Renewable Energy 36 (2011) 1075e1080

Contents lists available at ScienceDirect

Renewable Energy
journal homepage: www.elsevier.com/locate/renene

Wind energy conversion with a variable-ratio gearbox: design and analysis

John F. Hall a, Christine A. Mecklenborg a, Dongmei Chen a, *, Siddharth B. Pratap b
a
b

Department of Mechanical Engineering, University of Texas at Austin, Austin, TX 78712, USA

Center for Electromechanics, University of Texas at Austin, Austin, TX 78712, USA

a r t i c l e i n f o

a b s t r a c t

Article history:
Received 2 May 2010
Accepted 23 August 2010
Available online 16 September 2010

Variable-speed wind turbines are able to adapt to low wind speeds and therefore have greater efciency
than xed-speed turbines during partial-load operation. Unfortunately, the high cost and low reliability
of the electronics that enable variation in speed have discouraged this mode of operation for distributed
wind turbines. Alternatively, a Variable-Ratio Gearbox (VRG) can be integrated into the xed-speed wind
turbine to facilitate operation with a discrete set of variable speeds that boost efciency. The VRG concept
is based upon mature technology taken from the automotive industry and is characterized by low cost
and high reliability. In this paper, a model-based design methodology is introduced to study the
performance gain of integrating a VRG into a xed-speed stall-regulated wind turbine system. The results
demonstrate how this device can improve the efciency of the xed-speed turbine in the partial-load
region and the potential to use the VRG to limit power in the full-load region where pitch control is often
used.
2010 Elsevier Ltd. All rights reserved.

Keywords:
Distributed wind turbine systems
Variable-ratio gearboxs
Region 2 wind energy harvesting
Partial load operation
Wind turbine power coefcient

1. Introduction
Distributed wind turbines could provide electricity for a number
of entities such as agricultural communities, public lands, schools,
rural homeowners, and private businesses [1]. However, when
considered on a cost-per-watt basis, small wind turbines are more
expensive than large turbines. It is reasonable to believe that this
disparity has hindered distributed wind development and points to
a need for a low cost concept that can boost efciency of this class of
turbines.
Wind turbines are categorized into two groups that are based on
either xed or variable-speed operation [2e4]. The former is the
traditional approach that is most widely used and has the lowest
cost [5e7]. Additionally, xed-speed wind turbines utilize induction generators, which are highly reliable and facilitate a direct
connection to the grid. The drawback to these congurations is
a lack of efciency during partial-load operation, also known by
Region 2, as illustrated in Fig. 1. In order to increase efciency in
Region 2, variable speed operation was introduced to allow the
rotor speed to adapt to changes in wind speed, thus increasing
aerodynamic efciency in this region [2,8e11]. This technique also
reduces drive train fatigue and is the latest trend in wind energy
conversion. During variable speed operation, the power produced
by the generator consists of varied frequencies that necessitate

* Corresponding author. Tel.: 1 512 471 4487; fax: 1 512 471 8727.
E-mail address: dmchen@mail.utexas.edu (D. Chen).
0960-1481/$ e see front matter 2010 Elsevier Ltd. All rights reserved.
doi:10.1016/j.renene.2010.08.037

electronic components to convert the electricity to the load-side

frequency [2,12,13]. Although these electronic converters work well
for large wind turbines, the associated cost and low reliability have
impeded the implementation of variable speed operation in the
distributed wind class [14e16].
An alternative to the conventional variable speed conguration
is the Continuously Variable Transmission (CVT) that is coupled
with the directly-connected, low cost, induction generator conguration that is typically found in xed-speed turbines. This
approach improves the efciency in Region 2 because it allows the
rotor speed to vary even though the generator operates at
a constant speed [14,15]. However, the CVT does have limitations in
the amount of power that can be transferred through its frictional
interface [17]. The wind turbine gearbox may experience a torque
load as great as 700,000 N-m at a speed of 18 RPM [18]. Experience
from the automotive industry suggests that a Variable-Ratio
Gearbox (VRG) that uses meshed gears to transfer power is more
suitable for these higher loads. The VRG is well suited to the low
cost and high reliability of the xed-speed system and can provide
a set of discrete speeds that boosts wind capture in Region 2 when
the conventional variable speed approach is not justiable. In
addition, the unit can modulate the rotor speed in the high wind
region to maintain power at or below the maximum operating
limit. Hence, the VRG may be able to replace pitch control as well
and be the only actively controlled component that is required in
some applications. Accordingly, a multiple-speed gearbox that is
compact and low cost can make a meaningful contribution to wind
energy harvesting.

