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[ABS-43] 2017 4th International Conference on Electric Vehicular Technology (ICEVT)

October 2-5, 2017. Bali, Indonesia

State of Energy (SOE) Estimation of LiNiCoAlO2


Battery Module Considering Cells Unbalance and
Energy Efficiency
Frans Edison Irsyad Nashirul Haq1,2
1
Graduate Student at Department of Engineering Physics Graduate Student at Department of Engineering Physics
Institut Teknologi Bandung Institut Teknologi Bandung,
2
ft07.edison@gmail.com National Center for Sustainable Transportation
Technology.
Bandung, Indonesia
inhprop@gmail.com

Edi Leksono3, Nugraha Tapran4,


Deddy Kurniadi5, Brian Yuliarto6
Department of Engineering Physics
Institut Teknologi Bandung.
Bandung, Indonesia
3
edi@tf.itb.ac.id, 4nugraha@tf.itb.ac.id,
5
kurniadi@tf.itb.ac.id,6brian@tf.itb.ac.id

Abstract— In this work, we developed the state of energy (SOE) process, the lowest SOE value from battery cells is selected as the
estimation method for battery module while taking into account reference value for the next cycle’s process estimation.
the unbalance voltage between cells and energy efficiency by
using energy counting and support vector machine (SVM). The Keywords— lithium-ion, cells unbalance, energy efficiency, state
energy counting is performed by accumulating power coming in of energy, support vector machine.
and out of the battery module when discharging or charging
process occurs. The power is accumulated over time and
compared to its nominal energy to obtain the SOE of the battery
module. The experiment was conducted in two stages by utilizing I. INTRODUCTION
Lithium Nickel Cobalt Aluminium Oxide (LiNiCoAlO2) batteries Electric vehicles (EV) began to replace conventional fossil
with the nominal voltage 3.6 V and the nominal capacity 3350 fuelled vehicles. Indonesian government also begins to take
mAh, a DC power supply model, a programmable DC electronic
action to speed up conversion from conventional vehicles to
load, and sensors for battery monitoring and protection system.
In the first experiment, the energy counting is performed on a
EV. When compared with conventional vehicles, EV has
single cell to obtain individual battery cell characteristics based many advantages. One of them is that EV is more
on C5, C10, and C20 discharging methods. The analytical results environmentally friendly. Although the electricity used to
show that the relationship energy efficiency of charging and operate the electric car is generated from conventional power
discharging process to discharge rate was 0.8974 x C(exp(- plants such as steam power plants, electric cars still contribute
0.033)). The dataset from one battery cell characteristics is lower CO2 gas emissions than that of conventional cars.
arranged into a lookup table that expresses the relationship
EV generally uses batteries as the main energy source for
between voltage, current and SOE of the battery. The lookup
table was used as training datasets for SVM to generate model driving the motor, especially in small EV such as e-bikes. The
for estimating battery cell and module SOE. The second battery of an electric vehicle must have a certain criteria in
experiment was conducted to estimate the SOE of battery order to support the EV properly. Usually BMS estimates the
module consisting of 10 battery cells in series connection with the state of charge (SOC) value of the battery that indicates the
same discharging method as the single cell experiment. The SOE remaining charge that can be used from the battery [1].
estimation results by using radial basis function based support However in this paper, state of energy (SOE) is estimated
vector regression model, with cost function value of 30, and an instead of SOC.
epsilon value of 0.04, and with kernel parameter value of 1, give
the average of root-mean-squared-error value was below 5% SOE indicates the remaining energy, instead of charge, that
which show an acceptable result. Because of cell unbalance will can be used from the battery, which describes more precise
occur continuously during the battery charging and discharging state or condition of the battery [2],[3],[4]. Just like SOC,

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[ABS-43] 2017 4th International Conference on Electric Vehicular Technology (ICEVT)
October 2-5, 2017. Bali, Indonesia

