/·(QFpSKDOH 66
Disponible en ligne sur www.sciencedirect.com
journal homepage: www.em-consulte.com/produit/ENCEP
/HVDQRPDOLHVGXVRPPHLOSHXYHQWHOOHVSDUWLFLSHU DXULVTXHFDUGLRYDVFXODLUHGHVWURXEOHVELSRODLUHV" 'RVOHHSDEQRUPDOLWLHVFRQWULEXWHWRFDUGLRYDVFXODUULVN LQELSRODUGLVRUGHUV" -$0LFRXODXG)UDQFKLD3$*HRIIUR\E0&HUPRODFFHF5%HO]HDX[F 0$GLGDF-0$]RULQF D/DERUDWRLUHGH1HXURVFLHQFHV&RJQLWLYHV/1& 805&156$L[0DUVHLOOH8QLYHUVLWp0DUVHLOOHFHGH[)UDQFH E,16(5080563DULV3DULV)UDQFH F6+83V\FKLDWULHDGXOWHV6RODULV+{SLWDO6WH0DUJXHULWH0DUVHLOOHFHGH[)UDQFH
0276&/e6 7URXEOHVELSRODLUHV 5LVTXH FDUGLRYDVFXODLUH 5pDFWLYLWp pPRWLRQQHOOH $SQpHGXVRPPHLO
5pVXPp /HVSDWLHQWVVRXIIUDQWGHWURXEOHVELSRODLUHV7% SUpVHQWHQWFLQTIRLVSOXVGH ULVTXHGHPDODGLHVFDUGLRYDVFXODLUHVTXHGHVVXMHWVVDQV7%/HV\QGURPHPpWDEROLTXH HVW XQ IDFWHXU TXL DXJPHQWH VLJQLÀFDWLYHPHQW OH ULVTXH GH GpYHORSSHU XQH PDODGLH FDUGLRYDVFXODLUHFKH]FHVSDWLHQWV'HX[DXWUHVIDFWHXUVLPSRUWDQWVPDLVQpDQPRLQVPRLQV UHFRQQXVHQSUDWLTXHFOLQLTXHDXJPHQWHQWpJDOHPHQWOHULVTXHGHPDODGLHFDUGLRYDVFXODLUH ,OV·DJLWGHVWURXEOHVGHODUpDFWLYLWppPRWLRQQHOOHHWGHVSDWKRORJLHVGXVRPPHLODYHFHQ SDUWLFXOLHUOHV\QGURPHG·DSQpHREVWUXFWLYHGXVRPPHLO6$26 (QHIIHWO·K\SHUUpDFWLYLWp pPRWLRQQHOOHVHPEOHIDYRULVpHSDUFHUWDLQVWHPSpUDPHQWVGLWV©FROpULTXHVªOH7%HWOD SULYDWLRQGHVRPPHLO,OHVWGpPRQWUpTXHO·HQVHPEOHGHFHVYDULDEOHVLQWHUDJLVVHQWHW FRQGXLVHQWjXQHDXJPHQWDWLRQGXULVTXHFDUGLRYDVFXODLUH3DUDLOOHXUVOH6$26HVWXQH SDWKRORJLHGXVRPPHLOWUqVIRUWHPHQWDVVRFLpHDX7%TXLWHQGjIUDJPHQWHUOHVRPPHLO HWTXLHVWpJDOHPHQWDVVRFLpHjXQULVTXHFDUGLRYDVFXODLUHSOXVpOHYp/DV\QWKqVHGHFHV GRQQpHV VRXOLJQH DLQVL OD SODFH FHQWUDOH GHV DQRPDOLHV GX VRPPHLO HW GH OD UpDFWLYLWp pPRWLRQQHOOH GDQV OD YXOQpUDELOLWp GX7% DX[ PDODGLHV FDUGLRYDVFXODLUHV &HV GRQQpHV SHUPHWWHQWpJDOHPHQWGHUDSSHOHUO·LPSRUWDQFHG·LGHQWLÀHUHWGHSUHQGUHHQFKDUJHOHV DQRPDOLHVGXVRPPHLOGDQVOH7%DÀQG·DPpOLRUHUODPRUELGLWpHWODPRUWDOLWpGHFHWURXEOH /·(QFpSKDOH3DULV7RXVGURLWVUpVHUYpV
$XWHXUFRUUHVSRQGDQW $GUHVVHHPDLOMDUWKXUPLFRXODXG#JPDLOFRP-$0LFRXODXG)UDQFKL /·(QFpSKDOH3DULV7RXVGURLWVUpVHUYpV
/HVDQRPDOLHVGXVRPPHLOSHXYHQWHOOHVSDUWLFLSHUDXULVTXHFDUGLRYDVFXODLUHGHVWURXEOHVELSRODLUHV"
.(<:25'6 %LSRODUGLVRUGHUV &DUGLRYDVFXODUULVN (PRWLRQDOUHDFWLYLW\ 6OHHSDSQHD
6
