966 IEEE TRANSACTIONS ON SMART GRID, VOL. 5, NO.

2, MARCH 2014

An SOC-Based Battery Management

System for Microgrids
Zhixin Miao, Senior Member, IEEE, Ling Xu, Student Member, IEEE, Vahid R. Disfani, Student Member, IEEE,
and Lingling Fan, Senior Member, IEEE

Abstract—This paper investigates modeling and control of a bat- of battery and active power requirement by the microgrid, a bat-
tery management system used in a microgrid for both grid-con- tery may operate at either charging or discharging conditions.
nected and autonomous modes. The paper has three salient con-
tributions: 1) An aggregated battery circuit model with the open The VSC connected between the battery and the microgrid reg-
circuit voltage as a nonlinear function of the state of the charge ulates power flow only. In [12] and [13], applications of battery
(SOC) is derived and modeled in PSCAD. 2) Closed-loop feedback energy storage systems in grid power balance at grid-connected
control strategies of the battery system are developed for the mi-
crogrid under both operation modes. At the grid-connected mode, modes are demonstrated.
power control is employed while at the autonomous mode, voltage An ideal dc voltage source is assumed for a battery in [6]–[8].
and frequency control is employed for the battery to act as a syn- In reality, a battery has operation limits. For example, the SOC
chronous generator by providing voltage and frequency support. 3)
An upper level SOC based management system is also developed. cannot be lower than a threshold; the depth of discharge (DOD)
Since SOC cannot be directly measured, an estimation scheme is may affect the life time of a battery [11]. Therefore, there is a
derived based on power and voltage measurements from the bat- need to model a battery accurately and develop control strate-
tery. The overall management system is demonstrated to be effec-
tive by six case studies at different microgrid operation modes. gies based on the comprehensive battery model with battery
Index Terms—Battery management system, battery model, en-
status information collected.
ergy storage systems (ESS), Li-ion battery, state of charge (SOC). Detailed battery models have been developed in the literature.
In [14], a battery model is described by partial differential equa-
tions. [2] adopted the same model to simulate a wind farm with
I. INTRODUCTION a Lead-acid battery system. A Li-ion battery has been a suitable

M ICROGRID IS an important technology to integrate

distributed energy resources, including wind turbines,
solar photovoltaic panels, and energy storage devices such
choice for high power application due to breakthroughs on ma-
terials [11]. Reference [15] describes a detailed Li-ion battery
model with parameters and has verified the validity through ex-
as battery [1]–[5]. Renewable energy resources have varying periments. Though the battery studied in [15] is for a low voltage
output power. In addition, energy price and load level are level, serial and parallel connections could make a high voltage
varying. To economically operate a microgrid, the central con- and high power battery matrix possible, which could be used in
troller will dispatch controllable distributed energy resources power system [16].
including batteries. The objective of this paper is to develop control strategies
A microgrid can either operate at the grid connected or au- for a battery system to improve operation of a microgrid. The
tonomous modes [6], [7] when the grid is suffering blackouts. At battery management system (BMS) proposed in the paper is
autonomous modes, voltage and frequency should be supported demonstrated to be capable of follow any active/reactive power
by a microgrid itself, usually through synchronous generators. order announced by the microgrid central controller. On the
For a microgrid without synchronous generators, the system other hand, the BMS must consider the SOC of the battery to
voltage and frequency would be difficult to maintain without the prevent significant damages due to excessive charge. The BMS
support of the ac grid. One solution is to use a voltage source is also expected to change its mode to the appropriate one con-
converter (VSC) interfaced energy sources to provide voltage sidering the value of SOC and the signal of islanding provided
and frequency control [8]. In [8]–[10], battery systems are em- by the central controller. An aggregated battery model suitable
ployed to restore system voltage and frequency quickly (sev- for high power application will be derived base on the cell model
eral cycles). In practice, applications of battery storage system presented in [15]. A comprehensive model for a microgrid, with
for grid frequency regulation have been deployed [11] with the a battery system, an induction machine and passive loads will
maximum capacity of 20 MW. be built in PSCAD/EMTDC. Control strategies will be devel-
At grid-connected modes, VSCs of battery systems can work oped and verified through simulation studies.
at power control mode. Depending on the state of charge (SOC) The paper is organized as follows. In Section II, the aggre-
gated battery model is derived. Next, SOC-based BMS and
its components will be introduced in Section III. Section IV
Manuscript received February 11, 2013; revised July 01, 2013; accepted July
31, 2013. Date of publication October 11, 2013; date of current version February presents case studies to demonstrate the effectiveness of the
14, 2014. Paper no. TSG-00098-2013. BMS. Section V concludes the paper.
The authors are with the Department of Electrical Engineering, University of
South Florida, Tampa, FL 33620 USA (e-mail: [email protected]; [email protected].
edu; [email protected]; [email protected]). II. BATTERY MODEL
Color versions of one or more of the figures in this paper are available online
at http://ieeexplore.ieee.org. An accurate electrical battery cell model is represented in [15]
Digital Object Identifier 10.1109/TSG.2013.2279638 for 4.1-V, 850-mAh TCL PL-383562 Li-ion batteries. In this

