Battery Management System (BMS)

Design for Lithium-ion Batteries,

A Holistic Approach

holistic, adjective, \hō-ˈlis-tik\

Merriam-Webster Dictionary: relating to or concerned with wholes or
with complete systems rather than with the analysis of, treatment of,
or dissection into parts

Tom Hoeger
Advanced Power & Energy Group, NSWC-Carderock
Code 636 Contractor: Spectrum Technology Group, Inc.

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 DISCLAIMER AND LIMITATION

• This presentation is based on numerous years of experience in commercial,

aerospace and governmental support designing, constructing, and trouble-
shooting battery systems for Navy, Aerospace and Commercial Systems
and represents the authors understanding of best, preferred and
recommended practices, in the authors technical opinion.
• All images used in the presentation are taken from numerous open
literature sources (web-access), are used for education and illustration
purposes. Use of an image, diagram or manufacturer's product does not
represent endorsement of, or negative opinion of, any design, configuration
or manufacturer image presented.
• The material contained in this presentation does not represent any official
change to Navy Policy, or Navy direction for lithium battery system
designs, their test and diagnostics.
• Nothing in this presentation shall be construed or interpreted as official
contractual direction or any requirement to make constructive change to
deliverables or tasking for current or planned contracts. Only the
authorized contracting official for your contract may authorize changes.

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 Agenda

• Introduction
• Definitions
• What is a Battery Management System
• Requirements
• Design Process
• Verification
• Observations & Lessons Learned
• Conclusion

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 Introduction

• Due to the benefits of higher specific energy (Wh/kg), energy density (Wh/L)
and specific power (W/kg), there has been a vast proliferation in the use of
lithium-ion secondary batteries across all industries – consumer, industrial,
medical and military/aerospace & defense

• With the improvements in power and energy come safety issues not usually
observed with many prior mainstream secondary battery technologies
– Prior technologies were aqueous based electrolytes which do not burn
– Organics found in Li+ batteries burn
– Therefore while fire, smoke and the rare case of spontaneous disassembly were
observed in these prior tech’s (PbAc, NiCd, AgZn, NiMH, etc.) the effects are
greater with Li+ batteries

• While significant, important work is being performed to identify inherently

safer cells, lithium-ion secondary batteries are already here and in widespread
use

• The purpose of this presentation is to provide the battery designer and

procuring agent with the knowledge necessary to arrive at a safe and cost
effective lithium-ion battery solution that meets its intended requirements
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 What’s the Problem?

• There is currently no clear and precise definition for what constitutes a Battery
Management System (BMS) for lithium-ion batteries that is universally accepted by
all stakeholders, including developers, manufacturers, integrators and users

• The definitions that do exist, such as the one provided by S9310, are generic, overly
simplistic and imply that there is some one, grand BMS design (although scalable)
that can be used for all lithium-ion batteries

• Consequences are numerous, some of which are:

– Multiple and often inconsistent BMS interpretations
– Inconsistent, missing and/or conflicting requirements for batteries, BMS’s and systems using
batteries
– Ineffective battery, BMS and system designs
 Do not fully meet the requirements
 Overly complex or too simple
– Point / single application designs
– Cost increases at all levels and phases
 Battery cell, battery assembly through system level
 Design, validation and test for both performance and safety
– Longer than necessary development time
– Increased training for users

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 Terms and Definitions

• Why do we need precise and consistent definitions?

ANSWER: To avoid confusion, add consistency across platforms, reduce complexity,
increase safety and ultimately, reduce cost

Term Definition

Battery Cell or Cell The basic electrochemical unit providing a source of electrical energy by direct conversion of
chemical energy.1

Battery or Battery One or more electrochemical cells, electrically connected in series/parallel arrangements to
Assembly provide the required operating voltage and current levels, including, if any, monitors, controls and
other ancillary components (e.g., fuses, diodes), case, terminals, and markings.1

System Group of devices comprised of multiple components, hardware and software one of which may
be a battery.

State of Health A measure of a battery (cell or battery pack) to store and deliver electrical energy, compared to
(SOH) its ideal conditions. The units of SOH are percent points with 100% = the battery’s conditions
match the battery’s specifications). There is no universal definition of SOH

State of Charge The relative available capacity (%) in a battery.

