Journal of Energy Storage 65 (2023) 107347

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Journal of Energy Storage

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

Review Article

A comprehensive review of the lithium-ion battery state of health prognosis

methods combining aging mechanism analysis
Yanqiu Xiao, Jishu Wen, Lei Yao *, Jie Zheng, Zhanpeng Fang, Yongpeng Shen
Henan Engineering Research Center of New Energy Vehicle Lightweight Design and Manufacturing, Zhengzhou University of Light Industry, Zhengzhou 450000, China
Henan Key Laboratory of Intelligent Manufacturing of Mechanical Equipment, Zhengzhou University of Light Industry, Zhengzhou 450000, China

A R T I C L E I N F O A B S T R A C T

Keywords: In the field of new energy vehicles, lithium-ion batteries have become an inescapable energy storage device.
Lithium-ion battery However, they still face significant challenges in practical use due to their complex reaction processes. Among
State of health estimation them, aging-induced performance loss and even thermal runaway can cause serious hazards, so accurate state of
Aging mechanisms
health (SOH) estimation and timely maintenance are crucial. Since the aging of battery performance is affected
Prediction method
by various factors and can be quantified in SOH assessment, this paper presents a comprehensive review of
Deep learning
Distributed machine learning current SOH prediction techniques by systematically introducing the aging mechanism of batteries, focusing on
data-driven methods, evaluating the implementation details, advantages and disadvantages of these methods in
terms of model types and data set types, and giving a brief comment. Finally, we summarize the current state of
development and provide an outlook on the future trends of SOH estimation methods by combining the ad­
vantages of cross-disciplinary approaches.

1. Introduction At present, numerous researches have shown that the most

Alongside the continuous progress of science and technology, Under
the dual pressure of energy shortage and environmental degradation,
the restrictions on traditional fuel vehicles are increasing [1]. Due to the
advantages of lithium-ion batteries, include high energy density, low
self-discharge rate, wide operating temperature, and strong charge
retention ability [2–6]. New energy vehicles with lithium-ion cells as the
primary energy source have gradually begun to occupy the mainstream
of the automotive market [7–9].
The ideal battery does not age, and its parameters are considered
constants. However, the parameters of the battery will continue to
change with the degree of aging, leading to a decrease in the ability to
store energy and provide power. Even there will be current instability,
insulation damage, partial short circuit, and other faults that will lead to
catastrophic accidents.
The research refers to the parameters that describe battery life as
essential indicators of the SOH [10]. Therefore, the accurate acquisition
and analysis of these parameters are of great significance for predicting
of battery life and a safe and comfortable driving experience. The bat­
tery should be removed from the electric vehicle and replaced promptly
once the health indicators reach the predetermined limits.
commonly applied health indicators of battery SOH are capacity atten­
uation, attenuation of electrical power, and changes in open circuit
voltage (OCV) [11–13]. Among them, the loss of capacity is mainly
related to the internal side reactions of the battery and the destruction of
the electrode structure. The common manifestations are the loss of
lithium (LLI) and the loss of active materials (LAM). The attenuation of
electrical power is mainly due to the change of the equivalent resistance
of the battery, which is also caused by side reactions and the rupture of
the electrode structure, And the common manifestation is the generation
of a solid electrolyte interface (SEI) film on the electrode surface. The
change of open circuit voltage is mainly related to battery state of charge
(SOC) and electrode capacity loss and is commonly manifested in the
change of aging open circuit voltage curve.
SOH estimation methods have emerged and have been widely
studied, but since the change is a long-term gradual process, which is
affected by multiple factors, such as temperature (T), current rate (C),
and cutoff voltage, in terms of experiments. Meanwhile, the aging cycle
tests are time-consuming and challenging to obtain data, and it is
difficult to simulate the actual working conditions of the whole vehicle
under laboratory conditions. SOH estimation during actual vehicle
operation is still difficult, so these experimental methods need to be

* Corresponding author.
E-mail address: 2016008@zzuli.edu.cn (L. Yao).