SOE has value from 0%, which indicates the battery is empty, CHARGER
to 100% which represents the battery is fully charged. MICROCONTROLLER
However in EV the value of 0-100% as the battery energy CHARGE
indicator is not so informative yet for its users. RELAY
To be more informative, the value of SOE needs to be CURRENT BATTERY VOLTAGE
translated into the remaining distance that the EV can reach in SENSOR CELL SENSOR
the current state of the battery. The first step to translate the DISCHARGE
SOE into the remaining mileage is to return the SOE value to RELAY - power
the remaining usable energy of the battery. - analog signal
LOAD - digital signal
The objective of this research is to estimate SOE of the 10
Fig. 1. BMS block diagram for single battery cell testing.
battery cells in series arrangement. The SOE estimation is
performed individually per cell. The method used is combined
energy counting and support vector machine (SVM) using a
regression (SVR). The estimated SOE values are used to
estimate the remaining energy that can be utilized from the
entire cell. The remaining energy is estimated by taking
several factors into account such as unbalanced cells, and
battery working area, and cell protection by BMS

II. EXPERIMENTAL METHOD


A. Battery Specification
The battery cell type used in this work is Lithium Nickel Fig. 2. BMS experiment setup for single battery cell testing.
Cobalt Aluminium Oxide (LiNiCoAlO2 / NCA) batteries with CURRENT 16BIT MASTER MODULE
nominal voltage of 3.6V and capacity of 3.35Ah. The batteries SENSOR ADC MICROCONTROLLER
are brand new with the specification shown in Table 1.
Batteries were tested in 2 stages. In first stage, test was DISCHARGE
RELAY SLAVE MODULE
performed on a single cell to obtain the cell characteristics. CHARGE
RELAY
MICROCONTROLLER

The second stage test was performed on 10 cells in series


arrangement to represent real arrangement at an 36V e-bike. LOAD CHARGER
BATTERY MODULE

CELL 1 VOLTAGE SENSOR

MULTIPLEXER
TABLE 1. BATTERY CHARACTERISTICS. CELL 2 VOLTAGE SENSOR
- power CELL 3 VOLTAGE SENSOR
Model NCR18650B - analog signal
CELL … VOLTAGE SENSOR
- digital signal
Capacity Min. 3250mAh - I2C bus CEL 10 VOLTAGE SENSOR
Typ. 3350mAh
Nominal Voltage 3.6V Fig. 3. BMS block diagram for 10 battery cells testing.
Charging CC-CV. Std 1625mA, 4.20V, 4.0 h
Weight 48.5 g
Operating Charge : 0 - 45oC
Temperature Discharge : -20 - +65oC
Storage : -20 - 50oC
Energy Density Volumetric : 676 Wh/l
Gravimetric : 243 Wh/kg

B. Battery Management System (BMS)


The first stage of data acquisition aims to characterize one
NCA cell. At this stage BMS monitors and stores voltage and
current data from the battery. The voltage values are used by
BMS for cell protection. Implementation of BMS for data
Fig. 4. BMS experiment setup for 10 battery cells testing.
acquisition of one cell is shown in Figs. 1 and 2.
For acquisition of 10 cell battery data, the BMS is separated Cell protection is done by controlling the relay to
between the slave module and the master module. The slave disconnect battery from load when the cell voltage drops to
module serves as voltage monitor of each cell from the array 2.75V, also disconnect battery from charger when the cell
of batteries and cell protection. Master module serves as voltage rises to 4.2V [5].
current measurement and to collect data from the slave C. Battery Testing Scenario
module and then save it on micro SD. Implementation of
BMS for 10 cells is shown in Figs 3 and 4. For single cell and 10 cells testing, battery are discharged
and charged with C-rate of C20, C10, and C5 for 3 cycles
each with 30 minutes rest time between charge and discharge

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[ABS-43] 2017 4th International Conference on Electric Vehicular Technology (ICEVT)
October 2-5, 2017. Bali, Indonesia

