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Kim, T.; Wang, Y.; Sahinoglu, Z.; Wada, T.; Hara, S.; Qiao, W
Abstract
This paper proposes a novel parameter identification method for model-based condition moni-
toring of lithium-ion batteries. A fast UD factorization-based recursive least square (FUDRLS)
algorithm is developed for identifying time-varying electrical parameters of a battery model.
The proposed algorithm can be used for online state of charge, state of health and state of power
estimation for lithium-ion batteries. The proposed method is more numerically stable than con-
ventional recursive least square (RLS)-based parameter estimation methods and faster than the
existing UD RLS-based method. Moreover, a variable forgetting factor (VF) is included in the
FUDRLS to optimize its performance. Due to its low complexity and numerical stability, the
proposed method is suitable for the real-time embedded Battery Management System (BMS).
Simulation and experimental results for a polymer lithium-ion battery are provided to validate
the proposed method.
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Copyright
c Mitsubishi Electric Research Laboratories, Inc., 2014
201 Broadway, Cambridge, Massachusetts 02139
MERLCoverPageSide2
Fast UD Factorization-Based RLS Online Parameter Identification
for Model-Based Condition Monitoring of Lithium-ion Batteries
Taesic Kim, Student Member, Yebin Wang, Member, IEEE, Zafer Sahinoglu, Senior Member, IEEE, Toshihiro
Wada, Satoshi Hara, Wei Qiao, Senior Member, IEEE
Abstract—This paper proposes a novel parameter from model-based estimation methods due to absence of
identification method for model-based condition monitoring of sensors for direct measurements of these quantities. The
lithium-ion batteries. A fast UD factorization-based recursive goal of parameter estimation/identification is to capture
least square (FUDRLS) algorithm is developed for identifying
time-varying electrical parameters of a battery model. The
time-varying parameters of a real-time battery model, which
proposed algorithm can be used for online state of charge, state is used for condition monitoring of lithium-ion batteries,
of health and state of power estimation for lithium-ion such as SOC, SOH [3], and SOP [4] estimation.
batteries. The proposed method is more numerically stable
than conventional recursive least square (RLS)-based A variety of real-time battery parameter estimation
parameter estimation methods and faster than the existing UD methods have been developed, which, in general, can be
RLS-based method. Moreover, a variable forgetting factor classified into two categories: Kalman filter-based methods
(VF) is included in the FUDRLS to optimize its performance. and linear least square regression based-methods. In the first
Due to its low complexity and numerical stability, the proposed category, linear Kalman filter [4], joint extended Kalman
method is suitable for the real-time embedded Battery
filter (JEKF) [5], dual extended Kalman filter (DEKF) [6],
Management System (BMS). Simulation and experimental
results for a polymer lithium-ion battery are provided to and dual sigma point Kalman filter (SPKF) [7] have been
validate the proposed method. used to estimate parameters and states of a state-space
battery model simultaneously. In general, the Kalman filter-
Index Terms—Fast UD recursive least square (FUDRLS), based methods provide an accurate solution. However, the
lithium-ion battery, parameter identification, variable estimation error can be large when the process noise and the
forgetting factor (VF)
measurement noise are uncorrelated with zero mean white
I. INTRODUCTION Gaussian and their covariance values are not properly
defined. Moreover, they incur high computational
Lithium-ion batteries have gained more pervasive use in
complexity, thus may be difficult to implement in real-time
numerous applications from electronics to power tools due
embedded systems.
to their high energy and power densities and long cycle life
[1]. However, the concerns of using lithium-ion batteries are Linear least square regression based-methods are by far
reliability and performance degradation due to low thermal most widely used to estimate parameters of a battery model
stability and aging process. Therefore, a battery due to their low computational cost and relatively high
management system (BMS) is required to monitor and accuracy. In order to perform online estimation of time-
control the conditions of batteries [2]. A key function of the varying parameters, recursive least square (RLS) [8], [9]
BMS is to monitor the state of charge (SOC), state of health and moving window least square (MWLS) [10], [11] have
(SOH), instantaneous available power (i.e., SOP), been introduced with an exponential forgetting factor (EF).
