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Renewable and Sustainable Energy Reviews 192 (2024) 114262

Contents lists available at ScienceDirect

Renewable and Sustainable Energy Reviews


journal homepage: www.elsevier.com/locate/rser

Review Article

Applications of artificial neural network based battery management systems:


A literature review
Mehmet Kurucan a ,1 ,∗, Mete Özbaltan b ,1 , Zeki Yetgin c ,1 , Alkan Alkaya d ,1
a Ardahan University, Department of Computer Engineering, Ardahan, Türkiye
b Erzurum Technical University, Department of Computer Engineering, Erzurum, Türkiye
c
Mersin University, Department of Computer Engineering, Mersin, Türkiye
d
Mersin University, Department of Electrical and Electronics Engineering, Mersin, Türkiye

ARTICLE INFO ABSTRACT

Keywords: Lithium-ion batteries have gained significant prominence in various industries due to their high energy density
Battery management system compared to other battery technologies. This has led to their widespread use in energy storage systems, electric
Artificial neural network vehicles, and portable electronic devices. However, lithium-ion batteries still face limitations, particularly
SOH
concerning safety issues such as overheating and aging. BMS play a crucial role in ensuring safe and effective
SOC
operation by providing control and monitoring functions. Among the key challenges in BMS is the accurate
RUL
Battery fault detection
prediction of SOH, SOC, and RUL of the battery. Additionally, fault detection of lithium-ion batteries is an
Lithium-ion battery states essential function of BMS. Given the complex electrochemical characteristics of lithium-ion batteries, there is
a growing interest in developing advanced BMS that can accurately estimate the battery state. This review
article focuses on the increasing popularity of ANN based methods for predicting the state of lithium-ion
batteries. The literature review encompasses a wide range of studies on ANN-based battery management
systems. The BMS applications and prediction methods for SOH, SOC, and RUL are thoroughly classified.
The review covers state-of-the-art ANN methods, including feedforward neural network, deep neural network,
convolutional neural network, and recurrent neural network, and provides a comparative analysis. The article
also highlights current trends and identifies gaps in BMS applications. Furthermore, it offers insights and
directions for future research and development, aiming to upgrade existing BMS or create advanced BMS
systems. The comprehensive analysis presented in this review article serves as a valuable resource for research
and studies seeking to enhance BMS capabilities and improve battery management strategies in the context of
lithium-ion batteries.

1. Introduction aims to increase the utilization of sustainable and renewable energy


sources.
The increasing energy demand in rapidly globalizing and expanding In pursuit of the global objective, the initial phase of transitioning
world has posed significant challenges for conventional petroleum- to EVs has witnessed the adoption of HEVs as an intermediate step.
based energy sources, which are being rapidly depleted. Furthermore, Despite the anticipated reduction in emissions associated with HEVs,
the detrimental effects of these fossil fuels on environmental pollution their efficacy in fully mitigating the negative impacts remains lim-
and public health have become increasingly concerning. Notably, the ited. Consequently, the subsequent stage has marked the emergence
combustion of fossil fuels releases greenhouse gases into the atmo- of EVs, characterized by their superior ecological and environmental
sphere, exacerbating global climate change and its associated conse- attributes [4]. The pivotal technology enabling EVs to harness renew-
quences [1]. According to the International Energy Agency (IEA), the
able energy sources is battery technology. EVs rely on rechargeable
transportation sector accounted for %24 of global greenhouse gas emis-
batteries to store electricity, which can be generated from renew-
sions in 2015, with the road sector being responsible for the majority of
able sources. Battery systems assume a critical role in optimizing the
these emissions [2]. In response, there is a global shift towards reducing
performance and ensuring the safety of EVs. Among various battery
greenhouse gas emissions, mitigating global warming, and adapting to
technologies, LIBs have gained widespread prominence due to their
both environmental changes and energy shortages [3]. This transition

∗ Corresponding author.
E-mail address: mehmetkurucan@ardahan.edu.tr (M. Kurucan).
1
All authors contributed equally to this work.

https://doi.org/10.1016/j.rser.2023.114262
Received 26 September 2022; Received in revised form 16 May 2023; Accepted 20 December 2023
Available online 28 December 2023
1364-0321/© 2023 Elsevier Ltd. All rights reserved.
M. Kurucan et al. Renewable and Sustainable Energy Reviews 192 (2024) 114262

such as SOC values. A data collection framework is used to record


Nomenclature this information, and additional data can be generated based on the
battery or battery system model. Conversely, obtaining battery fault
Abbreviations information relies more on empirical tests, which are often performed
𝐴𝑁𝑁 Artificial Neural Network in laboratory settings as part of battery-related experiments [6].
Model-based methods, however, rely on battery models that in-
𝐵𝑀𝑆 Battery Management System
ternally capture the electrochemical dynamics of the battery. These
𝐶𝑁𝑁 Convolutional Neural Network
methods make assumptions based on the battery model to estimate the
𝐷𝐿 Deep Learning desired BMS parameters. In contrast, ML-based methods do not rely
𝐷𝑁𝑁 Deep Neural Network on any specific assumptions regarding the battery model. Instead, they
𝐸𝑉 Electric Vehicle establish a relationship between input and output data through training
𝐹 𝐹 𝑁𝑁 Feed Forward Neural Network without explicitly considering the battery model.
𝐻𝐸𝑉 Hybrid Electric Vehicle Model-based approaches require a relatively longer development
𝐼 Current time than data-driven approaches. This is because model-based meth-
𝐿𝐼𝐵 Lithium-ion Battery ods require a comprehensive understanding of the underlying physics
𝐿𝑆𝑇 𝑀 Long Short Term Memory and chemistry of the battery system, which can be difficult and time-
consuming to achieve. Conversely, data-driven approaches use ma-
𝑀𝐴𝐸 Mean Absolute Errors
chine learning algorithms to learn from large datasets, which can be
𝑀𝐿 Machine Learning
more efficient in terms of development time. However, obtaining high-
𝑁𝑁 Neural Network
quality data for data-driven methods can also be a challenging and
𝑅𝑀𝑆𝐸 Root Mean Square Errors time-consuming task. Therefore, the choice of method depends on
𝑅𝑁𝑁 Recurrent Neural Network various factors, including resource availability, required accuracy, and
𝑅𝑈 𝐿 Remaining Useful Life specific application context. While developing model-based methods
𝑆𝑜𝐶 State of Charge involves tasks such as modeling battery dynamics and designing con-
𝑆𝑜𝐻 State of Health trollers, data-driven methods require large amounts of representative
𝑇 Temperature data that must be collected, cleaned, and preprocessed before being
𝑡 Time used for training and validation. Thus, both approaches have their own
challenges and time requirements during the development process.
𝑉 Voltage
The current advantages and disadvantages of both approaches are
shown in Table 1. The popularity of ML-based studies in recent years,
and particularly the fact that ML-based algorithms offer more usability
than Model-based algorithms, causes them to be favored more by
exceptional characteristics, including high energy density, high energy
studies, even if both approaches have advantages and disadvantages
efficiency, and relatively long cycle life [5]. Consequently, LIBs find
extensive utilization in diverse applications such as energy storage sys- over one another [7]. Fig. 1 illustrates the taxonomy for the BMS-
tems, electric vehicles (e.g., cars, buses, aircraft, ships), and a plethora related studies in the literature, which shows the popular methods used
of contemporary electronic devices. for BMS estimations from the ML-based and Model-based perspectives.
The complexity of battery systems can increase with the growing The majority of these methods are employed to obtain high-accuracy
number of batteries employed. In the case of EVs, for instance, the BMS estimations incorporating LIBs. However, as Fig. 2 illustrates,
number of battery cells directly impacts both the vehicle’s weight ANN-based methods are the most prominent among them.
and the overall capacity of the battery system. However, an excessive Numerous reviews concentrate on studies for BMS state predictions
quantity of batteries can have adverse effects on battery health during that use ML-based, Model-based, or both. For instance, a compilation
charge/discharge cycles. This, in turn, indirectly influences the capacity of research on just SOH estimation has been carried out in [7], as
of the battery system. Additionally, critical errors can lead to sudden shown in Table 2, wherein 5 various ML-based methods are contrasted
drops in battery charging conditions. Consequently, there is a need for in this context. A general evaluation of the techniques used for SOC
battery systems that are compact, efficient, lightweight, safe, reliable, prediction was undertaken by [8] in reviews that look at works on
and long-lasting. This presents numerous research challenges, including SOC estimation, classifying them into four groups: explanation, metrics,
the estimation of SOH, SOC, RUL, and the detection of faults, which fall limits, and errors. By contrast, [9] contrasted model-based and ML-
under the purview of BMS. BMS plays a crucial role in managing battery based research for only SOC estimate based on the method, advantages,
systems to ensure their safety, reliability, and ability to deliver power disadvantages, and errors. Accurate estimation of RUL for LIBs is cru-
as required. Accurate estimation by the BMS is of utmost importance as cial for timely maintenance. In [10], ML-based models were studied
it helps prevent battery and system damage, such as premature aging, and the compilation was divided into two categories. One of these
by mitigating risks such as overcharging or overdischarging. categories focused on the fact that the methods studied were recent,
A well-designed BMS should provide valuable information on pa- while the other category made comparisons based on accuracy and
rameters such as charge/discharge cycles, voltage, current, tempera- complexity. Comparatively, the study in [11] focuses on the benefits
ture, and faulty states, which can serve as inputs for estimating the and drawbacks of model-based and ML-based SOH estimates and RUL
current state of a LIB. As depicted in Fig. 1, the literature employs predictions. The study underlines how data-based battery health pre-
various techniques to estimate the BMS parameters, including SOC, diction is becoming increasingly popular. Conversely, [12] created a
SOH, RUL, and fault detection. These techniques can be categorized study employing deep learning algorithms as part of ML-based models
into two main groups: model-based and ML-based approaches. in the field of prognostics and health management (PHM) of LIBs.
ML-based approaches utilize diverse models trained on datasets Three primary steps that the deep learning-based PHM for LIBs includes
containing BMS input–output data. These models can predict the output are detailed in this work: data gathering, deep learning techniques,
state given specific input conditions. Different laboratory conditions and performance assessment. [13] provides an extensive review of
are considered, leading to variations in the input and output data both health estimation and end-of-life prediction using model-based
employed for specific BMS estimation tasks. Typical data utilized in and ML-based studies for ensuring the safe and optimal use of battery
these approaches include voltage, current, temperature, time, the num- systems. The review intends to highlight the increasing interest in
ber of charge/discharge cycles, and measurements related to outputs data-driven approaches for battery health management. The use of

