IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL.

73, 2024 1000315

Differential Equation-Informed Neural Networks

for State-of-Charge Estimation
Lujuan Dang , Jinjie Yang , Meiqin Liu , Senior Member, IEEE, and Badong Chen , Senior Member, IEEE

Abstract— State-of-charge (SOC) estimation is crucial for etc. [4]. Therefore, it is essential to establish an advanced
improving the safety, reliability, and performance of the battery. battery management system (BMS) to monitor the internal
Neural networks-based methods for battery SOC estimation state of the battery in real-time, ensuring the safe and reliable
have received extensive attention due to the flexibility and
applicability. However, owing to complicated electrochemical operation of the battery [5]. As a direct representation of the
dynamics and multiphysics coupling, a trivial, black-box emu- remaining battery power, the state-of-charge (SOC) estimation
lation of batteries that senses only voltage, current, and enables BMS to ascertain the instantaneous peak power and
surface temperature obviously cannot result in high-performance health status accurately, so as to ensure that the battery
SOC estimation. To address this problem, this article pro- operates safely and find out the abnormalities of the battery
poses a class of differential equation-informed neural networks
(DENNs) including differential equation-informed multilayer timely [6]. Therefore, SOC estimation methods play a crucial
perception (DE-MLP), differential equation-informed recurrent role in BMS and have become a research focus for many
neural network (DE-RNN), and differential equation-informed scholars.
long short-term memory (DE-LSTM), to estimate battery SOC. Researchers are continuously exploring new approaches and
In the proposed methods, the underlying physical laws in the algorithms to improve SOC estimation accuracy. According
form of the differential equation are embedded in the training of
neural networks, such that the network parameters are updated to the existing literature, the mainly used SOC estimation
toward optimal faster. We also implement an inverse problem in methods include ampere hour integration method [7], open
DENNs, which simultaneously estimates the unknown parameters circuit voltage method [8], model-based methods [9], [10],
of the differential equation and network parameters. In addition, and data-driven methods [11], [12], [13], [14], [15]. Among
the approximation theory and error analysis for DENNs are
them, the ampere-hour integration method relies on accurate
provided. The experiments in this article are performed in
real datasets, and the results illustrate the effectiveness of the SOC values and high-precision current sensors, while the
proposed methods under different working conditions. Compared open-circuit voltage (OCV) method requires the battery to
with the traditional neural networks, the proposed DENNs be stationary for a long time to obtain an accurate SOC.
achieve more stable and accurate SOC estimation performance. Both of the methods are not suitable for the complex and
Index Terms— Differential equation-informed neural networks, time-varying BMS in the vehicle. Instead, model-based SOC
state estimation, state-of-charge (SOC). estimation is a closed-loop control that can obtain good
SOC estimates by combining different Kalman filtering [16],
I. I NTRODUCTION [17], [18]. Therefore, model-based methods have become the

I N ORDER to achieve the goal of “carbon emissions

peak and neutrality,” battery energy storage systems have
rapidly developed in renewable energy generation, smart grid
focus of battery SOC estimation research, and their estima-
tion performance depends on the choice of battery model.
The existing battery models mainly include equivalent circuit
technology, and electric vehicles [1], [2], [3]. Lithium-ion models (ECM) and electrochemical models (EMs). Due to
batteries have become the most widely used energy storage the simple structure, high computational efficiency, and few
component due to their high energy density, long life, and low identified parameters, SOC estimation based on ECM has been
self-discharge rate [2]. Under complex operating and chemi- widely used in actual vehicles. Although model-based methods
cal conditions, lithium-ion batteries may face with capacity have clear physical law, it is very complex, computationally
attenuation, internal resistance increase, temperature change, intensive, and time-consuming to establish a model of battery
Manuscript received 12 June 2023; revised 30 September 2023; accepted
under high nonlinearity, time-varying parameters, and strong
3 November 2023. Date of publication 28 November 2023; date of current ver- coupling battery systems. The accuracy of the model also
sion 21 December 2023. This work was supported in part by the National Key requires long-term accurate battery data. With the quick devel-
Research and Development Program of China under Grant 2021YFB2401904
and in part by the Fundamental Research Funds for Xi’an Jiaotong University
opment of artificial intelligence (AI), data-driven methods have
under Grant xtr072022001 and Grant xzy012023134. The Associate Editor received wide attention in battery SOC estimation. In com-
coordinating the review process was Dr. Xiaotong Tu. (Corresponding author: plex dynamic conditions, data-driven learning methods do not
Badong Chen.)
The authors are with the National Key Laboratory of Human-Machine
establish specific physical models but rely on data. Data-
Hybrid Augmented Intelligence, National Engineering Research Center driven methods used for lithium-ion battery SOC estimation
for Visual Information and Applications, and the Institute of Artificial aim to establish a mapping relationship among temperature,
Intelligence and Robotics, Xi’an Jiaotong University, Xi’an 710049, China
(e-mail: [email protected]; [email protected]; liumeiqin@xjtu.
current, voltage, and SOC. Generally, the mapping relationship
edu.cn; [email protected]). can be approximated by the neural networks including the
Digital Object Identifier 10.1109/TIM.2023.3334377 recurrent neural network (RNN) [19], long short-term memory
1557-9662 © 2023 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See https://www.ieee.org/publications/rights/index.html for more information.