1076

J.F. Hall et al. / Renewable Energy 36 (2011) 1075e1080

1.2

Region 2
Partial load operation

D2r rair cp v3w

0.6
0.4
cut-in

0.2

rated speed

cut-off

cp c1
0

(3)

where Dr is the turbine rotor diameter, rair is the density of air, cp is

the power coefcient, and vw is the wind speed input. The value of
the power coefcient, which can be veried experimentally or
through the use of computational uid dynamics, is often approximated in published models using the relationship established by
[21],

0.8
power [ p. u.]

PT

Region 3
Full load operation

10

15

20

c2

li

25

 c3 b  c4 b  c5
x

c
 6
e li

(4)

where,

wind speed [m/s]

Fig. 1. Generalized wind turbine power curve.

li
The intention of this paper is to illustrate how a low-cost VRG
can increase the efciency of xed-speed wind turbines. This
section has described the benets of this device and why it may be
particularly useful for the distributed wind class. In the following
section, a model is presented that can be used to characterize the
power curve for the VRG along with a design methodology. The
subsequent section applies these concepts to a case study of
a 100 kW wind turbine and illustrates that performance is
improved through the implementation of the VRG. The nal section
makes conclusions upon this study and provides an outline of our
future work.

2. Modeling and design approach

To study the effectiveness of adding a VRG to a wind turbine and
demonstrate the VRG design approach, a xed-speed wind turbine
model with an SCIG is presented here. The code for this model is
developed in MATLAB and is used to characterize the relationship
between generated power and wind speed.

l 0:08b

(5)

b3 1

Constants, c1 through c6, are tuned [21e23] to match the

behavior of a particular wind turbine system. Based on the above
equations, a model was developed to describe the wind power
captured with respect to the wind speed. An example of the
generated power versus wind speed for a 100 kW wind turbine
system is shown in Fig. 2, where the dotted red line represents the
typical power a xed-speed turbine can produce [24]. The solid
blue line is our simulation result. The two lines both have
a maximum power around 17.8 m/s, which is the speed where the
wind turbine works most efciently. These two curves are in good
agreement thus indicating the approach used in this study is valid.
A case study of a 100 kW xed speed, stall-regulated, wind
turbine is presented here to show the advantage of employing
a VRG in a wind turbine system. A rotor size of 18.5 m is used along
with a pitch angle of 2.2 . These parameters provide the power
curve that agrees with the validation curve of Wu and Chen, 2008
[24]. The design methodology to determine the gearbox ratios is
introduced in the next section, where the case study is used as an
example.
2.2. Design methodology

2.1. Wind turbine model

The following equations rely on data found in real world
implementations and literature to populate constants such as rotor
diameter and those parameters used to establish the power coefcient. By varying the gear ratio, this study focuses on the role the
power coefcient plays in affecting aerodynamic efciency and the
power delivered. The nal output for the induction generator is
obtained through using the mechanical torque applied to its shaft
as an input. The generated power can be expressed as:

Pgen f Tm

By varying the gear ratios, one can determine the effect this has
on the power curve. As shown in Fig. 3, lower gear ratios correspond to an increase in the amplitude of the power curve. Moreover, with the exception of the low speed region less than 10 m/s,
each lower gear ratio curve envelops those that have higher ratios.
For example, the gear ratio of 14.71 makes a shell that surrounds
all the higher gear ratios. As shown in Fig. 3 the lowest gear ratio of
14.71 intersects the maximum power line at a lower wind speed
than any other curves, which means it will harness the most energy
4

(1)

12

where

10

PT GR

ug

(2)

This mechanical torque, denoted as Tm, depends on the power,

PT, that can be delivered by the rotor turbine. In this relationship,
the turbine power is related to the gear ratio, GR, which increases
the speed, ug, of the mechanical input above the synchronous
speed. Although the speed of the generator rotor varies during
operation, the amount is slight (only 1% above the synchronous
speed), and therefore is treated as a constant to simplify computational effort and time with negligible effect on the results. The
turbine power used in Eq. (2) is computed by [1,19,20],

Model
Wu and Chen, 2008

8
power [W]

Tm

x 10

6
4
2
0
0

10

15

20

wind speed [m/s]

Fig. 2. Validation of model to 100 kW power curve.