https://doi.org/10.1016/j.est.2023.107347
Received 28 December 2022; Received in revised form 2 March 2023; Accepted 3 April 2023
Available online 15 April 2023
2352-152X/© 2023 Elsevier Ltd. All rights reserved.
Y. Xiao et al.
further considered and validated [14,15]. Later, with the public avail­
ability of some laboratory data sets and further development of
computing power, sufficient data are available. In terms of modeling,
the available public data can be used to build an accurate battery model
and combined with data-driven methods to estimate SOH [16–20].
This paper mainly summarizes and describes the current SOH
research methods and trends from the aging mechanism to facilitate
researchers in the battery field. The article is structured as follows:
Section 2 describes the battery aging mechanism and its influencing
factors classification, Section 3 discusses direct experimental methods
and indirect experimental analysis, Section 4 presents a comprehensive
overview of the mainstream SOH prediction models and focuses on data-
driven variety, Section 5 compares and analyzes different methods with
no classification criteria and gives future research trends, and finally
provides a conclusion.
2. Aging mechanism
It is of great significance to study the aging mechanism of batteries
from different perspectives [21]. From both battery design and man­
agement perspectives, studying aging mechanisms can provide better
insight into aging patterns and more effectively predict SOH, thereby
enabling more effective coordination of cell charge and discharge status.
2.1. Definition and characterization of SOH
The aging of lithium-ion batteries is a long-term, gradual, non-linear
process. SOH characterizes the health of the cell, which is often
described quantitatively in percentage form. It can be defined in many
ways, mainly depending on choosing a different health index, for
instance, capacity, resistance, electricity, the number of cycles remain­
ing, etc.
⎧
⎪
⎪ Caged
⎪ SOH = × 100%
⎪
⎪
⎪ C rated
⎪
⎪
⎪
⎪
⎪ Qaged-max
⎪
⎨ SOH = Q
⎪ × 100%
(1)
new− max
⎪
⎪ SOH = REOL − CC × 100%
⎪
⎪ phase transition. Watanabe et al. [36] put forward that the aging is
⎪
⎪ REOL − Rnew
⎪
⎪
⎪ not related to the upper and lower limits of depth of discharge and
⎪
⎪
⎪
⎪
⎩ SOH =
Cntremain
× 100%
Cnttotal
Where Caged is the current capacity of battery, Crated is the rated capacity
of battery, Capacity is the most commonly used health index [22]. Since
the actual capacity of the battery is different from the nominal rated
capacity, a definition of electricity similar to the definition of capacity is
proposed [23], mainly from the perspective of battery discharge elec­
tricity to define SOH. The analogy is to use the electric quantity defi­
nition, where Qaged-max is the current battery maximum discharge
electric quantity, Qnew-max is the fresh battery maximum discharge
electric quantity. The increasing internal resistance is an indication of
battery aging, and a number of papers have adopted the definition of
internal resistance, where REOL is the internal resistance at the end of cell
life, Rc is the internal resistance at the current state. Rnew is the Internal
resistance of the fresh cell [24]. In addition to this, the literature also
defines SOH in terms of the number of cells remaining, where Cntremain is
the number of cycles remaining in the cell, Cnttotal is the total number of
cycles of the cell [25]. Many influences cause the battery’s aging, and its
influencing factors can be divided into macro and micro forces through
expression.
2.2. Macro influencing factors
Lithium-ion battery aging macro performance is manifested as the
reduction of battery pack performance, the reduction of vehicle mileage,
2
Journal of Energy Storage 65 (2023) 107347
the rapid decline in power, the abnormal temperature during charging
and discharging, and the battery drum. The main macro factors affecting
battery aging are the following four aspects:
1. Temperature. Ambient temperature is usually considered as the most
critical factor affecting the health status of batteries [26–28]. It is
proposed that low temperature leads to the irreversible depletion of
lithium ions, which has severe implications for battery aging and
safety [29]. Similarly, some experimental data show that the battery
performance at high temperatures is affected by the generation of SEI
film, and the positive SEI film becomes thicker with the increase in
temperature [30], generating unstable organic products, decreasing
diffusion coefficient, and increasing polarization. It can be seen that
moderate temperature rise can accelerate the internal chemical re­
action and improve the efficiency and performance of the cell, but
extreme temperature (too high or too low) will produce irreversible
reactions resulting in accelerated battery aging.
2. The current rate of charge and discharge [31]. A study using SONY
18650 batteries and 300 cycles based on three different discharge
rates showed that the highest capacity loss and resistance increase
were in the high rate discharge condition [32]. Wong, Derek et al.
found that the high-rate discharge process increased passivation film
formation [33] and increased the charge transfer resistance by
analyzing the EIS curves. Yin, Tao et al. [34] showed that the high-
rate discharge process increased the charge transfer resistance by
scanning electron microscopy (SEM) and energy dispersive spec­
troscopy (EDS). (EDS), and pointed out that irreversible damage and
accelerated aging were caused by the high-rate discharge cycle of the
battery. At the same time, high-rate discharge generates more heat
inside the battery. Therefore, try to minimize high rate charging and
discharging is quite necessary to reduce battery aging and optimize
cell life.
3. Depth of discharge. The depth of discharge is mainly based on the
capacity definition. The study [35] conducted a cycle life test on
Lithium-Metal-Polymer (LMP) batteries at 43–60 ◦ C with multiple
sets of discharge depths, which pointed out that batteries at high
discharge depths can lead to local damage due to stress during phase
transition, and reducing depth of discharge (DOD) can avoid this
voltage by experimentally testing different depths of discharge of
(NCA) batteries. But to the width, Wang, John et al. [33] tested the
life of LiFePO4 batteries in terms of temperature, DOD, and
discharge rate, and the experimental results found that battery aging
was strongly influenced by time and temperature, with a small per­
centage of the effect of DOD [37]. The same conclusion can be drawn
