STEK: Structural-Terrain-Enhanced Koopman-Inspired Cross-Channel Regularization for Retrospective Battery Multi-Target Estimation
Organizations: University of Science and Technology of China, Hefei, China · The Hong Kong University of Science and Technology, Hong Kong, China
Abstract
Retrospective battery characterization across heterogeneous cells is challenging because cycling records vary substantially with chemistry, protocol, cell format, capacity, and operating conditions. An endpoint charge--discharge curve captures the local condition of an evaluated cycle, while a cell-level lifecycle terrain summarizes structural evolution across the archived trajectory. We propose STEK, a structural-terrain-enhanced framework for retrospective battery multi-target estimation. STEK combines a cell-level lifecycle (dQ/dV) terrain with an endpoint-derived structural proxy through quality-proxy-conditioned gating. Bounded FiLM and a validity-gated residual head refine the endpoint-curve representation while preserving a curve-based prediction pathway. Battery-type and optional material-text representations further condition an identity-centered low-rank linear map, providing a Koopman-inspired cross-channel consistency objective without modeling temporal dynamics or performing rollout. Under the fixed seven-output MIX-battery protocol, the full retrospective setting improves aggregate performance over endpoint-only learned baselines across multiple temporal backbones; this comparison reflects both the additional archived context and the modeling design. Under matched auxiliary inputs, STEK outperforms direct concatenation and quality-unaware FiLM, while descriptor-removal tests show graceful fallback to the endpoint pathway. Deterministic rules remain preferable for directly recoverable capacity summaries. The method targets retrospective archive harmonization rather than online estimation from cycle t alone.
Figures & tables
| Task | Metric | STEK | MambaLithium | LiPM | CPTransformer | iTransformer | Koopa | KNF |
|---|---|---|---|---|---|---|---|---|
| NDC | MAE | 0.90 0.06 | 1.55 0.32 | 2.07 0.22 | 1.26 0.03 | 1.16 0.07 | 1.25 0.12 | 1.35 0.06 |
| MaxAE | 7.65 1.15 | 13.27 0.74 | 16.16 8.26 | 13.62 1.42 | 12.04 1.62 | 10.85 3.98 | 9.34 0.49 | |
| SOH | MAE | 0.40 0.03 | 0.56 0.02 | 0.65 0.03 | 0.60 0.06 | 0.55 0.02 | 0.62 0.05 | 0.63 0.02 |
| RMSE | 0.99 0.02 | 1.51 0.02 | 1.21 0.03 | 1.50 0.12 | 1.46 0.07 | 1.44 0.14 | 1.33 0.04 | |
| CF | MAE | 0.38 0.02 | 0.57 0.02 | 0.65 0.06 | 0.60 0.06 | 0.55 0.03 | 0.62 0.04 | 0.64 0.03 |
| RMSE | 0.97 0.02 | 1.51 0.01 | 1.20 0.03 | 1.50 0.12 | 1.47 0.08 | 1.44 0.13 | 1.34 0.03 |
