基于结构矩阵的动态协同方法在建造前期计划中的应用研究
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摘要
建造前期计划起始于招标文件发布，包括了项目投标、现场踏勘以及施工准备等阶段，并一直延续到现场施工正式开始后的一段时间。高效的建造前期计划能够承上启下，促进设计到施工的顺畅转化，同时起着“万能胶”的作用，能高效整合设计、制造、运输和施工等过程，并能协同众多临时性的团队进行大量实质性协作，保证项目资源得以快速整合与优化配置，进而确保建设项目能高效有序的展开。实际工程中，因为暖通空调系统复杂，牵涉方方面面，所以建造前期计划一般由具有暖通空调专业背景的计划工程师主持。美国供热-通风-空调工程承建商协会就曾经主办过多场旨在提高建造前期计划的过程管理国际会议。然而建造前期计划是一系列迭代特征明显的复杂协同决策过程，管理难度较大，即使是国际上一流的总承包企业在面对如何做好、管理好建造前期计划的问题时也深感头疼，认为这是一项巨大的挑战。而另一方面，随着我国城市化进程的进一步加快，城市综合体工程已成为我国建筑领域的建设与研究热点，城市综合体工程的快速与高效建设对全体利益相关方都是十分必要的。然而，对于城市综合体这样一个多系统，多功能汇集的复杂工程却通常需要在不确定因素充斥，资源有限，成本紧缩，场地狭窄等诸多约束条件下完成快速与高效的建设任务，其困难不仅来自于施工技术的复杂性，更来自于其计划的迭代复杂性。
作者首先通过走访国内著名城市综合体开发商，发现不论是进入国内的国际总承包商还是国内知名的总承包商均未能达到开发商对建造工期的预期要求。目前工程界普遍采用了增设计划部的方法，期望通过增设专职的计划组织机构来提高工程开发与建设的计划性，实现工程建设的快速与高效。然而，本研究通过对比研究了5个城市综合体工程发现，这些计划部门严重缺乏有效的计划的理论与方法，尽管投入了众多人力、物力，却未能取得明显的实际效果，现场的计划管控工作均呈现了“忙、乱、无序、无效”的共性。综合起来有以下三个不足：
1）目前存在将计划等同于使用计划软件，等同于计划的成果-横道图的普遍现象。
2）计划过程实际上是一系列的迭代特征明显的决策活动，决策有一定的顺序，且需要相关信息支撑，但是实际工程中计划编制者很少考虑计划决策的优化顺序，而且在信息缺乏时不分析原因而滥用“猜测与估计”，以致造成“计划赶不上变化”，工程经常出现“计划与执行”相分离的情况。
3）在本文所调研的5个城市综合体工程中普遍存在实际工期严重滞后的弊病。
接着，本文在深入分析了国内外众多计划原理与方法以及相关研究的基础上，通过对5个城市综合体工程的长期蹲点调研，发现，建造前期计划决策过程与大型迭代方程组的求解过程的类似性。本研究首先以实际工程案例决策过程（从简单到复杂）为基础建立了相应的数学模型，并对方程组的求解过程和相应的决策流程进行了一一的对应和分析。建造前期计划决策质量的好坏一取决于正确的决策顺序，二取决于信息的准确性和有效性。在此基础上，本论文采用了结构矩阵算法实现建造前期计划决策顺序的自动优化计算，最终构建了基于优化结构矩阵的建造前期动态协同计划方法；同时也找到了一种适合动态协同计划过程信息流仿真的建模方法和技术—IDEF0V建模技术，并通过实际案例分析、研究访谈及分组讨论获得数据，对动态协同计划过程中的各要素及信息流程进行模拟仿真，建立了一套面向协同计划过程的集现场踏勘、合约分判规划与界面划分、施工组织设计编制、施工计划编制、材料机械的运输搬运贮存计划、计划评估及协调、质量安全环境保护计划以及计划文件发布等子系统的信息流仿真通用建造前期计划过程模型。
最后采用了三个正在施工的城市综合体工程对该通用模型及相应的动态协同计划方法进行了案例分析。结果表明，新方法具有三个主要优点，首先，通用建造前期计划过程模型不仅对建造前期的计划工作内容进行了全面的梳理与总结，并提出了包括221个工作任务和3650条信息流的、可重复使用的通用计划模板，从而实现了建造前期计划任务清单与逻辑关系的自动生成。极大的减轻了计划工程师的工作，减少了计划工作中的漏项及逻辑关系大量缺失的现状。其次，通过结构矩阵优化的数学算法与计算机的快速计算和优化能力，在工程实践中可以较容易的找出包含不确定性最少的最优计划决策序列。从而有助于减少主观决策的数量，提高计划的可执行性。第三，所有计划决策过程中的‘猜测’与‘估计’行为都可以得到全面的记录、跟踪和管理，从而让计划的更新管理与时效性得到了极大的提高。总的来说，本研究的协同计划方法、建造前期计划过程模型以及计划编制与管理方法，通过在实际工程的案例应用表明本研究的成果能够明显改善当前计划编制与管理中存在的核心问题，实用效果明显，并且参与该实践验证的项目工作人员认为该原理、模型及方法是具有非常重要的实用价值，甚至希望能与作者及作者所在的大学签订长期咨询服务协议。
Preconstruction planning in construction started when the contractors received thebidding invitation documents and continued after the bid was awarded throughmobilization to a point early in construction. It has become a complex task requiringsubstantial collaboration, with ad-hoc teams created to bring all the project resourcesinvolved together in a timely manner as “glue” linking design, fabrication,transportation, construction processes, to ensure a construction project was completedeffectively and efficiently. This combined with the iterative nature of the planningprocess, has challenged even the best companies in the industry. In current practice,preconstruction planning process is led by HVAC engineer for its complex. ThePlumbing-Heating-Cooling Contractors (PHCC) National Association highlighted theimportance of the pre-construction planning process and organised several conferencefor improving it.With the development of urbanization in China, urban complex hasbecome hot issues in the construction field,. The fast and efficient construction of urbancomplex engineering was very necessary. for all stakeholders, development company,the construction units concerned, final tenants, consumers and