CN114578234A - A Degradation and Capacity Prediction Model for Li-ion Batteries Considering Causal Features - Google Patents

A Degradation and Capacity Prediction Model for Li-ion Batteries Considering Causal Features Download PDF

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CN114578234A
CN114578234A CN202210276095.4A CN202210276095A CN114578234A CN 114578234 A CN114578234 A CN 114578234A CN 202210276095 A CN202210276095 A CN 202210276095A CN 114578234 A CN114578234 A CN 114578234A
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田毅
吴立锋
贺加贝
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Capital Normal University
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    • G01MEASURING; TESTING
    • G01RMEASURING ELECTRIC VARIABLES; MEASURING MAGNETIC VARIABLES
    • G01R31/00Arrangements for testing electric properties; Arrangements for locating electric faults; Arrangements for electrical testing characterised by what is being tested not provided for elsewhere
    • G01R31/36Arrangements for testing, measuring or monitoring the electrical condition of accumulators or electric batteries, e.g. capacity or state of charge [SoC]
    • G01R31/367Software therefor, e.g. for battery testing using modelling or look-up tables
    • GPHYSICS
    • G01MEASURING; TESTING
    • G01RMEASURING ELECTRIC VARIABLES; MEASURING MAGNETIC VARIABLES
    • G01R31/00Arrangements for testing electric properties; Arrangements for locating electric faults; Arrangements for electrical testing characterised by what is being tested not provided for elsewhere
    • G01R31/36Arrangements for testing, measuring or monitoring the electrical condition of accumulators or electric batteries, e.g. capacity or state of charge [SoC]
    • G01R31/392Determining battery ageing or deterioration, e.g. state of health
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Abstract

本发明提出一种考虑因果性特征的锂离子电池退化与容量预测模型,提取并筛选因果性特征,并使用因果性特征作为模型的输入预测电池的可用容量,来增强模型在预测和特征角度的可解释性,提高容量的预测精度。具体为:(1)针对其他神经网络模型对输入参数与输出之间的因果关系解释不充分的问题,提出考虑因果特征来预测容量,提高了模型的可解释性。(2)提出采用脉冲响应分析法分析特征对容量衰减的影响,并结合电池老化机理分析,明确了所选特征对容量衰减的确切影响和作用机理,提高了特征的可解释性。(3)以因果特征为输入,构建了基于长短时记忆LSTM网络的容量预测模型,与使用原始特征的预测结果和其他方法的预测结果相比,实现了对容量更准确的预测。

Figure 202210276095

The present invention proposes a lithium-ion battery degradation and capacity prediction model considering causal features, extracts and filters the causal features, and uses the causal features as the input of the model to predict the available capacity of the battery, so as to enhance the model's performance in terms of prediction and features. Interpretability, improving the prediction accuracy of capacity. Specifically: (1) In view of the insufficient explanation of the causal relationship between input parameters and output by other neural network models, it is proposed to consider causal features to predict capacity, which improves the interpretability of the model. (2) The impulse response analysis method is proposed to analyze the influence of the features on the capacity fading, and combined with the analysis of the battery aging mechanism, the exact influence and mechanism of the selected features on the capacity fading are clarified, and the interpretability of the features is improved. (3) Taking causal features as input, a capacity prediction model based on long short-term memory LSTM network is constructed, which achieves a more accurate prediction of capacity compared with the prediction results using the original features and the prediction results of other methods.

Figure 202210276095

Description

一种考虑因果性特征的锂离子电池退化与容量预测模型A Degradation and Capacity Prediction Model for Li-ion Batteries Considering Causal Features

技术领域technical field

本发明提出一种考虑因果性特征的锂离子电池退化与容量预测模型,属于新能源电池技术领域。The invention provides a lithium ion battery degradation and capacity prediction model considering causal characteristics, and belongs to the technical field of new energy batteries.

背景技术Background technique

锂离子电池由于其蓄电量大、可充放次数多、可回收及污染小等优点,成为一种被广泛应用于如电动汽车、航空航天、计算机等多个领域的新能源。但是,由于受到工作环境与工作条件的影响,电池的内部会发生一系列的复杂变化,引起各种副反应,容量会逐渐降低,从而引发一些安全问题。因此,准确的寿命估计对于锂离子电池的安全性和可靠性至关重要,而电池寿命预测是该领域的一个重要研究方向。随着人工智能和机器学习的兴起,基于数据驱动的锂离子电池寿命预测方法正在成为一种主流且有效的方法。基于数据驱动的预测方法从所采集的电池数据中提取特征作为输入变量,使用电池寿命作为目标变量,通过模型学习相关知识,从而预测电池的寿命,如SOC(State Of Charge)、SOH(State OfHealth)、RUL(Remaining Useful Life)以及容量等。现有的方法虽然取得了不错的预测效果,然而模型的输入和输出之间的因果关系并不能很好的被解释,因此如何增强模型的可解释性是一个亟待解决的问题。Lithium-ion batteries have become a new energy source that is widely used in many fields such as electric vehicles, aerospace, and computers due to their advantages of large storage capacity, high recharge and discharge times, recyclability, and low pollution. However, due to the influence of the working environment and working conditions, a series of complex changes will occur inside the battery, causing various side reactions, and the capacity will gradually decrease, thus causing some safety problems. Therefore, accurate lifetime estimation is crucial for the safety and reliability of Li-ion batteries, and battery lifetime prediction is an important research direction in this field. With the rise of artificial intelligence and machine learning, data-driven lithium-ion battery life prediction methods are becoming a mainstream and effective method. The data-driven prediction method extracts features from the collected battery data as input variables, uses battery life as the target variable, and learns relevant knowledge through the model to predict battery life, such as SOC (State Of Charge), SOH (State Of Health) ), RUL (Remaining Useful Life) and capacity, etc. Although the existing methods have achieved good prediction results, the causal relationship between the input and output of the model cannot be well explained, so how to enhance the interpretability of the model is an urgent problem to be solved.

