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fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TVT.2019.2927120, IEEE
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Online State-of-Health Estimation for Li-ion
Battery Using Partial Charging Segment Based
on Support Vector Machine
Xuning Feng, Member, IEEE, Caihao Weng, Xiangming He, Xuebing Han, Languang Lu, Dongsheng
Ren, and Minggao Ouyang
 of the electric vehicles [4]. The states of Li-ion batteries that
Abstract—The online estimation of battery state-of-health is an
ever significant issue for the intelligent energy management of the
autonomous electric vehicles. Machine-learning based approaches
are promising for online state-of-health estimation. This paper
proposes a machine-learning based algorithm for the online state-
of-health estimation of Li-ion battery. A predictive diagnosis
model used in the algorithm is established based on support vector
machine (SVM). The support vectors, which reflects the intrinsic
characteristics of the Li-ion battery, are determined from the
charging data of fresh cells. Furthermore, the coefficients of the
SVMs for cells at different state-of-health are identified once the
support vectors are determined. The algorithm functions by
comparing partial charging curves with the stored SVMs.
Similarity factor is defined after comparison to quantify the state-
of-health of the data under evaluation. The operation of the
algorithm only requires partial charging curves, e.g. 15min
charging curves, making fast on-board diagnosis of battery state-
of-health into reality. The partial charging curves can be
intercepted from a wide range of voltage section, thereby relieving
the pain that there is little chance that the driver charges the
battery pack from a predefined state-of-charge. Train, validation,
and test are conducted for two commercial Li-ion batteries with
Li(NiCoMn)1/3O2 cathode and graphite anode, indicating that the
algorithm can estimate the battery state-of-health with less than 2%
error for 80% of all the cases, and less than 3% error for 95% of
all the cases.
Index Terms—Electric vehicle, Energy storage, Batteries, State
estimation, State-of-health
I. INTRODUCTION
V EHICLE automation and electrification innovate the
automotive engineering in the 21st century [1]. The electric
vehicles greatly drive the revolution of vehicle automation
and electrification [2,3]. Accurate online state estimation of the
Li-ion batteries is critical for the intelligent energy management
Copyright (c) 2015 IEEE. Personal use of this material is permitted.
However, permission to use this material for any other purposes must be
obtained from the IEEE by sending a request to pubs-permissions@ieee.org.
This work is supported by the Ministry of Science and Technology of China
under the Grant No. 2018YFB0104404 and No. 2016YFE0102200, the
National Natural Science Foundation of China under the Grant No.51706117
and No. U1564205, the China Postdoctoral Science Foundation under the Grant
No. 2017M610086. The first author thanks the support of “Young Elite
Scientist Sponsorship Program” from China Association for Science and
Technology.
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1
require accurate online estimation include the state-of-charge
(SOC) [5-12], state-of-health (SOH) [13,14], state-of-energy
(SOE) [15-17], and state-of-power (SOP) [18-20]. The SOH
estimation influences the results of SOC, SOE and SOP
estimation, therefore co-estimation is essential in real
applications [21]. The accuracy of the SOC estimation is
approximately linearly influenced by the accuracy of the SOH
estimation [22]. Hence, enhancing the accuracy of the SOH
estimation is an ever important issue for the battery
management system [23]. And the co-estimation is essential to
guarantee the stable operation of a BMS [24,25].
The SOH estimation includes the estimation of battery
impedance [26-28] and the estimation of battery capacity
[29,30]. This paper mainly focuses on the estimation of battery
capacity. Currently, a common approach for the SOH
estimation relies on model-based prediction plus interval
calibration [31]. Machine learning (ML) provides strong
methodology for the establishment of a predictive model, of
which the parameters can be built by neural network [32],
Gaussian process regression [33], support vector machine
(SVM) [34], et al. To regulate the predictive error, the ML-
based SOH estimation approach usually requires interval
calibration, which should have adequate accuracy. An ideal
method for capacity calibration offline is to measure the
integrated capacity during fully charge/discharge of the battery
cell. However, there is little chance for fully charge/discharge
during practical applications, if only the SOH calibration can be