(SOC, %)

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 NAVY Definition of Battery Management System

• NAVSEA S9310-AQ-SAF-010, Navy Lithium Battery Safety Program Responsibilities

and Procedures
– Appendix A-1, Definitions. Battery Management System (BMS) – An electronic system
designed for a secondary (rechargeable) battery that monitors the charging cycle to protect the
individual cells of a battery from overcharging. A BMS may also be used to control/monitor
discharge of individual cells in either a primary (non-rechargeable) or secondary (rechargeable)
battery. Also known as Battery Monitoring Systems.
– 4-4.4 BATTERY MANAGEMENT SYSTEM (BMS). Large form rechargeable batteries
must use a battery management system that provides access to information on the
performance, cycle-count, age, and condition of the battery. This BMS may be integral to
the battery and include the protections of paragraph 4-4.2 and 4-4.3 above, or the BMS may be
an interface to the system the battery is installed in. These guidelines are also recommended for
smaller batteries.
– 4-4.2 CELL-TO-CELL BALANCING MECHANISMS. During charging, differences in
individual cells may lead to differing voltages in cell groups. Some cells may be undercharged,
with a result of decrease in the overall battery capacity. Conversely, some cells may be
overcharged, with the result of cell damage, shortening of life cycle, or the creation of safety
issues. In order to achieve a uniform state of charge, consideration shall be given to
including a cell-to-cell balancing mechanisms for use during battery charging systems.
– 4.4.3 OVERVOLTAGE PROTECTION. Rechargeable batteries shall have integrated
overvoltage (over-charge) protection. These protections must disconnect the battery from
the charging source. Disconnect must be automatic and not require operator action.
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 BMS - Benefits of a Clear Definition

• Reduced nonrecurring cost, those associated with the design and

validation of batteries and battery systems
• Reduced battery and system development time
• Standardize interfaces to promote cross compatibility of batteries and
equipment expected to reduce recurring costs through
– Increased production of fewer types of batteries
– “Black box” designs fostering competition between multiple suppliers
• Reduce burden on users
• INCREASED SAFETY!!!
– Identification of appropriate safety concerns/features
– Elimination of failure modes introduced by unnecessary features
• In order to truly realize these benefits one must understand and define the
functions and components of a BMS
– Functions are what it needs to do
– Components are the physical or tangible parts and pieces
– A specific function may require multiple components
– Similarly, a single component may be capable of performing multiple functions
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 What are the Functions of a BMS

• Charge and discharge control

• Control of power interface(s)
• Provide telemetry from battery and/ battery cells such as
- Voltage - Pressure - SOC
- Current - Operational status - SOH
- Temperature - Failure status - Fault History
• Fault protection (fault tolerance and/or redundancy)
- Overvoltage - Current Limiting - Leakage
- Overcharge - Over-temperature - Chassis Shorts
- Over-discharge - Over-pressure
• Cell Balancing
• Safety features
• Provide communication interface(s)
• Store performance data
• Monitor battery performance
• Determine battery state of health (SOH)

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 What Components Might Comprise a BMS

• The components comprising a BMS are determined largely by the battery

capacity and required functions.
– Comprehensive system design is absolutely critical for large batteries and complex
point designs
– Safety considerations generally become more of a factor as the size of a battery
increases in terms of capacity and output voltage
• Obvious components
– Electronics
– Software/Firmware
• The not so obvious
– Battery cell
 Chemistry
 Internal safety features
 Package Configuration and Format
– Mechanical and electrical interfaces (internal and external)
– Physical packaging of the battery assembly
– System using the battery
– Mechanical and packaging considerations typically overlooked
– Storage

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 Requirements! Requirements! Requirements!

• Where does the design process start?

Answer: With the requirements of course!
• Requirements are the vehicle through which specifications are communicated
• The responsibility for establishing and maintaining requirements belongs primarily
to the “procuring agent” and not the “producer” (i.e. top → down)
• Requirements should be comprehensive, reasonable, realistic, clear and precise to
assure arriving at a useable, cost effective product in a reasonable period of time
• Requirements Flow
– The top → down flow of requirements should be maintained to the greatest extent possible.
– There will almost always be some bottom → up flow of requirements, particularly during early
phases of development
 When these instances arise, they should be brought to the attention of the necessary upper
level agent(s) for adjudication as quickly as possible
 Implementation of these requirements should only occur after agreement has been reached
with the appropriate upper level agent(s)
– Failure to adhere to these simple rules of thumb often leads to unnecessary and unplanned
redesign which in turn increases cost and schedule
• Requirements must be verifiable by at least one (preferably two or more) of the
following methods:
– Analysis
– Inspection
– Test If a requirement can’t be verified it doesn’t belong!!!

