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SOC Estimator (Adaptive Kalman Filter)

State of charge and terminal resistance estimator with adaptive Kalman filter

Since R2022b

Libraries:
Simscape / Battery / BMS / Estimators

Description

This block implements an estimator that calculates the state of charge (SOC) and terminal resistance of a battery by using the Kalman filter algorithms. The terminal resistance, R0, is a state of the estimator.

The SOC is the ratio of the released capacity Creleasable to the rated capacity Crated. Manufacturers provide the value of the rated capacity of each battery, which represents the maximum amount of charge in the battery:

SOC=CreleasableCrated.

This block supports single-precision and double-precision floating-point simulation.

Note

To enable single-precision floating-point simulation, the data type of all inputs and parameters, except for the Sample time (-1 for inherited) parameter, must be single.

For continuous-time simulation, set the Filter type parameter to Extended Kalman-Bucy filter or Unscented Kalman-Bucy filter.

Note

Continuous-time implementation of this block works only in a double-precision floating-point simulation. If you provide single-precision floating-point parameters and inputs, this block casts them to double-precision floating-point values to prevent errors.

For discrete-time simulation, set the Filter type parameter to Extended Kalman filter or Unscented Kalman filter and the Sample time (-1 for inherited) parameter to a positive value or -1.

Equations

These figures show the equivalent circuit for a battery with one-time-constant dynamics and two time-constant dynamics, respectively:

The equations for the equivalent circuit with the terminal resistance R0 as an additional state and two time-constant dynamics are:

dSOCdt=i3600AHdV1dt=iC1(SOC,T)V1R1(SOC,T)C1(SOC,T)dV2dt=iC2(SOC,T)V2R2(SOC,T)C2(SOC,T)dR0dt=0Vt=V0(SOC,T)iR0V1V2

where

  • SOC is the state of charge.

  • i is the current.

  • V0 is the no-load voltage.

  • Vt is the terminal voltage.

  • AH is the ampere-hour rating.

  • R1 is the first polarization resistance.

  • C1 is the first parallel RC capacitance.

  • R2 is the second polarization resistance.

  • C2 is the second parallel RC capacitance.

  • T is the temperature.

  • V1 is the polarization voltage over the first RC network.

  • V2 is the polarization voltage over the second RC network.

A time constant τ1 for the first parallel section relates the first polarization resistance R1 and the first parallel RC capacitance C1 using the relationship C1=τ1/R1.

A time constant τ2 for the second parallel section relates the second polarization resistance R2 and the second parallel RC capacitance C2 using the relationship C2=τ2/R2.

For the Kalman filter algorithms, the block uses this state and these nonlinear process and observation functions:

x=[SOCV1R0]Tf(x,i)=[i3600AHiC1(SOC,T)V1R1(SOC,T)C1(SOC,T)0]h(x,i)=V0(SOC,T)iR0V1

If you set the Charge dynamics parameter to Two time-constant dynamics, for the Kalman filter algorithms, the block uses this state and these process and observation functions:

x=[SOCV1V2R0]Tf(x,i)=[i3600AHiC1(SOC,T)V1R1(SOC,T)C1(SOC,T)iC2(SOC,T)V2R2(SOC,T)C2(SOC,T)0]h(x,i)=V0(SOC,T)iR0V1V2

Extended Kalman Filter

This diagram shows the structure of the extended Kalman filter (EKF):

The EKF technique relies on a linearization at every time step to approximate the nonlinear system. To linearize the system at every time step, the algorithm computes these Jacobians online:

F=fxH=hx

The EKF is a discrete-time algorithm. After the discretization, the Jacobians for the SOC estimation of the battery are:

Fd=[1000eTSR1C10001]Hd=[VOCSOC1i]

where TS is the sample time and VOC is the open-circuit voltage.

The EKF algorithm comprises these phases:

  • Initialization

    • x^(0|0)⁠— State estimate at time step 0 using measurements at time step 0.

    • P^(0|0)⁠— State estimation error covariance matrix at time step 0 using measurements at time step 0.

  • Prediction

    • Project the states ahead (a priori):

      x^(k+1|k)=f(x^(k|k),i).

    • Project the error covariance ahead:

      P^(k+1|k)=Fd(k)P^(k|k)FdT(k)+Q,

      where Q is the covariance of the process noise.

  • Correction

    • Compute the Kalman gain:

      K(k+1)=P^(k+1|k)HdT(k)(Hd(k)P^(k+1|k)HdT(k)+R)1,

      where R is the covariance of the measurement noise.

