energies
Review
A Review of Technology Readiness Levels for Superconducting
Electric Machinery
Bárbara Maria Oliveira Santos 1, * , Fernando Jorge Monteiro Dias 1 , Frederic Trillaud 2 ,
Guilherme Gonçalves Sotelo 3 and Rubens de Andrade Junior 4
Citation: Santos, B.M.O.; Dias, F.J.M.;
Trillaud, F.; Sotelo, G.G.; de Andrade
Junior, R. A Review of Technology
Readiness Levels for
Superconducting Electric Machinery.
Energies 2023, 16, 5955. https://
doi.org/10.3390/en16165955
Academic Editors: Silvio Vaschetto
and João Filipe Pereira Fernandes
Received: 14 July 2023
Revised: 31 July 2023
Accepted: 4 August 2023
Published: 12 August 2023
Copyright: © 2023 by the authors.
Licensee MDPI, Basel, Switzerland.
This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/).
Energies 2023, 16, 5955. https://doi.org/10.3390/en16165955
1 Electrical Engineering Department, Universidade do Estado do Rio de Janeiro,
Rio de Janeiro 20550-900, Brazil; fernando.dias@eng.uerj.br
2 Instituto de Ingeniería, Universidad Nacional Autónoma de México, Mexico City 04510, Mexico
3 Electrical Engineering Department, Universidade Federal Fluminense, Rio de Janeiro 24210-240, Brazil;
gsotelo@id.uff.br
4 Department of Electrical Engineering, Universidade Federal do Rio de Janeiro,
Rio de Janeiro 21941-909, Brazil; rubens.andrade.jr@poli.ufrj.br
* Correspondence: barbara.santos@eng.uerj.br
Abstract: Superconducting electric machines (SEMs) have the potential to be commercially available
in the coming years. This commercialization depends on the availability of high-temperature super-
conductors (HTS) produced on a large scale. HTSs have high current densities and low losses, making
them the leading technology choice for future light and compact high-power-density superconducting
rotating machines, with a particular niche for high torque at low frequency. The advantages of SEM in
its fully superconducting design or hybrid configuration (conventional stator, superconducting rotor)
inherit from the characteristics of the superconductor material. So, they can show greater efficiency
at a higher power density and lighter frame than their conventional counterparts for an equivalent
power rating. Applications like electric aircraft, naval propulsion, and wind turbines, among others,
are likely to use SEMs if the rated power has to be increased beyond what is technically available with
conventional technology. In this context, this paper reviews SEMs and their applications. However, it
also aims to highlight the main the literature projects with a minimal Technology Readiness Level
(TRL) larger than three. Due to the diversity of the superconductors’ characteristics and the variety of
machines, the modes of operation of SEMs can be quite distinct from conventional machines. Taking
into account such diversity, SEMs are presented and sorted out by their operational principles and
the choice of superconducting material. Finally, the future perspectives of SEM are discussed.
Keywords: superconductivity; superconducting machines; technology readiness levels
1. Introduction
The use of superconductors in electric machinery has been investigated since the
1960s. Its roots lie in the advantages of the superconducting materials. They have zero
resistivity in DC and negligible resistivity in AC; they exhibit perfect diamagnetism in
specific conditions; and they can trap large magnetic fields. All these aspects can improve
machine performance by enhancing the prospective power rating or increasing the power-
to-weight ratio, making them lighter and/or smaller than conventional machines for the
same power rating.
Up to this day, many Superconducting Electric Machinery (SEM) projects have been
proposed and published. Many of these projects involve academia, governments, com-
panies, and even the military. Some have yielded patents. There is a profound interest
in probing the capabilities of such machines in the context of energy sustainability. SEMs
have been considered one of the key technologies that enable the electrification of aircraft,
for instance [1,2]. However, none of these projects has generated commercial products.
Having been discovered at the beginning of the 20th century, superconducting materials
https://www.mdpi.com/journal/energies
Energies 2023, 16, 5955 2 of 18

had a boom in their development between the 1960s and the 2000s, when materials with
characteristics that were adequate for large-scale power applications were discovered.
These characteristics involve temperature, current, and magnetic field limits. Supercon-
ductors usually operate under 100 K, give or take. This implies that the devices relying on
superconductors need very specific cooling systems to operate. In addition to their cost,
these cooling systems reduce the overall efficiency of the device. There is also a need to un-
derstand and model their electromagnetic properties correctly. Electromagnetic modeling,
simulations, and experimental techniques are very active research fields. There is a lot of
ground to cover regarding project development for superconducting devices, how much?
is the question for the SEM.
One way to address this question is to apply standardized technology assessment to
SEMs. The Technology Readiness Level assessment, developed by the National Aeronautics
and Space Administration (NASA) in the USA, is a good approach for this task [3]. This
is a standard process to evaluate whether a given technology is ready to be applied to
spacecraft. The readiness stages are divided into nine TRLs. TRLs 1 to 3 focus on concepts
and proofs of concept. TRLs 4 to 6 focus on prototype development and evaluation. TRLs
7 to 9 focus on validation in the target environment and the completion and maturity
of the system. The steps defined for TRL assessment can also apply to any technologies
for any use if appropriate adaptations and modifications to the assessments are made.
This is the contribution of this paper. Here, we discuss the TRL achieved by various SEM
projects while also detailing the adaptations needed to apply TRL assessment to SEMs. Our
endeavor is to evaluate proposals that have surpassed TRL 2, which means they are TRL
3 or above. So, any works focusing on simulations, topology optimizations, etc., are not
considered here. We thoroughly analyze projects with TRLs equal to or greater than 5. We
selected works that were published after 2017, up to the time that TRL of older projects had
been already assessed.
This paper is divided as follows: Section 2 presents an overview of the superconduc-
tivity phenomenon, the superconducting materials applied to machines, and the types of
SEMs reviewed in this paper. Then, Section 3 presents the TRL assessment process, its
application to SEMs, and a review of the TRL levels of current projects. The prospects of
the technological advancements in SEMs are discussed in Section 4. A conclusion is made
in Section 5.

