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Real-Time Battery Management

Mark Sitterly, Student Member, IEEE, Le Yi Wang, Senior Member, IEEE, G. George Yin, Fellow, IEEE, and

Caisheng Wang, Senior Member, IEEE

and smart grids rely critically on energy storage devices for enhancement of operations, reliability, and efficiency. Battery systems consist of many battery cells, which have different characteristics even when they are new, and change with time and operating

conditions due to a variety of factors such as aging, operational

conditions, and chemical property variations. Their effective management requires high fidelity models. This paper aims to develop

identification algorithms that capture individualized characteristics of each battery cell and produce updated models in real time. It

is shown that typical battery models may not be identifiable, unique

battery model features require modified input/output expressions,

and standard least-squares methods will encounter identification

bias. This paper devises modified model structures and identification algorithms to resolve these issues. System identifiability, algorithm convergence, identification bias, and bias correction mechanisms are rigorously established. A typical battery model structure

is used to illustrate utilities of the methods.

Index TermsBattery management system, battery model, bias

correction, convergence, identifiability, parameter estimation,

system identification.

I. INTRODUCTION

and smart grids rely critically on energy storage devices

for enhancement of operations, reliability, and efficiency. A

large-scale battery system consists of hundreds, even thousands, of battery cells, which have different characteristics

even when they are new, and change with time and operating

conditions due to a variety of factors such as aging, operational

conditions, and chemical property variations. State of charge,

battery health, remaining life, charge and discharge resistance

Manuscript received September 10, 2010; accepted February 06, 2011. Date

of publication February 17, 2011; date of current version June 22, 2011. The

work of L. Y. Wang was supported in part by the National Science Foundation

under DMS-0624849, and in part by the Air Force Office of Scientific Research

under FA9550-10-1-0210. The work of G. G. Yin was supported in part by the

National Science Foundation under DMS-0907753, and in part by the Air Force

Office of Scientific Research under FA9550-10-1-0210. The work of C. Wang

was supported by the National Science Foundation under ECS-0823865.

M. Sitterly, L. Y. Wang are with the Department of Electrical and Computer Engineering, Wayne State University, Detroit, MI 48202 USA (e-mail:

ac3981@wayne.edu; lywang@wayne.edu).

G. G. Yin is with the Department of Mathematics, Wayne State University,

Detroit, MI 48202 USA (e-mail: gyin@math.wayne.edu).

C. Wang is with the Division of Engineering Technology and the Department

of Electrical and Computer Engineering, Wayne State University, Detroit, MI

48202 USA (e-mail: cwang@wayne.edu).

Color versions of one or more of the figures in this paper are available online

at http://ieeexplore.ieee.org.

Digital Object Identifier 10.1109/TSTE.2011.2116813

and capacitance demonstrate nonlinear and time-varying dynamics [4], [5], [8], [12], [18], [24]. Consequently, for enhanced

battery management, reliable system diagnosis, and improved

power efficiency, it is necessary to capture battery cell models

in real time [18]. This paper aims to develop a real-time automated battery characterizer that will capture individualized

characteristics of each battery cell and produce updated models

in real time. The core of such a system is advanced system

identification techniques [15], [27], [28], [29] that provide

fast tracking capability to update each battery cells individual

model when it is plugged into the battery system and to track

battery aging and health conditions during operation.

The main ideas of such identification methods include:

1) using load changes to stimulate or excite the internal

behavior of the cell; 2) using measured voltage and current data

to estimate model parameters such that the model-produced

voltage and current trajectories match those from the actual

battery cell; 3) employing recursive algorithms to accomplish

automated model generation and real-time operation so that

new measurement data are immediately used to update the

model.

To facilitate discussions on the key issues and challenges

in real-time battery model identification, we employ, as a

typical model structure, the resistancecapacitance battery

model, which is part of ADVISOR, developed at National

Renewable Energy Laboratory (NREL) [12]. The parameters

of the components are functions of the state of charge (SOC)

and cell temperature. In addition, the resistance values differ

when the battery is in charge mode or discharge mode.

