LI CAM OANTi xin cam oan y l cng trnh nghin cu ca bn thn, c xut pht t yu cu pht sinh trong cng vic hnh thnh hng nghin cu. Cc s liu c ngun gc r rng tun th ng nguyn tc v kt qu trnh by trong lun vn c thu thp c trong qu trnh nghin cu l trung thc cha tng c ai cng b trc y. H Ni, thng 5 nm 2008 Tc gi lun vn Phm c Chin

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Li cm nLun vn c thc hin di s hng dn ca PGS. TS. H Quang Thy - Trng i hc Cng ngh. Em xin by t lng bit n su sc ti Thy hng dn v c kin ch dn qu bu trong qu trnh em lm lun vn. Em xin chn thnh cm n Tin s Nguyn Hi Chu v Tin s Nguyn H Nam B mn Cc H thng Thng tin, Khoa Cng ngh Thng tin cho nhiu kin ng gp qu bu bn lun vn c hon thin hn. Em xin chn thnh cm n cc Thy gio trong b mn Cc H thng Thng tin, nhm seminar Khai ph d liu v ng dng. Em cng xin cm n cc thy c gio trong Khoa, cn b thuc phng Khoa hc v o to sau i hc, Trng i hc Cng ngh to iu kin trong qu trnh hc tp v nghin cu ti Trng. Cui cng xin by t lng cm n ti nhng ngi thn trong gia nh, bn b ng vin v gip ti hon thnh bn lun vn ny. H Ni, Thng 5/2008 Hc vin thc hin Phm c Chin

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MC LC

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LI CAM OAN ..................................................................................................... 1 MC LC ................................................................................................................. 3 DANH MC HNH V MINH HA..................................................................... 5 M U ................................................................................................................... 7 CHNG 1. TNG QUAN ..................................................................................101.1. ngha: .............................................................................................................................10 1.2.Cc yu cu t ra trong cng tc qun l ngun nhn lc: .........................................11 1.2.1 Yu cu chung ..............................................................................................................11 1.2.2 Yu cu c th: .............................................................................................................12 1.2.3. Thng tin qun l : ......................................................................................................12 1.2.4. Kho st thc trng yu cu vn qun l ngun nhn lc ca c quan Hi quan: .15 1.2.5. Thc trng d liu, xut yu cu cn t c v kin trc ca h thng: ...........27 Kt lun chng 1....................................................................................................................31

CHNG 2. NGHIN CU CNG NGH, K THUT V CNG C PHC V YU CU.............................................................................................32 2.1. Khai ph d liu:..............................................................................................322.1.1. Khi nim ....................................................................................................................32 2.1.2. u th khai ph d liu ...............................................................................................33

2.2. Cc k thut khai ph d liu: ........................................................................34 2.3. Cy quyt nh:.................................................................................................372.3.1. Sc mnh ca cy quyt nh:.....................................................................................37 2.3.2.Nhc im ca cy quyt nh: ..................................................................................38

2.4. Cc phn mm cng c khai ph d liu: ......................................................382.4.1. Phn tch s liu bng R: .............................................................................................38 2.4.2. Phn tch s liu bng phn mm weka.......................................................................40 2.4.3 Phn tch s liu bng See5/C5.0 .................................................................................43 2.4.4. Phn tch s liu bng DTREG1 .................................................................................44 2.4.5.Phn tch s liu s dng cng c ca Microsoft:........................................................45

2.5. Cng c la chn:............................................................................................47Kt lun chng 2....................................................................................................................52

CHNG 3.PHN LP D LIU S DNG CY QUYT NH .............533.1. Tng quan v phn lp d liu trong khai ph d liu.................................................53

-43.1.1.Phn lp d liu............................................................................................................53 3.1.2. Cc vn lin quan n phn lp d liu..................................................................56 3.1.3 Cc phng php nh gi chnh xc ca m hnh phn lp ..................................58 3.2 Cy quyt nh ng dng trong phn lp d liu ..........................................................59 3.2.1.nh ngha: ...................................................................................................................59 3.2.2. Cc vn trong khai ph d liu s dng cy quyt nh.........................................60 3.2.3.Xy dng cy quyt nh..............................................................................................62 Kt lun chng 3....................................................................................................................63

CHNG 4. THC NGHIM ............................................................................644.1.Gii thiu v m hnh xy dng:......................................................................................64 4.1.1.S lung d liu thng tin nhn s:.........................................................................64 4.1.2. Gii quyt vn :........................................................................................................65 4.1.3.Cc m hnh c xy dng:........................................................................................66 4.2. Minh ha kt qu h tr thu c t m hnh xy dng .............................................68 4.2.1 Minh ha h tr cng tc tuyn la v o to-cy la chn cn b o to qun l nh nc ........................................................................................................................................68 4.2.2. Minh ha cng tc kim tra thng tin h s nhp my-cy phn lp v tr cng tc (lnh o, nhn vin) .....................................................................................................................71 4.2.3.Minh ha cng tc hoch nh m hnh t chc...........................................................74 4.2.4.Minh ha m hnh gim st theo di cng vic phc v cng tc nh gi:................77 4.2.5. Minh ha h tr xy dng cc quy trnh qun l ngun nhn lc: .............................78 Kt lun chng 4....................................................................................................................80

KT LUN .............................................................................................................81 TI LIU THAM KHO .....................................................................................83 PH LC 1: M T BNG D LIU S DNG ...........................................84 PH LC 2: THNG TIN V QUN L QU TRNH C NHN CA CHC NNG H S HIN TI ........................................................................85

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DANH MC HNH V MINH HAHnh 1.1 Thng k tng hp s liu bng vic s dng phn mm tin hc ...... 14 Hnh 1.2 V d bng tham chiu ......................................................................... 28 Hnh 1.3 xut kin trc tng th ca h thng qun l nhn s .................... 30 Hnh 2.1 Qu trnh pht hin tri thc trong c s d liu................................... 33 Hnh 2.2 Hnh m t chc nng Export d liu t d liu nhn s .................... 39 Hnh 2.3 Minh ha chc nng chn phn lp d liu trong R............................ 40 Hnh 2.4 Minh ha chn phn lp trong weka.................................................... 41 Hnh 2.5 Lit k cc phng php phn lp ca cng c................................... 42 Hnh 2.6 Lit k kt qu phn lp....................................................................... 42 Hnh 2.7 Dng kt qu ca DTREE .................................................................... 44 Hnh 2.8 Kt qu cy quyt nh......................................................................... 45 Hnh 2.9 Bng khuyn co la chn thut ton ca Microsoft........................... 46 Hnh 2.10 Mn hnh Analysis Manager ............................................................. 47 Hnh 2.11 Chn bng d liu u vo cho m hnh ........................................... 48 Hnh 2.12 Chn k thut Data Mining ............................................................ 49 Hnh 2.13 La chn cc ct d liu cho m hnh d on ................................. 49 Hnh 2.14 Kt qu cy quyt nh....................................................................... 50 Hnh 2.15 Lc minh ha cho d on thuc tnh lin tc ........................... 51 Hnh 2.16 Minh ha cho d on thuc tnh lin tc ......................................... 51 Hnh 3.1 Bi ton phn lp ................................................................................. 53 Hnh 3.2 Qu trnh phn lp d liu - (a) Bc xy dng m hnh phn lp .... 55 Hnh 3.3 Qu trnh phn lp d liu - (b1)c lng chnh xc ca m hnh ...................................................................................................................... 56 Hnh 3.4 Qu trnh phn lp d liu - (b2) Phn lp d liu mi ...................... 56 Hnh 3.5c lng chnh xc ca m hnh phn lp vi phng php holdout.......................................................................................................... 59 Hnh 3.6 V d v cy quyt nh ....................................................................... 60

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Hnh 4.1 S lung d liu thng tin nhn s ................................................. 64 Hnh 4.2 Hnh minh ha l cc m hnh c xy dng h tr cho cng tc .... 66 Hnh 4.3 Hnh minh ha cc thnh phn ca giao din h tr............................ 67 Hnh 4.4 Minh ha cng vn o to .................................................................. 68 Hnh 4.5 Minh ha yu cu i tng o to.................................................... 68 Hnh 4.6 Cy phn lp cn b, nhn vin ........................................................... 69 Hnh 4.7 Minh ha thng tin mt node ca cy................................................. 70 Hnh 4.8 m hnh phn lp v tr cng tc ......................................................... 71 Hnh 4.9 Quan h gia cc nt............................................................................ 72 Hnh 4.10 Cy phn lp chc v........................................................................ 73 Hnh 4.11 Cy hoch nh m hnh t chc ....................................................... 75 Hnh 4.12 Thng tin nt n v cn b sung nhn s ......................................... 76 Hnh 4.13 Thng tin n v khng cn iu chnh b sung nhn s .................. 76 Hnh 4.14 Cy m t cng vic hin ti ............................................................. 77

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M Uun l cn b l mng cng tc quan trng phi hp mt cch tng th cc hot ng hoch nh, tuyn m, tuyn chn, duy tr, pht trin, ng vin v to iu kin thun li cho ti nguyn nhn s trong t chc, nhm t c mc tiu chin lc v nh hng vin cnh ca t chc. Mt s cng tc cn b in hnh l t chc, sp xp cn b, nh gi cn b, quy hoch cn b, la chn cn b, bi dng qun l, hoch nh m hnh t chc [4], trong , cng tc nh gi h s cn b l cng tc u tin quan trng xuyn xut trong cng tc cn b. Ch khi c nh gi ng cn b th mi c th sp xp ng v ngi cn b c iu kin pht huy c ht kh nng. V pha ngi qun l cn b th h cn a ra nhng quyt nh ng: la chn ng o to, bt, b nhim Cng tc qun l h s cn b ph bin l qun l theo m hnh th cng; nh gi cn b da vo cm tnh v t nh gi ca c nhn xem xt pht sinh nhiu tiu cc lm suy gim sc mnh ca b my qun l. T thc trng , l trnh tin hc ha d liu nhn s c tin hnh theo hng s ha h s nhn s xy dng ng dng khai thc d liu nhanh chng hiu qu phc v cho cng tc nghip v. Trong qu trnh qun l, cp nht, b sung, thay i thng tin trong h s th d liu c tch ly tng trng ngy cng nhiu, v c th cha nhiu thng tin n dng nhng quy lut cha c khm ph. D liu nhn s l mt c s d liu c nhiu thng tin cn qun l, vi mi trng hp c nhiu thuc tnh (Biu mu 2C/TCTW-98 h s cn b B ni v quy nh thng tin qun l gm 31 thuc tnh) v c tnh phi phn loi nh gi mt trng hp da trn cc thuc tnh. Chnh v vy, kho d liu nhn s hnh thnh t ra nhu cu cn tm cch trch rt ra cc lut trong d liu hay d on nhng xu hng mi ca d liu tng lai. Yu cu phng php khai thc kho d liu ny mt cch khoa hc hiu qu v thun tin c c s thng tin h tr cng tc qun l ngun nhn lc, nh gi mt con ngi c th t nhng thng tin c lu tr. J. Han v M. Kamber [6] trnh by qu trnh tin ha ca lnh vc cng ngh c s d liu, m trong , cng ngh khai ph d liu (Data Mining) tr thnh dng tin ha mi ca cng ngh c s d liu. Mt quan nim khc v cng ngh khai ph d liu ca Fayyad, Piatetsky-Shapiro l vic nghin cu pht trin lnh vc khai ph d liu nhm gii quyt tnh trng ngp trn thng tin m thiu thn tri thc. Khai ph d liu c nhiu ng dng l mt phng

Q

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php n v Able Danger ca Qun i M dng xc nh k ng u cuc tn cng ngy 11/9, Mohamed Atta, v ba k tn cng ngy 11/9 khc l cc thnh vin b nghi ng thuc lc lng al Qaeda hot ng M hn mt nm trc cuc tn cng [7]. i vi d liu nhn s, khi cp nht mt h s nhn s mi vo c s d liu th vic phn lp nhn s mt cch t ng thc s c ngha h tr cho vic nh gi ban u. Nhng nghin cu cng ngh thng tin v nhng sn phm phn mm v qun l nhn s, qun l ngun nhn lc hin c mi ch t c mc thu thp h s l lch cn b v in ra cc biu mu bo co phc v qun l, cha c sn phm no p dng k thut pht hin nhng thng tin tim n trong d liu nhn s. Minh chng cho vic ny c th k n mt lot cc sn phm qun l h s nhn s nh chng trnh Qun l cn b phin bn 4.0 ca cng ty sn xut cng ngh phn mm CSE, sn phm c s dng H qun tr Oracle phin bn 9i cp nht, qun l h s nhn s ca B Ni v, B Ti chnh v cc c quan trc thuc B Ti chnh trong c Tng cc Hi quan V vy, vic nghin cu cc gii php khai thc cc thng tin tim n trong cc kho d liu nhn s l ht sc cn thit. Lun vn nghin cu tng quan v c tnh cng ngh khai ph d liu, cc k thut khai ph d liu (phn cm, phn lp..), cc phn mm thng dng khai ph d liu v gii php phn lp da trn cy quyt nh. Lun vn tp trung vo thut ton tiu biu ng dng cho phm vi phn tch d liu l Microsoft Decision Tree, s dng cng c phn tch d liu ca Microsoft. y l cng c rt thun tin trong vic kt ni vi c s d liu nhn s dng phn mm H qun tr SQL Server ca Microsoft, cng c c kh nng phn tch trc tuyn qua mng (c quyn truy cp hp php c th phn tch t bt k my tnh no c trong mng) v l mt cng c mnh khai thc nhanh p ng c phn tch theo m hnh tng trng d liu. Ta bit rng cc tp d liu c b sung v tng trng theo thi gian, do vy cc tp thng xuyn v cc lut kt hp c tnh ton khng cn gi tr trn tp d liu mi. Ngoi ra, vi mt d liu n nh, khi cn tm cc tp thng xuyn vi h tr khc, cng vic phi tnh li t u. Lun vn chy thc nghim trn b d liu nhn s th nghim ti Tng cc Hi quan (vic s dng d liu ny chp hnh ng quy tc bo qun thng tin h s cn b). D liu u vo ca bi ton l c s d liu th nghim h s l lch ca 6978 nhn s. Kt qu u ra l m hnh phn lp v

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c tnh h tr ca m hnh trong cng tc qun l ngun nhn lc. Qu trnh chy th nghim thu c cc m hnh phn lp trc quan vi kt qu khch l. Trn c s , lun vn xut nhng ci tin hon thin quan im qun l ngun nhn lc ca ngnh Hi quan v cu trc tng th cho h thng ng dng qun l ngun nhn lc. Phng php ca lun vn nu ra mt hng i mi trong phn tch s liu khc khng ch phc v cho cng tc thng k nh nc v hi quan m cn phc v cho vic hnh thnh h h tr ra quyt nh trong tng lai. Bi ton phn lp d liu nhn s h tr quyt nh nh gi cn b nhm khm ph c nhng c tnh n l rt c ngha. y l hng gii php c hiu qu cho vic phn tch thng tin phc v cho cng tc nh gi nhn s ni ring v cng tc qun l ngun nhn lc ni chung. Phm vi ni dung nghin cu ca ti: S dng phn lp d liu da trn cy quyt nh xy dng cc m hnh phn lp h tr vic thc hin cc cng vic qun l ngun nhn lc: gim st cng vic ca nhn vin, hoch nh m hnh t chc, theo di gim st s liu ca h s, h tr vic ra quyt nh la chn cn b tham gia chng trnh o to. Lun vn gm c 4 chng chnh: Chng 1: Tng quan cp ti bi cnh thc tin nh hnh hng nghin cu ca lun vn. Chng 2: Yu cu v nghin cu cc k thut, cng c lin quan chn k thut, cng c s dng. Chng 3: Lun vn i su vo nghin cu k thut phn lp da trn cy quyt nh. Chng 4: Thc nghim trn b d liu nhn s v a ra kt qu minh ha cho phng php. Kt lun nh hng pht trin kt qu nghin cu.

