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Towards a Safer Battery Management System: A Critical Review on Diagnosis and

Prognosis of Battery Short Circuit

Rui Xiong, Suxiao Ma, Hailong Li, Fengchun Sun, Ju Li

PII: S2589-0042(20)30194-2
DOI: https://doi.org/10.1016/j.isci.2020.101010
Reference: ISCI 101010

To appear in: ISCIENCE

Please cite this article as: Xiong, R., Ma, S., Li, H., Sun, F., Li, J., Towards a Safer Battery Management
System: A Critical Review on Diagnosis and Prognosis of Battery Short Circuit, ISCIENCE (2020), doi:
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 1 Towards a Safer Battery Management System: A Critical Review

2 on Diagnosis and Prognosis of Battery Short Circuit

3 Rui Xiong1, 2,4,*, Suxiao Ma1, , Hailong Li3 , Fengchun Sun1, and Ju Li2

1
4 National Engineering Laboratory for Electric Vehicles, School of Mechanical Engineering,

5 Beijing Institute of Technology, Beijing 100081, China.

2
6 Department of Nuclear Science and Engineering, Massachusetts Institute of Technology, 77

7 Massachusetts Avenue, Cambridge, MA 02139, USA.

3
8 School of Business, Society and Engineering, Mälardalen University, Västerås 721 23, Sweden

4
9 Lead Contact

*
10 Corresponding author. Email: rxiong@bit.edu.cn

11 Keywords: Electric vehicles, battery, safety management, short circuit, diagnosis, prognosis

1
12 SUMMARY

13 Lithium-ion batteries are commonly used as sources of power for electric vehicles (EVs). Battery

14 safety is a major concern, due to a large number of accidents, for which short circuit has been

15 considered as one of the main causes. Therefore, diagnosing and prognosticating of short circuit

16 are of great significance to improve EV safety. This work reviews the current state of the art. The

17 key indicators for short circuit have been identified, and different methods developed to diagnose

18 and prognosticate the occurrence of short circuit have been compared. The findings provide an

19 important insight regarding how to enhance the battery safety.

20 INTRODUCTION

21 Electric vehicles (EVs) are gaining wider acceptance as the transportation sector is developing

22 towards more environmentally friendly and sustainable (Vijayaraghavan, V., Garg, A., and Gao, L.

23 (2018). Fracture mechanics modelling of lithium-ion batteries under pinch torsion test. Meas. J.

24 Int. Meas. Confed. 114, 382–389.; Liu, Z., Hao, H., Cheng, X., and Zhao, F. (2018a). Critical

25 issues of energy efficient and new energy vehicles development in China. Energy Policy 115, 92–

26 97.). Lithium-ion batteries are commonly used in EVs (Wang, B., Han, Y., Wang, X., Bahlawane,

27 N., Pan, H., Yan, M., and Jiang, Y. (2018). Prussian blue analogs for rechargeable batteries.

28 iScience 3, 110–133.; Go, C.Y., Jeong, G.S., and Kim, K.C. (2019). Pyrenetetrone Derivatives

29 Tailored by Nitrogen Dopants for High-Potential Cathodes in Lithium-Ion Batteries. iScience 21,

30 206–216.),with advantages of high power density, high energy density, low self-discharge rate,

31 extended cycle life and without memory effect (Shibagaki, T., Merla, Y., and Offer, G.J. (2018).

32 Tracking degradation in lithium iron phosphate batteries using differential thermal voltammetry. J.

2
33 Power Sources 374, 188–195.; Mo, R., Rooney, D., and Sun, K. (2018). Yolk-Shell

34 Germanium@Polypyrrole Architecture with Precision Expansion Void Control for Lithium Ion

35 Batteries. iScience 9, 521–531.). However, a higher energy density usually results in a higher risk

36 of thermal instability (Liu, B., Zhang, J., Zhang, C., and Xu, J. (2018b). Mechanical integrity of

37 18650 lithium-ion battery module: Packing density and packing mode. Eng. Fail. Anal. 91, 315–

38 326. Noh, H.-J., Youn, S., Yoon, C.S., and Sun, Y.-K. (2013). Comparison of the structural and

39 electrochemical properties of layered Li [NixCoyMnz] O2 (x= 1/3, 0.5, 0.6, 0.7, 0.8 and 0.85)

40 cathode material for lithium-ion batteries. J. Power Sources 233, 121–130.), where a chain

41 exothermic reaction can be triggered (Naguib, M., Allu, S., Simunovic, S., Li, J., Wang, H., and

42 Dudney, N.J. (2018). Limiting internal short-circuit damage by electrode partition for

43 impact-tolerant li-ion batteries. Joule 2, 155–167.). Battery fire incidents of EVs have occurred

44 continually, Table 1 lists some representative and serious accidents in recent 10 years, and the

45 statistics of fire incidents of EVs for different external or internal cause between 2014 and the first

46 half of 2019 is shown in Table 2 (Chen, Z., Xiong, R., and Sun, F. (2019). Research status and

47 analysis for battery safety accidents in electric vehicles. J. Mechanical Engineering 55, 93-116.),

48 among them, the internal short circuit (ISC) involves 52% of the accident probability, while the

49 external short circuit (ESC) involves 26% of the accident probability. From which it can be

50 explained that short circuit (SC) is one of the major failure mechanisms (Abaza, A., Ferrari, S.,

51 Wong, H.K., Lyness, C., Moore, A., Weaving, J., Blanco-Martin, M., Dashwood, R., and Bhagat,

52 R. (2018). Experimental study of internal and external short circuits of commercial automotive

53 pouch lithium-ion cells. J. Energy Storage 16, 211–217.), it is initiated by the penetration of the

54 separator by electronic conductors, which can raise the local temperature to cause shrinkage or
3
55 even melting of the separator.

56 Table 1. Battery Safety Accidents in Recent Years

Accide
Date Place Brand Cause
nt
Sponta
neous
Apri Battery leak due to installation defects (Eric, L. (2011). Zotye electric
Hangz combu
l Zotye taxi fire caused by shoddy Chinese-built battery pack.
hou, stion of
201 Auto https://www.autoblog.com/2011/06/16/zotye-electric-taxi-fire-cau
China an
1 sed-by-shoddy-chinese-built-battery/.)
electric
taxi
Caught
Oct Corrosion from the salt in seawater (John, V. (2012). Sandy Flood Fire
New fire Toyota
ober Followup: Fisker Karma Bttery Not At Fault.
York, while plug-in
201 https://www.greencarreports.com/news/1080276_sandy-flood-fir
USA being hybrid
2 e-followup-fisker-karma-battery-not-at-fault/.)
parked
Sponta
Apri neous Overcharging leads to electrolyte leak (Liu, L., Zhang, M., Lu, L.,
Shenz Wuzho
l combu Ouyang, M., Feng, X., and Zheng, Y. (2018c). Recent progress on
hen, ulong
201 stion of mechanism and detection of internal short circuit in lithium-ion
China Motors
5 hybrid batteries. Energy Storage Science and Technology 7, 55-67.)
bus
Caught
Janu Gjerst Electrical distribution box (Steve, H. (2016). Tesla Identifies Cause
fire
ary ad, Tesla for Model S Fire in Norway.
while
201 Norwa Inc https://www.teslarati.com/tesla-short-circuit-cause-for-model-s-n
chargin
6 y orway-fire/.)
g
Caught
Hemb Oil leaking onto hot electric wiring (Lance, B (2017). Richard
June fire by
erg, Hammond’s crash: Why did his EV catch fire.
201 vehicle Rimac
Switze https://www.wheels24.co.za/Fuel_Focus/richard-hammonds-cras
7 rollove
rland h-why-did-his-ev-catch-fire-20170614/.)
r
Sponta
neous
Apri
combu Deformation of vehicle Chassis (Nio (2019). Description of Vehicle
l Xi'an,
stion of Nio Accident in Xi'an on April 22.
201 China
an https://m.weibo.cn/status/4366925037180341/.)
9
electric
al SUV

57 Table 2. The Statistics of Fire Incidents of EVs

4
 External Spontaneous Other
Charging Vehicle collision Cable aging Soaking
causes combustion causes
Internal short circuit
Internal Internal short External External
Overcharge and external short
causes circuit short circuit short circuit
circuit
2014 4 1 1 0 0 0
2015 7 1 1 1 0 1
2016 10 5 4 6 3 8
2017 6 5 4 0 1 1
2018 9 6 3 1 1 5
2019 5 3 2 0 0 2
Total 41 21 15 8 5 17
Proportion 38% 20% 14% 7% 5% 16%

58 Battery abuse in EVs can hardly be avoided, such as the mechanical damage caused by vehicle

59 collision, and the electrical abuse caused by battery leak, overcharge and discharge (Ruiz, V.,

60 Pfrang, A., Kriston, A., Omar, N., Van den Bossche, P., and Boon-Brett, L. (2018). A review of

61 international abuse testing standards and regulations for lithium ion batteries in electric and hybrid

62 electric vehicles. Renew. Sustain. Energy Rev. 81, 1427–1452..). All of these can lead to SC,

63 defined as unexpected and precipitous drop in electrical resistance, resulting in overheating of

64 batteries. It has been commonly recognized that SC is the primary cause of thermal runaway (TR)

65 (Feng, X., Ouyang, M., Liu, X., Lu, L., Xia, Y., and He, X. (2018a). Thermal runaway mechanism

66 of lithium ion battery for electric vehicles: A review. Energy Storage Mater. 10, 246–267. Sahraei,

67 E., Campbell, J., and Wierzbicki, T. (2012). Modeling and short circuit detection of 18650 Li-ion

68 cells under mechanical abuse conditions. J. Power Sources 220, 360–372.Liu, X., Ren, D., Hsu,

69 H., Feng, X., Xu, G.L., Zhuang, M., Gao, H., Lu, L., Han, X., Chu, Z., et al. (2018d). Thermal

70 runaway of lithium-ion batteries without internal short circuit. Joule 2, 2047–2064.), leading to

71 fire and even explosions (Lisbona, D., and Snee, T. (2011). A review of hazards associated with

72 primary lithium and lithium-ion batteries. Process Saf. Environ. Prot. 89, 434–442.; Meng, H., and

5
73 Li, Y.-F. (2019). A review on prognostics and health management (PHM) methods of lithium-ion

74 batteries. Renew. Sustain. Energy Rev. 116, 109405.). For example, ISC resulted from mechanical

75 abuse can directly cause TR (Ren, D., Feng, X., Hsu, H., Lu, L., He, X., and Ouyang, M. (2019).

