Produktion und Logistik Sebastian Meiswinkel On Combinatorial Optimization and Mechanism Design Problems Arising at Container Ports Produktion und Logistik Reihe herausgegeben von B Fleischmann, Augsburg, Deutschland M Grunow, München, Deutschland S Helber, Hannover, Deutschland K Inderfurth, Magdeburg, Deutschland H Kopfer, Bremen, Deutschland H Meyr, Stuttgart, Deutschland T S Spengler, Braunschweig, Deutschland H Stadtler, Hamburg, Deutschland H Tempelmeier, Köln, Deutschland G Wäscher, Magdeburg, Deutschland C Bierwirth, Halle, Deutschland K Schimmelpfeng, Stuttgart, Deutschland M Fleischmann, Mannheim, Deutschland H.-O Günther, Berlin, Deutschland Diese Reihe dient der Veröffentlichung neuer Forschungsergebnisse auf den Gebieten der Produktion und Logistik Aufgenommen werden vor allem herausragende Habilitationsschriften Die Publikatioquantitativ orientierte Dissertationen und nen vermitteln innovative Beiträge zur Lösung praktischer Anwendungsprobleme der Produktion und Logistik unter Einsatz quantitativer Methoden und moderner Informationstechnologie Kontakt Professor Dr Thomas S Spengler Technische Universität Braunschweig Institut für Automobilwirtschaft und Industrielle Produktion Mühlenpfordtstraße 23 38106 Braunschweig Weitere Bände in der Reihe http://www.springer.com/series/12449 Sebastian Meiswinkel On Combinatorial Optimization and Mechanism Design Problems Arising at Container Ports With a foreword by Prof Dr Erwin Pesch Sebastian Meiswinkel Siegen, Germany Dissertation University of Siegen, 2017 Produktion und Logistik ISBN 978-3-658-22361-8 ISBN 978-3-658-22362-5 (eBook) https://doi.org/10.1007/978-3-658-22362-5 Library of Congress Control Number: 2018944272 Springer Gabler © Springer Fachmedien Wiesbaden GmbH, part of Springer Nature 2018 This work is subject to copyright All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, 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affiliations Printed on acid-free paper This Springer Gabler imprint is published by the registered company Springer Fachmedien Wiesbaden GmbH part of Springer Nature The registered company address is: Abraham-Lincoln-Str 46, 65189 Wiesbaden, Germany Foreword Globalisation and the internet are main driving forces for the rapid increase of freight transport over the past years, and its growth is predicted to continue in the same rate for the next decade or more amongst others due to China’s One Belt One Road (or New Silk Road) initiative, that is intended to intensify the trade between Europe and Asia along the former silk road Intermodal transport is mostly the transport of containers in one supply chain in more than one transport mode, e.g, by rail, road or sea While the long distances are covered by huge container vessels that periodically operate between sea ports, or by intercontinental trains, trucks are operating on the so called last mile between customers and a rail transshipment terminal or a sea port in order to deliver or pick-up the freight Transshipment yards and container ports are main points where the transportation mode of goods can be changed Since rail and roads are operating at their capacity limits, an acceleration of freight transport requires faster processes in order to improve the efficiency of cargo handling at container terminals and to cope with the increasing shipping volume In this book “On Combinatorial Optimization and Mechanism Design Problems Arising at Container Ports” the author concentrates exactly on that, analysing different transportation problems arising at container terminals from a quantitative point of view In the first part, the author discusses situations where an operator of a container terminal serves clients who can be assumed to behave selfish If the operator of a container terminal requires private information from the clients for a socially optimal decision, it is necessary to provide an incentive or mechanism that all clients commit their true information and not try to influence the outcome by false information Algorithmic mechanism design is a research area that deals with the construction of these methods to make the clients to be truthful The author made a major contribution to this field by improving the understanding of truthfulness in case of specific scheduling problems The second part of this book deals with real world optimization problems without any private information that appear at container ports Efficient handling of the internal vi Foreword processes is important for the terminal being competitive, since many terminals are under high competitive pressure and therefore need to optimize their processes This book should be most suitable to researchers and students of logistics and operations research In addition, the contents of this book might be very interesting to those in industry who need to solve problems on the design, operation, and management of container ports Prof Dr Erwin Pesch Preface This thesis represents the result of my PhD study at the Chair of Management Information Science at the University of Siegen This time has been a challenging and long journey, but I was fortunate enough to be accompanied by many