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> VT-2010-01085.RI <

State-of-charge Estimation of Lithium-ion Battery Using an Adaptive Extended Kalman Filter Based on an Improved Thevenin Model
Hongwen He, Rui Xiong, Xiaowei Zhang, Fengchun Sun, Jinxin Fan
th main tasks of battery-management System [4]-[7J. A number of methods to estimate SOC hve been proposed, each with its own advantages and disadvantages [8]-| 17]. According to th choice of th battery model, some commonly used methods can be approximately categorized into thrce types. One is coulomb counting method, which is an open-loop algorithm with th flavv of big accumulation of measurement errors due to uncertain disturbances, and difficulty to dtermine th initial value of SOC accurately. The second is based on black-box battery models that describe th nonlinear relationship between SOC and its influencing factors. which can often produce a good estimate of SOC due to th powerful ability lo approximate nonlinear function surfaces, with th flaw of heavy computation burden and bad real-time application. The third is based on state estimation techniques with state-space battery models, which is popular using due to th advantages of being close-loop. online and available to regulate th estimation error range dynamically. The extended Kalman filter (EKF) algorithm can nol only be used to implement th parameters identification of battery model but also can be employed for online SOC estimation |12]-|22|. In particular. il is suitable for dynamic driving conditions. However, it strongly dpends on th accuracy of th battery model as vvell as th predetermined variables of th System noise such as mean value, pertinence and covariance matrix. Usually, th improper setting of th predetermined variables of th System noise may result in remarkable errors and divergence. To obtain more accurate and robusl SOC estimation, in this paper. an improved Thevenin batlery model is put forward, which is based on th analysis of polarization characteristics of a lithium-ion battery module by exprimental results, and its parameters are identified by EKF algorithm. In addition, an adaptive exlended Kalman filter (AEKF) algorithm is designed for th SOC estimation of th lithium-ion battery module.

AhstructAn adaptive Kalman filtcr algoithm is adoptcd to cstimatc th state-of-chargc (SOC) of lithium-ion battcry l'or th application in clcctric vchicles (Vs). Gcncrally, th Kalman filtcr algorithm is sclected to estimate SOC dynamically. Howcvcr, it casily causes divergence due to th uncertainty of battery niodel and System noise. To obtain better convergent and robust rcsult, an adaptivc Kalman filter algorithm is employed which can grcatly better th dependcnce of'the traditional tllter algorithm on th battery niodel. In this papcr, th typical characteristics of lithium-ion battery are analyzcd by experimcnt such as hystrsis, polari/.ation and coulomb cf'ficiency, etc. In addition, an improvcd Thevenin battery motlel is achieved by adding an extra RC branch to th Thevenin niodel and model parameters arc identillcil by using an extcnded Kalman filter algorithm (EKF). Further, an adaptivc extendcd Kalman tllter algorithm (AEKF) is adoptcd to SOC estimation of lithium-ion battery. Finally, th proposed inethod is e v a l u a t e d by experiments with th Fdral Urban Driving Schedules (FUDS). The proposed SOC estimation using A E K F is more accurate and reliable than that using EKF, (lie comparison shows that th m a x i m u m of SOC estimation error decreases Irom 14.96% to 2.54% and th mean ot'SOC estimation error reduces t'rom 3.19% to 1.06%. Index TernisAdaptive cxtended Kalman tllter (AEKF), state-of- charge (SOC), paramcter identification, battery model, electric vehicles (EVs).

I. INTRODUCTION

attery pack, as a key component, is crucial for llie performance of electric vehicles (EVs) such as Ihe economy, power performance and security. etc. Il is significant to accuratcly manage th battery pack to extend ils lifcspan, improvc its reliability and lovver its cost. The online stale-of-eharge (SOC) estimation of battery pack, which is also viial for th power distribution strategy of EVs [l]-[4], i s o n e o f