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Fig. 1. ANN: Artificial Neural Network, FFNN: Feed Forward Neural Network, DNN: Deep Neural Network, CNN: Convolutional Neural Network, RNN: Recurrent Neural Network,
SVM: Support Vector Machine, EL: Ensemble learning, LR: Linear Regression, k-NN: k-Nearest Neighbors ; KF: Kalman Filter, EKF: Extended Kalman Filter, UKF: Uncented Kalman
Filter, PF: Partical Filter, LO: Luenberger Observer, PIO: Proportional Integral Observer, SMO: Sliding Mode Observer.

Fig. 2. The trend of publications regarding the use of ML-based methods in BMS estimations over the last ten years according to the Web of Science database.

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Table 1
Model-based vs machine learning-based.
Method Advantages Disadvantages
Model-based ∙ Reliable and accurate ∙ Extensive domain knowledge
∙ Universal validity ∙ Since it requires extensive domain knowledge,
which can be time-consuming and challenging to
achieve
Data-driven ∙ Not require extensive domain knowledge ∙ Unpredictable black box model
∙ Since it does not require extensive domain ∙ Large amount of data; therefore, obtaining
knowledge, it is possible to rapidly learn from a large high-quality data by means of huge datasets
dataset, which can be more efficient in terms of requires time-consuming
development time

Table 2
An overview of the published review articles related to different BMS estimations.
References Topic Main content
1 [7] SOH estimation Review of a comparison of ML-based models for SOH estimation. The five most concentrated ML-based algorithms
for SOH estimation have been comprehensively reviewed in three aspects. These factors include performance, training
modes (feature extraction and selection methods), and publication trends over the last decade.
2 [8] SOC estimation General review of methods for SOC. Depending on their nature, these SOC estimating approaches have been divided
into four categories: (i) explanation, (ii) merits, (iii) limits, iv) errors.
3 [9] SOC estimation Review of a comparison of Model-based and Data-driven based models for SOH estimation. The classification of these
two based models are explained in terms of estimation model/algorithm, benefits, drawbacks, and estimation error.
4 [10] RUL estimation This review classify and compare different ML-based models for RUL estimation of Li-ion batteries. The review
categorized into two part. The first part summarizes RUL estimation methods that has been proposed in recent years,
then in the second part the comparison is done in terms of accuracy and complexity.
5 [6] Fault This review addresses workable and simple ML-based models aimed at enhancing diagnostics in LIB systems instead
detection/Diagnosis of the states that have been often examined in the BMS of LIBs in recent years.
6 [11] SOH This review article has compiled data-driven studies on SOH and the lifetime prediction of Li-ion batteries. The
methods used were categorized based on the underlying algorithms, and their advantages and limitations were
discussed.
7 [12] PHM This study presents a summary of deep learning-based PHM studies for Li-ion batteries. Recently conducted PHM
studies are discussed in three steps, namely data acquisition, deep learning methods, and performance evaluation.
8 [13] SOH/EOL This review article presents a comprehensive examination of battery health estimation and end-of-life prediction. It
summarizes the fundamental challenges and research expectations for prognostics of battery health.
9 [14] State estimations The first comprehensive analysis of transfer learning-based battery management methods is presented in this
research. The review focuses on current issues and potential future developments in this field.

Fig. 3. The schematic diagram of the review.

transfer learning in battery management has been extensively discussed prediction of BMS conditions. [14] presents a collection of research that
in the literature, with an emphasis on the prognostics for aging and the use transfer learning in this setting and emphasizes how this strategy

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may enhance the effectiveness of data-based tactics. The authors stress learning to novel situations. ANNs have thus become an important tool
that the development of a strong and healthy BMS may result from for solving complex problems in various domains.
the proper application of transfer learning. Another ML-based topic An ANN typically comprises three layers: an input layer, multiple
is related to the studies conducted on fault detection and diagnosis hidden layers, and an output layer [15]. The functioning of an ANN can
instead of state estimation in LIB systems. [6] compiled these studies, be summarized as follows: (i) the data is received by the input layer,
categorized solely based on simple and recent years. which then passes it on to the first hidden layer; (ii) each neuron in
This study follows the structure observed in recent review articles, the hidden layer performs a computation involving a weighted linear
encompassing key areas such as BMS condition estimations, battery combination of the input data, followed by the activation function, and
useful life prediction, and fault detection in batteries using ML-based the resulting output is propagated to the next hidden layer; (iii) this
methods. Analysis of the studies conducted in this field over the past process is iteratively repeated until the output layer is reached, which
decade yields a comparable outcome to that presented in Fig. 2. Con- generates the final prediction or output of the ANN. The utilization of
sequently, this work focuses on reviewing studies that employ ANN this architecture in ANNs has enabled them to achieve state-of-the-art
algorithms. The ANN-based algorithms utilized in the reviewed studies performance in various applications, making them an important tool
were categorized into FFNNs, CNNs, DNNs, and RNNs. for solving complex problems.
The review commences by examining studies that employ each ANN In light of the structure of the network, ANN computations can gen-
method in the context of BMS states. Subsequently, the BMS states are erally be divided into neural networks and deep learning algorithms.
further classified according to the specific applications in which they The traditional neural network, also known as the FFNN, contains only
are employed. Within each BMS condition, the ANN methods used are one hidden layer. Conversely, DL algorithms include the RNN, the DNN,
then categorized separately based on proportional values determined and the CNN. These DL algorithms are capable of handling a wide range
by the utilized database, battery chemistry, parameter selection, test of input data and can be used for tasks such as speech recognition,
methods, and error metrics, with a focus on the minimum error values. natural language processing, and image analysis.
This comprehensive categorization facilitates quick access to essential Several technological problems in the area of battery management
information such as data availability, parameter specifications, battery can be challenging to solve using traditional methods, but they can be
chemistry, and more, enabling studies or organizations intending to resolved with the contribution of NNs. One of these problems is the
work in this field to efficiently navigate the various BMS conditions. precise measurement of the SOC of a battery, a vital factor in effi-
Furthermore, this review addresses the challenges encountered with cient battery management. Conventional methods for SOC estimation,
ANN methods, specifically examining five key areas: overfitting, ac- such as coulomb counting, can be altered by measurement mistakes,
curacy, implementation, dataset availability, and complexity. By com- aging effects, and temperature variations, which can lead to inaccurate
paring these challenges across fields, a comprehensive analysis of the results [16,17]. Conversely, NNs may be taught to discover intricate
strengths and limitations of ANN methods in the context of BMS connections between different battery metrics and SOC, and they can
conditions is provided. deliver a more reliable and accurate SOC calculation even in the face
When compared with the studies presented in Table 2 [6–10], of noise and uncertainty [18].
those studies focused only on a single BMS condition and thus have Estimation of battery lifetime, which is crucial for ensuring the safe
shortcomings in addressing other states. Although [11–14] dealt with and reliable functioning of battery systems, is another topic that might
multiple BMS states, they either had a lack of BMS states [11,13], either be difficult for conventional methodologies. Traditional approaches to
a lack of both input parameter ratios and the density of using battery predicting battery lifetime frequently rely on empirical models that are
chemistry [12] or a lack of consideration of error metrics and minimum unable to fully account for the intricate and nonlinear interactions be-
error ratios [14]. tween the battery’s internal variables and its degrading processes [19].
In Fig. 3, the outlined procedures taken in writing this review are Large datasets of battery performance and degradation data can be
presented. The survey of the subject was conducted by utilizing the used to train neural networks, which can then learn to model these
Web of Science database and recent literature. By applying specific relationships more precisely and produce lifespan forecasts that are
keywords, the number of references was reduced from 800 to 144. more accurate [20].
It is noteworthy that the majority of the articles used in this review The optimization of battery charging and discharging techniques is
are recent publications, reflecting the use of contemporary methods. a different technical issue that can be challenging to solve using tradi-
Moreover, the perspective classifications provided in this review serve tional methods. Conventional optimization techniques frequently rely
as a guideline for popular BMS applications currently observed in the on straightforward heuristics and neglect the intricate relationships be-
literature, along with the identification of notable areas in ANN-based tween different battery characteristics and the charging and discharging
BMSs. conditions. The development of more efficient and effective BMSs that
The rest sections of this work are structured as follows. Section 2 can enhance battery performance and longevity can be accomplished
provides concise definitions of sub-classes of ANN and presents meth- by training neural networks to learn these relationships [21].
ods for estimating a BMS state using these sub-classes. In Section 3, the The ‘‘knee point’’ problem, which is unrelated to any particular sort
application areas of ML-based algorithms are explored, accompanied by of NN architecture, is connected to the challenge of determining the
their classification. The sub-classes of ANN are compared and discussed ideal number of hidden units in a NN. In order to address the knee
for the research in Section 4. point problem, the neural network architecture chosen is not the most
important consideration. The determination of the optimal number of
2. Principle of battery management systems and methodologies hidden units in a NN, as well as the choice of regularization methods
required to prevent overfitting, may vary depending on the topology of
2.1. A machine learning application: Artificial neural network the network architecture [22]. For instance, CNNs are widely utilized
in image processing tasks and tend to have a large number of hidden
ANNs were originally conceived as a constituent of computer sys- units in the convolutional layers, whereas fewer hidden units are
tems designed to emulate the information processing capabilities of the commonly used in the fully connected layers. Conversely, the length
human brain. Today, ANNs have emerged as a ubiquitous algorithmic and complexity of the input sequence may necessitate varying numbers
framework for a wide range of applications, including but not limited of hidden units in RNNs that are employed for sequence prediction
to pattern recognition, optimization, and prediction. ANNs are widely tasks [13]. Therefore, the choice of NN topology should be guided by
used owing to their ability to learn from data and to generalize this the specific demands of the task at hand, and the optimal number of

