term TSR is the tip speed bearing bearing
̇
ratio, and it is expressed by TSR = U𝜃R  . Bearing type Xs Ys Xs Ys
∞

CP,1 ≡ CP,upwind =
𝜋

2𝜋 �0
𝜎TSR Radial-contact groove ball 0.6 0.5 0.6 0.5
CTb d𝜃 (16a) bearing
Angular-contact groove ball
bearing
CP,2 ≡ CP,downwind =
2𝜋

2𝜋 �𝜋
𝜎TSR 𝛼 = 15◦ 0.5 0.47 1 0.94
CTb d𝜃 (16b)
𝛼 = 20◦ 0.5 0.42 1 0.84
𝛼 = 25◦ 0.5 0.38 1 0.76
𝛼 = 30◦ 0.5 0.33 1 0.66
2.2 Dissipative torques 𝛼 = 35◦ 0.5 0.29 1 0.58
𝛼 = 40◦ 0.5 0.26 1 0.52
The rotor turbine is the basic component capable of producing
Self-aligning ball bearing 0.5 0.22 cot 𝛼 1 0.44 cot 𝛼
positive torque. Typically, the resistive torque is very small,
making it ignored most of the time. But, for small wind tur-
bines, due to the difficulty of starting at low speeds, resistive
torque must be considered [42]. Table 2  Values of z and y [15]
In order to estimate the loss by dissipation in the bearings, Ball bearing type Nominal z y
some approaches have been implemented, including the model contact angle
proposed by Palmgren, by the SKF bearing manufacturer, ( 𝛼)(◦)
and most recently proposed by Vaz et al. [42], which modify Radial deep-groove 0 0.0004–0.0006 a 0.55
Palmgren and SKF models considering the Stribeck effect. Angular-contact 30–40 0.001 0.33
Thrust 90 0.0008 0.33
2.2.1 Palmgren’s model Double-row, self-aligning 10 0.0003 0.40

According to Palmgren (1959), as referenced in [25] and [42], a

the dissipative torque TD can be separated into two compo-
nents, a load-dependent component ( TL ) and load-independent
component ( TV  ), as presented in Eq. 17 where subscript “P”
refers to the Palmgren model.
The TL e TV components are given by empirical expressions.
The component dependent on the load TL is given by Eq. 18.
The term dm represents the bearing pitch diameter (mm), fL is a
factor that depends on the design and relative load on the bear-
ing, given by Eq. 19. CS is the static load rating, while FS is the
static equivalent load that is expressed as FS = XS Fr + YS Fa
with Fr and Fa being the radial and axial forces acting on the
bearing, respectively. In this case, the axial force is the weight
of the turbine, while the radial force is generated by the thrust
on the rotor, which is provided by the double-multiple stream-
tube model. XS and YS are parameters found in Table 1, while
z and y are parameters listed in Table 2.
TD,P = TL + TV
Lower values pertain to light series bearing: higher values to heavy
series bearing
The term F𝛽 depends on the magnitude and direction of
the applied load. For radial bearings, F𝛽 is given by Eq. 20.
When the bearing is deep-groove ball bearings with 𝛼 = 0◦ ,
F𝛽 = 3Fa − 0.1Fr . For thrust bearings, F𝛽 = Fa.
( )
F𝛽 = max 0.9Fa cot 𝛼 − 0.1Fr , Fr (20)
For the bearing viscous friction torque TV  , Eq. 21 represents
the empirical relationship that Palmgren established for TV  .
The term v0 is the lubricant kinematic viscosity given in
centistokes, and n the rotational speed in revolutions per
minute. f0 is a factor that depends on the type of bearing and
the lubrication method. Table 3 present different types of
bearings subject to different lubrication conditions. Further
(17) details on the Palmgren methodology can be found in [15].

10 f0 (v0 n)2∕3 dm3 , v0 n ≥ 2000

{ −7
TL = fL F𝛽 dm (18) TV = (21)
160 × 10−7 f0 dm3 , v0 n < 2000
( )y
FS
fL = z (19)
CS

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Table 3  Values of f0 vs. ball bearing type and lubrification method ( )