76 The role of internal short circuit during the thermal-induced thermal runaway process of

77 lithium-ion battery. In Meeting Abstracts (The Electrochemical Society), p. 582.; Deng, J., Bae, C.,

78 Marcicki, J., Masias, A., and Miller, T. (2018). Safety modelling and testing of lithium-ion

79 batteries in electrified vehicles. Nat. Energy 3, 261–266.). In order to avoid or defeat TR,

80 according to Table 2, although the use of high-thermal-resistant battery materials, crashworthiness

81 design of the automobile body and high-quality cables can reduce the probability of fire, it cannot

82 meet the needs of cost and lightweight for EVs. So it is of great importance to detect (diagnostics)

83 and forecast (prognostics) SC. Efforts have been dedicated to understand the mechanism of SC. It

84 is crucial to detect ISC before final stage, because the TR immediately happens once ISC

85 develops from middle stages into the final stage. Liu et al. (Liu, L., Zhang, M., Lu, L., Ouyang,

86 M., Feng, X., and Zheng, Y. (2018c). Recent progress on mechanism and detection of internal

87 short circuit in lithium-ion batteries. Energy Storage Science and Technology 7, 55-67.) reviewed

88 different triggering methods of ISC and its evolution process, i.e. the early, middle and final stages

89 of ISC. Zhu et al. (Zhu, J., Wierzbicki, T., and Li, W. (2018). A review of safety-focused

90 mechanical modeling of commercial lithium-ion batteries. J. Power Sources 378, 153–168.a)

91 summarized the critical displacement to induce SC of various batteries under different mechanical

92 abuse loading, and came to the conclusion that SC of the same battery happens at different

93 displacements under different mechanical loading. However, ESC has not attracted as many

94 attentions as ISC (Chen, Z., Xiong, R., Lu, J., and Li, X. (2018). Temperature rise prediction of
6
 95 lithium-ion battery suffering external short circuit for all-climate electric vehicles application.

96 Appl. Energy 213, 375–383.).

97 Different from the aforementioned studies, the contribution of this work is to provide a

98 systematic review on both ISC and ESC, which are the most important risks to be handled in EVs.

99 In addition, various indicators have been used to diagnose and prognosticate SC. This work will

100 collect the existing indicators; and through a comprehensive comparison on their advantages and

101 disadvantages, a guideline regarding the selection of indicators will be provided.

102 The content is organized as following: Section 2 introduces different types of SC; Section 3

103 presents the principle and characteristics of experimental studies on ISC and ESC; Section 4 and

104 Section 5 elaborate on the indicators for SC diagnosis and prognosis respectively; and the

105 conclusions and suggestions regarding future work are summarized in Section 6.

106 TYPES OF SHORT CIRCUIT

107 Short circuit of the lithium-ion battery can be divided into ISC and ESC depending on where it

108 occurs, as shown in Figure 1. ESC (A) usually refers to the direct connection between the positive

109 and negative terminals outside the battery (Zavalis, T.G., Behm, M., and Lindbergh, G. (2012).

110 Investigation of short-circuit scenarios in a lithium-ion battery cell. J. Electrochem. Soc. 159,

111 A848.). ISC occurs inside the battery, which can be further divided into four types according to

112 the connection between different positive and negative components, marked as B-E (Zhang, M.,

113 Du, J., Liu, L., Stefanopoulou, A., Siegel, J., Lu, L., He, X., Xie, X., and Ouyang, M. (2017a).

114 Internal short circuit trigger method for lithium-ion battery based on shape memory alloy. J.

115 Electrochem. Soc. 164, A3038–A3044. Santhanagopalan, S., Ramadass, P., and Zhang, J.

116 (Zhengming) (2009). Analysis of internal short-circuit in a lithium ion cell. J. Power Sources 194,
7
117 550–557.). In addition to the location, the changing rate of voltage, current and temperature of

118 ISC and ESC are also quite different. ISC normally has an incubation period (Yang, S., Wang, W.,

119 Lin, C., Shen, W., and Li, Y. (2019). Investigation of internal short circuits of lithium-ion batteries

120 under mechanical abusive conditions. Energies 12, 1885.), which is a process of gradual

121 deterioration (Lee, S.-M., Kim, J.-Y., and Byeon, J.-W. (2018). Failure analysis of short-circuited

122 lithium-ion battery with nickel-manganese-cobalt/graphite electrode. J. Nanosci. Nanotechnol. 18,

123 6427–6430.), although the final performance is consistent with the ESC.

124 ESC is usually caused by vehicle collision, battery leak, water immersion, and incorrect

125 operation when assembling or disassembling batteries. Causes of ISC are more complicated. Feng

126 et al. (Feng, X., Ouyang, M., Liu, X., Lu, L., Xia, Y., and He, X. (2018a). Thermal runaway

127 mechanism of lithium ion battery for electric vehicles: A review. Energy Storage Mater. 10, 246–

128 267.) attributed ISC to the following three issues: (1) mechanical abuse, the deformation and

129 damage of a separator due to nail penetration or crush, (2) thermal abuse, the collapse of a

130 separator due to excessive ambient temperature, and (3) electrical abuse, a separator may be

131 pierced by the dendrite growth due to overcharge or over-discharge.

132 EXPERIMENTAL STUDIES ON SHORT CIRCUIT

133 Many investigations have been performed to understand the influence of SC on the

134 performance of battery (Chen, M., Bai, F., Lin, S., Song, W., Li, Y., and Feng, Z. (2019).

135 Performance and safety protection of internal short circuit in lithium-ion battery based on a

136 multilayer electro-thermal coupling model. Appl. Therm. Eng. 146, 775–784.), evaluate the

137 impact on the battery safety, and provide data for model and algorithm development, such as

138 validation and regression of empirical parameters and/or indicators. Table 3 summarizes the
8
139 typical experiments on SC.

140 Experiments on ISC

141 Tests on ISC mainly include nail penetration test, indentation test, pinch test, forced internal

142 short circuit test, overcharge, over-discharge test and equivalent short resistance test, which are

143 shown in Error! Reference source not found..

9
 Table 3. Experimental Studies on SC

Measured
Type Method Procedure Purpose Advantage Disadvantage
Parameter

To assess the safety of

A steel nail with an adequate
Nail battery (if the battery Poor reduplication and Temperature,
diameter is inserted into the Easy to operate
penetration catches fire or explodes controllability voltage
battery at a stipulate speed
after nail-penetration)
A force is exerted to an
Suitable for thin and Probability of producing Force, voltage,
indenter, and the resulting To reduplicate the actual
Indentation small components wrong results because of the intrusion,
size or depth in the surface of ISC process
without damage dissipation of heat temperature
the material can be measured
Force, voltage,
Compressing batteries by To make ISC spot size as Inducing smaller ISC Not suitable for flat plate
Pinch displacement,
using two opposite forces small as possible spot size batteries with large thickness
temperature
ISC Precluding the endcaps The process of disassembling
Forced Compressing the battery after To observe the mechanical Force, voltage,
from restraining the batteries is complex and
internal short adding a nickel particle into dynamic response of the displacement,
deformation of the often accompanied by
circuit jellyroll inner jelly roll structure temperature
winding structure potential safety hazards
Overcharge Charging or discharging Forced to charge or
Temperature,
and current is forced through the discharge electricity when Not very close to the actual
Good reduplication voltage,
over-dischar battery up to a certain voltage the battery has already ISC
resistance
ge limit reached its cut-off voltage
The equivalent short To imitate ISC Good controllability of There is no effect on internal
Equivalent Temperature,
resistance is placed outside or quantitatively, obtain some ISC, which can be material of battery during
short voltage,
inside the battery and indicators and provide triggered anytime due test, which is different from
resistance resistance
connected in parallel validation for to a switch in the the actual ISC

10
 indicator-based diagnostic circuit
algorithms
To test whether the battery Difficult to measure and
Long-time
will result in fire and control external resistance
SC
explosion accurately
Temperature,
ESC Creating ESC manually Simple operation The procedure is
To explore the impact such voltage, current
Short-time complicated as the structural
as capacity fading of the
SC characterization of battery is
battery after SC happens
needed every time

11
 89 In addition to the above tests, ISC can also be triggered by placing special materials inside

90 the battery, such as metallic particles (Ramadass, P., Fang, W., and Zhang, Z. (2014). Study of

91 internal short in a Li-ion cell I. Test method development using infra-red imaging technique. J.

92 Power Sources 248, 769–776.), phase change materials (Finegan, D.P., Darcy, E., Keyser, M.,

93 Tjaden, B., Heenan, T.M.M., Jervis, R., Bailey, J.J., Malik, R., Vo, N.T., and Magdysyuk, O.

94 V (2017). Characterising thermal runaway within lithium-ion cells by inducing and

95 monitoring internal short circuits. Energy Environ. Sci. 10, 1377–1388.) and shape memory

96 alloys (Zhang, M., Du, J., Liu, L., Stefanopoulou, A., Siegel, J., Lu, L., He, X., Xie, X., and

97 Ouyang, M. (2017a). Internal short circuit trigger method for lithium-ion battery based on

98 shape memory alloy. J. Electrochem. Soc. 164, A3038–A3044.). Such tests show good

99 reliability and reproducibility (Keyser, M., Long, D., Jung, Y.S., Pesaran, A., Darcy, E.,

100 McCarthy, B., Patrick, L., and Kruger, C. (2011). Development of a novel test method for

101 on-demand internal short circuit in a li-ion cell (Presentation) (National Renewable Energy

102 Lab.(NREL), Golden, CO (United States)).), however, they are excluded from this work.

103 Nail penetration test

104 The nail penetration test illustrated in Error! Reference source not found.A refers to

105 inserting a steel nail with an adequate diameter into the battery at a predefined speed to cause

106 ISC (Liang, G., Zhang, Y., Han, Q., Liu, Z., Jiang, Z., and Tian, S. (2017). A novel 3D-layered

107 electrochemical-thermal coupled model strategy for the nail-penetration process simulation. J.

108 Power Sources 342, 836–845. Zhao, W., Luo, G., and Wang, C.-Y. (2015). Modeling internal

109 shorting process in large-format li-Ion cells. J. Electrochem. Soc. 162, A1352–A1364.). It is

12
110 widely used to simulate ISC (Zhao, R., Liu, J., and Gu, J. (2017a). A comprehensive study on

111 Li-ion battery nail penetrations and the possible solutions. Energy 123, 392–401. Liu, B., Yin,

112 S., and Xu, J. (2016). Integrated computation model of lithium-ion battery subject to nail

113 penetration. Appl. Energy 183, 278–289.), and has become the standard for battery

114 qualification, such as GB/T 31485-2015 in China (Ouyang, D., Chen, M., Huang, Q., Weng, J.,

115 Wang, Z., and Wang, J. (2019). A review on the thermal hazards of the lithium-ion battery and

116 the corresponding countermeasures. Appl. Sci. 9, 2483.). The purpose is to imitate ISC and

117 assess the safety of the battery in term of occurrence probability of fire or burst upon ISC.

118 Mao et al. (Mao, B., Chen, H., Cui, Z., Wu, T., and Wang, Q. (2018). Failure mechanism of

119 the lithium ion battery during nail penetration. Int. J. Heat Mass Transf. 122, 1103–1115.)

