Un modelo de diagnóstico de desviaciones de sistemas integrados respecto de las normas ISO 14001 e ISO 9001.
Abstract
Se resume en este traba}o, la labor de diseño de un modelo que permita evaluar, respecto de las conocidas referencias ISO, Sistemas de Gestión que incorporen simultáneamente los criterios de Calidad y Medio Ambiente. Se aproxima
Full text
8102'(/2'(',$*1Ï67,&2'('(69,$&,21(6'( 6,67(0$6,17(*5$'265(63(&72'(/$61250$6,62 (,62 ,ERQ=DPDQLOOR(OJH]DEDO3DEOR'tD]GH%DVXUWR(UQHVWR&LOOHUXHOR&DUUDVFR)UDQFLVFR 6iQFKH])XHQWH (VFXHOD7pFQLFD6XSHULRUGH,QJHQLHURV ,QGXVWULDOHV\GH7HOHFRPXQLFDFLyQ $ODPHGDGH8UTXLMRVQ%LOEDR RHS]DHOL#ELHKXHV RHSGLEDS#ELHKXHV RHSFLFDH#ELHKXHV IVDQFKH]#WHNQLNHUFRP 5(680(1 6H UHVXPH HQ HVWH WUDEDMR OD ODERU GH GLVHxR GH XQ PRGHOR TXH SHUPLWD HYDOXDU UHVSHFWR GH ODV FRQRFLGDV UHIHUHQFLDV ,62 6LVWHPDV GH *HVWLyQ TXH LQFRUSRUHQ VLPXOWiQHDPHQWHORVFULWHULRVGH&DOLGDG\0HGLR$PELHQWH6HDSUR[LPDQDVLPLVPR ORV SDUiPHWURV TXHVHKDQGHWHUPLQDGRSDUDOD YDORUDFLyQDGHFXDGDGHPRGHORV GH GLDJQyVWLFR HQ 6LVWHPDV GH *HVWLyQ KDELHQGR VLGR OD EDVH GH DQiOLVLV PRGHORV FRQWUDVWDGRV HQ VX IXQFLRQDPLHQWR \ DFUHGLWDGRV FRPR YiOLGRV HQ FDGD XQD GH ORV FULWHULRV GH JHVWLyQ GH ORV TXH HQWLHQGH OD KHUUDPLHQWD GHILQLWLYD /D VHOHFFLyQ GH FULWHULRV SDUDOD HYDOXDFLyQHVWDEOHFHUi HO SHUILO GHODKHUUDPLHQWDFRQVWUXLGD\SRU WDQWRGHILQLUiVXHIHFWLYLGDGFRPRPRGHORFRPSDUDGRU\ODYDOLGH]GHORVLQIRUPHVTXH GHpOSXHGDQH[WUDHUVHVLHPSUHRULHQWDGRVKDFLDODPHMRUDFRQWLQXDGHORV SURFHVRV FRQWHPSODGRVHQHO6LVWHPD 3DODEUDV FODYHDXGLWRUtDPRGHORFRPSDUDGRUGHVYLDFLRQHVFULWHULRSRQGHUDFLyQ /$9$5,$%/(0(',2$0%,(17((1(/6,67(0$(&21Ï0,&2 /DV RUJDQL]DFLRQHV HPSUHVDULDOHV QXQFD DQWHV KDQ GHVSOHJDGR VX DFWLYLGDG HQ QLYHOHV GH FRPSHWHQFLD WDQ DOWRV FRPR HQ OD DFWXDOLGDG /RV PHUFDGRV VRQ VHOHFWLYRV \ WLHQHQ DFFHVR D WRGD OD LQIRUPDFLyQ QHFHVDULD SDUD TXH VXV DGTXLVLFLRQHV RUELWHQ DOUHGHGRU GH SDUiPHWURV PX\ SURIHVLRQDOHV FRPR OD HILFDFLD HO VHUYLFLR HO UHQGLPLHQWR OD ILDELOLGDG \ RWURV QXHYRV FHUFDQRV DO ELHQHVWDU VRFLDO SHUVRQDO \ OD VDWLVIDFFLyQ GH H[SHFWDWLYDV TXH WUDVFLHQGHQ GH FULWHULRVWUDGLFLRQDOHV 3HURDXQTXHODFRPSHWHQFLDHVXQLQGLFDGRUGHYDORUHVFRQWLQXDPHQWHFUHFLHQWHV\ TXH