urban people werebenefit from fast and efficient construction. However, in term of this kind of complexbuildings with complex system, multi-functions collection., it was usually undertookwith much uncertainty, limited resources, limited cost, narrow space, and many otherlimited conditions to realize fast and efficient construction, the difficulties derived notonly from the complexity of the technology, but also from the more complexity of theplan. At present, even for the international first-class enterprise it was a huge challengeto undertake urban complex fast and efficiently.
In fact, by visiting the domestic famous urban complex developers and theinternational famous developers,it was found that both of them failed to achieve theaim for expected period of developers. In order to improve the project development andthe construction planning, the planning department were used widely in practice.However, after comparing the survey result from five urban complex, It was found thatdue to a serious lack of the theory and method of plan, although a lot of human andmaterial resource were invested, the effect was not obvious. It was found that theplanning in these typical five urban complexes showed a significantly general character of "busy, disorder and invalid". Three major weaknesses in current practice wereidentified in the research:
1)it was a common phenomenon in practice that existing plan equaled to using theplan software, equaled to the results of a bar chart.
2) plan process was actually a series of decision activities with obvious iterativefeatures, in practice, planners never thought about the optimization of the decisionorder, the abuse of “estimates and guess” was wide, leading to the conditions of"plan can not catch up with the change"; plan was usually separated from execution.
3) the phenomena in practice was very common that practical period was delayedgreatly.
On the basis of reviewing previous work on plan theory and plan methodology,and the result of the survey of five urban complexes, it was revealed that information ofpreconstruction planning process was similar to variable of equations. This thesisestablished corresponding mathematics model according to different type of decisionmaking in real project(from simple to complex), compared and analized the solvingprocess of equations group and corresponding decision making process respectively.Thequality of preconstruction planning decisions was depends on two factors, one wascorrect sequence of decision making, the other was depends on accuracy andeffectiveness of information. A suitable dynamic planning process modelling methodsand technology was established to model dynamic information flow-IDEF0Vmodelling technology, the data was achieved by case study, research interview andgroup discussion for modelling the elements and information process of thepreconstruction planning process, a set of general preconstruction planning processmodel was established including subsystems of Preliminary Investigations andConstraints Analysis, Scope Planning and Package Control, Construction MethodsPlanning, Estimating and Scheduling, Construction Logistics, Evaluation andCo-ordination, Safety, Quality and Environmental Protection, Issuing Plan Documentsand Information etc.