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hidden units should be determined by means of careful experimentation proposed technique accurately estimates the local fluctuations of the
and validation. battery and its overall degradation trend. To improve the generalization
In recent years, transfer learning becomes a popular approach to ability of FFNN models, constraints can be derived from the monotonic-
machine learning that has been shown to be quite successful in a ity of the input features. In some specific tasks, advanced FFNNs have
variety of applications. In this method, a pre-trained model is used as been found to outperform classical approaches [37]. Moreover, joint
a jumping-off point to train a new model for a distinct but connected estimation of SOC and SOH can be achieved by combining FFNN with
job [23]. By utilizing the knowledge and patterns that the pre-trained a battery model. Various approaches have been proposed to train FFNN
model had already learned, the new model is able to use less training using voltage variation [38–40], SOC variation [38,41], and battery
data and spend less time getting accurate results [24]. Transfer learning model parameters [42–45]. The FFNN can then be used to extract SOH
may also reduce the problem of overfitting, which can happen when features, which in turn can be used for SOC estimation.
a model is trained on little data. This can enhance the generalization In order to accurately estimate the SOH of batteries, it is necessary
performance of the new model [25]. While maintaining the overall to measure the data for model training and estimation under the same
information that the pre-trained model has learned, the model can operating conditions due to the significant impact of the feature on
be fine-tuned to learn task-specific attributes that are pertinent to the the SOH estimation results. A study by [46] utilized the Thevenin
current task [26]. Transfer learning has been used in several fields, model and extreme learning machine (ELM) to estimate battery SOH,
such as speech recognition, computer vision, and natural language successfully identifying the internal resistance online using recursive
processing, and has produced outstanding results in numerous research. least squares, which effectively identifies the model parameters without
being affected by various loading profiles. Another study by [47]
2.2. Feed-forward NN proposed an energy-based feature that incorporates both voltage se-
quence and discharge rates to enable online SOH estimates at different
FFNN is the fundamental and simplest artificial neural network discharge rates. In real applications, collecting the necessary sample
design, where information flows in only one direction, from the input data online can be time-consuming. Therefore, [48] suggested an online
nodes to the output nodes, passing through any hidden nodes that sequential ELM as a useful way to use both old and new data. This
may exist. This type of network architecture is extensively discussed approach utilizes a small part of the samples to determine the ELM’s
in [7], including the various important parameters involved in its output weight before updating the weight with a new sample, providing
design. Notably, there is no cycle in the connections between the nodes fast learning, strong generalization capabilities, and high accuracy. In
in this network, as highlighted in the literature [27]. The FFNN has order to further improve the ELM’s accuracy, some coupled strategies
been widely used for various applications, including but not limited to were suggested. [49] proposed a broad ELM technique with recon-
classification, prediction, and feature extraction, owing to its ability to structed nodes that employs broad learning to handle the input data,
model complex relationships between input and output variables. and improved the mapping attributes by using an activation function.
It is evident that the learning rate of feed-forward neural networks The gradual reconstruction of the system using the proposed method, in
is often slower than necessary. This issue can be attributed to two which the nodes were widened laterally, was deemed an improvement
major factors: (i) the prevalent use of slow gradient-based learning over the deep learning (DL) method. Transfer learning was employed
techniques for neural network training, and (ii) the iterative tuning of in [50] to apply the information learned from the source data to the
all network parameters using such learning methods [28]. To address target data. The suggested approach demonstrated good estimation
this problem, [29] introduced Random Vector Functional Link Neural accuracy even with limited data.
Networks, while [28] proposed an extreme learning machine (ELM) as a The SOC is a crucial parameter in BMS monitoring, as it provides
more concise alternative. The ELM approach has shown significant im- an estimation of the remaining range of electric vehicles and helps
provements over traditional learning techniques, particularly in terms to determine a safe control method to prevent overcharging and dis-
of computational efficiency and learning speed. These advantages have charging conditions of the battery. To this end, recent studies have
made ELM a promising alternative for various applications, ranging been conducted to develop models for SOC estimation. The proposed
from image recognition to financial forecasting. FFNN model is suitable for determining the charging profiles of battery
The ANN technique has been widely applied to estimate the SOH of systems. In [51], the authors proposed the addition of a chaotic neuron
batteries. For instance, in [30], real-time data from a BMS was collected in the hidden layers to reduce training time and facilitate the identifi-
for a duration of one year to estimate the SOH. Similarly, in [31], data cation of local minima. This approach was found to be advantageous
was collected at different C-rates over a period of ten months, with in low-power conditions. In [52], different neural network models,
one-month intervals. However, due to the unavailability of complete including FFNN, radial basis function (RBF), and nonlinear autoregres-
charging and discharging curves, SOH features were extracted from sive with exogenous (external) input (NARX), were utilized for SOC
partial curves [32]. Notably, one of the significant SOH features is estimation. The comparison of these models was based on curve fitting
the IC peak, which was integrated into FFNN training in [33], using and predicting feature values. In [53], a new approach was proposed
partially smoothed IC curves obtained through Gaussian smoothing. to overcome the limitations of using one-dimensional feature data. This
The process of voltage differentiation was also crucial in generating method was implemented in two different models, namely FFNN and
the IC curve after selecting the characteristic. The use of ANN in SOH time-series neural network, and it was observed that the proposed
estimation has shown promising results, enabling accurate and efficient approach resulted in more effective SOC estimation than using one-
battery health monitoring. Wu et al. [34] developed a FFNN model dimensional data with neural networks. In [54], an advanced battery
to analyze the behavior of battery voltage during charging. This was model was constructed using an FFNN based on newly described in-
motivated by the clear voltage shifts observed towards the end of puts. An FFNN model was created using the Extended Kalman filter
the charging process. To address the issues of using multiple voltage algorithm and the FFNN model, and the robustness of the model was
samples, reducing input feature vectors, and simplifying the network demonstrated using experimental data.
structure. The work presented in [35] employs the important sampling Several studies have explored the application of FFNN for SOC esti-
construction, which selects appropriate input values for FFNN. This mation in batteries. For instance, [55] proposed a low-cost embedded
approach not only helps in reducing the margin of error, but also system that utilizes FFNN for predicting SOC of Li-Ion battery cells in
decreases the computational load. Building on this, [36] proposes a electric vehicles. Meanwhile, [56] presented a three-layer FFNN with
method for determining the local range of voltage fluctuations. The inputs including battery terminal voltage, voltage derivative, voltage
method utilizes the entropy of the discharge voltage as input for FFNN second derivative, discharge current, and battery temperature for SOC
and outputs lower and upper estimates for State of Health (SOH). The estimation of Ni-MH batteries. In another study, two separate FFNN