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 1000315 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 73, 2024

(LSTM) [20], and nonrecursive algorithms such as back-

propagation neural network (BPNN) [21], extreme learning
machine (ELM) [22], multilayer perception (MLP) [23], and
convolutional neural network (CNN) [24].
Though well-behaved in SOC estimation, neural networks
are dependent on the number of precision data. In addition,
neural networks have poor representation ability in reasoning
and causal relationship expression [25]. These shortcomings
can be alleviated by incorporating prior information, such
as physical laws, empirical rules, or domain knowledge,
which can theoretically reduce errors and achieve more accu-
rate results [26]. Introducing physical mechanisms into deep
learning has become an effective tool [26], [27], [28], [29]. Fig. 1. ECM: first-order RC model.
Raissi et al. [27] proposed a new deep learning algorithm,
that is, physics-informed neural networks (PINNs), which
computational complexity exponentially increased [30], [31],
encode the physical laws contained in the data into the deep
[32]. The first-order RC model is commonly the optimal
network to improve the learning performance. In PINNs,
choice to take account of model accuracy and computational
the model parameters can be obtained by the neural net-
effort [9]. Therefore, in this article, the first-order RC network
work automatically differentiating. PINNs are typically subject
is adopted. Fig. 1 shows the first-order RC model with OCV
to constraints from the physical laws that are modeled as
Uoc . As time t, the PDE corresponding to the ECMs can be
time-dependent nonlinear partial differential equations (PDEs)
defined using the following equations:
in the available data. Inspired by this idea, we propose
a class of differential equation-informed neural networks ∂ S OC(t) η
= − I (t)
(DENNs), including differential equation-informed MLP ∂t Q
(DE-MLP), differential equation-informed recurrent neural ∂U1 (t) η 1
=− U1 (t) + I (t)
network (DE-RNN), and differential equation-informed long ∂t R1 (t)C1 (t) C1 (t)
short-term memory (DE-LSTM), to estimate the SOC. Our U L (t) = h(S OC(t)) − I (t)R0 (t) + U1 (t) (1)
contributions are summarized in the following.
1) In the proposed DENNs, the underlying physical laws with the boundary condition
in the form of the differential equation are embedded in ∂ S OC(t)
|t=0 = 0 S OC(t) ∈ (0, 1] (2)
the training of machine learning, such that the network ∂t
parameters are updated fast towards the optimum. where R0 is the ohmic internal resistance; R1 is the polar-
2) We also implement an inverse problem in DENNs, ization resistance; C1 is the polarization capacitor; U L is
which simultaneously estimates the unknown parameters the terminal voltage; η is the coulomb efficiency; Q is the
of the differential equation and network parameters. rated capacity of the battery; and U1 (t) represents the ter-
In addition, the approximation theory and error analysis minal voltage of C1 (t); I represents the operating current,
for DENNs are provided. which is positive during the charging process and negative
3) The experiments are performed in the real dataset, and during the discharging process. Note that these parameters are
the results show the effectiveness of the proposed meth- time-varying with the SOC.
ods under different working conditions without relying
on an accurate battery model.
B. SOC Estimate Based on Neural Network
This article is organized as follows. In Section II, an ECM
with the differential equation for battery system dynamics and The data-driven learning methods do not rely on predefined
different neural network structures is reviewed. In Section III, physical models and can automatically adapt to different
the DENNs are proposed where the approximation theory and datasets. Data-driven techniques used for estimating the SOC
error analysis are provided. Section IV provides experiment in lithium-ion batteries aim to train a network model, which
results. The conclusion is presented in Section V. can reflect the relationship f between inputs (temperature,
current, voltage) and output (SOC). Then, the network model
is used to estimate the SOC on the unknown dataset. The
II. BACKGROUNDS
relationship can be expressed by
A. Differential Equation for Battery System Dynamics
S OC(t) = f (U L (t), I (t), T (t)). (3)
Generally, lithium-ion battery models include ECMs, EMs,
and electrochemical impedance models (EIMs). Due to the Generally, nonlinear mapping can be learned by MLP, RNN,
simplicity and applicability, ECMs can achieve a good bal- LSTM, and other neural networks. Given the input X(t) ∈
ance between state estimation performance and computation Rd×n , the MLP model can be denoted by
complexity [30]. ECMs are usually composed of multiple (
series RC networks. The number of RC networks is increased S(t) = σ (W(t)X(t) + b(t))
(4)
resulting in the accuracy of the model improvement, but the o(t) = V(t)S(t) + c(t)