基于数据驱动的机器学习预测方法,如支持向量机(Support Vector Machine,SVM)、极限学习机(Extreme Learning Machine,ELM)、高斯回归过程(Gaussian processregression,GPR)、深度神经网络(Deep Neural Network,DNN)、宽度学习系统(BroadLearning System,BLS)等,都取得了不错的预测效果。对于模型输入特征的设置和选择也有一些方法,如设置原始数据的方差和峰度、充电曲线的Shannon熵和Hausdorff距离等以及充电曲线的随机片段作为模型的输入特征。在特征选择上,如使用Pearson和Spearman相关系数、随机森林(Random Forest,RF)、灰色关联分析(Grey Relational Analysis,GRA)或交叉验证的递归特征消除法等方法来筛选特征。Data-driven machine learning prediction methods, such as Support Vector Machine (SVM), Extreme Learning Machine (ELM), Gaussian process regression (GPR), Deep Neural Network, DNN), Broad Learning System (BLS), etc., have achieved good prediction results. There are also some methods for the setting and selection of model input features, such as setting the variance and kurtosis of the original data, Shannon entropy and Hausdorff distance of the charging curve, etc., and random segments of the charging curve as the input features of the model. In feature selection, features such as Pearson and Spearman correlation coefficients, Random Forest (RF), Grey Relational Analysis (GRA) or recursive feature elimination with cross-validation are used to screen features.

尽管通过现有的特征设置和提取方法选择输入特征在电池寿命预测方面表现出不错的效果,但输入特征和预测的目标变量之间是否具有因果关系并没有被很好地解释或证实,也即模型“输入和输出”之间是否存在因果关系并未说明,存在着模型可解释性不足的问题。Although the selection of input features through existing feature settings and extraction methods has shown promising results in battery life prediction, whether there is a causal relationship between the input features and the predicted target variable is not well explained or confirmed, i.e. Whether there is a causal relationship between the "input and output" of the model is not explained, and there is a problem of insufficient model interpretability.

发明内容SUMMARY OF THE INVENTION

针对现有预测模型可解释不足的问题,本发明考虑提取并筛选对于电池容量退化具有影响的因果性特征,并使用因果性特征作为模型的输入预测电池的可用容量,来增强模型在预测和特征角度的可解释性,并提高容量的预测精度。本发明的核心技术点为:Aiming at the problem that the existing prediction model can not explain enough, the present invention considers extracting and screening causal features that have an impact on battery capacity degradation, and uses the causal features as the input of the model to predict the available capacity of the battery, so as to enhance the model's ability to predict and feature Interpretability of angles and improved prediction accuracy of capacity. The core technical points of the present invention are:

(1)针对其他神经网络模型对输入参数(或特征)与输出之间的因果关系解释不充分的问题,本发明提出考虑因果特征来预测容量,提高了模型的可解释性。(1) Aiming at the problem that other neural network models do not adequately explain the causal relationship between input parameters (or features) and outputs, the present invention proposes to consider causal features to predict capacity, which improves the interpretability of the model.

(2)提出采用脉冲响应分析法分析特征对容量衰减的影响,并结合电池老化机理分析,明确了所选特征对容量衰减的确切影响和作用机理,提高了特征的可解释性。(2) The impulse response analysis method is proposed to analyze the influence of the features on the capacity fading, and combined with the analysis of the battery aging mechanism, the exact influence and mechanism of the selected features on the capacity fading are clarified, and the interpretability of the features is improved.

(3)以因果特征为输入,构建了基于长短时记忆(Long Short-Term Memory,LSTM)网络的容量预测模型,与使用原始特征的预测结果和其他方法的预测结果相比,实现了对容量更准确的预测。(3) Taking causal features as input, a capacity prediction model based on Long Short-Term Memory (LSTM) network is constructed. more accurate predictions.

为进一步明确本发明的技术方案,现详述如下:In order to further clarify the technical scheme of the present invention, it is now described in detail as follows:

本发明考虑选择容量退化过程中的因果性特征来预测容量。具体而言,本发明提出了一种基于向量自回归(Vector autoregressive,VAR)模型和LSTM的锂离子电池退化与容量预测模型,可以选择锂离子电池容量衰减过程中的因果性特征,并分析其对容量衰减的具体影响,加强了特征的可解释性,然后利用所选择的因果特征预测电池容量,增强了模型在预测角度的可解释性,并且提高了对于容量的预测精度。本发明所提方法的技术方案包括以下步骤:The present invention considers selecting causal features in the capacity degradation process to predict capacity. Specifically, the present invention proposes a lithium-ion battery degradation and capacity prediction model based on a vector autoregressive (Vector autoregressive, VAR) model and LSTM, which can select causal features in the process of lithium-ion battery capacity decay and analyze its The specific impact on the capacity fading enhances the interpretability of the features, and then uses the selected causal features to predict the battery capacity, which enhances the interpretability of the model in terms of prediction and improves the prediction accuracy of the capacity. The technical scheme of the proposed method of the present invention comprises the following steps:

S1.提取初始特征S1. Extract initial features

首先,通过检测设备得到的电池每个充放电循环过程中的电压、电流、温度和时间数据,记为V、I、T、t。然后对于初始数据进行初步的数据处理(数据清洗、降维、归一化、标准化),构建电池所有循环的初始特征。具体而言,通过对每个循环的四种物理数据进行处理共构建了8个初始特征,以F1-F8表示,因此总的特征维度为8×N,其中N代表总循环数。First, the voltage, current, temperature and time data of the battery during each charge-discharge cycle obtained by the detection equipment are recorded as V, I, T, t. Then, preliminary data processing (data cleaning, dimensionality reduction, normalization, normalization) is performed on the initial data, and the initial characteristics of all cycles of the battery are constructed. Specifically, a total of 8 initial features are constructed by processing the four kinds of physical data in each cycle, denoted by F1-F8, so the total feature dimension is 8×N, where N represents the total number of cycles.