Manuscript received September 18, 2010; revised January 16, 2011; accepted Mardi 14, 201 i. Date of publication xxxxx xx, 2011; date of currenl version xxxx xx, 2011.This \vork vvas supporied in part by Ihe National High Technology Research and Development Program of China (2008AA11A124). The review of this paper vvas coordinated by Dr. Reza Langari. Copyright (c) 201 I IEEE. Personal use of this materia! is pennitted. llowevcr, permission to use this material for any other purposcs must be obiained Irom th IEEE by sending a request to pubs-perniissions@ieee.org. The authors are wilh th National Engineering Laboratory l'or Electric Vehicles, School of Mechanical Engineering, Beijing Institute of Technology, No.5 South Zhongguancun Street, Beijing, 100081, China (e-mails: hwhebit @bit.edu.cn; xrui_ev@ 126.coin; fotSI50@bil.edu.cn; sunfch@bit.edu.cn; jinxinfan@gmail.com).

IL MODEL AND PARAMETERS IDENTIFICATION OF LITHIUM-ION BATTERY MODULE

A. Lithium-ion Batlery Modeling Generally, quivalent circuit models are selected. which include Rint model, Thevenin model. RC model and PNGV model [15], [23]-|25] for battery modeling. Among them. th

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> VT-2010-01085.RI < Thevenin model is vvidely usecl to model th lithium-ion battery, but it is still not accurate enough since ail of its lments can change depending on th condition and state of th battery. In order to improve th model accuracy, th polarization characteristics of lithium-ion battery is especially considered and an improved Thevenin model, vvhich is performed by adding an extra RC branch to th Thevenin model as shovvn in Fig. 1, is proposed accordingly.

AC Power

Thermal Chamber

Battery Modu e

Digatron EVT500-500

Power Cable ^ Communication Cable

Fig.2. Configuration of th battery test bench

B.2 The Open-circuit Voltage Identification Test In order to acquire data to idenlify th parameter of open-circuit voltage, a test vvas performed on th lithium-ion battery module. The test procdure is as follows: th battery module is first discharged at constant current of 0.3C ampre from fully charged state to 90% of th nominal capacity at 20C in th thermal chamber. Afterwards it is left in open-circuit condition and th terminal voltage is monitored simultaneously. The measured terminal voltage is considered to reach th equilibrium potential after ten hours since th change of th terminal voltage is negligible and th battery module is assumed to reach a steady state. The battery module is continuously discharged by a further 10% of th nominal capacity at th same current and th equilibrium potential is measured after ten hours. The above procdure vvas performed repeatedly to obtain th e q u i l i b r i u m potentials shovvn as th discharge curve in Fig.3. The e q u i l i b r i u m potenlials on th charge curve in Fig.3 vvere got vvith th s i m i l a r test procdure by charging th battery pack at constant current of 0.3C ampre from fully discharged state vvith th step of 10% of th nominal capacity.

Fig. i . Schematic of th improved Thevenin model

The improved Thevenin model includes three parts as open-circuil voltage UQC, internai rsistances and quivalent capacitances. The internai rsistances include ohmic rsistance RO, electrochemical polarization rsistance Rpa and concentration polarization rsistance Rfc. The quivalent capacitances, vvhich include electrochemical polarization capacitance Cpa and concentration polarization capacitance Cpc, are used to describe th transicnt rcsponse during th charging /discharging transits. / L and U\_ are charging/discharging currenl and terminal voltage respectively. The electrical behavior of th circuit can be expressed as follows:

/KC^H/CP,
(i)
Where 0"pa and B. Experiments are voltages on C p a and Cpc respectively.

To identify th parameters of th improved Thevenin model, th battery test bench is designed. Charging and discharging experiments are carried ont on a l i t h i u m - i o n battery module, which is from Chinese C1TIC GUOAN MGL Company vvith nominal voltage of 57.6 V and nominal capacity of lOOAh. B. 1. Battery Test Bench Fig. 2 shows th configuration of th battery test bench. Its key equipment is Digatron EVT500-500, vvhich can charge or discharge battery module vvith a maximum voltage of 500V and maximum current of 500A, and can timely measure th major parameters like voltage, current and temprature. The host computer vvith th installed software BTS-600 can program th cxperiment procdure and deal vvith real-time data acquisition. In order lo reduce th influence of temprature, th battery module being tested is kept in a thermal chamber.

