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EnergyProcedia 158
Procedia 00(2019)
(2017)3008–3013
000–000
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Online Estimation and Error Analysis of both SOC and SOH of

Lithium-ion Battery based on DEKF Method
The 15th International
Linlin FangSymposium
a onaDistrict
, Junqiu Li Heating
*, Bo Peng a and Cooling
Linlin Fang , Junqiu Li *, Bo Peng
Assessing the feasibility of using the heat demand-outdoor
Collaborative Innovation Center of Electric Vehicles in Beijing, Beijing Institute of Technology, Beijing, 100081,China.
aa

temperature function for a long-term district heat demand forecast

Abstract
a,b,c a a b c c
I. Andrić
The state-of-charge (SOC) and*, A. Pina , P. Ferrão
state-of-health(SOH) are two , J.critical
Fournier
indexes .,in B. Lacarrière
battery management, O. Le(BMS)
system Correfor electric
vehicles(EVs). To achieve accurate estimation of SOC and SOH, this paper establishes a battery equivalent circuit model and
a
IN+ Center Factor
uses Forgetting for Innovation, Technology
Recursive and Policy
Least Squares Researchto- Instituto
(FFRLS) Superior
realize online Técnico, Av. Rovisco
identification Paisparameters.
of model 1, 1049-001And
Lisbon, Portugal
based on the
b
relationship between the ohmicVeolia Recherche
internal & Innovation,
resistance and the291 Avenue
SOH, a Dreyfous
joint Daniel,using
estimator 78520Double
Limay, France
extended Kalman filter(DEKF)
c
Département Systèmes Énergétiques et Environnement - IMT Atlantique, 4 rue Alfred Kastler, 44300 Nantes, France
algorithm is proposed for the estimation of both SOC and SOH. Then, an error model is established to analyze the influence of
the battery OCV-SOC curve, battery capacity and battery parameters on the estimation of the SOC and SOH. The experiment
results show that the maximum estimation error of SOC and SOH is 1.08% and 1.52% respectively, which have verified that
accurate
Abstract and robust SOC and SOH estimation results can be obtained by the proposed method. Besides, the OCV-SOC curve has
the greatest influence on the estimation error of SOC and SOH among the three kinds of factors mentioned above.
Copyright © 2018networks
Elsevier Ltd. All rights reserved.
©District
2019 The
Selection
heating
andAuthors. are commonly
Published
peer-review under Elsevier addressed
Ltd. of thein scientific
by responsibility the literature as one of the most
committee of investments
the 10th
effective solutions for decreasing the
th International Conference on Applied
greenhouse gas emissions from
This is an open access article under thethe
building sector. These
CC BY-NC-ND systems
license require high which are returned through the heat
(http://creativecommons.org/licenses/by-nc-nd/4.0/)
Energy
sales. (ICAE2018).
Due to the changed climate conditions and building renovation policies, heat demand in the future could decrease,
Peer-review under responsibility of the scientific committee of ICAE2018 – The 10th International Conference on Applied Energy.
prolonging the investment return period.
Keywords: Lithium-ion battery; Battery equivalent circuit model; Double extended Kalman filter; Error model of SOC and SOH estimation
The main scope of this paper is to assess the feasibility of using the heat demand – outdoor temperature function for heat demand
forecast. The district of Alvalade, located in Lisbon (Portugal), was used as a case study. The district is consisted of 665
buildings that vary in both construction period and typology. Three weather scenarios (low, medium, high) and three district
1.renovation
Introduction scenarios were developed (shallow, intermediate, deep). To estimate the error, obtained heat demand values were
compared with results from a dynamic heat demand model, previously developed and validated by the authors.
TheLithium-ion
results showed batteries
that when areonly
featured
weather by highis considered,
change energy density, the marginlowof self-discharge rate, long
error could be acceptable cycleapplications
for some life and
environmental
(the error in annual friendliness
demand and thus have
was lower foundforwide
than 20% applications
all weather scenariosin the area of electric
considered). However,vehicle power supply
after introducing and
renovation
energy
scenarios,storage systems.
the error value Battery
increasedmanagement systems (BMS)
up to 59.5% (depending on the have
weatherbeen
anddesigned
renovationtoscenarios
provide combination
monitoring, considered).
diagnosis
Thecontrol
and value of slope coefficient
functions to enhance increased on average
the operation within the
of batteries [1].range of 3.8% up to 8% per decade, that corresponds to the
decrease
In the in the number
battery of heating
management hours ofone
systems, 22-139h
of theduring
mostthe heating
critical season
issues is (depending
to accuratelyon the combination
estimate of weather and
the state-of-charge
renovation scenarios considered). On the other hand, function intercept increased for 7.8-12.7% per decade (depending on the
(SOC) in real-time [2–8]. To obtain an accurate SOC and SOH estimation, many methods have been proposed in
coupled scenarios). The values suggested could be used to modify the function parameters for the scenarios considered, and
literatures such as the current integral method [2], open-circuit voltage method [3], neural network method [4],
improve the accuracy of heat demand estimations.
extended Kalman filter (EKF) method [5] and particle filter (PF) method [6–8]. Among the above methods, extended
© 2017 The Authors. Published by Elsevier Ltd.
Peer-review under responsibility of the Scientific Committee of The 15th International Symposium on District Heating and
Cooling.
* Corresponding author. Tel.: 086-010-68940589; fax: 086-010-68914842.
E-mail address:
Keywords: [email protected].
Heat demand; Forecast; Climate change

