Fractional Modeling and SOC Estimation of Lithium-Ion Battery
Fractional Modeling and SOC Estimation of Lithium-Ion Battery
Abstract—This paper proposes a state of charge (SOC) estima- these methods result in high errors caused by the accumulation
tor of Lithium-ion battery based on a fractional order impedance of errors in numerical integration in current measurement.
spectra model. Firstly, a battery fractional order impedance State observer[2−3] , Kalman filter (KF)[4−5] and particle filter
model is derived on the grounds of the characteristics of Warburg
element and constant phase element (CPE) over a wide range (PF)[6−7] are used to estimate SOC based on the model of
of frequency domain. Secondly, a frequency fitting method and Lithium-ion battery. The SOC estimation error of each method
parameter identification algorithm based on output error are is summarized in [8], which shows that the existing integer
presented to identify parameters of the fractional order model order battery SOC estimation methods mainly have estimation
of Lithium-ion battery. Finally, the fractional order Kalman filter error larger than 1 %, which may be because the models which
approach is introduced to estimate the SOC of the lithium-ion
battery based on the fractional order model. The simulation are obtained through the external characteristics of the power
results show that the fractional-order model can ensure an battery cannot show the precise internal characteristics. The
acceptable accuracy of the SOC estimation, and the error of dynamics of the battery is described by a set of integer order
estimation reaches maximally up to 0.5 % SOC. calculus equations. But complex electrochemical reactions are
Index Terms—Lithium-ion battery, fractional order model, described by the fractional order function.
electrochemical impedance spectra, fractional Kalman filter. The fractional order calculus (FOC) is a natural extension
of the classical integral order calculus. References [9−11]
I. I NTRODUCTION have shown that most phenomena, such as damping, friction,
mechanical vibration, dynamic backlash, sound diffusion, etc.,
r
d
Fig. 1. As shown in the figure, the impedance spectra can be , r > 0,
dtr
divided into three sections: the high frequency section, the mid r
∆ = 1, r = 0,
frequency section and the low frequency section.
R
(dτ )r , r < 0.
The mathematical model in high frequency can be described
as (1).
V1 = R1 I, (1)
where R1 ∈ R denotes the value of Ohmic resistance, I
denotes the current, and V1 denotes the voltage of R1 .
The mathematical model in middle frequency can be de-
scribed as (2).
1 1
∆ β V2 = − V2 − I, (2)
R2 C2 C2
where C2 ∈ R is the coefficient of CPE, β ∈ R, −1 < β < 1
denotes the fractional order of CPE, R2 ∈ R denotes the value
of Ohmic resistance in ZARC element, I denotes the current
across the ZARC element, and V2 denotes the terminal voltage
of ZARC element.
Fig. 1. Impedance spectra of a Li-ion battery. The mathematical model of Warburg element in low fre-
quency can be described as (3).
In the high frequency section, the impedance spectra curve
1
intersects with the real axis and the intersection point could ∆α V3 = − I, (3)
be represented by an Ohmic resistance. W
In the low frequency section, the impedance spectra curve where W ∈ R is the coefficient, ∆α denotes α order of the
is a straight line with a constant slope, and has the same fractional element, α ∈ R, −1 < α < 1 is the fractional
impedance spectroscopy characteristic with constant phase order of Warburg element, V3 denotes the voltage of Warburg
element (CPE) which is usually referred to as a Warburg element, and I denotes the current across the Warburg element.
element. For the determined relationship of OCV and SOC, SOC
The middle frequency section forms a depressed semicircle, can be regarded as a system state, which can be presented as
which is a well-known phenomenon in electrochemistry. Such follows:
a depressed semicircle could be modeled by paralleling a 1
∆1 Soc = − I, (4)
Warburg element or CPE with a resistance, which is referred Qn
to as a ZARC element (it yields an arc in the Z plane)[17] . where Qn denotes the nominal capacity (Ah) of battery.
From the analysis above, the equivalent circuit model can be The relationship between SOC and OCV is nonlinear and
described as Fig. 2. Voc denotes open circuit voltage (OCV), it is not easy to draw a mathematical interpretation for it. It
and Vo denotes battery terminal voltage which can be directly is easy to find that when SOC is between 20 % and 80 % the
measured; R1 ∈ R denotes the value of Ohmic resistance, relationship is considered to be linear and can be written as
I denotes the current, and V1 denotes the voltage of R1 ; C2 follows:
∈ R is the coefficient of CPE in ZARC element, R2 ∈ R
denotes the value of Ohmic resistance in ZARC element, and Voc = k · Soc + d, (5)
V2 denotes the terminal voltage of ZARC element; W ∈ R is where k and d are the coefficients which can be calculated
the coefficient of Warburg element, and V3 denotes the voltage from the curve fitting.
of Warburg element. £ ¤T
Set the system state vector as x = V2 V3 Soc , the
system input as u = I, and the system output as y = Vo − d.