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 DANG et al.: DENNs FOR SOC ESTIMATION 1000315

where S(t) is the hidden layer output; W(t) ∈ Rl×d and V(t) ∈ We denote S OC(t; X) as the solution of PDE, in which t
Rl×d are network weight parameters; o(t) is the model output; denotes time and X is the system input. The system input
b(t) and c(t) are network bias parameters; σ is a nonlinear X can be bounded in domain χ and t ∈ [0, tend ] is the
activation function. time interval. In the battery system, the system parameters are
The RNN model can be formulated as follows: unknown and time-varying, and therefore system identification
is required at the same time.
(
H(t) = σ (W(X(t), H(t)) + b(t))
(5) Theoretically, neural networks possess the ability of univer-
o(t) = V(t)H(t) + c(t) sal function approximation, making them capable of learning
where H(t) is the hidden layer output with recursive form. any unknown function between inputs and outputs. Therefore,
The LSTM model can be expressed by they can be utilized to learn the nonlinear mapping between
system inputs and the outputs of differential equations. In order
f g (t) = σ ( W f X(t), H(t) + b f (t)



 to solve differential equations through optimization methods,
i(t) = σ ( Wi (X(t), H(t) + bi (t))




 the PDE errors are represented in the following manner:
g = tanh( WC (X(t), H(t) + bC (t))

∂ S OC(t) η
 C(t) 
(6)  ζ (t; S OC) = + I (t)
C(t) = C(t − 1) f g (t) + C(t)i(t) ∂t

 g 
 Q
∂U1 (t)
 
1

 

 H(t) = tanh(C(t))o(t) ϱ(t; S OC) = − I (t) (8)
∂t C1 (t)

o(t) = σ ( Wo (H(t − 1), X(t)) + b(t)

 
η(U L (t) − h(S OC(t)) + I (t)R0 (t))


.

 +
R1 (t)C1 (t)

where f g is the forget gate, which controls whether the
previous information in the memory cell time is accumulated In order to create a convex optimization, the square of the
to the memory cell of the current time; i t is the input gate, error is employed
which controls whether information flows into the memory
cell; Ct denotes memory unit enables LSTM unit to save, eζ (t) = ζ 2 (t; S OC), eϱ (t) = ϱ2 (t; S OC). (9)
read, reset, and update long-distance historical information; ot In order to implement a neural network that follows the phys-
is output gate, which controls whether the information in the ical laws governing dynamic systems, a PINN is formulated
memory cell flows into the current hidden state at the current as f (x(t); 2(t)). The data fitting error is as follows:
time; and W∗ and b∗ represent the weights and bias of the
corresponding gate, respectively. e f (t) = f (x(t); 2(t)) − e
f (x(t); 2(t)) (10)
Generally, the battery signal is a sequential signal that uses a where 2 denotes the parameters of the neural network;
feedback-enabled recurrent neural network (RNN) to improve ef (x(t); 2(t)) is the estimated output.
the performance of state-of-charge estimation, compared to We formulate the loss function for the DENN of the battery
nonRNNs. system
Jmmse (2) = ℓ f + α ℓζ + ℓϱ


III. D IFFERENTIAL E QUATION -I NFORMED N EURAL (11)
N ETWORK FOR SOC E STIMATION where α is the constraint factor. For each of the M differential
A. Differential Equation-Informed Neural Networks states and N algebraic states, the mean squared error generates
The 1-RC model has been widely used to understand a corresponding loss term
and analyze the complex dynamic electrochemical behavior N
1 X i
of battery systems. As the focus of this article is on the ℓf = e ∀i = 1, . . . , N (12)
N i=1 f
introduction of a DENN for battery systems, we will use
this model as a guiding example. Note that we develop a N
1 X i
general framework, which can be extended to a more complex ℓζ = e ∀i = 1, . . . , M (13)
N i=1 ζ
model. In order to incorporate the physical mechanism of
N
batteries into the training of the network model, the error 1 X i
ℓϱ = e ∀i = 1, . . . , M. (14)
of the computational physics model needs to be calculated. N i=1 ϱ
Therefore, the partial differential (1) can be transformed into
 ∂ S OC(t) The DENN incorporates the PDE and boundary condition
η
 = − I (t) errors into the loss function, enabling the neural network to
∂t



 Q learn and obey the fundamental laws of physics during train-
 ∂U (t)

η(U L (t) − h(S OC(t)) + I (t)R0 (t))
1
=− ing. Then, the estimated 2(t) can be solved by minimizing

 ∂t R1 (t)C1 (t) the loss function

 1 N M
I (t). α X i

 + 1 X i 
2
b(t) = arg min eζ + eϱi .