This generic model of preconstruction planning was subsequently validatedthrough three live urban complex projects which also involved the application andevaluation of dynamic and collaborative plan method to create project programmes. Thecase studies revealed a range of benefits focused around three main outcomes. Firstly,the generic preconstruction planning process model, helped to overcome the firstweakness of current practice by eliminating many subjective decisions. This was achieved by generically representing the221tasks involved and3650information flowsin the preconstruction planning process of any construction projects in a consistent,re-usable manner, and realized the automatic generation of the plan task list and logisticrelationship, greatly reduced the planner’s work, also greatly reduced missing tasksand missing key logical relationship. Secondly, through the optimization of the structurematrix mathematics algorithm and the fast computing power of computers, it couldeasily find out a optimal planning decisions sequence with the least uncertainty，helping to eliminate many subjective decisions and improve the executable capability.Thirdly, all these previously-made estimations were highlighted, enabling furthertracking and management, which greatly improve d the effect and efficiency of plan. Ingeneral, the result of this research has significant effect to improve the management ofpreconstruction plan process with obvious practical effect. The participants of projectsacknowledge that the principle，the theory and method were of great value, evenwanted to sign a long term consulting agreement with Chongqing University.
作者首先通过走访国内著名城市综合体开发商，发现不论是进入国内的国际总承包商还是国内知名的总承包商均未能达到开发商对建造工期的预期要求。目前工程界普遍采用了增设计划部的方法，期望通过增设专职的计划组织机构来提高工程开发与建设的计划性，实现工程建设的快速与高效。然而，本研究通过对比研究了5个城市综合体工程发现，这些计划部门严重缺乏有效的计划的理论与方法，尽管投入了众多人力、物力，却未能取得明显的实际效果，现场的计划管控工作均呈现了“忙、乱、无序、无效”的共性。综合起来有以下三个不足：
1）目前存在将计划等同于使用计划软件，等同于计划的成果-横道图的普遍现象。
2）计划过程实际上是一系列的迭代特征明显的决策活动，决策有一定的顺序，且需要相关信息支撑，但是实际工程中计划编制者很少考虑计划决策的优化顺序，而且在信息缺乏时不分析原因而滥用“猜测与估计”，以致造成“计划赶不上变化”，工程经常出现“计划与执行”相分离的情况。
3）在本文所调研的5个城市综合体工程中普遍存在实际工期严重滞后的弊病。
接着，本文在深入分析了国内外众多计划原理与方法以及相关研究的基础上，通过对5个城市综合体工程的长期蹲点调研，发现，建造前期计划决策过程与大型迭代方程组的求解过程的类似性。本研究首先以实际工程案例决策过程（从简单到复杂）为基础建立了相应的数学模型，并对方程组的求解过程和相应的决策流程进行了一一的对应和分析。建造前期计划决策质量的好坏一取决于正确的决策顺序，二取决于信息的准确性和有效性。在此基础上，本论文采用了结构矩阵算法实现建造前期计划决策顺序的自动优化计算，最终构建了基于优化结构矩阵的建造前期动态协同计划方法；同时也找到了一种适合动态协同计划过程信息流仿真的建模方法和技术—IDEF0V建模技术，并通过实际案例分析、研究访谈及分组讨论获得数据，对动态协同计划过程中的各要素及信息流程进行模拟仿真，建立了一套面向协同计划过程的集现场踏勘、合约分判规划与界面划分、施工组织设计编制、施工计划编制、材料机械的运输搬运贮存计划、计划评估及协调、质量安全环境保护计划以及计划文件发布等子系统的信息流仿真通用建造前期计划过程模型。
最后采用了三个正在施工的城市综合体工程对该通用模型及相应的动态协同计划方法进行了案例分析。结果表明，新方法具有三个主要优点，首先，通用建造前期计划过程模型不仅对建造前期的计划工作内容进行了全面的梳理与总结，并提出了包括221个工作任务和3650条信息流的、可重复使用的通用计划模板，从而实现了建造前期计划任务清单与逻辑关系的自动生成。极大的减轻了计划工程师的工作，减少了计划工作中的漏项及逻辑关系大量缺失的现状。其次，通过结构矩阵优化的数学算法与计算机的快速计算和优化能力，在工程实践中可以较容易的找出包含不确定性最少的最优计划决策序列。从而有助于减少主观决策的数量，提高计划的可执行性。第三，所有计划决策过程中的‘猜测’与‘估计’行为都可以得到全面的记录、跟踪和管理，从而让计划的更新管理与时效性得到了极大的提高。总的来说，本研究的协同计划方法、建造前期计划过程模型以及计划编制与管理方法，通过在实际工程的案例应用表明本研究的成果能够明显改善当前计划编制与管理中存在的核心问题，实用效果明显，并且参与该实践验证的项目工作人员认为该原理、模型及方法是具有非常重要的实用价值，甚至希望能与作者及作者所在的大学签订长期咨询服务协议。
Preconstruction planning in construction started when the contractors received thebidding invitation documents and continued after the bid was awarded throughmobilization to a point early in construction. It has become a complex task requiringsubstantial collaboration, with ad-hoc teams created to bring all the project resourcesinvolved together in a timely manner as “glue” linking design, fabrication,transportation, construction processes, to ensure a construction project was completedeffectively and efficiently. This combined with the iterative nature of the planningprocess, has challenged even the best companies in the industry. In current practice,preconstruction planning process is led by HVAC engineer for its complex. ThePlumbing-Heating-Cooling Contractors (PHCC) National Association highlighted theimportance of the pre-construction planning process and organised several conferencefor improving it.With the development of urbanization in China, urban complex hasbecome hot issues in the construction field,. The fast and efficient construction of urbancomplex engineering was very necessary. for all stakeholders, development company,the construction units concerned, final tenants, consumers and urban people werebenefit from fast and efficient construction. However, in term of this kind of complexbuildings with complex system, multi-functions collection., it was usually undertookwith much uncertainty, limited resources, limited cost, narrow space, and many otherlimited conditions to realize fast and efficient construction, the difficulties derived notonly from the complexity of the technology, but also from the more complexity of theplan. At present, even for the international first-class enterprise it was a huge challengeto undertake urban complex fast and efficiently.