1876-6102 Copyright © 2018 Elsevier Ltd. All rights reserved.

Selection and peer-review under responsibility of the scientific committee of the 10thth International Conference on Applied Energy (ICAE2018).

1876-6102 © 2017 The Authors. Published by Elsevier Ltd.

Peer-review under responsibility of the Scientific Committee of The 15th International Symposium on District Heating and Cooling.
1876-6102 © 2019 The Authors. Published by Elsevier Ltd.
This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/)
Peer-review under responsibility of the scientific committee of ICAE2018 – The 10th International Conference on Applied Energy.
10.1016/j.egypro.2019.01.974
 Linlin Fang et al. / Energy Procedia 158 (2019) 3008–3013 3009
2 Author name / Energy Procedia 00 (2018) 000–000

Kalman filtering is widely used for its simple theory and easy to implement. However, with the aging of the battery,
the attenuation of capacity will lead to inaccurate estimation of SOC. In Reference [9], an equivalent circuit model is
established to track the internal resistance of the battery and the internal resistance change of the aging battery is
quantitatively studied, but the specific relationship for the battery internal resistance and SOH has not been
determined. Reference [10] uses the Kalman filter algorithm to estimate the SOC and SOH, and the accuracy of SOC
estimation is controlled within 1%, but the maximum error of the estimation of SOH is 20%. At present, the
evaluation of battery SOH is mostly qualitative analysis. Besides, the effects of the change of OCV-SOC
relationship curve on estimation of SOC and SOH during battery aging hasn’t been considered either.
Based on the above problems, we establish the equivalent circuit model, use the Forgetting Factor Recursive
Least Squares (FFRLS) method to realize the online identification of model parameters and use the DEKF algorithm
to achieve online joint estimation of SOC and SOH. Then, the influence of battery OCV-SOC curve, battery capacity
and battery model parameters on the estimation of SOC and SOH is analyzed by establishing the error model of SOC
and SOH estimation.

2. Battery equivalent circuit model and Online Parameter Identification

Dynamic voltage characteristics of lithium-ion battery show abrupt changes and gradual changes, which can be
described using the equivalent circuit model. The model circuit and the meaning of each symbol are shown in Fig.1.
And the state equation of this model is formula (1).
Id Rd Ic Rc
R0