C1 (t) ef + (15)
2 N M i=1
(7) i=1
By taking the gradient of the loss function with respect to
The differential equation associated the system inputs
2(t), we can obtain
{U L (t), I (t), T (t), t} ∈ χ(t) and system parameters
{R1 (t), C1 (t), R0 (t), Q(t)} ∈  with state variables S OC(t). g(t) = ∇2 Jmmse (2). (16)

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 1000315 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 73, 2024

Fig. 2. Architecture of proposed methods.

There are various optimizers commonly used in deep Algorithm 1 Differential Equation-Informed Neural Networks
learning networks, including the adaptive moment estima- for SOC Estimation
tion (Adam) optimizer, stochastic gradient descent (SGD) Initialization Set the initial state S OC(0); initial state
optimizer, adaptive gradient (Adagrad) optimizer, root mean 2\ adam (0); biased first moment estimate m(0); biased second
square prop (RMSProp) optimizer, and batch gradient descent raw moment estimate t (0); set a small positive parameter
(BGD) optimizer. The desired optimizers are straightforward ε; neural network hyperparameters.
to implement and have low memory requirements. Addition-
ally, they are not affected by changes in the scale of the Computation Train the neural network to find the best param-
gradient and their hyperparameters are easy to interpret, with eters 2
bopt using sampled batches:
the learning rate able to be adjusted automatically without While the algorithm is not converged do
significant fine-tuning. The Adam optimizer is widely used in 1: Compute fitting error by Eq. (10)
deep learning due to its fast convergence and ability to com- 2: Compute PED error by Eq. (9)
bine the advantages of both momentum and RMSProp [33]. 3: Construct loss function by Eq. (15)
By utilizing the Adam optimizer, the model parameters can be 4: Compute gradients by Eq. (16)
updated 5: Update biased first-moment estimate by Eq. (20)
6: Update biased second raw moment estimate by Eq. (21)
m
\ adam (t) 7: Compute biased-corrected first-moment estimate by
2
\ adam (t) = 2
\ adam (t − 1) + αadam · p (17)
v[adam (t) + ε Eq. (18)
m adam (t) 8: Compute biased-corrected second raw moment estimate
m
\ adam (t) = (18)
1 − β1t by Eq. (19)
vadam (t) 9: Update network parameters by Eq. (17)
v[adam (t) = (19) Until convergence
1 − β2t
m adam (t) = β1 m adam (t − 1) + (1 − β1 ) · g(t) (20)
vadam (t) = β2 vadam (t − 1) + (1 − β2 ) · g 2 (t). (21) and physical laws are considered during training, the space of
The overall architecture is shown in Fig. 2. From Fig. 2, acceptable solutions for the neural network parameters can be
the architecture of proposed methods combines data-driven constrained. This results in a lower demand for both training
learning with physics-driven learning. While traditional neural data and neural network size. The implementation of proposed
networks are trained solely on data, the proposed methods methods is summarized in Algorithm 1.
leverage both available data and underlying physical laws to
learn the relationship between inputs and outputs. This allows B. DENNs for Solving Inverse Problems
them to make accurate predictions even with limited data. In ECM, certain parameters of the battery system, such
During the training process, the weight matrices of a neu- as the polarization capacitor (C1 ) and diffusion resistance
ral network can be optimized by minimizing the objective (R1 ), are represented by an RC network that characterizes
function (15). This objective function penalizes any deviations the dynamic voltage behavior and mass transport effects.
between the neural network predictions and the training data. Additionally, the ohmic internal resistance (R0 ) reflects the
In the first term of the objective function, the underlying electrical resistance of various battery components and causes
physical model is not considered, and it often requires a large accumulation and dissipation of charge in the electrical double
amount of training data as well as a large neural network layer. The battery’s OCV is replaced by h(S OC(t)), which
size. However, when the second term is taken into account accounts for the OCV under different aging levels and states of

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 DANG et al.: DENNs FOR SOC ESTIMATION 1000315

Fig. 3. Performance comparison of different methods at 0 ◦ C. (a) HWFET condition: SOC estimate. (b) CC-CV condition with the second cycle: SOC
estimate. (c) HWFET condition: MAE of SOC estimate. (d) CC-CV condition with the second cycle: MAE of SOC estimate.