Typically the parameters of the model and their dependence on

the SOC and temperatures are experimentally established. In

this work, we will use system identification methods to identify

them in real time, without laboratory testing facilities. When

identification can capture the circuit model parameters faster

than a batterys charge/discharge operations, one may employ

the frozen time concept and view the model parameters as

their linearized values at a given operating condition. As such,

identification of the system can concentrate on time-varying

but linearized models.

The goal of system identification is to identify system parameters on the basis of observations on the measured inputs

and outputs. Continuing our recent work on battery models

[22], [23], in this paper, we will use adaptive filtering algorithms to derive convergent algorithms. System identifiability,

algorithm convergence, identification bias, and bias correction

mechanisms are rigorously established. The paper is organized

as follows. Section II introduces battery model structures.

SITTERLY et al.: ENHANCED IDENTIFICATION OF BATTERY MODELS FOR REAL-TIME BATTERY MANAGEMENT

301

Fig. 2. Battery thermal model.

a typical model structure to reveal key issues and discuss

their resolutions. System identifiability is first discussed in

Section III. It is shown that physically meaningful models may

not be real-time identifiable. Modifications of model structures

to facilitate system identification are studied, leading to a

modified regression expression for system identification. The

section further explores the issue of identification bias correction. It is revealed that due to noise corruption in observation

data and inherent correlation in the regressors, the standard

least-squares (LS) algorithms will encounter identification

bias, implying that parameter estimates will have an inherent

error even when data sizes become very large. Bias correction

measures are introduced to overcome this drawback. Strong

convergence of the modified algorithms is established. For

computational efficiency, recursive algorithms are derived. The

methodologies of this paper are then evaluated and illustrated

by using simulation studies in Section IV. Both standard LS

algorithms and modified algorithms are illustrated for their

utilities. Finally, our findings and potential applications are

discussed in Section V.

II. BATTERY MODEL STRUCTURES

The methodologies developed in this paper can be applied

to different battery models. We choose a well-developed and

validated model structure to facilitate discussions of essential

issues, including identification algorithms, identifiability, bias

correction, noise correlation, and convergence analysis. We employ the resistancecapacitance battery model which is part of

ADVISOR, developed at NREL [3], [12] (see Fig. 1).

The model contains two capacitors (

and

) and three

resistors ( ,

, and

). The capacitor

models the

main storage capacity of the battery. The capacitor

captures the fast chargedischarge aspect of the battery and is

much smaller than

. The parameters of the components

are functions of the SOC and cell temperature ( ). In addition, the resistance depends on also if the battery is in

charge or discharge mode. These will be expressed as

when

needed. To describe the model details, we define the following

symbols:

terminal voltage (V);

(V);

(A);

cell temperature (degree Celsius);

conducting heat transfer rate (W);

heat transfer rate generated by the battery cell (W);

air conditioning forced heat transfer rate (W);

SOC;

SOC

SOC

weighted combination of the states of charge on

and

(1)

where

.

and

and

will be related to the voltages

on

and .

The thermal model is a lumped first-order linear dynamics,

shown in Fig. 2

where

is the equivalent thermal resistance (

) and

is the equivalent heat capacitance (

).

In [3] and [12], the parameters of the model and their dependence on the SOC and temperatures are experimentally established. In this work, we will use system identification methods to

identify them in real time, without laboratory testing facilities.

The states of charge of

and

are closely related to their

voltages

and . The relationship

and

can be experimentally established. In the normal operating ranges of and , they can be well approximated by linear

functions [12].

From

, model parameters become

functions of the state variables

and the mode

voltage of the capacitor

(V);

(A);

(2)

302

equations:

[10][12]. The model structure is given in Fig. 1. Nominal

values of the parameters at temperature 20 C are

(5)

Although dependence of these parameters on and can be

derived from experimental data, in this paper we employ system

identification methods to capture real-time parameter values.

