Applied Energy 251 (2019) 113343

Contents lists available at ScienceDirect

Applied Energy
journal homepage: www.elsevier.com/locate/apenergy

Concept of reliability and safety assessment of lithium-ion batteries in T

electric vehicles: Basics, progress, and challenges
⁎
Foad H. Gandoman , Joris Jaguemont, Shovon Goutam, Rahul Gopalakrishnan, Yousef Firouz,
Theodoros Kalogiannis, Noshin Omar, Joeri Van Mierlo
Research Group MOBI – Mobility, Logistics, and Automotive Technology Research Centre, Electrical Engineering and Energy Technology, Vrije Universiteit Brussel,
Pleinlaan 2, Brussels 1050, Belgium
Flanders Make, 3001 Heverlee, Belgium

H I GH L IG H T S

• Concept of reliability and safety assessment in Li-ion batteries.

• Li-ion battery degradations evaluation.
• Failures role in reliability assessment of Li-ion battery.

A R T I C LE I N FO A B S T R A C T

Keywords: Over the last few decades, lithium-ion (Li-ion) batteries have attracted significant attention due to their high
Li-ion batteries energy density, low maintenance, and the variety of shapes, chemistries and performances available. Meanwhile,
Reliability reliability and safety assessment of Li-ion batteries has become an important issue for original equipment
Safety manufacturers, in particular for future electric vehicles’ performance. Evaluation of reliability and safety plays
Failure analysis
an important role to assess overall Li-ion battery behavior over its lifespan. This paper presents the role, me-
Electric vehicles
chanism and outcome of the different failures for evaluating reliability and safety of Li-ion batteries in electric
vehicles. Additionally, the contribution of Li-ion battery degradation in five main failure modes and capacity and
power fade for providing reliability assessment models as solutions of existing challenges have been investigated.

1. Introduction published articles (2136 articles, according to Scopus, for Li-ion bat-
tery, reliability and safety as keywords). According to the figures, re-
Electric vehicles (EVs) were introduced by original equipment liability and safety have a strong connection with other aspects of Li-ion
manufacturers (OEMs) as an alternative-to-fossil-fuel means of trans- batteries. Without any doubt, a comprehensive study regarding relia-
port to overcome the problem of air pollution [1,2]. Recent EVs rely on bility and safety, mitigation, cause and outcome of Li-ion battery packs
Li-ion batteries as the principal power source. In terms of design, safe is of great importance.
and reliable Li-ion battery packs play an important role in EV system Different studies have been investigating the reliability and safety of
performance [3]. Thus, reliability and safety present significant chal- Li-ion battery packs over the past years. In [5] a strategy is introduced
lenges in Li-ion battery pack performance and, in particular, the life- to improve the reliability of Li-ion battery based on statistical analysis
time of the system [4]. Fig. 1 shows the most important aspects of Li-ion and cluster analysis. In [6] the battery performance and reliability
batteries which have been considered in the last few decades in under various operating conditions has been investigated. In [7] a

Abbreviations: EVs, electric vehicles; Li-ion, lithium-ion; OEMs, original equipment manufacturers; BMSs, battery management systems; C, carbon; LTO, lithium
titanium oxide; NCA, nickel cobalt aluminum oxide; NMC, nickel manganese cobalt oxide; LFP, lithium iron phosphate; LMO, lithium manganese oxide; SEI, solid
electrolyte interface; EC, ethylene carbonate; EMC, ethyl methyl carbonate; EC/DMC, ethylene carbonate/dimethyl carbonate; LiPF6, lithium hexafluorophosphate;
PCM, phase change materials; SoC, state of charge; HPPC, hybrid pulse power characterization test; LAMNE/PE, loss of active material at anode/cathode electrodes;
EIS, electrochemical impedance spectroscopy test; OCV, open circuit voltage; LLI, loss of lithium inventory; FTA, fault tree analysis; FEMA, failure mode and effects
analysis; FMEDA, failure modes effects and diagnostic analysis
⁎
Corresponding author.
E-mail address: [email protected] (F.H. Gandoman).

https://doi.org/10.1016/j.apenergy.2019.113343
Received 5 January 2019; Received in revised form 5 April 2019; Accepted 15 May 2019
0306-2619/ © 2019 Elsevier Ltd. All rights reserved.
F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Fig. 1. (a) Most interesting aspects in terms of Li-ion batteries in the last few decades of published articles (1993–2019), (b) Reliability connections, (c) Safety
connections.

method on the design and analysis of Li-ion battery pack from the re- • The concepts of reliability and safety of Li-ion batteries,
liability perspective is presented. Also, in [8] a universal generating • A comprehensive study on the failure mechanisms of Li-ion batteries
function method is extended to analyze the reliability of primary bat- in regular and abnormal operations,
tery packs. The proposed method is very effective for evaluating re- • The contribution of degradation in failure modes, power, and ca-
liability of primary battery packs. In [9], reliability method for the Li- pacity fade in Li-ion batteries from reliability and safety points of
ion battery pack is studied and also the relationships of multi-physics, view, and
degradation and reliability models in the battery pack are constructed. • The role of reliability and safety concepts in present and future Li-
In [10] unique failure patterns under transverse punch loadings are ion batteries and real applications.
studied for a Li-ion battery from the mechanical point of view. In
[11,12] good reviews regarding Li-ion batteries safety thermal mod- The paper is organized as follows: In Section 2, characteristics of the
eling are proposed. Table 1 shows an overview of the last published main Li-ion batteries in the market for EVs is presented. A compre-
investigations on the safety and reliability of Li-ion battery packs. hensive overview of failures in Li-ion battery packs during regular and
Aspects of reliability and safety, such as the failure mechanism and abnormal operations given in Section 3. Consept of reliability assess-
consequences, can be inspiring for researchers in this field. This paper ment for Li-ion batteries considering cause, outcome and real applica-
aims to review and discuss the current status and future progress on the tions is presented in Section 4. A future perspective on the reliability
reliability of Li-ion batteries. The main focuses of this paper are sum- and safety of Li-ion batteries is presented in Section 5. Finally, the
marized as below: conclusions are drawn in Section 6.