0.4

0.5

0.6

State of Charge Fig.3. Equilibrium potential and open-circuit voltage curves of th bauery module

It can be found that th e q u i l i b r i u m potential lias diffrent values after charging and discharging respectively at th same SOC. The equilibrium potential is higher at th charging process than that at th discharging process, which indicates that th equilibrium potential dpends on th previous treatment of th battery module and th hystrsis occurs during th charging/discharging. In this paper, th hystrsis is ignored and th open-circuit voltage Uoc is defined as th

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> VT-2010-01085.RI < average of th e q u i l i b r i u m potenlials of charging and discharging to s i m p l i f y th model. The open-circuit voltage Uoc measured as th fonction of th SOC, vvhich is shovvn in (2), can be obtained by th curve fitiing vvith th quadratic fitting method. L'oc(SOC) = - 1 3 x S O C 2 + 2 2 x S O C + 57 B.3. H PPC Test In order to acquire data to identify th model parameters, a Hybrid Puise Power Characterization (HPPC) test was conducted on th l i t h i u m - i o n batlery module al 10% SOC intervais slarting from 0.9 to 0.1. During th test, th temprature of battery module was kept at 20C in th thermal chamber. Fig.4 shows th terminal voltage profile of th tested battery module during a HPPC test at SOC=0.1.
O 1;

(2)

process, in a vvay that minimizes th mean of th squared error. The fi lier has bcen applied extensively to th field of linear estimation including state estimation, parameters estimation and dual estimation. The EK.F Algorithm is a nonlinear version of th Kalman filter that linearizes about th current mean and covariance of th state, it can be described as follows for a continuous-time System with discrete-time measurements x = /(x,u, w./)

w - (0,Q)
vk (0,Rk)

(3>

60.5
,

y/cWge

(/..
.

ri

> 60 4. / dischan |59.5 Voltage O > 59 drop

58.5 58
t^\__-

Open circuit
_

_~v~... .

/ [/
' '

Where u is th System input; w is process noise, il is continuous-time Gaussian white noise with zro mean and covariance of Q; \ is measurement noise, it is discrete-time Gaussian white noise with zro mean and covariance of Rt. The non-linear function /?() relates th state at th previous time step k-\o th state at th current time step k, The filter step for optimal state and parameter estimation can be summarised as follows. Step / : Initialisation. The initial estimation of x 0 before any measurement is modelled as a Gaussian random vector with mean of X 0 and covariance of P0, vvhich is expressed by: il = [x(1]
T (6)

10

'-20

.1 30 lime (sec)

i 50

60

Fig.4. Batlery module voltage profile during HPPC test at SOC=0.1

As shovvn in Fig.4, a voltage drop appears vvhen a puise discharge/charge current is loaded, vvhich can be expressed as: When When discharge charginge
(3)

Step //: Time update (from time (k - 1)+ to time (k) ). In this step, an estimate of th state at th current time step (k)~ is produced based on th state estimate and ils covariance from th previous time step (k - \)+ . x = /(x,u, w,/)

Then, th ohmic rsistance RQ can be given by:

(4)

The ohmic rsistance R0 is found to be independent on th battery load current. and is a function of SOC shown in Fie.5.
0.022S-

P = AP + PA 1 +Q

(7)

A is th Jacobian matrix of partial derivatives of /() with respect to x.

A,.., =[ml <5xy|
(8)

In this step, th intgration is processed with xt. = xj , andP t . = P/., . At th end of th intgration, we hve \ = xj
0.1 0.2 0.3 0.4 0.5 0.6 State of Charge 0.7 O.S 0.9

and Pj = Pj . With rfrence to (7), th estimate state and ils covariance propagates from time (k - \ to lime (k)~ based on th previous values. System dynamic, th control input and th errors of th actual System. Step ///: Measurement update In this step, th measurement information at time k is processed to refine th estimate of x k to reach a more accurate slale estimate. And th observed vector y^ is used to correct th