120 conducted such tests under different conditions such as state of charge (SOC), penetration

121 depths, penetration speeds, etc. The results showed that the battery temperature in the test was

122 not positively correlated with the depth; meanwhile, the speed affected the temperature

123 distribution of the battery. Moreover, the mechanism of penetration was interpreted by a

124 ‘‘micro-short circuit cell” structure, which showed a severer TR with the nail penetrating at

125 the battery center as the consequence of the faster speed of thermal propagation.

126 Although this method is easy to apply in the laboratory, it is usually dangerous to perform

127 (Zhao, R., Liu, J., and Gu, J. (2017a). A comprehensive study on Li-ion battery nail

128 penetrations and the possible solutions. Energy 123, 392–401.) and may create a large

129 shorting volume with multiple electrode layers contacting with each other and cause

130 significant damage to the battery (Lamb, J., and Orendorff, C.J. (2014). Evaluation of

13
131 mechanical abuse techniques in lithium ion batteries. J. Power Sources 247, 189–196.). The

132 nail penetration test is usually a combination of different types of ISC (Fang, W., Ramadass,

133 P., and Zhang, Z. (2014). Study of internal short in a Li-ion cell-II. Numerical investigation

134 using a 3D electrochemical-thermal model. J. Power Sources 248, 1090–1098.). As the

135 consequences of each type of SC are quite different (Santhanagopalan, S., Ramadass, P., and

136 Zhang, J. (Zhengming) (2009). Analysis of internal short-circuit in a lithium ion cell. J. Power

137 Sources 194, 550–557.), it is difficult to understand the mechanism of thermal propagation

138 due to the uncertain electrochemical reactions (Orendorff, C.J., Roth, E.P., and

139 Nagasubramanian, G. (2011). Experimental triggers for internal short circuits in lithium-ion

140 cells. J. Power Sources 196, 6554–6558.). In addition, the nail penetration test can hardly give

141 replicable results. For example, the current density decreases with the increase of contact area

142 (Ramadass, P., Fang, W., and Zhang, Z. (2014). Study of internal short in a Li-ion cell I. Test

143 method development using infra-red imaging technique. J. Power Sources 248, 769–776.,

144 which is decided by the penetration depth; and the contact resistance between the nail and

145 battery is also uncontrollable. Moreover, the nail as a thermal conductor will take away some

146 heat generated. Therefore, this method cannot simulate the actual ISC accurately. Some of the

147 actual failures are created by the lithium metal dendrite penetration (Li, Y., Liu, K., Foley,

148 A.M., Zülke, A., Berecibar, M., Nanini-Maury, E., Van Mierlo, J., and Hoster, H.E. (2019).

149 Data-driven health estimation and lifetime prediction of lithium-ion batteries: A review.

150 Renew. Sustain. Energy Rev. 113, 109254.), but this test can only be used on the battery while

151 suffering from deformation. So it is not entirely similar to ISC taking place inside battery

14
152 without physical abuse.

153 Indentation test

154 The indentation test is commonly used to measure elastoplastic properties (Giannakopoulos,

155 A.E., and Suresh, S. (1999). Determination of elastoplastic properties by instrumented sharp

156 indentation. Scr. Mater. 40, 1191–1198. of materials as shown in Error! Reference source not

157 found.B, which is a mechanical test used when the classical tensile test is infeasible (Amiri, S.,

158 Chen, X., Manes, A., and Giglio, M. (2016). Investigation of the mechanical behaviour of

159 lithium-ion batteries by an indentation technique. Int. J. Mech. Sci. 105, 1–10.. It has been

160 used to trigger ISC gradually (Hao, W., Xie, J., and Wang, F. (2018). The indentation analysis

161 triggering internal short circuit of lithium-ion pouch battery based on shape function theory.

162 Int. J. Energy Res. 42, 3696–3703.. The indentation test was first proposed by Underwriters

163 Laboratories (UL) and National Aeronautics and Space Administration (NASA) (Jones, H.P.,

164 Chapin, T., and Tabaddor, M. (2010). Critical review of commercial secondary lithium-ion

165 battery safety standards. In Making Safety Matter 680.. The purpose is not only to assess the

166 safety after ISC without damaging the cell compared with nail penetration test (Lamb, J., and

167 Orendorff, C.J. (2014). Evaluation of mechanical abuse techniques in lithium ion batteries. J.

168 Power Sources 247, 189–196., but also to study the mechanical properties of multi-layered

169 structure of the battery in order to understand the mechanical integrity.

170 Lamb et al. (Lamb, J., and Orendorff, C.J. (2014). Evaluation of mechanical abuse

171 techniques in lithium ion batteries. J. Power Sources 247, 189–196. used a stainless steel blunt

172 rod to perform the indentation test in different directions on the batteries with two different

15
173 internal structures, one of which had a solid core in the center of the cell, while the other one

174 was left empty. According to the temperature and voltage results, the indentation results were

175 dependent on whether a solid core was used in the cylindrical cell. It was also found that the

176 battery without solid core tended to have a soft SC, which means voltage first decreased and

177 then recovered to normal when the indentation depth was shallow. Similarly, Sahraei et al.

178 (Sahraei, E., Meier, J., and Wierzbicki, T. (2014). Characterizing and modeling mechanical

179 properties and onset of short circuit for three types of lithium-ion pouch cells. J. Power

180 Sources 247, 503–516. also concluded that soft SC might occur during the early stage of

181 indentation test. A significant finding was that a soft SC, due to 1 mm dent caused by

182 manufacturing approach or in application in the cell, would lead to disastrous results in the

183 future without obvious failure.

184 Wu et al. (Wu, A., Tabaddor, M., Wang, C., and Jeevarajan, J. (2013). Simulation of

185 internal short circuits in lithium ion cells. 2013 IEEE Transp. Electrif. Conf. Expo, 1–6.)

186 found that the separator, the anode and the cathode near the indentation area were deformed

187 due to local high curvature, and the resulting high stress and strain would lead to the failure of

188 the separator. Consequently, the anode and cathode can contact each other to induce ISC. The

189 inflection points on the force-indentation curve could be used as an indicator of the initiation

190 of ISC of cells under indentation (Luo, H., Xia, Y., and Zhou, Q. (2017). Mechanical damage

191 in a lithium-ion pouch cell under indentation loads. J. Power Sources 357, 61–70.).

192 This test has advantages in studying the mechanical characters of SC, However, ISC often

193 occurs in the outermost layer of the battery, which can dissipates a large amount of heat, and

16
194 therefore, the results with indentation tests may be less serious compared with the actual

195 situation (Cai, W., Wang, H., Maleki, H., Howard, J., and Lara-Curzio, E. (2011).

196 Experimental simulation of internal short circuit in Li-ion and Li-ion-polymer cells. J. Power

197 Sources 196, 7779–7783.).

198 Pinch test

199 The pinch test, proposed by Oak Ridge National Laboratory (ORNL) and Motorola

200 Mobility (Cai, W., Wang, H., Maleki, H., Howard, J., and Lara-Curzio, E. (2011).

201 Experimental simulation of internal short circuit in Li-ion and Li-ion-polymer cells. J. Power

202 Sources 196, 7779–7783.), refers to the compression of batteries by using two opposite forces

203 as illustrated in Error! Reference source not found.C. The purpose is to make a smaller ISC

204 spot size, because the size of ISC spot in actual failures is tiny without heat dissipation, so as

205 to make the test closer to the reality (Maleki, H., and Howard, J.N. (2009). Internal short

206 circuit in Li-ion cells. J. Power Sources 191, 568–574.).

207 Cai et al. (Cai, W., Wang, H., Maleki, H., Howard, J., and Lara-Curzio, E. (2011).

208 Experimental simulation of internal short circuit in Li-ion and Li-ion-polymer cells. J. Power

209 Sources 196, 7779–7783.) stated that the experiment with a diameter of about 1 mm or less

210 could reproduce ISC occurring in vehicles. There were two possible ways to create such a

211 small ISC (usually 1 mm as the maximum length of the damage) under the pinch test: (1)

212 using two spheres with small diameter to pierce a small area of separator, and (2) stopping

213 piercing immediately once a slight drop in voltage is detected. In an improved pinch test (Cai,

214 W., Wang, H., Maleki, H., Howard, J., and Lara-Curzio, E. (2011). Experimental simulation of

17
215 internal short circuit in Li-ion and Li-ion-polymer cells. J. Power Sources 196, 7779–7783.),

216 an open circuit voltage (OCV) threshold was set as a cut-off condition to control the test. It

217 verified that the smallest ISC spot size (1-2 mm) could be duplicated. The results also showed

218 that the ISC spot size was determined by the OCV threshold as well. It further implied that as

219 the SOC and capacity of the battery increased, the risk of TR during ISC increased.

220 Nevertheless, this test could not distinguish the thermal stability of batteries with a high SOC,

221 because all types of tested batteries with 100% SOC led to TR under this test.

222 The traditional pinch test is mainly used for the batteries with small thickness. For

223 ultra-thick batteries, a new method called “pinch-torsion” was developed, in which the pinch

224 test was combined with torsion component. Ren et al. (Ren, F., Cox, T., and Wang, H. (2014).

225 Thermal runaway risk evaluation of Li-ion cells using a pinch-torsion test. J. Power Sources

226 249, 156–162.) corroborated the pinch-torsion test to induce a smaller ISC spot size with a

227 lower axial load compared with pinch test only. Triggering ISC in thick batteries requires a

228 larger axial load, while the axial load applied by the equipment is limited, which can be

229 overcome by adding torsion component. So the pinch-torsion test is more suitable for thick

230 batteries. Xia et al. (Xia, Y., Li, T., Ren, F., Gao, Y., and Wang, H. (2014a). Failure analysis of

231 pinch-torsion tests as a thermal runaway risk evaluation method of Li-ion cells. J. Power

232 Sources 265, 356–362.) found that the indenter with a slight twist would introduce shear

233 strain, which enlarged the maximum first principal strain greatly. As a result, it facilitated the

234 failure of the polymer that could induce ISC.

18
235 Forced internal short circuit test

236 The forced ISC proposed by the Battery Association of Japan (BAJ) (Castillo, E.C. (2015).

237 Standards for electric vehicle batteries and associated testing procedures. In Advances in

238 Battery Technologies for Electric Vehicles (Elsevier), pp. 469–494. Mikolajczak, C., Kahn,

239 M., White, K., and Long, R.T. (2011). Lithium-ion battery failures. in lithium-ion batteries

240 hazard and use assessment (Springer), pp. 43–70.) needs to disassemble the battery first as

241 illustrated in Error! Reference source not found.D, leaving only the jelly roll structure. Then a

242 nickel particle is placed into jellyroll, and a force is applied to compress the jelly roll at the

243 nickel particle. The purpose is to simulate ISC caused by the metal particles mixed in the

244 production process, observe the mechanical dynamic response of the inner structure of

245 cylindrical batteries under extrusion, and preclude the endcaps from restraining the

246 deformation of the jelly roll structure. In the experiments (Sahraei, E., Campbell, J., and

247 Wierzbicki, T. (2012). Modeling and short circuit detection of 18650 Li-ion cells under

248 mechanical abuse conditions. J. Power Sources 220, 360–372.), the delamination of the jelly

249 roll structure can be seen in the deformed cross-sectional area of the battery during the lateral

250 crush test as displayed in Error! Reference source not found.D. The anisotropy of the

251 battery material needed to be contemplated, in order to establish a more accurate mechanical

252 model to study ISC.

