Modularized Battery Management Systems For Lithium-Ion Battery Packs in EVs

DEGREE PROJECT IN ELECTRICAL ENGINEERING,
SECOND CYCLE, 30 CREDITS

STOCKHOLM, SWEDEN 2016
Modularized Battery Management

Systems for Lithium-Ion Battery
Packs in EVs
YIZHOU ZHANG
KTH ROYAL INSTITUTE OF TECHNOLOGY

SCHOOL OF ELECTRICAL ENGINEERING
Modularized Battery Management Systems for Lithium-Ion
Battery Packs in EVs
YIZHOU ZHANG
Master of Science Thesis in Electrical Machines and Drives

at the School of Electrical Engineering
KTH Royal Institute of Technology
Stockholm, Sweden, August 2016.
Examiner: Oskar Wallmark
Industrial Supervisor: Christian Fleischer
TRITA-EE 2016:136
Modularized Battery Management Systems for Lithium-Ion Battery Packs in EVs
YIZHOU ZHANG
c YIZHOU ZHANG, 2016.
School of Electrical Engineering

Department of Electrical Energy Conversion
Kungliga Tekniska högskolan
SE–100 44 Stockholm
Sweden
Abstract
The (Battery management system)BMS has the task of ensuring that for the individual bat-
tery cell parameters such as the allowed operating voltage window or the allowable temperature
range are not violated. Since the battery itself is a highly distinct nonlinear electrochemical de-
vice it is hard to detect its internal characteristics directly. The requirement of predicting battery
packs’ present operating condition will become one of the most important task for the BMS.
Therefore, special algorithms for battery monitoring are required.
In this thesis, a model based battery state estimation technique using an adaptive filter tech-
nology is investigated. Different battery models are studied in terms of complexity and accuracy.
Following up with the introduction of different adaptive filter technology, the implementation of
these methods into battery management system is decribed. Evaluations on different estimation
methods are implemented from the point of view of the dynamic performance, the requirement
on the computing power and the accuracy of the estimation. Real test drive data will be used as
a reference to compare the result with the estimation value. Characteristics of different moni-
toring methods and models are reported in this work. Finally, the trade-offs between different
monitor’s performance and their computational complexity are analyzed.
Key words: battery management system, electric vehicle, Kalman Filter, Li-ion battery cell
model, state estimation.
iii
iv
Sammanfattning
BMS (eng. battery management system) har till uppgift att se till att viktiga parametrar
såsom tillspännings- och temperaturintervall upprätthålls för varje individuell battericell. Dåen
battericells beteende är icke-linjärt är det svårt att bestämma cellens interna karakteristika di-
rekt. Att kunna förutsäga dessa karakteristika för ett komplett batteripack kommer att en mycket
viktig funktion hos framtida BMS.
I detta examensarbete har en modellbaserad tillståndsestimeringsmetod med användande

av adaptiv filtrering undersökts. Olika batterimodeller har studerats med avseende påkomplexitet
och noggrannhet. Efter introduktionen av olika metoder för adaptiv filtrering har dessa metoder
implementerats i en BMS modell. Utvärdering av de olika metoderna för att åstadkomma tillståndsestimering
har sedan utförts med avseende pådynamisk prestanda, krav påberäkningskraft och noggrannhet
hos de resulterande estimaten. Data från uppmätta kördata från ett fordon har använts som ref-
erens för att jämföra de olika estimaten. Slutligen presenteras en jämförelse mellan de olika
tillståndsestimeringsmetodernas prestanda när de appliceras påde olika batterimodellerna.
Nyckelord: BMS, elbil, Kalmanfiltrering, litiumjonbatterimodell, tillståndsestimering.
v
vi
Acknowledgements
The present thesis was carried out at National Electric Vehicle Sweden.
First, I would like to thank my industrial supervisor Dr. Christian Fleischer for giving me
this opportunity by offering such an interesting and challenging topic. Second, I would like to
express my gratitude to my examiner Dr. Oskar Wallmark for giving me feedback from time to
time and guiding me in the right direction.
I would also like to thank all my collegues in NEVS for sharing their knowledge and giving
feedback on my thesis work. Furthermore, I would like to thank to all my friends for supporting
me all the time and for the good time we had together during my master study period.
Yizhou Zhang
Trollhättan, Sweden
August 2016
vii
viii
Contents
Abstract iii
Sammanfattning v
Acknowledgements vii
Contents ix
1 Introduction 1
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 Presentation of NEVS . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.3 Battery Management System . . . . . . . . . . . . . . . . . . . . . . . 2
1.2 Motivations and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Thesis Outline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2 Li-ion Battery Cell Equivalent Electric Circuit Model 5
2.1 lntroduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2.2 The Rint Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2.3 The RC Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
ix
x Contents
2.4 The PNGV Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.5 The Thevenin Model (First Order RC Model) . . . . . . . . . . . . . . . . . . 8
2.6 The DP Model (Second Order RC Model) . . . . . . . . . . . . . . . . . . . . 9
2.7 Varied-parameters’ Electric Circuit Model . . . . . . . . . . . . . . . . . . . . 10
3 Methods For the Battery State Estimation 13
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.1.1 Definition of SOC . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.1.2 Definition of pack SOC . . . . . . . . . . . . . . . . . . . . . . . . . . 14
3.2 Methods for the SOC estimation . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.2.1 Ampere-hour counting . . . . . . . . . . . . . . . . . . . . . . . . . . 16
3.2.2 Open Circuit Voltage related SOC estimation . . . . . . . . . . . . . . 16
3.2.3 Adaptive Filter SOC estimation . . . . . . . . . . . . . . . . . . . . . 17
3.3 Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
3.4 Advanced Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
3.4.1 Extended Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . 22
3.4.2 Unscented Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . 23
3.4.3 Central Difference Kalman Filter . . . . . . . . . . . . . . . . . . . . 24
3.4.4 Square Root Unscented Kalman Filter . . . . . . . . . . . . . . . . . . 25
3.4.5 Square Root Central Difference Kalman Filter . . . . . . . . . . . . . . 27
3.5 Particle Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3.5.1 Monte Carlo Simulation . . . . . . . . . . . . . . . . . . . . . . . . . 28
3.5.2 Resampling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Contents xi
4 Experiment and simulation set up 29
4.1 Experiment set up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
4.1.1 Test and Measurement Setup . . . . . . . . . . . . . . . . . . . . . . . 29
4.1.2 Test run . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
4.2 Simulation set up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
5 Experiment Result and Discussion 41
5.1 Comparison between different electric models . . . . . . . . . . . . . . . . . . 41
5.1.1 Results and discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 42
5.2 Comparison between different estimation algorithms . . . . . . . . . . . . . . 47
5.2.1 Results and discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 47
5.3 Practical case with poorly initial value . . . . . . . . . . . . . . . . . . . . . . 51
5.3.1 Results and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . 51
5.4 Multiple driving cycles estimation . . . . . . . . . . . . . . . . . . . . . . . . 54
5.4.1 Results and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . 54
6 Conclusions and further work 57
6.1 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
6.2 Further work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
A Matlab Battery State Estimation Graphic User Interface 59
B Kalman filter related algorithms 61
References 67
xii Contents
Chapter 1
Introduction
The background knowledge along with the motivation behind this project will be presented in
this chapter. At the same time, the goal and the expectation of the thesis outcome will also be
given
1.1 Introduction
1.1.1 Presentation of NEVS
National Elctric Vehicle Sweden (NEVS), was a relatively new car manufacture which acquired
the main assets of SAAB Automobile in 2012. In order to tackle the global warming problem
and lead to a more sustainable future, NEVS dedicated itself into electric vehicle industry with
passion and confidence. The headquarter of NEVS located in Trollhättan, Sweden, with an
automative factory and a global R&D center. Aside from that NEVS also owns a customer
experience center in Beijing, a new manufacture in Tianjin Binhai High-Tech zone which intend
to have the capability to produce 100,000 cars per year and a R&D joint venture also in Tianjin.
Right now the company has 800 employees in Sweden and another 500 in China.
1.1.2 Background
The global warming of the world is becoming one of the most important environmental issues
all over the world and also a key reason leveraging the large scale adoption of EV [1]. The new
automobile industry products, hybrid electric vehicles (HEVs), pure battery electric vehicles
1
2 Chapter 1. Introduction
(BEVs), and fuel cell vehicles (FCEVs) are the future direction in transportation sector, and let
most of the leading car manufactures all over the world start researching and producing such
promising cars[2]. Road transportation contributes to nearly half of the world’s oil consumption
in 2009 and may keep increasing up to 60% in 2035 [3]. The transportation sector contribute up
to 19.0% of the world’s CO2 emission making it one of the principle targets in order to mitigate
the climate change and reduce green house gas emissions [4].
The traction battery which directly provides the energy to a BEV is one of the most impor-
tant components in this industry and it will definitely attract even more attention in the future.
Considering the high power and energy density, good temperature characteristics, good con-
sistency, no environmental pollution and reliability (long lifetime) profile of the lithium-ion
batteries which has let it become the most favorable choice for HEVs and BEVs [5] [2]. When
we use a Lithium-ion battery to generate traction power, a battery management system (BMS)
is needed in order to track and monitor the battery condition[6]. The BMS can prevent irra-
tional use of the battery and also can prevent dangerous situation happens. By using the data
collected from the sensor it can also estimate other useful information of the battery to control
the behavior of the battery to maximize its performance and expand its lifetime [2].
1.1.3 Battery Management System
Quoting Dr. Frank Toolenaar ”Battery management involves implementing functions that ensure
optimum use of the battery in a portable device.” [7] The most fundamental tasks of a BMS is
to limit overcharge and undercharge in the cells, ensure that the cells in the pack are balanced
and maintain a safe operations of the pack [8]. In order to achieve these tasks, several functions
can be performed:
• Battery State Estimation. Track the battery’s internal state variable to prevent dangerous
situations to occur and use the estimated value to control the dynamic behavior of the
battery (during charging phase, control the charging strategy with practically no over-
charging to expand the lifetime of the battery; during discharging phase, detect the empty
cell in advance to avoid over discharging.). At the same time send the signal value to
the user as a notification. To have a full impression of the battery’s state we will expand
state estimation from SOC to state of energy, SOH, internal resistance, available power,
remaining of life and so on [2][8].
• Battery Balancing. Cells in series connection naturally become unbalanced and remain
so unless a balance action is taken. Since the balancing issue may have a big effect on
the battery life and remaining available power, a well designed BMS should be equipped
with an equalization function. The balancing strategy includes passive balancing, active
1.2. Motivations and Objectives 3
balancing or both. Technically, passive balancing methods use passive electrical compo-
nents(resistor, capacitors and inductors) and active balancing method use active DC-DC
converters to achieve battery equalization [2][8].
• Battery Safety Management. As the most significant and fundamental requirement of the
BMS, safety issue regarding to preventing over-charge, over-discharge, over-heating and
over-current will be fully controlled by a central controller. Apart from that a diagnostic
alarm equipped with high voltage interlock is also embedded in the system [2].
1.2 Motivations and Objectives
The BMS has the task of ensuring, that for the individual battery cell parameters such as the
allowed operating voltage window, or the allowable temperature range are not violated. Be-
cause that each individual battery cell of the battery pack must be connected, which results in
a high cabling requirements which complicates the design and building of the pack. The modu-
larization of BMS is therefore describe with the overall aim to develop easy to install units for
each cell. Various implantation options have to be evaluated regarding efforts and functionality.
In order to fulfill the final goal of the project, we formulated the following subgoals. During
the process of finishing these sub-targets we will approach to our final destination. These have
been formulated in such a manner that once one is completed, it should make a distinguishable
progress.
• Compare different battery models used in EVs/HEVs currently and choose a proper elec-
tric circuit model which can properly represent the dynamic characteristic of the battery
cell.
• According the cell thermodynamics properties, the battery cell open circuit voltage can
be a good indicator of the cell SOC need to be determined [9].
• Give the equation to describe the relationship between voltages, currents and parameters
of the model.
• Compare different estimation methods in terms of computing power and computing error
to choose proper monitor approach.
• Implement a Kalman filter based method to estimate pack average SOC and simplified
Kalman filter based method for SOC determination. Draw a flow chart of the dual time-
scale estimator to easily explain the procedure of the monitor.
4 Chapter 1. Introduction
• Set up a group of experiments to test and verify the feasibility and performance of the
designed BMS.
• Analyze the experimental result and compare different scenarios.
1.3 Thesis Outline
Here is how this thesis report organized:
• Chapter 1 Introduction of THE thesis and a presentation of its background and motiva-
tion.
• Chapter 2 Investigation of different battery electric circuit models.
• Chapter 3 Introduction of the core estimated algorithm and how to integrate it into the
BMS system.
• Chapter 4 Introduction of the experiment and simulation set up.
• Chapter 5 Detailed description of how to estimate battery states and experimental results.
• Chapter 6 Conclusions and further work.