| Full STEK | Reduced Modality Sets | Module Ablations | ||||||
|---|---|---|---|---|---|---|---|---|
| Task | Metric | Curve+Material + | Curve +Material | Curve +struct. Proxy | w/o FiLM | w/o Struct. Head | w/o Koopman Reg. | |
| NDC | MAE | 0.90 0.06 | 0.94 0.10 | 1.00 0.17 | 1.01 0.02 | 1.06 0.03 | 0.94 0.10 | 0.94 0.07 |
| MaxAE | 7.65 1.15 | 8.83 1.14 | 9.27 2.03 | 7.71 2.78 | 8.01 0.25 | 8.02 1.29 | 7.97 2.11 | |
| SOH | MAE | 0.40 0.03 | 0.40 0.03 | 0.40 0.01 | 0.39 0.01 | 0.44 0.04 | 0.44 0.04 | 0.40 0.04 |
| RMSE | 0.99 0.02 | 0.96 0.02 | 1.06 0.12 | 0.96 0.06 | 1.06 0.06 | 1.04 0.09 | 1.03 0.13 | |
| CF | MAE | 0.38 0.02 | 0.39 0.02 | 0.40 0.01 | 0.39 0.02 | 0.42 0.03 | 0.42 0.04 | 0.40 0.04 |
| Full STEK | Fusion Controls | Koopman Controls | |||||
| Task | Metric | Direct Concat | FiLM w/o Quality | Shared K. | State-Cond. K. | w/o K. Reg. | |
| NDC | MAE | 0.90 0.06 | 1.17 0.21 | 0.98 0.12 | 0.94 0.06 | 0.94 0.09 | 0.94 0.07 |
| MaxAE | 7.65 1.15 | 10.02 0.54 | 7.80 0.56 | 8.96 2.43 | 7.41 0.44 | 7.97 2.11 | |
| SOH | MAE | 0.40 0.03 | 0.47 0.04 | 0.42 0.05 | 0.38 0.02 | 0.40 0.03 | 0.40 0.04 |
| RMSE | 0.99 0.02 | 1.30 0.16 | 0.99 0.01 | 0.99 0.03 | 0.97 0.06 | 1.03 0.13 | |
| CF | MAE | 0.38 0.02 | 0.48 0.04 | 0.42 0.03 | 0.38 0.02 | 0.40 0.02 | 0.40 0.04 |
| CALCE | HNEI | MATR | |||||
|---|---|---|---|---|---|---|---|
| Task | Metric | Curve | Full | Curve | Full | Curve | Full |
| NDC | MAE | 8.93 0.74 | 8.39 0.08 | 2.93 2.17 | 1.90 0.43 | 29.17 8.95 | 13.55 4.64 |
| MaxAE | 14.42 1.06 | 14.19 0.61 | 7.25 0.51 | 8.66 3.66 | 43.43 2.46 | 35.67 2.47 | |
| SOH | MAE | 2.36 0.77 | 1.86 0.46 | 1.59 0.06 | 1.60 0.37 | 4.23 0.62 | 2.75 0.14 |
| RMSE | 3.07 0.83 | 2.74 0.66 | 1.72 0.08 | 1.78 0.30 | 4.53 0.50 | 3.29 0.18 | |
| CF | MAE | 2.31 0.76 | 1.86 0.39 | 1.28 0.09 | 1.23 0.39 | 4.27 0.67 | 2.44 0.35 |
| Descriptor | MAE | RQE (%) | Overall | |||||
|---|---|---|---|---|---|---|---|---|
| missing rate | NDC | SOH | CF | CFR | ICR ( ) | NCC | QTY | Score |
| 0% | 0.90 0.06 | 0.40 0.03 | 0.38 0.02 | 1.33 0.00 | 6.54 0.98 | 0.85 0.03 | 6.74 0.64 | 12.42 0.30 |
| 25% | 0.91 0.05 | 0.40 0.03 | 0.39 0.01 | 1.33 0.00 | 6.86 0.91 | 0.87 0.03 | 8.14 0.90 | 12.52 0.28 |
| 50% | 0.92 0.06 | 0.40 0.03 | 0.38 0.01 | 1.33 0.00 | 7.09 0.92 | 0.88 0.05 | 9.15 1.20 | 12.57 0.28 |
| 75% | 0.91 0.09 | 0.40 0.03 | 0.39 0.02 | 1.33 0.01 | 7.37 0.97 | 0.88 0.07 | 10.76 1.73 | 12.65 0.31 |
| 100% | 0.90 0.12 | 0.40 0.03 | 0.39 0.02 | 1.33 0.01 | 7.63 1.11 | 0.89 0.10 | 12.15 2.13 | 12.71 0.36 |
Appendix figures & tables11 assets
Supplementary material from the paper’s appendix.