253 Ramadass et al. (Ramadass, P., Fang, W., and Zhang, Z. (2014). Study of internal short in a

254 Li-ion cell I. Test method development using infra-red imaging technique. J. Power Sources

255 248, 769–776. Fang, W., Ramadass, P., and Zhang, Z. (2014). Study of internal short in a

256 Li-ion cell-II. Numerical investigation using a 3D electrochemical-thermal model. J. Power

19
257 Sources 248, 1090–1098.) simplified the forced ISC test. They disassembled the prismatic

258 battery and fabricated a 2 mm diameter hole at a specific location without inserting nickel

259 particle to create the ISC between An-Al and An-Ca. When comparing the maximum

260 temperature rise during ISC with that in the nail penetration test (Ramadass, P., Fang, W., and

261 Zhang, Z. (2014). Study of internal short in a Li-ion cell I. Test method development using

262 infra-red imaging technique. J. Power Sources 248, 769–776.), it was found that the

263 maximum temperature rise in the case was proportional to the SOC, while that in nail

264 penetration tests was not. Hence, they concluded that the nail penetration test was a

265 combination of different types of ISC. In their subsequent work, Fang et al. (Fang, W.,

266 Ramadass, P., and Zhang, Z. (2014). Study of internal short in a Li-ion cell-II. Numerical

267 investigation using a 3D electrochemical-thermal model. J. Power Sources 248, 1090–1098.)

268 used the same method to create the An-Al and An-Ca ISC and estimated the contact

269 resistances. It was found that the temperature during the ISC produced by the former was

270 higher than that produced by the latter due to the difference in their short resistances.

271 Whereas, for the forced ISC test, the original structure of the battery is destroyed, which is

272 impossible to measure the voltage when performing the extrusion test, and at the same time,

273 disassembling batteries is often accompanied by potential safety risks. Moreover, it cannot be

274 applied to polymer lithium-ion batteries (Cai, W., Wang, H., Maleki, H., Howard, J., and

275 Lara-Curzio, E. (2011). Experimental simulation of internal short circuit in Li-ion and

276 Li-ion-polymer cells. J. Power Sources 196, 7779–7783.).

277 Maleki et al. (Maleki, H., and Howard, J.N. (2009). Internal short circuit in Li-ion cells. J.

20
278 Power Sources 191, 568–574.) compared three different ISC tests: the nail penetration, the

279 indentation test, and the pinch test. The heat generated by the first two was concentrated on

280 the battery shell and the nail, which diminished the probability of triggering TR. Batteries

281 with lower capacity and charging voltage had a lower risk of TR during ISC. The results of

282 the pinch test also showed that the SC position could influence the temperature distribution

283 due to the limit of the heat transfer; and if the temperature was high enough to cause the

284 separator to melt and side reactions occur, it may lead to TR.

285 Overcharge and over-discharge test

286 The overcharge and over-discharge tests in Error! Reference source not found.E, are

287 conducted when the battery has already reached its cut-off voltage due to inaccurate

288 estimation of battery capacity and SOC (Yang, R., Xiong, R., He, H., Mu, H., and Wang, C.

289 (2017). A novel method on estimating the degradation and state of charge of lithium-ion

290 batteries used for electrical vehicles. Appl. Energy 207, 336–345. Xiong, R., Yu, Q., Shen, W.,

291 Lin, C., and Sun, F. (2019a). A sensor fault diagnosis method for a lithium-ion battery pack in

292 electric vehicles. IEEE Trans. Power Electron.). They can cause many side reactions in the

293 battery, therefore, result in a great amount of generated heat (Ouyang, M., Ren, D., Lu, L., Li,

294 J., Feng, X., Han, X., and Liu, G. (2015a). Overcharge-induced capacity fading analysis for

295 large format lithium-ion batteries with LiyNi1/3Co1/3Mn1/3O2+ LiyMn2O4 composite

296 cathode. J. Power Sources 279, 626–635.). It is accompanied by gas generation or

297 precipitation of active material, causing the separator to rupture. As a result, ISC occurs in a

298 large area, leading to the release of all chemical energy in the form of heat and the formation

21
299 of TR. The purpose of this test is to imitate actual field failures of ISC created by the lithium

300 dendrites growth as much as possible without damaging the structure of the battery itself.

301 Ren et al. (Ren, D., Feng, X., Lu, L., Ouyang, M., Zheng, S., Li, J., and He, X. (2017). An

302 electrochemical-thermal coupled overcharge-to-thermal-runaway model for lithium ion

303 battery. J. Power Sources 364, 328–340.) found that in the last stage of overcharging, due to

304 the excessive internal pressure of the battery, the battery might be broken. ISC, hence,

305 occurred after the separator was severely deformed. Different from Ren’s finding, Zhu et al.

306 (Zhu, X., Wang, Z., Wang, C., and Huang, L. (2018b). Overcharge investigation of large

307 format lithium-ion pouch cells with Li(Ni 0.6 Co 0.2 Mn 0.2 )O 2 cathode for electric

308 vehicles: Degradation and failure mechanisms. J. Electrochem. Soc. 165, A3613–A3629.)

309 considered that micro-short circuit occurred when the SOC increases from 144% to 149% due

310 to overcharge, accompanied by a sharp rise in temperature. Once the SOC exceeded 149%,

311 the ISC happened as a result of the structure collapse of the cathode and anode, which may

312 lead to TR. Zhang et al. (Zhang, J., Zhang, L., Sun, F., and Wang, Z. (2018). An overview on

313 thermal safety issues of lithium-ion batteries for electric vehicle application. IEEE Access 6,

314 23848–23863.) argued that ISC caused by overcharging was mainly due to the side reactions,

315 such as lithium plating and arouse chain secondary exothermic reactions. Deng et al. (Deng,

316 Y., Ma, Z., Song, X., Cai, Z., Pang, P., Wang, Z., Zeng, R., Shu, D., and Nan, J. (2018). From

317 the charge conditions and internal short-circuit strategy to analyze and improve the

318 overcharge safety of LiCoO2/graphite batteries. Electrochim. Acta 282, 295–303. also found

319 that the cobalt deposited on the anode pierces the separator during the overcharging process,

22
320 accentuating ISC. It could bring a good shunt effect of current, thereby causing the voltage of

321 battery not to raise anymore during the continuous charging process. It means that battery

322 entered a thermal equilibrium overcharge safety state. A SC path to achieve energy balance

323 could be created due to cobalt precipitation during overcharging. Belov et al. (Belov, D., and

324 Yang, M.H. (2008). Investigation of the kinetic mechanism in overcharge process for Li-ion

325 battery. Solid State Ionics 179, 1816–1821.) adopted the “soft” overcharging method, which

326 meant that overcharged by a constant current with multiple fixed voltages, and the battery

327 would not be damaged in this process. The scanning electron microscopy (SEM) results

328 displayed that the microparticles from cathode were at the surface of separator on anode side.

329 It implied that there might be a micro-short circuit caused by the conductive growth

330 penetrating the separator, so as to accelerate the side reaction at the anode side. Guo et al.

331 (Guo, R., Lu, L., Ouyang, M., and Feng, X. (2016). Mechanism of the entire overdischarge

332 process and overdischarge-induced internal short circuit in lithium-ion batteries. Sci. Rep. 6,

333 1–9.) studied the over-discharge behavior of battery packs which were connected in series. A

334 platform of the voltage was observed at -12% SOC. The SEM and X-Ray Diffraction (XRD)

335 showed that ISC was caused by the deposition of copper on the electrodes, so it was

336 concluded that if the terminal SOC was lower than -12%, ISC would occur inside the battery.

337 Equivalent short resistance test

338 The equivalent short resistance test is described in Error! Reference source not found.F and

339 very similar to the ESC, which consists of a battery cell and a resistor. The resistance of the

340 resistor used in ISC is much bigger than the one used in the test of ESC, for example, it is

23
341 usually in ohm in ISC but only in milliohm in ESC. The purpose is not only to imitate the

342 electrical and thermal responses of ISC quantitatively, but also to obtain some indicators and

343 provide validation for indicator-based diagnostic algorithms.

344 Seo M et al. did such a test in a battery cell and a battery pack (Seo, M., Goh, T., Koo, G.,

345 Park, M., and Kim, S.W. (2016). Detection of internal short circuit in Li-ion battery by

346 estimating its resistance. In Proceedings of the 4th IIAE International Conference on

347 Intelligent System and Image Processing. Seo, M., Goh, T., Park, M., Koo, G., and Kim, S.W.

348 (2017). Detection of internal short circuit in lithium ion battery using model-based switching

349 model method. Energies 10. Seo, M., Goh, T., Park, M., and Kim, S.W. (2018). Detection

350 method for soft internal short circuit in lithium-ion battery pack by extracting open circuit

351 voltage of faulted cell. Energies 11.), which purpose was to validate the diagnostic algorithm,

352 and it can be concluded that SC resistance as a diagnostic indicator can be used to detect SC

353 early. Based on the same test, Ouyang et al. (Ouyang, M., Zhang, M., Feng, X., Lu, L., Li, J.,

354 He, X., and Zheng, Y. (2015b). Internal short circuit detection for battery pack using

355 equivalent parameter and consistency method. J. Power Sources 294, 272–283.) identified an

356 indicator of resistance difference for ISC detection, which was found to vary obviously once

357 ISC occurred. In addition, Feng et al.(Feng, X., Pan, Y., He, X., Wang, L., and Ouyang, M.

358 (2018b). Detecting the internal short circuit in large-format lithium-ion battery using

359 model-based fault-diagnosis algorithm. J. Energy Storage 18, 26–39. Feng, X., He, X., Lu, L.,

360 and Ouyang, M. (2018c). Analysis on the fault features for internal short circuit detection

361 using an electrochemical-thermal coupled model. J. Electrochem. Soc. 165, A155–A167.)

24
362 used this test to study the thermal effect of ISC and evaluate the reliability of the diagnostic

363 algorithm. It was found that the hazard level of an ISC can be assessed by the equivalent short

364 resistance. However, as the manipulated SC was not caused by electric abuse or mechanical

365 abuse, it cannot really reflect the characteristics of ISC.