1949-3053 © 2013 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
MIAO et al.: AN SOC-BASED BATTERY MANAGEMENT SYSTEM FOR MICROGRIDS 967

Fig. 1. Aggregation of battery cells to create a battery module.

Fig. 2. Equivalent circuit of a battery branch created by N series-connected

battery cells.

Fig. 4. Proposed BMS configuration.

current flowing through the module is times greater than

the current in battery branches and battery cells. Therefore,
the current-controlled current source located in left part of the
Fig. 3. Equivalent circuit of a battery module containing M parallel battery equivalent circuit must be modified. Due to parallel connection
branches.
of branches to create battery module, the values of resistors
and capacitors are changed compared to those in battery branch
paper, an aggregated model based on the cell model presented in equivalent circuit. All these modifications are illustrated in
[15] will be developed. Fig. 1 illustrates how series and parallel Fig. 3.
connections of battery cells create battery branches and battery The model developed in this paper for the battery module ag-
module. Note that a battery module consists of branches and gregated from the battery cells has been simulated and tested
each branch consists of cells. via PSCAD/EMTDC and the results have demonstrated the ac-
curacy of model represented.
A. Battery Branch Model
A branch is formed by connecting battery cells in series III. SOC-BASED BATTERY MANAGEMENT SYSTEM
together in order to increase the voltage of the battery. Since
the current flowing through the battery branch equals to that The management system proposed in this paper is a hi-
of the battery cells due to their series connection, it is correct erarchical control system containing three modules named
to assume that the left part of the equivalent circuit of battery SOC computation module, battery mode identification system
branch and battery cell are exactly the same. On the right part (BMIS), and closed-loop feedback controller (CLFC). The
of equivalent circuit, it is obvious that the branch voltage is function of BMIS is to determine the appropriate reference
times greater than the voltage of a battery cell, so the value of values as well as the mode in which the battery be operated
of the branch is times greater than that of a battery cell. considering SOC. Fig. 4 shows the configuration of proposed
Moreover, as the resistors and capacitors of the battery cells are battery management system. The BMS receives power order
connected in series, we can replace them with their equivalent and microgrid connection status from the upper operation
values. Fig. 2 depicts the equivalent circuit describing the model center. The BMS also receives measurements from the battery
of a battery branch. to compute SOC. SOC is passed to BMIS to decide if limits
are reached and which action should be taken. The BMIS then
B. Battery Module Model passes the decision making to the closed-loop feedback control
The next step for aggregation of battery cells to create a system which generates PWM gate signals to the converters.
battery module is to connect battery modules in parallel
A. SOC Computation Module
in order to increase the size of battery. In parallel connection
of battery branches, the voltage across the battery module SOC is a measure of the amount of charge stored in a battery,
is equal to the voltage of branches. On the other hand, the which can be expressed as the percentage of the capacity of the
968 IEEE TRANSACTIONS ON SMART GRID, VOL. 5, NO. 2, MARCH 2014

battery and shows energy is left in an energy storage system.

