Lithium-Ion Battery Diagnostics Using Electrochemical Impedance Via Machine-Learning
Authors: Gasper Paul , Schiek Andrew , Shimonishi Yuta , Smith Kandler , Yoshida Shuhei 
Published: September 2023

Diagnosing battery states such as health, state-of-charge, or temperature is crucial for ensuring the safety and reliability of electrochemical energy storage systems. While some states, such as temperature, may be measured using cheap sensors, accurate diagnosis of battery health metrics usually requires time-consuming performance measurements, making them infeasible for use in real-world operation. These health metrics can be measured during lab-testing and then estimated on-line using predictive life models or via state observer algorithms such as Kalman filters, but these predictive methods should be supplemented by actual measurement of battery health whenever possible to ensure reliability. Rapid measurement of battery health may be done by various types of fast diagnostic techniques such as electrochemical impedance spectroscopy (EIS), which can be performed in only a few minutes and require only a fraction of the energy and power needed for a full charge and discharge measurement. But there is a substantial challenge for estimating battery health using EIS data, as EIS is sensitive to cell temperature, state-of-charge, current, and resting time in addition to health. Thus, utilizing EIS data to predict battery capacity requires correcting for all these additional variables, a task that is extremely difficult to handle analytically.

This talk utilizes machine-learning methods to estimate the effectiveness of battery capacity prediction from EIS data, leveraging a data set of hundreds of EIS measurements recorded at varying temperature and state-of-charge throughout a 500-day aging study of 32 commercial, large-format NMC-Graphite lithium-ion batteries. Using EIS as input to machine-learning models is complicated by the nonlinear response of impedance to battery health, temperature, and state-of-charge, as well as the collinearity between the impedance response at neighboring frequencies, which can easily lead to overfit models. To train robust models, features from EIS data need to be extracted from the data or some subset of critical frequencies selected. Many approaches for extracting and selecting features from EIS data from electrochemical analysis and machine-learning fields were identified for analysis: using the entire raw spectra; selection of one, two, or many frequencies from the entire spectra; selecting interesting points from the EIS measurement using domain knowledge; fitting EIS with an equivalent-circuit model; calculating statistics on the raw impedance values; and reducing the dimensionality of the data using unsupervised linear (principal component analysis) and non-linear (uniform manifold approximation and projection) methods. These approaches were rigorously compared using a machine-learning pipeline approach, training linear, Gaussian process, and random forest regression models and quantifying performance using cross-validation as well as a held-out test set. An artificial neural network model trained on the raw spectra was also tested. Promising pipelines were fine-tuned via Bayesian hyperparameter optimization using cross-validation loss and training with class-specific weights to counter data set imbalance.

The most reliable method for utilizing impedance in this work was the selection of two optimal frequencies through an exhaustive search, resulting in about 2% mean absolute error on test data for both Gaussian process and random forest model architectures. Interrogation of a variety of models reveals critical frequencies of 100 Hz and 103 Hz for this data set, though the optimal set of frequencies is not necessarily intuitive, i.e., the best performing models are not simply those that use impedance at frequencies that have the highest correlation to the relative discharge capacity. The best performing model is an ensemble model, which is able to predict battery capacity with 1.9% mean absolute error for unseen cells using impedance recorded at a variety of temperatures and states-of-charge.