    • Update the estimate with the measurement y(k) (a posteriori):

      x^(k+1|k+1)=x^(k+1|k)+K(k+1)(Vt(k)h(x^(k|k),i)).

    • Update the error covariance:

      P^(k+1|k+1)=(IK(k+1)Hd)P^(k+1|k).

Extended Kalman-Bucy Filter

This diagram shows the structure of the extended Kalman-Bucy filter (EKBF):

The EKBF is the continuous-time variant of the Kalman filter. In continuous time, the prediction and correction steps are coupled. The EKBF algorithm comprises these phases:

  • Initialization

    • x^(t0)⁠— State estimate at time t0.

    • P^(t0)⁠— State estimation error covariance matrix at time t0.

  • Prediction-Correction EKBF algorithm

    K(t)=P(t)HT(t)R1(t)dx^(t)dt=f(x^(t),i(t))+K(t)(Vt(t)h(x^(t),i(t)))dP(t)dt=F(t)P(t)+P(t)FT(t)+Q(t)K(t)H(t)P(t)

    where:

    F(t)=fxH(t)=hx

Unscented Kalman Filter

This diagram shows the structure of the unscented Kalman filter (UKF):

The EKF locally approximates nonlinear functions with the linear equations obtained from the Taylor expansion by using only the first term of the expansion. In a highly nonlinear system, these solutions are not very accurate.

The UKF uses nonlinear transformations on a set of sigma points that the algorithm chooses deterministically. This technique is called unscented transformation. The mean and the covariance matrix of the transformed points are accurate to the second order of the Taylor series expansion.

The UKF algorithm follows these steps:

  • Initialization

    • x^(0|0)⁠— State estimate at time step 0 using measurements at time step 0.

    • P^(0|0)⁠— State estimation error covariance matrix at time step 0 using measurements at time step 0.

  • Generate sigma points and calculate the mean weight and covariance weight for each point.

    • Choose the sigma points, x(i)(k|k)

      x(i)(k|k)={x^(k+1|k)i=1x^(k+1|k)+((n+λ)P(k|k))ii=2,,n+1x^(k+1|k)((n+λ)P(k|k))ii=n+2,,2n+1Wm(i)={λn+λi=112(n+λ)i1Wc(i)={λn+λ+(1α2+β)i=112(n+λ)i1

      where:

      • n is the dimension of the state vector x.

      • λ=α2(n+κ)n,α[0,1] describes the distance between the sigma point and the mean point. In a normal distribution, β = 2 and κ = 0.

      • ((n+λ)P)i is the ith row or column of cP. The block calculates the matrix square root by using numerically efficient and stable methods such as the Cholesky decomposition.

  • Perform first estimation of the system state matrix:

    x^(i)(k+1|k)=f(x^(i)(k|k),i(k))x^(k+1|k)=i=12n+1Wm(i)x^(i)(k+1|k)

  • Perform first estimation of the covariance matrix of the state variables:

    P(k+1|k)=i=12n+1Wc(i)(x^(i)(k+1|k)x^(k+1|k))(x^(i)(k+1|k)x^(k+1|k))T+Q

  • Estimate the measured variables:

    Vt(i)(k+1|k)=h(x^(i)(k+1|k),i(k))V^t(k+1|k)=i=12n+1Wm(i)V^t(i)(k+1|k)

  • Estimate the covariance of the measurement (Py) and covariance between the measurement and the state (Pxy):

    Py=i=12n+1Wc(i)(V^t(i)(k+1|k)V^t(k+1|k))(V^t(i)(k+1|k)V^t(k+1|k))T+RPxy=i=12n+1(x^(i)(k+1|k)x^(k+1|k))(V^t(i)(k+1|k)V^t(k+1|k))T

  • Compute the Kalman filter gain:

    K(k+1)=PxyPy1

  • Perform the second update of the state matrix and of the covariance of the state variables:

    x^(k+1|k+1)=x^(k+1|k)+K(k+1)(Vt(k+1)V^t(k+1|k))P(k+1|k+1)=P(k+1|k)K(k+1)PyKT(k+1)

Unscented Kalman-Bucy Filter

This diagram shows the structure of the unscented Kalman-Bucy filter (UKBF):

The derived continuous-time filtering equations of the UKBF are similar to the EKBF equations.

