Chapter 1

Principles of HAWTs and VAWTs

In wind farms, wake phenomena generated by turbines play a crucial role in determining overall perfor-
mance. When a turbine extracts energy from the wind, it creates a wake of slower and more turbulent
airflow behind it, which can reduce the available power for downstream turbines. Accurately modeling
the wake is therefore essential for optimizing wind farm layouts and maximizing energy production.
Traditionally, most attention has been focused on horizontal axis wind turbines (HAWTs), the current
industry standard. However, vertical axis wind turbines (VAWTs) are gaining increasing interest due
to certain potential advantages. In particular, VAWTs tend to generate weaker wakes and allow for
higher installed power density compared to conventional HAWTs. This means that, for the same wind
farm area, a larger number of vertical turbines can be placed closer together, with reduced aerodynamic
interference losses, ultimately increasing the total energy yield.
Recent studies, for example, have shown that in high-density turbine configurations, VAWTs can
outperform traditional HAWTs in terms of total energy production, thanks to their smaller wake foot-
prints and shorter required safety distances. On the other hand, the distinct geometric and operational
characteristics of VAWTs—such as Darrieus rotors with troposkien shapes—lead to wakes with different
velocity distributions and diffusion mechanisms compared to those of HAWTs.
It is therefore important to develop dedicated wake models for VAWTs, analogous to the well-
established ones for HAWTs, to enable their proper integration into wind farm design. This chapter
introduces the fundamental principles governing the formation of turbulent wakes and describes the
main analytical wake models for both horizontal and vertical axis wind turbines, highlighting their as-
sumptions and characteristic equations.

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1.1 HAWT: Structure and Function

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1.2 VAWT: Structure and Function
In the case of vertical-axis wind turbines (VAWTs), the rotor geometry and the nature of the wake
flow differ significantly from those of horizontal-axis wind turbines (HAWTs). A VAWT rotor extends
vertically and typically features a swept area with a rectangular shape when viewed from the front (facing
the wind). The airflow passes through an area A0 = D0 × H0 , where D0 is the rotor diameter (width)
and H0 is the rotor height.

Figure 1.1: VAWT’s rotor scheme

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1.3 Classification and description of VAWTs
Throughout the years, different kinds of VAWTs have been designed to produce electricity in both urban
and rural environments. Each type has unique construction features and operational mechanisms. The
most studied types are:

Figure 1.2: Different types of VAWTs turbines [cazzaro2023vertical].

• Savonius: This type of turbines are among the simplest and most intuitive designs for vertical axis
wind turbines. Their structure consists of semicircular blades, typically arranged in pairs, forming
an inverted ”S” shape. This configuration allows the wind to flow through the blades, creating a
pressure difference between the concave and convex sides of the blades, which in turn generates
a rotational force on the rotor. Savonius turbines are particularly valued for their robustness
and simplicity of construction, making them easy to build and maintain. Their design requires
relatively inexpensive materials and basic construction techniques. However, their efficiency is
generally lower compared to other types of wind turbines, and they are less effective in stronger or
more variable wind conditions. Despite this, Savonius turbines are ideal for residential applications
or as part of small-scale wind energy systems, where simplicity and resilience are more important
than maximum efficiency.

• Darrieus-rotor: Originally conceived by the French engineer Georges Darrieus, these turbines fea-
ture a more complex and advanced design compared to Savonius turbines. They are characterized
by vertically mounted curved blades that form a shape similar to a ”U” or an ellipse. The blades
are designed to harness the wind using Bernoulli’s principle and angular momentum, allowing the
rotor to spin with greater efficiency. The elliptical shape of the blades enhances wind capture,
especially at higher speeds. However, the design and construction of Darrieus turbines are more
complex than Savonius models, requiring greater engineering precision and high-quality materials
to ensure stability and prevent structural deformations. These turbines are particularly suited
for commercial and industrial applications, where their higher efficiency can justify the additional
construction and maintenance costs. In environments with consistent and stable winds, Darrieus
turbines offer excellent performance and can significantly contribute to wind energy production.