R F 0.54
[15] Grr = R1 dm1.96 Fr + 2 a (26)
sen𝛼F
Ball bearing type Grease Oil mist Oil bath Oil bath (verti-
cal shaft) or
oil jet 𝛼F = 24.6(Fa ∕Cs )0.24 (27)
Deep-groove ball a
0.7–2 b 1 2 4 The sliding frictional torque Tsl is given by Eq. 28, where Gsl
Self-aligning ball c 1.5–2 b 0.7–1 b 1.5–2 b 3–4 b for a deep-groove ball bearings (with Fa > 0 ) is expressed
Thrust ball 5.5 0.8 1.5 3 by Eq. 29, in which S1 and S2 are constants depends on the
Angular-contact ball a 2 1.7 3.3 6.6 geometry. According to [42], at low wind speeds, the lubri-
a
Use 2 ⋅ f0 for paired bearing or double-row bearing. b Lower values
cation is mixed which can lead to occasional metal-to-metal
pertain to light series; higher values to heavy series bearing. c Double contacts and increased friction. For these cases, the sliding
row bearing only friction coefficient can be calculated by Eq. 30, where 𝜙bl is
the mixed lubrication weighting factor given by Eq. 31, 𝜇bl
the coefficient dependent on the lubricant (that is approxi-
2.2.2 SKF’s model
mately 0,15) and 𝜇ELH represents the friction coefficient in
full film condition (0,05 for lubrication with mineral oils)
Another widely used methodology is that of the bearing
[35].
manufacturer SKF. In this approach, as presented in Eq. 22,
the dissipative torque of a bearing TD,SKF is a function of Tsl = Gsl 𝜇sl (28)
the rolling and sliding friction in the rolling contacts, in the
contact between the rolling elements and the cage, as well ( )1∕3
as the guide surfaces, friction in the lubricant, and sliding S2 dm1.5 Fa4
Gsl = S1 dm−0.145 Fr5 + (29)
friction in the contact seals when applicable. sen𝛼F
TD,SKF = 𝜙ish 𝜙rs Trr + Tsl + Tseal + Tdrag (22) ( )
𝜇sl = 𝜙bl 𝜇bl + 1 − 𝜙bl 𝜇EHL (30)
The 𝜙ish term represents the inlet shear heating reduction
factor, 𝜙rs the kinematic replenishment/starvation reduction [ ]
factor, Trr the rolling friction torque, Tsl the sliding frictional 𝜙bl = exp −2.6 × 10−8 (nv0 )1.4 dm (31)
torque, Tseal the frictional torque of the seals and Tdrag the
frictional torque of the drag losses, churning and splashing The frictional torque of the seals Tseal is given by Eq. 32,
[35]. In this work the Tdrag is not considered, so Tdrag = 0. where KS1 is a constant dependent on the type of the bearing,
The inlet shear heating reduction factor 𝜙ish and the kin- KS2 a constant dependent on the type of seal and bearing, dS
ematic replenishment/starvation reduction factor 𝜙rs can be is the shoulder diameter and 𝛽∗ is an exponent dependent
obtained by Eqs. 23 and  24. The Krs term is the replen- on the type of seal and bearing. More details can be found
ishment/starvation constant, Kz is the bearing type related in [35].
geometry constant, d is the bearing bore diameter and Do 𝛽
Tseal = KS1 dS∗ + KS2 (32)
the bearing outside diameter.
[ ( )1,28 0.64 ]−1
𝜙ish = 1 + 1.84 × 10−9 ndm v0 (23)
2.2.3 Palmgen and SKF modified

� The modification proposed by Vaz et al. [42] is to correct the

⎛ Kz ⎞
𝜙rs = exp ⎜−Krs vo n(d + Do ) ⎟ (24) Palmgren and SKF models in order to include the Stribeck
⎜ 2(Do − d) ⎟ effect. This is the effect responsible for the transition of fric-
⎝ ⎠
tion torque from static state to dynamic and is attributed to
The rolling frictional torque Trr is calculated from Eq. 25, Stribeck [37]. According to Vaz et al. [42], the considera-
where Grr for a deep-groove ball bearings (with Fa > 0 ) is tion of this effect in small turbines is important because,
given by Eq. 26 and the angle 𝛼F (in degrees) is expressed in addition to bringing more realistic results, it is an ally
by Eq. 27. in determining starting performance, since such turbines
are almost always limited by low wind speeds. According
Trr = Grr (v0 n)0.6 (25) to Olsson et al. [29] a good approximation of the Stribeck
effect is given by Eq. 33. In this expression, TSt is the total
frictional torque and it depends on the static frictional torque