S2.电池特征筛选模型S2. Battery Feature Screening Model

基于VAR模型和格兰杰因果关系(Granger causality,GC)检验构建特征筛选系统,对S1中所构建的电池的所有初始特征(F1-F8)进行筛选,提取电池容量为目标变量,将特征与容量分别记为yi,其中i=1,2,...,N,N=9。具体步骤如下:Based on the VAR model and the Granger causality (GC) test, a feature screening system is constructed to screen all the initial features (F1-F8) of the battery constructed in S1, extract the battery capacity as the target variable, and compare the features with The capacities are denoted as y i , where i=1, 2, . . . , N, and N=9. Specific steps are as follows:

S2.1,假设所有初始特征(F1-F8)和容量都为内生变量,构建多元VAR(p)系统进行格兰杰因果关系检验,其中p代表VAR模型阶数,模型如下式所示:S2.1, assuming that all initial features (F1-F8) and capacities are endogenous variables, construct a multivariate VAR(p) system for Granger causality test, where p represents the VAR model order, and the model is as follows:

Yt=Bt1Yt-12Yt-1+...+αpYt-p+et Y t =B t1 Y t-12 Y t-1 +...+α p Y tp +e t

其中

Figure BDA0003556031360000041
Yt-p则代表变量Yt在t-p时刻的滞后值。具体而言,yi,t分别代表t时刻(循环)的8个特征(F1-F8)与容量数据。而α、b、e则分别代表代表模型计算过程中权重参数、常数项参数以及误差项参数。模型通过使用容量的滞后值以及初始特征的滞后值来进行回归分析,因此可以用来分析内生变量与目标变量之间的影响关系。本发明也将利用此特性分析电池初始特征与电池容量之间的关系,对于特征进行初步筛选。in
Figure BDA0003556031360000041
Y tp represents the lag value of variable Y t at time tp. Specifically, y i, t represent the eight features (F1-F8) and capacity data at time t (cycle), respectively. α, b, and e represent the weight parameters, constant term parameters, and error term parameters in the model calculation process, respectively. The model performs regression analysis by using the lagged values of the capacity and the lagged values of the initial features, so it can be used to analyze the influence relationship between the endogenous variable and the target variable. The present invention will also use this characteristic to analyze the relationship between the initial characteristics of the battery and the capacity of the battery, and conduct preliminary screening of the characteristics.

S2.2以容量为目标变量,进行格兰杰因果关系检验,对假设的健康因子与容量之间的因果关系进行分析验证。GC评估了一个变量的过去值如何导致另一个变量。以特征F1与容量为例,特征F1与容量(滞后阶数l,k)存在着格兰杰因果关系当且仅当:S2.2 takes capacity as the target variable, and conducts Granger causality test to analyze and verify the causal relationship between the hypothesized health factor and capacity. GC evaluates how past values of one variable lead to another. Taking feature F1 and capacity as an example, there is a Granger causality between feature F1 and capacity (lag order l, k) if and only if:

f(y9,t|y9,t-k,y1,t-l)≠f(y9,t|y9,t-k)f(y9 ,t |y9 ,tk ,y1 ,tl )≠f(y9 ,t |y9 ,tk )

根据以上定义,为了更清楚的描述筛选原理,根据S2.1中的模型公式来看,特征F1与容量其具有格兰杰因果性的原假设为:According to the above definition, in order to describe the screening principle more clearly, according to the model formula in S2.1, the null hypothesis that the feature F1 and the capacity have Granger causality is:

H0:α19,1=α19,2=…=α19,p=0H0: α19,1 = α19,2 =…=α19 ,p =0

H1:至少有一个α19,i不为0H1: At least one alpha 19, i is not 0

如果不拒绝原假设,则y1,t对于y9,t不具有格兰杰因果性,即特征F1对于电池容量数据不具有预测能力;反之如果拒绝原假设,则y1,t对于y9,t具有格兰杰因果性,即特征F1对于电池容量数据具有预测能力。上述假设检验可以用卡方检验完成,检验统计量渐近服从χ2(p)。If the null hypothesis is not rejected, then y 1, t has no Granger causality for y 9, t , that is, the feature F1 has no predictive ability for battery capacity data; conversely, if the null hypothesis is rejected, then y 1, t for y 9 , t has Granger causality, that is, feature F1 has predictive power for battery capacity data. The above hypothesis test can be done with the chi-square test, and the test statistic asymptotically obeys χ 2 (p).

S2.3改变阶数p,重新构造VAR模型,重复步骤S2.1-2.2,完成对单块电池的单个特征F1所有检验过程。S2.3 Change the order p, reconstruct the VAR model, repeat steps S2.1-2.2, and complete all the inspection processes of the single feature F1 of the single battery.

S2.4使用单块电池的其他特征(F2-F8)作为解释变量,重复步骤S2.2-2.3,直至此电池的所有特征检验完成。S2.4 uses other features of a single battery (F2-F8) as explanatory variables, and repeats steps S2.2-2.3 until all features of this battery are tested.

S2.5重复步骤S2.2-2.4,直至所有电池的所有特征检验完成。S2.5 Repeat steps S2.2-2.4 until all feature inspections of all batteries are completed.

S2.6综合所有检测结果进行筛选,得到因果性特征的筛选结果。本发明对多块电池的所有特征进行多次GC检验,从而排除了单次检验结果和单块电池结果的随机性,增加了特征挑选结果的说服力,使特征挑选结果更具有客观性。S2.6 Comprehensive screening of all test results to obtain screening results of causal characteristics. The invention performs multiple GC inspections on all features of multiple batteries, thereby eliminating the randomness of single inspection results and single battery results, increasing the persuasiveness of the feature selection results, and making the feature selection results more objective.

S3.电池特征因果性分析模型S3. Battery characteristic causality analysis model

根据S2可得因果性特征筛选结果,因此本发明在此步骤基于VAR系统和系统脉冲响应函数(Impulse Response Functions,IRF)构建电池特征因果性分析系统,分析所筛选的特征对于电池容量的影响,也即这些特征在电池容量退化过程中的具体影响和作用机理,以进一步验证挑选的电池容量退化的因果性特征。步骤如下:According to the causality feature screening result obtained from S2, the present invention constructs a battery feature causality analysis system based on the VAR system and the system impulse response function (Impulse Response Functions, IRF) in this step, and analyzes the impact of the screened features on the battery capacity, That is, the specific influence and mechanism of these features in the process of battery capacity degradation, to further verify the causal features of the selected battery capacity degradation. Proceed as follows:

S3.1根据特征的初步筛选结果并结合S2中检验结果,重构多个多变量VAR系统,每个系统都用来分析电池因果特征对于电池容量退化的影响关系。S3.1 According to the preliminary screening results of the features and combined with the test results in S2, multiple multivariate VAR systems are reconstructed, and each system is used to analyze the influence of battery causal features on battery capacity degradation.