Because the UKF uses matrix square roots in its sigma points, the algorithm obtains the square-root version of the UKBF by formulating the filter as a differential equation for the sigma points. The equations for the square-root UKBF are:

K(t)=X(t)WhT(X(t),t)R1(t)M(t)=A1(t)[X(t)WfT(X(t),t)+f(X(t),t)WXT(t)+Q(t)K(t)R(t)KT(t)]AT(t)dXi(t)dt=f(X(t),t)wm+K(t)(Vt(t)h(X(t),t)wm)+c[0A(t)Φ(M(t))A(t)Φ(M(t))]i

where

  • X(t)=[m(t)m(t)]+c[0A(t)A(t)] is the sigma-point matrix.

  • Φij(M(t))={Mij(t),i>j0.5Mij(t),i=j0,i<j is a function that returns the lower diagonal part of the argument.

  • wm=[Wm(1)Wm(2n+1)]T

  • W=(1[wmwm])diag(Wc(1)Wc(2n+1))(I[wmwm])T

  • c=α2(n+κ)

  • [0A(t)Φ(M(t))A(t)Φ(M(t))]i is the ith column of the argument matrix.

Assumptions and Limitations

  • Process and sensor noises are independent, zero-mean, Gaussian noises.

  • Battery nominal capacity does not consider aging.

Ports

Input

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Battery current, in ampere, specified as a scalar for a single cell or a vector for multiple cells. To specify this input as a vector of cell currents, select the Specify Current input as cell current(s) parameter.

Cell voltage, in volt, specified as a scalar for a single cell or a vector for multiple cells. The size of this input port must be equal to the size of the CellTemperature, InitialSOC, and InitialR0 input ports.

Cell temperature, specified as a scalar for a single cell or a vector for multiple cells. The size of this input port must be equal to the size of the CellVoltage, InitialSOC, and InitialR0 input ports.

Initial state of charge, specified as a scalar or vector of entries in the range [0, 1]. The size of this input port must be equal to the size of the CellVoltage, CellTemperature, and InitialR0 input ports.

Initial terminal resistance, specified as a scalar or a vector. The size of this input port must be equal to the size of the CellVoltage, CellTemperature, and InitialSOC input ports.

Output

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State of charge of the battery, returned as a scalar or a vector. The size of this output port is equal to the size of the CellVoltage, CellTemperature, InitialSOC, and InitialR0 input ports.

Terminal resistance, returned as a scalar or a vector. The size of this output port is equal to the size of the CellVoltage, CellTemperature, InitialSOC, and InitialR0 input ports.

Parameters

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Main

Since R2023b

Option to specify the value of the Current input port as a vector of cell currents. If you select this parameter, the value at the Current input port can be a scalar or a vector of size equal to the size of the block inputs.

Type of Kalman filter that this block uses to estimate the battery state of charge and the terminal resistance.

Coefficient that controls the spread of the sigma points. The block uses this parameter in its implementation of the equations for the unscented Kalman filter and the unscented Kalman-Bucy filter.

Dependencies

To enable this parameter, set Filter type to Unscented Kalman filter or Unscented Kalman-Bucy filter.

Coefficient related to the distribution. The block uses this parameter in its implementation of the unscented Kalman filter and the unscented Kalman-Bucy filter.

Dependencies

To enable this parameter, set Filter type to Unscented Kalman filter or Unscented Kalman-Bucy filter.

Coefficient that controls the spread of the sigma points. The block uses this parameter in its implementation of the equations for the unscented Kalman filter and the unscented Kalman-Bucy filter.

Dependencies

To enable this parameter, set Filter type to Unscented Kalman filter or Unscented Kalman-Bucy filter.

Covariance matrix of the noise in the states.

Covariance of the noise in the measurements.

Covariance matrix of the initial state error. This parameter defines the deviation in the initialization of the state.

Time between consecutive block executions. During execution, the block produces outputs and, if appropriate, updates its internal state. For more information, see What Is Sample Time? and Specify Sample Time.

For inherited discrete-time operation, specify this parameter as -1. For discrete-time operation, specify this parameter as a positive integer. For continuous-time operation, specify this parameter as 0.

If this block is in a masked subsystem or a variant subsystem that supports switching between continuous operation and discrete operation, promote the sample time parameter. Promoting the sample time parameter ensures correct switching between the continuous and discrete implementations of the block. For more information, see Promote Block Parameters on a Mask.

Dependencies

To enable this parameter, set Filter type to Extended Kalman filter or Unscented Kalman filter.