The responsibility of SOC computation module is to obtain the
SOC based on the battery measurements. This signal is used by
BMS to decide accurately about the operation modes and refer-
ence signals. BMS also frequently sends the signal of SOC to
microgrid control center (MGCC) or in response to its inquiry
to inform it how much energy is already stored in the battery,
which enables MGCC to use this signal in its optimization pro-
cedures. An SOC computation method using coulomb counting
technique is employed by the BMS. Since the charge stored in
a battery is integration of the current injected to the battery, we
have:

(1)

where

(2)

where and are the charge stored in,

current and power injected to, and dc-link voltage of the battery
module, respectively.
SOC can be derived by (3) where identifies battery
Fig. 5. Functions of battery mode identification system.
size in kWh.

(3)

B. Battery Mode Identification System

Based on SOC and the islanding status of microgrid, BMIS
determines the appropriate battery operation mode. Three
modes of operation are defined in the BMS proposed in this
paper: a) grid-connected discharging mode or PQ control mode,
b) grid-connected charging mode, and c) islanding mode or VF
control mode. As shown in Fig. 5, in case that the microgrid
is connected to the main grid, MGCC expects the battery to
follow the power orders dictated to BMS. BMS follows the
power order as long as the SOC is greater than its minimum
limit. Otherwise, the battery must be charged via injecting a Fig. 6. BMS power control loop.
predetermined power to the battery and its mode changes to
the charging mode until the SOC meets its maximum limit. In
order to make sure that SOC never meets 100%, a function is mode to discharging or charging mode according to the value of
applied to reduce the power injected to the battery when SOC SOC.
is more than 90% (4); otherwise charging current is equal to its
predetermined value. C. Closed Loop Feedback Controller (CLFC)

% The main objective of the closed loop feedback controller is

(4) to control VSC in order to achieve the goals defined by BMIS.
Two different control systems realize microgrid expectations:
As sudden changes in the current injected to the battery likely power control and voltage-frequency control loops. According
cause damages to the battery, increasing and decreasing ramp to BMIS output, CLFC enables either power control loop or
rates are considered to determine the reference values. After voltage-frequency control loop.
the battery gets charged, the battery will go back to discharging 1) Power Control Loop: The power control loop gets en-
mode. On the other hand, when the microgrid is disconnected abled when the battery control is in grid-connected or charging
from the main grid (islanding mode), microgrid management mode and its duty is to regulate the active and reactive power
expects the battery to participate in voltage and frequency reg- output from the battery/converter to the microgrid. The CLFC
ulation process. In this case, BMS changes the operation mode proposed is also capable to regulate dc- and ac-link voltages.
of the battery to islanding mode as long as the SOC does not ex- Fig. 6 depicts the power control loop with the capability of
ceed its limits. Fig. 5 also illustrates how BMS works when the switching to ac- and dc- link voltage regulating mode. More-
microgrid is in islanding mode. As soon as the microgrid con- over, to realize the control loops a decoupled d-q direct current
nects again to the main grid, BMS changes the battery control control strategy developed in [17], [18] is utilized.
MIAO et al.: AN SOC-BASED BATTERY MANAGEMENT SYSTEM FOR MICROGRIDS 969

Fig. 7. BMS voltage and frequency control loop.

Variables in the abc system in the above circuits can be trans-

formed into a synchronous reference frame. The voltage and
current relationship is shown in (5), where is the angular fre- Fig. 8. Test microgrid including a battery system and induction machine.
quency of ac system, , and represent the and
components of the point of common coupling (PCC) voltage TABLE I
( )and VSC output voltage( ), respec- POWER SYSTEM PARAMETERS
tively, and and represent the and components of the
current flowing between the ac system and the VSC.

