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AbstractBatteries and supercapacitors (SC) complement one A battery and an SC have different characteristics in their op-
another; a battery has a relatively high energy density but a low eration. A battery has a relatively high energy density but a low
power density, whereas an SC has a relatively high power density power density compared to an SC. The low power density leads
but a low energy density. In order to offset their opposing limita-
tions, an active battery/SC hybrid energy storage system (HESS)
to the following problems: 1) a large number of battery packs
using a dc/dc converter has been proposed. The major problem are needed to provide sufficient peak power to the electrical sys-
concerning an active HESS is in how to control the current flow tems, and 2) the life of battery can be diminished through the
in order to achieve two objectives: the minimization of the mag- large variations of current flow that generate excessive heat and
nitude/fluctuation of the current flowing in and out of the battery increase the internal resistance of the battery. In contrast, an SC
and the energy loss seen by the SCs. This problem has not been has a relatively high power density but a low energy density
analytically investigated for an optimal solution regarding these
two goals. In this paper, we present an optimal energy manage-
compared to battery. Due to the low energy density, an SC is
ment scheme for active HESS. In order to obtain the optimal so- rarely used alone in energy storage systems.
lution, we formulate the problem as an optimization problem con- In order to offset the battery and SC weaknesses, a battery/SC
cerning these two objectives. Observing that the feasibility and op- hybrid energy storage system (HESS) has been proposed
timality of the solution critically depends on the boundary param- [1][3]. In general, a HESS can be categorized into two types:
eters of the problem, we present an algorithm that effectively ad- the passive HESS and the active HESS. The representative
justs the parameter values. The proposed algorithm is based on the
multiplicative-increase- additive-decrease principle, which guar-
characteristic of a passive HESS is the direct connection of the
antees a feasible optimal solution. Through MATLAB simulations, battery and SC in parallel. Although the passive topology is
we demonstrate that the proposed scheme can optimally minimize easy to implement in electric systems, the passive HESS shows
the magnitude/fluctuation of the battery current and the SC energy a restriction in managing the power flow. Because the battery
loss. and SC have the same voltage, the power sharing ratio between
Index TermsBattery, convex optimization, DC/DC converter, the battery and SC is determined by their internal resistances. In
energy management, hybrid energy storage, supercapacitor. order to overcome this limitation, bidirectional dc/dc converters
are used in the active HESS. The dc/dc converter permits the
t battery and SC to have different voltages and makes the energy
flow controllable. In order to effectively control the energy
I. INTRODUCTION flow, several different types of HESS topologies have been
A S FOSSIL fuels have been considered as main cause proposed [4][6]. When the energy flow in HESS became
of global warming in recent years, electric energy has controllable through the dc/dc converter, improved schemes
received a great deal of attention as a substitute. One of the for the HESS energy management have been investigated for
advantages of electricity is that it can be generated in clean stable operation of the electric systems. When controlling the
and efficient ways, i.e., solar and wind power. Electric vehicles energy flow in general energy management systems, two kinds
(EVs) and smart home energy systems are good examples of goals are generally considered:
that rely on electric energy, which typically require storage 1) The magnitude/fluctuation of the current flowing in or out
devices such as a battery and a supercapacitor (SC). Since the of a battery needs to be minimized in order to prevent the
performance of these applications significantly depends on the life of battery from being diminished.
electric energy storage devices, it is important to develop an 2) The energy loss caused by the internal resistance of the
efficient method for the optimal energy management of the SC needs to be minimized in order to extend the battery
battery and SC. discharge duration.