VLQ GXGD LPSXOVD OD PHMRUD LQWHUQD GH QXHVWUD LQGXVWULD XQ QXHYR GHVDItR DSDUHFH HQ HVFHQD 8Q GHVDItR TXH YD PiV DOOi GH ORV REMHWLYRV LQWHUQRV GH OD HPSUHVD \PiVDOOiGHXQFRPSRUWDPLHQWRVHFWRULDO\ TXHQRSXHGHYLQFXODUVH H[FOXVLYDPHQWHHQHOIXWXURLQGXVWULDO8QDYDULDEOHLQWURGXFLGDSRUORVH[FHVRV SURYRFDGRVDORODUJRGHQXHVWURUHFRUULGRKDVWDHOPRPHQWRDFWXDOHQRFDVLRQHV
SRUGHVFRQRFLPLHQWR\ HQRFDVLRQHVFRQVFLHQWHPHQWHSHURDOILQ\ DOFDERTXH GHEH VHU WHQLGD HQ FXHQWD SDUD HO PDQWHQLPLHQWR GH QXHVWUR HVWDWXV VREUH HO SODQHWD /D YDULDEOH 0HGLR $PELHQWH GHEH SRU HOOR HVWDU SUHVHQWH HQ ODV HPSUHVDVFRPRFULWHULRDGLFLRQDOGHJHVWLyQ 'HEHUtDPRVDOFDQ]DUODFRQFOXVLyQGHTXHORVREMHWLYRVPHGLRDPELHQWDOHV\ORV REMHWLYRVWUDGLFLRQDOHVGHQWURGHXQDRUJDQL]DFLyQPHUFDQWLOWLHQHQXQDOWRJUDGR GHFRLQFLGHQFLD8QJUDGRWDOTXHPiVDOOiGHFRH[LVWLUSXGLHUDQFRPSOHPHQWDUVH HLPSXOVDUVHPXWXDPHQWH6LREVHUYiUDPRVHVHSRWHQFLDOHVWDUtDPRVHQHOPDUFR GHORTXHKDYHQLGRHQGHQRPLQDUVHFRPR'(6$552//26267(1,%/(7DO\ FRPRDILUPDOD&RPLVLyQPXQGLDOSDUDHOPHGLRDPELHQWH\HOGHVDUUROORGHODV 1DFLRQHV 8QLGDV HO GHVDUUROOR VRVWHQLEOH H[LJH XQ FDPELR HQ HO DOFDQFH GHO GHVDUUROORHQVtDILQGHTXHGHSHQGDPHQRVGHODHQHUJtD\ORVPDWHULDOHV\TXH UHVXOWHQPiVHTXLOLEUDGRVHQVXVUHSHUFXVLRQHV 6HJ~Q OD GHILQLFLyQ REWHQLGD GH OD &RPLVLyQ GH 1DFLRQHV 8QLGDV :&(' WHQLHQGR HQ FXHQWD HO FLFOR FRQFHSWXDO GH LQWHUDFFLRQHV \ QR ROYLGDQGR ODV SUHRFXSDFLRQHVGH6FKXPDFKHUUHIOHMDGDVHQVXYLVLRQDULR³/RSHTXHxRHVEHOOR´ DOFDQ]DPRV HO FRQRFLGR PRGHOR 6LPSOH GH &RPPRQHU HQ HO TXH HO VLVWHPD HFRQyPLFRDGYHUWLGRHQHVWHFDStWXORVHFRQYLHUWHHQXQDFDWHJRUtDGHSURGXFWRV FRPR SRGUtDQ VHUOR OD HQHUJtD HOpFWULFD ORV SOiVWLFRV R OD SXOSD GH PDGHUD $ WUDYpV GH HVWH PRGHOR SRGUHPRV UHIOHMDU ORV HVIXHU]RV D ORV TXH VH VRPHWH DO 6LVWHPD 1DWXUDO FRPR UHVXOWDGR GH ORV PDWHULDOHV GH HQWUDGD TXH H[LJH OD FDWHJRUtD \ ODV VDOLGDV TXH VXSRQH GLFKD FDWHJRUtD HQ IRUPD GH DJHQWHV FRQWDPLQDQWHV R UHVLGXRV &RPPRQHU VH FHQWUy HQ HVWH ~OWLPR DVSHFWR HQ VX DQiOLVLV \ GHILQLy XQ tQGLFH GH UHSHUFXVLyQ DPELHQWDO D SDUWLU GH ODV VLJXLHQWHV UHODFLRQHV $JHQWHVFRQWDPLQDQWHVSRUSURGXFWR 3REODFLyQ32%/$&,Ï1 6DOLGDVSRUSURGXFWR;35263(5,'$' 3REODFLyQ $JHQWHVFRQWDPLQDQWHV;7(&12/2*Ë$ 6DOLGDVGHSURGXFWR 'HO DQiOLVLV GHULYDGR GH HVWH PRGHOR SRGHPRV GHGXFLU GLIHUHQWHV DVSHFWRV D DQDOL]DU SDUD HO FRQWURO \ JHVWLyQ GH ODV GHPDQGDV SURYRFDGDV SRU HO 6LVWHPD HFRQyPLFR