25

J.F. Hall et al. / Renewable Energy 36 (2011) 1075e1080

5

3.5

x 10

power [W]

2.5
2
1.5

Maximum power
GR = 14.71
GR = 17.1
GR = 19.15
GR = 20.54
GR = 21.03
GR = 21.59

1
0.5
0
0

10
15
wind speed [m/s]

20

25

Fig. 3. Power curve changes in response to varied gear ratio.

from the wind at this point. Beyond this point of intersection the
power transferred through this gear ratio is too great for the
generator. Hence this gear ratio is not practical for wind speeds
above that point. In the conventional single speed turbine, only the
gear ratio curve that is entirely below the maximum power line
provides the continuous operation across the wind spectrum. In the
case of stall-regulated turbines, those gear ratios end up being only
ideal for a single rated wind speed. On the other hand, if a mechanism is put in place to allow these outer shells to be used below the
maximum power line, greater wind capture can occur in these low
and high wind regions. This is the impetus for the VRG.
To understand how this shell effect occurs requires an explanation of the constitutive parameter behavior across the wind
speed continuum. As shown in Fig. 4 the lower gear ratios are
associated with higher tip-speed ratios. This effect shifts the power
coefcient curve to the right for the lower gear ratios. At very low
wind speeds around cut-in, the higher speed ratios have a greater
power coefcient. At this point there is also very little variation in
the torque, and hence the higher power coefcient allows these
higher gears to be more effective near the cut-in speed. In the range
of 8e12 m/s, the power coefcient peaks. Beyond this point, the
power coefcient increases as the gear ratio decreases. Moreover,
above this region the mechanical torque delivered to the generator
becomes more pronounced for the lower gear ratios. In the

high-wind region, the power curve normally drops off for xed
speed, stall regulated, wind turbines. However, the increased
power coefcient and torque of the VRGs lower gears allow the
power curve to stay close to the maximum level until the cut-off
speed is reached.
In examining a set of power curves, such as those in Fig. 3, the
design objective is to look at a point along the wind speed axis and
choose the curve associated with the greatest power that does not
exceed the generator rating. It is clear that the lower gears will be
most productive in the low and high wind regions. Toward the
middle of the spectrum, higher gear ratios yield lower efciencies
and provide suitable torques that do not overheat the electrical
generator.
For a conventional stall-regulated turbine, the best gear ratio to
use is that associated with the power curve that has a peak value
consistent with the rating of the electrical generator. For our analysis, this curve serves as the baseline that is compared to the power
generated by using multiple gear ratios. This baseline ratio is also the
highest gear ratio used in the VRG. Without this curve, a discontinuity occurs across the wind spectrum. Additionally, curves generated with higher gear ratios fall below the baseline curve shell, are
less efcient, do not make any contribution that could otherwise be
made by those with lower ratios, and therefore are not used.
On the other hand, there is a low limit the gear ratio can reach.
Therefore the lowest useful ratio must be identied. It was pointed
out in Fig. 3 that lower gear ratios intersect the maximum power
line at lower wind speeds than the higher gear ratios. Beyond the
lowest useful ratio this dynamic changes and the intersection
begins to shift to the right. Our simulation shows that the gear ratio
selection is always constrained by this low limit. The lowest gear
ratio used is associated with the power curve that intersects the
maximum power line at the lowest wind speed.
The signicance of the VRG is that it enables lower gear ratios to
be used in Region 2, thus capturing wind energy would normally be
lost. Beyond the rated wind speed, these lower gears are used again
to maintain a level of power that would otherwise drop-off. The
design objective is to select gear ratios that allow the transition to
take place continuously without exceeding the maximum power
line. Moreover, if the gear ratios are spaced too far apart, a large
change in torque may occur that jolts the drive train. To avoid this
occurrence the power should not drop below a certain threshold

