Energy 234 (2021) 121236

Contents lists available at ScienceDirect

Energy
journal homepage: www.elsevier.com/locate/energy

A method for state-of-charge estimation of lithium-ion batteries based

on PSO-LSTM
Xiaoqing Ren, Shulin Liu*, Xiaodong Yu, Xia Dong
Department of Electrical Engineering and Automation, Qilu University of Technology (Shandong Academy of Sciences), Jinan, 250353, China

a r t i c l e i n f o a b s t r a c t

Article history: State-of-charge (SOC) estimation of lithium-ion battery is one of the core functions of battery man-
Received 17 April 2021 agement system. In order to improve the estimation accuracy of SOC, this paper proposes a long short-
Received in revised form term memory neural network based on particle swarm optimization (PSO-LSTM). Firstly, the key pa-
6 June 2021
rameters of LSTM are optimized by PSO algorithm, so that the data characteristics of lithium-ion battery
Accepted 11 June 2021
can match the network topology. In addition, random noise is added to the input layer of PSO-LSTM
Available online 15 June 2021
neural network to improve the anti-interference ability of the network. Finally, experiments show that
the proposed method can achieve accurate estimation under different conditions. The estimates based on
Keywords:
Lithium-ion battery
PSO-LSTM converge to the real state-of-charge within an error of 0.5%.
SOC estimation © 2021 Published by Elsevier Ltd.
Particle swarm optimization algorithm
Long short-term memory neural network

1. Introduction real-time performance. The estimated accuracy of SOC which is

Lithium-ion batteries are widely used in electric vehicles and
energy storage systems for its high energy density, high specific
power, low self-discharge rate and environmental friendliness [1,2].
It is worth noting that a large number of batteries are used to
provide energy for electric vehicles, which may come with safety,
uniformity, durability and other issues. Consequently, an advanced
battery management system (BMS) is required to ensure the safe
and reliable operation of EVs [3]. As the most important and basic
parameter of BMS, accurate SOC estimation can avoid abnormal
working mode such as overcharge and over-discharge of battery. It
also can prolong the battery life. This is of great significance to the
prediction of electric vehicle mileage [4,5]. However, SOC is difficult
to obtain directly for the non-linearity, complexity and time-
varying of lithium-ion batteries, making the estimation of SOC a
challenge [6,7].
At present, SOC estimation methods proposed by scholars at
home and abroad are mainly divided into four categories: ampere-
hour integration method, open circuit voltage method, model-
based estimation method and data-driven estimation method [8].
Ampere-hour integral method, also known as Coulomb counting
method, has the advantages of easy realization, low cost and strong
* Corresponding author.
E-mail address: shulin1023@sina.com (S. Liu).
greatly affected by initial values of SOC, current drift and noise, can
be improved in combination with other methods [9]. The open
circuit voltage method can get the residual capacity of the current
battery through the discharge experiment [10]. This method is
simple and reliable. However, the biggest disadvantage of this
method is that it takes a long time to stand the lithium-ion battery,
which is difficult to use alone in practical applications. Model-based
estimation methods mainly include Kalman filter (KF) [11,12],
particle filter (PF) [13], sliding mode observer (SMO) [14]. The
method adopts closed-loop feedback control so that it overcomes
the accumulated error of ampere-hour integration method with
time. On the other hand, this method largely depends on the
characteristics of battery models. The imprecision of the model will
increase the SOC estimation error, which brings difficulties to the
online estimation of SOC. The battery is regarded as a “black box
system” in the data-driven estimation method. The RBFNN method
is proposed to estimate SOC in Ref. [15]. This method is indepen-
dent of any battery model, taking into account the influence of
other factors on the SOC. However, the training process requires a
large amount of data, and its estimation accuracy is greatly affected
by the training data and training methods.
In recent years, with the vigorous development of artificial
neural networks, deep learning methods have attracted wide
attention in the academic world. The deep learning method has
also been used to predict battery SOC [16]. Compared with shallow
neural networks such as BP neural network and support vector