S3.2在进行脉冲响应分析特征因果性之前,需要对所构建的VAR模型进行稳定性检验。检验方法如下:S3.2 Before analyzing the characteristic causality of the impulse response, the stability test of the constructed VAR model is required. The inspection method is as follows:

通过S2.1中的多元VAR(p)模型公式可得,若令p=t,t-1,…,t-k+1,则可以得到k个(t-k+1时刻到t时刻)多元VAR模型。若以分块矩阵形式表示,即若令:It can be obtained by the multivariate VAR(p) model formula in S2.1. If p=t, t-1, ..., t-k+1, k can be obtained (t-k+1 time to t time) Multivariate VAR model. If it is represented in the form of a block matrix, that is, if:

Figure BDA0003556031360000061
则可将k个VAR(p)模型通过友矩阵变化写为VAR(1),也即:
Figure BDA0003556031360000061
Then the k VAR(p) models can be written as VAR(1) through the change of the friend matrix, that is:

Zt=C+φZt-1t Z t =C+φZ t-1t

这个模型也即电池的特征因果性分析模型。具体而言,Yt代表t时刻(循环)的8个特征(F1-F8)与容量数据,Yt-p则代表变量Yt在t-p时刻的滞后值,而Bt、et代表的t时刻VAR模型的常数项参数与误差项参数,αj则代表第j个VAR(p)模型的权重参数矩阵,j=1,2,...,k,E代表单位矩阵。那么,在所构建的VAR(1)中,C和θt分别代表分析模型的常数项参数矩阵和误差项参数矩阵,Zt与Zt-1则代表所选电池因果性特征和容量构造矩阵的当前值和滞后值。This model is also the characteristic causality analysis model of the battery. Specifically, Y t represents 8 features (F1-F8) and capacity data at time t (cycle), Y tp represents the lag value of variable Y t at time tp, and B t and e t represent the VAR at time t The constant term parameters and error term parameters of the model, α j represents the weight parameter matrix of the jth VAR(p) model, j=1, 2,..., k, E represents the identity matrix. Then, in the constructed VAR(1), C and θ t represent the constant term parameter matrix and error term parameter matrix of the analytical model, respectively, and Z t and Z t-1 represent the selected battery causal characteristics and capacity construction matrix current and hysteresis values.

对于当前所构建的这个集成的多元VAR模型来说,模型稳定的条件即总的权重参数矩阵

Figure BDA0003556031360000062
的全部特征值全在单位圆以内,也即其特征方程
Figure BDA0003556031360000063
的全部根在单位圆之内。如果不稳定,则改变模型阶数,重构VAR系统。若模型稳定则可进行脉冲响应分析,分析因果特征对于电池容量衰减的具体影响。For the integrated multivariate VAR model currently constructed, the condition for model stability is the total weight parameter matrix
Figure BDA0003556031360000062
All eigenvalues of are all within the unit circle, that is, its characteristic equation
Figure BDA0003556031360000063
All roots of are within the unit circle. If it is unstable, change the model order and reconstruct the VAR system. If the model is stable, impulse response analysis can be performed to analyze the specific impact of causal features on battery capacity decay.

S3.3通过S3.2中所构建的电池特征因果性分析系统VAR(1)的脉冲响应函数,可以分析模型中每个因果特征对于容量的具体影响。脉冲响应函数描述的是在随机误差项上施加一个标准差大小的冲击后对于内生变量当前值和未来值所带来的影响,因此可以用来分析某个时间序列变量在时序上对于另一个时间序列变量的影响关系。首先由VAR(1)可得:S3.3 Through the impulse response function of the battery feature causality analysis system VAR(1) constructed in S3.2, the specific impact of each causal feature in the model on the capacity can be analyzed. The impulse response function describes the impact on the current and future values of endogenous variables after applying a standard deviation shock to the random error term, so it can be used to analyze the impact of a time series variable on another in time series. The influence of time series variables. First, we can get from VAR(1):

Figure BDA0003556031360000071
Figure BDA0003556031360000071

Figure BDA0003556031360000072
可得:make
Figure BDA0003556031360000072
Available:

Zt+r=θt+r1θt+r-12θt+r-2+…+ψrθt+…Z t+r = θ t+r1 θ t+r-12 θ t+r-2 +…+ψ r θ t +…

则有:Then there are:

Figure BDA0003556031360000073
Figure BDA0003556031360000073

其中Zt与Zt+r则代表电池因果性特征和容量矩阵的在t和t+r时刻的值,θ代表模型的误差项参数矩阵。E代表单位矩阵,L和

Figure BDA0003556031360000074
代表模型变换和计算过程中的参数矩阵。Ψr代表整个电池特征因果性分析系统模型的脉冲响应函数,其中第i行j列的元素看为滞后期数r的函数,此元素表示令其他误差项在任何时期都不变的条件下,当第j个变量yj,t的误差项et在t时刻收到一个单位的冲击后,对于第i个内生变量yi,t在t+r期造成的影响。在本发明中,以电池容量为目标变量,通过电池因果性分析系统的IRF获取容量对于所选因果性特征的脉冲响应结果。Among them, Z t and Z t+r represent the causal characteristics of the battery and the value of the capacity matrix at time t and t+r, and θ represents the error term parameter matrix of the model. E stands for the identity matrix, L and
Figure BDA0003556031360000074
Represents the parameter matrix during model transformation and computation. Ψ r represents the impulse response function of the entire battery characteristic causality analysis system model, in which the element in the i-th row and j column is regarded as a function of the lag period r. When the error term e t of the j-th variable y j,t receives a unit shock at time t, the impact of the i-th endogenous variable y i,t in period t+r. In the present invention, taking the battery capacity as the target variable, the impulse response result of the capacity to the selected causality feature is obtained through the IRF of the battery causality analysis system.