people I thank all of them, particularly the ones below First, I would like to express my great gratitude to my supervisor Prof Dr Erwin Pesch He offered me the opportunity to work at the Chair of Management Information Science and to conduct my PhD research He was very open-minded in his supervision and I enjoyed very much the freedom he gave me to pursue the research direction I like Throughout my study, he continuously supported me with his broad knowledge in the fields of logistics and operations research His professional comments and invaluable advices have helped me improve the scientific quality of this thesis I would also like to thank Prof Dr Rob van Stee for serving as the second referee of my thesis and PD Dr Sergei Chubanov for being member of the doctoral committee My great gratitude goes also to Dr Dominik Kreß who shares an office with me The considerable discussions we had and the constructive suggestions he made on my work were very helpful I would also like to thank Dr Alena Otto for proofreading important parts of my thesis I am thankful to my colleagues David Müller, Xiyu Li and Roswitha Eifler for supporting me and for participating in my defense My appreciation also goes to my former colleagues Dr Jenny Nossack Last but not least, I would like to express my gratitude to my family and friends and especially to my wife Anja for the strong support they have given me during the time I have been working on this thesis Siegen, March 2018 Sebastian Meiswinkel Contents List of Figures xiii List of Tables xv Introduction and Preliminaries 1.1 1.2 Notation and Terminology 1.1.1 Machine Scheduling 1.1.2 Mechanism Design 1.1.3 Graph Theory 10 Outline 12 Mechanism Design and Machine Scheduling: Literature Review 15 2.1 Scope of Review 16 2.2 Review of Problem Categories and Features 16 2.3 2.2.1 Categories, Risk Attitude and Private Information of Agents 17 2.2.2 Models of Execution and Constraints on Committed Data 17 2.2.3 Characteristics of Payment Schemes 18 2.2.4 Other Problem Categories and Features 19 Classification Scheme 19 2.3.1 Review of Selected Elements of Graham et al (1979) 19 2.3.2 Including Mechanism Design Settings for Machine Scheduling Problems 21 2.3.3 Examples 24 2.4 Literature Overview 2.5 Research Challenges and Conclusion 29 24 x Contents Truthful Algorithms for Job Agents 31 3.1 Related Literature 32 3.2 One-Parameter Job Agents 33 3.3 3.4 3.2.1 Problem Setting and Preliminaries 33 3.2.2 Monotonicity and List-Scheduling Algorithms 34 3.2.3 Multiple Parallel Machines 36 3.2.4 One Machine 38 Two-Parameter Job Agents 40 3.3.1 Problem Setting and Preliminaries 40 3.3.2 Incentive Compatible Mechanisms for P |priv{wj , dj }, Uj | 3.3.3 Applying Our Results to an Example Algorithm for 1|priv{wj , dj }, Uj | wj Uj 51 w j Uj 43 Conclusion and Future Research 55 The Partitioning Min-Max Weighted Matching Problem 57 4.1 Detailed Problem Definition and Applications 58 4.2 Computational Complexity 62 4.3 Algorithms 64 4.3.1 Solving the Restricted Partitioning Problem 66 4.3.2 Solving the Min-Max Weighted Matching Problem 67 4.3.3 Partition-Match Heuristics 67 4.3.4 Match-Partition Heuristics 68 4.4 Computational Results 69 4.5 Conclusion 74 Straddle Carrier Routing at Container Ports with Quay Crane Buffers 77 5.1 Related Literature 78 5.2 Detailed Problem Definition 79 5.2.1 Problem Setting and Assumptions 80 5.2.2 Notation and Detailed Problem Description 82 5.2.3 A Mixed-Integer Program 85 5.3 Computational Complexity 88 5.4 Algorithms 92 5.4.1 Initial Solution 92 5.4.2 Routing Problem 94 Straddle Carrier Routing at Container Ports with Quay Crane Buffers 107 1.2 Solution quality 1.15 1.1 1.05 ECGREEDY 30% singleGREEDY 30% ECGREEDY 80% singleGREEDY 80% 10 12 14 jobs per quay crane 16 18 Figure 5.10: quay cranes, vehicles per crane the vessels is minimized The problem has been formulated as a mixed-integer programm based on an asymmetric traveling salesman problem with precedence constraints We have proven the problem to be strongly NP-hard Therefore, we have propose two decomposing heuristics and evaluated different approaches to generate feasible initial solutions The performance of the decomposing heuristics as well as the impact of the different approaches of generating feasible initial solutions has been tested in an extensive computational study with test instances based on real-world data Almost each of our heuristics has outperformed CPLEX The ejection chain approach has been more effective than the 3-Opt approach Compared with the approach used in practice, the ejection chain approach leads to solutions with significant smaller objective function values Therefore, it seems to be worthwhile to pool straddle carriers of multiple quay cranes and use the proposed ejection chain approach to route them Chapter Summary and Outlook In context of container ports, various optimization problems arise There are optimization problems that depend only on internal information that is available to a decision maker as well as optimization problems that depend on information of customers of the port The latter case makes it necessary to use methods from the field of mechanism