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 Mach. Learn.: Sci. Technol. 4 (2023) 045007 https://doi.org/10.1088/2632-2153/acfd08

PAPER

Improving SOH estimation for lithium-ion batteries using TimeGAN

OPEN ACCESS
Sujin Seol, Jungeun Lee, Jaewoo Yoon and Byeongwoo Kim∗
RECEIVED
Department of Electrical, Electronic and Computer Engineering, University of Ulsan, 93 Daehak-ro, Ulsan 44610, Republic of Korea
1 June 2023 ∗
Author to whom any correspondence should be addressed.
REVISED
5 August 2023 E-mail: bywokim@ulsan.ac.kr
ACCEPTED FOR PUBLICATION Keywords: state of health, battery, electric vehicle
25 September 2023
PUBLISHED
12 October 2023
Abstract
Original content from Recently, the xEV market has been expanding by strengthening regulations on fossil fuel vehicles. It
this work may be used
under the terms of the
is essential to ensure the safety and reliability of batteries, one of the core components of xEVs.
Creative Commons Furthermore, estimating the battery’s state of health (SOH) is critical. There are model-based and
Attribution 4.0 licence.
Any further distribution
data-based methods for SOH estimation. Model-based methods have limitations in linearly
of this work must modeling the nonlinear internal state changes of batteries. In data-based methods, high-quality
maintain attribution to
the author(s) and the title datasets containing large quantities of data are crucial. Since obtaining battery datasets through
of the work, journal
citation and DOI.
measurement is difficult, this paper supplements insufficient battery datasets using time-series
generative adversarial network and compares the improvement rate in SOH estimation accuracy
through long short-term memory and gated recurrent unit based on recurrent neural networks.
According to the results, the average root mean square error of battery SOH estimation improved
by approximately 25%, and the learning stability improved by approximately 40%.

1. Introduction

Recently, regulations on fossil fuel vehicles in the automotive industry have been strengthened owing to
emerging environmental issues, and the xEV (electric vehicles, hydrogen fuel vehicles, hybrid vehicles, etc)
market has been expanding. Batteries, one of the core components of xEVs, can affect the efficiency and
safety of the system depending on their condition and management methods. As a result, the need to
monitor the battery’s condition through metrics such as the state of health (SOH) and the state of charge
(SOC) to ensure its safety and reliability has arisen.
SOH is defined as the percentage of maximum capacity that a fully charged battery can discharge at a
specific point in time compared to its capacity. As an important indicator representing the aging state of the
battery, active research is being conducted on SOH estimation methods. The methods for SOH estimation
are broadly divided into model-based estimation methods [1–3] and data-based estimation methods [4–6].
Model-based SOH estimation analyzes the physical/chemical principles of batteries and mathematically
models them, applying estimation filters based on the model. The SOH of a battery has been estimated using
a Kalman filter (KF) based on the Thevenin battery model [1], the unscented particle filter algorithm [2],
and dual extended KF [3]. However, model-based SOH estimation has limitations in linearizing and
modeling complex nonlinear internal state changes.
Data-based SOH estimation studies aim to estimate SOH by reflecting the characteristics of the data
without considering the complex state changes inside the battery [7–9]. Cui and Joe used a dynamic
spatiotemporal attention-based gated recurrent unit (GRU) model based on a GRU [4], Gu et al combined a
convolutional neural network (CNN) and a transformer [5], and Li et al used active state tracking long
short-term memory neural network (AST-LSTM NN) for estimating SOH and predicting remaining useful
life [6]. Shen et al used the extreme learning machine and voltage estimated through the whale optimization
algorithm to assess SOH [8]. Avkhimenia used reinforced training for battery action [10]. Lee et al used five
types of CNN models for SOH estimation [11], whereas Lin et al used semi-supervised learning for the same
purpose [12]. Various data-based SOH estimation algorithms are being researched to improve the accuracy
of SOH estimation, and high-quality datasets containing large quantities of data are imperative to leverage
the full potential of these methods.