fulfilled upon partial charge/discharge voltage segments. Shen
et al. [21] proposes an algorithm to update the battery capacity
using partial discharge curves under dynamic current loads. The
algorithm first infers the open-circuit-voltage (OCV) of the
battery by recursive least squares, then transfers the OCV into
specific SOC by look-up tables. The accuracy of the algorithm
cannot be guaranteed if the relationship between OCV and SOC
evolves during battery aging. Utilizing the partial charge curves
to estimate the SOH of battery is more practical, because partial
Xuning Feng, and Xiangming He are with the Institute of Nuclear and New
Energy Technology, Tsinghua University, Beijing 100084, China (e-mail:
fxn17@tsinghua.edu.cn; hexm@tsinghua.edu.cn).
Caihao Weng is with the University of Michigan, Ann Arbor, Department
of Naval Architecture & Marine Engineering, University of Michigan, Ann
Arbor, 48109, USA. (e-mail: chsweng@umich.edu).
Xuebing Han, Languang Lu, Dongsheng Ren, and Minggao Ouyang are with
the State Key Laboratory of Automotive Safety and Energy, Tsinghua
University, Beijing 100084, China (e-mail: coldsnowicer@163.com;
lulg@tsinghua.edu.cn; rds14@mails.tsinghua.edu.cn;
ouymg@tsinghua.edu.cn).
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charge curves with constant charging current is common in
battery charging strategies [35]. A SOH estimation algorithm
based on partial charging curves of the battery was explored,
but the initial SOC of the partial charge curve should be fixed,
and the battery must be charged to 100% SOC in the algorithm
[36]. Both the fixed initial SOC and the fully charged is
impractical in applications.
This paper proposed an ML-based online SOH estimation
approach, which uses flexible partial charging segment under
constant current charging to estimate the battery capacity. The
approach requires an input of partial charging segment with a
length of only 15min. SVM models have been trained to capture
the characteristics of the battery charging curves throughout full
cycle life. The online measured partial charging segments are
used as the input of the algorithm that compares the features of
the measured data and the stored SVM models. Similarity factor
that comes from the results of comparison is used to calculate
the estimated capacity. Train, validation, and test are conducted
for commercial Li-ion batteries with Li(NiCoMn)1/3O2 cathode,
indicating that the algorithm can estimate the battery SOH with
less than 2% error for 80% of all the cases, and less than 3%
error for 95% of all the cases.
II. THEORETICAL
A. The ML-based SOH estimation algorithm
Fig. 1 illustrates the scheme of the proposed ML-based
online SOH estimation algorithm. The algorithm contains two
major parts: 1) offline learning (marked as the blue bookmark);
2) online estimation (marked as the orange bookmark).
The offline learning is to build an SVM model that can
capture the characteristics of the charging curves for the battery
at different levels of SOHs, as shown in Fig. 1. First, the support
vectors (SVs), which are critical in establishing the SVM model,
should be learned from the charging curves of fresh cells. As
the locations of the SVs do not change significantly throughout
the full life cycle of the battery [34], the establishment of the
SVM model relies on the proper settings of the coefficients β.
The SVs is determined by the support vector regression (SVR)
algorithm. Once the SVs are assured, the SVM models for
different SOHs can be found by identifying the coefficients β,
using the parameter identification algorithm. To be brief in
further discussions, we use SVPI to represent the SV-based
algorithm with parameter identification. The SVPI algorithm
can also be operate online because its core is the weighted least
square algorithm.
The online estimation is to compare the similarity of the
arbitrarily measured segment of battery charging curve and that
of the stored SVM model. Based on the factor ρ that reflects the
similarity of the charged curves, the SOH of the battery can be
estimated online. Note that the quantified similarity factor ρ is
only valid for monotonic characteristics, the monotonicity of
the voltage segment can be checked using incremental capacity
analysis (ICA). The quantified voltage segment, which locates
within the monotonic section in the incremental capacity (IC)
curves, can be further evaluated to derive the similarity factor
ρ. For the proposed SOH estimation algorithm, the voltage
measured online can be any segment as long as it locates within
the monotonic section. The online SOH estimation is
accomplished by the linear combination of two SOHs, for
which the stored voltage segments established by the SVM