[6]. Flow diagram for cycle scenario for the battery in this from fully charged condition until reach its low voltage limit,
work is shown in Fig. 5. then charged just with constant current stage without constant
voltage stage reaches its high voltage limit. This makes the
Begin
battery is not fully charged for the next discharge cycle.
Judging from energy ratio, charging process needs more
Idle 30’ energy than that of discharging process. From comparison of
that energy ratio with respect to C-rate, a graph shown in Fig.
CC Discharge 6 is obtained.
100
No
Vcell < 2.75v?
99

Energy Efficiency (%)


Yes
98
Idle 30’ y = 89.762 x-0.033
97
R² = 0.9878
CC Charge 96

No 95
Vcell < 4.2v?
94
Yes 0.00 0.05 0.10 0.15 0.20 0.25
No
Current Rate
3 Cycles? Fig. 6. The relationship of energy efficiency and current rate

Yes
From regression of graph on Fig. 6, this was obtained from
(2) that represent a relationship between energy efficiency of
End battery (Ș) and C-rate (C). The energy efficiency decreases
Fig. 5. Battery testing procedure. along with increasing of charge current.
D. Energy Counting Method ߟ ൌ ͲǤͺͻ͹Ͷ‫ି ܥ‬଴Ǥ଴ଷଷ (2)
Voltage and current data from measurement are used to Then SOE value can be estimated with (3)
perform energy counting to calculate energy of the batteries. ఎூ೔ ௏೔ ο௧
The calculation is expressed in (1). ܱܵ‫ܧ‬௜ ൌ ܱܵ‫ܧ‬ሺ௜ିଵሻ ൅  ‫ͲͲͳݔ‬Ψ (3)
ଵ଴଴଴௫ଷ଺଴଴௫஼೙ ௫௏೙
ூ೔ ௏೔ ο௧
‫ܧ‬௜ ൌ ‫ܧ‬ሺ௜ିଵሻ ൅  (1) where i is time variable, I is current in mA, V is cell voltage,
ଵ଴଴଴௫ଷ଺଴଴
Cn is nominal charge capacity of cell in Ah, and Vn is nominal
where i is time variable, E is total energy of the battery in Wh, voltage of the cell. Value of Ș is 1 during discharging and
I is current, V is voltage, and ¨t is sampling time. follows (2) during charging.
From the result of iteration with (3), value of SOE is
III. RESULTS AND DISCUSSIONS estimated for every second in charging and discharging
process. By combining the voltage measurement, C-rate, and
A. Single Cell Cycle Analysis SOE estimation, a lookup table can be generated as training
Results of the energy counting from three C-rate of single data for SVR. To simplify the training data, in order to ease
cell are shown in Table 2. Negative value represents the computing burden of SVR training, lookup table is made
discharged energy from the battery. Positive value represents by grabbing 1% SOE resolutions on first discharging and first
charged energy. charging of each C-rate. The result is a lookup table with 578
TABLE 2. TOTAL ENERGY OF SINGLE BATTERY CELL TESTING.
values that states the relationship between SOE, voltage and
C-rate. The graph for the lookup table is shown in Fig. 7.
Energy (Wh) The lookup table is used as training data to generate an
Cycle
C20 C10 C5 SVR model. The optimal hyper parameter of the fitted SVR
Discharge 1 -11.87 -12.43 -12.30 model of C is found to be 30 and the value epsilon İ is 0.04,
Charge 1 11.88 11.00 10.66 and the kernel parameter ı is 1. The SVR model was used to
Discharge 2 -11.81 -10.60 -9.99 test the training data. The result has RMSE 4.76% and R2 0.98,
Charge 2 11.88 10.94 10.60 which indicates the model is good enough [7]. The model was
Discharge 3 -11.76 -10.60 -10.17 used again to test the entire single cell cycle to make sure the
Charge 3 11.90 11.06 10.69 model can be used to other cases. The result for SVR test for
Energy from first discharge cycle has the highest value full single cycle test is shown in Table 3.
compared to other values especially for C20 and C10. This is
because at their first discharge cycle, the battery is discharged