© 2023 The Author(s). Published by IOP Publishing Ltd

Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

As datasets become more important, research on data generation algorithms, such as generative
adversarial networks (GANs) [13], is actively being conducted. In the image domain, algorithms such as deep
convolutional GANs (DCGANs) [14], Wasserstein GANs (WGANs) [15], and least squares GANs (LSGANs)
[16] have been developed, and algorithms such as continuous RNN GANs (C-RNN-GANs) [17], recurrent
conditional GANs (RCGANs) [18], and time-series GANs (TimeGANs) [19] are being researched in the time
series domain. C-RNN-GAN [17] directly applies the GAN architecture to sequence data, RCGAN [18]
introduces minor architecture differences to reduce dependency on previous outputs while maintaining
similarity, and TimeGAN [19] generalizes time series data, reduces data dimensions through latent space,
and facilitates learning.
Research is being conducted to improve the performance of estimation and classification algorithms by
generating a large amount of high-quality data using TimeGAN [20]. Increased prediction accuracy by
generating hard-to-collect tire wear data, and [21] improved prediction accuracy by supplementing heating
system data with different characteristics depending on the conditions. Additionally [22], resolved the
imbalance of bearing failure data using data generation algorithms to improve failure classification accuracy.
Therefore, research on improving estimation and classification accuracy by augmenting open-source datasets
with limited quantities, such as batteries, is necessary.
This study aimed to improve battery SOH estimation accuracy by supplementing a dataset, a crucial
factor affecting learning, using TimeGAN. Since it is difficult to collect battery data, we secure a high-quality
dataset containing a large quantity of data through TimeGAN and compare the SOH estimation accuracy
improvement rate through LSTM [23] and GRU [24] based on recurrent neural networks. Through this, we
aimed to verify the usefulness of the SOH estimation accuracy improvement technique proposed in this
paper by securing datasets.

2. Methods

2.1. Research outline

The research outline is presented in figure 1. First, synthetic battery data were generated using TimeGAN
[19]. Next, the input of the model was divided into two, and LSTM and GRU models were used to estimate
the SOH. One of the inputs was the original dataset, and the other was the dataset with synthetic data added
to the original dataset. The accuracy of SOH estimation was evaluated using the root mean square error
(RMSE) metric for comparison.

2.2. Data preprocessing

The data used in this study were from the NASA Randomized Battery Dataset [25]. We focused on the data of
cells RW9, RW10, RW11, and RW12 belonging to Group 1. Since random charge-discharge cycles exhibit
nonlinearity and transitional intervals, acquiring SOH data becomes challenging. Therefore, we utilized
battery data from a reference charge–discharge cycle to address these limitations [26–29].
Three preprocessing steps were performed on the original data for training the time series data
augmentation algorithm.
First, normalization was performed to achieve a fast optimization speed and improve learning accuracy.
Normalization evenly reflects temperature, current, and voltage characteristics used as inputs for the applied
algorithm without bias on the scale, and there is a limitation that the influence of large-scale parameters is
substantial in cases without normalization. Therefore, this study used min–max normalization, as shown in
equation (1). Here, xnew is the normalized data, and x is the original data. xmax and xmin represent the
maximum and minimum values of the original data, respectively,
x − xmin
xnew = . (1)
xmax − xmin
Second, through sampling, the data were converted into three dimensions to fit the input format of the
TimeGAN model, as shown in figure 2. The 3D data reflect temporal and static features by including voltage,
current, temperature, and SOH data within a single sequence. Therefore, this preprocessing method allows
various characteristics of battery data to be reflected during TimeGAN learning.
Third, 60% of the battery data, along with the synthesized data generated by the TimeGAN, are used as
the training dataset for the proposed SOH estimation algorithm. The remaining 40% of the data serves as the
test dataset, enabling the validation of the algorithm’s accuracy.