6XPPDU\ 2EMHFWLYHV²7KHDLPRIWKLVUHYLHZLVWRVXPPDUL]HWKHVWDWHRINQRZOHGJH FRQFHUQLQJ WKH UHODWLRQVKLS EHWZHHQ FDUGLRYDVFXODU ULVN VOHHS DEQRUPDOLWLHV DQG HPRWLRQDOUHDFWLYLW\LQSDWLHQWVZLWKELSRODUGLVRUGHU%' 0HWKRG ² $ VFLHQWLÀF OLWHUDWXUH VHDUFK RI LQWHUQDWLRQDO DUWLFOHV ZDV SHUIRUPHG GXULQJ $XJXVWDQG6HSWHPEHUXVLQJWKH3XE0HGHOHFWURQLFGDWDEDVH:HXVHGWKHIROORZLQJ 0H6+WHUPV´%LSRODU'LVRUGHUVµ´&DUGLRYDVFXODUULVNµ´(PRWLRQDOUHDFWLYLW\µ´6OHHS DSQHDµDQG´6OHHSGLVRUGHUµ 5HVXOWV²2EVWUXFWLYHVOHHSDSQHD26$ LVDVOHHSGLVRUGHUVWURQJO\DVVRFLDWHGZLWK%' ZKLFKWHQGVWRIUDJPHQWVOHHS26$LVDVVRFLDWHGZLWKDQLQFUHDVHGFDUGLRYDVFXODUULVN )XUWKHUPRUH HPRWLRQDO K\SHUUHDFWLYLW\ LV IDYRUHG E\ ´KRVWLOLW\µ WHPSHUDPHQWV %' DQG VOHHS GHSULYDWLRQ 7KH FRPELQDWLRQ RI WKHVH IDFWRUV LQWHUDFWV DQG DOVR UHVXOWV LQ DQLQFUHDVHGFDUGLRYDVFXODUULVN7DNHQDVDZKROHERWKVOHHSGLVRUGHUVDQGHPRWLRQDO K\SHUUHDFWLYLW\VHHPWRLQFUHDVHWKHULVNRIFDUGLRYDVFXODUGLVHDVHVLQ%' &RQFOXVLRQ²7KHVHGDWDHPSKDVL]HWKHFHQWUDOUROHRIVOHHSDEQRUPDOLWLHVDQGHPRWLRQDO UHDFWLYLW\ LQ WKH YXOQHUDELOLW\ RI %' WR H[SUHVV FDUGLRYDVFXODU GLVHDVHV )URP D FOLQLFDO SRLQWRIYLHZWKHVHGDWDDOVRHPSKDVL]HWKHLPSRUWDQFHRILGHQWLI\LQJDQGFDUHIRUVOHHS DEQRUPDOLWLHVLQ%'LQRUGHUWRLPSURYH%'RXWFRPH /·(QFpSKDOH3DULV$OOULJKWVUHVHUYHG
,QWURGXFWLRQ /HWURXEOHELSRODLUH7% HVWXQHPDODGLHSV\FKLDWULTXHVpYqUH HWIUpTXHQWHTXLWRXFKHGHODSRSXODWLRQJpQpUDOH>@/D VpYpULWpGHODPDODGLHHVWWHOOHTXHO·HVSpUDQFHGHYLHGHV VXMHWVDWWHLQWVGH7%HVWGLPLQXpHGHDQVHQPR\HQQH>@ HWQ·DSDVDXJPHQWpFHVGHUQLqUHVGpFHQQLHVFRQWUDLUHPHQW jODSRSXODWLRQJpQpUDOH2UGDQVOHVIDFWHXUVUHFRQQXVGH VXUPRUWDOLWpLOHVWREVHUYpTXHOHVSDWLHQWVVRXIIUDQWGH7% SUpVHQWHQWFLQTIRLVSOXVGHULVTXHGHPDODGLHVFDUGLRYDVFX ODLUHVTXHGHVVXMHWVVDQV7%>@(QHIIHWLODpWpFRQÀUPpTXH FHWWHPRUWDOLWpSOXVSUpFRFHGHVVXMHWVDYHF7%pWDLWHQJUDQGH SDUWLHGXHjXQHLQFLGHQFHSOXVpOHYpGHPDODGLHFDUGLRYDVFX ODLUH>@3DUDLOOHXUVOHV\QGURPHPpWDEROLTXHDERUGpGDQV O·DUWLFOHGH&HUPRODFFHHWDOGLVSRQLEOHGDQVFHQXPpURGH O·(QFpSKDOHHVWXQIDFWHXUTXLDXJPHQWHVLJQLÀFDWLYHPHQW OHULVTXHGHGpYHORSSHUXQHPDODGLHFDUGLRYDVFXODLUHFKH] FHVSDWLHQWV>@/DSUpYDOHQFHGHFHV\QGURPHPpWDEROLTXH HVWGHFKH]FHVSDWLHQWVDYHFXQRGGUDWLR25 GH SDUUDSSRUWjODSRSXODWLRQJpQpUDOH>@(QRXWUHGDQVOHV IDFWHXUVGHULVTXHGHGpYHORSSHUXQV\QGURPHPpWDEROLTXH