A Hierarchical Approach for Finite-time H- State Observer and Probabilistic Lifetime Prediction of Lithium-Ion Batteries
Journal article, 2021

Accurate state-of-charge (SOC) estimation and lifetime prognosis of lithium-ion batteries are of great significance for reliable operations of energy storage systems. This paper proposes a novel two-layer hierarchical approach for online SOC estimation and remaining-useful-life (RUL) prediction based on a robust observer and Gaussian-process-regression (GPR). At the bottom layer, an equivalent-circuit model is first developed to describe battery dynamics. Second, a combination method of a recursive least square method and a finite time H-1 observer is designed to estimate battery open-circuit-voltage (OCV) and SOC through stability and robustness analysis. Next, the estimated OCV and SOC are fed into the top layer to generate the incremental-capacity-analysis-based aging feature, through which a robust signature associated with battery aging is identified. The feature is further employed for RUL prediction based on GPR. The salient advantages of the proposed approach are that it can provide robust parameter estimation in a given finite-time interval, and the GPR-based RUL prediction can tackle longterm uncertainties in a principled Bayesian manner. Theoretical analysis and experimental results demonstrate the effectiveness of the proposed SOC observer and lifetime prediction methods.


Gaussian processes


Energy storage system; Remaining useful life; Gaussian process regression; prognostics and health management; Robust observer

Feature extraction

State of charge

Electronic countermeasures



Guangzhong Dong

Nanyang Technological University

Yan Xu

Nanyang Technological University

Zhongbao Wei

Beijing Institute of Technology

IEEE Transactions on Energy Conversion

0885-8969 (ISSN) 15580059 (eISSN)

Vol. In Press

Subject Categories

Probability Theory and Statistics

Control Engineering

Signal Processing



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