https://doi.org/10.1016/j.energy.2021.121236
0360-5442/© 2021 Published by Elsevier Ltd.
X. Ren, S. Liu, X. Yu et al.
machine, deep learning is adept at extracting complicated feature
information from input data by constructing multi-layer nonlinear
transformation network. Zhao et al. [17] constructed an Elman
neural network improved by ant colony optimization (ACO) algo-
rithm to estimate battery SOC. Compared with the simple feed-
forward neural network, Elman neural network performs well in
prediction under dynamic and temperature conditions for its
unique bearing layer. And the estimation results with the root mean
square error of 1.35% could be achieved. In order to avoid manual
identification of information features from the original data, Shen
et al. [18] developed deep convolution neural network (DCNN) to
realize on-line estimation of lithium-ion battery capacity, which
can extract feature and recognize the patterns effectively. However,
the application of this method in capacity estimation is hindered by
the fixed size input matrix and the lack of understanding of internal
work, which requires further research. Considering the advantages
of LSTM network in capturing time information in time series data,
Li et al. [19] proposed an estimator based on LSTM. It also has
excellent estimation ability under sensor noise and incomplete
data. In Ref. [20], a hybrid SOC estimator is proposed to estimate the
SOC of lithium-ion batteries by combining the advantages of deep
learning method and model-based filtering method. In this
method, the LSTM network well learns the dynamic characteristics
of the battery. It has good robustness to the unknown initial state.
Fasahat et al. [21] combined autoencoder neural network with
LSTM neural network for SOC estimation. In this method, the
autoencoder neural network (AE-NN) was used to learn input
features and extract useful information. As another variant of
recurrent neural network (RNN), a SOC estimator based on gating
recurrent unit (GRU) neural network was utilized by Chen in
Ref. [22]. The results show that DAE-GRU can obtain more accurate
SOC estimation and better network generalization ability. However,
these methods evaluated the battery data in a positive time di-
rection, in which useful information may be filtered out or not
transmitted efficiently over time. Taking into account the inverse
dependence of the battery time series in a negative direction, Bian
et al. [23] proposed a bidirectional LSTM neural network to capture
the forward and reverse battery time information. Simultaneously,
they constructed a deep structure to capture the nonlinear and
dynamic relationship between battery input and output SOC.
The main limitation of the above approaches lies in that almost
all of them need to set the hyper-parameters of the network arti-
ficially, which has a high randomness and will reduce the predic-
tion effect of the model. To solve this problem, this paper proposes
the PSO algorithm to optimize the parameters of LSTM and further
improve the prediction effect and the stability of LSTM. Further-
more, the sample data is limited in real life. In order to enhance the
performance of the model, an effective method is to generate false
data and add it to the training set for data expansion [24]. In this
paper, random noise is added to the input data to make the network
more robust. The remainder of this paper is organized as follows: A
PSO-LSTM network is proposed for battery modeling in Section 2.
Section 3 introduces the data collection and experiment design.
Results and discussions are presented in Section 4. Finally, Section 5
concludes this paper.
2. Method for SOC estimation
2.1. Modeling by LSTM
The LSTM network effectively solves the problems that tradi-
tional neural network is easy to fall into local minimum, gradient
vanishing and explosion. At the same time, it has strong modeling
and analysis ability for processing time series data [25]. As shown
in Fig. 1, LSTM introduces a new memory unit (ct) to transmit
2
Energy 234 (2021) 121236
Fig. 1. The structure of LSTM.
information in a linear loop, while convey the information to the
external state of the hidden layer (ht) nonlinearly. The path of in-
formation transmission is controlled by input gate (it), forgetting
gate (ft) and output gate (ot). The input gate controls the input of the
current information (~ct); the forgetting gate control whether the
history information (ct-1) needs to reset; the output gate controls
the output of the current memory information (ct). The forword
propagation process of LSTM neural network is shown in Table 1,
where the inputs are the battery voltage (U(t)) and the terminal
current (I(t)) at sample time t, the output is the SOC(t).
In (1) - (7) above: W and b are weight matrices and bias vectors
to be learned during training; $ represents the vector inner prod-
uct; s ð Þ is the sigmoid activation function, and its function value
is in the range of (0,1), which plays the role of gating and represents
the weight that allows the corresponding information to pass.
tanhð Þ is used to scale the values to the range 1 to 1, which is
used to update cell memory and cell output.
The SOC estimation model of lithium-ion battery based on LSTM
is composed of input layer, hidden layer (LSTM), full connection
layer and output layer, and its structure is shown in Fig. 2. The
training process of LSTM is as follows: U(t) and I(t) of the battery
enter the network from the input layer, and the output vector (ht) of
LSTM layer goes through a fully connected layer, which performs
linear transformation on the hidden layer state output to obtain the
SOC estimation value by formula (7). Subsequently, in order to
evaluate the results, the mean squared error (MSE) is used as the
loss function as shown in formula (8). In the backward pass, the
adaptive moment estimation (Adam) optimizer is used to update
network weight matrix and bias vector according to loss function
gradient.
1X T
loss ¼ ðSOC 0 ðtÞ  SOCðtÞÞ2 (8)
T t¼1
Tdthe length of the sequence; SOC(t)dthe estimated value of
SOC at time t; SOC0 (t)dthe true value of SOC.
2.2. SOC estimator based on PSO-LSTM
Klaus greff et al. [26] explored the setting of LSTM related hyper-
parameters. The experimental results showed that the learning rate
was the most critical hyper-parameter of LSTM, followed by the
network size, while the momentum gradient had little effect on the
final results. In order to match the LSTM structure with the data
X. Ren, S. Liu, X. Yu et al. Energy 234 (2021) 121236