93REODFLyQ 9&RQVXPRSHUFiSLWD 96XVWLWXFLyQGHPDWHULDOHVGHHQWUDGD 95HGXFFLyQGHODVHQWUDGDV 97HFQRORJtDRULHQWDGDDOXVRHILFLHQWHGHORVPDWHULDOHVGHHQWUDGD 9$XPHQWRGHOYDORUDxDGLGRGHORVUHFXUVRV (OHVWXGLRHQSULPHUDLQVWDQFLDGHORVDVSHFWRVGHULYDGRVGHHVWHPRGHORVLPSOH GH &RPPRQHU SHUPLWH REWHQHU YDOLRVDV FRQFOXVLRQHV SDUD OD DSOLFDFLyQ HQ ORV VLVWHPDVGH*HVWLyQGHVGHODSHUVSHFWLYDPHGLRDPELHQWDO L (OPHGLRDPELHQWHHVXQDYDULDEOHHFRQyPLFD LL 6XLQFOXVLyQFRPRFULWHULRGHJHVWLyQHQRUJDQL]DFLRQHVLQGXVWULDOHVHV FRKHUHQWHFRQODPLVLyQ\YLVLyQGHODVPLVPDV LLL (OPHGLRDPELHQWHHQODVRUJDQL]DFLRQHVLQGXVWULDOHVHVVXVFHSWLEOHGH VHUJHVWLRQDGR LY /RV SDUiPHWURV TXH OLPLWDQ OD JHVWLyQ PHGLRDPELHQWDO VRQ LGHQWLILFDEOHV\PHGLEOHV Y /$ *(67,Ï1 0(',2$0%,(17$/ 38('( < '(%( 6(5 6,67(0$7,=$'$ (VWDFRQFOXVLyQGHILQLWLYDWLHQHXQHVSHFLDOYDORUDxDGLGRGHVGHHOSXQWRGHYLVWD GHODUHLQWHUSUHWDFLyQGHODVRUJDQL]DFLRQHVQRGHVGHGRVSHUVSHFWLYDVGLIHUHQWHV FRPRODHILFDFLD\HOPHGLRDPELHQWHVLQRGHVGHXQD~QLFDUHIHUHQFLDPL[WDIUXWR GHODIXVLyQGHORVFULWHULRVFRQVLGHUDGRV ,1&,'(1&,$6(1/$625*$1,=$&,21(6,1'8675,$/(6'(/$ ,1&/86,Ï1'(/$9$5,$%/(0(',2$0%,(17( 8QDGHODVFDUHQFLDVEiVLFDVGHHQHODQiOLVLVWUDGLFLRQDOGHVDUUROODGRVREUHODV RUJDQL]DFLRQHVLQGXVWULDOHVFRQVLVWHHQREYLDUFRPRSURFHVRGHDSR\RHOPHGLR DPELHQWH VLHQGR VLQ pO LPSRVLEOH OD SUiFWLFD HPSUHVDULDO (O PHGLR DPELHQWH SURYHHGHLQILQLGDGGHUHFXUVRLPSUHVFLQGLEOHVSDUDODHPSUHVD\FRPRWDOGHEH VHU JHVWLRQDGR DGHFXDGDPHQWH GHPDQHUDSURIHVLRQDO\ HILFD] 7HQHUHQFXHQWD HVWH SURFHVR GH DSR\R LQWURGXFLUi QXHYRV SDUiPHWURV GH JHVWLyQ \ VX RSWLPL]DFLyQ UHGXQGDUi HQ OD FRQVHFXFLyQ GH ORV REMHWLYRV HPSUHVDULDOHV $O KDFHUOR DORVDJHQWHVTXHLQWHUDFWXDQ FRQODHPSUHVDGHEHQVXPiUVHOHVGRVOD VRFLHGDG HQ JHQHUDO FRPR SURSLHWDULD GHO SDWULPRQLR PHGLRDPELHQWDO \ ODV VRFLHGDGHVIXWXUDVGHVGHXQDSHUVSHFWLYDDODUJRSOD]RUHFRJLHQGRORVSULQFLSLRV JHQHUDOHVVHJ~QODILORVRItDGHOD*HVWLyQGHOD&DOLGDG7RWDO /D JHVWLyQ PHGLRDPELHQWDO FRPR \D KD VLGR H[SXHVWR VH HQWLHQGH FRPR VXVFHSWLEOHGHXQDJHVWLyQVLVWHPDWL]DGD3RURWURODGRORVREMHWLYRVHFRQyPLFRV GLVIUXWDQGHXQDWUDGLFLyQSURORQJDGDHQHOWLHPSRHQORUHIHUHQWHDLQVWUXPHQWRV