from the study [38] that battery aging is indeed a function of DOD,
but the effect is relatively weak compared to other factors.
4. The cut-off voltage of charge and discharge. In different way from
DOD, DOD mainly controls the depth of electrochemical reaction,
while the cut-off voltage controls the over-discharge of the battery
and protects the battery from excessive damage. Studies have
pointed out that when the battery ages to a certain level, proper
reduction of charging current and cut-off voltage can delay the aging
of the battery [31]. The lower the discharge cutoff voltage, the
higher the internal resistance of the battery, which causes internal
heating of the battery leading to an increase in side reactions, a
decrease in the active material of the battery, and a collapse of the
negative graphite flake layer, which accelerates the aging and ca­
pacity decay of the battery. Meanwhile, too high a charging cutoff
voltage causes an increase in internal resistance and an increase in
the internal heating of the battery. Zhang, Xiaohu et al. [39] con­
ducted an impedance test on a new type of energy storage device
lithium-ion capacitor LICs, and the capacity retention rate was 73.8
% after 80,000 cycles with the charge/discharge cutoff voltage set to
2.0–4.0 V, and 94.5 % after 200,000 cycles with the cutoff voltage set
Y. Xiao et al.
to 2.2–3.8 V. It is also pointed out that the cut-off voltage setting can
be relaxed when higher capacity is needed, and the charging cut-off
voltage can be lowered, and the discharging cut-off voltage can be
increased when the service life needs to be extended. To some extent,
there is a connection between aging cells that increase the discharge
cut-off voltage to avoid over-discharge and reduce DOD.
Additional macroscopic influences, such as Mean cycle SoC, Calen­
dar SoC, and user behavior, are among the important factors that affect
battery aging. When the battery is cyclically charged and discharged,
each cycle will have a certain impact on the battery life, and this impact
is gradually accumulated as the number of cycles increases. Therefore,
too high or too low average cycle SoC value will have a negative impact
on the battery life. Not only that, but even the storage period without
charge/discharge cycles of the battery can also lead to battery aging.
Special user behavior such as rapid acceleration and deceleration
resulting in excessive instantaneous charge multiplier can also lead to
battery aging. These macroscopic changes often cause a series of
chemical reactions inside the battery, which aggravate the battery
aging, as shown in Fig. 1, which illustrates some of the microscopic
chemical reactions inside the cell. Therefore, the battery aging mecha­
nism can be further analyzed by directly studying the microscopic level.
2.3. Micro influencing factors
At the microscopic level, the conversion of electrical and chemical
energy is achieved through repeated lithium-ion intercalation and
delamination. A series of side chemical reactions lead to irreversible loss
of electrolyte, active electrode material, and lithium inventory; there­
fore, the capacity decreases with the cycle [5,15,40].
Perspectives from the micro level, the battery electrodes can be
considered as multiple compartments, each of which can hold one
lithium-ion. The total battery capacity is the minimum of the number of
lithium ions involved in the cycle, the storage capacity in the positive
electrode, and the storage capacity in the negative electrode, as shown
on the left side of Fig. 2, where 4 of the 16 compartments contain lithium
ions, the current SOC is 25 %. Fully charged and discharged corresponds
to the positive storage site, and the negative storage site has no lithium
ions. In the process of transport, the lithium element reacts with the
chemicals in the electrolyte, resulting in the reduction of lithium ions
Fig. 1. Internal structure of lithium battery.
3
Journal of Energy Storage 65 (2023) 107347
and thus cannot be embedded in the electrode ‘compartment,’ which
will show as a capacity loss. This mechanism of lithium loss is called LLI
[41,42], as shown in the middle of Fig. 2. This mode usually occurs
during the initial phase and at the end of charging, when recyclable
lithium is consumed to form a solid electrolyte interface (SEI) to act as a
protective layer for the anode and electrolyte [43–46]. Moreover, when
the initial charging magnification is too large, the formation of the SEI
film is uneven, which will further lead to the LLI [47–49]. Second, at the
end of the cycle charging, when the current is too high, lithium ions will
concentrate on the electrode surface and precipitate out lithium metal,
causing LLI. It also contains a situation where a particular electrode is
peeling off, leading to a reduction in the ‘lattice’ that can hold lithium
ions, which also causes a decrease in capacity, as shown on the right side
of Fig. 2. This mechanism is called LAM [20].
From the principle analysis, it can be seen that the aging mode is
mainly classified as LLI, and LAM has also been studied to add a clas­
sification, namely conductivity loss (CL) [1,50,51], which refers pri­
marily to the aging mechanism that leads to the fracture and
decomposition of the cell’s current collector and the stripping of adhe­
sives. Fig. 3 summarizes the macroscopic external characteristics and
microscopic internal chemical reactions and their corresponding aging
patterns from the perspective of battery electrodes and other inactive
materials.
In order to accommodate the complex aging mechanisms of batteries
and predict these changes, this paper presents two major categories of
prediction methods: experimental and modeling approaches, which are
both recursive and complementary and will be described in detail in
later sections.
3. Experimental method
The experimental method generally refers to the preliminary study of
the battery mechanism and then takes the practical approach to analyze
the health state of the battery, but it is challenging to apply because the
experimental environment is too ideal, and the actual conditions are
different from the laboratory environment. However, experimental
methods can quantify the aging mechanism and provide a theoretical
basis for the model-based approach in Chapter 4. We define the prop­
erties affecting the battery SOH as the health index (HI), and the ca­
pacity and internal resistance measured by the direct measurement
Y. Xiao et al. Journal of Energy Storage 65 (2023) 107347