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[ABS-43] 2017 4th International Conference on Electric Vehicular Technology (ICEVT)
October 2-5, 2017. Bali, Indonesia

4.3 12.0

4.1 11.5

3.9 11.0

Energy (Wh)
3.7
Voltage (V)

10.5
3.5
10.0
3.3 Discharging 0.05C Charging 0.05C
Discharging 0.1C Charging 0.1C 9.5
3.1 Discharge 1 Charge 1 Discharge 2 Charge 2 Discharge 3 Charge 3
Discharging 0.2C Charging 0.2C
9.0
2.9 1 2 3 4 5 6 7 8 9 10
Battery Cells #
2.7
0 20 40 60 80 100
Fig. 8. Total energy of 10 battery cells at C20.
SOE (%) 12.0
Fig. 7. Training dataset of the relationship SOE to battery cell voltage
11.5
The result from SVR test with C20 cycle gave RMSE (root
11.0
mean square error) above 5% which means that the SVR

Energy (Wh)
model is not good enough [7][8]. However, the result has high 10.5
value of R2 (correlation coefficient) above 0.990 which means 10.0
that the result from SVR has high similarity with the result
from (3). 9.5
Discharge 1 Charge 1 Discharge 2 Charge 2 Discharge 3 Charge 3
9.0
TABLE 3. RMSE AND R2 FROM SVR TEST OF SINGLE BATTERY CELL. 1 2 3 4 5 6 7 8 9 10
2 Battery Cells #
C-rate RMSE R Fig. 9. Total energy of 10 battery cells at C10.
C20 5,03% 0.992
12.0
C10 3,95% 0.992
C5 4,23% 0.990 11.5 Discharge 1 Charge 1 Discharge 2 Charge 2 Discharge 3 Charge 3

B. Ten Cells Cycle Analysis 11.0


Energy (Wh)

Results of energy counting from three C-rate of the ten 10.5

cells cycle are shown in Table 4. The negative value 10.0


represents discharged energy from the battery. The positive
9.5
value represents charged energy.
9.0
TABLE 4. TOTAL ENERGY OF 10 BATTERY CELLS TESTING. 1 2 3 4 5 6 7 8 9 10
Battery Cells #
Energy (Wh) Fig. 10. Total energy of 10 battery cells at C5.
Cycle
C20 C10 C5
TABLE 5. RMSE OF 10 BATTERY CELLS SVR TEST.
Discharge 1 -118.66 -117.96 -108.18
Charge 1 114.62 107.02 105.29 C5 C10 C20
Discharge 2 -113.17 -103.58 -99.26 Cell 1 5.17% 4.30% 4.22%
Charge 2 110.85 111.92 105.47 Cell 2 4.54% 4.23% 4.60%
Discharge 3 -106.68 -105.91 -100.28 Cell 3 4.43% 4.12% 4.95%
Charge 3 102.83 110.80 106.30 Cell 4 4.48% 4.36% 4.59%
Cell 5 5.29% 4.50% 4.84%
The energy of the battery module tends to decrease along Cell 6 4.68% 4.89% 4.27%
with the cycles; this is in addition due to charging of the
Cell 7 5.64% 5.59% 4.62%
battery that just with a constant current stage without a
Cell 8 4.49% 4.46% 5.55%
constant voltage stage, also because of the imbalance between
Cell 9 4.45% 5.33% 5.03%
cells in the batteries arranged in series. When discharging or
Cell 10 4.84% 4.29% 4.81%
charging process, if there is at least one cell reaches the
voltage limit faster than the other 9 cells then the BMS must TABLE 5. R2 OF 10 BATTERY CELLS SVR TEST..
disconnects the battery module from the load or charger and
C5 C10 C20
stops the discharging or charging process to prevent damage
Cell 1 0.983 0.986 0.986
even though the other battery has not been known full or
Cell 2 0.988 0.988 0.987
empty yet. This imbalance causes the energy that can be
Cell 3 0.985 0.987 0.988
discharged from the battery to decrease as the cycle increases.
Cell 4 0.986 0.987 0.984
The comparison of total energy of each cell that describes the
Cell 5 0.986 0.988 0.985
unbalanced battery cells are shown in Figs. 8, 9 and 10.
Cell 6 0.982 0.984 0.984
Cell 7 0.983 0.985 0.983