13
Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410 Page 7 of 14  410

TS , Coulomb frictional torque TC  , the angular speed 𝜔T  , The validation of the proposed methodology will be car-
the Stribeck speed 𝜔St and the exponent i. The TC can be ried out into two steps: the validation of the DMST model
approximated by zero (Coulomb torque corresponds to dry by comparing the model used with others available in the
friction). So, the total frictional torque TSt can be approxi- literature, and the validation of the dissipative torque model
mated by Eq. 34 [42]. shown in [42]. At the end, some comparisons will be made
[ ( )] to the behavior of horizontal and vertical turbines with rela-
( ) 𝜔T i tively similar sizes at the same operating conditions.
TSt = TC + TS − TC exp − (33)
𝜔St
3.1 Settings for the double‑multiple streamtube
[ ( )] model
𝜔T i
TD,St ≈ TS exp − (34)
𝜔St The model responsible for providing data of forces and
torque acting on the turbine is based on the work of [41]. In
Considering the Stribeck effect term in the Palmgren and his work, it is aimed to assess the power coefficient, the sys-
SKF models, the corrected equation (indicated by asterisk) tem’s behavior subjected to the variation of some parameters
can be written as in Eqs. 35 and  36. In these equations, the and the evaluation of models proposed by other authors.
terms TS = 0.5(Tsl + Tseal ) , n = 𝜔T ∕(2𝜋) nSt = 𝜔St ∕(2𝜋) are Here, unlike the aforementioned author, the objective is to
detailed in [42]. use the DMST to obtain the forces and torques acting on the
[ ( )]
i
blades for each azimuth angle. The input requires, among
TD,P∗ = TD,St + TD,P = TS exp −
n
+ TL + TV (35) other parameters, the turbine radius, airfoil chord, number of
nSt blades, aerodynamic lift and drag data, free stream velocity
and rotational speed. The aerodynamic lift and drag coef-
[ ( )] ficients are obtained for each angle of attack varying the
i
TD,SKF∗ = TD,St + TD,SKF = TS exp −
n
+ 𝜙ish 𝜙rs Trr azimuthal angle, as shown in Fig. 5.
nSt For the validation of the model, the airfoil described in
(36) [41] is employed, whose aerodynamic database is obtained
for a Reynolds number about 3 × 105 . The airfoil features
are presented in Table 4. This airfoil is employed because
for such a configuration there are some models available for
3 Methodology comparison in the literature. Figure 6 shows the comparison
between the present work and the models proposed by [9]
The proposed methodology (Eq. 1) consists into three steps. and [26]. It is possible to observe that the proposed model
In the first step, some parameters generated by the turbine is the closest to the experimental result. Such a difference
through the DMST model [41] are determined, such as
forces and torques that are functions of the fluid inlet speed
and the azimuth angle of the blades. In the second step, the
dissipative torques are calculated according to the three
methodologies presented for two bearings (type R12RS)
with seals on both sides. The data utilized for the bearing
type R12RS are from [15] and [35]. The third step consists
of the coupling of the previous steps through the dynamic
model (Eq. 1), in which the calculation of the turbine rota-
tion as a function of the time is performed, varying the wind
speed.
Much of the data used in this work is based on the work
of the Vallverdú[41] and the experimental data obtained by
Vaz et al. [42]. The authors to date are unaware of the avail-
ability in the literature of data on the dynamic behavior of
small VAWTs that can provide comparison parameters. So,
this section focuses on describing a quasi-steady methodol-
ogy to analyze the influence of dissipative torques on VAWT
powertrains. Fig. 5  CL ∕CD as function of the angle of attack 𝛼 . Adapted from [41]
and [34]

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Table 4  Turbine characteristics used for validation [41]

Characteristics Value

Number of blade ( Nb) 3

Airfoil NACA​0021
Radius (R) 515 mm
Height (H) 1456. 4 mm
Chord (c) 85. 8 mm
Solidity ( 𝜎) 0. 2499