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CHNG 1. TNG QUAN1.1. ngha: Hin nay, cng tc qun l ngun nhn lc ang t ra nhiu yu cu bc thit. Thc trng, cng tc hoch nh m hnh t chc cha hnh thnh, cng tc qun l thay i, tnh hnh nh gi cn b, cc iu kin, yu t chi phi cht lng, hiu qu nh gi cn b c nhiu vn . Nhu cu c c b my t chc c nhn s c chuyn mn cao giu nng lc trin khai thc hin cc chng trnh hin i ha ang t ra. Ngun nhn lc l mt trong nhng yu t quan trng quyt nh s thnh cng hay khng thnh cng trong pht trin kinh t - x hi ca quc gia, do vy tt c cc nc trn th gii u quan tm n pht trin ngun nhn lc. Hn lc no ht, khi nc ta tr thnh thnh vin WTO, i hi ngun nhn lc c cht lng cao p ng qu trnh hi nhp. Kinh nghim nhiu nc cho thy, nh Trung Quc, sau 5 nm gia nhp WTO, kinh t pht trin gn gp i, nhng km theo l vic thiu nhn lc trm trng nht l nhn lc c trnh tay ngh cao. Mc trm trng hay khng, c th vt qua hay khng tu thuc rt nhiu vo s nhn din ra nguy c v s khc phc nh th no ca chng ta? [6]. Do vy, gii php nhm thc hin tt cng tc qun l ngun nhn lc xut pht t yu cu qun l thng tin c bn ca h s cn b, s dng cng ngh thng tin h tr khai thc d liu phi c khng nh tnh cp thit c c s xy dng m hnh t chc, lun chuyn cn b hp l. Quan im gii php khc phc nhng mt cn hn ch, lng tng trong cng tc nh gi lun chuyn cn b, gii quyt tt mi quan h gia lun chuyn vi n nh v xy dng i ng cn b chuyn mn su, va p ng yu cu, nhim v cng tc, va coi trng mc ch bi dng, rn luyn cn b, chun b i ng cn b k cn l vn ang c t ra. Tnh nghin cu trong cng tc nghin cu trong qun l thng tin h s cn b lm c s h tr cng tc qun l ngun nhn lc:nh gi, la chn, bt cn b, hoch nh m hnh t chcl mt khu trng yu trong ni dung cng tc ny. Hiu cn b c h thng t thng tin c bn trong h s, nh gi cn b chnh xc l c s quan trng u tin b tr, s dng, bi dng cn b. nh gi ngi cn b trong s vn ng v pht trin khng ngng, trong cc mi quan h chnh tr v x hi a dng, phc tp, t rt nhiu hin tng, s vic c th, ring l tm ra mt bn cht ca ngi cn b - qu khng phi l mt cng vic d dng, n gin. Hn na, nhng cng chc

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lm cng tc cn b c kinh nhim nhng khng c kin thc v cng ngh thng tin rt kh a ra mt kin trc hp l cho cng tc ny. Nhu cu cng tc qun l ngun nhn lc khng ngng i mi, nng cao cht lng cng tc mang tnh nghin cu rt cao. Qun l thng tin cn b, pht hin nhng thng tin tim n h tr cng tc qun l ngun nhn lc khng ch l vn nng hin nay m cn l vn kh. Lun vn s cp chi tit hn nhng yu cu t ra trong cng tc cn b qun l cn b c thu tp t nhng nghin cu thc t. T xut m hnh kin trc h thng cng ngh thng tin h tr. Trong phm vi ca ti s cp ti gii php cng ngh, k thut phc v cho vic khai thc thng tin mang tnh h tr cho cc chc nng qun l ngun nhn lc. 1.2.Cc yu cu t ra trong cng tc qun l ngun nhn lc: Cng tc qun l cn b gn y c b sung mt s yu cu mi n c thng gi vi tn gi khc l cng tc qun l ngun nhn lc. Cng tc qun l cn b quy nh trong Chng 5 ca Php lnh cn b cng chc 2003 sau ny c c th ha bng qun l vic qun l h s cn b cng chc c quy nh ti Quyt nh s: 14/2006/Q-BNV ngy 06/11/2006 ca B trng B Ni v v vic ban hnh quy ch qun l h s cn b, cng chc. Cng tc qun l cn b c cc yu cu c th hin bng cc ch tiu thng tin trong biu mu h s 2C/TCTW-98 ca Ban t chc cn b chnh ph bao gm: cc thng tin c nhn, qu trnh o to, qu trnh cng tc, qu trnh lng, quan h gia nh. Cng tc qun l ngun nhn lc cha c c th bng cc vn bn php quy nhng c nh ngha vi mt s yu cu b sung nh hoch nh m hnh t chc (m rng hn qun l n n v, t chc). Lun vn s a ra di y nhng kho st yu cu ca cng tc qun l ngun nhn lc nh hng nghin cu. 1.2.1 Yu cu chung Trong cng tc t chc cn b ni cch khc l cng tc qun l ngun nhn lc. Bi ton hoch nh ngun nhn lc cho n v nhm hon thin v nng cao hiu qu trong vic qun l nhn s, thu ht ngun nhn lc, khai thc v s dng ngun nhn lc mt cch hiu qu. Cung cp cc bo co, thng tin cho ban lnh o y v nhanh chng nht, mt lot cu hi hc ba cn phi gii quyt nh: - Lm th no c quan qun l ngun lc hoch nh c m hnh t chc ph hp nht?

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Lm th no phn tch cng vic cho cc v tr trong n v? Lm th no phn cng ng ngi, ng vic? Lm th no thu ht, bi dng c ngun lc ti n v mnh? Lm th no lp k hoch cng vic v nh gi hiu qu lm vic ca nhn vin mt cch chnh xc v khch quan nht? Lm no qun l tng quan v chi tit tt c nhng thng tin nhn s lin quan v cn thit? 1.2.2 Yu cu c th: T cc yu cu chung hnh thnh cc yu cu c th bc u: - Hon chnh bc u, lu tr y thng tin c bn ca h s lin quan n cn b: Thng tin c bn, thng tin c nhn, thng tin cng vic; - Qun l c ngun lc: p ng c vic h tr xy dng quy trnh nhn s nh:tuyn dng, quy trnh nh gi ngun nhn lc, o to, gim st b sung bin ch; - Gim st c qu trnh lm vic ca nhn vin, nh gi; - Gim st c s liu cp nht trong h thng (d liu lun chuyn, d liu b sung t cc n v cp di..); - C s d liu thit k c cu trc m, d lin lc vi cc h thng c s d liu khc lin quan. 1.2.3. Thng tin qun l : H s cn b, cng chc l ti liu php l phn nh cc thng tin c bn nht v cn b, cng chc bao gm: ngun gc xut thn, qu trnh cng tc, hon cnh kinh t, phm cht, trnh , nng lc, cc mi quan h gia nh v x hi ca cn b, cng chc [2]. Ti iu 6 v iu 7 ca Quyt nh s 14/2006/Q-BNV ngy 06/11/2006 ca B trng B ni v v ban hnh quy ch qun l h s cn b, cng chc quy nh chi tit thnh phn ca h s cn b cng chc. Thng tin thnh phn h s cn b cng chc qun l bao gm cc ti liu sau[2] : 1. Quyn L lch cn b, cng chc l ti liu chnh v bt buc c trong thnh phn h s cn b, cng chc phn nh ton din v bn thn, cc mi quan h gia nh, x hi ca cn b, cng chc. Quyn l lch do cn

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b, cng chc t k khai v c c quan c thm quyn qun l cn b, cng chc thm tra, xc minh, chng nhn. 2. Bn S yu l lch cn b, cng chc l ti liu quan trng phn nh tm tt v bn thn cn b, cng chc v cc mi quan h gia nh v x hi ca cn b, cng chc. S yu l lch do cn b, cng chc quy nh ti khon 1 iu ny v cc ti liu b sung khc ca cn b, cng chc c c quan c thm quyn qun l cn b, cng chc xc minh, chng nhn. 3. Bn B sung l lch cn b, cng chc l ti liu do cn b, cng chc khai b sung theo nh k hoc theo yu cu ca c quan c thm quyn qun l cn b, cng chc. Bn b sung l lch c c quan c thm quyn qun l cn b, cng chc thm tra, xc minh, chng nhn. 4. Bn Tiu s tm tt l ti liu do c quan, t chc c thm quyn qun l cn b, cng chc tm tt t Quyn l lch ca cn b, cng chc quy nh ti khon 1 iu ny phc v cho bu c, b nhim khi c yu cu. 5. Bn sao giy khai sinh; giy chng nhn sc khe do n v y t t cp huyn tr ln cp v cc vn bn c lin quan n nhn thn ca cn b, cng chc; cc loi giy t c lin quan n trnh o to ca cn b, cng chc nh: bng im, vn bng, chng ch v trnh o to chuyn mn, l lun chnh tr, ngoi ng, tin hc, bi dng nghip v do c quan c thm quyn chng nhn, Trng hp, vn bng chng ch c cp bng ting nc ngoi phi c dch sang ting Vit Nam theo quy nh ca php lut. 6. Cc quyt nh v vic tuyn dng, b nhim, iu ng, bit phi, lun chuyn, nng ngch, nng lng, khen thng, k lut, ca cn b, cng chc. 7. Cc bn t kim im, nhn xt nh gi cn b, cng chc theo nh k hoc theo yu cu ca c quan, t chc, n v c thm quyn. 8. Cc bn nhn xt nh gi ca c quan, t chc, n v c thm quyn i vi cn b, cng chc (hng nm, khi ht nhim k, bu c hoc b nhim, gii thiu ng c, thuyn chuyn, khen thng, k lut hoc sau cc t cng tc, tng kt hc tp). 9. Bn k khai ti sn theo quy nh ca php lut. 10. n, th km theo cc vn bn thm tra, xc minh, bin bn, kt lun ca c quan, t chc, n v c thm quyn v nhng vn n lin quan n cn

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b, cng chc v gia nh cn b, cng chc c phn nh trong n th. Khng lu trong thnh phn h s nhng n, th nc danh; n, th cha c xem xt, k lun ca c quan c thm quyn. 11. Nhng vn bn khc c lin quan trc tip n qu trnh cng tc v quan h x hi ca cn b, cng chc. 12. i vi cn b, cng chc c b nhim gi chc v lnh o phi b sung y cc ti liu c lin quan n vic b nhim vo h s ca cn b, cng chc . Trong 12 ti liu h s ca cn b cng chc, ti liu hay c s dng nht nh gi l s yu lch lch cn b cng chc. S yu l lch l bn tm lc cc thng tin c bn nht ca cng chc phn nh trong h s. Qu trnh tin hc ha s ha c ti liu ny t nm 2005, theo n tng iu tra cn b cng chc ca B Ni v:

Hnh 1.1 Thng k tng hp s liu bng vic s dng phn mm tin hc

Thc hic vic trin khai theo yu cu nh hng ny, trong nm 2006 B Ti chnh tin hnh trin khai phn mm cp nht phiu iu tra cn b cng chc, s yu l lch cn b cng chc, ti Tng cc Hi quan v cc n v trong ngnh Ti chnh:

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Kt qu trin khai tp hp c d liu s yu l lch ca 6978 cn b cng chc ton ngnh Hi quan (thi im nm 2006). ng dng xy dng chy trn nn Oracle Form v c s d liu ORACLE, bc u khai thc cc bo co thng k theo mu bo co B Ni v quy nh. 1.2.4. Kho st thc trng yu cu vn qun l ngun nhn lc ca c quan Hi quan:a)Ngun Nhn lc: Nng lc cn b quyt nh nng lc ca t chc:

Qun l tt ngun nhn lc nhiu kh nng l vn quan trng hng u duy nht nh hng n hiu qu hot ng ca hi quan bt lun b my t chc ca c quan hi quan l g. Ni nh vy khng phi l mt s cng iu bi tt c cc kha cnh trong qun l hi quan v thng quan, k c vic ng dng v bo tr h thng cng ngh thng tin hin i u i hi i ng cn b phi c trnh vn hnh h thng hin ti mt cch hiu qu v chun b sn sng n nhn cc k thut v quy trnh mi. lm c iu , i ng cn b cn bt kp vi nhng tin b chung ca chui hu cn thng mi quc t v iu chnh thch nghi vi nhng thay i trong cc nhim v trng tm ca hi quan. Trc y, cng vic ca ngnh hi quan bao gm cc lao ng th cng nh kim tra thc t hng ha, tu bin v hnh khch cng nh tun tra kim sot khu vc ranh gii im nhp. Cn b lnh o hi quan th lm vic vi t cch l cc quan chc chnh ph cao cp trong khi nhn vin hi quan li c trnh km, c o to khng bi bn v c ch i ng thp. Tnh trng

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ny bo mn phong cch lm vic chuyn nghip cng nh lim chnh hi quan. Cc dch v do chnh quyn cung cp phi p ng cc chun mc ngy cng cao hn. Nhng nhim v m mt nn kinh t ton cu ha t ra i vi ngnh hi quan cng tr nn r rng. Mt c quan hi quan hin i va c trng trch bo v quc gia trc nhng nguy c bn ngoi va m nhn nhim v i din cho quc gia ti bin gii v khu vc cng phi c mt i ng cn b chuyn nghip s dng cng ngh tin tin gip thc hin c s mnh giao ph. C th phn tch quy trnh qun l ngun nhn lc hi quan thnh nhiu giai on: xc nh cc tiu ch cn c; xy dng quy trnh tuyn dng m bo hi quan tuyn c cc cn b p ng c cc tiu ch mong mun c xc nh; o to cho cn b ng nhim duy tr k nng lm vic; ch i ng thch ng nhm to ng lc cho cn b lm vic cng nh gi h li lm vic lu di; p dng nhng hnh thc x pht kin quyt v kp thi i vi cc trng hp khng hon thnh chc trch c giao v vi phm lim chnh hi quan.b)H s cn b

Mt c quan hi quan hin i cn xc nh h s cho i ng cn b m mnh mun c. H s phi bao gm mt nn tng gio dc tng th cao mc cn b hi quan c th tip thu v duy tr cc k nng cn c trong ngnh hi quan. Cng vi thi gian, cc k nng ny s thay i v i hi ngy cng nhiu hn kin thc chuyn ngnh v k ton, thu thp thng tin tnh bo, ti chnh, iu tra, phn tch, o to, lp k hoch v qun l ngun nhn lc. Cc th tc s dng trong cc khu nghip v ny li ph thuc ngy cng nhiu hn vo cng ngh thng tin. Bi vy, cn p dng k thut phn tch tin trnh cng vic (workflow analysis) hin i vo vic xc nh phn b nhn s ph hp cho cc mng nghip v khc nhau. Di y l mt s nhim v chnh ca hi quan cng cc yu cu chuyn mn cn c hon thnh cc nhim v .

