State of Health Estimation for Batteries Based on a Dynamic Graph Pruning Neural Network with a Self-Attention Mechanism
Abstract
1. Introduction
- Lack of explicit structural modeling among degradation features. Many methods treat SOH estimation as a purely temporal problem and ignore dependencies among voltage, current, temperature, and capacity.Our model builds a graph within each feature window, where nodes represent features and edges encode their statistical and physical relationships, and then performs topology-aware propagation with attention to capture these dependencies.
- Insufficient focus on informative degradation phases. Uniform weighting across time steps weakens sensitivity to rapid fading regimes and other salient intervals.The self-attention mechanism reweights time steps within each window so that degradation-salient intervals contribute more to the final estimate, which improves sensitivity to phase-specific patterns.
- Over-reliance on temporal ordering while neglecting relational patterns. Sequential encoders alone do not preserve the cross-feature structure that is critical for precise SOH inference.The proposed model jointly encodes temporal cues and relational topology through dynamic graph propagation coupled with attention, which preserves inter-feature interactions beyond time ordering and yields more informative representations.
- High computational cost in attention-enhanced recurrent models. Multi-layer recurrent processing combined with attention increases parameter count and floating point operations, which limits suitability for embedded deployment. An attention-guided structural pruning module learns sparse adjacency and removes low-utility edges, reducing the computation and parameter footprint while maintaining accuracy.A GCN baseline trained under the same hyperparameters, together with an ablation that disables pruning, isolates the efficiency and accuracy contribution of the pruning design.
- Topology-first formulation for SOH. We introduce DynaGPNN SAM, which transforms per-window features into a graph and performs topology-aware propagation. Unlike recent graph transformer methods that primarily rely on global attention for token mixing, our formulation treats feature topology as the modeling primitive and learns window-specific adjacency that captures cross-feature dependencies beyond time ordering.
- Attention as a structural operator via pruning. We propose an attention-guided structural pruning mechanism that uses attention to select and retain a compact subgraph by removing low-utility edges, which provides interpretable salient subgraphs and reduces inference cost. This differs from graph transformers where attention serves as soft weighting rather than an explicit selector of the graph structure. The effect of pruning is isolated through a GCN control and a no pruning ablation under identical settings in Section 4.3.
- Phase-aware temporal emphasis coupled with structure. A self-attention module reweights time steps within each window to highlight degradation-salient phases while jointly preserving the learned relational topology, offering a unified treatment of temporal saliency and cross-feature structure that complements transformer style positional encoding.
- Complexity and empirical validation. Inference cost scales with the number of active edges after pruning rather than with quadratic attention, which clarifies efficiency implications. Under a unified protocol on the NASA dataset, the model surpasses strong baselines, including CNN, LSTM, and GCN, with controls reported in Section 4.4.
2. Problem Formulation
3. DynaGPNN-SAM Modeling
3.1. Graph Convolutional Networks
3.2. Dynamic Graph Pruning with Self-Attention Mechanism
3.3. Multi-Layer Stacking and End-to-End Prediction
3.4. Adam Optimization Algorithm
4. Experimental Study
4.1. Dataset Description
4.2. Implementation Details of DynaGPNN-SAM
4.3. Ablation Study Design
4.4. Experimental Results and Analysis
- Traditional Machine Learning Methods: Support Vector Machine (SVM), Backpropagation Neural Network (BP), Wavelet Neural Network (WNN), and Gaussian Process Regression (GPR).
- Deep Learning Models: Convolutional Neural Network (CNN), Long Short-Term Memory (LSTM), fusion-based models, and SambaMixer [52].
- Gaussian Process-based Methods: QGPFR (Gaussian process functional regression with quadratic polynomial mean function), LGPFR (linear Gaussian process functional regression), and Combination QGPFR.
- Graph Neural Networks: Graph Convolutional Network (GCN).
- Hybrid Optimization Models: Genetic Algorithm-based WNN (GA WNN).
- Physics-informed Neural Networks: PINN4SOH [53].