Chapter 2
Li-ion Battery Cell Equivalent Electric

Circuit Model
In this chapter, four different electric models to simulate a battery cell will be introduced and
the layout of the corresponding electric circuits will also be given.
2.1 lntroduction
Nowadays in order to simulate EVs, HEVs and PHEVs over whole driving cycles the need for
an accurate battery model which can predict the battery characteristics fast and convenient arises
[10]. The concept behind this battery model is to use measured battery values (voltage, current
and temperature) with the battery SOC employing a battery model. Based on this proposed
electric model, the battery SOC will be estimated later on. Briefly stated the accuracy and the
complexity of the battery model will affect the estimation result of the battery SOC, capacity and
SOH. Three different kinds of battery model method will be presented here: the electrochemical
model, the neural network model and the electric circuit model.
The electrochemical model can depict the characteristics of the battery cell which will
include the relationship between SOC and temperature. By using such a model, an accurate
terminal voltage estimate can be achieved. However the complexity of the model ask for a lot
of computing power and complex the monitoring algorithms [6].
Another way to build battery models is to use neural networks, fuzzy logic, artificial neu-
ronal networks, fuzzy based neural networks and support vector machines. The accuracy of
these types of models can reach up to 3% under certain conditions [6][2]. Nevertheless, the
5
6 Chapter 2. Li-ion Battery Cell Equivalent Electric Circuit Model
computing power is quite high for these method. At the same time, it also need a large group of
data to train the neural networks to make it more accuracy.
Electric model method is right now the most popular method to monitor the battery thanks
to its simplicity and accuracy. Which only use typical electrical components to represent the
battery characteristics. Typically, the electric model is expressed in one or several equations
to correlate the input and output values and to estimate the OCV(Open Circuit Voltage) value
based on this state space model. The estimation of SOC is incorporated in this model by its
direct relationship with the OCV. The core of the electric model based SOC estimation is to es-
timate the OCV and determine the SOC value using look-up tables. Its dynamic characteristics
and high accuracy makes this method widely used in all different kinds of electric vehicle ap-
plications. However, the disadvantage of the method is that the parameter of the electric model
can only be accurately identified for new batteries in the laboratory. Complex monitoring and
estimation algorithms are needed if we want to update the parameters and this is only practical
for simple models.
2.2 The Rint Model
The Rint model, which is depicated in Fig 2.1. Where UOC is to indicate the battery cell open
circuit voltage and R0 represent the internal resistor. However the value of the resistor will be
changed according to the battery SOC, SOH and temperature. [10].
Figure 2.1: The RINT Model [10]