＋
Cd Cc IL
UOC ＋ Ud － ＋ UC － UL

Fig. 1. battery equivalent circuit model

 • Ud I
(1)
U d = −
Cd Rd
+ L
Cd

 • Uc I
U c = − + L
 Cc Rc Cc
U L = U oc − U d − U c − R0 I L


The battery model is transformed into a mathematical form that can be identified by a least-squares method and
the Forgetting Factor Recursive Least Squares (FFRLS) algorithm is used to realize online parameter identification.
Adopting Laplace transform for equation (1), the equation (2) can be obtained by making U= rc ( )
s U t ( s ) − U oc ( s )
and using bilinear transformation.
z 2U rc ( z ) = a1 zU rc ( z ) + a2U rc ( z ) + a3 z 2 I L ( z ) + a4 zI L ( z ) + a5 I L ( z ) (2)
Then, we can finally obtain the equation (3) by inverse Z-transformation for equation (2).
U t ,k = (1 − a1 − a2 )U oc,k + a1U t ,k −1 + a2U t ,k −2 + a3 I L,k + a4 I L,k −1 + a5 I L,k −2 (3)

And we can get the output matrix yk , Parameter matrix  and data matrix  of the mathematical model, which
are shown in the equation (4). Then, the parameters of the battery model can be solved using FFRLS algorithm, as
shown in equation (5).
y = U =   T
(4)
k t ,k k k

 T
 = (1 − a1 − a2 ) U oc ,k a1 a2 a3 a4 a5 
 T
 =1 U L ,k −1 U L ,k −1 iL ,k iL ,k −1 iL ,k −2 


 T (1 + a2 )
(5)
 − a3 + a4 − a5  Rc Cc + Rd Cd =
 R0 =  1 − a1 − a2
 1 + a1 − a2 
 − a3 − a4 − a5 R R C + R R C + R R C + R R C = T ( a5 − a3 )

R
 0 + Rc + Rd =  0 c c 0 d d c d d d c c
1 − a1 − a2
 1 − a1 − a2 
 T 2 (1 + a1 − a2 )
 Rc Cc Rd Cd =

 2 (1 − a1 − a2 )
3010 Linlin Fang et al. / Energy Procedia 158 (2019) 3008–3013
Author name / Energy Procedia 00 (2018) 000–000 3

3. Online estimation of both SOC and SOH based on DEKF method

3.1. Relationship between SOH and ohmic resistance of the battery

The equation (6) shows the definition of SOH of the battery cell based on the ohmic resistance.
SOH =
Rold − Rnow (6)
Rold − Rnew
Where Rnew represents the ohmic resistance of the new battery at the factory, Rnow represents the current ohmic
resistance of the battery and Rold represents the ohmic resistance when the battery capacity decays to 80%.
However, for the battery pack, the total ohmic internal resistance includes the ohmic internal resistance of the
battery itself, as well as the additional internal resistance of the circuit such as the wire and the contact internal
resistance. When calculating SOH, we ignore the change in internal resistance as battery capacity decreases. Then,
the SOH of the battery pack can be described by the equation (7).
Rold − Rnow ( Rold + rold ) − ( R0 + re ) Rold − R0 (7)
SOH
= = =
Rold − Rnew ( Rold + rold ) − ( Rnew + rnew ) Rold − Rnew

3.2. Online estimation of both SOC and SOH

According to the equivalent circuit model of the battery, a discrete state space equation that reflects changes in
the state variables such as battery SOC and voltage is established:




 - T



(8)
SOC(k)  1 0 0  SOC(k-1)   C 
   −T     −T 
=U R C (k )   0 exp( ) 0   U R C ( k − 1)  +  Rc (1 − exp( ))   i( k − 1) + w( k − 1)

c


c

 c  
c c

  c 
U R C (k ) 
d d  U (k − 1) 
−T   R C d d  −T 
 0 0 exp( )  R
 d (1 − exp( )) 
 d   d 