Fig. 2. Schematic diagram of the microscopic aging mode of the battery.

Fig. 3. Basic physicochemical reactions and classification inside the battery, adapted from [52].

method can be defined as the direct index of the battery health state
(DHI) [53].
3.1. Direct measurement
The direct measurement method uses capacity tests, impedance
measurements and other tests to directly measure cell HI, which can be
used for specific implementations.
3.1.1. Cycle number counting
The method of battery cycle counting is also a direct, simple exper­
imental method to build a battery life model. Only a counter numbered
for charging and discharging cycles is needed. The manufacturer will
give the number of cycle periods for the battery’s full life. As long as the
number of full discharges (100 % DOD) is recorded, the current battery
SOH can be estimated. For the working condition of incomplete charge
and discharge, different depths of charge and discharge can be super­
imposed and converted into full charge and discharge through the
conversion coefficient, and the conversion coefficient can be obtained
through a large number of experimental tests, which are generally used
for small electronic products such as laptops, mobile phones, satellites
and so on [54].
3.1.2. Coulomb counting method
The Coulomb counting ways, also known as Ah counting methods,
was often used as the SOH estimation method. First, the SOC of the

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Y. Xiao et al. Journal of Energy Storage 65 (2023) 107347

battery is calculated based on the charge/discharge current through Eq. 3.2. Indirect analysis
(2).
( ∫ t2 )/ Direct analysis is an estimate of the health status of the battery
SOC(t2 ) = SOC(t1 ) + ηi I(t)dt Cactual (2) through experiments and straightforward calculations. Indirect analysis
t1
can efficiently use aging battery data to extract a better refined health
index (RHL) with better predictability.
Cactual = Cfresh × SOH (3)
/[ ] 3.2.1. Incremental capacity (IC)
SOH = I(t2 − t1 ) Cfresh (SOC(t2 ) − SOC(t1 ) ) (4)
Incremental Capacity Analysis, as a common research method, has
been used frequently to estimate material characteristics, decay mech­
Where SOC(t1 ),SOC(t2 ) are the soc value at the time t1 and t2, respec­
anism, and SOH of lithium-ion batteries. Due to it can better react to
tively. Cactual is the actual capacity of the cell, Cfresh is the maximum
changes in the internal chemical characteristics of the battery, it has
usable capacity of the new cell. Where ηi is the coulombic efficiency,
higher sensitivity than the direct measurement method and can capture
Commonly used to describe the ratio of consumed electrons to available
more information about the electrochemical properties for subsequent
electrons during the charging and discharging process. The ratio of
life prediction work.
consumed electrons to available electrons in a study is always 1 [55,56].
Many attempts have been made to directly extract the features from
Where Cactual can be expressed by the new cell and SOH, as shown in Eq.
the IC curve through the filtering algorithm, intercept the voltage in the
(3), and in the case of constant current discharge, the joint Eqs. (2), (3),
3.40 V–3.60 V segment at a voltage interval of 0.02, and do differential
SOH calculation equation can be expressed as Eq. (4).
processing. Spearman correlation coefficients were used to select the
The key to SOH calculation lies only in determining SOC values at
most relevant features for different cells [65]. Zhang, Caiping et al. [66]
moments t1 and t2. Kong Soon Ng et al. proposed an intelligent esti­
developed a new method for the further analysis of the IC curve, which is
mation method based on coulomb counting, which can use the SOC
divided into three regions with the minimum voltage point and the cut-
obtained by Coulomb counting method combined with one of the
off voltage point with a second-order derivative of 0, and the area and
macroscopic factors mentioned before, DOD, to estimate SOH jointly.
height of each region are taken as the characteristics of different aging
The accuracy of such approaches depends mainly on the detection time
modes, which facilitates the identification of aging inflection points in
and accuracy with SOH reassessment. The estimation error can be
engineering practice. IC analysis is highly dependent on low-noise
reduced to 1 % in the subsequent run cycle [57].
constant current profile information, which is difficult to achieve in
The total ampere hours of a battery that can handle the amount of
real-world working conditions. Xiaopeng Tang et al. proposed a model-
electricity in the whole process of charging and discharging from new to
free fitting process for the first time, which directly reconstructs the IC
old should be a fixed value, and the accumulated ampere hours of power
trajectory from noise and current change profiles and ensures that the
reaching a certain degree is considered to have reached the life of the
peak fitting error is within 0.25 % [67].
battery, which is the ampere time method.
Due to the lack of relevant and comprehensive data, in recent years,
It should be noted that the coulometric counting method has certain
there has been considerable interest in various development synthetic
limitations and errors in practical applications. It is noted, for example,
datasets [68,69]. Dubarry et al. [70] used mechanistic analysis and
that the batteries are affected by many factors during use, such as
combined experiments and modeling to generate a number of high-
temperature, charge and discharge rates, and usage patterns, all of
volume generic datasets, which provided a new solution for aging
which may affect the accuracy of the coulometric method. Therefore, in
analysis, and Kim, Sangwook et al. [71] combined thermodynamics-
practice, coulometric counting usually needs to be combined with other
based life model to generate a large amount of data based on their
evaluation methods and techniques for battery life assessment. The
study, and verified the feasibility of the data by matching IC curves. The
weighted ampere-hour method [58] considered that when the battery
feasibility of the data was verified by matching IC curves.
emits the same amount of electricity under different conditions, the
It can be seen that generating a large number of reliable datasets can
degree of damage to the life is light and heavy, so when the discharged
be better combined with IC methods, using IC analysis to verify the
power is multiplied by a weighting factor after the cumulative ampere
feasibility of the generated data, synthetic data can better quantify the
hours reach a specific value, the battery is considered to reach the end of
aging model and be used for subsequent prediction work, which has a
life.
promising development.
3.1.3. Electrochemical impedance spectroscopy
3.2.2. Differential voltage analysis (DV)
Electrochemical impedance spectroscopy (EIS), also known as AC
DV curve analysis is often mentioned at the same time as IC analysis.
impedance [59], is a method to study the response of an electrode sys­
It can usually verify the results of IC analysis, Ira Bloom et al. and other
tem by using a small amplitude sinusoidal potential (or current) as a
researchers in the study [72] very early on how to show the loss of
perturbation electrical signal to produce an approximately linear rela­
battery capacity according to the DV curve. Guangming Liu et al. [73]
tionship between the AC potential and the current signal over a wide
considered that the disadvantages of differential voltage are concen­
frequency range. The ratio of the AC potential to the current signal (this
trated in the high SOC region. For the whole discharge process, the dV/
ratio is the impedance of the system) is measured over a wide range of
dQ method needs to be combined with the SOC estimation method to
frequencies to study the electrode system [60–62].
provide accurate estimation methods for high and low capacitance,
The impulse impedance measurement is simple and easy, can be
respectively.
measured quickly, its test results can describe the impedance of the
A similar study was proposed, Shuzhi Zhang et al. [55] established a
battery to a certain extent, reflecting the growth of the battery imped­
model-free estimation method combining DV analysis and coulomb
ance with the decay of life [63], and can also be used as the battery life
notation, replaced the x-axis of the DV curve with SOC, established the
characteristic. Still, the measurement is more complex, requiring special
relationship between DV value and SOC, and verified the results showed
measuring instruments, rarely used singly, and often in combination
that the MAE and RMSE predicted by SOH were within 0.5 %, and the
with equivalent circuit models [64]. The application of EIS technology
effect was very impressive.
to the online monitoring of the battery state also requires the rapid
According to the diversity of electrochemical characteristics and
online measurement of EIS impedance spectrum technology.
operating modes for the different types of batteries, the research [74]
developed a real-time SOH and EOL estimation method for LPF cells
based on DV analysis, and the experimental results showed that the