PRGHORVPHFDQLVPRV\ KHUUDPLHQWDVGHVLVWHPDWL]DFLyQGHVGHODVHSDUDFLyQGH IXQFLRQHVWD\ORULDQDHQODHPSUHVDGHSULQFLSLRVGHOVLJORSDVDGR/RVHQIRTXHV FRQ PD\RU GHVSOLHJXH HQ HO VHFWRU LQGXVWULDO HQ ORV ~OWLPRV WUHLQWD DxRV VH FRUUHVSRQGHFRQHOGHODVHJXUDPLHQWR EDMRXQPRGHORGHUHTXLVLWRVGHDSOLFDFLyQ JHQHUDO FRQYLUWLHQGR XQD HPSUHVD RULHQWDGD D SHUVRQDV D XQD RUJDQL]DFLyQ RULHQWDGDDSURFHVRV(ODVHJXUDPLHQWRGHFDOLGDGFHQWUDGRVREUHODVDFWLYLGDGHV HPSUHVDULDOHVFRQVLGHUDGDVFUtWLFDVUHVSHFWRGHODFDOLGDGGHOSURGXFWRHQWUHJDGR DO FOLHQWH IXH GHVEDQFDGR SRU HO FRQFHSWR GH *HVWLyQ GH OD &DOLGDG KDFH \D DOJXQRV DxRV SHUR GH PDQHUD IRUPDO VH KD SURGXFLGR FRQ OD DSDULFLyQ GH OD UHYLVLyQGHODV1RUPDV,62GHODxR(VWHHQIRTXH,62GHODJHVWLyQGH ODFDOLGDGWLHQHVXHTXLYDOHQWHGHVGHHODxRSDUDODJHVWLyQGHODYDULDEOH PHGLRDPELHQWDODWUDYpVGHODIDPLOLD,62\SRUWDQWRVHFRQYLHUWHHQXQ UHIHUHQWHFRQVROLGDGRSDUDVXVLVWHPDWL]DFLyQHQODVRUJDQL]DFLRQHVLQGXVWULDOHV 6,78$&,21'(/$,1'8675,$5(63(&72$/$*(67,Ï1 0(',2$0%,(17$/ /DLQWURGXFFLyQGHOHJLVODFLyQHVSHFtILFDPHGLRDPELHQWDODVtFRPRODGHILQLFLyQ GHGLUHFWLYDVGHODFRPLVLyQHXURSHDPX\H[LJHQWHVVXMHWDVDWUDQVSRVLFLyQSDUD VXLQFOXVLyQHQHOVLVWHPDOHJDOHVSDxROKDDFUHFHQWDGRHOLQWHUpVGHODHPSUHVD LQGXVWULDO HQ OD LQFOXVLyQ GHO PHGLR DPELHQWH GHQWUR GH VX PRGHOR GH JHVWLyQ 6HJ~QUHYHODHOHVWXGLRUHDOL]DGRSRUOD)XQGDFLyQ(QWRUQR\SDWURFLQDGRSRUHO PLQLVWHULRGHHQHUJtDHLQGXVWULDGHOJRELHUQRHVSDxRO ODVHPSUHVDVLQGXVWULDOHV GHOHVWDGRHQIRFDQ VXSUHRFXSDFLyQ PHGLRDPELHQWDOHQ DVSHFWRV RUGHQDGRVD FRQWLQXDFLyQVHJ~QODSULRULGDGGHWHFWDGD 9&XPSOLPLHQWRFRQODOHJLVODFLyQ 95HGXFFLyQGHFRVWHV 90HMRUDGHODLPDJHQ 9([LJHQFLDVGHOPHUFDGR 9&RPSURPLVRFRQ HOGHVDUUROOR 'H GLFKR HVWXGLR VH REWLHQHQ GRV OtQHDV GH GDWRV GH JUDQ LQWHUpV RULHQWDGDV DO FRPSRUWDPLHQWR LQGXVWULDO UHVSHFWR DO PHGLR DPELHQWH (Q SULPHU OXJDU OD H[LJHQFLDPHGLRDPELHQWDODDJHQWHVH[WHUQRVFRPLHQ]DXQDSURJUHVLyQFODUDHQHO VHFWRU LQGXVWULDO DSDUHFLHQGR HQ XQ GH ODV LQGXVWULDV GH PiV GH HPSOHDGRV\HQXQGHODVLQGXVWULDVGHHQWUH\HPSOHDGRV(OHIHFWR WUDFWRUGHODVJUDQGHVHPSUHVDVHQPDWHULDGHH[LJHQFLDVGHPHUFDGRKDFHSUHYHU XQ HVFHQDULR GH H[LJHQFLD HQ HO VHFWRU VHFXQGDULR SDUD HO FXPSOLPLHQWR GH UHTXLVLWRVPHGLRDPELHQWDOHVWDQH[WHQGLGRFRPRHOTXH\DH[LVWHHQPDWHULDGH FDOLGDGDFRUWRSOD]R (QVHJXQGROXJDUVHREWLHQHQGDWRVUHODWLYDPHQWHVRUSUHQGHQWHVDOSUHJXQWDUDODV HPSUHVDVDFHUFDGHODLPSOHPHQWDFLyQGH6LVWHPDVGH*HVWLyQ0HGLRDPELHQWDO