2. Superconductivity and Superconducting Electric Machinery

In this section, a summary of the basic elements of the superconductivity phenomenon
and its applicability to electric machinery is provided. First, the physics behind supercon-
ductivity is described. Then, the types of superconducting materials applied to electric
machines and the types of machines are discussed.

2.1. Superconductivity
The superconductors are classified into two types: I and II. Type I superconductors
exhibit perfect diamagnetism and zero DC resistivity under critical values of temperature
(Tc ) and magnetic field intensity (Hc ). Type II superconductors exhibit the same behavior
under Tc and the first critical magnetic field intensity (Hc1 ); however, they experience
a mixed state between Hc1 and a second critical magnetic field intensity (Hc2 ). In this mixed
state, a part of the magnetic field penetrates into the bulk of the superconductor, allowing
large quantities of current to flow. The superconductor presents a nonlinear resistivity, the
intensity of which depends on the current density, the magnetic field intensity, and the
temperature. This resistivity increases exponentially as the current density approaches and
passes the critical current density (Jc ), marking a limit on the capability of the superconduc-
tor to transmit current without losses. Because of the mixed state, type II superconductors
are the only superconductors that are technologically applicable to large-scale applications.
Besides the ability to conduct large currents, another interesting characteristic of the
mixed state is the trapping of magnetic flux when the superconducting piece is field-cooled
Energies 2023, 16, 5955 3 of 18

(FC), i.e., when it is cooled in the presence of magnetic fields. In this case, after removing
the external magnetic field, magnetic flux is trapped in the superconductor, giving it
a behavior similar to those of permanent magnets. Fields up to 17.7 T [4] have been trapped
in superconductors. Both behaviors can be used in electric machinery design, as explained
in Section 2.3.
The mixed state resistivity (ρsc ) is usually modeled with a power law, as follows:
n −1
Ec J
ρsc = (1)
Jc Jc

with Ec being the critical electric field, ranging from 0.1 to 10 µV/cm, and n being the power
law index. Figure 1 shows an example of the normalized E-J characteristic of stabilized type
II superconductors from which resistivity can be inferred around the Jc . Up to Jc , the electric
field is almost zero. As the current density approaches Jc , it increases sharply. Jc s are within
the range of 108 A/m2 for superconducting bulks and 1010 A/m2 for superconducting
tapes. This means that the superconductor can typically carry greater current densities than
common conductors. This allows the reduction in device sizes and weight. The specific
types of superconductors applied to electric machinery are discussed in the next section.

Figure 1. Normalized power law for different superconducting materials with their typical n values. The
electric field is E; the current density is J. Four types of materials are represented: YBCO, with n value
from [5], BSCCO, with n value from [6], MgB2 , with n value from [7], and NbTi, with n value from [8].

2.2. Superconducting Materials in SEMs

The development of the first rotating electrical machines can be traced back to the
mid-1960 s with the development of hybrids synchronous machines [9] and DC homopolar
machines [10]. Such machines had a NbTi-wound rotor. The rotor was cooled by using
liquid helium at 4 K, and the conventional stator was operated at room temperature [11].
NbTi had just been discovered in 1962 [12]. This material was quickly made into stabilized
wire to be used in applications. It was the main technology for building superconduct-
ing power devices using helium cooled system until the 1990s, still benefiting from the
development of low AC loss conductors [13].
Besides NbTi, Nb3 Sn was developed. Some preliminary work showed potential for ap-
plicability [14,15]. However, despite its better superconducting characteristics, it lacked the
maniability of NbTi, being a brittle material. Its better performance in field at a larger cur-
rent margin than its counterpart NbTi did not outweigh the hassle of its handling using the
Energies 2023, 16, 5955 4 of 18

wind-and-react (W&R) or the react-and-wind (R&W) methods to fabricate superconducting