VRXOLJQRQVTXHOHWUDLWHPHQWSDUDQWLSV\FKRWLTXHDXJPHQWH pJDOHPHQWODSUpYDOHQFHGXV\QGURPHPpWDEROLTXHFKH]FHV SDWLHQWV>@'HX[DXWUHVIDFWHXUVLPSRUWDQWVPDLVQpDQPRLQV PRLQVUHFRQQXVHQSUDWLTXHFOLQLTXHDXJPHQWHQWpJDOHPHQW OHULVTXHGHPDODGLHFDUGLRYDVFXODLUH,OV·DJLWGHVWURXEOHVGH ODUpDFWLYLWppPRWLRQQHOOHHWGHVSDWKRORJLHVGXVRPPHLODYHF HQSDUWLFXOLHUOHV\QGURPHG·DSQpHREVWUXFWLYHGXVRPPHLO 6$26 $LQVLO·REMHFWLIGHFHWDUWLFOHVHUDGHGUHVVHUO·pWDW GHVFRQQDLVVDQFHVVFLHQWLÀTXHVLQWHUQDWLRQDOHVGHFHVGHX[ IDFWHXUVGHULVTXHDÀQGHSURSRVHUXQPRGqOHGHYXOQpUDELOLWp SHUPHWWDQWG·LQWpJUHUOHVRPPHLOGDQVXQHYRLHSK\VLRSDWKR ORJLTXHFRPPXQHWHQDQWFRPSWHjODIRLVGXSURQRVWLFGX WURXEOHGHO·KXPHXUHQOXLPrPHULVTXHGHUHFKXWHG·pSLVRGH
WK\PLTXHHWULVTXHGHV\PSW{PHUpVLGXHO >@HWGXULVTXH G·H[SUHVVLRQGHPDODGLHVFDUGLRYDVFXODLUHVFRQVWLWXDQWO·XQ GHVIDFWHXUVGHPRUWDOLWpSULQFLSDOGX7%>@
5pDFWLYLWppPRWLRQQHOOH 7UDLWVGHSHUVRQQDOLWpUpDFWLYLWp pPRWLRQQHOOHHWIDFWHXUVGHULVTXH FDUGLRYDVFXODLUHV /DUpDFWLYLWpSV\FKRSK\VLRORJLTXHjXQVWLPXOXVpPRWLRQQHO RX j XQ IDFWHXU GH VWUHVV GpSHQG j OD IRLV GH YDULDEOHV SV\FKRVRFLDOHVLQGLYLGXHOOHVHWGHSDUDPqWUHVSK\VLRORJLTXHV SURSUHVjFKDFXQ $LQVLGHSXLVODWKpRULHGHVKXPHXUVG·+LSSRFUDWHHWGH *DOLHQTXLQRXVDSSDUDvWWUqVSDUODQWHVXUXQSODQFOLQLTXH OHWHPSpUDPHQWGHW\SH©FROpULTXHªDpWpDVVRFLpjXQ ULVTXHSOXVpOHYpGHGpYHORSSHUGHVPDODGLHVFDUGLRYDVFX ODLUHV>@(Q)ULHGPDQHW5RVHQPDQGpFULYDLHQW XQHDVVRFLDWLRQHQWUHFHUWDLQVWUDLWVGHSHUVRQQDOLWpDSSHOp SHUVRQQDOLWp GH W\SH$ HW PrODQW GHV WUDLWV GH FDUDFWqUH FROpULTXHVG·K\SHUDFWLYLWpHWG·K\SHULQYHVWLVVHPHQWSUR IHVVLRQQHO HWOHVIDFWHXUVGHULVTXHFDUGLRYDVFXODLUH>@ &HVDVVRFLDWLRQVRQWpWpFRQÀUPpHVSDUGHVpWXGHVORQJL WXGLQDOHV SURVSHFWLYHV SHUPHWWDQW G·DIÀUPHU XQ OLHQ GH FDXVDOLWpUREXVWH>@1pDQPRLQVLOIDXWVRXOLJQHUTXH TXHOTXHV pWXGHV Q·RQW SDV UHWURXYp FHWWH DVVRFLDWLRQ TXL UHVWH SDUIRLV GLVFXWpH >@ &HSHQGDQW OD PpWKRGRORJLH G·pYDOXDWLRQGHODSHUVRQQDOLWpGHW\SH$VHPEOHSUpVHQWHU GHV LQVXIÀVDQFHV HW OLPLWHV HW SRXUUDLW DLQVL H[SOLTXHU OD GLVFRUGDQFHGHVUpVXOWDWVVXUFHW\SHGHSHUVRQQDOLWp>@ $LQVLLOVHPEOHUDLWTXHVHXOHODGLPHQVLRQ©KRVWLOLWpªGH ODSHUVRQQDOLWpGHW\SH$VRLWDVVRFLpHjXQHDXJPHQWDWLRQ
6