charge. However, due to the time-varying operating conditions K = (k1 , k2 , . . . , kn ) ∈ Zn+ , where n is the number of variables
of the battery system, this information is uncertain and needs in the PDE. We define |K | to be the sum of all components
to be estimated or predicted at regular intervals. in K , and t K = t1k1 , t2k2 , . . . , tnkn as the corresponding variables
PINNs are powerful tools for tackling the challenges of sys- raised to the power of k1 , k2 , . . . , kn , respectively, and
tem identification and data-driven discovery of PDEs. When
it comes to implementation, solving inverse problems with ∂ |K |
DK = (23)
physics-informed neural network is just as straightforward as ∂t1k1 ∂t2k2 , . . . , ∂tnkn
solving forward problems. The only distinction is that we
where Zn+ denotes the set of d-dimensional nonnegative inte-
include additional estimators to address the unknown param-
gers in Rn . If D L ρ1 ∈ C(Rn ) for all L ⩽ K and L ∈ Zn+ ,
eters. The architecture of these networks remains unchanged
we have function ρ1 ∈ C K (Rn ). We set
but with the inclusion of system parameters as a subset of
network parameters during the minimization (15) process in s
1
,...,K s j

\
CK Rn = C K Rn


the neural network training. Therefore, we have (24)
j=1
N M
1 X i α X i 
2
b(t), 
b(t) = arg min ef + eζ + eϱi . (22) and for all |L| ⩽ k
2, N i=1 M i=1
\
C k Rn = C K Rn = ρ1 : D L ρ1 ∈ C Rn




This allows for more accurate modeling of complex systems (25)
|K |=k
and can lead to valuable insights and discoveries.
is a special case.
C. Approximation Theory and Error Analysis for DENNs Theorem 1: Assume φ ∈ C k (R) and φ is not a polynomial,
with K = max{|K i |} : i = 1, 2, . . . , s and K i ∈ Zn+ , i =
The fundamental question concerning DENNs is whether a
1, 2, . . . , s. For any ϵ > 0, ρ1 ∈ C K ,...,K (Rn ) and L ∈ Zn+
1 s

neural network that satisfies the PDE exists. In other words,

can a neural network uniformly approximate a function and its with L ⩽ K i , there exists a function ρ2 ∈ M(φ) satisfying
partial derivatives at the same time? To answer this question, max |D L ρ1 (t) − D L ρ2 (t)| < ϵ. (26)
Lu et al. [34] provide a theory to prove the approximation. Let t∈L

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 1000315 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 73, 2024

Fig. 4. Performance comparison of different methods at 0 ◦ C. (a) CC-CV condition with the third cycle: SOC estimate. (b) CC-CV condition with the fourth
cycle: SOC estimate. (c) CC-CV condition with the third cycle: MAE of SOC estimate. (d) CC-CV condition with the fourth cycle: MAE of SOC estimate.

Then, the space of a single hidden layer perception model TABLE I

M(φ) := span{φ(wt − b) : w ∈ Rn , b ∈ R} is dense in space E XPERIMENT S ETTINGS OF TABLE II
C K ,...,K (Rn ).
1 s

Proof: The detailed proof is in [34].

Theorem 1 demonstrates that neural networks can uniformly
approximate any sufficiently smooth function and its deriva-
tives with enough neurons.

IV. E XPERIMENTS AND A NALYSIS

To validate the effectiveness of the proposed methods pre-
sented in this article, the battery test dataset of McMaster
University’s McMaster Institute for Automotive Research and
Technology is used to perform the model training and test-
ing [35]. This open-source dataset consists of charging and
discharging test experiments conducted on LGHG2 batteries
under various working conditions, providing an accurate rep-
resentation of the diverse operating environments encountered
in electric vehicles. Each battery test data includes measure-
ment signals such as time, current, voltage, temperature, and
capacity, which are essential for the evaluation of the proposed
model’s performance. The standard discharge tests for evalu-
ating battery performance consist of four primary conditions:
the urban dynamometer driving schedule (UDDS), highway a mixture of the four standard dynamic conditions selected at
fuel economy driving schedule (HWFET), LA92 dynamometer random. The charging test condition involves a fast constant
driving schedule (LA92), supplemental federal test procedure current and constant voltage (CC-CV) charging mode. The
driving schedule (US06), and eight test conditions that involve detailed introduction can be found in [35].

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 DANG et al.: DENNs FOR SOC ESTIMATION 1000315

ON
E STIMATION R ESULTS (M EASURE I NDEXES : MAE AND MSE) BASED
MSE L OSS AT D IFFERENT T EMPERATURES AND
O PERATING C ONDITIONS
TABLE II

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 1000315 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 73, 2024