• H-Darrieus: As an advanced variant of the Darrieus turbines, these turbines are designed to
further enhance stability and efficiency. The main innovation of the H-Darrieus design is the
”H”-shaped support structure, which provides greater stability to the rotor and reduces vibrations
compared to the traditional model. This support structure helps maintain the balance of the
turbine during rotation and improves the overall durability of the system. The ”H”-shaped blades
are designed to optimize the angle of wind incidence, enhancing efficiency and reducing the risk
of structural deformations. Despite these advantages, the increased complexity of the design leads
to higher construction and maintenance costs. H-Darrieus turbines are particularly suited for
environments where greater stability and reliability are required, such as in large-scale industrial or
commercial installations. Their ability to operate in variable and turbulent wind conditions makes
them a solid choice for applications that demand high performance and long-term durability.

• Helix shape: Among the most innovative solutions in the field of vertical axis wind turbines,
these turbines are characterized by spiral or helical blades that optimize the angle of wind incidence
through their continuous and adaptive geometry. The helix-shaped blades are designed to capture
wind from various angles during rotation, improving efficiency and reducing drag. This design

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allows the turbine to operate more smoothly and stably, even in variable wind conditions. However,
the complexity of construction and the use of specialized materials can lead to higher costs compared
to other types of turbines. Despite these additional costs, helix-shaped turbines are particularly
suited for urban environments and situations with highly variable wind flows, where adaptability
and continuous efficiency are crucial. The innovative spiral blade design maximizes wind energy
capture, offering an advanced solution for energy generation in complex settings.

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1.4 Working principles and key parameters
The operation and performance of vertical axis wind turbines are influenced by several key parameters,
including diameter and heigth (D and H), Swept area (A), wind speed, Tip Speed Ratio (TSR), Power
Coefficient (CP ), Thrust Coefficient (CP ), Aspect Ratio (AR), and Rotor solidity (σ). Each of these
parameters plays a crucial role in determining the efficiency and overall performance of the turbine.

• Rotor diameter (D) and Height (H): These dimensions are crucial for calculating the swept area of
the rotor. The swept area (A) can be approximated by:

A ≈ DH (1.1)

where D is the diameter and H is the height. This area represents the effective volume of air
through which the blades move, influencing the amount of wind energy available for conversion
into mechanical energy.
• Wind speed (V ): The primary driver of energy available for the turbine. For VAWTs, the power
available in the wind is calculated by:
1
Pwind = ρAV 3 (1.2)
2
where ρ is the air density, A is the swept area of the turbine, and V is the wind speed.
• Tip Speed Ratio (λ): The ratio of the tangential speed of the blades to the wind speed:
Vt ωR
λ= = (1.3)
V∞ V∞
where ω is the angular velocity and R is the rotor radius. T SR must be optimized for efficient
turbine operation.
• Power Coefficient(CP ): Represents the efficiency of converting wind energy into mechanical energy:
P
CP = 1 3
(1.4)
2 ρAV

with the Betz limit constraining CP to a theoretical maximum of approximately 0.593 (59.3%).

Figure 1.3: Power coefficients of wind rotors of different designs [springer].

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 • Thrust Coefficient (CT ): Measures the thrust force generated relative to the wind power available:
T
CT = 1 3
(1.5)
2 ρAV

where T is the thrust force. Higher CT values indicate a greater capacity for generating rotational
force.
• Aspect Ratio (AR): The ratio of the rotor height to the rotor width:
H
AR = (1.6)
W
where H is the rotor height and W is the width of the blades. A higher aspect ratio typically
results in improved aerodynamic performance but can complicate structural design.
• Rotor Solidity (σ): This is an important parameter for Vertical Axis Wind Turbines (VAWTs)
because it provides an idea of how much of the swept area of the rotor is actually covered by the
blades. For VAWTs, rotor solidity σ is calculated as:
Nb
σ= (1.7)
2R
where N is the number of blades of the rotor, c is the chord length of the blade, which is the
length of the blade’s cross-sectional area. D is the rotor diameter, which is the maximum distance
between the blade tips (equivalent to twice the radius).