System Model

Since R2024a

Option to model the battery charge dynamics. This parameter determines the number of parallel RC sections in the equivalent circuit:

  • One time-constant dynamics — The equivalent circuit contains one parallel RC section. Specify the polarization resistance and the time constant using the First polarization resistance, R1(SOC,T), (ohm) and First time constant, tau1(SOC,T), (s) parameters.

  • Two time-constant dynamics — The equivalent circuit contains two parallel RC sections. Specify the polarization resistances and the time constants using the First polarization resistance, R1(SOC,T), (ohm), First time constant, tau1(SOC,T), (s), Second polarization resistance, R2(SOC,T), (ohm), and Second time constant, tau2(SOC,T), (s) parameters.

Vector of the state of charge breakpoints defining the points at which you specify lookup data. The entries of this vector must be in strictly ascending order. The block calculates the state of charge value with respect to the nominal battery capacity specified in the Cell capacity, AH (A*Hr) parameter. The SOC is the ratio of the available battery charge qbattery and the nominal battery capacity qnom(T,n). You must make sure that, for each temperature value, an SOC of 1 represents the battery charge capacity for the corresponding element of the Cell capacity, AH (A*Hr) parameter when you model a fresh battery with a number of cycles N equal to 1 and δAH(n = 1, Tfade) equal to 0:.

SOC=qbatteryqnom(T,n)forN=1andδAH(n,Tfade)=0,qnom(T,n)=AH.

Vector of temperature breakpoints defining the points at which you specify lookup data. This vector must be strictly ascending and greater than 0 K. The physical unit of this parameter must be the same as the physical unit of the CellTemperature input port.

Lookup data, in ohm, for the first parallel RC resistance at the specified SOC and temperature breakpoints. The number of rows of this matrix is equal to the size of the Vector of state-of-charge values, SOC (-) parameter. The number of columns of this matrix is equal to the size of the Vector of temperatures, T parameter.

Lookup data, in second, for the first parallel RC time constant at the specified SOC and temperature breakpoints. The number of rows of this matrix is equal to the size of the Vector of state-of-charge values, SOC (-) parameter. The number of columns of this matrix is equal to the size of the Vector of temperatures, T parameter.

Since R2024a

Lookup data, in ohm, for the second parallel RC resistance at the specified SOC and temperature breakpoints. Matrix of resistance values, in ohm. The number of rows of this matrix is equal to the size of the Vector of state-of-charge values, SOC (-) parameter. The number of columns of this matrix is equal to the size of the Vector of temperatures, T parameter.

Dependencies

To enable this parameter, set Charge dynamics to Two time-constant dynamics.

Since R2024a

Lookup data, in second, for the second parallel RC time constant at the specified SOC and temperature breakpoints. The number of rows of this matrix is equal to the size of the Vector of state-of-charge values, SOC (-) parameter. The number of columns of this matrix is equal to the size of the Vector of temperatures, T parameter.

Dependencies

To enable this parameter, set Charge dynamics to Two time-constant dynamics.

Lookup data, in volt, for open-circuit voltages across the fundamental battery model at the specified SOC. The number of rows of this matrix is equal to the size of the Vector of state-of-charge values, SOC (-) parameter. The number of columns of this matrix is equal to the size of the Vector of temperatures, T parameter.

Cell capacity of the battery, in ampere-hour. The block calculates the state of charge by dividing the accumulated charge by this value. The block calculates the accumulated charge by integrating the battery current.

References

[1] Grewal, Mohinder S., and Angus P. Andrews. Kalman Filtering: Theory and Practice Using MATLAB. 2nd ed. New York: Wiley, 2001.

[2] Van der Merwe, R., and E. A. Wan, The Square-Root Unscented Kalman Filter for State and Parameter-Estimation. 2001 IEEE International Conference on Acoustics, Speech, and Signal Processing. Proceedings (Cat. No.01CH37221), vol. 6, IEEE, 2001, pp. 3461–64.

[3] Sarkka, Simo On Unscented Kalman Filtering for State Estimation of Continuous-Time Nonlinear Systems. IEEE Transactions on Automatic Control, vol. 52, no. 9, pp. 1631-1641, Sept. 2007, doi: 10.1109/TAC.2007.904453.

[4] Huria, Tarun, Massimo Ceraolo, Javier Gazzarri, and Robyn Jackey. Simplified Extended Kalman Filter Observer for SOC Estimation of Commercial Power-Oriented LFP Lithium Battery Cells.2013, pp. 2013-01–1544.

Extended Capabilities

C/C++ Code Generation
Generate C and C++ code using Simulink® Coder™.

Version History

Introduced in R2022b

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