Estimating The State of Charge of Lithium-Ion Batteries Using Different Noise Inputs
Estimating The State of Charge of Lithium-Ion Batteries Using Different Noise Inputs
Corresponding Author:
Anas El Maliki
Laboratory of Electronic Systems, Information Processing, Mechanics and Energetics
Faculty of Sciences, University Ibn Tofail
Kenitra, Morocco
Email: [email protected]
1. INTRODUCTION
With the growth of public demand and government support, technological development strongly
encouraged the use of electric vehicles. Lithium-ion batteries (LIBs) are drawing more research interest due
to their environmental friendliness, higher energy density, higher power output, and longer lifespan [1], [2].
Vehicles that are powered by new energy sources are commonly equipped with LIBs. Therefore, obtaining an
accurate battery state of charge (SOC) estimate becomes a challenging task for safe battery operation [3], [4].
The estimation of the SOC inside the battery management system (BMS) has the potential to enhance both
the reliability and efficiency of the system. However, estimating SOC is significantly influenced by
complicated factors related to self-discharge, discharge current, and battery aging, which leads to an
imprecise estimation of SOC [5].
Currently, several approaches have emerged to estimate battery SOC. In general, the ampere-hour
know as AH method is commonly employed because of its ease of implementation [6]. However, in practical
application, this method is susceptible to errors caused by noise and random interference which tend to
accumulate. As a result, various model-based algorithms have been proposed to correct those random errors.
The model-based methods provide a consistent performing method, like an equivalent circuit model,
such as employing an equivalent circuit model in combination with state estimation computations. Among
these methods, the Kalman filter is the commonly employed model. Nevertheless, the linear Kalman filter
(LKF) [7], [8] an only be applied to simple linear systems. To address nonlinear system applications, recent
research has led to the development of extensions to the Kalman filter. In particular, the extended Kalman
filter (EKF) [9], unscented Kalman filter (UKF) [10], and cubature Kalman filter (CKF) [11]. Utilizing the
EKF can reduce the time to convergence in SOC estimation, yet it amplifies the computing burden on the
battery management system (BMS) [12]. Fang et al. [13] suggested an iterative EKF method to estimate the
SOC, which has shown improvements. However, the algorithm's robustness is limited when identifying and
updating parameters such as battery capacity or internal resistance. Xiong et al. [14] employed an EKF
approach to assess the SOC in a vanadium redox flow battery. The method uses measurement of applied
currents and terminal voltages to predict the SOC, achieving a maximum error of 5.5% in SOC estimation.
Sun et al. [15] and Tian et al. [16] proposed a novel approach to improve the accuracy of SOC estimation by
integrating the first-order resistor-capacitor (RC) equivalent model with the EKF. They reported that this
approach reduced the root mean square error (RMSE) of SOC estimation by 43.34 while only slightly
increasing computational time by 4.59%.
The assessment of the EKF performance depends roughly on the key parameters Q and R, indeed
Wang et al. [17] and Zhao et al. [18] show that picking these values provide a big challenge as the
determination of the noise remains random and difficult. However, these values impact significantly on the
estimation error and the convergence rate of the EKF process. The major contribution of this paper is to
evaluate how the Q and R matrices influence the EKF estimation.
In this work, we proposed a method for estimating SOC using an extended Kalman filter in
combination with the Thevenin battery model. Additionally, we present and discuss the implementation of
the EKF using the MATLAB software. Moreover, we utilize the new European driving cycle (NEDC) [19] as
a load profile for online SOC estimation. The organization of this paper is as follows: i) Section 2 provides
details of the mathematical modeling of the Lithium-ion battery and its parameter identification method used;
ii) Followed by a demonstration of the state-of-charge estimation method employed; iii) Section 3 presents
the proposed method deployed on a MATLAB Simulink program, along with a discussion of the simulation
data; iv) In section 4, we discuss the results obtained from the previous section; and v) Section 5 presents the
conclusion.