These lead to

and

; inputs (current load),

(air

temperature), (battery cell generated heat flow rate), and

(convective heat flow rate due to cooling air); operating mode

; and outputs (terminal voltage), (state of charge), and ;

the state space model is

be established by using experimental data from laboratory

testing, for real-time operation under a battery management

system (BMS), the parameters must be derived using real-time

operational data. This is due to several factors: 1) New batteries

have different characteristics even for the same model, due to

manufacturing variations. 2) Battery features depend on many

factors that cannot be totally captured in model details. 3) Batteries experience significant aging effects. Consequently, it is

not only desirable, but in fact imperative that model parameters

be obtained individually in real time.

A. Identifiability of Battery Models

We first derive the transfer function for the battery model

shown in Fig. 1. Using

for the capacitors and deriving

the transfer function in the -domain, we obtain

(3)

(6)

where

example, under

m

Remark 1: By (2), the model parameters depend on the state.

Consequently, the system is highly nonlinear. Within the inputs,

is measured and fed back as an input to the model.

is a disturbance but is measured with some measurement noise. Since

is not modeled in detail, it will be considered as an unmeasured disturbance to the battery system.

is controlled (by

the cooling system). The cooling system dynamics are not considered in this model. As a result, we will view

as a control input. The outputs and are measured with measurement

noise. is not measured.

Denote the state vector by

, input vector

, and output vector

. The state space

model (3) may be written in an abstract form, for methodology

and algorithm development, as

(4)

This is a nonlinear system in an affine form. Since is a control

variable taking only two possible values, the system (4) is a

hybrid system.

kF,

m , we have

kF,

. For

m

(7)

The inputoutput model (6) contains four coefficients. However, the internal circuit model in Fig. 1 contains five parameters. In other words, there will be one redundant parameter in the

model. As a result, the circuit model is not inputoutput identifiable when only the terminal voltage and current are measured.

Due to its physical meanings, the

pair represents a

much faster branch than the

branch. Consequently, it

is a sensible choice to let

, reducing the battery system

into a four-parameter circuit model. We show now that this simplification results in a direct inverse mapping from the transfer

function parameters to the circuit parameters.

When

, (6) is reduced to

(8)

SITTERLY et al.: ENHANCED IDENTIFICATION OF BATTERY MODELS FOR REAL-TIME BATTERY MANAGEMENT

where

,

,

can be derived as

,

,

. The inverse mapping of the parameters

303

. It

should be pointed out that in practical applications, the measurements on the current and voltage are subject to noises. As

a result, is measured as

and as

.

Consequently,

(9)

This defines a mapping

from

to

. As a result, simplified circuit model (8)

is always identifiable.

B. Regression Structure for System Identification

Although the battery models physical input is the load (current ), since the model contains an integrator, for system identification the input/output setting needs to be modified.

Suppose that the signal sampling interval in a BMS is . Let

the sampled values be

,

, etc. To derive a

sampled expression to identify parameters in (9), we note that

(10)

where

have

. Equation (10) is mapped to

(11)

where

C. Identification Algorithms

For algorithm implementation, only

From the observation equation

and

can be used.

, we would like to derive identification algorithms to track time-varying parameters.

Assumption 1: Suppose that the measurement on

is

subject to measurement noise

and the voltage measurement is subject to measurement noise

. The joint

vector sequence

is stationary and ergodic [in the

sense of convergence with probability one (w.p.1)] such that

,

, and that both

and

are ergodic. That is,

,

. For the data

,

from (7) and

where

. In other words,

noises enter the regressor also. This is a more complicated

problem of errors-in-variable identification.

second, we have

(12)

Define

rived as a mapping

can be defrom

(13)

The discrete-time system (11) leads to the regression expression of the new input/output relationship

(14)

and

to

be independent. A sufficient condition to ensure the ergodicity

in the above assumption is that the underlying sequence is a

stationary -mixing sequence, which is a sequence whose remote past and distant future are asymptotically independent.

The well-known results [13, p. 488] then yield that

and

are strongly ergodic.

It is noted that for time-varying systems, identification of

system parameters can only be performed on the basis of

most recent data, such as a finite-time moving window or

exponentially decaying window. Hence, suppose the data on

and

are collected in a finite-time window

. Let

, the largest integer below

. When

,

, and convergence analysis in this case should be interpreted as asymptotic accuracy of identification when sampling

intervals become small.