Although these two goals are important in designing a HESS,
Manuscript received March 16, 2011; revised July 22, 2011; accepted July 26, most of the related works [7][11] do not consider them or only
2011. Date of publication October 14, 2011; date of current version February 23, considered one of them. Moreover, the previous works did not
2012. This work was supported by Basic Science Research Program through provide a solution that can guarantee the global optimum current
the National Research Foundation of Korea (NRF) funded by the Ministry of
Education, Science and Technology (2011-0001273), and partially by Institute flow needed to satisfy these two goals.
of New Media and Communications, Seoul National University. Paper no. TSG- Dougal et al. [7] analyzed the passive HESS used in pulsed
00102-2011. current applications in terms of three terms: peak power, internal
The authors are with the Department of Electrical Engineering and Com-
puter Science, Seoul National University, Seoul 151-742, Korea (e-mail: me-
losses, and discharge life. Based on their theoretical analysis,
choi@cnslab.snu.ac.kr; swkim@cnslab.snu.ac.kr; sseo@snu.ac.kr). the solution used to determine the optimum combination of bat-
Digital Object Identifier 10.1109/TSG.2011.2164816 tery and SC was presented. However, it cannot be applied to an
active HESS because the decision parameters are the number of rameters in the optimization problem. In order to handle
SCs used, not the current flow. Dougal et al. [8] also verified that this observation, we designed an algorithm that adjusts
a dc/dc converter can be used to reduce the current fluctuation the boundary parameters based on the multiplicative-in-
of the battery in a pulse-operated power system. Their scheme crease- additive-decrease (MIAD) principle. We demon-
is not appropriate for application to an environment where the strate that the increase of the computational complexity
battery and SC are connected to a dc bus, because the range of caused by adapting the MIAD principle is negligible com-
the SC voltage is limited by the direct connection between SC pared to the complexity of an existing optimization solver.
and dc bus. Napoli et al. [9] proposed a control strategy for the The total iteration complexity of the solver is
active HESS in where the battery, SC, and a fuel cell are con- where is the number of inequality constraints in the op-
nected to a dc bus through a multiple input dc/dc converter. In timization problem.
their strategy, there were constraints which set the maximum The remainder of paper is organized as follows: In Section II,
permissible power and fluctuation of power. The main draw- the HESS topologies including the HESS topology considered
back of their scheme is in that they did not try to minimize in this paper are explained. In Section III, we formulate the opti-
the maximum power fluctuation and power value. Lukic et al. mization problem for the HESS energy management. Section IV
[10] tried to choose an optimal strategy from given strategies presents the algorithm for guaranteeing a feasible optimal so-
for active HESSs. The given strategies are selected to keep the lution. The simulation results are shown in Section V. Finally,
state of charge (SoC) of the SC constant, to keep the total power conclusions are drawn in Section VI.
constant, and to maximize the SC power. The limitation of this
approach is in that the considered parameter in controlling the II. ACTIVE HYBRID ENERGY STORAGE SYSTEMS
power flow uses the SoC of the battery and SC, not the current In active HESSs, energy storage devices are connected to a
variation. Zhang et al. [11] experimented with changing the split dc bus through dc/dc converters. The dc/dc converters permit
ratio of the current between the battery and SC. The considered the voltage of the energy storage devices to be different from
ratios, i.e., 1/5, 3/3, and 5/1, led to the battery and the SC to be the dc bus voltage. In regards to the active HESS structures,
charged or discharged simultaneously. This particular strategy there are several types of topologies. In this section, we review
cannot deliver enough power to the loads if the SC capacitance the existing HESS topologies and introduce the HESS topology
is insufficient. considered in this paper.
In this paper, we investigate the energy management opti-
mization for a battery/SC HESS. The architecture of the active A. A Review of Active Hybrid Energy Storage Systems
HESS considered in this paper is comprised of a battery and a) SC-only connected through a dc/dc converter
multiple SCs, both of which are connected to a dc bus through [Fig. 2(a)]: The battery is connected directly to the
dc/dc converters. Multiple loads are connected to the dc bus. terminal of the inverter whereas the SC is connected
The loads have a heterogeneous operating profile one with an- through a dc/dc converter. Due to the direct connection
other; some loads may be generators, some other nodes only of the battery, the terminal voltage of the inverter can
consume electric energy, and others both consume and generate be constantly maintained. When an instantaneous high
electric energy. Our contributions can be summarized as fol- power is required or absorbed, however, the battery can
lows: be severely damaged because there is no buffer between
a) We propose an optimal energy management scheme for the battery and the inverter.