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 F.H. Gandoman, et al.

Table 1
Overview of investigations on safety and reliability of Li-ion batteries.
Ref. Reliability Safety Covered aspects Methodology Conclusion

[13] √ The internal short circuit. Mechanical indentation methods The result will be useful for manufacturing safe design, monitoring, and
utilization with the beneficial outcome to Li-ion batteries.
[14] √ Thermal runaway modle to optimize safety designs of cells. kinetics analysis of cell components The proposed model can be applied to determine the battery safety
performance based on kinetics analysis of cell components, without
producing test batches of batteries.
[7] √ Design and analysis of Li-ion batteries. Universal generating function method Adding new battery cells to a battery pack in the production process can
improve its reliability, but this increases the cost and trade-off between the
number of the redundant battery.
[15] √ Internal short-circuit Li-ion batteries. A new method to protect the Li-ion battery from The temperature increases with the rise of battery resistance and enhances
short internal circuit thermal runaway risk in Li-ion batteries.
[9] √ Proposed a reliable method considering the effect of the cell Multi-physics coupling model Redundancy design is improving the reliability of Li-ion battery packs.
arrangement and cooling conditions for a Li-ion battery pack. Also, parallel redundancy is better to serial redundancy to enhance
reliability under the same conditions.
[8] √ Reliability of primary battery packs. Universal generating function method The result shows estimated reliability of primary battery packs by the

3
traditional reliability method is very effective during the lifespan of Li-ion
battery packs.
[16] √ Thermal safety issues, thermal behavior, runaway modeling and tests Thermal behavior and thermal runaway models Modeling of Li-ion battery thermal runaway is invariably complex.
for battery cells, and safety management strategies.
[17] √ Thermal risk of commercial electrolytes and the development of safer – Thermal stability of the electrolyte plays a significant role in the safety of
electrolytes. the Li-ion battery. Also, designing a safer electrolyte is the ultimate means
to improve battery safety.
[18] √ SoC and SoH estimations. Kalman filter The proposed method behaves at different time horizons, temperatures,
and aging levels. Also, the estimated results justify the effectiveness of
battery modeling.
[19] √ Li-ion battery failures, the challenges to Li-ion battery qualification, New assessment method and control technique To understand the full potential of Li-ion batteries in future applications,
reliability assessment, and safety. all failure mechanisms must be identified, and battery management
systems (BMSs) should be designed to account based on these failures.
[20] √ SoC estimation and output voltage tracking for safety protection. Real-time estimation method The result shows, the BMS that realizes feedback of estimated results can
improve the safety of the Li-ion battery pack.
Proposed paper √ √ Propose and categorize chemical, electrical, thermal and mechanical Categorize the reliability methods regarding Investigation of the contribution’s rate of each failure in the degradation
degradation, study connection of degradation with reliability and safety and safety tests according to existing modes and power and capacity fade. Also, discuss the concept of reliability
of Li-ion battery packs, investigate contribution of failures in five main standardization. and safety for Li-ion battery packs and discuss challenges in the cases.
degradation modes. Discuss outlook of Li-ion battery reliability and
safety challenges.
Applied Energy 251 (2019) 113343
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2. Li-ion batteries benefit of an LTO/LMO battery cell.