Fig. 1 Online state-of-health estimation for Li-ion battery using partial charging segment based on support vector machine

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model are the most similar ones with the measured voltage k  k  k , k  k  k (5)
segment. Note that the stored voltage curve is calculated by the
learned SVM model, for which only small amount of
where  k   k  0 . Then the SVR problem reformulates into:
 

parameters are required to be embedded in the BMS.

min cT  z
B. The SVM model
c
(6)
subject to: A  z  b
Fig. 2 illustrates the offline establishment of the SVM model.
The SVM model is established by Eqn. (1) to fit the voltage where
curve under constant current charge. Let x and y be the input    2 n   T

2 n 

and output of the data, respectively. x can be the SOC, y can be c  1,1,...1, w, w,...w , 0 
the measured voltage from experimental data. x=[x1, x2, x3…   


xn]T and y=[y1, y2, y3… yn]T represent the data vector of x and y.   K K I 0 1 
^
y =f (x) is the output of the SVM model, and is a linear  A    K K 0  I 1
  
combination of coefficient β and kernel κ plus the offset μ, as    
shown in Eqn. (1):   
^ n
    (7)
y  f  x    T    x       k    xk , x      
(1)  z     ,  ,  ,  ,   0 
   
k 1
   
  
where n is the total length of the data, and k is the index of the   
  
measured data. The specific kernel κ is calculated by Eqn. (2):    y 
b   
  xk  x     y 
2

  xk , x   exp   (2)
 2 2 
  and
    x1 , x1    x1 , x2  ...   x1 , xn  
  
where σ is standard deviation that controls the shape of the  K     x2 , x1    x2 , x2  ...   x2 , xn  
kernel, thereby determining the fitting accuracy of the SVM   ... ... ... ... 
  
model [37]. A standardized support vector regression (SVR)     xn , x 1    x n , x2  ...   xn , xn  
algorithm is further formulated in order to learn β and μ in the 
 y   y1 , y2 ,... yn 
T

SVM model. Define slack variables k to cope with infeasible   (8)

  1 ,  2 ,... n 
   T
constraints, ε is the precision parameter that set tolerances for
the fitting error: 
   1 ,  2 ,... n 
T

  ^
 ^
 
 k  y  y   ,  y  y  
       ,   ,...  T
  1 2 n
 ^
 ^
  
  1 ,  2 ,... n 
 k   k  y    y,  y  y   (3)    T

  
0, otherwise
 The SVR problem in Eqn. (6) is solved offline (this paper by

the function linprog in MATLAB®) to acquire the optimal
Consequently, the SVR algorithm uses l1 regularization to solutions. Most of the βi in the optimal solutions usually return
near-zero value. Those βi that have much larger values (>10-4)
formulate the optimization problem as follows:
n are regarded as significant. The kernels that located at those
Cos t function : min
 
 1  w    k   k  significant βi are called the SVs, which has the form of κ(svi, x),
 ,  , ,
k 1
as defined in Eqn. (9):
^
 yk  y k     k

^ N sv

 ^ (4) y  f  x    T    x      i    svi , x    (9)

subject to  yk  yk     k

i 1

 k  0
 
 k  0 where Nsv is the total number of SVs. Generally, Nsv∈[10, 50]
balances the trade-off of the computation load and the accuracy
where w is the weighting factor, ||ꞏ||1 denotes the l1 norm in the in curve fitting. If x is regarded as SOC, the SVM model f (x)
coefficient space. In order to formulate the carnonical form of can be easily transformed into another SVM model g(t) by Eqn.
a linear programming problem, the coefficient β should be (10):
decomposed into non-negative variables k and k as in Eqn.
 
^
t t (10)
y  f  x  SOC   f     T        g (t )
(5):  
n n

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Fig. 3 Parameter identification of the SVM model for all SOHs

Fig. 2 Establishing the SVM model for the fresh cell by linear using least squares with regulation factor
programming
   sv1 , xm,1    sv2 , xm,1 


...  svNsv , xm,1 


where t is the sampling time, n is the total sampling number. n
is especially used for normalizing the sampling data to SOC. In
   sv , x    sv , x 
  1 m ,2 2 m ,2 
...  svNsv , xm,2 

 (13)
offline calibration, we always use f(x) to guarantee generality,  ... ... ... ... 
 
whereas g(t) is more practical in online applications when    sv1 , xm,n    sv2 , xm,n 
 