4.5. Advantages of the Proposed Method
- Comprehensive Integration of Topological and Feature Information: Unlike conventional time-series models that treat battery degradation as a simple sequential process, DynaGPNN-SAM explicitly models the complex structural relationships among battery operational features through graph representation. As demonstrated in Figure 5, this approach enables the model to capture both temporal dependencies and spatial correlations among voltage, current, temperature, and capacity features simultaneously. The graph convolutional layers effectively encode the non-Euclidean relationships between these features, while the self-attention mechanism dynamically highlights nodes corresponding to critical degradation phases. This dual capability explains why our method achieves RMSE reductions of 30.3% and 28.6% on batteries B0007 and B0018 compared to standard GCN, as shown in Table 4, particularly excelling during rapid degradation phases where traditional methods exhibit significant deviations.
- Superior Handling of Nonlinear Degradation Patterns and Capacity Regeneration: One of the most challenging aspects of battery SOH estimation is accurately modeling nonlinear degradation trajectories, particularly the “knee point” phenomenon where degradation accelerates rapidly. Traditional methods often struggle with these nonlinearities and capacity regeneration events that introduce uncertainty into predictions. DynaGPNN-SAM’s architecture specifically addresses this challenge through its attention-guided node selection process, which automatically identifies and prioritizes segments containing knee points and regeneration events. As shown in Figure 5c, our model maintains high accuracy during the rapid degradation phase of battery B0006 (cycles 30–40), where competing methods exhibit significant deviations. Quantitatively, DynaGPNN-SAM achieves an RMSE of only 0.0057 on B0006 during this critical phase, compared to 0.0125 for GCN, a 54.4% improvement.
- End-to-End Learning Framework with Minimal Feature Engineering: The proposed method eliminates the need for manual feature extraction and selection, which has been a significant bottleneck in previous SOH estimation approaches. Traditional methods often require domain-specific knowledge to identify relevant health indicators (HIs) from raw battery data, a process that is both time-consuming and prone to information loss. DynaGPNN-SAM, by contrast, processes raw feature sequences directly through its graph construction mechanism, automatically learning which features and temporal segments contribute most significantly to SOH determination.
5. Conclusions and Future Perspectives
5.1. Conclusions
5.2. Perspectives
Author Contributions
Funding
Data Availability Statement
Conflicts of Interest
References
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Method | Strengths | Limitations |
---|---|---|
Coulomb counting | Simple and interpretable energy balance, suitable for real-time implementation with low computational cost when current sensing is reliable | Sensitive to current sensor bias and drift, cumulative integration error, and limited ability to reflect dynamic degradation states |
OCV analysis via incremental capacity analysis | Physically grounded voltage landmarks and robust capacity fade indicators after appropriate smoothing | Requires near-equilibrium segments; reduced applicability under highly dynamic electric vehicle duty cycles |