The continuous fractional state space function can be written
as (6).
(
∆N x = Ax + Bu,
(6)
y = Cx + Du,
− R21C2 0 0 − C12
1
where A = 0 0 0 , B = − W , C =
Fig. 2. Fractional equivalent circuit model.
0 0 0 − Q1n
From the above description, the battery can be described by β
£ ¤
a fractional model. To simplify the FOC equation, we define 1 1 k , D = −R1 , N = α .
the denotation as follows: 1
MA et al.: FRACTIONAL MODELING AND SOC ESTIMATION OF LITHIUM-ION BATTERY 283
According to the stochastic theory, the discrete state space A. Curve Fitting Between OCV and SOC
function is obtained as follows: OCV is obtained by fitting average value of charging and
(
∆N xk+1 = Axk + Buk , discharging terminal voltages which are measured by applying
(7) constant pulse current for each time 10 % SOC to battery in
yk = Cxk + Duk ,
both of charging and discharging modes.
where xk ∈ R3 denotes the system state vector, yk ∈ R Through the above test, the unknown parameters k and d
denotes the system output, and uk ∈ R denotes the system in (5) can be obtained by curve fitting.
input, all at the time instant k. The specific test procedure is as follows:
The fractional order Grünwald-Letnikov definition is given 1) Discharge the battery till it reaches the minimum dis-
as charging voltage (2 V in our case) at room temperature, and
k µ ¶ keep it idle for 12 hours.
N 1 X j N 2) Charge the battery with a constant current of 0.2 C (0.5 A)
∆ xk = N (−1) xk−j , (8)
Ts j till terminal voltage reaches 3.7 V. During the procedure, idle
j=0
the battery for 2 minutes after each 10 % SOC charging.
where Ts is the sample interval, and k is the number of Record every minimum voltage, as shown in Table I.
samples for which the derivative is calculated,
µ ¶ ( TABLE I
N 1, j = 0,
= N (N −1)···(N −j+1) MINIMUM POINTS OF EVERY SOC WHILE CHARGING
j , j > 0.
j! SOC (%) Voltage (mV)
Equation (9) can be derived from (8). 1 2664
µ ¶ 11 3140
N
xk+1 = TsN ∆N xk+1 − xk 21 3233
1 31 3278
k+1
X µ ¶
N 41 3304
+ (−1)j xk−j+1 . (9)
j 51 3318
j=2
61 3322
The discrete state space function of the battery can be 71 3341
written as (10). 81 3382
91 3408
x N N
P
k+1
k+1 = Ts (A + N E)xk + Ts Buk − γj xk−j+1 , 100 3702
j=2
y = Cx + Du ,
k k k 3) Idle the battery for 12 hours.
(10) 4) Discharge the battery with a constant current of 0.2 C
½µ ¶µ ¶µ ¶¾ (0.5 A) till terminal voltage reaches 2 V. During the procedure,
β α 1
where γj = diag . idle the battery for 2 minutes after each 10 % SOC discharging.
j j j
Let Ad = TsN (A + N E), Bd = TsN B, Cd = C, Dd = D, Record every maximum voltage, as shown in Table II.
and E be unit matrix. Considering the process noise and output
TABLE II
noise, the discrete state space function of the system can be MAXIMUM POINTS OF EVERY SOC WHILE
written as DISCHARGING
x P
k+1
SOC (%) Voltage (mV)
k+1 = Ad xk + Bd uk + wk − γj xk−j+1 ,
j=2 (11) 99 3434
y = C x + D u + v ,
k d k d k k 89 3284
79 3274
where wk ∈ R3 is process noise, representing the modeling 69 3266
uncertainty and unknown input, vk ∈ R is output noise, on be- 59 3360
half of the measurement disturbance, wk and vk are assumed to 49 3240
be independent, zero mean Gaussian noise processes with the 39 3222
covariance matrices E[wk wjT ] = Qk δkj , E[vk vjT ] = Rk δkj , 29 3192
and δkj is Kronecker function. 19 3147
9 2812
III. PARAMETER IDENTIFICATION 0 2431
Parameter identification of battery model can be divided into
two sections, curve fitting of relationship between OCV and 5) Fit minimum points and maximum points that we col-
SOC and parameter identification in battery model. We will lected in prior experiments respectively and average the two
describe the two parts separately as following. curves, which are shown in Fig. 3.