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 Things to Remember Regarding Requirements

• All requirements are NOT created equal!

– Establishing a hierarchy of the requirements can be very beneficial.
– Recommended ranking criteria for requirements.
 Safety
 Performance (ex. capacity, voltage range, etc.)
 Cost
 Bells & Whistles
• Not all functions are necessary or required (ex. cell balancing)
• Most requirements can be met through multiple implementations. When
multiple options exist, determine which makes the most sense based on
cost, safety, reliability, maintenance, manufacturing, etc.
• Not all requirements need to be achieved within the battery.
– Battery charger
– Cell balancing circuitry
• “Better is the enemy of good enough!” - attributed to Voltaire
“Learn it. Know it. Live it!” - Fast Times at Ridgemont High

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 Requirements Wheel

• Battery requirements fall into • Battery requirements address

three basic categories three basic states of hardware
– Electrical – Storage
 Voltage, current, power,
energy, etc. – Active / in use
 Fault tolerance & redundancy – Transportation
 State of Health (SOH)
 Electrical interfaces
– Mechanical
 Physical dimensions /
envelope
 Thermal Performance
 Mechanical Interfaces
 Environmental Constraints
– Safety
 Human
 Environmental
 System
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 BMS Design Considerations

• Identify the functions required of the BMS requirements

– Safety
– Performance
– Cost (recurring, nonrecurring, maintenance, repair, etc.)
• Identify failure modes at cell and battery assembly levels.
• Determine level(s) at which these functions or features can or will be
implemented (cell, battery assembly or system)
• Define interface requirements
– Electrical
– Mechanical / Thermal
• Determine whether standard battery formats (18650, prismatic, pouch, etc.) are
viable or whether a custom approach is necessary
• Generate a requirements matrix and reference it early and often, aggressively
and track changes!
• Recognize up front that this will be an iterative process!
– 1080 Design Process, expect at least 3 iterations
– Hold peer reviews early, starting at the conceptual phase
– Reassess continually but not to the point of paralysis

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 Trade Studies

• Battery Cells
– Energy vs Power
– Chemistry
– Small vs large format
– Internal safety features
• Cell configuration
– Series vs parallel
– Strings vs matrix
• Smart vs dumb
• Charge Management Method
• Hardware vs software
• Fault tolerance/redundancy
• Failure mitigation techniques
– Battery cell vs battery assembly
• Recurring vs nonrecurring cost
• Cost vs performance/complexity
• Complexity vs reliability
• Cross compatibility

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 Design Verification

• Analysis
– Electrical Worst Case Analysis (circuit performance)
– Electrical, Electronic and Electro-mechanical Parts Stress Analysis
– Fault Tree Analysis (FTA)
– Failure Mode Effects and Criticality Analysis (FMECA)
– Thermal Analysis
– Mechanical Stress Analysis
– Software verification
• Inspection
– Parts
– Workmanship
– Processes
• Test
– Electrical Performance
– Mechanical & Environmental Performance
– Safety
– Software

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 Lessons Learned & Observations - Requirements

• Existing standards do not adequately define safety requirements for

batteries
• Specifications written stipulating implementations, goals and/or
“desirements” instead of hard & fast requirements
• Loopholes and conflicting requirements in existing standards
• Requirements not adequately developed by users / lack of adequate systems
engineering
• Excessive supplier driven requirements (bottom → up instead of top →
down flow)
• Beware calls for “graceful degradation”
– The gradual decrease in battery capacity over life and cycling is and example
of graceful degradation
– The ability of a battery or system to continue to operate after suffering a failure
is an example of fault tolerance

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 Lessons Learned & Observations - Design

• Understanding failure modes and hazards of all components is

essential to producing a safe battery design
• Lack of systems engineering
• Trade studies lack quality or are missing all together (lacking objectivity)
• Inadequate design/peer review
– Improper or missing skill sets
– Insufficient experience
– Reviews held too late in design process
• All too often a design starts with a specific component, particularly a
specific battery cell (solution looking for a problem)
• Overly complex designs leading to poor/reduced reliability and single use
designs
• Poor implementation of modularization
• Design for test (hardware and software)!!!

