Termodinàmica estadística. Vol. 1. Fonaments i funcions de partició: una introducció amb problemes resolts i comentats

158 Emili Besalú Llorà POLITEXT / FÍSICA UNIVERSITAT POLITÈCNICA DE CATALUNYA Aquest llibre és una introducció a la termodinàmica estadística i s'ha orientat de forma especial a aplicacions químiques. Ateses les dificultats, essencialment conceptuals, que presenta aquest cos teòric, en cada capítol es parteix d'una teoria general que s'amplia i s'exemplifica en els exercicis comentats. Els apèndixs han estat concebuts com a elements alternatius de consulta complementària. En adoptar aquest format es pretén aproximar el lector, de forma progressiva i també constructiva, al contingut de la disciplina mitjançant una obra didàctica i autocontinguda. El text s'estructura en tres parts: la primera, de fonaments; la segona, dedicada al càlcul de funcions de partició, i la darrera, més extensa, d'aplicacions de la termodinàmica de l'equilibri. A part d'impartir una sèrie de conceptes d'aplicació general, l'objectiu més important que s'ha perseguit és que el lector s'apropi als continguts d'una part de la ciència que, tradicionalment, ha presentat dificultats tant en el moment de ser ensenyada pels docents com de ser entesa pels alumnes. Termodinàmica estadística - 1 Fonaments i funcions de partició POLITEXT Emili Besalú Llorà Termodinàmica estadística - 1 Fonaments i funcions de partició Emili Besalú és Llicenciat en Ciències Químiques (1990), Màster en Química (1992) per la Universitat Autònoma de Barcelona i Doctor en Ciències Químiques per la Universitat de Girona (1996). L'Institut d'Estudis Catalans el guardonà amb el premi Antoni Martí i Franquès a la millor tesi doctoral sobre ciències químiques a Catalunya. Actualment és professor titular de Química Física al Departament de Química de la Universitat de Girona i és secretari acadèmic de l'Institut de Química Computacional de la mateixa universitat. La seva tasca investigadora s'ha centrat en el desenvolupament de noves eines matemàtiques aplicables al camp de la química teòrica i computacional. S'ha especialitzat en la teoria de la semblança molecular quàntica i les seves implicacions en l'àmbit de les relacions estructura-activitat. EDICIONS UPC POLITEXT 158 Termodinàmica estadística - 1 Fonaments i funcions de partició POLITEXT EDICIONS UPC Emili Besalú Llorà Termodinàmica estadística - 1 Fonaments i funcions de partició Una introducció amb problemes resolts i comentats Primera edició: febrer de 2004 Aquest obra compta amb el suport de la Generalitat de Catalunya En col·laboració amb el Servei de Llengües i Terminologia de la UPC. Disseny de la coberta: Manuel Andreu © Emili Besalú Llorà, 2004 © Edicions UPC, 2004 Edicions de la Universitat Politècnica de Catalunya, SL Jordi Girona Salgado 31, 08034 Barcelona Tel.: 93 401 68 83 Fax: 93 401 58 85 Edicions Virtuals: www.edicionsupc.es A/e: [email protected] Producció: CPET (Centre de Publicacions del Campus Nord) La Cup. Gran Capità s/n, 08034 Barcelona Dipòsit legal: B-9346-2004 ISBN: 84-8301-754-7 ISBN Obra completa: 84-8301-756-3 Són rigorosament prohibides, sense l'autorització escrita dels titulars del copyright, sota les sancions establertes a la llei, la reproducció total o parcial d'aquesta obra per qualsevol procediment, inclosos la reprografia i el tractament informàtic, i la distribució d'exemplars mitjançant lloguer o préstec públics. 9,, $O¶(YDHQ3DXLO,VDDF ³ODSDUDXODPHVWUHYHGHOOODWtPDJLVWHU6LJQLILFD©WUHV YHJDGHVPpVª 1LQJ~TXHQRVjSLJDWUHVYHJDGHVPpVTXHDTXHOODTXL HQVHQ\DQRSRWVHUPDLXQERQPHVWUH´  &RPPpVKLSHQVDYDPpVHPFRQYHQFLDTXHO¶LPSRUWDQW FRPGHLDHOSDUHQRHUDVDEHUWUHVYHJDGHVPpV (OTXHUHDOPHQWLPSRUWDYDHUDDFRQVHJXLUWUHVSXQWVGH YLVWDG¶XQDPDWHL[DTHVWLyLVHUFDSDoGHUHODFLRQDUORV 8QERQPHVWUHHUDHOTXHWHQLDWUHVERQHVSHUVSHFWLYHVL XQVLVWHPDSHUSDVVDUGHO¶XQDDO¶DOWUD -RVHS3ODL&DUUHUD 'DPXQWOHVHVSDWOOHVGHOVJHJDQWs © Els autors, 2004; © Edicions UPC, 2004 ,; $OJXQHVFRQVWDQWVItVLTXHVDSUR[LPDGHVLHQHO6LVWHPD,QWHUQDFLRQDO 1~PHURG¶$YRJDGUR 1$ ÂSDUWtFXOHVPRO &RQVWDQWGHOVJDVRVLGHDOV 5 -.PRO &RQVWDQWGH%ROW]PDQQ N 51$ Â-. &RQVWDQWGH3ODQFN K Â-V &RQVWDQWGH3ODQFNUHGXwGD ! KS Â-V 9HORFLWDWGHODOOXP F ÂPVH[DFWDPHQW &RQVWDQWGH5\GEHUJ 5f Â- )DFWRUVGHFRQYHUVLy H9 Â- -PRO FDO - NJ ÂXPD DWP 3D PP+JDQWLJDSUHVVLyHVWjQGDUGGHUHIHUqQFLD EDU 3DDFWXDOSUHVVLyHVWjQGDUGGHUHIHUqQFLD KFN FP. 0DVVHV DWzPLTXHV DSUR[LPDGHV HQ XPD G¶DOJXQV HOHPHQWV GH OD 7DXOD 3HULzGLFD + +H /L %H % & 1 2 ) 1H 1D 0J $O 6L 3 6 &O $U . &D *D *H $V 6H %U .U 5E 6U ,Q 6Q 6E 7H , ;H (VFDODGHWHPSHUDWXUDDEVROXWD7. WR&H[DFWDPHQW &RQVWDQWVPDWHPjWLTXHV S  H  OQ   :LOOLDP7KRPVRQ/RUG.HOYLQYDVHUTXLYDGHILQLUO¶DQRPHQDGDHVFDODWHUPRGLQjPLFD GHWHPSHUDWXUHVHO/¶RUtJHQGHODGHILQLFLyHVWUREDHQHOFDPSGHOHVPjTXLQHV WqUPLTXHV © Els autors, 2004; © Edicions UPC, 2004 ;, 3UHIDFL +HLPSDUWLWO¶DVVLJQDWXUDGHOD7HUPRGLQjPLFD(VWDGtVWLFDIRQDPHQWDOPHQWDDOXPQHV GHODFDUUHUDGH&LqQFLHV4XtPLTXHV*HQHUDOPHQWKRKHIHWHQHOPDUFGHODGLVFLSOLQD GHOD4XtPLFD)tVLFDLWDPEpHQUHODFLyDOD7HUPRGLQjPLFD4XtPLFDLGHO(TXLOLEUL GHVFULWDIHQRPHQROzJLFDPHQW+HH[SHULPHQWDWDOHVDXOHVODGLILFXOWDWTXHFRPSRUWD LPSDUWLUDVVLJQDWXUHVDPEFRQWLQJXWVUHODFLRQDWVDPEOHVGLVFLSOLQHVDOHVTXHDFDERGH IHUUHIHUqQFLD)LQVLWRWFUHFTXHHVSRWDILUPDUPpV(QHOVGDUUHUVDQ\VLSHUGLYHUVRV IDFWRUVV¶HVWjYLYLQWXQFDQYLHVWXGLDQWLOHQODPDQHUDGHYHXUHLYLXUHOD8QLYHUVLWDW PDVVLILFDFLyGHO¶DOXPQDWWRWLODGHYDOODGDGHPRJUjILFDSODQVG¶HVWXGLDMXVWDWV  8QDGHOHVFRQVHTqQFLHVG¶DL[zODWUREHPHQHOPRPHQWG¶LPSDUWLUWHPDULVSURSLVGH OD4XtPLFD)tVLFD)LQVLWRWFUHFTXHQRH[DJHURHQDILUPDU TXHSHUSDUWGHPROWV DOXPQHVHVYHXHQDTXHVWHVGLVFLSOLQHVG¶XQDPDQHUDHVSHFLDO3HOTXHUHVSHFWHDOD PHYDH[SHULqQFLDSDUWLFXODUXQFDVH[WUHPHVWUREDSUHFLVDPHQWHQOD7HUPRGLQjPLFD (VWDGtVWLFD (Q JHQHUDO DTXHVWD GLVFLSOLQD pV GH GLItFLO FRPSUHQVLy SHU SDUW GHOV DOXPQHVWRWLTXHPROWVG¶HOOVMDKDQFXUVDWSUqYLDPHQWDVVLJQDWXUHVGH7HUPRGLQjPLFD 4XtPLFDEjVLFDOD7HRULD4XjQWLFDHOHPHQWDOL(VSHFWURVFzSLD /OLJDWDWRWDL[zHQV WUREHPDPEHOGHVDYDQWDWJHDGGLFLRQDOTXHHOVWHPDULVGHPDWHPjWLTXHVREOLJDWzULHV KDQGLVPLQXwWGUjVWLFDPHQWHOVHXFRQWLQJXWHQHOVGDUUHUVDQ\V eV SHU WRW DL[zTXH OD PHYD LQWHQFLy KD HVWDW UHGDFWDU DTXHVW WH[W SHU WDO G¶DSURSDU O¶DOXPQHDOVFRQFHSWHVGHOD7HUPRGLQjPLFD(VWDGtVWLFDG¶XQDPDQHUDFRQVWUXFWLYD+H SURFXUDWHPSUDUXQOOHQJXDWJHIRUPDOSHUzDOKRUDSODQHULGLUHFWH'DTXHVWDPDQHUD LQWHQWR IHU PHQ\V WHGLRVD OD OHFWXUD L LPSOLFDU PpV DO OHFWRU DPE HO FRQWLQJXW D DVVLPLODU 3HU OHV PDWHL[HV UDRQV PROWHV YHJDGHV KH SRVWHUJDW D OHV VHFFLRQV GH SUREOHPHVODGHPRVWUDFLyG¶DOJXQHVDILUPDFLRQVRSDVVHVPDWHPjWLTXHV5HFRQHFTXH SHU SDUW G¶DOJXQ OHFWRU DOJXQV H[HUFLFLV GHPRVWUDFLRQV R FRPHQWDULVSRGHQVHPEODU UHGXQGDQWVRPDVVDGHWDOOLVWHV3HUzDL[zpVIUXLWGHO¶DIDQ\TXHKHWLQJXWSHUHYLWDUTXH DOJXQFRQFHSWHSURXLPSRUWDQWSDVVHVGHVDSHUFHEXWDPEOHVFRQVHTqQFLHVTXHDL[z SRWWHQLUHQHOFDVG¶XQDGLVFLSOLQDDXWRFRQVWUXFWLYDLEDVDGDHQSRVWXODWVFRPDTXHVWD /DPHYDLQWHQFLyWDPEpKDHVWDWHYLWDUODSUHVqQFLDGHQWUHEDQFVSXUDPHQWPDWHPjWLFVL TXHDFDSDULQO¶DWHQFLyGHWDOPDQHUDTXHHVFRUULHOSHULOOGHSHUGUHHOILOFRQFHSWXDO $L[tGRQFVGLQVG¶DTXHVWDOtQLDG¶H[SRVLFLyGHOWHPDKHSURFXUDWDOOLVDUHOWHUUHQ\DO OHFWRU,SHUWDOGHVHUFRKHUHQWKHRSWDWWDPEpSHUFRPHQWDUODUHVROXFLyGHWRWVHOV SUREOHPHVTXHHVSURSRVHQ $VVXPHL[RSHUzTXHHOOHFWRUWpFRQHL[HPHQWVHOHPHQWDOVGHPDWHPjWLTXHVDQLYHOOGHO WUDFWDPHQW GH GHULYDGHV LQWHJUDOV ORJDULWPHV  L TXH OD QRWDFLy HQ WHUPHV GH VXEtQGH[VLVXSHUtQGH[VQROLpVDOLHQD(VSDUWHL[GHODEDVHTXHHOOHFWRUFRQHL[HOV VLVWHPHVGHFRRUGHQDGHVHVIqULTXHVWpQRFLRQVGHFRPELQDWzULDGHOtPLWVLG¶DYDOXDFLy GH OD VXPD GH SURJUHVVLRQV JHRPqWULTXHV 7DPEp VH VXSRVD TXH HV FRQHL[HQ OHV IXQFLRQV WHUPRGLQjPLTXHV PpV FRPXQHV HQHUJLD LQWHUQD HQWDOSLD HQHUJLD OOLXUH HQWURSLDLTXHHQDOJXQPRPHQWV¶KDWLQJXWFRQWDFWHDPEHOVFRQFHSWHVIRQDPHQWDOV GHOD4XtPLFD4XjQWLFD(QWRWFDVHOVDSqQGL[VG¶DTXHVWOOLEUHSRGHQVHUYLUSHUSDOÂOLDU DOJXQHVG¶DTXHVWHVPDQFDQFHV /DXWRU © Els autors, 2004; © Edicions UPC, 2004   ;,,,  $JUDwPHQWV   $JUDHL[R HOV FRPHQWDULV L LQGLFDFLRQV IHWHV SHOV SURIHVVRUV )UDQFHVF 0DV GH OD 8QLYHUVLWDWGH%DUFHORQDL-RVHS+LODUL3ODQHOOHVGHOD8QLYHUVLWDW-DXPH,(OVVHXV VXJJHULPHQWVKDQFRQWULEXwWQRWDEOHPHQWDPLOORUDUHOFRQWLQJXWLXWLOLWDWG¶DTXHVW WH[W 7DPEp YXOO DJUDLU DOV SULPHUV OHFWRUV L FRUUHFWRUV G¶DTXHVW PDQXVFULW HO SURIHVVRU-RDQ0LUyLHOVDOXPQHV3HGUR6DOYDGRU'DYLG5REHUWL;DYLHU*LURQéV $HQ1DUFtV&ODUDTXHKDUHYLVDWDOJXQVGHOVDVSHFWHVPDWHPjWLFVGHOWH[W,QRSXF GHL[DU GH PHQFLRQDU O¶LQWHUqV TXH KDQ WLQJXW HOV SURIHVVRUV 3LODU *RQ]jOH] , 6DQWLDJR2OLYHOODTXHGHVGHO¶,QVWLWXWG¶(VWXGLV&DWDODQVKDQUHFRO]DWODSXEOLFDFLy G¶DTXHVWWUHEDOO9XOOWDPEpDJUDLUODVHYDDMXGDLGHGLFDFLyD$GULDQD+DQJDQXOD UHVSRQVDEOHGHSXEOLFDFLRQVGHO&,01()LQDOPHQWHPTXHGDGLULJLUXQVPRWVDOHV SHUVRQHV DTXL YD GHGLFDW DTXHVW OOLEUHUHDOPHQW pVDHOOHV D TXLKHUREDWWHPSV SHUTXqDTXHVWHVFULWSRJXpVVRUWLUDODOOXP$WRWVPROWHVJUjFLHVGHYHULWDW                                3HU FRPHQWDULV VXJJHULPHQWV QRWLILFDFLy G¶HUUDGHV  HV FRQYLGD DO OHFWRU D HVFULXUHDO¶DGUHoDHOHFWUzQLFDHPLOL#LTFXGJHV(VWpSUHYLVWREULUXQDSODQD:(% TXHFRQWLQJXLODLQIRUPDFLyTXHDL[zJHQHUL © Els autors, 2004; © Edicions UPC, 2004 ;9 (VWUXFWXUDGHOOOLEUH (OFRQWLQJXWG¶DTXHVWOOLEUHFRQVWLWXHL[XQDLQWURGXFFLyDOD7HUPRGLQjPLFD(VWDGtVWLFD (VWjHVWUXFWXUDWSHUVHFFLRQVLODXWRUKDSURYDWGHPDQWHQLUXQDILORVRILDFRQVWUXFWLYDDO OODUJ GH WRW HO WH[W $O ILQDO GH FDGD VHFFLy HV SRGHQ WUREDU SUREOHPHV UHVROWV L FRPHQWDWV(VUHFRPDQDODVHYDUHVROXFLyROHFWXUDSHUWDOGHFRPSOHWDUODFRPSUHQVLy GHOFRQWLQJXWGHOWH[W (OWH[WHVGLYLGHL[HQSDUWV x3DUW , (Q DTXHVWD SDUW HV GHVFULXHQ HOV IRQDPHQWV GH OD 7HUPRGLQjPLFD (VWDGtVWLFD(VPRVWUDTXLQSXQWGHYLVWDKDSUHVODXWRUSHUWDOGHSUHVHQWDUOD GLVFLSOLQDGHIRUPDFRQVWUXFWLYD(QDTXHVWDSDUWMDHVMXVWLILFDODQHFHVVLWDWGH WUHEDOODUDPEHOVFROÂOHFWLXVLDYDOXDUO¶DQRPHQDGDIXQFLyGHSDUWLFLyFDQzQLFD x3DUW,,(OSURFpVG¶DYDOXDFLyGHODIXQFLyGHSDUWLFLyFDQzQLFDHQVDERFDD SUHVHQWDUHOPRGHOGHOHVSDUWtFXOHVLQGHSHQGHQWV(VGHVFULXHQOHVIXQFLRQVGH SDUWLFLy PpV LPSRUWDQWV TXH HV WUREHQ HQ 4XtPLFD R )tVLFD (VWDGtVWLFD HOHPHQWDO(VGHVFULXHQGRQFVHOVGLIHUHQWVWLSXVGHIXQFLRQVGHSDUWLFLyTXH SHUPHWHQHO FjOFXOGHOD IXQFLy GH SDUWLFLy PROHFXODU OD TXDOSHUPHWGRQDU H[SUHVVLRQVVHQ]LOOHVSHUDODIXQFLyGHSDUWLFLyFDQzQLFD x3DUW,,,8QDYHJDGDV¶KDUHVROWIRUPDOPHQWHOFjOFXOGHODIXQFLyGHSDUWLFLy FDQzQLFD D OD SDUW DQWHULRU HV SDVVD D GHVFULXUH GLYHUVHV IXQFLRQV WHUPRGLQjPLTXHVLOHVVHYHVH[SUHVVLRQVHQWHUPHVG¶DTXHVWD7DPEpHVIDUj XQ UHSjV GH GLYHUVHV DSOLFDFLRQV TXLPLFRItVLTXHV LQFLGLQW VREUHWRW HQ HO FRQFHSWHGHO¶HTXLOLEULTXtPLF x$SqQGL[V $TXHVWD SDUW FRQWp DOJXQV GHOV FRQHL[HPHQWV SUHYLV GH PDWHPjWLTXHVLILVLFRTXtPLFDTXHpVUHFRPDQDEOHTXHHOOHFWRUWLQJXLDVVXPLWV DEDQVGDERUGDUODOHFWXUDGHOWH[W0ROWVOHFWRUVQRPpVQ¶KDXUDQGHIHUXQD OHFWXUDSDUFLDORILQVLWRWRSFLRQDO (OOHFWRUKDXUjGHWHQLUSUHVHQWTXHDYHJDGHVHQHOWH[WHVSDUODGHSDUWtFXOHVjWRPVR PROqFXOHV(QPROWVFDVRVOHVWUHVSDUDXOHVSRGHQVHUXWLOLW]DGHVGHIRUPDLQGLVWLQWD 7RWLDL[zHOWHUPHSDUWtFXOHVpVPpVJHQqULFSHOIHWTXHWDPEpSRWIHUUHIHUqQFLDD HOHFWURQV QXFOLV HWF 7DPEp HV SDUODUj G¶HQWLWDWV GLVWLQJLEOHV R LQGLVWLQJLEOHV (Q DTXHVWV FDVRV HQV HVWDUHP UHIHULQWDSDUWtFXOHV TXH VyQ UHVSHFWLYDPHQW ORFDOLW]DGHV FRPOHVTXHIRUPHQXQFULVWDOOTXHVyQGLVWLQJLEOHVDSDUWLUGHOHVVHYHVFRRUGHQDGHV FULVWDOÂORJUjILTXHVRGHVORFDOLW]DGHVFRPOHVTXHFRQVWLWXHL[HQXQJDVTXHQRWHQHQ DVVLJQDGDXQDSRVLFLyHVSDFLDOIL[D 4XDQHVPDUFDXQDSRUFLyGHWH[WHQOOHWUDLWjOLFDHV IDSHUSRVDUqPIDVLHQHOVHX VLJQLILFDWRSHUDVVHQ\DODUDOJXQDGHILQLFLyRSDUDXODSURXLPSRUWDQW+HPUHVHUYDWOD XWLOLW]DFLyGHOOHWUHVHQQHJUHWDSHUWDOG¶LGHQWLILFDUWHUPHVLGHILQLFLRQVPpVSUzSLHVGH OD7HUPRGLQjPLFD(VWDGtVWLFD /HVHTXDFLRQVILJXUHVWDXOHVLJUjILTXHVTXHHVUHIHUHQFLHQWHQHQXQFRGLTXHLQGLFDOD SDUWXQQRPEUHURPjRXQDOOHWUDHQHOFDVGHOVDSqQGL[VODVHFFLyXQQRPEUHDUjELF © Els autors, 2004; © Edicions UPC, 2004 ;;,,, /OLEUHVRQKLKDGHVHQYROXSDWVHOVWHPHVGHOVVLVWHPHVTXjQWLFVVHQ]LOOV  -3ODQHOOHV³4XtPLFD4XjQWLFD´&ROÂOHFFLy0DWHULDO'RFHQW3XEOLFDFLRQVGHOD 8QLYHUVLWDW-DXPH,&DVWHOOyGHOD3ODQD )&HQWHOOHV(%ULOODV;'RPqQHFKL50%DVWLGD³)RQDPHQWVG¶HVWUXFWXUD DWzPLFDLGHO¶HQOODoTXtPLF´(G%DUFDQRYD%DUFHORQD -0&RVWD-0/OXFKL--3pUH]³4XtPLFD(VWUXFWXUDGHODPDWqULD´(G (QFLFORSqGLD&DWDODQD6$%DUFHORQD ,1/HYLQH³4XtPLFD&XiQWLFD´(GLWRULDO$&0DGULG + (\ULQJ - :DOWHU L * ( .LPEDOO ³4XDQWXP &KHPLVWU\´ -RKQ:LOH\ 6RQV,QF1RYD<RUN © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD                           3DUW,)RQDPHQWVGHOD7HUPRGLQjPLFD(VWDGtVWLFD  (QDTXHVWD3DUW,V¶DVVHQWHQHOVIRQDPHQWVLOHVGHILQLFLRQVEjVLTXHVTXHLQWHUYHQHQHQ ODFRQVWUXFFLyGHODGLVFLSOLQDGHOD7HUPRGLQjPLFD(VWDGtVWLFD$SDUWLUGHOVFRQFHSWHV G¶DTXHVWDSDUWHVWUHXHOILOGHIRUPDGHGXFWLYDGHWRWHOFRVWHzULF IRQDPHQWDO TXH VXVWHQWDDTXHVWDEUDQFDGHOFRQHL[HPHQW  © Els autors, 2004; © Edicions UPC, 2004 , ,QWURGXFFLy /D7HUPRGLQjPLFD(VWDGtVWLFDWDPEpDQRPHQDGD0HFjQLFD(VWDGtVWLFDFRQVWLWXHL[HO OOLJDPRSRQWGHXQLyHQWUHHOPyQPLFURVFzSLFLHOPDFURVFzSLFHQWUHHOVSDUjPHWUHV TXjQWLFVLHOVPDFURVFzSLFVSURSLVGHOD7HUPRGLQjPLFDIHQRPHQROzJLFD$L[tDTXHVWD GLVFLSOLQDXWLOLW]DFRPDLQIRUPDFLyEjVLFDLSXQWGHSDUWLGDOHVYDULDEOHVTXHVREWHQHQ GHOD0HFjQLFD4XjQWLFDRTXHVH[WUHXHQDSDUWLUGHVWXGLVHVSHFWURVFzSLFV +LKDGLYHUVHVILQDOLWDWVTXHSHUVHJXHL[ODGLVFLSOLQDGHOD7HUPRGLQjPLFD(VWDGtVWLFD /HVDQLUHPGHVFREULQWDOOODUJGHWRWHOWH[W 'RQDU YDORUV D OHV PDJQLWXGV WHUPRGLQjPLTXHV TXH FOjVVLFDPHQWQRPpV SHUPHWLHQHOVHXHVWXGLTXDOLWDWLXRO¶DYDOXDFLyGHOHVVHYHVYDULDFLRQVHQIXQFLy G¶DOWUHV YDULDEOHV 'DTXHVWDPDQHUDWDPEpHVGHVFULXHQHOVVLVWHPHVGHVGHO SXQWGHYLVWDPDFURVFzSLF 5HWUREDUOHVIXQFLRQVWHUPRGLQjPLTXHVFOjVVLTXHVGHO¶HTXLOLEULDSDUWLUGHOHV GDGHVLLQIRUPDFLyGHOHVWUXFWXUDtQWLPDGHODPDWqULD(OTXHHVSUHWpQGRQFV pVWUDQVIRUPDUYDULDEOHVGHSDUWtFXODHQHUJLDPDVVDYHORFLWDWDYDULDEOHV WHUPRGLQjPLTXHVPDFURVFzSLTXHV86Q93HUDVVROLUDTXHVWREMHFWLXFDOIHU XVGH OHVWqFQLTXHVGHOHVWDGtVWLFD'DTXtSURYpHOQRP GDTXHVWDGLVFLSOLQD )L[HPQRV FRP DOJXQHV GH OHV PDJQLWXGV WHUPRGLQjPLTXHV SHU H[HPSOH O¶HQWURSLD6VyQSUzSLHVGHOVLVWHPDPDFURVFzSLF$L[tWRWLKDYHUODREWLQJXWD SDUWLUGHSDUjPHWUHVDWzPLFVRPROHFXODUVHVWUDFWDG¶XQDPDJQLWXGTXHQRHV SRWDVVRFLDUDFDGDSDUWtFXODVLQyDOVLVWHPDJOREDOeVSHUDL[zTXHO¶HVWDGtVWLFD MXJDXQSDSHUUHOOHYDQWHQODREWHQFLyGHOHVGDGHVPDFURVFzSLTXHV $WULEXLUDOHVPDJQLWXGVLFRQFHSWHVWHUPRGLQjPLFVXQDVLJQLILFDFLy PpV SURIXQGDTXHO¶DVVROLGDSHUOD7HUPRGLQjPLFD&OjVVLFDGHO¶(TXLOLEULODTXDOpV EjVLFDPHQWXQDGLVFLSOLQDIHQRPHQROzJLFD 5HYHODUOOHLVItVLTXHVEjVLTXHVLVXEMDFHQWVGHOFRPSRUWDPHQWWHUPRGLQjPLFGHOV VLVWHPHV (Q GHILQLWLYD OD 7HUPRGLQjPLFD (VWDGtVWLFD H[SOLFD HO SHUTXq GHO FRPSRUWDPHQW WHUPRGLQjPLFGHOVVLVWHPHV$L[zODMXVWLILFDSOHQDPHQWFRPDGLVFLSOLQDFLHQWtILFD /¶~V GH O¶HVWDGtVWLFD HQV SHUPHWUj UHGXLU D XQHV SRTXHV YDULDEOHV OD TXDQWLWDW LPPHQVDGHSDUjPHWUHVPLFURVFzSLFVSUHVHQWVHQXQDPRVWUDPDFURVFzSLFD$WDOO G¶H[HPSOHSRGHPFRQVLGHUDUPROGHJDVR[LJHQ$TXHVWVLVWHPDHVWjIRUPDWSHU XQHV Â PROqFXOHV GLDWzPLTXHV 6L SHU VLPSOLILFDU LJQRUHP OD VHYD HVWUXFWXUD QXFOHDU L HOHFWUzQLFD LQWHUQHV SRGHP DUJXPHQWDU TXH SHU D FDGD PROqFXOD HV GLVSRVDGHJUDXVGHOOLEHUWDWWUDQVODFLRQDOVLDWHVDODVHYDVLPHWULD OLQHDOGH URWDFLRQDOV3HUDODPRVWUDPDFURVFzSLFDGLVSRVHPOODYRUVGHÂÂ Â JUDXVGHOOLEHUWDW(QHOPDUFGHOWUDFWDPHQWFOjVVLFHQO¶HVSDLGHOVPRPHQWVLOHV  $TXHVWDFDUDFWHUtVWLFDGHOD7HUPRGLQjPLFD&OjVVLFDWpO¶DYDQWDWJHTXHODIDDSOLFDEOHGH IRUPD JHQHUDO D PROWV VLVWHPHV SHUTXq QR UHTXHUHL[ FRQqL[HU JDLUH GHWDOOV VREUH OD VHYD FRQVWLWXFLyRHVWUXFWXUDtQWLPD © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD  FRRUGHQDGHV QHFHVVLWDUtHP ÂÂ  ÂYDULDEOHVSHUGHVFULXUHWRWDOPHQWHO VLVWHPD /D 7HUPRGLQjPLFD GH JDVRV HVWXGLD IRQDPHQWDOPHQW GXHV GDTXHVWHV YDULDEOHVODSUHVVLyLODWHPSHUDWXUDTXHVyQIXQFLRQVPROWFRPSOLFDGHVGHOFRQMXQW FRPSOHW GH YDULDEOHV /D 7HUPRGLQjPLFD (VWDGtVWLFD WUDFWD DPE PpV GH GRV SDUjPHWUHV SHUzWRW LDL[z WDPEp FDO UHGXLU OD LQIRUPDFLy D SDUWLU GH OHV Â YDULDEOHVRULJLQDOV+RIDDWUDYpVGHPLWMDQHVREWLQJXGHVVRWDHOIRUPDOLVPHG¶XQD HVWDGtVWLFDTXHGHVHQYROXSDUHPSURSHUDPHQW /DPHWRGRORJLDGHWUHEDOOHVEDVDHQOHVWXGLVLPXOWDQLGXQQRPEUHPROWJUDQ1GH VLVWHPHV LGqQWLFV R UqSOLTXHV GXQ GRULJLQDO 6 6 « 61 6REUH DTXHVWV VLVWHPHV V¶DSOLFDXQDHVWDGtVWLFDUHVSHFWHDXQDSURSLHWDWRPDJQLWXGPHFjQLFD0TXHHVYRO HVWXGLDU8WLOLW]DQWODQRWDFLyGHO¶DSqQGL[&VLHOVYDORUVUHVSHFWLXVGHOHVPDJQLWXGV TXHHVPHVXUHQVyQ: ^0606«061`HVSRWIHUXQUHFRPSWHSHUFODVVHV REWHQLQWVH HOV DQRPHQDWV QRPEUHV G¶RFXSDFLy ^QL` (O YDORU QL LQGLFD TXDQWV VLVWHPHV FRPSDUWHL[HQ XQ PDWHL[ YDORU GH SURSLHWDW 0L (V GLVSRVD DL[t G¶XQHV IUHTqQFLHVG¶RFXUUqQFLDGHOYDORULqVVLPSHUDODSURSLHWDW0 1 L LL Q I0 l : OHVTXDOVHVSRGHQDSUR[LPDUDSUREDELOLWDWVHQHOVHQWLWQRD[LRPjWLFGH/DSODFHWDOL FRPHVFRPHQWDDO¶DSqQGL[&TXDQHOYDORUGH1HVIDPROWJUDQ 1 11 L LLL Q ISS fo : fo : OLPOLP , $QLYHOOPLFURVFzSLFHOWHUPH0LUHSUHVHQWDHOYDORUTXHODPDJQLWXGPHFjQLFDDGRSWD HQHOVLVWHPDTXDQDTXHVWHVWUREDHQXQHVWDWTXjQWLFFRPSDWLEOHDPEDTXHVWYDORU /ODYRUV SL pVODSUREDELOLWDW TXH Wp HO VLVWHPD GDGRSWDU XQ HVWDW TXjQWLF TXH HVWLJXL DVVRFLDWDOHVPHQWDWYDORU0LeVSHUDL[zTXHSLpVODSUREDELOLWDWGRFXUUqQFLDRGH PDQLIHVWDFLyGHOYDORU0LHQUHODFLyDODPDJQLWXG09HXUHPTXHODSUREDELOLWDWSL GHSqQ GH OHV FRQILJXUDFLRQV TXH SRGHQ SUHQGUH OHV SDUWtFXOHV DTXHVWD SUREDELOLWDW EjVLFDPHQW GHSqQ GH OHQHUJLD TXH SRW SUHQGUH HO VLVWHPD WHUPRGLQjPLFLGHOHV GLIHUHQWVPDQHUHVPLFURHVWDWVTXHDTXHVWGLVSRVDSHUDVVROLUOD /DGHILQLFLy,VLEppVPDWHPjWLFDLIRUPDOV¶DGDSWDDOFRQWLQJXWG¶DTXHVWWH[W (Q FRQVHTqQFLD OD GLVSRQLELOLWDW G¶DTXHVWHV SUREDELOLWDWV HVWj FRQGLFLRQDGD DO FRQHL[HPHQW GHOV QRPEUHV G¶RFXSDFLy QL'HGLFDUHP XQ ERQ WURV G¶DTXHVWD SULPHUD  3HUH[HPSOHHQWHQHPFRPDYDULDEOHVPHFjQLTXHVODSUHVVLyO¶HQHUJLDHOYROXPQ~PHUR GHSDUWtFXOHV«OHVTXHSRGHPGHILQLUGHWDOPDQHUDTXHQRSUHVHQWHQDPELJLWDWTXDQHO VLVWHPDHVWUREDHQXQHVWDWTXjQWLFFRQFUHW&RPDYDULDEOHVQRPHFjQLTXHVSRGHPFLWDUOD WHPSHUDWXUDO¶HQWURSLDOHVHQHUJLHVOOLXUHVGH*LEEVRGH+HOPKROW]RHOSRWHQFLDOTXtPLF PDJQLWXGVTXHQRGHSHQHQG¶XQVROHVWDWVLQyPpVDYLDWGHOFRQMXQWGHWRWVHOOVLGHOHVVHYHV RFXSDFLRQV (QHOWUDFWDPHQWTXHIDUHPHQDTXHVWWH[W 1VHUjXQQRPEUHILQLWSHUzWDQJUDQFRPHV YXOJXLeVSHUDL[zTXHVHPSUHHVSDUODUjGHSUREDELOLWDWVLQRGHIUHTqQFLHVUHODWLYHV © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~,QWURGXFFLy  SDUWGHOWH[WDFDOFXODUOHV8QDYHJDGDGLVSRVDUHPGHOHVSUREDELOLWDWVG¶RFXUUqQFLD GHOVYDORUVGHODPDJQLWXGPHFjQLFD0HQSRGUHPFDOFXODUODVHYDPLWMDQD ¦ L LL 0S0 , $TXHVW pV HO YDORU TXH SUHQHP FRP D YDORU WHUPRGLQjPLF GH OD PDJQLWXG HQ THVWLy$TXHVWDPLWMDQDQRSRGUjGHSHQGUHPDLGHOWHPSV6LIRVDL[tHOVLVWHPDQR HVWDULDHQHTXLOLEUL(QHOFRQWH[WGHOD7HUPRGLQjPLFD(VWDGtVWLFDHVSRVWXODTXH DTXHVWYDORUHVIDLJXDODOYDORUH[SHULPHQWDO