HESS. For the optimal control of the energy flow, we sug- b) Battery-only connected through a dc/dc converter
gest two main objectives: minimize the magnitude/fluc- [Fig. 2(b)]: The SC is directly connected to the terminal
tuation of current flowing in/out of battery, and minimize of an inverter whereas the battery is connected through a
the energy loss in the HESS. dc/dc converter. The SC acts as a buffer against a rapid
b) We obtain the optimal solution for controlling the cur- power flow change. As a result, the battery is protected
rent flow in the HESS by formulating the optimization and the energy flow can be effectively controlled. How-
problem. To the best of our knowledge, it is the first time ever, in this topology, the working range of the SC is
that the energy management scheme for a battery/SC limited due to the constantly maintained SC voltage.
HESS is mathematically formulated as an optimization c) Cascaded connection of Battery/SC using dc/dc con-
problem. verters [Fig. 2(c)]: The SC is connected to the inverters
c) We solve the original nonconvex problem by converting it terminal through a dc/dc converter, and the battery is con-
to a convex optimization problem. The problem regarding nected to the SCs terminal through an additional dc/dc
the minimization of the magnitude/fluctuation of the cur- converter. The dc/dc converter between the inverter and
rent flowing in/out of battery is formulated as a penalty the SC increases the working range of the SC. However
function approximation problem: a convex optimization the dc/dc converter connected to the terminal of inverter
problem. The problem for minimizing the energy loss from requires a large amount of power for operation because
the internal resistance of the SC is formulated as a norm ap- the converter is located at the current flow bottleneck.
proximation problem, which is also a convex optimization d) Battery/SC connected through their respective dc/dc
problem. Finally, these two problems are combined into a converters [Fig. 2(d)]: The battery and SC are individ-
single problem that has multiple object functions. ually connected to inverter terminal through their own
d) We observe that the feasibility and optimality of the solu- dc/dc converter. This topology shows a good perfor-
tion critically depends on the values of the boundary pa- mance, especially for the controllability of current flow,
CHOI et al.: ENERGY MANAGEMENT OPTIMIZATION IN A BATTERY/SUPERCAPACITOR HYBRID ENERGY STORAGE SYSTEM 465
applications, e.g., energy management systems for hybrid elec- Log barrier penalty function :
tric vehicles [14][18]. The profile of the future operation of
the loads is useful in controlling the instantaneous operation of
the HESS. For example, the behavior of a motor in the EV is
strongly related to the terrain of the road or the traffic condi-
tions in front of the vehicle. If the EV will be on an uphill road
in a few second, the SC in EV needs to be fully charged in order where is a given parameter that decides the distri-
to support acceleration. Similarly, if the EV is due to undergo a bution range of . Due to the infinite penalty for ,
downhill course in the near future, the SoC of SC needs to be it is hard for to be larger than or smaller than . The
minimized in order to capture as much of the regenerative en- magnitude/fluctuation of the battery current can be limited
ergy as possible. within a certain boundary by applying the log barrier func-
tion to the objective function.
Among these penalty functions, we can choose one for
the objective function of according to the battery char-
A. Minimization of Magnitude/Fluctuation of Battery Current acteristics. Using the penalty functions, is formulated as
a penalty function approximation problem [20]. The objec-
When controlling the current flow in the HESS, the magni- tive function for the battery current magnitude is defined by
tude and fluctuation of the current flowing in/out of the battery , and that for the battery current fluctuation
must be minimized because they cause an increase in the in- is defined by where and
ternal resistance of the battery which may diminish the battery are adjustable. The formulation of can be represented as
lifetime. In this section, we formulate the original problem as an
optimization problem (denoted as ) that minimizes the mag-
nitude/fluctuation of the current flowing in/out of the battery.
