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Contents
1 Introduction 1
4 Recursive Estimates 9
4.1 Recursive LS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
4.2 Recursive TLS . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
4.3 Kalman Filter Based Fusion . . . . . . . . . . . . . . . . . . . . . 10
5 Experimental Results 12
5.1 OCV-SOC characterization test . . . . . . . . . . . . . . . . . . . 12
5.2 Dynamic discharge-charge profile . . . . . . . . . . . . . . . . . . 15
5.3 Real-time capacity estimation . . . . . . . . . . . . . . . . . . . . 15
6 Conclusions 17
1 Introduction
From the moment a battery is made, it starts to go through a process known
as the capacity fade. Capacity fade is caused by ageing, fast charging, heavy
usage, and extreme environmental conditions. A robust battery management
needs accurate knowledge of the battery capacity to estimate all critical states
required for effective battery management: state of charge, state of power, state
1
of health, time to empty, and remaining useful life. Incorrect knowledge of
battery capacity may lead to consequential decisions, such as overcharging.
The simplest approach to track the battery capacity is to use a capacity
fade model. Figure 1 shows the battery capacity against the number of cycles
obtained over 500 identical charge-discharge cycles. This data can be fitted to
a model to obtain a capacity fade model.
1.95
1.9
1.85
1.8
Discharge capacity (Ah)
1.75
1.7
1.65
1.6
1.55
1.5
50 100 150 200 250 300 350 400 450 500
Cycle number
The problem with the capacity fade model in Figure 1 is that the data is
from identical charge-discharge cycles that were collected consecutively without
any breaks. Real world conditions could be in a battery: there will be uneven
gaps between cycles, the length of charge/discharge cycles won’t be complete,
and the environmental conditions won’t be fixed.
This chapter explains approaches to estimate the battery capacity in real-
time without the use of a capacity fade model. The approach presented in
this chapter relies on the relative stability (over time) of OCV-SOC curves for
capacity estimation in real time.
2
2 Basics of Battery Capacity Estimation
2.1 Offline Estimation of Battery Capacity
In an offline setting, the battery capacity can be estimated by completely dis-
charging the battery from when it was full until it becomes empty. By denoting
the open circuit voltage (OCV) of the battery as OCVmax and OCVmin when
it is full and empty, respectively, it can be said that the total capacity of the
battery can be estimated by discharging the battery from OCV = OCVmax to
OCV = OCVmin . However, such complete discharge is only possible with an
infinitely small current. That is, computing the total capacity is a time con-
suming process. In typical OCV characterization experiments, an approximate
value of the total capacity is computed by discharging the battery at C/30 rate
— taking approximately 30 hours to compute the total capacity.
Rated capacity measurements can be obtained relatively fast. The C-rate
capacity is estimated by discharging the battery at C-rate from full, i.e., when
the rested voltage measured OCV = OCVmax until the terminal voltage reaches
OCV = OCVmin . The experimental time for C-rate capacity estimation will last
slightly less than one hour.
The battery capacity fades over time depending on the age, environmental
conditions, and usage patterns. It is important to keep track of the battery
capacity to have accurate knowledge of the state of health of the battery. That
is, there is a critical need to estimate the battery capacity in real-time.
where s denotes the SOC. Assuming that the parameters k0 , . . . , k7 of the OCV-
SOC model is known, the SOC can be computed for a given OCV, i.e.,
−1
s = fOCV (OCV) (2)
Now, for the two OCV measurements in Figure 2, the corresponding SOC
3
4.2
3.8
3.6
3.4
3.2
2.8
0 20 40 60 80 100
State of charge (%)
4
3 Capacity Estimation in the Presence of Noise
A typical scenario involving noisy OCV measurement is shown in Figure 3. The
curve in blue shows the true OCV curve and the curve in red shows the envelop
of error. This error could be due to hysteresis and relaxation effects within the
battery. To illustrate this further, consider the equivalent circuit model (ECM)
of the battery, shown in Figure 4. The relaxation effect of the battery is mod-
elled as a series of RC circuits; when the battery is fully at rest the relaxation
effect become zero, i.e., when there is no current activity through the battery for
sufficient time, the voltage across the RC circuits becomes zero. “The hysteresis
in Li-ion batteries is generated due to the thermodynamic entropic effects, me-
chanical stress, and microscopic distortions within the active electrode materials
during Lithium insertion/extraction [3]”. The hysteresis effect does not vanish
when resting the battery. When the battery is fully rested the relaxation error
becomes zero. The measured voltage at time ‘t’ can be written as
zv [t] = V◦ (s[t]) + h[t] (6)
where the hysteresis h[t] corrupts the measured OCV.