devices [16].
With the discoveries of HTS in the mid-1980s [17], new possibilities emerged to use
superconductors at temperatures greater than 4 K. A new range of temperatures could be
exploited from 20 K to more than 77.3 K, with the latter being the temperature of liquid
nitrogen at atmospheric pressure. Thus, newly manufactured commercial HTSs have shown
a clear advantage over LTSs by avoiding the complexity of dealing with liquid helium.
The first HTS, referred to as first generation (1G) or BSCCO, demonstrated the first real
potential for large-scale manufacturing and practicability for power applications. BSCCO
is found in two compositions: Bi2 Sr2 CaCu2 O8 (BSCCO-2212) and (Bi,Pb) Sr2 Ca2 Cu3 O10
(BSCCO-2223) [18]. Bi2212 composition has never found a commercial niche [19], leaving
the market to the most popular Bi2223, which is commercialized nowadays by Sumitumo
Electric Industries Ltd. Bi2223 is sold as tape with a production length in the order of
kilometers with stable and consistent superconducting properties [20]. It was considered in
several machine demonstration projects in the late 1990s. Its glory has fallen away in recent
years [10] for YBCO, and BSCCO has never led to any actual commercial products from
that point on.
In the 2000s, YBCO, referred to as second generation (2G), was not competitive yet
but it was already gaining a lot of traction from HTS manufacturers driven by the prospect
of a lower production cost than BSCCO technology, despite its low current density at the
time. After a continuous effort and investment, it is nowadays the main material used in
the design of SEM [21]. YBCO has now been replaced by REBCO, RE for Rare Earth, as
other elements from the lanthanide family can substitute the yttrium (Y) in the fabrication
of the ceramic material. Such elements may be Gadolinium (Gd) or Europium (Eu), among
others [22]. The choice of the element depends on the manufacturer.
In 2001, a known compound (synthesized in the 1950s), MgB2 , was found as a super-
conductor with a critical temperature in the order of 39 K [23]. Its manufacturing is cheaper
than any HTS due to the low cost of the materials. However, there are still some issues to
overcome, such as the fabrication of reliable electrical joints and some practical issues simi-
lar to those associated with Nb3 Sn. Indeed, techniques such as W&R and R&W should be
employed to make coils since MgB2 requires heat treatment to create the superconducting
phase [24]. Conceptual designs and preliminary experimental works have been carried out
thus far, but no demonstration projects have been conducted yet [25,26].
For LTS and MgB2 , the machine design considers impregnated coils directly or indi-
rectly cooled by gas or liquid helium, and cryocooler in specific cases (Nb3 Sn, for instance).
For HTS, the design is either using coils wound with tapes or wires for BSCCO or bulks
and tapes for REBCO [27].
Table 1 provides some statistics on the superconducting materials considered and
some time frames used for demonstration projects in SEM since the 1960s. Today, LTSs
have been superseded by HTSs. REBCO is the main superconducting material for SEMs,
taking over the place held since the late 1990s by BSCCO. There is very little use for MgB2
in machine design, at least until now [21].

Table 1. Statistics on superconducting materials used in SEMs to date [9,10,21,28]. The total number
of cited materials is 137.

Considered in Design and Manufacture over All

Material Year Span
the 137 Referenced Projects (%)
NbTi 33 1960s–1990s
Nb3 Sn 2 1980s–2010s
MgB2 4 2010s–2020s
BSCCO 23 1990s–2020s
REBCO 38 2010s–2020s
Energies 2023, 16, 5955 5 of 18

2.3. Types of SEMs According to Their Operational Principles and Materials

There are several types of conventional electrical machines produced commercially on
the market. In the case of superconducting electric machines, there is no commercialization
yet. So, the references for the existing machines are prototypes described in the literature
targeting specific applications. The classifications and naming of these superconducting
machinery have varied throughout the years. According to the form of superconductors
used for construction, the SEM can be categorized as follows [21]: wire- and tape-based
design, HTS bulk design, and HTS stacked tape design. The same reference [21] has helped
in assessing many machine proposals and their classification in an orderly manner. Here,
we present a summary of the most relevant types of machines, explaining their principle
of operation.
With regard to speed and torque, SEMs are subjected to the same classification of
conventional machines: either, they are synchronous or they are asynchronous. Usually,
synchronous machines are the ones where the superconducting field winding is directly
fed with the DC current. This machine makes use of the zero resistivity characteristic of
the superconducting mixed state. Synchronous SEM can also be designed with supercon-
ducting coils and permanent magnets. On the other hand, asynchronous SEMs are the ones
that essentially operate in an asynchronous manner, even though they may momentarily
operate as a synchronous machine. Superconducting induction machines, for example,
have torque while operating synchronously [29]. The same may be said about hysteresis
machines and trapped-flux machines. In these cases, they make use of both low resistivity
and magnetic flux trapping to operate. Low resistivity helps to keep losses low during
asynchronous operation and magnetic-flux trapping allows these machines to operate syn-
chronously. Because the field is trapped, there is almost a constant magnetization available
to interact with the armature field producing torque. If the machine loses synchronism, it
continues to operate, albeit with AC losses.
SEMs may also be sorted between radial magnetic flux and axial magnetic flux ma-
chines, just like conventional ones. Both have been researched, while radial flux machines
are more common, axial-flux machines are of interest for high torque applications.
One specific classification analysis for SEMs is focused on the localization of the
superconductor in the machine. If the superconductor is located either in the armature
winding or in the field winding, the SEMs are considered partially superconducting or
sometimes hybrid machines. This means that, for these machines, the superconductor
interacts with the windings (field or armature) of common conductors or with permanent
magnets. However, if all the windings are superconducting, the machine is considered
fully superconducting.
In the present case, as the stators are similar for both a superconducting and a con-
ventional machine, we will present only the rotors with the superconducting material. The
most common SEM’s rotors found in the literature are summarized in Table 2. One common
kind of SEM utilizes trapped magnetic flux in HTS bulks or stacks of 2G tape [29–36]. It is
named a trapped-flux machine and operates as a synchronous or hysteresis machine. In
synchronous motors, multiple phases AC currents applied in the stator produce a rotating
magnetic field. This rotating magnetic field attracts the rotor field, which is produced by
the trapped field in the superconductor, leading to the production of a torque. If the load
torque is under a maximum limit given by the properties of the superconductor, the rotor
follows the rotating magnetic field without slipping, both with the same speed. If the load
torque is increased over this limit, the flux pinned in the superconductor becomes smaller
than the Lorentz’s force, making the HTS enter a hysteresis cycle. Typical rotors applied in
this kind of SEM are presented in the first five lines of Table 2. The literature also presents
trapped-flux SEMs based on radial flux operation mode (the first three lines of Table 2) and
axial-flux SEMs (the fourth and fifth lines of Table 2).
Energies 2023, 16, 5955 6 of 18

Table 2. Typical superconducting rotors found in the literature applied in SEM.