1.5 Actuator disk theory

The Actuator Disk Theory provides a simplified yet effective model of the aerodynamic behavior of a
wind turbine, idealized as a permeable disk that interacts with the airflow by extracting kinetic energy.
The wind, initially moving with a velocity U∞ , encounters the rotor (represented as an actuator disk)
and is decelerated as it passes through. The velocity of the flow at the plane of the disk is denoted UD ,
while further downstream in the wake region (where the flow continues to expand) the velocity drops to
a lower value, UW .

Figure 1.4: Actuator disk scheme

Within this framework, the axial induction factor a is introduced, representing the fractional decrease
in wind speed from the free stream to the disk. It is defined as:
U∞ − UD
a= (1.8)
U∞
from which it follows that the velocity at the rotor plane is UD = U∞ (1 − a). According to the theory,
the flow continues to decelerate after the disk due to conservation of momentum, reaching a downstream
wake velocity given by:

UW = U∞ (1 − 2a) (1.9)

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 This wake velocity is used to define the dimensionless parameter β, which represents the initial
velocity deficit in the wake immediately behind the turbine:
UW
β= = 1 − 2a (1.10)
U∞
This parameter is frequently employed in analytical wake models to characterize the extent of flow
deceleration downstream of the rotor. Furthermore, the induction factor a is directly related to the
thrust coefficient CT , which quantifies the aerodynamic loading on the rotor:

CT = 4a(1 − a) (1.11)
Combining the two expressions, one can also derive the relationship:
p
β = 1 − CT (1.12)
The parameter β thus offers a convenient and compact way to link turbine aerodynamic behavior to
the resulting wake profile, and is widely used in simplified wake models such as the top-hat and Gaussian
approaches.

1.5.1 Actuator disk application for VAWTs

Although actuator disk theory was originally developed for horizontal-axis wind turbines (HAWTs), it can
also be adapted to the case of vertical-axis wind turbines (VAWTs), with some appropriate modifications.
According to the approach illustrated by Newman, it is possible to apply a model using a single disk
positioned perpendicular to the flow—just as in the classical case—to estimate the overall performance
of the turbine.
However, to more accurately represent the cyclic nature of the flow that passes through a VAWT—which
involves both the upwind and downwind regions—it is possible to use a double actuator disk approach.
In this model, one disk is placed in the upstream region and the other in the downstream region, thus
providing a more realistic simulation of the distribution of forces and torque throughout the rotation
cycle.
By applying the same fundamental equations (conservation of mass and momentum), one can derive
a theoretical maximum value for the power coefficient CP , which in this case is slightly higher than
Betz’s limit, reaching 16/25. This theoretical value corresponds to higher tip speed ratios (T SR) than
those of horizontal-axis turbines. However, in practice, VAWTs tend to operate with lower efficiencies
due to increased aerodynamic losses and the variability of the relative flow.

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1.6 Overview of principal studied wake models
Over the years, various analytical models have been developed to describe the velocity distribution in
the wake of a wind turbine. This section presents three reference models that have been studied in
this thesis: the Jensen model for horizontal-axis wind turbines (HAWTs), and two models for vertical-
axis wind turbines (VAWTs), known as the Top-Hat and Gaussian models. Each model is described in
terms of its application domain, formulation and fundamental equations, simplifying assumptions, and
characteristic parameters.

1.6.1 Jensen model (HAWT)

The Jensen model, originally developed in 1983 and later refined in the context of optimal wind farm lay-
out studies, is one of the simplest and most effective analytical formulations for describing the turbulent
wakes generated by horizontal-axis wind turbines (HAWTs). The model is based on the concept that,
after passing through the rotor, the airflow experiences a localized deceleration, followed by a gradual
expansion and velocity recovery due to turbulent mixing with the surrounding air. Jensen’s approach
significantly simplifies the physical problem by modeling the wake as a region of uniformly reduced ve-
locity compared to the undisturbed wind and assuming that the effective wake diameter (Dw ) increases
linearly with downstream distance (Dw = D + 2kx).

Figure 1.5: Schematic view Jensen model [springer].