The Li-ion battery family has been used as energy sources in EVs due 3. Failures in Li-ion batteries pack
to different reasons: (i) high energy density, (ii) less self-discharge, (iii)
low maintenance, and (iv) the variety of shapes, chemistries, and per- 3.1. Regular operation
formances available. Different kinds of Li-ion chemistries have been
used, such as lithium titanium oxide (LTO), nickel cobalt aluminum A large number of physical and chemical processes contribute to Li-
oxide (NCA), nickel manganese cobalt oxide (NMC), lithium iron ion battery degradation. The sources of most degradation in the regular
phosphate (LFP), etc. [10]. Table 2 shows the characteristics and per- operation of Li-ion batteries are of chemical and thermal origins in Li-
formance of different Li-ion batteries which have been used in the ion battery cells. Chemical failure mechanisms include electrolyte de-
market for EVs. The yellow highlighting shows the best performance of composition and reduction, binder decomposition, SEI formation, sol-
the Li-ion battery in each item. vent co-intercalation, active material dissolution, loss of lithium, and
According to Table 2: gas evolution [24,25]. These mechanisms depend on many factors such
as battery chemistry, fabrication of battery component, applications,
• carbon/nickel manganese cobalt oxide (C/NMC) has good overall usage history and so on, factors that are going to be explained in detail
performance and excels on specific energy. This battery is the pre- in the following chapters. A thermal failure such as thermal runaway
ferred candidate for EVs due to the high nominal voltage and sui- often results in the chemical failure described above. Apart from that,
table charging C-rate. other factors which contribute to a thermal runaway for Li-ion battery
• The benefits of carbon/lithium iron phosphate (C/LFP) are high packs are poor design and integration, poor safety monitoring, poor
current rating and long cycle life, good thermal stability, enhanced manufacturing and poor handling (packing conditions) [9,26]. Fig. 2
safety, and tolerance. C/LFP has good overall performance, such as shows the classification of regular operation failure mechanisms in Li-
C/NMC does [21]. However, regarding specific energy, the perfor- ion battery cells.
mance of a C/LFP battery cell is not good. This battery is the pre-
ferred candidate for heavy-duty vehicles as well. 3.1.1. Anode failures
• The carbon/nickel manganese cobalt oxide (C/NCA) battery cell 3.1.1.1. SEI growth. A passivation layer called the solid electrolyte
shares similarities with C/NMC by offering high specific energy, interface (SEI) is formed on electrode surfaces from decomposition
reasonably good specific power, and a long lifespan. High energy products of electrolytes. The SEI allows Li+ transport and blocks
and power densities and good lifespan make C/NCA a possible electrons in order to prevent further electrolyte decomposition and
candidate for EVs. However, high cost and marginal safety are ne- ensure continued electrochemical reactions [27]. Typically, SEI growth
gatives points of this cell battery. results from irreversible electrochemical decomposition of the
• The cycle life of lithium titanium oxide/lithium manganese oxide electrolyte. In the case of Li-ion batteries, SEI is formed at the
(LTO/LMO) is higher than that of the regular Li-ion battery. negative electrode because typical electrolytes are not stable at the
Moreover, an LTO/LMO battery cell is safe with excellent low operating potential of this electrode during charging [28]. The reason
temperature (−30 °C, −22 °F) discharge characteristics. In this type that Li-ion batteries can operate is that the SEI does not conduct
of battery cell, the SEI film growth and no lithium plating in fast electrons and is almost impenetrable to electrolyte molecules. Much
charging and charging at low-temperature conditions are less than research has investigated the anode and electrolyte contribution to the
in the others. Thermal stability under high temperature is the other growth of SEI [29–30]. Once an initial SEI layer has formed, the

Table 2
Characteristics and performance of the main Li-ion batteries in EVs [22,23].

Lithium-ion battery C/NMC C/LFP C/NCA LTO/LMO

Voltage (nominal) 3.60 V (3.70 V) 3.20 V, 3.30 V 3.60 V 2.40 V

Specific energy 150–220 Wh/kg 90–120 Wh/kg 200–260 Wh/kg 50–80 Wh/kg
Charge (C-rate) 0.7–1 C (4.20 V to 4.30 V), typical charge 1 C typical (3.65 V), typical charge 0.7 C, (4.20 V), typical charge 1 C (2.85 V)
time is 3 h time (3 h) time (3 h)
Discharge (C-rate) 1 C; 2 C (2.50 V) 1 C (2.50 V) 1 C (3 V) 10 C, (1.80 V)
Cycle life 1000–2000 1000–2000 500 2000–25,000
Thermal runaway 210 °C (410 °F) typical 270 °C (518 °F) 150 °C (302 °F) One of the safest Li-ion batteries
Cost ∼$420 per kWh ∼$580 per kWh ∼$350 per kWh ∼$1005 per kWh

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F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Fig. 2. Regular operation failure classification in Li-ion battery cells.

inability of electrolyte molecules to travel through the SEI layer to the extraction of lithium ions (less than 10%) in the anode side [21] may
active material surface, where they can react with lithium ions and lead to mechanical stresses and result in cracking of any anode material
electrons, suppresses further undesired degradation. Thus, growing this such as graphite (anode side). Additionally, graphite particle cracking
layer increases the impedance of the battery which causes internal and graphite exfoliation caused by co-intercalation of solvents,
battery loss and reduces battery lifespan [31]. electrolyte reduction within graphite, and gas evolution within
graphite can contribute to the accelerated electrode degradation [22].
3.1.1.2. Lithium plating. Lithium plating is one of the degradation Thus, change of the active material is another failure that affects Li-ion
mechanisms in Li-ion batteries which decline the lifespan of a Li-ion battery lifespan.
battery. When the charging current is very high, the transport rate of
Li+ to the negative graphite electrode exceeds and these phenomena 3.1.1.4. Anode loss of contact. Loss of contact in the anode active
intercalating the rate of the Li+ into the graphite. Under this condition, material of Li-ion cells such as between graphite particles, graphite
Li+ may deposit as inactive metallic Li, which can degrade the battery’s and the current collector or between graphite and binder or between
life [32]. In addition, the active lithium plating leads to capacity loss, the current collector and binder cause higher cell impedance (loss of
tearing of separator, subsequent short circuit, and instant battery failure contact disrupts the path of the electron) [34]. Moreover, the
[33]. Fig. 3 shows lithium plating formation during the lifetime of a C/ contactless anode active material allows electrolyte to penetrate the
NMC Li-ion battery. bulk of the electrode and changes porosity features. Thus, the
penetration of electrolyte to the anode contributes to the internal cell
3.1.1.3. Changes of the active material. Generally, insertion and pressure, which causes of degradation during the lifetime of the Li-ion

Fig. 3. Lithium plating on graphite (MOBI Research group).

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F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

battery cell [35].

3.1.1.5. Electrolyte decomposition. Thermal impact is a factor which

influences the decomposition of the electrolyte and common solvents
such as ethylene carbonate (EC) and ethyl methyl carbonate (EMC) or
various mixtures of both. In [36], both reduced onset temperatures and
increased heat release with increased concentrations of LiPF6 have
been investigated. The electrolyte solvent evaluation is based on
various physical and combustion parameters. Generally, the linear
solvents had a poorer performance against high temperature than
cyclic solvents had [37,38].