2.3. TimeGAN
GAN is a representative algorithm for data augmentation [13], based on which various algorithms have been
derived in the image domain (DCGAN [14], WGAN [15], LSGAN [16], etc) and the time series domain

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 1. Research outline.

Figure 2. Sampling for changing 3D dimension.

Figure 3. GAN architecture.

(C-RNN-GAN [17], RCGAN [18], TimeGAN [19], etc). The basic GAN model consists of a generator and a
discriminator, as shown in figure 3. The generator uses random noise as input to create synthetic data, and
the discriminator classifies original data and synthetic data. Equation (2) is based on the role of the generator
and discriminator, and the GAN algorithm aims to generate synthetic data similar to the original data. Here,
D and G represent the discriminator and generator, respectively, V represents the value function of the
discriminator and generator, and E represents the expected value,

minG maxD V (D, G) = EXPdata (x) [log D (x)] + EZPZ (z) [log (1 − D (G (z)))] . (2)

When the discriminator D classifies the original data x as true and synthetic data G (z) as false, the value
function V (D, G) has its maximum value. The GAN algorithm learns in the direction where the value
function is maximized.

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 4. TimeGAN architecture.

Based on this, the TimeGAN model was proposed to generate time series data reflecting temporal
characteristics. The TimeGAN structure, as shown in figure 4, adds an autoencoder architecture to the GAN
algorithm, enabling the learning of temporal dynamics in smaller dimensions. In the autoencoder, data are
reduced and restored through embedding and recovery functions, and in GAN, data are generated and
distinguished in reduced dimensions to create data similar to the original data.

2.3.1. Embedding and recovery

The autoencoder in figure 4 maps the characteristics of the time series to a lower dimension through the
embedding function and recovers the data generated in the lower dimension back to the original dimension
through the recovery function. The embedding function in the autoencoder maps the temporal
characteristics of the data to the latent space in the reduced dimension. In this case, s represents the static
feature space of the data in the original dimension, and x represents the temporal feature space. The static
and temporal feature spaces in the latent space are represented by hs and hs , respectively. The embedding
function is shown in equations (3) and (4),

hs = es (s) (3)
ht = ex (hs , ht−1 , xt ) . (4)

The recovery function restores the reduced data to the original dimension for data learning. In detail, the
static feature space (hs ) and the temporal feature space (ht ) expressed in the latent space are restored to the
original dimension’s static feature space (s) and the temporal feature space (x), respectively. The recovery
function is shown in equations (5) and (6)

s̃ = rs (hs ) (5)

x̃t = rx (ht ) . (6)

2.3.2. Generator and discriminator
As shown in figure 4, GAN generates and discriminates data in the reduced-dimension latent space through
the generator and discriminator. The generator function takes random noise as input to create synthetic data.
The static feature space in the latent space uses random noise as input. The temporal feature space learns the
synthetic static feature space and the synthetic temporal feature space of the previous time point in the latent
space, as well as the temporal feature space in the original dimension, as shown in equations (7) and (8),

ĥs = gs (zs ) (7)

 
ĥt = gx ĥs , ĥt−1 , zt . (8)

The discriminator function, which classifies synthetic and original data, is shown in equations (9)
and (10),
 
ỹs = ds h̃s (9)

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 5. LSTM architecture.

ỹt = dx −−
→
ut , −
→
ut . (10)

2.4. SOH estimation

We generated a synthetic dataset using TimeGAN, used it to supplement the dataset, and then compared the
improvement in SOH estimation accuracy. We utilized representative recurrent neural network models,
LSTM and GRU, to estimate SOH.