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 Lessons Learned & Observations - Verification

• Substandard design verification practices (analysis and test)

• Design for test!!!
• Insufficient sample sizes for performance and safety verification
• Applicability of tests are questionable, not clearly defined

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 Conclusion

• A BMS is NOT simply a set of electronics used to maintain battery state of

charge and/or monitor state of health and subscribing to that view can lead
to ineffective battery designs which do not meet requirements or cost goals
and are application specific
• A BMS is the system of components, functions and features necessary to
meet the performance, environmental and safety requirements of the
battery and the system within which it is being used over the expected life
of the product
• The scope, breadth and complexity of the BMS should be directly
dependent upon the necessary battery requirements and not on “extra”
features
• The BMS can permeate all levels of the battery and system using it, (e.g.,
battery cells, electronics, software, mechanical design) as well as have
external components (e.g., storage, chargers) and therefore it is imperative
that thorough system engineering is performed
• There is no “one size fits all” BMS
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 References

1. Linden’s Handbook of Batteries, 4th edition, Reddy, McGraw Hill, 2010

2. Meriam-Webster Dictionary, 1/2/2017
3. AD-A278 508, Failure Mode Effects and Criticality Analysis, Reliability
Analysis Center, 1993.
4. MIL-STD-756B, Reliability Modeling and Prediction, 1981
5. MIL-STD-721C, Definitions of Terms for Reliability and Maintainability,
1981
6. MIL-HDBK-217F, Reliability Prediction of Electronic Equipment, 1991

Images
1. batteryuniversity.com
2. guide.alibaba.com
3. wsj.com
4. insideEEVs.com
5. cnet.com
6. crafthub.com
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 Backup Slides

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 Terms and Definitions

Term Definition
Failure The event, or inoperable state, in which any item or part of an item does not, or would not, perform as previously
specified.5
Failure Rate The total number of failures within an item population, divided by the total number of life units expended by that
population, during a particular measurement interval under stated conditions.5
Failure in Time Rate For a device, the number of failures that can be expected in one billion (109) device-hours of operation. (E.g. 1000
(FIT) devices for 1 million hours, or 1 million devices for 1000 hours each, or some other combination.) This term is used
particularly by the semiconductor industry.
Fault Tolerance The property that enables a system to continue operating properly in the event of the failure of (or one or more
faults within) some of its components.5
Graceful Degradation The ability of a computer, machine, electronic system or network to maintain limited functionality even when a
large portion of it has been destroyed or rendered inoperative. The purpose of graceful degradation is to prevent
catastrophic failure.
Mean Time Between A basic measure of reliability for repairable items: The mean number of life units during which all parts of the item
Failure (MTBF) perform within their specified limits, during a particular measurement interval under stated conditions.5
Redundancy The existence of more than one means for accomplishing a given function. Each means of accomplishing the
function need not necessarily be identical.5
Reliability The probability that an item can perform its intended function for a specified interval under stated conditions.5

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 Terms and Definitions (continued)

Term Definition
Hazard Analysis The process of recognizing hazards that may arise from a system or its environment, documenting their unwanted
consequences and analyzing their potential causes.
Hazard A "Condition, event, or circumstance that could lead to or contribute to an unplanned or undesirable event."
Examples: Fuel oil spill, personal injury, fire, property damage.
Causal Factors Events, actions, conditions and circumstances that may leading to a given consequence (e.g., hazard)

Risk Analysis The process of defining and analyzing the dangers to individuals, businesses and government agencies posed by
potential natural and human-caused adverse events. (highly subjective)
Failure Mode Effects Failure mode, effects and criticality analysis (FMECA) is a reliability evaluation/design technique which examines
and Criticality potential failure modes within a system and its equipment, in order to determine the effects on equipment and
Analysis (FMECA) system performance. Each potential failure mode is classified according to its impact on mission success and
personnel/equipment safety.3 It is a bottom-up, inductive analytical method which may be performed at either the
functional or piece-part level.