366 Experiments on ESC

367 To create ESC, a small resistance, less than 80±20 ohms according to the IEC62133

368 standard (Commission, I.-I.E. (2017). IEC 62133-1.), is connected to the positive and

369 negative terminals of the battery. Long-time test and short-time test are usually applied to

370 understand the impacts on the performance of batteries, such as degradation, lifetime, and

371 safety.

372 Long-time test on ESC

373 The long-time test refers to keeping the battery short-circuited until the battery temperature

374 drops from the highest temperature by 20% of the maximum temperature rise according to the

375 IEC62133 standard. Kriston et al. (Kriston, A., Pfrang, A., Döring, H., Fritsch, B., Ruiz, V.,

376 Adanouj, I., Kosmidou, T., Ungeheuer, J., and Boon-Brett, L. (2017). External short circuit

377 performance of Graphite-LiNi1/3Co1/3Mn1/3O2 and Graphite-LiNi0.8Co0.15Al0.05O2 cells

378 at different external resistances. J. Power Sources 361, 170–181.) found that the normalized

379 external/internal resistance ratio was a main factor of peak SC current, and a decrease of the

380 ratio can be used to identify hazards such as rupture and ISC by analyzing a large number of

381 experimental results. Conte et al.(Conte, F.V., Gollob, P., and Lacher, H. (2009). Safety in the

382 battery design: The short circuit. World Electr. Veh. J. 3, 719–726.) found that the peak SC

383 current-capacity ratio is an important parameter for safety, which is the relationship between

25
384 the capacity and the peak current during SC. Battery designers can forecast the peak SC

385 current according to the capacity so as to design protection measures. Chen et al. (Chen, Z.,

386 Xiong, R., Tian, J., Shang, X., and Lu, J. (2016). Model-based fault diagnosis approach on

387 external short circuit of lithium-ion battery used in electric vehicles. Appl. Energy 184, 365–

388 374.) conducted a long-time ESC experiment under different initial SOC, and found that for

389 the battery with a higher SOC the temperature rose faster, while the battery with a lower SOC

390 had a larger discharge capacity.

391 Rheinfeld et al. (Rheinfeld, A., Noel, A., Wilhelm, J., Kriston, A., Pfrang, A., and Jossen,

392 A. (2018). Quasi-isothermal external short circuit tests applied to lithium-ion cells: Part I.

393 Measurements. J. Electrochem. Soc. 165, A3427–A3448.) designed a cell which were

394 exposed to ESC under quasi-isothermal test conditions, which permitted a distinct separation

395 of the electrical and thermal behavior of the cell. By a qualitative post mortem analysis,

396 copper colored contours could be observed on the cathode surface, and it is concluded that the

397 over-discharge caused by ESC may be related to an anodic dissolution of the negative

398 electrode’s copper current collector.

399 Short-time test on ESC

400 The short-time ESC, normally occurring in reality by operating mistakes, may not cause

401 battery failure, but it influences battery capacity and internal parameters, such as the chemical

402 diffusion coefficient of lithium.

403 Zhang et al. (Zhang, L., Cheng, X., Ma, Y., Guan, T., Sun, S., Cui, Y., Du, C., Zuo, P., Gao,

404 Y., and Yin, G. (2016). Effect of short-time external short circuiting on the capacity fading

26
405 mechanism during long-term cycling of LiCoO2/mesocarbon microbeads battery. J. Power

406 Sources 318, 154–162.) studied the effect of the short-time ESC on long-term cycling

407 capacity decay mechanism of batteries. The battery was tested for 1000 cycles under different

408 external resistances and ESC time from 1 s to 180 s. The structure of the battery and the

409 surface of the electrode were studied by XRD and SEM. It was found that high current could

410 lead to the damage of electrodes, such as leaving voids on the surface of their structures, and

411 could result in the reduction of lithium-ions. High temperature could cause the thickening of

412 the SEI film to further aggravate the polarization phenomenon and increase the degradation of

413 batteries.

414 Discussions

415 The goal of the experimental studies is to trigger SC in order to acquire the indicators about

416 the occurrence of SC and provide validation for indicator-based diagnostic and prognostic

417 algorithms. Key characteristics of these experimental studies are compared in Table 4.

418 Table 4. Characteristics of Different Experimental Methods.

Experimental Methods Complexity Reduplication Controllability Indicators

Nail Penetration Test L L L Stress and strain

Indentation Test M M L Maximum indentation force
Pinch Test M H M Stress and strain
Forced Internal Short H M H Stress and strain
Circuit Test
Overcharge and L H L Internal resistance
Over-discharge Test
Equivalent Short Resistance L H H Internal resistance and level
Test of battery consistency
419 *: H, M and L stand for high, medium, and low, respectively.

420 For ESC experiments, the long-time test focuses on the consequences of ESC through

27
421 monitoring the change of voltage, current and temperature, which provides a theoretical basis

422 and indicators for the diagnosis of ESC. However, it is difficult to analyze the internal

423 performance of batteries in ESC. Therefore, electrochemical modeling is needed to

424 understand ESC. The short-time test lays particular emphasis on the irreversible effect on the

425 battery during ESC, based on which the contribution of non-destructive ESC to the

426 low-temperature heating of batteries can be specified.

427 The future work should focus on how to improve the repeatability of trigger ISC and in a

428 more quantitative way; moreover, non-destructive ESC needs to be explored in depth.

429 DIAGNOSIS

430 In order to avoid the negative consequences of SC, it is crucial to detect and forecast the

431 occurrence of SC. The aim of diagnosis is to detect SC in battery in the initial stage of SC,

432 when there is usually no obvious characteristics. Table 5 summarizes the indicators that can

433 be used for diagnosis of SC.

28
 Table 5. Comparison of the Diagnostic Indicators for SC

Indicators Principle Advantages Disadvantages Object

Internal The resistance identified by the algorithm will change Suitable for any The estimation of resistance is rough Battery cell
Resistance RISC obviously in the incubation period of ISC. By series-parallel circuit since the actual resistance will change and battery
detecting this change, the ISC can be diagnosed evidently during the SC pack
Level of Battery Compared with other batteries, the consistency of Convenient and rapid in The consistency of battery can be hardly Battery pack
Consistency voltage and resistance of batteries suffering from ISC diagnosing the faults in used diagnose ISC in batteries
in battery pack will be significantly different battery packs connected in parallel circuits
Current, Voltage When ISC and ESC occur, the battery is generally The most intuitive and rapid It’s easy to result in false positives and Battery cell
and Temperature characterized by a sharp increase in current and diagnostic method false negatives
temperature, and a sudden drop in voltage

29
316 Internal resistance

317 The internal resistance or the internal impedance of the battery can be used as indicator of

318 ISC. ISC resistance RISC as a part of internal resistance can reflect the level of ISC

319 quantitatively (Guo, R., Lu, L., Ouyang, M., and Feng, X. (2016). Mechanism of the entire

320 overdischarge process and overdischarge-induced internal short circuit in lithium-ion batteries.

321 Sci. Rep. 6, 1–9.), while the internal resistance especially the polarization resistance and

322 ohmic resistance estimated by the detection algorithm demonstrates the ISC status (Feng, X.,

323 Weng, C., Ouyang, M., and Sun, J. (2016). Online internal short circuit detection for a large

324 format lithium ion battery. Appl. Energy 161, 168–180.), so internal resistance can be used as

325 an indicator to diagnose SC. The electrical model or equivalent circuit model (ECM) (Xiong,

326 R., Li, L., and Tian, J. (2018). Towards a smarter battery management system: A critical

327 review on battery state of health monitoring methods. J. Power Sources 405, 18–29.),

328 including Rint-ECM and Thevenin-ECM, are commonly applied to analyze the performance

329 of batteries. For a battery with SC, especially ISC, the Rint-ECM is shown in Error!

330 Reference source not found.A. Then, the SC resistance in ECM can be expressed by the

331 following equations:

Uoc (soc)
U t (t ) = × RISC (Equation 1)
R0 + RISC
332 Where Ut(t) is voltage caused by RISC, Uoc(soc) is OCV, and R0 is internal resistance. SC

333 resistance RISC can be estimated by genetic algorithm (GA) (Guo, R., Lu, L., Ouyang, M., and

334 Feng, X. (2016). Mechanism of the entire overdischarge process and overdischarge-induced

335 internal short circuit in lithium-ion batteries. Sci. Rep. 6, 1–9.) or recursive least squares (RLS)

30
336 algorithm (Seo, M., Goh, T., Koo, G., Park, M., and Kim, S.W. (2016). Detection of internal

337 short circuit in Li-ion battery by estimating its resistance. In Proceedings of the 4th IIAE

338 International Conference on Intelligent System and Image Processing.; Seo, M., Goh, T., Park,

339 M., Koo, G., and Kim, S.W. (2017). Detection of internal short circuit in lithium ion battery

340 using model-based switching model method. Energies 10.). ISC can be diagnosed once RISC or

341 internal resistance is estimated since these indicators will change significantly during period

342 of SC (Guo, R., Lu, L., Ouyang, M., and Feng, X. (2016). Mechanism of the entire

343 overdischarge process and overdischarge-induced internal short circuit in lithium-ion batteries.

344 Sci. Rep. 6, 1–9.).

345 Seo M et al. (Seo, M., Goh, T., Koo, G., Park, M., and Kim, S.W. (2016). Detection of

346 internal short circuit in Li-ion battery by estimating its resistance. In Proceedings of the 4th

347 IIAE International Conference on Intelligent System and Image Processing.) connected a

348 resistor with constant resistance as RISC in parallel to the battery to simulate ISC. The RISC

349 estimated by RLS algorithm in ECM as shown in Error! Reference source not found.B was

350 in good agreement with this constant resistance. It can be concluded that once the ISC occurs,

351 the validated diagnosis algorithm can monitor and estimate RISC online so as to detect SC

352 effectively. In addition, The RISC can also be estimated by the whole voltage and the load

353 current of the battery pack (Seo, M., Goh, T., Park, M., and Kim, S.W. (2018). Detection

354 method for soft internal short circuit in lithium-ion battery pack by extracting open circuit

355 voltage of faulted cell. Energies 11.), in which a battery with ISC and normal batteries were

356 connected in series. The results showed that RISC can be used to detect ISC effectively in a

357 battery pack.

358 Feng et al. (Feng, X., Weng, C., Ouyang, M., and Sun, J. (2016). Online internal short

31
359 circuit detection for a large format lithium ion battery. Appl. Energy 161, 168–180.) found

360 that there was almost no difference between the voltages of the normal batteries and the

361 batteries with ISC during the incubation period. However, it was found that the polarization

362 resistance R2 (Used to describe the polarization characteristics of a battery) increased 355%

363 after the occurrence of ISC with RISC=10Ω. Therefore, ISC can also be effectively diagnosed

364 in the early stage by using estimated R2.