2.3. The RC Model 7
UL = Uoc − IL R0 (2.2.1)
2.3 The RC Model
The RC model which is shown in Fig 2.2 was designed by the famous battery manufacture
SAFT [2][10], which contains two capacitors and three resistors. The very large capacitor Cb
indicates the ample capability of the battery; the relatively small capacitor Cc is to represent the
surface effects of the battery cell; the resistance RT represent the thermal resistance; the resis-
tance RE represent the cutoff resistance and the resistance RC is referred to as the capacitive
resistance. The parameters are functions of the SOC and temperature. The following equations
represent the electric behavior of the circuit.
Figure 2.2: The RC Model [10]
Us Ua Rc It
Ua = − − (2.3.1)
Cb (Rc + Rca ) Ca (Rc + Rca ) Ca (Rc + Rca )
Ua Us Rc It
Us = − − (2.3.2)
Cs (Rc + Rca ) Cs (Rc + Rca ) Cs (Rc + Rca )
Rca Ua Rc Us Rc Rca It
Ut = + − Rth It − (2.3.3)
Rc + Rca Rc + Rcs Rc + Rca
2.4 The PNGV Model
The Partnership for a New Generation of Vehicles (PNGV) model shown in the following Fig
2.3 which was introduced in ”Freedom CAR Battery Test Manual” in 2003 [11][2]. The re-
sistance RO represents the internal resistance of the battery cell and resistance RP refer to the
polarization resistance; the capacitance CP represents the polarization capacitance, UOC is an
ideal voltage source. The relationship between each variables are shown below:
Figure 2.3: The PNGV Model [10]
2.5 The Thevenin Model (First Order RC Model)
The Thevenin model shown in the Fig 2.4 is one of the most wildly used model, which capture
the dynamic characteristic of the battery behavior very well. The model uses an ideal voltage
source to represent the OCV and a polarization resistance RP with an internal resistance RO . In
2.6. The DP Model (Second Order RC Model) 9
order to indicate the transient characteristics of the battery cell, an equivalent capacitance CT h
is introduced. The electric behavior of the first order RC model can be expressed as.
Figure 2.4: The First Order RC Model [10]
Uth IL
Uth = − + (2.5.1)
Rth Cth Cth
UL = Uoc − Uth − IL R0 (2.5.2)
2.6 The DP Model (Second Order RC Model)
Polarization effects have a big impact on the dynamic behavior of the Li-ion battery, especially
when the battery SOC is less than 10 or more than 80. There are actually two kinds of polar-
ization effects within the battery cell. One is the concentration polarization which indicate the
change of the electrolyte concentration result from current flow. The other one is the electro-
chemical polarization which indicate the transport process of the ion slow down [2]. In order
to track these two different characteristics respectively dual polarization model is introduced
which is also know as second order RC model [10]. The model consists of a voltage source
UOC to represent OCV value, an internal resistance RO and two RC components indicate con-
centration and electrochemical polarization respectively. The model can be expressed as.
Figure 2.5: The Second Order RC Model [10]
Upa IL
Upa = − + (2.6.1)
Rpa Cpa Cpa
Upc IL
Upc = − + (2.6.2)
Rpc Cpc Cpc
U L = Uoc − Upa − Upc − UP N − IL R0 (2.6.3)
2.7 Varied-parameters’ Electric Circuit Model
Untill now the parameters of the equivalent electic circuit model have remained unchanged and
obtained from a set of laboratory measurements. When we implement this method to estimate
the new battery states, it has a pretty good accuracy. However, considering the aging effect,
the characteristics of the battery will change significantly [12]. This require us to update the
model parameters also during the battery operation otherwise a high inaccuracy for battery state
estimations will occur. In order to tackle this problem, we will choose a first order RC model as
an example. The resistance Rth represent the internal resistance of the battery. The capacitance
C indicate the ample capability of the battery which is not a function of current. On the contrast,
the resistor R0 is related to the transient response during charing or discharging which is not
constant during the battery operation phase and can be described by the Butler-Volmer equation
[12][13].
q
ln(ki IL + (ki I˙L )2 + 1)
˙
R0 (I˙L ) = R0 ( ) (2.7.1)
ki I˙L
2.7. Varied-parameters’ Electric Circuit Model 11
Where R0 is the resistance value when IL = 0, ki describe the current dependence of the
resistance.
Chapter 3
Methods For the Battery State Estimation
In this part, we will discuss how to use the electrical model that we introduced in the previous
chapter to monitor the battery states. The methods from control theory will be used here to help
us improve the efficiency and the dynamic performance of the model based SOC state estimation
and at the same time make the estimation possible when complex models are implemented [6].
By introducing this technique, closed-loop estimation can be realized wherein the deviation
between the modeled and measured battery terminal voltage is used for the correction of the
estimation states and at the same time we can minimize the estimation error within some extents.
3.1 Introduction
Since the battery is an electrochemical devices with an extremely complex behavior and its
distinct nonlinear behavior depend on several internal and external conditions, estimating their
states will become a challenging task. Considering the complexity and difficulties of the battery
we will choose several important data which may have big impact to the EV drivers or related to
the safety issues to do the state estimation. State of Charge (SOC) in EVs serves a similar role
in that of the petrol gauge in the traditional internal combustion car. In that case the accuracy
of the estimated SOC value will have a big impact on the optimization of the vehicle control.
At the same time, effectively estimating state of charge of the battery can prevent the cell from
over heating, overcharging, over-discharging, or over current which will, in turn, increase the
lifetime of the battery and ensure the safety during its use.
13
14 Chapter 3. Methods For the Battery State Estimation
3.1.1 Definition of SOC
As mentioned before, the SOC of the battery in EVs can be employed as fuel gauge used in
conventional vehicles. In theory, the SOC imply the ratio of the remaining capacity (Qrem ) and
the nominal capacity Qnor :
Qrem
SOC = × 100% (3.1.1)
Qnom
The capacity that the battery discharges from the present state to the fully discharged state will
be called remaining capacity. In terms of the nominal capacity we will ran a test experiment
let the battery self-discharge from the full state to zero state. In practical it is hard to determine
the zero state of the battery. Here, we will use the open circuit voltage value as an indicator to
judge whether the battery is fully discharged/charged or not. In another way, the SOC can be
expressed as the following equation [14]:
R
η t t0 i(τ ), dτ
SOC = SOC + (3.1.2)
Cn
where i(τ ) represents the value of current (defined to be positive for charging and negative for
discharging), η represents the Coulomb efficiency, Cn represents the nominal capacity.
3.1.2 Definition of pack SOC
Consider the power and energy requirements of the BEVs and HEVs, the battery pack is usually
composed of multiple battery cells series or parallel connected. Parallel connected battery units
can provide higher available capacity to meet the desired settings. Since for cells connected in
parallel, a self balance characteristic exist, we can simply regarded the battery module to a single
cell with a higher capacity. Just as how we define the single cell battery SOC, the pack SOC can
also be defined as the remaining available capacity of the pack as a percentage of the nominal
capacity of the pack. If we want to estimate the pack SOC, we firstly need to get to know the
topology of the battery pack and analyze into two different categories: series connection and
parallel connection. When the cells are in series, we have to taken into account the differences
between cells and the balance strategy that the BMS provides. Three different balance strategy
will be discussed below: no balance, passive balance and active balance [14][15].
No Balance
When there is no balance strategy implemented on the battery packs, the capcity of the pack
will be limited by weakest battery cell [14]. When one or some of the cells is fully discharged
3.1. Introduction 15
during discharging phase, even though some of the other cells may still have some remaining
capacity but as a matter of fact the pack cannot be discharged anymore considering the safety
issues and the lifetime of the battery. Similar during charging phase, when one or some of the
cells are fully charged and some of the cells still have capacity available the pack still need to
pause the charging. Thus, the total capacity of the pack is:
Cpack = min(Cr ) + min((1 − SOC)Cnom ) = Cmin−r + Cmin−c (3.1.1)
Here Cpack is the pack capacity and Cr represent remaining cell capacity. SOC is the cell current
state of charge and Cnom is the cell nominal capacity. In that case, the SOC of the pack will be
given as:
Cmin−r
SOCpack = (3.1.2)
Cmin−r + Cmin−c
Passive Balance
Generally speaking, the difference between active and passive balancing is based on how the
energy flow within the cells. In terms of passive balancing, we will add an external circuit to
dissipate the remaining energy of the highest SOC cells. In most of the cases a resistor is the
cheapest and easiest way to dissipate this energy. Which means the designer have to choose an
appropriate resistor to integrate into battery pack [7][14]. Which result in:
SOCpack = SOCcell = SOCmin−cell (3.1.3)
The advantage of passive balancing over active is that it is much cheaper, which makes
it the most wildly used method in automotive applications. However, the drawback of this ap-
proach is that when we using a resistor to dissipate extra energy it will transfer to heat. In that
case we need to take in to account the increasing of the temperature do not violate the safety
temperature window. Another difficulty of the passive balancing strategy is that it needs more
time to tackle the problem than using active balancing method[7]. At the same time passive
balance control only exist during charging phase.
Active Balance
In active balancing system, the excess energy will be transfer within different cells in order to
achieve the equalization. It normally needs an active switch and several capacitors to fulfill this
requirement which of course cause more money and also need extra space within the pack [16].
Another challenge is that the electronics device must also be attached to each cell or integrated
in the slave boards for a group of cells. Thus, the pack SOC is:
N
X
SOCi Ci
i=1
SOCpack = N
(3.1.4)
X
Ci
i=1
3.2 Methods for the SOC estimation
SOC in EVs is treated as fuel gauge used in traditional internal combustion vehicles. The de-
termination of the battery SOC is always an important job for the BMS. Untill now, there are a
wide range of methods proposed in the literature to tackle this problem. The most and widely
used method are given below.
3.2.1 Ampere-hour counting
Ampere-hour counting method can also be denoted as Coulomb counting method which liter-
ally means ”counting the charge flowing into or out of the battery” [17]. When we can get access
to the initial SOC value and the battery capacity. Simply measure the input current and do the
time integral, then we can calculate the battery SOC. Since the battery is an electrochemical
device and the complexity of the battery behavior, we still need some other variable to com-
pensate the counter. For instance, the charging efficiency, discharging efficiency, self discharge
phenomenon, capacity loss and aging effect [17]. Which not only increases the difficulty of es-
timation but also decreases the accuracy of the whole method. Apart from that considering the
errors will accumulate over time in an Ampere-hour counting method, recalibration is needed
from time to time. Which will let the driver come across a lot of inconveniences especially when
the car indicate a relatively well enough energy, but as a matter of fact it only has limited energy
left.
3.2.2 Open Circuit Voltage related SOC estimation
The OCV (Open Circuit Voltage) has a direct relationship with the battery SOC, which is not the
function of the battery’s temperature and age. This has been proved by several practical experi-
ments [17]. In order to have an accurate SOC estimation, we need to get access the ”pure” OCV
value which is known as EMF (Electro Motive Force). The difference between OCV and EMF
3.3. Kalman Filter 17
is: any battery voltage measured under open circuit condition is called OCV, the equilibrium
battery voltage at the end of OCV relaxation is called EMF [6]. Right now, there are actually
several ways for accessing the value of EMF: voltage relaxation (after current interruption the
battery open circuit voltage will take some time to relax to the EMF. But it is really hard to
determine when the battery is fully relaxed.); Linear interpolation (using the same currents to
charge and discharge the battery to find two OCV value and the EMF is the average of these
two value. But in most of the real cases, this methods become impractical since the battery is
not attached to a charger all the time.); Linear extrapolation. However, all these methods may
suffer from aging of the battery since the parameters of the battery may change significantly.
3.2.3 Adaptive Filter SOC estimation
Considering the complexity and uncertainty of both battery and user behavior. We can introduce
adaptive filter technology from the control theory to realize the non-linear state estimation.
Battery behavior depends strongly on a lot of conditions, say: aging effect, temperature, driver
behavior and also the manufacturing process. The basic theory behind this is using available
measuring variables Iinput , Uterminal and Tb as input to estimate battery behavior and condition
by integrating battery model into this. The output will be the estimation value that we need to
track for example the battery SOC, available capacity or the available power. The advantage of
using adaptive filter technology is that it can provide battery state accurately and continuously
during battery operation. However the main drawback that limit the use of this method is its
high demand on computing power. But with the fast development of microprocessors which
will make it more and more popular to implement this method into automobile application. In
this thesis report, we will focus on this method.
3.3 Kalman Filter
The Kalman filter which was first developed by Rudolf E. Kalman in 1960 and is a well cele-
brated theory using the state space formulation of a linear systems. It is an efficient way to solve
linear optimal problem recursively[18][19]. It can be used not only in stationary environments
but also in non stationary environments. Kalman filters provides an efficient and easy methods
for predicting current state value of a dynamic system. Generally speaking, the state within the
battery cells is always related to the past and present inputs or outputs. So the state of the battery
can be estimated by the Kalman filter.
In order to implement a Kalman filter, a dynamic model which uses several internal state
variables of the battery is necessary to estimate the battery state. The detailed battery electric
model has already been given in Chapter 2 following with the state space equation of the model.
In this chapter we will use first order RC model as an example to show how we implement
Kalman Filter to estimate the battery SOC. The first order RC model which consists of an
internal resistance R0 with one RC element in series. In order to determine the value of the
parameter, we will implement least squares methods so as to minimize the error between the
model output and experimental outcome [20][21][22]. The following discrete time equations
depict the relationship of the battery SOC, terminal voltage of the cell and three parameters in
the first order RC model.
Here k is the discrete time index, Vt is the terminal battery voltage, η is the Comlumbic
efficiency, Cnom is the nominal capacity of the battery cell and I is the battery input current.
Normally former is called the state equation. The state equation which can represent the
stability , controllability and also sensitivity to disturbance of the triggered dynamic system.
Here xk ∈ Rn represent the state that we want to estimate. The input of the system is uk ∈ Rp
which in most of the case is the measured value we obtained from the sensor. yk ∈ Rm indicate
the output of the system which is also the measurement value in most of the cases to correct
the estimated value. wk ∈ Rn and vk ∈ Rn is the noise of the system, in some references
it also called “disturbances” [20][19][18]. The matrices A ∈ Rn×n , B ∈ Rn×p , C ∈ Rm×n ,
D ∈ Rn×p represent the dynamics of the system. Note that in practice these matrices might
change with each time step but in order to reduce the complexity, here we assume they remain
constant all the time. Another thing need to be mentioned here is both wk and vk are zero-mean
white Gaussian stochastic process, and the error covariance matrices are Q and R, respectively.
Actually the condition we set here is hard to met in real applications, but the experiments shows
that the Kalman filter based methods work well in battery state estimation [23].
3.3. Kalman Filter 19
Here we define x̂− n