S3.4结合锂离子电池内部容量退化的机理解释脉冲响应分析的结果,进一步增强特征的可解释性。S3.4 interprets the results of the impulse response analysis in conjunction with the mechanism of the internal capacity degradation of Li-ion batteries, further enhancing the interpretability of the features.

S4.电池容量估计S4. Battery capacity estimation

S4.1构建容量预测模型。本发明构建了一个堆叠LSTM网络进行容量预测。网络结构有多个层次:输入层、LSTM层、Dropout层、Dense层和输出层,网络结构如附图3所示。输入层负责接收输入数据并且将数据转化为LSTM层可以接受的格式,在本层使用了具有“多对一”结构的滑动窗口技术,使网络的输出与输入在多个时刻相关,以更好地学习序列的时间信息。LSTM层负责学习输入层传输的数据的特征信息,以及这些信息与预测变量(容量)的非线性关系。Dropout层负责对LSTM层的神经元进行随机失活处理,防止模型出现过拟合现象而降低预测效果。Dense层负责对于LSTM层-Dropout层的输出数据进行维度变换。最后由输出层接收Dense层的变换数据,输出预测结果,网络的输出是电池相应寿命循环的预测容量。S4.1 Build a capacity prediction model. The present invention constructs a stacked LSTM network for capacity prediction. The network structure has multiple layers: input layer, LSTM layer, Dropout layer, Dense layer and output layer. The network structure is shown in Figure 3. The input layer is responsible for receiving the input data and converting the data into a format acceptable to the LSTM layer. In this layer, a sliding window technique with a "many-to-one" structure is used to make the output of the network and the input related at multiple times to better to learn the temporal information of the sequence. The LSTM layer is responsible for learning the characteristic information of the data transmitted by the input layer, and the nonlinear relationship between this information and the predictor variable (capacity). The Dropout layer is responsible for randomly deactivating the neurons of the LSTM layer to prevent the model from overfitting and reduce the prediction effect. The Dense layer is responsible for dimensional transformation of the output data of the LSTM layer-Dropout layer. Finally, the output layer receives the transformed data of the Dense layer and outputs the prediction result. The output of the network is the predicted capacity of the corresponding life cycle of the battery.

S4.2根据S3,将确定的因果性特征作为输入数据,使用S4.1中所构建的LSTM预测模型预测电池容量。具体而言,首先,在输入层通过滑动窗口技术将输入数据转化为适合LSTM层可接受的格式;其次,在LSTM层对输入层传递数据的特征信息进行学习,保留LSTM层的权重参数;接着,在Dropout层使用Dropout技术舍弃一部分LSTM神经元的计算结果;然后,在Dense层对经过Dropout处理的LSTM层的输出结果进行降维,并将变换结果传递到输出层;最后由输出层输出容量预测结果

Figure BDA0003556031360000081
S4.2 According to S3, using the determined causal features as input data, use the LSTM prediction model constructed in S4.1 to predict the battery capacity. Specifically, firstly, the input data is converted into a format suitable for the LSTM layer through the sliding window technique at the input layer; secondly, the feature information of the data transmitted by the input layer is learned at the LSTM layer, and the weight parameters of the LSTM layer are retained; , in the Dropout layer, the Dropout technology is used to discard the calculation results of part of the LSTM neurons; then, the Dense layer reduces the dimension of the output results of the LSTM layer processed by the Dropout, and transmits the transformation results to the output layer; finally, the output layer outputs the capacity forecast result
Figure BDA0003556031360000081

S4.3得到容量预测结果。S4.3 obtains the capacity prediction result.

本发明的优点及有益效果在于:本发明使用电池退化过程中的因果性特征来预测电池可用容量,不仅实现了对于电池容量更准确地预测,也提高了模型在预测和特征方面的可解释性,这也是当今机器学习的一个重要研究领域,即可解释性问题。此外,所提出的方法还可以推广到其他类型的电池或寿命预测领域,因此本发明不仅具有重要的学术意义,而且对于提高新能源电子设备的可靠性和安全性也具有潜在的工程应用价值。The advantages and beneficial effects of the present invention are: the present invention uses the causal features in the battery degradation process to predict the battery usable capacity, which not only achieves a more accurate prediction of the battery capacity, but also improves the interpretability of the model in terms of prediction and features. , which is also an important research area in machine learning today, that is, the problem of interpretability. In addition, the proposed method can also be extended to other types of batteries or life prediction fields, so the present invention not only has important academic significance, but also has potential engineering application value for improving the reliability and safety of new energy electronic devices.

附图说明Description of drawings

图1是整个电池退化与容量预测模型的流程图。Figure 1 is a flow chart of the entire battery degradation and capacity prediction model.

图2是模型的原理示意图。Figure 2 is a schematic diagram of the principle of the model.

图3是基于LSTM构建的容量预测模型的结构图。Figure 3 is a structural diagram of a capacity prediction model constructed based on LSTM.

图4是实施例中所使用的NASA公开数据集中某块电池的检测数据所提取的某个特征曲线图。FIG. 4 is a certain characteristic curve diagram extracted from the detection data of a certain battery in the NASA public data set used in the embodiment.

图5是实施例中所使用的NASA公开数据集中某个电池容量退化曲线图。FIG. 5 is a graph of a battery capacity degradation curve in the NASA public data set used in the examples.

图6是某个VAR系统的稳定性检验结果示例图。Figure 6 is an example diagram of the stability test results of a VAR system.

图7是特征脉冲响应分析结果的示例图。FIG. 7 is an example graph of characteristic impulse response analysis results.

图8a是使用因果性特征以及原始特征作为模型输入特征,某个电池的容量预测结果图。Figure 8a is a graph of the capacity prediction result of a certain battery using causal features and original features as model input features.

图8b是使用因果性特征以及原始特征作为模型输入特征,某个电池的容量预测结果的预测误差图。Figure 8b is a prediction error graph of the capacity prediction result of a certain battery using causal features and raw features as model input features.