In this experiment, three traditional network models (MLP, TABLE III

RNN, LSTM) are used to compare with the corresponding E XPERIMENT S ETTINGS OF F IGS . 5 AND 6
differential equation-informed versions. In this article, the
number of epochs is set to 100 to ensure convergence and
prevent overfitting while reducing computation. The size of
the hidden layer is set to 32 for all six network models, and the
input sequence length is set to 10 when using RNN or LSTM.
The batch size is set at 256, and the learning rate is 0.0001. The
input data include previously collected information such as
current, voltage, temperature, and time. The time information
in the input is utilized to estimate the gradient of current and
voltage to time, and the estimated gradient is used in the loss
of the proposed DENNs.
The output of the network model is the battery SOC, which
is calculated primarily by integrating the current over time.
The calculation process is as follows: To further demonstrate the performance of proposed meth-
ods, different operating conditions data in training and testing
ηIt
Z t
SOC(t) = SOC(t0 ) + dτ (27) are used in the experiment setting such as Table I. Table II
t0 3600C N presents the MAE and MSE of the SOC estimate of different
where t0 represents the initial time; SOC(t0 ) is the initial SOC methods in different conditions from 30 trials. From Table II,
value generated by a random sampling; SOC(t) is the SOC we can observe that under the HWFET condition at 0 ◦ C
value at current time t; η = 0.999 is the coulomb rate; It is and 10 ◦ C, DE-LSTM can obtain lower MAE and MSE than
the current flowing through the battery at time t; and C N is the DE-RNN and DE-MLP. Under the HWFET condition at -
actual capacity value of each working condition. To evaluate 10 ◦ C and −20 ◦ C, the proposed DE-MLP and DE-RNN
the prediction performance of the proposed network models, can achieve better estimate results than the other methods.
mean absolute error (MAE) and mean square error (MSE) are In the LA92 condition, apart from at 0◦ , the proposed DE-MLP
used to measure indexes performs well; at other temperatures, the proposed DE-RNN
can achieve better performance. In the NN condition, the
N
1 X proposed DE-MLP obtains lower MSE and MAE at −10 ◦ C
MAE = |SOCtrue − SOCestimated |
N n=1 and −20 ◦ C, and the proposed DE-LSTM and DE-RNN
N
provide the best SOC estimate performance MSE at 0 ◦ C
1 X and 10 ◦ C, respectively. In the UDDS condition, the pro-
MSE = (SOCtrue − SOCestimated )2 . (28)
N n=1 posed DE-LSTM behaves best in 0 ◦ C and −20 ◦ C, and the
proposed DE-RNN and DE-MLP behave best in 10 ◦ C and
−20 ◦ C, respectively. In conclusion, all methods with physical
A. SOC Estimation by DENNs constraints show better performance in estimating SOC than
First, to validate the effectiveness of the algorithm, 70% the corresponding methods without physical constraints. To
of the data under the same operating conditions is used as evaluate the statistical significance of differences between
training data, and the remaining data are used as testing data. these methods for each dataset, we conduct a robust statistical
Fig. 3 shows the SOC estimation performance of MLP, RNN, significance analysis using the Wilcoxon signed-rank test [36],
LSTM, DE-MLP, DE-RNN, and DE-LSTM under HWFET where we meticulously record the resulting p-values ( p-val.)
and CC-CV condition with the second cycle at 0◦ . Fig. 4 and incorporate them into Table II. Table II emphasizes
shows the SOC estimation performance of MLP, RNN, LSTM, that the proposed DENNs consistently outperform traditional
DE-MLP, DE-RNN, and DE-LSTM under CC-CV condition models, achieving lower MSE or MAE. Furthermore, DENNs
with the third and fourth cycles at 0◦ . MLP without physical demonstrate competitive performance when compared to other
constraints shows poor performance or abnormal results, and robust models. Notably, when DENNs achieve lower MSE
this may be caused by the limited approximation performance and MAE values, the associated p-values computed using the
in the late stage. LSTM also cannot better perform the SOC Wilcoxon signed-rank test typically fall below the significance
estimate at some time, and the reason for this finding is that threshold of 0.05. This indicates that the observed performance
LSTM has more parameters in the network architecture. How- improvements with DENNs on these datasets hold statistical
ever, RNN and LSTM due to their special network structures significance. We also provide the visualization results in
allow them to use the sequence information of data, resulting Figs. 5 and 6 and the condition is provided in Table III. Here,
in better performance than the MLP. Note that the proposed epochs and learning rate are 50 and 0.0001 in LSTM and
DENNs can achieve better performance than the methods RNN with or without differential equation informed and are
without differential equation informed, which can illustrate 100 and 0.001 in MLP and DE-MLP. In Figs. 5 and 6, the
that the differential equation with physics laws informed neural results show that the proposed methods are greatly effective
network can improve the performance than pure data-driven in grasping and forecasting the dynamics of battery, which
methods. provides performance improvement.

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 DANG et al.: DENNs FOR SOC ESTIMATION 1000315

Fig. 5. Estimation results based on MSE loss at −20 ◦ C. (a) Case 1: SOC estimate. (b) Case 2: SOC estimate. (c) Case 1: MAE of SOC estimate. (d) Case 2:
MAE of SOC estimate.