k ∈ R (known as super minus) to be a priori state value priori to time
step k, and x̂k ∈ Rn to be a posteriori state estimate at step k using measurement value yk
to update the previous estimated value. The estimate errors of the priori and posteriori can be
shown as:
e− −
k = xk − x̂k
ek = xk − x̂k
The error covariance can be represented as:
Pk− = E[e− −T
k ek ]
Pk− = E[ek eTk ]
And E[.] is defined as:

n
X
E(x) = p i xi
i=1
Where x1 , x2 , x3 ...xn is the outcomes with its corresponding probabilities p1 , p2 , p3 ...pn [24].
The step by step Kalman Filter algorithm can be found in the Appendix B Fig B.1.
The core of this algorithm is to predict the state value in advance and obtain feedback in
the form of measurement. As a matter of fact, Kalman filter contains two fundamental steps:
time update or prediction update step and measurement update or observation update step.
The first step is by using prior state estimate as calculated in the previous iteration, xk−1 ˆ and
error covariance Pk−1 . The calculation of this step do not need any measurement value in ad-
vance. The second step is measurement update which take care of the feedback-for incorporate
knowledge gained from the measurement value to improve the previous estimation. At the same
time this will also be the value that we will use to report the real state of the battery say SOC or
SoH [20][24].
The initial value of the filter is according to the previous calculation or recorded informa-
tion in the RAM. In most of the practical cases the initial value cannot be precisely predicted
and collected. But the robustness characteristic of the Kalman filter will help us handle the poor
initial issues which will be shown in the next chapter.
x̂0 = E[x0 ]
Px,0 = E[(x0 − x̂0 )(x0 − x̂0 )T ]
After the initialization process, the Kalman filter will repeatedly perform two steps update
and this recursive nature makes it very appealing since the implementation becomes feasible.
The time update step calculate the estimated state value for the next measurement point.
x̂−
k = Axk−1
ˆ + Buk
Then the state error covariance will also be updated:
Pk− = APk−1 AT + Q
In theory, the uncertainty (error covariance) will decrease to zero when the system is stable, but
the process noise term Q will increase the uncertainty since wk can not be measured and predict
and makes it hard to analyze how it affect the result.
Then, we will come to the measurement update step in order to calculate the value of
posteriori state x̂k .
xˆk = x̂− −
k + Kk (yk − C x̂k − Duk )
As we can see from this equation, the updated state is based on the predicted state that we find
in the previous step plus a weighted correction factor yk − C xˆ−
k − Duk part is the difference
between the real measurement value and the estimated measurement value which can be called
the measurement innovation. If the innovation is zero this indicates that the real and estimated
value have no difference. The weighted factor shown in front of the innovation value is the
Kalman gain vector Kk which is chosen to be the corrected factor that minimizes error [25].
Kk = Pk− C T (CPk− C T + R)−1
Finally is the measurement error covariance step:
Pk = (I − Kk C)Pk−
Consider there is new information coming from the measurement the state error covariance
will always decrease. Figure 3.1 below gives a detailed flow chart of how the Kalman filter
related estimator implemented on the battery monitoring system to estimate the state of the
battery cell. In a word the Kalman filter provide a robustic, automatic and time efficient approach
to estimate dynamic system’s state using limited input output. [20][26][16]. Another important
issue that needs to be addressed here is that the recursive nature and the demand for matrix
operations makes Kalman filter based technology easy to embedded on microprocessor chips.
3.4 Advanced Kalman Filter
As we mentioned before, the Kalman filter estimates the state of a dynamic system using a linear
discrete time state space model. In order to handle more strict environment which addressed a
nonlinear dynamic model, the extension of the Kalman filter may become necessary.
3.4. Advanced Kalman Filter 21
Figure 3.1: Flow chart of how Kalman filter estimator estimate the state of the battery cell
3.4.1 Extended Kalman Filter
The extended Kalman filter(EKF) which using Taylor series to linearize the nonlinear state
space equation and transform the nonlinear problem to linear problem [19][20][24]. Here, we
will define the nonlinear system as:
The same as what we define in the Kalman filter, the random variables wk and vk are again
zero-mean white Gaussian stochastic process and the error covariance matrices are Q and R,
respectively. Instead of keeping error covariance matrices Q and R constant as what we did
in the Kalman filter, we will update this matrix with the time step k in the EKF algorithm.
Non-linear function f indicate the relationship between previous state and present state. Non-
linear function h indicate the relationship between measurement value and state value. Here,
we assume that at all operating points both f and g are differentiable in order to implement first
order Taylor-series expansion.
Then, we can rewrite the equation (3.4.2) as:
where xk and yk represent real state and measurement value. x̂k represent the posteriori
state at time step k. wk and vk represent process and measurement zero mean white Gaussian
stochastic noise respectively. A, B, C, D is the Jacobian matrix.
The whole steps of the extended Kalman filter can be described in the Appendx B Fig B.2.
However, since the EKF use Taylor series to transform the nonlinear problem to a liner
problem which does not consider state vector x has its inherent uncertainty. Which has a large
implications on the dynamic performance of the EKF related state estimation [27][28]. As a
matter of fact the EKF is not the only possible way to solve the nonlinear dynamic system state
estimation method. In particular, sigma point Kalman filter and particle filter can also give an
alternative to provide even better accuracy.
3.4.2 Unscented Kalman Filter
Considering the EKF based estimation method naturally has some shortcomings. These estima-
tion will result in decreasing of estimation accuracy and leading to unstable filters. In stead of
using Taylar series linearization method. Sigma point Kalman filter will use a small fixed group
of function to linearize the nonlinear state space equation and transform the nonlinear prob-
lem to linear problem [29][30]. A random variables will be carefully chosen to be the sample
points to represent the state vectors. The requirement of these chosen sample points is that the
mean and error covariance of these sample points are exactly the same as the mean and error
covariance of the priori state variable.
Before the introduction of Unscented Kalman filter, we will introduce the unscented trans-
formation first. Specifically we define a function y = f (x) with an input variable x has a
dimension L. The mean value and error covariance of the state x are x̄ and Px respectively.
We will formulate a matrix X with 2L + 1 sigma points in order to fulfill the requirements we
discussed in the previous paragraph.
The λ = α2 (L + κ) − L is a scaling parameter. 2L + 1 indicate the total (which is also the