GX ULVTXH FDUGLRYDVFXODLUH >@ /·KRVWLOLWp VH GpÀQLW SDU XQH WHQGDQFH j UpDJLU IUpTXHPPHQW SDU OD FROqUH j GHV IDFWHXUVGHVWUHVV&HPRGHGHUpDFWLRQVHUDLWDVVRFLpjXQH UpDFWLYLWppPRWLRQQHOOHSOXVLQWHQVHDXPDLQWLHQSHUPDQHQW G·XQpWDWG·pYHLO©DURXVDOª DVVRFLpjXQHK\SHUUpDFWLYLWp V\PSDWKLTXH HW j XQH UpJXODWLRQ V\PSDWKLFRYDJDO GpVp TXLOLEUpH>@3DUH[HPSOHXQGHVELRPDUTXHXUVPDMHXUV GHFHWWHUpJXODWLRQV\PSDWKLFRYDJDOHVWODYDULDELOLWpGH ODIUpTXHQFHFDUGLDTXH9)& TXLFRUUHVSRQGjODYDULDWLRQ GH O·LQWHUYDOOH 55 HQWUH GHX[ EDWWHPHQWV GX F±XU DX FRXUV GX WHPSV >@ ,O HVW GpPRQWUp TXH OHV IDFWHXUV GH VWUHVV HQWUDvQHQW XQH GLPLQXWLRQ GH OD 9)& DYHF XQH YDULDELOLWp LUUpJXOLqUH FKDRWLTXH HW GH IDLEOH DPSOLWXGH 'H PrPH O·K\SHUUpDFWLYLWp pPRWLRQQHOOH HVW DVVRFLpH j XQH GLPLQXWLRQ GH OD 9)& &HV GHX[ IDFWHXUV VRQW FRQQXV SRXUrWUHDVVRFLpVjXQSOXVPDXYDLVSURQRVWLFGHVWURXEOHV FDUGLRYDVFXODLUHV>@
3ULYDWLRQGHVRPPHLOUpDFWLYLWppPRWLRQQHOOH HWIDFWHXUGHULVTXHFDUGLRYDVFXODLUH ,OHVWPDLQWHQDQWELHQFRQQXTXHODSULYDWLRQGHVRPPHLO HQWUDvQH GHV ÁXFWXDWLRQV DIIHFWLYHV GRQW GHV UpDFWLRQV GH FROqUH HW G·LUULWDELOLWp SOXV IUpTXHQWHV >@ (OOH HVW DVVRFLpH H[SpULPHQWDOHPHQW j XQH LPSXOVLYLWp SOXV LPSRUWDQWH >@ HW j XQH K\SHUUpDFWLYLWp pPRWLRQQHOOH GDQVOHVVLWXDWLRQVGHVWUHVVDVVRFLpHVjXQHK\SHUDFWLYDWLRQ V\PSDWKLTXH>@/DSULYDWLRQGHVVWDGHVGHVRPPHLO5(0 RX © VRPPHLO SDUDGR[DO ª VHPEOH SOXV SDUWLFXOLqUHPHQW LPSOLTXpH GDQV O·DXJPHQWDWLRQ GHV FROqUHV HW GH O·LUULWD ELOLWp>@HWGDQVO·K\SHUUpDFWLYLWppPRWLRQQHOOH>@ 3DUDOOqOHPHQW LO HVW GpPRQWUp TXH OHV IDFWHXUV GH VWUHVV VRQWGHVIDFWHXUVGHULVTXHG·LQVRPQLH>@(QÀQO·LQ VRPQLHDSSDUDvWDVVRFLpHjXQULVTXHFDUGLRYDVFXODLUHSOXV pOHYp>@$LQVLLOH[LVWHUDLWXQHUHODWLRQUpFLSURTXHHQWUH IDFWHXUVGHVWUHVVHWSULYDWLRQGHVRPPHLOGRQWO·LQWHUDFWLRQ DXJPHQWHUDLWOHULVTXHFDUGLRYDVFXODLUH>@
7URXEOHELSRODLUHUpDFWLYLWppPRWLRQQHOOH HWSULYDWLRQGHVRPPHLO /H7% HVW DVVRFLp j FHUWDLQV WHPSpUDPHQWV >@ HW j XQH K\SHUUpDFWLYLWp pPRWLRQQHOOH SOXW{W TX·j XQH WRQDOLWp pPRWLRQQHOOHQpJDWLYHRXSRVLWLYH SDUWLFXOLqUH>@'H PDQLqUHLQWpUHVVDQWHFHWWHK\SHUUpDFWLYLWpjpWpFRQÀUPpH GDQV GHV VLWXDWLRQV GH OD YLH TXRWLGLHQQH SDU GHV DXWR TXHVWLRQQDLUHVH[DPLQDQWO·LQWHQVLWpGHODUpSRQVHRXGHOD YDULDELOLWppPRWLRQQHOOH>@HWpJDOHPHQWHQVLWXDWLRQ H[SpULPHQWDOHFRQWU{OpH>@ 3DUDLOOHXUVOH7%V·DVVRFLHSHQGDQWWRXWHVOHVSKDVHV GHODPDODGLHDXFRXUVG·XQpSLVRGHWK\PLTXHRXHQSKDVH GHUpPLVVLRQ jXQHPDXYDLVHTXDOLWpGXVRPPHLOHWjXQH