Recently, a Bierman’s UD factorization-based RLS
T. Kim is with the Department of Computer Science and Engineering estimation method with an EF [12] has been proposed to
and W. Qiao is with the Department of Electrical Engineering, University solve the digital computer implementation problem of RLS.
of Nebraska-Lincoln, Lincoln, NE 68588-0511, USA (e-mail:
taesickim@huskers.unl.edu; wqiao@engr.unl.edu). This work was done However, it has drawbacks such as wind-up when a data
while T. Kim was an intern with Mitsubishi Electric Research Laboratories, vector is not persistently exiting [13] as well as nonoptimal
201 Broadway, Cambridge, MA 02139, USA. tracking ability and noise influence due to the constant
Y. Wang and Z. Sahinoglu are with Mitsubishi Electric Research
Laboratories, 201 Broadway, Cambridge, MA 02139, USA. forgetting factor [13].
{yebinwang,zafer}@merl.com
T. Wada and S. Hara are with the Advanced Technology R&D Center This paper proposes a parameter estimation method
Mitsubishi Electric Corporation, 8-1-1, Tsukaguchi-honmachi, Amagasaki called fast UD recursive least square (FUDRLS), which is
City, 661-8661, Japan. Wada.Toshihiro@bx.MitsubishiElectric.co.jp, an alternative matrix form of the Bierman’s UD update
Hara.Satoshi@cb.MitsubishiElectric.co.jp
equations [14] by using a matrix triangularization method
parameters including impedance and capacity, etc., during [15]. This approach will be more attractive to be used in
operation [3]. It is well-understood that the online embedded systems due to a pipeline implementation and
parameters and states can only be reconstructed, typically,
extension to vector measurements [16]. The proposed é1 0 0 ù
é SOC ( k + 1)ù ê ú é SOC ( k )ù
method is more numerically stable than conventional RLS- êV ( k + 1) ú = ê0 exp( - Ts ) 0ú × êV ( k ) ú
based parameter estimation and faster than the existing UD ê d ú ê Rc × C d ú ê d ú
êëVh ( k + 1) úû ê ú êëVh ( k ) úû (1)
RLS-based method. Furthermore, a VF method is included ë0 0 H û
to address limitations of the EF method. The proposed é - hTs / C max 0 ù
parameter identification algorithm is suitable for real-time ê ú i (k )
- Ts éB ù
embedded BMS due to low complexity and easy + ê Rc (1 - exp( )) 0ú × ê
ê Rc × C d ú ëVh max úû
implementation. The proposed method is validated by ê ú
simulation and experimental results for a polymer lithium- ë0 ( H - 1) sign(i B ) û
ion battery. (2)
Vcell (k ) = Voc ( SOC ) - Vd (k ) - Rs × i B (k ) + Vh (k )
Voc ( SOC ) = a 0 exp( -a1 SOC ) + a 2 + a 3 SOC - a 4 SOC + a5 SOC (3)
2 3
II. THE BATTERY MODEL where η is the Coulomb efficiency (assuming η = 1); Ts is
An accurate battery model is important to obtain a the sampling period; iB(k) is the instantaneous current of the
precise estimation of those parameters. In addition, a battery at the time index k; Vhmax is the maximum hysteresis
balance between the accuracy and complexity of the battery voltage which may be a function of SOC; ρ is the hysteresis
model should be considered for real-time condition parameter, which represents the convergence rate.
monitoring in embedded systems. In general, electrical
Due to the nonlinearity of hysteresis voltage Vh, it is not
circuit battery models are suitable for embedded system
easy to estimate all parameters. Therefore, a simplified real-
applications due to the low complexity and the ability of
time battery model has been used by assuming that VOC is
predicting battery cell current-voltage (I-V) dynamics [17].