minimum) number of sigma points that needed to fulfill the requirement that mentioned above.
Where the constant α is normally set to be a small positive number. In our application we define
α equals 1. The κ is determined by 3 − L and β normally equals to 2 [31]. Using these sigma
points as the input of the non-linear measurement equation we find:
Here we will use a weighted posterior sample points’ mean and error covariance to approx-
imately calculate the mean and error covariance of the measurement value y.
Where weights Wi are determined by
Another thing need to be addressed here is that when we derive the sigma points we have
to calculate the square root of covariance. In order to reduce the complexity of calculation we
√
can implement Cholesky decomposition here. Considering a matrix square root R = Px , if
the matrix Px is a positive defined matrix than it can be represented as P = RRT . The good
side of this method is that R is a lower triangular matrix. The whole steps of the UKF can be
found in the Appendx B Fig B.3.
3.4.3 Central Difference Kalman Filter
As we mentioned before the difference between each Sigma point kalman filter (SPKF) is how
they choose the sigma points. The UKF will choose a fixed number of sample points to trans-
form the nonlinear problem to linear problem. The requirement for these points are their mean
and error covariance value are exactly the same as prior state variable’s. However, the central
difference Kalman filter(CDKF) use a different method to generate the sigma points. Sterling’s
polynomial interpolation method will be used here instead of using Taylor series [32]. The same
as what we did in the UKF, we will draw 2L + 1 sigma points from the prior state variable x.
X0 = x̄ (3.4.1)
p
Xi = x̄ + ( h2 Px )i , i = 1, .....L, (3.4.2)
p
Xi = x̄ − ( h2 Px )i , i = L + 1, ..., 2L, (3.4.3)
Where weights Wi is determined by
(m) h2 − L
W0 = (3.4.4)
h2
(m) 1
Wi = 2 , i = 1, ..., 2L (3.4.5)
2h
Since the implementation of the CDKF is more or less the same as UKF, except the choice of
sample points so the detailed procedure can be found in previous UKF section. Another thing
need to be mentioned here is that the CDKF only need one extra variable to calculate the sigma
points, step variable h, compare to the three variables (α, β, κ) that the UKF needed. And at the
same time as it shown in [33] that the CDKF literally has better dynamic performance than the
UKF under some specific conditions. In terms of computation power since less extra variable
are used which will increase the speed of calculation compare to the UKF algorithm. But in
most of the practical cases this difference in computation power and accuracy is not so obvious
which indicate the SPKF has same order of accuracy and computation power. Specifically, the
√
optimal value for h is 3 (for Gaussian priors) [27].
3.4.4 Square Root Unscented Kalman Filter
The reason why we want to introduce the Square root sigma point kalman filter (SRSPKF) is
mainly because the normal SPKF need to calculate the matrix square root of the state error
covariance which cost a lot of computation power and decrease the numerical stability of the
whole system. Before we introduce the SRSPKF, we will introduce three linear algebra theories
first that are required to implement the SRSPKF which are QR decomposition, Cholesky factor
updating and Backsubstitution [30][27].
• QR decomposition: Assume we have a matrix A ∈ Rl×n , the QR decomposition of this

matrix can be written as:
AT = QR,
where two factors inside the equation are orthogonal matrix Q ∈ Rn×n and upper tri-
angular matrixR ∈ Rn×l . Here, we assume n ≥ l and R̃ ∈ Rl×l is the upper part of
the triangular matrix R and the Cholesky factor of P = AAT is R̃T , so in that case
R̃T R̃ = AAT . QR decomposition can be simplified as qr. and here the return value is R̃.
This method can be implemented in the SPKF to compute:
q
− (c) x,−
which can be referred as Px̂,k+1 = AAT , where A = wi (Xk+1,i − x̂−
k+1 ). Instead
T
of computing AA and follow up with the Cholesky factor, we can implement the QR
decomposition of AT here, in order to find out the R̃ component which can help us reduce
(c)
the computation complexity. And that can also applied to Pŷ,k+1 = pi=0 wi (Yk+1,i −
P
ŷk+1 )(Yk+1,i − ŷk+1 )T [29][30].
• Cholesky factor updating: Assume the Cholesky factor of P = AAT is R which is

a lower triangular matrix according to the Cholesky factor theory. then we can have
√
the Cholesky factor downdate P̂ = P ± vuuT , which can be represented as R̂ =
cholupdate{S, u, ±v}. The algorithm that we implement here is also available in Matlab
as cholupdate. The reason why we need to introduce this is because the previous method
(c)
can not be used when wi is negative. And this can also be used in the final step to update
the value of state error covariance.
• Backsubstitution: This was mainly used in the estimator gain matrix computation where
− −1 −
Kk+1 = Px̂ŷ,k+1 Pŷ,k+1 which can also be written as Kk+1 = Px̂ŷ,k+1 T
(Rŷ,k+1 Rŷ,k+1 )−1 .
The backsubstituion is consist of two steps totally. We calculate Pxy /RyT and then calcu-
late Kk+1 = (Pxy /RyT )/Ry .
The initialization step for SRSPKF is the same as what we have already introduced in the stan-
dard SPKF. Cholesky factor updating can be used here to reduce the computation complexity.
Xka = {x̂ak , x̂ak + λRx̂,k

a
, x̂ak − λRx̂,k
a
}
During time update step, the QR decomposition is used to compute the square root priori co-
variance
q
− (c) x,−
Rx̂,k+1 = qr{[ wi (Xk+1,(0:p) − x̂− T T
k+1 ) ]}
Under certain conditions especially when the weight factor is negative Cholesky factor updating
will be used instead of QR decomposition:
− − (c)
Rx̂,k+1 = cholupdate{Rx̂,k+1 a
, Xk+1,0 − x̂−
k+1 , w0 }
3.5. Particle Filter 27
The similar two step method is applied to the calculation of the measurement error covariance,
−
Then the Kalman gain can simply computed by: Kk+1 = Px̂ŷ,k+1 Pŷ which can be solved
by back-substitution. The whole steps of the square root unscented Kalman filter can be found
in the Appendix B Fig B.4.
3.4.5 Square Root Central Difference Kalman Filter
Just as the difference between standard UKF and the standard CDKF, SRCDKF and SRUKF
only differs from the derivation of sigma points. What special for square root CDKF is since
all weights are positive, Cholesky factor updating method is not necessary for CDKF. When
compute the QR decomposition of the error covariance we only calculate in following way:
3.5 Particle Filter
When the nonlinear system is corrupted by the non- Gaussian noise or the the problem itself is
not followed Gaussian process then no matter the SPKF nor the EKF cannot worked properly.
In order to tackle this problem we will introduce particle filter (PF) which based on Monte Carlo
simulation and use sequential importance sampling and re-sampling to estimate the state of the
dynamic system. In that case the PF can handle more strict environment than the SPKF and the
EKF.
3.5.1 Monte Carlo Simulation
Before we introduce the PF, we will briefly explain the Monte Carlo Simulation first. The like-
lihood of the posterior state can be calculated by a group of weighted sample points which can
be computed as:
Where δ() represent the Dirac delta function, {ω (m) , x(i) ; m = 1...N } represent the
weighted factor which are drawn from distribution π(x). The statistic expectation of the pre-
vious likelihood can be represented by:
In that case we can rewrite the statistic expectation into:
However in most of the cases it is not practical to derive the sample points from the pos-
terior likelihood. So sequential importance sampling (SIS) algorithm is needed to tackle this
problem. Detailed explanation can be found in [32][34][27].
3.5.2 Resampling
Considering the number of sample points that we choose in the previous step will have a big
impact on the dynamic performance of the PF. The more points that we draw the more accuracy
the estimation is. However this will also cost more computing power. Re-sampling step here
can emphasize the point which has more impact on the final result and eliminate the useless
particles. Which can be evaluated by the weighted factor w [32][34][27]. The detailed algorithm
is given in the Appendix B Fig B.5.
Chapter 4
Experiment and simulation set up
In this chapter the experiment and simulation set up will be introduce and the step by step
procedure will also be given.
4.1 Experiment set up
The real drive test is conducted at RWTH Aachen University in Germany [35]. In this thesis
work, the test data collected from these group of tests will be used. The whole test was im-
plemented on a FEV eFIAT floor 500 battery electric vehicle. The measurement set up and the
illustrate of the measured signals will be explained in this section. Technical data was given in
the following table 4.1.
4.1.1 Test and Measurement Setup
In order to have the real data from the vehicle, extra tools which in order to track the state of the
vehicle will be added. As shown in Fig4.1. The introduction in Fig 4.1c are GPS receiver cable
and USB memory stick. The explanations in Fig 4.1d are MicroAutoBox II, CAN bus coupler,
IMU sensor board, connections and 5V voltage supply from left to right. Using the CAN bus
on the vehicle to receive the signal when the vehicle is driving. In order to locate the vehicle
(monitor the driving distance and road condition) a GPS sensor is installed on top of the car. The
remaining components were housed in the trunk. For reading and storing measurement signals
MicroAutoBox II dSPICE is used. The used version here is 1401/1507 which has 4 CAN buses
and two RS-232 interfaces and a USB port for storing the measured values on a USB storage
29
30 Chapter 4. Experiment and simulation set up
Drive
Electric Machine Permanent Magnet Syn-
chronous Machine
Rated Power 45 kW
Max Torque 240 Nm
Max rotate speed 7500 min−1
Max speed 121km/h
vehicle data
Weight 1170kg
Tire 175/65 R14
Dynamic tire radius r 0.2835m
Gear ratio i 6.61
Cross-sectional area 2.42m2
Drag coefficient 0.325
Efficiency of the the drive 95.5%
train
Battery
Manufacture of cells Kokam
Number of cells 84
Norminal voltage 310.8 V
Norminal capacity 40 Ah
Energy content 12.4 kWh
Usable capacity 31.25 Ah
Table 4.1: Technical data FEV eFiat 500 [35]
device.
4.1.2 Test run
After installing the measurement hardware in the vehicle and some test drive were also imple-
mented. The test drive is anonymously and totally 130 groups of data were collected with at
least 2 km route length of 51 different drivers. Overall 2547.7km covered in 103.2h. The aver-
age speed of the test is around 23.37 km/h. The highest ambient temperature of the test is 24 ◦ C
and the lowest temperature of the test is 0 ◦ C. From the CAN bus we can read the news of the
battery management system, the power-train drive unit and the sensors in the low voltage. The
sampling rate is 100 ms and the memory requirements while driving is approximately 1.1 MB
per minute. Table 4.2 shows the signal that the monitor will track during the experiment.
4.2. Simulation set up 31
Figure 4.1: Measurement devices set up
4.2 Simulation set up
The whole simluation work was ran on Matlab and used Recursive Bayesian Estimation Li-
brary(ReBEL) toolkit to build a battery cell state estimation monitor. The ReBEL toolkit which
contains the basic functions for state estimation, parameter estimation, joint estimation and dual
estimation, we can implement a lot of applications by implemented it.
In this thesis, we will firstly build a dynamic state space model for battery cell which has
already introduced in Chapter 2. There are totally 4 generalized state space models were built
which are Rint model, first order RC model, first order RC model with functional resistor and
second order RCs model with functional resistor. The battery state estimation Matlab toolkit
was first developed by Dr. Christian Fleisher [6]. Here we will use first order RC model as an
example to introduce how the model is built.
First we have to define the dimension of the state, the observation, the parameter and so
on. which can be seen in Fig 4.2:
As we can see from the previous code, in terms of first order RC model we have 5 states in
Singal Name Unit Description