-$0LFRXODXG)UDQFKLHWDO
SODLQWHG·LQVRPQLH>@/·LQGH[GHTXDOLWpGXVRPPHLOGH 3LWWVEXUJK364, HVWQRWDPPHQWXQTXHVWLRQQDLUHXWLOLVpHW LODSXrWUHUHOHYpGHVSHUWXUEDWLRQVVpYqUHVGHODTXDOLWp VXEMHFWLYH GX VRPPHLO >@ &HWWH PDXYDLVH TXDOLWp GX VRPPHLODpWpFRQÀUPpHSDUGHVPHVXUHVREMHFWLYHVXWLOLVDQW O·DFWLJUDSKLHHWTXLUHWURXYDLWFKH]GHVSDWLHQWVHQUpPLVVLRQ XQVRPPHLOPRLQVHIÀFDFHSOXVIUDJPHQWpHWSOXVYDULDEOH TXHFKH]OHVVXMHWVVDLQV>@&HVDOWpUDWLRQVGXVRPPHLO FRQWULEXHQW HQ SpULRGH GH UpPLVVLRQ j O·K\SHUUpDFWLYLWp UHWURXYpHFKH]FHVSDWLHQWV>@jXQULVTXHSOXVpOHYpGH UHFKXWHHQpSLVRGHPDQLDTXH>@HWjO·DXJPHQWDWLRQ GXULVTXHFDUGLRYDVFXODLUH>@'HPrPHLOHVWGpPRQWUp TXHODUHFKXWHWK\PLTXHDOWqUHODTXDOLWpGXVRPPHLO$LQVL ODSULYDWLRQGHVRPPHLOHVWFRQVLGpUpHFRPPH©ODFDXVH SUR[LPDOHIRQGDPHQWDOHªRXOD©YRLHÀQDOHFRPPXQHªGH ODSOXSDUWGHVIDFWHXUVGHULVTXHGDQVOH7%>@/DVHQVLELOLWp SV\FKRSK\VLRORJLTXHjODSULYDWLRQGHVRPPHLOSRXUUDLWHQ RXWUH rWUH XQ PDUTXHXU HQGRSKpQRW\SLTXH SXLVTXH FHWWH YXOQpUDELOLWp VH UHWURXYH FKH] OHV DSSDUHQWpV GH SUHPLHU GHJUpVDLQVGHVSDWLHQWVDYHFXQ7%>@$LQVL7%SULYDWLRQ GHVRPPHLOHWUpDFWLYLWppPRWLRQQHOOHVHPEOHQWLQWHUDJLU SRXUDXJPHQWHUOHULVTXHFDUGLRYDVFXODLUHFKH]FHVSDWLHQWV
6\QGURPHG·DSQpHREVWUXFWLYH GXVRPPHLO 6\QGURPHG·DSQpHREVWUXFWLYHGXVRPPHLO HWIDFWHXUGHULVTXHFDUGLRYDVFXODLUH 8Q V\QGURPH G·DSQpH REVWUXFWLYH GX VRPPHLO 6$26 HVW GpÀQL SDU XQ LQGH[ GH VXUYHQXH GH SOXV GH DSQpHV HW RX K\SRSQpHV SDU KHXUH GH VRPPHLO HW SDU O·H[LVWHQFH GH V\PSW{PHV QRFWXUQHV URQIOHPHQW Q\FWXULH DUUrW UHVSLUDWRLUHDYHFUHSULVHEUX\DQWHGHODUHVSLUDWLRQVXHXUV QRFWXUQHVVHQWLPHQWGHVRPPHLOQRQUpSDUDWHXU HWSDU OD SUpVHQFH GH V\PSW{PHV GLXUQHV VRPQROHQFH GLXUQH H[FHVVLYHDVWKpQLHPDWLQDOHFpSKDOpHPDWLQDOHEDLVVHGH OD OLELGR K\SHUWHQVLRQ DUWpULHOOH >@ 8Q 6$26 HVW GRQF FRQÀUPpSDUO·REMHFWLYDWLRQG·DSQpHRXK\SRSQpHSDUXQ HQUHJLVWUHPHQW SRO\JUDSKLTXH GX VRPPHLO SRO\JUDSKLH YHQWLODWRLUHRXSRO\VRPQRJUDSKLH HWSDUODGRFXPHQWDWLRQ GHV V\PSW{PHV QRFWXUQHV HW GLXUQHV SDU QRWDPPHQW OH TXHVWLRQQDLUH GH %HUOLQ SRXU LGHQWLÀHU OHV VXMHWV D ULVTXH GH6$26HWO·pFKHOOHG·(SZRUWKTXLpYDOXHODVRPQROHQFH GLXUQHH[FHVVLYH >@ /H 6$26 HVW XQH SDWKRORJLH IUpTXHQWH ,O FRQFHUQH HQYLURQGHODSRSXODWLRQJpQpUDOHDSUqVO·kJHGH DQV HQYLURQ GHV VXMHWV REqVHV HQYLURQ GHV VXMHWV DYHF XQH K\SHUWHQVLRQ DUWpULHOOH HW HQYLURQ GHVVXMHWVDYHFXQGLDEqWH>@/H6$26HVWXQIDFWHXUGH ULVTXHFDUGLRYDVFXODLUHPDMHXUTXLSHUVLVWHDSUqVDMXVWHPHQW VXUO·kJHOHVH[HOHWDEDFO·LQGLFHGHPDVVHFRUSRUHOOHHW ODSUpVHQFHGHPDODGLHVFRPPHOHGLDEqWHRXO·+7$>@