5
Y. Xiao et al.
average deviation of the estimation was about 0.8 % under >25 working
conditions. The disadvantages of this type of method are also prominent,
and it is necessary to use a low and constant magnification (C/5)
constraint to play a good prediction effect.
3.2.3. Q(V)
IC and DV analysis has been widely used to determine aging mech­
anisms and extract HI for SOH estimation [40,75–77]. However, these
two methods are often limited to low current rate conditions [20].
As the battery continues to age, its charge and discharge curve will
change subtly, which is a rich source of data, but it is hard to see directly
observed. [40,75,76]. Therefore, new methods need to be proposed to
extract HI from general discharge conditions that are conducive to
battery capacity estimation. Severson, Kristen A. et al. proposed a
discharge mode based on the evolution of the capacitance-voltage Q(V)
curve with cycles to contain a lot of implicit information about the SOH
[78]. The comprehensive data set generated by this article is also of rich
research value. The data visualization is shown in Fig. 4.
On this basis, Deng, Zhongwei et al. [79] obtained the ΔQ(V) vari­
ation curve between different cycles from the non-monotonic discharge
voltage line using the voltage segmentation strategy. As seen in Eq. (5).
ΔQcycle2-cycle1 (V) = Qcycle2 (V) − Qcycle1 (V)
Where Qcycle2 (V) and Qcycle1 (V) are the discharge capacity curves of
cycle2 and cycle1, respectively. The standard deviation of Q(V) and
ΔQ(V) sequences are validated to have a strong correlation with battery
capacity through the Pearson correlation coefficient method.
Q(V) better demonstrates the importance of feature engineering and
solves the conditional limitations of the IC and DV implementation
process, and is also selected as a vital feature quantity in subsequent
prediction models due to the rich aging information it contains.
3.2.4. Other analysis method
Sensors are used to monitor expansion, electrode expansion and
wrinkling within batteries. The degradation mechanisms are associated
with the usual charge-discharge cycle, the ultrasonic sensor data ob­
tained from the ultrasonic sensor at predetermined intervals is trans­
mitted to the centralized battery management system. This real-time
sensor data can be used to evaluate the SOH of the battery pack.
Similarly, imaging techniques often analyze material structures and
observe battery failure conditions [80–84]. As mentioned by Hou,
Junwei et al. [85]. X-ray industrial computed tomography (ICT) was
used to analyze the scientific relationship between residual capacity and
material parameters, such as density, thickness, and active material
area. And proposed a remaining capacity detection method based on
ICT, which is abbreviated as RCCT. Due to the consideration of changes
in material parameters, there is good promise in the rapid capacity
estimation of lithium-ion batteries. A similar interdisciplinary approach
Fig. 4. Visualization of MIT-Stanford data. (a) Discharge capacity curve of cells; (b) discharge capacity curves for 100th and 10th cycles for a representative cell (c)
ΔQ100− 10 (V) for 124 cells.
Journal of Energy Storage 65 (2023) 107347
involving material properties inside the cell also provides a unique way
of thinking and strong development potential for SOH prediction.
Classification and summary of experimental methods are shown in
Fig. 5.
These RHLs, derived from indirect analysis, can be better used as a
state characterization of SOH during aging due to the combination of
aging mechanisms and have good prediction results in laboratory con­
ditions using these efficient features. The difficulties and constraints of
feature engineering have led to the emergence of data generation and
synthetic data. The generation of virtual data by simulating working
conditions and quantifying them accurately has a wide range of devel­
opment prospects. Similar techniques, such as Generative Adversarial
Networks (GAN), can also solve the problem of sparse data for small
samples, which provides the strong support for the further development
of feature engineering.
4. Model method
The model method is actually an outreach and extension of the above
indirect method, which does not only rely on the computational pro­
cessing of experimental data, but also identifies and estimates the cor­
(5) responding characteristic parameters through the combined
physicochemical model and filtering algorithm or mines the early aging
characteristics through the data model to find out the complex mapping
relationships. Achieve the purpose of final detection of battery health
status.
4.1. Mechanistic model
Mechanistic models are obtained from electrochemical, thermody­
namic, and hydrodynamic equations, which describe the battery oper­
ation process in detail. Confined to a specific lithium-ion battery system,
the electrochemical model is mainly based on the porous electrode
theory and reaction kinetic theory [22,86,87], which numerically
characterizes the electrochemical micro-reaction process inside the
battery and simulates the charging and discharging behavior for the
purpose of SOH monitoring.
Due to the complexity of the conventional Pseudo-Two-Dimensional
(P2D) model that encompasses all the basic components of a battery,
many simplified models have been developed. Ramadass, P. et al. [88]
developed a first-principles model for the negative electrode of a battery
cell that combines a side reaction with an intercalation model, attrib­
uting the battery capacity degradation to the continuous film formation
on the negative electrode surface of the negative electrode.
In recent years there has been considerable interest in the single
particle model (SPM). Bartlett et al. [89] proposed a reduced-order
electrochemical model based on this, adding liquid-phase diffusion ki­
netics to the conventional SPM to improve the model precision of the
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Y. Xiao et al.
Fig. 5. Experimental method classification diagram.
model at high current conditions. In Ref. [90], the enhanced-signal
particle model (eSPM) is presented, and the strong correlation be­
tween the mole of cyclable lithium (nLi) and battery internal resistance
(R) with Ah throughput is experimentally verified. The nLi and Ah are
used as SOH indicators and combined with the PF algorithm to estimate
the battery SOH. The majority of mechanistic models generally need to
be combined with adaptive filtering methods such as Extended Kalman
filter (EKF) [91], Unscented Kalman filter (UKF), and Particle Filter (PF)
[89,92] to update the model parameters, which are indicative of the
SOH.
The mechanism model can best simulate the internal state of the
battery, but the complex construction of the model, the computational
cost, and the ambient temperature that needs to be taken into account
for the on-board implementation are also a tremendous challenge.
4.2. Semi-empirical model
Semi-empirical model is a model between theoretical and empirical
models. It is modeled by fitting or adjusting some parameters based on
known experimental data and theoretical models. Usually, the modeling
process of semi-empirical model needs to combine experimental data
with theoretical model to improve the accuracy and applicability of the
model. The semi-empirical model can reflect the physical, chemical and
electrical properties of the battery to a certain extent, so it has some
advantages in predicting and analyzing the battery performance.
In contrast the equivalent circuit model of the battery is the classical
(a)
Fig. 6. ECM structure diagram (a) Thevenin model (b) second-order RC model.
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Journal of Energy Storage 65 (2023) 107347
semi-empirical model [93], using inductance, resistance, capacitance,
voltage source, current source, and other electrical components, through
different combinations to describe the charge and discharge character­
istics of lithium-ion batteries, and has the advantages of small calcula­
tion, easy to apply online, has been broadly used for SOC or SOH
evaluation [94,95].
The current Equivalent current model (ECM) chosen by most of the
literature is the traditional Thevenin model or the second-order RC
model. The structure of the two models is shown in Fig. 6. By using
resistors, and capacitors to replace the polarization and self-discharge
reactions during battery charging and discharging, the prediction pro­
cess is divided into 3 main steps [1], selecting a suitable equivalent
circuit model, constructing a filtering algorithm to identify the param­
eters and updating the model parameters using historical data, and using
the updated parameters to estimate SOH.
ECM parameter identification is also divided into two methods in the
summary of the study [1], the curve fitting comparison method and the
circuit model complex frequency domain output equation combined
with the least squares (LS) method. On the basis of method II, Topan,
Paris Ali et al. [96] converted LS into parameter recursive estimation
using Recursive Least Square (RLS), which reduces the amount of matrix
operations. To further improve the computational speed, the study [97]
proposed an RLS algorithm based on UD decomposition, which im­
proves the speed while maintaining numerical stability. Meng, Jinhao
et al. [98] utilized the partial least squares (PLS) method combining
principal component analysis with LS and combined with moving
(b)
Y. Xiao et al.
window to reduce the additional parameter identification. After
obtaining reliably estimated parameters, the EKF [99], UKF [100], Dual
Extended Kalman filter (DEKF) [101], and PF [102] filtering algorithms
are used to establish the state and observation equations and complete
the whole estimation process.
In the field of cells, both semi-empirical and empirical models are
mathematical models used to describe the characteristics and behavior
of batteries. Although they are somewhat similar in some aspects, their
modeling methods, theoretical foundations, and application scope are
different. It is increasingly worth considering whether the information
mined directly from historical data can be used to construct predictive
models.
4.3. Empirical model
The empirical model is a statistical model based on a large amount of
experimental data. It does not need to consider the internal physical and
chemical mechanisms of the battery, but only needs to process and
analyze the experimental data to build a mathematical model related to
the battery performance and behavior. Compared with the semi-
empirical model, the empirical model has a simpler modeling process
and a wider range of applications. In battery research, mainly using
polynomial or exponential functions to establish a mapping relationship
between SOH and parameters with characterized aging properties [53].
Due to the aging of the battery and the changing operating conditions,
the model parameters need to be constantly updated, and similarly,
various filtering algorithms are used in combination with the empirical
model to estimate the battery SOH [103,104]. These methods are more
readily available than the first two models, but have poor
generalization.
The prediction process of the above three models can be summarized
in Fig. 7, Three methods are selected from each model, and their ad­
vantages and disadvantages are analyzed. The comparison results are
shown in Table 1. It can be seen the high accuracy of the mechanism
Fig. 7. Flowchart of the model methods for SOH estimation [53].
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Journal of Energy Storage 65 (2023) 107347
model, but the model is more challenging to establish and has a high
computational cost, as opposed to the empirical model proposal is more
straightforward. Still, the accuracy is low, and the generalization ability
is weak, the equivalent circuit model is a good compromise, with better
accuracy and low computational cost, and can also increase the circuit
components to improve the complexity of the model and get better re­
sults. However, in practical applications, these three models are usually
combined with filtering algorithms or optimization algorithms to
improve prediction accuracy. Some studies [105] have connected them
with artificial neural networks in data-driven methods to obtain good
prediction results, and data-driven is an up-and coming nonlinear
modeling method.
4.4. Data driven method
The data-driven approach is actually an extension of the empirical
model. It mainly builds a nonlinear mathematical model based on aging
data, replacing the specific battery model. Then, prediction accuracy is
improved by automatically updating weight parameters. It is widely
used because of its vital flexibility and applicability [110,111]. Due to
the strong dependence of the above methods on data, the purely data-
driven model has been controversial without understanding the poten­
tial aging mode and its underlying physical characteristics [112].
In this paper, data-driven is classified into, traditional machine
learning, deep learning and series-parallel hybrid algorithmic models.
This classification conforms to the order of technology development,
and its model complexity is increasing accordingly.
4.4.1. Machine learning
The traditional neural network model is a typical machine learning
approach. X. Li. et al. [113] adopts the nonparametric, kernel-based
probability regression model Gaussian process regression (GPR) and
verifies the robustness of the model by combining the IC analysis and
Pearson correlation coefficient screening features mentioned previously.
Y. Xiao et al. Journal of Energy Storage 65 (2023) 107347