CAN bus
BMS-iBatAct A current battery power
BMS-iBatChgCont A current maximum allowable charge current
BMS-iBatDchCont A current maximum allowable discharge current
BMS-rSOCAct current battery state of charge
BMS-rSOCMax maximum battery state of charge
BMS-rSOCMin minimum battery state of charge
◦
BMS-tCellAvg C average temperature of the battery cell
◦
BMS-tCellMaxAct C maximum temperature of the battery cell
◦
BMS-tCellMinAct C Minimum temperature of the battery cell
BMS-uBatAct V current battery terminal voltage
BMS-uCellMaxAct V maximum battery terminal voltage
BMS-uCellMinAct V minimum battery terminal voltage
IPU-iAct A measured DC current of the drive unit
IPU-nAct min−1 speed of the electric machine
IPU-tqAct Nm torque of the electric machine
IPU-uAct V measured voltage of the drive unit
LV-Current A current of the low voltage network
LV-Voltage V voltage of the low voltage network
Table 4.2: Technical data FEV eFiat 500 [35]
Figure 4.2: First order RC Model variable dimension definition
total which represent the SOC, the internal resistor, polarization resistor, polarization capacitor
and the voltage over capacitor. Apart from that we have one observation variable which is the
terminal voltage of the batter cell. And the parameter dimension here is 3 since the model
contains 3 parameters (internal resistor, polarization resistor and polarization capacitor). Two
input which are the measured current value and measured terminal voltage value. Since the
both the process noise and the observation noise have the same dimension with process state
and observation state are 5 and 1,respectively. Then we need to set up the noise source for
process and measurement which can use the default function of the ReBEL toolkit gennoiseds.
Nest step is to define the non linear state space function of the battery model. The code represent
the f function are given in Fig 4.3:
One thing need to be addressed here is that the we do not update the value of model
Figure 4.3: First order RC Model f function design
parameters in the SOC state estimation, so in that case we define:
R0k+1 = R0K
R1k+1 = R1K
C1k+1 = C1K
In terms of parameter, joint and dual estimation we will re-define the model which the value
of the battery parameters need to be updated. After we define the f function, we will design the
h function in order to find out the difference of the estimated value and real test value. Fig 4.4
shows how we design the h function.
Figure 4.4: First order RC Model h function design
Here, the function OCV = bsas oc2ocv(state(1, :)); means that we will use the relation-
ship between OCV and SOC to find estimated OCV value according to the estimated SOC state.
The OCV and SOC relationship that we used here is defined in the following code Fig 4.5 which
is actually a look-up tables as we can seen in figure Fig 4.6.
Figure 4.5: SOC & OCV relationship

Figure 4.6: SOC & OCV relationship
The last thing of model simulation is that we will set up the Jacobian matrix of f and h
functions for EKF based estimation. The corresponding code is given in Fig 4.7:
Figure 4.7: First order RC Model Jacobian define
Here we only show the result of Jacobian matrix A, as a matter of fact we still need to
define the Jacobian matrix B, C and D. Until now we have almost finished build the circuit
model.
Next, we will set up the adaptive filter algorithm in order to estimate the state of the bat-
tery. Here we will take UKF as an example to show how to define and use the filter to do the
estimation. First, we will define the scaling parameters of the UKF (Fig 4.8) and then set up the
weighted factor for the sigma point that we will derive later on.
Figure 4.8: Unscented Kalman filter scaling parameters’ definition
Then the covariance of the noise source will be defined using Cholesky decomposition
which is shown in Fig 4.9.
Figure 4.9: Unscented Kalman filter noise covariance set up
The sigma points will be derived according to the requirements that we mentioned in Chap-
ter 3, which required these chosen sample points’ mean and error covariance match the mean
and error covariance of the priori state variable. So in that case the sigma points are built ac-
cording to the formula given in Chapter 3 and the corresponding code is given in Fig 4.10.
Figure 4.10: Unscented Kalman filter sigma points set up
After deriving the sigma points we will calculate predicted state mean and covariance of
the prior state as it shown in Fig 4.11.
Until now we have already know the state mean of the prior variable. So we can take this
value back to h function and find out the estimated value for the measurement (In our case the
measurement value is the terminal voltage of the battery cell) the related code was shown in Fig
4.12.
Figure 4.11: Unscented Kalman filter state mean and covariance calculation
Figure 4.12: Unscented Kalman filter measurement estimated value
The last step is the measurement update, where Kalman filter gain and the update state
value will be calculate based on the difference between the estimated measurement value and
real test value. The code is given below Fig 4.13.
Figure 4.13: Unscented Kalman filter state value update
Apart from UKF which was described in this section, EKF, CDKF, SRUKF, SRCDKF and
PF will also be built and used in the later validation part. Before we run the simulation we need
to initialize the adaptive filter and also the state space model. Fig 4.14 and Fig 4.15 shows the
intilization process.
In order to make it more easier for the user to use this tool to do some extra test or research,
a graphic user interface is also developed which can be seen in the Appendix A. From the left
hand side we can choose different battery models, different estimation types (right now we only
design the state estimation) and filter types. In terms of the noise set up we will use the default
Figure 4.14: Initialization of the adaptive filter
noise function in the ReBEL toolkit to help us generate noise. Fig 4.16 shows how we set up
the noise for the first order RC model.
As you can see in Fig 4.16. here we will generate white mean Gaussian process noise
which has initialized with a really small error covariance. In order to run the simulation we still
have to upload the data of cell input current and terminal voltage. Here in order to compare the
estimated SOC value with real test SOC value, we will also upload the SOC value we get from
the real drive test to the simulation tool as well. Until now the simulation set up has finished
and we can move to the validation part.
Figure 4.15: Initialization of the state space model

Figure 4.16: Noise set up

Chapter 5
Experiment Result and Discussion
In this part of the report we will introduce how we implement EKF, SPKF and PF to estimate
SOC and so on. Follow up with the simulation results and discussions.
5.1 Comparison between different electric models
In this part of the work, an Lithium-ion battery cell for electric vehicle with a nominal capacity
of 40 Ah and a nominal voltage of 3.2V, is used for the comparison study of the electric model
comparison for estimating SOC of the battery cell. More detailed information regarding to the
experiment set up was given in the previous section. In order to compare the performance of
different battery electric models, several typical driving cycles will be applied. Here we will
using the data from several real driving cycles test on real city road using both aged and new cell.
The first cell is a fresh new battery with real capacity 42 Ah and the cell ambient temperature
is 0 ◦ C. The test last for around 54 mins and the initial SOC value is adjusted to 100%. The
second experiment is implemented on an aged cell which has the real capacity reduced to 38 Ah
and the cell ambient temperature is still 0 ◦ C. The second test also last 54 mins and the initial
SOC value starts from 100%. The input current and terminal voltage can be found in Fig.5.1a,
Fig.5.1b and Fig.5.2a, Fig.5.2b for the first and the second experiment, respectively.The sample
rate for the current and voltage sensors are 10Hz during the tests[35]. The battery models that
will be used in this section has already introduced in Chapter 2. In terms of the estimation
algorithm, square root unscented kalman filter will be used. Filter states are initialized to rated
value drawn from the data sheet with covariance initialized to very small values. The other thing
we have to addressed here is in all test cases, ”true” SOC we used as reference was calculated
from the current sensor recorded data using Coulomb counting method. So as a matter of fact
41
42 Chapter 5. Experiment Result and Discussion
the ”true” SOC is only relatively accurate since the current sensor error and the accumulated
error caused by using Ampere hour counting method[16].
5.1.1 Results and discussion
First we take a look at the result of the test which the ambient temperature is 0 ◦ C and the battery
is a fresh new battery. Fig.5.3a and Fig.5.3b show the result for the RINT model; Fig.5.5d and
Fig.5.3d show the results for the Thevenin model; Fig.5.3e and Fig.5.3f show the results for the
Thevenin model with functional R; Fig.5.3g and Fig.5.3h show the results for the DP model.
Left hand side column shows the results for the SOC estimation of the simulation and right hand
side column shows results for the terminal voltage estimation of the test. From the pictures we
can simply conclude that the estimation error of all 4 cases is not so big and within the accept-
able limits. The following table5.2 shows the results of the estimation error and the computing
power for each model. The reason why the error starts from zero is because we correctly set
an initial value. The double polarization model which is usually called second order RC model
does a better job considering the estimation error but in terms of the computing power, it cost
the most time to calculate. In terms of the computing power, here we use computing time of
one time calculation on personal computer to indicate the computing power of the estimation
methods. For estimation error or the estimation accuracy here we use root mean square method
to indicate the estimation accuracy. The formula to calculate the estimation error is given below.
r
1
SOCerror = ((SOCref (0) − SOCest (0))2 + ... + (SOCref (T ) − SOCest (T ))2 ) (5.1.1)
n
Model The RINT The Thevenin The DP

