Transaction Processing Policies in a Flexible Shuttle-Based Storage and Retrieval

System by Real-Time Data Tracking under Agent-Based Modelling

Abstract
This study investigates priority assignment rules (PARs) for transaction processing in
automated warehouses featuring a shuttle-based storage and retrieval system (SBSRS). By
incorporating real-time data tracking through agent-based modeling, the research explores the
unique aspect of the SBSRS design, which involves flexible travel of robotic order picker
shuttles between tiers. The paper proposes PARs under agent-based modeling to enhance
multi-objective performance metrics, including average flow time (AFT), maximum flow
time (MFT), outlier transaction AFT, and standard deviations of flow times (SD) within the
system. Experimental evaluations are conducted with various warehouse designs, comparing
the results against commonly used static scheduling rules. The findings demonstrate that real-
time tracking policies significantly improve system performance. Specifically, prioritizing the
processing of outliers based on transaction waiting time enhances MFT, SD, and other
performance metrics, while minimizing adverse effects on AFT. Certain rules exhibit notable
improvements in MFT and SD, while others achieve the lowest AFT values among all
experiments. This paper contributes to the existing literature by presenting a multi-objective
performance improvement procedure and highlighting the advantages of real-time data
tracking-based scheduling policies in automated warehousing systems.
Keywords: SBSRS, Shuttle-based, Automated warehousing, Storage and retrieval system,
Shuttle-based storage and retrieval system.

1. Introduction
In today's rapidly evolving business environment, automated systems in warehousing are
critical for meeting increasing customer demands, especially with the rise of e-commerce.
One such system that has garnered significant attention is the Shuttle-Based Storage and
Retrieval System (SBSRS), an automated warehousing system that utilizes robotic shuttles
for high-efficiency picking and storing of products. SBSRS is primarily deployed in mini-
load retailer warehouses to streamline operations and improve system performance.
The traditional SBSRS features shuttles operating on fixed tiers, leading to lower utilization
of shuttles due to the non-flexible design, which may contribute to inefficiencies in cost and
sustainability. To address this, a more flexible SBSRS design has been developed where
shuttles can traverse multiple tiers, facilitated by additional lift mechanisms. While this
flexible design potentially increases shuttle utilization, it introduces new challenges in
transaction processing and shuttle scheduling.
This study addresses these challenges by investigating the impact of Priority Assignment
Rules (PARs) and real-time data tracking in optimizing transaction processing for flexible
SBSRS designs. By using agent-based modeling, we aim to evaluate multi-objective
performance metrics, including Average Flow Time (AFT), Maximum Flow Time (MFT),
and the Standard Deviation (SD) of flow times, to provide a more comprehensive view of
the system’s efficiency.

2. Literature Review
2.1 Non-Flexible SBSRS Research
Non-flexible SBSRS designs have been extensively studied, with early research focusing on
the performance of automated systems like crane-based and autonomous vehicle storage and
retrieval systems (Ekren & Heragu, 2011; Heragu et al., 2011). Simulation models have been
developed to compare design performance and cost efficiency, showing that fewer aisles
generally result in better system performance (Marchet et al., 2013).
Further research explored optimization of task scheduling using genetic algorithms (Wang et
al., 2015) and investigating vehicle blocking effects (Roy et al., 2014). The impact of non-
flexible designs on energy consumption and system efficiency has also been modeled
analytically and via simulation (Ekren et al., 2018; Eder, 2019).
2.2 Flexible SBSRS Research
Compared to non-flexible SBSRS designs, the literature on flexible SBSRS is more limited.
Flexible SBSRS, where fewer shuttles operate across multiple tiers, was first studied by Ha
and Chae (2018). More recent studies explored optimization strategies using machine
learning methods (Ekren & Arslan, 2022), simulation-based design evaluation (Ekren et al.,
2023), and shuttle scheduling using heuristic approaches (Yang et al., 2023).
2.3 Agent-Based Modeling in Automated Warehousing
Agent-based modeling has been widely applied in automated warehousing to simulate
dynamic decision-making scenarios. Early studies showed that this approach effectively
modeled complex systems with high variability (Guller & Hegmanns, 2014). More recent
works applied reinforcement learning to transaction scheduling in SBSRS (Arslan & Ekren,
2022). This study extends agent-based modeling to real-time data tracking and multi-
objective optimization of transaction processing in a flexible SBSRS design.

3. Methodology
3.1 System Definition and Assumptions
In the flexible SBSRS design, shuttles are not restricted to a single tier but can move between
tiers using a secondary lift (Lift 2). The system assumptions are as follows:
 Shuttles operate in designated aisles, with a capacity of one tote per bay.
 Lifting Mechanisms: Lift 1 is used for tote transport, while Lift 2 moves shuttles
between tiers.
 Transactions arrive following a Poisson distribution, with random storage and
retrieval demands.
 Simulation Parameters: The system configuration includes 15 tiers per aisle, 25 bays
on each side, and five shuttles per aisle.
 Figure1: Agent State Transition Diagram | Download Scientific Diagram
3.2 Agent-Based Modeling
The study uses agent-based simulation to evaluate system performance under different PARs.
Shuttles, lifts, and transactions are modeled as intelligent agents, capable of sensing and
reacting to real-time information. This approach allows for dynamic decision-making in
transaction processing based on real-time data.

Figure 2. State transition model of multi-shuttle agent.

3.3 Priority Assignment Rules (PARs)
Various PARs are tested to determine the optimal transaction processing method for
minimizing AFT, MFT, and SD of flow times. These include:
  First-In-First-Out (FIFO): Prioritizes tasks based on their arrival time.
 Shortest Process Time (SPT): Selects transactions with the shortest estimated
process time.
 Dual Command & SPT: Combines storage and retrieval processes to minimize
travel time.
 Real-Time Outlier Tracking Rule (RTOTR): Tracks real-time flow times and
assigns priority to transactions that exceed a critical point, dynamically updating the
system during simulation runs.

Figure 3. Flowchart of conventional nearest car (NC) algorithm.

4. Results and Discussion

4.1 Experimental Setup
The simulation was run for 45 days, with a warm-up period of 15 days. Performance metrics
such as AFT, MFT, and SD were collected across different warehouse configurations and
PAR scenarios. The results show that the RTOTR-based scheduling rules significantly
reduced outlier transaction processing times and minimized variability in the system.
4.2 Performance Comparison
Among the different PARs, the SPT rule achieved the lowest AFT, while the PT/WT rule
effectively minimized MFT. The introduction of RTOTR led to substantial improvements in
system performance, particularly in reducing outlier transaction times without adversely
affecting AFT.

5. Conclusion
This study presents a flexible SBSRS design and evaluates various PARs for transaction
processing using real-time data tracking under an agent-based modeling framework. The
results demonstrate that real-time tracking policies, such as RTOTR, provide significant
improvements in system performance, particularly for outlier transactions. By optimizing
multiple performance metrics simultaneously, the proposed PARs offer a comprehensive
solution for improving automated warehousing systems.

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