&RPR VH REVHUYD HQ OD ILJXUD DGMXQWD HO GH ODV HPSUHVDV LQGXVWULDOHV HVSDxRODV GLVSRQH GH XQ 6LVWHPD GH *HVWLyQ 0HGLRDPELHQWDO WRWDOPHQWH LPSOHPHQWDGRHQVXRUJDQL]DFLyQ PLHQWUDVHOHVWDHQSURFHVRGHKDFHUOR 0iVGHXQWHUFLRGHOSDUTXHLQGXVWULDOGHOHVWDGRPXHVWUDLQWHUpVSRUGHVDUUROODUOR HLPSODQWDUOR\ WDQVyORXQDGHFDGDFXDWURLQGXVWULDVUHIOHMDGHVLQWHUpVSRUORV PLVPRV (Q OD SUiFWLFD WRWDOLGDG GH ORV FDVRV ORV PRGHOR VHJXLGRV HUDQ ODV UHIHUHQFLDVQRUPDWLYDVLQWHUQDFLRQDOHV,62 6LQHPEDUJRVHGHWHFWDXQDHVSHFLDOSUHRFXSDFLyQSRUODLQFLGHQFLDHQFRVWHVGH ODHPSUHVDDQWHODLQFRUSRUDFLyQGHXQQXHYRFULWHULRGHJHVWLyQ(VWDUHDOLGDGVH YHPXOWLSOLFDGDHQPDWHULDPHGLRDPELHQWDOSRUVHUVHQVLEOHDJUDQGHVLQYHUVLRQHV SDUDODFRUUHFFLyQGHFRPSRUWDPLHQWRVPX\GDxLQRVSDUDHOHQWRUQR6HREVHUYD TXH OD HPSUHVDV VRQ FRQVFLHQWHV GH OD QHFHVLGDG GH FDPELR GH HQIRTXH RUJDQL]DFLRQDODSRVWDQGRSRUWHQGHQFLDVGHWLSRSUHYHQWLYRVREUHODVPHGLGDVGH FRUUHFFLyQWDQWRGHVGHHOSXQWRGHYLVWDGHFRPSURPLVRVRFLDOFRPRGHVGHHOGH ODUHQWDELOLGDGHFRQyPLFD(VWHDUJXPHQWRTXHGDUHVSDOGDGRSRUHODQiOLVLVGHORV GHVWLQRV SUHVXSXHVWDULRV \ GLQHUDULRV GH ODV HPSUHVDV HQ PDWHULD GH PHGLR DPELHQWH LPSODQWDGR HQSURFHVR SUHYLVWR GHVLQWHUHV
(Q OD ILJXUD VH UHSUHVHQWDQ ORV GHVWLQRV GH ORV JDVWRV PHGLRDPELHQWDOHV FODVLILFDGRVVHJ~QHOYROXPHQGHIDFWXUDFLyQGHODVHPSUHVDVTXHORUHDOL]DURQ 0iV GH XQ GH ORV JUDQGHV FHQWURV LQGXVWULDOHV HVSDxROHV GRWDQ SDUWLGDV SUHVXSXHVWDULDV D OD FRQVXOWRUtD \ IRUPDFLyQ PHGLRDPELHQWDO \ VH GHWHFWD XQ LQFLSLHQWH\SURJUHVLYRDXPHQWRHQHOGHVWLQRGHIRQGRVDOGLVHxR\GHVDUUROORGH SURGXFWRVFRQFULWHULRVPHGLRDPELHQWDOHV /D VLWXDFLyQ GHVFULWD HQ HVWH FDStWXOR KDFH LPSUHVFLQGLEOH XQ PRGHOR GH LQWHJUDFLyQGH DPERVFULWHULRV HQXQD~QLFDUHIHUHQFLD \WHQLHQGRHQFXHQWDHO REMHWLYRGHPHMRUDFRQWLQXDGHHVWHWLSRGHPRGHORVVHKDFHLPSUHVFLQGLEOHHO GLVHxRGHXQPRGHOR~QLFRGHHYDOXDFLyQTXHGHWHFWHODVGHVYLDFLRQHVUHVSHFWR GHOUHIUHQFLDOVHJXLGRTXHSRQJDGHPDQLILHVWRDPHQD]DV\SXQWRVGpELOHV DJXDV UHVLGXDOHV UHVLGXRV HPLVLRQHV DWP UXLGRV FRQVXOWRUtD IRUPDFLyQ ,' !