2. MATHEMATICAL MODEL
2.1. Lithium-ion battery model
The most common battery models are electrochemical models (EM) and equivalent circuit models
(ECM). An electrochemical model can be used to characterize external characteristics as well as to simulate
changes in distribution and internal characteristics. Any physical meaning that can be attributed to a process
can be represented by these changes. Nonetheless, since the electrochemical parameters and partial
differential equations require considerable amounts of computation, electrochemical models are not
commonly used in practice to assess the reliability of estimates of SOC. Equivalent circuit models, on the
other hand, are more widely used for this purpose.
An equivalent circuit model represents a battery's external properties using hardware circuit
elements like capacitors, resistors, and current loads. Due to their ease of use, these models are widely used
to simulate battery performance. One of the most popular equivalent circuit models used is Thevenin model.
Thevenin model shown in Figure 1 consists of voltage source a parallel RC circuit and a rint model. The
main concept behind using Thevenin model is to characterize the battery's behavior by representing it with an
equivalent resistance in series and a voltage source. The Thevenin model allows for better characterization of
the dynamic properties of the battery compared to simpler models like rint model.
Estimating the state of charge of lithium-ion batteries using different noise inputs (Anas El Maliki)
10 ISSN: 2088-8694
In Figure, the terminal voltage and ohmic voltage are represented by 𝑈𝐿 and 𝑈𝑅 respectively. Here,
𝑅0 stands for the internal resistance. The resistor-capacitor circuit, commonly referred to as the RC circuit,
comprises both polarization resistance 𝑅𝑝 and the polarization capacitance 𝐶𝑝 . This circuit is utilized to
illustrate the polarization effect exhibited by Li-ion batteries, with 𝑈𝑝 indicating the polarization voltage. The
Thevenin battery model equations are defined as (1), employing Kirchhoff's law for their derivation.
𝑈𝐿 = 𝑈𝑜𝑐 − 𝐼𝑅0 − 𝑈𝑝
{ ̇ 1 1 (1)
𝑈𝑝 = − 𝑈𝑝 + 𝐼
𝐶𝑝 𝑅𝑝 𝐶𝑝
As a result, we adopt a sextic polynomial as a fit to the relation. Using 𝑘0 ~𝑘6 as a constants, as (2).
On the other hand, the FFRLS is employed to determine the battery parameters. Generally, recursive least
square (RLS) algorithms are derived from the least square (LS) algorithm, and the basic principle is given by
(3). Based on the Thevenin model described in Figure 1, the transfer function of the battery impedance is
given by the following electrical equation with respect to the Laplace domain as (3).
𝑈(𝑠)−𝑈𝑜𝑐 (𝑠) 𝑅𝑝
𝐺(𝑠) = = − (𝑅0 + ) (3)
𝐼(𝑠) 1+𝑅𝑝 𝐶𝑝 𝑠
A bilinear transformation is used to map as (3) to the Z plane. The transformation is represented
as (4).
𝑎2 +𝑎3 𝑧 −1
𝐺(𝑠) = (4)
1−𝑎1 𝑧 −1
∆𝑡−2𝑅𝑝 𝐶𝑝
𝑎1 =
∆𝑡+2𝑅𝑝 𝐶𝑝
𝑅0 ∆𝑡+𝑅𝑝 ∆𝑡+2𝑅0 𝑅𝑝 ∆𝑡
𝑎2 = (5)
∆𝑡+2𝑅𝑝 𝐶𝑝
𝑅0 ∆𝑡+𝑅𝑝 ∆𝑡−2𝑅0 𝑅𝑝 ∆𝑡
𝑎3 =
{ ∆𝑡+2𝑅𝑝 𝐶𝑝
𝑎2 −𝑎3
𝑅0 =
1−𝑎1
𝑎2 +𝑎3 𝑎2 −𝑎3
𝑅𝑝 = − (6)
1+𝑎1 1−𝑎1
(1−𝑎1 )∆𝑡
𝐶𝑝 =
{ 2(1−𝑎1 )𝑅𝑝
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𝑥𝑘+1 = 𝑓(𝑥𝑘 , 𝑢𝑘 ) + 𝑑𝑘
(7)
𝑦𝑘 = 𝑔(𝑥𝑘 , 𝑢𝑘 ) + 𝑠𝑘
Let 𝑓(𝑥𝑘 , 𝑢𝑘 ) represent the nonlinear state transition function, and 𝑔(𝑥𝑘 , 𝑢𝑘 ) denote the nonlinear
measurement function. Taking into account both the state equation and measurement noise, we can express
(7) as (8).