The magnitude of the battery current and the current
fluctuation of the battery can be denoted as and
, respectively. The cumulated values of
these two variables for the opertation time , (
and ) can then be chosen as an ob-
jective function in the formulation of . However, generally,
the damage to the battery is exponentially proportional to the
increase of the magnitude/fluctuation of the battery current.
For example, if the battery damage is 1 in case of ,
then the damage to the battery becomes 3 or over 3 not 2 when
. Therefore, the objective function of needs
to be generalized in order to reflect the possible exponential
damages. In order to define the objective function, the penalty (1)
function can be used. The representative penalty functions
are described as [20]: where is the considered time period. The decision variables
norm function: , where . are , , and . Note that because the
if is infinite. When scale of is relatively large compared to that of
the -norm function is applied to the objective . is a trade-off weighting factor which
function of , the optimization problem is formulated can be properly adjusted. When (or 1), becomes the
as a min-max optimization problem that minimizes the problem that minimizes the current fluctuation of battery (or
peak current of the battery . the magnitude of the battery current). In order to determine the
Deadzone-linear penalty function: appropriate value of , the equivalent cost function
needs to be defined to evaluate the damage from the magnitude
and fluctuation of the current flowing through the battery. Using
the function , the proper value of can be obtained by
that the initial capacitor charge is fixed to be equal to the final order to increase the battery discharge duration. The energy loss
capacitor charge so that the net energy change is zero during the in the HESS is proportional to the sum of the power loss induced
operation. The inequality constraint sets the limit. by all of the SCs during the operation .
Note that the formulation shown in (1) is not in the form of a Therefore, the objective function in the optimization problem
convex optimization problem because there is an absolute term, (denoted as ) that minimizes the energy loss in HESS can be
i.e., , in the constraints. In order to remove the abso- represented as
lute term for formulating as a convex optimization problem,
is changed into the sum of two terms and
as where is the current fol-
lowing into the , and is the current flowing out of where is a function of the norm. The objective function
the . As a result, can be rewritten in the following matrix can be cast as an LP
form of a convex optimization problem:
(2)
where
Fig. 6. The simulation results from solving the problem of energy management
in the HESS at , , , , and . A log
barrier penalty function was applied in our algorithm. (a) The battery current
obtained by our algorithm and Napolis strategy. (b) The SC current obtained
by our algorithm. (c) The SC voltage obtained by our algorithm.
V. CONCLUSION
In this paper, the optimization of the energy management
in battery/SC hybrid energy storage systems has been inves-
tigated. We described optimization approaches to achieve
two objectives: the minimization of the magnitude/fluctuation
of the battery current and the energy loss in the HESS. We
proposed an algorithm to adjust the boundary parameters
Fig. 7. The adjustment of the boundary parameters and in Algorithm 2.
based on the multiplicative-increase-additive-decrease (MIAD)
Their initial values were , , , , and . principle. The proposed algorithm can guarantee a feasible
optimal solution within a few iterations. As a result, the energy
flow in the HESS can be optimally controlled. The life of
values and fluctuations compared to the result obtained by our
the battery can be extended and the size of battery can be
strategy. If the initial values of and (or and )
reduced through our scheme because it effectively minimizes
are much larger than 26 (or 0.8), the performance gap between
the magnitude/fluctuation of the battery current. Therefore, the
the two methods increases during the operation because
proposed optimization scheme is suitable to be deployed in
(or ) is not controllable whereas (or ) is controllable.
state-of-the-art applications, e.g., EVs or smart home energy
Fig. 6(b) shows the changing pattern of the SC currents con-
systems, where a small size and a longer life of battery has
trolled by our algorithm solving . The SCs tend to be charged
been strongly required.