&5,7(5,26'(',6(f2'(/02'(/2'((9$/8$&,21 /RVFULWHULRVDWHQHUHQFXHQWD\TXHUHFRMDQWRGRVORVUHTXLVLWRVH[LJLEOHVDXQ PRGHOR TXH FDSDFLWH D XQ 6LVWHPD GH *HVWLyQ ~QLFR GH PDQHUD ySWLPD VH SUHVHQWDQDFRQWLQXDFLyQ &DSDFLGDGSDUDHYDOXDUODHILFDFLDGHORVVLVWHPDVGHJHVWLyQGHODFDOLGDG \PHGLRDPELHQWDO &RKHUHQFLDFRQODVQRUPDV &RPSUHQVLELOLGDGGHOFXHVWLRQDULR (MHFXFLyQGHODHQWUHYLVWD 8VRGHOFXHVWLRQDULRHQORVGLVWLQWRVVHFWRUHVHPSUHVDULDOHV 2UJDQL]DFLyQGHODVSUHJXQWDVGHOFXHVWLRQDULR (OSULPHURGHORVFULWHULRV&DSDFLGDGSDUDHYDOXDUODHILFDFLDGHORVVLVWHPDV GH JHVWLyQ GH OD FDOLGDG \ PHGLRDPELHQWDO DQDOL]D ORV GLIHUHQWHV PRGHORV D WUDYpV GH XQD EDWHUtD GH SUHJXQWDV DJUXSDGDV HQ GRV VXEIDPLOLDV D 'DWRV FDUDFWHUtVWLFRVGHXQVLVWHPDGHODJHVWLyQGHODFDOLGDG\E'DWRVFDUDFWHUtVWLFRV GH XQ VLVWHPD GH JHVWLyQ PHGLRDPELHQWDO /D HYDOXDFLyQ EDMR HVWH HStJUDIH VH GHWHUPLQD HQ IXQFLyQ GHO Q~PHUR GH UHVSXHVWDV DILUPDWLYDV DQWH HO JUXSR GH SUHJXQWDVOR TXHSHUPLWHXQDFXDQWLILFDFLyQSRUFHQWXDOPX\ UHSUHVHQWDWLYD/DV SUHJXQWDV UHVSRQGHQ D ODV H[LJHQFLDV HQ ORV DVSHFWRV FDUDFWHUtVWLFRV GH ORV VLVWHPDVGH*HVWLyQ /D &RKHUHQFLD FRQ ODV 1RUPDV UHVSRQGH D OD QHFHVLGDG GH TXH HO SUHVHQWH PRGHORFRPSDUDGRUVHDMXVWH DODV1RUPDV,62 GHPDQHUDHVSHFtILFD&RQHVWD SUHJXQWDVHLQYHVWLJDVLVHKDQWHQLGRHQFXHQWDWRGRVORVSXQWRVGHODV1RUPDV GH IRUPD TXH VH FRPSDUHQ GLFKRV SXQWRV FRQ ODV GLIHUHQWHV SUHJXQWDV GH ORV FXHVWLRQDULRV/RVUHVXOWDGRVGHHVWDHYDOXDFLyQSXHGHQVLWXDUVHVREUHXQDFLQWD TXHUHSUHVHQWHHOSRUFHQWDMHGHFXPSOLPLHQWRGHOPRGHOR (QODSDUWHTXHFRUUHVSRQGHDOD&RPSUHQVLELOLGDGGHOFXHVWLRQDULR VHYDORUDOD FRQFUHFLyQ GH ODV SUHJXQWDV HO QLYHO Op[LFR GH ODV PLVPDV VX FRPSOHMLGDG VLQWiFWLFD OD ORQJLWXG HO Q~PHUR GH H[WUDQMHULVPRV R SDODEUDV GH OD MHUJD HVSHFtILFDXWLOL]DGRVVXQHXWUDOLGDGHWFDWUDYpVGHXQDEDWHUtDGHSUHJXQWDVFX\R UHVXOWDGRVHSXHGHSUHVHQWDUHQIRUPDGHSRUFHQWDMH