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Thc thi lut v quy nh trong nc ti bin gii. Cc Lut v quy nh trong nc phi ph hp vi tt c cc cng c v chun mc hi quan quc t m quc gia gia nhp. Do , cn b hi quan cn nm c cc bc tin t c trong m phn thng mi quc t cng nh yu cu ca ton cu ha. Cn b hi quan cng cn c trnh chuyn mn nht nh v php lut c th ni lut ha nhng tin trin trong cng ng hi quan v thng mi quc t. p dng quy trnh thng quan hin i. Quy trnh nh gi ri ro hin i c da trn cc thng tin in t v k thut thu thp thng tin tnh bo hin i nhm to thun li cho thng mi v bt kp vi cc tin b trong lnh vc hu cn thng mi t nhn. Duy tr trao i thng tin m vi cng ng doanh nghip Hi quan phi m bo rng cng ng doanh nghip c y thng tin v ngha v ca mnh. Quan im ca doanh nghip cng cn c tnh n trong qu trnh hoch nh chnh sch hi quan. Cn b hi quan cn c k nng giao tip vi doanh nghip song cn trnh tip xc trc tip gia cn b hi quan v i din doanh nghip trong qu trnh x l th tc hi quan. Thc thi cc iu lut v quyn s hu tr tu, an ninh, vn chuyn ma ty v cui cng l lao ng v nhn quyn. Tuy hin ti lao ng v nhn quyn cha phi l u tin quc gia song trong tng lai c th s phi thc thi cc iu lut v lao ng v nhn quyn thc hin cc tho thun t c trong cc cuc m phn thng mi. iu ny i hi hi quan phi c nng lc a c chng trnh ngh s ca cc ban ngnh chc nng khc vo trong quy trnh, th tc hi quan. Thu thp v ph bin s liu thng k thng mi quc t i hi phi c trnh chuyn mn v cng ngh thng tin, nhn thc c tm quan trng ca s liu thng k trong vic ra quyt nh kinh t. Qun l ngun nhn lc hi quan i hi phi qun l ngun nhn lc mt cch hp l v c kin thc chuyn su v pht trin ngun nhn lc.c)Tuyn dng

Thng thng, vic iu chnh i ng cn b hin c thnh i ng cn b mong mun l mt qu trnh cn c nhiu thi gian. Khi cn b ln tui ngh hu, cn tuyn dng cn b tr khng ch thay th i ng v hu m cn p ng nhu cu m rng hot ng ca ngnh. Cng tc tuyn dng phi

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c tin hnh mt cch c h thng trong c ng qung co tuyn dng. Qung co tuyn dng cn ch r yu cu cn c i vi v tr cn tuyn, v d nh trnh hc vn, kinh nghim cng tc v cc yu cu tng t. Quy trnh tuyn dng cng cn c nu r. m bo minh bch trong quy trnh tuyn dng l ti quan trng v n gip to ra chun mc ngh nghip mi trong ngnh hi quan, ng thi ngn chn tnh trng thn quen, chy cht hin vn thng ph bin trong cng tc tuyn dng ti cc c quan cng quyn. V d, ti Hi quan Hoa K nhng nm 1880, c ng c vin tim nng cho cc v tr cng tc trong ngnh hi quan phi tr mt khon ph chy vic i lc gp nhiu ln lng hng nm. Ti Bolivia th trc khi c nhng ci cch gn y, c nhiu cng chc hi quan lm cng khng lng v b li bng cch i tin hi l trong qu trnh tin hnh nhim v. Mt thc t khc c bit n nhiu l cc quan chc cp cao thng xuyn dng nh hng ca mnh gy sc p buc phi b nhim ngi thn hay ngi cng dng tc ca h. Vic ny lm hng quy trnh tuyn dng v to ra mt mn n phi tr cho nhng cn b mi vo ngnh hon ton xa l vi vic thc thi cc chc trch ca mt cng chc hi quan). Nn s dng cc bin php nh qung co cng khai v tr tuyn dng, tham gia vo hi ch vic lm v cung cp thng tin tuyn dng trc tip ti cc trng i hc m bo nhng ngi c tiu chun bit v k tuyn dng v ng k d tuyn. Cc ng vin tim nng phi c cc thnh vin trong Ban tuyn dng kim tra nghim ngt v trnh , nng lc. Cc thnh vin trong Ban tuyn dng cn c o to chuyn v k nng tuyn dng. H cng c th phng vn hng xm, ng nghip cng nh cc ch tuyn dng trc y ca ng vin. Cng cn tin hnh kim tra h s lu ti c quan cng an v ti khon ngn hng nh gi mc thu nhp v ngun gc thu nhp ca ng vin. Cng cn c kim tra cc k nng v nng khiu c bit trong yu cu tuyn dng. Cc khu kim tra ny c th do cn b ph trch qun l ngun nhn lc trong ngnh thc hin hoc c th thu chuyn gia trong lnh vc tuyn dng. Cng cn cho cn b mi tuyn bit v c ch lun chuyn cng tc khi lm vic trong ngnh hi quan. iu ny nhm mc ch nng cao kh nng mt cn b hi quan c th thc hin c nhiu cng vic khc nhau, ng thi trnh pht trin nhng quan h mc ngoc khng chnh ng vi cng ng doanh nghip a phng. V d nh ti Zambia v Ma-rc, lun chuyn cn b l mt phn gn lin vi s nghip ca cng chc hi quan. Cc cn b mi tuyn cha c kinh nghim cng tc trc trong lnh vc hi quan cn tham d cc lp o to chuyn su v st hch nghim tc chun b cho nhim v

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mi. Nu thnh cng, h cn phi tri qua mt giai on tp s thng ko di mt nm trc khi chnh thc tr thnh cng chc hi quan. Trong thi gian tp s, cn b mi tuyn ny c th b sa thi ngay nu c kt qu tp s khng t yu cu hoc vi phm k lut m khng cn phi qua nhng th tc phc tp nh khiu ni hay a v vic ra ta n hnh chnh. Sau giai on tp s, nu c nh gi l t yu cu, cn b tp s s chnh thc c tuyn dng. S dng cc tiu ch hot ng minh bch s h tr lnh o trong cng tc qun l cng nh tng cng tnh minh bch ca quy trnh tuyn dng. Theo truyn thng, phn ln cc c quan hi quan u da vo vic tuyn dng cc cn b tr tui sau kt hp o to c l thuyt v thc hnh v nhng thng l hi quan tt nht. Tuy nhin, hi quan hin i i hi i ng cn b phi c trnh chuyn mn khng d g c c nu ch tin hnh o to trong ngnh. Kin thc chuyn mn v cng ngh thng tin v k ton ngy cng cn thit thc thi cng tc kim tra sau thng quan ch l hai v d. Cn c quy trnh tuyn dng ph hp v ch i ng tha ng c th thu ht c cn b c cc k nng chuyn su ny. Khi khng c cc ng vin c nng lc, i lc c th n trnh nhng hn ch gp phi trong tuyn dng cng chc bng cch k cc hp ng t vn hp dn. Tuy nhin, nhc im l k hp ng t vn s lm nht i tinh thn lm vic ca cn b hi quan ni chung v c th t ra vn khng m bo c tnh lin tc v nhn s trong cc cng vic chuyn su. Quy trnh thi hi v tuyn dng nhn s s mt nhiu thi gian nu c khong cch ln gia h s nhn s mi cn c v h s nhn s hin ti. Song c thi im cng tc qun l i hi qu trnh ny phi din ra nhanh hn.d)o to

o to cn l mt nhim v chnh ca b phn qun l ngun nhn lc thuc c quan hi quan. Cc yu cu t ra bi ton cu ha v vic p dng nhanh chng cng ngh thng tin vo hng lot cc lnh vc hot ng hi quan khin cho o to lin tc tr thnh mt nhu cu tt yu i vi hi quan. Cng tc o to trong ngnh hi quan cn c tin hnh bi i ng ging vin bao gm cc cn b hi quan giu kinh nghim v cc ging vin chuyn nghip. Trong hi quan hin i, vic tham gia thnh cng mt s chng trnh o to nht nh l c s cho nhiu quyt nh bt. Tt c cn b trong

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ngnh u phi c o to hng nm theo nh thng nht gia b phn qun l ngun nhn lc v th trng n v. Vic trin khai nhng ni dung o to thng nht cho cn b s l mt tiu ch nh gi lnh o. C th ch nh cc trng o to chuyn nghip thc hin cng tc o to ny trn quy m quc gia hoc khu vc. Cn tn dng ti a cc h tr o to cung cp bi cc t chc song phng, ...e)i ng cn b

i ng cn b l mt tc nhn quan trng trong qun l ngun nhn lc. Cn c mt ch i ng cao thu ht v gi chn cn b c trnh cn thit lm vic cho ngnh hi quan. Tuy nhin, tng gi lng chi tr cho cn b hi quan thng khng tha ng. Mc chnh lch gia lng thng cho cn b qun l v cn b cp di khng c cch bit ln ging nh trong khu vc t nhn. V d nh ti Nepal, lng ca mt cn b hi quan ch bng mt phn mc lng trung bnh trong khu vc t nhn; lng c bn ca Tng cc trng ch bng 150% lng khi im ca mt cn b mi c b nhim. Cho d khng phi l ng lc duy nht thc y cc cn b hi quan hon thnh tt cng vic c giao song chc chn ch i ng l mt ng lc rt quan trng. Ngoi ra cn c cc ng lc b sung, l xy dng tinh thn ng i v lng t ho ngh nghip. Cc ng lc ny thng t c ch trng y . V d, trong nhng nm gn y, khi ch trng c bit n yu t ny th c v nh hi quan Marc thu c nhng li ch nht nh. Trong phn ln cc trng hp, hi quan t c linh hot trong vic t ra mc lng m buc phi tun th trit thang lng cng chc. Thng th, quy nh ti chnh cht ch khin cho thang lng trong ngnh hi quan km xa so vi thang lng chi tr cho nhn vin c cng nng lc trong khu vc t nhn. Tnh trng ny khng khuyn khch cn b lm vic tt v y h n ch tm kim cc khon ph tiu cc khc. Hin tng cc cn b sng gi nht b ngnh ra lm i l khai thu hi quan l mt hin tng khng c g bt thng. Khi lm nhn vin khai thu hi quan, cc cn b ny vi hiu bit v ni b ngnh cng nh mi quan h quen bit vi cc cn b hi quan, c th gip to thun li cho qu trnh hon thnh cc th tc hi quan cho khch hng ca mnh song cng c th e da vi phm lim chnh hi quan. Nguy c lim chnh khin mt s nc ngn cn cn b hi quan cung cp cc dch v khai thu hi quan mt vi nm sau khi kt thc lm vic trong ngnh hi quan.

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Gii php cc b cho quy nh cng nhc v thang lng l chi tr tin thng cho cn b. Mc d hi quan nhiu nc p dng c ch thng song rt t trong s c ch thng gip nng cao kt qu lm vic v hiu qu hot ng cui cng. c ch thng c tc dng th mc thng phi cao c th lp y khong cch vi thu nhp trong khu vc t nhn (c khu tr tnh n nh khi lm vic trong khu vc nh nc) v tha mn mt s cc tiu ch kht khe. Cc khon thng phi m bo tnh chnh ng trong ni b ngnh hi quan cng nh ngoi ngnh, phi khch quan, minh bch v d qun l. Ngoi ra, cc khon thng cng phi p ng tiu ch SMART, tc l c th (Specific), c th o lng c (Measurable), c th t c (Achievable) v ng thi im (Timed). Tuy nhin, khng d g khi m bo rng nh gi kt qu lm vic cung cp c s c th phn loi cn b tha ng (V d nh ti Marc, c ni no p dng ch thng 100% lng c bn cho cn b c kt qu lm vic t yu cu th ni i a s cc cn b s c nh gi l tiu chun nhn mc thng ln nht). Cc khon thng c cc i tng trong ngnh coi l chnh ng khi h thng thng c phn phi mt cch cng bng v minh bch, khng thin v v c c ch khiu ni v quyt nh thng. Cc khon thng c cc i tng ngoi ngnh coi l chnh ng khi c chp nhn ngoi ngnh hi quan v c ngn sch cho cc khon thng . H thng thng nu khng m bo tnh chnh ng d l trong ngnh hay ngoi ngnh th s khng bn vng (V d ti Ga-na, khng th duy tr c mc lng cao hn cho cn b hi quan theo c ch C quan Thu thu c lp (ARA) trc s phn i ca cn b cng chc cc ngnh khc). Cc iu kin nghim ngt cn p ng m bo c ch thng cao b p c mc lng thp ca cn b hi quan cng t ra nhiu thch thc trong qu trnh thit k v thc thi. iu ny khin cho cc h thng kiu ny tr nn ht sc ri ro v cn c gim st cht ch. Mt phng n khc c th thay th cho vic chi tr mc thng cao l p dng thang lng cao hn cho cc cn b lm trong ngnh hi quan. L do bin minh cho gii php ny l vic huy ng ngun thu ngn sch ng mt vai tr quan trng i vi vn hnh ca chnh ph. Lng bng tt hn cng phn no gip bo v cn b hi quan trc cm d ca vic nhn hi l t doanh nghip. Cn kt hp bin php p dng thang lng cao hn vi ci cch hi quan tng th nhm m bo tng cng kt qu lm vic cng nh hiu qu hot ng.