Table 1
Evaluation of model-based methods.
Category Method Ref. Health index Count Advantages Disadvantages
costs

Mechanistic First principles [88] The film High Consider the internal electrochemical process, Only used under low charge-discharge
model resistance high generalization. current.
Low-order [89] OCV Medium The capacity estimation performs well in the Perform less reliably in the medium SOC
ODEs+EKF low SOC range. range.
eSPM+PF [90] nLi and R N/A The algorithm can be implemented using in- Temperature is not considered, cannot be
situ vehicle data. achieved on board for the time being
Semi-empirical RC + UKF [106] R Low Considered the internal resistance of different Large error in the estimation of ohmic
model voltage, current, temperature conditions. resistance at the initial moment.
ECM + EIS + [105] V, I, cycle N/A Reliable parameter estimates with practical High equipment costs.
ANN industrial applications
ECM + LS [107,108] R Low Consider aging mechanisms to some extent. Low robustness at − 20 ◦ C.
Empirical model Polynomial [109] R, Vdis Low Easy to establish and with promising results Different parameter choices for different
model+PSO models, low generalization ability
HKA-PF [103] C, R Medium
Exponential [104] Cycle number N/A Improved prediction accuracy and good
Model+PF convergence

Zhang, Shuzhi et al. [65] switched to a simple artificial neural network
(ANN) model with only two input neurons on this basis, which can
achieve simultaneous SOH and RUL estimation. With the development
of artificial intelligence, optimization algorithms were adopted to opti­
mize different network parameters. In Ref [114], the initial connection
weights of Wavelet Neural Network (WNN) were optimized using a
genetic algorithm (GA), which improved the accuracy compared to the
single network model.
Similar machine learning methods are also available, such as support
vector machine (SVM) [115], relevance vector machine (RVM) [116],
Probabilistic Neural Network (PNN) [117], Dynamic Bayesian Networks
(DBN) [118], and Wiener Process (WP) [119], etc., which can be broadly
classified into probabilistic methods (capable of generating probability
density function (PDF), predicting data points and providing confidence
intervals around them) and non-probabilistic ways (which can only give
an estimate of the regression points). In this paper, traditional machine
learning methods are classified and compared with these two methods
and a short review is given in Table 2. As the research progresses,
different models and the corresponding features are developed more and
more abundantly. Most of them only use IC, DV, QV, etc. in indirect
analysis, and some more characteristic features such as Sample Entropy
(SampEn) [120–122] are used as input to machine learning models, and
get good results.
With the increasing amount of data, extracting features requires
specialized knowledge and is becoming increasingly complex. The
emergence of deep learning provides a new way of solving problems.
4.4.2. Deep learning
Deep learning is actually a branch of machine learning that has been
successfully applied to most research areas [124–126], including battery
health state estimation. In the previously presented study, battery aging
features need to be manually proposed and fed into a neural network
model, but in extractions cases where feature extraction is complex and
difficult, deep learning models were developed.
Convolutional neural networks are good at mapping a set of mea­
surements to the desired output, distinguishing them from fully con­
nected neural networks in traditional machine learning. The results of
convolution can be passed to adjacent layers and weights can be shared,
providing fast computation under large amounts of data. The study
[127] used time-domain voltage, current, and temperature directly as
features as input to the CNN. To saving the workload of feature engi­
neering, the prediction accuracy is further improved by adding noise
simulating the actual working conditions to the data. Whether the data
under actual working conditions can be applied by deep learning is a
question worth considering, Various approaches have been hypothe­
sized to solve this issue. Sheng Shen et al. [128] applied deep learning to
SOH online estimation for the first time by referring to 10 years of daily
cycle data of 8 Li-ion batteries and reconstructing voltage, current, and
capacity into multiple 25 × 3 matrices for DCNN inputs, which resulted
in higher robustness compared to shallow neural networks.
The essence of convolution is to improve high-throughput features
from complex signals. Since battery aging is a time-series process,
recurrent neural network (RNN) is more able to tap the time-dependent
relationship between battery aging. At the same time, long short-term
memory network (LSTM) and Gate Recurrent Unit (GRU) algorithms
with gating mechanism units are proposed to solve the shortcomings of
traditional RNN gradient disappearance [129]. More frequently utilized
in studies addressing SOH estimation, in Ref. [130], the proposed LSTM
RNN model obtained accurate results using only 20–25 % of the
measured data in the presence of limited data. In a study [131], the MAE

Table 2
Comparison of machine learning methods.
Category Method Battery type Ref. Health index Error Comment

Non- SVM Li-ion 18650 2 [120] SampEn RMSE:0.47 • Ability to directly create a mapping between input and output spaces
probabilistic Ah • The key to the subsequent study is the solution of the optimization
PNN Li-Co 18650 [117] △t, △V1,V2 Average error: problem.
2.37 Ah 0.28 %
DBN Li-Mn 6 Ah [118] SOC Absolute error <
5%
WNN Li-ion 18650 2 [114] IC curve MAE, MAPE < 5
Ah %
Probabilistic GPR LG 18650 2.1 [123] I, V, T Best MSE: 4.3 %. • Confidence intervals are often provided, taking into account the
Ah uncertainty of the estimation process.
RVM LiCoO2 0.9 Ah [116] C RUL error < 10 • More sensitive to structure and parameters, requiring more consideration
cycles. of parameter optimization strategies.
WP Li-ion 18650 2 [119] Capacity RMSE: 0.08 %
Ah regeneration