Where C is the current capacity of the battery; T is the sampling period;  c (  c = Rc Cc ) and  d (  d = Rd Cd ) are the
time constants of the two RC loops respectively. i (k − 1) is the current of the sampling point at the time of k-1,
which is positive when the battery is discharged and negative when charging the battery. w(k − 1) is process noise
of the system.
According to the change of the ohmic resistance of the battery, the discrete state space equation of the internal
resistance can be described as:
R0 (k=
) R0 (k − 1) + r (k − 1) (9)
Where r (k − 1) represents the noise of ohmic resistance.
And the output observation equation of the battery model is:
U (k )=U oc  SOC (k )  − U RcCc (k ) − U Rd Cd (k ) − i (k )  R0 (k ) + v(k ) (10)
Where r (k − 1) represents the noise of output observation.
The process of using the DEKF algorithm to estimate the SOC and SOH is as follows:
Initialization parameters:
 E[ x(0)] = 0 (11)

 E [ x(0) − 0 ][ x(0) − 0 ]  =
T
P0

 E[ R (0)] = 0
 E [ R(0) −  ][ R(0) −  ]T =
 0 0  Q0
Update the state of system state x and the ohmic resistance R0 :
=K =
Pk− CkxT Ckx Qk− CkxT + Vk (
−1 Lk Qk Ck
)
Ck Qk Ck + Vk )
 − RT
( R − RT −1
(12)
 k 
 + − + −
 + R =R + L [ yk − g ( xk , Rk , u k )]
xk− K k [ yk − g ( xk− , Rk− , uk )]  k
 xk =+
k k

 +
 + − R −
Q= Qk − Lk Ck Qk
 P=
k Pk− − K k Ckx Pk− 
 k

Update the time of the ohmic resistance R0 and x :
 Linlin Fang et al. / Energy Procedia 158 (2019) 3008–3013 3011
4 Author name / Energy Procedia 00 (2018) 000–000

 Rk− = Rk+−1 
 xk
= −
Ak xk −1 + Bk uk + (13)

 −  −
Q
=
 k Q +
k −1 + =
Rk  P
 k Ak Pk+−1 AkT + Wk
Finally, based on the relationship between the SOH and ohmic resistance, we can calculate the SOH in real time:
SOH ( k ) =
R −R
=
R − R (k ) old now old 0 (14)
Rold − Rnew Rold − Rnew

3.3. Error model of SOC and SOH estimation

In the process of DEKF algorithm, the priori estimation of the SOC is completed by Ampere-hour integral
method. However, the posterior estimation of SOC, that is, the correction of SOC by Kalman filter is mainly through
the feedback based on the relationship between SOC and OCV to correct the priori estimation. Thus, the relationship
between SOC and OCV directly determines the estimation accuracy of the SOC through the feedback. Therefore, we
establish the OCV-SOC mapping to correct the SOC estimation error. The polynomial shown in equation (15) is
used to express the relationship between the OCV and the SOC of the battery. This model can enhance the
correlation between the SOC and the OCV and improve the convergence speed of the Kalman filter algorithm.
U oc ( z ) = 0 + 1 z +  2 z +  3 z +  4 z +  5 z (15)
2 3 4 5

Where z represents SOC and  i ( i = 0,1, , 5 ) is the fitting coefficient used to fit the mapping relationship
between the OCV and the SOC.
When the capacity of the battery changes, the relationship between the OCV and the SOC also changes and the
estimation of the battery SOC and SOH will be affected. According to the absolute error transfer formula:
 f = f (x , x , x )
1 2 3 (16)

 f f f
  f = x x1 +
x2
x2 +
x3
x3
 1

Then, combining equations (1), (8) and (10), the absolute error of the SOC estimation can be expressed as:
  SOC =  SOC1 +  SOC 2 (17)
 i

  SOC1 = 2
 C
  SOC 2 = U = p1 U ( z ) + p2 ( U + U )

oc oc c d

 U ( z ) =
 oc
 ( +  z +  z +  z +  z + 
0 1 2
2

3
3

4
4

5
z
5
)

Where  SOC , U , U and U represent the absolute errors of SOC, U oc , U c and U d , respectively.  SOC 1
represents the
oc c d

absolute error when the SOC is calculated by the Ampere-hour integral method. And  SOC 2 represents the absolute
error of feedback correction in SOC estimation. U ( z ) is the absolute error of U oc in SOC and OCV model;
oc

p1 and p2 are the weight coefficients of the absolute error.