3.1.1.6. Formation of lithium grains. Formation of lithium grains is one

of the common undesirable reactions in the anode side of a Li-ion
battery at low temperature which influence the aging of the battery. Fig. 5. Active material isolation failure in the cathode side of a Li-ion cell.
However, due to the electrolyte, the additive cannot supply enough Li+
cations to the electrode (anode) surface, and that may cause formation in the active materials and probably fragmentation
electrostatic failure in Li-ion cells [39,40]. (mechanical degradation), (ii) breaking of the binder
(decomposition), and (iii) deterioration adhesion of aggregate-binder
3.1.1.7. Intercalation gradients (with cycling). By fast charging Li-ion property. Fig. 5 shows active material isolation failure in the cathode
cells at low temperature, a mechanical strain is induced on the graphite side of a Li-ion cell battery.
(anode) due to the steep gradient of lithium ions. Crack formation,
fissures, and splits in the graphite particles are the outcome of the 3.1.2.4. Oxidation of electrolyte. Oxidation means loss of electron of an
mechanical strain which is caused by the movement of the lithium ions atom. Electrolyte oxidation on the surface of cathodes is a typical
between anode and cathode [26,41,42]. problem for Li-ion batteries under normal operating conditions,
especially in the high-temperature application of the battery [47].
3.1.2. Cathode failures According to recent investigation, the oxidation of electrolyte on the
3.1.2.1. Structural changes and mechanical stress. Similar to the anode, surface of the cathode is an important degradation mechanism in Li-ion
different phenomena may cause failure mechanisms to take place in the batteries [48].
cathode side of the Li-ion battery cell. Mechanical stress influences
cathode more than anode [25]. Thus, during the delithiation process, 3.1.3. Separator failures
crystal lattice distortion as well as changing the phase of some cathode The principle reason regarding separator failure is the lithium
oxides can contribute in mechanical stress in Li-ion batteries [43]. dendrite growth which is caused by separator pores [49], attack
through the electrolyte, the blocking of passageways in the separator
3.1.2.2. Active material dissolution. Cathode dissolution may occur due over cycling (shutdown separators), and structural degradation arising
to several simultaneous physiochemical processes [31,44]. Manganese from high temperature (often the range of 130 to 150 °C) or high cycle
dissolution into the electrolyte has a consequence on the Li-ion cell number. Moreover, the deposit distribution on the separator is re-
aging. Fig. 4 shows the dissolution of lithium manganese spinel in the markably uneven and displays a patchy pattern [50,51].
cathode side of a Li-ion battery cell.
The outcome of the negative behavior in the Li-ion battery based on 3.1.4. Current collector failures
manganese dissolution is increasing losses in capacity in the cathode The environmental conditions influences the materials performance
side and the internal impedance. The effect of such dissolution is of the current collectors of the Li-ion battery: copper (anode side) to
[45,46]: environmentally assisted cracking and aluminum (cathode side) for
pitting corrosion. [52,53]. Alternatively, the corrosion of the aluminum
• The dissolved manganese ions will migrate to the anode and be current collector in Li-ion batteries is one of the possible factors that
deposited into the electrode surface and compound in the SEI layer, affect the long-term performance of Li-ion batteries. The anodic prop-
and finally it will raise the internal impedance. erties of aluminum depend greatly upon the electrolyte solution, the
• The process of electrolyte decomposition leads to charge loss in the composition, and the electrode metallurgy [54,55]. The corrosion of
lithiated carbon-based anode. aluminum in the anode side of a Li-ion battery causes many problems,
such as (i) corrosion in the cathode active material and (ii) increase of
3.1.2.3. Active material isolation. There are three disadvantages cell impedance and self-discharge rate by insoluble corrosion products
regarding active material isolation in the cathode side [24]: (i) crack [56]. Regarding aluminum pitting corrosion, the factors below influ-
ence the process of corrosion in Li-ion batteries:

• Electrolyte solvent: Ethylene carbonate/dimethyl carbonate (EC/

DMC) electrolyte as compared to the other electrolytes (such as
propylene carbonate/diethyl carbonate) solvent during several
hundred cycles influence the aluminum corrosion [57]. The elec-
trolyte of pitting (due to corrosion) resistance is considered an in-
dicator of aluminum failure [58].
• Anodic potential (potential window): Increasing charge potential
condition reduces the resistance against aluminum corrosion in a Li-
ion battery. The higher anodic potential of cathode active material
leads for advancing corrosion process [57].
•
Fig. 4. Dissolution of lithium manganese spinel in the cathode side of a Li-ion
battery cell.
Electrolyte salt: Using lithium hexafluorophosphate (LiPF6) as the