parameterized by b1·SOC+b0, which can be expressed as
The hysteresis effect [18], which shows an equilibrium
follows [11]:
difference between battery charging and discharging, is a
fundamental phenomenon of batteries. It was also é - hTs ù
é SOC (k + 1)ù é1 0 ù é SOC ( k )ù ê ú × i (k ) (4)
demonstrated that the first-order resistor-capacitor (RC) êV (k + 1) ú = ê0 F ú × êV (k ) ú + ê C max ú B
model with a hysteresis, as shown in Fig. 1, provides a good ë d û ë û ë d û ê R (1 - F )ú
ë c û
balance between model accuracy and complexity [19].
é SOC (k )ù
Vcell ( k ) = [b1 - 1] ê ú - Rs × i B ( k ) + b0
(5)
In Fig 1, the VOC (i.e., the open-circuit voltage OCV), ëVd (k ) û
includes two parts. The first part, denoted by Voc(SOC),
represents the equilibrium OCV, which is used to bridge the where F = exp(-Ts/τ), τ = Rc·Cd, is the time constant of the
SOC to the cell open-circuit voltage. The second part Vh is battery; Cmax denotes the maximum capacity of the battery.
the hysteresis voltage to capture the nonlinearity of OCV. III. ELECTRICAL PARAMETER IDENTIFICATION OF
The RC circuit models the I-V characteristics and the LITHIUM-ION BATTERY
transient response of the battery cell. Particularly, the series
Because battery parameters change due to variations of
resistance, Rs, is used to characterize the charge/discharge
the SOC, temperature, and charge/discharge current rate,
energy losses of the cell; the charge transfer resistance, Rc,
etc., online parameter estimation algorithm is required. The
and double layer capacitance, Cd, are used to characterize
FUDRLS method is employed to identify the internal
the short-term diffusion voltage, Vd, of the cell; Vcell
parameters of the electrical circuit model which include the
represents the terminal voltage of the cell. Defining H(iB) =
electrical impedances Rs, Rc, and Cd. The z-transfer function
exp(-ρ|iB(k)|Ts), a discrete-time state-space version of the
of (4) and (5) is given [20]:
real-time battery model is expressed as follows:
Vcell ( z ) - b0 x + x 4 z -1 + x 5 z -2 (6)
= C ( zI 2´2 - A) -1 B + D = 3
i B ( z) 1 + x1 z -1 + x 2 z - 2
where
é - Ts ù
é1 0 ù
A= ê ú , B = ê C max ú, C = [b - 1], D = - Rs (7)
ê ú 1
ë0 F û êë R c (1 - F )úû
ì - b1Ts
ï x1 = - F - 1, x 2 = F , x 3 = - R s , x 4 = C + R c ( F - 1) + R s ( F + 1)
ï max
í
ï x = R (1 - F ) + F æç b1Ts - R ö÷
ï 5 c çC s ÷
Fig. 1. The first-order RC model with a hysteresis. î è max ø
(8)
The corresponding difference equation is given:
Vcell ( k ) = - x1 ×Vcell (k - 1) - x 2 ×Vcell ( k - 2) + x3 × i B ( k )
(9)
+ x 4 × i B (k - 1) + x5 × i B ( k - 2) + b0 (1 + x1 + x 2 )
Because (1+x1+x2) is zero and x1 is (–x2–1), (9) can be be s02. Calculated λ(k+1) will be used in next time step
reformulated into the regression form of the input/output (k+1).
relationship.