...  svNsv , xm,n 
 
learning the voltage curves at different SOHs. As Eqn. (6) is
solved by linear programming, the full algorithm is called the and the optimal target of the problem in Eqn. (12) considering
LP-SVR algorithm. regulating the large fluctuations in the identified parameters can
be Eqn. (14):
C. Parameter identification of the SVM model min  ym      ym        m
T 2
(14)
of which the optimal solution should be:
The SVPI algorithm is further utilized to identify βi at
 m   T     T  ym   
1
different SOHs. The abbreviation PI is for parameter (15)
identification. Define the reference SOHs that are used for As the Nsv is always small, e.g., Nsv=10-30 in practical
parameter identification as SOH={SOH0, SOH1, …SOHm, …}, conditions, Eqn. (15) can be calculated online. Hence the
e.g. in this paper SOH={100%, 95.2%, 91.6%, 85.5%, 80.0%}. learning of the SVM models for cells at different SOHs can be
The selection of SOH is better to have evenly distributed points. performed online. Fig. 3 shows the learning results for a
Nevertheless, we cannot set it ideally by SOH={100%, 95%, commercial lithium-ion battery with Li(NiCoMn)1/3O2 cathode
90%, 85%, 80.0%} in practice, because the capacity is and graphite anode. Note that the βm in Fig. 3 are calculated
measured every 60 cycles. We can only utilize the values that differently with the β in Fig. 2. The βm in Fig. 3 is identified by
are close to the ideal values from the aging test results. m is the SVPI algorithm, whereas the β in Fig. 2 is calculated by the
index of the reference SOH. The experimental data of the LP-SVR algorithm. Considering the practical application,
charging curve at SOHm are regarded as xm=[xm,1, xm,2, xm,3… fm(x=SOC) can be transformed into gm(t), which has time t as
xm,n]T and ym=[ym,1, ym,2, ym,3… ym,n]T. βm is the coefficient vector the variable rather than SOC. As the sampling interval t=1s, the
to be identified for the cell at SOHm. length of a voltage-time segment equals the number of
Then for SOHm, the SVM model is established by: measured data points.
^  t   t 
N sv y  f m  x  SOC   f m     m T        g m (t ) (16)
^
ym  f m  x    m    xm       m ,i    svi , xm   
T (11) n
 m  nm 
i 1

Note that in Eqn. (11), the locations of the SVs (svi) inherit
from those learned by the LP-SVR algorithm. βm is identified
by the least square algorithm, of which the carnonical form is:
H · βm=ym – μ
where the matrix H for support vectors is:
D. The SOH estimation according to curve similarities
The online SOH estimation using charging voltage segment
is accomplished by comparing the similarities of the curves. Fig.
(12) 4 shows the mechanisms on how to judge the similarity of the
measured voltage segment with the stored SVM model. First,
assume that the measured segment has a length of ∆Nexp. The

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if g m  N ml,i 1   Vexp  g m  Pmi   

 N ml,i , N mr ,i    N ml,i 1 , Pmi 
(24)
elseif g m  Pmi     Vexp  g m  N mr ,i 1 
 N ml,i , N mr ,i    Pmi , N mr ,i 1 

Then the binary search goes on, until it finds a root as in Eqn.
(23).
The data length ∆Nm at SOHm can be acquired once Nm,1 and
Nm,2 are determined:
N m  N m ,2  N m ,1 (25)

Fig. 4 The mechanisms for judging the curve similarities of the The similarity factor is defined as：
arbitrarily measured voltage segment with the stored SVM model N exp  N m 1
 (26)
N m  N m 1
measured segment has a start voltage of Vexp,1 and Vexp,2, with
correlated time indexes of Nexp,1 and Nexp,2.
and the estimated SOH should be:
Second, searching the stored SVM models to find correlated
data points that satisfy: SOH    SOH m  1     SOH m1 (27)
g m  N m ,1   Vexp,1 (17)
Eqn. (26) and (27) are valid, if the condition in Eqn. (28) is true:
...N m 1  N m  N exp  N m 1  N m  2 ... (28)
and
g m  N m ,2   Vexp,2 (18)
E. Incremental capacity analysis for the feasible voltage
Searching the root of Eqn. (17) and (18) can be fulfilled by intervals
binary search, or others. Eqn. (19)-(24) describes the process of Eqn. (28) stands when the incremental capacity curve is
the binary search that is used in this research. Eqn. (19) clarifies monotonic in the voltage interval of [Vexp,1, Vexp,2]. The
the target of the binary search: incremental capacity is calculated by:
Target: find N m dQ t
(19)  N dQ  I   N dQ (29)
s.t. g m  N m   Vexp dV dV  V dV

The searching interval for the ith iteration is set as  M ml,i , M mr ,i  , where N dQ means the total data points at a specific voltage
  dV
l and r in the superscript denote the left and right end of the within the voltage sampling resolution ∆V [37]. Use additional
interval, respectively. The initial searching interval for i=0 is: subscript m to represent the value at SOHm, the Eqn. (28) stands
 M ml ,0 , M mr ,0    0, nm  (20) if N dQ is monotonic:
dV