Fi.5 Ohmic rsistance characteristic curve o f l h e battery module

C. Parameters Identification C. I. The Extended Kalman Fi/ter A Igorithm

The Kalman fil ter is a set of mathematical quations that provides an efficient recursive means to estimate th state of a

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> VT-20IO-010S5.R1 < state estimation and covariance estimation. The resulting estimate of x k is denoted as x k , and ils covariance is denoted as P k + . The measurement update of th state estimation and estimation error covariance is performed according to th Ibllowing quations:

11
0
31

0
22

0 0
33

14

15

0
26 36

0 "
27 37

0
34

0
35

= >

(9)
Where K^ is Kalman gain matrix; C k is th partial derivatives of /?() vvilh respect x , which is given by:

0 0 0 0

0 0 0 0 0

0 0 0 0

0 0 0 0

0 0 0 0

0 0 0 0

0 0 0 0

(16)

Where in matrix \,an = -x4x^ ,

22 ~ *VY7 ' 26 ~
X1X

= ~X2X6 + >

3l = -V5 ~ 'VV7

33 = --VV7

'

34 = 'VV1

= '

~U

-R0x7n + Uocx7, o37 = It should be noted that Xj. and x^ are both estimations ofthe saine vectorx A . . However, x~ is th estimate of \ before th measurement y t is taken into account, which is called priori estimate, and \l is th estimate of \ after th measurement yt is considered. which is called posteriori estimate [18]. C.2. Parameters Identification with EKF This section prsents thc implementation of EKF for estimating states and parameters of th improved battery model. The terminal voltage (7, can be rearranged based on (1) as: UL=Uoc+(-\1
0 10 20 30 40 50 60

, - ROXGII -11
0] (17)

The observe matrix C can be derived from (14):

C = [0 0 1 0 0 0

The identification results of th battery model parameters with EKF are shown as Fig.6.
(a) O.I2r=

i 00 .6 " 00 .4 0.02 0
0

10

20

30

40

50

60

time(sec)
(c)

10

20 30 40

50 60

On th assumption that d(7oc / dt ~ 0 ,taking time derivative of UL gives:

( 0

200.5 [

1 'R "*

u+\
L
1

1
pcCpcJ

'^,

200 j-

[RfaCfa
' 1

10

1
_ /? PC C J

20 30 40 timc(sec)

50 60

c, cj"

Translbrm (12) inlo th form of(5):

/(x, U ) = iy; /, /3 /, /5 / / 7 r
y t =/,(x k ) = |0 0 Uu 0 0 0 0|T
Where/(/ =1,2,3,4,5,6,7) and x are defined as follows:
Fig.6. Estimation results o f t h e battery model parameters with EKF (SOC=0.1)
^=-A1A4A'5+AV, ^=-.X
2

(14)

+A

? W

/4 =/,=/=/,= 0

The System matrix A is calculated as:

The estimation of polarization voltages as a fonction of time are shown in Fig.6(a) and Fig.6(b) respectively. In Fig.6(a), it can be found that th voltage of th battery activation polarization reaches steady-state within 0.2 second, which indicates th time constant o f t h e activation polarization RC branch is small. However, it takes a much longer time for th voltage o f t h e battery concentration polarization to obtain th steady state, shown in Fig.6(b). The curves of polarization rsistances and polarization capacilors with time are shown in

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> V-2010-01085.RI < Fig.6(c). Fig.6(d), Fig.6(e) and Fig.6(f) respectively. which indicale th estimated parameters quickly converge and keep constant within 60 seconds. It is verified that th parameters identification using EKF algorithm is stable. Fig.6(g) shows th identification error is small and demonstrates good agreement betvveen results obtained using th voltage model-based EKF estimation and experiments. Table I shows th identification results w i t h i n th SOC range from 0.1 to 1.0. TABLE I MODEL PARAMETERS LIST IDENTIFIED OF THE BATTERY MODULE
SOC 0.1
0.001
200.01

3 2 > o I 0

4000 6000 time(sec)

8000"

10000

Fig.9. Voltage Error curves between th s i m u l a t i o n and th experimenial data