GHOD PHVXUD PDFURVFzSLFD GH OD SURSLHWDW 0 (Q DSOLFDU OHVWDGtVWLFD YHXUHP TXH TXDQ HO QRPEUH GH VLVWHPHV VRWPHVRVDHVWXGLVLPXOWDQLHVIDPROWJUDQHVSRWMXVWLILFDUTXHODPLWMDQD, VLJXDOLDOYDORU0PHVXUDWH[SHULPHQWDOPHQW 00  , &RPDH[HPSOHGHOTXHV¶KDGLWHQDTXHVWDVHFFLySRGHPSHQVDUHQHOFDVGHODPHVXUD GHODSUHVVLyGXQJDVDTXHVWDPDJQLWXGpVXQDPHVXUDLQGLUHFWDGHOQRPEUHLLQWHQVLWDW GHOVLPSDFWHVTXHHIHFWXHQOHVPROqFXOHVGHOJDVDOHVSDUHWVGHOUHFLSLHQWTXHHOFRQWp $TXHVWD PHVXUD GH OD SUHVVLy WDPEp HV SRW HQWHQGUH FRP XQ YDORU PLJ WHPSRUDO $TXHVWD PLWMDQD WHPSRUDO pV HO YDORU H[SHULPHQWDO GH 0LpVHOTXHHQVLQGLFDXQ DSDUHOO GHO ODERUDWRUL HO PDQzPHWUH /D PHWRGRORJLD GH WUHEDOOTXHVHVHJXHL[HQ 7HUPRGLQjPLFD(VWDGtVWLFDFRQVLVWHL[HQFDOFXODU0SHUXQDYLDGLIHUHQW6HVXSRVDTXH HVFRQHL[HQYDORUVGHODPHVXUDLQVWDQWjQLDGHODSUHVVLy^0L`SHUDXQQRPEUHPROW JUDQGHUqSOLTXHVGHOVLVWHPDDQRPHQDWVPHPEUHVVREUHHOTXHHVIDODPHVXUD$ DTXHVWDFROÂOHFFLyGHPHPEUHVVHO¶DQRPHQDFROÂOHFWLX(VWUDFWDGRQFVG¶XQWLSXVGH VLPXODFLyRQHVGLVSRVDGHPROWHVGDGHVLQVWDQWjQLHVLVHQVHTXHVH¶OVSXJLDWULEXLUXQD YDULDEOHWHPSRUDO$L[tVHYLWDODSDULFLyGHODYDULDEOHWHPSV/DGLVWULEXFLyHVWDGtVWLFD G¶DTXHVWHVGDGHVpVHOTXHVXSOHL[DODYDULDEOHWHPSRUDO$PE WRWHVHOOHVHVIDXQD PLWMDQD XWLOLW]DQW OD UHFHSWD , 8Q GHOV SULPHUV SUREOHPHV TXH VDERUGHQ HQ 7HUPRGLQjPLFD (VWDGtVWLFD pV SUHFLVDPHQW ODYDOXDFLy GH OHV SUREDELOLWDWV SL TXH DSDUHL[HQD,-DKHPFRPHQWDWPpVDPXQWTXHDTXHVWHVSUREDELOLWDWVV¶REWHQHQD SDUWLUGHOVQRPEUHVG¶RFXSDFLyQL (Q DTXHVW WH[W DSOLFDUHP OD WHRULD GH OD 7HUPRGLQjPLFD (VWDGtVWLFD D OHVWXGL GH VLVWHPHVGHSDUWtFXOHVjWRPVRPROqFXOHV(VWXGLDUHPOHVIXQFLRQVWHUPRGLQjPLTXHV GHOVVLVWHPHVODUHDFWLYLWDWLOHTXLOLEULTXtPLFV7DOLFRPHVYHXUjPpVHQGDYDQWXQ GHOVFDVRVPpVVHQ]LOOVGDSOLFDFLyHOFRQVWLWXHL[OHVWXGLGHJDVRVDEDL[DGHQVLWDW(O VHXFRPSRUWDPHQWFRQVWLWXHL[XQDPROWERQDDSUR[LPDFLyDOGHOVJDVRVLGHDOVeVSHU DL[zTXHPROWHVYHJDGHVGHGXLUHPOOHLVHVSHFtILTXHVSHUDTXHVWVWLSXVGHVLVWHPHVHQ SDUWLFXODU  $WHVDODQRPHQFODWXUDGHO¶DSqQGL[&LHOJUDQQRPEUHGHPHPEUHVHYHQWXDOPHQWLQILQLW TXHSHUPHWHQREWHQLUHOVYDORUVPLWMDQVGHOVTXHSDUOHPSRGHPDGPHWUHTXHDTXHVWDPLWMDQD HV FRUUHVSRQ DPE HO YHUWDGHU YDORU HVSHUDW GH OD YDULDEOH HQ THVWLy 00  $L[t SRGHPHPSUDUOHVGXHVQRWDFLRQVLQGLVWLQWDPHQW © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD  6LWRWVHOVHVWDWVWHQHQXQDFHUWDSUREDELOLWDWG¶RFXUUqQFLDLV¶KDQGHFRPSWDELOLW]DUHQOD PLWMDQDDL[zHQWHUPHVWHPSRUDOVpVHTXLYDOHQWDGLUTXHWRWVLVWHPDHQXQWHPSV VXILFLHQWPHQWJUDQSRWDUULEDUDWUREDUVHHQTXDOVHYROHVWDWGHOVTXHHVFRQVLGHUHQpV DGLUTXHHOVVHXVSDUjPHWUHVPLFURVFzSLFVSRGHQHVGHYHQLUHOVG¶XQPHPEUHTXDOVHYRO GHOVFRQWHPSODWVDOOODUJGHOFROÂOHFWLX$DTXHVWDFRQGLFLyVHO¶DQRPHQDODKLSzWHVL HUJzGLFD$TXHVWDpVODKLSzWHVLTXHSHUPHWLGHQWLILFDUOHVPLWMDQHVWHPSRUDOVDPEOHV PLWMDQHVHQHOFROÂOHFWLX3HUDPpVLQIRUPDFLyHVUHFRPDQDYHXUHHOOOLEUHGH5& 7ROPDQ SjJLQHV  HO TXDO ID XQD YLVLy UHWURVSHFWLYD GH OHV GLIHUHQWV IRUPHV DGRSWDGHVSHUODKLSzWHVLDOODUJGHODKLVWzULDGHOD7HUPRGLQjPLFD(VWDGtVWLFD (OIHWTXHODYDULDEOHWHPSRUDOVLJXLFRQWtQXDLHOVPHPEUHVGHOFROÂOHFWLXVLJXLQHQWLWDWV GLVFUHWHVQXPHUDEOHVHQVIRUoDDSHQVDUTXHLGHDOPHQWHQQRPEUHGHPHPEUHVGHO FROÂOHFWLX KD GH VHU LQILQLW '¶DTXHVWD PDQHUD HV SRGULHQ SRVDU HQ FRUUHVSRQGqQFLD LQVWDQWVGHWHPSVGHUHVLGqQFLDHQXQGHWHUPLQDWHVWDWDPEXQGHWHUPLQDWPHPEUHGHO FROÂOHFWLX  $TXHVWQRPHOYDGRQDU%ROW]PDQQPHQWUHTXH0D[ZHOOHQGHLDHQWHUPHVPpVFOjVVLFV O¶DVVXPSFLyGHFRQWLQXwWDWGHOFDPt © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~,QWURGXFFLy  ([HUFLFLVGHODVHFFLy, 8QVLVWHPDWHUPRGLQjPLFKLSRWqWLFXQPHPEUHGHOFROÂOHFWLXSUHVHQWDXQFRQMXQW G¶LQILQLWVHVWDWVTXjQWLFVQRGHJHQHUDWV/¶HQHUJLDGHFDGDHVWDWLODWHPSHUDWXUDDOD TXHHVWUREDHOVLVWHPDVyQWDOVTXHODSUREDELOLWDWG¶RFXSDUORVHVIDLJXDOGHIRUPD UHVSHFWLYD D    HWF 3HUDOWUD EDQGD HQRFXSDU XQ G¶DTXHVWV HVWDWVHOVLVWHPDSUHVHQWDXQYDORUGHWHUPLQDWG¶XQDSURSLHWDWPHFjQLFD0$TXHVWV YDORUVVyQHQXQHVGHWHUPLQDGHVXQLWDWVLWDPEpGHIRUPDUHVSHFWLYD 4XLQpVHOYDORUH[SHULPHQWDOTXHHVPHVXUDUjSHUDTXHVWDPDJQLWXG"6HVDSTXHOD VXPD GHOV WHUPHV G¶XQD SURJUHVVLy DULWPqWLFRJHRPqWULFD GH SULPHU WHUPH D GLIHUqQFLDGLUDyUYDO            U UG U D ULGD UGDUGDUGDD L L      ¦ f  TXDQU 3HUUHVROGUHHOSUREOHPDQRPpVFDODSOLFDUODIyUPXOD,/DVXPDTXHFDO HIHFWXDUpV  ¦¦ f ¸ ¹ · ¨ © §     L L L LL LS00  RQV¶KDQHVFULWOHVIyUPXOHVJHQqULTXHVTXHLGHQWLILTXHQHOVYDORUVQXPqULFVGH ODSURSLHWDWLODSUREDELOLWDWDVVRFLDGHVDFDGDHVWDWTXjQWLF(OVXPDWRULTXHFDO DYDOXDUV¶LGHQWLILFDDPEHOGHODVXPDGHOVWHUPHVG¶XQDSURJUHVVLyDULWPqWLFR JHRPqWULFDGHSULPHUWHUPH GLIHUqQFLDUDyL D OD TXH V¶KDUHVWDWHO SULPHUWHUPH(PSUDQWODIyUPXODGRQDGDDO¶HQXQFLDWHVFRQVWDWDTXH   ¦¦ f f    L L L LULGDDULGD G¶RQ   ¸ ¹ · ¨ © §         ¦ f U G D U U U UG U D DULGD L L      $L[t VXEVWLWXLQW HOV YDORUV QXPqULFV D  G L U  HV WURED TXH HO YDORU PHVXUDWH[SHULPHQWDOPHQWpV © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD            ¸ ¸ ¹ · ¨ ¨ © §    0 (OTXHV¶DFDEDGHFDOFXODUpVXQYDORUPLWMjRHVSHUDW1RWpSHUTXqFRLQFLGLU DPEFDSGHOVYDORUVQXPqULFVTXHSUHVHQWDODPDJQLWXGDOOODUJGHOVHVWDWVTXH SRW RFXSDU HO VLVWHPD /HV SUREDELOLWDWV G¶RFXSDFLy GH FDGD HVWDW HV SRGHQ HQWHQGUH FRP IUDFFLRQV GH WHPSV HQ OHV TXH HO VLVWHPD HQ WURED HQ O¶HVWDW FRUUHVSRQHQW (Q HO PRPHQW GH WUREDUVH HQ XQ GHWHUPLQDW HVWDW HO VLVWHPD H[KLEHL[HOYDORUQXPqULFGHODPDJQLWXGFRUUHVSRQHQW6¶KDKDJXWGHIHUXQD PLWMDQD GH WRWV DTXHVWV YDORUV SHU GHWHUPLQDU TXLQD VHUj OD PHVXUD TXH V¶REWLQGUj HQ XQ HYHQWXDO H[SHULPHQW /D PLWMDQD V¶KD GH IHU SRQGHUDGD HQ UHODFLyDOV³WHPSVGHSHUPDQqQFLD´RWHPSVGHYLGDPLWMDQDGHFDGDHVWDW (QUHODFLyDOUHVXOWDWGHOSUREOHPDDQWHULRUGHPRVWUDUTXHVLHOVYDORUVUHVSHFWLXVGH OD PDJQLWXG DVVRFLDWV D FDGD HVWDW SDWHL[HQ XQ GHVSODoDPHQW FDQYL GH O¶RULJHQ GH PHVXUD R XQ FDQYL G¶XQLWDWV PXOWLSOLFDFLy SHU XQ IDFWRU HO PDWHL[ FDQYL HV YHX UHIOHFWLWHQHOYDORUTXHHVPHVXUDUjH[SHULPHQWDOPHQW (VSRWREWHQLUODUHVSRVWDDSOLFDQWODIRUPXODFLyGHO¶H[HUFLFLDQWHULRUSHUzGH IHW HO UHVXOWDW SURYp GH OHV SURSLHWDWV PDWHPjWLTXHV LQKHUHQWVDODGHILQLFLy G¶XQDPLWMDQDSRQGHUDGD3HUWDQWUHVROGUHPHOSUREOHPDGHIRUPDJHQHUDOVL OHVPDJQLWXGVDVVRFLDGHVDFDGDHVWDWHVUHSUHVHQWHQFRPD0LVDEHPTXH ¦ L LL S00 LSHUDOWUDEDQGDXQFDQYLG¶XQLWDWVRXQDWUDQVODFLyOHVWUDQVIRUPHQ HQ OHV QRYHVTXDQWLWDWVQXPqULTXHV ED00 LL  (OQRXYDORUH[SHULPHQWDOTXH HVPHVXUDUjVHUjLJXDOD  ¦¦  L LL L LL SED0S00   L DSOLFDQW OHV SURSLHWDWV GH OLQHDOLWDW GH O¶RSHUDGRU VXPDWRUL DSqQGL[ $ HQ UHVXOWD E0DSES0DESSD00 L L L LL L L L LL    ¦¦¦¦  RQV¶KDFRQVLGHUDWTXHODVXPDGHOHVSUREDELOLWDWVpVVHPSUHLJXDODODXQLWDW (OUHVXOWDWPRVWUDTXHHOPDWHL[WLSXVGHWUDQVIRUPDFLyOLQHDOIHWDVREUHFDGD PDJQLWXG V¶KD WUDQVIHULW DO YDORU HVSHUDW eV SHU DTXHVWD UDy TXH DOJXQHV YHJDGHVHQDTXHVWWH[WHOGHVHQYROXSDPHQWWHzULFRHOVH[HPSOHVHVIDQHQ WHUPHVGHPDJQLWXGVDOHVTXHQRVHOHVDWULEXHL[HQXQLWDWVHVSHFtILTXHV © Els autors, 2004; © Edicions UPC, 2004 , (OVFROÂOHFWLXVLHOVSRVWXODWVGHOD WHUPRGLQjPLFDHVWDGtVWLFD *LEEVYDLQWURGXLUHOFRQFHSWHWHUPRGLQjPLFGHFROÂOHFWLX8QFROÂOHFWLXpVXQFRQMXQW KLSRWqWLFLPDJLQDULGXQQRPEUHPROWJUDQ1GHVLVWHPHVLGqQWLFVDQRPHQDWVPHPEUHV GHOFROÂOHFWLX(OVPHPEUHV HVGHILQHL[HQHVSHFLILFDQWDOJXQHV GH OHVVHYHVYDULDEOHV WHUPRGLQjPLTXHVFRPSRGHQVHUHOQRPEUHGHSDUWtFXOHV1HOYROXP9OHQHUJLD ( OD WHPSHUDWXUD 7 HO SRWHQFLDO TXtPLF P HWF $TXHVWHV PDJQLWXGV HV SRGHQ FRQWURODUPLWMDQoDQWHOWLSXVGHSDUHWVTXHOLPLWHQFDGDPHPEUH&RQVLGHUHPTXHHOV PHPEUHVVyQLGqQWLFVTXDQDOJXQHVG¶DTXHVWHVYDULDEOHVJHQHUDOPHQWWUHVRSDUHWVVyQ LJXDOV 4XDQ DL[z SDVVD QR WHQHQ SHU TXq VHU LJXDOV DOWUHV PDJQLWXGVTXHQR V¶HVSHFLILTXHQHVSHFLDOPHQWOHVTXHIDQUHIHUqQFLDDFRQGLFLRQVLQWHUQHVGHOVLVWHPDRD QLYHOODWzPLF(OVPHPEUHVG¶XQFROÂOHFWLXHVWDQQXPHUDWVVyQGLVWLQJLEOHVLSHUWDQW GLHPTXHHVWDQORFDOLW]DWV +L KD GLIHUHQWV WLSXV GH FROÂOHFWLXV VHJRQV OHV FDUDFWHUtVWLTXHVWHUPRGLQjPLTXHVYDULDEOHVLSDUHWVGHOVPHPEUHVTXHHOVIRUPHQ(OV WUHVPpVLPSRUWDQWVVyQ D(OFROÂOHFWLXPLFURFDQzQLFRFROÂOHFWLX(91HOVVHXVPHPEUHVVyQVLVWHPHV WHUPRGLQjPLFV TXH HVWDQ VHSDUDWV HQWUH HOOV L GH OD UHVWD GH OXQLYHUV YHJHX O¶DSqQGL[ + SHU SDUHWV DGLDEjWLTXHV UtJLGHV L LPSHUPHDEOHV $L[t GRQFV OD QDWXUDGDTXHVWHVSDUHWVSURYRFDTXHHOVVLVWHPHVWLQJXLQIL[DWVOHQHUJLD(HO YROXP9LHOQRPEUHGHSDUWtFXOHV1(VWUDFWDGHVLVWHPHVLVRODWV$ODILJXUD ,HVUHSUHVHQWDHOFROÂOHFWLXPLFURFDQzQLF&DGDPHPEUHWpDVVLJQDWXQYDORU HQHUJqWLFLTXHpVHOPDWHL[SHUDWRWV3HUWDQWWRWVHOVPHPEUHVGHOFROÂOHFWLX PLFURFDQzQLFHVWUREHQHQHOPDWHL[QLYHOOHQHUJqWLFLSRGHQFRPSDUWLURQRHO PDWHL[HVWDWTXjQWLFYHXUHDSqQGL[( E(OFROÂOHFWLXFDQzQLF791HOVVHXVPHPEUHVVyQVLVWHPHVLVRWqUPLFVWDQFDWV O¶HQHUJLD GHOV TXDOV QR V¶HVSHFLILFD L SRW SUHQGUH GLYHUVRV YDORUV VHPSUH FRPSDWLEOHVDPEHOQRPEUHGHSDUWtFXOHVLODWHPSHUDWXUD(OVPHPEUHVHVWDQ VHSDUDWV SHU SDUHWV GLDWqUPLTXHV FDGD VLVWHPD HVWj WHUPRVWDWDWSHUWRWVHOV DOWUHVLPSHUPHDEOHVLUtJLGHV7RWHOFROÂOHFWLXFDQzQLFHVWjHPEROFDOODWSHUXQD SDUHWDGLDEjWLFD'DTXHVWDPDQHUDHVWUREDDwOODWGHODUHVWDGHOXQLYHUVLHQ FRQVHTqQFLDHOFROÂOHFWLXWpDVVLJQDGDXQDHQHUJLDIL[D(8QDUHSUHVHQWDFLy   -RVLDK :LOODUG *LEEV 1HZ +DYHQ  ItVLFRTXtPLF DPHULFj (V YD IRUPDU D (XURSD6yQIDPRVRVHOVVHXVHVWXGLVSLRQHUVVREUHWHUPRGLQjPLFDLILVLFRTXtPLFD'HVFREUt ODUHJODGHOHVIDVHVLMXQWDPHQWDPE+HOPKROW]O¶HTXDFLyTXHSRUWDHOVVHXVQRPV*LEEVpV FRQVLGHUDWXQGHOVFLHQWtILFVDPHULFDQVPpVLPSRUWDQWVLWDPEpQ¶pVXQGHOVSULPHUVeVXQ GHOVSDUHVGHODWHUPRGLQjPLFDHVWDGtVWLFD 1RFDOFRQIRQGUHODYDULDEOH1DPEOD1/DSULPHUDGHQRWDHOQRPEUHGHSDUWtFXOHVG¶XQ PHPEUH GHO FROÂOHFWLX /D SRGHP HQWHQGUH FRP HO QRPEUH GH SDUWtFXOHV TXH IRUPHQ XQ VLVWHPD WHUPRGLQjPLF DL[t 1 VHUj GH O¶RUGUH GHO Q~PHUR G¶$YRJDGUR '¶DOWUD EDQGD OD YDULDEOH1GHQRWDHOQRPEUHGHPHPEUHVTXHIRUPHQXQFROÂOHFWLX$TXHVWQRPEUHSRWVHUWDQ JUDQ FRP HV YXOJXL IRUPDOPHQW PROW VXSHULRU DO QRPEUH G¶$YRJDGURDL[zpVHOTXHpV GHVLWMDEOHSHUIHUXQDERQDHVWDGtVWLFDSHUzILQLW © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD    JUjILFDGHOFROÂOHFWLXFDQzQLFHVSRWYHXUHDODVHFFLy,DOD)LJXUD,(Q DTXHVWOOLEUHHVWXGLDUHPDTXHVWFROÂOHFWLX  F(O FROÂOHFWLX PDFURFDQzQLFRJUDQ FDQzQLF79P HOV VHXV PHPEUHV VyQ VLVWHPHVLVRWqUPLFVREHUWVRLVRWqUPLFVWDQFDWVGHFRPSRVLFLyYDULDEOH/DVHYD HQHUJLDpVYDULDEOHLSRWKDYHUKLEHVFDQYLGHPDWqULDGXQPHPEUHDODOWUHSHUz VHPSUH PDQWHQLQW FRQVWDQW SHU D FDGDVFXQ HO VHX SRWHQFLDO TXtPLF (V FRQVWUXHL[ HO FROÂOHFWLX VHSDUDQW HOV VHXV PHPEUHV SHU SDUHWV GLDWqUPLTXHV UtJLGHVLSHUPHDEOHV                              )LJXUD,(OFROÂOHFWLXPLFURFDQzQLF   )L[HPQRVHQHOIHWTXHVLSUHQHPXQFROÂOHFWLXJUDQFDQzQLFLKLLQVHULPGHIRUPD DGHTXDGDXQDFROODGHSDUHWVLPSHUPHDEOHVLFRQGXFWRUHVSRGHPREWHQLUXQDVqULHGH FROÂOHFWLXVFDQzQLFV$TXHVWDpVODUDyTXHGRQDHOQRPDOFROÂOHFWLXPDFURFDQzQLFHO FROÂOHFWLXPDFURFDQzQLFFRQWpDPROWVFROÂOHFWLXVFDQzQLFV3HOTXHUHVSHFWDDO¶RULJHQ GHO QRP GHO FROÂOHFWLX PLFURFDQzQLF HO SRGHP FRQVLGHUDU XQ FROÂOHFWLX FDQzQLF GHJHQHUDWHQHOVHQWLWTXHWRWVHOVPHPEUHVWHQHQODPDWHL[DHQHUJLD(QDOWUHVSDUDXOHV HQSUHQGUHXQFROÂOHFWLXFDQzQLFLIRUPDUQHHOVJUXSVGHPHPEUHVGHJHQHUDWVHQWUHHOOV (91   (91         (91  1 (91   © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD   ( I  SM, M,    ( J  SN,, N,,  , RQMLNLGHQWLILTXHQHOVHVWDWVGHOVVLVWHPHV,L,,UHVSHFWLYDPHQWL(,ML(,,NVyQOHV HQHUJLHV FRUUHVSRQHQWV (O VLVWHPD WHUPRGLQjPLF JOREDO VXPD GH ,L,, HV SRW FRQVLGHUDUPHPEUHGXQFROÂOHFWLXFDQzQLFDPESDUjPHWUHV791/ODYRUVSHO VLVWHPDJOREDO,,,HVSODQWHMDXQDHTXDFLyVLPLODUDO¶DQWHULRU  ( K SL,,, L,,,    3HUDOWUDEDQGDHQVHU,L,,GRVVLVWHPHVLQGHSHQGHQWVO¶HQHUJLDGHOVLVWHPDJOREDO ,,,pV OD VXPD GH OHV HQHUJLHV GH FDGD VXEVLVWHPD eV D GLU SRGHP FRQVLGHUDU OD SDUWLFLyHQHUJqWLFDVHJHQW (  (( N,,M,L,,,  LSHOTXHUHVSHFWDDODSUREDELOLWDWGRFXUUqQFLDVLPXOWjQLDGHOVGRVHVWDWVMGH,LNGH ,,HVFRPSOHL[TXHYHXUHO¶DSqQGL[& N,,M,L,,, SSS   pVDGLU   ( J ( I (  ( KN,,M,N,,M,   3HUVLPSOLILFDUDTXHVWDGDUUHUDHTXDFLyOHVFULXUHPDUDFRP  \J[I\[K  RQpVHYLGHQWHOVLJQLILFDWGHOVVtPEROV[L\ $FRQWLQXDFLyDSOLFDQWODGHULYDGDSDUFLDOUHVSHFWHO¶HQHUJLD[REWHQLP   \J [ [I  [ \[K w w w w SHUzWDPEpHVFRPSOHL[TXH       \[G \[GK \[ \[K  [ \[  \[ \[K  [ \[K w w w w w w w w $L[tGRQFVSHUFRPSDUDFLyGHOHVGXHVGDUUHUHVH[SUHVVLRQVHQUHVXOWD   (QDTXHVW H[HPSOH HV YHX PROW Ep TXLQD pV OD PDJQLWXG LQWHQVLYD 7 L TXLQHV VyQ OHV H[WHQVLYHV9L1 © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~3UREDELOLWDWG¶RFXSDFLyGHFDGDHVWDW     \J [ [I \[G \[GK w w   , 2SHUDQW GH OD PDWHL[D PDQHUD DSOLFDQW GHULYDGHV SDUFLDOV UHVSHFWH O¶HQHUJLD \ WUREDUtHPTXH     \ \J [I  \[G \[GK w w LSRGHPLJXDODUDTXHVWDGDUUHUDH[SUHVVLyDPEOD,WRWGHILQLQWHOVTXRFLHQWV      [I  [ [I  \J  \ \J w w E w w  $WqVTXHFDGDTXRFLHQWGHSqQGXQDYDULDEOHTXHOLpVSUzSLDLTXHQRDSDUHL[DO¶DOWUH DUULEHP D OD FRQFOXVLy TXH DTXHVWV KDQ GH VHU XQD PDWHL[D FRQVWDQW b ,QWHJUDQW FDGDVFXQDGHOHVLJXDOWDWVRQLQWHUYpODFRQVWDQWEV¶REWp  [ DH[I E   \ FH\J E , RQDLFVyQFRQVWDQWV /D FRQVWDQW EpVFRP~DOVGRVVLVWHPHV,L,, (V SRW DUULEDU D GHPRVWUDU TXH HQ JHQHUDOHVPDQWpHOVHXYDORUHQFDUDTXHHVYDULwQOHVYDULDEOHV1L9eVSHUDL[zTXH HVFRQFORXTXHODYDULDEOHEQRPpVpVIXQFLyGHODWHPSHUDWXUD0pVHQGDYDQWWDPEp GHPRVWUDUHPTXHVHVDWLVIjODLJXDOWDW N7  E  HVVHQWNODFRQVWDQWGH%ROW]PDQQ $L[t GRQFV L VHJRQV OHV H[SUHVVLRQV , SRGHP DILUPDU TXHODYDOXDFLyGHOHV SUREDELOLWDWVG¶RFXSDFLy,HVIDQGHIRUPDJHQqULFDDWUDYpVG¶XQDH[SRQHQFLDOGH ODIRUPD L ( LDHS E  RQKHPUHFXSHUDWHOVLJQLILFDWGHOVtPERO[R\$TXtO¶tQGH[LLGHQWLILFDO¶HVWDWTXjQWLF TXHSUHVHQWDHOVLVWHPD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD   (Q KDYHUVH GH FRPSOLU TXH OD VXPD GH OHV SUREDELOLWDWV KD GH VHU OD XQLWDW pV LPPHGLDWFRPSURYDUH[HUFLFL,TXHHOIDFWRUSUHH[SRQHQFLDODpVOLQYHUVGHOD IXQFLy ¦E  L (L H4D  ,  RQODVXPDHVIDVREUHWRWVHOVHVWDWVGHOVLVWHPD/DIXQFLy4pVODIXQFLyGHSDUWLFLy FDQzQLFD  &DOGUjWHQLUSUHVHQWTXHSHUDTXDOVHYROHVWDWGHOVLVWHPDVHPSUHHVSRWDYDOXDUOD SUREDELOLWDWG¶RFXSDFLySL(VWUDFWDGHSUREDELOLWDWVGHILQLGHVDSULRULHQHOVHQWLWTXH QRpVQHFHVVDULTXHHOVLVWHPDHVWURELHQDTXHOOHVWDWQRPpVFDOTXHHOVLVWHPDVKL SXJXL WUREDU HQ DOJXQ PRPHQW FRQGLFLy G¶HUJRGLFLWDW VHFFLy , (O WUDFWDPHQW HVWDGtVWLFHVIDHQHOVWHUPHVVHJHQWVGRQDWXQVLVWHPDWHUPRGLQjPLFHVFRQVLGHUHQ HOVHVWDWVTXjQWLFVTXHHYHQWXDOPHQWSRWSUHVHQWDU3HUDFDGDHVWDWHVFDOFXODODVHYD SUREDELOLWDWG¶RFXUUqQFLD7RW DL[zHV IDREYLDQWHQTXLQHVWDWHVWUREDUHDOPHQWXQ VLVWHPDHQSDUWLFXODUGHIHWDODSUjFWLFDWDPSRFKRSRGUtHPVDEHUPDLeVHQHO PRPHQWHQTXHHVGLVSRVDG¶XQFROÂOHFWLXGH1PHPEUHVTXDQFDOFDOFXODUTXDQWVLQR TXLQVG¶HOOVHVWUREHQHQXQGHWHUPLQDWHVWDW$TXHVWFjOFXOIRUPDOHVIDVHQ]LOODPHQW PXOWLSOLFDQWOHVSUREDELOLWDWVSHOQRPEUHWRWDOGHVLVWHPHVTXHIRUPHQHOFROÂOHFWLX(OV QRPEUHVUHVXOWDQWVQLVyQHOVQRPEUHVG¶RFXSDFLyGHFDGDHVWDW  LL Q S1 ,   'HIHWWDOLFRPHVSODQWHMDO¶HVWXGLWHzULFLFRPYHXUHPDODVHFFLyVHJHQWVyQHOVYDORUV QXPqULFVGHOHVRFXSDFLRQVQLHOVTXHGHWHUPLQHQOHVSUREDELOLWDWVSLLQRDOUHYpV © Els autors, 2004; © Edicions UPC, 2004  (%HVDO~3UREDELOLWDWG¶RFXSDFLyGHFDGDHVWDW    ([HUFLFLVGHODVHFFLy,  &RQVLGHUDUXQFROÂOHFWLXFDQzQLFHOVPHPEUHVGHOTXDOSUHVHQWHQHVWDWVDPE HQHUJLHV   L  HQ XQLWDWV DUELWUjULHV $JUXSDU HOV HVWDWV SHU QLYHOOV L DYDOXDU OD IXQFLyGHSDUWLFLyGHOFROÂOHFWLX   $OD)LJXUD,V¶KDQUHSUHVHQWDWHOVHVWDWVDJUXSDWVHQQLYHOOV/DIXQFLy GHSDUWLFLyGHOFROÂOHFWLXFDQzQLFV¶REWpDSDUWLUGHODVHYDGHILQLFLy      EEE E EE E   ¦HHHHHHH4 ( (( L (L  L N7 HH4    E      (OYDORUQXPqULFGHODIXQFLyGHSDUWLFLyFDQzQLFDGHSqQGHODWHPSHUDWXUD7 GHOVLVWHPDWHUPRGLQjPLF    (    1LYHOOHVWDWVG¶HQHUJLD        1LYHOOHVWDWG¶HQHUJLD  )LJXUD,(OVHVWDWVGHOSUREOHPDDJUXSDWVHQGRVQLYHOOV/HV XQLWDWVHQHUJqWLTXHVVyQDUELWUjULHV    8QFROÂOHFWLXHVWjIRUPDWSHUXQPLOLyGHPHPEUHV&DGDPHPEUH SUHVHQWD GRV HVWDWVTXjQWLFVTXHHWLTXHWHPFRPDL/DSUREDELOLWDWG¶RFXSDFLyGHO¶HVWDWpV LJXDODS 4XLQDpVODSREODFLyGHFDGDHVWDW"  6LHOQRPEUHGHPHPEUHVpV1 XQWRWDOGHQ 1SHVWUREDUDQRFXSDQW O¶HVWDWTXjQWLFQ~PHUR$VXPLUDL[zpVHOPDWHL[TXHDWULEXLUDODSUREDELOLWDW S XQ VLJQLILFDW GH IUHTqQFLD UHODWLYD DSqQGL[ & SHUTXq SRGHP HVFULXUH S Q1(OFjOFXOHQVGyQDQ $L[tGRQFVKLKDPHPEUHVTXH © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD HVWUREHQRFXSDQWO¶HVWDWTXjQWLFQ~PHUR1RVDEHPTXLQVPHPEUHVRFXSHQ DTXHVW HVWDW QRPpV VDEHP TXDQWV O¶RFXSHQ L DTXHVW pV HO VLJQLILFDW GHOV QRPEUHV GRFXSDFLy 0pV HQGDYDQW YHXUHP TXH HQ 7HUPRGLQjPLFD (VWDGtVWLFD DTXHVWD LQIRUPDFLy pV VXILFLHQW SHU SRGHU FDOFXODU PDJQLWXGV WHUPRGLQjPLTXHVGHOVVLVWHPHV 3HOTXHUHVSHFWHDOQRPEUHG¶RFXSDFLyGH O¶HVWDW LDWqVTXH FDGDPHPEUH QRPpVSRWWUREDUVHHQXQGHOVGRVHVWDWVFDOGUjTXHHVFRPSOHL[LQQ 1 G¶RQ REWHQLP TXH Q  (O FjOFXO TXH V¶DFDED GH IHU pV HTXLYDOHQW D FRQVLGHUDUTXHHQWHUPHVUHODWLXV V¶KDGHFRPSOLU TXH SS /ODYRUVOD SUREDELOLWDW G¶RFXSDFLy GHO VHJRQ HVWDW pV S S   L HO QRPEUH G¶RFXSDFLyFRUUHVSRQHQWWDPEpOKDXUtHPSRJXWREWHQLUpVFODUDSDUWLUGHOD UHODFLyQ 1S  © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~(OFROOHFWLXFDQzQLF  , (O FROÂOHFWLX FDQzQLF FRQILJXUDFLRQV SHVRV L OD FRQILJXUDFLyGRPLQDQW (Q DTXHVWD VHFFLy HV SUHVHQWHQ FRQFHSWHV L GHILQLFLRQV EjVLTXHVVREUHHOVTXHHV VXVWHQWDODWHRULDGHOD7HUPRGLQjPLFD(VWDGtVWLFDeVSHUDL[zTXHHQVHVWHQGUHPIRUoD HQOHVH[SOLFDFLRQVTXH VH[SRVDUDQ7RW L TXH D YHJDGHV V¶LQFRUUL HQ UHGXQGjQFLHV O¶DXWRUFUHXTXHYDOODSHQDLQVLVWLUHQDOJXQVDVSHFWHVSHUWDOGHSRWHQFLDUQHODVHYD FRPSUHQVLy3HOOHFWRUQRYHOODTXHVWDVHFFLyVHJXUDPHQWpVXQDGHOHVTXHSUHVHQWDXQ PDMRUJUDXGHGLILFXOWDW/DFRQWUDSDUWLGDODWUREHPHQHOIHWTXHXQDYHJDGDVXSHUDGD DTXHVWDIDVHHOGHVHQYROXSDPHQWGHODUHVWDGHODWHRULDHVIDPROWPpVSODQHU$PE jQLPVGHIDFLOLWDUO¶DVVLPLODFLyGHOTXHDTXtHVGLUjV¶KDSURFXUDWGRQDUOHVSDXWHVSHU IHU XQD VHJRQD OHFWXUD DO WH[W &RQFUHWDPHQW WRWV HOV SHXV GH SODQD LQGLFDWV DPE DVWHULVFVIDQUHIHUqQFLDDODPDWHL[DLGHDTXHV¶DFDEDG¶H[SRVDUHQHOWH[WSULQFLSDO SHUzDSOLFDGDDXQH[HPSOHPpVSUjFWLFRDXQVLVWHPDFRPSHUH[HPSOHXQJDVUHDOR LGHDO(QIHUDL[zODLQWHQFLyGHO¶DXWRUpVTXHHOOHFWRUHVSXJXLIHUXQDLGHDItVLFDGHO FRQFHSWH TXH HV FRPHQWD HQ DTXHOO PRPHQW (V UHFRPDQD WDPEp KDYHU OOHJLW HOV DSqQGL[V,L-TXHHVWUREHQDOILQDOG¶DTXHVWOOLEUH (QDTXHVWFDStWROHVMXVWLILFDODQHFHVVLWDWGHIHUXQDHVWDGtVWLFDVREUHHOFROÂOHFWLXLTXH DTXHVWDHVWDGtVWLFDQRSUHQHQFRQVLGHUDFLyWRWHVOHVGDGHVGHOVLVWHPDWHUPRGLQjPLF ,&RQVLGHUDFLRQVVREUHHOVFROÂOHFWLXV (QDTXHVWWH[WHVWXGLDUHPHOFROÂOHFWLXFDQzQLF*LEEVYDWULDUODGMHFWLXFDQzQLFSHUTXq YRO GLU EjVLF HVWjQGDUG R SDWUy &RQVLGHUDUHP FRP D PHPEUH GHO FROÂOHFWLX D XQ VLVWHPDPDFURVFzSLF3HUH[HPSOHXQJDVXQDPHVFODHQHTXLOLEULXQFULVWDOO(Q DTXHVWVFDVRVHOFROÂOHFWLXHVGHYpXQFRQMXQWLGHDOLW]DWGHVLVWHPHVPDFURVFzSLFV $TXHVWDpVHQWHUPHVJHQHUDOVODYLVLyTXHWHQLD*LEEVHQHOPRPHQWG¶DSRUWDUOHV VHYHV FRQWULEXFLRQV D OD 7HUPRGLQjPLFD (VWDGtVWLFD (Q DOWUHV OORFV GH OD ELEOLRJUDILDLDTXHVWpVXQFDVIUHTHQWHQOOLEUHVGH4XtPLFD)tVLFDJHQHUDOVHVSRW WUREDUXQHQIRFDPHQWGLIHUHQWPpVDItDOHVLGHHVGH0D[ZHOOL %ROW]PDQQ HV FRQVLGHUHQFRPDPHPEUHVGHOFROÂOHFWLXFDGDVFXQDGHOHVPROqFXOHVTXHIRUPHQXQ VLVWHPDWHUPRGLQjPLFFRPSHUH[HPSOHXQJDV(QDTXHVWDDSUR[LPDFLyXQVRO VLVWHPDPDFURVFzSLFMDFRQVWLWXHL[HOFROÂOHFWLXFDQzQLFeVHQDTXHVWFDVTXDQHV