The state along with the output, is predicted via nonlinear battery models. At time step 𝑘, the
nonlinear battery model is linearized through the predicted state 𝑥̂𝑘− to obtain the matrices 𝐴̂𝑘 , 𝐵̂𝑘 , and 𝐶̂𝑘 .
These matrices are used when calculating and updating the covariance matrix of the state estimation errors
and Kalman gain. This process leads to the main purpose of predicting 𝑥̂𝑘− and 𝑃𝑘− ,
𝑥̂𝑘− = 𝐴𝑥̂𝑘−1
+
+ 𝐵𝑢𝑘−1 + 𝑤𝑘 (9)
𝐾𝑘 = 𝑃𝑘 𝐶(𝐶𝑃𝑘− 𝐶 𝑇 + 𝑅) (11)
Where 𝐾𝑘 represents the Kalman gain vector, R is the covariance matrix of the zero-mean Gaussian
measurement noise 𝑣𝑘 , Q is the covariance matrix of the zero-mean Gaussian process noise 𝑤𝑘 , and 𝑃𝑘 is the
covariance matrix of the state estimation error.
3. METHOD
The proposed model consists of three parts, as illustrated in Figure 2. The first part is the data input,
where the input data is initialized. The FFRLS algorithm and the HPPC test are considered to determine the
initial values for variables 𝑘0 to 𝑘6 and (𝑅0 , 𝑅𝑝 , 𝐶𝑝 ) in the system. These values play a crucial role in
predicting the load state. Moving on to the second part, known as the Thevenin model, it involves two sub-
steps. In step A, the model estimates certain parameters. Then, in step B, the SOC-OCV calculation is
performed, which estimates the terminal voltage defined by (1). The third part is the SOC estimation, where
the EKF algorithm is utilized. This estimation process comprises two steps. First, the model calculates the
predicted state and current state. Next, the process incorporates initial noises Q and R as inputs. Finally, the
state filter determines the resulting estimated SOC value. Notably, the proposed MATLAB model's current
profile is derived from the new European driving cycle (NEDC) [23]. These three interconnected parts work
together to predict and estimate various parameters and the state of charge in the system under study.
Estimating the state of charge of lithium-ion batteries using different noise inputs (Anas El Maliki)
12 ISSN: 2088-8694
Start
State Of
Battery load
Charge
Thevenin Model
VL ( t ) = Vocv − R p iRp ( t ) − R0i ( t )
diRp ( t ) 1 1
=− iR ( t ) + i (t )
dt RpC p p RpC p
Thevenin Model
The NEDC current profile illustrated in Figure 3 has been used to construct the simulation of the
battery using the proposed model. Based on the key parameters on both Tables 2 and 3, Figure 4 presents
Thevenin model estimation of terminal voltage. Additionally, Figure 5 demonstrates the empirical model for
estimating the state of charge. The HPPC test is conducted to gain the connection between OCV and SOC.
The results obtained are fitted via a sixth-order polynomial with 𝑘0~6 shown at Table 2 [24]. The system
parameter identification is employed to obtain the parameter of the model on the basis of the SOC-OCV
curve. Here the result of the parameters based on the FFRLS function is given in Table 3 [25].