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models were employed to estimate SOC of calendar-aged lithium-ion hybrid approach combining a circuit model-based method, specifically
pouch cells for charge and discharge data to efficiently account for the extended Kalman filter, and a data-driven model, specifically a
the aging effect in the estimation [31]. [57] proposed novel nonlinear fully connected DNN, was proposed for estimating the SOH of batteries.
autoregressive models, including NARX, FPNARX, SPNARX, and FFNN, In [79], a novel DNN architecture with a convolutional training strategy
for precise SOC prediction. Furthermore, [58] compared the perfor- was developed to estimate the remaining life of a battery, achieving
mance of FFNN and RNN for SOC estimation of lead–acid batteries an error rate of 6.46% with a single cycle. [80] utilized DNN to
based on mean squared error and convergence speed. extract complex relationships between SOH indicators and SOH values,
The RUL is defined as the duration that a battery can be utilized in a developing multiple DNN-based estimators for SOH. Unlike previous
specific application before it reaches a predetermined end-of-life crite- studies, [81] assessed battery aging using constant simulations and a
rion [59–61]. Although model-based approaches for determining SOH hardware platform, obtaining real-time experimental results with ML-
and SOC are generally intricate and challenging to execute, machine based DNN for SOH forecasting and creating various battery statistics.
learning-based models have been found to be more suitable for RUL Prognosis and health management (PHM) play a crucial role in battery
estimation, especially due to their numerous practical applications [62– analysis to ensure dependable and secure battery operation in SOH and
64]. In a recent study [35], an online approach for RUL estimation is RUL predictions, and therefore, [82] presented its initial development
proposed. The authors simulated battery terminal voltage curves under using the DNN algorithm for PHM. To estimate battery performance
various cycle numbers using FFNN, and importance sampling (IS) was with accuracy, precise metrics are critical. Instead of the discharge volt-
employed for FFNN input selection to define RUL. As correct data age used in earlier studies for SOH calculation, [83] employed dQ/dV,
processing is crucial for machine learning-based models, a study [65] the first-order derivative of the discharge curve, as the appropriate
has employed data normalization and filtering based on multi-regime parameter estimation and used DNN as the optimization algorithm.
normalization using FFNN for RUL estimation. In the field of lithium-ion battery management, [84] has proposed
The use of ML techniques in BMS has emerged as a major research several DNN models and their learning algorithms to improve SOC
focus in recent years due to its ability to efficiently, reliably, and estimation. The models consist of varying numbers of hidden layers,
accurately predict the essential states of LIBs, including SOH, SOC, and and the results show that adding more layers decreases the error rate
RUL [66]. While several research studies have recently been developed and provides better SOC estimations for electric vehicle applications.
on battery fault/diagnosis using model-based methods, only a few ML- Another approach for SOC estimation based on DNN has been devel-
based approaches, particularly ANN, have been employed [67,68]. The oped by [85], where training data from a Li-ion battery is obtained
availability of high-quality data is crucial for the success of data-driven by applying drive cycle loads at various ambient temperatures. The
prognostic strategies. Insufficient data can lead to poor predictions.
approach yields more accurate estimations under different temperature
In [68], a prognostic technique is used to calculate the SOH of a battery
conditions.
by utilizing data from a collection of batteries with similar design and
In order to prevent overcharging or over-discharging of lithium-
operating conditions.
ion batteries, [86] has presented a DNN-based SOC observer design,
which achieves faster convergence speeds and higher precision than the
2.3. Deep NN
original model for SOC estimation. Another DNN-based approach for
SOC estimation using only 10-minute charging voltage and current data
DL is a subfield of ML methods that are based on ANNs. The term
as input has been studied by [87]. The approach offers fast and accurate
‘‘deep’’ refers to the utilization of multiple hidden layers in the network
SOC estimation with less error rate, making it a good candidate for the
architecture [69]. There are three primary DL algorithms utilized for
ampere-hour counting method to calibrate SOC prediction.
state assessments of BMS: DNNs, CNNs, and RNNs. These three algo-
In recent years, DNN approaches have been utilized for SOC es-
rithms have different structures that are employed for state assessments
timation of lithium-ion batteries. [88] applied DNN to estimate SOC
of BMS. DNNs are essentially FFNNs with multiple hidden layers. One
during the charging process of LiFePO4 batteries. The training data was
or more activation functions can also be included while passing the
generated from five state-of-the-art charging protocols, and the results
information through the hidden layers, making it a powerful tool for
extracting complex features from data. demonstrated an error rate of 2.5% and a root mean square error of
The correlation between DNN calculation and other ML-based calcu- 0.8%.
lations, including support vector machines (SVM), k-nearest neighbors Another study by [89] utilized DNN models in combination with
(k-NN), ANNs, and logistic regression (LR), for SOH estimation is inves- linear regression and backpropagation neural network models for SOC
tigated in [70] using the NASA Ames Prognostics Center of Excellence estimation. The training data was obtained from the Advanced Energy
(PCoE) database. While the proposed method [71] is utilized for capac- Storage and Applications group, and the results indicated a lower
ity estimation based on SOC and 2 C, it also corrects the kernel function root mean square error, average absolute proportional error, and SOC
in DNN. This technique accurately assesses the SOH of the battery with estimation error compared to the ordinary BPNN model during the
different starting SOC and C-rate current. In [72], a DNN algorithm is charging and discharging period.
proposed for SOH estimation, where SOH is divided into five intervals In addition, [90] improved the estimation algorithm for SOC and
from 100% to 80%. The proposed structure in [73] simplifies the state of energy (SOE) simultaneously using LSTM DNN. The approach
calculation while utilizing the DNN algorithm with a selected polyno- achieved higher accuracy and robustness compared to support vec-
mial function. Moreover, an intelligent SOH prediction is performed by tor regression, random forest, and simple recurrent neural network.
DNN using a one-year dataset obtained from 700 unique vehicles with Non-electrical parameters were also considered by [91] for SOC estima-
various driving modes in [74]. In [75], a novel SOH estimation strategy tion using DNN, which demonstrated an increased FBG signal quality
is proposed for echelon utilization batteries using DNN. Additionally, impacting the performance of SOC estimation.
the Markov chain error correction is employed to further improve the Furthermore, [92,93] proposed an adaptive model using DNN that
accuracy of the DNN predictions. In [76], SOH prediction is achieved utilizes historical cycle information to provide accurate SOC estima-
by utilizing the DNN state classifier to diagnose the fault of a battery tion. [94] developed a DNN model that estimates complete charging
cell. To avoid the potential risks associated with using a degraded curves using small portions of the curves as input, which can improve
battery, [77] proposes a method that employs DNN for SOH diagnosis. curve estimation for batteries operating under different conditions.
The method involves four DNN models for the SOH diagnostic model Finally, [95] combined DNN with Electrochemical Impedance Spec-
whose outputs are used as data for the learning process of a fault model, troscopy for battery SOC estimation, and the root mean square error
which is then compared with SOC estimation in experiments. In [78], a of both networks was less than 5% for SOC of 30%.