Model Thevenin Model with Model
model Functional
R
Computing 14.08 17.02 16.45 20.19
Power(s)
Estimated 2.34 2.24 2.2 1.77
Error(%)
Table 5.1: Comparison of Different Model using fresh new battery

5.1. Comparison between different electric models 43
Model The RINT The Thevenin The DP

Model Thevenin Model with Model
model Functional
R
Computing 17.77 20.1 19.65 20.19
Power(s)
Estimated 7.85 7.69 7.53 7.29
Error(%)
Table 5.2: Comparison of Different Model using aged battery
(a) Input Current of the single battery cell(new bat- (b) Terminal Voltage of the single battery cell(new
tery) battery)
(a) Input Current of the single battery cell(aged bat- (b) Terminal Voltage of the single battery cell(aged
tery) battery)
(a) SOC Estimation using RINT Model (b) Terminal voltage Estimation using RINT Model
(d) Terminal Voltage Estimation using Thevenin

(c) SOC Estimation using Thevenin Model
Model
(e) SOC Estimation using Thevenin (f) Terminal Voltage Estimation using Thevenin
Model(functional R) Model(functional R)
5.1. Comparison between different electric models 45
(g) SOC Estimation using DP Model (h) Terminal Voltage Estimation using DP Model
Figure 5.3: Comparison of different equivalent electric circuit model state estimation using new
battery cell
Secondly, the test was implemented on an aged cell with the same ambient temperature
around 0 ◦ C. Results for the RINT model is shown in frame Fig. 5.4a and Fig. 5.4b; results
for the Thevenin model is shown in frame Fig. 5.4c and Fig. 5.4d; results for the Thevenin
model with functional R is shown in frame Fig. 5.4e and Fig. 5.4f and results for the DP model
is shown in the frame Fig. 5.4g and Fig. 5.4h. In all cases, we reset the initial of the battery
capacitor to 38 instead of 42 for the new cell. But this should be done within the BMS using
online parameter estimation to estimate the real battery capacity. Several methods has been
presented in the literature can be generally divided into four groups [6]. The first method is
based on the change in the measured battery OCV before and after charging or discharging and
then the battery capacity is calculated based on the SOC-OCV relationship. The second method
is to estimate the OCV change from the battery voltage measured under load. The third and
fourth method is to using electric circuit model to calculate the battery capacity using joint or
dual estimation. In order to compare with the previous simulation result we will implement the
same estimation method and the cell is also test under the same temperature. In this model,
estimation model is worse than the previous one because of the poorly capacity value. But we
still can see the priority of the second order RC model has better estimation result in terms of
the accuracy. And the linear RINT model takes the least time to calculate. From these groups
of experiment, we can easily see the aging effect will have a big effect no matter on the battery
itself but also on the monitoring accuracy.
(a) SOC Estimation using RINT Model (b) Terminal voltage Estimation using RINT Model
(d) Terminal Voltage Estimation using Thevenin

(c) SOC Estimation using Thevenin Model
Model
(e) SOC Estimation using Thevenin (f) Terminal Voltage Estimation using Thevenin
Model(functional R) Model(functional R)
5.2. Comparison between different estimation algorithms 47
(g) SOC Estimation using DP Model (h) Terminal Voltage Estimation using DP Model
Figure 5.4: Comparison of different equivalent electric circuit model state estimation using aged
battery cell
5.2 Comparison between different estimation algorithms
”Estimation algorithms are mathematical techniques used to compute the optimal estimates
of states and parameters of a dynamical system” [36][9]. Here in our report we will compare
six estimation algorithms in total which are EKF, UKF, CDKF, SRUKF, SRCDKF and PF.
A groups of experiments has been conducted to validate the model based state estimation and
using this estimation algorithm. First the same model of new cell will be running under different
temperature. Secondly the same model of cell will be running at different road conditions to test
the accuracy of the monitoring method also. Another thing need to be mentioned here is that we
will implemented first order RC model here considering the modest computing power it needed
and relatively good dynamic performance.
5.2.1 Results and discussion
Fig.5.5 shows the results of different estimation algorithm SOC estimation for first order RC
model under ambient temperature 0 ◦ C, while the SOC was initialized to 100% and internal
resistor R0 is 0.0005Ω, parallel resistor R1 is 0.0005Ω and the capacitor is 200 pF. Results for
the EKF is shown in the Fig.5.5a; results for the UKF is shown in the Fig:5.5b; results for the
CDKF is shown in the Fig:5.5c; results for the SRUKF is shown in the Fig:5.5d; results for
the SRCDKF is shown in the Fig:5.5e; results for the PF is shown in the Fig:5.5f. The detailed
information about the computing power and estimated error can be found in the table5.3. From
these figures we can conclude that existing estimation algorithms tend to either be accurate
but complex or easy but suffer from the big errors it will produced. According to this, a trade
off need to be done by the car manufacture to choose their preference. When the battery is
running at different temperature both the estimated error and computing power will still remain
the same trend. But we can notice that in Fig.5.6b the estimated value has a jump at the end
of the estimation timescale. One reason behind this is because the OCV curve for these cells is
extremely flat when SOC value is between 20 to 70. A small deviation of the estimated value of
the voltage may have a big impact on the estimated SOC value, and is worst around 50%. As we
can seen from the comparison table, the superiority of the EKF over SPKF is mainly because
the nonlinear characteristic of the battery that we use here is mostly known. Another reason
is because the SOC of a Li-ion battery can only have one trend during a period of time(when
charging SOC increase, when discharging SOC decrease). Considering when we face a mildly
nonlinear model with known noise distribution EKF will of course have some priority over
SPKF . As SPKF approximates the Gaussian noise distribution instead of the state space model.
The particle filter will have higher accuracy compare to the others, however will cost more
computation power instead.
Estimation Algorithms Computing Estimated

Power(s) Error(%)
Extended Kalman Filter 24.55 1.177
Unscented Kalman Filter 15.67 2.133
Central Difference Kalman Filter 18.41 1.639
Square Root Unscented Kalman 16.98 1.245
Filter
Square Root Central Difference 17.43 1.639
Kalman Filter
Particle Filter 31.01 0.631
Table 5.3: Comparison of Different Estimation Algorithms (ambient temperature 0 ◦ C)

Power(s) Error(%)
Filter
Kalman Filter
Table 5.4: Comparison of Different Estimation Algorithms (ambient temperature 10 ◦ C)
The previous two tests are all run inside the city. The following picture shows the result
5.2. Comparison between different estimation algorithms 49
(a) SOC Estimation using Extended Kalman Filter (b) SOC Estimation using Unscented Kalman Filter
(c) SOC Estimation using Central Difference (d) SOC Estimation using Square Root Unscented
Kalman Filter Kalman Filter
(e) SOC Estimation using Square Root Central Dif-

(f) SOC Estimation using Particle Filter
ference Kalman Filter
Figure 5.5: Comparison of different Estimation Algorithms under 0 ◦ C


Figure 5.6: Comparison of different Estimation Algorithms under 10 ◦ C

5.3. Practical case with poorly initial value 51
when the car is driving on highway. Results for the EKF is shown in the Fig.5.7a; results for
the UKF is shown in the Fig:5.7b; results for the CDKF is shown in the Fig:5.7c; results for
the SRUKF is shown in the Fig:5.7d; results for the SRCDKF is shown in the Fig:5.7e; results
for the PF is shown in the Fig:5.7f. The detailed information about the computing power and
estimated error can be found in the table5.5. The conclusion that we drew in previous paragraph
is still valid.