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electrolyte is common in Li-ion cells. However, using LiPF6 as and voltage of the battery during overcharge, which affect the lifetime
electrolyte increases procedure of corrosion in aluminum [59]. and fade capacity (some available lithium is consumed during the re-
actions) [67]. Also, a greater amount of heat will occur at the anode,
Different reasons play important roles regarding the corrosion in the and the generated heat will help these reactions and bring out more side
copper (anode side). The potential window of copper as a current col- reactions (e.g. decomposition of SEI). If the cell cannot release the
lector is around 1 V. If the voltage in the anode side exceeds that point, produced heat to the environment, it will undergo thermal runaway
copper will be oxidized and dissolved within the electrolyte. During the [68].
recharging process, the dissolved copper contributes to plating in anode
side. The plating via oxidized copper causes capacity fade and also 3.2.4. Over-discharge
contributes to catastrophic failure, making an internal short circuit in The scenario in over-discharge is similar to that of overcharge re-
the Li-ion battery [60,61]. Moreover, in the over-discharging condition, garding Li-ion cell failure. However, over-discharge may not cause
the plating via corrosion of copper can help the battery thermal run- thermal runaway, like overcharge does directly, but if the cell is dis-
away due to losing the capability of lithium uptake charging rates charged to zero voltage, the cell will undertake an electrochemically
(normal) [62]. irreversible solid-state amorphization process (structure may be totally
destroyed) [69]. Additionally, anodic dissolution of the current col-
3.2. Abnormal operation lector causes oxidization of the copper. Thus, a potential internal short
due to the dissolved copper may migrate through and penetrate the
The sources of most degradation in abnormal operation of Li-ion separator [70].
batteries are mechanical and electrical aspects in the Li-ion battery cell.
The most important mechanical cause of degradation in a Li-ion battery 3.2.5. Internal and external short circuit
is an event of crush. Also, the internal mechanical degradation causes Short-circuiting conditions of the Li-ion battery pack can happen
are cyclic mechanical stress and rupture of the cell casing. Moreover, internally or externally [43,71]. Regarding the internal short circuit,
the overcharge, over-discharge, overvoltage, internal and external short when an internal short circuit happens in the Li-ion cell, the inside
circuit, and thermal aspects are important electrical factors causing temperature is increased, and it facilitates the decomposition of the
failures in Li-ion battery cells. lithium salt [64]. According to this chemical reaction, crack is gener-
ated on the surface of graphite. Internal short circuiting happens in four
3.2.1. Crush main conditions [72]: (i) short occurs between the two current collec-
One of the mechanical failures in electric cars is battery crush tors, (ii) short occurs between copper current collector and cathode
caused by crash of the vehicle. Many factors influence the severity of active material, (iii) short occurs between aluminum and anode mate-
damage to the battery pack caused by crushes. Fig. 6 shows the most rial, and (iv) short occurs between active material at cathode and
important issues which may happen after a crush in a battery pack from anode. Some techniques have been investigated to measure and analyse
the reliability and safety point of views [63,64]. internal short circuits of Li-ion batteries. In [73], a method to estimate
the internal resistance of short circuits for Li-ion batteries is introduced.
3.2.2. Rupture In [15,74,75], two models based on fault diagnosis approach and
Rupture of the cell internal casing occurs over the lifetime of a Li- multilayer electro-thermal coupling model of the external short circuit
ion battery, caused by the accumulated release of small amounts of gas. to investigated fault characteristics are proposed for Li-ion batteries.
This failure is due to the slow deterioration of the electrolyte over time, Increasing the internal resistance due to chemical hazard reaction (such
which can result in swelling of the cell and eventually rupture of the as plating or SEI growth) during the lifetime of a Li-ion battery might be
cell casing [65,66]. causes of internal short circuit. Fig. 7 shows increasing internal re-
sistance (%) over the lifetime of an NMC 20 Ah battery.
3.2.3. Overcharge Regarding the measurement techniques to estimate the battery cells
During overcharge, extra/unwanted Li+ moves from the cathode or packs under short-circuit conditions, the monitoring can be done by
side to the anode side of the Li-ion battery cell. This extra/unwanted recording and setting boundary conditions in the BMS or some mon-
reaction changes the atomic structure of the cathode side. Besides, itoring system for three things: (i) sudden changes in voltage profile,
during normal discharging, plating production is inevitable. Those like decrease in voltage immediately during discharge, etc. (ii) shorting-
chemical reactions are the result of the increasing rate of temperature current observation, which can be small or big based on the resistance

Fig. 6. The process of failures in the battery pack caused by vehicle crash.

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Fig. 7. Internal resistance behavior of a Li-ion cell (NMC) during charge and discharge (MOBI Research group).

provided by the shorting, and (iii) temperature rise on the surface of the 4. Reliability assessment of Li-ion battery pack: cause and
batteries may be at certain points or the whole surface. Moreover, ac- outcome
cording to (SAE) J2464 abuse test standards, internal short circuits are
simulated by nail penetration tests, and external short circuits are 4.1. Investigation of Li-ion battery pack failures for reliability and safety
measured using a shunt resistance between anode and cathode [76,77]. assessment