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Hi quan mt s nc p dng gii php mnh tay hn gii quyt tnh trng lng bng khng tha ng bng cch thit lp cc ARA. Trong thi gian u, cc ARA tr cho cn b hi quan mt mc lng mang tnh cnh tranh so vi mc lng tr trong khu vc t nhn hoc mc lng cao nht tr cho cng chc. Tng lng v thng chc da trn kt qu lm vic cng l hai nhn t to ng lc lm vic quan trng cho cn b. Tuy nhin, c hai li thng b hn ch bi cc chnh sch bt cng nhc p dng cho tt c cc cng chc m theo quyt nh thng chc hay tng lng ph thuc nhiu vo thm nin. Phi tha nhn l vn c nhng trng hp ngoi l. V d, M-dm-bch, kt qu lm vic ca cn b c nh gi hng qu trong hai nm o to tp s v sau c thanh tra ngnh theo di cht ch. Hi quan ng-g-la li p dng mt h thng nh gi cng chc thng nin nhm mc ch i chiu k nng lm vic vi m t cng vic, t xc nh mt cch chnh xc cc ng c vin b nhim ln v tr cao hn. Tnh trng c s h tng thiu thn trong c vn phng lm vic cng nh nh cng v, nht l ti cc tr s hi quan vng su vng xa, cng tc ng n o c ngh nghip v tinh thn lm vic ca cn b hi quan. H tng nhng ni nh vy thng b b b trong nhiu nm v thiu ngn sch. Tnh trng nh cng v ti tn nhiu im kim sot bin gii khin cho vic chuyn n lm vic ti nhng ni ny b coi nh mt hnh pht hay b y vo ch kh khn mt cch bt cng. Ci cch hi quan ti Dm-bia v Tanzania bao gm c mng nng cp c s h tng, mt im c nh gi cao bi cn b hi quan.f)Lim chnh v cc hnh thc k lut

Thng quan hi quan hin i vi vic p dng cao cng ngh thng tin v cung cp ch i ng tha ng cho cn b s ng vai tr quyt nh trong cuc u tranh chng li cc vn lim chnh. Tuy nhin, kinh nghim cho thy nh th vn cha trit tiu hon ton nn tham nhng. V vy, bt k chnh sch ngun nhn lc no cng cn ch r cch thc gii quyt nhng vn . Cn b hi quan cn phi nhn thc y rng khng c ch cho cc hnh vi tham nhng v tc trch. C th nu r cc hnh thc k lut trong s tay nhn s. C nhiu hnh thc k lut cc mc khc nhau t khin trch, khng tng lng, ct thng cho n sa thi. Song cn lu rng khng c p dng hnh thc sa thi cn b mt cch khinh sut. Cng cn c cc bin

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php bo h m bo tnh cng bng trong thi hnh k lut. Cn c phn hi chnh thc mt cch nhanh chng i vi cc co buc tham nhng hoc kp thi xa b nhng co buc thiu cn c hoc trnh tnh trng tr hon ko di gia thi im vi phm v thi im x pht. Cc hnh thc k lut trong c sa thi s tr thnh mt cng c mnh m gip thc thi php lut trong bi cnh ch i ng cn b tt v t l tht nghip cao.g)C cu T chc v b tr cn b

Bt k t chc no u c th vn hnh tt v vt qua v vn cc tr ngi nu c mt i ng cn b nng ng v c nng lc. Song lc lng cn b cng cn c b tr bi mt c cu t chc ph hp. Nhng ngay c khi c mt m hnh t chc hon ho m thiu vng cc nhn vin c nng lc, c trnh , nng ng v c o to th t chc cng khng th tn ti c. Mt t chc l tng l mt t chc trng thi ng. Cc t chc khu vc cng v khu vc t lin tc iu chnh c cu ca mnh i mt vi cc thch thc, bin i trong khi lng cng vic, m rng a bn hot ng, trong cnh tranh cng nh trong vic p dng cng ngh mi v cc sng kin mi. Hi quan cng khng phi l trng hp ngoi l. C quan hi quan cng thng phi vt ln tm ra mt m hnh t chc l tng p ng c yu cu ca mt mi trng hi quan lin tc bin i. Tuy vy, ti c cu khng phi l mt phng thuc cha bch bnh. i lc, n ch l mt ci c che y cho mt thc t l khng tm ra c cn nguyn dn n tnh trng vn hnh km hiu qu ca c quan hi quan. Tin hnh ti c cu t chc cn c th lm xo trn hay gin on hot ng thng nht ca c quan hi quan.h)C cu t chc ni b

Theo truyn thng, cc c quan hi quan c c cu nh mt b phn ca B Ti chnh v chu trch nhim trc B Ti chnh v cc hot ng v kt qu t c. Nhim v bao trm ca ngnh hi quan l tng thu thu theo quy nh ca ngn sch. V trong qu trnh thc hin nhim v thu ngn sch, hi quan cng phi m bo p dng cc th tc v chnh sch mt cch nht qun ti tt c cc ca khu nhp v cho tt c cc loi hnh vn ti. i lc, do c trch nhim bo v bin gii v x l cc trng hp khng tun th v bun lu nn c quan hi quan c quyn t quyt phn no ln hn cc ban ngnh v c quan ngang b khc qun l ti bin gii. c th chc trch ca c quan hi quan quyt nh hnh thc t chc phn cp trong ngnh hi quan. Theo , c

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cu t chc hi quan bao gm c quan tng cc, cc hi quan vng v cc cc hi quan a phng. Tng cc chu trch nhim xy dng cc quy trnh v chnh sch hot ng, trong c vic ng dng cng ngh thng tin nhm t c kt qu v hiu qu vn hnh cng nh m bo tun th cc hip nh quc t lin quan n T chc Thng mi Th gii. Tng cc cng chu trch nhim gim st hot ng c phn cp xung cc vn phng vng v a phng, v chnh sch nhn s bao gm tuyn dng, i ng, o to v thc thi. Cc vn phng vng gim st hot ng ca vn phng a phng trong phm vi mnh qun l trong khi cc vn phng a phng thng l im lin h ca cng ng doanh nghip quc t v hi quan cc nc khc. Cn b ti cc hi quan a phng quyt nh mc kim tra cn p dng trong x l t khai v thng quan hng ha cng nh mc hiu qu ca qu trnh lm th tc hi quan. Bn cnh cc phng ban truyn thng (php ch, th tc, nh gi, cng ngh thng tin, chng lu, hot ng thc a, hp tc quc t, dch v, nhn s v kim tra sau thng quan), hi quan nhiu nc b sung thm mt v ph trch vic duy tr quan h vi khu vc t nhn chuyn gii p cc lo ngi, gii thch v quy trnh, th tc, v tin hnh thanh tra khi c tranh ci vi cc doanh nghip nc ngoi. Cc doanh nghip nhp khu, xut khu, cc hng vn chuyn, giao nhn hay cc i l khai thu hi quan cng yu cu c mt c ch khiu ni c lp h c th tin hnh khiu ni i vi nhng quyt nh m h cho l sai lm hay khng ph hp vi thng l quc t. Mt c ch m nh vy i vi khu vc t c th gip xy dng c lng tin cn thit gia khu vc t nhn v hi quan, mt lng tin s em li li ch cho tt c cc bn lin quan. Khi nhn ra mt thc t l mt phn ln s thu nhp khu c thu t s lng kh t cc doanh nghip nhp khu vi quy m ln, hi quan mt s nc iu chnh hot ng ca mnh cung cp nhng dch v c bit cho cc doanh nghip nhp khu ln ny. Vic ny ph hp vi Cng c Kyoto sa i cho php cc doanh nghip nhp khu c u quyn (authorized) (c u tin) c thng quan hng ha nhanh hn, tc l nhng doanh nghip p ng mt s tiu ch v minh bch v trung thc s c hng cc th tc thng quan n gin hn vi iu kin l c th tin hnh kim tra sau thng quan. V d nh Trung tm Thu v Hi quan Mu ti Ai cp (Model Customs v Tax Center) c thit lp x l t khai thu v hi quan cho mt nhm cc

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doanh nghip ln c chn lc (khong 200 doanh nghip vo thi im cui nm 2003). Nhm doanh nghip ny chim mt t phn ln trong khi lng thng mi v tng s thu thu c. Trn thc t, trung tm ny hot ng nh vn phng mt ca p dng cc th tc mi v hiu qu.i) Phng php nh gi ngun nhn lc: Ch s nh gi

Phng php nh gi ngun nhn lc l nhng cch thc, bin php khc nhau c s dng trn c s nhng ch tiu, ch s nht nh t c nhng nhn xt, kt lun v s lng, cht lng, c cu ngun nhn lc hin c cng nh kh nng s c trong tng lai d nh. Theo phng php qun l ngun nhn lc ly con ngi lm trung tm th nh gi ngun nhn lc da trn h cc ch s nh: - Mc tiu, mc t c mc tiu ca t chc cng nh ca cc c nhn thnh vin ca t chc v cc bin php, cch thc thc hin t mc tiu ra. Ch s ny gi theo khoa hc l ch s mc tiu (index of objective point). Theo ch s ny cc t chc phi t ra mc tiu pht trin v mi c nhn trong t chc cng t ra mc tiu pht trin v thc hin trn c s thc hin vic nh gi; - Ch s cng vic (index of job). Ch s ny c hnh thnh trn c s s phn tch cng vic (work analysis) theo c bng m t cng vic vi cc ch s cn bn nh nhim v (task), chc trch (responsibility), yu cu ca cng vic (demand of job). Khi nh gi ta s s dng cc ch s nh gi mc hon thnh cng vic ca nhn vin t a ra kt lun; - Ch s b sung (additional index). Cc ch s ny bao gm tinh thn trch nhim, tnh chp hnh k lut, phong cch hnh ng.v.v... ni chung so vi cc ch s mc tiu v cng vic th cc ch s ny tnh xc nh hn ch hn do vy chng c xp vo h cc ch s b sung.Yu cu ca cng vic nh gi

Ngoi cc ch s nh gi, khi nh gi ngun nhn lc cn phi bo m cc yu cu ca vic nh gi l: - Tnh ph hp. Tnh ph hp th hin trn nhiu phng din khc nhau nh s ph hp gia cc ch s nh gi vi mc tiu trong mi t chc hoc

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mi lin h gia cng vic c xc nh thng qua phn tch cng vic vi cc ch s nh gi c thit k trong phiu nh gi.v.v...; - Tnh nhy cm. Tnh nhy cm i hi h thng nh gi phi c nhng cng c o lng chun xc cc mc khc nhau ca s hon thnh cng vic hay khng hon thnh cng vic, tc l t c hay khng t c mc tiu; - Tnh tin cy. Th hin s nht qun ca cc nh gi trong ton b qu trnh nh gi cho d chng c thc hin vi phng php no. Tc l h thng nh gi phi bo m sao cho i vi mi i tng nh gi th kt qu nh gi ca cc ch th nh gi khc nhau phi thng nht v c bn; - Tnh c chp nhn. Tnh ny th hin v cng t ra i hi vi h thng nh gi m trong cc ch s nh gi phi c i tng nh gi chp nhn, tc l thuyt phc c h; - Tnh thc tin. Th hin vic cc phng php nh gi phi kh thi vi nhng cng c n gin, d hiu, d thc hin khng ch vi i tng nh gi m c vi th trng n v thc hin nh gi; - Tnh khng li. nh gi ngun nhn lc l hot ng ca con ngi do vy thng hay gp phi cc li nh: thin v, xu hng trung bnh, thi cc, nh kin, nh hng ca cc s kin gn nht.v.v.... trnh cc li ny t ra nghin cu v a ra yu cu v tnh khng li ca h thng nh gi. Nh vy, thng qua cc ch s nh gi v ni dung yu cu ca cng vic nh gi ngun lc mang tnh khoa hc trnh by trn cho chng ta thy nh gi ngun nhn lc l mt trong s nhng vn quan trng trong pht trin ngun nhn lc. nh gi ng, c nhng k hoch tt th s pht trin c kt qu ngun nhn lc, ngc li s cho kt qu "m tnh".k)Kt lun kho st thc trng yu cu v vn qun l ngun nhn lc ca c quan Hi quan:

Qun l tt ngun nhn lc l cha kho cho qun l hi quan hiu qu. Tuy nhin, vic ny thng b b qua dn n tnh trng vn lim chnh ko di gy hu qu xu cho vic cung cp dch v cho khch hng mi kha cnh. Cng tc qun l ngun nhn lc l mt qu trnh nhiu mt bao gm tuyn dng, o to, chnh sch i ng v bt cn b cng nh thc thi cc quy nh ca php lut. Khng c vic no trong s ny l d thc hin v thng phi thc hin trong mt mi trng y kh khn nh ngn sch hn hp hay b b buc bi cc quy nh cho cn b cng chc. Song khng v th m khng

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u t suy ngh tm ra nhng sng kin mi. Nghin cu thc a cho thy trong iu kin cn kh khn, vic ch trng nhiu hn n cc vn ngun nhn lc s thu c nhng li ch ng k. Tng cng phng ban qun l ngun nhn lc l mt cch bt u tt. Quan im ny c ph bin rng ri cho ton th cn b cng chc trong ngnh hi quan qun trit tip thu v cng nghin cu thc hin. 1.2.5. Thc trng d liu, xut yu cu cn t c v kin trc ca h thng:a)D liu hin c:

C s d liu nhn s c tp hp cc thng tin c nhn ca mt cn b cng chc. y l C s d liu nhn s th nghim tp hp lu tr h s l lch ca 6978 cn b, cng chc. Bng h s l lch c lu tr trong bng chnh HC_EMP. Bng d liu ny bao gm cc thng tin c nu trong h s biu mu h s l lch 2C/TCTW-98 ca B Ni v, sau c b sung thm mt s thng tin theo yu cu qun l ring gi l H s cn b. Thng tin c lu tr trn bng d liu chnh c tn HC_EMP vi kha ca bng m bo s phn bit gia cc h s v bng ny s dng kha tham chiu n cc bng d liu tham chiu qun l thng tin v qu trnh lng, qu trnh o to.. Chi tit xin m t nh sau: * Thng tin bao gm 64 thng tin qun l trn bng d liu chnh (HC_EMP): 1.Cc thng tin c bn gm 25 thng tin 2.Qu trnh tham gia qun i 8 thng tin 3.Cc thng tin khc 27 thng tin: hon cnh kinh t gia nh 4.c im lch s bn thn (2 thng tin) 5.Cng vic m nhn c ghi nhn trong trng cur_work ca bng chnh HC_EMP 6.Chc v ng (c lu trong bng chnh HC_EMP trong trng Party_pos) * 13 Thng tin tham chiu: 1.Qu trnh cng tc(tham chiu ti bng HC_work_pro) 2.Qu trnh tham gia ng (cha qun l nn khng c d liu hin ti c lu trong bng d liu chnh HC_EMP)

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3.Qu trnh lng (c lu tr trong bng HC_SAL_PRO c lu tr trong bng HC_SAL_PRO) 4.Qu trnh ph cp: ph cp chc v, ph cp khc (c lu tr trong bng HC_SAL_PRO c nh du bng trng phn bit lng v ph cp) 5.Qu trnh o to: o to v chuyn mn, Chng ch bi dng nghip v, L lun chnh tr qun l nh nc, qun l kinh t, tin hc ngoi ng. (c lu tr trong bng tham chiu HC_EDU_TRA_PRO) 6.Danh hiu hc hm (c tham chiu n bng HC_EMP_SCALE bng ny li tham chiu n CLA_SCA_CODE) 7.Qu trnh khen thng (c lu tr trong bng HC_REWARD) 8.Qu trnh k lut(Bng HC_DISCIPLINE lu tr thng tin) 9.Quan h gia nh: Bn v, bn chng, anh ch em rut (tham chiu ti bng HC_RELATIVE) 10.Chc v ng (cha c d liu) 11.i cng tc nc ngoi (cha c d liu) 12.Kt qu nh gi hng nm (cha c d liu) 13.Quan h vi t chc nc ngoi (cha c d liu) *Minh ha mt tham chiu t bng chnh n bng quan h: V d trong bng d liu HC_EMP c mt trng hp c m n v l Node_id=110 c thng tin ngha ca m ny s phi tham chiu n bng d liu DBList cha tn n v:

Hnh 1.2 V d bng tham chiu

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b)Vn khai thc d liu ny:

H thng qun tr c s d liu quan h (Relational Database Management System - RDBMS) Microsoft SQL Server qun l cc bng d liu ny v quan h ca chng. Chnh H thng qun tr c s d liu ny to iu kin thun li pht trin nhng phn mm ng dng c nhng chc nng lin quan n d liu phc v cc yu cu qun l. Mt cc c th hn, D liu dng "th", c ngha l mc tng qut, tru tng ca d liu ny rt thp. V d d liu ca RDBMS c lu gi trong cc trng dng s - number, ch - text, thi gian date/time. Mun chuyn cc d liu ny thnh dng c ngha s dng hn i vi ngi dng ( chng bit ni), cn tip tc phn tch v lp bo co. Tnh nng tin ch hng ti xy dng khai thc hin ti t c s d liu nhn s ny: - Qun l c thng tin c bn ca c nhn tng hp vic phn tch s liu nh s lng i ng con ngi, gii tnh, tui, ni sinh, qu qun, ni hin ti, gia nh xut thn, dn tc, tn gio, danh hiu Nh nc phong, din hng chnh sch - V qu trnh o to phn tch cht lng cn b cng chc hin c; nhu cu o to thi gian tip theo; qu trnh phn u nng cao trnh cn b cng chc; b tr s dng cn b cng chc ng trnh o to. - Qu trnh cng tc, ghi nhn kinh nghim c nhn trong cc lnh vc trc v sau khi tuyn dng. - Qun l din bin lng, theo di vic thc hin chnh sch tin lng. - V cng tc ng, phc v yu cu bo co cp trn v b tr s dng. V khen thng k lut, s dng trong nh gi v khi b tr s dng nhn lc cn b. - nh gi cn b cng chc vin chc cn thit thc hin quy ch nh gi cn b cng chc vin chc hng nm theo quyt nh s 11/1998/Q-TCCP-CCVC ngy 05/12/1998 ca Ban t chc cn b chnh ph ny l B Ni v v thc hin nh gi v ghi nhn cc kin nh gi cn b cng chc vin chc ti tng thi im theo yu cu. - V quan h gia nh, b tr v s dng c bit lu n truyn thng gia nh.

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- V sc kho, cn thit khi b tr cng tc nht l cc ngnh c bit lin quan n iu kin sc kho. Vi mt d liu trin khai lu tr h s l lch cha c chun ha nng cao hiu qu khai thc th vic nghin cu ca lun vn ra phng php khai thc theo hng m hnh ha thng tin lin quan n d liu v nh hng chi tit yu cu ca tng thng tin trong d liu c lu tr l mt gii php tch cc phc v tt hn cng tc. Tip theo Lun vn xut mt kin trc tng th ph hp mang tnh kh thi cho h thng qun l ngun nhn lc trong tng lai.c)Kin trc tng th ca h thng:

Hnh 1.3 xut kin trc tng th ca h thng qun l nhn s

T cc yu cu chung, yu cu c th v cc thng tin cn qun l v xut t thc trng d liu nhn s hin c hnh thnh mt kin trc tng th ca H thng qun l nhn s [hnh 1.3]. Cc hnh ch nht nh nh phn tch cng vic, m t cng vic.. l cc chc nng ca h thng. H qun tr c s d liu SQL Server l ni qun l, lu tr c s d liu nhn s, bao gm h s l lch, bo him, thng tin cng vic. Khai thc thng tin t c s d liu nhn s l thng tin u vo cho cc chc nng ca h thng.d)Yu cu t ra trng tm nghin cu ca Lun vn:

Vn t ra, lm th no hnh thnh thng tin u vo cho tng chc nng, mun hnh thnh thng tin u vo thng tin chc nng th cn phi khai thc d liu nhn s t bng d liu chnh HC_EMP cho hp l, khoa hc p ng y

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yu cu chc nng. C th hn cng c no c th truy vn vo c s d liu ly thng tin, cng ngh no pht hin d liu tim n v k thut no thch hp vi khai thc d liu. Tm c cng ngh, k thut khai thc ri th cng c h tr no s ph hp cho s trin khai p dng. Vi gii hn nghin cu ca lun vn, sau y lun vn s i tip k thut, cng ngh, thut ton cng c lin quan khai thc hiu qu c s d liu nhn s h tr cc yu cu c th ca cng tc qun l ngun nhn lc. Kt lun chng 1 Chng 1 l chng Tng quan trnh by nhng l do hnh thnh hng nghin cu qua vic nghin cu thc t cc yu cu ra kin trc ca m hnh s dng. Chi tit cc yu cu a ra hon chnh bc u, lu tr y thng tin c bn ca h s lin quan n cn b v c s d liu thit k c cu trc m, d lin lc vi cc h thng c s d liu khc lin quan c thc hin bng vic trin khai c s d liu v phn mm qun l cn b theo n ca B Ni v. Yu cu t ra nghin cu trong lun vn l qun l c ngun lc trong vic p ng c h tr xy dng quy trnh nhn s nh: tuyn dng, quy trnh nh gi ngun nhn lc, o to, gim st b sung bin ch, gim st c qu trnh lm vic ca nhn vin, gim st s liu cp nht trong h thng (d liu lun chuyn, d liu b sung t cc n v cp di..), h tr cng tc hoch nh m hnh t chc, h tr tuyn la v kt qu thu c m cc bo co thng k t chng trnh khng c c. Vi yu cu t ra nh vy, lun vn tip theo s nghin cu cng ngh, k thut v cng c phc v yu cu.

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CHNG 2. NGHIN CU CNG NGH, K THUT V CNG C PHC V YU CUTheo kt qu nh gi ca J.Han, M.Kamber, Fayyad v Piatetsky-Sapiro Smyth l nhng nh nghin cu pht trin lu nm trong lnh vc khai ph d liu v pht hin tri thc trong c s d liu th cng ngh khai ph d liu c bit nh l mt dng tin ha mi ca cng ngh c s d liu hay gii quyt tnh trng trn ngp thng tin m thiu thn tri thc. Xt yu cu pht hin nhng thng tin tim n ca d liu h s nhn s th cng ngh khai ph d liu l mt la chn. V k thut ca cng ngh khai ph d liu th c nhiu k thut p dng ch ph thuc vo yu cu ca bi ton c th. Lun vn i tng thut ton lin quan c mt la chn ph hp vi bi ton. V cng c (phn mm) phc v cng ngh v k thut khai ph d liu, phi xt ti yu cu chun b d liu: c mt kt ni trc tip vo c s d liu c th pht trin phn tch trc tuyn cng nh vic thun tin cho xy dng m hnh m khng mt thi gian chun b d liu. Tip theo y lun vn s cp ti nhng vn lin quan a ra nhng la chn. 2.1. Khai ph d liu:2.1.1. Khi nim:

Khai ph d liu c nh ngha l: qu trnh trch xut cc thng tin c gi tr tim n bn trong lng ln d liu c lu tr trong cc c s d liu, kho d liu Hin nay, ngoi thut ng khai ph d liu, ngi ta cn dng mt s thut ng khc c ngha tng t nh: khai ph tri thc t c s d liu (knowlegde mining from databases), trch lc d liu (knowlegde extraction), phn tch d liu/mu (data/pattern analysis), kho c d liu (data archaeology), no vt d liu (data dredging). Nhiu ngi coi khai ph d liu v mt thut ng thng dng khc l khm ph tri thc trong c s d liu (Knowlegde Discovery in Databases KDD) l nh nhau. Tuy nhin trn thc t, khai ph d liu ch l mt bc thit yu trong qu trnh Khm ph tri thc trong c s d liu. Qu trnh ny bao gm cc bc sau: Bc 1) Lm sch d liu (data cleaning): loi b nhiu hoc cc d liu khng thch hp;

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Bc 2) Tch hp d liu (data integration): tch hp d liu t cc ngun khc nhau nh: C s d liu, Kho d liu, file text...; Bc 3) Chn d liu (data selection): bc ny, nhng d liu lin quan trc tip n nhim v s c thu thp t cc ngun d liu ban u; Bc 4) Chuyn i d liu (data transformation): trong bc ny, d liu s c chuyn i v dng ph hp cho vic khai ph bng cch thc hin cc thao tc nhm hoc tp hp; Bc 5) Khai ph d liu (data mining): l giai on thit yu, trong cc phng php thng minh s c p dng trch xut ra cc mu d liu; Bc 6) nh gi mu (pattern evaluation): nh gi s hu ch ca cc mu biu din tri thc da vo mt s php o; Bc 7) Trnh din d liu (knowlegde presentation): s dng cc k thut trnh din v trc quan ho d liu biu din tri thc khai ph c cho ngi s dng.

Hnh 2.1 Qu trnh pht hin tri thc trong c s d liu

Khai ph d liu v pht hin tri thc trong cc c s d liu cun ht cc phng php, thut ton v k thut t nhiu chuyn ngnh nghin cu khc nhau nh hc my, thu nhn mu, c s d liu, thng k, tr tu nhn to, thu nhn tri thc trong h chuyn giacng hng ti mc tiu thng nht l trch lc ra c cc tri thc t d liu trong cc c s d liu khng l. Song so vi cc phng php khc, khai ph d liu c mt s u th r rt[1].2.1.2. u th khai ph d liu:

Khai ph d liu c nhiu ng dng v mt s u th r rt c xem xt di y:

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+ So vi phng php hc my, khai ph d liu c li th hn ch, khai ph d liu c th s dng vi cc c s d liu cha nhiu nhiu, d liu khng y hoc bin i lin tc. Trong khi phng php hc my ch yu c p dng trong cc c s d liu y , t bin ng v tp d liu khng qu ln; + Phng php h chuyn gia: phng php ny khc vi khai ph d liu ch cc v d ca chuyn gia thng mc cht lng cao hn nhiu so vi cc d liu trong c s d liu, v chng thng ch bao hm c cc trng hp quan trng. Hn na cc chuyn gia s xc nhn gi tr v tnh hu ch ca cc mu pht hin c; + Phng php thng k l mt trong nhng nn tng l thuyt ca Khai ph d liu, nhng khi so snh hai phng php vi nhau ta c th thy cc phng php thng k cn tn ti mt s im yu m Khai ph d liu khc phc c: Cc phng php thng k chun khng ph hp vi cc kiu d liu c cu trc trong rt nhiu c s d liu; Cc phng php thng k hot ng hon ton theo d liu, n khng s dng tri thc sn c v lnh vc; Kt qu phn tch ca thng k c th s rt nhiu v kh c th lm r c; Phng php thng k cn c s hng dn ca ngi dng xc nh phn tch d liu nh th no v u. Vi nhng u im , khai ph d liu ang c p dng khai ph d liu nhn s p ng tnh thng xuyn thay i, tng trng ca d liu. Tm kim nhng thng tin tim n trong d liu m bng phng php khc khng pht hin c[1]. 2.2. Cc k thut khai ph d liu: Cc k thut khai ph d liu [3] thng c chia thnh 2 nhm chnh: - K thut khai ph d liu m t: c nhim v m t v cc tnh cht hoc cc c tnh chung ca d liu trong c s d liu hin c. Cc k thut ny c th lit k: phn cm (clustering), tm tt (summerization), trc quan ha (visualization), phn tch s ph hin bin i v lch, phn tch lut kt hp (association rules)...; - K thut khai ph d liu d on: c nhim v a ra cc d on da

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vo cc suy din trn d liu hin thi. Cc k thut ny gm c: phn lp (classification), hi quy (regression)...; 3 phng php thng dng nht trong khai ph d liu l: phn cm d liu, phn lp d liu v khai ph lut kt hp. Ta s xem xt tng phng php: Phn cm d liu: Mc tiu chnh ca phng php phn cm d liu l nhm cc i tng tng t nhau trong tp d liu vo cc cm sao cho cc i tng thuc cng mt lp l tng ng cn cc i tng thuc cc cm khc nhau s khng tng ng. Phn cm d liu l mt v d ca phng php hc khng c thy. Khng ging nh phn lp d liu, phn cm d liu khng i hi phi nh ngha trc cc mu d liu hun luyn. V th, c th coi phn cm d liu l mt cch hc bng quan st (learning by observation), trong khi phn lp d liu l hc bng v d (learning by example). Trong phng php ny bn s khng th bit kt qu cc cm thu c s nh th no khi bt u qu trnh. V vy, thng thng cn c mt chuyn gia v lnh vc nh gi cc cm thu c. Phn cm d liu c s dng nhiu trong cc ng dng v phn on th trng, phn on khch hng, nhn dng mu, phn loi trang Web Ngoi ra phn cm d liu cn c th c s dng nh mt bc tin x l cho cc thut ton khai ph d liu khc. Khai ph lut kt hp: mc tiu ca phng php ny l pht hin v a ra cc mi lin h gia cc gi tr d liu trong c s d liu. Mu u ra ca gii thut khai ph d liu l tp lut kt hp tm c. Chng hn: phn tch c s d liu bn hng nhn c thng tin v nhng khch hng mua my tnh c khuynh hng mua phn mm qun l ti chnh trong cng ln mua c miu t trong lut kt hp sau:

My tnh => Phn mm qun l ti chnh[ h tr: 2%, tin cy: 60%] h tr v tin cy l hai o ca s ng quan tm ca lut. Chng tng ng phn nh s hu ch v s chc chn ca lut khm ph. h tr 2% c ngha l 2% ca tt c cc tc v phn tch ch ra rng my tnh v phn mm qun l ti chnh l c mua cng nhau. Cn tin cy 60% c ngha l 60% cc khch hng mua my tnh cng mua phn mm. Khai ph lut kt hp c thc hin qua 2 bc: Bc 1: tm tt c cc tp mc ph bin, mt tp mc ph bin c xc nh qua tnh h tr v tha mn h tr cc tiu.