0.2
0.001

0.3
0.001
199.99 0.0987 9909

0.4
0.001

0.5
0.001
202.2 0.0994 10009

fip(n) c,(F) M") Cjsifj soc

,,(0) C',(F)

0.1
10000

200 0.1
10000

202
0099 10010

0.6
0.001 204.2 0.097 9903

0.7
0.001 201.1 0.0941 9921

0.8
0.001 200.2 0.0996 10210

0.9
0001 200.1 0.0999 9666

1.0
0.001 200.5 0.1025 9987

S,*(n)

rpc(F)

Table 11 shows th error variance is 0.0708V 2 and th error mean is around 0.0337V, th maximum error rate is 4.15%. which vrifies th parameters identification algorithm and th improved Thevenin model are accurate and reasonable. The errors are higher in Fig.9 than th results shown in Fig.6(g) because th SOC range is from 1.0 to 0.1. while th Fig.6(g) is only for a single SOC point. TABLE II STATISTIC LIST OF THE VOLTAGE ERRORS
Index Value Maximum 2.79V Mean 0.0337V Variance 0.0708V 2 Error rate

D. Model vrification To evaluate th validity of th improved Thevenin model, a lesting cycle ofHPPC shown in Fig.7 is adopted as th input for both th l i t h i u m - i o n battery module and th battery module model. The initial SOC is 1.0. The parameters of th battery module model as a function of SOC are updated via linear lookup table and extrapolation. Fig.8 prsents th comparison ot'the exprimental data with th model simulation data, which clearly shows th concidence of two cases. (The / L i s positive in discharging process and ngative in charging process).
100
75 50 25 0 -25 -50 -75
4000 6000 tiine (sec) SOOO 10000

III. SOC ESTIMATION USING ADAPTIVE EXTENDED KALMAN FILTER

//. SOC Dfinition SOC is a relative quantity that descibes th ratio of th remaining capacity to th nominal capacity of a battery. it is given by:

1-1 PPC

soc = soc,,--

(18)

Where SOCo is th initial value of SOC; ;; is th coulombic efficiency, C^ts th nominal capacity. Transform (18) to discrte form. and use s as th abbreviation of SOC.

Fig.7. A testing cycle for e v a l u a t i n g th validity of th battery module mode Model Estimation |i --Exprimental Data 1

Where Al is th discrte time step, s/, and s^.\e th SOC value al k and /t-lstep,i'i,,k-|is th bus current at k-\step. Due to th polarization o f t h e battery module, power losses obviously occur in th charging/discharging process and th coulombic efficiency consquent!}' needs to be considered. The exprimental data o f t h e coulombic efficiency uncler diffrent charging/discharging current for th l i t h i u m - i o n batlery module is shown in Table I I I . TABLE III COULOMBIC EFFICIENCY LIST OF THE LITHIUM-ION BATTERY MODULE

"o

2060"

4000 6000 time(sec)

8000

10000

Currenl(A) Discharging coulombic efficiency Charging coulombic efficiency

C/3

0.5C

1C

1.5C
9S.05

2C

3C
95.16

100

99.3

98.5

97.4

Fig.8. Comparison between voltage response ofthe model and experiment Fig.9 shows th voltage error curves between th simulation data and th exprimental data. Table II gives th statistic resuit o f t h e voltage errors.