Fig. 6. Estimation results based on MSE loss. (a) Case 3: SOC estimate. (b) Case 4: SOC estimate. (c) Case 3: MAE of SOC estimate. (d) Case 4: MAE
of SOC
Authorized estimate.
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 1000315 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 73, 2024

ON
E STIMATION R ESULTS (M EASURE I NDEXES : NLL AND MSE) BASED
NLL L OSS AT D IFFERENT T EMPERATURES AND
O PERATING C ONDITIONS
TABLE IV

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 DANG et al.: DENNs FOR SOC ESTIMATION 1000315

In addition, assessing model uncertainty is crucial for TABLE V

providing a more comprehensive evaluation of our proposed E STIMATION R ESULTS (M EASURE I NDEXES : MAE AND MSE) BASED ON
MSE L OSS IN D IFFERENT C ONSTRAINT FACTORS
methods. We include additional experiments where we retrain
the models, including both DENNs and conventional models,
using the negative log-likelihood (NLL) loss [37], [38]. NLL
is a popular metric that allows us to provide a numerical
estimation of model uncertainty. Table IV gives the estimation
results (measure indexes: NLL and MSE) under NLL loss.
We observe that the proposed methods outperform existing
methods in terms of NLL and MSE. By quantifying and
comparing the model uncertainty and performance across
different methods, the results numerically demonstrate that
DENNs offer greater reliability and accuracy.

B. SOC Estimation by DENNs of Different Constraint C. SOC Estimation by DENNs in Different Initial Weights
Factors It is important for assessing how different initial weights
In the process of training, the different coefficients used in affect model performance. To address this concern, we present
the physical constraints loss can impact the convergence speed the changes in model performance (MAE and MSE) with dif-
and accuracy of the estimation. Therefore, we conduct exper- ferent initial weights in Table VI below. To show the influence
iments to investigate the effects of changing the coefficients of initial weights, we vary the variance of normal sampling
of the physical constraints loss. Specifically, we incorporate (using the torch.nn.normal function). This will enable us to
the modified coefficient into the loss calculation formula and quantitatively assess the variability in MAE and MSE metrics
perform tests to observe the results. This approach allows and gain a clearer insight into the sensitivity of the models
us to determine the impact of the physical constraints loss to weight initialization. As can be seen from Table VI, when
on the training process without repeating previous steps. The the variance of normal sampling changes from 0.001 to 0.1,
calculation of the loss function is as follows: the performance (MAE and MSE) of the proposed methods
experiences only a slight decline, and they are still sufficient
loss = lossmodel + α ∗ lossde (29) to achieve better performance than traditional methods.
where lossmodel denotes the data fitting error loss function,
lossde denotes the differential equation error loss function, and D. SOC Estimation by DENNs With Noises
α is the constraint factor that controls the degree to which BMSs operate in dynamic and unpredictable environments,
physical laws affect training. The train datasets are the four where various factors such as fluctuations in temperature,
standard dynamic conditions and the test set is in HWFET sensor failures, and transmission errors can cause inaccuracies
condition with 0 ◦ C degree. in the collected voltage, current, and temperature signals.
We set α = 0 as the baseline neural network without To evaluate the robustness of our DENN methods, we delib-
physical constraints and varied α to control the degree of erately introduced different types of noise into the collected
dependence of the model on the underlying physical laws. data during testing. These noise distributions are designed
We evaluate the performance of the different methods under to simulate measurement errors commonly encountered in
HWFET with 0 ◦ C conditions, and the results are presented in real-world battery management. The addition of noise to
Fig. 7 and Table V. Our findings indicate that as the physics the collected data allows us to test the performance of our
constraint coefficient α increases, the performance of the DE- PINN in estimating SOC under more realistic conditions.
MLP, DE-RNN, and DE-LSTM is improved. However, the By incorporating the physics-based relationships between
improvement in DE-LSTM performance is not as significant the system variables, our approach is able to effectively
as that of the improvement in DE-MLP and DE-RNN per- mitigate the impact of noise on the accuracy of SOC
formances. This could be attributed to the fact that LSTM is estimation.
a more complex model than MLP and RNN, which brings In this experiment, we introduce two types of noise into
difficulty to extending DENNs and affects their performance. the voltage, current, and temperature signals to enhance the
Interestingly, we observe that when α is set to 0.4, 0.6, and model’s noise resistance. Specifically, we add Gaussian dis-
0.8, the DE-MLP with physical constraints outperforms the tribution noise and uniform distribution noise to the signals
DE-RNN and DE-LSTM. These results suggest that finding during the training process. The calculation formulas of noises
an optimal α can significantly improve the accuracy of SOC are as follows:
estimation. PINNs can make a simpler model to achieve Xinput = Xinput + a ∗ noisegaussian (30)
better performance than more complex networks. In summary,
Xinput = Xinput + a ∗ noiseuniform . (31)
our experiments demonstrate that incorporating physical con-
straints into neural network models can enhance their accuracy During our experiment, the Gaussian distribution is generated
in SOC estimation. The optimal α value, however, remains an with a standard deviation of 1 and mean 0, while the uniform
open question that requires further investigation. distribution is generated by ranging from −1 to 1. We utilized

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 1000315 IEEE TRANSACTIONS ON INSTRUMENTATION AND MEASUREMENT, VOL. 73, 2024

Fig. 7. Estimation results based on MSE loss with different constraint factors under HWFET condition and 0 ◦ C. (a) MAE. (b) MSE.