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Bc 2: sinh ra cc lut kt hp mnh t tp mc ph bin, cc lut phi tha mn h tr cc tiu v tin cy cc tiu. Phng php ny c s dng rt hiu qu trong cc lnh vc nh marketing c ch ch, phn tch quyt nh, qun l kinh doanh, phn tch gi th trng Hi quy: l hc mt hm nh x d liu nhm xc nh gi tr thc ca mt bin. Tnh hung ng dng hi quy rt a dng, chng hn nh d on s lng sinh vt pht quang trong khu rng nh o vi sng cc cm bin (senser) t xa, hoc c lng xc sut ngi bnh c th cht theo kt qu test triu chng, hoc d bo nhu cu ngi tiu dng i vi mt sn phm mi, hoc d bo chui thi gian m cc bin u vo c coi nh bn tr thi gian ca bin d bo Phn lp d liu: Mc tiu ca phng php phn lp d liu l d on nhn lp cho cc mu d liu. Qu trnh phn lp d liu thng gm 2 bc: xy dng m hnh v s dng m hnh phn lp d liu. Bc 1: mt m hnh s c xy dng da trn vic phn tch cc mu d liu sn c. Mi mu tng ng vi mt lp, c quyt nh bi mt thuc tnh gi l thuc tnh lp. Cc mu d liu ny cn c gi l tp d liu hun luyn (training data set). Cc nhn lp ca tp d liu hun luyn u phi c xc nh trc khi xy dng m hnh, v vy phng php ny cn c gi l hc c thy (supervised learning) khc vi phn cm d liu l hc khng c thy (unsupervised learning). Bc 2: s dng m hnh phn lp d liu. Trc ht chng ta phi tnh chnh xc ca m hnh. Nu chnh xc l chp nhn c, m hnh s c s dng d on nhn lp cho cc mu d liu khc trong tng lai. Phng php hi qui khc vi phn lp d liu ch, hi qui dng d on v cc gi tr lin tc cn phn lp d liu th ch dng d on v cc gi tr ri rc. Nh vy, qua vic xem xt 3 phng php trn p vo trong bi ton d on d on ca d liu nhn s ta thy khai thc d liu nhn s phn nhiu l nhng lp d liu l bit trc d liu hun luyn. V d nh la chn cn b i o to lp qun l nh nc th c tiu chun nh km, cn c vo cc tiu chun ny ta dng phng php thng k truy vn vo d liu ta c tp d liu u p ng tiu chun. Vn cn li l xem xt thng tin tim n

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trong d liu d on cc mu d liu mi. Hn na, d on trong d liu nhn s l trng d liu c gi tr ri rc. Do vy, phn cm d liu khng thch hp cho bi ton xy dng m hnh d liu d on trn d liu nhn s. 2.3. Cy quyt nh: Trong phn lp d liu hnh thc trc quan ca m hnh l cy quyt nh. Sau y, lun vn s trnh by vai tr, nh gi v cy quyt nh trong khai ph d liu.2.3.1. Sc mnh ca cy quyt nh:

Cy quyt nh c cc sc mnh chnh sau [6]: Kh nng sinh ra cc quy tc hiu c Cy quyt nh c kh nng sinh ra cc quy tc c th chuyn i c sang dng if..then..else , hoc cc cu lnh SQL. y l u im ni bt ca k thut ny. Thm ch vi nhng tp d liu ln khin cho hnh dng cy quyt nh ln v phc tp, vic i theo bt c ng no trn cy l d dng theo ngha ph bin v r rng. Do vy s gii thch cho bt c mt s phn lp hay d on no u tng i minh bch. Kh nng x l vi c thuc tnh lin tc v thuc tnh ri rc Cy quyt nh x l tt nh nhau vi thuc tnh lin tc v thuc tnh ri rc. Tuy rng vi thuc tnh lin tc cn nhiu ti nguyn tnh ton hn. Nhng thuc tnh ri rc tng gy ra nhng vn vi mng neural v cc k thut thng k li thc s d dng thao tc vi cc tiu chun phn chia (splitting criteria) trn cy quyt nh: mi nhnh tng ng vi tng phn tch tp d liu theo gi tr ca thuc tnh c chn pht trin ti node . Cc thuc tnh lin tc cng d dng phn chia bng vic chn ra mt s gi l ngng trong tp cc gi tr sp xp ca thuc tnh . Sau khi chn c ngng tt nht, tp d liu phn chia theo test nh phn ca ngng . Th hin r rng nhng thuc tnh tt nht Cc thut ton xy dng cy quyt nh a ra thuc tnh m phn chia tt nht tp d liu o to bt u t node gc ca cy. T c th thy nhng thuc tnh no l quan trng nht cho vic d on hay phn lp.

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2.3.2.Nhc im ca cy quyt nh:

D c nhng sc mnh ni bt trn, cy quyt nh vn khng trnh khi c nhng im yu. l cy quyt nh khng thch hp lm vi nhng bi ton vi mc tiu l d on gi tr ca thuc tnh lin tc nh thu nhp, huyt p hay li xut ngn hng, Cy quyt nh cng kh gii quyt vi nhng d liu thi gian lin tc nu khng b ra nhiu cng sc cho vic t ra s biu din d liu theo cc mu lin tc. Nh vy, t nhng u im v nhc im trn cho thy cy quyt nh ph hp vi m hnh d on trn d liu nhn s bi nhng nguyn nhn sau : Tc hc tng i nhanh hn so vi nhng phng php phn loi khc; C th hon chuyn c thnh nhng lut phn lp n gin v d hiu; C th d dng chuyn i sang cu lnh SQL s dng truy vn SQL truy xut c s d liu mt cch hiu qu; S chnh xc phn lp c th so snh c vi nhng phng php khc. 2.4. Cc phn mm cng c khai ph d liu: Cc phn mm h tr khai ph d liu c pht trin nhiu. Lun vn ch cp ti mt s phn mm ang thng dng v ang c s dng c nh gi l hiu qu. Trn c s nghin cu a vo p dng trn d liu nhn s nh gi la chn trn cc c tnh: kt qu thu c, tnh s dng trc quan hiu qu, kh nng trin khai cao. Cc cng c c lun vn nghin cu cp: - Phn mm phn tch thng k R; - Phn tch s liu bng phn mm Weka; - Phn tch s liu bng See5/C5.0; - Phn tch s liu bng DTREEG1; - Phn tch s liu bng Microsoft Analysic Serivice.2.4.1. Phn tch s liu bng R:

Vy R l g? Ni mt cch ngn gn, R l mt phn mm s dng cho phn tch thng k v v biu . Tht ra, v bn cht, R l ngn ng my tnh a nng, c th s dng cho nhiu mc tiu khc nhau, t tnh ton n gin, ton hc gii tr (recreational mathematics), tnh ton ma trn (matrix),

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n cc phn tch thng k phc tp. V l mt ngn ng, cho nn ngi ta c th s dng R pht trin thnh cc phn mm chuyn mn cho mt vn tnh ton c bit. File d liu vo cho R: File d liu dng trong R l file .csv (file dng d liu Excel). ly d liu t bng d liu nhn s ta phi vo dng chc nng Export d liu ca H qun tr c s d liu SQL Server

Hnh 2.2 Hnh m t chc nng Export d liu t d liu nhn s

Sau khi export ta c file d liu lu vi tn HC_EMP.CSV. Ta dng file ny thc hin phn lp bng phn mm R. Nhp d liu vo R ta dng lnh Read.CSV:> setwd(c:/works/insulin) > gh save(gh, file="gh.rda")

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Ly Packages thc hin phn lp chn Random forest:

Hnh 2.3 Minh ha chc nng chn phn lp d liu trong R

nh gi h tr ca R v mt phn tch v d on s liu: Qua mn hnh v mt s t liu tham kho cho thy R l cng c phn tch thng k mnh. Nhng cng c mt s nh gi sau: - Thch hp m hnh phn tch thng k v v biu ; - Giao din kt qu kh khai thc( y l ng dng ci t cho tng my trm khng pht trin c ng dng phn tch trc tuyn); - D liu u vo cho phn tch dng bng theo cu trc file csv hoc file text. Cng c khng c h tr kt ni trc tip vo c s d liu; - Kt qu u ra khng trc quan; Chnh v nhng l do ny lun vn khng tip tc nghin cu s dng R cho bi ton phn tch s liu nhn s.2.4.2. Phn tch s liu bng phn mm weka

Gii thiu Weka:

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Weka l phn mm khai thc d liu vit bng ngn ng Java. Weka tp hp cc thut ton my hc cho cc tc v khai thc d liu. Weka gm cc cng c thc hin: tin x l d liu(data pre-processing), phn lp (classification), hi quy (regression), gom cm (clustering), lut kt hp (association rules). Chng ta c th tm hiu v s dng n qua website http://www.cs.waikato.ac.nz/~ml/weka/index.html. X l file d liu phn lp trong Weka: File d liu dng trong Weka l file .arff(file ny do phn mm Weka to ra) hoc file .csv (file dng d liu Excel). Phn lp trong Weka Chng ta c th dng d liu file.csv ca c s d liu nhn s va kit xut (export) bng chc nng ca h qun tr Microsoft SQL Server hoc s dng 2 file bank-data.csv v bank.arff do phn mm cung cp kim tra chc nng phn lp ca Weka. - thc hin phn lp, u tin chng ta phi chn file cn phn lp (Hnh 2.4 l hnh nh sau khi ti file d liu). - Sau khi m file, chn tab Classify. Nhn nt Choose chn phn lp theo lut no: Bayes, C4.5,(tng ng C4.5 , trong Weka l J48)

Hnh 2.4 Minh ha chn phn lp trong weka

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Hnh 2.5 Lit k cc phng php phn lp ca cng c

- Kt qu s hin ra trn mn hnh bn phi:

Hnh 2.6 Lit k kt qu phn lp

nh gi h tr ca weka i vi yu cu phn tch trn d liu nhn s:

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- C s d liu nhn s dng H qun tr Microsoft SQL. V th, c d liu cho phn tch ta phi kit xut d liu theo nh dng; - Giao din kt qu kh khai thc( y l ng dng ci t cho tng my trm khng pht trin c ng dng phn tch trc tuyn); - D liu u vo cho phn tch dng bng theo cu trc file csv hoc file text. Khng c h tr kt ni trc tip vo c s d liu; - Kt qu u ra khng trc quan.2.4.3 Phn tch s liu bng See5/C5.0

See5 l mt dng ngh thut ca h thng xy dng s phn loi trong dng thc ca nhng cy quyt nh v tp lut . See5 c thit k v hot ng trn c s d liu ln v s kt hp i mi nh l boosting. Kt qu to ra bi See5 v C5.0 l tng t nhau. Hot ng trc y trn Windows95/98/NT ca C5.0 l phn hot ng ca n trn Unix . See 5 v C5.0 l nhng cng c khai khi d liu phc tp cho nhng mu khai ph d liu m phc ha ra nhng loi tp hp chng thnh nhng i tng phn loi v s dng chng tin on. c im chnh ca C5.0 l : C5.0 c thit k phn tch nhng c s d lu quan trng cha ng hng ngn n hng trm ngn nhng records.v hng chc n hng trm s liu v hoc tn trng (field). ti a kh nng gii thch , i tng phn loi ca See5.0 /C5.0 c din t nh l cy quyt nh hoc tp ca nhng lut if then.Dng thc ca n d hiu hn so vi neutron network. C5.0 d dng s dng do khng c gi l kin thc cao cp ca thng k v hc my.

X l file d liuMi b d liu dng trong See5/C5.0 gm c 3 file: -Filestem.names: nh ngha b d liu; -Filestem.data: cha d liu training, c cu trc nh sau: mi dng tng ng vi mt bn ghi (cases) trong c s d liu. Mi dng mt b gi tr theo th nh ca cc thuc tnh nh ngha trong filestem.names. Cc gi tr ngn cch nhau bi du phy. Gi tr thiu (missing value) c biu din bng du ?.

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-Filestem.test: cha d liu test, File ny cha d liu test trn m hnh phn lp c to ra t tp d liu training, v c cu trc ging filestem.data. nh gi h tr ca See5/C5.0 v mt phn tch v d on s liu: C s d liu nhn s dng H qun tr Microsoft SQL. V th, c d liu cho phn tch ta phi kit xut d liu theo nh dng; Giao din kt qu kh khai thc theo yu cu( y l ng dng ci t cho tng my trm khng pht trin c ng dng phn tch trc tuyn); D liu u vo cho phn tch dng phi nh ngha cu trc file. Khng c h tr kt ni trc tip vo c s d liu; Kt qu u ra khng trc quan.