2.4.1. LSTM
LSTM is an algorithm designed to solve the vanishing gradient problem of recurrent neural networks, with a
structure shown in figure 5 [23]. First, it uses the cell state to transmit information input before the current
time point and assigns weights to the data through three gates (forget gate, input gate, and output gate). The
forget gate determines the importance of past data and assigns weights. The input gate decides how much to
reflect the current input and the previously hidden state data. The output gate determines the weight when
transmitting to the hidden state.
As shown in equation (11), the forget gate assigns appropriate weights to the values of ht−1 and xt and
delivers them to cell state Ct−1 . Meaningful data receive weights close to 1, while unimportant data receive
weights close to 0,


ft = σ Wf · [ht−1 , xt ] + bf . (11)

In the input gate, the new cell state Ct is created by updating the cell state through it and C̃t , as shown in
equations (12)–(14),

it = σ (Wi · [ht−1 , xt ] + bi ) (12)

C̃t = tanh (WC · [ht−1 , xt ] + bC ) (13)
Ct = ft · Ct−1 + it · C̃t . (14)

In the output gate, the output of Ct is determined, as shown in equations (15) and (16),

ot = σ (Wo · [ht−1 , xt ] + bo ) (15)

ht = ot · tanh (Ct ) . (16)

The LSTM model configuration used for SOH estimation is shown in figure 6 and consists of an input
layer, LSTM layer, dropout, and dense layer.

2.4.2. GRU
GRU is an algorithm proposed to simplify LSTM [24]. It combines LSTM’s cell state and hidden state and
integrates the forget gate and input gate to create a simpler structure, as shown in figure 7. GRU consists of
an update gate and a reset gate, resulting in a simpler structure. Its characteristic feature is the reduced
computational load compared to LSTM.

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 6. LSTM layer.

Figure 7. GRU architecture.

The reset gate determines the weight of the previous information, and the update gate decides how much
information to reflect through the tanh function.
In the reset gate, the weights of the previous hidden state ht−1 and the current input xt are determined, as
shown in equations (17) and (18),

rt = σ (Wr · [ht−1 , xt ] + br ) (17)

zt = σ (Wz · [ht−1 , xt ] + bz ) . (18)

The update gate judges the reflection ratio of past and current information and assigns weights, as shown
in equations (19) and (20),

h̃t = tanh (Wh · [rt · ht−1 , xt ] + bh ) (19)

ht = zt · ht−1 + (1 − zt ) · h̃t . (20)

The GRU model configuration used for SOH estimation is shown in figure 8 and consists of an input
layer, GRU layer, dropout, and dense layer.

2.5. Performance evaluation

The SOH estimation accuracy improvement method proposed in this paper was evaluated in two aspects. We
assessed the similarity between the synthetic battery dataset generated through TimeGAN and the original

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 8. GRU layer.

battery dataset and compared the SOH estimation accuracy improvement rate using the synthetic battery
dataset similar to the original one.
First, to quantitatively evaluate the similarity of the generated time series data features, the original and
synthetic data were represented using t-distributed stochastic neighbor embedding (t-SNE). To compare the
similarity of datasets in t-SNE, we applied the rate of change in the correlation coefficient of linear regression
and the silhouette coefficient [30], which are quantitative indicators.
Next, to compare the SOH estimation accuracy improvement rate, we used RMSE. RMSE is a
representative indicator for estimation accuracy evaluation and is shown in equation (21). Here, yi and ŷi
represent the actual and predicted values, respectively, and n denotes the number of data points,
v
u n
√ u1 X
RMSE = MSE = t
2
(yi − ŷi ) . (21)
n
i =1

3. Results and analysis

We evaluated the proposed SOH estimation accuracy improvement method through TimeGAN in two
aspects. First, we applied the rate of change in the correlation coefficient and the silhouette coefficient to
evaluate the similarity between the synthetic dataset generated through TimeGAN and the original dataset.
Then, we estimated SOH using LSTM and GRU algorithms with the synthetic battery dataset to evaluate the
improvement rate of SOH estimation accuracy.