3.2.6. Thermal aspects Studying the characterization of the Li-ion battery failure analysis
Li-ion battery packs need to work in an optimal temperature range tests helps to investigate the concept of reliability and safety issues
in order to operate efficiently and maximize the lifespan [78,79]. If the [5,8,86–88]. Failures have been identified as the main factors in re-
temperature is too high, this can cause loss of capacity, power failure, ducing lifespan in Li-ion batteries. Thus, introducing the failure models
and thermal runaway. On the other hand, if the temperature is too cold, and lifetime characterization tests are important in the reliability as-
this results in high resistance, lower efficiency, and decrease of the sessment.
available capacity. Low temperature can also increase lithium plating,
which is the of the failure case in Li-ion battery cells Thermal man- • Li-ion cell failure models [89,90]: When degradation occurs, some
agement aims to find a balance between performance and degradation direct or indirect variables represent different behaviors from the
and also ensure safe operation [80,81]. Thus, a battery thermal man- ordinary case in the Li-ion battery pack. Degradation diagnosis is a
agement system plays an important role in safety and reliability of critical topic which has been applied in chemical, electrical, me-
battery packs to keep the system in safe performance. Fig. 8 shows the chanical, and thermal engineering fields. The main processes for
simulation and real heat application of a Li-ion battery cell [82] and fault diagnosis consist of fault feature extraction, fault isolation, and
pack [81] without thermal management system. estimation. According to the principle of fault diagnosis methods,
There are several ways to manage thermal conditions in Li-ion they can be classified as: (i) analytical model-based methods, (ii)
battery cells. In general, the use of a cooling system and control of the signal processing based methods, and (iii) knowledge-based
function of cells by the battery thermal management system are used to methods. Fig. 10 shows a classification of types of degradation di-
control the heat in an EV battery cell. Type of weather (hot and cold) is agnosis technologies for Li-ion battery cells.
another issue regarding thermal management strategies which needs • Li-ion cell characterization: There are some tests to determine the
taking into account. Thus, in hot weather the thermal management performance of Li-ion battery cells. The proposed tests are as below
system acts as a cooling system, but in cold weather the system should [90,91]:
act as a heater in order to keep the battery cells in the safe operating • Preconditioning test: The aim of the preconditioning test is to
temperature (20–35 °C). remove any possible passivation between the manufacturing time
The main factors which contribute to the thermal runaway for Li-ion and the initial tests and stabilize the battery capacity.
battery pack are poor design and integration, poor safety monitoring, • Relaxation test: The relaxation test is the desired measurement
poor manufacturing and poor handling (packing conditions) [16,83]. which needs to be applied between the load current’s switch off
The high and low temperature effect on crossing degradation in Li-ion and thermodynamic stability. The open-circuit voltage (OCV)
battery cell. Fig. 9 illustrates the outcome of using the Li-ion battery in condition is investigated after full charge and discharge (different
the high and low temperature [84,85]. According to Fig. 9, most factors rate of SoC) conditions in the relaxation test.
which cause degradation based on the temperature of the Li-ion battery • Capacity test: The capacity test of a Li-ion battery is applied ac-
happen in the hot and cold temperatures. The common degradation in cording to the rate of temperature (25 °C, 35 °C and so on) and
hot temperature (T > 35 °C) are electrolyte decomposition from the loaded current (different rate of C-rate).
Anode side and oxidation of electrolyte and electrode decomposition • Open-circuit voltage (OCV) versus state of charge (SoC) test: The
from the Cathode side. Also, in the low temperature (T < 15 °C) the operating condition (such as SoC and temperature) of a Li-ion
common degradation happening in Andoe side. The most important battery affects OCV. The objective of this test is studying the
degradations based on the low-temperature effect on the Li-ion battery characterization of the battery in different rates of temperature
are the formation of Lithium grains, intercalation gradients (with cy- regarding OCV vs. SoC for charging and discharging situations.
cling) and Lithium plating. According to SoC data, the (state of health) SoH of the cell can be

8
F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Fig. 8. Heat transfer in a battery cell: (a)

heat transfer scheme in a battery cell, (b)
simulation and camera measurement at the
end of normal discharge case, (c) simulation
and camera measurement at the end of dis-
charge/t = 667 s, (d) 3D representation of
internal temperature distribution in case (c)
[82], (d) heat transfer scheme in a battery
pack at a full load condition [81].

calculated easily [92]. cell to a certain way, either with capacity or power loss [97].
• Hybrid pulse power characterization test (HPPC): The HPPC test In more detail, the LLI outcome is a direct cause of the solid elec-
plays an important role to define the power capability, dynamic trolyte interphase (SEI) layer formation and its gradual thickening on
behavior and rate of internal impedance of a Li-ion battery. the graphite anode. Together with side reactions such as current col-
• Electrochemical impedance spectroscopy test (EIS): In the EIS test, lector corrosion and lithium plating, it downgrades the total capacity
a small sinusoidal current or voltage is applied to measure the and coulombic efficiency of the battery cell over the cycling lifetime
amplitude and phase shift of current or voltage through de- [98]. Several studies conclude that LAM can contribute to the capacity
termining small signals of internal impedance of Li-ion cells. fade of the battery cell as well, however in a smaller degree [99,100].
All perspectives that contribute to LLI and LAM are elevated for con-
A summary of mitigation causes and outcomes of main degradation ditions outside the safe operating area of the battery cell.
(to mechanical, thermal, electrical and chemical issues) in Li-ion bat- On the other hand, in certain cases mechanisms that are associated
tery cells (graphite anode material) is illustrated in Table 3. with the capacity fade can also provoke outcomes that generate power
Failure modes that are likely to occur and eventually lead to capa- loss. The authors in [101] observed that continuous growth of the SEI
city or power loss during cycling or calendar lifetime are influenced by layer further absorbs Li ions, solvents, salts and leads to gradual contact
the operating conditions such as temperature, current rate, SoC and loss to the composite anode and to further increase of the cell’s inter-
SoH [93]. Many studies are conducted to investigate the degradation facial resistance. In addition to the progressive decomposition of the
mechanisms [60,94–96] for different cell chemistries and shapes, with electrolyte over cycling life and its conductivity decrease, SEI is found
either in-situ electrochemical measurements or ex-situ destructive as the main contributor for the power fade [102].
electrochemical and physical post-mortem analysis. The evaluation of In the microscale, mechanical degradation on the electrodes re-
degradation modes focuses on the physical-chemical changes in the garding material micro-cracking and structural disordering or loss in
individual cell’s components and their interfacial processes. Hence in contact between active material and current collectors are evaluated in
this work, Table 2 summarizes the main outcomes that result in failure, the study [52]. The authors observe the evolution of the phase structure
for reliability and safety investigation of the Li-ion cells, over the main and morphology to evaluate the mechanical stresses that deteriorate the
causes and their perspectives. performance of the battery cell. The SEM and XRD analysis odf the
The loss of lithium inventory (LLI) is the main cause of degradation dissolution of the active material is performed in several types of re-
in electrothermal and chemical processes, whereas the loss of active search. For instance, in [103] the dissolution of transition metal ions
material at anode/cathode electrodes (LAMNE/PE) is observed in all into the electrolyte is seen as pores on the surface of anode material, as
four. Even though the degradation modes occur more or less in all well as small particles detected on the surface of the anode, translated
cases, it is observed that, depending on the operating conditions (e.g. as a possible result of the decomposition of the electrode.
high/low temperature or current rates), one aging mode or a few can Furthermore, the separator has an important role in the safety and
dominate the overall degradation of Li-ion battery cells and degrade the reliability of Li-ion cells. Various separators with different properties