2.4.4. Phn tch s liu bng DTREG1

Gii thiu: DTREG l chng trnh phn tch thng k mnh, pht sinh cy quyt nh phn lp, hi quy v m hnh SVM m t mi lin h d liu, c th s dng d on gi tr cho s kho st tng lai. File d liuDTREG gm 2 file:

File .csv (file dng d liu Excel) cha d liu ngun phc v cho vic phn tch; File dtree cha cc kt qu hin th phn tch:

Hnh 2.7 Dng kt qu ca DTREE

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Hnh 2.8 Kt qu cy quyt nh

nh gi phn tch s liu DTree Giao din kt qu kh khai thc theo yu cu( y l ng dng ci t cho tng my trm khng pht trin c ng dng phn tch trc tuyn); D liu u vo cho phn tch dng phi nh ngha cu trc file. Khng c h tr kt ni trc tip vo c s d liu.2.4.5.Phn tch s liu s dng cng c ca Microsoft:

Trong phn ny s trnh by cch thc cng c Microsoft Analysis Services c s dng hin thc m hnh cy quyt nh trong phn mm Microsoft SQL Server 2000 .Chng ta cp n to m hnh cy quyt nh vi m hnh - mt s dng nhng bng quan h chun nh l ngun.a).To m hnh:

Bc u tin trong hot ng khai ph d liu l to m hnh . M hnh khai ph d liu c to ra khc bit vi cc cng c khc l t nhng mu tin cha trong mt ngun d liu (data source) . Mt vi ngun d liu c th c kt ni thng qua OLE DB c th c s dng to m hnh . Nhng ngun ny bao gm c s d liu quan h , OLAP cubes, FoxPro tables, text file , hoc thm ch Microsoft Excel spread sheets. Chng ta cng s tp trung vo cch thc s dng nhng ngun d liu ny lu tr test case c s dng to tin on v cch thc cha kt qu ca nhng tin on. Sn phm ca Microsoft i i vi nhng tc v trong mt gii hn v c th tin on mt s bc. Mining mode wizard s dn dt chng ta tng bc to mt m hnh:

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1. Chn ngun (Select source); 2. Chn case table hoc nhng bng cho m hnh khai ph d liu; 3. Chn k thut khai ph d liu (gii thut); 4. Hiu chnh nhng kt ni ca nhng bng c chn nh l ngun trong nhng bc trc; 5. Chn ct Case Key; 6. Chn Input v ct tin on;7. Kt thc .

b).Cc thut ton c Microsoft khuyn co s dng vi k thut thc hin:

Hnh 2.9 Bng khuyn co la chn thut ton ca Microsoft

T bng cho thy cy quyt nh l la chn s 1 cho cc k thut phn lp, hi quy v lut kt hp. Cy quyt nh khng c la chn th 2.c).Kt lun v cng c Microsoft Analysis service:

Trong cc cng c trn cng c phn tch ca Microsof th hin c tnh u vit: - D rng kt ni vi h qun tr c s d liu dng Microsoft SQL Server; - S dng my ch (Server) phn tch ch cn kt ni vi my ch phn tch c th lm vic t bt k u khng cn ci t;

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- Cng c phn tch ca Microsoft s dng nhiu thut ton ca Datamining. V th mm do thun tin cho khai thc nghip v thay i (Chi tit v vic s dng phn lp hnh thnh cy quyt nh s c gii thiu y hn trong phn cng c la chn); - Khi c s d liu dng h qun tr Microsoft SQL Server vic la chn cng c phn tch d liu vi yu cu trc tuyn th ch c mt la chn l sn phm ca Microsoft: Microsoft Analysis Service. Vi sn phm ny ngi s dng c th dng Microsoft Excel ly d liu t c s d liu dng phn tch bng tnh. 2.5. Cng c la chn: Gii thiu cng c: Analysis Service - Mt dch v phn tch d liu rt hay ca Microsoft. H tr ly d liu b ch t cha trong c s d liu. Microsoft cung cp cho bn mt cng c rt mnh gip cho vic phn tch d liu tr nn d dng v hiu qu bng cch dng khi nim hnh khi nhiu chiu (multi-dimension cubes) v k thut "khai ph d liu". Phn ny gii thiu v kh nng ca cng c trong vic xy dng m hnh. M t mn hnh giao din

Hnh 2.10 Mn hnh Analysis Manager

- Bn tri mn hnh l cy theo di c s d liu v cc i tng trong c s d liu. Bn di nt c tn Analysis Server, ta c th khai bo nhiu c s d liu, hoc import t nhiu ngun khc nhau nh : Access, SQL Server,

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Oracle,; - Bn phi mn hnh hin th thng tin chi tit v 1 i tng ang chn trn cy bn tri. Tab Meta Data hin th thng tin chung v cu trc ca i tng . Tab Data hin th d liu ang cha trong i tng . Cc chc nng c bn trn mn hnh Analysis Manager : a. ng k mt Analysis Server (my ch phn tch d liu); b. To mt database (c s d liu phn tch); c. To mt khi d liu (d liu tng hp-phn tch nhiu chiu); d. To mt chiu (dimension); e. To php o (measure). f. Hin th m hnh (Brow) g. Ly d liu (process) Xy dng m hnh phn tch kho d liu nhn s: Ly d liu ngun chn bng HC_EMP (bng cha thng tin h s nhn s)

Hnh 2.11 Chn bng d liu u vo cho m hnh

La chn Datamining technique l Microsoft Decision Trees

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Hnh 2.12 Chn k thut Data Mining

Chn Thuc tnh u vo Chn thuc tnh cn d on (nhn lp): Gii tnh (Sex); n v cng tc (Node_ID); Nm sinh (Birth_Date_year); Chuyn ngnh o to (Des_Lim_Code2_class); Sc khe (HEA_CON_CLASS);Chuyn ngnh o to(DES_LIM_CODE2_CLASS);ng vin (RPOS_DATE_YEAR)

Hnh 2.13 La chn cc ct d liu cho m hnh d on

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Kt qu m hnh l mt cy quyt nh, bn trn cng l cc la chn thuc tnh cn d on, gia l cy quyt nh tng ng, bn phi l nh gi, bn tri l cc thuc tnh. c thng tin chi tit ca m hnh ta chn tng l s c thng tin d on v thuc tnh la chn. Chn l cui cng ca cy da on nhn lp lnh o Lea Alw Coef > 0.637499988079071 (h s ph cp lnh o 0.6374999988076071 th thuc lp lnh o. Gi tr ca lp ny nh sau:

Hnh 2.14 Kt qu cy quyt nh

Khai thc m hnh By gi ta c mt trng hp m trng v tr l lnh o cp cao th trng h s ph cp lnh o s c gi tr : Lea Alw Coef > 0.637499988079071. Ngc li ni khc i nu mt trng hp c h s ph cp lnh o Lea_Alw_Coef >0.637499988079071 th s l lnh o cp cao. Thut ton p dng Thut ton Microsoft Decision Tree h tr c vic phn lp v hi quy , v to rt tt cc m hnh d on. D liu vo i vi m hnh cy quyt nh: Ct d liu cn d on, ct d liu vo, mt thuc tnh kha phn bit cc trng hp. S dng thut ton ny c th d on c cc thuc tnh ri rc v lin tc.

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Vi thuc tnh ri rc, thut ton d on da trn mi quan h ca cc thuc tnh vo. c bit thun ton pht hin thuc tnh vo c mi tng ng vi thuc tnh d on. V d d on khch hng thch mua xe p, c 9 trong 10 khch hng mua xe p l ngi t tui, ch c 1 khch l ngi ln tui. Thut ton s suy lun tui d on ca khch hng mua xe p, cy quyt nh d on da trn thin hng ny. Vi thuc tnh lin tc, thut ton Microsoft Decision Tree dng lc :

Hnh 2.15 Lc minh ha cho d on thuc tnh lin tc

Vi thuc tnh ri rc thut ton dng hi quy xc nh s phn chia cy:

Hnh 2.16 Minh ha cho d on thuc tnh lin tc

Nu c nhiu d on (tp d on) thut ton s xy dng cy quyt nh c lp cho mi ct d on.

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Trong vic xy dng m hnh, thut ton ny s kho st s nh hng ca mi thuc tnh trong tp d liu v kt qu ca thuc tnh d on . Tip n n s dng cc thuc tnh input (thuc tnh vo vi cc quan h r rng) to thnh 1 nhm phn ho gi l cc node . Khi 1 node mi c thm vo m hnh , 1 cu trc cy s c thit lp . Node nh ca cy s miu t s phn tch (bng thng k)ca cc thuc tnh d on thng qua cc mu . Mi node thm vo s c to ra da trn s sp xp cc trng ca thuc tnh d on, so snh vi d liu thuc tnh input . Nu 1 thuc tnh input c coi l nguyn nhn ca thuc tnh d on (to favour one state over another), 1 node mi s thm vo m hnh. M hnh tip tc pht trin cho n lc khng cn thuc tnh no, to thnh 1 s phn tch(split) cung cp mt d bo hon chnh thng qua cc node tn ti . M hnh i hi tm kim mt s kt hp gia cc thuc tnh v trng ca n , nhm thit lp mt s phn phi khng cn xng gia cc trng trong thuc tnh d on, V th cho php d on kt qu ca thuc tnh d on mt cch tt nht. Kt lun chng 2 Chng 2 nghin cu cc cng ngh k thut v cng c s dng ph hp vi yu cu t ra. Kt qu cho thy k thut phn lp d liu da trn cy quyt nh c nhiu u bit v vic s dng cng c Microsoft Analysis Service kh thun tin, trc quan, mang li chnh xc h tr ca m hnh d on. Trong cc cng c trn cng c phn tch ca Microsof th hin c tnh u vit: - D dng kt ni vi h qun tr c s d liu dng h qun tr Microsoft SQL server; - S dng h tr phn tch trn web ch cn kt ni vi my ch (server) kt ni l c th dng cng c lm vic t bt k u khng cn ci t (Analysis service on web); - Cng c phn tch ca Microsoft s dng nhiu thut ton ca Data Mining. V th mm do thun tin cho khai thc nghip v thay i.

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CHNG 3.PHN LP D LIU S DNG CY QUYT NH 3.1. Tng quan v phn lp d liu trong khai ph d liu3.1.1.Phn lp d liu

Mt trong cc nhim v chnh ca khai ph d liu l gii quyt bi ton phn lp. u vo ca bi ton phn lp l mt tp cc mu hc c phn lp trc, mi mu c m t bng mt s thuc tnh. Cc thuc tnh dng m t mt mu gm hai loi l thuc tnh lin tc v thuc tnh ri rc. Trong s cc thuc tnh ri rc c mt thuc tnh c bit l phn lp, m cc gi tr ca n c gi l nhn lp. Thuc tnh lin tc s nhn cc gi tr c th t, ngc li thuc tnh ri rc s nhn cc gi tr khng c th t. Ngoi ra, cc thuc tnh c th nhn gi tr khng xc nh (chng hn, v nhng l do khch quan ta khng th bit c gi tr ca n). Ch rng nhn lp ca tt c cc mu khng c php nhn gi tr khng xc nh. Nhim v ca qu trnh phn lp l thit lp c nh x gia gi tr ca cc thuc tnh vi cc nhn lp. M hnh biu din quan h ni trn sau s c dng xc nh nhn lp cho cc quan st mi khng nm trong tp mu ban u.

Lp 1 D liu vo Thut ton Phn lp Hot ng Lp 2

Lp n

Hnh 3.1 Bi ton phn lp

Thc t t ra nhu cu t mt c s d liu vi nhiu thng tin n ta c th trch rt ra cc quyt nh nghip v thng minh. Phn lp v d on l hai dng ca phn tch d liu nhm trch rt ra mt m hnh m t cc lp d liu quan trng hay d on xu hng d liu tng lai. Phn lp d on gi tr ca nhng nhn xc nh (categorical label) hay nhng gi tr ri rc (discrete value), c ngha l phn lp thao tc vi nhng i tng d liu m c b gi tr l bit trc. Trong khi , d on li xy dng m hnh vi cc hm nhn

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gi tr lin tc. V d m hnh phn lp d bo thi tit c th cho bit thi tit ngy mai l ma, hay nng da vo nhng thng s v m, sc gi, nhit , ca ngy hm nay v cc ngy trc . Hay nh cc lut v xu hng mua hng ca khch hng trong siu th, cc nhn vin kinh doanh c th ra nhng quyt sch ng n v lng mt hng cng nh chng loi by bn Mt m hnh d on c th d on c lng tin tiu dng ca cc khch hng tim nng da trn nhng thng tin v thu nhp v ngh nghip ca khch hng. Trong nhng nm qua, phn lp d liu thu ht s quan tm cc nh nghin cu trong nhiu lnh vc khc nhau nh hc my (machine learning), h chuyn gia (expert system), thng k (statistics)... Cng ngh ny cng ng dng trong nhiu lnh vc khc nhau nh: thng mi, nh bng, maketing, nghin cu th trng, bo him, y t, gio dc... Qu trnh phn lp d liu gm hai bc [1]: Bc th nht (learning) Qu trnh hc nhm xy dng mt m hnh m t mt tp cc lp d liu hay cc khi nim nh trc. u vo ca qu trnh ny l mt tp d liu c cu trc c m t bng cc thuc tnh v c to ra t tp cc b gi tr ca cc thuc tnh . Mi b gi tr c gi chung l mt phn t d liu (data tuple), c th l cc mu (sample), v d (example), i tng (object), bn ghi (record) hay trng hp (case). Lun vn s dng cc thut ng ny vi ngha tng ng. Trong tp d liu ny, mi phn t d liu c gi s thuc v mt lp nh trc, lp y l gi tr ca mt thuc tnh c chn lm thuc tnh gn nhn lp hay thuc tnh phn lp (class label attribute). u ra ca bc ny thng l cc quy tc phn lp di dng lut dng if-then, cy quyt nh, cng thc logic, hay mng nron. Qu trnh ny c m t nh trong hnh v:

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Hnh 3.2 Qu trnh phn lp d liu - (a) Bc xy dng m hnh phn lpa) Training data Classification algorithm

T u i Ng o a i n g u C h o ? T ? ? n 25 Anh OK 35 Anh OK 40 Anh Lost 27 F ra nc e Lost 32 C hine s e Lost 30 Anh OK 32 Anh OK 40 F ra nc e Lost