Superconducting Rotor Configurations Machine Type Power Range Reference

Trapped Flux NA [30–32]

Trapped Flux 500 W [29,33]

Synchronous Motor 540 W [34]

Axial-Field Synchronous 500 W [35]

Axial-Field Synchronous 3 kW [36]

Synchronous 1 kW to 200 kW [37]

Synchronous 300 kVAr [38]

Synchronous 50 kW to 3 MW [39–42]

Induction/Synchronous 550 W to 50 kW [43–46]

Energies 2023, 16, 5955 7 of 18

Synchronous generators operate based on the induced voltage in the stator, which
is produced by a DC magnetic field source in the rotor. In an SEM, the magnetic field
can come from the trapped flux in the superconductor (bulks or stacks of 2G tapes) or
a direct current applied to an HTS coil, as presented in lines six and seven of Table 2.
The rotor can use ferromagnetic material and present a core design similar to traditional
machines [37]. This type of machine takes advantage of the high superconductor transport
current capacity, producing elevated magnetic flux densities with fewer turns in the coil
than conventional conductors. Moreover, it is possible to produce a field coil without
using a ferromagnetic material, which could result in a lighter machine. One SEM project
highlight is the EcoSwing [47], the rotor HTS coil of which is illustrated in the eighth line of
Table 2. The field coils are wound with an HTS-coated conductor or REBCO to produce the
DC magnetic field. The EcoSwing is the world’s first demonstration wind turbine using
superconducting material, presenting a nominal power of 3.6 MW.
An induction/synchronous motor was proposed in [43–46] using BSCCO HTS. The
rotor of such SEM is presented in the last line of Table 2. This kind of motor may trap
flux in superconductor bars and operate as a synchronous machine. If the load torque is
increased over a certain limit, the trapped flux in the superconductor changes and the rotor
speed becomes slower than the synchronous one.
The literature also presents SEMs with superconducting materials in the stator. As
aforementioned, they may be fully superconducting machines or partial superconducting
machines. In the first line of Table 3 (see [35]), a BSCCO coil is constructed. The second line
of Table 3 corresponds to a superconducting coil made of 2G tapes [48]. Both machines
are synchronous and operate based on the attraction force between the magnetic flux
produced by an applied current in the superconducting coil and the magnetic field of the
permanent magnets.
SEMs with radial flux stator have also been introduced in the literature. A super-
conducting synchronous machine with permanent magnets was proposed in [49]. The
illustration of the designed stator is presented in the third line of Table 3. The supercon-
ducting stator coils used 1G tapes assembled in a double-wound pancake configuration,
whereas the rotor houses rare earth permanent magnets.
A 50 kW fully HTS induction/synchronous motor was presented in [50]. The three-
phase four poles HTS toroidal stator of this machine is illustrated in the fourth line of
Table 3. It used a so-called ring-winding configuration and was laminated with silicon
steel. The BSCCO tapes were wound to produce flux in the azimuthal direction in the stator
core. Every pole has two coils supplied with currents in opposite directions to produce
a resultant radial flux. The rotor of this machine is a squirrel cage with BSSCO bars, similar
to the one illustrated in the last line of Table 2. A superconducting stator similar to the
previous one was proposed in [51] and is given in the last line of Table 3. This SEM included
a copper coil in every stator pole to increase the magnetic flux to the rotor direction, similar
to a Halbach array [52]. There are also the homopolar SEM stators discussed extensively
in [21]. This kind of machine is not considered in this manuscript, and we refer the reader
to [21].
Energies 2023, 16, 5955 8 of 18

Table 3. Typical superconducting stators found in the literature applied in SEM.

Superconducting Stators Configurations Machine Type Power Range Reference

Axial Flux 2 kW [35]

Axial Flux NA [48]

Synchronous 2.5 to 10 MW [49]

Synchronous 20 kW to 50 kW [46,50]

Synchronous 2 kW [51]

3. Review of TRLs of Current Projects

This section introduces a review of the Technology Readiness Levels of current su-
perconducting machine projects. First, a discussion about TRLs and their application to
superconducting machines is laid forward. Then, the full review is presented with a focus
on projects with TRL ≥ 3, starting from 2017.
Energies 2023, 16, 5955 9 of 18

3.1. Technology Readiness Levels

Technology Readiness Levels are a useful tool to assess the maturity of a technology.
NASA proposed it in the 1980s to evaluate the states of technologies to be used in the
Aerospace industry. Nowadays, it is part of NASA’s Systems Engineering Technology
Assessment process. Systems engineering is a multi-disciplinary methodology to develop,
manage, operate, and retire a system [53]. A system can be defined in many ways, but
overall, it can be thought of as a set of devices, personnel, and software that, working
together, meets a certain need [53]. Technology evaluation or assessment is crucial to the
systems engineering approach because it provides all the information necessary for system
design and operation.
TRL assessment involves the entire technological development process. The evaluation
starts with basic research and goes on to prototype development, system development,
and launch operation [53]. There are nine Technology Readiness Levels, as presented in
Table 4. The first three levels are focused on basic research. TRL 1 is achieved when the
basic principles have been observed and published. TRL 2 comprises the definition of
the technology and the applications proposed for it. Furthermore, the third TRL, TRL 3,
focuses on the proof of concept conducted via analysis and experiments. In TRL 3, the
critical function of the device is demonstrated.