The core of the model lies in the momentum balance, applied to a control volume that encompasses
the turbine and a section of the wake located at a distance (x) downstream from the rotor.

D2 Ur + (Dw
2
− D2 )U = Dw
2
V (1.13)
This momentum balance leads to an analytical expression for the mean velocity in the wake, which
depends on the downstream distance, the rotor diameter, and two key parameters: the axial induction
factor a and the wake expansion coefficient kw . The induction factor a represents the fractional reduction
of wind speed at the rotor center and is related to the turbine thrust coefficient CT by the following
relationship:
√
1 − 1 − CT
a= (1.14)
2
This parameter describes how strongly the turbine interacts with the incoming flow, and thus deter-
mines the initial magnitude of the velocity deficit in the wake. The coefficient kw , on the other hand,
controls the rate at which the wake expands with distance and reflects the level of atmospheric turbulence.
Typically, values of kw range between 0.04 and 0.10, depending on site stability: lower values are used
for offshore or low-turbulence conditions, while higher values are adopted in unstable atmospheres or in
the presence of obstacles (in our case, under offshore conditions or in a stable atmosphere: kw ≈ 0.04).
Based on these assumptions, the mean velocity in the turbine’s downstream wake can be expressed as:
 
2a
V (x) = U∞ 1 − x 2 (1.15)
(1 + 2kw D )

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 Where V (x) is the velocity in the wake at a downstream distance x, U∞ is the free-stream wind
velocity, and D is the rotor diameter. The denominator term represents the dilution effect of the
velocity deficit due to the wake expansion: as the distance increases, the wake broadens and the deficit
is distributed over a larger cross-sectional area, promoting velocity recovery.
In the case where a turbine is located directly in the wake of an upstream turbine, the cumulative
effect of multiple deficits is estimated using a quadratic summation of the individual contributions. The
equation that describes the combination of multiple wakes accounts for energy superposition and assumes
that the total velocity deficit corresponds to the square root of the sum of the squares of the individual
deficits. Although this assumption is a simplification, it has proven effective in numerous comparisons
with experimental data and full-scale simulations.

1.6.2 Top-Hat model (VAWT)

In the top-hat model for vertical axis wind turbines (VAWTs), a conceptual approach similar to that of
the Jensen model for HAWTs is adopted. It is assumed that, at a certain downstream distance, beyond
the near-wake region where complex vortex structures dominate, the wind speed within the wake can be
considered uniform and equal to a mean value V (x), lower than the undisturbed wind speed U∞ . The
initial cross-section of the wake coincides with the projected area of the rotor, denoted as A0 , which in
the case of VAWTs has a rectangular or elliptical shape depending on the rotor geometry.

Figure 1.6: Schematic view Top-Hat model [springer].

As the flow progresses downstream, the wake expands due to turbulent mixing with the surrounding
air. In the absence of ground effects or buoyancy forces (which are neglected in this formulation) the
expansion of the wake is assumed to be symmetric, both vertically and laterally. As a result, the
wake roughly retains its initial geometric shape (rectangular or elliptical), while its size increases with
downstream distance. Denoting the wake’s width and height at a given distance x as Dw (x) and Hw (x)
respectively, the growth of the wake can be described through linear relationships:

Dw (x) = D0 + 2kw x (1.16)

Hw (x) = H0 + 2kw x (1.17)

Here, D0 and H0 are the rotor’s width and height, and kw is the wake expansion coefficient, assumed
constant and equal in both directions for simplicity. In more detailed formulations, two separate coef-
ficients (kwy for lateral expansion and kwz for vertical expansion) may be introduced to better capture
differences in turbulence intensity along the two axes. However, using a single coefficient kw is a common
and effective first approximation for describing the general wake behavior (kwy = kwz ).
As for the conservation of momentum, the top-hat model for VAWTs also imposes momentum balance
across the flow sections. Given the downstream wake area Aw (x) = Dw (x) · Hw (x), and assuming that
the velocity is uniform within the wake and equal to v(x), while remaining at U∞ outside, an expression
analogous to that in the Jensen model can be derived. Introducing the parameter β = v0 /U∞ , which