...N dQ  N dQ  N dQ ...
th
At the i iteration, there must be: , m 1 ,m , m 1 (30)
gm  M   Vexp  g m  M 
dV dV dV
l,i 1 r , i 1
m m (21)
If Eqn. (30) is not satisfied, there is high probability that
Then guess the boundary of the ith interval using binary search Eqn. (28) is invalid, therefore the online SOH estimation by
as: Eqn. (27) cannot be accomplished. In other words, the
1 measured voltage segment should locate at a position that the
Pmi 
2
 M ml,i 1  M mr ,i 1  (22)
IC curves are monotonic. Fig. 5 provides an example for the
determination of the feasible voltage intervals using ICA. The
check if: IC curve for the voltage between 3.65V~3.85V is not
g m  Pmi   Vexp   (23) monotonic throughout the cycle life, therefore only the voltage
segment measured outside this interval can be used for online
SOH estimation.
where ε is a small value for judging the approximate equality.
If Eqn. (23) stands, then the root N m  Pm , exiting the binary
i

search. Otherwise:

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TABLE I
SPECIFICATIONS OF THE BATTERIES USED FOR EXPERIMENTAL VALIDATION
Battery Sample Capacity / Ah Cathode Anode
A 24 Li(NiCoMn)1/3O2 Graphite
B 20 Li(NiCoMn)1/3O2+LiMn2O4 Graphite

Fig. 6 The experimental settings

Fig. 5 Determination of the feasible voltage intervals using

incremental capacity analysis. (a) The OCV-SOC curve of Battery
Sample A at different cycles. (b) The incremental capacity curve

III. EXPERIMENTAL
Fig. 6 shows the experimental settings for validating the
proposed online SOH estimation algorithm. The specifications
of the batteries that are used for experimental validation are
listed in 错误!未找到引用源。. Six cells are tested in parallel
for Battery Sample A. The proportion of the data used for
“training”, “validation” and “testing” is 1:1:1. The aging tests
are conducted using Battery Cycler BT-3008 made by Neware®,
whereas the temperature during test is controlled by thermal
chamber BE-HL-150M3 made by DGBell®.
High temperature aging tests are conducted to accelerate the Fig. 7 Training of the SVM model for Battery Sample A. (a) Using
aging speed of the cells. In this paper, the high temperature the SVR algorithm to find support vectors, and the fitted results
aging test is conducted by 1C charge/discharge at 55℃. The for the fresh cell. (b) Using the SVPI algorithm to train the SVM
cell capacities at different aging levels are calibrated by the model to learn the charge voltages at different SOHs, the black
dotted lines are the fitted results by the SVM model after training.
reference performance tests after each 60 cycles. The reference
performance tests are all conducted at 25℃. The cycling current
from Battery Sample B is used for checking the adaptation of
is set as 1/3C at the reference performance tests for Battery
the proposed algorithm on different types of cells.
Sample A, whereas that is set as 1/2C for Battery Sample B.
The SVM model is established from the charging curves of
the reference performance tests for the cells that are used for IV. RESULT AND DISCUSSIONS
“learning”, at SOH={100%, 95.2%, 91.6%, 85.5%, 80.0%} for A. Training of the SVM model for Battery A
Battery Sample A, whereas SOH={100%, 95.2%, 91.6%, Fig. 7 shows the training scheme of the SVM model for
85.5%, 80.0%} for Battery Sample B. Voltage segments are Battery Sample A. The SVs of the SVM model are determined
intercepted from the charging curves of the reference by the LP-SVR algorithm in Eqn. (1)-(10). The built SVM
performance tests for the cells that are used for “validation” and model can smoothly fit the charging curve, because the voltage
“testing”. The length of the voltage segment is set at 900s output of the model passes through the training data from
(15min), implying that ∆Nexp=900 and the algorithm can different cells, as shown in Fig. 7(a). Moreover, the coefficients
estimate the SOH with adequate accuracy in 15min. The data of the SVM model (βm) are identified from the training data at