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DNN algorithms have emerged as a promising approach for RUL charge curves such as voltage, current, and temperature, by learning
estimation, akin to SOH estimation. One such approach, as presented the temporal dependencies of the charge curves. [106] presented a
by [96], involves integrating DNN with an autoencoder to extract mul- model that combines CNN with empirical mode decomposition (EMD)
tidimensional features for RUL prediction. The autoencoder performs to monitor the SOH of LIBs. This approach reduces training time and
automatic encoding, and the DNN is subsequently trained to estimate memory demands while still achieving effective SOH predictions.
the remaining cycle life. Similarly, a study by [70] compares DNN Several studies have explored the use of CNN and LSTM methods for
with other ML algorithms such as support vector machine (SVM), k- estimating the SOC of LIBs. [107] employed the CNN method to esti-
nearest neighbors (k-NN), ANN, and linear regression (LR) for SOH mate battery capacity accurately from any initial SOC. Similarly, [108]
and RUL estimation. Furthermore, [81] uses a long short-term memory used a real dataset obtained from New York City cycle experiments to
neural network model to perform real-time RUL estimation with the estimate the SOC of LIBs in EV applications using CNN. Their study
same individual hardware platform as in SOH estimation. Hybrid DNN showed that using varying numbers of filters in convolutional layers
techniques that capture multivariate and nonlinear features are likely improved estimation performance compared to other alternatives.
to be used for improved RUL estimation. In this regard, [97] proposes a The combined CNN-LSTM method proposed by [109] is capable of
novel hybrid DNN approach that combines CNN, LSTM, and traditional extracting both spatial and temporal features from input data. Their ap-
neural networks for RUL prediction. Another study by [98] statistically proach outperformed single networks by better capturing the nonlinear
analyzes capacity reduction caused by long charge/discharge cycles relationships between SOC and measurable variables. [110] improved
during a battery’s life and utilizes DNN for accurate RUL estimates upon a two-dimensional CNN model by converting LIB signals into
based on various charge/discharge properties. Moreover, [99] divides multi-channel images and using a stacked bidirectional LSTM as an
the dischargeable capacity of a battery into two categories using empiri- estimator to capture the backward and forward temporal dependen-
cal mode decomposition, namely global degradation trend and capacity cies of battery sequential states. Their approach achieved precise SOC
regeneration. The DNN predicts the trend of global degradation, while estimation.
LSTM is used to handle the other decomposition. The RUL estimation [111] combined multichannel CNN and bidirectional RNN meth-
of the battery is then produced by finding its dischargeable capacity. ods to capture localized invariant characteristics hidden in battery
In recent studies, DNN algorithms have gained attention for their measurement perturbations at multiple scales and inter-correlations
potential to estimate the RUL of lithium-ion batteries. One proposed among measurements in both time and reverse-time orders. Their
technique in [100] utilizes transfer learning based on DNN to estimate
results demonstrated better performance in terms of robustness and
RUL. This method selects a reference battery from a dataset containing
accuracy under situations where multi-scale perturbations and their
the most comparable historical test data, using the average Euclidean
co-movements existed in measurements than other estimators.
distance (AED) to determine the battery whose performance is closest
In addition, [112] proposed a novel deep fully CNN model for Li-
to the target battery. The estimation model based on stacked denoising
ion battery SOC estimation directly from voltage, current, and battery
autoencoder (SDA) is then trained using the selected data to predict the
temperature values. Their model outperformed for SOC estimation
RUL of the target battery.
without needing to be retrained. [113] proposed estimating the results
Another study in [101] presents an end-to-end deep learning system
of offline open circuit voltage-based aging diagnosis to constitute a
based on DNN to estimate the RUL of LIBs using short-term data.
basis for SOC estimation. [114] presented a hybrid model for LIBs
Similarly, [98] employs two DNNs to estimate the RUL of LIBs. One of
by taking the sequence of sampling points of voltage, current, and
these DNNs performs a statistical analysis of the capacity weakening-
temperature as input, where feature information is extracted from the
related impedance weakening caused by an increase in the degree of
sequence of sampling points and outputting feature maps are achieved
distortion, while the other DNN predicts the capacity weakening trend
by using CNN. This approach is a good solution for unknown aging
to improve the accuracy of the RUL estimation.
states and complex operating conditions.
Furthermore, [115] studied the influence of different types of noises
2.4. Convolutional NN
on estimation capabilities using the one-dimensional CNN method and
CNNs have been widely utilized in computer vision applications. proposed a transfer learning mechanism for EVs. Their approach per-
Recently, CNNs have also been applied in BMS state predictions. CNNs formed well in terms of estimation accuracy, learning speed, and
consist of convolution layers, pooling layers, and a fully connected layer generalization capability. These studies demonstrate the effectiveness
in each hidden layer. CNNs are a type of multilayer perceptron in which of deep learning techniques in estimating the SOC of LIBs.
each neuron in a layer is connected to every neuron in the next layer. CNNs have been widely used in the field of RUL estimation, a crucial
This makes CNNs a normal form of multilayer perceptrons [102]. aspect of predictive maintenance in various industries. In recent years,
The convolutional layer and the pooling layer enable the CNN hybrid neural networks combining CNNs with other DL methods such
method to automatically extract and select features from raw data. Re- as LSTM and DNN have been proposed to enhance RUL prediction
cently, [103] used CNN for the first time to estimate SOH of LIBs based accuracy.
on the voltage, current, and charging capacity measurements during a One such hybrid model proposed in [116] combines CNNs and
partial charging cycle. BMS should track each cell’s SOH condition for LSTMs to effectively extract features from battery data for RUL pre-
safe and reliable operation of battery packs composed of multiple cells. diction. The dilated CNN is also utilized as a key component of an
To achieve accurate SOH predictions in their study, [103] employed a end-to-end DL framework in [101] to automatically extract appropriate
deep convolutional neural network (DCNN) that utilizes shared weights features for RUL estimation.
and local connections. The CNN model offers benefits such as high Data-driven techniques for RUL estimation often suffer from in-
prediction accuracy, short testing periods, and low memory require- accurate sliding window sizes determined empirically, which can be
ments. To facilitate online SOH estimation, a pre-trained model was addressed by using hybrid neural networks with the false closest neigh-
applied to the microcontroller using the STM32Cube.AI tool [104]. bors method as suggested in [117]. Other studies have also proposed
The authors reported similar SOH prediction performance on both the combination of RNN and CNN, such as in [118], where LSTM and
the microcontroller and PC. To leverage the strengths of CNN, hybrid CNN are utilized to estimate SOH and RUL of LIBs. A novel estimate
neural networks have been employed in SOH predictions, as is the method proposed in [119] uses a two-dimensional CNN, adaptive mul-
case in the suggested model proposed by [105], based on a hybrid tiple error corrections, and wavelet packet decomposition to forecast
neural network known as the gate recurrent unit-convolutional neural the RUL of LIBs by generating unpredictable residuals with changing
network (GRU-CNN). This model infers SOH from the observed new variance from the signal-based nonparametric distribution.

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In [120], an end-to-end prognostic approach is proposed using a In [129], SOH was defined as the period of equal discharge volt-
hybrid NN that concatenates an active-state-tracking LSTM and a one- age difference, which was extracted using the constant current (CC)
dimensional CNN to capture the hierarchical features and temporal voltage curve. To monitor nonlinear battery deterioration patterns, the
dependencies affecting battery degeneration. The CNN-LSTM-DNN pro- monotonic echo state networks (MONESNs) technique was employed.
posed in [121] combines CNN, LSTM, and DNN to estimate RUL and Furthermore, the enhancement of LSTM for SOH feature optimization
enhance prediction accuracy with tolerable execution time. has been extensively investigated using feature extraction and selection
To increase RUL prediction accuracy, data-driven approaches re- techniques. Models have also been combined to improve stability and
quire larger amounts of training data, which can be achieved by estimation accuracy in accordance with the probability distribution.
detecting the knee in the capacity degradation curve using a novel In [130], the authors utilized the gray relational analysis (GRA)
online and offline knee detection algorithm proposed in [122]. Another and entropy weight techniques to enhance the features of their LSTM
hybrid model proposed in [97] combines conventional neural networks, model. The LSTM was then trained to map the improved features to
CNN, and LSTM to extract spatiotemporal correlations and capture SOH estimates. Particle-filtering (PF) was employed by [131] to smooth
nonlinear properties in multivariate time series data. the feature curve for estimating the state of lithium-ion batteries. The
Furthermore, the performance of the hybrid NNs can be further adaptive moment estimation method (Adam) was employed in [132]
optimized using particle swarm optimization (PSO) to simultaneously and was found to significantly improve the performance of the neural
optimize network hyperparameters and model performance. network. Using the k-means clustering approach, [133] divided the
Various ML techniques have been explored for the diagnosis of V/I points into 30 subregions, which could represent battery aging.
faults in LIBs, including the use of RNN approaches. In addition to The LSTM was then used to estimate the SOH based on the density
RNN, CNN methods have also gained attention for fault diagnosis in distribution of these subregions, requiring only a small number of V/I
LIBs, as highlighted in various review publications [6]. For instance, instances over a brief period. The proposed technique exhibited high
in [123], a CNN-based model was proposed to improve the security and accuracy, flexibility, noise resilience, and an average error rate of less
dependability of battery energy storage systems (BESS) by detecting than
and categorizing false sensor data and communication data associated In [134], a multi-channel method based on V, I, and 𝑇 profiles
with LIBs. LIB-based systems commonly consist of multiple batteries or was used to estimate the SOH of batteries. The method resulted in a
battery cells that experience aging-related degradation leading to unsta- %25 reduction in estimation error compared to using voltage alone.
ble cell states. Therefore, the battery balancing circuit, which is a vital LSTM was employed to efficiently merge multi-cell degradation data,
component of BMS, is crucial in ensuring the safe and reliable operation which improved the accuracy and stability of the battery pack’s SOH
of multi-cell LIB systems. The detection of defective battery balancing estimation. This finding was confirmed in battery packs with various
circuits using CNN models has also been investigated in [124], where series, parallel, and series–parallel architectures in [135].
an accuracy of about 95.31 percent was achieved with an F-1 score for In addition to broadening the variety of the input signal, sparse
the detection process. sampling is a useful technique for enhancing model performance [136].
Sparse data can compactly represent battery properties, and optimiza-
2.5. Recurrent NN tion techniques can exploit signal sparsity to recover the signal with less
data without sacrificing information. The LSTM algorithm’s advantages
RNN are a form of neural network whose architecture is derived can be fully utilized by optimizing the network topology to simplify
from the FFNN. Their memory, which stores data from prior hidden online implementation. In [137], the linked path between the LSTM
layers for use as input in the current hidden layer, is their distinguishing gates was modified for SOH prediction. The enhanced LSTM deter-
characteristic [125]. In simple terms, the estimation of the current mined fresh and old information concurrently in the input and forget
state is done by the input and the previous state. With this memory gates, respectively. The past cell states were also fed back into the
innovation, RNNs become powerful models with a special ability to input and output gates, preserving useful information and attenuating
handle sequential input [7]. However, despite their ability to process undesired error signals. The proposed approach achieved an average
sequential inputs, RNNs face the challenge of the long-term dependency RMSE of %2.16 on the NASA dataset.
problem for long-term time sequences, which can cause the gradient In [138], a novel LIB prognosis approach based on deep learning is
to disappear. To overcome this issue, the LSTM approach, which uses proposed. The proposed approach utilizes an efficient variant of the
controlled storage, has been proposed [7]. LSTM layers incorporate LSTM network, which can be trained with more labeled examples,
three gates: the input gate, the forget gate, and the output gate. even with varied input dimensions. Moreover, an online validation
The Elman neural network (Elman NN) is a fundamental structure technique is suggested for real-time parameter modification based on
of RNNs that has been employed for SOH estimation in [126]. In available system data, allowing for continuous model improvement.
this work, the raw aging data is processed using the empirical mode The proposed approach is designed for online implementation, making
decomposition (EMD) approach to generate two distinct sequences: it suitable for real-time applications.
the intrinsic mode function, which is subject to considerable fluctua- Another research study [139] proposes a novel SOH estimation
tions and may be estimated using the autoregressive moving average technique based on the historical data of lithium-ion batteries. The pro-
model to overcome the problem of capacity regeneration, and the final posed approach utilizes an Independently Recurrent Neural Network
residue, which may be calculated using a pre-trained Elman NN to yield (IndRNN) to capture the complex non-linear properties of batteries and
a smooth, monotonic curve. This fusion approach allows for accurate to remove the gradient problem, enabling the network to learn long-
SOH estimation while also capturing local variations in capacity fading. term relationships among capacity degradations. Experimental results
Similarly, in [127], Elman NN is utilized for SOH estimation and is demonstrate that the proposed IndRNN-based model can reliably pre-
further applied to real-time battery SOC correction. dict a battery’s SOH, with a RMSE of %1.14 and a MAE of %1.33. The
To address the long-term dependency problem that arises when maximum error (MAX) achieved by the proposed model during testing
processing long-term time sequences using RNNs, the echo state net- is %2.5943, which is significantly less than the permitted SOH error
work (ESN) has been proposed as an alternative approach to overcome range of ±%5 for electric vehicles. The proposed approach provides a
the gradient problem, as in the case of LSTM [128]. ESN’s strong reliable and accurate SOH estimation technique for LIBs.
memory is attributed to its utilization of a dynamic reservoir with a In the field of lithium-ion battery SOC estimation, various stud-
large number of sparsely connected neurons, and its simple training ies have employed RNNs and their extensions. For instance, [140]
procedure involves only training the output weights, much like the combined RNN with the internal resistance measuring method to im-
extreme learning machine (ELM) [7]. prove SOC estimation accuracy. Other studies, such as [141–147],