20

1800

16

GR =
GR =
GR =
GR =
GR =
GR =

0.5

0.4
Power c oeffic ient [-]

14

14.71
17.1
19.15
20.54
21.03
21.59

12
10
8

14.71
17.1
19.15
20.54
21.03
21.59

GR =
GR =
GR =
GR =
GR =
GR =

1600
1400

Mec hanic al torque [N-m]

GR =
GR =
GR =
GR =
GR =
GR =

18

S peed ratio [-]

1077

0.3

0.2

14.71
17.1
19.15
20.54
21.03
21.59

1200
1000
800
600

6
400

0.1
200

2
0

10
15
20
wind speed [m/s]

25

10
15
20
wind speed [m/s]

25

10
15
20
wind speed [m/s]

Fig. 4. Effect of gear ratio on speed ratio (left), power coefcient (middle), and torque (right).

25

J.F. Hall et al. / Renewable Energy 36 (2011) 1075e1080

level to prevent large changes in drive train torque during operation. This means the design must contain enough gears to make
these transitions smoothly while at the same time minimizing the
number of gear ratios to avoid complexity. Keeping these
constraints in mind, the VRG design can be implemented through
an algorithm as described in Fig. 5.
The sequence starts by considering the baseline curve as
previously explained. This curve peaks at the maximum power line,
and eventually drops below the minimum power line that is
established by our threshold to avoid large torque changes. The
wind speeds at the two points where this curve intersects the
minimum power line is then determined. Each of these wind
speeds is then considered separately to construct a power curve
that intersects the maximum power line by varying gear ratios. The
purpose of this exercise is to determine the gear ratio at the point
that provides continuity while the change is made from the higher
gear that intersects the minimum power line, to the lower gear that
intersects the maximum power line. Ultimately the curve that has
the highest gear ratio is kept. This approach captures maximum
power from the wind, while also maintaining continuity.
In this approach, the side that is not used does not drop down to
the minimum power band, and thus experiences less change in
torque. Our simulation indicates the right side prevails in determining the power band. In the event the wind speed on the right side
is greater than the desired cut-out speed, this side no longer needs to
be considered. At this point the left side dictates the gear ratio. The
process continues until the lowest useful gear is reached, which then
becomes the nal gear in the VRG. As an option, the number of gears
may be limited, in which case only the higher gears are used.
The VRG power curve is ultimately determined, and can then be
used to calculate the area under the curve that represents the total
energy captured. This area is compared to that of the baseline. This
metric can further be split into Regions 2 and 3, which are
respectively separated below and above the rated speed of 17.8 m/s.
3. Results
To quantitatively understand the effect of using multiple gear
ratios, the VRG is compared to the conventional xed-speed

12

x 10

10
8
power [ W]

1078

6
4

Maximum power
Minimum power
GR = 21.59
GR = 21.03
GR = 20.54
GR = 19.15
GR = 17.1
GR = 14.71

2
0
0

10
15
wind speed [m/s]

gearbox. A 100 kW wind turbine system was used in our research as

a case study. As pointed out in the previous section, the VRG
requires a particular number of gears to transition in a continuous
manner across the wind speed spectrum, and also to reach the
lowest gear possible that yields the greatest wind capture in
the low wind region. Fig. 6 shows the full set of gear ratios with the
addition of the lower power boundary that is used by the design
algorithm to limit changes in torque during full-load operation. It is
possible to operate the VRG without using the full range of ratios,
although the chosen set must include the maximum gear ratio and
each of the lower consecutive curves up to the desired number of
speeds. Three scenarios are presented here e the rst two are
limited to four and ve speeds, while the last case is the maximum
number of gears required to reach the lowest useful gear possible.
The VRG power curve shown in Fig. 7 illustrates the effect of the
four-speed VRG in boosting aerodynamic efciency in low and high
wind regions. An amount of 10% torque oscillation is allowed in this
study. The VRG curve produces a steeper slope on the left hand side
when compared to the baseline curve. On the right hand side the
power is also greater than the baseline. The highest operating gear
is always the baseline curve, while transitions to lower gears are
marked by the peaks on the left and right hand sides. The same

Record the two wind speed points

where this curve intersects
minimum power line

Record the gear ratio for the low

wind speed and generate the
associated power curve

Find gear ratios for both power

curves that intersect maximum
power line at these wind speeds
No
Is the high wind
speed less than the
cut out speed?