before the loads require large amounts of power and to be dis-
charged before the regenerative current is delivered to the en-
ergy storage devices. It means that previewing the future profiles APPENDIX
of the load current helps in obtaining a more effective energy PROOF OF 2ND CONSTRAINT IN
management in the HESS. The SC currents were changed more The second constraint in can be rewritten as follows:
dynamically than the battery current. This result is in agreement
with the characteristics of SC in that SCs are good at supplying
high peak current and extremely fluctuated current. We can also
see that the SCs, having a higher capacitance, can provide rela-
tively large amounts of current for a short duration. Note that the
amount of current flowing through is larger than that through
the other SCs even though because has the smallest
ESR among the SCs; it means that the energy loss induced by
the SCs was minimized.
Fig. 6(c) shows the SC voltages changing over the operation
time. We can see that the net voltage change of the SCs is equal
to zero over the operation time. It means that the SoC of the SC
can be maintained as constantly as possible by our optimization
method; the SCs can be stably operated as a result.
[2] J. P. Zheng, T. R. Jow, and M. S. Ding, Hybrid power sources for Mid-Eum Choi received the B.S. degree in electrical
pulsed current applications, IEEE Trans. Aerosp. Electron. Syst., vol. engineering from Korea University, Seoul, in 2008.
1, no. 1, pp. 288292, Jan. 2001. He is currently working toward the Ph.D. degree in
[3] H. W. Brandhorst Jr. and Z. Chen, Achieving a high pulse power the Department of Electrical Engineering and Com-
system through engineering the battery-capacitor combination, in puter Science, Seoul National University, Korea.
Proc. 16th Annu. Battery Conf. Appl. Adv., Jan. 2001, pp. 153156. He is a Researcher with the Intelligent Vehicle
[4] D. Liu and H. Li, A three-port three-phase DC-DC converter for hy- IT (IVIT) Research Center, Korea, funded by the
brid low voltage fuel cell and ultracapacitor, in Proc. Conf. Ind. Elec- Korean Government and Automotive Industries. His
tron., Jun. 2003, pp. 13691374. current research areas include hybrid energy storage
[5] S. Pay and Y. Daly, Effectiveness of battery-supercapacitor combina- system, intelligent vehicles, and smart grid.
tion in electric vehicles, in IEEE Proc. Power Tech. Conf., Jun. 2003,
vol. 3, pp. 16.
[6] A. C. Baisden and A. Emadi, Advisor-based model of a battery and an
ultra-capacitor energy source for hybrid electric vehicles, IEEE Trans.
Veh. Technol., vol. 53, no. 1, pp. 199205, Jan. 2004. Seong-Woo Kim received the B.S. and M.S. degrees
[7] R. A. Dougal, S. Liu, and R. E. White, Power and life extension of bat- in electronics engineering from Korea University,
tery-ultracapactor hybrids, IEEE Trans. Compon. Packag. Technol., Seoul, in 2005 and 2007, respectively. He is cur-
vol. 25, no. 1, pp. 120131, Mar. 2002. rently working toward the Ph.D. degree with the
[8] L. Gao, R. A. Dougal, and S. Liu, Power enhancement of an actively Department of Electrical Engineering and Computer
controlled battery/ultracapacitor hybrid, IEEE Trans. Power. Elec- Science, Seoul National University.
tron., vol. 20, no. 1, pp. 236243, Jan. 2005. His research interests include real-time monitoring
[9] A. D. Napoli, F. Crescimibini, F. G. Capponi, and L. Solero, Constrol and control of mobile vehicles, financial markets, and
strategy for multiple input DC-DC power converters devoted to hybrid power systems under uncertainty.
vehicle propulsion systems, in Proc. IEEE Int. Symp. Ind. Electron., Mr. Kim received the Best Student Paper Award
May 2002, pp. 10361041. at the 11th IEEE International Symposium on Con-
[10] S. M. Lukic, S. G. Wirasingha, F. Rodriguez, J. Cao, and A. Emadi, sumer Electronics and the Outstanding Student Paper Award at the first IEEE
Power management of an ultracapacitor/battery hybrid energy storage International Conference on Wireless Communication, Vehicular Technology,
system in an HEV, in IEEE Veh. Power Prop. Conf., Sep. 2006, pp. Information Theory, and Aerospace and Electronic Systems Technology.