100

98.5

97.4

96.0

94.0

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> VT-2010-01085.RI < B. SOC Estimation B. I. The Adaplive Extended Kalman Filter When using Kalman filter to implement SOC estimation, although sometimes th estimation error covariance matrix continues to decrease, th actual error still may be larger than ils theoretically value, and th actual error w i l l extend constantly vvith th data increase, this phenomenon is often defined as divergence. Divergence w i l l cause faillites in Kalman filter. at least w i l l decrease ils accuracy. One purpose of th adaptive filter is to judge whether th dynamic of th largel lias changed during doing recursive filter based on measurement data. 1 f yes. th adaptive filter must further dcide whether to treat this changes as a random noise and classify them to th model noise or to modify th primary model so that il coulcl adapt th dynamic of th target. Another purpose of th adaptive filter is to estimate and modify th statistics of th noise or gain matrix of th filter continuously employing th information brought by observation data to improve th accuracy of th filter when th System noise variance and th observation noise variance is unknown [22]. Sage-Husa adaptive flter algorithm treat th target dynamic as a random disturb and classify it as a model noise, il is easy to be implemented and applied for time-varying Systems vvith th defects of poor real-time calculation [26]. To overcome th drawback, \ve introducc a filter divergence judgment condition, if th fillering resuit excceds th presetting divergence condition, th noise estimator w i l l be starled to do adaptive filter calculating. Thus, it not only avoids filter divergence effectively and improves th stability of filter calculation, but also improve th real-time ability of th filter. The state quation and observation quation of th discrte System of interest is as following:
Yk

(21) As an example, (22) gives a calculation method of fa.

= 0, 1,2,-",*)

(22)

Where b is a forgetting factor. The improved noise estimator is recalculated as (23)~(26) by replacing th weighted coefficient 1/k+l vvith th nevv weighted coefficient /?K.|. *

.T

Kk>Pkl-AkPkA[])CT}

^ (25) (26)

'k+,-CkXk+1-Dkuk]} Rk+, = d - r f k ) R k +rf k {S[Y k + l Y t T + 1 -C t + 1 P k - + l C^]}

/=()

Where in (23)-(26): G k = [r'k P']"' T k ; Error matrix Y k+l = k" "" p" l c^ l l V k + l k p~^ ' tc*r - l " ' ' ^ k Jr1 k + " k + IP - f l ; - 1 4- R ^k+l
I v r

Estimate

of

th

covariance P k + l =A k P k A k T + r k Q k ^ , Pk+1 = (I -K kT ,C kT ,)P l+1 . The judgment condition for th divergence of A E K F algorithm is defined as:

=CkXk+Dkuk+vk - (rk,Rk)

vk
wk

(20)

Where r is th adjusiable coefficient and r>=\ diffrent r is selected corresponding to diffrent Systems. Tr is th trace of th matrix. If (27) is not true, th filter may be divergent and th priori values are not accurate. B. 2. SOC Estimation Wilh A EKF Transform ( I ) to a discrte System.

~ (ik^Qk)

Where X is nx I state vector; Y is mx I observe matrix; A, B, C, D and F are nxn, nx 1, m x n , mx 1 and nxn matrix respectively; w t is process noise vvith mean of q ( and covariance of Qt ; v;. is measurement noise vvith mean of rt and covariance ofRj. The slatistical characteristics of th initial state X 0 is th same as (6).Sage and Husa proposed th maximum posterior suboptimal unbiased estimator based on th noise statistics of th observer Y, but th unbiased estimalor they proposed is th arithmetic average, and th weighted coefficients of th each item is 1/k+l. For th time-varying noise, th rle of th rcent data should be paid more emphasis on. Many researchers hve adopte! th index weighted method [22], that is, use th index weighled coefficient to replace th simple coefficient 1/k+l. The index weighted coefficient /^ usually is designed as:

(28)

Contrast vvith (20). th expressions of matrixes and vectors are lisled as follows:
X=

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> VT-2010-01085.RI < 'exp(-A//(/? p a C p a )) 0 0 /? p c (l-exp(-A//(/? p c C p c ))) >/A//C N

"I00 2O

01 0

d\

4000 ~ 6000 lime(sec)

8000

foOO~

12000

Fig. 1 1 . Current profile sampled d u r i n g eight conscutive FUDS cycles

The charging/discharging current is loaded on th l i l h i u m - i o n batlery module and th battery model simultaneously. Voltage Error between th estimation and th exprimental data is reduced by adaptively updating th AEKF observer gain. Then th observer vvith th updated gain is used to compensate for th state estimation error. SOC is determined by th estimated voltage based on th open-circuil voltage profile of th battery module. The estimation of SOC is then fed back to update th parameters of th battery module model for th next SOC estimation. And th SOC estimation method based on AEKF is shovvn in Fig. 10.