具体实施方式Detailed ways

下面结合附图和实施例对本发明作进一步的说明。如图1-2所示,本发明提供了一种考虑因果性特征的锂离子电池退化与容量预测模型。本发明使用了NASA Ames Centerof Excellence的公开电池退化数据集作为示例数据集。该数据集包含4个18650型电池B5、B6、B7和B18,在室温下进行三种不同的操作充电、放电和阻抗,并采集数据。当电池的额定容量下降30%(从2Ah下降到1.4Ah)时,停止实验。具体步骤如下:The present invention will be further described below with reference to the accompanying drawings and embodiments. As shown in Figures 1-2, the present invention provides a lithium-ion battery degradation and capacity prediction model considering causal characteristics. The present invention uses the public battery degradation dataset of NASA Ames Center of Excellence as an example dataset. The dataset contains four 18650-type batteries B5, B6, B7, and B18, charged, discharged, and impedance with three different operations at room temperature, and data was collected. The experiment was stopped when the rated capacity of the battery dropped by 30% (from 2Ah to 1.4Ah). Specific steps are as follows:

S1.提取初始特征。首先,根据监测设备所得到的电池数据,构建电池所有循环的初始特征。数据集中B5号电池放电电压数据提取的特征曲线如图4所示。S1. Extract initial features. First, based on the battery data obtained by the monitoring equipment, the initial characteristics of the battery for all cycles are constructed. The characteristic curve extracted from the B5 battery discharge voltage data in the data set is shown in Figure 4.

S2.特征初步筛选。S2. Feature preliminary screening.

S2.1首先,提取电池容量数据,B5号电池的容量退化曲线如图5所示。S2.1 First, extract the battery capacity data. The capacity degradation curve of the B5 battery is shown in Figure 5.

S2.2以容量为目标变量,假设所有特征因子和容量为内生变量,构建多元元VAR(p)系统进行格兰杰因果关系检验。B5号电池的某个特征某次检验结果如下表所示:S2.2 takes capacity as the target variable and assumes that all eigenfactors and capacity are endogenous variables to construct a multivariate VAR(p) system for Granger causality test. The test results of a certain characteristic of B5 battery are shown in the following table:

FeatureFeature Chi-sqChi-sq dfdf Prob.Prob. 放电电流Discharge current 33.103533.1035 1010 0.00030.0003

其中Chi-sq表示原假设的Chi-squared检验值,df表示VAR模型阶数,Prob.表示拒绝原假设的概率。本发明将检验显著性水平设为0.05,即说明所选变量与目标变量为内生变量的概率至少为95%,即存在格兰杰因果关系。在本次测试中,放电电流被初步选择为因果特征。Where Chi-sq represents the Chi-squared test value of the null hypothesis, df represents the VAR model order, and Prob. represents the probability of rejecting the null hypothesis. The present invention sets the test significance level as 0.05, which means that the probability that the selected variable and the target variable are endogenous variables is at least 95%, that is, there is a Granger causality. In this test, the discharge current was initially chosen as the causal feature.

S2.3改变阶数,重构VAR模型,重复步骤S2.1-2.2,完成对单块电池的单个特征检验过程。S2.3 changes the order, reconstructs the VAR model, and repeats steps S2.1-2.2 to complete the single feature inspection process for a single battery.

S2.4重复步骤S2.1-2.3,直至此电池的所有特征检验完成。S2.4 Repeat steps S2.1-2.3 until all feature inspections of this battery are completed.

S2.5重复步骤S2.2-2.4,直至所有电池的所有特征检验完成。S2.5 Repeat steps S2.2-2.4 until all feature inspections of all batteries are completed.

S2.6综合所有检测结果进行筛选,得到初步的筛选结果。S2.6 Comprehensive screening of all test results to obtain preliminary screening results.

S3.特征因果性分析。S3. Feature causality analysis.

S3.1根据特征的初步筛选并结果结合S2中检验结果,重构多个多元VAR(p)系统,分析所筛选的特征对于容量退化的影响。S3.1 reconstructs multiple multivariate VAR(p) systems according to the preliminary screening of features and the results combined with the test results in S2, and analyzes the impact of the screened features on capacity degradation.

S3.2在进行脉冲响应之前,需要对所构建的VAR模型进行稳定性检验,某个VAR系统的稳定性检验结果如图6所示,可以看到系统稳定,可以进行脉冲响应分析。S3.2 Before performing the impulse response, the stability test of the constructed VAR model is required. The stability test result of a VAR system is shown in Figure 6. It can be seen that the system is stable and the impulse response analysis can be performed.

S3.3通过系统的脉冲响应函数,结合多个系统的脉冲响应结果分析模型中筛选特征对于容量的具体影响,某个系统中容量对于放电电压的脉冲响应图如图7所示。根据此结果,可以看出放电电压对于容量的退化的影响虽然较为波动,但基本呈负面影响,因此根据脉冲响应分析结果,放电电压被初步选为对于容量退化具有影响的特征。S3.3 Through the impulse response function of the system, combined with the impulse response results of multiple systems, the specific impact of the screening features in the model on the capacity is analyzed. The impulse response diagram of the capacity to the discharge voltage in a certain system is shown in Figure 7. According to this result, it can be seen that although the influence of discharge voltage on capacity degradation is relatively fluctuating, it is basically negative. Therefore, according to the results of impulse response analysis, discharge voltage is preliminarily selected as the characteristic that has influence on capacity degradation.

S3.4结合锂离子电池内部容量退化的机理解释脉冲响应分析的结果。如对S3.3中的脉冲响应结果分析,本电池的放电截止电压大于最大放电电压(2.75V),电池在每个循环中都处于“过放电”状态。这种运行状态会造成一些负面影响,如电池集电极的腐蚀和活性材料的丢失,这都将导致电池容量的退化。因此,结合脉冲响应结果,放电电压被认为是导致电池容量退化的原因之一。S3.4 Interpret the results of the impulse response analysis in conjunction with the mechanism of internal capacity degradation of Li-ion batteries. For example, according to the analysis of the impulse response results in S3.3, the discharge cut-off voltage of this battery is greater than the maximum discharge voltage (2.75V), and the battery is in an “overdischarged” state in each cycle. This operating state can cause some negative effects, such as corrosion of the battery collector and loss of active materials, which will lead to the degradation of the battery capacity. Therefore, combined with the impulse response results, the discharge voltage is considered to be one of the reasons for the degradation of battery capacity.