9
Y. Xiao et al.
and RMSE obtained by introducing QV in the indirect method and joint
transfer learning were around 1 % without changing the structure of
LSTM, Penghua Li et al. [132] improved the LSTM and proposed A
variant long-short-term memory (LSTM) neural network (NN) with a
multi-cell shared prediction framework, abbreviated as AST-LSTM, can
have multiple mapping structures, respectively. SOH predicts the
average root mean square as 0.0216. It can be seen that the deep
learning model has flexibility, which also provides multi-algorithm
fusion ideas, such as the fusion of algorithms and networks, and the
fusion between different networks.
4.4.3. Hybrid algorithms and model integration
Single deep learning model has failed to meet the researchers’
expectation of accuracy. Much work on the potential of the Multi-
algorithm coupling model has been carried out [133]. Zhigang He
et al. Combining locally weighted linear regression (LWLR) with the
LSTM model to further learn the nonlinear relationship between the
extracted features and capacity, the maximum relative error of SOH
estimation results is 0.2 %. In Ref. [134]. Two CNNs were built simul­
taneously to extract the health index between discharge cycles and
mitigate the potential effect caused by multicollinearity using random
forest (RF).
To better exploit the strengths of each model, Yaxiang Fan et al.
[120] proposed a hybrid model GRU-CNN sharing spatial and temporal
features, which can accurately estimate SOH under arbitrary discharge
conditions and has good prospects for in-vehicle applications. The study
[121] took model fusion one step further by constructing an integrated
model, including several deep learning networks such as LSTM, DNN,
DCNN, etc., and used migration and fine-tuning strategies to facilitate
the fusion, optimization combined the advantages of each network and
weakened the shortcomings. The MAE and RMSE were <2 % and 2.3 %
under dynamic conditions using 10 % of the initial data. As deep
learning continues to evolve, the study [135] first proposed the Trans­
former model, which uses the attention mechanism to the extreme,
followed by Chen, Daoquan et al. [136] for a promising cross-domain
application to SOH estimation work.
From the study, it can be seen that the model method is most widely
and deeply used, and this paper argues that the model method needs to
be combined and streamlined with feature engineering in order to
function better. Not only in the original field, the cross-domain use of
models has been widely noticed and used. At the methodological level,
the cross-attempts of hybrid methods such as material parameter char­
acterization and distributed computing have provided more possibilities
for the on-board implementation of models.
5. Comparison and prospect
5.1. Comparison and summary
Since different experimental methods are based on different datasets,
it is difficult to unify the cross-sectional comparison, and the data-driven
way is to mine the hidden information among the data, so it is better to
unify the datasets. Cross-sectional comparisons using publicly available
datasets have the following main advantages.
A fair and open comparison platform can be provided firstly,
allowing the performance of different models to be compared on the
same dataset, which allows the merits of the models to be assessed more
objectively and helps researchers to better understand the performance
and limitations of prediction methods. Secondly it can encourage re­
searchers to innovate and develop new algorithms and techniques to
improve the accuracy and reliability of battery life prediction. This can
drive the progress and development of the technology and help to better
solve the problems in practical applications. Not only that, the public
dataset contains more samples and more variables, which can better
simulate the situation in real applications. This can improve the gener­
alization ability of the model, which can help improve the reliability of
10
Journal of Energy Storage 65 (2023) 107347
the prediction. More importantly this helps to promote the scientific
community and can facilitate communication and collaboration among
researchers to better understand and solve the challenges and problems
in battery lifetime prediction.
this manuscript selected NASA, CALCE, and MIT-Stanford, which are
the three more studied public datasets from several studies, and divided
the dataset as the benchmark to compare the objects, and compared The
health index, prediction accuracy, and brief comments were selected
and compared in Table 3, so that the comparison is more realistic. The
number of cycles of B05,06,07,18 cells in NASA PCoE dataset is <200,
and more machine learning methods are used, it can be seen that the
methods involved in the study of the NASA data set in the small batch
battery cycle data incorporate aging mechanisms and use IC curves as
key features to ensure accuracy and reliability. While the number of
cycles of CALCE and MIT-Stanford is >1000, and deep learning methods
are used more, which is in line with the prominence of deep learning
with the increase of data size. Still, there are studies to identify key
features through excellent aging mechanism studies, relying only on
simple models to yield excellent predictions, and in-depth SOH predic­
tion methods incorporating aging mechanism analysis are proving to be
essential.
In the comparison of multiple SOH estimation methods, SOH pre­
diction using cell voltage, current, temperature and other characteristics
can also be considered as a method that incorporates aging mechanism
analysis, which is only a matter of depth. Although this method is more
superficial and understandable compared to the more in-depth IC, DV
and Q(V) analysis, it still indirectly reflects the aging mechanism and
process inside the cell by analyzing the cell characteristics and param­
eters. In fact, most of the SOH estimation methods are developed based
on the aging mechanism analysis. However, IC, DV, and Q(V) analyses,
which are deeply integrated with the aging mechanism, tend to derive
features that are more interpretable and reduce the complexity of the
model. Therefore, the analysis of the aging mechanism is essential in the
process of the experimental method, and the use of RHL is often more
efficient and accurate than DHI, which verifies the importance of feature
engineering. In the modeling method, deep learning can better solve the
nonlinear prediction problem compared with traditional machine
learning. The coupling of multiple models is better than the prediction of
a single model. It is worth noting that under the condition of including
rich data, different researchers have all performed rigorous feature work
before prediction models, which can significantly reduce the computa­
tional cost and simplify the model, further improving the feasibility of
on-board implementation.
5.2. Prospects for future work
With the improvement of equipment computing force, many re­
searchers are not limited to laboratory data, and a vast amount of
complete working condition data are used for analysis and mining. 5G
technology and the landing of cloud computing technology provide
more possibilities for online SOH estimation of batteries. Therefore, this
paper considers that future research focuses on the following four main
areas.
• First is the importance of data, from the comparison results can be
seen, reliable and rigorous data is more conducive to researchers to
promote the progress and development of technology. High-quality
synthetic data sets can alleviate the generation of large experi­
mental data sets. These data can achieve the uncertainty of real
datasets, including but not limited to noise, errors, etc. while falling
within manageable limits. Such synthetic data can be used both for
indirect analysis in the previous experimental method to further
identify aging patterns and to facilitate scientific research on the
strengths and weaknesses of deep learning methods.
• In-depth combination of aging mechanism analysis to enrich feature
engineering and combined with deep learning for cross-validation.
Y. Xiao et al. Journal of Energy Storage 65 (2023) 107347

Table 3
Comparison of results of different data-driven models for different datasets.
Dataset Methods Ref Health index SOH estimation accuracy Brief comment