/HVDQRPDOLHVGXVRPPHLOSHXYHQWHOOHVSDUWLFLSHUDXULVTXHFDUGLRYDVFXODLUHGHVWURXEOHVELSRODLUHV"
6\QGURPHG·DSQpHREVWUXFWLYHGXVRPPHLO HWWURXEOHELSRODLUH &KH]OHVSDWLHQWVVRXIIUDQWGH6$26LOHVWREVHUYpXQHVXUUH SUpVHQWDWLRQG·HQYLURQGHWURXEOHGpSUHVVLIFDUDFWpULVp HWGHGH7%>@3DUDOOqOHPHQWFKH]OHVSDWLHQWV DYHFXQ7%LOHVWUHWURXYpHQYLURQGH6$26>@ &HWWHWUqVIRUWHSUpYDOHQFHLPSRVHGRQFGHGpSLVWHUV\VWp PDWLTXHPHQWOH6$26FKH]OHVSDWLHQWVVRXIIUDQWGH7%&H GpSLVWDJHHVWLQGLVSHQVDEOHSRXUGHX[UDLVRQV/DSUHPLqUH HVWO·LPSDFWGX6$26VXUODTXDOLWpGXVRPPHLO(QHIIHWOH 6$26IUDJPHQWHOHVRPPHLO5(0HWQRQ5(0HWDXJPHQWHUDLW ODUpDFWLYLWppPRWLRQQHOOH>@(QRXWUHLOV·DVVRFLHjXQ7% GHIRUPHFOLQLTXHSOXVVpYqUH>@(QÀQOH6$26SRXUUDLW H[SOLTXHUODUHODWLRQHQWUHREpVLWpHWDOWpUDWLRQGXVRPPHLO UHWURXYpH UpFHPPHQW GDQV OH WURXEOH ELSRODLUH >@ /D GHX[LqPHUDLVRQHVWO·LPSDFWUHFRQQXGX6$26VXUOHULVTXH FDUGLRYDVFXODLUHFKH]GHVSDWLHQWVSUpVHQWDQWGpMjXQULVTXH FDUGLRYDVFXODLUHDXJPHQWp>@ &HSHQGDQW OD YDOHXU SUpGLFWLYH SRVLWLYH HW QpJDWLYH GX TXHVWLRQQDLUH GH %HUOLQ GDQV FHWWH SRSXODWLRQ VHPEOH PDXYDLVHHWSRXVVHUDLWjXWLOLVHUGHVPpWKRGHVG·pYDOXDWLRQ SDUDFOLQLTXHVGX6$26>@(QHIIHWOHVSDWLHQWVDYHF 7%VHPEOHQWSUpVHQWHUXQ6$26HQO·DEVHQFHGHVIDFWHXUV GH ULVTXH FODVVLTXHV GH FHWWH PDODGLH SOXV IUpTXHPPHQW TXHGDQVODSRSXODWLRQJpQpUDOH>@$LQVLDÀQG·pYLWHUOHV IDX[ QpJDWLIV O·XWLOLVDWLRQ G·XQH SRO\JUDSKLH YHQWLODWRLUH jGRPLFLOH>@RXHQXQLWpG·KRVSLWDOLVDWLRQSV\FKLDWULTXH RXG·XQHSRO\VRPPQRJUDSKLHHQPLOLHXVSpFLDOLVpHQFDV GHVXVSLFLRQG·DXWUHVSDWKRORJLHVGHVRPPHLOFRPRUELGHV VHUDLWGRQFjSULYLOpJLHUGHYDQWODPRLQGUHVXVSLFLRQFOLQLTXH GH6$26HQSDUWLFXOLHUURQÁHPHQWRXVRPQROHQFHGLXUQH
6
H[FHVVLYH >@ HWRX HQ FDV GH IDFWHXU GH ULVTXH FDUGLR YDVFXODLUH DVVRFLp HQ SDUWLFXOLHU REpVLWp +7$ GLDEqWH HWRXGHWRXUGHFRXVXSpULHXUjFPFKH]O·KRPPHHW j FP FKH] OD IHPPH /H GpSLVWDJH V\VWpPDWLTXH GX 6$26SHUPHWWUDLWG·HQYLVDJHUXQWUDLWHPHQWVSpFLÀTXHGH FH WURXEOH UHVSLUDWRLUH GX VRPPHLO OD SUHVVLRQ SRVLWLYH FRQWLQXH33& TXLDPRQWUpVRQHIÀFDFLWpGDQVODUpGXFWLRQ GXULVTXHFDUGLRYDVFXODLUHHWGHODPRUWDOLWp>@/DSULVH HQ FKDUJH GHV DXWUHV IDFWHXUV GH ULVTXH FDUGLRYDVFXODLUH QRWDPPHQW OD UpGXFWLRQ SRQGpUDOH GHYUD pJDOHPHQW rWUH LQGLTXpHORUVGHFRPRUELGLWpVG·REpVLWp>@/·DPpOLRUDWLRQ GHODTXDOLWpGXVRPPHLOSDU33&SRXUUDLWSHUPHWWUHpJDOH PHQWXQHPHLOOHXUHVWDELOLWpFOLQLTXHGXWURXEOHELSRODLUH HWXQHGLPLQXWLRQGHODUpDFWLYLWppPRWLRQQHOOH>@PDLV GHVpWXGHVSURVSHFWLYHVUHVWHQWjPHQHU
3URSRVLWLRQG·XQPRGqOH &HWWH V\QWKqVH SHUPHW G·HQYLVDJHU XQ PRGqOH JpQpUDO (Q HIIHW O·K\SHUUpDFWLYLWp pPRWLRQQHOOH VHPEOH IDYRULVpH SDUFHUWDLQVWHPSpUDPHQWVGLWV©FROpULTXHVªOH7%HWOD SULYDWLRQGHVRPPHLO,OHVWGpPRQWUpTXHO·HQVHPEOHGHFHV YDULDEOHVLQWHUDJLVVHQWHWFRQGXLVHQWjXQHDXJPHQWDWLRQ GX ULVTXH FDUGLRYDVFXODLUH 3DU DLOOHXUV OH 6$26 HVW XQH SDWKRORJLHGXVRPPHLOWUqVIRUWHPHQWDVVRFLpHDX7%TXL WHQGjIUDJPHQWHUOHVRPPHLOHWTXLHVWpJDOHPHQWDVVRFLpH jXQULVTXHFDUGLRYDVFXODLUHSOXVpOHYp/·HQVHPEOHGHFHV GRQQpHVSHUPHWG·HQYLVDJHUXQPRGqOHLQWpJUDQWOHVRPPHLO GDQVXQHYRLHÀQDOHFRPPXQHLQVSLUpGXPRGqOHGH:HKU HWDO>@HWGXPRGqOHGH:DONHUHW+DUYH\>@PDLV LQWpJUDQWpJDOHPHQWOHVPDODGLHVFDUGLRYDVFXODLUHV)LJ
Tempérament « colérique »
Trouble bipolaire
Hyperréactivité émotionnelle
Altération de la qualité du sommeil
Hyperactivité sympathique
FRCV
Morbidité et mortalité cardiovasculaire
Syndrome d’apnée obstructive du sommeil
Obésité
Diabète )LJXUH7URXEOHVGHO·KXPHXUHWIDFWHXUVGHULVTXHFDUGLRYDVFXODLUHVSURSRVLWLRQG·XQPRGqOHGHYXOQpUDELOLWpLQWpJUDQWOHVRPPHLO
6
&HPRGqOHWKpRULTXHSHXWSHUPHWWUH SRXUOHFKHUFKHXUG·HQYLVDJHUGHVK\SRWKqVHVVWDWLVWLTXH PHQWpYDOXDEOHVSDUH[HPSOHSDU6WUXFWXUDO(TXDWLRQ 0RGHOOLQJ6(0>@ SHUPHWWDQWGHPLHX[FRPSUHQGUH ODSK\VLRSDWKRORJLTXHGX7%>@ SRXUOHFOLQLFLHQGHUDSSHOHUO·LPSRUWDQFHGXVRPPHLOHW GHVDSULVHHQFKDUJHDÀQG·DPpOLRUHUOHVWURXEOHVGX VRPPHLODVVRFLpVDX7%DXFRXUVGHVSKDVHVDLJXHVRXGH UpPLVVLRQHWG·DPpOLRUHUOHSURQRVWLFFDUGLRYDVFXODLUH GpWHUPLQDQWPDMHXUGHODPRUELGLWpHWPRUWDOLWpGX7%>@
/LHQVG·LQWpUrWV /HVDXWHXUVGpFODUHQWQ·DYRLUDXFXQOLHQG·LQWpUrWSRXUFHW DUWLFOH