GyQDHOIHWTXHHOQRPEUHGHPHPEUHVGHOFROÂOHFWLX1pVGHO¶RUGUHGHOQRPEUH G¶$YRJDGUR /D IRUPXODFLy PDWHPjWLFD pV OD PDWHL[D SHOV GRV WLSXV G¶DSUR[LPDFLRQV'HIHWSUHQGUHXQRDOWUHSXQWGHYLVWDQRpVUHVPpVTXHDGRSWDU ORFRPDXQSDWUyVREUHHOTXHHVYDGHVHQYROXSDQWODWHRULD(OVGRVSXQWVGHYLVWD HV SRGHQ DJUXSDU HQ XQ VRO WLSXV GH FRQFHSWH VL HV WUHEDOOD VREUH REMHFWHV LQGHWHUPLQDWVLQRVREUHVLVWHPHVItVLFVFRQFUHWV 'HVGXQSXQWGHYLVWDSXULVWDLG¶DGHTDFLyDOPLVVDWJHTXHHVYROWUDQVPHWUHHQDTXHVW OOLEUH FUHLHP TXH pV PpV OtFLW WDO L FRP DILUPD 6FKU|GLQJHU FRQVLGHUDU O¶HQIRF GH © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD *LEEV3RGHPGRQDUYDULHVUDRQVSHUMXVWLILFDUODVHYDDGRSFLyFRPDFULWHULJHQHUDOGH WUHEDOO (OQRPEUHGHVLVWHPHVGHOFROÂOHFWLX1SRWVHUXQQRPEUHWDQJUDQTXHILQVL WRW HOSRGHPFRQVLGHUDUDHIHFWHVSUjFWLFVTXDVLLQILQLW (Q UHDOLWDW DTXHVW Q~PHUR1VHUjWDQJUDQFRPVLJXLQHFHVVDULDILLHIHFWHTXHHVFRPSOHL[LQWRWV HOVUHTXLVLWVTXHGHPDQDO¶DSOLFDFLyG¶XQD³HVWDGtVWLFDGHJUDQVQRPEUHV´ 3HOTXHHVFRPHQWDDO¶DSqQGL[,SRGUHPXWLOLW]DUO¶DSUR[LPDFLyG¶6WLUOLQJHQ HOVHXSXUVHQWLWPDWHPjWLF(QWHQGLU1DLQILQLWOHUURUHQODDSUR[LPDFLyHV SRWSUHQGUHYLUWXDOPHQWFRPD]HUR 3HOFDVGHOFROÂOHFWLXFDQzQLFHOSXQWGHYLVWDTXHFRQVLGHUDUHPDTXtSHUPHW GHILQLUVHQVHDPELJLWDWODWHPSHUDWXUDGHFDGDPHPEUHGHOFROÂOHFWLXpVOD WHPSHUDWXUDGXQJDVG¶XQVzOLGGHTXDOVHYROVLVWHPDItVLFUHDO (O FULWHUL TXH DGRSWDUHP SHUPHWUj HPSUDU GLUHFWDPHQW OH[SUHVVLy , SHUTXqWpVHQWLWSDUODUGHOHVSURSLHWDWVPHFjQLTXHVGHOPHPEUHGHOFROÂOHFWLX DWqVTXHDTXHVWpVXQVLVWHPDItVLFUHDOPDFURVFzSLF 7RW L DL[z SHO TXH UHVSHFWH DO WUDFWDPHQW TXH HV IDUj DTXt GHO FROÂOHFWLX FDQzQLF DVVLJQDU XQD HQHUJLD IL[D SHU D WRW HO FROÂOHFWLX ( QR Wp XQD LQWHUSUHWDFLy ItVLFD LPPHGLDWD 3HUz SRGHP FRQVLGHUDU TXH HQ IL[DUOD VHVWj GHILQLQW LQGLUHFWDPHQW OHQHUJLD LQWHUQD PLWMDQD 8GHFDGDPHPEUHGHOFROÂOHFWLX8 (1 (Q DTXHVW PRPHQW HVWDUHP GRWDQW DOV PHPEUHV GHO FROÂOHFWLX GXQD SURSLHWDW DGGLFLRQDO SUHHVWDEOHUWD'HIHWSHUzHQFRQVLGHUDUO¶HVWXGLG¶XQRDOWUHWLSXVGHFROÂOHFWLXHOTXH VHPSUHFDOIHUpVDWULEXLUDFDGDVLVWHPDXQPtQLPGHSDUjPHWUHVWHUPRGLQjPLFVIL[DWV DSULRUL$SDUWLUG¶DTXtVH¶QSRGHQFDOFXODUHOVDOWUHV 3HUO¶DOWUHEDQGDVLFRQVLGHUpVVLPODOWUHFULWHULHOGH%ROW]PDQQRQFDGDPHPEUHGHO FROÂOHFWLXpVXQDSDUWtFXODSRGUtHPDUJXPHQWDUTXH (OQRPEUHGHPHPEUHVGHOFROÂOHFWLXVHUjJUDQLILQLWGHORUGUHGHOQRPEUH G$YRJDGUR $TXHVW QRPEUH pV VXILFLHQWPHQW JUDQ FRP SHUTXq WDPEp HOV UHVXOWDWV QXPqULFV REWLQJXWV VREUHSDVVLQ OD SUHFLVLy GH OHV PHVXUHV H[SHULPHQWDOV (QHPSUDUO¶DSUR[LPDFLyG¶6WLUOLQJWDPSRFHVFRPHWFDSHUURUDSUHFLDEOH WDOLFRPHVSRWLQIHULUSHUH[WUDSRODFLyGHOVUHVXOWDWVGHOD 7DXOD,GH O¶DSqQGL[,/¶HUURUFRPqVVHPSUHVHUjPROWPpVSHWLWTXHTXDOVHYROHUURU H[SHULPHQWDO6HUjGRQFVLQGHWHFWDEOH 1R Wp VHQWLW SDUODU GH OD WHPSHUDWXUD GXQD SDUWtFXOD (Q DTXHVW FDV FDO HQWHQGUH TXH OD WHPSHUDWXUD OD IL[D HO SURSL FROÂOHFWLX TXH FDGD PROqFXOD PHPEUHGHOFROÂOHFWLXHVWjWHUPRVWDWDGDSHUODUHVWD$L[tGRQFVHOSDUjPHWUH WHPSHUDWXUDQRVHULDSURSLGHFDGDPHPEUHVLQyGHOFROÂOHFWLX (VWULFWDPHQWSDUODQWQRSRGUtHPDSOLFDUOH[SUHVVLy,SHUTXqQRHVSRW GHILQLU XQD SURSLHWDW PHFjQLFD FRP OD SUHVVLy R WHUPRGLQjPLFDFRP O¶HQWDOSLDRO¶HQWURSLDG¶XQD~QLFDSDUWtFXOD © Els autors, 2004; © Edicions UPC, 2004  (%HVDO~(OFROOHFWLXFDQzQLF     0DOJUDW WRW DTXHVW SXQW GH YLVWD GLVSRVD G¶XQD DYDQWDWJH UHIHUHQW D OD GHILQLFLy GH OHQHUJLD WRWDO GHO FROÂOHFWLX DTXHVWD HQHUJLD LQWHUQD HV SRW FRQVLGHUDU FRP OD TXH FDUDFWHULW]D HO VLVWHPD PDFURVFzSLF HQ HVWXGL FRQVLGHUDWDwOODWGHODUHVWDGHO8QLYHUV/ODYRUVHOYDORUGH(FREUDVHQWLW ItVLFLHOVYDORUVGHOVSDUjPHWUHV(LHVGHYHQHQOHVHQHUJLHVGHFDGDSDUWtFXOD 7RWLDL[zHQDTXHVWFDVWDPSRFHVFRQWHPSOHQOHVHQHUJLHVG¶LQWHUDFFLyHQWUH HOVGLIHUHQWVPHPEUHV     )LJXUD,5HSUHVHQWDFLyHVTXHPjWLFDGHOFROÂOHFWLXFDQzQLF    3HOTXHUHVSHFWHDOFRQWLQJXWGHOGHVHQYROXSDPHQWWHzULFSRWDMXGDUDOOHFWRUSHQVDU TXHFDGDPHPEUHGHOFROÂOHFWLXFDQzQLFpVXQJDVRDOJXQDDOWUDHQWLWDWPDFURVFzSLFD XELFDEOH ItVLFDPHQW HQ XQ ODERUDWRUL (Q GHWHUPLQDGHV RFDVLRQV HPSUDUHP HO VHJRQ  $HIHFWHVGLGjFWLFVSUHIHUHQWPHQWLGHDO  791  ( 791  (       791  1(. 791  ( © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD    FULWHULSHUzSHUXQDUDyFRQFUHWDSHUODVHQ]LOOHVDLVLPSOLILFDFLyTXHUHTXHUHL[HQDOJXQV H[HPSOHVQXPqULFVTXHWUREDUHPHQHOVDSDUWDWVG¶H[HUFLFLV                                   )LJXUD,(OFROÂOHFWLXPLFURFDQzQLFGHFROÂOHFWLXVFDQzQLFV        7DOLFRPMDVKDGLWDEDQVGLVVHQ\HPPHQWDOPHQWFDGDPHPEUHGHOFROÂOHFWLXFDQzQLF DPEHOPDWHL[YROXP9QRPEUHGHSDUWtFXOHV1LWHPSHUDWXUD7TXHFDUDFWHULW]DXQ VLVWHPDRULJLQDOTXHHVUHSOLFDXQQRPEUHPROWJUDQLILQLWGHYHJDGHV1/D)LJXUD ,pVXQDUHSUHVHQWDFLyGHOFROÂOHFWLXFDQzQLF2EVHUYHPTXHDTXHVWFROÂOHFWLXHVWj   1119(    1119(          1119(  1¶  1119(   © Els autors, 2004; © Edicions UPC, 2004  (%HVDO~(OFROOHFWLXFDQzQLF     IRUPDWSHU1PHPEUHVQXPHUDWVLGLVWLQJLEOHVORFDOLW]DWV&DGDPHPEUHWpDVVLJQDW XQYDORUHQHUJqWLF$TXHVWHVHQHUJLHVQRWHQHQTXHVHUWRWHVLGqQWLTXHVSHUzVHJXUD PHQWKLKDXUjPHPEUHVTXHSRGHQFRPSDUWLUHOPDWHL[YDORUHQHUJqWLFVKDLQGLFDWDL[z HQUHSUHVHQWDUTXHHOVPHPEUHVLGHOD)LJXUD,WHQHQODPDWHL[DHQHUJLDLSHU WDQWHVWUREHQHQHOPDWHL[QLYHOOHQHUJqWLFHQFDUDTXHSRVVLEOHPHQWQRHQHOPDWHL[ HVWDWTXjQWLF&DGDVLVWHPDHVWjVHSDUDWGHOVYHwQVSHUSDUHWVLPSHUPHDEOHVUtJLGHVL GLDWqUPLTXHVGHPDQHUDTXHXQVLVWHPDHVWjWHUPRVWDWDWSHUWRWVHOVDOWUHV  (OVHJRQSRVWXODWGH OD7HUPRGLQjPLFD(VWDGtVWLFDWDPEpHVSRW DSOLFDUDOFROÂOHFWLX FDQzQLFVLDTXHVWHVFRQVLGHUDGHIRUPDJOREDOXQVLVWHPDWHUPRGLQjPLFDPHQWDwOODWL SHU WDQW DPE XQD HQHUJLD ( WDPEp FRQVWDQW L SHUIHFWDPHQW GHILQLGD (O FROÂOHFWLX FDQzQLF VH VHSDUD GH OD UHVWD GH O8QLYHUV DPE SDUHWV LPSHUPHDEOHV UtJLGHV L DGLDEjWLTXHV $TXHVW FROÂOHFWLX RFXSD XQ YROXP LJXDO D 19 Wp 11 SDUWtFXOHV L XQD HQHUJLDWRWDO  ( L 1 L ¦  (  $WqVTXHDTXHVWVSDUjPHWUHVVyQFRQVWDQWVSHUDFDGDFROÂOHFWLXFDQzQLFSRGHPGLUTXH FDGDFROÂOHFWLXFDQzQLFpVPHPEUHG¶XQFROÂOHFWLXPLFURFDQzQLF$TXHVWVXSHUVLVWHPD HVPRVWUDDOD)LJXUD,$OOjHVUHSUHVHQWDXQFROÂOHFWLXPLFURFDQzQLFHOVPHPEUHV GHOTXDOVyQFROÂOHFWLXVFDQzQLFV&DGDFROÂOHFWLXFDQzQLFWpDOKRUDHOVVHXVPHPEUHV DL[zQRPpVVKDUHSUHVHQWDWJUjILFDPHQWLHVTXHPjWLFSHUDXQVROFDV$WqVHOVHJRQ SRVWXODW HQ HO VXSHUVLVWHPD FROÂOHFWLX PLFURFDQzQLF GH FROÂOHFWLXV FDQzQLFV WRWV HOV FROÂOHFWLXVFDQzQLFVWHQHQODPDWHL[DSUREDELOLWDWG¶RFXUUqQFLDSHOIHWTXHWRWVHOOVWHQHQ ODPDWHL[DHQHUJLD($TXHVWIHWpVLQGHSHQGHQWGHTXLQDVLJXLODGLVWULEXFLyG¶HQHUJLHV ^(L` TXH HVUHSURGXHL[ DO OODUJ GH WRWV HOV PHPEUHV GH FDGDFROÂOHFWLXFDQzQLF (Q SURSHUHVVHFFLRQVHVEULQDUHPFRPHVGHILQHL[HQHQWHUPHVSUjFWLFVHOVHVWDWVTXjQWLFV HQTXqHVSRWWUREDUFDGDPHPEUHGHOFROÂOHFWLXFDQzQLF$UDQRPpVHQVFDOSHQVDUTXH DTXHVWVHVWDWVHVGHVFULXHQSHUFRPELQDFLyGHOVHVWDWVTXjQWLFVHQTXqHVSRGHQWUREDU OHV SDUWtFXOHV FRQWLQJXGHV D FDGD PHPEUH $VVXPLUHP VHPSUH TXH HO QRPEUH G¶HVWDWV DVVROLEOHV GH FDGD PHPEUH GHO FROÂOHFWLX FDQzQLF pV PROW PpV JUDQ TXH HO  $HIHFWHVGHOWUDFWDPHQWHVWDGtVWLFL PDWHPjWLFDTXHVWVPHPEUHVHVFRPSRUWHQFRPHOV jWRPVRPROqFXOHVG¶XQFULVWDOOODVHYDSRVLFLyHVSDFLDOpVORFDOLW]DEOHDWUDYpVGHOHVVHYHV FRRUGHQDGHVLDL[zHOVIDGLVWLQJLEOHVXQVGHOVDOWUHV ∗∗3HOFDVGHOJDVLGHDODWqVTXHO¶HQHUJLDHVWjOOLJDGDGLUHFWDPHQWDODYDULDEOHWHPSHUDWXUD HVSRGHQFRQIRQGUHHOVFROÂOHFWLXVFDQzQLFLPLFURFDQzQLF 7RWLDL[zHQODSDUWWHzULFDG¶DTXHVWDVHFFLyFRQVLGHUDUHPTXHHOVQLYHOOVGHOVVLVWHPHVQR HVWDQGHJHQHUDWVpVDGLULGHQWLILFDUHPHVWDWDPEQLYHOOeVDO¶H[HUFLFLG¶DTXHVWDVHFFLyRQ V¶LQWURGXHL[IRUPDOPHQWODGHJHQHUDFLyGHOVQLYHOOV (Q DOWUHV SDUDXOHV HV SRW UHFyUUHU DO FROÂOHFWLX FDQzQLF TXDQ HOVLVWHPDHVWXGLDWHVSRW FRQVLGHUDUXQDSDUWG¶XQFROÂOHFWLXPLFURFDQzQLF 3HU OHVSDUWtFXOHVG¶XQJDVLGHDOVLPSOHVHQVHHVWUXFWXUDLQWHUQDDTXHVWVHVWDWVVyQ HOV TXjQWLFVWUDQVODFLRQDOVYHXUHO¶DSqQGL[((QFRQVLGHUDUjWRPVRPROqFXOHVWDPEpFDOGUj WHQLUHQFRPSWHOHVFRQWULEXFLRQVGHOVHVWDWVTXjQWLFVURWDFLRQDOVYLEUDFLRQDOVHOHFWUzQLFVL QXFOHDUV © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD GLVWULEXFLRQV(OVSHVRVGHFDGDGLVWULEXFLyDFWXHQFRPDSHVRVHVWDGtVWLFVL G¶DTXtHQSURYpHOVHXQRP 3HUDFDGDGLVWULEXFLySRGHPFDOFXODUOHVSURSRUFLRQVGRFXUUqQFLDGHSREODFLyGHFDGD HVWDW$TXHVWHVSURSRUFLRQVOHVGHQRWHPDWUDYpVGHOFRQMXQWGHTXRFLHQWV^QL1`(Q UHODFLyDOH[HPSOHTXHDUDHVWXGLHPGLVSRVHPGHOVUHVXOWDWVVHJHQWV 'LVWULEXFLy: ^QL` ^`^QL1` ^` 'LVWULEXFLy: ^QL` ^`^QL1` ^` 'LVWULEXFLy: ^QL` ^`^QL1` ^` 7DPEpSRGHPREWHQLUOHVPLWMDQHVGHSREODFLyGHFDGDQLYHOO$TXHVWHVPLWMDQHVHV FDOFXOHQFRQVLGHUDQWHOVHJRQSRVWXODWGHOD7HUPRGLQjPLFD(VWDGtVWLFDVLVDGPHWTXH FDGD FRPSOH[Ly Wp OD PDWHL[D SUREDELOLWDW GRFXUUqQFLD TXH OHV DOWUHV OODYRUV OHV PLWMDQHVGRFXSDFLyGHFDGDQLYHOOVyQOHVPLWMDQHVGHOHVSREODFLRQVSRQGHUDGHVSHOV SHVRVGHFDGDGLVWULEXFLyDSqQGL[&LDTXHVWHVHVGHILQHL[HQFRP   M M M L M M L: Q :  Q: :: ¦ ¦  , RQ HO VtPERO QL:M UHSUHVHQWD HO YDORU TXH SUHQ HO Q~PHUR GRFXSDFLy QLHQOD FRQILJXUDFLy :M /D VXPD HV ID SHU WRWHV OHV GLVWULEXFLRQV TXH FRPSOHL[HQ OHV UHVWULFFLRQVGHOVLVWHPD/¶H[SUHVVLySHOVWHUPHV L QpVDQjORJDDODUHODFLy&LHQ OH[HPSOHTXHHVWHPFRQVLGHUDQWHQVSHUPHWFDOFXODUHOYDORUGH            uuu : :: ¦ ¦ M M L LL : Q : Q LGHODPDWHL[DPDQHUDHVFDOFXOHQ  (Q IHU XQD HVWDGtVWLFD VREUH XQ FROÂOHFWLX DPE SURX PHPEUHV DTXHVWHV SURSRUFLRQV G¶RFXUUqQFLDHQVLQGLTXHQODSURSRUFLyGHWHPSVTXHXQPHPEUHHVWUREDHQXQGHWHUPLQDW HVWDW'¶DTXtHVSRWLQIHULUTXLQYDORUPLWMjWHPSRUDOH[KLELUjHQUHODFLyDXQDGHWHUPLQDGD SURSLHWDWPHFjQLFD © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~(OFROOHFWLXFDQzQLF     Q    Q    Q eVFODUTXHVHPSUHHVFRPSOLUj ¦ L L Q 1, WDOLFRPHVSRWGHPRVWUDUIjFLOPHQWSUREOHPDLFRPSURYDUSHUOH[HPSOHVREUHHO TXHDUDWUHEDOOHP +HPYLVWTXHOHVPLWMDQHVGHOVSHVRVGHFDGDGLVWULEXFLyHVFDOFXOHQVHJXLQWODUHFHSWD ,$L[zHQVGyQDODSDXWDSHUFDOFXODUSHUXQDDOWUDYLDODSUREDELOLWDWTXHXQ PHPEUHGHOFROÂOHFWLXHVWURELHQXQQLYHOOHQHUJqWLFLGHWHUPLQDW$TXHVWDSUREDELOLWDW YDO   ¦: ¦::     MM MMLM L L : Q:   Q S 1 1, TXHHQHOQRVWUHFDVpV    S    S     S     S FRPSOLQWVHQDWXUDOPHQW  ¦ L L S DWqVTXHHVVDWLVIjODUHODFLy, 8QDYHJDGDKHPDUULEDWDDTXHVWSXQWHQVSRGHPSODQWHMDUTXLQYDORUSRWSUHQGUHOD PLWMDQDG¶XQDSURSLHWDWPHFjQLFDRWHUPRGLQjPLFD0HQDTXHVWFROÂOHFWLX6HJRQVHO SULPHUSRVWXODWVHFFLy,DTXHVWDPLWMDQDWDPEpODPDQLIHVWDUjFDGDPHPEUHpVD GLU FDGD VLVWHPD ItVLF GHO ODERUDWRUL 6XSRVHP TXH TXDQ HO VLVWHPD PHPEUH GHO FROÂOHFWLX FDQzQLF HV WURED HQ XQ HVWDW HQHUJqWLF (L HQV PDQLIHVWD XQ YDORU GH OD SURSLHWDW0LTXHHVWjHQFRUUHVSRQGqQFLDDPEHOGHO¶HQHUJLD(QUHODFLyDO¶H[HPSOH  (QDTXHVWDVHFFLyQRUHFRUUHPDODUHODFLy,3UHFLVDPHQWDPEODLQIRUPDFLyGRQDGD DTXtHVGHGXLUjDTXHVWDUHODFLyDODSURSHUDVHFFLy (QHO FDVGHOJDVLGHDO VHQVHHVWUXFWXUDLQWHUQD DTXHVWDHQHUJLDHVWjUHODFLRQDGDDPEOD GLVWULEXFLy G¶HQHUJLHV FLQqWLTXHV GH OHV SDUWtFXOHV GHO JDV $TXHVWD GLVWULEXFLy RULJLQD GH UHWUXFOHVGLVWULEXFLRQVGHOHVIUHTqQFLHVLLQWHQVLWDWVGHOV[RFVGHOHVSDUWtFXOHVDPEOHV SDUHWVGHOUHFLSLHQWTXHOHVFRQWp/DSUHVVLyTXHH[SHULPHQWDHOJDVpVXQDPDQLIHVWDFLyHQ IRUPDGHPLWMDQDG¶DTXHVWVIHWV © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD TXH HVWXGLHP FRQVLGHUDUHP DUD OHV DVVRFLDFLRQV TXH V¶HVWDEOHL[HQDOOODUJGHOHV GLIHUHQWVILOHUHVGHOD7DXOD, (VWDWL9DORUGH(L9DORUGH0L3UREDELOLWDWSL             7DXOD , $VVRFLDFLRQV SHU ILOHUHV G¶DOJXQV GHOV SDUjPHWUHV TXH FDUDFWHULW]HQDOVGLIHUHQWVQLYHOOVGHOVLVWHPDPRGHOFRPHQWDWHQHOWH[W/HV XQLWDWVVRQDUELWUjULHV$PEDTXHVWHVGDGHVHVSRWDYDOXDUODPLWMDQDGHOD PDJQLWXG0YHXUHHOWH[W /D PLWMDQDGXQD PDJQLWXG PDFURVFzSLFD 0 VKD GH FDOFXODU FRQIRUPH D OH[SUHVVLy ,eVDGLU ¦¦ L L L L LL 0 Q 0S0 1 8WLOLW]DQW HOV UHVXOWDWV QXPqULFV SUHYLV YHLHP TXH OD PHVXUD GH OD SURSLHWDW PDFURVFzSLFD0WpHOYDORUPLWMj               uuuu 0XQLWDWVDUELWUjULHV &RPKHPG¶LQWHUSUHWDUDTXHVWUHVXOWDW"(QHOPDUFGHOD7HUPRGLQjPLFD(VWDGtVWLFD KHPGHFRQVLGHUDUTXHHOVLVWHPDItVLFHQHVWXGLPHPEUHGHOFROÂOHFWLXFDQzQLFSRW SUHVHQWDUGHIRUPD³LQVWDQWjQLD´XQYDORUGHODPDJQLWXG0LJXDODRHQOHV XQLWDWV HVFDLHQWV*UjFLHVDO¶HVWXGLGHOVGLIHUHQWVPLFURHVWDWVLGHOHVVHYHV DJUXSDFLRQVHQGLVWULEXFLRQVKHPYLVWTXHDTXHVWVTXDWUHYDORUVQRWHQHQODPDWHL[D SUREDELOLWDWG¶RFXUUqQFLD (Q XQ HVSDL GH FRRUGHQDGD WHPSRUDO DL[z YRO GLU TXH HOV WHPSV GH PDQLIHVWDFLy GH FDGD YDORU VyQ GLIHUHQWV HQWUH HOOV )LQDOPHQW SHU WDO GH UHSURGXLU HO YDORU H[SHULPHQWDO GH OD SURSLHWDW 0 FDO FRQVLGHUDU XQ YDORU PLWMj SRQGHUDW(Q7HUPRGLQjPLFD (VWDGtVWLFD DTXHVW FjOFXO QR HV ID HPSUDQW OD YDULDEOH WHPSV VLQy PLWMDQoDQW O¶DYDOXDFLy GH OHV SUREDELOLWDWV G¶RFXUUqQFLD GH FDGD HVWDW ,PSOtFLWDPHQWV¶DVVXPHL[TXHFDGDPLFURHVWDWWpHOPDWHL[WHPSVGHYLGDPLWMDQDDWqV TXHO¶HQHUJLDpVODPDWHL[DSHUDWRWVVHJRQSRVWXODW  3HOFDVGHO¶KLSRWqWLFJDVLGHDOTXHPROWHVYHJDGHVFRQVLGHUHPODSUHVVLyGHOJDVVHULDGH XQLWDWVGHSUHVVLy$TXHVWYDORUQXPqULFV¶KDREWLQJXWDPEHOFRQHL[HPHQWTXHSDUWV GHOWHPSVHOJDVH[KLELDXQDSUHVVLyLQVWDQWjQLDLJXDODpVDGLUFDSPROqFXODLPSDFWDDPE OHVSDUHWVGHOUHFLSLHQWTXHOHVFRQWpSDUWVGHOWHPSVGHXQLWDWVSDUWVGHOWHPSV XQLWDWVLILQDOPHQWH[KLELDXQDSUHVVLyLQVWDQWjQLDGHXQLWDWVQRPpVSDUWGHOWHPSV © Els autors, 2004; © Edicions UPC, 2004  (%HVDO~(OFROOHFWLXFDQzQLF     (Q DTXHVW H[HPSOH VHQ]LOO MD DSUHFLHP TXH KL KD XQD GLVWULEXFLy TXH SUHVHQWD XQD SUREDELOLWDW GRFXUUqQFLD PpV JUDQ TXH OHV DOWUHV (V WUDFWD GH OD GLVWULEXFLy : O¶DQRPHQDGD GLVWULEXFLy GRPLQDQW (Q 7HUPRGLQjPLFD (VWDGtVWLFD QR VHIHFWXD HO FjOFXOGHODPLWMDQD,HPSUDQWOHVSUREDELOLWDWVH[DFWHVTXHDFDEHPGHFDOFXODU DTXtVLQyTXHHVSUHQHQOHVSUREDELOLWDWVTXHVREWHQHQGHODFRQILJXUDFLy GRPLQDQW $L[zHVIDDL[tSHUTXqHQOHVDSOLFDFLRQVUHDOVHOQRPEUHGHGLVWULEXFLRQVpVHQRUPHL HV ID LQWUDFWDEOH OD PDQLSXODFLy GH WRWHV HOOHV (Q FDQYL GHWHUPLQDU TXLQD pV OD GLVWULEXFLyGRPLQDQWpVPROWPpVVHQ]LOOLDOKRUDOtFLWSHUTXqHOVHXSHVHVIDPROW JUDQHQUHODFLyDOGHOHVDOWUHVGLVWULEXFLRQV$FRQWLQXDFLyYHXUHPTXHVLQRPpVHVYRO FRQVLGHUDU XQD VROD GLVWULEXFLy TXH HQV SHUPHWL IHU OD GHVFULSFLy GHO VLVWHPD ItVLF VRWPqVDHVWXGLODGRPLQDQWpVODFDQGLGDWDLGHDO3UHQGUHQRPpVHQFRQVLGHUDFLyOD GLVWULEXFLyGRPLQDQWpVHTXLYDOHQWDREYLDUPROWVPLFURHVWDWVSRFUHOOHYDQWVMDVLJXLHQ QRPEUHRSHUTXqOHVFRQWULEXFLRQVQXPqULTXHVTXHJHQHUHQLTXHFDOGULDDIHJLUDOD PLWMDQDHVFRPSHQVHQHQWUHHOOHVHIHFWHGHFRPSHQVDFLyG¶HUURUV3HUDOWUDSDUWOHV GLVWULEXFLRQVG¶DOWSHVVHPSUHVHUDQPROWVLPLODUVLRULJLQDUDQYDORUVGHOHVSURSLHWDWV PDFURVFzSLTXHVSUjFWLFDPHQWLGqQWLTXHVDOHVREWLQJXGHVDWUDYpVGHODFRQILJXUDFLy GRPLQDQW'HQRXDTXtKLUHWUREHPXQHIHFWHGHFRPSHQVDFLyG¶HUURUVTXHJDUDQWHL[ UREXVWHVDDOVYDORUVQXPqULFVTXHSURYHQHQGHODGLVWULEXFLyGRPLQDQW  8QGHOVSULPHUVGHWDOOVTXHV¶REVHUYHQpVTXHHOVQRPEUHVG¶RFXSDFLyPLWMDQVVyQPROW VHPEODQWVDOVGHODGLVWULEXFLyGRPLQDQW   ^` ^`^`^`                : : | ¿ ¾ ½ ¯ ®  L Q QQQQ    (Q HIHFWXDU HO FjOFXO GH OD PLWMDQD D SDUWLU G¶DTXHVWHV GDGHV REWHQLP HOV YDORUV DSUR[LPDWV   1  : |L L Q S  TXHHQHOFDVGHO¶H[HPSOHQXPqULFTXHFRQVLGHUHPVyQ      |SSS   |S  8WLOLW]DQWDTXHVWVYDORUVGHOHVSUREDELOLWDWVDODPLWMDQD,LOHVDOWUHVGDGHVGHOD 7DXOD,HVSRWFDOFXODUXQYDORUHVSHUDWDSUR[LPDWGHODSURSLHWDWPDFURVFzSLFD0  eVDGLUYHXUHPFRPUHDOPHQWVyQDTXHVWHVSUREDELOLWDWVOHVTXH V¶REWHQHQ HPSUDQW OD UHODFLy, © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD            uuuu| ¦ L LL 0S0 XQLWDWVDUELWUjULHV (QIHUDTXHVWFjOFXODSUR[LPDWHVFRPHWXQHUURUGXQUHVSHFWHHOYDORUH[DFWH %jVLFDPHQWO¶HUURUpVGHJXWDODUHGXwGDPLGDGHOFROÂOHFWLXTXHVKDSUHVFRPDPRGHOL DO IHW TXH FDGD PHPEUH SUHVHQWD SRFV HVWDWV HQHUJqWLFV (Q VLWXDFLRQV UHDOV O¶HUURU FRPqVHQFRQVLGHUDUQRPpVODFRQILJXUDFLyGRPLQDQWpVQHJOLJLEOHLpVPROWVRUGUHVGH PDJQLWXGLQIHULRUDO¶HUURUH[SHULPHQWDO$L[zRFRUUHTXDQHOQRPEUHGHPHPEUHVGHO FROÂOHFWLX1pVPROWJUDQLVLDOKRUDH[LVWHL[HQPROWVPpVHVWDWVHQHUJqWLFVDVVROLEOHV TXHPHPEUHVGHOFROÂOHFWLX$TXHVWVUHVXOWDWVMXVWLILTXHQODXWLOLWDWGHIHUXQXVH[FOXVLX GHODFRQILJXUDFLyGRPLQDQW $OD7DXOD,HVSUHVHQWDXQDVLQRSVLGHOVFjOFXOVHIHFWXDWVHQO¶H[HPSOHTXHKHP GHVHQYROXSDW(VPRVWUHQOHVWUHVGLVWULEXFLRQVLPLWMDQoDQWGXHVYLHVV¶REWpODPLWMDQD GHODPDJQLWXG0/DGDUUHUDILOHUDPRVWUDXQDPDQHUDGHIHUHOFjOFXO$ODWDXOD V¶HVFULXODSUREDELOLWDWG¶RFXUUqQFLDGHFDGDGLVWULEXFLy$VRWDV¶LQGLFDTXLQYDORUGH ODPDJQLWXG0LHVWjDVVRFLDWDFDGDGLVWULEXFLy(OFjOFXOHVIDDWUDYpVG¶XQDPLWMDQD SRQGHUDGDGHOVYDORUVGHODPDJQLWXGDVVRFLDWVDFDGDHVWDW(OVSHVRVQRVyQUHVPpV TXHHOQRPEUHGHVLVWHPHVTXHSREOHQFDGDHVWDW(OVYDORUVQXPqULFVREWLQJXWVGHOD PDJQLWXGSHUDFDGDGLVWULEXFLyVyQLGHIRUPDUHVSHFWLYD7DOLFRPGqLHP PpV DPXQW DTXHVWV YDORUV WHQHQ VLJQLILFDW ItVLF VL HO VLVWHPDQRPpVHVSRJXpV PDQLIHVWDUHQXQDFRPSOH[LyRGLVWULEXFLyFRQFUHWHVHOYDORUFRUUHVSRQHQWGH0LVHULD HOTXHHVPHVXUDULDH[SHULPHQWDOPHQW)LQDOPHQWODPLWMDQDGHODPDJQLWXGHVFDOFXOD VXPDQWGHIRUPDSRQGHUDGDDTXHVWVWUHVYDORUVeVFODUTXHHOVSHVRVHVWDGtVWLFVGHFDGD PDJQLWXGVyQOHVSUREDELOLWDWVG¶RFXUUqQFLDGHFDGDGLVWULEXFLyOHVTXDOVV¶REWHQHQD SDUWLU GHOV VHXV SHVRV WHUPRGLQjPLFV 7DPEp HV SRW REWHQLU OD PLWMDQD HPSUDQW OHV GDGHVGHOHVGDUUHUHVFROXPQHVGHODWDXOD(QFRQqL[HUOHVSUREDELOLWDWVG¶RFXSDFLyGH FDGDHVWDWQRPpVFDOXWLOLW]DUOHVFRPDSHVRVGHOYDORUGHODPDJQLWXGDVVRFLDGDD FDGDVFXQ G¶HOOV (OV FjOFXOV TXH HV PRVWUHQ D OD 7DXOD , VyQ H[DFWHV -D KHP FRPHQWDW TXH D OD SUjFWLFD DTXHVW FzPSXW pV LPSUDFWLFDEOH GHJXW DO IHW TXH HO QRPEUHUHDOGHFRQILJXUDFLRQVpVPRQVWUXyV(QFDQYLDOD7DXOD,HVPRVWUDHO FjOFXOTXHUHDOPHQWHVIDHQ7HUPRGLQjPLFD(VWDGtVWLFDQRPpVHVWpHQFRPSWHXQD VRODGLVWULEXFLyODGRPLQDQW(QDTXHVWFDVHVSRWDSUHFLDUTXHHVFRQIRQHQHOVFzPSXWV TXHHVGHVHQYROXSHQDOOODUJGHODILOHUDFRPGHOHVFROXPQHVOHVGXHVVXPHVILQDOVVyQ ODPDWHL[DHQFDUDTXHHVFULWHVHQRUGUHLQYHUV $FDEHPGHYHXUHTXHXQFROÂOHFWLXFDQzQLFDPEXQDHQHUJLDWRWDOGHXQLWDWVLIRUPDW SHU  PHPEUHV TXH SRGHQ RFXSDU HOV QLYHOOV HQHUJqWLFV ^` Wp XQD SREODFLy PLWMDQD DVVLJQDGD D FDGD QLYHOO TXH HOV YDORUV GH OHV RFXSDFLRQV PLWMDQHV VyQ VHPEODQWVDOHVRFXSDFLRQVGHODGLVWULEXFLyPpVSUREDEOHRGRPLQDQWLTXHDL[zIDTXH OHVSUREDELOLWDWVGRFXUUqQFLDGHOVHVWDWVHVSXJXLQDSUR[LPDUDOHVGHODGLVWULEXFLyPpV SUREDEOH /DFRQVHTqQFLD LPPHGLDWD pV TXH HO FjOFXO GHO YDORU PDFURVFzSLF GXQD SURSLHWDWGHOVLVWHPDVKDVLPSOLILFDWDPEHOSUHXGHFRPHWUHXQSHWLWHUURU$ILUPHP SHUzTXHHQXQFROÂOHFWLXDPEPROWVPHPEUHVHVSRGHQSUHQGUHOHVRFXSDFLRQVGHOD GLVWULEXFLyPpVSUREDEOHFRPDUHSUHVHQWDWLYHVGHWRWHOFROÂOHFWLXHQHOVHQWLWTXHOHV RFXSDFLRQVPLWMDQHVH[DFWHVSUHQHQSUjFWLFDPHQWHOVPDWHL[RVYDORUV7DPEpV¶KDGH GLUTXHWDQWKLKDGHVYLDFLRQVSHUVREUHFRPSHUVRWDGHOYDORUTXHHVSUHWpQFDOFXODU(O © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~(OFROOHFWLXFDQzQLF  WHRUHPD GHO OtPLW FHQWUDO DSqQGL[ & HQV DVVHJXUD TXH HO YDORU QXPqULF 0HVSRW DVVRFLDUDXQDYDULDEOHHVWDGtVWLFDTXHWpXQDGLVWULEXFLyJDXVVLDQD$TXHVWDGLVWULEXFLy JDXVVLDQD HVWj PROW ORFDOLW]DGD Wp XQD GHVYLDFLy WtSLFD GH O¶RUGUH GH 1± $L[t FRQFORHP TXH HPSUDW QRPpV OHV GDGHV DSRUWDGHV SHU OD GLVWULEXFLy GRPLQDQW HQ ODYDOXDFLyGHODPLWMDQD,pVFRPHWXQHUURUQHJOLJLEOHLTXHSHUDXQVLVWHPDUHDO DTXHVWHUURUVHUjPROWPpVSHWLWHQFRPSDUDFLyDODSUHFLVLyTXHSXJLDSRUWDUXQVLVWHPD PDFURVFzSLFGHPHVXUD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD 'LVWULEXFLRQV (QHUJia : ^` : ^` : ^` 9DORUGH OD 0DJQLWXd 0LWMDQHV G¶RFXSDFLy SHUHVWDW L Q 3UREDELOLWDW G¶RFXSDFLyGH FDGDHVWDWSL 0LWMDQD M x    x    xxxx    xxx                  3UREDELOLWDW G¶RFXUUqQFLDGH OHVGLVWULEXFLRQVSL        ¦1 L L Q ¦ L L S 0DJQLWXGGHFDGD GLVWULEXFLy0L                 u  0LWMDQD 0 7DXOD,'XHVPDQHUHVG¶HIHFWXDUHOFjOFXODOOODUJGHO               HVGLVWULEXFLRQVRDOOODUJGHOVHVWDWV9HXUHHOWH[WSHUDPpVLQIRUPDFLy 'LVWULEXFLyGRPLQDQW (QHUJLD :G : ^` 9DORUGH OD 0DJQLWXd 0LWMDQHV G¶RFXSDFLy SHUHVWDW L Q 3UREDELOLWDW G¶RFXSDFLyGH FDGDHVWDWSL 0LWMDQD 0  x   x   x              u 3UREDELOLWDWG¶RFXUUqQFLD GH OHVGLVWULEXFLRQVSL  3 ¦1 L L Q ¦ L L S 0DJQLWXGGHFDGD GLVWULEXFLy0L        u 0LWMDQD 0     7DXOD,(QFRQVLGHUDUXQDVRODGLVWULEXFLyHVFRQIRQHQOHVGXHVPDQHUHVGHIHUHOFjOFXO9HXUHHOWH[WSHUDPpVLQIRUPDFLy 3 ¦1 L L Q © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~(OFROOHFWLXFDQzQLF  ,(OFDVJHQHUDO 3URFHGLUHP D JHQHUDOLW]DU HOV FRQFHSWHV TXH V¶DFDEHQ GH GHVHQYROXSDU D O¶H[HPSOH QXPqULFGHO¶DSDUWDWDQWHULRU6XSRVHPTXHGLVSRVHPGXQFROÂOHFWLXFDQzQLFIRUPDWSHU 1PHPEUHV(QVUHIHULUHPDXQDGLVWULEXFLyLQGLFDQWHOVQRPEUHVG¶RFXSDFLyGHFDGD HVWDWHQHUJqWLF: ^QQ` (OUHTXLVLWGHOPDQWHQLPHQWGHOHQHUJLDWRWDOGHOFROÂOHFWLXH[SUHVVDWDOHTXDFLy, SULYD TXH PROWHV FRQILJXUDFLRQV SXJLQ GRQDUVH 3HU H[HPSOH OD FRQILJXUDFLy ^1`RQWRWVHOVPHPEUHVGHOFROÂOHFWLXHVWUREHQDO¶HVWDWEDVDOG¶HQHUJLDWpXQD HQHUJLDWRWDOLJXDOD1(TXHHQJHQHUDOpVPHQRUTXHOHQHUJLDGHOFROÂOHFWLX( (O SHV : GXQD FRQILJXUDFLy : ^QQ` pV HO QRPEUH GH PDQHUHV GLIHUHQWV TXH GLVSRVHP SHU DVVROLU GLWD FRQILJXUDFLy 6¶KD YLVW TXH OD IyUPXOD JHQHUDO SHU DO VHX FjOFXOpV  ^ `  : L L Q QQ QQ::        11 , DPEHOEHQHQWqVTXHHVFRPSOHL[HQOHVUHVWULFFLRQVGHOQRPEUHGHVLVWHPHV,LGH OHQHUJLDGHOFROÂOHFWLX, +HP FRPSURYDW D OH[HPSOH QXPqULF TXH OD SUREDELOLWDW GRFXUUqQFLD SHU D FDGD GLVWULEXFLy:LYHGRQDGDSHUOH[SUHVVLy, (V GHPRVWUD TXH TXDQ VDFXGHL[ DO SULQFLSL GH OD LJXDOWDW GH SUREDELOLWDWV D SULRUL VHJRQSRVWXODWLTXDQ1SUHQXQYDORUPROWJUDQKLKDXQDFRQILJXUDFLyGRPLQDQW:G VREUHOHVDOWUHV/DSUREDELOLWDWG¶RFXSDFLyGHFDGDHVWDWHQHUJqWLF,YLQGUjGRQDGD DODSUjFWLFDSHUODSREODFLyGHOVHVWDWVTXHSUHVHQWDODFRQILJXUDFLyGRPLQDQW$L[zKR SRGHPMXVWLILFDUSHUTXqODGLVWULEXFLyGRPLQDQWWpXQSHVPROWPpVJUDQTXHODUHVWDGH OHVFRQILJXUDFLRQVLHVSRWHVFULXUH     G GL LG L L:::: :|:: : ¦¦ z , pV D GLU OD VXPD GHOV SHVRV GH OHV FRQILJXUDFLRQV pV SUjFWLFDPHQW HO SHV GH OD FRQILJXUDFLyGRPLQDQW$TXHVWIHWpVHOTXHFRQFHGHL[DODGLVWULEXFLyGRPLQDQWHOVHX JUDQSHVHVWDGtVWLF(VGHYpHOWHUPHPpVLPSRUWDQWTXHFDOFRQVLGHUDUHQHOFjOFXOLpV SHU DL[z TXH UHS O¶DGMHFWLX GH GRPLQDQW (Q DTXHVW FDV GLHP TXH OD FRQILJXUDFLy GRPLQDQWGHVFULXHQWHUPHVGHPLWMDQHVWRWHOFROÂOHFWLXFDQzQLFWDOLFRPVKDYLVWD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD OH[HPSOHQXPqULF$L[tGRQFVOHVSUREDELOLWDWVSLGHILQLGHVDODUHODFLy,HVSRGHQ DSUR[LPDUD        G G L G M M M L M M L: Q : : Q : S: :: | : :: ¦ ¦ 11  L VLPSOLILFDQW YHLHP TXH OD SUREDELOLWDW GRFXSDFLy GHVWDWV YH GHWHUPLQDGD SHU OHV RFXSDFLRQVTXHSUHVHQWDODFRQILJXUDFLyGRPLQDQW  1 GL L Q S: |, 3HOTXHUHVSHFWDDOYDORUQXPqULFGHODSURSLHWDW0TXHHVYRODYDOXDUHQHOVLVWHPD WHUPRGLQjPLFHVWXGLDWDSDUWLUGHODGHILQLFLy,LHPSUDQWODUHODFLyDQWHULRUHV WUREDTXH  ¦: | L L GL 0 Q 01 , (O FULWHUL GH UHSUHVHQWDELOLWDW GH WRW HO VLVWHPD SHU SDUW GXQD VROD FRQILJXUDFLy HV PDJQLILFDTXDQHVWUDFWDXQFROÂOHFWLXDPEXQQRPEUHGHPHPEUHVPROWJUDQ(QDTXHVW FDVHQHOOtPLWOHVH[SUHVVLRQV,L,HVGHYHQHQLJXDOWDWV/DSUREDELOLWDW GRFXUUqQFLD GH OD FRQILJXUDFLy GRPLQDQW :GHVIDSURSHUDDTXDQHOYDORUGH1 WHQGHL[DLQILQLWLHOQRPEUHGHVWDWVDFFHVVLEOHVSHUSDUWGHFDGDPHPEUH;pVPROW PpVJUDQTXH1  o: ° ° ¿ ° ° ¾ ½ fo ; fo G S 1 1  /DGHPRVWUDFLyGHOTXHVDFDEDGHGLUHVSRWWUREDUDODELEOLRJUDILDYHXUHHOOOLEUHGH '$0F4XDUULH7DPEpKLKDXQDUHODFLyGLUHFWDDPEHOWHRUHPDGHOOtPLWFHQWUDO DSqQGL[&OHUURUFRPqVHQSUHQGUHODFRQILJXUDFLyGRPLQDQWFRPDUHSUHVHQWDQWGH WRWHOFROÂOHFWLXpVSURSRUFLRQDODOLQYHUVGHODUUHOTXDGUDGDGH1 3HUzOHVSURSLHWDWVLQKHUHQWVGHODFRQILJXUDFLyGRPLQDQWQRVyQWRWHVGHJXGHVDOIHW TXHDGRSWDXQSHVPj[LP(OYDORUHVWDGtVWLFFHQWUDOHVSUHVHUYDWDPEpSHUHIHFWHVGH  $TXHVWYDORUQXPqULFHVSRWVXEVWLWXLUSHOGHODIXQFLyGHSDUWLFLyFDQzQLFD47RWLTXHQR FRLQFLGHL[HQQXPqULFDPHQWHOVHXVLJQLILFDWTXDOLWDWLXpVHOPDWHL[ © Els autors, 2004; © Edicions UPC, 2004  (%HVDO~(OFROOHFWLXFDQzQLF     FRPSHQVDFLy G¶HUURUV VREUHWRW SHU SDUW GH FRQILJXUDFLRQV DPE SHVRVTXHWDPEpHV SRGHQFRQVLGHUDUJUDQV$OD)LJXUD,HVUHSUHVHQWDHVTXHPjWLFDPHQWFRPHOSHVGH ODGLVWULEXFLyGRPLQDQWGHVWDFDUHVSHFWDHOVSHVRVGHHOVDOWUHV FRQILJXUDFLRQV $ OD ILJXUDODFRQILJXUDFLyGRPLQDQWVHVLWXDHQHOSXQWGHO¶HL[G¶DEVFLVVHVTXHGHWHUPLQD HOFHQWUHGHODIXQFLyUHSUHVHQWDGD(QUHDOLWDWDTXHVWDIXQFLypVPROWPpVDOWDLHVWUHWD GHOTXHV¶KDUHSUHVHQWDWDTXt   3HVRV: &RQILJXUDFLRQV :G  )LJXUD,(VTXHPDTXHUHSUHVHQWDFRPHOSHVGHOD FRQILJXUDFLy GRPLQDQW SUHGRPLQD UHVSHFWH WRWV HOV DOWUHVSHVRVGHOHVDOWUHVFRQILJXUDFLRQV   $WHVRVHOVUHVXOWDWVH[SUHVVDWVDOHVUHODFLRQV,L, HQV FDO UHVROGUH HO SUREOHPD G¶LGHQWLILFDU TXLQD pV OD FRQILJXUDFLy GRPLQDQW DVVRFLDGD D XQ FROÂOHFWLX FDQzQLF$L[zKRIDUHPDODSURSHUDVHFFLy © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD 3HOFDVSDUWLFXODUGHODGLVWULEXFLyGHSDUWtFXOHVUHSDUWLGHVHQGRVJUXSVGH HOVGLIHUHQWVPLFURHVWDWVVyQHOVTXHV¶HVSHFLILTXHQDOD7DXOD,$OOjOHV SDUWtFXOHVV¶KDQQXPHUDWGHO¶DO 3DUWtFXOHV GHOQLYHOO 3DUWtFXOHV GHOQLYHOO             7DXOD,(OVPLFURHVWDWVFRUUHVSRQHQWVDOD GLVWULEXFLyGHSDUWtFXOHVGHOD7DXOD,TXDQ KL KD GXHV SDUWtFXOHV SHU QLYHOO HQHUJqWLF (OV Q~PHURV GH OD WDXOD LGHQWLILTXHQ FDGD SDUWtFXOD &DGDILOHUDV¶LGHQWLILFDDPEXQPLFURHVWDW © Els autors, 2004; © Edicions UPC, 2004 , &jOFXOGHODFRQILJXUDFLyGRPLQDQW ODGLVWULEXFLyGH0D[ZHOO%ROW]PDQQ $ OD VHFFLy DQWHULRU V¶KD MXVWLILFDW TXH HQ 7HUPRGLQjPLFD (VWDGtVWLFD pV VXILFLHQW FRQVLGHUDU OD FRQILJXUDFLy GRPLQDQW $TXt GHWHUPLQDUHP TXLQD pV OD FRQILJXUDFLy GRPLQDQW L HQ EDVH D DL[z GHPRVWUDUHP TXH OD SUREDELOLWDW G¶RFXSDFLy GHOV HVWDWV REHHL[DODUHODFLy,(VEULQDUHPTXLQDpVODGLVWULEXFLyGRPLQDQWDSDUWLUGHOD VHYD GHILQLFLy pV DTXHOOD TXH Wp SHV Pj[LP /¶HVSHFLILFDUHP LQGLFDQW TXLQD pV O¶RFXSDFLyTXHHVWDEOHL[SHUDFDGDHVWDWHQHUJqWLF(OTXHIDUHPGRQFVpVFHUFDUTXLQ pVHOPj[LPGHOYDORUGHOSHV::UHVSHFWDDWRWVHOVSRVVLEOHVYDORUVGHOQRPEUHV GRFXSDFLyTXHFRPSOHL[HQOHVUHVWULFFLRQV,L,pVDGLUOHVFRQGLFLRQVGH QRPEUHGHPHPEUHVLYDORUGHOHQHUJLDWRWDOGHOFROÂOHFWLX3HUWDOGHVLPSOLILFDUOD QRWDFLyDTXtGHQRWDUHPHOSHV::FRP:(VGyQDSHUVREUHHQWqVTXHHOYDORUGH: pVIXQFLyGHOVQRPEUHVG¶RFXSDFLyGHODGLVWULEXFLy: ^QQ`: :QQ3HU PD[LPLW]DUODIXQFLy:HQVVHUjPpVFzPRGHWUHEDOODULPD[LPLW]DUHOVHXORJDULWPH OQ:SHUTXqVHJXHL[OHVPDWHL[HVSDXWHVGHFUHL[HPHQWLGHFUHL[HPHQWGHODIXQFLy:L WDOLFRPYHXUHPpVPpVPDQHMDEOHDOJqEULFDPHQW $SOLFDQWO¶DSUR[LPDFLyG¶6WLUOLQJDOH[SUHVVLy,V¶REWpH[HUFLFL ¦  L LL QQ: OQOQOQ 11 , &HUFDUHPHOPj[LPG¶DTXHVWDIXQFLyUHVSHFWHOHVVHYHVYDULDEOHVpVDGLUUHVSHFWDOHV SREODFLRQVGHFDGDHVWDW^QQ`8QDYHJDGDGLVSRVHPG¶H[SUHVVLRQVH[SOtFLWHVSHUD OHVYDULDEOHVHQHOSXQWPj[LPKDXUHPLGHQWLILFDWTXLQDpVODGLVWULEXFLyGRPLQDQW (QVYHLHP DPE ODQHFHVVLWDW GH FHUFDU XQ Pj[LP FRQGLFLRQDW DO FRPSOLPHQW GH OHV UHVWULFFLRQV,L,eVSHUDL[zTXHXWLOLW]DUHPHOPqWRGHGHOVPXOWLSOLFDGRUV LQGHWHUPLQDWVGH/DJUDQJHDSqQGL[-WRWFRQVWUXLQWODIXQFLyDXJPHQWDGD ^` ¸ ¹ · ¨ © §E ¸ ¹ · ¨ © §D ED ¦¦ (1 L LL L LL Q(Q:Q)) OQ ,  (OPqWRGHPpVHOHJDQWpVO¶DWULEXwWD'DUZLQL5+)RZOHU(VWUDFWDG¶DSOLFDUXQPqWRGH GHUHFHUFDLWHUDWLYDGHOPj[LPG¶XQDIXQFLy(OSURFHGLPHQWTXHHVSUHVHQWDDTXtpVPROWPpV FRQHJXWLHVIDPpVIjFLOG¶H[SOLFDUHQWUHDOWUHVFRVHVSHUTXqQRUHTXHUHL[WDQWVFRQHL[HPHQWV PDWHPjWLFV FRP HO SULPHU /HV GXHV PHWRGRORJLHV SHUPHWHQ DUULEDU DOV PDWHL[RV UHVXOWDWV ILQDOV3UHFLVDPHQWHOIHWTXH1VLJXLXQQRPEUHTXHWHQGHL[LDLQILQLWSURYRFDTXHDOJXQV SDUjPHWUHVSREODFLRQVHVSXJLQSUHQGUHFRPDYDULDEOHVFRQWtQXHVLHVSXJXLQWUDFWDUFRPD WDOV$TXHVWDpVXQDDOWUDUDyTXHMXVWLILFDHOSXQWGHYLVWDGH*LEEVVHFFLy, © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD RQV¶KDQHPSUDWGRVPXOWLSOLFDGRUVLQGHWHUPLQDWVGH/DJUDQJHD¶LE¶DVVRFLDWVDOHV GXHVUHVWULFFLRQV,L,GHIRUPDUHVSHFWLYD 6XEVWLWXLQW OD UHODFLy , D , L VHJXLQW OD PHWRGRORJLD GH OD VHFFLy  REWHQLPODGHULYDGDGHODIXQFLyDXJPHQWDGD)UHVSHFWHDWRWHVLFDGDVFXQDGHOHVVHYHV YDULDEOHV^QL`LOHVLJXDOHPD]HUR/¶H[SUHVVLyREWLQJXGDTXDQHVGHULYDUHVSHFWHDXQD YDULDEOHQNpVH[HUFLFL  OQ w w E w w D w w w w N NN N N NN NN Q Q( Q Q QQ QQ ) G¶RQ  OQ ED NN (Q  6L HV GHILQHL[HQ HOV QRXV SDUjPHWUHV D D¶ L E E¶ V¶REWp SHU D FDGDVFXQ GHOV QRPEUHVGRFXSDFLyQLODUHODFLy LL (Q ED OQ  L pVDGLU L ( LHQ ED  L, $ SDUWLU G¶DUD VH VREUHHQWHQGUj TXH DTXHVWHV RFXSDFLRQV QL VyQ VHPSUH OHV FRUUHVSRQHQWV D OD GLVWULEXFLy PpV SUREDEOH R GRPLQDQW '¶DTXHVWD PDQHUD HVWHP HPSUDQWXQDQRYDIRUPXODFLyTXHGHILQHL[FDGDQRPEUHG¶RFXSDFLyFRP  GLL QQ :  L 3UHQHPGRQFVODGLVWULEXFLyGRPLQDQWFRPODUHSUHVHQWDQWGHWRWHOFROÂOHFWLXLOHV VHYHVRFXSDFLRQVFRPDOHVRFXSDFLRQVUHDOVGHOVGLIHUHQWVHVWDWVTXjQWLFVGHOFROÂOHFWLX (OFRPSRUWDPHQWGDTXHVWHVRFXSDFLRQVpVVLPLODUDOTXHHVPDQLIHVWDHQXQDVLWXDFLy G¶HTXLOLEULTXtPLFTXDQHVIDUHIHUqQFLDDOYDORUQXPqULFGHODFRQFHQWUDFLyGHFDGD HVSqFLHHVWHPSDUODQWGXQHTXLOLEULGLQjPLFRQHOVGLIHUHQWVSREODGRUVGHFDGDHVWDW PHPEUHVGHOFROÂOHFWLXMDVLJXLQVLVWHPHVItVLFVRSDUWtFXOHVSRGHQDQDUFDQYLDQWGXQ HVWDWDODOWUH7RWLDL[zHOQRPEUHGHSREODFLyVHPSUHHVPDQWpFRQVWDQWSHUTXqOD IXJLGDGHOHVWDWSHUSDUWGDOJXQPHPEUHVHPSUHHVFRPSHQVDSHUODUULEDGDGXQDOWUH (VSRWFDOFXODUTXLQpVHOYDORUGHDVDEHQWTXDQWYDOODVXPDGHOHVRFXSDFLRQVQL ¦¦ E D L ( L L L HHQ1 L © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DFRQILJXUDFLyGRPLQDQW  ¦E D L (L H H1 , $TXHVWDH[SUHVVLyHQVGyQDODSDXWDSHUGHILQLUODIXQFLyGHSDUWLFLyFDQzQLFD ¦E L (L H4 , $SDUWLUGH,,L,YHLHPFRPODFRQILJXUDFLyGRPLQDQWHVGHILQHL[D WUDYpVGHODSREODFLyUHODWLYDGHOVGLIHUHQWVHVWDWVHQHUJqWLFV 4 H Q L ( L E 1, TXHpVO¶DQRPHQDGDGLVWULEXFLyGH0D[ZHOO%ROW]PDQQR VLPSOHPHQW GLVWULEXFLy GH %ROW]PDQQ $TXHVWD HQV GHILQHL[ OHV SUREDELOLWDWV GRFXSDFLy GH FDGD HVWDW HQ IXQFLyGHOHQHUJLDFRP 4 H Q S L ( L L E 1 , (OWHUPHH[SRQHQFLDO L ( HE UHSHOQRPGHIDFWRUGH%ROW]PDQQ /D GLVWULEXFLy GHO %ROW]PDQQ QR pV DSOLFDEOH D XQD SREODFLy HVWDGtVWLFDUHGXwGD(Q DXJPHQWDUHOYDORUGH1ODGLVWULEXFLyFREUDVHQWLWSHUTXqODFRQILJXUDFLyGRPLQDQWHV IDPpVLPSRUWDQWUHVSHFWHOHVDOWUHVOHVTXDOVSUHVHQWDUDQXQVSHVRVUHODWLXVPROWSHWLWV $QWHULRUPHQWMDKDYtHPFRPHQWDWTXHXQDFRQGLFLyDGGLFLRQDOSHUODVHYDDSOLFDELOLWDW FRQVLVWHL[HQTXHKLKDJLPROWVPpVHVWDWVDFFHVVLEOHVTXHPHPEUHVGHOFROÂOHFWLX 3HUIHUPpVFzPRGHHOWUDFWDPHQWPDWHPjWLFLODUHVROXFLyGHSUREOHPHVVXWLOLW]DUjOD LJXDOWDWDGGLFLRQDO N7  E   $TXHVWDH[SUHVVLyWDPEpHVFRQHL[FRPDGLVWULEXFLyGH*LEEV'HIHW*LEEVODYDGHGXLU SHUVHUDSOLFDGDHQXQFRQWH[WGH³SDUWVG¶XQVLVWHPD´RPHPEUHVG¶XQFROÂOHFWLXWDOLFRP DTXt V¶KD IHW 1RVDOWUHV DSOLFDUHP O¶H[SUHVVLy WDPEp D QLYHOO PROHFXODU TXDQW GH IRUPD PRPHQWjQLDVDGRSWLHOVHJRQFULWHULR SXQWGHYLVWDGHVFULWD OD VHFFLy , eV HQ DTXHVW FRQWH[WPLFURVFzSLFLDSDUWLUGHO¶H[SUHVVLyGH*LEEVRQ%ROW]PDQQYDEDVDUPROWVGHOVVHXV WUHEDOOV © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD 0pVHQGDYDQWHQSURSHUHVVHFFLRQVLWDPEpDOH[HUFLFLGDTXHVWPDWHL[FDStWROHV FRQILUPDDTXHVWDUHODFLy eVLPSRUWDQWUHFRUGDUTXHHQHOFROÂOHFWLXFDQzQLFOHVHQHUJLHV(LGHOVHVWDWVVyQIXQFLy GHOYROXPLQRPEUHGHSDUWtFXOHVGHFDGD PHPEUH (L (L91$L[zYROGLUTXHOD IXQFLyGHSDUWLFLyFDQzQLFDGHSqQSDUDPqWULFDPHQWGH9GH1LGHODWHPSHUDWXUDDWqV TXHE N74 4791 3HUIXWXUHVDSOLFDFLRQVHVUHFRPDQDUHVROGUHHOSUREOHPDG¶DTXHVWDVHFFLy © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DFRQILJXUDFLyGRPLQDQW  ([HUFLFLVGHODVHFFLy, 'HPRVWUDUODUHODFLy, /DGHPRVWUDFLypVLPPHGLDWDVLHVSUHQHQORJDULWPHVDEDQGDLEDQGD GH O¶H[SUHVVLyGH:DO¶HTXDFLy,    ¦   ¸ ¸ ¹ · ¨ ¨ © §  ¸ ¸ ¸ ¹ · ¨ ¨ ¨ © § L L L L L L QQ Q :OQOQOQOQ   OQOQ 11 1 LOODYRUVSRGHPDSOLFDUO¶DSUR[LPDFLyG¶6WLUOLQJDFDGDWHUPH  OQOQ OQOQOQ ¦¦ ¦   L L L LL L LLL QQQ QQQ: 111 111 *UjFLHV D OD FRQGLFLy , VH VLPSOLILTXHQ GRV WHUPHV L V¶REWp HO UHVXOWDW GHVLWMDW ¦¦   L LL L LL QQQQ: OQOQOQOQOQ 111111   5HSURGXLU HQ GHWDOO HO SURFpV G¶REWHQFLy GH O¶H[SUHVVLy GH OD GLVWULEXFLy GH %ROW]PDQQ, 3DUWLP GH O¶H[SUHVVLy GH OD IXQFLy DXJPHQWDGD , RQ MD V¶KD VXEVWLWXwW O¶H[SUHVVLyGHODIXQFLyORJDULWPHQHSHULjGHOSHVHVWDGtVWLF, ^` OQOQ  ¸ ¹ · ¨ © §E ¸ ¹ · ¨ © §D ¸ ¹ · ¨ © §  ED ¦¦¦ (111 L LL L L L LL L Q(QQQ Q)) 6HJRQVODPHWRGRORJLDH[SRVDGDDO¶DSqQGL[-V¶KDREWHQLUODGHULYDGDGHOD IXQFLyDXJPHQWDGD)UHVSHFWHDXQDYDULDEOHJHQqULFDQNLOODYRUVLJXDODUODD ]HUR © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD OQ ¸ ¹ · ¨ © § w w E ¸ ¹ · ¨ © § w w D ¸ ¹ · ¨ © § w w w w¦¦¦ L LL N L L N L LL NN Q( Q Q Q QQ QQ ) RQMDV¶KDFRQVLGHUDWTXHODGHULYDGDGHOHVFRQVWDQWVpVQXOÂOD 3HU WDO GH GHULYDU HOV VXPDWRULV FDOGUj WHQLU SUHVHQW OD WqFQLFD H[SOLFDGD D O¶DSqQGL[$(QVTXHGD   OQ w w E w w D w w NN N N N NN N Q( Q Q Q QQ Q RVLD OQ ED ¸ ¸ ¹ · ¨ ¨ © § NN N N(Q Q Q G¶RQ NN (Q OQ ED  'HILQLQW HOV GRV QRXV SDUjPHWUHV D D¶ L E E¶ HV GHGXHL[ ILQDOPHQW O¶H[SUHVVLy,GHOWH[W 'HPRVWUDUTXHHOSDUjPHWUHDGHOWH[WpVLJXDODOQ1OQ4 /DGHPRVWUDFLypVLPPHGLDWDDSDUWLUGHODUHODFLy,MXQWDPHQWDPEOD GHILQLFLy,HD 14LDSOLFDQWORJDULWPHVV¶REWpHOUHVXOWDWGHVLWMDW  'HPRVWUDU TXH SHO FDV GHVWDWV GHJHQHUDWV D SDUWLU GH OH[SUHVVLy GHGXwGD D OH[HUFLFL,ODIXQFLyGHSDUWLFLySUHQODIRUPD ¦E QLYHOOV M ( M M HJ4 RQODVXPDHVIDVREUHQLYHOOV&RPSURYDUOODYRUVTXHOHVSUREDELOLWDWVGRFXSDFLyGH QLYHOOVHVIDQLJXDOD 4 HJ Q S M ( M QLYHOO L QLYHOO L E 1 © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DFRQILJXUDFLyGRPLQDQW  3DUWLP GH O¶H[SUHVVLy GHO SHV GHGXwGD D O¶H[HUFLFL ,  LL Q L Q J : L  1 $SOLFDQWORJDULWPHVQHSHULDQV   ¦ L L Q LQJ: LOQOQOQOQ 1 (PSUDQWO¶DSUR[LPDFLyG¶6WLUOLQJLRSHUDQWV¶REWp   OQOQOQ OQOQOQOQ ¦¦ ¦   L L L LLLL L LLLLL QQQJQ QQQJQ: 111 111 7DO L FRP pV KDELWXDO L GHJXW D OD UHVWULFFLy HQ HO QRPEUH GH SDUWtFXOHV R PHPEUHVHQHOFROÂOHFWLXVHVLPSOLILFDHOWHUPH1DPEHOGDUUHUVXPDWRULL  ¦ L LLL QJQ: OQOQOQOQ 11  /¶DSOLFDFLy GHO PqWRGH GHOV PXOWLSOLFDGRUV LQGHWHUPLQDWV GH /DJUDQJH HQV FRQGXHL[DO¶HTXDFLyVHJHQW » ¼ º « ¬ ª¸ ¹ · ¨ © §E ¸ ¹ · ¨ © §D w w w w ¦¦ (1 L LL L L NN (QQ: QQ )OQ  RQV¶KDGHULYDWUHVSHFWHDOWHUPHQN+HPGHUHFRUGDUTXHDTXtO¶tQGH[NHVWj DVVRFLDWDXQQLYHOO/DVHYDGHJHQHUDFLypVSUHFLVDPHQWJNLODVHYDHQHUJLD(N $UD  >@ N NN N N NNN NN Q Q( Q Q QJQ QQ ) w w E w w D w w  w w OQOQ  '¶DTXtWUREHPTXHSHUDFDGDtQGH[NV¶KDGHVDWLVIHUODUHODFLy    OQOQ ED N N NNN ( Q QQJ TXHpV NNN (JQ ED  OQOQ © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD RQV¶KDGHILQLWD¶ DLE E¶/ODYRUV N ( N NH J QED LODSREODFLyGHFDGD QLYHOOpV N ( NN HJQ ED  /DUHVWULFFLyHQHOQRPEUHGHPHPEUHVGHOFROÂOHFWLXLPSRVDTXHHVFRPSOHL[L ODLJXDOWDW ¦¦ E D N ( N N N N HJHQ1 LUHWUREHPODIXQFLyGHSDUWLFLyGHPDQDGDDO¶HQXQFLDW ¦E N ( N N HJ4 ODTXDOHVWjGHILQLGDDSDUWLUG¶XQDVXPDVREUHHOVQLYHOOV/DGHILQLFLyGHOD SUREDELOLWDWG¶RFXSDFLyGHOVQLYHOOVHQVRUJHL[LPPHGLDWDPHQW 4 HJ 4H HJQ S NN ( N ( NN N E D ED 1  'HPRVWUDU TXH VRWD O¶DSUR[LPDFLy G¶6WLUOLQJ HO SHV , GXQD FRQILJXUDFLy WDPEpHVSRWHVFULXUHFRP  ^ `  : L Q L L Q QQ:: 1 1    /DGHPRVWUDFLyHVSRWIHUXWLOLW]DQWSULPHUO¶DSUR[LPDFLyG¶6WLUOLQJD,L REWHQLQW OH[SUHVVLy , IHQW OHV PDWHL[HV RSHUDFLRQV TXH D O¶H[HUFLFL  7UHEDOODQWDSDUWLUGH,REWHQLP ¸ ¸ ¹ · ¨ ¨ © §    ¦L Q L L Q L LL QQ: OQOQOQOQOQ 11 11  RVLD © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DFRQILJXUDFLyGRPLQDQW   L Q L L Q : 1 1 OQOQ LOODYRUVDUULEHPDOUHVXOWDWGHPDQDWDSOLFDQWDQWLORJDULWPHVDEDQGDLEDQGD G¶DTXHVWD GDUUHUD LJXDOWDW 6L HV FRQVLGHUD HO UHVXOWDW GHO SUREOHPD  GH O¶DSqQGL[,ODVROXFLypVWDPEpLPPHGLDWD ¦ ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © §         L L L L L L LQ L Q L L Q L Q L L Q Q L L LHQ H HQ H HQ H Q : 111111 1111   (Q WRW PRPHQW HV FRPSOHL[ OD UHVWULFFLy , L DL[z SURYRFD TXH WRWV HOV IDFWRUVRQDSDUHL[HOQRPEUHHVHVLPSOLILTXLQ   ¸ ¸ ¹ · ¨ ¨ © §   L Q L 1 L Q L L LQ HQ H : 111 11  &RPSDUDU OH[SUHVVLy GH OD WHUPRGLQjPLFD JHQHUDO DQRPHQDGD HTXDFLy GH OD SUHVVLyLQWHUQDSULPHUDHTXDFLyG¶HVWDWRSULPHUDHTXDFLyGHO¶HQHUJLD 3 7 3 7 9 8 9171  ¸ ¹ · ¨ © § w w  ¸ ¹ · ¨ © § w w  DPEOH[SUHVVLyGHOD7HUPRGLQjPLFD(VWDGtVWLFD 3 3 9 8 91 1  ¸ ¸ ¹ · ¨ ¨ © § wE w E ¸ ¹ · ¨ © § w w E , LGHGXLUODUHODFLyTXHKLKDHQWUHELODWHPSHUDWXUD 6LHVWpHQFRPSWHTXHWUHEDOODUDWHPSHUDWXUD7FRQVWDQWpVHOPDWHL[TXHIHU KRD7FRQVWDQWLTXHHVFRPSOHL[ODUHODFLyHQWUHGLIHUHQFLDOVVHJHQW © Els autors, 2004; © Edicions UPC, 2004  (%HVDO~$OWUHVHVWDGtVWLTXHV         &RQGLFLRQV 5HFRPSWHSHU REMHFWHV GLVFHUQLEOHV 5HFRPSWHSHU REMHFWHV LQGLVFHUQLEOHV 5HSDUWLFLyHQHOVQLYHOOV QLREMHFWHVDFDGD QLYHOODPE ODFRQGLFLy ¦ L L Q1    L L Q 1   3HUPXWDFLRQV DPEUHSHWLFLy (VWDGtVWLFD GH0D[ZHOO%ROW]PDQQ    (VWDGtVWLTXHV GH)HUPL'LUDF LGH%RVH(LQVWHLQ 0j[LPXQREMHFWH SHUQLYHOO $L[zREOLJD DTXH LL QJ t      LL L L L L J QQJ J Q Q J 9L L ¸ ¸ ¹ · ¨ ¨ © §  9DULDFLRQVVHQVHUHSHWLFLy     LLL L L L QJQ J Q J  ¸ ¸ ¹ · ¨ ¨ © § &RPELQDFLRQV (VWDGtVWLFD GH)HUPL'LUDF 5HSDUWLFLyDFDGDQLYHOO 6HQVHUHVWULFFLRQV HQUHODFLyDOQ~PHUR G¶REMHFWHVSHUQLYHOO  L Q L J 9DULDFLRQV DPEUHSHWLFLy (VWDGtVWLFD GH0D[ZHOO%ROW]PDQQ      LL LL LLL JQ JQ QQJ    ÈØ ÉÙ ÊÚ  &RPELQDFLRQV DPEUHSHWLFLy (VWDGtVWLFD GH%RVH(LQVWHLQ     7DXOD , 'LYHUVHV HQWLWDWV FRPELQDWRULDOV $TXt 1 pV HO QRPEUH WRWDO GH SDUWtFXOHV QL UHSUHVHQWDHOQRPEUHGHSDUWtFXOHVTXHKLKDDFDGDQLYHOOLJLpVODFRUUHVSRQHQWGHJHQHUDFLy (QDOJXQVFDVRVV¶KDLQGLFDWDPETXLQDHVWDGtVWLFDHVWjDVVRFLDW HOQ~PHURFRPELQDWRULDO 6¶KDQIHWGRVJUXSVG¶HQWLWDWVFRPELQDWRULDOVOHVHPSUDGHVHQHOPRPHQWGHIHUXQUHFRPSWH HQODUHSDUWLFLyGHJUXSVGHSDUWtFXOHVHQHOVQLYHOOVHOWHUPH ¿ ¾ ½ ¯ ®  QLYHOOV L GHOWH[WLOHVTXHHV IDQ VHUYLU SHU FRPSWDELOLW]DU OHV SRVVLEOHV PDQHUHV G¶RUGHQDU XQ JUXS GH SDUWtFXOHV HQ XQ PDWHL[QLYHOOHVWUDFWDGHOWHUPH ¿ ¾ ½ ¯ ®  QLYHOOV LQLYHOOHOGLQV VRUGHQDFLRQ 9HXUHHOWH[WSHUDPpVLQIRUPDFLy   © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD ,(VWDGtVWLFDGH0D[ZHOO%ROW]PDQQ $ODVHFFLy,YHXUHHOSUREOHPD,HVYDGLVFXWLUSHUTXqHQO¶HVWDGtVWLFDGH 0D[ZHOO%ROW]PDQQ HQ JHQHUDO V¶KDYLD GH UHFyUUHU D HIHFWXDU HO FjOFXO GHO SHV HVWDGtVWLFDSDUWLUGHO¶H[SUHVVLy ^`^`  QLYHOOV LL Q L LL 0% Q J 1JQ: L    (QDTXHVWDIRUPXODFLyKHPHVSHFLILFDWTXHO¶tQGH[LUHFRUUHHOVGLIHUHQWVQLYHOOVGHO VLVWHPD/DIyUPXODHVSRWHVFULXUHFRP ^`^`  QLYHOOFDGDGLQV VRUGHQDFLRQ QLYHOOV L Q L QLYHOOVSHUUHFRPSWH QLYHOOV L L LL 0% L J Q 1 JQ: ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¸ ¸ ¹ · ¨ ¨ ¨ ¨ © §     LDTXtYHLHPFRPKHPFRPELQDWGXHVGHOHVIyUPXOHVGHOD7DXOD,(OVHJRQ WHUPH HQV FRPSWDELOLW]D HO SHV SHU QLYHOOV L GyQD FRPSWH GH OHV SRVVLEOHV RUGHQDFLRQVTXHSRGHQSUHVHQWDUOHVSDUWtFXOHVTXHRFXSHQHOPDWHL['¶XQWRWDOGH 1SDUWtFXOHVQ¶KLKDQLDFDGDQLYHOOL$WqVTXHFDGDHVWDWGHFDGDQLYHOOSRWLQTXLELU TXDOVHYROQRPEUHGHSDUWtFXOHVKHPGHUHFyUUHUDOHVYDULDFLRQVDPEUHSHWLFLypVD GLUDOWHUPH L Q L J3HUDFDEDUGHFRQVLGHUDUODFDUDFWHUtVWLFDGHGLVFHUQLELOLWDWGH