Table 4. Technology Readiness Levels (TRLs) as defined by NASA in [53]. For the purposes of this work,
the words “demonstrations” and “validations” may be used interchangeably.

TRL NASA’s Definition

1 “basic principles observed and reported”
2 “technology concept and/or application formulated”
3 “analytical and experimental critical function and/or characteristic proof-of-concept”
4 “component and/or breadboard validation in laboratory environment”
5 “component and/or breadboard validation in relevant environment”
6 “system model or prototype” validation “in relevant environment”
7 “system model or prototype” validation “in target environment”
8 “system completed through test and demonstration”
9 “actual system “flight proven” through successful mission operations”

From TRL 4 to TRL 6, technology development is focused on product validation.

Validation, in this context, is linked to stakeholders’ expectations. A product has been
validated if it meets the stakeholders’ expectations to operate appropriately in the intended
environment. The stakeholders (all people, companies, laboratories, governments, etc.,
involved in the project) and their expectations of the technology must be clearly stated.
TRL 4 is achieved when a technology has been validated in a laboratory environment. TRL
5 focuses on validation in a relevant environment, emulating operating conditions. TRL 6
is achieved when a prototype is fully demonstrated in a relevant environment, close to the
one expected during actual operation without all the systems.
TRLs 7 and 8 are part of the system development. TRL 7 is achieved when the system
prototype is demonstrated in the target environment. Demonstration, in this case, means
a full demonstration and assessment of the technology in all possible modes of operation.
TRL 8 is achieved when the system is completed and fully validated. TRL 9 is achieved
when the technology is in full use.
The NASA Engineering Systems Handbook [53] recommends that to assess the TRL
of a given system/subsystem correctly, it is necessary to ensure that all the terminology
used in TRL assessment is clearly defined for this particular subsystem; for instance, the
definitions of the basic principles, what validation means, and what type of measurements,
simulations, and modeling should be carried out to establish a certain TRL level.
This paper aims to address this problem by suggesting a step-by-step approach,
alongside the terminology, that could be applied to the assessment of Superconducting
Electric Machinery. This ensures that, even with a few judgment calls that may happen to
Energies 2023, 16, 5955 10 of 18

all TRL assessments, the SEMs are evaluated with the most straightforward, clearly stated
criteria. This approach is likely to generate a more objective than subjective evaluation of
SEMs, contributing to their future developments and applications.

3.2. Application of TRLs to Superconducting Electric Machinery

TRL 1 focuses on the definitions and investigations of the basic principles of the technol-
ogy. For electric machinery, the basic principles are related to the correct energy conversion
from electric energy to mechanical energy or vice versa. This means that the device must
develop force or torque if electric energy is provided to it or generates electric energy given
some external force or torque. This, of course, applies to SEMs. Here, it is proposed that
the basic principles expected from a superconducting machine are validated by using nu-
merical and/or analytical results and/or experiments demonstrating the energy conversion
as intended. Simulations, analytical, or experimental proofs of basic torque/force–speed
relations and/or torque/force–input current/voltage relations are necessary to prove the
operation as a motor. To prove the operation as a generator, current/voltage–force/torque
curves from simulations and/or experiments are needed. As the superconductor is highly
dependent on the temperature, some information about the operating conditions, such as
fixed temperature, adiabatic system, etc., should be stated to be considered in the model.
Analysis of expected regions of operation regarding temperature, magnetic field, and current
density should be addressed, as they define the state of the material (superconductor or
normal resistivity). This allows the move up the TRL ladder.
TRL 2 is the definition of the technological concept and the application. In this TRL,
more technical details should be included and/or discussed, as it is at this stage that the
end application is defined. So, in this TRL, it is important to clearly state the purpose (for
instance, aircraft propulsion, aircraft control, vessel propulsion, wind power, etc.) and to
address how the SEM will be built for it. Hence, a more specific design is needed, such as
the designated number of magnetic poles and expected speed (synchronous, asynchronous,
both, speed ranges, etc.), expected force/torque, and current/voltage requirements. Fur-
thermore, some information on the cryogenic system is welcome, such as the definition
of expected temperature range and the type of cryogenic system that may best suit this
application.
In this work, the discussion concerns Superconducting Electric Machinery projects
that have achieved TRLs equal to or greater than 3. This means that they should have
been tested via simulations and experiments in a laboratory environment. This excludes
topology and design proposals and optimizations conducted solely with simulations. To
achieve TRL 3, a project needs to have demonstrated the SEM’s critical functions. This
includes experimental proof that the machine has the electromechanical characteristics
defined in TRL 2. Consequently, force/torque versus speed and force/torque versus
current/voltage measurements are expected, along with temperature information. For
example, for a synchronous machine to be operated at 77 K, experimental proof should
demonstrate that the machine can achieve and hold synchronous speed at its operating
temperature.
According to [53], TRLs 4 and 5 depend on “component and/or breadboard” validation.
In the present case, a “breadboard” prototype is a subscale prototype that has been tested in
a laboratory environment. A full-scale prototype needs to be tested in a proper environment
that simulates the expected conditions of the basic operation of the machine. This definition
is important to distinguish TRLs 4 and 5. Here, it is proposed that the validation steps for
TRLs equal to or greater than 4 should include a full assessment of the machine. This includes
not only the measurements required for TRL 3 but also thermal measurements or, at least,
some description of the thermal conditions and electromechanical measurements (torque,
speed, voltage, and current) with and without load, giving a full analysis of all possible
operation points of the machine. All these aspects should be validated, i.e., compared to the
stakeholders’ expectations: to the intended design, to application requirements, etc.
Energies 2023, 16, 5955 11 of 18