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extended RNN with gated recurrent units (GRUs) to estimate SOC using rise. To ensure the safe and efficient operation of such vehicles that rely
measured current, voltage, and temperature signals, outperforming tra- on LIBs, the development of a robust BMS is crucial.
ditional networks by utilizing previous SOC information and requiring This review paper provides a comprehensive classification of ANN-
no knowledge of the battery’s internal parameters. In [148], two RNNs based BMS scenarios into four separate categories, each of which
were used, and the charging and discharging times were included as is associated with a specific LIB-containing application that requires
inputs to estimate SOC. A comparative study of RNN with LSTM cells further research. The majority of the references cited in this review
and extended Kalman filtering based on equivalent circuit models was article for each BMS category are focused on investigations related to
presented in [149]. The combination of RNN and particle-filtering- EVs and HEVs, as evidenced by Fig. 4. However, it should be noted
based errors redress was proposed in [131] to develop a SOC indicator that Li-ion batteries have a wide range of applications beyond EVs
for lithium-ion batteries. and HEVs. Other research areas that could be explored include the
development of novel techniques and algorithms, the integration of
Several studies have investigated the use of RNNs and their ex-
models from other ANN subclasses to create hybrid NNs, and general
tensions for SOC estimation of various battery types, including Li-ion
studies on the application of LIBs.
batteries [90,141,150–156]. The performance of the NARX network
In [36], a FFNN-based approach was utilized for SOH estimation
and an improved RNN for SOC estimation of batteries used in EVs,
of Li-ion batteries employed in satellites, despite the predominance of
UAVs, etc., was evaluated in [157–159]. In addition, the NARX net-
studies focused on SOH of EVs. Furthermore, various new techniques
work, a well-known subclass of RNN, has been studied in [160–164]. have been proposed without any specific application domain in focus.
Clockwork-RNN, a new RNN structure that separates hidden layers For example, in [49], a novel model is suggested to enhance the accu-
into separate modules to solve long-term dependencies, was developed racy of extreme learning machines (ELMs). Meanwhile, in [103,132],
in [165]. online studies on SOH prediction have been conducted using CNNs
The co-estimation of SOC and capacity for lithium-ion batteries and RNNs, respectively. In addition, microcontroller-based approaches
using RNN and support vector machine was proposed in [166], and such as STM32Cube.AI have been explored, as described in [104].
a moving window method was applied to solve the long-term depen- Another technique, the monotonic echo state networks (MONESNs), has
dency loss problem of RNN. However, unexpected overfitting or poor been utilized to monitor battery degradation patterns [129]. Recently,
performances were also reported in [167] when using time-delayed hybrid NNs that fuse multiple techniques have been proposed for SOH
RNN for lithium-ion battery modeling and SOC estimation. Finally, estimation, and have shown promising results in recent studies, as
RNN was used in [168] to provide a state-of-charge observer and model reported in [105,131].
parameter estimation and tuning for the lead–acid battery modeling Studies on SOC estimation have been conducted across various ap-
and simulation problem. plications, including portable electronics [92,94], despite the fact that
In recent studies, several approaches based on the RNN have been EVs have traditionally been the primary focus of such studies. ANN-
proposed for RUL prediction of LIBs and aircraft components. For based SOC calculations have also been investigated in other battery-
instance, [167] compared the performance of the classical RNN-LSTM powered vehicles such as aircraft [131] and unmanned aerial vehicles
and hybrid CNN-LSTM methods for RUL assessment of lithium-ion (UAVs) [157]. Furthermore, ANN-based SOC estimation techniques
batteries. The hybrid method demonstrated superior results, especially have been applied to electric applications [148], smart grids [107], and
energy storage and renewable energy [142].
in terms of data processing time, making it suitable for electric vehicle
Numerous innovative approaches have been proposed in the studies
applications. Another study by [169] used category theory to extract
on RUL calculation [35,62,64,65,81,169]. While some investigations
eigenvalues from RNN models for RUL prediction. Additionally, [170]
have focused on EVs, other applications have also been taken into
combined the empirical mode decomposition (EMD) with RNN-LSTM
account, such as energy storage systems [101], solar power [118],
methods to develop RUL prediction models with high accuracy. In
and unmanned aerial vehicles (UAVs) [167]. RUL estimations have
the field of aircraft maintenance, [171] used deep-layer RNN models
also been conducted for aircraft powered by batteries [96,171,173].
for RUL prediction based on the entire life cycle data, while [172] Furthermore, studies in areas including prognostics and health man-
integrated the RNN method with a state-space estimation technique to agement (PHM) [97], portable electronics [117], battery design [100],
improve the accuracy and precision of RUL estimation for lithium-ion and hybrid NN [61] have explored RUL calculations.
batteries. Moreover, the RNN method has been utilized in RUL esti- The diagram does not include the locations where the current
mation of aircraft components in works such as [172,173], providing experiments were conducted, as there is a limited amount of research
promising methods for aero-engine RUL estimation to support health on ANN-based LIBs for fault diagnosis, as reported in [6]. Nevertheless,
monitoring. the majority of investigations in the publications cited in Section 2
While model-based techniques have been widely employed for bat- focused on the diagnosis of faulty EV batteries.
tery diagnosis and prognosis, studies utilizing machine learning ap-
proaches such as ANNs are relatively scarce [174]. Both [6] and [174] 3.2. Literature analysis from BMS estimations perspective
refer to a previous work that introduced a DL-based fault prognosis
method employing a LSTM-RNN for predicting battery faults and mit- The ANN-based approaches for predicting BMS states, including
igating runaway risk [66]. The proposed approach is found to exhibit SOH, SOC, and RUL, often use LIBs with NMC (LiNiCoMnO2 ) chemistry,
a high degree of accuracy in predicting battery voltage. Furthermore, as reported in the reviewed literature. It is worth noting that the
comparison of various hyper-parameters reveals that the method is both ‘‘density of using battery’’ column in Table 3 represents the proportion
robust and accurate. of the battery type employed in BMS predictions. LFP (LiFePO4 ) is
another common battery chemistry utilized in research, while a few
studies, such as [47,139], focused on LCO (LiCoO2 ) batteries. The
3. Application fields
prevalence of NMC and LFP batteries in research could be attributed
to their frequent use in commercial applications and accessibility.
3.1. Classification of ANN based applications The databases used for BMS state estimation can be either generated
by institutions or privately in labs. Recently, the open-source data
Over the last decade, a significant transition has occurred in the provided by institutions has become more prevalent. During the testing
usage of LIBs, which have been increasingly utilized not only in elec- phase, research may need publically accessible datasets to keep track
tronic devices but also in transportation vehicles. While the adoption of how well their methods for estimating the BMS states are working.
rate of EVs, including electric scooters, is not as high as that of internal The following is a list of some of the most popular open-source datasets
combustion engine vehicles, their presence on the road has been on the used in this field:

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Fig. 4. The density of the application areas that are used in BMS estimations.