WRWHVOHVSDUWtFXOHVILQVLWRWOHVTXHRFXSHQFDGDQLYHOOKDHVWDWQHFHVVDULHPSUDUHO SULPHUWHUPHPXOWLSOLFDWLX$O¶DSqQGL[%HVPRVWUDTXHHOWHUPHGHSHUPXWDFLRQV DPE UHSHWLFLy Wp HQ FRPSWH OD FRQGLFLy GH GLVFHUQLELOLWDW GHOV REMHFWHV TXDQ HV FRPSDUHQ HQWUH QLYHOOV FRQFHSWH GH SHUPXWDFLRQV PHQWUH TXH FRQVLGHUD FRP LJXDOV LQGLVFHUQLEOHV HOV G¶XQ PDWHL[ QLYHOO G¶DTXt OD QHFHVVLWDW G¶LQWURGXLU HO FRQFHSWHGHUHSHWLFLyDOHVSHUPXWDFLRQV $OD VHFFLy , SDUWtHP GH O¶H[SUHVVLy GHO SHV HVWDGtVWLF L WUREjYHP TXLQD HUD OD RFXSDFLyGHFDGDQLYHOOHQODGLVWULEXFLyGRPLQDQW$TXtGHQRWHPDTXHVWDRFXSDFLy FRP L HJQ L 0% L EHD  RQ SHU FRQYHQLqQFLD V¶KD HVFULW XQ VLJQH PHQ\V GDYDQW GHO PXOWLSOLFDGRU LQGHWHUPLQDWDHQUHDOLWDWDTXHVWPXOWLSOLFDGRUpVHOQHJDWLXGHOSDUjPHWUHDHPSUDW DODVHFFLy, © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~$OWUHVHVWDGtVWLTXHV  ,(VWDGtVWLFDGH)HUPL'LUDF (Q O¶HVWDGtVWLFD GH )HUPL'LUDF HO SHV GH FDGD GLVWULEXFLy YLQGUj GRQDW SHOV SURGXFWHVGHOQ~PHURGHPDQHUHVGLVWLQWHVHQTXHHVSRGHQXELFDUOHVSDUWtFXOHVD FDGDQLYHOO$WHVDODQDWXUDOHVDGHOVIHUPLRQVFDGDHVWDWGHFDGDQLYHOOSRWHVWDU FRPDPROWRFXSDWSHUXQDVRODSDUWtFXOD$L[tHQXQQLYHOODPEGHJHQHUDFLyJLOHV QLdJLSDUWtFXOHVTXHHOSREOHQHVSRGUDQUHSDUWLUGH ¸ ¸ ¹ · ¨ ¨ © § L L Q JPDQHUHVGLIHUHQWV3RGHP FRQVLGHUDUXQVtPLOFRPHOGHOSUREOHPDGHO¶DSqQGL[%HOQ~PHURGHPDQHUHVGH IHUDTXHVWDUHSDUWLFLypVHOPDWHL[TXHHOGHIRUPHVGLVWLQWHVTXHWHQLPG¶REULUQL OOXPVLGqQWLFVG¶XQWRWDOGHJL(QDTXHVWH[HPSOHHVSRWDSUHFLDUFRPHVWHQHQHQ FRQVLGHUDFLyOHVFDUDFWHUtVWLTXHVGHOVVLVWHPHVGHIHUPLRQVDFDGDQLYHOO x(OV IHUPLRQV VyQLQGLVWLQJLEOHV GH OD PDWHL[D PDQHUD TXH HOV OOXPV VyQ LGqQWLFVLQRLPSRUWDO¶RUGUHHQTXqV¶REULQQRPpVpVUHOOHYDQWVDEHUVLHO OOXPHVWjREHUWRQRODTXDOFRVDpVHTXLYDOHQWDGLUVLO¶HVWDWTXjQWLFHVWj RFXSDWRQR x6¶DGPHWXQDSREODFLyPj[LPDGHSHUFDGDHVWDWGHODPDWHL[DPDQHUD TXH FDGD OOXP GH O¶H[HPSOH SRW HVWDU QRPpV DSDJDW HVWDW GHVRFXSDW SREODFLyRREHUWHVWDWRFXSDWSREODFLy 3HU WDQW HO SHV G¶XQD GLVWULEXFLy GH IHUPLRQV HV FDOFXODUj FRP HO SURGXFWH GHOV QRPEUHVFRPELQDWRULVDVVRFLDWVDFDGDQLYHOO ^`^`    ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © § QLYHOOV LLLL L QLYHOOPDWHL[XQ HQQVSHUPXWDFLR QLYHOOV LL L QLYHOOVVREUH UHFRPSWH QLYHOOV L LL )')' QJQ J Q J JQ::       $OKRUDHQHOPRPHQWG¶DSOLFDUDTXHVWDIyUPXODV¶KDQGHFRQVLGHUDUOHVUHVWULFFLRQV ,L,UHIHULGHVUHVSHFWLYDPHQWDOQRPEUHGHSDUWtFXOHVLDO¶HQHUJLDWRWDO GHOVLVWHPD $O¶H[HUFLFLHVSURSRVDGHPRVWUDUTXHDSDUWLUG¶DTXHVWDH[SUHVVLyHVWUREDTXH O¶RFXSDFLyzSWLPDGHFDGDQLYHOOO¶RFXSDFLyGHODGLVWULEXFLyGRPLQDQWpVLJXDOD  EHD L H J QL )' L /¶HVWDGtVWLFDGH)HUPL'LUDFV¶KDDSOLFDWDO¶HVWXGLGHOFRPSRUWDPHQWGHOVPHWDOOV H[HUFLFLLHQHOGHVHQYROXSDPHQWGHODWHRULDGHOHVHVWUHOOHVQDQHVEODQTXHVL GHOVJDVRVQXFOHDUVHQWUHDOWUHV © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD ,(VWDGtVWLFDGH%RVH(LQVWHLQ 3HO TXH UHVSHFWD D O¶HVWDGtVWLFD GH %RVH(LQVWHLQ HO SHV GH FDGD FRQILJXUDFLy HV FDOFXODUjG¶XQDIRUPDPROWVLPLODUDO¶DQWHULRUWDPEpYLQGUjGRQDWSHOVSURGXFWHV GHOQ~PHURGHPDQHUHVGLVWLQWHVHQTXHHVSRGHQXELFDUOHVSDUWtFXOHVDFDGDQLYHOO 3HUzHQDTXHVWFDVLGHJXWDOIHWTXHWUDFWHPDPEERVRQVQRKL KDUHVWULFFLyHQ TXDQWDOQ~PHURGHSDUWtFXOHVTXHSRGHQRFXSDUXQHVWDW(QFRQVHTqQFLDO¶HQWLWDW FRPELQDWRULDOTXHFDOHPSUDUHQDTXHVWFDVpVODGHOHVFRPELQDFLRQVDPEUHSHWLFLy DSqQGL[%7RWVHJXLWLQWHUSUHWHPHOSUREOHPDGHOUHSDUWLPHQWGHSDUWtFXOHVHQHOV HVWDWVHQHOVPDWHL[RVWHUPHVGHOSUREOHPDGHO¶DSqQGL[% &DGDVFXQDGHOHVFRPSOH[LRQVTXHHVJHQHUHQHVSRGHQUHSUHVHQWDUGHODPDQHUD TXHVHJXHL[ 5HSUHVHQWHPFDGDSDUWtFXODDPEHOVtPEROx 'LEXL[DUHPSHUJUXSVWDQWHVSDUWtFXOHVFRPOHVTXHRFXSLQFDGDHVWDWGHO QLYHOO 3HUUHSUHVHQWDUTXHFDGDJUXSGHSDUWtFXOHVSHUWDQ\DXQHVWDWGHOQLYHOOHOV VHSDUDUHPHVFULYLQWHOVtPERO~ '¶DTXHVWD PDQHUD SHU H[HPSOH VL HQ XQ QLYHOO KL KD  SDUWtFXOHVGHIRUPD UHVSHFWLYDDFDGDVFXQGHOVVHXVHVWDWVDL[zHVUHSUHVHQWDWDOLFRPVHJXHL[OHV EDUUHVVHSDUHQHOVGLIHUHQWVHVWDWV xxx~x~~xx $TXHVWD UHJOD PQHPRWqFQLFD HQV SHUPHW FDOFXODU GH TXDQWHV PDQHUHV HV SRGHQ XELFDUOHVSDUWtFXOHVLGqQWLTXHVERVRQVHQHOVHVWDWVFDGDFRPSOH[LyG¶XQQLYHOO HV FRUUHVSRQ DPE XQD UHSUHVHQWDFLy FRP OD TXH V¶DFDED GH IHU +L KD WDQWHV UHSUHVHQWDFLRQVFRPPDQHUHVGHGLVSRVDUOHVSDUWtFXOHVHQILODLGHVSUpVLQWHUFDODU OHV VHSDUDFLRQV6LFDOOHVVHSDUDFLRQVHVSRGHQSRVDUXQDDOFRVWDWGHO¶DOWUH WDOLFRPSDVVDDO¶H[HPSOHLWDPEpDOSULQFLSLRDOILQDOGHODILOHUDGHSDUWtFXOHV HQDTXHVWFDVHVUHSUHVHQWDULDGHIRUPDUHVSHFWLYDTXHHOSULPHURHOGDUUHUHVWDW GHOQLYHOOHVWjEXLW2EWHQLUXQDG¶DTXHVWHVGLVSRVLFLRQVGHEDUUHVLSDUWtFXOHVpV HTXLYDOHQWDGLVSRVDUG¶XQWRWDOGH REMHFWHVHQILOHUDLGHVSUpVVHOHFFLRQDUQH (OVREMHFWHVVHOHFFLRQDWVV¶KDQG¶LQWHUSUHWDUOODYRUVFRPDSDUWtFXOHVLHOVTXHQR KRKDQHVWDWFRPDEDUUHUHV(OQRPEUHWRWDOGHPDQHUHVGLIHUHQWVGHIHUDL[zpV LJXDOD  ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © §          eVUHOOHYDQWYHXUHTXHFDOLQWHUFDODUWDQWHVEDUUHVGHVHSDUDFLyFRPQRPEUHG¶HVWDWVPHQ\V XQ © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~$OWUHVHVWDGtVWLTXHV  $TXHVWQRPEUHFRPELQDWRULHVFRUUHVSRQDPEHOGHOHVFRPELQDFLRQVDPEUHSHWLFLy GHREMHFWHVVHOHFFLRQDWVHQJUXSVGH (QJHQHUDOGRQFVHQXQQLYHOODPEGHJHQHUDFLyJLOHVQLSDUWtFXOHVTXHO¶RFXSHQHV SRGUDQUHSDUWLUGH ¸ ¸ ¹ · ¨ ¨ © § L LL Q QJ PDQHUHVYHXUHOD7DXOD, 7DOLFRPKHPIHWDPEHOVIHUPLRQVDTXtWDPEpSRGHPFRQVLGHUDUXQVtPLOHQXQHV HOHFFLRQVFDGDYRWDQWG¶XQGLVWULFWHDFFHGHL[DOVHXFROÂOHJLHOHFWRUDODLQWURGXLUHO VHX YRW HQ XQD XUQD +L KD XQ WRWDO GH QL YRWDQWV HQ HO GLVWULFWH (Q HO FROÂOHJL HOHFWRUDOKLKDJLXUQHVLVXSRVDUHPTXHFDGDYRWDQWSRWLQWURGXLUHOVHXYRWDODXUQD TXHYXOJXL(QDTXHVWH[HPSOHHOFROÂOHJLHOHFWRUDOIDHOSDSHUGHQLYHOOFDGDXUQDpV XQHVWDWTXjQWLFLHOYRWpVXQERVy(VSRWDSUHFLDUFRPHQDTXHVWH[HPSOHHVWHQHQ HQFRQVLGHUDFLyOHVFDUDFWHUtVWLTXHVGHOVVLVWHPHVGHERVRQV x(OV ERVRQV VyQ LQGLVWLQJLEOHV pV D GLU QR LPSRUWD O¶RUGUH HQ TXq HV GLSRVLWLQHOVYRWVDFDGDXUQD x1RKLKDUHVWULFFLyHQO¶RFXSDFLyGHFDGDHVWDWDWqVTXHVXSRVHPTXHFDGD FLXWDGj HVFXOO OOLXUHPHQW OD XUQD RQ GLSRVLWD HO VHX YRW DO ILQDO GH OD MRUQDGDHOHFWRUDOFDGDXUQDSRGULDDUULEDUDFRQWHQLUGHVGH]HURYRWVILQVD ODWRWDOLWDWGHOVYRWDQWVGHOGLVWULFWH&DGDYRWGLSRVLWDWHQXQDXUQDHVSRW DVVRFLDUDO¶RFXSDFLyG¶XQHVWDWSHUSDUWG¶XQDSDUWtFXOD $L[tHOSHVG¶XQDGLVWULEXFLyGHERVRQVHVFDOFXODUjFRP ^`^`      ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © § QLYHOOV LLL LL QLYHOOFDGDGLQV VDFFHSWDEOHQVSHUPXWDFLR QLYHOOV LL LL QLYHOOVVREUH UHFRPSWH QLYHOOV L LL %(%( JQ QJ Q QJ JQ::        $O¶H[HUFLFLHVGHPRVWUDTXHODSREODFLyGHFDGDQLYHOODODGLVWULEXFLyGRPLQDQW pVLJXDOD  EHD L H J QL %( L /¶HVWDGtVWLFDGH%RVH(LQVWHLQV¶KDDSOLFDWHQHOFDPSGHODVXSHUFRQGXFWLYLWDWLGHO UHIUHGDPHQW G¶KHOL OtTXLG D WHPSHUDWXUHV IUHJDQW HOV ]HUR .HOYLQ $ OD IyUPXOD SUHFHGHQWTXDQHVIDQLJXDOVDLEHLV¶REWpXQDVLQJXODULWDWODRFXSDFLyGHO¶HVWDWL HVIDLQILQLWD$L[zYROGLUTXHSUjFWLFDPHQWWRWHVOHVSDUWtFXOHVRFXSHQHOPDWHL[ HVWDW$TXHVWHIHFWHpVHOTXHHVFRQHL[DPEHOQRPGHFRQGHQVDFLyGH%RVHLHVWj UHODFLRQDWDPEHOPHFDQLVPHGHODVXSHUIOXLGHVD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD     , (TXLYDOqQFLDG¶HVWDGtVWLTXHV(VWDGtVWLFDGH0D[ZHOO %ROW]PDQQFRUUHJLGD  /HVWUHVIyUPXOHVGRQDGHVSHOVQRPEUHG¶RFXSDFLyVyQSURXVHPEODQWVFRPSHUTXq VRWD GHWHUPLQDGHV FRQGLFLRQV OHV WUHV HVWDGtVWLTXHV FRQGXHL[LQ SUjFWLFDPHQW DOV PDWHL[RVUHVXOWDWV&RQFUHWDPHQWHQFRPSOLUVHTXH  L H Q J )' L LEHD  L H Q J 0% L LEHD L L H Q J %( L LEHD   HQHOVFDVRVHQTXqODGHJHQHUDFLyGHFDGDQLYHOOVLJXLPROWPpVJUDQTXHODVHYD SREODFLyRVLDTXDQSHUFDGDQLYHOOHVFRPSOHL[TXHJL!!QLHOVTXRFLHQWVGHOHV IyUPXOHVSUHFHGHQWVVyQPROWPpVJUDQVTXHODXQLWDWLHOVWUHVV¶DSUR[LPHQPROWEp DXQPDWHL[WHUPHH[SRQHQFLDO  L H Q J Q J Q J 0% L L %( L L )' L LEHD o||    (Q DTXHVWD VLWXDFLy OHV WUHV HVWDGtVWLTXHV HV IDQ HTXLYDOHQWV L HO PpV FRP~ pV HVWXGLDUHOVLVWHPDHPSUDQWODIRUPXODFLyGHO¶HVWDGtVWLFDGH0D[ZHOO%ROW]PDQQ eV SHU DL[z TXH D H[FHSFLy G¶DOJXQV FDVRV WUDFWDPHQW GH OD UDGLDFLy GH O¶KHOL OtTXLGGHOJDVHOHFWUzQLFHQPHWDOOVVLOHVFRQGLFLRQVGHSUHVVLyLWHPSHUDWXUD QRVyQH[WUHPHVpVDGLUVLODWHPSHUDWXUDQRpVPROWEDL[DROHVSUHVVLRQVPROW DOWHVHOVVLVWHPHVXVXDOV HVSRGHQHVWXGLDUVRWDHO IRUPDOLVPHGHO¶HVWDGtVWLFDGH 0D[ZHOO%ROW]PDQQLQGHSHQGHQWPHQWGHODQDWXUDOHVDGHODSREODFLyGHSDUWtFXOHV TXHHVWUDFWHQ  )LQDOPHQW SRGHP FRPHQWDU TXH V¶HQWpQ SHU HVWDGtVWLFD GH 0D[ZHOO%ROW]PDQQ FRUUHJLGD&RQVLGHUHPXQFDVH[WUHPRQODSREODFLyGHFDGDQLYHOOpVG¶XQDVROD SDUWtFXOD(QDTXHVWVXSzVLWHOVSHVRVFDOFXODWVDFDGDHVWDGtVWLFDVyQ  ^` ^`    0% LL L :    J 1 J · LWDPEp  ^` ^`      )' L LL LL L J :    J J J  ··   L  ^` ^`      %( L LL LL L J :    J J J  ··  © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~$OWUHVHVWDGtVWLTXHV  9HLHP TXH OHV HVWDGtVWLTXHV GH )HUPL'LUDF L GH %RVH(LQVWHLQ GHJHQHUHQ HQ HO PDWHL[UHVXOWDW3HOTXHUHVSHFWHDO¶HVWDGtVWLFDGH0D[HOO%ROW]PDQQDO¶H[SUHVVLy GHOVHXSHVKLDSDUHL[XQWHUPHH[SRQHQFLDODGGLFLRQDO1$L[zpVGHJXWDOIHWTXH DTXHVWD HVWDGtVWLFD FRQVLGHUD OHV SDUWtFXOHV FRP D GLVFHUQLEOHV (O IDFWRU GHO TXH SDUOHP GyQD FRPSWH GH OHV SRVVLEOHV RUGHQDFLRQV GH OHV SDUWtFXOHV $ OD YLVWD G¶DTXHVWUHVXOWDWpVLPPHGLDWHQGHYLQDUTXLQDFRUUHFFLyFDOIHUDO¶H[SUHVVLyGHOSHV SHUWDOTXHVLJXLDSOLFDEOHHQHOFDVGHFRQVLGHUDUSDUWtFXOHVLQGLVFHUQLEOHVQRPpV FDOGLYLGLUHOSHVGHO¶HVWDGtVWLFDGH0D[ZHOO%ROW]PDQQSHOWHUPH1(QIHUDL[z HVGLX TXH HV WUHEDOODDPE O¶HVWDGtVWLFD GH 0D[ZHOO%ROW]PDQQ FRUUHJLGD (O SHV FRUUHVSRQHQWHVIDLJXDOD ^`^`^`^`   QLYHOOFDGDD VRUGHQDFLRQ QLYHOOV L Q L QLYHOOVVREUH UHFRPSWH QLYHOOV LL QLYHOOV LL Q LLL 0% LL 0%& L L J QQ J 1 JQ: JQ: ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © §       $TXHVW SHV HVWDGtVWLF pV HO TXH V¶KD GH FRQVLGHUDU VL HV YRO DSOLFDU O¶HVWDGtVWLFD FOjVVLFDDVLVWHPHVGHSDUWtFXOHVLQGLVFHUQLEOHVRQRORFDOLW]DGHV$L[zpVHOTXHHQ FHUWVHQWLWHVIDUjDODVHFFLy,,HQMXVWLILFDUODUHODFLy,,9HXUHPDO¶H[HUFLFL ,,, FRP O¶HIHFWH G¶DTXHVWD FRUUHFFLy HV IDUj LPSRUWDQW HQ FRQVLGHUDU SHU H[HPSOHOHVFRQWULEXFLRQVHQWUzSLTXHVWUDQVODFLRQDOVGHOVJDVRVLGHDOV © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD ([HUFLFLVGHODVHFFLy,  'HPRVWUDU TXH OHV IXQFLRQV G¶RQD      IIII <)'      II < %( ,L         IIII < %( ,, TXHGHVFULXHQ HOVVLVWHPHVIRUPDWVSHOVGRV IHUPLRQVRHOV GRVERVRQVGHOVH[HPSOHVGHOD7DXOD ,SUHVHQWHQOHVFRQGLFLRQVGHVLPqWULFDHQXQFLDGHVHQHOWH[W'HPRVWUDUTXHOD IXQFLyDQWLVLPqWULFDHVSRWH[SUHVVDUHQIRUPDGHGHWHUPLQDQWLFRPHQWDUSHUTXqDL[z pVDL[t 1RPpV FDO YHXUH TXH FDGD IXQFLy G¶RQD PDQWp R FDQYLD GH VLJQH HQ IHU HO EHVFDQYLGHOHVFRRUGHQDGHVGHFDGDSDUWtFXOD3HUODIXQFLyDQWLVLPqWULFDGH O¶HVWDGtVWLFDGH)HUPL'LUDFHVFULYLP           >@    )')' < IIII IIII <  /¶H[SUHVVLyGHODIXQFLyRULJLQDOHQIRUPDGHGHWHUPLQDQWpV                 II II IIII <)'  $TXHVWD H[SUHVVLy pV SRVVLEOH SHO IHW TXH OD FRQGLFLy GH FDQYL GH VLJQH DVVRFLDGD DO EHVFDQYL GH OHV FRRUGHQDGHV GH GXHV SDUWtFXOHV TXDOVVHYRO HV WUDGXHL[ GH IRUPD DXWRPjWLFD HQ O¶H[SUHVVLy GHWHUPLQDQWDO HQ XQFDQYLGH VLJQHGHODIXQFLyeVEHQFRQHJXWTXHHOVEHVFDQYLVGHILOHUHVRFROXPQHVG¶XQ GHWHUPLQDQWJHQHUHQFDQYLVHQHOVHXVLJQH 3HOTXHUHVSHFWDDOHVIXQFLRQVVLPqWULTXHVGHO¶HVWDGtVWLFDGH%RVH(LQVWHLQ REWHQLP           %( , %( ,< II II < L               %( ,, %( ,, < IIII IIII <   'HGXLU O¶H[SUHVVLy GHOD SREODFLyGHOV QLYHOOVGH ODGLVWULEXFLy GRPLQDQW HQ XQD HVWDGtVWLFDGH)HUPL'LUDFDSDUWLUGHO¶H[SUHVVLyHOSHVFRUUHVSRQHQW (V UHFRPDQD VHJXLUHOPDWHL[SURFHGLPHQWGHOSUREOHPD, © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~$OWUHVHVWDGtVWLTXHV  $SDUWLUGHO¶H[SUHVVLyGHOSHVHVWDGtVWLFLDSOLFDQWORJDULWPHVHQUHVXOWD     >@ ^` ¦ L LLLL QJQJ: OQOQOQOQ  (PSUDQWO¶DSUR[LPDFLyG¶6WLUOLQJLVLPSOLILFDQWWHUPHV  >@ ¦ L LLLLLLLL QJQJQQJJ: OQOQOQOQ  eV HO PRPHQW G¶DSOLFDU HO PqWRGH GHOV PXOWLSOLFDGRUV LQGHWHUPLQDWV GH /DJUDQJH&DOGHULYDUXQDIXQFLyDXJPHQWDGD)UHVSHFWHXQWHUPHJHQqULFQN ¸ ¸ ¹ · ¨ ¨ © §» ¼ º « ¬ ªE » ¼ º « ¬ ªD w w w w ¦¦ L LL L L NN (Q(Q1: QQ )OQ  /¶tQGH[NHVWjDVVRFLDWDXQQLYHOO/DVHYDGHJHQHUDFLypVSUHFLVDPHQWJNLOD VHYDHQHUJLD(N/ODYRUV  NNNN (QJQ ED OQOQ  $wOODQW N N NN ( Q QJ ED  OQ G¶RQ N ( N N N NN H Q J Q QJ ED  L ILQDOPHQW  ED N ( N NH J Q  (IHFWXDU HO FjOFXO HTXLYDOHQW DO GHO SUREOHPD DQWHULRU SHUz DUD HQ UHODFLy D O¶HVWDGtVWLFDGH%RVH(LQVWHLQ&RQVLGHUDUTXHODSREODFLyGHFDGDQLYHOOpVPROWPpV JUDQTXHODXQLWDWpVDGLUTXHQL!! 3UHQHPORJDULWPHVQHSHULDQVDEDQGDLEDQGDGHO¶H[SUHVVLyGHOSHVHVWDGtVWLF HVFDLHQW  >@    >@ ^` ¦ L LLLL JQQJ: OQOQOQOQ  RQDWHVDODLQGLFDFLyGHO¶HQXQFLDWV¶KDDSUR[LPDWQL±DQL $SOLFDQWO¶DSUR[LPDFLyG¶6WLUOLQJTXHGD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD   >@ ¦ L LLLLLLLL JJQQQJQJ: OQOQOQOQ  /DGHULYDGDTXHDUDHVSODQWHMDpV ¸ ¸ ¹ · ¨ ¨ © §» ¼ º « ¬ ªE » ¼ º « ¬ ªD w w w w ¦¦ L LL L L NN (Q(Q1: QQ )OQ L  NNNN (QQJ ED OQOQ  ,VRODQW N N NN ( Q QJ ED  OQ G¶RQ N ( N N N NN H Q J Q QJ ED   LREWHQLPHOUHVXOWDWILQDO  ED N ( N NH J Q &RQVLGHUDUXQVLVWHPDGHSDUWtFXOHVVRWPqVDODUHVWULFFLyTXHO¶HQHUJLDWRWDOKDGH VHU LJXDO D  XQLWDWV DUELWUjULHV /HV HQHUJLHV GHOV QLYHOOV VyQ OHV PDWHL[HV TXH DSDUHL[HQ D OD 7DXOD , FDGD QLYHOO SHUz HVWj GREOHPHQW GHJHQHUDW &RQVWUXLU WDXOHVVHPEODQWVDOD,TXHPRVWULQTXLQVVyQWRWVHOVPLFURHVWDWVFRPSDWLEOHVDPE OHVUHVWULFFLRQVGHOVLVWHPD&RQVLGHUDUHOVUHVXOWDWVSHUDFDGDVFXQD GH OHV WUHV HVWDGtVWLTXHV&RPSURYDUSHUDFDGDFDVTXHODIyUPXODGHOFRUUHVSRQHQWSHVHVWDGtVWLF LQGLFDTXDQWVPLFURHVWDWVIRUPHQFDGDGLVWULEXFLy (QHOFRQWH[WGHO¶HVWDGtVWLFDGH0D[ZHOO%ROW]PDQQKLKDGXHVGLVWULEXFLRQV FRPSDWLEOHVDPEOHVFRQGLFLRQVGHOSUREOHPD(QODSULPHUDSHUDFRQVHJXLU O¶HQHUJLDWRWDOLJXDODXQLWDWVHVSRVDXQDSDUWtFXODDO¶HVWDWEDVDOLOHVDOWUHV GXHV DO SULPHU HVWDW H[FLWDW 'HQRWHP DTXHVWD GLVWULEXFLy FRP ^QL` ^` /¶DSOLFDFLyGHODIyUPXODGHOSHVHVWDGtVWLFSHUPHWFRPSURYDUTXHKLKD ^`^ `               LL Q L 0% Q J : L PLFURHVWDWVSRVVLEOHV/D7DXOD,HOVPRVWUDHVTXHPjWLFDPHQW © Els autors, 2004; © Edicions UPC, 2004 ,, /DIXQFLyGHSDUWLFLyFDQzQLFD $ODGHILQLFLyGHODIXQFLyGHSDUWLFLyFDQzQLFD,HOVXPDWRULVHVWpQSHUWRWVHOV HVWDWVTXjQWLFVTXHSRWDVVROLUFDGDPHPEUHGHOFROÂOHFWLX6KDGHWHQLUSUHVHQWTXH DTXHVWD VXPD QR Wp HQ FRPSWH SHU DUHV OHV SRVVLEOHVRFXSDFLRQV GH FDGD HVWDW /D IXQFLyGHSDUWLFLyHVFDOFXODXQDYHJDGDHVFRQHL[ODWHPSHUDWXUDLOHVSHFWUHGHQHUJLHV TXHSUHVHQWDHOVLVWHPDTXHV¶HVWXGLD$SRVWHULRULDSDUWLUG¶DTXHVWDLQIRUPDFLyHVSRW DYDOXDUTXLQDpVODSUREDELOLWDWG¶RFXSDFLyGHFDGDHVWDW)LQDOPHQWVLHVGLVSRVDG¶XQD SREODFLyGHPHPEUHVG¶XQFROÂOHFWLXRGHSDUWtFXOHVHVSRWFDOFXODUTXDQWVG¶DTXHVWV HOHPHQWVHVWUREHQDFDGDHVWDW /DIXQFLyGHSDUWLFLyVDQRPHQjHQXQSULQFLSLVXPDGHVWDWVSHUTXqVREWpHQIHUHO VXPDWRUL SHU D WRWV HOV HVWDWV HVVHQFLDOPHQW GLIHUHQWV L DFFHVVLEOHV TXH SUHVHQWD HO VLVWHPDHQHVWXGL 7DOLFRPKHPGHVFULWHOVPHPEUHVGHOVFROÂOHFWLXVHOVHVWDWVTXjQWLFVDOVTXHDUDIHP UHIHUqQFLDVyQHOVSURSLVGHVLVWHPHVPDFURVFzSLFV$TXHVWVVLVWHPHVHVWUDFWDUDQFRPD LGHDOV9HXUHPTXHHQDTXHVWFDVSRGHPLGHQWLILFDUHOVHVWDWVGHOVPHPEUHVDSDUWLUGH OHV HVWUXFWXUHV TXjQWLTXHV WUDQVODFLRQDOV URWDFLRQDOV YLEUDFLRQDOV HOHFWUzQLTXHV L QXFOHDUVGHOHVSDUWtFXOHVTXHHOVIRUPHQ  (     x x xx xx xx xxxxx xxx D E )LJXUD,,0RGHOVVHQ]LOOVGHUHSUHVHQWDFLyGHODSREODFLyG¶HVWDWVTXjQWLFV G¶XQJDVSHUSDUWGHOHVSDUWtFXOHVTXHHOVIRUPHQ/HVFDODGHQHUJLHVDXJPHQWD YHUWLFDOPHQW GH EDL[ D GDOW /HV GLVWULEXFLRQV GH SREODFLy VyQ VHQVLEOHV D OD WHPSHUDWXUD WDO L FRP LQGLFD ODOOHL GHGLVWULEXFLy GH %ROW]PDQQ 6L D L E UHSUHVHQWHQHVWDWVGHTXLOLEULWHUPRGLQjPLFGHOPDWHL[VLVWHPDODVHJRQDRSFLy HVWjDVVRFLDGDDXQDWHPSHUDWXUDPDMRUTXHODSULPHUD (Q7HUPRGLQjPLFD(VWDGtVWLFDHOFRQFHSWHGHWHPSHUDWXUDHVWjOOLJDWDOGHODGLVWULEXFLy GHOVVLVWHPHVDOOODUJGHOVGLYHUVRVHVWDWVHQHUJqWLFV$WDOO G¶H[HPSOHVXSRVHPXQD HQWLWDW ItVLFD PLFURVFzSLFD XQD PROqFXOD TXH SRW SUHVHQWDU YDULVHVWDWV GH GLIHUHQW  2EpVXPDVREUHHOVHVWDWVWUDGXFFLyGHODSDUDXODDOHPDQ\D=XVWDQGVXP=XVWDQGVXPPHR =XVWDQGVVXPPHWDOLFRPHQGHLHQ3ODQFN%ROW]PDQQR6FKU|GLQJHU$TXHVWDFLUFXPVWjQFLDID TXHHQPROWVOOLEUHVGHWH[WODIXQFLyGHSDUWLFLyHVVLPEROLW]LDPEODOOHWUD=)RZOHUXWLOLW]DYD O¶H[SUHVVLyDFFHSWDGDDFWXDOPHQWGHIXQFLyGHSDUWLFLy $TXHVWpVXQH[HPSOHGDFFHSWDFLyGHOVHJRQFULWHULGHVFULWDODVHFFLy,-DHVYDFRPHQWDU © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD HQHUJLD6LHVGLVSRVDGHGLIHUHQWVPROqFXOHVIRUPDQWXQVLVWHPDSHUH[HPSOHXQJDV DOTXHVHOLSRWDVVRFLDUXQDWHPSHUDWXUD7KLKDXQDWHQGqQFLDTXDQWLWDWLYDDOIHWTXH OHVPROqFXOHVDVVROHL[LQHVWDGtVWLFDPHQWHVWDWVGHPDMRURPHQRUHQHUJLDHQIXQFLyGH VLODWHPSHUDWXUDpVPDMRURPHQRUUHVSHFWLYDPHQW$TXHVWDQRFLyHVWjUHSUHVHQWDGDD OD)LJXUD,,$OOjHVUHSUHVHQWDXQKLSRWqWLFJDVFRQVWLWXwWSHUPROqFXOHVRPROV FDGDVFXQDGHOHVTXDOVSRWWUREDUVHHQXQGHHVWDWVTXjQWLFV7DQWHQODVLWXDFLyD FRP D OD E OHV PROqFXOHV V¶KDQ UHSDUWLW VHJXLQW XQD GHWHUPLQDGD GLVWULEXFLy (Q HO SULPHUFDVV¶RFXSHQSUHIHUHQWPHQWHVWDWVGHEDL[DHQHUJLDPHQWUHTXHHQHOVHJRQOD PLWMDQD HQHUJqWLFD GHO VLVWHPD KD DXJPHQWDW UHVSHFWH HO SULPHU$TXHVWIHWHVWjHQ FRUUHVSRQGqQFLDDPEHOFRPSRUWDPHQWGHOVVLVWHPHVUHDOVTXDQHVWUREHQDEDL[DRDOWD WHPSHUDWXUDUHVSHFWLYDPHQW/DGLVWULEXFLyGH%ROW]PDQQVHPSUHHQVDVVHJXUDTXHHQ FRQGLFLRQV G¶HTXLOLEUL OD SREODFLy WUREDGD DO OODUJ GHOV GLIHUHQWV HVWDWV Wp HO FRPSRUWDPHQWGXQDIXQFLyH[SRQHQFLDOYHXUHOD*UjILFD,, /DIXQFLyGHSDUWLFLypVXQLQGLFDGRUGHTXDQWVHVWDWVHQHUJqWLFVGHOVLVWHPDHQHVWXGL VyQDFFHVVLEOHVHQPHVXUDODVHYDDFFHVVLELOLWDWSHUSDUWGHOHVSDUWtFXOHVRPHPEUHV G¶XQ FROÂOHFWLX $TXHVWD pV OD LQWHUSUHWDFLy JHQqULFD TXH HV GyQDDDTXHVWDIXQFLy $TXHVWD PHVXUD GH ODFFHVVLELOLWDW pV IXQFLy GH OD WHPSHUDWXUD 7GHOVLVWHPD3HU H[HPSOHSRGHPSODQWHMDUQRVTXLQpVHOYDORUGHODIXQFLyGHSDUWLFLyDVVRFLDGDDXQ VLVWHPD GHVFULWD WUDYpVGXQ QRPEUH LQILQLW GHVWDWV HQHUJqWLFDPHQW HTXLHVSDLDWV XQD TXDQWLWDWH8QH[HPSOHGDL[zKRFRQVWLWXHL[XQRVFLOÂODGRUKDUPzQLFDSqQGL[(6L SUHQHP OHVWDW IRQDPHQWDO FRP HO ]HUR GHQHUJLHV OHVSHFWUH HQHUJqWLF pV ^(L` ^HHH`LHVSRWFDOFXODUIjFLOPHQWODIXQFLyGHSDUWLFLy     HH E f ¦HHH 4 N7  N7 (  L L FRPODVXPDGHWHUPHVG¶XQDVqULHJHRPqWULFDDPEHOSULPHUWHUPHLJXDODLUDy HHN7/DVXPDHQTHVWLyYDOYHXUHDSqQGL['  H 4 N7 H    $OD*UjILFD,,HVUHSUHVHQWDODYDULDFLyGHOYDORUGHODIXQFLyGHSDUWLFLyHQIXQFLy GHOWHUPHDGLPHQVLRQDO  N7 7H H' '   DOOjTXHDTXHVWWLSXVGDSUR[LPDFLypV~WLOHQHOPRPHQWGHSRVDUH[HPSOHVFODULILFDGRUV, DL[z pV PpV LQWHUHVVDQW HQ HO PRPHQW GH FRQVLGHUDU H[HPSOHV TXtPLFV /HV H[SOLFDFLRQV SHUzVHPSUHVyQJHQHUDOLW]DEOHVLDSOLFDEOHVDVLVWHPHVWHUPRGLQjPLFVPDFURVFzSLFVGHWDO PDQHUDTXHHOPHPEUHGHOFROÂOHFWLXHVGHYpQRYDPHQWPDFURVFzSLF 6¶KDHPSUDWXQVXPDWRULTXHDWRUJDHO]HURFRPDSULPHUYDORUGHO¶tQGH[$L[zpVDUELWUDUL (QDOWUHVOORFVHVSRGUjOOHJLUTXHHOSULPHUYDORUGHO¶tQGH[pVRTXDOVHYRODOWUHQ~PHUR © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyFDQzQLFD  pVDGLUO¶HQHUJLDGHOVLVWHPDHQXQLWDWVGHN7(VSRWDSUHFLDUTXHTXDQHOYDORUGH' DXJPHQWDVLDXJPHQWDODGLIHUqQFLDHQHUJqWLFDHREpVLGLVPLQXHL[ODWHPSHUDWXUD 7ODIXQFLyGHSDUWLFLySUHQHOYDORUOtPLWGH$L[tODIXQFLyGHSDUWLFLyHQVLQGLFD TXHHQDTXHVWHVFRQGLFLRQVSUjFWLFDPHQWQRPpVXQHVWDWpVDVVROLEOHO¶HVWDWEDVDO RHOGHPpVEDL[DHQHUJLD3HUDOWUDEDQGDTXDQHOVHVWDWVHVWDQPROWSURSHUVHQ OHVFDOD HQHUJqWLFD YDORU GH H PROW