Although the EKF estimation is adopted to estimate the SOC, their initial values of the Kalman
parameters are determined as (14).
𝑃0 = [1𝑒
−1
0 ], 𝑄 = [Qa 0
] = [2𝑒
−8
0 ], 𝑅 = 2𝑒 −1 (14)
0 1𝑒 −1 0 Qb 0 5𝑒 −3
In accordance with (14), those values can be considered inputs to the EKF algorithm, as can be seen in
Figure 6, which shows a comparison between the AH empirical method and the EKF SOC estimation of the
NEDC test profile load for an electric vehicle, as well as Figure 7, which shows the respective errors of the
methods.
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Figure 6. SOC Estimation results of the Figure 7. SOC Estimation error results of the
proposed model proposed model
Estimating the state of charge of lithium-ion batteries using different noise inputs (Anas El Maliki)
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the proposed model, SOC results are influenced by three key parameters: i) Qa, ii) Qb, and iii) R.
Additionally, two other parameters X and Y have a direct effect on these three key parameters. This
relationship can be expressed as 𝑄𝑎 = 𝑋𝑒 −𝑌 , and similarly for Qb and R, and vice versa.
Figure 8. SOC estimation results under varied sub- Figure 9. SOC estimation error results under varied
parameters X and Y of Qa & Qb sub-parameters X and Y of Qa & Qb
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Figure 10. SOC estimation results under varied sub- Figure 11. SOC estimation error results under varied
parameters X and Y of Qa sub-parameters X and Y of Qa
Figure 12. SOC estimation results under varied sub- Figure 13. SOC estimation Error results under varied
parameters X and Y of Qb sub-parameters X and Y of Qb
Estimating the state of charge of lithium-ion batteries using different noise inputs (Anas El Maliki)
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According to Table 6, Figures 12 and 13 shows the measured and estimated SOC, along with the
errors resulting from the conventional EKF algorithm. With 𝑄𝑏 = 5𝑒 −1 , this algorithm induces a very small
error in comparison with other EKF algorithms. As a result of the Y factor being varied from 6 to 1, the
maximum SOC estimation error has decreased from 0.8970% to 0.4554%, while the RMSE has decreased
from 0.0068 to 0.0030.
Figure 14. SOC estimation results under varied sub- Figure 15. SOC estimation Error results under varied
parameters X and Y of R sub-parameters X and Y of R
5. CONCLUSION
To enhance the SOC estimation method's accuracy, we utilized the Thevenin model with an
extended Kalman filter. Additionally, we introduced the new European driving cycle (NEDC) for testing
purposes. The simulated data results demonstrate that our proposed model can predict SOC with a root mean
square error (RMSE) of approximately 0.68%. During the implementation of the EKF algorithm, During the
implementation of the EKF algorithm, we observed that the initial noise values of both the process
covariance matrix Q and the measurement noise covariance matrix R significantly affect the state estimation
process. To analyze this effect, we varied the initial noise matrices (Q and R) in MATLAB/Simulink. The
comparative results indicate that the SOC estimation accuracy was notably improved, reducing the maximum
SOC estimation error from 1.8826% to 0.3082%, and the RMSE from 0.0140 (1.4%) to 0.0020 (0.2%).
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BIOGRAPHIES OF AUTHORS
Estimating the state of charge of lithium-ion batteries using different noise inputs (Anas El Maliki)
18 ISSN: 2088-8694
Abdessamad Benlafkih received the B.S. and M.S. degrees, from the University
of Sciences Dhar El Mehraz Fez, In 1997 and 2003, respectively, and the Ph.D. degree in
electrical engineering from the University Ibn Tofail Kenitra in 2015. He was a teacher in the
secondary cycle from 2004 to 2020. In 2020, he has been a Professor of Electrical Power
Engineering at University Ibn Tofail Kenitra Morocco. He can be contacted at email:
[email protected]
Int J Pow Elec & Dri Syst, Vol. 15, No. 1, March 2024: 8-18