3.1. Analysis of synthetic data

Figure 9 compares the synthesized and original battery datasets. It can be observed that, when the SOH
values are the same, the generated voltage, current, and temperature are also similar.
We assessed the similarity between the synthetic and original battery datasets using the rate of change in
the correlation coefficient of linear regression and the silhouette coefficient. First, we reduced the dimensions
using the t-SNE dimensionality reduction technique and applied quantitative evaluation indicators.
In t-SNE in figure 10, the black points represent the original battery dataset, while the red points
represent the synthetic battery dataset. The solid black line is the linear regression equation of the original
dataset, and the solid blue line is the linear regression equation of the dataset with synthetic data added to the
original dataset.
First, we judged the similarity using the rate of change in the correlation coefficient of linear regression.
Before using this indicator, we checked if the linear regression equation could sufficiently explain the data
through the coefficient of determination. Since the battery dataset exhibits linearity in t-SNE, it is possible to
evaluate the similarity of the data using the rate of change in the correlation coefficient of linear regression.
Accordingly, we calculated the rate of change between the correlation coefficients of the original dataset and
the dataset with added synthetic data. According to the results, the rate of change in the correlation
coefficient was sufficiently low, confirming similarity with the original dataset.

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 9. Similarity between original and synthetic data.

Next, we evaluated the similarity of the data using the silhouette coefficient. The closer the silhouette
coefficient value is to 0, the greater the similarity to the quality of the original data, and the closer the value is
to 1, the more distinct the characteristics between the data. The silhouette coefficient of the original battery
dataset and synthetic battery dataset was close to 0, demonstrating that the latter reflects the characteristics of
the original dataset.
We confirmed the similarity between the synthetic and original battery datasets through two evaluation
indicators, as shown in table 1, and verified its applicability in battery SOH estimation algorithms.

3.2. Analysis of SOH estimation

We applied LSTM and GRU models to verify the impact of the synthetic battery dataset generated through
TimeGAN on the improvement of SOH estimation accuracy. We conducted ten repeated tests for each cell to
obtain reliable test results. Each plot represents the SOH estimation results for one cell, showing the SOH
estimation results learned from the original dataset and the dataset with added synthetic data in terms of
RMSE. We used boxplots to represent information about RMSE as mean, median, and inter quatile range
(IQR).
In the boxplots, the green line represents the median, and the green triangle represents the mean. The
blue box indicates the IQR of the data, representing the range between the 25% and 75% percentiles. The
IQR has a similar meaning to variance but is characterized by being hardly influenced by outliers.
The results of battery SOH estimation accuracy and improvement rate using LSTM and GRU models are
shown in figures 11, 12 and table 2.
First, the SOH estimation results using LSTM are shown in figure 11. The mean and median RMSE
values decreased for all cells, indicating that the synthetic dataset generated through TimeGAN can improve
SOH estimation accuracy. Based on the mean values, the highest accuracy improvement rate was 25.43% for
RW9 data, while the lowest rate was 5.29% for RW11 data. Moreover, the improved IQR confirmed that the
proposed method also affects the stability of SOH estimation results.
Next, the battery SOH estimation results using GRU are shown in figure 12. The mean and median RMSE
values decreased for all cells, indicating that the synthetic dataset generated through TimeGAN can improve
SOH estimation accuracy. In particular, based on the mean values, the highest accuracy improvement rate

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 10. Linear regression of four battery data in t-SNE.

Table 1. Evaluation of synthetic data.