Fig. 7  Torque coefficient for one blade of the turbine used for valida-
tion

Fig. 6  Comparison of the model used with other models available in

the literature

can be due to the calculation of a more accurate rotational

speed through the quasi-steady modeling, which includes
the turbine drivetrain resistance. The lower values of the
model of Mohamed et al. [26] may be related to the use of a
steady-state computational fluid dynamics (CFD), as usually
rotational speed is remained constant in steady-state CFD
simulations, which can significantly affect the solution.
The behavior of the present VAWT in terms of torque can
be seen in Fig. 7 which shows the torque coefficient for one
blade as a function of the azimuth angle. Note that a greater
amount of torque is extracted in the first half cycle (0-180◦ )
when compared to the second one (180-360◦ ). In the first
half cycle, the torques are generally positive, which means
that they act on the same direction of turbine rotation. In the
second half cycle, the torque is negative for some azimuth
angles which means that the aerodynamic forces are not
enough to provide power to maintain the turbine rotating.
The highest torque values are close to the 90◦ azimuth angle.
Figure 8 shows the torque for all blades. It is possible to see
the compensation of the other blades in the variation of the
amplitude of the turbine torque for a complete rotation. A
Fig. 8  Torque of the turbine used for validation
range variation of up to 7 N.m can be seen as well. Figure 9
shows the thrust distribution, through which the highest
amplitudes are found in the azimuth angles where the blade
is perpendicular to the flow. There is also a sudden variation
between the azimuth angles 150-200◦ referring to the change
between the first and second half cycle when the airfoil is
parallel to the flow.
For this work, the airfoil used in the DMST has the fol-
lowing characteristics: circular arc airfoil with 4 cm constant
airfoil chord, 20 cm radius and a torsion angle of 29◦ from
its base to the end. The lift and drag data were determined
experimentally [42]. The blade is shown in Fig. 10. Fig-
ure 11 presents a schematic illustration of the H-Darrieus
model used.

13
Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410 Page 9 of 14  410

Table 5  Parameter’s input for Palmgren’s model [15]

Parameters Values

CS - Basic static load rating  4.0 kN

dm - Bearing pitch diameter 31 mm
Fa - Axial load 
Fr - Radial load 
f0 - Deep-groove ball: oil bath (vertical) 4
v0 - Oil viscosity 315.6 mm 2 /s
XS - Radial-contact groove ball bearing 0.6
YS - Radial-contact groove ball bearing 0.5
y - Radial deep-groove 0.55
Z - Radial deep-groove 0.0004

Table 6  Parameter’s input for SKF’s model [35]

Fig. 9  Thrust on the turbine used for validation Parameters Values

d - Bearing bore diameter 20 mm

ds - Shoulder diameter 42 mm
Do - Bearing outside diameter 42 mm
Krs - Kinematic replenishment/starvation reduction factor 3×10−8
Ks1 - Constant depending on the bearing type 0.018
Ks2 - Constant depending on the bearing and seal type 0.0
KZ - Bearing type related geometry constant 3.1
R1 - Geometry constant 4.3×10−7
R2 - Geometry constant 1.7
Fig. 10  Airfoil used [34] S1 - Slading constant 4.63×10−3
S2 - Slading constant 4.25
𝛽∗ - Exponent depending on bearing and seal type 2.25
𝜇bl - Coefficient dependent of additives 0.15
𝜇EHL - Coefficient dependent of additives 0.05

The axial force corresponds to the load on the bearing (sum

Fig. 11  Illustration of the model used
of the shaft and rotor weights), while the radial force cor-
responds to the load imposed by the fluid on the turbine
(given by DMST).
Equations 35 and 36 require values for the following
parameters nst and i. According to [42] there is no analyti-
cal formulation available to determine such parameters. In
this work the same analytical regression used by [42] is
employed. For Pamlgren i = 1.068 and nst = 0.0037 , while
for SKF i = 1.073 and nst = 0.0036.

3.3 Algorithm of the proposed method

3.2 Settings for the dissipative torques
The dissipative torques are calculated according to the three
methodologies previously presented. The parameters used in
the calculations are shown in Table 5 for Palmgren model
and in Table 6 for SKF model, which are obtained from [15]
and [35] for the R12RS bearing with seals on both sides.
The coupling between the torque of the turbine TT (provided
by the DMST) and the dissipative torque TD (provided by
the Palmgren, SKF and modified models) occurs through
the solution of Eq. 1. For that, 4 th order Runge–Kutta (RK4)
method is used. The methodology procedure is presented in
Fig. 12. Initial parameters such as turbine radius, free stream