Furthermore, for TRLs 5 and 6, a “relevant environment” is needed. As mentioned

previously, a relevant environment is the one that mimics or emulates the actual envi-
ronment, also called target environment by the Systems Engineering Handbook [53]. As it
depends on the proposed application, it might vary between projects. For example, for
a machine whose purpose is to be used in aircraft propulsion, one may look for experiments
conducted in flight demonstrators, where the machine is submitted to conditions similar to
those encountered during flights. For machines applied to wind turbines, one should look
for experiments conducted with the presence of the turbines and so forth. The experiments
should consist of the same type as the ones conducted in TRL 4, or more thorough. For
TRL 6, one expects the full system to be validated, including the machine itself, the control
systems, the cryogenic system, and any other system identified as needed for machine
operation during the previous stages of development.
TRL 7 also depends directly on the application, so one looks for machines fully tested
on-site. TRLs 8 and 9 mean a fully completed system, and for TRL 9, proof of continued
use is required. A fully completed system for an electric machine means that the machine
can be fully controlled and is fully stable and its operation is reliable. Another important
aspect to consider is the possibility of change in the proposed application/use environment.
According to NASA [53], if a technology is rated at TRLs greater than 5, but its environment
has changed, the TRL goes back to TRL 5. This rule is also applied in the present case.
Table 5 summarizes the TRL assessment for SEMs.

Table 5. TRL assessment for SEMs presented step by step. The bold font highlights the achieved TRL.
Previous TRLs are in gray. All of the previous TRLs must be completed before the current TRL is achieved.

TRL Questions
Have the basic principles (electromechanical conversion of energy) been established
1
and proven?
Have the application and the specific design (electromagnetic and thermal)
1, 2
been defined?
Has the critical function (electromechanical characteristics and temperature) been
1 to 3
measured with a basic prototype in a laboratory?
Has a small scale or basic prototype been fully tested (all possible operation points,
1 to 4
thermal measurements) in a laboratory?
Has a small-scale or basic prototype been fully tested (all possible operation points and
1 to 5
thermal measurements) in a relevant (emulating the target) site?
Has a prototype to scale with all its subsystems been fully tested (all possible operation
1 to 6
points and thermal measurements) in a relevant (emulating the target) site?
Has a prototype to scale with all its subsystems been fully tested (all possible operation
1 to 7
points and thermal measurements) in the target site?
1 to 8 Is there a completed system (electromechanical, cryogenic, or others) fully functioning?
Is there a completed system (electromechanical, cryogenic, or others) that has been fully
1 to 9
functioning repeatedly without failure?

3.3. Review of the TRLs of SEM Projects

Reference [10] has made a thoughtful analysis of SEM projects, including TRL assess-
ment, for projects up to 2017. So, the analysis presented in this work extends from 2017 to
the present day.
In our overall evaluation, one project demonstrated enough details to be classified
as TRL 7: a synchronous generator for wind power applications developed by the EU
2020 EcoSwing project. According to the project website [47], it is the “world’s first
demonstration of a superconducting low-cost, lightweight drivetrain on a modern 3.6 MW
wind turbine”. The project included nine institutions from academia and industry. They
developed a full-scale generator installed in a wind turbine [40,41]. The HTS machine
Energies 2023, 16, 5955 12 of 18

is composed of superconducting field windings placed in the rotor and a conventional

armature winding in the stator. A rotor back iron is used as a flux concentrator. The machine
was first tested on the ground, where HTS winding excitation, short-circuit, stator-heat
run, no-load, and partial power production tests were performed. A quench happened in
one of the HTS coils, which was replaced with ease. Then, the prototype was installed in
the wind turbine and tested. The full test was conducted in five steps: rotor cool-down,
first excitation of the field winding, first power production, second excitation of the field
winding, and second power production. Excitation and power production were divided
into two steps to reduce risks. During the power production stages, three short-circuit
events happened. According to [41], the HTS technology had excellent performance, even
during the short-circuit events. With more than 650 h connected to the grid, the HTS
generator provided more than 600 MWh to the Danish electric grid, including the first
time in history that an HTS generator delivered electric power to a grid [41]. The project
successfully places the HTS generator for wind power applications in a TRL range between
6 and 7, according to [41], which is in agreement with our evaluation. It is a very important
project to the field, as it provided a fully tested prototype, developed by academia and
industry.
Another advanced project was the one developed by Yanamoto et al. [42], which has
been attributed a TRL 5. This project has been led by The Tokyo University of Marine
Science and Technology as well as the Kawasaki Heavy Industries, with the Ministry of
Economy, Trade and Industry from Japan since 2007. In [42], the authors described the load
test program applied to a 3 MW HTS motor. These tests were conducted in the HTS motor
test facility, which has the capability to reproduce real-life load scenarios of sea vessel
propulsion. The partially superconducting machine is a radial-flux synchronous motor
with a DI-BSCCO winding and an air-core rotor shaft. They ran constant load (performance
and 100 h endurance) and variable load tests. According to [42], the motor demonstrated
reliable operation during the tests. In the present case, the machine has been thoroughly
tested in an environment built specifically to mimic real-life operation, being eligible to be
considered a “relevant” environment in the TRL classification procedure.
Table 6 summarizes all the papers and projects that were reviewed and their TRL. All
projects were considered to have achieved TRL 1, as the basic principles of all types of
SEMs presented here had already been tested. TRL 2 is very application-specific, and it is
common to find projects that would fulfill TRL 2 based on a basic, non-application-specific
design defined by the stakeholders. They were also attributed TRL 2 for this evaluation,
but it is recommended that future projects include more application-specific design in their
research, as we argue later in the text. Most of the evaluated projects amounted to TRLs 3
and 4, meaning that the overall SEM technology has been experimentally proven as proof
of concept, and most topologies were investigated with a prototype tested in a laboratory
environment.
Most prototypes were classified as synchronous machines, working as either genera-
tors, motors, or both. In this case, as explained in Section 2.3, the field winding is super-
conducting and directly fed with DC current. Both partially and fully superconducting
machines have been investigated. For all machines, but especially for fully superconducting
machines, the targeted scenario is to dramatically reduce or eliminate the use of ferromag-
netic materials, meaning that the machine operates with air cores in the rotor and/or the
stator. One of the main concerns for this type of machine is related to the AC losses and,
therefore, heat generation.
This research has found that the number of projects of trapped-flux radial machines,
induction machines, and linear machines is lower than the number of projects dealing with
synchronous machines. For trapped-flux machines, there is no current directly supplied
to the field winding, rather it is induced. Most prototypes are partially superconducting
machines with some type of ferromagnetic core. This is important because, as defined in
Section 2.3, those cores help the magnetization process. The main concern in this case is
to correctly assess all modes of operation of these machines. In operation, the machines
Energies 2023, 16, 5955 13 of 18