365 The accuracy of using the internal resistance to diagnose ISC is affected by SOC, which

366 can be further dependent on the current profiles. Meanwhile, the estimation of resistance is

367 rough since the actual resistance will change evidently during the SC (Fang, W., Ramadass, P.,

368 and Zhang, Z. (2014). Study of internal short in a Li-ion cell-II. Numerical investigation using

369 a 3D electrochemical-thermal model. J. Power Sources 248, 1090–1098.). Hence future

370 research on ISC detection needs to strive to improve the accuracy and make it suitable for

371 different current profiles.

372 Level of battery consistency

373 The level of battery consistency can also be used to diagnose the SC in battery pack.

374 Usually, in the same battery pack, each of cells in the same type should maintain a high

375 degree of consistency under the same current profile. When ISC occurs in one of the batteries,

376 some parameters, such as voltage and internal resistance of that battery, could become

377 significantly different, which reduces the consistency of battery packs. Based on the indicator

378 of consistency, the SC of the battery can be diagnosed effectively.

379 There are two kinds of consistency indicators, the voltage difference ∆ E i and the internal

380 resistance difference ∆Ri , which can be expressed by the following equations:

∆ Ei = Ei − E mean = ∆ E parameter + ∆ E depleting + ∆ Einconsistency (Equation 2)

∆ Ri = Ri − Rmean = ∆Rparameter + ∆Rdepleting + ∆ Rinconsistency (Equation 3)

32
381 where ∆Edepleting and ∆ R depleting mean the OCV change and internal resistance change due to the
382 depleting effect of ISC, which can be obtained by the hybrid pulse power characteristic
383 (HPPC) test, ∆ E inconsistency and ∆ Rinconsistency are the independent inconsistency of SC in battery
384 pack, and ∆ E parameter and ∆Rparameter can be calculated by the following equations:

RISC R (Equation 4)
∆Eparameter = ⋅E−E = − ⋅E
R + RISC R + RISC

RISC R (Equation 5)
∆Rparameter = ⋅R−R = − ⋅R
R + RISC R + RISC
385 In a circuit without ISC, RISC = ∞ , which implies ∆ Eparameter = ∆Rparameter = 0 , while if there

386 exists an ISC, ∆ E parameter and ∆ Rparameter can be detected.

387 This voltage difference and internal resistance difference have been used by Ouyang et al.

388 (Ouyang, M., Zhang, M., Feng, X., Lu, L., Li, J., He, X., and Zheng, Y. (2015b). Internal short

389 circuit detection for battery pack using equivalent parameter and consistency method. J.

390 Power Sources 294, 272–283.) to diagnose ISC. When ISC occurred, ∆ E i and ∆ R i estimated

391 by ECM of the cell with ISC were obviously lower than those of the normal cells. but this is a

392 slow process, which may take up to 1 hour to detect the SC with 10Ω resistance since it took

393 about 1 hour for ∆ E i and ∆ R i to change obviously. However, if it was a SC with 1Ω

394 resistance, it can be diagnosed immediately after it occurred.

395 The consistency of battery can be hardly used to diagnose ISC in batteries connected in

396 parallel circuits.

397 Current, voltage and temperature

398 When SC occur, the battery is generally characterized by a sharp increase in current and

399 temperature, and a sudden drop in voltage (Chen, Z., Xiong, R., Tian, J., Shang, X., and Lu, J.

400 (2016). Model-based fault diagnosis approach on external short circuit of lithium-ion battery

401 used in electric vehicles. Appl. Energy 184, 365–374. Greve, L., and Fehrenbach, C. (2012).

402 Mechanical testing and macro-mechanical finite element simulation of the deformation,

33
403 fracture, and short circuit initiation of cylindrical Lithium ion battery cells. J. Power Sources

404 214, 377–385.) which are beyond the ranges of the normal operation. Therefore, if such

405 ranges can be determined in advance, they can be used to diagnose SC.

406 Xia et al (Xia, B., Chen, Z., Mi, C., and Robert, B. (2014b). External short circuit fault

407 diagnosis for lithium-ion batteries. 2014 IEEE Transp. Electrif. Conf. Expo, 1–7. Xia, B., Mi,

408 C., Chen, Z., and Robert, B. (2015). Multiple cell lithium-ion battery system electric fault

409 online diagnostics. In 2015 IEEE Transportation Electrification Conference and Expo (ITEC)

410 (IEEE), pp. 1–7.). used the change rates of current, voltage, and temperature as representative

411 indicators to determine the initial stage of SC. SC can be detected early and an inchoate

412 warning can be realized.

413 However, there are many shortcomings when only using those three indicators. The

414 circumstances of SC may vary in real situations, and SC may occur before the temperature

415 change reaches the limits, which leads to the failure of detecting SC. Therefore, it is

416 insufficient to diagnose SC only by threshold. Model-based fault diagnosis can improve the

417 accuracy of diagnosis (Chen, Z., Xiong, R., Tian, J., Shang, X., and Lu, J. (2016).

418 Model-based fault diagnosis approach on external short circuit of lithium-ion battery used in

419 electric vehicles. Appl. Energy 184, 365–374.Xiong, R., Yang, R., Chen, Z., Shen, W., and

420 Sun, F. (2019b). Online fault diagnosis of external short circuit for lithium-ion battery pack.

421 IEEE Trans. Ind. Electron 67, 1081-1091.). Calculating Root Mean Squared Error (RMSE)

422 between the predictive voltage and measured voltage can enhance the robustness of the

423 algorithm. However, this detection method of voltage difference threshold may result in false

424 positives due to the inconsistent SOC or states of health (SOH) (Xia, B., Shang, Y., Nguyen,

425 T., and Mi, C. (2017). A correlation based fault detection method for short circuits in battery

426 packs. J. Power Sources 337, 1–10.). Xia et al. adopted the correlation coefficient of the cell

427 voltages to prevent false positive detections. The off-trend voltage drop in the initial stage of

34
428 SC can be detected by the correlation coefficient with inconsistent SOC or SOH. But this

429 method can only be used in the detection of battery module/pack.

430 Xiong et al. (Chen, Z., Xiong, R., Tian, J., Shang, X., and Lu, J. (2016). Model-based fault

431 diagnosis approach on external short circuit of lithium-ion battery used in electric vehicles.

432 Appl. Energy 184, 365–374.) conducted a two-layer diagnosis for ESC at the cell level based

433 on ECM. If assuming the principle of the top layer was same as Xia et al. (Xia, B., Chen, Z.,

434 Mi, C., and Robert, B. (2014b). External short circuit fault diagnosis for lithium-ion batteries.

435 2014 IEEE Transp. Electrif. Conf. Expo, 1–7.), the bottom layer with improved ECM could

436 give a predictive voltage at the measured current. By calculating the RMSE between the

437 predictive voltage and measured voltage, SC can be identified when the RMSE was below the

438 threshold. Such a model assisted diagnosis shows an improved accuracy. On the pack level,

439 Xiong et al. (Xiong, R., Yang, R., Chen, Z., Shen, W., and Sun, F. (2019b). Online fault

440 diagnosis of external short circuit for lithium-ion battery pack. IEEE Trans. Ind. Electron 67,

441 1081-1091.) proposed a two-step equivalent circuit battery model. The diagnosis time was

442 reduced from 5 s to 3.5 s, and the RMSE was reduced to 25 mV.

443 However, the accuracy of using ECM is relatively low due to not considering the

444 electrochemical mechanism. Kuhn et al. (Kuhn, E., Forgez, C., and Friedrich, G. (2004).

445 Modeling diffusive phenomena using non integer derivatives. Eur. Phys. Journal-Applied

446 Phys. 25, 183–190.) proposed to use the constant phase element (CPE) in fractional order

447 model (FOM) to replace ECM, which is based on electrochemical impedance spectroscopy, as

448 shown in Error! Reference source not found.C. The Warburg-like element and resistors

449 were added to represent the ohmic resistance of electrolyte and current collectors by Wang et

450 al. (Wang, B., Li, S.E., Peng, H., and Liu, Z. (2015). Fractional-order modeling and parameter

451 identification for lithium-ion batteries. J. Power Sources 293, 151–161.) The results obtained

452 by Victor et al. (Victor, S., Malti, R., Garnier, H., and Oustaloup, A. (2013). Parameter and

35
453 differentiation order estimation in fractional models. Automatica 49, 926–935.) showed that

454 CPE can better simulate the behavior of double layers in batteries. Yang et al. (Yang, R.,

455 Xiong, R., He, H., and Chen, Z. (2018). A fractional-order model-based battery external short

456 circuit fault diagnosis approach for all-climate electric vehicles application. J. Clean. Prod.

457 187, 950–959.) proposed a diagnostic algorithm based on FOM, which was consistent with

458 Chen et al. (Chen, Z., Xiong, R., Tian, J., Shang, X., and Lu, J. (2016). Model-based fault

459 diagnosis approach on external short circuit of lithium-ion battery used in electric vehicles.

460 Appl. Energy 184, 365–374.) Although the FOM had an overwhelming advantage than ECM

461 (Yang, R., Xiong, R., He, H., and Chen, Z. (2018). A fractional-order model-based battery

462 external short circuit fault diagnosis approach for all-climate electric vehicles application. J.

463 Clean. Prod. 187, 950–959.), its iterative calculation makes it difficult to be used online, as a

464 large amount of memory is needed and the optimization algorithm is complex.

465 Discussions

466 The diagnosis indicators can detect SC in the incubation period, and provide early warning.

467 As shown in Table 6, internal resistance and battery consistency are mainly used to diagnose

468 ISC. The reliability of using these two indicators is high, even though the diagnosis process is

469 relatively slow. While the third category of indicators can diagnose both ISC and ESC, which

470 is the simplest way to fulfil purpose and followed by reduced reliability. The diagnosis

471 algorithms based on these three types of indicators can be integrated in Battery Management

472 System (BMS), and applied in real vehicles.

473 Table 6. Characteristics comparison of diagnostic indicators

SC
Diagnostic Diagnostic Algorithmic Real Vehicle
Reliability Application
Indicators Speed Complexity Application
Type
Internal Resistance M M H ISC √
Level of Battery
L H H ISC √
consistency

36
 Current, Voltage and H(ESC)
L L ESC and ISC √
Temperature L(ISC)
474 *: H, M and L stand for high, medium, and low, respectively.

475 PROGNOSIS

476 The aim of prognosis is to predict the occurrence of SC in batteries before it happens.

477 Unlike diagnosis indicators, prognosis indicators are mainly mechanical parameters. Since the

478 essence of SC is that the separator has been damaged, it results in direct contact between

479 positive and negative active materials in the battery. So SC prediction can be done by the

480 detection of material failures, caused by force, stress and strain (Greve, L., and Fehrenbach, C.

481 (2012). Mechanical testing and macro-mechanical finite element simulation of the

482 deformation, fracture, and short circuit initiation of cylindrical Lithium ion battery cells. J.