S3.5确定最终的因果性特征。在本实施例中,最终充放电温度、放电电压、电流、时间被初步筛选为对于容量退化有影响的特征。S3.5 Determine final causal characteristics. In this embodiment, the final charge-discharge temperature, discharge voltage, current, and time are preliminarily screened as features that have an impact on capacity degradation.

S4.容量估计S4. Capacity estimation

S4.1构建容量预测模型。S4.1 Build a capacity prediction model.

S4.2对数据进行处理,改写数据维度。根据S3,将因果性特征作为预测模型的输入特征,预测电池容量。S4.2 processes the data and rewrites the data dimension. According to S3, the causality feature is used as the input feature of the prediction model to predict the battery capacity.

S4.3得到容量预测结果,某块电池的预测结果如图8(a)和图8(b)所示,图8(a)和图8(b)展示了使用原始特征和因果特征的预测结果及相应的预测误差。可以看到相比于原始特征,使用因果特征的容量预测结果更接近于真实的退化曲线,并且预测误差更接近于0,验证了挑选方法和挑选特征的有效性。与其他方法的对比如下表所示:S4.3 obtains the capacity prediction results. The prediction results of a certain battery are shown in Figure 8(a) and Figure 8(b). Figure 8(a) and Figure 8(b) show the prediction using the original feature and the causal feature. results and the corresponding prediction errors. It can be seen that compared with the original features, the capacity prediction results using causal features are closer to the real degradation curve, and the prediction error is closer to 0, which verifies the effectiveness of the selection method and selected features. The comparison with other methods is shown in the table below:

Figure BDA0003556031360000121
Figure BDA0003556031360000121

其中MAE(mean absolute error),RMSE(root mean square error)为回归预测问题常用的评价指标。m为预测循环次数,Qi和

Figure BDA0003556031360000122
为第i个循环时电池实际容量和预测容量,计算方式如下所示:Among them, MAE (mean absolute error) and RMSE (root mean square error) are commonly used evaluation indicators for regression prediction problems. m is the number of prediction cycles, Qi and
Figure BDA0003556031360000122
is the actual capacity and predicted capacity of the battery at the i-th cycle, and the calculation method is as follows:

Figure BDA0003556031360000123
Figure BDA0003556031360000123

Figure BDA0003556031360000124
Figure BDA0003556031360000124

可以看出,本发明的方法的MAE、RMSE都是最小的,说明了所提方法的有效性。It can be seen that the MAE and RMSE of the method of the present invention are both the smallest, which shows the effectiveness of the proposed method.

Claims (6)