(5)

DC voltage control is based on the balance of active power

flow between the battery and the main grid as shown in (6).
Apparently, the dc voltage can be regulated by the d axis current
through a PI controller. IV. CASE STUDY

In order to investigate the responses of the behavior of Battery

Management System, six case studies are conducted through
(6) PSCAD/EMTDC. The first two cases are designed to demon-
strate that BMIS is capable to identify the most appropriate
mode of operation as well as accurate signal references while the
2) Voltage and Frequency Control Loop: The voltage-fre-
battery is fully discharged and completely charged, respectively.
quency control loop, as illustrated in Fig. 7, is enabled in the
The third case study demonstrates how battery contributes in
mode of islanding and regulated the ac Voltage and frequency
primary frequency regulation while it is connected to the main
of point of common coupling (PCC) on their nominal values
grid. In the fourth case study the microgrid is disconnected from
since there is no synchronous generator to do so. Despite the fact
the main grid. Battery is expected to be able to maintain the
that the basic control principles used in this paper are generally
voltage and frequency during islanding mode even if the de-
based on the decoupled current control represented in [7], [19],
mand or generation of the power network changes. The fifth case
(5) can be rewritten as (7) in steady-state study of the system
study is conducted to study the capability of the BMS during
where the resistance R is neglected [9], [10]:
the islanding mode while microgrid demand and/or generation
vary. The sixth case study is also designated to show how BMS
(7) operates when the battery gets completely discharged during is-
landing mode.

PI controllers can be used to control the and axis com-

ponents of the PCC voltage respectively. Fig. 7 depicts the fre- A. System Topology
quency-voltage control loop. The PCC three-phase voltage is
measured and transformed into a reference frame ( and A microgrid consisting of a 1-MW induction machine con-
). Three-phase current flowing between the loads and the in- nected to a 210-kWh battery module is considered as shown
verter is measured and transformed to and . With the com- in Fig. 8 with the power system parameters listed in Table I in
parisons of the voltages to their respective references, the details. The battery module is an aggregation of 60 000 pieces
resulting errors are sent to the PI controllers to generate the re- of 4.1-V, 850-mAh TCL PL-383562 Li-ion battery cells intro-
quired output voltage of the VSC. duced in [15] and its characteristics are presented in Table II.
The frequency of the ac voltage which supplies passive loads The parameters corresponding to the induction machine are also
is also controlled by the VSC. An internal oscillator is used to shown in Table III. The microgrid is connected to a strong ac
generate the angle , which is used as the input of to grid via a 69/13.8 kV transformer. A 13.8 kV distribution line
transformation and ensures the frequency of output voltage is based on the IEEE Standard 399-1997 [21] is also included in
kept at 60 Hz if PWM scheme applied [20]. the model.
970 IEEE TRANSACTIONS ON SMART GRID, VOL. 5, NO. 2, MARCH 2014

TABLE II
BATTERY CHARACTERISTICS

TABLE III
INDUCTION MACHINE PARAMETERS

Fig. 9. Case Study 1: (a) SOC; (b) ; (c) active power reference (dashed)
and actual active power delivered to microgrid (solid); (d) reactive power de-
livered to microgrid; (e) battery dc power output.