/D HMHFXFLyQ GH OD HQWUHYLVWD \ SRU OR WDQWR OD REWHQFLyQ GH XQ FXHVWLRQDULR GHELGDPHQWH FXPSOLPHQWDGR VH FHQWUD HQ OD SHUVSHFWLYD GHO FRVWH 6H LQWHUHVD VREUH ORV PHGLRV QHFHVDULRV SDUD OD PLVPD \ HO WLHPSR QHFHVDULR SDUD VX UHDOL]DFLyQSXHVWRTXHQRVyORHVLPSRUWDQWHVXFDSDFLGDGVLQRVXRSWLPL]DFLyQ 7DO\FRPRVHKDGHILQLGR\DHOPRGHORGHEHQDFHUFRQSURSyVLWRJHQHUDOWDQWRHQ HOSHUILOGHHPSUHVDFRPRHQVXVHFWRU(VWRVHUHFRJHHQHOFULWHULR 8VRHQORV GLVWLQWRV VHFWRUHV HPSUHVDULDOHV GyQGH VH GHILQHQORVJUDGRV GHDSOLFDELOLGDG GHOFXHVWLRQDULRSRUHOFRQWHQLGR\RULHQWDFLyQGHVXVSUHJXQWDV'HEHVXSRQHUVH TXHXQJUDGRGHVRODSHDOWRFRQODV1RUPDVGHEHUtDUHGXQGDUHQXQJUDQQLYHOGH DSOLFDELOLGDGQRREVWDQWHGHEHGHUHFRJHUVHHOPDWL]SRULPSRUWDQFLDHQVtPLVPR \SRUODGLYHUJHQFLDTXHSRGUtDVXSRQHUXQDRULHQWDFLyQHVSHFLDOPHQWHYHUWLFDOR VHFWRULDO < SRU ~OWLPR VH WRPD FRPR FULWHULR GH HYDOXDFLyQ OD 2UJDQL]DFLyQ GH ODV SUHJXQWDVGHOFXHVWLRQDULR ORTXHVLJQLILFDDQDOL]DUODRULHQWDFLyQJHQHUDOGHO FXHVWLRQDULRSRUODGHILQLFLyQGHFDGDXQDGHVXVSUHJXQWDV8QFXHVWLRQDULRSXHGH TXHUHUFHQWUDUVHVREUHORVSURFHVRVLQWHUQRVGHODHPSUHVDXRULHQWDUVHDOD1RUPD VLVLJXHXQDHVWUXFWXUDTXHUHVSRQGDDVXVUHTXLVLWRV &RPRSXHGHREVHUYDUVHHVWRVSDUiPHWURVGHDQiOLVLVVRQODEDVHGHOHVWXGLRGHXQ PRGHOR FRPSDUDGRU GH VLVWHPDV GH *HVWLyQ ÒQLFR R LQWHJUDGRLQWHJUDGRU &DOLGDG0HGLRDPELHQWHSHURVXSRQHQDODYH]XQDGLVHFFLyQGHORVSURSLRV 6LVWHPDV \ HQ FRQFUHWR GH VXV REMHWLYRV LQPHGLDWRV VHJ~Q OD QHFHVLGDG GH FXPSOLPLHQWRGHUHTXLVLWRVGH1RUPDVSRUORTXHVXGHWHUPLQDFLyQQRVSHUPLWH QRVyORGHILQLUODKHUUDPLHQWDPiVHILFD]VLQRUHIOH[LRQDUVREUHODRULHQWDFLyQGHO SURSLR6LVWHPDGH*HVWLyQ (-(03/26'(02'(/26'((9$/8$&,21 3DUD REWHQHU FRQFOXVLRQHV TXH SXGLHUDQ LOXPLQDU XQ QXHYR PpWRGR GH FRPSDUDFLyQ FRQ UHIHUHQFLDV ,62 HQ PDWHULD GH &DOLGDG \ *HVWLyQ 0HGLRDPELHQWDOVHHQWLHQGHFRPRLPSUHVFLQGLEOHHODQiOLVLVGHFXHVWLRQDULRV\D H[LVWHQWHV 'H KHFKR HVWH WUDEDMR GH FRPSDUDFLyQ HQWUH PRGHORV \D H[LVWHQWHV UHVXOWDLPSUHVFLQGLEOHQRVyORSDUDVLWXDUODUHDOLGDGDFWXDOVLQRSDUDGLVSRQHUGH XQDJXtDGHHYDOXDFLyQGHPRGHORVFRPSDUDGRUHV6LQHPEDUJRHQQXHVWURSDtV HVWD PDQHUD GH HYDOXDU 6LVWHPDV GH *HVWLyQ DSHQDV VH XWLOL]D QL HQ HO SODQR RUJDQL]DFLRQDO QL WDQ VLTXLHUD HQ HO SODQR FHUWLILFDGRU (Q ODV $XGLWRUtDV WDQWR