design in order to extract true and therefore useful information from the customers This dissertation has investigated optimization problems with all information available as well as optimization problems with private information and makes several contributions in the field of mechanism design and in the field of routing problems at container ports In Chapter 2, we have provided a literature overview on direct revelation mechanism design settings in the context of machine scheduling problems A classification scheme has been introduced Based on our classification of the literature, we can identify multiple potential directions and challenges for future research, that we briefly outline at the end of the chapter In Chapter 3, we have considered two machine scheduling problems that arise at container ports when dealing with customers Therefore, both problems have been investigated with methods from the field of algorithmic mechanism design The first part of the chapter studies machine scheduling problems in context with algorithmic mechanism design and one-parameter valuation function domains We have considered the problem of minimizing the total weighted completion time of all jobs We have presented monotonicity conditions for incentive compatible List-Scheduling algorithms for parallel machines In the case of one machine, we have presented results for a budget-balanced VCG mechanism The problem of designing polynomial time truthful mechanisms for scheduling twoparameter job agents on parallel identical machines to minimize the weighted number of late jobs has been studied in the second part of Chapter The agents are assumed © Springer Fachmedien Wiesbaden GmbH, part of Springer Nature 2018 S Meiswinkel, On Combinatorial Optimization and Mechanism Design Problems Arising at Container Ports, Produktion und Logistik, https://doi.org/10.1007/978-3-658-22362-5_6 110 Summary and Outlook to have private information on their weights and due dates, while processing times are publicly known We have contributed to the literature by deriving a set of conditions that is equivalent to cycle monotonicity, which is a general condition for incentive compatible mechanisms in non-convex valuation function domains Our conditions utilize knowledge about the underlying scheduling problems, so that they are easier to implement and verify than the general condition of cycle monotonicity We have illustrated this fact by making use of our results to prove incentive compatibility of a mechanism that is established by an example algorithm that has recently been proposed by Kovalyov and Pesch (2014) for the case of one machine Future research may focus on several issues With respect to the scheduling problems considered in this chapter, it may be interesting to investigate if other heuristics that have been proposed in the literature are suitable for the construction of truthful polynomial time mechanisms by making use of our results Further work may also analyze the implications of assuming the agents to be risk averse or risk seeking Furthermore, there remain plenty of interesting scheduling problems that have not yet been analyzed in the context of algorithmic mechanism design We have introduced and analyzed the Partitioning Min-Max Weighted Matching (PMMWM) Problem in Chapter PMMWM is a combination of the problem of partitioning a set of vertices into disjoint subsets of restricted size and the strongly NP-hard Min-Max Weighted Matching (MMWM) Problem, which has recently been introduced by Barketau et al (2015) Applications of the PMMWM arise at small and midsize container ports when reach stackers are used to transport containers from a temporary storage area to the long-term storage area Other applications of the PMMWM arise at the railroad terminal of a container port We have proposed a mixed-integer linear program formulation for PMMWM and provided a proof of the problem’s strong NP-hardness Moreover, we have presented two heuristic frameworks denoted by Partition-Match and Match-Partition For each framework, two variants have been designed P MREG and P MBP S are based on the Partition-Match framework and M P and M PLS are based on the Match-Partition framework The performance of all four heuristics has been tested in an extensive computational study We have generated instances of different types in order to create a comprehensive overview of the performance of the algorithms Each of our heuristics has outperformed CPLEX The Match-Partition framework 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Cambridge ... of cargo handling at container terminals and to cope with the increasing shipping volume In this book On Combinatorial Optimization and Mechanism Design Problems Arising at Container Ports the... Meiswinkel, On Combinatorial Optimization and Mechanism Design Problems Arising at Container Ports, Produktion und Logistik, https://doi.org/10.1007/978-3-658-22362-5_2 16 Mechanism Design and Machine... literature for the case of one machine Chapter and are concerned with “classic” optimization problems Both chapters have in common, that they consider optimization problems dealing with internal container