B. Grid-Connected Mode
To evaluate the capability of battery management system in
identification of the operation modes and its contribution in pri-
mary frequency regulation, three case studies are designed. In
these case studies, battery is ordered to deliver active and reac-
tive power as much as 500 kW and 1 MVar to the microgrid,
respectively.
1) Case Study 1: According to the Fig. 9, the simulation
starts when the SOC of the battery is 13%. SOC meets its min-
imum limit (5%) at sec. Consequently, BMIS turns
the operation mode from discharging mode to charging mode
in order to prevent the battery against depth of discharge dam-
ages. BMIS also changes the operation mode from discharging
mode to charging mode and the active power reference toward
predefined charging power (840 kW) respect to the decreasing
ramp rate (210 kW/s). After 7 seconds, the reference power be-
comes constant and the battery absorbs 840 kW active power
from the microgrid. An increase in SOC demonstrates that the
battery is getting charged. Fig. 9 also illustrates that the simu-
lation results exactly matches the computed SOC. The re-
active power output of the battery is regulated on the ordered Fig. 10. Case Study 1: (a) battery dc current; (b) dc voltage link; (c) PCC ac
value (1 MVar) and the dc power output follows the variations voltage; (d) current d-axis; (e) current q-axis.
of ac active power delivered to the microgrid. Fig. 10 presents
the output current and voltage of the battery, the PCC voltage power order by applying a ramp until it reaches 500 kW after
and the -axis currents from the converter. 4 seconds. The CLFC completely follows the power order
2) Case Study 2: In this case study, transition from the produced by BMIS, and keeps the reactive power output at 1
charging mode to the discharging mode is examined. Fig. 11 MVar.
presents the simulation results. At the starting time, the SOC is 3) Case Study 3: This case study is designated to show how
equal to 90.18%. After 44.72 seconds, as soon as the battery the battery contributes in frequency regulation when the micro-
charge exceeds 95% of its full capacity, BMIS changes the grid is connected to the main grid. A droop equal to 3% is as-
operation mode to discharging mode. It also changes the active sumed for the battery system and added to modify the reference
MIAO et al.: AN SOC-BASED BATTERY MANAGEMENT SYSTEM FOR MICROGRIDS 971

Fig. 11. Case Study 2: (a) SOC; (b) active power reference; (c) active power
delivered to microgrid; (d) reactive power delivered to microgrid.
Fig. 13. Case Study 4: Islanding transient: (a) microgrid frequency; (b) active
power output of the battery; (c) SOC; (d) ac voltage of PCC; (e) reactive power
output of the battery.

C. Autonomous Mode
In the next three case studies, the capabilities of the BMS
is examined in islanding mode. When the microgrid is discon-
nected from the main grid, BMIS is expected to change the bat-
tery operation mode to islanding mode in order for the CLFC
to regulate frequency and ac voltage of the microgrid. BMS is
also expected to provide a smooth transition from the grid con-
nected mode to the islanding mode. During the transient period,
the battery is expected to provide voltage and frequency sup-
port quickly. Hence, the charging and discharging rate limits
imposed in Case Study 1 and 2 are ignored.
1) Case Study 4: In this case study, the microgrid is discon-
nected from the main grid. The battery is almost completely
charged. Transients are observed during the transition period.
Fig. 13 illustrates how the microgrid frequency is regulated back
Fig. 12. Case Study 3: (a) Microgrid frequency; (b) active power delivered to to 60 Hz within less than 0.5 second. The mechanical torque
microgrid; (c) SOC; (d) PCC ac voltage; (e) reactive power delivered to micro- of the induction generator is fixed and it is under speed con-
grid. trol. Therefore, the battery is required to provide power balance
for the isolated system. It is shown that the battery increases its
active power. Since the primary frequency regulation requires output power from 0 kW to 600 kW. The PCC voltage expe-
fast response, the charging and discharging rate limits imposed riences a 0.1-pu drop once the islanding happens according to
in the previous case studies are not imposed in this case study. Fig. 13. Afterward, battery operation adjust the ac voltage to 1
The main grid is modeled as a voltage source with controllable pu in less than 0.5 second by injecting 2-MVar reactive power
frequency. The frequency of the microgrid drops to 59.5 Hz at to the microgrid. Fig. 14 presents the behavior of the induction
s, jumps to 60.5 Hz at sec, and comes back to generator. The mechanical speed comes back to 1.013 pu within
60 Hz after 5 seconds. Fig. 12 illustrates the battery adjust the one second while the torque takes 8 seconds to settle back to
active power output to take part in primary frequency control. pu. Note there is no change in steady-state power output
As soon as the frequency falls, the battery increases its active from the induction generator.
power delivery by kW. 2) Case Study 5: This case study examines how resilient the
The active power output of the battery reduces in response to battery-integrated microgrid is to respond a loss in generation
the frequency increase at sec, and settles back on its or demand during islanding operation. Load 1 which absorbs
original value when frequency gets 60 Hz again. No change oc- active and reactive powers equal to 550 kW and 550 kVar is
curs in the reactive power output of the battery and PCC voltage disconnected from the microgrid at 30th second of simulation
of the microgrid. and reconnects after 10 seconds. Fig. 15 presents the voltage
972 IEEE TRANSACTIONS ON SMART GRID, VOL. 5, NO. 2, MARCH 2014

Fig. 14. Case Study 4: Induction generator behavior during the islanding tran-
sient: (a) mechanical torque; (b) mechanical speed; (c) active power output of
the IG; (d) reactive power output of the IG.