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represents the ratio between the mean velocity just downstream of the rotor and the undisturbed wind
speed (typically linked to the turbine’s thrust coefficient CT ) the mean wake velocity at a distance x is
given by:

V (x) A0
= 1 − (1 − β) (1.18)
U∞ Aw (x)
This relationship illustrates how the velocity deficit progressively decreases as the wake area grows,
in accordance with the physical mechanism of velocity recovery driven by entrainment from the external
flow. Substituting into the previous formula yields the following explicit expression for the wake velocity:

V (x) D0 H0
= 1 − (1 − β) · (1.19)
U∞ (D0 + 2kw x)(H0 + 2kw x)
which can also be written as follows:
√
V (x) (1 − 1 − CT )
= (1.20)
U∞ (1 + 2kw x/H0 )(1 + 2kw x/D0 )

1.6.3 Gaussian model (VAWT)

The Gaussian wake model for vertical axis wind turbines (VAWTs) was introduced with the aim of
describing the three-dimensional distribution of velocity deficit in the wake more accurately than tradi-
tional analytical models such as the top-hat. This model is based on the observation that the wind speed
in the downstream region of the rotor does not exhibit a uniform profile, but rather a bell-shaped distri-
bution centered along the turbine axis, with the maximum deficit occurring at the center and gradually
diminishing away from it.

σy
C1
H0 C2 σz

D0

x
Figure 1.7: Schematic view Gaussian model

To represent this behavior, the model assumes that the velocity field in the wake follows a two-
dimensional Gaussian function, dependent on the lateral coordinate y, the vertical coordinate z, and the
downstream distance x from the rotor. The wind velocity at a given point in the wake is expressed as:

y2 z2
  
Uw = U0 1 − C(x) exp − 2 − 2 (1.21)
2σy 2σz
Here, Uw denotes the local wake velocity, U0 is the freestream wind speed, C(x) is a coefficient
that quantifies the deficit amplitude, and σy (x), σz (x) are the standard deviations of the Gaussian
distribution along the horizontal and vertical axes, respectively. The standard deviations σy (x) and
σz (x), which describe the lateral and vertical spreading of the wake, increase linearly with downstream
distance according to the relations σy (x) = ϵD0 + kwy x and σz (x) = ϵH0 + kwz x, where ϵ is an empirical
√
parameter representing the initial spread of the wake. This parameter is commonly defined as ϵ = 0.25 β,
with β = Uw /U0 denoting the normalized velocity immediately downstream of the rotor. The expression
is derived from the observation that the initial expansion of the wake correlates with the strength of the

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velocity deficit, and provides a consistent scaling based on flow characteristics. The parameters kwy and
kwz represent the wake expansion rates in the lateral and vertical directions, respectively. The coefficient
C(x), which defines the intensity of the velocity deficit, is not specified a priori but is derived by enforcing
conservation of linear momentum. The principle is that the momentum loss within the wake section must
equal the thrust force exerted by the turbine. This leads to the following integral expression:

∞
y2 z2 y2 z2
Z    
1
U02 C(x) exp − 2 − 2 1 − C(x) exp − 2 − 2 dA = CT A0 U02 (1.22)
−∞ 2σ y 2σ z 2σ y 2σ z 2

Solving this integral, is obtained an explicit expression for C(x), which allows for a direct computation
of the velocity deficit profile. The final normalized expression for the deficit is given as:
s !  2  2 !
∆U CT 1 y 1 z − zh
= 1− 1− exp − − (1.23)
U0 2π Aw (x)
A0
2 σy (x) 2 σz (x)

In this formulation, ∆U = U0 − Uw is the velocity deficit, A0 is the rotor’s projected area (typically
elliptical for VAWTs, thus πD0 H0 /4), Aw (x) = πσy (x)σz (x) is the cross-sectional
√ area of the wake at
distance x, and zh is the height of the rotor’s center. The term 1 − 1 − CT originates from actuator
disk theory and links the maximum velocity deficit to the turbine’s aerodynamic thrust behavior.

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