can switch between synchronous and asynchronous modes, or they can be used in one of
the two modes. This has been conducted for the investigated prototypes [29,31–33], with
special attention to the synchronous mode of operation, as this is the one with the lowest
AC losses.

Table 6. Superconducting Electric Machine projects and their attributed TRLs.

Country(ies) Superconducting? Machine Type Application TRL Reference

The Netherlands;
Denmark; Germany; Partially Synchronous Wind power 7 [40,41]
France
Japan Partially Synchronous Marine propulsion 5 [42]
USA; South Korea Partially Synchronous Aircraft 3 [54]
China Partially Flux-switching Wind power 3 [55]
South Korea Partially Synchronous Wind power/aircraft 4 [39,56]
Direct-drive power
China Fully Wave energy 3 [57]
converter
Japan Fully Synchronous Aircraft 3 [58]
Russia Fully Synchronous ? 4 [59,60]
Cryogenic electrical
Russia Partially Trapped-field; brushless systems (ground 3 [36]
and space)
Synchronous;
Japan Fully Transportation systems 4 [45,50]
asynchronous
China Partially Synchronous Power system stability 3 [38]
France Partially Axial-flux - 4 [61]
France Partially Axial-flux - 3 [35]
Algeria; Romania Partially Axial-flux Aircraft 3 [62]
Japan; UK Partially Induction Aircraft 4 [63]
China Partially - Wind power 3 [64]
China Partially - Wave energy 3 [65]
Italy Partially Axial-flux - 4 [48]
China Partially Homopolar Aircraft 3 [66,67]
Transverse flux linear
China Partially Magnetic levitation 4 [68]
motor
Russia Partially Synchronous Transportation 4 [37]
UK; Germany Partially Trapped-flux; synchronous - 3 [31,32]
China Partially Doubly fed induction - 4 [51]
Brazil Partially Trapped-flux Aircraft 3 [29,33]
South Korea Partially Synchronous Wind power 4 [69]
Japan Fully Induction; synchronous - 4 [46]

The linear machine project reviewed here is a transverse flux linear motor [68]. It uses
a hybrid secondary coil with Aluminum and short-circuited superconducting HTS tapes,
relying on induced current in the stacks of HTS tapes.
With regard to magnetic flux, both radial-flux and axial-flux rotating machines have
reached up to TRL 4. Projects with axial-flux machines tend to be less common. However,
many different axial-flux machine configurations are investigated, for example, prototypes
Energies 2023, 16, 5955 14 of 18

with ferromagnetic cores in [35] and without ferromagnetic cores [48] have been proposed,
or under different operations, such as motor [61] and generator [35], as well. Material and
shape diversities are also observed in the prototypes: 1G HTS coils [35], bulks, and NbTi
coils [62], for instance.
As for applications, wind power applications are more advanced and constitute the
majority of the projects, with the largest TRL, such as the EcoSwing project at TRL 7.
Aircraft propulsion applications come second in the number of projects, followed by wave
energy, transportation applications (MagLev, etc), marine propulsion, and, finally, power
system stability.
Additionally, it is interesting to sort out the SEM patents that have been submitted
within the same period of time (2017–2022). Our research has found 12 different patents that
were submitted and/or published as patents in the US, China, Japan, South Korea, Europe,
Germany, and the international patent offices. Four companies appear as patent holders:
General Electric (GE), American Superconductor (AMSC), Siemens, and Rolls-Royce, as
listed in Table 7. Some of these projects clearly state the machine application, mostly wind
power. Furthermore, one can observe the particular focus on partially superconducting
machines with the superconductors used in the field winding. All projects were submitted
as patents to more than one patent office. Here, only one patent ID is used.

Table 7. List of patents of Superconducting Electric Machinery made available since 2017.