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This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TVT.2019.2927120, IEEE
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> VT2018-03050 < 7

different SOHm using the SVPI algorithm in Eqn. (11)-(16). The

SVM model can fit the charging voltage well at different SOHm,
as the dotted lines shown in Fig. 7(b). The SVM models (gm)
for the cells at different SOHm can be embedded in the BMS by
storing βm and the SVs. Note that the amount of SVs is small
(in this paper Nsv=24), therefore the required memory and the
computational load are both small for the online/onboard SOH
estimation.
B. Validation and Testing of the SOH estimation algorithm for
Battery A
Validation of the proposed SOH estimation algorithm relies on
the “validation” data set. The voltage segments are cut from the
charging curves for cells with unknown SOHs. The length of
the segments are all ∆Nexp=900, representing 15min partial
charge. The segments have arbitrary time indexes of Nexp,1 and
Nexp,2, and arbitrary voltage Vexp,1 and Vexp,2. Vexp,1 is also called
the start voltage of the segment, whereas Vexp,2 is the end voltage
of the segment. The proposed online SOH estimation algorithm
is effective as long as the full voltage segment locates in the Fig. 8 Estimation error for the validation set of Battery A.
monotonic region. In practical condition, the effectiveness may
still hold as long as 2/3 of the full voltage segment located in
the monotonic region as determined by ICA (Fig. 5). Hence the
feasible region for the start voltage (Vexp,1) shifts from 3.65-
3.85V to 3.62V-3.82V. Fig. 8 illustrates the estimation error for
the cells with different SOHs with respect to the start voltage.
The y axis of Fig. 8 denotes the accurate SOH as measured by
the reference performance test, whereas the x axis denotes the
start voltage of the measured segment. The estimation error is
presented by 2D nephogram. The estimation error that exceeds
3% is marked by polygons in Fig. 8. 97.8% of the SOH
estimation errors are within 3%, whereas 85.4% are within 2%,
indicating that the proposed algorithm is reliable. The largest
estimation error occurs near the intersection of 80% SOH and
3.85V, because the voltage curve deteriorates and the non- Fig. 9 Estimation error for the testing set of Battery A.
monotonic region may expand towards the end of life. Although
the non-monotonic region in the training set points out that the applied for Battery Sample A, because there are larger feasible
limit can be 3.85V, the actual feasible region can change regions that has monotonic features in the IC curves, and the
considering the cell variations in aging. Non-uniform aging cell variations do not expand largely to deform the
during operation is believed to be one possible reason that monotonicity.
changes the cell variations within a battery pack [38,39]. The Fig. 10 shows the critical results for the validation of the
influence of the SOH estimation error of cell on the state algorithm using data from Battery Sample B. Fig. 10(a) shows
estimation error of battery pack is approximately linear, the OCV vs. SOC curve of the Battery Sample B at different
according to the discussions in [38,39]. How the non-uniform SOHs. Fig. 10(b) shows the learned SVM models for cells with
aging undermine the accuracy of the proposed SOH algorithm different SOHs. The SVM models can fit well with the charging
requires further study. curves within the data set of learning. Fig. 10(c) shows the ICA
The proposed algorithm is further tested using the “testing” that helps determine the feasible voltage region considering the
data set. The estimation errors at different SOHs are collected monotonicity. Larger proportions of voltage regions with
in Fig. 9. 96.1% of the SOH estimation errors are within 3%, monotonic IC curves can be seen for Battery Sample B than
whereas 81.1% are within 2%. According to Ref. [24], 5% error Battery Sample A. Therefore, the proposed SOH estimation
in the SOH estimation will lead to a systematic error of 1% in algorithm performs better for Battery Sample B than that for
the SOC estimation. Therefore the accuracy of the algorithm is Battery Sample A. The feasible region for Battery Sample B are
adequate to have small influence- (<1%) on the accuracy of 3.4V-3.8V and 3.95V-4.2V. Any arbitrary voltage segment that
SOC estimation for most of the cases. locates within the feasible ranges can be further used for online
SOH estimation. Fig. 10(d) shows the estimation errors at full
C. Validation of the SOH estimation algorithm for Battery B SOH ranges. 99.7% of the SOH estimation errors are within 3%,
The proposed algorithm has been further validated using whereas 97.8% are within 2%, indicating that the algorithm is
another battery sample: Battery Sample B. The working flow of adaptive to be applied on other kinds of commercial lithium-ion
the algorithm when applied on Battery Sample B complies with batteries.
that in Fig. 1. The algorithm performs even better than it was