TABLE VI
E STIMATION R ESULTS (M EASURE I NDEXES : MAE AND MSE) BASED ON MSE L OSS IN D IFFERENT I NITIAL W EIGHTS

TABLE VII
E STIMATION R ESULTS (M EASURE I NDEXES : MAE AND MSE) BASED ON MSE L OSS IN D IFFERENT N OISES

the data from experiment A for training, which involves four performance against noise than MLP, RNN, and LSTM. Addi-
standard dynamic conditions at 0 ◦ C. The test set is based tionally, the SOC estimation error of models with physical
on the HWFET condition at a temperature of 0 ◦ C. The constraints is comparatively lower than those without physical
aim of the experiment is to evaluate the performance of constraints in uniform distribution noise. It is worth noting
the proposed methods in handling noisy signals under these that the impact of added Gaussian or uniform noise on RNN
specific conditions. and LSTM is minimal, regardless of whether it has physical
Table VII and Fig. 8 provide the performance comparison constraints or not. Although the estimation error of DE-MLP
of different methods subjected to varying degrees of noise. increases, it still has a lower MAE and MSE than the MLP
In the Gaussian distribution noise, when the noise level is without physical constraints. Interestingly, in Table VII and
low or high, methods with physical constraints show a better Fig. 8, in the Gaussian or uniform distribution noise, the

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 DANG et al.: DENNs FOR SOC ESTIMATION 1000315

Fig. 8. Estimation results based on MSE loss in different noises. (a) MAE in Gaussian distribution noise. (b) MSE in Gaussian distribution noise. (c) MAE
in uniform distribution noise. (d) MSE in uniform distribution noise.

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 DANG et al.: DENNs FOR SOC ESTIMATION 1000315

Meiqin Liu (Senior Member, IEEE) received the Badong Chen (Senior Member, IEEE) received the
B.E. and Ph.D. degrees in control theory and con- Ph.D. degree in computer science and technology
trol engineering from Central South University, from Tsinghua University, Beijing, China, in 2008.
Changsha, China, in 1994 and 1999, respectively. He is currently a Professor with the Institute of
She was a Post-Doctoral Research Fellow with the Artificial Intelligence and Robotics, Xi’an Jiaotong
Huazhong University of Science and Technology, University, Xi’an, China. He has authored or coau-
Wuhan, China, from 1999 to 2001. She was a thored more than 200 articles in various journals
Visiting Scholar with the University of New Orleans, and conference proceedings. His research interests
New Orleans, LA, USA, from 2008 to 2009. She are in signal processing, machine learning, artificial
was a Professor with the College of Electrical intelligence, and robotics.
Engineering, Zhejiang University, Hangzhou, China, Dr. Chen serves as a Technical Committee Member
from 2001 to 2021. She is currently a Professor with the Institute of for IEEE Signal Processing Society (SPS) Machine Learning for Signal
Artificial Intelligence and Robotics, Xi’an Jiaotong University, Xi’an, China. Processing (MLSP). He has served as a PC or an SPC Member for top-
She has authored more than 200 articles in major journals and international ranked conferences, including Uncertainty in Artificial Intelligence (UAI),
conferences. She has led 16 national or provincial or ministerial projects in IJCAI, and AAAI. He has won the 2022 Outstanding Paper Award of
the past five years, including nine projects funded by the National Natural IEEE T RANSACTIONS ON C OGNITIVE AND D EVELOPMENTAL S YSTEMS.
Science Foundation of China (NSFC). Her work was supported by the He has been selected as the General Co-Chair of 2022 IEEE International
Zhejiang Provincial Natural Science Fund for Distinguished Young Scholars Workshop on Machine Learning for Signal Processing. He serves (or has
in 2010 and by the National Science Fund for Excellent Young Scholars of served) as an Associate Editor for several international journals, including
China in 2012. Her current research interests include theory and application of IEEE T RANSACTIONS ON N EURAL N ETWORKS AND L EARNING S YSTEMS,
artificial intelligence, multisensor networks, information fusion, and nonlinear IEEE T RANSACTIONS ON C OGNITIVE AND D EVELOPMENTAL S YSTEMS,
systems. Neural Networks, and The Journal of the Franklin Institute.
Dr. Liu received the Second Prize of the Science and Technology Award of
Zhejiang Province in 2013 and the First Prize of the Natural Science Award
of Chinese Association of Automation in 2019.

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