Patent ID Title Holder

US11261847B2 Wind turbine having superconducting generator and method of operating the same GE
Field coil support structure and modular field coil design in a
US20220302815A1 GE
superconducting machine
Partial cryogenic shielding assembly in a superconducting generator and methods
US20210211036A1 GE
of assembling the same
US8436499B2 Electrical machine with superconducting armature coils and other components GE
US20220014072A1 Superconducting generator driven by a wind turbine GE
US10601299B2 High-temperature superconductor generator with increased rotational inertia AMSC
US20210408888A1 Rotor with superconducting winding for continuous-current-mode operation Siemens
US20210375541A1 Electrical machine and method for fabrication of a coil of an electrical machine Siemens
US20210344256A1 Rotor and machine having superconducting permanent magnets Siemens/Rolls-Royce
Maschinenkomponente sowie elektrische Maschine mit
DE102018205170A1 Siemens/Rolls-Royce
supraleitendem Spulenelement
Elektrische Maschine mit supraleitfähigem Permanentmagneten und Verfahren
DE102016205216A1 Siemens/Rolls-Royce
zum Magnetisieren des Permanentmagneten

4. Future Perspectives of the Technological Development of SEMs

Finally, it is interesting to look ahead and ask what the perspectives for SEMs are.
A good outline for future trends of SEMs is found in [21], where the authors point out some
trends in the SEM research and development field. The first one is toward fully supercon-
ducting machines, which can be potentially more efficient than partially superconducting
machines. The main challenge, in this case, are the AC losses in the armature winding.
Another interesting trend is the attempt to reduce system complexity by avoiding having
superconductors in the moving part of the machine.
An additional trend concerns radial- and axial-flux machinery, while radial-flux ma-
chines are more common, as we have noted, the axial-flux topology may be much more
interesting for applications that require high torque density. Thus, it is expected that
axial-flux machines may be predominant in the SEM research landscape in the near future.
In this work, a TRL evaluation framework for SEMs is proposed. This framework
may also be applied as a guide to the research and development of SEMs. For example,
Energies 2023, 16, 5955 15 of 18

research could start with the goal of achieving TRL 3. First, the project can prove via
simulations/theoretical work or experiments the basic electromechanical energy conversion
principle of the machine, therefore moving to TRL 1. TRL 2 is established with the design
of a machine that fulfills the application requirements. TRL 3 is achieved as this design is
applied to a small-scale prototype. The prototype ought to be experimentally investigated
so that the machine’s critical functions are demonstrated. These steps help to ensure
that even a small-scale prototype has been tested with the end-goal application in mind,
increasing the quality of the research and development process.
The move from TRLs 3 to 4 may be very fast, given that they may be reached with
the same small-scale prototype and experiments in a laboratory environment; while TRL 3
is achieved if the critical functions are proven, TRL 4 is achieved only after a thorough
analysis of all possible states of operation through experiments, including electromagnetic,
mechanical, and thermal analyses for all the machine parts. The move to TRL 5 can be
challenging because this requires experiments in a relevant environment. This may mean
adding more resources in order to build/adapt laboratories and/or experiment sites.

5. Conclusions
A review of the Technology Readiness Levels (TRLs) achieved by Superconducting
Electric Machinery (SEM) projects published since 2017 was carried out. Firstly, an overview
of superconductors and their applications to electric machinery were presented. Then, the
TRL assessment system and its adaptation to the evaluation of superconducting machines,
as well as the review of the levels achieved by current projects were covered.
Most projects fall into the TRL 3–4 range, meaning that prototypes have been tested in
a laboratory environment. Two projects have surpassed this range. The first project, led by
the Tokyo University of Marine Science and Technology of a synchronous superconducting
motor, achieved TRL 5, having the prototype tested in a special facility that reproduced real-
life load conditions. The second project, the EU 2020 EcoSwing, dealing with a synchronous
generator, falls into the TRL 6–7 range. For this project, the full-scale prototype was
thoroughly tested and even generated power for the Danish electric grid. These two projects
show that SEMs have the potential to be the drivers for technological enhancements in
power systems onshore and offshore.
Finally, a short commentary about the future prospects of this technology was pro-
vided to the reader. SEMs may have a bright future ahead of them. Collaborations between
academia, governments, and industry seem to be one of the key drivers to improve TRLs tar-
geting specific applications. These applications lead to the development of new topologies
made into prototypes to be ultimately tested in situ.

Author Contributions: Conceptualization, G.G.S.; methodology, B.M.O.S., F.J.M.D., F.T., G.G.S. and
R.d.A.J.; investigation, B.M.O.S. and F.T.; writing—original draft preparation, B.M.O.S., F.J.M.D.,
F.T., G.G.S. and R.d.A.J.; writing—review and editing, B.M.O.S., F.J.M.D., F.T., G.G.S. and R.d.A.J.;
funding acquisition, G.G.S. and R.d.A.J. All authors have read and agreed to the published version of
the manuscript.
Funding: This work has been financed in part by the Coordenação de Aperfeiçoamento de Pessoal de
Nível Superior, CAPES, Brazil—code 001; by the Conselho Nacional de Desenvolvimento Científico e
Tecnológico, CNPq, Brazil; by the Fundação Carlos Chagas Filho de Amparo à Pesquisa do Estado do
Rio de Janeiro, FAPERJ, Rio de Janeiro, Brazil; and by the Instituto Nacional de Ciência e Tecnologia
em Energia Elétrica, INERGE/CNPq, Brazil.
Data Availability Statement: As this is a Review, no new data has been created. Data sharing
not applicable.
Conflicts of Interest: The authors declare no conflict of interest.
Energies 2023, 16, 5955 16 of 18

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