304

Let

The algorithm (15) is modified to

..

.

..

.

and

are known.

(16)

..

.

..

.

..

.

Then,

. From

, the observation equation becomes

. When

is nonsingular, w.p.1, the standard

LS estimate is

has a desired

convergence property. If

and

are unknown, we can use

statistical methods to estimate them. Then in the bias correction

algorithm (16), in place of the true and , we may use their

estimates.

Theorem 2: Under the assumptions of Theorem 1, the estimates in (16) satisfy

(15)

We should demonstrate that due to signal correlation, this algorithm will introduce identification bias, namely, parameter estimates will converge to values away from the true value.

D. Identification Bias and Correction

Under Assumption 1, since

, with probability one,

and

are deterministic, as

We now introduce a recursive algorithm for (16).

Theorem 3: The estimates

in (16) can be updated recursively as

which imply

w.p.1. On the other hand, the true parameter satisfies

. Consequently, we have the following theorem.

Theorem 1: Assume that Assumption 1 holds and that

exists. Then the least-squares estimate (15) is asymptotically

biased in that

Let

. Since

, we have

(17)

SITTERLY et al.: ENHANCED IDENTIFICATION OF BATTERY MODELS FOR REAL-TIME BATTERY MANAGEMENT

305

Moreover,

Define

By (17)

Fig. 3. Comparison of identification algorithms with and without bias correction for a second-order FIR system with a delay.

It follows that

Finally,

Fig. 4. Comparison of identification algorithms with and without bias correction for a third-order ARX system.

measurement noise of mean zero and variance 0.16. Input and

output noises are independent. In this example,

and

, where is the 2 2 identity matrix. Without direct noise correction, identification errors demonstrate a persistent bias of norm 0.6373 (averaged Euclidean norm), with the

exit estimate

. With direct bias correction, such a bias is substantially reduced to an error norm 0.0156

and the exit estimate

. These are shown

in the bottom plot of Fig. 3.

Example 2: This example involves an auto-regression with

external input (ARX) system

We now illustrate effectiveness of the bias correction mechanisms described in Section III.

Example 1: This example involves a finite impulse response

(FIR) system of order 2 and one step delay:

. The true parameter is

. The input

and the corresponding output

are shown in the top plot of

Fig. 3. Suppose that the input is corrupted by an independent

and identically distributed (i.i.d.) Gaussian noise of mean zero

. The

input

and the corresponding output

are shown in the top

plot of Fig. 4. The input is corrupted by an i.i.d. Gaussian noise

of mean zero and variance 0.04, and the output is subject to an

Although we use a specific battery model structure in this

paper, the main methodologies introduced in this paper are

generic and can be applied to different battery models. In

this section, we first illustrate the utility of bias correction

algorithms by using some models of various structures and

complexity. Then the specific circuit model is used for more

detailed evaluations.

306

0.01. Input and output noises are independent. In this example,

and

, without direct noise

correction, identification errors demonstrate a persistent bias of

norm 0.1778, with the exit estimate

norm 0.0061 and the exit estimate

The circuit model of the nominal parameter values (5) is simulated in a Simulink model shown in Fig. 5.

The Simulink model generated the current and voltage profiles shown in Fig. 6, which will be used for parameter estimation. It should be emphasized here that to enhance identification quality, a very small random dither has been added to

the load (current). This is indicated in the Simulink model by a

random signal generator, and reflected in the signal profiles with

noise-like signals. No measurement noises are added in the profiles at this point.

The true system parameter in the modified regression structure (11) is

algorithms produced the parameter estimation for

with a very small data window of size 50.

Although the estimation is of high fidelity in this case, estimation quality deteriorates substantially when measurement

noises are introduced. When a very small measurement noise, a

Gaussian noise of mean 0 and variance 0.00001, is added to the

voltage measurements, parameter estimation loses its accuracy,

shown in Fig. 7. The identification algorithms are then modified

to include bias correction. Fig. 8 demonstrates substantially improved identification accuracy after bias correction.