"148
A,=A0= 0 0 0

O1

1.001 0 0 1 0 -0.0001 0 0 0.01

"-0.1474 B,=B,,=

0
C , = C 0 = [ - 1 -I

0
-4] T :

D, = D,,= [0.02225];

" 1 0 0

r= o i o
0 "10 P,, = 0 0 0 I 0 10 0 0 0 0.1

"0.001 Q0= 0 0

0 0 0.001 0 0 0.001

The AEKF algorithm can precisely estimale th voltage and timely modulate th noise signal according to th error matrix. The comparison between th EKF and th AEKF is SLimmarized in Table IV. TABLE IV STATISTIC LIST OF THE VOLTAGE ERRORS WITH EKF AND AEKF
Fig. 10 SOC estimation method based on AEKF

C. Vrification and Evaluation The Fdral Urban Driving Schedules (FUDS) is a typical driving cycle vvhich is often used to evaluate varions SOC estimation algorithms 1 1 7|,|27]-[29J. For Digalron EVT500500. FUDS test is an cxisting program and BTS-600 uses th TABLE operator lo run th FUDS test, vvhich is normally tenninated by a certain amount of ampre hours removed from th battery or if th batlery reaches a certain voltage level. In this paper eight periods of FUDS are employed to verify th SOC estimation approach. The current profiles samplcd during eight conscutive FUDS cycles are shown in Fig. 1 1. For th l i t h i u m - i o n battery module, th i n i t i a l parameters foith AEKF are specified as follovvs:

EKF AEKF

Maximum 1.285V 0.605 V

Mean ~0~0~451 V~ 0.0129V

Variance 0.1204V 2 0.0125V 2

Error rate

Fig. 12 prsents th instantaneous polarization voltage curves, vvhich also represent th dynamic performance of th improved Thevenin model and objectively simulate th polarization characteristics of l i t h i u m - i o n battery module. In ternis of th AEKF, th electrochemical polarizalion voltage gradually increases \vhen th open-circuil voltage decreases under th FUDS cycle, vvhereas th fluctuation of concentration polarization voltage vvill be tardily slovved dovvn. Therefore il is necessary to analyze th eleclrochemical polarization voltage and concentration polarization voltage separately, vvhich can greatly improve Ihe accuracy and th feasibility of th proposed model and Ihe estimated approach.

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> VT-20IO-OI085.R1 < Fig. 13 and Fig. 14 show th comparison of SOC curves and its error curves with EKF estimation and AEKF estimation, respectively.
0.6; < r r ,
T -

8
other hand, th adaptive algorithm can improve th stability and th robustness of th algorithm via real-time online correction. Normally, th Kalman fi lier algorithm possesses a certain stability, however, it easily cause th divergence due to th error existed in th model and th noise statistics, especially th noise statistics evaluated by trial-and-error method. Fig. 13 shows th divergence took place using th EKF algorithm at th cari 1er stage of th SOC estimation and th estimation error reached to 14.96%. Nevertheless, th remarkable merit of th AEKF algorithm is th real-time amendment. Though th maximum absolute error of th AEKF algorithm is 2.54%, th absolute error mean is only 1.06% and th error variance is very small. which manifest its fast convergence, stability and minor error. Thus th proposed approach of th SOC estimation algorilhm is suitable for l i t h i u m - i o n power baltery module, which can quickly reduce th model error and improve th accuracy of th filter.

Electrochemical polarization voltage il Concentration polarization voltage U 2000 4000 6000 8000 time(sec) 10000 12000

Fig. 12. Polarization voltage curvc of l i t h i u m - i o n battery' module

I 2

Exprimental Data EKF algorithm AEKF algorilhm j

IV. CONCLUSIONS
4000 6000 time(sec) SOOO 10000 12000

Fig 13. SOC curves w i t h EKF estimation, AEKF estimation and experiment

0.1r

-r-

-r - - ; -=a

i EKF algorithm I r~AE_KF algorithmj

For a lithium-ion battery module, an improved Thevenin model is proposed and its parameters identification is performed using EKF algorithm. The exprimental and simulation results show th maximum error of th improved Thevenin model is vvithin 4.15% and th error covariance is 0.0708V2. The proposed model has achieved enough accuracy. To improve th accuracy, reliability and robustness of th SOC estimation, a SOC estimation vvith AEKF algorithm was put forvvard based on th improved Thevenin model. A fier 8 FUDS cycles, th maximum error of th SOC estimation is vvithin 2.54% and its mean is only 1.06%, which prsent th estimation algorithm has higher accuracy compared with th EKF algorithm.
ACKNOWLEDGMENT