9
F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Fig. 9. Outcome of using Li-ion battery in the high and low temperature.

concerning the thermal stability, ionic conductivity and mechanical and conductivity loss are also observed but for the extreme conditions
stability are employed presently in Li-ion batteries. The separator has a of overcurrent, overvoltage, high SoC and elevated temperatures, as
direct impact on preventing internal short circuit and thermal runaway well as over/under charge conditions, which are further explained
of the cells [50], whereas its degradation is associated to the power fade earlier in Section 3. Finally, in a battery module or pack level, me-
with the increase of the cell’s resistivity, and it is considered to highly chanical stress is enhanced from loss of electric contacts over the life-
influence the cycle life and the formation of dendrite lithium on the time among the cells and the rest of the equipment, which could lead to
anode electrode of a battery cell [104]. LAM in the electrodes of the cell.
As for electrothermal perspectives, the different modes of LLI, LAM, The degradation modes and their contribution to the overall

10
F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Fig. 10. Typical classification of degradation diagnosis technology for Li-ion cells.

reliability of the battery cell are summarized in Fig. 11(a). It is observed issues which will be very useful in Li-ion battery pack (software and
that the LAM in the graphite anode is responsible for approximately one hardware) design in real applications, especially in EVs.
third of the total capacity and power fade in Li-ion cells, whereas to-
gether with LLI and positive electrode LAM, a total 70% of fade occurs. 5. Outlook of reliability and safety for Li-ion batteries
Conductivity decrease, on the other hand, contributes with around 20%
to the power fade over the cell’s lifetime. Moreover, the various causes Undoubtedly, relative performance requirements of Li-ion batteries
that cause degradation of the battery cells are summarized in Fig. 11(b) that have been considered in recent years are related to reliability and
with the degree of their influence on each outcome. Mechanisms that safety issues. Li-ion battery pack hardware and software performance
generate certain outcomes can also contribute to others with a different are two important dimensions that should be considered [108,109].
value. The important challenges regarding the concept of reliability and safety
for Li-ion battery packs that need to be taken into account are:

4.2. Imp; implementation in real applications

• Standardization aspects: As shown in Table 4 [110] (more informa-
tion [111]), the types of failure tests are very similar in most of the
The proposed research gives a comprehensive overview regarding standards. The advantage is that the main usual safety risks of a Li-
failures in Li-ion battery packs in the three important levels: I: failures. ion battery are examined by all standards, Therefore, they are pro-
II: mechanism of failures, and III: failure modes and outcomes which viding a protection to the user. Also, the Li-ion standards may have
will be for a battery pack’s functional safety in real applications such as some limitation in terms of application and products. In other
light and heavy-duty vehicles. According to ISO: 26262-4∼7, most words, some specific application issues may escape a general stan-
projects [105,106] currently focus on fault tree analysis (FTA), failure dard, possibly allowing the unexpected stress of the Li-ion battery or
modes and effects analysis (FEMA) and failure modes, effects, and di- large changes in product designs between different product manu-
agnostic analysis (FMEDA) tools [107] in order to assess safety and facturers. This makes it impossible to test all the issues of product
reliability of Li-ion battery packs in EVs. safety in a single standard.
The main step to analyse the safety and reliability through the
mentioned tools is to introduce the functional safety definition and
• Failure modeling aspects: Failure tests and characterization of the Li-
ion battery in the test process play important roles to introduce
functional modes in different battery pack components which need Li- flexible failure models from the electrical, thermal, chemical and
ion battery performance over their lifespan by focusing on unexpected mechanical points of view [112,113]. The most common experi-
behavior of the system. Fig. 12 shows the overview of the functional mental tests to assess specific risk from electrical, mechanical and
safety development process and the contribution of the proposed re- environmental conditions are identified in Table 5 [11,111,113].
search in the real technical producers of the safety and reliability as- The official tests for chemical, electrical, mechanical and environ-
sessment of Li-ion battery packs for EVs. mental situations are appropriate for identifying and quantifying the
In the other words, Section 2 of the paper illustrates the most im- consequence and the probability of failures in Li-ion batteries with
portant degradations which play an important role in the safety goals typical analyses. They include off-gassing, burning characteristics,
(requirement analyses) and FTA, FEMA, and FMEDA safety tools (hard smoke particulates, and environmental run-off from fire suppression
and software design) procedure in real applications. Moreover, Section efforts. Moreover, for studying degradation cases of Li-ion battery
3 investigates the connection between the failures, failures modes and cells, some tests such as the puncture test have been identified as
power and capacity. This section (Table 3 and Fig. 11) gives a good very ineffective with limited technical merit.
vision of the contribution’s main failures in the reliability and safety

11
F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Table 3
Summary of degradation and failure modes in Li-ion battery cells and their connection between the operation and the aging modes.
Chemical perspective

Causes Outcome

Loss of electrolyte Loss of electrode Loss of lithium Loss of active anode Loss of active cathode
conductivity conductivity inventory - LLI material - LAMNE material - LAMPE