V. CONCLUDING REMARKS

This paper has introduced identification methods for realtime battery model updates. The methods capture time-varying

model parameters which can then be used for real-time control,

optimization, diagnosis, and management. Due to some unique

features in battery model structures, battery model identification encounters some challenging issues, such as identifiability,

SITTERLY et al.: ENHANCED IDENTIFICATION OF BATTERY MODELS FOR REAL-TIME BATTERY MANAGEMENT

slightly noise corrupted.

Fig. 8. Parameter estimation becomes more accurate when bias correction algorithms are implemented.

introduced to resolve these issues. Applications of the methods

are demonstrated in some typical models in this paper. Much

broader utilities are currently under investigation in different aspects of battery management systems. Also, discussions of this

paper are limited to a single battery cell. Extensions to a battery

pack consisting of a network of battery cells remain an open and

critically important scenario for investigation.

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Mark Sitterly (S02) received the B.S. and M.S. degrees in electrical engineering from Wayne State University, Detroit, MI, in 2000 and 2005, respectively.

He is currently a Graduate Teaching Assistant and

Ph.D. student at Wayne State University, Detroit, MI.

He also serves in the U.S. Air Force with the

Michigan Air National Guard as a Bioenvironmental Engineer. He previously worked at Eaton

Corporation in Southfield, MI, as a Senior Electrical

Engineer.

Ph.D. degree in electrical engineering from McGill

University, Montreal, Canada, in 1990.

Since 1990, he has been with Wayne State University, Detroit, MI, where he is currently a Professor

in the Department of Electrical and Computer Engineering. His research interests are in the areas of

complexity and information, system identification,

optimization, time-varying

robust control,

systems, adaptive systems, hybrid and nonlinear

systems, information processing and learning, as

well as medical, automotive, communications, power systems, and computer

applications of control methodologies. He was a keynote speaker in several

international conferences. He serves on the IFAC Technical Committee on

Modeling, Identification and Signal Processing. He was an Associate Editor of

the IEEE TRANSACTIONS ON AUTOMATIC CONTROL and several other journals,

Complexity and Journal of Control Theory and Applications.

the B.S. degree in mathematics from the University of

Delaware in 1983, the M.S. degree in electrical engineering, and the Ph.D. degree in applied mathematics

from Brown University in 1987.

He joined the Department of Mathematics, Wayne

State University in 1987, and became a Professor

in 1996. His research interests include stochastic

systems, applied stochastic processes and applications, stochastic recursive algorithms, identification,

signal processing, and control and optimization. He

severed on the IFAC Technical Committee on Modeling, Identification and

Signal Processing, and many conference program committees; he was the

editor of SIAM Activity Group on Control and Systems Theory Newsletters,

Cochair of the 1996 AMS-SIAM Summer Seminar in Applied Mathematics

and the 2003 AMS-IMS-SIAM Summer Research Conference: Mathematics

of Finance, Co-organizer of the 2005 IMA Workshop on Wireless Communications and the 2006 IMA PI conference. He is Cochair of 2011 SIAM

Control Conference, Program Director of SIAM Activity Group on Control

and Systems Theory, is an associate editor of Automatica and SIAM Journal on

Control and Optimization, and is on the editorial board of a number of other

journals. He was an Associate Editor of IEEE TRANSACTIONS ON AUTOMATIC

CONTROL 19941998.

B.S. and M.S. degrees from Chongqing University,

China in 1994 and 1997, respectively, and the Ph.D.

degree from Montana State University, Bozeman, in

2006, all in electrical engineering.

From August 1997 to May 2002, he worked as

an electrical engineer in Zhejiang Electric Power

Test and Research Institute, Hangzhou, China.

Since August 2006, he has been a Faulty Member

at the Division of Engineering Technology and the

Department of Electrical and Computer Engineering

at Wayne State University. His current research interests include modeling

and control of power systems and electrical machines, energy storage devices,

alternative/hybrid energy power generation systems, and fault diagnosis and

on-line monitoring of electric apparatus.

- State Space Model Nptel ModTransféré parBarath
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- APPA 207 ManualTransféré parmaher471
- Standard DeviationTransféré parZaenal Muttaqin
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