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Page 10 of 14 Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410
DMST
PALMGREN;
SKF; VAZ et al.(2018)
COUPLING
SOLVE
RK
Fig. 12  Flowchart of the proposed method
Fig. 13  Torque of the turbine
velocity data and moment of inertia are needed. Also, input
data to initialize RK4 method, such as 𝜃 and the rotational
speed 𝜔T very close to zero, are implemented.
4 Results and discussion
Figures 13 and 14 present the distribution of the torque and
forces acting on the turbine at each azimuth angle. Note that
the amplitude of torque variation for each azimuth angle
increases when the TSR increases. It is also possible to ver-
ify that the largest amplitudes are approximately 120 degrees
out of phase. The force distribution for the airfoil has shifted
to the extremities, with greater amplitudes for small and high
13
Fig. 14  Thrust (Fx) on the turbine
Fig. 15  Dissipative torque to the methodologies implemented
azimuth angles, but still maintaining the behavior similar to
that of a symmetrical airfoil as shown in Fig. 9. This fact
may be related to the aerodynamic characteristics of the cir-
cular arc airfoil. Battisti et al. [4] point out that despite the
wide spread of BET, the results are strongly dependent on
the quality of the adopted aerodynamic database. In most
cases, the experimental database of airfoils available in the
literature has limitations regarding the angle of attack, mak-
ing it difficult to apply to small turbines. This is because,
basically most of the experimental airfoil database available
are to aeronautical application.
Figure 15 presents the behavior of different dissipative
torques for 0.2m radius and 0.0991kg.m2 of mass moment
of inertia. Note that the SKF model presents the biggest
dissipative torque between the outcomes. Great part of this
Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410 Page 11 of 14  410
torque is due to the torque in the rolling seals (the third
part of Eq. 22). In the Palmgren model, the independent
component is the most responsible for the increase in the
dissipative torque; this term increases with the rotation of
the turbine. This torque is about zero until the starting of the
turbine. Then, by comparing the influence of each model on
the dissipative torque of the turbine, it appears that the SKF
model obtains high values of dissipative torque. On the other
hand, the Palmgren model tends to obtain low values. The
SKF model is up to 95% higher.
In both methodologies modified by Vaz et al. [42] with
the addition of the Stribeck effect, it is possible to see the
transition of the static to the dynamic regime. The turbine
starts rotation only when the torque of the rotor is greater
than the dissipative torque, which occurs about 14 seconds,
as shown in Fig. 16. Both modified methodologies have the
same behavior until the starting of the turbine; however after
that, SKF modified tends to a very small value, while the
Palmgren modified behaves as the classical Palmgren (not
modified). This same behavior occurs because both share the
influence of the Stribeck effect. It is possible to infer that the
starting torque in the modified models is half of the classical
SKF. This is due to the measurements made by Vaz et al.
[42], in which the starting torque is half of that considered
by the classical SKF model when using the Stribeck effect.
The results show that the modification proposed by Vaz
et al. [42] has a great potential for predicting the dissipa-
tive torque because it presents itself as a middle ground
between Palmgren and SKF models, achieving good
results already validated experimentally. Figure 17 shows
the response of the system considering the dissipative
torque of bearings in the dynamic analysis. Comparing
the use or not of the dissipative torque, such influence on
the final rotation of the turbine is evident. At starting, it
Fig. 16  Rotational speed of the turbine
Fig. 17  Rotational speed of the turbine considering the dissipative
effect of the bearings
is noticed that the rotational speed of the turbine is over-
estimated by up to 1.3 rad/s. Without to take into account
the dissipative effect of the bearings, the turbine started up
long before ten seconds at a low speed far from an accept-
able minimum speed. This behavior ends up resulting in an
incorrect prediction of the turbine starting speed.
In the transient regime, it can be seen that the curves
do not overlap (Fig. 17), but the graph with TD presents
a slight delay in relation to the graph without TD . In the
steady-state regime, the results are also overestimated,
about 2.2 rad/s of difference. The level of fidelity of such
results will influence the prediction of the starting time
and speed. So, the choice of model can significantly influ-
ence the rotational speed of the turbine.
Figure 18 shows the comparison between the behavior
of horizontal and vertical axis turbines with similar char-
acteristics subjected to the same wind speed. The compari-
son is made between the horizontal turbine used by Vaz
et al. [42] and an H-Darrieus turbine with a swept area
close to that used by Vaz et al. [42]. The vertical turbine
has the same mass moment of inertia, number of blades,
chord and airfoil, but differs in radius to maintain the same
swept area.
Note that, as the wind speed increases from zero to a con-
stant value of 5.9 m/s in Fig. 18, the startings for both tur-
bines, HAWT and VAWT, are really different. The HAWT
starts rotate for a wind speed of 4.2 m/s, while the VAWT
at 1.6 m/s. The starting of the VAWT is about 62% lower
than the HAWT one. This result is important because, even
though VAWT has the limitation of power generation, it can
be an interesting technology to be applied for small energy
demand in urban purpose, or even in isolated regions where
the wind speed is low.
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Fig. 18  Comparison between vertical and horizontal turbines Fig. 19  Sensitivity analysis of the model to the moment of inertia
variation