• NASA dataset [175]: Various data sets of batteries subjected Current, which indicates the flow of electrons in and out of the battery,
to different temperatures through charging, discharging, and is another critical parameter that is continuously monitored by BMS to
impedance operations are provided by the NASA. Specifically, maintain safe limits and detect any abnormalities in the system. The
data sets such as B0005, B0006, B0007, and B0018 have under- BMS utilizes current measurements to estimate the SOC and SOH of the
gone cycles at room temperature and are suitable for the CC-CV battery, which is crucial for optimizing the performance and extending
charging profile in the context of BMS state estimation. the life of the battery. T, which affects the battery’s performance
• CALCE dataset [176]: This dataset is an open-source resource and lifespan, is also a critical parameter that BMS systems monitor.
that collects information from batteries under various stress con- High temperatures can cause thermal runaway, leading to overheating,
ditions. These conditions can be classified as Dynamic Stress degradation, and battery failure. BMS systems use temperature sensors
Test (DST), Urban Dynamometer Driving Schedule(UDDS), and to measure the temperature of the battery cells and pack, which helps
US06 Highway Driving Schedule. This resource provides ample control the temperature through thermal management systems such
amounts of datasets for SOC estimation and RUL prediction. as cooling or heating. Additionally, temperature data can be used to
• Oxford dataset [177]: Oxford University acquired data by putting estimate the battery’s SOC and SOH, which can optimize the battery’s
eight Kokam (SLPB533459H4) 740 mAh LIBs through a CC-CV performance and lifespan. Time is also a crucial parameter to consider.
charging profile at 40 degrees Celsius. A test Artemis discharge The performance and health of the battery over time can have a
profile for urban areas was also obtained. significant impact on the overall performance and range of the vehicle.
• MIT dataset [178]: The data from 124 commercial LIBs are col- The BMS continuously monitors the battery over time and makes
lected in this open-source project. In this dataset, all cells are adjustments to charging and discharging rates as needed to maintain
charged fast in one or two steps. The aim is to improve the SOH optimal performance. Moreover, the BMS keeps track of the age and
and RUL performance of the batteries for fast charging. usage history of the battery over time to determine when it may need to
• Aging dataset [179]: These kinds of data sets are produced to test be replaced or undergo maintenance. Time is also a factor in modeling
machine learning techniques on huge battery aging data sets. Bat- and simulating the battery system, as the battery behavior can change
teries are charged and discharged using CC-CV and CC profiles, over time due to aging and cycling. Accurately modeling the effects of
respectively. The three primary components of the acquired data time on the battery behavior is essential for developing effective BMS
are then separated for the purposes of accelerated aging testing, strategies and optimizing the performance of the electric vehicle.
weakly supervised learning, and model evaluation Each subclass of ANN has a different set of input signals (measure-
ments) that are utilized for the predictions. For instance, in FFNN-based
Furthermore, several other databases, such as NYCC (New York
City Cycle) [54,108], CATL (Contemporary Amperex Technology Co. SOH estimation, the signal V, I, t is frequently employed, whereas V,
Limited) [61], have been utilized to train proposed models for SOC and I is favored in the same FFNN-based SOC estimation. In contrast, V,
RUL calculations. In the area of battery fault detection, SMC (Service I, and 𝑇 is the most commonly used signal in CNN-based SOC estima-
and Management Center for electric vehicles) was used as a database tion. Observations indicate that the estimation and approach employed
in [66] instead of the NASA database. The density of the utilized when using the most preferred input signals differ, as demonstrated in
database is shown in Table 3 under the ‘‘density of using the database’’ Table 3.
column title. It is worth noting that most studies employ cycle data to train their
V, I, T, and t are important parameters that are monitored by BMS to models for battery state estimation. Although a wide range of cycle
ensure optimal battery performance, health, and safety. Voltage, which counts are employed in literature, ranging from small numbers to large
represents the potential difference between a battery cell’s positive amounts, typically between 168 and 5000 cycles are utilized. However,
and negative terminals, is a crucial parameter that provides valuable in studies that include calendar aging, such as those in [39,139], larger
information on the battery’s SOC, SOH. The BMS measures the V cycle data sizes, such as 21 K cycles, are used. The use of the constant
of each battery cell and compares it to a reference V to determine current constant voltage (CCCV) cycling method is typically the reason
the SOC, SOH of the battery. Monitoring the V of the battery cells for employing cycle data.
is essential to prevent overcharging or over-discharging, which can The ‘‘test method’’ column in Table 3 indicates that the validation
damage the battery and reduce its lifespan. The BMS may also utilize V method is the most frequently utilized approach by researcher during
measurements to balance the charge among the battery cells to ensure the testing process. However, some studies with large-scale datasets
that they all have similar voltages, which prolongs the battery’s life. have achieved results using cross-validation [80,103,136].

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Table 3
Comparison of analyzing ANN-based methods for estimation of BMS states.
Estimation Method Density of using Density of using the Measurement Cycles Test method Error metric & Min-error
the battery database signal [𝑚𝑖𝑛–𝑚𝑎𝑥]
FFNN ∙ %74 NMC ∙ %32 NASA ∙ %45 V,I,t [168–5000] ∙ %100 validation ∙ RMSE = %1.06 [30]
∙ %23 LFP ∙ %32 CCCV ∙ %25 V,t ∙ MAE = %1.65 [50]
∙ %3 LCO ∙ %19 Lab exp. ∙ %25 V ∙ MaxE = %1.5 [40]
∙ %12 Calendar ∙ %5 V,I,T,t ∙ MSE = %0.21 [49]
aging
∙ %5 NEDC
DNN ∙ %68 NMC ∙ %55 CCCV ∙ %40 V,I,T,t [100–2000] ∙ %90 validation ∙ RMSE = % <3.247 [82]
∙ %32 LFP ∙ %40 NASA ∙ %25 V ∙ %10 ∙ MAE = %0.39 [71]
∙ %5 SHEVDC ∙ %20 V,I,T,C cross-validation ∙ MaxE = % <0.3 [72]
∙ %10 V,I,t
∙ %5 V,I,t, SOC
curve
SOH
CNN ∙ %73 NMC ∙ %80 NASA ∙ % 25 V,I,T,t [3000– ∙ %75 validation ∙ RMSE = % <2 [103]
∙ %27 LFP ∙ %10 Calendar ∙ % 25 V,I,T 21000] ∙ %25 ∙ MAE = %1 [106]
aging ∙ % 25 V cross-validation ∙ MaxE = % <1.62 [105]
∙ %7 Oxford ∙ % 25 V,I
∙ %3 CALCE
RNN ∙ %86 NMC ∙ %50 NASA ∙ %33 V,I,T [200–6000] ∙ %85 validation ∙ RMSE = %0.72 [130]
∙ %11 LFP ∙ %30 CCCV ∙ %24 V,t ∙ %15 ∙ MAE = %0.87 [127]
∙ %3 LCO ∙ %10 CALCE ∙ %18 V,I,T,t cross-validation ∙ MaxE = % 1.76 [130]
∙ %10 Lab exp. ∙ %16 V,I ∙ MAPE = %1.03 [134]
∙ %6 I ∙ RE = %4.08 [135]
∙ %3 SOC
determination
FFNN ∙ %72 NMC ∙ %55 NASA ∙ %47 V,I [50–168] ∙ %75 validation ∙ EE = %<2 [54]
∙ %26 LFP ∙ %31 CCCV ∙ %34 V,I,T ∙ %25 ∙ RMSE = %1.17 [31]
∙ %2 LCO ∙ %14 UDDS ∙ %12 V cross-validation ∙ MaxE = %4.97 [103]
∙ %7 V,t ∙ MSE = %2.03 [58]
DNN ∙ %64 NMC ∙ %40 NASA ∙ %50 V,I [100–165] ∙ %100 validation ∙ EE = % 0.8 [88]
∙ %36 LFP ∙ %40 UDDS ∙ %20 V,I,T ∙ RMSE = %0.312 [89]
∙ %20 CCCV ∙ %17 V,t ∙ MAE = %0.01 [86]
∙ %7 V,I,T,t ∙ MAPE = %0.08 [84]
∙ %6 V ∙ MaxE = %5 [88]
∙ MSE = %0.12 [91]
SOC
CNN ∙ %62 NMC ∙ %37 Oxford ∙ %74 V,I,T [45–500] ∙ %100 validation ∙ RMSE = %0.85 [112]
∙ %21 LFP ∙ %24 NASA ∙ %10 V,I ∙ MAE = %0.39 [110]
∙ %17 LCO ∙ %19 Mendeley ∙ %10 V,t ∙ MAPE = %0.41 [108]
∙ %6 V ∙ MMAE = %1 [109]
∙ MRMSE = %2 [109]
RNN ∙ %79 NMC ∙ %32 CALCE ∙ %55 V,I,T [100–700] ∙ %100 validation ∙ EE = % <0.1 [167]
∙ %21 LFP ∙ %23 US06 ∙ %28 V,I ∙ RMSE = %0.03 [157]
∙ %23 DST ∙ %17 V,t ∙ MAE = %0.64 [160]
∙ %22 UDDS ∙ MAPE = %1.24 [158]
∙ MaxE = %12 [151]
∙ MSE = %0.012 [140]
FFNN ∙ %50 NMC ∙ %50 CCCV ∙ %60 V,I [2000–3000] ∙ %60 validation ∙ RMSE = %0.55 [60]
∙ %50 LFP ∙ %20 Private ∙ %14 V,I,T ∙ %40 ∙ MAE = %1.1 [60]
∙ %10 CC ∙ %13 T,SOC cross-validation
∙ %10 NASA ∙ %13 T
∙ %10 CATL
DNN ∙ %86 NMC ∙ %78 NASA ∙ %50 V,I,T [90–175] ∙ %67 validation ∙ EE = %3.59 [98]
∙ %14 LFP ∙ %11 MIT-Stanford ∙ %13 V,I,T,t ∙ %33 ∙ RMSE = %0.16 [99]
∙ %11 CATL ∙ %13 V,I cross-validation
∙ %12 V,T
∙ %12 V
RUL
CNN ∙ %82 NMC ∙ %77 NASA ∙ %50 V,I,T [90-3000] ∙ %63 validation ∙ RMSE = %0.438 [121]
∙ %11 LFP ∙ %14 CALCE ∙ %13 V,I,t ∙ %37 ∙ MAE = %0.3 [121]
∙ %7 LCO ∙ %9 MIT-Stanford ∙ %13 V,I cross-validation ∙ MAPE = %0.416 [122]
∙ %12 V,I,T,t
∙ %12 V,T
RNN ∙ %78 NMC ∙ %79 NASA ∙ %50 V,I [50–800] ∙ %60 validation ∙ EE = %1 [167]
∙ %22 LFP ∙ %11 CALCE ∙ %17 V,I,T ∙ %40 ∙ RMSE = %0.175 [171]
∙ %10 UDDS ∙ %17 V,t cross-validation
∙ %10 NYCC ∙ %16 V
FFNN ∙ NMC ∙ NASA ∙ V 168 ∙ Validation ∙ RMSE = % <1 [68]
DNN – – – – – –
Faulty
prognostic CNN – – – – – –
RNN ∙ NMC ∙ SMC ∙ V, SOC A year ∙ Cross-validation ∙ MRE = %0.56 [66]
∙ RMSE = %0.032 [66]