Classifier (model)

if tui 0 then

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CHNG 4. THC NGHIM4.1.Gii thiu v m hnh xy dng:4.1.1.S lung d liu thng tin nhn s:Cp Cc D LIU VO Phiu iu tra cn b cng chc (S yu l lch) KHAI THC BO CO (Phc v qun l v phn tch)

C S D LIU NHN S Cp cc

Kt xut ra file d liu

Fax v Cng vn bo co

Cp Tng cc D LIU VO Phiu iu tra cn b cng chc (S yu l lch) KHAI THC BO CO (Phc v qun l v phn tch)

C S D LIU NHN S Ton ngnh

Hnh 4.1 S lung d liu thng tin nhn s

Chng trnh c trin khai xy dng 2 cp: cp Cc v cp Tng cc. Cp Cc cp nht d liu h s l lch ca n v mnh lu tr ti c s d liu cp Cc khai thc bo co qun l v bo co theo yu cu nghip v. Cp Tng cc ngoi chc nng cp nht thng tin s yu l lch nhn s Tng cc nh cp Cc cn tin hnh cp nht d liu nhn v t cc Cc a phng: thng tin h s cn b mi, b sung, h s lun chuyn t n v ny sang n v khc. Vic khai thc bo co t d liu ny ph thuc vo chng

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trnh xy dng nn c nhiu hn ch. Cc bo co ca h thng hin ti xy dng theo phng php thng k p ng vic lm bo co theo biu mu ca B Ni v (cch lm th cng). Chng trnh cng h tr thm cc bo co theo yu cu ring ca tng n v nh bo co cng chc theo ngch chc danh, cc bo co ch cng chc trong giai on tp s, ht tp sHay chc nng lm bo co ng theo cch ngi dng t chn cc trng d liu trong h s cn lm bo co. Song vic h tr nh vy vn tn ti cc yu cu phi nghin cu h tr nh sau: + Gim st c d liu cp nht t cp di: Vic ny gy mt rt nhiu thi gian i hi cn b thc hin phi c chuyn mn. nh gi v kt qu gim st khng c nhiu. + Vic la chn cn b theo tiu chun o to, quy hoch nh th ng v i tng cha. + Vic b sung, ct gim bin ch hay iu chuyn cn b trong ca cc n v gp nhiu kh khn (kt qu bo co th c nhiu dn ti kh c th lm r c). Theo yu cu bo qun thng tin h s, d liu s dng trong lun vn c chy trn c s d liu th nghim. C s d liu ny c qun l bng h qun tr SQL Server (H qun tr c s d liu ca h s gc bng Oracle 9i).4.1.2. Gii quyt vn :

Cc vn khng th thc hin c bng chng trnh qun l hin ti. Ta gii quyt vn tn ti ny bng nghin cu ca lun vn s dng cng c Microsoft Analysis Services ca Microsoft tin hnh to m hnh phn lp d liu da trn k thut Microsoft Decision Tree Cy quyt nh. D liu vo ca m hnh l bng chnh ca c s d liu s yu l lch nhn s. C s d liu ny bao gm: Bng d liu chnh, d liu tham chiu v d liu danh mc vic bng d liu chnh s l bng d liu vo cho m hnh xy dng. Bng d liu c lm vic HC_EMP y l bng d liu chnh cha thng tin cn cho m hnh xy dng. Vic xy dng m hnh khng my kh khn v rt nhanh chng qua 3 bc xc nh: Bc 1: Chy chng trnh Microsoft Analysis Service manager kt ni vo My ch phn tch (Analysis Server) c kt ni n c s d liu nhn s;

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Bc 2: Xc nh thuc tnh cn d on v thuc tnh u vo cho m hnh. u im ca cng c ny khng ph thuc qu nhiu vo vic chun b d liu; Bc 3: Dng chc nng xy dng m hnh : +M t bng d liu vi d liu vo v trng d liu cn d on; +Chn thut ton cn s dng trong lun vn ny ta dng Microsoft Decision Tree. Ta c m hnh cn.4.1.3.Cc m hnh c xy dng:

Hnh 4.2 Hnh minh ha l cc m hnh c xy dng h tr cho cng tc

Giao din h tr ca m hnh xy dng gm c 6 thnh phn:

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Hnh 4.3 Hnh minh ha cc thnh phn ca giao din h tr

1.Thuc tnh cn d on y l trng d liu thng tin v cng vic hin ti 2.Hnh nh m hnh cy thu c 3.Con s thng k v kh nng d on cho tng node 4.M t mi quan h gia cc nt hay lut v d: (Node Id not = 110029 and Inst Code 19023.75 and 20162.25 and Id Card Date exists) 5.Ch dn mu sc biu hin mt phn b d liu c nh du hin th theo mu sc v la chn cc trng hp (trn hnh v l All cases ngha l tt c cc trng hp). Cng c h tr ngi dng chi tit tng trng hp. 6.Hnh nh tng th cng mt phn b d liu ca cy m hnh thu c. Vy th, cc m hnh c gi tr nh th no cho cc cng vic ang vng mc cp trn. Ta s thy r hn phn minh ha cc kt qu thu c t cc m hnh.

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4.2. Minh ha kt qu h tr thu c t m hnh xy dng4.2.1 Minh ha h tr cng tc tuyn la v o to-cy la chn cn b o to qun l nh nc

n v nhn trch nhim o to(sau y gi l V T chc cn b) phi lm cng vn thng bo ti cc n v trong ngnh bit v kha o to: Chng trnh hc, a im, thi gian o to v i tng o to. Di y l mt hnh minh ha cng vn thng bo o to:

Hnh 4.4 Minh ha cng vn o to

Hnh 4.5 Minh ha yu cu i tng o to

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Sau khi V T chc cn b nhn c danh sch ng k tham gia lp o to t cc n v. V T chc tin hnh: tng hp, kim tra danh sch (i chiu vi tiu chun). Kt qu kim tra s ra Quyt nh c cn b i o to. Vn h tr Quyt nh c trnh by chi tit di y: i tng o to (tiu chun): -L lnh o cp phng tr ln (class=1) -35 tui tr ln (birth_date_yearM n v cp trn Tn cng vic hin ti Ngy vo ngnh Phn lp chng ch khc Phn lp Chuyn ngnh o to C chng ch o to nghip v Phn lp:0 cha o to qun l nh nc; 1 l i o to Phn lp chc v lnh o cp phng tr ln

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PH LC 2: THNG TIN V QUN L QU TRNH C NHN CA CHC NNG H S HIN TIGi tr Ngy bt u qu trnh cng tc ti n v cng tc (MM/YYYY) n ngy Ngy kt thc qu trnh cng tc ti n v cng tc (MM/YYYY) n v cng tc n v cng tc trong khong thi gian T ngy - n ngy (c th t g khi n v cng tc nm ngoi h thng hoc chn t danh sch chn bng cch n F9 khi n v cng tc nm trong h thng qun l) Ngnh T cp nht khi n v cng tc nm trong h thng qun l hoc l Null khi n v nm ngoi h thng (c th chn t danh sch chn bng cch n F9) Chc v M chc v thc t theo khi (c th chn t danh sch chn bng cch n F9) Cng vic M t cc cng vic m nhim trong qu trnh cng tc Hnh thc tuyn Hnh thc tuyn dng vo c quan (c th chn t danh dng sch chn bng cch n F9) S nghip S nghip c chn theo n v cng tc ca cn b (c th chn t danh sch chn bng cch n F9) S quyt nh Lu tr s quyt nh cng tc ca cn b Qu trnh cng vic Tn thng tin Gi tr T ngy Ngy bt u cng vic (MM/YYYY) n ngy Ngy kt thc cng vic (MM/YYYY) Cng vic m ng vic chuyn ngnh m nhim trong khong thi nhim gian T ngy - n ngy da theo Ngnh trong qu trnh cng tc (c th chn t danh sch chn bng cch n F9) Qu trnh cng tc nc ngoi Tn thng tin Gi tr T ngy Ngy bt u i cng tc (MM/YYYY) n ngy Ngy kt thc chuyn cng tc (MM/YYYY) Quc gia cng tc Quc gia n cng tc (c th chn t danh sch chn bng cch n F9) Hnh thc cng tc Hnh thc i nc ngoi (c th chn t danh sch chn bng cch n F9) L do L do i cng tc (v d nh i hc, hi tho) Loi h chiu Chn t danh sch chn vi ba loi: PT-Ph thng, CV-Cng v, NG-Ngoi giao Qu trnh cng tc Tn thng tin T ngy

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Tn thng tin Gi tr n v t chc n v t chc chuyn i cng tc Qu trnh tham gia ng Tn thng tin Gi tr Ngy vo ng Ngy vo ng (DD/MM/YYYY) Ngy chnh thc vo Ngy chnh thc vo ng (DD/MM/YYYY) ng Ngy ra Ngy ra khi ng hoc b khai tr (DD/MM/YYYY) Ni vo ng Ni kt np ng S th ng S th ng vin Ngy cp th Ngy cp th ng (DD/MM/YYYY) Ti ng b ng b cp th ng Qu trnh chc v ng Tn thng tin Gi tr T ngy Ngy bt u chc v ng (MM/YYYY) n ngy Ngy kt thc chc v ng (MM/YYYY) Chc v ng Chc v ng (c th chn t danh sch chn bng cch n F9) ng b ng b ni sinh hot Qu trnh lng Tn thng tin Gi tr T ngy Ngy bt u hng mc lng (MM/YYYY) n ngy Ngy kt thc hng mc lng (MM/YYYY). Thng tin ny s t cp nht khi nhp qu trnh lng mi sao cho cc qu trnh lng l lin tip Ngch cng chc Ngch cng chc (c th chn t danh sch chn bng cch n F9 hoc nhp trc tip) Bc lng Bc lng tng ng vi ngch cng chc (ch xc nh khi Ngch cng chc c chn t danh sch chn) H s lng H s lng tng ng vi Ngch cng chc v Bc lng Phn trm hng Phn trm hng lng (mc nh l 100%). Gi tr ca trng ny nh hn 100% khi tp s v ln hn 100% khi vt khung Ngy xt NL sau Ngy xt nng lng ln sau (DD/MM/YYYY). Mc nh bng ngy bt u hng mc lng Qu trnh ph cp chc v Tn thng tin Gi tr T ngy Ngy bt u hng ph cp chc v (MM/YYYY) n ngy Ngy kt thc hng ph cp chc v (MM/YYYY) Chc v Chc v thc t theo khi (c th chn t danh sch chn bng cch n F9) H s H s ph cp chc v

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Qu trnh ph cp khc Tn thng tin Gi tr T ngy Ngy bt u hng ph cp (MM/YYYY) n ngy Ngy kt thc hng ph cp (MM/YYYY) Loi ph cp Loi ph cp c hng (c th chn t danh sch chn bng cch n F9) Cch tnh Chn cch tnh t danh sch chn (theo 4 cch) H s H s hng ph cp Thnh tin S tin ph cp thc hng (t cp nht theo Cch tnh chn hoc t nhp) Chuyn mn - Nghip v, Tin hc - Ngoi ng Tn thng tin Gi tr T ngy Ngy bt u qu trnh o to (MM/YYYY) n ngy Ngy kt thc qu trnh o to (MM/YYYY) Chuyn ngnh Ngnh ngh o to (c th chn t danh sch chn bng cch n F9 hoc t nhp) Vn bng Loi vn bng (c th chn t danh sch chn bng cch n F9) Hng Hng vn bng (c th chn t danh sch chn bng cch n F9) Ngy S VB Ngy cp bng v s ca vn bng c cp Hnh thc Hnh thc o to (c th chn t danh sch chn bng cch n F9) Ni o to Ni o to (c th chn t danh sch chn bng cch n F9) Quc gia Quc gia ni o to (c th chn t danh sch chn bng cch n F9). Mc nh l Vit Nam L lun chnh tr - Qun l nh nc - Qun l kinh t Tn thng tin Gi tr T ngy Ngy bt u qu trnh o to (MM/YYYY) n ngy Ngy kt thc qu trnh o to (MM/YYYY) Vn bng Loi vn bng (c th chn t danh sch chn bng cch n F9) Hng Hng vn bng (c th chn t danh sch chn bng cch n F9) Ngy S VB Ngy cp bng v s ca vn bng c cp Hnh thc Hnh thc o to (c th chn t danh sch chn bng cch n F9) Ni o to Ni o to (c th chn t danh sch chn bng cch n F9) Quc gia Quc gia ni o to (c th chn t danh sch chn bng cch n F9). Mc nh l Vit Nam Qu trnh danh hiu, hoc hm Tn thng tin Gi tr

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Ngy bt u c nhn danh hiu hoc hc hm (MM/YYYY) Danh hiu, hc hm Danh hiu, hc hm c nhn (c th chn t danh sch chn bng cch n F9) Qu trnh khen thng Tn thng tin Gi tr Nm Nm khen thng (YYYY) Hnh thc khen Hnh thc khen thng (c th chn t danh sch chn thng bng cch n F9) L do L do khen thng S quyt nh S ca quyt nh khen thng n v khen thng n v k quyt nh khen thng Cp khen thng Cp khen thng (c th chn t danh sch chn bng cch n F9) Qu trnh k lut Tn thng tin Gi tr T ngy Ngy bt u nhn hnh thc k lut (MM/YYYY) n ngy Ngy kt thc nhn hnh thc k lut (MM/YYYY) Hnh thc k lut Hnh thc k lut (c th chn t danh sch chn bng cch n F9) L do L do k lut (c th chn t danh sch chn bng cch n F9) S quyt nh S ca quyt nh k lut n v k lut n v k quyt nh k lut Cp k lut Cp k lut (c th chn t danh sch chn bng cch n F9) Quan h gia nh Tn thng tin Gi tr Quan h Loi quan h gia nh (c th chn t danh sch chn bng cch n F9) H v tn H v tn ngi c quan h vi cng chc Nm sinh Nm sinh ca ngi c quan h vi cng chc (YYYY) Cng vic M t cng vic ca ngi c quan h vi cng chc Ni Ni ca ngi c quan h vi cng chc Tnh trng Tnh trng ca ngi c quan h vi cng chc nh gi hng nm Tn thng tin Gi tr Nm Nm nh gi (YYYY) Kt qu Kt qu nh gi c chn t danh sch chn Ghi ch Ghi ch

T ngy