NASA PCoE IC + GS + ANN [65] Fragment voltage MAE is <4 % • Excellent feature engineering, low model complexity and
dataset corresponds to the IC value. RMSE is <6 %. good accuracy.
• Applicable only to specific conditions.
IC + GS + GPR [113] Partial IC curve The mean absolute error and • Predict battery SOH in a probabilistic manner, Good short-
RMS error were both below term effect.
1 %. • Weak generalization ability, cannot adapt to different types of
batteries.
IC + GA-WNN [114] The peak heights and the Prediction error is <3 %. • Independent of the battery model and using algorithms to
left and right slopes. optimize the model parameters.
• Temperature is not considered.
CALCE dataset BL-ELM [137] Internal feature mapping Below 4 % on CALCE and • Effective key features can be quickly extracted from specific
below 3 % on NASA. data and verified with some generalization ability.
BLS-LSTM [138] Achieving an RMSE of <1 % • Model parameters can be further optimized.
using only 25 % of the data.
LR [139] T, V, Q(V) NASA RMSE about 1 % • More focus on data pre-processing, mining features, using a
CALCE RMSE about 12 %. simple LR model can get good results.
MIT–Stanford Univariate LR [78] Variance of △Q100-10(V) etc Achieves 9.1 % test error • First proposed QV, a feature with a rich information source,
dataset using the first 100 cycles. highlighting the development prospects of combining data
generation and modeling
LSTM+TL [131] std_Q, std_△Q MAE about 0.94 % • Combining QV and deep learning models further improves the
RMSE about 1.13 % accuracy of prediction.
• Need to consider different scenarios for extracting early
features
CEEMD+GPR + [140] Reconstruct components MEA about 1 % • Multi-model combination with strong generalization
LSTM according to the Hurst RMSE below 1 % capability.
exponent • LSTM model is less computationally efficient.

To provide more comprehensive and accurate guidance for battery has good research prospects. The optimized data can also act on the
life assessment while exploring new assessment metrics and tech­ selection of deep learning inputs and the construction of the frame­
niques. Reliable prediction results can be obtained by simple linear work, and conversely, the results of deep learning can be fed to
regression models alone, and data mining in the early aging process

Fig. 8. Model parallel prediction framework.

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Y. Xiao et al. Journal of Energy Storage 65 (2023) 107347

simple models, and the combination of the two methods will be more LS Least squares
effective than a single one. T Temperature
• Development of SOH assessment techniques for novel batteries and RLS Recursive least square
implementation of online SOH estimation. The emergence of new C Current rate
battery materials and structures, such as lithium-air batteries con­ PLS Partial least squares
taining solid electrolytes, which may have different lifetime char­ SEM Scanning electron microscopy
acteristics and aging mechanisms, requires the exploration of SOH GPR Gaussian Process Regression
assessment methods for new batteries and the development of online EDS Energy dispersive spectroscopy
SOH estimation techniques to achieve real-time management and ANN Artificial neural network
optimization of battery SOH, overcoming the traditional offline LMP Lithium-Metal-Polymer
assessment. WNN Wavelet neural network
• To better apply the various methods, multi-domain methods such as DOD Depth of discharge
material analysis, imaging techniques, and distributed learning can GA Genetic algorithm
also be combined. And data parallelism in distributed computing can LICs Lithium-ion capacitors
spread data to computational nodes with the same machine learning SVM Support vector machine
model, and different nodes have different allocated data. Still, the CL Conductivity loss
respective nodes will be updated and synchronized to maintain RVM Relevance vector machine
global consistency. In addition, multi-model parallelism can divide a HI Health index
complex model into multiple sub-models, unifying the data input, PNN Probabilistic Neural Network
with each model deployed on different computing nodes. The DHI Direct health index
approach has a strong potential for development as it solves the DBN Dynamic Bayesian Networks
problem of high time consumption of complex models and facilitates RHI Refined health index
the on-board implementation of algorithms. The prediction process WP Wiener Process
is shown in Fig. 8. EIS Electrochemical Impedance Spectroscopy
PDF probability density function
6. Conclusion IC Incremental Capacity
SampEn Sample Entropy
This article mainly starts with the aging mechanism of Li-ion batte­ DV Differential Voltage
ries, analyzes the micro-macro factors leading to battery aging, and di­ CNN Convolutional neural network
vides the SOH estimation methods into experimental and model Q(V) Capacitance-voltage
approaches. The experimental method provides a strong basis for the DCNN Deep convolutional neural network
subsequent model implementation by the results of direct measurement ICT Industrial computed tomography
and indirect analysis, and the model method briefly classifies and in­ RNN Recurrent neural network
troduces the multi-part battery models in the field, focusing on the data- P2D Pseudo-Two-Dimensional
driven models, and compares the characteristics of machine learning LSTM Long short-term memory network
methods in detail, based on which the estimation accuracy of different SPM Single particle model
models for the same data set and their SOH characterization amounts are GRU Gate Recurrent Unit
compared with a specific public data set, and a short evaluation is given. eSPM Enhanced-singal particle model
Due to the highly complex aging mechanism inside the battery and LWLR Locally weighted linear regression
the incompleteness of the experimental data set, the use of developed R Internal resistance
synthetic high-throughput data plays a crucial role in identifying aging RF Random Forest
patterns. Compared to the superposition of multiple-deep neural net­ nLi Mole of cyclable lithium
works, the extraction method of simple feature parameters has been GS Gaussian filter
further developed with a tendency, such as the analysis of IC, DV, Q(V), LR Linear Regression
and other curves. Feature engineering is mainly about mining more ELM Extreme Learning Machine
valuable features from the early behavior of batteries, which not only TL Transfer Learning
gives consideration to professional knowledge but also reduces the CEEMD Complementary Ensemble Empirical Mode Decomposition
computational cost of in-depth learning. Although this manuscript can
further review the SOH prediction methods in more detail, it can be Declaration of competing interest
found that there are still many cross-disciplinary directions that have not
been explored, such as battery materials, ultrasound technology, We declare that we have no financial and personal relationships with
distributed technology, etc. other people or organizations that can inappropriately influence our
work, there is no professional or other personal interest of any nature or
Nomenclatures kind in any product, service and/or company that could be construed as
influencing the position presented in, or the review of, the manuscript
SOH State of health entitled “A comprehensive review of the lithium-ion battery state of
EKF Extended Kalman filter health prognosis methods combining aging mechanism analysis”.
OCV Open circuit voltage
UKF Unscented Kalman filter Data availability
LLI Loss of lithium
DEKF Dual Extended Kalman filter No data was used for the research described in the article.
LAM Loss of active material
PF Particle Filter Acknowledgments
SEI Solid electrolyte interface
ECM Equivalent current model This research was funded by the Department of Science and Tech­
SOC State of charge nology, Henan Province (Nos.: 212102210008 and 222102240116), the

12
Y. Xiao et al.
Key Scientific Research Projects of Higher Education Institutions in
Henan Province (23ZX013) and University level scientific research
project of Zhengzhou University of Light Industry (2023ZCKJ103).
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