Fault Tree Analysis A top down, deductive failure analysis in which an undesired state of a system is analyzed using Boolean logic to
(FTA) combine a series of lower-level events. Commonly referred to as a Fishbone Analysis.

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 Sample Cell Chemistry Characteristics

Specific
Energy Discharge Thermal
Chemistry Voltages (Wh/kg) Charge Rate Rate Life Cycle Runaway Comments
Lithium Iron 3.20, 3.30V nominal; 90– 1C typical, charges to 1C, 25C on 1000–2000 270°C (518°F) Very flat voltage
Phosphate typical operating range 120Wh/kg 3.65V; 3h charge time some cells; (related to depth Very safe battery discharge curve
(LiFePO4) 2.5–3.65V/cell typical 40A pulse of discharge, even if fully but low capacity.
(2s); 2.50V temperature) charged. One of Elevated self-
cut-off (lower safest discharge.
that 2V Li-ions.
causes
damage)
Lithium Cobalt 3.60V nominal; typical 150– 0.7–1C, charges to 1C; 2.50V cut 500–1000, related 150°C (302°F). Very high
Oxide (LiCoO2) operating range 3.0– 200Wh/kg. 4.20V (most cells); 3h off. Discharge to depth of Full charge specific energy,
4.2V/cell Specialty charge typical. Charge current above discharge, load, promotes thermal limited specific
cells current above 1C 1C shortens temperature runaway power. Cobalt is
provide up shortens battery life battery life expensive. Serves
to as Energy Cell.
240Wh/kg.
Lithium 3.70V (3.80V) nominal, 100- 0.7-1.0C typical, 3C 1C; 10C 300-700 (DOD 250C, high High Power but
Manganese typical operating range 150Wh/kg max, charges to 4.20V possible with and temperature charge promotes less capacity:
Oxide 3.0-4.2V/cell (most cells) some cells, dependent) thermal runaway safer than Li-
(LiMn2O2) 30C pulse cobalt
(5s), 2.50V
cut-off
Lithium Nickel 3.60V, 3.70V nominal; 150– 0.7–1C, charges to 1C; 2C 1000–2000 210°C (410°F) Provides high
Manganese typical operating range 220Wh/kg 4.20V, some go to possible on (related to depth typical. High capacity and high
Cobalt Oxide 3.0–4.2V/cell, or higher 4.30V; 3h charge some cells; of discharge, charge promotes power. Serves as
(LiNiMnCoO2 typical. Charge current 2.50V cut-off temperature) thermal runaway Hybrid Cell.
or NMC) above 1C shortens
battery life

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 Sample Cell Chemistry Characteristics

Specific
Energy Discharge Thermal
Chemistry Cell Voltages (Wh/kg) Charge Rate Rate Life Cycle Runaway Comments
Lithium Nickel 3.60V nominal; typical 200- 0.7C, charges to 1C typical; 3.00V 500 (related to 150°C (302°F) Shares
Cobalt operating range 3.0– 260Wh/kg; 4.20V (most cut-off; high depth of typical, High similarities with
Aluminum 4.2V/cell 300Wh/kg cells), 3h discharge rate discharge, charge promotes Li-cobalt. Serves
Oxide predictable charge typical, shortens battery temperature) thermal runaway as Energy Cell.
(LiNiCoAlO2, fast charge life
or NCA) possible with
some cells
Lithium 2.40V nominal; typical 70–80Wh/kg 1C typical; 5C 10C possible, 3,000–7,000 One of safest Li- Long life, fast
Titanate, operating range 1.8– maximum, 30C 5s pulse; ion batteries charge, wide
(Li4Ti5O12, or 2.85V/cell charges to 1.80V cut-off on temperature range
LTO) 2.85V LCO/LTO but low specific
energy and
expensive.
Nickel Metal 1.25V nominal, 60-120Wh/kg 0.1-0.5C 5C 500-2000 cycles
Hydride operating range 1.5-
(NiMH) 0.90V/cell
Lead Acid 2.0 nominal, operating 30-50Wh/kg 0.3C 5C 500-800 cycles
range 2.10 -1.95V/cell

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