Table 1 2) Initialize the velocity and position of particles, and randomly

The execution process of LSTM. generate population particles x¼ (ls, lr, ep, lrdf, lrdp).
Step1: Setting the dataset. 3) The mean square error is taken as the fitness value of the par-
the input vector of the input layer is xt ¼ {U(t)、I(t)}; ticle, and the initial individual (pij) and global extreme value (pgi)
the output vector is yt ¼ SOC(t). are calculated according to the fitness value of the particle.
Step2: Updating the memory block.
1) Calculating the gating units:
1X T

it ¼ sðWxi  xt þ Whi  ht1 þ bi Þ (1)

fit ¼ ðSOC 0 ðtÞ  SOCðtÞÞ2 (9)
T t¼1
 
ft ¼ s Wfh  ht1 þ Wfx  xt þ bf (2)
4) According to the formulas (10) and (11), the particle position (xij)
and velocity(vij) are updated, and then the fitness value is
ot ¼ sðWoh  ht1 þ Wox  xt þ bo Þ (3) calculated according to the new position to update the indi-
2) Updating memory unit: vidual extreme value and global extreme value.
h i h i
~ct ¼ tanhðWch  ht1 þ Wcx  xt þ bc Þ (4)
vij ðt þ 1Þ ¼ w,vij ðtÞ þ c1 r1 pij ðtÞ  xij ðtÞ þ c2 r2 pgi ðtÞ  xij ðtÞ

ct ¼ ft *ct1 þ it *~ct (5)

(10)

Step3: Calculating output of LSTM unit.

xij ðt þ 1Þ ¼ xij ðtÞ þ vij ðt þ 1Þ (11)
ht ¼ ot *tanhðct Þ (6)

Step4: Generating the estimated value yt. 5) Judge whether the termination conditions are met. If satisfied,
the algorithm ends and outputs the optimization result xbest¼
SOCðtÞ ¼ Wy ht þ by (7)
(ls, lr, ep, lrdf, lrdp); otherwise, return to 3) in the Step 2.

Step 3: The parameters optimized by PSO are used to build LSTM

model and train network.
characteristics of lithium-ion battery, the PSO-LSTM prediction Step 4: The trained LSTM model is used to predict the test set
model is constructed. The number of hidden layer neurons (ls), the and evaluate the model error. In this paper, root mean square error
initial learning rate (lr), the maximum epochs (ep), learning rate (RMSE), mean absolute error (MAE) and maximum absolute error
drop factor (lrdf) and learning rate drop period (lrdp) are taken as (ME) are selected as evaluation indexes to evaluate the prediction
the optimization objects of PSO. The flow chart of PSO-LSTM is effect of the model.
shown in Fig. 3, and the specific steps of PSO-LSTM are as follows: vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
u T
Step 1: Data processing. The normalization of data processing is u1 X
the basis of modeling. The dimension of different input data is RMSE ¼ t ðSOC 0 ðtÞ  SOCðtÞÞ2 (12)
T t¼1
different, and the difference of numerical value may be great, which
will affect the training speed of the model. Therefore, it is necessary
to normalize the collected data samples and scale the data in pro- MAE ¼ 1 Tt ¼ 1T|SOC0 (t)-SOC(t)| (13)
portion. In this paper, we first use mapminmax function to map
data to [-1, 1]. Next, we divide the normalized experimental data ME ¼ maxðjSOC 0 ðtÞ  SOCðtÞjÞ (14)
into training set and test set.
Step 2: PSO is used to optimize the hyper-parameters of LSTM.