No

Yes

No

25

Fig. 6. Gear ratios used in design of VRG.

Begin with the power curve for the

highest gear ratio

Record the gear ratio for the high

wind speed and generate the
associated power curve

20

Does the low

wind speed have the
highest gear ratio?

Is the low wind

speed ratio less than the
lowest useful ratio?
Yes

Yes

Fig. 5. Design algorithm used to develop VRG.

End

J.F. Hall et al. / Renewable Energy 36 (2011) 1075e1080

4

12

12
Maximum power
Minimum power
Single speed
4 speed VRG

10
15
wind speed [m/s]

20

25

Maximum power
Minimum power
Single speed
6 speed VRG

0
0

x 10

10

power [W]

8
power [W]

x 10

10

1079

0
0

10
15
wind speed [m/s]

20

25

Fig. 7. Power curve for a four-speed VRG.

Fig. 9. Power curve for a six-speed VRG.

gears that are used to boost power on the low wind region are also
used in the high speed region to minimize power. The changes in
gear ratio as a function of wind speed for this case study are discussed later in the section. With the exception of those gear
changes that occur just after cut-in, all transitions take place within
the power band that is dened by the maximum and minimum
power lines. The changes that occur in the high wind region span
the entire band and limit the step size between the gears.
The power curve shown in Fig. 8 is for a ve-speed VRG. Fig. 8
illustrates how more gear ratios increase area under the power
curve. In this case, maximum power is rst reached around 12.5 m/
s versus 13.2 m/s for the four-speed case. There is no change on the
right hand side since only three gears, denoted by three peaks are
needed to take the power curve out to the cut-out speed.
The last scenario presented in Fig. 9 implements six gears, which
is the full set required to reach the lowest useful gear. Fig. 9 shows
the maximum power is rst achieved at 12.2 m/s versus 12.5 m/s
for the ve-speed case. The addition of this nal gear does not push
the full power envelop out much further than what occurred in the
previous step of going from four to ve gears. As shown in Fig. 9,
peaks on the left side of the curve generally get closer together at
the outside as shifting to lower gears occurs. This suggests that the
greatest gain in area under the curve occurs with the addition of the
rst few gears, beyond that, adding lower gears makes a less
signicant contribution to wind energy capture.
The results can be further analyzed by quantitatively measuring
the power curve area, which can be broken into Regions 2 and 3.
The single-speed, stall-regulated case has an area of 140.9 W$m/s,
and is used as a baseline to determine the amount of increase for
each VRG scenario. The results in Table 1 suggest that a four-speed

VRG increases overall efciency by 6.3%, and also provides

complete coverage in Region 3 through the cut-off speed. As
expected, the case with six speeds offer the greatest versatility in
varying rotor speed and captures the greatest amount of wind. It
should be noted that the percent increase in Region 2 jumps the
most between the lower gears, while there is very little change in
the higher gears. This is especially true in going from ve to six
gears, where the increase only expands from 7.8 to 8.0%. The effect
per gear added tapers off. It is also observable that there is no
increase in the power curve area in Region 3 beyond three speeds.
This is important since additional gears add design and operational
complexity that must be weighed against the gains in efciency.
Hence, there is a trade-off, and an optimal number of gears that
reconciles these two goals. Our case study results prove the addition of a VRG increases overall wind energy capture.
As pointed out in the literature, control of the pitch angle does
little good in the low wind region. This is also evidenced in Fig. 2,
where only the low pitch angles extend to the higher speed
ratios, which are indicative of the low speed region. Unlike pitch
angle control, the VRG is effective in the low wind speed region
and actively adjusts gear ratios to boost wind capture. As shown
in Fig. 10, the gear ratio initially starts out in the highest gear,
which provides the greatest torque at this point that is necessary
to initiate partial-load power generation. This is explained by
Fig. 4, which shows that there is little variation in torque near
cut-in, however an increase in efciency can be found by using
the highest gear. When the wind speed increases to higher values,
in this case from roughly 8.4e11.3 m/s, the lower gear ratios
provide a considerable gain in the torque. The gears then shift to
these lower ratios in this range. The lowest gear possible is
followed until around 12.2 m/s, where the power curve reaches
full-load operation, and at this point the switch is made to higher
gear ratios that have lower torque and a slightly lower power
coefcient to maintain the power at or below the maximum
generator operating point. The gear ratio climbs at this point to
utilize the portions of the power curve (recall from Fig. 6) that are
within the maximum and minimum power boundaries. This
trend continues, with the highest gear ratio passing through the
rated speed of 17.8 m/s. As the wind speed increases through
Region 3, the lower gear ratios come back at around 22 m/s. As
the cut-off speed is approached, the power coefcient reduces the
torque such that the lower gears will not overheat the generator
and can once again provide the greatest amount of power.
Through this high wind region, the VRG continues to shift gears
out to lower speeds so that the system can follow the portion of
the power curve that is within the maximum and minimum
power band. Throughout Region 3, the overall torque stays within
10% of the generator rated power.