The OCV-SOC characteristic curve can be used to get a measure of SOC
whenever the battery is sufficiently rested. The SOC of the battery for a given
at-rest terminal voltage (which is also the open circuit voltage) zv [t], written as
−1
x̂s [t] = fOCV (zv [t]) (7)
can be computed using the OCV-SOC characterization by computing the inverse
of (1). There are several methods for computing the inverse of a non-linear
function, such as Newton’s method and binary search [4].
The SOC estimation error in (7) is modelled as follows
xs [t] = x̂s [t] + x̃s [t] (8)
where the OCV lookup error x̃s [t] is caused by the hysteresis effect as illustrated
in Figure 3. Figure 3 shows that when the battery comes to rest at time t after
a discharging process, the OCV lookup error x̃s [t] will be negative. Similarly,
when the battery comes to rest at time t after a charging process, the OCV
lookup error x̃s [t] will always be positive. However, the magnitude of the error
will vary with the amount of hysteresis, which is a function of the magnitude of
the current before rest, SOC and time.
Let us assume that the SOC1 and SOC2 in (5) are measured at rest-time
‘t1 ’ and ‘t2 ’ respectively. Let us denote these as
xs [t1 ] ≜ SOC1 (9)
xs [t2 ] ≜ SOC2 (10)
According to the model in (8), the above SOC estimates can be written as
xs [t1 ] = x̂s [t1 ] + x̃s [t1 ] (11)
xs [t2 ] = x̂s [t2 ] + x̃s [t2 ] (12)
5
4.2 OCVmax
4.1
𝑧$ (𝑡" ) 4
𝑧$ (𝑡# ) 3.8
3.7
3.6
3.5
OCVmin
3.4
3.3
0 20 40 60 80 100
State of charge (%)
Figure 3: Generic description of OCV lookup error. The solid line in blue
4.2 trueNominal
shows the OCV-SOCcapacitycharacteristics. The dashed lines in green describe
the effect of hysteresis
Nominal capacity when
is the the battery
maximum comesoftoCoulombs
amount rest after charging
that (above
can be discharged
blue line)
fromor adischarging
battery at (below blue line). In other words, nominal capacity is the
any temperature.
maximum total capacity of the battery. The temperature at which the total
battery capacity is maximum is defined as the nominal temperature of the
where x̂battery,
[t ] and
s 1
i.e.,
x̂ [t ] refer to the computed SOC according to (7) and x̃ [t ],
s 2 s 1
x̃s [t2 ] refer to the SOC estimation error
T̂nom = due argtomaxhysteresis.
Qtot (T ) (1)
By subtracting (11) from (12) and making use T of the relationship in (5) we
can write where Qtot (T ) describes the total capacity of the battery as a function of tem-
perature T. The nominal battery capacity is then
dks = Q−1 dkc + w̃sk (13)
Qnom = Qtot (T̂nom ) (2)
where
The total capacity Qtot increases with temperature up to the nominal temper-
dkc = C (14)
ature. Beyond that, the total capacity starts to decline with increasing temper-
k
ature. It is also important ds to
= note
x̂s [t2that
] − x̂the
s [t1nominal
] (15)
temperature may (slightly)
vary from battery to battery. k It must be noted that the manufacturer specified
w̃ = x̃s [t1 ] − x̃s [t2 ] (16)
nominal temperature (ands nominal capacity) are only approximate. However,
It mustroom temperature
be noted is generallyofconsidered
that, regardless the fact that to be the
an approximate
sign of OCVvalue lookupof the
nominal temperature.
error x̃s [t] is biased towards the battery mode ∈ {charging, discharging}, the
“differential Figure 9 w̃
error” shows
k measured total capacity values of three di↵erent battery
s (defined in (16)) can either be positive or negative. By
cells at di↵erent temperatures.
considering a large number of differential These three we
errors, di↵erent
assume battery
w̃sk iscells were identical,
approximately
white.