483 Power Sources 214, 377–385.; Sahraei, E., Kahn, M., Meier, J., and Wierzbicki, T. (2015).

484 Modelling of cracks developed in lithium-ion cells under mechanical loading. RSC Adv. 5,

485 80369–80380.). The prognosis indicators are shown in Table 7.

37
 Table 7. The Prognosis Indicators for SC

Indicator Principle Advantages Disadvantages Object

Maximum The maximum indentation force, voltage drop, and temperature rise happen The SC under static load It not 100% verified that if the maximum Battery
Indentation almost simultaneously, the voltage drop means the occurrence of SC. So the can be predicted well indentation force can predict the SC cell
force onset of SC can be predicted by modeling the maximum force of battery effectively under the dynamic loading
Stress and The fracture criterion based stress and strain means that once the critical value is The failure time and the This method is not suitable for batteries with Battery
Strain reached, failure is considered to have occurred. Hence the SC can be location of the SC both can different electrolytes cell
prognosticated by calculating the critical value be predicted

38
428 Maximum indentation force

429 According to the indentation test (Sahraei, E., Meier, J., and Wierzbicki, T. (2014).

430 Characterizing and modeling mechanical properties and onset of short circuit for three types

431 of lithium-ion pouch cells. J. Power Sources 247, 503–516.), the maximum indentation force,

432 voltage drop, and temperature rise happen almost simultaneously in pouch battery as shown in

433 Error! Reference source not found.. The voltage drop can be considered as the occurrence

434 of SC. Therefore, SC of pouch battery can be predicted by modeling the maximum

435 indentation force of battery in the indentation test. Hao et al. (Hao, W., Xie, J., and Wang, F.

436 (2018). The indentation analysis triggering internal short circuit of lithium-ion pouch battery

437 based on shape function theory. Int. J. Energy Res. 42, 3696–3703.) claimed that when an

438 indentation displacement or indentation force was given, ISC in pouch cells can be

−
439 characterized. The indentation force p is determined by the normalized indentation region

− −
440 radius ξ ( ξ = ξ / R ,where ξ is indentation region radius, R is the radius of punch) and the

− −
441 normalized indentation displacement δ ( δ = δ / R ,where δ is indentation displacement). It is

− −
442 possible to avoid triggering ISC during indentation test by adjusting ξ and δ , which are

443 related to the punch radius. While a more stable battery can be realized by optimizing the

444 mechanical parameters of different loads and components in batteries. In Error! Reference

445 source not found., the maximum force was directly related to many parameters, such as

446 operating temperature, displacement due to indentation, strain rate etc. It was found that

447 displacement due to indentation was the most influential factor, followed by strain rate and

448 temperature.

449 However, this method does not specify the relationship between the maximum force and

450 ISC, and it is highly dependent on battery type, SOC and loading scenarios. It was concluded

39
451 that SOC will affect the maximum force of battery under the pinch-torsion test

452 (Vijayaraghavan, V., Garg, A., and Gao, L. (2018). Fracture mechanics modelling of

453 lithium-ion batteries under pinch torsion test. Meas. J. Int. Meas. Confed. 114, 382–389.). But

454 for the sake of safety, the existing works were carried out after the battery was fully

455 discharged, which means SOC of battery was zero (Greve, L., and Fehrenbach, C. (2012).

456 Mechanical testing and macro-mechanical finite element simulation of the deformation,

457 fracture, and short circuit initiation of cylindrical Lithium ion battery cells. J. Power Sources

458 214, 377–385.; Zhu, J., Zhang, X., Sahraei, E., and Wierzbicki, T. (2016). Deformation and

459 failure mechanisms of 18650 battery cells under axial compression. J. Power Sources 336,

460 332–340.). However, more tests at high SOC should be done in order to further verify the

461 prognosis method. In addition, in the indentation test, the exact prediction of the onset of SC

462 was determined by the coefficient of friction (Sahraei, E., Meier, J., and Wierzbicki, T. (2014).

463 Characterizing and modeling mechanical properties and onset of short circuit for three types

464 of lithium-ion pouch cells. J. Power Sources 247, 503–516.), and the speed of the indenter is

465 usually fixed, which is equivalent to the static loading process. Nevertheless, the actual

466 vehicle collision is a dynamic loading process, and it is quite different in response between

467 dynamic and static loading (Zhu, J., Luo, H., Li, W., Gao, T., Xia, Y., and Wierzbicki, T.

468 (2019). Mechanism of strengthening of battery resistance under dynamic loading. Int. J.

469 Impact Eng. 131, 78–84.). Further verifications are needed if the maximum indentation force

470 can predict SC effectively under the dynamic loading.

471 Stress and strain

472 The battery is sensitive to external and internal mechanical loads (Zhang, C., Xu, J., Cao,

473 L., Wu, Z., and Santhanagopalan, S. (2017b). Constitutive behavior and progressive

474 mechanical failure of electrodes in lithium-ion batteries. J. Power Sources 357, 126–137..b),

475 but the deformation of the battery is not critical in some applications. So it is of great

40
476 importance to understand the relationship between mechanical response and SC caused by

477 deformation, and to prognosticate the occurrence of SC. However, there is limited research

478 about it. In general, the mechanical behavior of batteries includes elastic, plastic, fracture

479 processes, and SC is caused by the development of internal cracks in battery materials under

480 mechanical loads (Chung, S.H., Tancogne-Dejean, T., Zhu, J., Luo, H., and Wierzbicki, T.

481 (2018). Failure in lithium-ion batteries under transverse indentation loading. J. Power Sources

482 389, 148–159.). Therefore, if the development of cracks in materials can be monitored, it is

483 effective to predict SC. At present, many studies have conducted in-situ analysis of battery

484 failure by CT scanning (Sahraei, E., Kahn, M., Meier, J., and Wierzbicki, T. (2015).

485 Modelling of cracks developed in lithium-ion cells under mechanical loading. RSC Adv. 5,

486 80369–80380.). Moreover, the crack initiation and propagation can be prognosticated by

487 stress-based model (Greve, L., and Fehrenbach, C. (2012). Mechanical testing and

488 macro-mechanical finite element simulation of the deformation, fracture, and short circuit

489 initiation of cylindrical Lithium ion battery cells. J. Power Sources 214, 377–385.; Sahraei, E.,

490 Bosco, E., Dixon, B., and Lai, B. (2016). Microscale failure mechanisms leading to internal

491 short circuit in Li-ion batteries under complex loading scenarios. J. Power Sources 319, 56–

492 65.) and strain-based model (Sahraei, E., Campbell, J., and Wierzbicki, T. (2012). Modeling

493 and short circuit detection of 18650 Li-ion cells under mechanical abuse conditions. J. Power

494 Sources 220, 360–372. Xia, Y., Li, T., Ren, F., Gao, Y., and Wang, H. (2014a). Failure analysis

495 of pinch-torsion tests as a thermal runaway risk evaluation method of Li-ion cells. J. Power

496 Sources 265, 356–362.; Sahraei, E., Kahn, M., Meier, J., and Wierzbicki, T. (2015). Modelling

497 of cracks developed in lithium-ion cells under mechanical loading. RSC Adv. 5, 80369–80380.

498 Sahraei, E., Bosco, E., Dixon, B., and Lai, B. (2016). Microscale failure mechanisms leading

499 to internal short circuit in Li-ion batteries under complex loading scenarios. J. Power Sources

500 319, 56–65.).

41
501 The ISC is initiated by the fracture of macroscopic jelly roll (Greve, L., and Fehrenbach, C.

502 (2012). Mechanical testing and macro-mechanical finite element simulation of the

503 deformation, fracture, and short circuit initiation of cylindrical Lithium ion battery cells. J.

504 Power Sources 214, 377–385.). Once fracture is initiated, the separated jelly roll parts can

505 connect anode and cathode materials, leading to SC. So a fracture criterion can be used to

506 prognosticate ISC, which could be described by the classical Mohr-Coulomb (MC) model

507 expressed by Equation 6 (Bai, Y., and Wierzbicki, T. (2010). Application of extended

508 Mohr-Coulomb criterion to ductile fracture. Int. J. Fract. 161, 1–20.). The MC fracture

509 criterion based stress means that once the critical value is reached, failure is considered to

510 have occurred.

max (τ + c1σ n ) = c2 (Equation 6)

511 where τ and σn are shear and normal stress, respectively, c1 is material constant, c2 is an

512 unknown coefficient according to the maximum shear failure hypothesis, and its relation to

513 fracture angle θ is shown in Error! Reference source not found.C. Using stress indicator to

514 prognosticate SC can be divided into three steps: (1) finding the fracture angle (Chung, S.H.,

515 Tancogne-Dejean, T., Zhu, J., Luo, H., and Wierzbicki, T. (2018). Failure in lithium-ion

516 batteries under transverse indentation loading. J. Power Sources 389, 148–159.) or the punch

517 displacement (Greve, L., and Fehrenbach, C. (2012). Mechanical testing and

518 macro-mechanical finite element simulation of the deformation, fracture, and short circuit

519 initiation of cylindrical Lithium ion battery cells. J. Power Sources 214, 377–385.) at the

520 occurrence of SC according to the post-mortem examination (Error! Reference source not

521 found.A), (2) estimating the stresses based on the angle or displacement by simulation, in

522 which finite element (FE) models (Zhu, J., Zhang, X., Sahraei, E., and Wierzbicki, T. (2016).

523 Deformation and failure mechanisms of 18650 battery cells under axial compression. J. Power

524 Sources 336, 332–340.), and representative volume element (RVE) model (Sahraei, E., Kahn,

42
525 M., Meier, J., and Wierzbicki, T. (2015). Modelling of cracks developed in lithium-ion cells

526 under mechanical loading. RSC Adv. 5, 80369–80380.) can be used (Error! Reference

527 source not found.B), and (3) determining the fracture displacement by calibrating the MC

528 parameters according to the simulated stresses. By comparing the error between the failure

529 displacement predicted by the MC model and the measured displacement, the stress-based

530 model can predict the failure effectively and the location of the SC.

531 However, the above SC prediction was carried out without the battery shell. For the SC

532 prediction of the battery with the shell, Zhang et al. (Zhang, X., and Wierzbicki, T. (2015).

533 Characterization of plasticity and fracture of shell casing of lithium-ion cylindrical battery. J.

534 Power Sources 280, 47–56.) used modified Mohr-Coulomb (MMC) model to predict crack

535 initiation and propagation in shell. Compared with the classical MC model, MMC model uses

536 coordinate transform to increase the accuracy of failure prediction, and it can predict the

537 occurrence of SC more precisely. However, MMC method did not provide a good prediction

538 of the fracture in tension (Bai, Y., and Wierzbicki, T. (2010). Application of extended

539 Mohr-Coulomb criterion to ductile fracture. Int. J. Fract. 161, 1–20.), which seldom occurred

540 in a real vehicle collision.