In fact, by visiting the domestic famous urban complex developers and theinternational famous developers,it was found that both of them failed to achieve theaim for expected period of developers. In order to improve the project development andthe construction planning, the planning department were used widely in practice.However, after comparing the survey result from five urban complex, It was found thatdue to a serious lack of the theory and method of plan, although a lot of human andmaterial resource were invested, the effect was not obvious. It was found that theplanning in these typical five urban complexes showed a significantly general character of "busy, disorder and invalid". Three major weaknesses in current practice wereidentified in the research:
1)it was a common phenomenon in practice that existing plan equaled to using theplan software, equaled to the results of a bar chart.
2) plan process was actually a series of decision activities with obvious iterativefeatures, in practice, planners never thought about the optimization of the decisionorder, the abuse of “estimates and guess” was wide, leading to the conditions of"plan can not catch up with the change"; plan was usually separated from execution.
3) the phenomena in practice was very common that practical period was delayedgreatly.
On the basis of reviewing previous work on plan theory and plan methodology,and the result of the survey of five urban complexes, it was revealed that information ofpreconstruction planning process was similar to variable of equations. This thesisestablished corresponding mathematics model according to different type of decisionmaking in real project(from simple to complex), compared and analized the solvingprocess of equations group and corresponding decision making process respectively.Thequality of preconstruction planning decisions was depends on two factors, one wascorrect sequence of decision making, the other was depends on accuracy andeffectiveness of information. A suitable dynamic planning process modelling methodsand technology was established to model dynamic information flow-IDEF0Vmodelling technology, the data was achieved by case study, research interview andgroup discussion for modelling the elements and information process of thepreconstruction planning process, a set of general preconstruction planning processmodel was established including subsystems of Preliminary Investigations andConstraints Analysis, Scope Planning and Package Control, Construction MethodsPlanning, Estimating and Scheduling, Construction Logistics, Evaluation andCo-ordination, Safety, Quality and Environmental Protection, Issuing Plan Documentsand Information etc.
This generic model of preconstruction planning was subsequently validatedthrough three live urban complex projects which also involved the application andevaluation of dynamic and collaborative plan method to create project programmes. Thecase studies revealed a range of benefits focused around three main outcomes. Firstly,the generic preconstruction planning process model, helped to overcome the firstweakness of current practice by eliminating many subjective decisions. This was achieved by generically representing the221tasks involved and3650information flowsin the preconstruction planning process of any construction projects in a consistent,re-usable manner, and realized the automatic generation of the plan task list and logisticrelationship, greatly reduced the planner’s work, also greatly reduced missing tasksand missing key logical relationship. Secondly, through the optimization of the structurematrix mathematics algorithm and the fast computing power of computers, it couldeasily find out a optimal planning decisions sequence with the least uncertainty，helping to eliminate many subjective decisions and improve the executable capability.Thirdly, all these previously-made estimations were highlighted, enabling furthertracking and management, which greatly improve d the effect and efficiency of plan. Ingeneral, the result of this research has significant effect to improve the management ofpreconstruction plan process with obvious practical effect. The participants of projectsacknowledge that the principle，the theory and method were of great value, evenwanted to sign a long term consulting agreement with Chongqing University.
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