From equations (7), (10), and (16), the absolute error of SOH estimation can be expressed as:
=
 SOH
Rold
=
 R0
Rold
[ p1 U + p2 ( U + U )]
(18)
(z)
Rold − Rnew Rold − Rnew oc c d

Where  SOH and  R represent the absolute errors of SOH and R0 , respectively.
0

Next, this paper considers the influence of the variation in the OCV-SOC curve, the battery capacity and the
battery model parameters during the use of the battery on errors of SOC and SOH estimation.
When only considering the influence of the OCV-SOC curve, the value of both  SOC1 and p2 are 0, and the value
of p1 is 1. Then, the absolute errors of the SOC and SOH estimation can be described as:
 SOC = SOC 2 = ( 0 + 1 z +  2 z 2 +  3 z 3 +  4 z 4 +  5 z 5 )
U oc ( z ) = (19)

 Rold Rold
  SOH = U oc (= z) ( 0 + 1 z +  2 z 2 +  3 z 3 +  4 z 4 +  5 z 5 )
 Rold − Rnew Rold − Rnew

When only considering the capacity change, the absolute errors of SOC and SOH estimation can be expressed as:

 = 
SOC
=
i
SOC 1 2
(20)
 C
 R
  SOH = old [ p1 U (z)
+ p2 ( U + U )]

 Rold − Rnew oc c d
3012 Linlin Fang et al. / Energy Procedia 158 (2019) 3008–3013
Author name / Energy Procedia 00 (2018) 000–000 5

When only considering the influence of the model parameters, the weight coefficient p1 is 0 and p2 is 1. The
absolute errors of SOC and SOH estimation can be expressed as:
  SOC 2 = ( U + U )

c d
(21)
 Rold
  SOH = ( U + U )
 R old
− Rnew c d

To analyse the influence on the error of SOC and SOH estimation by the above three factors, this paper
establishes four single-variable battery states, that is, updating online estimation, without updating curve, without
updating capacity and offline estimation, as shown in Table 1.
Table 1. Four single-variable battery states
Variable name Updating online estimation Without updating curve Without updating capacity Offline
OCV-SOC curve updated non-updated updated updated
Battery capacity updated updated non-updated updated
online/offline online online online online

4. Experimental results and error analysis

A battery experimental platform is constructed in the environment of 20℃ to acquire the experimental data. As
shown in Fig. 2, the UDDS (urban dynamometer driving schedule) current profile is used to verify the algorithm for
online parameters identification, SOC and SOH estimation. And 150 accelerated life cycle experiments were
performed on the battery to obtain parameters for different aging conditions. The initial capacity of the battery was
32.37 Ah and the capacity after the accelerated life cycle experiment was 31.56 Ah. OCV-SOC curves are measured
before and after the battery accelerated life test, respectively. Besides, the estimation of the SOC and SOH can be
performed by the parameters identified in the offline state and the online identified parameters, respectively.
1
100 0.08
reference value
80 0.9 updating online estimation 0.07 reference value
without updating curve
0.06 updating online estimation
60 0.8 without updating capacity without updating curve
offline estimation 0.05 without updating capacity
40 0.7
0.04 offline estimation
Current(A)

SOC

R0/Ω

20
0.6 0.03
0
0.5 0.02
-20 0.01
0.4
-40 0
0.3 -0.01
-60

-80 0.2 -0.02

0 1000 2000 3000 4000 5000 6000 7000 8000 9000 0 1000 2000 3000 4000 5000 6000 7000 8000 9000 0 1000 2000 3000 4000 5000 6000 7000 8000 9000
Time(sec) Time/sec Time/sec

Fig. 2 UDDS conditions Fig. 3 Results of SOC estimation Fig. 4 Ohmic resistance estimation