SHWLW R HTXLYDOHQWPHQW VL HV WUHEDOOD D XQD WHPSHUDWXUDPROWDOWDHOSDUjPHWUH'HVIDSHWLWLPROWVHVWDWVHVGHYHQHQDFFHVVLEOHV $L[zHVFRUUHVSRQDPEHOIHWTXHHQDTXHVWHVFLUFXPVWjQFLHVODIXQFLyGHSDUWLFLy SUHQYDORUVJUDQV *UjILFD,,9DULDFLyGHOYDORUQXPqULFGHODIXQFLyGH SDUWLFLy G¶XQ RVFLOÂODGRU KDUPzQLF LGHDO HQIURQW GHO SDUjPHWUH'GHILQLWHQHOWH[W $L[tGRQFVSDUODUGHVHSDUDFLRQVHQHUJqWLTXHVJUDQVRSHWLWHVHQWUHHVWDWVVKDGHIHU VHPSUH HQ UHODFLy D OD WHPSHUDWXUD GHO VLVWHPD 1R HV SRW SDUODU GH VHSDUDFLRQV HQHUJqWLTXHV HQWUH HVWDWV TXjQWLFV HQ WHUPHV DEVROXWV (O TXH DFDEHP GH GLU HV SRW LOÂOXVWUDUDWUDYpVGHOD*UjILFD,,$OOjVKDQUHSUHVHQWDWOHVIUDFFLRQVGRFXSDFLySHU FDGD HVWDW TXjQWLF GXQ RVFLOÂODGRU KDUPzQLF HOV TXDOV LGHQWLILTXHP DPE HO FRUUHVSRQHQWQ~PHURTXjQWLFYHQIXQFLyGHOTXRFLHQW'6KDQUHSUHVHQWDWOHVGLIHUHQWV RFXSDFLRQVSHUDWUHVYDORUVGH'LTXHRULJLQHQGHIRUPDUHVSHFWLYDXQYDORU GHODIXQFLyGHSDUWLFLyLJXDODL6¶DSUHFLDTXHTXDQHOYDORUGH'pVID JUDQpVDGLUTXDQHOVHVWDWVHQHUJqWLFVVXSHULRUVDOEDVDOHVIDQPpVLQDFFHVVLEOHVOD SREODFLyEjVLFDPHQWHVFRQFHQWUDHQO¶HVWDWEDVDOQRPEUHTXjQWLFY LHOYDORUGHOD IXQFLyGHSDUWLFyV¶DWDQVDDXQVROHVWDWDVVROLEOH3HUDOWUDEDQGDTXDQHOYDORUGH' pVSHWLWHOTXHVXFFHHL[pVTXHODWHPSHUDWXUDpVSURXHOHYDGDFRPSHUTXqGLYHUVRV HVWDWVHVIDFLQDFFHVVLEOHV/ODYRUVHOYDORUGHODIXQFLyGHSDUWLFLyHVIDJUDQLQGLFDQW TXHJOREDOPHQWKLKDIRUoDHVWDWVDVVROLEOHV(OVGRVFDVRVTXHV¶DFDEHQGHFRPHQWDU © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD HV SRGHQ UHSURGXLU HQ XQ PDWHL[ VLVWHPD WHUPRGLQjPLF DL[z HQV LQGLFD TXH OD WHPSHUDWXUDDFWXDFRPXQDPHQDG¶DJHQWPRGXODGRUUHVSHFWHDODVHSDUDFLyHQHUJqWLFD HIHFWLYDTXHKLKDHQWUHHOVGLYHUVRVHVWDWV /DIXQFLy4VDQRPHQDGHSDUWLFLySHUTXqLQGLFDFRPHVWDQUHSDUWLGHVRSDUWLFLRQDGHV OHVSDUWtFXOHVRVLVWHPHVRHQJHQHUDOHOVPHPEUHVGHOFROÂOHFWLXDOOODUJGHOVVHXV HVWDWVHQHUJqWLFV  1~PHURTXjQWLFY            )UDFFLyGRFXSDFLy 4  '  4  '  4  '  *UjILFD,,)UDFFLRQVG¶RFXSDFLySHUDFDGDHVWDWHQHUJqWLFLGHQWLILFDW DPE HO Q~PHUR TXjQWLF Y G¶XQ RVFLOÂODGRU KDUPzQLF (V PRVWUHQ WUHV SRVVLELOLWDWVHQIXQFLyGHOYDORUGHOSDUjPHWUH'GHILQLWHQHOWH[W 8QD DOWUD LQWHUSUHWDFLy QXPqULFD L PpV GLUHFWD SHUD OD IXQFLy GH SDUWLFLy OD SRGHP H[WUHXUHGHOVLJQLILFDWGHODSUREDELOLWDWGRFXSDFLySHUXQHVWDWLGHOH[SUHVVLy, 6LHVFDOFXODDTXHVWDSUREDELOLWDWSHUXQVLVWHPDRQOHQHUJLDGHOHVWDWEDVDOpV]HURR HVGHILQHL[FRPDWDOV¶REWp     E HH ( LDWqVTXHODSUREDELOLWDWG¶RFXSDFLyG¶DTXHVWHVWDWpV  Q  S1    GHODUHODFLy,VHQ¶REWpTXH © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyFDQzQLFD  4  4 H  S (   E  ,, LHQFRQVHTqQFLD Q  S 4   1  $TXHVWDH[SUHVVLyHQVGLXTXHODIXQFLyGHSDUWLFLypVODUHODFLyHQWUHHOQRPEUHWRWDOGH VLVWHPHVUHVSHFWHDOVTXHRFXSHQOHVWDWEDVDO4XDQODIXQFLyGHSDUWLFLyDVVROHL[YDORUV SHWLWV WHQGLQWD OD XQLWDWHQV LQGLFD TXH SUjFWLFDPHQW WRWD OD SREODFLy HVWj RFXSDQW OHVWDW EDVDO 3HU ODOWUD EDQGD TXDQ OD IXQFLy GH SDUWLFLy SUHQJXL YDORUV JUDQV DL[z YROGUjGLUTXHKLKDSRFVVLVWHPHVRFXSDQWOHVWDWEDVDOLHQFRQVHTqQFLDQKLKDXQD PDMRULD TXH RFXSHQ HVWDWV H[FLWDWV &DO UHPDUFDU TXH DTXHVWV WLSXV GLQWHUSUHWDFLRQV QRPpVHVSRGHQIHUTXDQMDVLJXLGHIRUPDUHDORIRUPDOOHQHUJLDGHOHVWDWEDVDOVLJXL QXOÂOD 3HUDOWUDSDUWGHOHVUHODFLRQV,L,VH¶QGHGXHL[TXHHOWHUPHHDTXHDSDUHL[D ODVHFFLy,pV 4 1 H D $L[tSRGHPFRQVLGHUDUTXHDTXHVWWHUPHpVXQLQGLFDGRUGHODSREODFLyPLWMDQDSHUD FDGDHVWDWDVVROLEOH $ OD VHFFLy , HV UHPDUFDYD TXH OD YDOLGHVD GH OD GLVWULEXFLy GH %ROW]PDQQ YD SUHFHGLGDSHUXQUHTXLVLWTXHKLKDJLPROWVPpVHVWDWVDFFHVVLEOHVTXHPHPEUHVGHO FROÂOHFWLX$WqVHOVLJQLILFDWGHODIXQFLyGHSDUWLFLyDTXHVWDFRQGLFLyHVSRWH[SUHVVDU PDWHPjWLFDPHQWH[LJLQWHOFRPSOLPHQWGHODUHODFLy !! D H 1 4 (Q HO FzPSXW GH OD IXQFLy GH SDUWLFLy VHPSUH FRQVLGHUDUHP WRWV HOV HVWDWV TXH TXjQWLFDPHQW HVWDQ GHILQLWV SHO VLVWHPD $VVXPLUHP TXH WRWV DTXHVWV HVWDWV VyQ SRWHQFLDOPHQW DFFHVVLEOHV (Q DTXHVW FDV HVWHP DFFHSWDQW ODQRPHQDGD KLSzWHVL HUJzGLFDVLHOVLVWHPDHVWUREDHQXQHVWDWLVH¶OGHL[DHYROXFLRQDUXQWHPSVSURXJUDQ SRWDUULEDUDDVVROLUQHTXDOVHYRODOWUH6LSHUDOJXQDUDyKLKDJXHVVLQHVWDWVSURKLELWV SHU UHVWULFFLRQV D OHV TXH SRJXpV HVWDU VRWPqV HO VLVWHPD HQ HVWXGL OHV HQHUJLHV GDTXHVWVHVWDWVQRV¶KDXULHQGHFRPSWDELOLW]DUDODIXQFLyGHSDUWLFLyYHXUHODVHFFLy ,,  0pVHQGDYDQWYHXUHPFRPPROWVUHVXOWDWVGHOD7HUPRGLQjPLFD(VWDGtVWLFDVyQLQYDULDQWV UHVSHFWHDOIHWGHVLOHVWDWEDVDOHVSUHQFRPDRULJHQGHQHUJLHVRQR © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD ([HUFLFLVGHODVHFFLy,, &RQVLGHUDUXQVLVWHPDTXHQRPpVSUHVHQWDGRVHVWDWVQRGHJHQHUDWV VHSDUDWV XQD GLVWjQFLDHQHUJqWLFDHWRWDVVLJQDQWDO¶HVWDWEDVDOHOYDORU]HURGHQHUJLHV'HWHUPLQDU TXLQDpVODWHPSHUDWXUDIRUPDOGHOVLVWHPDVL a)  HOQLYHOOEDVDOHVWjWRWDOPHQWRFXSDW b)  DPEGyVQLYHOOVHVWDQLJXDOPHQWSREODWV c)  HOQLYHOOVXSHULRUHVWjPpVSREODWTXHOLQIHULRU d)  HOQLYHOOVXSHULRUDFXPXODWRWDODSREODFLy 3RGHPUHIHULUHOUHVXOWDWDODSUREDELOLWDWSGRFXSDFLyGHOQLYHOOIRQDPHQWDO6L DDTXHVWQLYHOOOLDVVRFLHPXQDHQHUJLD]HURDTXHVWDSUREDELOLWDWYHGRQDGDSHU O¶H[SUHVVLy,,     N7N7N7 HHH 4 SHH   'DTXt HQ SRGHP DwOODU OD WHPSHUDWXUD 7 FRP D YDULDEOH GHSHQHQW GH OD SUREDELOLWDWS  OQ  H S N 7 *UjILFD ,, 5HSUHVHQWDFLy JUjILFD GH OD IXQFLy WHPSHUDWXUD HQ UHODFLyDODSUREDELOLWDWGRFXSDFLySGHILQLGDHQDTXHVWSUREOHPD © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyFDQzQLFD  $ OD *UjILFD ,, V¶KD IHW XQD UHSUHVHQWDFLy GDTXHVWD IXQFLySHOFDVRQ HN ./DVHYDLQWHUSUHWDFLySHUPHWFRQWHVWDUOHVSUHJXQWHVVHQVHQHFHVVLWDW GHIHFWXDUHOFjOFXOGHOtPLWV D 4XDQHOQLYHOOEDVDOHVWjWRWDOPHQWRFXSDWS LODWHPSHUDWXUDpV . (Q DTXHVWD VLWXDFLy L VHJRQV HO 7HUFHU 3ULQFLSL GH OD 7HUPRGLQjPLFDOHQWURSLDGHOVLVWHPDHVGHYp]HURYHXUHOD*UjILFD ,, HQ HO SXQW RQ S  $ PHVXUD TXH OD WHPSHUDWXUD FUHL[ OD SUREDELOLWDWGRFXSDFLyGHOHVWDWVXSHULRUWDPEpKRID(QIHUDL[z HQV PRYHP HQ HO UDQJ GH WHPSHUDWXUHV H[SHULPHQWDOV R HVSHFWURVFzSLTXHV E 6DUULED D XQ FDV SDUWLFXODU TXDQ DPEGyV QLYHOOV HVWDQ LJXDOPHQW SREODWVS ò(QDTXHVWPRPHQWODWHPSHUDWXUDIRUPDOpVLQILQLWDL OHQWURSLDGHOVLVWHPDpVPj[LPDYHXUHOHVJUjILTXHV(QDTXHVWFDV HOVGRVQLYHOOVHVFRPSRUWHQFRPDGHJHQHUDWVSHUzVLHOSDUjPHWUH H QR pV QXO QRPpV SRGHP DFRQVHJXLU DTXHVW HIHFWH IRUPDO GH GHJHQHUDFLy VXEPHUJLQW HO VLVWHPD HQ XQ PHGL WHUPRVWjWLF GH WHPSHUDWXUD LPPHQVDPHQW HOHYDGD /ODYRUV OD VHSDUDFLy HIHFWLYD HQWUHQLYHOOVHVIDQHJOLJLEOH F (QHOFDVTXHHVWUDFWLQVLVWHPHVHVSHFLDOVDPEXQQ~PHURGHQLYHOOV ILQLWVFRPSHUH[HPSOHHOVOjVHUVPjVHUVVLVWHPHVG¶VSLQVQXFOHDUV R HOHFWUzQLFV DPE DSOLFDFLy GH FDPSV PDJQqWLFV  HV SRW DFRQVHJXLUHOTXHVDQRPHQDOD LQYHUVLyGHODSREODFLy HVSREOD PDMRULWjULDPHQWOHVWDWVXSHULRULOODYRUVODSUREDELOLWDWGRFXSDFLy GHOHVWDWLQIHULRUHVS9HLHPDOD*UjILFD,,TXHTXDQHO QLYHOOVXSHULRUHVWjPpVSREODWTXHOLQIHULRUODWHPSHUDWXUDDEVROXWD IRUPDO pV  QHJDWLYD $O OODUJ GH WRW HO UDQJ GH SUREDELOLWDWV RQ OHVWDW VXSHULRU HVWj PpV SREODW OD WHPSHUDWXUD pV IRUPDOPHQW QHJDWLYDLWHQGHL[FDSD]HURSHUVRWDSHUOHVTXHUUDGHOSXQWR ³SHUODSRUWDGHOGDUUHUD´WDOLFRPGLXDOJXQDXWRUDPHVXUDTXHOD SUREDELOLWDWGRFXSDFLyGHOHVWDWEDVDOWDPEpKRID$L[zLQGLFDTXH XQ VLVWHPD DPE WHPSHUDWXUD QHJDWLYD HVWj PpV ³FDOHQW´ TXH TXDOVHYRO DOWUD D WHPSHUDWXUD SRVLWLYD (O UDQJ FRPSOHUW GH WHPSHUDWXUHVLRUGHQDGHVGHPHQRUDPDMRUpVff G (OGDUUHUFDVHOUHSURGXLPTXDQHOQLYHOOVXSHULRUDFXPXODWRWDOD SREODFLy L OD SUREDELOLWDW G¶RFXSDFLy GH OHVWDW EDVDO pV S  /D WHPSHUDWXUDWRUQDDVHU]HURSHUzV¶KLKDDUULEDWSHUVRWDSDVVDQW SHUWHPSHUDWXUHVDEVROXWHV IRUPDOPHQW QHJDWLYHV /HQWURSLDDTXt WRUQDDVHU]HUR © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD *UjILFD,,5HSUHVHQWDFLyHVTXHPjWLFDGHODYDULDFLyGHO¶HQWURSLD UHVSHFWH OD SUREDELOLWDW S DVVRFLDGD DO PRGHO GHVFULW HQ HO WH[W GH OH[HUFLFL/¶LQYHUVGHOSHQGHQWFDQYLDWGHVLJQHGHODUHFWDWDQJHQWDOD JUjILFDDFDGDSXQWHVSRWDVVRFLDUDOFRQFHSWHGHWHPSHUDWXUDIRUPDO GHOVLVWHPD +HPYLVWGRQFVTXHHVSRWWUDYHVVDUHOOtPLWGHO]HURDEVROXWGHWHPSHUDWXUD SHUzHOFDPtSDVVDSHUDUULEDUILQVDWHPSHUDWXUDLQILQLWD(QFDSPRPHQWOD *UjILFD,,SUHFHGHQWSUHVHQWDXQWDOODOHL[GDEVFLVVHVeVFODUTXHDTXHVWV HIHFWHVHVWDQFRQGLFLRQDWVSHOWLSXVSDUWLFXODUGHVLVWHPDTXHVHVWXGwL$OJXQV VLVWHPHVPLFURVFzSLFVSHUzDGPHWHQODIRUPXODFLyTXHDTXtHVSUHVHQWD$OD *UjILFD,,HVSUHVHQWDXQHVTXHPDGHODYDULDFLyGHOHQWURSLDHQIXQFLyGH ODSUREDELOLWDWSGHILQLGDPpVDPXQW(VSRGHQDSUHFLDUHOVGRVFDVRVH[WUHPV SHUS LS RQ6 DL[tFRPHOFDVRQS LO¶HQWURSLD6HVIDPj[LPD(V SRWDVVRFLDUHOYDORUGHODGHULYDGDSHQGHQWGHODUHFWDWDQJHQWDFDGDSXQWGH ODIXQFLyTXHHVUHSUHVHQWDDOD*UjILFD,,FRPHOQHJDWLXGHO¶LQYHUVGHOD WHPSHUDWXUDIRUPDO7 (QUHDOLWDWSHUREWHQLUXQDVLWXDFLyGHWHPSHUDWXUDIRUPDOQHJDWLYDFDOVHPSUH GLVSRVDUGXQQRPEUHILQLWGHVWDWVTXjQWLFVSHUSREODUGHWDOPDQHUDTXHHV SXJXLDFRQVHJXLU O¶HIHFWHG¶LQYHUVLy GHODSREODFLy 6LHO QRPEUH GHVWDWVpV LQILQLWODSREODFLyGHTXDOVHYROHVWDWVHUjVHPSUHVXSHULRUDODG¶XQDOWUHGH PDMRUHQHUJLDLQRHVSRGUjLQYHUWLUODSREODFLy(QDTXHVWGDUUHUFDVHOOtPLWHO WUREHPTXDQODWHPSHUDWXUDHVIDLQILQLWDLWRWHVOHVSREODFLRQVVLJXDOHQ  /DWHPSHUDWXUDDEVROXWDQHJDWLYDQRPpVV¶DVVROHL[IRUPDOPHQW'HIHWHOVLVWHPDQRHVWURED HQXQHVWDWG¶HTXLOLEULYHUWDGHULQRpVDSOLFDEOHO¶HVWDGtVWLFDGH0D[ZHOO%ROW]PDQQ © Els autors, 2004; © Edicions UPC, 2004 ( %HVDO~  /D IXQFLy GH SDUWLFLy FDQzQLFD    8QD GHILQLFLy IRUPDO WHUPRGLQjPLFD GH OD WHPSHUDWXUD pV ! ¸ ¹ · ¨ © § w w ¸ ¹ · ¨ © § w w 39 6 + 6 8 7   OD TXDO FRVD GHPDQD SHU H[HPSOH TXH OD IXQFLy HQHUJLD LQWHUQD 8  VLJXL PRQzWRQD FUHL[HQW DPE 6 L TXH O¶HVSHFWUH HQHUJqWLF QR HVWLJXL GHJHQHUDW $ OD *UjILFD ,, SHU XQ VLVWHPD GH SDUWtFXOHV LQGHSHQGHQWV OD SUREDELOLWDW G¶RFXSDFLy GH O¶HVWDW VXSHULRU pV SURSRUFLRQDO D O¶HQHUJLD 8 GHOV VLVWHPD $L[t GRQFV O¶LQYHUV GHO SHQGHQW GH OD FRUED DOOj UHSUHVHQWDGD pV OD WHPSHUDWXUD DEVROXWD  (Q WRWV HOV UDRQDPHQWV TXH V¶KDQ IHW SHUz FDO WHQLU SUHVHQW TXH HO FRQFHSWH GH WHPSHUDWXUD QRPpV SRW TXHGDU EHQ GHILQLW HQ VLWXDFLRQV G¶HTXLOLEUL WHUPRGLQjPLF  (Q UHODFLy D O¶RULJHQ G¶DTXHVWHV THVWLRQV HV UHFRPDQD OOHJLU O¶DUWLFOH GH -DLPH :LVQLDN ³1HJDWLYH $EVROXWH 7HPSHUDWXUHV D 1RYHOW\´ DO -RXUQDO RI &KHPLFDO (GXFDWLRQ   $EULO  SODQD  L OHV UHIHUqQFLHV DOOj FLWDGHV $OOj V¶DILUPD TXH OHV WHPSHUDWXUHV H[WUHPHV DVVROLGHV ILQV DUD KDQ HVWDW GH Â  . L Â  .    'HPRVWUDU TXH OD GHILQLFLy DUELWUjULD G¶XQ ]HUR G¶HQHUJLHV GHOV HVWDWV TXjQWLFV LPSOLFD DIHJLU XQD FRQVWDQW PXOWLSOLFDWLYD D OD IXQFLy GH SDUWLFLy   6L ^ H   H   H  ` VyQ OHV HQHUJLHV DEVROXWHV GHOV HVWDWV OD IXQFLy GH SDUWLFLy V¶HVFULX FRP ¦ EH L  H 4 L  6L DUD V¶HVWDEOHL[ XQ QRX ]HUR G¶HQHUJLHV O¶HVSHFWUH HQHUJqWLF SDVVD D VHU ^ H   J  H   J  H   J ` L OD QRYD IXQFLy GH SDUWLFLy HVGHYp XQ P~OWLSOH GH O¶DQWHULRU   4 HHHHHH 4  L  L  L  LLL EJEHEJEHEJJHE ¦¦¦     &RQVLGHUDU XQ VLVWHPD G¶LQILQLWV QLYHOOV HQHUJqWLFV /¶HQHUJLD GH FDGD QLYHOO YH GRQDW SHU OD TXDQWLWDW ( - E-  -  RQ E pV XQD FRQVWDQW L - pV XQ Q~PHUR TXjQWLF HQWHU TXH SUHQ HOV YDORUV      /D GHJHQHUDFLy GH FDGD QLYHOO pV LJXDO D  -  5HSUHVHQWDU JUjILFDPHQW TXLQD pV OD IUDFFLy G¶RFXSDFLy GH FDGD QLYHOO HQ IXQFLy GHO Q~PHUR TXjQWLF -  &RPSDUDU HO UHVXOWDW DPE HO GH OD *UjILFD ,, © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD (QDTXHVWFDVODIXQFLyGHSDUWLFLyVXPDVREUHHOVHVWDWVVHUjLJXDOD ,         WHUPHV - DD WHUPHV - DD WHUPH - HHHHH4 $O¶H[SUHVVLyVHVXPDXQWHUPHSHUDFDGDHVWDW(OVIDFWRUVH[SRQHQFLDOVVyQ LJXDOVDE--N7LV¶KDGHILQLWODFRQVWDQWDFRPEN7(OVWHUPHVHVSRGHQ DJUXSDUHQEORFVGH-HOHPHQWVWDQWVFRPODGHJHQHUDFLyGHOFRUUHVSRQHQW QLYHOO(OVXPDWRULFRPSOHWHVGHYp   ¦ f      - -DH-4  /DIUDFFLyG¶RFXSDFLyGHFDGDQLYHOOpVLJXDOD       ¦ f           - -D- -D--D- - HH4 HI $PE O¶DMXW G¶XQ SHWLW SURJUDPD G¶RUGLQDGRU L HPSUDQW HO YDORU QXPqULF DGLPHQVLRQDODUELWUDULD V¶KDREWLQJXWODUHSUHVHQWDFLyTXHHVPRVWUDD OD*UjILFD,,  1~PHURTXjQWLF-        )UDFFLyGRFXSDFLyGHOQLYHOOI - *UjILFD ,, 5HSUHVHQWDFLy JUjILFD GH OD IUDFFLy G¶RFXSDFLy SHU D FDGD QLYHOO GHO VLVWHPD GHVFULW HQ HO SUREOHPD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD    1 97T 1974 1     ,, $TXHVWDH[SUHVVLyHVWjUHODFLRQDGDDPEO¶HVWDGtVWLFDGH0D[ZHOO%ROW]PDQQFRUUHJLGD VHFFLy,(OTXHIHPHQDTXHVWGHVHQYROXSDPHQWGRQFVpVWUDFWDULQLFLDOPHQWOHV SDUWtFXOHVFRPHQWLWDWVFOjVVLTXHVWDOLFRPHVIDDPEHOVPHPEUHVGHOVFROÂOHFWLXVL DUD DO ILQDO FRQVLGHUHP DOJXQHV FRUUHFFLRQV L H[LJLP HO FRPSOLPHQW G¶DOJXQHV UHVWULFFLRQVSHUH[HPSOHTXHKLKDJLPpVHVWDWVTXHSDUWtFXOHVSHUWDOG¶DSURSDUOD QRWDFLyDODGHOHVHVWDGtVWLTXHVTXjQWLTXHVGHODVHFFLy, (QJHQHUDOHVSRWGHGXLUYHXUHHOSUREOHPDTXHSHUPHVFOHVGHGLIHUHQWVWLSXVGH SDUWtFXOHVQRLQWHUDFFLRQDQWVSHUH[HPSOHHVSqFLHVTXtPLTXHVGLIHUHQWV$%&OD IXQFLyGHSDUWLFLyFDQzQLFDHVFDOFXODFRP  & %$ 1 & 1 % 1 $&%$ TTT4444 ,, RQHYHQWXDOPHQWHVSRGHQIHUGLYLVLRQVSHOVIDFWRULDOVGH1$1%1&QRPEUHVGH FDGD WLSXV GH PROqFXOD VL HV WUDFWD GH SDUWtFXOHV LQGLVWLQJLEOHV $ OD VHFFLy ,,, YHXUHP FRP HQ DOJXQV FDVRV VHUj QHFHVVDUL DYDOXDU OD IXQFLy GH SDUWLFLy DQWHULRU FRQVLGHUDQWXQ]HURGHQHUJLHVFRP~DWRWHVOHVHVSqFLHV 7DQWDTXtFRPDOHVVHFFLRQV,L,,IHPFRPHQWDULVUHODWLXVDOUHTXLVLWTXHKLKDJL PROWVPpVHVWDWVDFFHVVLEOHVTXHPHPEUHVGHOFROÂOHFWLXSHUWDOTXHODGLVWULEXFLyGH %ROW]PDQQ VLJXL DSOLFDEOH (Q HO FRQWH[W PROHFXODU R DWzPLF DTXHVWD UHODFLy HV WUDGXHL[HQHOIHW TXHV¶KDGHFRPSOLUSHUDFDGD JUXSGHPROqFXOHVGHODPDWHL[D HVSqFLHTXH !! 1 T $DTXHVWTXRFLHQWVHO¶DQRPHQDUHODFLyGHGLOXFLyHVWDGtVWLFD © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyPROHFXODU  ([HUFLFLVGHODVHFFLy,, 'HPRVWUDUTXHODSOLFDFLyGHO¶DSUR[LPDFLyG¶6WLUOLQJDOHTXDFLy,,HQVSRUWD DOUHVXOWDW  1 1 TH 4 RQHUHSUHVHQWDODEDVHGHOVORJDULWPHVQHSHULDQV $TXHVWDH[SUHVVLyVREWpGLUHFWDPHQWVLVDSOLFDHOUHVXOWDWGHOSUREOHPDGH O¶DSqQGL[, (VFULXUHO¶H[SUHVVLyGHODIXQFLyGHSDUWLFLyGXQVLVWHPDItVLFPLFURVFzSLFTXH SRW DVVROLU WUHV HVWDWV GLIHUHQWV DPE HQHUJLHV ^HH` UHSDUWLWV HQ GRV QLYHOOV 7RW VHJXLWREWHQLUODIXQFLyGHSDUWLFLyG¶XQPHPEUHGHOFROÂOHFWLXIRUPDWSHOQ~PHUR G¶$YRJDGUR G¶DTXHVWV VLVWHPHV $SOLFDU O¶DSUR[LPDFLy GH OHV SDUWtFXOHV LQGHSHQGHQWV /DSUHVqQFLDGHO QLYHOOGHJHQHUDW SHUPHWHVFULXUHHO UHVXOWDW HQ IXQFLy GH OD VHYDGHJHQHUDFLy N7N7N7N7 HHHHT   HHH    3HO TXH UHVSHFWD D OD IXQFLy GH SDUWLFLy GHO PHPEUH GHO FROÂOHFWLX L DWHVD O¶DSUR[LPDFLyTXHVH¶QVSHUPHWDSOLFDUQRPpVFDVHIHFWXDUXQDSRWHQFLDFLy  $ $1 N7 1HT4   H   'HPRVWUDUODUHODFLy,, 3RGHP IHU OD GHPRVWUDFLy SHU D GRV HVSqFLHV $L% TXH SUHVHQWHQ 1$L1% PROqFXOHV D FDGD PHPEUH GHO FROÂOHFWLX FDQzQLF (Q HO Vt GHO PHPEUH GHO FROÂOHFWLXSRGHPGHILQLUOHVHQHUJLHVGHOVHVWDWVTXjQWLFVRFXSDWVSHUPROqFXOHV GHFDGDFODVVH; ; L 1 N ; N ; ( H ¦  ; $% $TXHVWDGDUUHUDGHILQLFLyRULJLQDGXHVH[SUHVVLRQVTXHVyQIRUPHVSDUWLFXODUV GH,,/HVGLIHUHQWVIRUPHV(LTXHSRWSUHVHQWDUO¶HQHUJLDGHFDGDHVWDW GHOFROÂOHFWLXVHUDQ © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD % L $ LL %$ (((   DPEHOEHQHQWqVTXHHOVGLYHUVRVHVWDWVTXHSRWSUHVHQWDUHOPHPEUHRVLDHO FRQMXQWG¶HVWDWVHWLTXHWDWVDPEO¶tQGH[LYLQGUDQGRQDWVSHUODFRPELQDFLyGH WRWVHOVHVWDWVTXHSXJXLQJHQHUDUOHVPROqFXOHVGHODFODVVH$HOVHVWDWVL$ FRPELQDWVDPEWRWVHOVRULJLQDWVSHUO¶DOWUHWLSXVGHPROqFXOHVL%7DOLFRP KHPIHWHQHOWH[WGHQRWHPDL[zVLPEzOLFDPHQWFRP ^`^`^` %$ LL u L $TXHVW UHVXOWDW pV YjOLG VL pV DSOLFDEOH O¶DSUR[LPDFLy GH OHV SDUWtFXOHV LQGHSHQGHQWV(QFDVFRQWUDULHOIHWTXHXQHVSDUWtFXOHVRFXSHVVLQXQVHVWDWV TXjQWLFV GHWHUPLQDULD TXH OHV DOWUHV HQ SRJXHVVLQ RFXSDU DPE PpV R PH\V SUHIHUqQFLD XQV DOWUHV 1R KL KDXULD XQD LQGHSHQGqQFLD WRWDO $FFHSWDQW OHV FRQGLFLRQVGHO¶DSUR[LPDFLyOHVHQHUJLHVGHOVHVWDWVGHOPHPEUHGHOFROÂOHFWLX YLQGUDQGRQDGHVSHUOHVPDWHL[HVFRPELQDFLRQV$L[zSHUPHWHVFULXUHODIXQFLy GHSDUWLFLyFRP  ¸ ¸ ¹ · ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © § EEEE ¦¦¦¦¦ HHH H 4 % % L % $ $ L $ % % L $ $ L %$ L( L ( L (( LL (  L  LFDGDWHUPHHQWUHSDUqQWHVLpVODIXQFLyGHSDUWLFLyFDQzQLFDSHUDO¶HVSqFLH FRUUHVSRQHQW)LQDOPHQWGRQFV %$ 1 % 1 $%$ TT444  /DJHQHUDOLW]DFLySHOFDVGHPpVGHGXHVHVSqFLHVpVLPPHGLDWD $HIHFWHVSUjFWLFVVDEHPTXHODIXQFLyGHSDUWLFLyPROHFXODUKDGHWHQLUXQYDORU QXPqULFPROWJUDQSHUWDOGHSRGHUREWHQLUXQERQUHVXOWDWHVWDGtVWLFLSHUSRGHUDSOLFDU O¶HVWDGtVWLFDGH0D[ZHOO%ROW]PDQQ6LHOYDORUQXPqULFGHTpVSHWLWQRVRODPHQWQR pVDSOLFDEOHO¶HVWDGtVWLFDVLQyTXHHVSRGHQREWHQLUUHVXOWDWVDEVXUGV3HUYHXUHDL[z FDOFXODU TXLQD pV OD IXQFLy GH SDUWLFLy FDQzQLFD G¶XQ VLVWHPD GH 1 SDUWtFXOHV LQGLVWLQJLEOHVGHWDOPDQHUDTXHODVHYDIXQFLyGHSDUWLFLyLQGLYLGXDOVLJXLT H$SOLFDU OODYRUVO¶DSUR[LPDFLyG¶6WLUOLQJ (QDSOLFDUODUHODFLy4 T11REWHQLP4 H11SUHQHQWORJDULWPHVLDSOLFDQW ODUHODFLyG¶6WLUOLQJDUULEHPDODFRQFOXVLyTXH © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyPROHFXODU     11111111H 1 H 41 1 OQOQOQOQ  OQOQ     /ODYRUV  OQOQ  114 (OUHVXOWDWpVLQDGPLVVLEOHDSDUWLUGH1 FDVRQHOORJDULWPHFRPHQoDDVHU QHJDWLXHOYDORUQXPqULFGHODIXQFLyGHSDUWLFLypVSUjFWLFDPHQWLJXDOD]HUR /HVSDUWtFXOHVQRSUHVHQWHQSURXHVWDWVDFFHVVLEOHV  8Q VLVWHPD WHUPRGLQjPLF HVWj IRUPDW SHU GRV WLSXV GH SDUWtFXOHV(OVHVSHFWUHV HQHUJqWLFV UHVSHFWLXV VyQ  ^`  L HL  ^ `  L H (Q O¶DSUR[LPDFLy GH OHV SDUWtFXOHV LQGHSHQGHQWVOHVHQHUJLHVGHFDGDWLSXVGHSDUWtFXODQRHVWDQFRUUHODFLRQDGHVpVDGLU HOYDORUHVSHUDWGHOSURGXFWHG¶HQHUJLHVPLWMDQHVGHFDGDWLSXVGHSDUWtFXOD    HH  pVLJXDODOSURGXFWHGHYDORUVHVSHUDWV    HH 'HPRVWUDTXHDTXHVWDLJXDOWDWHV SRWREWHQLUDSDUWLUGHOHVH[SUHVVLRQVGHOD7HUPRGLQjPLFD(VWDGtVWLFD (QFRQVLGHUDUODWRWDOLWDWGHOVLVWHPDHOYDORUHVSHUDWGHOSURGXFWHG¶HQHUJLHV GHFDGDWLSXVGHSDUWtFXODHVFDOFXODFRP        ¦¦ HHE HH HH LM ML ML H 4    $TXHVWDGDUUHUDIyUPXODHVSRWHVFULXUHFRP           ¦¦¦¦ HH HH HH HHE LM LMML LM ML S 4 HML    RQV¶KDQGHILQLWXQHVSUREDELOLWDWVG¶RFXSDFLyFRQMXQWDDOKRUDGHOVHVWDWVLLM SLM (OV VXPDWRULV IDQ XQ UHFRUUHJXW SHU WRWV HOV HVWDWV GH FDGD SDUWtFXOD GH WDO PDQHUDTXHDL[tHVUHFRUUHQWRWVHOVHVWDWVGHOVLVWHPD $WqVTXHFRQVLGHUHP O¶DSUR[LPDFLyGHOHVSDUWtFXOHVLQGHSHQGHQWVHQHOWHUPHH[SRQHQFLDOO¶HQHUJLD GHFDGDSDUWtFXODHVVXPDSHUWDOG¶REWHQLUO¶HQHUJLDWRWDOGHO¶HVWDWFRQMXQW3HU ODPDWHL[DUDyLWDOLFRPMDV¶KDYLVWHQHOWH[WODIXQFLyGHSDUWLFLyGHOVLVWHPD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD pVHOSURGXFWHGHIXQFLRQVGHSDUWLFLyGHFDGDVLVWHPD4 443HUWDQWIHQW ~VG¶DTXHVWDSURSLHWDWLRSHUDQWHOWHUPHH[SRQHQFLDOLHOVVXPDWRULVHVFULYLP                       ¸ ¸ ¹ · ¨ ¨ © §H ¸ ¹ · ¨ © §H HH HH ¦¦ ¦¦ EH EH EH EH M M L L LM ML M L M L HH 44 HH 4 LDL[t                   HH ¸ ¸ ¸ ¸ ¹ · ¨ ¨ ¨ ¨ © §H ¸ ¸ ¸ ¹ · ¨ ¨ ¨ © §H HH ¦ ¦EH EH 4 H 4 H M M L L M L  WDOLFRPHVYROLDGHPRVWUDU  &RQVLGHUDUXQ VLVWHPD GHPROqFXOHV LQGLVWLQJLEOHV 2EWHQLU HOV GLIHUHQWV WHUPHV HQHUJqWLFVTXHDSDUHL[HQDODIXQFLyGHSDUWLFLyFDQzQLFD4TXDQFDGDPROqFXODSRW DFFHGLUDHVWDWV)HUHOPDWHL[SHUHVWDWV(VWDEOLUFRPSDUDFLRQVHQWUHHOVGRVFDVRVL H[WUDSRODU TXH VXFFHHL[ TXDQ HO QRPEUH G¶HVWDWV pV PROW VXSHULRU DO QRPEUH GH PROqFXOHV-XVWLILFDUG¶DTXHVWDPDQHUDHOWHUPH1TXHV¶XWLOLW]DHQFDOFXODUODIXQFLy GHSDUWLFLyFDQzQLFD $GPHWHPTXHQRKLKDFDSWLSXVGHUHVWULFFLyQLGHFRUUHODFLyTXjQWLFDDOKRUD G¶DVVLJQDU FDGD PROqFXOD D XQ HVWDW (Q HO FDV GH FRQVLGHUDU  HVWDWV SHU PROqFXOD KL KD   SRVVLELOLWDWV