OCV-based joint estimation of SOC and SOH | Joint inference reduces propagation of SOC errors into SOH and improves precision through coordinated models | Increased implementation complexity and need for model selection across operating regimes |
EIS assisted equivalent circuit modeling | Parameter interpretability combined with sensitivity in the frequency domain, adaptable across temperature and SOC after calibration | Requires impedance instrumentation and careful calibration; additional acquisition time and setup effort |
Parameter | Configuration |
---|---|
Time window length | 10 |
Number of DynaGPNN-SAM layers | 2 |
Number of DynaGPNN-SAM neurons | 10 |
Learning rate | 0.001 |
Batch size | 16 |
Loss function | Mean square error |
epochs | 100 |
optimizer | Adam |
Experiments | RMSE | MAE | ||||||
---|---|---|---|---|---|---|---|---|
B0005 | B0006 | B0007 | B0018 | B0005 | B0006 | B0007 | B0018 | |
Original version | 0.0104 ± 0.0009 3 | 0.0164 ± 0.0007 | 0.0122 ± 0.0008 | 0.0205 ± 0.0004 | 0.0077 ± 0.0005 | 0.0131 ± 0.0008 | 0.0089 ± 0.0007 | 0.0155 ± 0.0004 |
M1 1 | 0.0171 ± 0.0012 | 0.0240 ± 0.0019 | 0.0141 ± 0.0016 | 0.0262 ± 0.0019 | 0.0170 ± 0.0015 | 0.0197 ± 0.0023 | 0.0106 ± 0.0016 | 0.0205 ± 0.0018 |
M2 2 | 0.0211 ± 0.0008 | 0.0171 ± 0.0014 | 0.0164 ± 0.0018 | 0.0357 ± 0.0042 | 0.0174 ± 0.0008 | 0.0144 ± 0.0014 | 0.0127 ± 0.0014 | 0.0281 ± 0.0043 |
Approach | RMSE | MAE | ||||||
---|---|---|---|---|---|---|---|---|
B0005 | B0006 | B0007 | B0018 | B0005 | B0006 | B0007 | B0018 | |
BP [54] | - | - | - | - | 0.0768 | 0.0759 | 0.0732 | 0.0753 |
SVM [54] | - | - | - | - | 0.0442 | 0.0435 | 0.0449 | 0.0553 |
WNN [54] | - | - | - | - | 0.0300 | 0.0362 | 0.0344 | 0.0322 |
GPR [55] | 0.1303 | 0.2251 | 0.2070 | - | - | - | - | - |
LSTM [56] | 0.0440 | 0.0550 | - | 0.0260 | - | - | - | - |
CNN [56] | 0.0200 | 0.0230 | - | 0.0220 | - | - | - | - |
Fusion model [56] | 0.0191 | 0.0205 | - | 0.0227 | - | - | - | - |
Combination QGPFR [55] | 0.0180 | 0.2044 | 0.0269 | - | - | - | - | - |
LGPFR [55] | 0.0171 | 0.0690 | 0.0159 | - | - | - | - | - |
QGPFR [55] | 0.0150 | 0.0512 | 0.0552 | - | - | - | - | - |
GA-WNN [54] | - | - | - | - | 0.0181 | 0.0161 | 0.0153 | 0.0167 |
GCN | 0.0138 | 0.0201 | 0.0175 | 0.0287 | 0.0104 | 0.0173 | 0.0140 | 0.0234 |
Combination LGPFR [55] | 0.0136 | 0.0686 | 0.0173 | - | - | - | - | - |
SambaMixer [52] | 0.0227 | 0.0475 | 0.0250 | 0.0340 | 0.0206 | 0.0449 | 0.0230 | 0.0275 |
PINN4SOH [53] | 0.0145 | 0.0197 | 0.0140 | 0.0282 | 0.0110 | 0.0141 | 0.0095 | 0.0248 |
Ours | 0.0104 | 0.0164 | 0.0122 | 0.0205 | 0.0077 | 0.0131 | 0.0089 | 0.0155 |
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Gu, X.; Liu, M.; Tian, J. State of Health Estimation for Batteries Based on a Dynamic Graph Pruning Neural Network with a Self-Attention Mechanism. Energies 2025, 18, 5333. https://doi.org/10.3390/en18205333
Gu X, Liu M, Tian J. State of Health Estimation for Batteries Based on a Dynamic Graph Pruning Neural Network with a Self-Attention Mechanism. Energies. 2025; 18(20):5333. https://doi.org/10.3390/en18205333
Chicago/Turabian StyleGu, Xuanyuan, Mu Liu, and Jilun Tian. 2025. "State of Health Estimation for Batteries Based on a Dynamic Graph Pruning Neural Network with a Self-Attention Mechanism" Energies 18, no. 20: 5333. https://doi.org/10.3390/en18205333
APA StyleGu, X., Liu, M., & Tian, J. (2025). State of Health Estimation for Batteries Based on a Dynamic Graph Pruning Neural Network with a Self-Attention Mechanism. Energies, 18(20), 5333. https://doi.org/10.3390/en18205333