16.
[11] Y. Zhang, Z. Jiang, and X. Yu, Control strategies for battery/super-
capacitor hybrid energy storage systems, in Proc. IEEE Energy 2030
Conf., Nov. 2008, pp. 16. Seung-Woo Seo received the B.S. and M.S. de-
[12] J. Cao and A. Emadi, A new battery/ultra-capacitor hybrid energy grees in electrical engineering from Seoul National
storage system for electric, hybrid and plug-in hybrid electric vehicles, University, Seoul, Korea, and the Ph.D. degree
in Proc. IEEE Veh. Power Propulsion Conf. (VPPC 09), pp. 941946. in electrical engineering from Pennsylvania State
[13] Z. Guoju, T. Xisheng, and Q. Zhiping, Research on battery superca- University, University Park.
pacitor hybrid storage and its application in microgrid, in Proc. 2010 He was with the faculty of the Department of
Power Energy Eng. Conf. (APPEEC), 2010, pp. 14. Computer Science and Engineering, Pennsylvania
[14] W. Huang, D. M. Bevly, X. Li, and S. Schnick, 3D road geometry State University, and served as a Member of the
based optimal truck fuel economy, in Proc. ASME Int. Mech. Eng. Research Staff with the Department of Electrical
Congr. Expo., 2007, pp. 6370. Engineering, Princeton University, Princeton, NJ.
[15] C. Zhang, A. Vahidi, P. Pisu, X. Li, and K. Tennant, Role of ter- In 1996, he joined the faculty of Seoul National
rain preview in energy management of hybrid electric vehicles, IEEE University, where he served as the Director of the Information Security Center
Trans. Veh. Technol., vol. 59, no. 3, pp. 11391147, Mar. 2010. for five years. He is currently a Professor of Electrical Engineering with the
[16] V. H. Johnson, K. B. Wipke, and D. J. Fhusen, HEV control strategy Department of Electrical Engineering and Computer Science, Seoul National
for real-time optimization of fuel economy and emissions, Soc. University, and the Director of Intelligent Vehicle Research Center, which is
Autom. Eng., pp. 2000-01-15432000-01-1543, 2000. funded by the Korean Government and automotive industries. His research
[17] E. D. Tate and S. P. Boyd, Limits of performance for hybrid electric areas include vehicular electronics and communication networks, network
vehicles, Soc. Autom. Eng., pp. 00FTT-5000FTT-50, 2000. security, and system optimization.
[18] A. Kleimaier and D. Schroder, Design and control of a hybrid vehicle Dr. Seo has served as the Chair or a Committee Member for several interna-
by optimal control theory, in Proc. IPEC-Tokyo 2000, pp. 21862191. tional conferences and workshops, including the IEEE International Conference
[19] Karmarkar and Narendra, A new polynomial time algorithm for linear on Computer Communications, the IEEE Global Communications Conference,
programming, Combinatorica, vol. 4, no. 4, pp. 373395, 1984. the IEEE Symposium on Personal, Indoor, Mobile, and Radio Communications,
[20] S. Boyd and L. Vandenberghe, Convex Optimization. Cambridge, the IEEE Vehicular Technology Conference, and the IEEE International Confer-
U.K.: Cambridge Univ. Press, 2004. ence on Wireless Communication, Vehicular Technology, Information Theory,
[21] Maxwell Technologies [Online]. Available: http://www.maxwell.com and Aerospace and Electronic Systems Technology.