RW9 RW10 RW11 RW12

Rate of change (%) 2.54 0.58 8.36 3.86

Silhouette coefficient (−) 0.0079 0.0367 0.0080 0.0051

Figure 11. RMSE boxplot for the LSTM results.

was 18.11% for RW12 data, and the lowest rate was 5.22% for RW10 data. Additionally, the IQR either
improved or remained similar, confirming its influence on the improvement of learning stability.
As shown in table 2, with the dataset secured through TimeGAN, the accuracy of learning improved
overall for all cells and algorithms. The accuracy improvement rate varied with the characteristics of the
original dataset, and since the accuracy can change with the estimation algorithm and learning environment,
the cells with the highest or lowest accuracy varied depending on the estimation algorithm and learning
environment; this confirms that while the most suitable estimation algorithm for learning may differ
depending on the data characteristics, SOH estimation accuracy can be improved by securing datasets
through data augmentation algorithms. In addition, the SOH estimation accuracy improved with a
significant increase in synthetic data in all cells, and the stability of SOH estimation results was also affected.

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Figure 12. RMSE boxplot of GRU.

Table 2. Evaluation of SOH estimation (Bold indicates best performance).

RW9 RW10 RW11 RW12

Estimation model RMSE indicator ori ori + syn ori ori + syn ori ori + syn ori ori + syn

Mean 0.0451 0.0336 0.0471 0.0442 0.0476 0.0451 0.087 0.0772

Rate of 25.41 6.17 5.29 11.28
improvement (%)
LSTM Midean 0.0451 0.0322 0.0475 0.0446 0.0474 0.0454 0.0868 0.0773
Rate of 28.71 6.21 4.32 10.94
improvement (%)
IQR 0.0072 0.0035 0.0028 0.0019 0.0072 0.0032 0.004 0.0061

Mean 0.0695 0.0602 0.0454 0.043 0.0547 0.0488 0.0807 0.0661

Rate of 13.32 5.22 10.68 18.11
improvement (%)
GRU Midean 0.0683 0.0585 0.0449 0.0423 0.0547 0.0484 0.0792 0.0656
Rate of 14.36 5.69 11.53 17.17
improvement (%)
IQR 0.0131 0.0141 0.0038 0.0041 0.0177 0.0075 0.0104 0.0077

4. Conclusion

This study investigated a method to improve SOH estimation accuracy by securing a high-quality dataset
containing a large quantity of data through TimeGAN. To augment the battery dataset, we applied the
TimeGAN model and then verified the similarity between the generated synthetic dataset and the original
dataset to ensure high quality. When the confirmed high-quality synthetic battery dataset was added to the
original dataset for SOH estimation, the battery SOH estimation accuracy improved for all cells.

(1) A synthetic battery dataset with similar characteristics to the original battery dataset can be generated
using TimeGAN.
(2) The addition of a synthetic battery dataset can improve SOH estimation accuracy.
It was confirmed that utilizing high-quality synthetic data in the SOH estimation algorithm learning
improved the SOH estimation accuracy.
(3) The dataset expanded through synthetic data can improve the stability of SOH estimation algorithm
learning.
It was confirmed that utilizing a large amount of synthetic data for SOH estimation algorithm learning
resolved the problems of overfitting or underfitting, resulting in stable learning outcomes.

Data availability statement

The data that support the findings of this study are openly available at the following URL/DOI: https://data.
nasa.gov/Raw-Data/Randomized-Battery-Usage-1-Random-Walk/ugxu-9kjx.

Acknowledgments

This work was supported by ‘Building an open platform ecosystem for future technology innovation in the
automotive industry’ funded by the Ministry of Trade, Industry and Energy (MOTIE, Korea). (Project
Number: P0018434) and the Industrial Strategic Technology Development Program (20010132,

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Mach. Learn.: Sci. Technol. 4 (2023) 045007 S Seol et al

Development of the systematization technology of e-powertrain core parts development platform for
expending the industry of xEV parts) funded By the Ministry of Trade, Industry & Energy (MOTIE, Korea).

ORCID iDs

Sujin Seol  https://orcid.org/0009-0008-1870-8847

Jungeun Lee  https://orcid.org/0000-0001-8322-8999
Jaewoo Yoon  https://orcid.org/0009-0007-3749-9369
Byeongwoo Kim  https://orcid.org/0000-0001-5945-5497

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