10
6
Hysteresis effect Relaxation effect
h(k)
R0 i1 (k) R1 iN (k) RN i(k)
−
+
+
+ − + − +
V0 (s[k]) C1 CN zv (k)
−
Let us assume that a κth batch of L measurements of (13) are made. This
can be represented as
where
T
dκs = d1s , d2s , . . . , dL
s (18)
T
dκc = d1c , d2c , . . . , dL
c (19)
T
w̃sκ = ws1 , ws2 , . . . , wsL
(20)
7
In the practical usage of mobile devices, there will be many time epochs of
rest state within each cycle of usage. It must be noted that the batch length L
can be time varying.
3.1 LS Estimate
Now, the LS estimate of the inverse battery capacity is given by
−1
κ −1 κ T −1
Q̂−1
LS = (dκ T
c ) (Σw̃s ) dc (dκc ) (Σκw̃s ) dκs (21)
Σκw̃s = σ 2 I (23)
where σ 2 = E[(w̃sk )2 ] is the variance of the noise, w̃sk . The variance of the LS
inverse capacity estimate is
−1
−1
RLS [κ] = (dκc )T (Σκw̃s ) dκc (24)
SκH = Vκ Λκ Vκ T (27)
where
– Λκ is a diagonal 2 × 2 matrix of non-negative eigenvalues arranged from the
8
largest to the smallest, i.e., Λκ (1, 1) denotes the largest eigenvalue and Λκ (2, 2)
denotes the smallest eigenvalue.
– Each column of the 2 × 2 matrix Vk = v1κ , v2κ has the corresponding eigen-
vectors, i.e., the first column v1κ is the eigenvector corresponding to the largest
eigenvalue and the second column v2κ is the eigenvector corresponding to the
smallest eigenvalue.
The TLS estimate of the inverse battery capacity is then given by the ratio
of the components of v2κ , namely,
v2κ (1)
Q̂−1
TLS [κ] = −
v2κ (2)
SκH (1, 2)
= κ (28)
SH (1, 1) − Λκ (2, 2)
where v2κ (i) is the ith element of v2κ and SκH (i, j) is the (i, j)th element of SκH .
The derivation of (28) is shown in Appendix ??.
Remark 2. The TLS estimates are useful when the noise in the model is very
high. It was shown in [1] that when the noise in the model is low, both the LS
and TLS estimates coincide.
4 Recursive Estimates
The capacity estimates shown in (21) and (28) were based on a batch of at
least two measurements. For examples, the batch κ may refer to measurements
taken in a certain day and the batch κ + 1 may refer to measurements taken
from another day. The number of measurements in each batch may differ from
one batch to another. Recursive approaches presented in this section can be
used to update the capacity estimates based on batch measurements over long
time.
4.1 Recursive LS
When a new batch of {dκ+1
s , dκ+1
c } pair arrives, the LS estimates can be recur-
sively updated by
−1 −1 −1 κ+1
PRLS [κ + 1] = λPRLS [κ] + (dκ+1
c )T (Σκ+1
w̃s ) dc (29)
−1 κ+1
Q̂−1 −1 −1
) (Σκ+1
κ+1 T
RLS [κ + 1] = PRLS [κ + 1] λPRLS [κ]Q̂RLS [κ] + (dc w̃s ) ds (30)
−1
where PRLS [κ] is the L × L information matrix for capacity estimation and λ
is the fading memory constant. Figure 5 shows a block diagram of the RLS
approach for recursive estimation of capacity.
9
Figure 5: Block diagram of the RLS approach.
κ−1 (Hκ )T Hκ
SκH = λSH + (31)
L−1
Now, based on [6], the TLS estimation error covariance is (approximately)
M
!−1
1 X
RTLS [κ] = hκ (hκ )T (32)
(zκ )T SκH zκ i=1 i i
Figure 6 shows a block diagram of the recursive TLS approach for recursive
estimation of capacity.