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[ABS-43] 2017 4th International Conference on Electric Vehicular Technology (ICEVT)
October 2-5, 2017. Bali, Indonesia

Cell 8 0.983 0.985 0.982 100%


Cell 9 0.979 0.982 0.982
Cell 10 0.980 0.982 0.975 80%

By using (3), SOE of each cell can be estimated for every 60%
second. Value of SOE0 for iteration of (3) is determined from

SOE
SVR model. The value for next SOE (SOE(i) ; i>0) are 40%
SOEref
calculated by iteration using (3). The estimation result from (3) SOEHMI
is then compared with the estimation results from SVR for all 20%
value of SOEi. Values of RMSE and R2 from SVR test of 10
cells cycle are shown by Table 5 and Table 6. 0%
Total energy of the module can be estimated by summing 0 20 40 60 80 100 120
Energy (Wh)
the entire cell’s energy, and the overall SOE value of the
Fig. 11. Comparison of Energy, SOEref dan SOEHMI.
battery module (SOEreal) is the average of the ten cells. But
with the system protection and imbalance between cells, this Remaining useable energy of the battery module is
way will not exactly show the value of 0% to 100%. Battery calculated based on the SOEHMI value. The range of SOEHMI is
protection is performed based on the measured stresses of 60% of SOEref, while the remaining energy of the battery
each cell as is done in [5]. module is estimated using (4).
With such protection, when the battery has one near empty ‫ܧ‬௥ ൌ ܱܵ‫ܧ‬ுெூ ‫ݔ‬ሺ͸ͲΨ‫ܥݔݏݔ‬௡ ‫ܸݔ‬௡ ሻ (4)
cell with lower SOE than the others, the cell will reach the
lower limit value faster than the other cells and triggers the Er is the amount of energy that can be utilized to drive the
BMS to disconnect the battery from load even though the motor on an EV. This value will be the basis for the estimated
voltage of the other cells have not reached the lower limit yet. mileage of the EV. The value of s is the number of batteries
This means that the batteries module still has an SOE value that are connected in series arrangement on one battery
above 0% but it cannot be used until the battery is charged. module which in this study is 10. Cn is the nominal capacity of
the battery cell which in this study is 3.35Ah. Vn is the
In the charging process, the voltage of cell with the highest
nominal voltage of the battery cell which in this study is 3.6V.
SOE will reach the upper limit faster than other cells and
triggers the BMS to stop the charging process even though the Thus the maximum value of Er is 72.36Wh. The process
other cells have not been known fully charged yet. This means flow diagram from the battery module data acquisition, SOE
that the battery in series cannot be charged again even though estimation, to the estimated remaining usable energy in the
the SOE has not reached 100% yet. Therefore, the SOE value battery module for one loop can be seen in Fig. 12. The SOE
of one cell can be used as the reference to represent the SOE prediction of the SVR modelling results can be used to
value of the whole set of battery cells. Since the purpose of determine the SOE(i-1) at the start of the battery operation or
this study is to estimate the residual energy that can be utilized SOE0, which in the real case the initial condition of the battery
from the entire battery cells arrangement, the SOE value that is not always fully charged. After SOE0, the SOE estimate can
is used as the reference is the lowest cell SOE value in the be obtained using the process described in the flow diagram in
series arrangement. Thus the energy estimate of SOE is the Fig. 12.
energy that can be used to drive the motor of electric vehicle. The most extreme case at upper region SOE is when the
When energy is used to estimate the remaining mileage of EV, imbalance between cells reaches its maximum difference in
the estimated SOE value will not jump, especially when the SOE[S] which is above 20%. When charging process, cell with
charging process stops. the highest SOE will reach 100% while the lowest SOE cell
In a study conducted by [7], it was mentioned that BMS has not reached 80%. In this case the SOEref value will be
working area is generally maintained at 20% - 80% of SOC to below 80% and the SOEHMI value has not reached 100% yet.
extend battery life. In the same way, SOE from the battery is This can cause one cell experience overcharged. However, if
also applied with the same limit. The cells are limited to work the cell protection is implemented in the BMS [5] with upper
in the SOE area of 20% to 80%. The work area value of 20% and lower limits of the voltage values adjusted for NCA
to 80% of the reference SOE in the battery module is shown batteries, the charging process will stop and the SOEHMI value
as 0% to 100% to the user through human machine interface will not reach 100%. This can be an indication that the battery
(HMI). The comparison between the SOE references (SOEref) needs to be balanced.
with the SOE shown on HMI (SOEHMI) is given in Fig. 11.