Fig. 16. Case Study 6: Minimum SOC limit reached in the islanding mode: (a)
SOC; (b) microgrid frequency; (c) active power output of battery; (d) battery
switch status; (e) ac voltage of PCC; (f) reactive power output of battery.

Fig. 15. Case Study 5: Load loss in the islanding mode: (a) microgrid fre-
quency; (b) active power output of battery; (c) ac voltage of PCC; (d) reactive
power output of battery.

and frequency of the microgrid during these events and demon-

strates that BMS is capable to balance power in a grid using
voltage/frequency control. As expected, the active and reactive
power outputs of the battery reduce by approximately 600 kW Fig. 17. Case 6: Minimum SOC limit reached in the islanding mode. Induc-
and 600 kVar to adjust the frequency and ac voltage. tion generator behavior: (a) mechanical torque; (b) mechanical speed; (c) active
power output; (d) reactive power output.
3) Case Study 6: In this case study, it is assumed that the
islanding operation of the battery has taken such a long time
that the SOC is reaching its minimum limit. In this situation the As illustrated in Fig. 16, since there is no source to regulate the
BMS is expected to disconnect the battery from the microgrid to voltage and frequency of the microgrid, the voltage collapses.
prevent the battery from serious DOD damages. The simulation Fig. 17 demonstrates that the mechanical torque of induction
starts from SOC equal to 5.9% which meets its minimum limit generator as well as its active and reactive power fall down to
after 2.5 seconds. At this point, the battery is disconnected from zero after some fluctuations due to dynamic characteristics of
the microgrid and its active and reactive power changes to zero. the induction machine.
MIAO et al.: AN SOC-BASED BATTERY MANAGEMENT SYSTEM FOR MICROGRIDS 973

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TABLE V
PI CONTROLLER PARAMETERS OF FIG. 7

Zhixin Miao (S’00–M’03–SM’09) received the B.S.E.E. degree from the

Huazhong University of Science and Technology, Wuhan, China, in 1992, the
M.S.E.E. degree from the Graduate School, Nanjing Automation Research In-
stitute, Nanjing, China, in 1997, and the Ph.D. degree in electrical engineering
from West Virginia University, Morgantown, WV, USA, in 2002.
REFERENCES Currently, he is with the University of South Florida (USF), Tampa, FL, USA.
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coupled distributed resource unit subsequent to an islanding event,” tively, and the Ph.D. degree in electrical engineering from the University of West
IEEE Trans. Power Del., vol. 23, no. 1, pp. 493–501, Jan. 2008. Virginia, Morgantown, WV, USA, in 2001.
[9] G. Li, M. Yin, M. Zhou, and C. Zhao, “Modeling of VSC-HVDC and She is an Associate Professor at the University of South Florida, Tampa, FL,
control strategies for supplying both active and passive systems,” in USA. She was a Senior Engineer in the Transmission Asset Management De-
Proc. IEEE Power Eng. Soc. Gen. Meet., 2006. partment in Midwest ISO, St. Paul, MN, USA, (2001–2007) and an Assistant
[10] H. Chen, “Research on the control strategy of VSC based HVDC Professor at North Dakota State University, USA (2007–2009). Her research
system supplying passive network,” in Proc. IEEE Power Energy Soc. interests include control and optimization with applications in wind energy sys-
Gen. Meet., Jul. 2009, pp. 1–4. tems, HVDC systems, and phasor measurement unit based system identification.