541 Based on the MC model, the crack location under different loads is corrected to predict the

542 SC location. However, there are still limitations due to stress indicator for ISC prognosis of

543 the battery. Kisters et al. (Kisters, T., Sahraei, E., and Wierzbicki, T. (2017). Dynamic impact

544 tests on lithium-ion cells. Int. J. Impact Eng. 108, 205–216.) found that the SC behaviors of

545 two different batteries under different impact velocities were totally different, which was

546 attributed to the difference of the electrolyte of the batteries. MC model could not explain this

547 reason.

548 Xia and Sahraei et al. (Sahraei, E., Kahn, M., Meier, J., and Wierzbicki, T. (2015).

549 Modelling of cracks developed in lithium-ion cells under mechanical loading. RSC Adv. 5,

43
550 80369–80380. Xia, Y., Li, T., Ren, F., Gao, Y., and Wang, H. (2014a). Failure analysis of

551 pinch-torsion tests as a thermal runaway risk evaluation method of Li-ion cells. J. Power

552 Sources 265, 356–362.) come up with the maximum strain criterion used for element failure

553 in SC. The failure of materials and SC were detected when the maximum principal strain

554 reached its critical value expressed by:

max ( ε ii ) = constant (Equation 7)

555 where εii is normal strain. Sahraei et al. (Sahraei, E., Kahn, M., Meier, J., and Wierzbicki, T.

556 (2015). Modelling of cracks developed in lithium-ion cells under mechanical loading. RSC

557 Adv. 5, 80369–80380. Sahraei, E., Bosco, E., Dixon, B., and Lai, B. (2016). Microscale

558 failure mechanisms leading to internal short circuit in Li-ion batteries under complex loading

559 scenarios. J. Power Sources 319, 56–65.) and Zhang et al (Zhang, C., Santhanagopalan, S.,

560 Sprague, M.A., and Pesaran, A.A. (2015a). A representative-sandwich model for

561 simultaneously coupled mechanical-electrical-thermal simulation of a lithium-ion cell under

562 quasi-static indentation tests. J. Power Sources 298, 309–321.) argued that it was difficult to

563 detect the failure strain from experiments, and the RVE model could be used to estimate it. In

564 order to find the threshold of the normal strain, the strain in the material related to critical

565 displacement at fracture keeps being changed until the measured and calculated critical

566 displacement to fracture become coincident. Based on the maximum strain the ISC could be

567 predicted. In order to estimate strain response of active materials and separator, Zhang et al.

568 (Zhang, C., Santhanagopalan, S., Sprague, M.A., and Pesaran, A.A. (2015b). Coupled

569 mechanical-electrical-thermal modeling for short-circuit prediction in a lithium-ion cell under

570 mechanical abuse. J. Power Sources 290, 102–113.) applied an effective through-thickness

571 strain to increase the accuracy of predicting failure or SC.

572 Xia et al. (Xia, Y., Li, T., Ren, F., Gao, Y., and Wang, H. (2014a). Failure analysis of

573 pinch-torsion tests as a thermal runaway risk evaluation method of Li-ion cells. J. Power

44
574 Sources 265, 356–362.) discovered that the maximum first principal strain was increased

575 significantly by the addition of the torsion component, to meet the failure criterion readily and

576 to predict ISC effectively. However, Chung et al. (Chung, S.H., Tancogne-Dejean, T., Zhu, J.,

577 Luo, H., and Wierzbicki, T. (2018). Failure in lithium-ion batteries under transverse

578 indentation loading. J. Power Sources 389, 148–159.) questioned the generality of the

579 selection of the critical value of strain in inverse methods, because these values were case

580 dependent, which were different from the actually measured strain response.

581 Discussions

582 The indicator of the maximum indentation force can be considered as a direct way for

583 prognosticating. Stress and strain indicators can be regarded as the indirect prediction

584 methods because of the need to use the results of FE model. Nevertheless, existing studies

585 about prognosis mainly focus on the specific battery cell in specific loading scenario, and

586 there is still a lack of studies investigating the battery pack in different loading scenarios (Zhu,

587 J., Wierzbicki, T., and Li, W. (2018). A review of safety-focused mechanical modeling of

588 commercial lithium-ion batteries. J. Power Sources 378, 153–168.). Since prognosis is to

589 predict the SC caused by mechanical deformation when it reaches to a certain extent, it is

590 difficult to distinguish whether an ISC or an ESC will occur. in addition, due to the huge

591 amount of computation in FE model, it is difficult to apply these indicators for BMS directly

592 at present (Zhao, Y., Liu, P., Wang, Z., Zhang, L., and Hong, J. (2017b) Fault and defect

593 diagnosis of battery for electric vehicles based on big data analysis methods. Appl. Energy

594 207, 354–362.).

595 Just like any decision model (both diagnostics and prognostics), there can be false positives

596 and false negatives errors. The main reasons are generally due to the inauthentic sampling

597 data, which is mainly owing to the sensor failure, or inappropriate threshold. The sensor

598 failure can be avoided by installing redundant sensors, which, unfortunately, will increase the

45
599 capital cost. The determination of threshold is closely related to the amount of tests and the

600 accuracy of prediction models. To accurately determine the threshold, current profiles, battery

601 aging, ambient temperature and other factors need to be considered, resulting in a demand of

602 plenty of experiments, which is both costly and time-consuming. In addition, in order to

603 improve the prediction model, more complex structures consisting of more parameters are

604 usually required, which will consequently make it more difficult to develop and implement

605 such models. Therefore, more efforts are needed to investigate how to balance the decision

606 errors and the model complexity. In addition, most of the current diagnosis or prognosis

607 methods of SC are model-based, and few of them are based on data-driven method for fault

608 analysis. In the future, the data-driven method can be used to reduce the possibility of

609 decision errors, and the fault can be captured and identified from the combination of

610 mathematical statistics, discrete mathematics and machine learning. With the gradual aging of

611 the battery, the internal parameters of the battery will change. The current methods have not

612 yet verified the diagnosis results under the battery full life cycle. So adaptive algorithm

613 should be added to the battery diagnosis or prognosis method to ensure its accuracy.

614 CONCLUSIONS
615 Short circuit has been considered as a key issue for the safety of EVs, and, therefore,

616 diagnosing and prognosticating of short circuit are playing a key role in the improvement of

617 the safety of batteries. This review systematically summarizes the current state of the art in

618 the diagnosis and prognosis of short circuit:

619 Regarding experiments, for ISC, mechanical tests have low repeatability and controllability,

620 while overcharge and over-discharge tests can only trigger micro-short circuit. For ESC, it is

621 difficult to analyze the internal performance of batteries through experiments due to the

622 limited data that can be obtained. In addition, there have not been any experimental studies

623 that consider both ISC and ESC simultaneously.

46
624 For the diagnosis of SC, the internal resistance, the level of the battery consistency, current,

625 voltage and temperature have been identified as important indicators. The comparison of these

626 indicators shows that the first two indicators have higher reliability, but take a longer time to

627 diagnose. And even though it is simple to use current, voltage and temperature, they often

628 result in false positives and false negatives. For the application in EVs, it is important to

629 balance the complexity, the diagnostic speed and the reliability.

630 For the prognosis of SC, the indicators are mainly mechanical parameters, which include

631 the maximum indentation force, stress and strain. The maximum indentation force can be

632 directly used to prognosticate the SC; however, the application of stress and strain need to be

633 combined with FE model. Currently, the challenge of prognosis is that it can only be done

634 regarding one battery cell. There is still a lack of methods that can be used for battery packs.

635 More importantly, in order to improve the repeatability and controllability in the future

636 studies, a standard procedure is urgently needed to better understand the mechanism of the SC

637 occurrence, and more attentions should be focused on ESC, especially caused by the water

638 penetration and the battery leak in the real EV. It is also important to develop methods that

639 can combine diagnosis and prognosis, and it is a promising way to create an online platform

640 based on collected data of SC, based on which better diagnosis and prognosis methods can be

641 developed.

642 ACKNOWLEDGMENTS
643 This work was supported by the National Science Foundation for Excellent Young Scholars

644 of China (Grant No. 51922006).

645 AUTHOR CONTRIBUTIONS

646 R. X conceived the idea. R.X, S.M., and H.L. conducted the literature review and wrote the

647 manuscript. R.X, S.M., H.L., F. S and J.L. discussed and revised the manuscript.

47
648 DECLARATION OF INTERESTS

649 The authors declare no conflict of interest.

48
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883 Figure legends

884 Figure 1: Types of SC

885 The short circuit of lithium-ion battery can be divided into five categories:
886 (A) External short circuit.
887 (B) Cathode-Anode.
888 (C) Cathode-Copper.
889 (D) Aluminum-Anode.
890 (E) Aluminum-Copper.
891 Credit Adapted from (Hu, X., Xu, L., Lin, X., and Pecht, M. (2020). Battery lifetime prognostics.
892 Joule 4, 1–37) and (Zhu, J., Wierzbicki, T., and Li, W. (2018). A review of safety-focused
893 mechanical modeling of commercial lithium-ion batteries. J. Power Sources 378, 153–168.a)
894
895 Figure 2: Classification of Experimental Studies of ISC
896 Generally, the ISC experiment mainly includes the above six types:
897 (A) Nail penetration test: inserting a steel nail with an adequate diameter into the battery.
898 (B) Indentation test: without damaging the cell compared with nail penetration test.
899 (C) Pinch test: compression of batteries by using two opposite forces.
900 (D) Forced internal short circuit test: disassembling the battery first and leaving only the jelly roll structure,
901 this process may produce a delamination (Sahraei et al., 2012).
902 (E) Overcharge and over-discharge test.

54
903 (F) Equivalent short resistance test: an ISC test similar to ESC.
904
905 Figure 3: The Models in a Battery with ISC or ESC
906 (A) Rint model in a battery with ISC.
907 (B) Thevenin model in a battery with ISC.
908 (C) FOM in a battery with ESC.
909
910 Figure 4: The Indentation Force P, Voltage Vocv, and Temperature T Response Curves During Indentation
911 Test (Hao et al., 2018)
912
913 Figure 5: The Schematic Diagram of the MC Model
914 (A) The post-mortem examination of the deformed profile, and finding the fracture angle or the punch
915 displacement at the occurrence of SC.
916 (B) Deformed results of indentation test by FE model, according to which the stresses can be estimated.
917 (C) The relationship between the orientation angle and c2 is to get unknown coefficient c2.
918 Credit Adapted from Chung et al. (Chung et al., 2018)

55
RESEARCH HIGHLIGHTS
1. Systematic review on both internal short circuit and external short circuit are provided.
2. Different experiments on internal short circuit and external short circuit are evaluated.
3. Specific features and shortcomings of each indicator are discussed.
4. Future challenges and research opportunities in diagnostics or prognostics are
provided.