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This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TVT.2019.2927120, IEEE
Transactions on Vehicular Technology
> VT2018-03050 <
Fig. 10 Validation of the SOH algorithm for Battery B. (a) The
OCV-SOC curve of Battery Sample B at different SOHs. (b) The
SVM model after learning, black dotted line are the fitting results.
(c) The ICA results for the determination of the feasible voltage
intervals. (d) The estimation error for the validation data set.
D. Factors that influence the application of the SOH
estimation algorithm
Here we first discuss the reason for using the SVM model
in the proposed SOH estimation algorithm. The online SOH
estimation using partial charging segment always relies on the
OCV-SOC relationship to infer the capacity by voltage
information [24]. A model as in Eqn. (1) is necessary to
describe the OCV-SOC relationship. Eqn. (1) is a normal form
of the SVM model according to the theory of machine learning.
Therefore we choose to use the SVM model to describe the
OCV-SOC relationship. Other models that have different
names can also capture the OCV-SOC relationship as long as it
fits well with the voltage curves. However, the SVM model is
universal in curve fitting, most of other models can be regarded
as the special cases of the SVM model, just by changing the
kernels as in Eqn. (2). Therefore we choose the SVM model in
this research.
The proposed algorithm requires the charging voltage to be
measured at a constant current. For different cells or cells at
different applications, the preset constant current can be
different, e.g. the current is 1/3C for Battery Sample A, whereas
1/2C for Battery Sample B. The selection of the constant current
should consider the charging current in real application. For
instance, when there is preset constant current stage during
battery charging, the voltage collected from that charging stage
can be used for the SOH algorithm, as long as the data length is
the preset ∆Nexp. The important thing is that the current used in
the input data for training the SVM model should be the same
one as that used in the battery charging. The advantage of this
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8
Fig. 11 The influence of the length of segment ∆Nexp on the SOH
estimation error. (a) ∆Nexp=600, (b) ∆Nexp=1800.
algorithm is that not the full charging curve is required to
estimate the cell SOH. The proposed algorithm can provide a
quick solution for the on-board SOH estimation. It not only
considers the estimation of single cells, but also considers cell
variations, making the fast SOH diagnosis for the individual
cells within a battery pack into reality. Segment under multi-
stage charging [34] can be also used for SOH estimation, as
long as the voltage segment covers the preset voltage threshold
for a specific charging current.
The temperature influences the discharge capacity of the
lithium-ion batteries [40]. In this paper, the algorithm is
validated at 25℃. Two solutions can be adopted when the
algorithm is applied at practical conditions, where the
temperature can be different. First, the capacity difference
might be negligible within a specific temperature range, e.g.
25℃±5℃. Under this circumstances, the algorithm can operate
at 25℃±5℃, without further training at other temperatures.
However, this condition holds when the BMS can actively
control the temperature of the battery pack around 25℃±5℃.
Second, we need to train the SVM model at various
temperatures in order to cover the full temperature ranges.
The length of the segment ∆Nexp can be changed during
practical application, offering flexibility of the algorithm.
Although ∆Nexp=900 is set for the validation and testing of the
proposed algorithm, ∆Nexp can be other numbers that is long
enough to guarantee the estimation accuracy. Fig. 11 compares
the influence of the ∆Nexp on the SOH estimation error using
the proposed algorithm. A shorter segment with smaller ∆Nexp
will make the SOH diagnosis faster, however, it also leads to
lower accuracy according to Eqn. (26)-(28). ∆Nexp=600 leads to
This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TVT.2019.2927120, IEEE
Transactions on Vehicular Technology
> VT2018-03050 <
that 78.2% of the SOH estimation errors remains within 3%,
whereas 59.1% within 2%, as shown in Fig. 11(a). A longer
∆Nexp will lead to a more accurate result of SOH estimation.
∆Nexp=1800 leads to that 96.9% of the SOH estimation errors
remains within 3%, whereas 85.9% within 2%, as shown in Fig.
11(b). However, there is not always chances to generate a
voltage segment long enough, because the charging behavior of
the driver might be unpredictable. To provide stable and
accurate SOH estimation results, we recommend
900≤∆Nexp≤1800 for the 1/3C charging curve.
We may not worry about that the sensing accuracy of the
voltage will hinder the application of the algorithm. The
resolution of voltage sampling is 1mV, which is common in a
real BMS. The noise of voltage signal has little influence on the
estimation results, because the noise can be filtered out by the
SVM model. The computational load is small for this proposed
SOH estimation algorithm. The binary search contributes most