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The accuracy of the results in the studies is commonly demonstrated set it apart from other approaches, particularly in large nonlinear data
using the RMSE as an error metric. However, Table 3 shows that various sets. One of the subclasses of DL, DNN, appears to be a good approach
error metrics are used instead of RMSE, including maximum error for making online predictions. The raw dataset can be used with this
(MaxE), MAE, mean square error (MSE), relative error (RE), and mean method to extract features. It should be noted that sensor data can
relative error (MRE). The last column of Table 3 provides the minimum enter the network without having to be manually removed. Similarly,
error values of the corresponding error metric along with its reference. CNN uses filters to automatically extract the input feature from the raw
dataset.RNNs are known to have memory because they utilize the data
4. Challenges and future trends – i.e., history – from the previous hidden layer. Inputs can therefore
be processed as a time sequence. It is dynamic since its underlying
Each type of neural network architecture can offer a distinct advan- operating concept is sequential. Additionally, it is employed in research
tage in addressing different aspects of the BMS state estimation problem on local capacity regeneration. Because it employs the same data over a
in electric vehicles. An FFNN is useful in predicting BMS states by wider range of time intervals, the computing cost is consequently lower.
taking input data, such as voltage and current measurements. However, In recent years, the usage of LSTM has become very popular for solving
FFNNs may not capture temporal dependencies in the data, such as the gradient burst problem in RNN.
changes in the BMS states over time. As a result, they may not be as The analysis is presented in Fig. 5, which illustrates a radar chart
effective in handling the dynamic nature of the problem. comparing machine learning (ML) algorithms based on five perfor-
A CNN can be utilized to analyze sensor data from the BMS sys- mance metrics: implementation, accuracy, overfitting, dataset, and
tem, such as temperature and voltage sensor data, for the purpose of complexity. The implementation metric assesses the ease of algorithm
identifying anomalies or predicting the battery’s health state. CNNs implementation, considering factors such as computational resource
can extract features from sensor data that can be used as inputs for utilization and reliance on manual feature extraction. Accuracy is
different neural network architectures. In addition, an RNN can be measured using the RMSE to quantify the deviation between predicted
useful in predicting BMS states over time by simulating the time-series and actual values. Overfitting refers to the phenomenon where a model
data of the battery’s state changes. RNNs have the ability to capture fits training data exceptionally well but performs poorly on new data.
the temporal dependencies in the data, which facilitates accurate future The dataset metric pertains to the size of the training dataset employed.
predictions for the battery’s behavior. Lastly, computational complexity is evaluated using big O notation
A DNN that offers a thorough BMS can be created by combining to gauge algorithm efficiency. The radar chart offers a comprehen-
the advantages of the three different types of neural networks: FFNNs, sive visualization of the performance metrics associated with the ML
CNNs, and RNNs. The DNN can be helpful in predicting BMS states, algorithms.
spotting anomalies, and giving details on the battery’s condition. This work provides a comprehensive overview of the research con-
The prediction of battery pack states is a crucial battery manage- ducted on BMS with a particular focus on ANN methodologies. Exten-
ment issue that can be better addressed by CNNs than FFNNs. For sive research was carried out using the Web of Science database, along
instance, SoH reflects the overall health and RUL of the battery pack with a thorough examination of relevant review articles pertaining to
and is essential for ensuring the safety and reliability of EV operation. each BMS state. As highlighted in the introduction, the number of
Input data such as voltage, temperature, current, and other sensor studies on ANN surpasses those of all other machine learning-based
measures are commonly utilized to estimate SoH and RUL prediction. approaches. This growing trend has led to increased emphasis on
However, the complex interdependencies among these input variables research in this specific domain. Moreover, the analysis reveals that
can pose a challenge to conventional machine-learning techniques. CNN and RNN have gained significant prominence within the ANN
CNNs are well-suited to handle this challenge due to their ability to framework, particularly in BMS prediction applications.
model the spatial and temporal complexities of this type of input data. The recent rise in DL can be attributed to the availability of
Consequently, CNN-based approaches can achieve higher accuracy in cloud computing platforms and the accessibility of big data. Processing
SoH estimation, thereby enabling the optimization of battery pack per- large volumes of data presents a well-known challenge, and DL algo-
formance and lifetime in EVs. CNNs possess the ability to automatically rithms have proven to be advantageous in scenarios involving massive
learn and recognize features that are indicative of the BMS states of a datasets. Among DL algorithms, DNNs are particularly suited for han-
battery pack. Furthermore, CNNs are well-suited to manage the spatial dling extensive data due to their capacity to extract high-level features
and temporal complexity of the input data that characterizes battery from raw, unprocessed data. When analyzing multidimensional data,
states. Specifically, CNNs can spot patterns in voltage and current CNNs excel by automatically extracting features through convolutional
waveforms that are associated with specific degradation mechanisms techniques. For time series data, LSTM models are considered the most
such as electrode cracking or capacity fading. In contrast, FFNNs may suitable choice. While DL offers several advantages, it is important
find it challenging to estimate the BMS states of the battery pack since to note that it comes with the drawback of being computationally
they may not be able to fully capture the intricate correlations among expensive and time-consuming.
the input variables. In conclusion, this review article has compiled recent studies that
The type of problem being addressed, the data at hand, and the de- utilize ANN models within the field of ML to predict various states of
sired outputs all play a role in determining the specific neural network BMS and potential faults in batteries. The predictive findings presented
architecture(s) to use. It is frequently required to use numerous neural here can serve as a valuable source of motivation for researchers inter-
network architectures rather than any one architecture alone in order ested in implementing ANN-based models in their own investigations.
to solve the BMS states problem for electric vehicles. Moreover, it is worth noting the limited exploration of CNN models
ANNs, as mentioned at the beginning of the article, are the most for estimating faulty states, indicating a promising avenue for further
popular models used in recent years for the prediction of the states research in this specific domain. Additionally,hybrid models for BMS
existing in ML-based BMS. The reason for this is the ability to learn state predictions is recommended, as it is expected that the develop-
the behavior of the battery to introduce non-linear data to the network ment of novel hybrid models will contribute to the establishment of
by means of the activation function. As is common knowledge, DL can new trends within the field.
take in many inputs because it employs more than one hidden layer or
because it necessitates the interaction of brain cells. Large data sets are 5. Conclusion
required since it handles a lot of input, which is naturally perceived
as a drawback but is actually beneficial for modeling because it will This research conducts a comprehensive review to emphasize the
affect the calculation time. Conversely, its minimal estimating errors importance of the ML approach for the accurate estimation of BMS

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M. Kurucan et al. Renewable and Sustainable Energy Reviews 192 (2024) 114262

Fig. 5. Comparison of the four ANN-based algorithms across different metrics.

parameters while acknowledging both its advantages and disadvan- References


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