1) Parameter initialization. The particle dimension D, population 3. Experimental

size N, iterations M, learning factors c1 and c2, inertia weight w,
velocity and position are determined. 3.1. Test bench

The test object is LiFePO4 batteries with the nominal capacity of

Fig. 2. LSTM model for SOC estimate.

3
X. Ren, S. Liu, X. Yu et al. Energy 234 (2021) 121236

Fig. 3. Flow chart of PSO-LSTM algorithm.

6.2 Ah and the nominal voltage of 3.2 V. In order to sample the

experimental data such as current, voltage, temperature and
ampere-hour (Ah), a battery test bench has been established, as
shown in Fig. 4. It is made up of a host computer, a battery test
system ARBIN BT, a programmable temperature chamber, battery
management system (BMS), CAN communication unit and tested
cells. The ARBIN BT is responsible for testing the charge and
discharge of the battery under different conditions, and trans-
mitting the battery-related information to the host computer. The
host computer communicates with the ARBIN, recording the in-
formation of batteries’ states. The BMS performs the protection
function and transmits the fault information to the host computer
through the CAN bus. The programmable temperature chamber
provides a stable operating environment for the batteries.
The data obtained under the constant temperature of 25  C are
taken as an example to illustrate the research results in this paper.
The battery test data is shown in Fig. 5, including the voltage and
current data of the battery obtained under constant current and
UDDS (Urban Dynamometer Driving Schedule) conditions.

3.2. Model parameter settings

The PSO-LSTM model consists of input layer, single LSTM layer,
full connection layer and output layer. The number of hidden layer
units, learning rate and iteration times are set as the parameters of
LSTM model. The range of parameter values is set as follows: the
number of hidden layer neurons ls 2 [150,400], the maximum
epochs ep 2 [200,700], the initial learning rate lr 2 [0.0001,0.1],
learning rate drop factor lrdf 2 [0,1] and learning rate drop period
lrdp 2 [1300]. The results obtained by PSO optimization algorithm
are shown in the Table 2.
4. Results and discussion
4.1. Experiments under constant current condition
The discharged rate is set as 0.5 C, and the temperature
4
Fig. 4. Battery test bench.
experiment is designed as 25  C. In order to verify the reliability of
the proposed method, the proposed PSO-LSTM method is
compared with the traditional EKF and LSTM networks, as shown in
Fig. 6. Table 3 shows the numerical results. It can be seen from the
results, the performance of LSTM and PSO-LSTM is better than that
of EKF based on equivalent circuit model. It is noticed that the MAE
of SOC is only 0.2228% for PSO-LSTM and the RMSE is 0.2950%.
SOC is affected by temperature, aging degree, cycle times and
other factors. In order to improve the anti-interference ability of the
network, random noise is added to the input layer. Fig. 7 present the
comparison of the estimated performance of the LSTM and PSO-
LSTM and Table 3 shows the numerical results. From the figures
and table, we can find that the PSO-LSTM keeps a low estimation
error than LSTM neural network, this shows that PSO can get better
X. Ren, S. Liu, X. Yu et al. Energy 234 (2021) 121236

Fig. 5. Battery current and voltage data. (a) Battery current data collected under constant current and UDDS conditions at 25  C. (b) Battery voltage data collected under constant
current and UDDS conditions at 25  C.

Table 2 Table 3
Hyper-parameters of PSO-LSTM. SOC estimation errors under constant current condition.

ls lr ep lrdf lrdp ME MAE (%) RMSE (%)

constant current(without noise) 333 0.0140 622 0.0699 275 EKF 0.1310 1.1366 1.9610
constant current (with noise) 357 0.0111 640 0.3473 259 LSTM(without noise) 0.0190 0.1836 0.2441
UDDS(without noise) 238 0.0429 661 0.4713 118 PSO-LSTM(without noise) 0.0167 0.2228 0.2950
UDDS (with noise) 235 0.0323 509 0.1593 225 LSTM(with noise) 0.1497 0.6201 0.6990
PSO-LSTM(with noise) 0.0117 0.1608 0.2157

parameters to optimize LSTM in the iterative process.