G¶RFXSDFLy G¶HVWDWV PLFURHVWDWV &DGD SRVVLELOLWDWRULJLQD XQWHUPHD DIHJLUHQHO VXPDWRUL GHOD IXQFLy GH SDUWLFLy FDQzQLFD9HJHPKRVLPEzOLFDPHQWHOVtQGH[VGHOVWHUPHVVyQ L HOVXPDWRULGHOTXHSDUOHPpV      (((( (( ( (( HHHH HHHHH4 EEEE EE E EE  m (QHOFRQWH[WGHOHVSDUWtFXOHVLQGHSHQGHQWVFDGDWHUPHGHOWLSXV(LMO¶HQHUJLD DVVRFLDGDDFDGDPLFURHVWDWHVFDOFXODFRP MLLM (HH  © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyPROHFXODU  pVDGLUODVXPDGHOHVHQHUJLHVGHFDGDPROqFXOD3UHFLVDPHQWDTXHVWIHWpVHO TXHSHUPHW HVFULXUH OD VXPD GHOV QRX WHUPHV FRP XQ TXDGUDW RQ LQWHUYp OD IXQFLyGHSDUWLFLyPROHFXODU    EHEHEHm HHH4  'HOV  WHUPHV HVFULWV PpV DPXQW VH Q¶KDQ PDUFDW HQ QHJUHWD  $TXHVWV  WHUPHVHVSRGHQDJUXSDUHQSDUHOOHV ±±± GH WDO PDQHUD TXH FDGDVFXQD GRQD FRPSWH SHU GXSOLFDW GH O¶HQHUJLD G¶XQ PDFURHVWDW $TXHVWD LQIRUPDFLy pV UHGXQGDQW SHO IHW TXH SHU KLSzWHVL OHV PROqFXOHVVyQLGqQWLTXHVLLQGLVWLQJLEOHV (QDTXHVWFDVHVFRPHWXQHUURUDSUHFLDEOHHQGLYLGLUODVXPDGHOVWHUPHVSHU  SHUTXqHQFDUDTXHDL[zHOLPLQLODUHGXQGjQFLDGHOHVSDUHOOHVKLKD PLFURHVWDWVHOHOLHOTXHQRHVUHSHWHL[HQ'HOWRWDOGHWHUPHVQ¶KL KDWHUFHUHVSDUWVDOVTXHFDODSOLFDUODGLYLVLySHU  3HUDOWUDEDQGDVLDUDFRQVLGHUHPHOFDVG¶RFXSDFLyGHHVWDWVPROHFXODUVHOV  PLFURHVWDWVTXHV¶RULJLQHQVyQ  L $UDHQFDQYLKLKDSDUHOOHVG¶HVWDWVUHGXQGDQWVOHVPDUFDGHVHQQHJUHWDL QRPpVKLKDSDUHOOHVLTXHQRWHQHQXQWHUPHKRPzOHJ UHSHWLW +L KD KDJXW XQ FDQYL TXDQWLWDWLX HQ UHODFLy D O¶H[HPSOH DQWHULRU HQ DTXHVWFDVDUDMDVyQHOGHGHOVPLFURHVWDWVTXHDGPHWHQXQIDFWRU FRUUHFWRULJXDOD  3RGHPH[WUDSRODUHOUHVXOWDWGLHQWTXHTXDQHOQRPEUHG¶HVWDWVPROHFXODUVHV IDFLPROWPpVJUDQTXHHOGHPROqFXOHVGLVSRQLEOHVODIUDFFLyGHPLFURHVWDWV UHGXQGDQWV VHUj SUjFWLFDPHQW OD WRWDOLWDW DWqV TXH KL KDXUj PROWHV FRPELQDFLRQVGHSDUHOOHVGHPROqFXOHVTXHRFXSLQHVWDWVGLIHUHQWVLVHUjPHV GLItFLO WUREDU PLFURHVWDWV RQ OHV GXHV PROqFXOHV RFXSHQ HO PDWHL[ HVWDW (Q DTXHVWD VLWXDFLy HV OtFLW FDOFXODU OD IXQFLy GH SDUWLFLy FDQzQLFDpVDGLU FRPSWDELOLW]DUWHUPHVH[SRQHQFLDOVDPEPLFURHVWDWVQRUHGXQGDQWVIHQWGXHV RSHUDFLRQV 2EWHQLUWRWVHOVPLFURHVWDWVILQVLWRWHOVUHGXQGDQWVHIHFWXDQW HO FjOFXOT1HQHOQRVWUHH[HPSOH1  © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD 'LYLGLU SHU IDFWRU FRUUHFWRU 1 SHU WDO GH FRPSWDELOLW]DU QRPpV HOV PLFURHVWDWVTXHVyQHVVHQFLDOPHQWGLVWLQWVHQWUHHOOV '¶DTXHVWDPDQHUDHVMXVWLILFDO¶DYDOXDFLyGHODIXQFLyGHSDUWLFLyFDQzQLFDD WUDYpV GHO WHUPHV 4 T11 (O WHUPH IDFWRULDO GRQD FRPSWH GHO SDV D O¶HVWDGtVWLFDGH0D[ZHOO%ROW]PDQQFRUUHJLGDFOjVVLFDVHFFLy, © Els autors, 2004; © Edicions UPC, 2004 ,,&jOFXOGHODIXQFLyGHSDUWLFLyPROHFXODU $ OD VHFFLy SUHFHGHQW KHP YLVW TXH SHU HIHFWXDU HO FjOFXO GH OD IXQFLy GH SDUWLFLy FDQzQLFDVKDGHUHFyUUHUDO¶DYDOXDFLyGHODIXQFLyGHSDUWLFLyPROHFXODU$TXtYHXUHP FRPHVFDOFXODDTXHVWDGDUUHUD /HVWDWHQHUJqWLFLTXHDSDUHL[HQHOVXPDWRULGHODGHILQLFLyGHODIXQFLyGHSDUWLFLy PROHFXODU,,IDUHIHUqQFLDDOVHVWDWVTXjQWLFVTXHSRWDGTXLULUXQDPROqFXOD8QD QRYD DSUR[LPDFLy TXH HV ID WDQW DTXt FRP HQ HO FDPS GH O¶HVSHFWURVFzSLD G¶HQWUH DOWHVpVVXSRVDUTXHOHQHUJLDGHFDGDWLSXVG¶HVWDWTXjQWLFPROHFXODUWUDQVODFLRQDO URWDFLRQDOYLEUDFLRQDOpVLQGHSHQGHQWGHOVDOWUHVeVDGLUHVFRQVLGHUDTXHQRKL DFREODPHQWHQWUHHOVGLIHUHQWVWLSXVG¶HVWDWV(QDTXHVWFDVHVSRWH[SUHVVDUOHQHUJLD G¶XQDSDUWtFXODRVLDHOYDORUQXPqULFHLTXHDSDUHL[D,,FRPODVXPDGHOHV GLIHUHQWVHQHUJLHVWUDQVODFLRQDOURWDFLRQDOYLEUDFLRQDOHOHFWUzQLFDLQXFOHDU$TXHVWD SDUWLFLyGHO¶HQHUJLDDSqQGL[)pV JHYQXFHOYLEURWWUDQV LHHHHH H  H  H  H  H H Q ,, $L[z YRO GLU TXH XQ HVWDW PROHFXODU HV GHILQHL[ LQGLFDQW TXLQV VyQ HOV VHXV HVWDWV TXjQWLFVWUDQVODFLRQDOURWDFLRQDOYLEUDFLRQDOHOHFWUzQLFLQXFOHDU6LPEzOLFDPHQW ^` ^ ` ^ ` ^ ` ^ ` ^ ` ^ ` ^` ^` ^` ^` H u H u H u H u H H u H u H u H u H HJHY-QXFHOYLEURWWUDQVL Q 3HU WDO GH VLPSOLILFDU HO WUDFWDPHQW TXH GHVHQYROXSDUHP L WDO L FRP HV YHX HQ OHV GDUUHUHV H[SUHVVLRQV SUHQHP HOV YDORUV G¶DTXHVWHV HQHUJLHV EDVDQWQRV HQ PRGHOV TXjQWLFVVHQ]LOOV(VGHPRVWUDTXHHQFRQVLGHUDUHOVPRGHOVVHJHQWVQRHVFRPHWFDS HUURUJUHXHQHOVFjOFXOV  (VPRGHOLW]HQHOVHVWDWVWUDQVODFLRQDOVGHODPROqFXODDWUDYpVGHOSDUDGLJPD GHODFDL[DTXjQWLFDWULGLPHQVLRQDO8WLOLW]DUHPFRPDtQGH[VG¶DTXHVWVHVWDWV HOVWUHVQRPEUHVTXjQWLFVQ[Q\LQ]LHOVDJUXSHPHQHOYHFWRUQDSqQGL[(  (V PRGHOLW]HQ HOV HVWDWV URWDFLRQDOV GH OD PROqFXOD OLQHDO L JHQHUDOPHQW GLDWzPLFDDWUDYpVGHO VLVWHPDGHOURWRUUtJLGMXQWDPHQWDPEOHVFRQVWDQWV URWDFLRQDOVH[WUHWHVGHOVHVSHFWUHVGHPLFURRQHVRFDOFXODWVWHzULFDPHQW7DOL FRPpVKDELWXDOVXWLOLW]DUjHOQ~PHURTXjQWLF-SHUHVSHFLILFDUHOVGLIHUHQWV QLYHOOVURWDFLRQDOV  3HUH[HPSOHDVVXPLUHPHOPRGHOGHOURWRUUtJLGSHUWUDFWDUODURWDFLyPROHFXODU$L[zKD G¶HVWDUG¶DFRUGDPEHOIHWTXHODURWDFLypVLQGHSHQGHQWGHODYLEUDFLyPROHFXODU3HUDOWUD SDUW HQ DSOLFDU O¶DSUR[LPDFLy GH %RUQ2SSHQKHLPHU V¶DVVXPHL[ LQGLUHFWDPHQW TXH OD YLEUDFLy PROHFXODU QR HVWj DFREODGD DPE HOV JUDXV GH OOLEHUWDW HOHFWUzQLFV /¶HQHUJLD WUDQVODFLRQDO GH OD PROqFXOD GHSqQ QRPpV GH OD VHYD PDVVD OD PDVVD GHO VHX FHQWUH GH PDVVHVLHQFRQVHTqQFLDHOPRYLPHQWWUDQVODFLRQDOpVHVWULFWDPHQWVHSDUDEOHGHOVDOWUHV © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD  (VPRGHOLW]HQHVWDWVGHOVPRGHVQRUPDOVGHYLEUDFLyDSDUWLUGHGRVWLSXVGH GHVFULSFLRQV (OVLGHDOVDWUDYpVGHORVFLOÂODGRUKDUPzQLFHYHQWXDOPHQWDPE FRUUHFFLRQV L XWLOLW]DQW HOV VHXV QRPEUHV TXjQWLFV Y L XQD IUHTqQFLDFDUDFWHUtVWLFDGHYLEUDFLyQ (OVPROHFXODUVUHDOVDWUDYpVGHOHVGDGHVHVSHFWURVFzSLTXHV  6XWLOLW]DUj O¶tQGH[ H SHU HVSHFLILFDU HOV HVWDWV HOHFWUzQLFV /HV GDGHV QHFHVVjULHVSHUDYDOXDUODFRUUHVSRQHQWIXQFLyGHSDUWLFLyHVWUREHQHIHFWXDQW XQFjOFXOWHzULFREpUHFRUUHQWDOHVDSRUWDGHVSHOVHVSHFWUHVHOHFWUzQLFV  6XWLOLW]DUjHOVtPEROJSHUHVSHFLILFDUHOVGLIHUHQWVHVWDWVQXFOHDUV 9HXUHP TXHODFRQWULEXFLyG¶DTXHVWVHVWDWVDODIXQFLyGHSDUWLFLyHVUHGXHL[DXQWHUPH FRQVWDQWHOTXDOQRpVUHOOHYDQWSHUODJUDQPDMRULDGHOVQRVWUHVSURSzVLWV (QFRQVHTqQFLDVLPEROLW]DUHPOHVWDWTXjQWLFPROHFXODULDWUDYpVGHOVHJHQWFRQMXQW GtQGH[V ^` ^ ` ^ ` ^` ^` ^ ` JHY-L uuuu Q $TXHVWDQRWDFLyYROGLUTXHSHUHVSHFLILFDUXQHVWDWTXjQWLFPROHFXODUFDOLQGLFDUTXLQV VyQHOVYDORUVQXPqULFVGHOVQRPEUHVTXjQWLFVWUDQVODFLRQDOVURWDFLRQDOVYLEUDFLRQDOV HOHFWUzQLFVLQXFOHDUV(QHOPDUFGHO¶DSUR[LPDFLyGHOHVSDUWtFXOHVLQGHSHQGHQWVDL[z LPSOLFDTXHXQHVWDWHQHUJqWLFGXQPHPEUHGHOFROÂOHFWLXYLQGUjHVSHFLILFDWSHOFRQMXQW GH WRWV HOV HVWDWV GH WRWHV OHV PROqFXOHV TXH HO IRUPHQ ^^Q`u^-`u^Y`u^H`u^J`` $TXHVWFRQMXQWGHSURGXFWHFDUWHVLjGHFRQMXQWVWpXQQRPEUHGHOHPHQWVLPPHQV$L[z SURSRUFLRQDXQJUDQQRPEUHGHJUDXVGHOOLEHUWDWLGHGHJHQHUDFLRQVDOHVHQHUJLHV GHOVHVWDWV(LTXHSRGHQDVVROLUHOVPHPEUHVGHOFROÂOHFWLX/~QLFOOLJDPTXHKLKDXQD YHJDGD HV FRQHL[ HO QRPEUH GH PROqFXOHV TXH FRPSRVHQ HO PHPEUH GHO FROÂOHFWLX FDQzQLFpVHOUHIHUHQWDODFRQGLFLyTXHODVXPDGHOHVHQHUJLHVGHWRWVHOVPHPEUHVKD GHVHUXQDFRQVWDQWSUHGHWHUPLQDGD (QHOPDUFGHODSDUWLFLyGHOHQHUJLDHVGHPRVWUDYHXUHH[HUFLFLTXHODIXQFLyGH SDUWLFLy PROHFXODU HV SRW REWHQLU FRP D SURGXFWH GH OHV DQRPHQDGHV IXQFLRQV GH SDUWLFLyWUDQVODFLRQDOURWDFLRQDOYLEUDFLRQDOHOHFWUzQLFDLQXFOHDUTWUDQVTURWTYLETHOL TQXFOHVTXDOVGHQRWDUHPGHIRUPDDEUHXMDGDFRPTWTUTYTHLTQ$L[t QHYUW TTTTTT  ,, RQFDGDIXQFLyGHSDUWLFLyVXELQGH[DGDHVGHILQHL[GHIRUPDDQjORJDDODGHOHTXDFLy ,,SHUzIHQWLQWHUYHQLUFRPDSDUjPHWUHHQHUJqWLFQRPpVODFRQWULEXFLyGHOVHVWDWV TXjQWLFVG¶XQGHWHUPLQDWWLSXV([SOtFLWDPHQW   1R VHPSUH V¶HVSHFLILTXHQ WRWV DTXHVWV HVWDWV /D WULD GHSqQ GH TXLQ VLVWHPD HV YXOJXL GHVFULXUH 3HU H[HPSOH YHXUHP TXH SHU HVWXGLDU XQ JDV LGHDO PRQRDWzPLF IRUPDW SHU SDUWtFXOHVVHQVHHVWUXFWXUDLQWHUQDQRPpVFDOFRQVLGHUDUHOVHVWDWVWUDQVODFLRQDOV(QFDQYLHQ HVWXGLDU XQD PROqFXOD GLDWzPLFD D PpV D PpV MD FDO SUHQGUH HQ FRQVLGHUDFLy HOV HVWDWV YLEUDFLRQDOVURWDFLRQDOVLHYHQWXDOPHQWHOVHOHFWUzQLFVRILQVLWRWHOVQXFOHDUV © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyPROHFXODU       ¦¦¦ ¦¸ ¹ · ¨ © §HHHE H E [\] ] ] Q \ \ Q [ [ Q QQQ  WH  H   TQ Q  H   TH  H H H E ¦ H   T H E ¦Y Y Y  H - H  J   T--  -  - - U H E H E ¦¦   H   TJ  J Q H E ¦ ,, RQV¶KDIHW~VGHODQRWDFLyHPSUDGDDO¶DSqQGL[(HQGHQRWDUO¶H[SUHVVLyGHOHVHQHUJLHV GHOVHVWDWVGHODFDL[DTXjQWLFDWULGLPHQVLRQDO3HUDOWUDEDQGDHQHVFULXUHODIXQFLyGH SDUWLFLy URWDFLRQDO V¶KD IHW XQD VXPD VREUH HOV QLYHOOV HVSHFLILFDQW TXLQD pV OD GHJHQHUDFLyGHFDGDVFXQG¶HOOV  /D IXQFLy GH SDUWLFLy FDQzQLFD GHSqQ D SDUW GHO VLVWHPD HVWXGLDWLGHOQ~PHURGH SDUWtFXOHVGH ODWHPSHUDWXUD L GHO YROXP $TXHVWD GHSHQGqQFLD WDPEp O¶H[KLEHL[ OD IXQFLyGHSDUWLFLyPROHFXODUWRWLTXHWDOLFRPYHXUHPPpVHQGDYDQWQRPpVODIXQFLy GHSDUWLFLyWUDQVODFLRQDOpVODTXHGHSqQGHOYROXP          7T7T7T7T79T79T QHYUW    $UDpVXQERQPRPHQWSHUUHIOH[LRQDUVHJRQVWRWHOTXHKHPYLVWILQVDTXtFRPHO FRQHL[HPHQWGHOHVGLIHUHQWVIXQFLRQVGHSDUWLFLyGHILQLGHVD,,SHUPHWFDOFXODUOD IXQFLyGHSDUWLFLyPROHFXODULDTXHVWDODIXQFLyGHSDUWLFLyFDQzQLFD0pVHQGDYDQW YHXUHP FRP OD IXQFLy GH SDUWLFLy FDQzQLFD SHUPHW DYDOXDU OHV IXQFLRQV WHUPRGLQjPLTXHV(Q~OWLPDLQVWjQFDGRQFVHOFRQHL[HPHQWGHOHVIXQFLRQVGHSDUWLFLy WUDQVODFLRQDO URWDFLRQDO YLEUDFLRQDO  HQV SRUWD D SRGHU FDOFXODU OHV IXQFLRQV WHUPRGLQjPLTXHVLGHVHQYROXSDUQHDSOLFDFLRQV&DOGUjGRQFVWHQLUVHPSUHSUHVHQWHO VHJHQWHVTXHPD   &ROÂOHFWLX    p ^T[ WUYHQ` oT o4 o)XQFLRQVWHUPRGLQjPLTXHV LDSOLFDFLRQV  8QDYHJDGDVLJXHPFRQVFLHQWVGHODIXQFLRQDOLWDWGDTXHVWGLDJUDPDKDXUHPDVVROLWXQ GHOVREMHFWLXVEjVLFVGHOD7HUPRGLQjPLFD(VWDGtVWLFDDUULEDUDGHVFULXUHHOVVLVWHPHV PDFURVFzSLFV D WUDYpV GH OHV IXQFLRQV WHUPRGLQjPLTXHV L O¶HVWXGL G¶DOJXQHV DSOLFDFLRQVDSDUWLUGHOFRQHL[HPHQWGHOVSDUjPHWUHVtQWLPVTXjQWLFVGHODPDWqULD $TXHVWVSDUjPHWUHVVyQHOVTXHSHUPHWHQHOFjOFXOGHOHVGLIHUHQWVFRQWULEXFLRQVDOHV IXQFLRQV GH SDUWLFLy PROHFXODU L FDQzQLFD '¶DTXHVWD PDQHUD YHXUHP FRP OD 7HUPRGLQjPLFD(VWDGtVWLFDpVHOSRQWG¶XQLyHQWUHODWHRULDTXjQWLFDLODGHVFULSFLyGHOV IHQzPHQVPDFURVFzSLFV  $OD3DUW,G¶DTXHVWOOLEUHKHPHVWXGLDWHOOOLJDPTXHKLKDHQWUHHOFROÂOHFWLXLODIXQFLy 4ODYLDYHUWLFDOGHO¶HVTXHPDDQWHULRU(QDTXHVWD3DUW,,DSUHQGUHPDDYDOXDU4D © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyWUDQVODFLRQDO  ([HUFLFLVGHODVHFFLy,, 8QDPROqFXODGH+HVWUREDGLQVXQUHFLSLHQWPRQRGLPHQVLRQDOGHPGHORQJLWXG LHV PRXDXQDYHORFLWDWGH PVDTXHVWYDORUpVUHDOYHXUHODVHFFLy,,, 4XDQWYDOODVHYDHQHUJLDFLQqWLFD"4XLQpVHOQRPEUHTXjQWLFWUDQVODFLRQDODOTXHHVWj DVVRFLDGD" /DYHORFLWDWGHODPROqFXODLPSOLFDXQDFHUWDHQHUJLDFLQqWLFD(OVHXFjOFXOHQV SURSRUFLRQDXQYDORUGH   YP [ Q H  Â- ,JXDODQW OH[SUHVVLy GH OHQHUJLD FLQqWLFD DPE OD ,, REWHQLP OD UHODFLy K ;P  Q[ Y G¶RQHOYDORUGHOQRPEUHTXjQWLFWUDQVODFLRQDOpVQ[ Â 9HLHPGRQFVTXHSHOVVLVWHPHVGHGLPHQVLRQVPDFURVFzSLTXHVHOVQRPEUHV TXjQWLFVWUDQVODFLRQDOVDVVRFLDWVDOHVSDUWtFXOHVVyQPROWJUDQV &DOFXODUHOYDORUGHOSDUjPHWUHDGHO¶HTXDFLy,,SHUXQJDVFRQVWLWXwWSHU jWRPV G¶KHOL L TXH HV WURED D  R& GLQV XQ FLOLQGUH PROW SULP G¶ PHWUH G¶DOODUJDGD /HQXQFLDW SHUPHW DSOLFDU OHV HTXDFLRQV DVVRFLDGHV D XQ SUREOHPD PRQRGLPHQVLRQDO3UHQHPFRPDPDVVDGHO¶jWRPG¶KHOLP XPDTXHVyQ Â.J(OYDORUGHEpVN7 Â-LOODYRUVHOYDORUGHOSDUjPHWUH DHVIDLJXDODÂDGLPHQVLRQDO 7RWLUHFRUGDQWO¶DSSqQGL['KHPYLVWDTXtTXHHQVHUDTXHVWSDUjPHWUHDWDQW SHWLWHOSDVGHOVXPDWRULDODLQWHJUDOTXHV¶KDIHWHQHOGHVHQYROXSDPHQWWHzULF HVWjSOHQDPHQWMXVWLILFDW $YDOXDUODIXQFLyGHSDUWLFLyWUDQVODFLRQDOSHOVLVWHPDGXQDSDUWtFXODGHPDVVDP FRQWLQJXGDHQXQDFDL[DTXjQWLFDELGLPHQVLRQDOUHFWDQJXODUGHVXSHUItFLH6 ;Â< (O SURFHGLPHQW D VHJXLU pV HO PDWHL[ TXH OLQGLFDW HQ HO WH[W SHU REWHQLU OD IXQFLy GH SDUWLFLy WUDQVODFLRQDO SHU XQD FDL[D WULGLPHQVLRQDO 3DUWLQW GH OH[SUHVVLy ,, DTXHVWD WDPEp VDSOLFD D OD VHJRQD GLPHQVLyHVSDFLDOL V¶REWp © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD  // 6 ;< W T $TXtODIXQFLyGHSDUWLFLyWUDQVODFLRQDOpVHOTXRFLHQWHQWUHODVXSHUItFLH6LOD GHILQLGDFRPHOTXDGUDWGHODORQJLWXGGRQDWHUPDO  &RQVLGHUDU XQD SDUWtFXOD GH PDVVD P XELFDGD HQ XQ HVSDL QGLPHQVLRQDO GH GLPHQVLy;Â;ÂÂÂ;Q'RQDUXQDH[SUHVVLySHUODVHYDIXQFLyGHSDUWLFLyWUDQVODFLRQDO 6HJRQVHOVUHVXOWDWVGHOWH[WLGHO¶H[HUFLFLDQWHULRUV¶LQIHUHL[TXHODIXQFLyGH SDUWLFLyWUDQVODFLRQDOVHUj Q Q ;;; W T/   RQ DSDUHL[ HO YROXP QGLPHQVLRQDO L OD ORQJLWXG G¶RQD WHUPDO HOHYDGD D OD GLPHQVLyHQTHVWLy (QHOWH[WLHQH[HUFLFLVDQWHULRUVKHPDYDOXDWOHVIXQFLRQVGHSDUWLFLyWUDQVODFLRQDO GHODSDUWtFXODHQXQDFDL[DTXjQWLFDG¶XQDGRVLWUHVGLPHQVLRQV&RPHQWDUGHTXLQD PDQHUDVKDWLQJXWHQFRPSWHODSRVVLEOHGHJHQHUDFLyG¶HVWDWVHQHOPRPHQWGDYDOXDU ODIXQFLyGHSDUWLFLy eVLQWHUHVVDQWUHFRUGDUDTXtODVROXFLyGHOSUREOHPDGHO¶DSqQGL[((QHO PRPHQWGDYDOXDUODIXQFLyGHSDUWLFLyVKDIHWXQDVXPDVREUHHOVHVWDWVLQR VREUH HOV GLIHUHQWV QLYHOOV eV SHU DL[z TXH HQ DTXHVWD VHFFLy ,, PDL KD DSDUHJXWHOFRQFHSWHGHGHJHQHUDFLyHQHOWUDFWDPHQWPDWHPjWLF GHOWH[W/D VXPD VREUH HOV HVWDWV VKD HIHFWXDW HQ HO PRPHQW GLQWHJUDU GH IRUPD LQGHSHQGHQWUHVSHFWHDFDGDQRPEUHTXjQWLF(QDOWUHVSDUDXOHVVKDHIHFWXDWOD VXPD IHQW SUHQGUH D FDGD QRPEUH TXjQWLF WRWV HOV YDORUV SRVVLEOHVTXHSRW DVVROLU $L[z VKD IHW D WUDYpV GHOV  VXPDWRULV LQGHSHQGHQWV D ,, R HQ FRQVLGHUDUHOVOtPLWVG¶LQWHJUDFLyDH[SUHVVLRQVFRPOD,,,V¶KDIHWGH IRUPDLQGHSHQGHQWUHVSHFWHDOVDOWUHVQRPEUHVTXjQWLFVOHVWUHVLQWHJUDOVGHO WLSXV,,V¶KDQDYDOXDWSHUVHSDUDWWUDFWDQWOHVYDULDEOHVGHLQWHJUDFLyFRPD LQGHSHQGHQWV $ODVHFFLy,,,HVIDXQWUDFWDPHQWGHODGHJHQHUDFLyDOHVFDL[HVTXjQWLTXHV GHGRVLWUHVGLPHQVLRQV 'HGXLUODIXQFLyGHSDUWLFLyWUDQVODFLRQDOG¶XQDSDUWtFXODTXH HV WURED HQ XQ FRQWHQLGRUF~ELFGDUHVWD/)HUQHODYDOXDFLyHIHFWXDQWXQUHFRUUHJXWDWUDYpVGHWRWV HOVYDORUVGHOVQRPEUHVTXjQWLFVPLWMDQoDQWXQDLQWHJUDFLyHQOHVWUHVGLPHQVLRQVGH © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyWUDQVODFLRQDO  O¶HVSDL L HPSUDQW HO VLVWHPD GH FRRUGHQDGHV HVIqULTXHV (V FRQHL[ HO YDORU GH OD LQWHJUDOVHJHQW          D D[ G[H[ S f ³ 3HOFDVGHOUHFLSLHQWF~ELFODIXQFLyGHSDUWLFLyWUDQVODFLRQDOpV  H TQ  Q  Q P/ K Q Q Q W ]\[ ]\[      E fff ¦¦¦  6KDWUHWFRPDIDFWRUFRP~HOYDORUQXPqULFGHOTXDGUDWGHODUHVWDGHOFXE/ $L[z SHUPHW UHHVFULXUH DTXHVW VXPDWRUL FRP XQD LQWHJUDO HQ YDULDEOHV HVIqULTXHVSHUTXqHVSRWVXEVWLWXLUODVXPDGHOVTXDGUDWVGHOVQRPEUHVTXjQWLFV SHUXQUDGLUWDPEpHOHYDWDOTXDGUDW  ]\[ QQQ U  LOODYRUV TIT E fSS ³³³ GGGU U  H  TU  P/ K WVLQ           +HPFRQVLGHUDWHOGLIHUHQFLDOGHYROXPHQFRRUGHQDGHVHVIqULTXHVLXQIDFWRU GHSHUTXqODLQWHJUDFLyQRPpVVKDGHIHUHQXQVRORFWDQWHOSULPHUHOTXDO HVWjDVVRFLDWDOIHWTXHHOVWUHVQRPEUHVTXjQWLFVVyQVHPSUHSRVLWLXV$TXHVW DVSHFWHWDPEpVKDXULDWUDFWDWFRUUHFWDPHQWVLHOVOtPLWVGLQWHJUDFLyKDJXHVVLQ HVWDW GH  D S SHU DPEGyV DQJOHV /D LQWHJUDFLy GH OHV SDUWV DQJXODUV pV LPPHGLDWD GU U  H  TU  P/ K W        E f ³ S  $UDQRPpVFDOXWLOLW]DUHOYDORUGHODLQWHJUDOTXHHVSURSRUFLRQDDOHQXQFLDW  / S ¸ ¸ ¸ ¸ ¸ ¹ · ¨ ¨ ¨ ¨ ¨ © § ¸ ¸ ¹ · ¨ ¨ © §E SS                /  PN7 K /   P/ K   TW © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD RQVKDVXEVWLWXwWESHUN7(OUHVXOWDWpVHOFRUUHVSRQHQWDXQDFDL[DF~ELFD $SUHFLHPTXHHOYROXP9GHOSDUDOÂOHOHStSHGHUHFWHTXHDSDUHL[DOHTXDFLy ,,KDHVWDWVXEVWLWXwWSHOYROXPGHOFXE/ &DOFXODUHOYDORUGHODIXQFLyGHSDUWLFLyWUDQVODFLRQDOGHODPROqFXOD+FRQILQDGD GLQVXQUHFLSLHQWGHFPDR&)HUHOPDWHL[DXQDWHPSHUDWXUDG.5HSHWLUHOV FjOFXOVSHUODPROqFXODGH2 (O SURFHGLPHQW PpV VHQ]LOO FRQVLVWHL[ HQ DYDOXDU SULPHU OD ORQJLWXG GRQD WHUPDO3UHQGUHPFRPDPDVVDGHO+P XPDLHQVHUN7 E Â- GH,,HQUHVXOWD/ ÂP SP9HLHPTXHHOYROXPWHUPDO pVPROWSHWLW/ ÂP 8WLOLW]DQW,,pVLPPHGLDWREWHQLUHOYDORUTW Â$TXHVWUHVXOWDWpV XQ LQGLFDGRU GHO GLIHUHQW RUGUH GH PDJQLWXG TXH SUHVHQWD HOV YROXP PDFURVFzSLFGHOH[SHULPHQWHQUHODFLyDOYROXPWHUPDO/ 4XDQ OD WHPSHUDWXUD pV GH  . OODYRUV / ÂP  SP L TW Â8QYDORUWDPEpH[WUHPDGDPHQWDOWDGHVSLWGHODWHPSHUDWXUD WDQEDL[D(QHOVSURSHUVFDStWROVHVYHXUjTXHHOVDOWUHVWLSXVGHIXQFLRQVGH SDUWLFLy URWDFLRQDOV YLEUDFLRQDOV  PDL DVVROHL[HQ YDORUV QXPqULFV WDQ HOHYDWV (OVUHVXOWDWVSHUOD PROqFXODGH 2VyQ/ SPLTW ÂDR& PHQWUHTXHD.V¶REWp/ SPLTW Â &DOFXODUHOYDORUQXPqULFGHODIXQFLyGHSDUWLFLyWUDQVODFLRQDOGXQjWRPGKLGURJHQ DR&FRQWLQJXWHQXQUHFLSLHQWGHOLWUH /D UHVROXFLy pV LPPHGLDWD DSOLFDQW OD IyUPXOD GH OD IXQFLy GH SDUWLFLy (O UHVXOWDWpVTW Â6LVXWLOLW]DGLUHFWDPHQWODIyUPXODH[SOtFLWD,,FDO WHQLU FXUD DOKRUD GH IHU OHV PDQLSXODFLRQV QXPqULTXHV 8QD FDOFXODGRUD FLHQWtILFDFRQYHQFLRQDOQRVHPSUHSHUPHWUjIHUHOFjOFXOGLUHFWHVLQRHVWpOD SUHFDXFLy GH FRQVLGHUDU HOV WHUPHV HQ XQ RUGUH HVFDLHQW R GDJUXSDU FRQYHQLHQWPHQWOHVSRWqQFLHVGH&DODQDUHQFRPSWHHVSHFLDOPHQW HQ HO PRPHQWG¶DYDOXDUHOWHUPHK &DOFXODUHOYDORUGHODIXQFLyGHSDUWLFLyWUDQVODFLRQDOGHODPROqFXODGH+%UDR& FRQWLQJXGD HQ XQ UHFLSLHQW GH GP $SURILWDU HO UHVXOWDW REWLQJXW HQ HO SUREOHPD DQWHULRU © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyWUDQVODFLRQDO  6LLQVSHFFLRQHPODIyUPXODGHODIXQFLyGHSDUWLFLy,,YHLHPTXHUHVSHFWD HOFjOFXODQWHULRUQRPpVFDOGUjDIHJLUXQIDFWRUPXOWLSOLFDWLXLJXDODODPDVVD HQ XPD GHO +%U HOHYDW D  R VLD   (O UHVXOWDW GHPDQDW pV TW Â &DOFXODUHOYDORUGHOORJDULWPHQDWXUDOGHODIXQFLyGHSDUWLFLyFDQzQLFDSHUXQPRO GHJDVLGHDO  FRQVWLWXwW SHU SDUWtFXOHV SXQWXDOV VHQVH HVWUXFWXUD LQWHUQD L GH PDVVD P .JLTXHHVWUREDDR&RFXSDQWXQYROXPGHOLWUH 3UHQHQWORJDULWPHVDO¶H[SUHVVLy,,LFRQVLGHUDQW,,V¶REWp  111T11T14 WW   OQOQOQOQOQ RQKHPDSOLFDWODSUR[LPDFLyG6WLUOLQJ2SHUDQW   1 HT 1H1T11T14 W WW OQOQOQOQOQOQOQ   LOODYRUV      OQOQ 1K PN7H9 14 S  (QHOFDVGHGLVSRVDUGHPROGHSDUWtFXOHVFDOVXEVWLWXLU1SHU1$LMXQWDPHQW DPEHOVDOWUHVYDORUVQXPqULFVGHO¶HQXQFLDWHVWUREDTXH OQOQ $ 14 DPE OD TXDO FRVD OQ4 Â $L[z LQGLFD TXH HO YDORU QXPqULF GH 4pV LPPHQV'¶DTXHVWVUHVXOWDWVSDUFLDOVHQGHGXwPTXHHOYDORUQXPqULFGHOD IXQFLyGHSDUWLFLyFDQzQLFDpV  $ $ $1 1 1 4   |  (VWUDFWDGXQQ~PHURTXHWpXQVPROVGH[LIUHV  +HPYLVWTXHHOQRPEUHG¶HVWDWVWUDQVODFLRQDOVSHUSDUWtFXODpVPROWJUDQ$WqVTXHHOVHVWDWV G¶XQVLVWHPDPDFURVFzSLFHVFDOFXOHQSHUFRPELQDFLyGHOVGHOHVSDUWtFXOHVFRQVWLWXHQWVHO QRPEUHG¶HVWDWVSHUXQPROGHJDVLGHDOpVLPPHQVWDOLFRPHVYHXUjHQREWHQLUHOUHVXOWDW QXPqULFG¶DTXHVWSUREOHPD © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD /DIXQFLyGHSDUWLFLyFOjVVLFDSHUDXQVLVWHPDGHVFULWSHUXQKDPLOWRQLjTXHGHSqQ GH 1 FRRUGHQDGHV FRQWtQXHV GH SRVLFLy L GH PRPHQW +TT«T1SS«S1 VHVFULXFRP  ³³ ³  11 N7 SSSTTT+ 1GSGSGSGTGTGTH K T 11      RQHOWHUPHK1SURYRFDTXHHOYDORUGHTVLJXLDGLPHQVLRQDO'HPRVWUDUTXHSHUD XQDSDUWtFXODGHPDVVDPGHVFULWDSHOKDPLOWRQLjFOjVVLF       ]\[]\[]\[ SSS P SSS+SSS]\[+   ODIXQFLyGHSDUWLFLyFOjVVLFDpVODPDWHL[DTXHODWUDQVODFLRQDOREWLQJXGDDPEFjOFXOV IHWVD QLYHOOTXjQWLF(OVGRVUHVXOWDWVKDQGHFRLQFLGLU SHUTXq GH IHW OD IXQFLyGH SDUWLFLy pV ~QLFD HQ OD VHYD GHILQLFLy SRGHQ FDQYLDU OHV PDQHUHV GH[SUHVVDUOD TXjQWLFDPHQWRFOjVVLFDPHQWSHUzHOVUHVXOWDWVREWLQJXWVVHPSUHVHUDQHOVPDWHL[RV VHPSUHLTXDQOHVDSUR[LPDFLRQVVXEMDFHQWVHQODQRWDFLyVLJXLQWDPEpOHVPDWHL[HV (VSRWHPSUDUHOVHJHQWUHVXOWDWLQWHJUDO       fS ³QQ D[Q D  Q  G[ H[  3HO FDV WULGLPHQVLRQDO 1 LDSOLFDQWODGHILQLFLyLQWHJUDOGHODIXQFLyTGH O¶HQXQFLDWV¶REWp   ^` ³³³³³³ ³³ ³ ° ¿ ° ¾ ½ ° ¯ ° ®     G]G\G[GSGSGSH K GSGSGSG]G\G[H K T ]\[ PN7 SSS ]\[ N7 SSS P ]\[ ]\[           /DLQWHJUDFLyHQOHVFRRUGHQDGHVGHSRVLFLyUHWRUQDHOYROXP9GHOVLVWHPDL DL[t  $WqVTXHODIXQFLyH[SRQHQFLDOTXHV¶LQWHJUDQRWpXQLWDWVOHVXQLWDWVGHODLQWHJUDOSURYHQHQ GHOSURGXFWHGHOHVXQLWDWVGHSRVLFLyLPRPHQWGHOVGLIHUHQFLDOV(VWUDFWDG¶XQLWDWVG¶DFFLy OHVPDWHL[HVTXHWpODFRQVWDQWK3HUDPpVLQIRUPDFLyYHXUHODVHFFLy,, © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyWUDQVODFLRQDO   ³ ]\[ PN7 SSS GSGSGSH K 9 T ]\[     'HQRXHIHFWXDUHPODLQWHJUDFLyHQFRRUGHQDGHVHVIqULTXHVDSDUWLUGXQDQRYD YDULDEOH  ]\[ SSSS   &DGDYDULDEOHGHPRPHQWS[S\RS]HVWjGHILQLGDHQHOUDQJffSHUTXq DTXHVWHVVyQHOSURGXFWHG¶XQDPDVVDVHPSUHSRVLWLYDSHUXQDYHORFLWDWDPE HOVHXVLJQH/ODYRUVODYDULDEOHSTXHV¶DFDEDGHGHILQLUSUHVHQWDXQLQWHUYDO GHYDULDFLyGHDfLHOVDQJOHVHVIqULFVWDPEpV¶LQWHJUHQHQWRWO¶HVSDLGH GHILQLFLyKDELWXDO,QWHJUDQWHQDTXHVWQRXVLVWHPDGHFRRUGHQDGHVHVFULYLP ³³³³ f fS S S TMT             VLQ GSSH K 9 GSGGSH K 9 TPN7 S PN7 S  8WLOLW]DQW OD LQWHJUDO GRQDGD DO ILQDO GH O¶HQXQFLDW SHU Q  L D PN7 HV FDOFXOD          PN7 K 9 PN7 K 9 TS SS  TXHpVHOPDWHL[UHVXOWDWREWLQJXWD,,  &RQVLGHUDU HO JDV LGHDO IRUPDW SHU jWRPV SDUWtFXOHV G¶KHOL (V SRW DSOLFDU O¶HVWDGtVWLFD GH 0D[ZHOO%ROW]PDQQ TXDQ DTXHVW JDV HV WURED D VHYD WHPSHUDWXUD QRUPDOG¶HEXOOLFLyGH."