Current collector corrosion √ √ √ √

Active material dissolution √ √
Separator melting √ √ √
SEI growth √ √ √
Lithium plating √ √

Thermal perspective

Causes Outcome

Loss of electrolyte Loss of electrode Loss of lithium Loss of active anode Loss of active cathode
conductivity conductivity inventory - LLI material - LAMNE material- LAMPE

SEI growth (high temperature( √ √ √

SEI decomposition (high temperature( √ √ √
Electrolyte decomposition (high √ √ √ √
temperature(
Binder decomposition (high √ √
temperature(
Lithium plating (low temperature) √ √
Formation of lithium grains (low √ √ √
temperature)

Electrical perspective

Causes Outcome

Loss of electrolyte Loss of electrode Loss of lithium Loss of active anode Loss of active cathode
conductivity conductivity inventory - LLI material - LAMNE material - LAMPE

SEI decomposition (high voltage/SoC) √ √ √

Electrolyte decomposition (high √ √ √ √
voltage/SoC (
SEI growth (high voltage/SoC ( √ √ √
Binder decomposition (high voltage/ √ √ √
SoC (
Graphite exfoliation (high voltage/SoC ( √
Lithium plating (high voltage/SoC ( √ √
Loss of electric contact (high voltage/ √ √
SoC (
Current collector corrosion (high √ √ √ √
voltage/SoC (
SEI growth (overload) √ √ √
SEI decomposition (overload) √ √ √
Graphite exfoliation (overload ( √
Loss of electric contact (overload) √ √
Electrode particle cracking (overload) √ √ √

Mechanical perspective

Outcome

Causes Loss of electrolyte Loss of electrode Loss of lithium Loss of active anode Loss of active cathode
conductivity conductivity inventory - LLI material - LAMNE material - LAMPE

Loss of electric contact (mechanical √ √ √

stress)
Electrode particle cracking (mechanical √ √ √
stress)

• Software aspects: There is a strong connection between reliability 6. Conclusion

assessment and software system performance in battery packs.
Software and information systems have been updated to evaluate This paper presents the concept of reliability and safety assessment
the reliability of battery packs due to the development of EV com- of Li-ion battery packs. To understand the concept of reliability and
ponents [114]. Moreover, (i) electrical/electronic architectures and safety in this research, two main categories of failures are considered,
software and (ii) computation are main challenges regarding em- the normal condition and abnormal condition failures.
bedded systems and software for EVs which influence battery pack The main failure modes, the contribution of the failures to in-
reliability [115,116]. vestigate reliability and safety in Li-ion battery pack, as well as the
effect of the modes on power and capacity fades are key aspects in this

12
F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Fig. 11. (a) Prioritization of degradation mode’s influence on reliability assessment of Li-ion batteries (graphite anode material), (b) Perspective of reliability issues
in Li-ion batteries (graphite anode material).

area [134]. LAMNE degradation modes and loss of electrolyte con- to reliability and safety. Regarding the challenges on reliability and
ductivity influence more (29%) and less (11%) reliability and safety safety perspectives in Li-ion batteries, the below aspects need to be
assessment of Li-ion batteries, respectively. Moreover, electric contact considered:
(18%) and lithium plating (16%) are effective factors in the LAMNE
determination mode. Among the degradation mechanisms, SEI growth • Investigating different failure factors,
with more rate and graphite exfoliation with less rate are contributing • Introducing fixable models for evaluating reliability and safety,

Fig. 12. Functional safety draft international standard for EVs.

13
F.H. Gandoman, et al. Applied Energy 251 (2019) 113343

Table 5

BATSO 01
BATSO Summary of safety standards for Li-ion batteries [11,111,113].
Aspects Tests

√
√

√
√

√
√

√
Electrical • External short circuit [117]
• Integral
JIS C8714

short circuit: (i) separator shutdown integrity

test [118], (ii) forced internal short circuit or nickel
JIS

particle test [119], (iii) blunt rod indentation test

√
√
√
√

√
√
√
√
√

√
√

√
[110]
• Abnormal changing test, overcharging and over
IEEE 1725

discharge [117]

Mechanical • Crush [120]

• Immersion [121]
√
√
√
√
√
√
√
√
√
√
√ • Mechanical shock [122]
• Vibration [123]
IEEE 1625

• Drop [124]
• Penetration [125]
IEEE

• Rollover [126]
√
√
√
√
√
√
√
√
√
√
√

Chemical • Emissions [127]

• Flammability [128]
Pt.lll, S 38.3

Environmental/ • Over heat test [129]

Thermal • Thermal shock cycling test [130]
• Temperature
UN

stability [131]
√
√
√

√
√
√

√
√

• Extra cold temperature [121]

• Fire: (i) radiant-heat test [132], (ii) projectile test
J2464
SAE

[133])

• Failure
√
√
√
√

√
√
√
√

√
√

Test under operation

development • Ignition
• IRSeparator
C18,2M, Pt2

absorption diagnostics
• test
NEMA

√
√
√

√
√
√

√
√

• Control systems (software aspects),

• A new concept of cooling systems for Li-ion battery packs,
IEC 62,281

• Architecture failure mechanism and their effects on the lifetime and

operation of the system,
√
√
√

√
√
√

√
√

√
√

• Saudization and test protocols.

IEC 62,133

Acknowledgments
IEC

We acknowledge the support of our research team from “Flanders

√
√
√
√

√
√
√
√
√

Make”.
SU 2580

References
√
√
√
√
√
√
√
√
√
√
√
√

√
√
√

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