to the computational load. The computational complexity of the
binary search is Θ(n)=log(n), which is acceptable for online
purpose.
V. CONCLUSIONS
This paper proposed an ML-based online SOH estimation
algorithm, which uses partial charging segment under constant
current charging to calibrate the battery capacity. The approach
requires an input of partial charging segment with a length of
only 15min. The start point of the partial charging segment can
be flexible, making the algorithm adaptive to be widely used in
fast on-board SOH diagnosis. SVM models have been trained
to capture the characteristics of the battery charging curves at
different SOHs. The online measured partial charging segments
are used as the input of the algorithm that compares the features
of the measured data and the stored SVM models. Similarity
factor is defined to calculate the estimated capacity according
to the results of comparison. Train, validation, and test are
conducted for two commercial Li-ion batteries with
Li(NiCoMn)1/3O2 cathode, indicating that the algorithm can
estimate the battery SOH with less than 2% error for 80% of all
the cases, and less than 3% error for 95% of all the cases.
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development for capacity fade estimation,” IEEE Trans. Veh. in the Department of Chemical
Technol., vol. 65, no. 6, pp. 4328-4343, June 2016.
Engineering from Tsinghua University,
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the Institute of Nuclear and New Energy
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recurrent neural network for remaining useful life prediction of lithium- has experiences in the R&D of lithium-
ion batteries,” IEEE Trans. Veh. Technol., vol. 67, no. 7, pp. 5695-5705, ion batteries over 20 years. He is the
July 2018.
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Wada, “Battery state-of-charge estimation based on regular/recurrent
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based on the invariance of support vectors with applications to battery
University, Beijing, China, in 2009 and
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3908-3917, Sept. 2015. 2016, respectively.
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oriented electrochemical model,” Applied Energy, vol. 204, pp. 1240-
Automotive Engineering, Tsinghua
1250, Mar. 2017.
[36] R. Xiong, Y. Zhang, J. Wang, H. He, S. Peng, and M. Pecht, “Lithuim- University. His research interests include
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used in electric vehicles,” IEEE Trans. Veh. Technol., accepted, Sept. modeling.
2018. DOI 10.1109/TVT.2018.2864688
[37] X. Feng, C. Weng, X. He, L. Wang, D. Ren, L. Lu, X. Han, and M.
Languang Lu received the Ph.D.
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batteries using support vector regression: A parametric study,” Energies, degree from Wuhan University of
vol. 11, no. 9, pp. 2323, Sept. 2018. Technology, Hubei, China, in 2001.
[38] M. Ouyang, X. Feng, X. Han, L. Lu, Z. Li, and X. He, “A dynamic He is currently a Senior Engineer with
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the Department of Automotive
for a large format Li-ion battery,” Appl. Energy, vol. 165, pp. 48-59, Mar.
2016. Engineering, Tsinghua University. His
[39] X. Feng, C. Xu, X. He, L. Wang, S. Gao, and M. Ouyang, “A graphical main research interests include battery
model for evaluating the status of series-connected lithium-ion battery management system and online state
pack,” Int. J. Energy Res., Accepted.
evaluation of lithium-ion battery.
[40] X. Feng, C. Xu, X. He, L. Wang, G. Zhang, and M. Ouyang, “Mechanisms
for the evolution of cell variations within a LiNixCoyMnzO2/graphite
lithium-ion battery pack caused by temperature non-uniformity,” J. Clean Dongsheng Ren received the B.E.
Prod., vol. 205, pp. 447-462, Dec. 2018. degree in the Department of Automotive
Engineering from Tsinghua University,
Xuning Feng received the B.E. Degree Beijing, China, in 2014. He is currently
and the Ph.D. degrees in the Department working toward the Ph.D. degree with
of Automotive Engineering from Tsinghua University.
Tsinghua University, Beijing, China, in His research interests include battery
2011 and 2017, respectively. management system and battery safety.
He is currently a Post-Doc Researcher
with Tsinghua University. His research Minggao Ouyang received the Ph.D.
interests include battery management degree in Mechanical Engineering from
system and battery safety. the Technical University of Denmark,
Lyngby, Denmark, in 1993.
Caihao Weng received the B.S.E., He is currently the Fellow of Chinese
M.S.E. and Ph.D. degrees from the Academy of Sciences, the Director of the
University of Michigan, Ann Arbor, MI, State Key Laboratory of Automotive
USA, in 2010, 2013 and 2015. Safety and Energy with Tsinghua
He is currently working as a data University, Beijing, China. His main
scientist in New York, USA. His research interests include powertrain
research interests include data-driven systems of energy-saving and new
modeling, system identification, and energy vehicles.
mathematical optimization with

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