284 IEEE/CAA JOURNAL OF AUTOMATICA SINICA, VOL. 3, NO. 3, JULY 2016
input part and output part separately instead of a direct Bring the above parameters into (6), the discrete fractional
differentiation of the input variable and output variable. As model can be written as
shown in (17), the filter converts the output error into an P
k+1
x
equation error[20] . k+1 = Ad xk + Bd uk + wk − γj xk−j+1 ,
j=2 (22)
Let F n (p) = 1/A(p, θn ), n = 1, 2, . . . stands for the
yk = Cd xk + Dd uk + vk ,
iteration number. In practical cases, A(p, θ) being unknown,
an estimation F n (p) = 1/Â(p, θ̂n ) is computed iteratively. where
The noise-free output variable is obtained through an aux- β − R21C2 0 0 −43289.39 0 0
iliary model, i.e., Ad = 0 α 0 = 0 0.5 0 ,
B̂(θ̂n ) 0 0 1 0 0 1
y n (t) = u(t). (18) −1
Â(p, θ̂n ) C2 −90.9 0.65
−1
The filtered input, output, and measured output are com- Bd =
W = −0.038 , N = 0.5 ,
puted respectively with −1 −0.00011 1
£ Qn ¤ £ ¤
uf (t) = F n (p)u(t), Cd = 1 1 k = 1 1 0.21 , Dd = −R1 = −0.0243.
pα yf (t) = pα F n (p)y(t),
C. Model Validation
pα yf∗ (t) = pα F n (p)y ∗ (t).
The current profile consists of many charge/discharge
And they are gathered in the regression vectors as pulses, at different current levels. Economic Commission for
£ ¤T Europe (ECE) 15 urban driving cycle which is used on electric
ϕf (k) = uf (k) −pα yf∗ (k) −pα+β yf∗ (k) , vehicles is selected to simulate a typical driving pattern. The
£ ¤T
n α
ϕf (k) = uf (k) −p yf (k) −p α+β
yf (k) . current profile shown in Fig. 7 repeats the ECE 15 urban
driving cycle 3 times, and each circle is running for 400 s.
Thus, we have The voltage curve, shown in Fig. 8, includes the two curves.
£ ¤ One is the output of the identified model and the other is the
Φnf = ϕnf (0) ... ϕnf (Tfinal ) ,
£ ¤ measured voltage of the battery. And Fig. 9 shows the error of
Φf = ϕf (0) ... ϕf (Tfinal ) , the two voltage curves at different time. It is easy to find that
£ ¤
Yf∗ = yf∗ (0) ... yf∗ (Tfinal ) . (19) almost all the voltage errors are within 20 mV. When the input
The optimization problem of the parameter identification
can be stated as
° n ∗ °2
°
θ̂k = arg min °[Φnf ΦT
f ]θ − [Φf Yf ] . (20)
θ
charging current or discharging current switches largely, the Error covariance update
error is reaches to 40 mV.
Thus the identified fractional order model is accurate.
Pk = (1 − Kk C)P̃k . (27)
IV. SOC ESTIMATION BASED ON FRACTIONAL ORDER
MODEL 3) Save the estimated state and covariance for further
The work described in this paper was undertaken using iteration.
26 650 Lithium-ion batteries manufactured by A123 (2.5 Ah, 4) Separate the system state, and we will get SOC timely.
3.3 V batteries) which are shown in Fig. 10, and the battery The current profile shown in Fig. 12 is employed as vali-
test machine is shown in Fig. 11. dation scenario. Under this condition, fractional Kalman filter
and Kalman filter (KF) are used to estimate terminal voltage
and SOC of battery. Both the measured terminal voltage and
model terminal voltage are shown in Fig. 13. From Fig. 13, we
can see the battery is tested in full SOC range (i.e., terminal
voltage from 2.0 V to 3.6 V), and both the terminal voltage
Fig. 10. A123 cell.
estimated by FKF and KF can trace the measured terminal
voltage well, but the FKF results are more precise than the
KF ones.