4.2. Experiments under UDDS condition
To further verify the robustness of the proposed method, a
discharge experiment is carried out under dynamic current con-
ditions. The SOC estimation results of the EKF, LSTM and PSO-LSTM
are compared in Fig. 8 and the error are compared in Table 4. The
MAE and RMSE of PSO-LSTM are 0.4307% and 0.5816%, respectively.
Similarly, the estimation result is shown in the Fig. 9 with
random noise is added to the network. As shown in Table 4, the
MAE and RMSE for SOC estimation based on PSO-LSTM method are
0.3493% and 0.4540%, respectively. The MAE and RMSE for SOC
estimation based on the LSTM method are 0.6214% and 0.7409%,
respectively. Compared with LSTM, PSO-LSTM can get smaller
prediction error, and reduce training workload. It indicates that
accurate and robust estimation results can be obtained by the
proposed method.
In this paper, the PSO-LSTM method is compared with the
reference [20,21,23] as shown in Table 5. The results show that the
proposed algorithm in this paper is more accurate and stable than

Fig. 6. SOC estimate results under constant current condition (without random noise): (a) SOC estimate results based on EKF, LSTM and PSO-LSTM. (b) Comparison of SOC estimate
error.

5
X. Ren, S. Liu, X. Yu et al. Energy 234 (2021) 121236

Fig. 7. SOC estimate results under constant current condition (add random noise): (a) SOC estimate results based on LSTM and PSO-LSTM. (b) Comparison of SOC estimate error.

Fig. 8. SOC estimate results under UDDS (without random noise): (a) SOC estimate results based on LSTM and PSO-LSTM. (b)Comparison of SOC estimate error.

Table 4 Table 5
SOC estimation errors under UDDS condition. Comparison results of SOC estimation.

ME MAE (%) RMSE (%) Method MAE (%) RMSE (%)

EKF 0.1529 1.6749 3.2916 Reference [20] 0.82 0.93

LSTM(without noise) 0.0176 0.6214 0.7409 Reference [21] 0.63 0.90
PSO-LSTM(without noise) 0.0314 0.4307 0.5813 Reference [23] 0.93 e
LSTM(with noise) 0.0392 0.5078 0.6699 This paper 0.43 0.58
PSO-LSTM(with noise) 0.0249 0.3493 0.4540

performance and the prediction of driving range. 2) Combining PSO

other methods in SOC estimation. with LSTM, the PSO algorithm is used to optimize the number of
hidden layer neurons, learning rate and iteration times of LSTM,
which overcomes the shortcomings of artificially determining
5. Conclusion
LSTM parameters and reduces the workload. Experimental results
show that the proposed LSTM neural network based PSO provides a
In this paper, we present a PSO-LSTM neural network for SOC
satisfying SOC estimation. 3) Besides, random noise is injected into
estimation. The main contributions as follows: 1) LSTM has strong
the input data to improve the robustness of the network. In this
modeling and analysis ability for time series data. The application
work, the data recorded at different driving conditions are used and
of LSTM neural network with memory function in SOC prediction
the results are compared with EKF. It can be seen that the perfor-
improves the accuracy of medium and long-term prediction, which
mance of the suggested method is better in all cases.
is of great significance to the improvement of vehicle control

Fig. 9. SOC estimate results under UDDS condition (add random noise): (a) SOC estimate results based on LSTM and PSO-LSTM. (b)Comparison of SOC estimate error.

6
X. Ren, S. Liu, X. Yu et al.
Credit author statement
Xiaoqing Ren: Conceptualization, Methodology, Software,
Formal analysis, Data curation, Writing e original draft, Visualiza-
tion. Shulin Liu: Validation, Investigation, Writing e review &
editing, Supervision, Project administration, Funding acquisition.
Xiaodong Yu: Supervision, Project administration. Xia Dong: Data
curation, Funding acquisition.
Declaration of competing interest
The authors declare that they have no known competing
financial interests or personal relationships that could have
appeared to influence the work reported in this paper.
Acknowledgments
This work was supported by the Natural Science Foundation of
Shandong Province [ZR2020QF064] and [ZR2020ME206].
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