Power(s) Error(%)
Filter
Kalman Filter
Table 5.5: Comparison of Different Estimation Algorithms (ambient temperature 0 ◦ C), high-
way mode
5.3 Practical case with poorly initial value
In reality, we actually have several ways to estimate the battery SOC value as what we have
discussed in chapter 3. The most widely used method is Ampere-hour counting method which is
easy to implement and relatively cheap compare to other methods. But the drawback is also quite
obvious. Poorly initial value and accumulated measurement error may cause a big deviation
between the real and estimated value. This can be pretty annoying when a car suddenly stops
in the middle of the road whereas sufficient battery capacity is indicated. Here we will see
whether the adaptive filter technology can overcome this deficit and show some priority in
terms of tackling poorly initial value problem. Here we will show the example where adaptive
filter technology SOC estimation result under incorrect initialization.
5.3.1 Results and Discussions
Fig.5.8 shows the result of poorly initial value, where the filter SOC was incorrectly reset to
90%, 80%, 70% and 50% respectively. As we can easily seen from the experiments’ result,

Figure 5.7: Comparison of different Estimation Algorithms under 0 ◦ C, highway mode

5.3. Practical case with poorly initial value 53
Figure 5.8: SOC estimation under poor initial value

no matter how big the deviation is, this method can eventually converge to very low estima-
tion error, which shows the robustness and adaptivity of this approach. At the same time the
convergence just take several minutes to complete is also a very positive feature.
5.4 Multiple driving cycles estimation
From these set of experiments alone, it is hard for us to draw the conclusion that Kalman filter
based methods can be used for electric vehicle related applications to estimated the SOC value
of the traction battery. So in that case, we now show some practical cases to help us get a
full impression about the monitoring method. In practice, the car will running through several
charging and discharging phases and the time slot for each phase is extremely hard to predict.
Since it is highly depends on the driver’s daily routine and the functionality of the car. If the
driver just go for a short trip say daily shopping then the car will experience a 5 minutes short
discharging and then followed up with a several hours long charging. If the driver go for a long
road trip, then the car will experience a several hours long discharging and follow up with a long
charging also. In this case the robustness of the algorithm will become an important issue when
we choose the estimation method. Here we will present several simulation results showing the
performance of the estimation methods under multiple driving cycles.
5.4.1 Results and Discussions
Fig.5.9 and Fig.5.10 shows the result of SOC estimation for multiple driving cycles, and the
SOC state was reinitialized to 96% after each charging phase. The reason why we do not es-
timate the charging phase is because we only have one 12V battery system in our prototype
which is designed for start the engine. But in reality we will install more 12V back up batteries
to let the BMS working under key-off state. The cell that we use for this test is a fresh new cell
with real capacity around 42 Ah with a 3.2V nominal voltage. Here we will using SRUKF as the
estimation algorithm and first order RC model to do the estimation since the modest accurate
level and relatively low demand on computing power that we conclude from previous section.
Results for a consecutive driving profile is shown in Fig.5.9 and a driving profile from one of
our test engineer is shown in Fig.5.10 which is not consecutive. We can see the robustness and
adaptivity of the SRUKF method from this. Which indicate the Kalman filter based estimator
can be used under practical cases.
5.4. Multiple driving cycles estimation 55
Figure 5.9: Multiple Driving Cycle SOC estimation using SRUKF and first order RC model
(consecutive)
Figure 5.10: Multiple Driving Cycle SOC estimation using SRUKF and first order RC model
(driver profile)
Chapter 6
Conclusions and further work
In this part of the report, discussion regarding to the performance of model based battery state
estimation using adaptive filter technology will be given here. Suggestions for further work and
improvements will also be given.
6.1 Conclusion
In this thesis, we mainly discussed how to utilize Kalman filter based algorithm to track the
state of the battery.
First, we introduce several existing electric battery circuit model which can predict the
characteristics of the battery fast and convenient. The performances of different models are
obtained by conducting the accuracy of SOC estimation with same Kalman filter algorithm
using real test drive data as input. By comparison, the second order RC model with functional
internal resistor model has the best dynamic performance in terms of SOC state estimation,
however, it also require large computation power to compute.
Second, six model-based algorithms are introduced to track the state of battery parameter.
Which are EKF, UKF, CDKF, SRUKF, SRCDKF and PF. The performance of these algorithm
are compared in terms of speed and accuracy. Simulation result shows EKF performs better
than SPKF in most of the case is mainly because of the system itself is only a mildly nonlinear
system. SPKF is based on an approximation of the Gaussian noise distribution rather than the
state space model like EKF. Under some special case when the system is corrupted by non-
Gaussian noise the particle filter will outperforms the other algorithms. Unfortunately we also
notice that existing estimation algorithms tend to either be accurate but complex or suffer from
57
58 Chapter 6. Conclusions and further work
worse dynamic performance but have higher calculation speed.
Third, we take a look at the robustness of the Kalman Filter based algorithm. We will give
a poor initial value manually to see whether the algorithm can adjust the estimated value back to
the right outcome. The simulation result clearly shows the method can automatically converge
to a relatively small number which prove the robustness and adaptivity of this method.
Finally we implement multiple driving cycle simulation to see whether the algorithm can be
used in the real practical case. The result is quite positive that the Kalman filter based algorithm
can quickly track the SOC of the battery and can converge to a small number also.
6.2 Further work
In future work, we still have a lot of tasks need to be fulfilled:
• Here we assume the parameter of the battery itself remains constant which is not the real
case. In the future we need to update the parameter of the battery model parameters at the
same time.
• Aging effect of the battery need to be tackled therefore the performance of the algorithms
over the lifetime of the battery need to be further studied and improved.
• Here we only consider a single cell state estimation, but , for electric vehicle pack state is
more important for drivers.
• The algorithms will be implemented on a BMS which indicate it need to be embedded

into a micro processor. Which will give the requirements to choose suitable algorithm
with limited computation power but with enough accuracy.
• Real time state estimation is needed for EV applications, so the calculation speed of the
algorithm need to be analyzed
Appendix A
Matlab Battery State Estimation Graphic

User Interface
Here we show the Matlab battery state estimation graphic user interface.
59
60 Appendix A. Matlab Battery State Estimation Graphic User Interface
Figure A.1: Matlab Battery State Estimation Graphic User Interface

Appendix B
Kalman filter related algorithms
The Kalman filter related algorithm step by step flow chart is given here:
Figure B.1: Kalman filter algorithm flow chart
61
62 Appendix B. Kalman filter related algorithms
Figure B.2: Extended Kalman filter algorithm flow chart

Appendix B. Kalman filter related algorithms 63
Figure B.3: Unscented Kalman filter algorithm flow chart

Figure B.4: Square root unscented Kalman filter algorithm flow chart
Appendix B. Kalman filter related algorithms 65
Figure B.5: Particle filter algorithm flow chart

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DEGREE PROJECT IN ELECTRICAL ENGINEERING,

SECOND CYCLE, 30 CREDITS

Modularized Battery Management

KTH ROYAL INSTITUTE OF TECHNOLOGY

Master of Science Thesis in Electrical Machines and Drives

c YIZHOU ZHANG, 2016.

School of Electrical Engineering

I detta examensarbete har en modellbaserad tillståndsestimeringsmetod med användande

Nyckelord: BMS, elbil, Kalmanfiltrering, litiumjonbatterimodell, tillståndsestimering.

1.1.1 Presentation of NEVS . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.1.3 Battery Management System . . . . . . . . . . . . . . . . . . . . . . . 2

1.2 Motivations and Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1.3 Thesis Outline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

2 Li-ion Battery Cell Equivalent Electric Circuit Model 5

2.2 The Rint Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.3 The RC Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.4 The PNGV Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.5 The Thevenin Model (First Order RC Model) . . . . . . . . . . . . . . . . . . 8

2.6 The DP Model (Second Order RC Model) . . . . . . . . . . . . . . . . . . . . 9

2.7 Varied-parameters’ Electric Circuit Model . . . . . . . . . . . . . . . . . . . . 10

3 Methods For the Battery State Estimation 13

3.1.1 Definition of SOC . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

3.1.2 Definition of pack SOC . . . . . . . . . . . . . . . . . . . . . . . . . . 14

3.2 Methods for the SOC estimation . . . . . . . . . . . . . . . . . . . . . . . . . 16

3.2.1 Ampere-hour counting . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3.2.2 Open Circuit Voltage related SOC estimation . . . . . . . . . . . . . . 16

3.2.3 Adaptive Filter SOC estimation . . . . . . . . . . . . . . . . . . . . . 17

3.3 Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

3.4 Advanced Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

3.4.1 Extended Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . 22

3.4.2 Unscented Kalman Filter . . . . . . . . . . . . . . . . . . . . . . . . . 23

3.4.3 Central Difference Kalman Filter . . . . . . . . . . . . . . . . . . . . 24

3.4.4 Square Root Unscented Kalman Filter . . . . . . . . . . . . . . . . . . 25

3.4.5 Square Root Central Difference Kalman Filter . . . . . . . . . . . . . . 27

3.5 Particle Filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

3.5.1 Monte Carlo Simulation . . . . . . . . . . . . . . . . . . . . . . . . . 28

4 Experiment and simulation set up 29

4.1 Experiment set up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

4.1.1 Test and Measurement Setup . . . . . . . . . . . . . . . . . . . . . . . 29

4.1.2 Test run . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

4.2 Simulation set up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

5 Experiment Result and Discussion 41

5.1 Comparison between different electric models . . . . . . . . . . . . . . . . . . 41

5.1.1 Results and discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 42

5.2 Comparison between different estimation algorithms . . . . . . . . . . . . . . 47

5.2.1 Results and discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 47

5.3 Practical case with poorly initial value . . . . . . . . . . . . . . . . . . . . . . 51

5.3.1 Results and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . 51

5.4 Multiple driving cycles estimation . . . . . . . . . . . . . . . . . . . . . . . . 54

5.4.1 Results and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . 54

6 Conclusions and further work 57

6.2 Further work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

A Matlab Battery State Estimation Graphic User Interface 59

B Kalman filter related algorithms 61

1.1.1 Presentation of NEVS

1.1.3 Battery Management System

1.2 Motivations and Objectives

• Analyze the experimental result and compare different scenarios.

1.3 Thesis Outline