5pIp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ÀQDO FRPPRQ SDWKZD\ LQ WKH JHQHVLV RI PDQLD$P - 3V\FKLDWU\ >@ 3ODQWH'7:LQNHOPDQ-:6OHHSGLVWXUEDQFHLQELSRODUGLVRU GHUWKHUDSHXWLFLPSOLFDWLRQV$P-3V\FKLDWU\ >@ 5RVKDQDHL0RJKDGGDP%.DWRQ:3UHPDWXUHPRUWDOLW\IURP JHQHUDOPHGLFDOLOOQHVVHVDPRQJSHUVRQVZLWKELSRODUGLVRU GHUDUHYLHZ3V\FKLDWU6HUY >@ *DXFKHW$ 6KDQNODQG 5 *DQW]HU & HW DO$SSOLFDWLRQV FOL QLTXHV HQ SV\FKRORJLH GH OD VDQWp 3V\FKRORJLH IUDQoDLVH >@ %UXFKRQ6FKZHLW]HU 0 3V\FKRORJLH GH OD VDQWp PRGqOHV FRQFHSWVHWPpWKRGHV3DULV'XQRG >@ )ULHGPDQ05RVHQPDQ5+$VVRFLDWLRQRIVSHFLÀFRYHUWEHKD YLRU SDWWHUQ ZLWK EORRG DQG FDUGLRYDVFXODU À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
-$0LFRXODXG)UDQFKLHWDO
>@ /DKORX.&RQVROL66WUHVVSHUVRQQDOLWp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·%DLODUD . 'HVDJH$$QWRQLRO % 0XOWLSOLFLW\ RI V\QGURPHVDVVRFLDWLQJPDQLFDQGGHSUHVVLYHV\PSWRPVWKH QHHGIRUDGLPHQVLRQDODSSURDFK(QFHSKDOH >@ +HQU\&0·%DLODUD.0DWKLHX)HWDO&RQVWUXFWLRQDQGYDOLGD WLRQRIDGLPHQVLRQDOVFDOHH[SORULQJPRRGGLVRUGHUV0$7K\6 0XOWLGLPHQVLRQDO$VVHVVPHQW RI7K\PLF 6WDWHV %0& 3V\ FKLDWU\ >@ +HQU\&9DQGHQ%XONH'%HOOLYLHU)HWDO$IIHFWLYHODELOLW\ DQGDIIHFWLQWHQVLW\DVFRUHGLPHQVLRQVRIELSRODUGLVRUGHUV GXULQJHXWK\PLFSHULRG3V\FKLDWU\5HV >@ 0·%DLODUD.$W]HQL7&RORP)HWDO(PRWLRQDOK\SHUUHDFWL YLW\DVDFRUHGLPHQVLRQRIPDQLFDQGPL[HGVWDWHV3V\FKLDWU\ 5HV >@ 0·%DLODUD.&KHYULHU)'XWHUWUH7HWDO(PRWLRQDOUHDFWL YLW\LQHXWK\PLFELSRODUSDWLHQWV(QFHSKDOH >@ 'XERLV0$]RULQ-0)DNUD($GLGD0%HO]HDX[5(PRWLRQDO HQGRSKHQRW\SHVDQGELSRODUGLVRUGHU(QFHSKDOH6XSSO 6 >@ +DUYH\$*6FKPLGW'$6FDUQD$HWDO6OHHSUHODWHGIXQF WLRQLQJ LQ HXWK\PLF SDWLHQWV ZLWK ELSRODU GLVRUGHU SDWLHQWV
/HVDQRPDOLHVGXVRPPHLOSHXYHQWHOOHVSDUWLFLSHUDXULVTXHFDUGLRYDVFXODLUHGHVWURXEOHVELSRODLUHV"
>@ >@ >@ >@ >@ >@ >@ >@ >@ >@
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·LQ ELSRODUGLVRUGHU-$IIHFW'LVRUG -RUGDQ$60F6KDUU\'*0DOKRWUD$$GXOWREVWUXFWLYHVOHHS DSQRHD/DQFHW
6
>@ 6RUHFD,%XWWHQÀHOG-$+DOO0+.XSIHU'-6FUHHQLQJIRUREV WUXFWLYHVOHHSDSQHDLQSDWLHQWVZLWKELSRODU,GLVRUGHUFRP SDULVRQEHWZHHQVXEMHFWLYHDQGREMHFWLYHPHDVXUHV%LSRODU 'LVRUGLQSUHVV >@ .HOO\7'RXJODV/'HQPDUN/HWDO7KHKLJKSUHYDOHQFHRI REVWUXFWLYH VOHHS DSQHD DPRQJ SDWLHQWV ZLWK ELSRODU GLVRU GHUV-$IIHFW'LVRUG >@ %HHEH':*R]DO'2EVWUXFWLYHVOHHSDSQHDDQGWKHSUHIURQ WDOFRUWH[WRZDUGVDFRPSUHKHQVLYHPRGHOOLQNLQJQRFWXUQDO XSSHUDLUZD\REVWUXFWLRQWRGD\WLPHFRJQLWLYHDQGEHKDYLR UDOGHÀ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