12

x 10

10

power [W]

Maximum power
Minimum power
Single speed
5 speed VRG

6
4
2
0
0

10
15
wind speed [m/s]

Fig. 8. Power curve for a ve-speed VRG.

20

25

1080

J.F. Hall et al. / Renewable Energy 36 (2011) 1075e1080

Table 1
Comparison of VRG to single speed turbine.
Total area (  104 W m/s)

Gears

Region 2 area (  104 W m/s)

Region 3 area (  104 W m/s)

No.

Low

High

Single

VRG

% inc

Single

VRG

% inc

Single

VRG

% inc

2
3
4
5
6

21.0
20.5
19.1
17.1
14.7

21.6

140.9

145.7
147.8
149.6
150.8
151.0

3.4%
4.9%
6.2%
7.0%
7.1%

75.6

77.4
78.6
80.4
81.5
81.7

2.3%
3.9%
6.3%
7.8%
8.0%

65.3

68.4
69.3
69.3
69.3
69.3

4.7%
6.1%
6.1%
6.1%
6.1%

The results presented here indicate that a VRG can be useful to

increase the aerodynamic efciency of a wind turbine. The VRG
allows the rotor more variation in relation to the xed speed of the
power generator. The ability to vary the rotor speed at discrete
gear ratios coupled with control allows for the selection of
a power coefcient that can boost efciency in low wind regions.
This suggests that the VRG can make a contribution in the low
speed region where variable speed control is currently the only
available option. A reliable VRG can be developed at a low cost
based on the mature technology of the automotive industry.
Hence, this will be a practical alternative, particularly to small
wind turbines, when compared to the cost of power electronics
required for variable speed operation. In addition, the VRG is able
to limit power in the high wind region, and thus prevent the need
for pitch control as well.

4. Conclusion and future work

The results presented in this paper demonstrate how the variable-ratio gearbox (VRG) can be used to boost wind capture in the
low wind speed region or Region 2. This occurs by providing a set of
gear ratios, each of which has a unique power coefcient. By
selecting the ratio that corresponds to the greatest efciency, the
aerodynamic power captured is increased in Region 2 over the
conventional single speed approach. The VRG can be a low cost
alternative to power electronics that are currently used to boost
wind capture by way of variable speed operation. In addition, the
VRG may eliminate the need for pitch control in the high wind
region since it effectively limits the output power. Through varied
gear ratios, changes in wind speed that typically manifest as drive
train fatigue can also be mitigated. The VRG design is derived from
the manual gearbox concept that is used in the automotive
industry. The product is based on a mature technology that is
known to be low cost and highly reliable. Future work includes the
implementation of control, and a study to determine the optimal

22
21

Gear rat io

20
19
18
17
16
15
RD = 18.5 m, GR = 21.59
0

10
15
wind speed [m/s]

20

Fig. 10. Gear ratios used to maximize generator output.

25

amount of gears that should be applied in the VRG, based on wind

speed spectrum collected from wind farm sites.

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