-0.15'--

2000

4000

6000 8000 lime (sec)

10000

12000

Fig 14 SOC estimation error curves vvith EKF and AEKF

From Fig. 13 and Fig. 14, it can be seen that th AEKF prsents th improvements in th tracking performance and fast convergence vvhile th EKF provides th performance of th slow convergence and instability which is adverse to th application in EVs. The delailed statistical analysis is shown in Table V.
TABLE V STATISTIC LIST OF SOC ESTIMATION ERROR Maximum Mean Variance

We would like to express our deep gratitude to Dr. Zhang Cai-ping in Beijing Jiaotong University for many helpful discussions and data support.

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The A E K F algorithm can compensate th model error and th presetting error of th noise statistics, which has numerical stability and high accuracy. On one hand, th priori eiror occurs in model parameters and th noise statistics. The noise observer can estimate th mean as well as th covariance of dynamic noise according to th prdictive residual X k - (A^X,.,, + B k l u k l ) and measurement residual Yk , consequently th model and th noise statistics error can be compensated. On th

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This article lias becn acccplcd for publication in a future issue o f t h i s journal, but lias nol becn fully cditcd. Content may change prior to final publication.

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He has published more than 60 papers and hold 6 patents. Flis research interests include power battery modeling and simulation, electric vehicles, design and control theory of th hybrid power train. Dr. He received th first prize of ScientificorTechnical Awards from Beijing Institute of Technology (2007). Rui Xiong received th M.E. degree in Vehicle Engineering from Beijing Instilute of Technology, Beijing, China, in 2010. Fie is currently a Ph.D candidate of Vehicle Engineering at Beijing Institule of Technology in th National Engineering Laboratory for Electric Vehicles. He has published 7 papers. His research mainly focuses on modeling and simulation, of Power baltery and vehicular hybrid power System. Xiuowci Zhang received th M.E. degree from Beijing Institute of Technology, Beijing, China, in 2007. Fie is currently a Ph.D candidate of Vehicle Engineering at Beijing Institute ofTechnology in th National Engineering Laboratory for Electric Vehicles. Fie has published 3 papers. His research mainly focuses on optimization control and H I L simulation of th vehicular hybrid power train. Fcngchun Sun received th M.E. and Ph.D. degrees in Vehicle Engineering from Beijing Institute of Technology, Beijing, China, in 1984 and 1989 respectively. He studied at TU-Berlin from 1987 lo 1989 as a joint Ph.D student. He is currently a Professer and vice Prsident of Beijing Institute of Technology, and Director of National Engineering Laboratory for Electric Vehicles. He is conferred th title of "Cheung Kong Scholar" by th Ministry of Education, China. He has published more than 150 papers and hold 19 patents. His research interests include electric vehicles, electric drive System, EV dmonstration and Infrastructure. Dr. Sun received th second prize of National Science and Technology Progress Awards (2008), th second prize of National Technological Innovation Awards twice (2004,2009) and th winner of Award for Industrial Innovation from HO LEUNG HO LEE FOUNDATION (2007). J i n X i n Fan ( S ' 1 0 - S ' l l ) received th M.E degree in Vehicle Engineering from A n h u i Agricultural University, Hefei, China, in 2004. She is currently a Ph.D candidate of Vehicle Engineering at Beijing Institute of Technology in th National Engineering Laboratory 7 for Electric Vehicles. She studied at Michigan State University in US from 2008 to 2010 as a joint Ph.D student. Her research mainly focuses on permanent magnet electric machines, cooling System and thermal analysis, especially in th field of eleclric vehicles.

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