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Begin This study has given a procedure to estimate the state of


energy (SOE) estimation method for battery module in series
arrangement with taking into account the unbalanced cells,
Cells Voltage and energy efficiency, and BMS working area from 20% to 80%
Current measurement of battery capacity.
To determine the initial Lithium Nickel Cobalt Aluminium
I, V[1], V[2], V[3], Oxide (LiNiCoAlO2 / NCA) battery cells characteristic in
V[4], V[…],V[10] time series, the C20, C10, and C5 current rate method have
been conducted in single and ten battery cells for 3 cycles
with 30 minutes rest time between charging and discharging
Discharge Charge/ Charge
Discharge?
C = I/Cn process.
Ș=1
The state of energy (SOE) estimation method for battery
module was using energy counting and support vector
Ș Ș = 0.8974C-0.033
machine (SVM) method. The energy counting is performed by
accumulating the power coming in and out of the battery
SOE(i-1) module when discharging or charging process occurs. This
method requires an initial value as a reference for calculation
SOE estimation of each cell and as training dataset for SOE estimation using SVM. By
combining the voltage measurement, C-rate, and SOE
SOEi = SOE(i-1) + estimation, a lookup table can be generated as training data for
the SVM model. By using radial basis function, with cost
function value of 30, and an epsilon value of 0.04, and with
SOE[1], SOE[2], SOE[3],
SOE[4], SOE[…], SOE[10],
kernel parameter value of 1, the average of RMSE value was
below 5% which show an acceptable result.
x = 100 S=1 The total energy of the battery module can be estimated by
summing the entire cell’s energy, and the overall SOE real
value of the battery module is the average of the ten cells. But
x = min(x, SOE[S]) with the system protection and imbalance between cells, this
way will not exactly show the value of 0% to 100%. With
S = 10?
No such protection, when the battery has one near empty cell with
lower SOE than the others, the cell will reach the lower limit
Yes value faster than the other cells and triggers the BMS to
SOEref = x disconnect the battery from load even though the voltage of
the other cells have not reached the lower limit yet. This
means that the batteries module still has an SOE value above
SOEHMI = constrain ( ,0 ,100) 0% but it cannot be used until the battery is charged.

ACKNOWLEDGMENT
Remaining Energy Estimation
This research is partially supported by the Research Grant
of Institut Teknologi Bandung, Ministry of Research,
Technology, and Higher Education, Indonesia, and Research
End
Grant from the USAID under the SHERA program.
Fig. 12. State of energy (SOE) and remaining energy estimation algorithm.

The most extreme case in the SOE's lower region is when REFERENCES
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