/¶KHOLpVHOJDVQREOHPpVOOHXJHUWpXQDPDVVDDWzPLFD GHXPDLHQDTXHVWHVFRQGLFLRQVWpXQYROXPPRODUGHÂP4XqSRGHP GLUVLV¶DJXPHQWDODWHPSHUDWXUDRHVFRQVLGHUDXQJDVPpVSHVDWTXHO¶KHOL" $SDUWLUGH,,V¶REWpT Â$TXHVWYDORUpVUHODWLYDPHQWEDL[(Q UHODFLyDOFRPHQWDULIHWDODVHFFLy,,HQDTXHVWFDVHOTXRFLHQW | $ 1 T 1 T LQRHVSRWFRQVLGHUDUTXHHVGLVSRVLGHPROWVPpVHVWDWVTXHjWRPV 3HU HVWXGLDU HO JDV +HOL D EDL[HV WHPSHUDWXUHV L D SUHVVLRQV PRGHUDGHV FDO DSOLFDUDOJXQDGHOHVHVWDGtVWLTXHVTXjQWLTXHVFRPHQWDGHVDODVHFFLy, © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD (O TXRFLHQW T1 DXJPHQWD DPE OD WHPSHUDWXUD 3HU WDQW HV SRGUj DSOLFDU O¶HVWDGtVWLFDFOjVVLFDVLV¶HVFDOIDODPRVWUD$OKRUDHOTXRFLHQWWDPEpDXJPHQWD DPEODPDVVDGHODSDUWtFXOD (OFULVWDOOGHVRGLSHUWDQ\DOVLVWHPDF~ELFFRPSDFWHLFRQWpGRVjWRPVSHUFHOÂOD XQLWDWOD TXDO Wp XQ YROXP GHÂP &DOFXODUD.OD UHODFLyGHGLOXFLy HVWDGtVWLFDFRQVLGHUDQWTXHFDGDjWRPDSRUWDXQHOHFWUyHQHOPDUFGHODWHRULDGHOJDV G¶HOHFWURQV $ SDUWLUGH,, V¶REWp T1 Â $TXHVW YDORU REOLJD D HPSUDU XQD HVWDGtVWLFDTXjQWLFD © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyURWDFLRQDO  ,,/DIXQFLyGHSDUWLFLyURWDFLRQDO (QDTXHVWDVHFFLyYHXUHPFRPV¶HIHFWXDHOFjOFXOGHODIXQFLyGHSDUWLFLyURWDFLRQDO PROHFXODU(OVSUREOHPHVLDSOLFDFLRQVTXHFRQVLGHUDUHPSUHQHQFRPDVLVWHPHVPRGHO DOHVPROqFXOHVGLDWzPLTXHV &DVGHOHVPROqFXOHVOLQHDOV /DIXQFLy GHSDUWLFLy GXQ URWRU OLQHDO VREWp D SDUWLU GH O¶HVSHFWUH GHOV VHXV QLYHOOV HQHUJqWLFV $TXHVWHV GDGHV SRGHQ SURYHQLU GH[SHULPHQWV HVSHFWURVFzSLFV SHUz DTXt HPSUDUHP XQD DSUR[LPDFLy WHzULFD VHQ]LOOD L SURX DFXUDGD SHOV QRVWUHV SURSzVLWV /HQHUJLDGHFDGDHVWDWTXjQWLFURWDFLRQDOLODVHYDGHJHQHUDFLypVDSqQGL[(  ^`  - J --%KF - - H-  RQKpVODFRQVWDQWGH3ODQFNFODYHORFLWDWGHODOOXPLODFRQVWDQWURWDFLRQDO %VKD H[SUHVVDWHQQRPEUHVGRQD(OVQ~PHURVTXjQWLFV-SUHQHQYDORUVHQWHUVQRQHJDWLXV /DFRQVWDQWURWDFLRQDOpVIXQFLyGHOPRPHQWGLQqUFLDPROHFXODU, ,F K % S ,, 3HUXQDPROqFXODGLDWzPLFDVLHOPRPHQWG¶LQqUFLD,HVFDOFXODUHVSHFWHOHL[TXHSDVVD SHUHOFHQWUHGHPDVVHVPROHFXODULpVSHUSHQGLFXODUDO¶LQWHUQXFOHDUV¶REWp , P5 HVVHQWPODPDVVDUHGXwGDPROHFXODUL5ODGLVWjQFLDLQWHUQXFOHDU (OFjOFXOGHODIXQFLyGHSDUWLFLyURWDFLRQDOHVIDHTXLYDOHQWDWUREDUHOYDORUQXPqULFGH ODVqULH   1R FRQVLGHUDUHP O¶HIHFWH GH O¶DFREODPHQW URWDFLyYLEUDFLy 7DPSRF FRQVLGHUDUHP HO WUDFWDPHQWGHODGLVWRUFLyFHQWUtIXJD(QDTXHVWFRQWH[WXQDSULPHUDFRUUHFFLyDO¶HVSHFWUH HQHUJqWLF GHO URWRU UtJLG HV EDVD HQ OD LQWURGXFFLy GH O¶DQRPHQDGD FRQVWDQW GH GLVWRUFLy FHQWUtIXJD'-$TXHVWDFRQVWDQWGHSqQGHFDGDPROqFXODRURWRU6LD'-VHOLDWULEXHL[HQ XQLWDWV G¶HQHUJLD SHU PROqFXOD O¶HQHUJLD GHOV HVWDWV TXjQWLFV URWDFLRQDOV V¶HVFULX FRP   >@    H --'--%KF -- /DLQFOXVLyG¶DTXHVWIDFWRUQRPpVDIHFWDDOYDORUGHOD IXQFLyGHSDUWLFLyURWDFLRQDOHQXQDWHPSHUDWXUHVSHUVRWDGH. © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD   H - H  J  TN7 --%KF - N7 - - U -    f H f¦¦ ,, 'HILQLPOD7HPSHUDWXUDFDUDFWHUtVWLFDURWDFLRQDOFRP N %KF U 4  ,, (QIXQFLyGHODWHPSHUDWXUDFDUDFWHUtVWLFDGLVSRVHPGHODIyUPXODPpVSUjFWLFDTXH VHJXHL[   H - T-- 7 - U U   4 f ¦  ,, /DWHPSHUDWXUDFDUDFWHUtVWLFDGHURWDFLypVODTXHGyQDODSDXWD SHU SRGHU GLU VL OD WHPSHUDWXUD7DODTXHHVWUREDHOVLVWHPDHQHVWXGLHVSRWFRQVLGHUDUDOWDREDL[D(V SDUODGHWHPSHUDWXUHVDOWHVTXDQ7!!4UPHQWUHTXHHQHOVDOWUHVFDVRVHVFRQVLGHUDTXH ODWHPSHUDWXUDpVEDL[DRPRGHUDGD0pVHQGDYDQWGHILQLUHPXQSDUjPHWUHVLPLODUD DTXHVWDWHPSHUDWXUDFDUDFWHUtVWLFDSHOFDVYLEUDFLRQDO/D7DXOD,,SUHVHQWDYDORUV GHFRQVWDQWVURWDFLRQDOVGDOJXQHVPROqFXOHVLHVSqFLHVTXtPLTXHVOLQHDOVDL[tFRPOHV VHYHVWHPSHUDWXUHVURWDFLRQDOVFDUDFWHUtVWLTXHV 7DOLFRPHVYHXDOD7DXOD,,HOVYDORUVGH4UQRUPDOPHQWVyQIRUoDSHWLWVVREUHWRW SHUDPROqFXOHVJUDQVH[HUFLFL$L[zYROGLUTXHDWHPSHUDWXUHVRUGLQjULHVLVHJRQV HOVFRPHQWDULVIHWVDO¶DSqQGL['HVSRWFRQVLGHUDUTXHHOVQLYHOOVHQHUJqWLFVVyQPROW SURSHUVLTXHSHUPHWHQDSUR[LPDUHOVXPDWRULGHODIXQFLyGHSDUWLFLy,,DXQD LQWHJUDO )HQW HO FDQYL GH YDULDEOH  \ -- OODYRUV  G\ -G-LHQGHGXwP O¶DQRPHQDGDDSUR[LPDFLyFOjVVLFDGHODIXQFLyGHSDUWLFLyURWDFLRQDO f 4  4  f » ¼ º « ¬ ª 4  ³  H 7 G\ H  T\ 7 U \ 7 F U UU RVLD %KF N77 T U F U 4  (PSUHPHOVXSHUtQGH[FSHULQGLFDUTXHHVWUDFWDG¶XQDH[SUHVVLyFOjVVLFD   (O IDFWRU TXH UHODFLRQD XQ Q~PHUR G¶RQD H[SUHVVDW HQ FPDPEXQDWHPSHUDWXUD FDUDFWHUtVWLFDpVKFN FP. © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyURWDFLRQDO     '¶DTXHVWV UHVXOWDWV LQIHULP TXH HQ DXJPHQWDU OD PDVVD GH OD SDUWtFXOD HO VLVWHPDDGRSWDXQWDUDQQjHQFDUDPpVFOjVVLFLODWHPSHUDWXUDFDUDFWHUtVWLFD WHQGHL[PpVFDSD]HUR/DWHPSHUDWXUDKDELWXDOGHWUHEDOOHQHOODERUDWRULpV PROWJUDQHQUHODFLyDHOOD$L[zMXVWLILFDTXHHOVHVWDWVTXjQWLFVWUDQVODFLRQDOV HVSXJLQWUDFWDUFRPXQFRQWLQXLTXHODIXQFLyGHSDUWLFLyHVFDOFXOLVHQVHHUURU HIHFWXDQWXQDLQWHJUDFLy  3HUDOWUDEDQGDTXDQHVFRQVLGHUHQVLVWHPHVGHGLPHQVLRQVPLFURVFzSLTXHV OD WHPSHUDWXUD WUDQVODFLRQDO FDUDFWHUtVWLFD SRW DUULEDU D WHQLU XQ YDORU DSUHFLDEOHMDHVYHXD OD GHILQLFLy,,TXHHQGLVPLQXLUHOYROXPHO YDORUGH4WFUHL[3RGHPFRQVLGHUDUHOFDVGHOHVWXGLGXQjWRPGKLGURJHQ TXHHVWUREDGLQVXQDFDYLWDWRFOXVWHUPROHFXODUF~ELFGHcGHFRVWDW YROXP GH P DTXHVW VLVWHPD DUD Wp DVVRFLDGD XQD WHPSHUDWXUD FDUDFWHUtVWLFDWUDQVODFLRQDOLJXDOD.LODIXQFLyGHSDUWLFLyFRUUHVSRQHQW WpXQYDORULJXDODTW $TXHVWUHVXOWDWQXPqULFLQGLFDTXHSHUDTXHVW VLVWHPDKLKDSRFVHVWDWVWUDQVODFLRQDOVDVVROLEOHVeVQRUPDOTXHDL[zVLJXL DL[t VL HQV PRYHP GLQV DTXHVWHV PDJQLWXGV ItVLTXHV HQV KHP HQ HO PyQ TXjQWLF L Q¶H[SHULPHQWHP HOV HIHFWHV (O YDORU QXPqULF GH OD IXQFLy GH SDUWLFLy HQV LQGLFD TXH HQ DTXHVWHV FLUFXPVWjQFLHV OD SREODFLy GH O¶HVWDW EDVDOWUDQVODFLRQDOpVGHO¶RUGUHG¶XQDPLOORQqVVLPDSDUWGHODSREODFLyWRWDO UHYLVDUODLQWHUSUHWDFLyGH,,DODVHFFLyFRUUHVSRQHQW   3HUODPROqFXODGH&2ODWHPSHUDWXUDFDUDFWHUtVWLFDURWDFLRQDOpVGH4U . &DOFXODUDR&WRWFRQVLGHUDQWODXQURWRUUtJLG  D (OYDORUFOjVVLFGHODIXQFLyGHSDUWLFLyURWDFLRQDO E (OYDORUH[DFWHLGHDOGHODIXQFLyGHSDUWLFLyURWDFLRQDO F /HUURUTXHHVFRPHWHQHOSULPHUFDV G /DIUDFFLyGHPROqFXOHVTXHRFXSDFDGDQLYHOOLHVWDW H 4XLQpVHOQLYHOOPpVSREODWDDTXHVWDWHPSHUDWXUD   D(OFjOFXOGHODIXQFLyGHSDUWLFLyFOjVVLFDpVLPPHGLDW     4 U F U 7 T     E(OYDORUH[DFWHGHODIXQFLyGHSDUWLFLyVREWpHPSUDQWODUHFHSWD,,$OD 7DXOD,,seVXPDULW]HQHOVUHVXOWDWV/DVHYDFRQIHFFLyVKDVLPSOLILFDWHQ XWLOLW]DU XQ FDOFXODGRU SURJUDPDEOH $ OD WDXOD FDGD WHUPH D DIHJLU DO VXPDWRULpV © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD         1RPEUH TXjQWLF - D- 6-                                                                                                                 7DXOD ,, 5HVXOWDWV SDUFLDOV GH O¶DSDUWDWEGHOSUREOHPD     - 3REODFLy SHU1LYHOO  3REODFLy SHUHVWDW                                                                                                                  7DXOD ,, 5HVXOWDWV SDUFLDOV GH O¶DSDUWDWGGHOSUREOHPD  © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyURWDFLRQDO          H --D -- 7 U  4 ,,  LOHVVXPHVSDUFLDOVHVGHILQHL[HQFRP    MD-6 - M ¦    'DTXHVWDPDQHUDODIXQFLyGHSDUWLFLypV   -6 TUfo OLP    6¶KDQFDOFXODWWHUPHVD-FRQVHFXWLXVLV¶KDQDQDWDGGLFLRQDQWILQVREWHQLU XQYDORUGH6-SUjFWLFDPHQWFRQVWDQW$TXHVWYDORUpVTU   F/HUURUFRPqVHQHOFjOFXO GHODIXQFLyGHSDUWLFLyFOjVVLFD pVQRPpVGXQ  $TXHVWHUURUpVSHWLWGHJXWDOIHWTXHODWHPSHUDWXUDFRQVLGHUDGDpV PROW VXSHULRU D OD WHPSHUDWXUD FDUDFWHUtVWLFD URWDFLRQDO (O TXRFLHQW HQWUH DTXHVWHV GXHV WHPSHUDWXUHV pV SUHFLVDPHQW LJXDO DO YDORU GH OD IXQFLy GH SDUWLFLyFOjVVLFDTXDQHOQ~PHURGHVLPHWULDpVLJXDODODXQLWDW  G/D IUDFFLy GH PROqFXOHV HQ HO QLYHOO-qVVLP OD SURSRUFLRQD HO YDORU GHOD SUREDELOLWDW GRFXSDFLy S-GHILQLGDD OD UHODFLy,$WqVTXHHQDTXHVW SUREOHPDODYDULDEOH1V¶KDVXEVWLWXwWSHUOD1HVFULYLP  T H  J 1 Q S U N7 - - - - H    RHOTXHpVHOPDWHL[   T -D S U -    3HU FDOFXODU O¶RFXSDFLy SHU FDGD HVWDW GHO QLYHOO -qVVLPVKDGHWHQLUHQ FRPSWHODGHJHQHUDFLyTXHKLKDHQHOQLYHOO   - S SHVWDW -    /D 7DXOD ,, PRVWUD HOV YDORUV GH ORFXSDFLy HQ SHUFHQWDWJHV GH FDGD QLYHOOLHVWDWUHVSHFWLX  H(OQLYHOOPpVSREODWpVHOTXHHVFRUUHVSRQDPE- YHXUHOD7DXOD,, (QFDQYLHVSRWDSUHFLDUTXHOHVWDWPpVRFXSDWpVHOEDVDOO~QLFTXHHVWURED © Els autors, 2004; © Edicions UPC, 2004  7HUPRGLQjPLFDHVWDGtVWLFD HQXQQLYHOOTXHQRWpGHJHQHUDFLy(OVHVWDWVGHPHQ\VHQHUJLDVHPSUHHVWDQ PpVSREODWVDL[zpVHOTXHHQVGLXGHIRUPDTXDQWLWDWLYDODGLVWULEXFLyGH %ROW]PDQQ /D GHJHQHUDFLy HQ HOV DOWUHV QLYHOOV SURYRFD TXH OD SREODFLy Pj[LPDGHQLYHOOHVWURELHQXQDOWUHTXHQRpVHOEDVDO                      1~PHURTXjQWLF-           7HUPHD- *UjILFD ,, (OV FHUFOHV LGHQWLILTXHQ HOV YDORUV GHOV WHUPHV D- FDOFXODWVHQHOVSUREOHPHVL6HVHQ\DODHOYDORUQRHQWHULJXDOD REWLQJXWHQFDOFXODU-PD[YHXUHHOSUREOHPD &RQVLGHUDUTXHDOH[SUHVVLy,,ODYDULDEOH-pV FRQWLQXD (Q DTXHVW VXSzVLW GHULYDU HO WHUPH -qVVLP UHVSHFWD D DTXHVWD YDULDEOH L GHPRVWUDU TXH HO QLYHOO URWDFLRQDOGHPj[LPDRFXSDFLyYHGRQDWSHUOH[SUHVVLy      PD[  ¸ ¸ ¹ · ¨ ¨ © § T - F U,, RQODIXQFLyGHSDUWLFLyURWDFLRQDOTXHDSDUHL[pVODFOjVVLFDSHUV 'HWHUPLQDUDPE DTXHVWDUHFHSWDTXLQpVHOQLYHOOPpVRFXSDWSHOFDVGHOSUREOHPDDQWHULRU 6LHVWpHQFRPSWHODGHILQLFLy,,LJXDODQWD]HURODGHULYDGDGH,,HV WURED        » ¼ º « ¬ ª  H  T - G- -GD T -- F U F U LHQVHUVHPSUHHOWHUPHH[SRQHQFLDOQRQXOHQUHVXOWD © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyURWDFLRQDO             T - F U   GRQHVSRWDwOODUHOYDORUGH-DVVRFLDWDOQLYHOOGHPj[LPDSREODFLyREWHQLQW VHHOUHVXOWDWTXHEXVFjYHP  *UjILFDPHQWHVFRPSURYDTXHHOYDORUzSWLPGH-HVFRUUHVSRQGUjVHPSUHDPE XQPj[LP$OKRUDpVIjFLOIHUHOFjOFXOLGHPRVWUDUTXHODVHJRQDGHULYDGDGHO WHUPHD-UHVSHFWDD-VHPSUHpVXQQ~PHURQHJDWLX'HL[HPSHUDOOHFWRUOD FRPSURYDFLyG¶DL[z  (QUHODFLyDOSUREOHPDDQWHULRULVHJRQVODIyUPXODTXHVDFDEDGHGHPRVWUDUHO QLYHOO PpV SREODW pV XQ GHOV GRV DPE QRPEUH TXjQWLF PpV SURSHU D -  $TXHVWQRPEUHTXjQWLFVHUjHORHOYHXUHODJUjILFD ,,(OUHVXOWDWQXPqULFLQGLFDTXHSRVVLEOHPHQWHOQLYHOOPpVSREODWpVHO TXHV¶LGHQWLILFDDPEHOYDORU- (VFRPSURYDTXHDL[zpVDL[tHQUHDOLWDWVLHV FRQVXOWDOD7DXOD,,GHOH[HUFLFLDQWHULRU   $YDOXDUODIXQFLyGHSDUWLFLyURWDFLRQDOGHODPROqFXODGH+&ODR&3HUDTXHVWD PROqFXODODFRQVWDQWURWDFLRQDOYDOFP  $PEHOFRQHL[HPHQWGHODFRQVWDQWURWDFLRQDOSRGHPFDOFXODUODWHPSHUDWXUD FDUDFWHUtVWLFDGHURWDFLy  4 N %KF U.   $L[t4U7 /DVXPDGHODVqULH,,GyQDHOYDORUTU 6XPDQW ILQV HO WHUPH - MD HV GLVSRVDGHOYDORUSDUFLDO6¶KD XWLOLW]DQW OD PDWHL[D QRWDFLy GH O¶H[HUFLFL  HQ IXQFLy GHOV WHUPHV D-LGHOHVVXPHV SDUFLDOV 6- (OV VHXV YDORUV HV WUREHQ D OD 7DXOD ,, /¶DSUR[LPDFLy FOjVVLFDSHUPHWFDOFXODUPROWUjSLGDPHQWTU F 74U V DPEXQHUURU GHO  (OSHUFHQWDWJHGHSREODFLyPpVDOWHOWLQGUjHOQLYHOOTXHSUHVHQWLHOYDORUPpV JUDQGHOWHUPHD-$TXHVWQLYHOOpVHOTXDUWYDORUGH-  L OD VHYD SUREDELOLWDWG¶RFXSDFLypV        T D S U  © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD    (QDOWUHVSDUDXOHVXQGHOHVPROqFXOHVHVWUREHQHQDTXHOOQLYHOO   -D- 6-                                Â   Â   Â   Â   Â   Â   Â   7DXOD ,, 5HVXOWDWV SDUFLDOV GHO SUREOHPD    /D IyUPXOD ,, GHPRVWUDGD D O¶H[HUFLFL DQWHULRU MD HQV GyQD XQD ERQD RULHQWDFLyGHOQLYHOOGHPj[LPDRFXSDFLy-PD[    (OVYDORUVHQHUJqWLFVGHOVSULPHUVHVWDWVURWDFLRQDOVGHODPROqFXODGH+&OV¶KDQ REWLQJXWG¶XQHVSHFWUHLHVSRGHQOOHJLUDOD7DXOD,,&DOFXODUHOYDORUGHODIXQFLy GHSDUWLFLyURWDFLRQDOSHUDTXHVWDPROqFXODDR&&RPSDUDUHOUHVXOWDWDPEHOFOjVVLF LO¶REWLQJXWDO¶H[HUFLFLDQWHULRU   1~PHURTXjQWLF-     H--      1~PHURTXjQWLF-     H--      1~PHURTXjQWLF-     H--        7DXOD,,9DORUVHQHUJqWLFVGHOVSULPHUVHVWDWVURWDFLRQDOVGHODPROqFXODGH+&O     © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyURWDFLRQDO     (Q DTXHVW FDV FDOGUj FRQVWUXLU XQD WDXOD FRPSOHWD RQ DSDUHJLQ HOV HOHPHQWV QHFHVVDULVSHUDYDOXDUODIXQFLyGHSDUWLFLy$TXHVWVVyQHOQRPEUHTXjQWLF-OD GHJHQHUDFLy J- -HOYDORUGHOWHUPHH[SRQHQFLDODGLPHQVLRQDOH-N7L ILQDOPHQWHOWHUPHVLVXPHVSDUFLDOVD-L6-GHILQLWVDOH[HUFLFLGDTXHVWD PDWHL[DVHFFLy$OD7DXOD,,HVPRVWUHQWRWHVDTXHVWHVGDGHV  (OYDORUGHODIXQFLyGHSDUWLFLyURWDFLRQDOpV3RGHPFRPSDUDUDTXHVW UHVXOWDW DPE HO YDORU  REWLQJXW D OH[HUFLFL DQWHULRU L HPSUDQW OD VqULH ,,(QDTXHVWFDVHOUHVXOWDWFOjVVLFTU F 74U pVPROWSURSHUDO TXHDTXtVDFDEDGREWHQLU  (OUHVXOWDW QXPqULFGHTXHKHPWUREDWDTXtV¶KDGHFRQVLGHUDUHOPpV FRUUHFWHGHOVTXHKHPFDOFXODWDWqVTXHV¶KDQXWLOLW]DWGDGHVH[SHULPHQWDOV HVSHFWURVFzSLTXHV (OV YDORUV H[SHULPHQWDOV GH OD 7DXOD ,, FRQWHQHQ GH IRUPD LPSOtFLWD GLYHUVHV FRUUHFFLRQV HQ HOV YDORUV QXPqULFV GH OHV HQHUJLHV GHOV QLYHOOV URWDFLRQDOV TXH VKDXULHQ GH FRQVLGHUDU VHPSUH D OD IyUPXOD ,,(QVUHIHULPSULQFLSDOPHQWDOIHWTXHODPROqFXODQRpVXQVzOLGUtJLGL TXHHOVWHUPHVGHGLVWRUFLyFHQWUtIXJDLG¶DFREODPHQWURWDFLyYLEUDFLyKLMXJXHQ HOVHXSDSHU     -J-H-N7D- 6-                                                                             7DXOD,,5HVXOWDWVSDUFLDOVGHO¶H[HUFLFL     &DOFXODUODIXQFLyGHSDUWLFLyURWDFLRQDOFOjVVLFDSHUDODPROqFXOD+%UVDEHQWTXH ODVHYDGLVWjQFLDLQWHUQXFOHDUpVGHSP © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD    $OHQXQFLDWQRV¶LQGLFDHOYDORUGHODFRQVWDQWURWDFLRQDO&DOGUjFDOFXODUOD VHJRQVOHTXDFLy,,(OPRPHQWGLQqUFLDGHO+%UpV, P5 ÂNJ P$L[tGH,,HVWUREDTXH % P FPDTXHVWYDORUpVHO TXH DSDUHL[ D OD 7DXOD ,, 'H ,, REWHQLP TU F   RQ KHP FRQVLGHUDWHOYDORUGHOQ~PHURGHVLPHWULDV )HQWDTXHVWHVRSHUDFLRQVGH IRUPD WDQ GHWDOODGD VKD XWLOLW]DW GXHV YHJDGHV HO YDORU GH OD YHORFLWDW GH OD OOXP$L[tLPSOtFLWDPHQWHOVVHXVYDORUVHVFDQFHOÂOHQ/DIyUPXODGLUHFWDTXH QRUHTXHUHL[O~VGDTXHVWDFRQVWDQWItVLFDHVSRWGHULYDUIjFLOPHQW     K ,N7 TF U S    +HPYLVWDOD7DXOD,,TXHHOVYDORUVGHODWHPSHUDWXUDFDUDFWHUtVWLFDURWDFLRQDO VyQ JHQHUDOPHQW SHWLWV 4XLQV HIHFWHV LPPHGLDWV Wp DL[z UHVSHFWH D OD RFXSDFLy HVWDGtVWLFDGHOVHVWDWVURWDFLRQDOV"&RPSRGHPLQWHUSUHWDUHOIHWTXHSHUPROqFXOHV OOHXJHUHVDTXHVWYDORUVLJXLPpVJUDQ"  (O IHW TXH OHV WHPSHUDWXUHV FDUDFWHUtVWLTXHV URWDFLRQDOV VLJXLQ GH O¶RUGUH G¶XQVSRFVNHOYLQVWpFRPDFRQVHTqQFLDLPPHGLDWDTXHMDDWHPSHUDWXUHV RUGLQjULHVGHWUHEDOOHQHOODERUDWRULODSREODFLyGHOVHVWDWVTXjQWLFVH[FLWDWV URWDFLRQDOVVLJXLLPSRUWDQW$TXHVWIHWV¶KDSRVDWGHPDQLIHVWHQDOJXQVGHOV SUREOHPHV TXH V¶KDQ UHVROW $L[z HV FRQVWDWD H[SHULPHQWDOPHQW HQ HOV HVSHFWUHV URWDFLRQDOV L GH URWDFLyYLEUDFLy PROHFXODUV DWqV TXH GLYHUVRV HVWDWV URWDFLRQDOV H[FLWDWV HVWDQ RFXSDWV TXDQWLWDWLYDPHQW HV GHWHFWHQ WUDQVLFLRQVHQWUHHOOV  8QD WHPSHUDWXUD FDUDFWHUtVWLFD URWDFLRQDO SHWLWD pV XQ LQGLFDGRU GXQ FRPSRUWDPHQWPpVFOjVVLF$L[zpVHOTXHV¶REVHUYDHQOHVPROqFXOHVJUDQV 3HUDTXHVWHVOHVDSUR[LPDFLRQVFOjVVLTXHVGRQDGHVHQHOWH[WVyQSOHQDPHQW DSOLFDEOHV(OVVHXVHVWDWVTXjQWLFVURWDFLRQDOVVyQSURSHUVHQWUHHOOVDOPHQ\V GHIRUPDHIHFWLYDHQWUHEDOODUDWHPSHUDWXUHVRUGLQjULHV$TXHVWHIHFWHpVWDQW PpVDFXVDWFRPPpVJUDQVLJXLODPROqFXOD3HUDOWUDEDQGDSRGHPGLUTXHOHV PROqFXOHVSHWLWHVSUHVHQWHQXQFRPSRUWDPHQW³PHQ\V´FOjVVLF(OVHXHVSHFWUH Wp FDUDFWHUtVWLTXHV PpV UHIRUoDGHV GH GLVFUHWLW]DFLy 3HU DTXHVWHV PROqFXOHV FDOGUjILODUPpVSULPDOKRUDG¶HIHFWXDUHOVFjOFXOVGHODIXQFLyGHSDUWLFLy8Q FDVH[WUHPHOWUREHPHQODPROqFXODGH+  $ OD VHFFLy DQWHULRU KHP YLVW TXH OD WUDQVODFLy PROHFXODU HV SRW LQWHUSUHWDU VHPSUH GH IRUPD FOjVVLFD $ OD SURSHUD VHFFLy YHXUHP TXH OHV YLEUDFLRQV PROHFXODUV SUHVHQWHQ DFXVDGHV FDUDFWHUtVWLTXHV GH GLVFUHWLW]DFLy TXjQWLFD (O FDVURWDFLRQDOHOSRGHPLQWHUSUHWDUFRPXQFDVHQWUHPLJ(VGyQDHOIHWTXHOD YDULDFLyGHPLGDLPDVVDGHOHVPROqFXOHVYDULDFLRQVHQHOPRPHQWG¶LQqUFLD HQV SHUPHW VDOWDU G¶XQ FRPSRUWDPHQW D XQ DOWUH 'H WRWHV PDQHUHV DTXHVWD LQWHUSUHWDFLyODIHPDSDUWLUGHOHVHLQHVPDWHPjWLTXHVTXHHPSUHPSDVVHPGH VXPDWRULV D LQWHJUDOV SHUz ItVLFDPHQW OD URWDFLy PROHFXODU pV XQ IHQRPHQ © Els autors, 2004; © Edicions UPC, 2004 (%HVDO~/DIXQFLyGHSDUWLFLyURWDFLRQDO  TXjQWLF&DOGUjWHQLUPROWSUHVHQWDL[zDODVHFFLy,,RQHVIDXQWUDFWDPHQWGH OHVPROqFXOHVDQRPHQDGHVRUWRLSDUD )LQDOPHQWFDODFODULUTXHHQDTXHVWWH[WSUHQHPHQFRQVLGHUDFLyPROqFXOHVGH PLGDSHWLWD8QDSHWLWDUHIOH[LyHQVIDYHXUHTXHDTXHVWHVPROqFXOHVVLEpVyQ LPSRUWDQWVVyQXQDPLQRULD $XQDGHWHUPLQDGDWHPSHUDWXUDLSHUDXQDPROqFXODGLDWzPLFDHOVSHUFHQWDWJHV G¶RFXSDFLy DSUR[LPDWV GHOV GRV SULPHUV QLYHOOV URWDFLRQDOV VyQ  L  UHVSHFWLYDPHQW D$WULEXLUXQYDORUQXPqULFDODIXQFLyGHSDUWLFLyURWDFLRQDOSHUDTXHVWD PROqFXODDDTXHVWDWHPSHUDWXUD E'HWHUPLQDUVLODWHPSHUDWXUDHQTHVWLyHVSRWFRQVLGHUDUDOWDREDL[D F,QGLFDUTXLQDpVODSREODFLyGHOVDOWUHVQLYHOOVURWDFLRQDOV D3RGHPFRQVLGHUDUO¶H[SUHVVLyGHODSUREDELOLWDWG¶RFXSDFLyGHOQLYHOO URWDFLRQDODVVRFLDWDOQ~PHURTXjQWLF-   U -- 7 -T HS U   T   'HODGDGDGHOSULPHUQLYHOO- VLSUHQHPODVHYDHQHUJLDFRPDRULJHQ GHPHVXUDREWHQLP      u UU TT H S G¶RQ TU  $TXHVW UHVXOWDW HV SRW REWHQLU HQ UHFRUGDU OD VHFFLy ,, L O¶HTXDFLy,, E$SOLFDQWHOPDWHL[WLSXVG¶H[SUHVVLySHUzDUDFRQVLGHUDQWHOVHJRQQLYHOO - LHPSUDQWHOYDORUGHTUTXHDFDEHPG¶REWHQLUHQUHVXOWD           u T  T 77 UU HH S G¶RQV¶DwOODTXH © Els autors, 2004; © Edicions UPC, 2004 7HUPRGLQjPLFDHVWDGtVWLFD      T 7 U H OQ  T 7 U  L 7 U T R U 7T      /DWHPSHUDWXUDGHWUHEDOOQRHVSRWFRQVLGHUDUH[FHVVLYDPHQWDOWDQRPpV pVXQDYHJDGDLPLWMDVXSHULRUDODWHPSHUDWXUDFDUDFWHUtVWLFDURWDFLRQDO  F(QHOVDSDUWDWVSUHYLVKHPYLVWTXH  T 7 ULTXHTU  $L[t OHVSREODFLRQVGHFDGDQLYHOOGRQDGHVHQSHUFHQWDWJHHVFDOFXOHQFRP               T   -- U -- 7 -HT HS U     $ OD7DXOD ,,TXH VHJXHL[ V¶LQGLTXHQ HOVYDORUVREWLQJXWV SHOVSULPHUV QLYHOOV   -      S-       7DXOD,,5HVXOWDWVSDUFLDOVGHO¶H[HUFLFL     7UREDUXQDH[SUHVVLyGHODIXQFLyGHSDUWLFLyURWDFLRQDOFOjVVLFDG¶XQDPROqFXOD SROLDWzPLFD HQ IXQFLy GH OHV WUHV WHPSHUDWXUHV FDUDFWHUtVWLTXHV URWDFLRQDOV 'HVSUpV FDOFXODUHOVHXYDORUSHUODPROqFXODG¶HWpD R&ODTXDOWpFRPDWHPSHUDWXUHV FDUDFWHUtVWLTXHV4$ .4% .L4& .   (QHOWH[WV¶KDGRQDWO¶H[SUHVVLyHQWHUPHVGHOHVWUHVFRQVWDQWVURWDFLRQDOV ¸ ¹ · ¨ © §S ¸ ¹ · ¨ © § V &%$KF N7  TF U      (Q JHQHUDO OD UHODFLy HQWUH XQD FRQVWDQW URWDFLRQDOLODWHPSHUDWXUDFDUDFWHUtVWLFDYHGRQDGDSHUO¶H[SUHVVLy,,3HU WDQWSRGHPHVFULXUH © Els autors, 2004; © Edicions UPC, 2004