The UDRLS is a UD factorization algorithm to solve
[Vcell (k ) - Vcell (k - 1)] = x2 × [Vcell (k - 1) - Vcell (k - 2)] digital computer implementation problem of RLS, which
(10)
+ x3 × iB (k ) + x4 × iB (k - 1) + x5 × iB (k - 2) = f T (k ) × q preserves the positive covariance P by updating the U, upper
triangular and D diagonal matrices, thus the numerical
where the regressor is ϕT(k)={[Vcell(k-1)-Vcell(k-2)], iB(k), stability has been improved [14]. Conventional Bierman’s
iB(k-1), iB(k-2)} and the vector of the parameters to be UD method was implemented to estimate parameters of a
estimated is θ=[x2, x3, x4, x5]T. The FUDRLS algorithm is lithium-ion battery [12]. An alternative matrix form of
designed to estimate the vector θ from which the internal Bierman’s UD update equations has been developed by
parameters of the electrical circuit model can be uniquely using matrix triangularization method [15], called
determined. The parameter identification algorithms need to Gentleman’s UDRLS. Using Gentleman’s UDRLS, a
check the estimated parameters. The abnormal values of the directive forgetting factor has been included in [16]. We
estimated internal parameters due to low quality of the input propose Gentleman’s UDRLS with the variable forgetting
signal will be discarded (i.e., abnormal condition) and then, factor to solve the regression (10). In order to implement
the previously estimated parameters will be used until the FUDRLS, the regression matrix ϕT(k) is combined with y=
estimated parameters are in the scope of predefined values [Vcell(k)-Vcell(k-1)] to produce an augmented matrix:
(i.e., normal condition). ΦT(k)={[Vcell(k-1)-Vcell(k-2)], iB(k), iB(k-1), iB(k-2), y}.
The RLS-based methods can be improved by using the The FUDRLS algorithm is implemented in the following
forgetting factor [9]. When the value of forgetting factor is steps:
small, its tracking ability to time-varying parameters will be
improved at the expense of sensitivity to noises; while the Step 1: The algorithm starts. Set the initial values for θ , P0=
forgetting factor is large, its tracking ability will be poor but δI= U0D0U0T, λ(0), and K = [0,0,0,0,0]T
robust to the noise. The RLS technique with an exponential é1 0 0 0 q 1 ù é1 0 0 0 0 ù
forgetting (EF) has been used [9] and [12]. The main ê0 1 0 0 q ú ê0 1 0 0 0 ú
drawback of the EF method is the wind-up, which is result ê 2ú ê ú
U 0 = ê0 0 1 0 q 3 ú , D 0 = d ê0 0 1 0 0 ú
from a non-persistently exciting data vector [13], ê ú ê ú
nonoptimal tracking ability, and noise corruption due to the ê0 0 0 1 q 4 ú ê0 0 0 1 0 ú
constant forgetting factor [13]. Instead, the VF methods aim êë0 0 0 0 - 1 úû êë0 0 0 0 0úû
to improve the estimation by optimally changing the Step 2: Read a new data Vcell(k) and iB(k).
forgetting factor. The main mechanism is: a smaller Step 3: Compute f=U0TΦ(k) .
forgetting factor will be employed for the large prediction Step 4: Initialize r(0)=λ.
error; a larger forgetting factor will be used when the Step 5.1: Compute the parameters Gentleman’s
prediction error is small. In this paper, a simple VF is transformation of following loops:
proposed in (11) according to the time-averaged estimation for h=1,2,…5
of the square of posterior error, e(k), which is given by (12). r(h) = r(h-1) + D0(h,h)f(h)2
é v(k ) ù
D(h,h) = D0(h,h)r(h-1) /(λr(h))
l (k + 1) = ê1 - ú, l min £ l £ l max (11) α(h) = -f(h)
êë s 0 2 N 0 úû
β(h) = D0(h,h)f(h)/r(h)
v(k ) = d × v(k - 1) + (1 - d ) × e(k ) 2 (12) K(h)= β(h)
where λ is a forgetting factor; δ is weighting factor to be a end loop h
quantity between λmin and λmax; v is time-average expressions Step 5.2: Compute the Gentleman’s transformation of
of e(k)2; the parameter s02 is the mean value of the variance following loops:
for j=2,…5
of the prediction error obtained from the method
for i=1:j-1
implemented in the FUDRLS with constant forgetting factor
U(i,j)=U0(i,j)+ α(jሻK(i)
(e.g., λ = 0.98) assuming that expected noise variance is
K(i) = K(i)+ β(j)U(i,j)
much smaller than s02 [21]; N0 represents the memory end loop i
length (e.g., N0=50 corresponding to mean forgetting factor end loop j
of 0.98); λmax (e.g., 0.999) and λmin (e.g., 0.95) denote Step 6: Update θ=[ U(1,5), U(2,5), U(3,5), U(4,5)]T ,
maximum forgetting factor and minimum forgetting factor, U0= U, D0= D.