Appendix
| Source | Type | Format | Cathode | Anode | Cap. (Ah) | Temp. ( ∘ C) | Cells | Cycles | Prot. |
|---|---|---|---|---|---|---|---|---|---|
| CALCE | Li-ion | Prismatic | LCO | Graphite | 1.10 | 25 | 13 | 14,299 | 2 |
| HNEI | Li-ion | 18650 | LCO+NCM442 | Graphite | 2.80 | 25 | 14 | 15,164 | 2 |
| MATR | Li-ion | 18650 | LFP | Graphite | 1.10 | 30 | 169 | 140,001 | 81 |
| RWTH | Li-ion | 18650 | NMC | Carbon | 3.00 | 25 | 48 | 105,006 | 1 |
| MICH | Li-ion | Pouch | NCM111 | Graphite | 2.36 | 25, 45 | 40 | 19,895 | 2 |
| MICH_EXP | Li-ion | Pouch | NCM111 | Graphite | 5.00 | , 25, 45 | 18 | 6,545 | 6 |
| Model | Input | Width | Principal adaptation |
|---|---|---|---|
| TimesNet | curves | 64 | seven-output prediction head |
| DLinear | curves | 64 | seven-output prediction head |
| PatchTST | curves | 64 | seven-output prediction head |
| iTransformer | curves | 64 | seven-output prediction head |
| MambaLithium | curves | 64 | canonical-curve adaptation |
| LiPM | curves | 64 | canonical-curve adaptation |
| Method | NDC MAE | NDC MaxAE | NCC MAE | NCC RMSE |
|---|---|---|---|---|
| STEK–TimesNet | 0.9022 | 7.6520 | 0.8507 | 1.3079 |
| Segment-maximum rule | 1.0121 | 102.2336 | 0.0392 | 0.1384 |
| Segment maximum + zero-segment fallback | 0.0276 | 0.8163 | 0.0392 | 0.1384 |
| Category | Outputs | Required information |
|---|---|---|
| Directly recoverable | NDC, NCC | Endpoint capacity channel |
| Same-cycle engineered | ICR, QTY | Raw cross-signal or time record |
| History-dependent | SOH, CFR | First or preceding cycles |
| Algebraically derived | CF |
| Hyperparameter | Value |
|---|---|
| Optimizer | AdamW |
| Learning rate / weight decay | / |
| Maximum epochs | 220 |
| Batch size / accumulation | 4 / 8 |
| Dropout | 0.2 |
| Hidden dimension / default layers | 64 / 2 where applicable |
| Component | Setting |
|---|---|
| Identity coefficient | 0.90 |
| Base operator-update scale | 0.05 |
| Conditioned update scale | |
| Frobenius perturbation scaling | |
| Lifted dimension / rank | 96 / 8 |
| Scalar modulation range |
| Task | ||
|---|---|---|
| NDC | 0.9311598 | 0.1476210 |
| SOH | 0.9813603 | 0.0279242 |
| CF | 0.0186397 | 0.0279242 |
| CFR | ||
| ICR | 85.042342 | 120.520454 |
| NCC | 0.9296390 | 0.1455620 |
| Masking probability | Runs | Realized | Overall | |
|---|---|---|---|---|
| 0.00 | 3 | 0.000 | 0.1242 | 0.0796 |
| 0.25 | 30 | 0.264 | 0.1252 | 0.0807 |
| 0.50 | 30 | 0.500 | 0.1257 | 0.0813 |
| 0.75 | 30 | 0.748 | 0.1265 | 0.0821 |
| 1.00 | 3 | 1.000 | 0.1271 | 0.0829 |
| Source | Chemistry / form factor | Candidate cells | Effective cells | Test windows |
|---|---|---|---|---|
| CALCE | Li-ion, LCO/graphite, prismatic | 13 | 13 | 65 |
| HNEI | Li-ion, LCO+NCM442/graphite, 18650 | 14 | 14 | 70 |
| MATR | Li-ion, LFP/graphite, 18650 | 169 | 169 | 845 |
| TimesNet | DLinear | PatchTST | |||||
|---|---|---|---|---|---|---|---|
| Task | Metric | +STEK | Base | +STEK | Base | +STEK | Base |
| NDC | MAE | 0.90 0.06 | 0.99 0.15 | 1.90 0.09 | 2.55 0.05 | 1.09 0.04 | 1.14 0.02 |
| MaxAE | 7.65 1.15 | 7.98 1.38 | 44.76 2.02 | 56.69 0.83 | 7.83 0.78 | 7.27 1.44 | |
| SOH | MAE | 0.40 0.03 | 0.47 0.02 | 0.75 0.03 | 1.03 0.03 | 0.54 0.06 | 0.57 0.02 |
| RMSE | 0.99 0.02 | 1.12 0.10 | 1.52 0.06 | 1.77 0.01 | 1.17 0.04 | 1.23 0.01 | |
| CF | MAE | 0.38 0.02 | 0.45 0.03 | 0.79 0.03 | 1.03 0.03 | 0.54 0.05 | 0.56 0.02 |
| Model | Params | FLOPs | Memory | Overall |
|---|---|---|---|---|
| MambaLithium | 0.09 | 0.02 | 14.93 | |
| LiPM | 0.66 | 0.12 | 13.64 | |
| CPTransformer | 0.12 | 0.01 | 17.63 | |
| iTransformer | 0.78 | 0.001 | 12.70 | |
| Koopa | 0.09 | 0.001 | 12.81 | |
| KNF | 0.23 | 0.01 | 10.64 |
Lithium-Ion Batteries
Lithium-ion batteries are rechargeable energy-storage systems studied through their materials, performance, aging, safety, and recycling.
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