1. A lithium ion battery degradation and capacity prediction model considering causality characteristics is characterized by comprising the following specific steps:
s1, extracting initial characteristics:
firstly, voltage, current, temperature and time data obtained by detection equipment in each charge-discharge cycle process of the battery are recorded as V, I, T, t; then, carrying out primary data processing on the initial data to construct initial characteristics of all cycles of the battery;
s2, battery characteristic screening model:
constructing a characteristic screening system based on a VAR model and a Glankey causal relationship GC test, and screening all initial characteristics of the battery constructed in S1;
s3, a battery characteristic causality analysis model:
obtaining a causal characteristic screening result according to S2, constructing a battery characteristic causal analysis system based on a VAR system and a system Impulse Response Function (IRF), analyzing the influence of the screened characteristics on the battery capacity, namely the specific influence and action mechanism of the characteristics in the battery capacity degradation process, and further verifying the selected causal characteristics of the battery capacity degradation;
and S4, estimating the capacity of the battery.
2. The model of claim 1, wherein the model is for predicting lithium ion battery degradation and capacity based on causal characteristics, and comprises: in step S1, a total of 8 initial signatures, denoted as F1-F8, are constructed by processing the four types of physical data for each cycle, so that the overall signature dimension is 8 × N, where N represents the total number of cycles.
3. The model of claim 1, wherein the model is for predicting lithium ion battery degradation and capacity based on causal characteristics, and comprises: in step S2, the battery capacity is extracted as a target variable, and the characteristics and the capacity are respectively denoted as yiWherein i is 1, 2.
4. The model of claim 1,2 or 3 for predicting lithium ion battery degradation and capacity considering causal characteristics, wherein: in step S2, the method further comprises the following steps:
s2.1: setting all initial characteristics F1-F8 and capacity as endogenous variables, constructing a multivariate VAR (p) system for carrying out Glanker causal relationship test, wherein p represents the VAR model order, and the model is shown as the following formula:
Yt=Bt1Yt-12Yt-1+…+αpYt-p+et
wherein
Figure FDA0003556031350000021
Yt-pRepresents the variable YtA hysteresis value at time t-p; y isi,tRespectively representing 8 characteristics F1-F8 and capacity data at the time t; and alpha, b, e are respectively substitutedThe table represents a weight parameter, a constant term parameter and an error term parameter in the calculation process of the model; the battery capacity is subjected to regression analysis by using the hysteresis value of the capacity and the hysteresis value of the initial characteristic, so that the battery capacity is used for analyzing the influence relationship between the interpretation variable and the target variable and primarily screening the characteristic;
s2.2: carrying out Glangel causal relationship test by taking the capacity as a target variable, and carrying out analysis and verification on the causal relationship between the assumed health factor and the capacity; the GC evaluates how past values of one variable result in another variable; characteristic F1 has a grand causal relationship with capacity if and only if:
f(y9,t|y9,t-k,y1,t-l)≠f(y9,t|y9,t-k)
from the model formula in S2.1, the primary assumption that the feature F1 and capacity have grand causality is:
H0:α19,1=α19,2=…=α19,p=0
h1 having at least one alpha19,iIs not 0
If the original hypothesis is not rejected, y1,tFor y9,tThere is no granger causality, i.e., feature F1 has no predictive power for battery capacity data; otherwise if the original hypothesis is rejected, y1,tFor y9,tThe characteristics F1 have the causality of Glankey, namely the characteristics F1 have the prediction capability on the battery capacity data; the hypothesis test is completed by chi-square test, and the test statistic asymptotically obeys chi2(p);
S2.3: changing the order p, reconstructing a VAR model, repeating the steps S2.1-2.2, and completing all the inspection processes of the single characteristic F1 of the single battery;
s2.4: repeating steps S2.2-2.3 using the other characteristics F2-F8 of the monoblock battery as explanatory variables until all characteristic checks of the battery are completed;
s2.5: repeating the step S2.2-2.4 until all the characteristics of all the batteries are checked;
s2.6: screening by integrating all detection results to obtain a screening result with causal characteristics; and performing GC (gas chromatography) inspection on all the characteristics of the plurality of batteries for multiple times, thereby eliminating the randomness of a single inspection result and a single battery result, increasing the persuasion of a characteristic selection result and enabling the characteristic selection result to have more objectivity.
5. The model of claim 4, wherein the model is used for predicting lithium ion battery degradation and capacity by considering causality characteristics, and comprises: in step S3, the method further comprises the following steps:
s3.1: reconstructing a plurality of multivariable VAR systems according to the preliminary screening results of the characteristics and combined with the detection results in S2, wherein each system is used for analyzing the influence relationship of the battery causal characteristics on the battery capacity degradation;
s3.2: before the characteristic causality of impulse response analysis is carried out, stability inspection needs to be carried out on the constructed VAR model; the test method comprises the following steps:
obtaining k multivariate VAR models by using a multivariate VAR (p) model formula in S2.1, wherein if p is t, t-1, …, t-k + 1; if the block matrix is expressed, let:
Figure FDA0003556031350000041
the k VAR (p) models are written as VAR (1) by friend matrix change, i.e.:
Zt=C+φZt-1t
this model is a characteristic causality analysis model of the battery; y ist8 features F1-F8 representing time t and volume data, Yt-pThen represents the variable YtHysteresis value at time t-p, and Bt、etConstant term parameter and error term parameter, α, of the representative time-t VAR modeljThen, a weight parameter matrix representing the jth var (p) model, where j is 1, 2.., k, E represents an identity matrix; then, in the constructed VAR (1), C and θtA constant term parameter matrix and an error term parameter matrix, Z, respectively representing the analytical modeltAnd Zt-1Then the current and hysteresis values of the selected battery causal characteristic and capacity construction matrix are represented;
for the integrated multivariate VAR model currently constructed, the condition of model stability is the total weight parameter matrix
Figure FDA0003556031350000042
All the eigenvalues of (A) are all within the unit circle, i.e. the eigenequation
Figure FDA0003556031350000043
Is within the unit circle; if the model is unstable, changing the order of the model, and reconstructing a VAR system; if the model is stable, performing impulse response analysis, and analyzing the specific influence of causal characteristics on the battery capacity attenuation;
s3.3: analyzing the specific influence of each causal feature in the model on the capacity through an impulse response function of a battery feature causal analysis system VAR (1) constructed in S3.2; the impulse response function describes the influence on the current value and the future value of an endogenous variable after a standard deviation impact is applied to a random error term, so that the impulse response function is used for analyzing the influence relation of a certain time series variable on another time series variable in time sequence; first obtained from VAR (1):
Figure FDA0003556031350000044
order to
Figure FDA0003556031350000045
Obtaining:
Zt+r=θt+r1θt+r-12θt+r-2+…+ψrθt+...
then there are:
Figure FDA0003556031350000051
wherein Z istAnd Zt+rThen represents electricityValues of the pool causality characteristic and the capacity matrix at t and t + r moments, and theta represents an error item parameter matrix of the model; e represents an identity matrix, L and
Figure FDA0003556031350000052
representing a parameter matrix in the process of model transformation and calculation; psirAn impulse response function representing the causality analysis system model of the whole battery characteristic, wherein the element of the ith row and the jth column is regarded as a function of the lag period number r, and the element represents that other error terms are not changed in any period when the jth variable y isj,tError term e oftAfter receiving a unit of impact at time t, for the ith endogenous variable yi,tThe effect caused during the t + r period; acquiring an impulse response result of the capacity to the selected causal characteristic through an IRF (interference rejection filter) of a battery causal analysis system by taking the battery capacity as a target variable;
s3.4: the interpretability of the characteristics is further enhanced by interpreting the results of the impulse response analysis in conjunction with the mechanism of internal capacity degradation in the lithium ion battery.
6. The model of claim 5, wherein the model is used for predicting lithium ion battery degradation and capacity by considering causality characteristics, and comprises: in step S4, the method further comprises the following steps:
s4.1: constructing a capacity prediction model; constructing a stacked LSTM network for capacity prediction; the network architecture has multiple levels: an input layer, an LSTM layer, a Dropout layer, a Dense layer and an output layer; the input layer is responsible for receiving input data and converting the data into a format acceptable by the LSTM layer, and a sliding window technology with a 'many-to-one' structure is used in the input layer, so that the output and the input of a network are related at a plurality of moments, and the time information of a sequence is learned; the LSTM layer is responsible for learning characteristic information of data transmitted by the input layer and the nonlinear relation between the information and a prediction variable; the Dropout layer is responsible for carrying out random inactivation treatment on the neurons of the LSTM layer, and the phenomenon that the model is over-fitted to reduce the prediction effect is prevented; the Dense layer is responsible for carrying out dimension transformation on output data of the LSTM layer-Dropout layer; finally, an output layer receives the transformed data of the Dense layer and outputs a prediction result, wherein the output of the network is the predicted capacity of the corresponding life cycle of the battery;
s4.2: according to step S3, the battery capacity is predicted using the LSTM prediction model constructed in S4.1, with the determined causal characteristics as input data; firstly, converting input data into a format which is suitable for an LSTM layer to be accepted by an input layer through a sliding window technology; secondly, learning characteristic information of data transmitted by an input layer on an LSTM layer, and keeping weight parameters of the LSTM layer; then, discarding a part of the calculation results of the LSTM neurons by using Dropout technology in a Dropout layer; then, carrying out dimension reduction on the output result of the LSTM layer subjected to Dropout processing in the Dense layer, and transmitting the conversion result to the output layer; finally, the output layer outputs the capacity prediction result
Figure FDA0003556031350000061
S4.3: and obtaining a capacity prediction result.
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CN115201684A (en) * 2022-07-11 2022-10-18 徐州市恒源电器有限公司 Method for evaluating service life of lithium ion battery in different degradation modes
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