The rotational speed of the vertical turbine is 51% below

the horizontal one. This occurs due to the low rotational behavior of the system takes a longer period of time to
speed typically found in VAWTs, as well as the asymmet- start the steady-state regime.
ric airfoil considered in the simulation, which is not the To verify the effect of solidity ( 𝜎 = Nb × c∕2R ) on the
most recommended for vertical turbines. By the nature of turbine performance, Fig. 20 shows the turbine rotational
VAWTs, they perform 360 degrees turning in relation to the speed in relation to the time, varying 𝜎  . Note that the
flow direction. This fact is still challenge in the literature, as solidity has a great impact on the rotational speed of the
[19] and [33] have found favorable results for asymmetric turbine. It is because such a parameter is related to the
airfoils. Sengupta et al. [33] found a higher power coefficient number of blades. In general, the increase in the num-
for an asymmetric airfoil when compared to some conven- ber of blades reduces the oscillations in torque and thrust,
tional symmetric ones. Ismail et al. [19], due to their ease resulting in a better turbine performance. These effects
of construction and maintenance, simulated the behavior of contribute positively to the life of the bearings since the
a plate and circular arc airfoil for a hydrokinetic turbine in reduction of these oscillations also reduces the axial and
Amazon, finding good results for turbine torque. radial loads on the turbine shaft.
Aerodynamic database also contributed to this result
since the data used do not cover all angles of attack and an
extrapolation is necessary. This extrapolation is widely used
in the literature for vertical turbines due to the few available
experimental database [8, 39]. The number of Reynolds used
also has a strong influence on the power coefficient and it is
directly related to the performance of a VAWT. As the num-
ber of Reynolds increases, the lift coefficient increases and
the drag coefficient decreases, providing greater torque [8].
The aspect ratio is another important parameter that must
be taken into account. According to Brusca et al. [8], a tur-
bine with a lower aspect ratio will achieve higher power
coefficients and lower speeds of rotation that end up improv-
ing service stability. So, it is expected that the result found
may be a little distant from the real result, but still within an
interesting outcome.
A sensitivity analysis is performed for the proposed
model. Figure 19 shows the behavior of the turbine when
the mass moment of inertia is changed. It is possible to
see that the increase in the mass moment of inertia, the Fig. 20  Sensitivity analysis of the model to the solidity variation

13
Journal of the Brazilian Society of Mechanical Sciences and Engineering (2021) 43:410 Page 13 of 14  410
5 Final considerations
An approach for analyzing the effect of bearing dissipative
torques on the dynamic behavior of an H-Darrieus turbine
is presented. One of the contributions of this works was the
new model for predicting performance of rotational speed
of small vertical wind turbines, including the effect of the
dissipative torques. The bearing resistance effects could be
assessed, which is significant for vertical turbines as they
present great difficulties during starting. The DMST results
for the asymmetric airfoil show similar behavior to the sym-
metric airfoil used for validation. The modification proposed
by Vaz et al. [42] for the dissipative torque is the outcome
that most resembled reality because it presents the transition
from static to dynamic regime through the Stribeck effect.
The vertical axis turbine may have been limited by the use of
an asymmetric airfoil, as this is not the most recommended.
The use of limited aerodynamic data also had a strong influ-
ence. Note that this model can also be used for hydrokinetic
turbines. Some modifications may be necessary for a more
realistic result, as the consideration of cavitation phenom-
enon, and the additive mass of water.
Some limitations need to be highlighted in the present
work, such as the use of the DMST without corrections to
stall and tridimensional effects. The behavior of the tur-
bine obtained from the proposed model still requires fur-
ther experimental studies. Despite these limitations, the
use of the proposed methodology can be easily used for
the dynamic analysis of wind turbines for designing pur-
poses. Also, the model can achieve satisfactory results with
a very low computational cost. For future work, efforts will
be concentrated to include a multiplier and a generator in
the model, in order to analyze their respective effects on
the dynamic behavior of a H-Darrieus turbine. Also, the
influence of the virtual camber, rotor struts and the posi-
tion where the blade is attached are important for analyzing
VAWT performance.
Acknowledgements  The authors would like to thank the CNPq,
CAPES, PROCAD project (Agreement: 88881.200549/2018-01) and
PROPESP/UFPA for financial support.
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