respectively. A similar approach has been proposed in [21]. Step 7: Convert θ to internal parameters and update λ.
The main difference from [21] is that the mean value of Step 9: Check whether estimated parameters are within the
posterior errors of the moving window buffer has been predefined range of values.
replaced to (12) resulting in simple as well as v(0) is set to Step 10: Update the internal parameters.
where δ is an initial covariance value (e.g., 105). The Intel® Core™2 Duo CPU T6600@2.2GHz, 64-bit OS. The
sequences of r and K iteratively compute the prediction results show that the proposed FUDRLS parameter
error covariance and the gain vector, respectively. identification algorithm works the best in terms of accuracy
IV. VALIDATION
Simulation and experimental studies are carried out to 0.11
validate the proposed parameter identification algorithm for True
a polymer lithium-ion battery subject to various pulse 0.1 RLS
UDRLS
current operations. Comparisons with existing methods such
FUDRLS
Rs (ohm)
as traditional RLS and UDRLS are also provided to show 0.09
Rc (ohm)
study, the true values of electrical parameters are unknown.
Therefore, we compare the true voltage and the true SOC 0.03
values with the estimated values from the parameter 0.02
estimation algorithms. The experimental data of the cell
voltage, current, and SOC are collected from a battery tester 0.01
under the ambient temperature. Then, the measured cell 0
voltage and current from the battery tester are used by the 0 500 1000 1500 2000
Time (seconds)
proposed method for real-time electrical impedance, and (b)
SOC estimation for a polymer lithium-ion battery.
TABLE I: BATTERY MODEL PARAMETERS [17] 8000 True
a0 -0.852 a1 63.867 RLS
a2 3.692 a3 0.559 UDRLS
6000
a4 0.51 a5 0.508 FUDRLS
Cd (F)
Rs (ohm)
Simulation time 0.1315 0.1358 0.1062
(seconds) 2
Rs (ohm) 0.0039 0.0039 0.0039
Rc (ohm) 0.0142 0.0142 0.0085
1
Cd (F) 2,668 2,668 445
B. Experimental Study 0
0 500 1000 1500 2000
The parameter identification algorithms as mentioned in Time (seconds)
the simulation study can be used for online SOC estimation. (b)
The parameter identification algorithm has been used to -4
x 10
update electrical parameters of the full state-space model on
which a conventional EKF is designed to perform the SOC 6 RLS
estimation [22] using the measured data of the polymer UDRLS
lithium-ion battery. In the EKF design, the system’s process FUDRLS
Rc (ohm)
4
noise covariance matrix, and measurement noise covariance
matrix are defined as 0.16 and 0.25, respectively. The
parameters of the OCV-SOC function of the polymer 2
lithium-ion battery are obtained under the ambient
temperature. The SOC and the capacity are initially set with 0
a wrong initial SOC of 0.5 and the maximum capacity of 5 0 500 1000 1500 2000
Time (seconds)
Ah for the state-space model in (1), respectively; the true (c)
initial SOC and maximum capacity of the battery are 0.8 4
x 10
and 4.732 Ah, respectively. In order to set initial SOCs for 10
the test battery cells, the battery was first fully charged and RLS
8 UDRLS
rest for one hour. Then the cells are discharged using a
FUDRLS
small current (e.g., 0.2 A) to the desired initial SOC values. 6
Cd (F)
50
(e)
iB(A)