LQWHUQDVFRPRH[WHUQDVORVUHVSRQVDEOHVDQDOL]DQODVLWXDFLyQGHO6LVWHPDHQEDVH DVXH[SHULHQFLD\FRQRFLPLHQWRVVLQDFXGLUDPRGHORVHVWDEOHFLGRVTXHDVHJXUHQ XQDHYDOXDFLyQFXDOLWDWLYDHVWiQGDUSDUDWRGRVORVFDVRV\TXHUHFRMDWRGRV\FDGD XQRGHORVSXQWRVTXHQRVUHFXHUGHQODV1RUPDV 3RUHOORHVQHFHVDULRUHFXUULUDPRGHORVGHSDtVHVGyQGHHO$XGLWRUVXHOHDSR\DUVH HQKHUUDPLHQWDVGHHVWHWLSRSRUORTXHVXFRQWHQLGRVHHQFXHQWUDFRQWUDVWDGRSRU
OD H[SHULHQFLD 'HVJUDFLDGDPHQWH SXHGH HQFRQWUDUVH XQ PRGHOR FRQMXQWR SDUD 6LVWHPDV ,QWHJUDGRV \ HQ FRQVHFXHQFLD VH DQDOL]DQ SRU VHSDUDGR ORV TXH WUDWDQ PDWHULDVGH&DOLGDG\0HGLRDPELHQWDO/RVVHOHFFLRQDGRVVRQ ORVPRGHORVTXHVH GHVFULEHQDFRQWLQXDFLyQ 0RGHORGH(YDOXDFLyQLQWHUQDGHODFDOLGDGGHODHPSUHVD5KHLQHOHNWUD VHFWRUHOpFWULFR 0RGHORGH(YDOXDFLyQGHODFDOLGDGVHJ~Q,62GHOFHUWLILFDGRU7h9 0RGHORGH(YDOXDFLyQGHODFDOLGDGVHJ~Q,62GHOFHUWLILFDGRU1,6 =(57 0RGHORGH(YDOXDFLyQGHODFDOLGDGVHJ~Q,62GHOFHUWLILFDGRU'46 0RGHORGH(YDOXDFLyQPHGLRDPELHQWDOVHJ~Q,62GHOFHUWLILFDGRU $(125 0RGHORGH(YDOXDFLyQPHGLRDPELHQWDOVHJ~Q,62GHOFHUWLILFDGRU '46 (Q SULPHU OXJDU GHEH WUDGXFLUVH H LQWHUSUHWDU VHJ~Q ODV 1RUPDV GH UHIHUHQFLDV HVWRVPRGHORVSDUDTXHFREUHQVHQWLGRHQQXHVWUDVRUJDQL]DFLRQHV(QVHJXQGR OXJDUHVWRVPRGHORVVHVRPHWHQDOHVTXHPDGHYDORUDFLyQVHJ~QORVFULWHULRVGH GLVHxRGHILQLGRVHQODSUHJXQWDDQWHULRUREWHQLHQGRGLIHUHQWHVUHVXOWDGRVHQFDGD XQR GH ORV DSDUWDGRV SDUD FDGD PRGHOR (VWRV UHVXOWDGRV SHUPLWHQ FRQRFHU ORV SXQWRVIXHUWHV\GpELOHVVHJ~QHOHQIRTXHH[SXHVWRLQLFLDOPHQWHTXHVHFLxHVLQR H[FOXVLYDPHQWH VL SULQFLSDOPHQWH D VX DGVFULSFLyQ D ODV 1RUPDV ,62 WDQWR HQ PDWHULD GH &DOLGDG FRPR GH 0HGLRDPELHQWH \ FRQ HOOR GLVSRQHU GH OD LQIRUPDFLyQ EiVLFD HQ SDUiPHWURV GH FDSDFLGDG HYDOXDGRUD SDUD GLVHxDU XQ PRGHORFRPSDUDGRU~QLFRGH6LVWHPDVGH*HVWLyQ,QWHJUDGRV &21&/86,21(6 /DFRQFOXVLyQIXQGDPHQWDOGHHVWHWUDEDMRHVHOPRGHORGHHYDOXDFLyQTXHFXPSOH FRQODVLJXLHQWHVFDUDFWHUtVWLFDV (VDSWRSDUDODYDORUDFLyQGHXQ6LVWHPDGH*HVWLyQ,QWHJUDGREDMRODV UHIHUHQFLDV ,62 GH IRUPDV ~QLFD HV GHFLU XQD ~QLFD DSOLFDFLyQHYDO~DHO6LVWHPDEDMRORVGRVFULWHULRVGH*HVWLyQ