10
Figure 6: Block diagram of the recursive TLS approach.
11
Figure 7 shows a block diagram of the recursive TLS approach for recursive
estimation of capacity.
5 Experimental Results
The proposed approach for estimating the capacity of a battery is demonstrated
using data collected from a commercially available Li-ion battery. The model
number of the battery is Samsung-30T INR21700. The battery is shown in
Figure 8 and the features of the cell are summarized in Table 2. The tested
battery is labelled ‘C1212’ and will be referred using this label in the remainder
of this paper. The data from battery is collected using the Arbin battery cy-
cler (LBT21084, Arbin Instruments, USA). It has 16 independently controlled
channels, each with a voltage range of 0-5V and a current range of ±10A. A
single channel was used to collect data from the battery at room temperature.
A low current slow discharge-charge cycle is pursued to characterize the
battery to model its open circuit voltage (OCV) as a function of its state of
charge (SOC)(5.1). The true capacity of the battery is also determined from its
OCV-SOC test. The characterization test is followed by a dynamic discharge-
charge current profile (5.2) during which the capacity of the battery is estimated
one hour after every rest state in the profile.
12
Figure 8: Samsung-30T INR21700 Li-ion battery
The terminal voltage and current are recorded from the battery during the
OCV-SOC test. The data is processed to obtain the typical OCV-SOC curve
represented by the combined+3 model in (39). The experimental setup used for
testing the batteries is shown in Figure 9.
13
Table 2: Specifications of Li-ion battery
Specification Value(unit)
Nominal capacity 3000mAh
Max. continuous discharge current 35A
Nominal voltage 3.6V
Height 70mm
Diameter 21mm
Weight 70g
Internal resistance 15m Ω
C1212
k0 -9.931511
k1 146.274963
k2 -25.365256
k3 2.845075
k4 -0.139554
k5 -113.475854
k6 205.066794
k7 -1.349234
14
OCV-SOC Characterization
4.2
OCV
Terminal Voltage
4
3.8
3.6
Voltage (V)
3.4
3.2
2.8
2.6
2.4
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
State of Charge (%)
Figure 10: OCV-SOC characterization
15
Random current profile
1
0.8
0.6
0.4
Current profile (A)
0.2
-0.2
-0.4
-0.6
-0.8
-1
60 65 70 75 80 85 90 95 100 105 110
Time (hours)
16
of the form in (23) with σ 2 = 0.001. The estimated inverse of capacity by
the least squres estimator (21) is, Q−1 = 0.3340(Ah)−1 . The transformation
of the inverse capacity estimate following Taylor’s series expansion in (??) is,
Q = 3.0047Ah.
6 Conclusions
This chapter presents a real-time approach to estimate the total capacity of the
battery. The proposed approach a minimum of two OCV measurements and the
amount of Coulombs needed to go from one OCV measurement to the other.
The advantage of this approach is that it does not require complete discharge
of battery for capacity estimation. The OCV measurements can be corrupted
by noise due to hysteresis and relaxation effects of the battery. To minimize
errors, a least squares approach is presented. The least squares approach uses
a batch of OCV measurements and corresponding Coulomb computations to
estimate the battery capacity such that the square error is minimized. When
the Coulomb counting noise is significant, an alternate approach based on the
total least squares estimates is suggested. In order to reduce the variance in the
estimates, a Kalman filter based approach can be used to fuse estimates from
multiple batches.
References
[1] B. Balasingam and K. R. Pattipati, “On the identification of electrical
equivalent circuit models based on noisy measurements,” IEEE Transac-
tions on Instrumentation and Measurement, 70, 2021.
[2] B. Balasingam, G. V. Avvari, B. Pattipati, K. R. Pattipati, and Y. Bar-
Shalom, “A robust approach to battery fuel gauging, part II: Real time
capacity estimation,” Journal of Power Sources, 269, 949-961, 2014.
[3] M. A. Roscher, O. Bohlen, J. Vetter, OCV hysteresis in li-ion batteries
including two-phase transition materials, International Journal of Electro-
chemistry 2011.
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