According to the above method, the estimation results of SOC, ohmic resistance and SOH under four states can
be obtained, as shown in Fig. 3, Fig. 4 and Fig. 5. And the maximum absolute errors of online estimation are shown
in Table 2 and Table 3. The results show that the estimation of the SOC based on the DEKF algorithm is in good
agreement with the reference curve and the ohmic internal resistance estimated by the DEKF algorithm is stable and
can be used for SOH estimation. The SOC estimation has a maximum absolute error of 1.08% and an average of
0.29%. The maximum absolute error estimated by SOH is 1.54% and the average absolute error is 0.57%. The
overall error of the estimation result is small and the estimation effect is good.
0.1 0.06
1.1
0.09 updating online estimation updating online estimation 0.06 udating online estimation
reference value 0.05
1.05
without updating curve without updating curve without updating curve
updating online estimation 0.08 0.05
without updating capacity without updating capacity
without updating curve 0.07 0.04 without updating capacity
1 offline estimation offline estimation
without updating capacity offline estimation 0.04
SOH

offline estimation 0.06

0.03
Esoc

0.95
Ea

0.05 0.03
Er

0.04 0.02
0.9 0.02
0.03
0.85 0.02
0.01 0.01
0.01 0 0
0.8
0
0.75 -0.01 -0.01 -0.01
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 0 1000 2000 3000 4000 5000 6000 7000 8000 9000 0 1000 2000 3000 4000 5000 6000 7000 8000 9000 0 1000 2000 3000 4000 5000 6000 7000 8000 9000
Time/sec Time/sec Time/sec Time/sec

Fig. 5 Results of SOH estimation Fig. 6 Absolute error of SOC Fig. 7 Absolute error of SOH Fig. 8 Relative error of SOH
Table 2. Absolute error of SOC estimation under four states
Type of error Updating online estimation Without updating curve Without updating capacity Offline
Maximum error 1.08% 4.72% 4.11% 3.13%
Average error 0.29% 4.01% 1.75% 1.27%
 Linlin Fang et al. / Energy Procedia 158 (2019) 3008–3013 3013
6 Author name / Energy Procedia 00 (2018) 000–000

Table 3. Absolute error of SOH estimation under four states

Type of error Updating online estimation Without updating curve Without updating capacity Offline
Maximum error 1.54% 3.80% 2.75% 4.99%
Average error 0.57% 3.13% 1.72% 3.01%

As shown in Fig. 6, Fig.7 and Fig. 8, when battery capacity decays, the estimation of both SOC and SOH produce
large errors caused by the change of OCV-SOC curve and the capacity. And the change of OCV-SOC curve has the
greatest impact on the estimation. When the battery parameters are estimated offline, the initial estimation error is
small but the later error becomes larger and there is a gradual increase over time. Compared with the first two
influencing factors, whether the battery capacity is updated or not has little effect on the error of estimation.

5. Conclusion

This paper establishes the equivalent circuit model of the battery, realizes the online parameter identification of
the battery model and finally realizes the joint estimation of the SOC and SOH by adopting the DEKF algorithm.
The SOC estimation has a maximum absolute error of 1.08% and an average of 0.29%. The maximum absolute error
estimated by SOH is 1.54% and the average absolute error is 0.57%. The errors are relatively small, verifying the
reliability of this estimation method. In addition, by establishing error model of the SOC and SOH estimation, the
impact of OCV-SOC curve, battery capacity and battery model parameters on estimation of SOC and SOH is
analysed. Four single-variable battery states are selected for simulation experiments and the results show that the
OCV-SOC curve has the greatest impact on the errors of SOC and SOH estimation among the three influencing
factors. The error caused by offline parameter identification is small in the initial period but increases with time.
The method used in this paper and the established error model of SOC and SOH estimation provide a reference
for online joint estimation of SOC and SOH and its error analysis. In addition, when estimating the SOC and SOH
of the battery, it is necessary to use online parameter identification methods to ensure the accuracy of the estimation.
At the same time, when the battery capacity declines, the OCV-SOC curve of the battery and the battery capacity
must be updated in time to ensure the reliability of the SOC and SOH estimation.

Acknowledgements

The authors would like to thank the Collaborative Innovation Centre of Electric Vehicles in Beijing Institute of
Technology for the support of this research project.

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