Decision No. 09/2015/QD-TTg Issuing the Rules on Implementing the Single Window Mechanism and the Interconnected Single Window Mechanism at Local Administrative Agencies

Pursuant to …;

Issuing the Rules on Implementing the Single Window Mechanism and the Interconnected Single Window Mechanism at Local Administrative Agencies

Pursuant to the Law on Organization of the Government dated December 25, 2001;

Pursuant to Decree No. 63/2010/ND-CP dated June 8, 2010 on administrative procedure control;

Pursuant to Decree No. 48/2013/ND-CP dated May 14, 2013 of the Government amending and supplementing certain articles of related decrees concerning administrative procedure control;

Pursuant to Decree No. 132/2013/ND-CP dated October 16, 2013 of the Government on the functions, tasks, and powers of Ministries and ministerial-level agencies;

At the request of the Minister of Home Affairs,

The Prime Minister issues the Rules on Implementing the Single Window Mechanism and the Interconnected Single Window MechanISM at Local Administrative Agencies.

Article 1. These Rules are promulgated together with this Decision.

Article 2. This Decision takes effect from May 15, 2015, replacing Decision No. 93/2007/QD-TTg dated June 22, 2007 of the Prime Minister promulgating the Rules on Implementing the Single Window Mechanism and the Interconnected Single Window MechanISM at Local Administrative Agencies.

Article 3. The Ministers, Heads of ministerial-level agencies, Heads of government agencies, Chairmen of provincial People's Committees under the central government are responsible for implementing this Decision.

REGULATIONS

IMPLEMENTATION OF THE SINGLE WINDOW MECHANISM AND THE INTERCONNECTED SINGLE WINDOW MECHANISM AT LOCAL ADMINISTRATIVE AGENCIES
(Promulgated together with Decision No. 09/2015/QD-TTg dated March 25, 2015 of the Prime Minister)

PART I

GENERAL PROVISIONS

Article 1. Single Window Mechanism and Interconnected Single Window Mechanism

1. The single window mechanism is a method for handling matters of individuals and organizations within the responsibility and authority of one administrative agency, which involves publicly disclosing and guiding administrative procedures, receiving files, processing, and delivering results through a centralized point known as the Single Window Unit of the administrative agency.

2. The interconnected single window mechanism is a method for handling matters of individuals and organizations within the responsibility and authority of multiple administrative agencies at the same level or between administrative agencies at different levels, involving publicly disclosing and guiding administrative procedures, receiving files, processing, and delivering results through a centralized point known as the Single Window Unit of one administrative agency.

Article 2. Single Window Unit

1. The Single Window Unit is a centralized point for guiding administrative procedures, receiving files from individuals and organizations to transfer to specialized agencies or competent authorities for resolution, and receiving and delivering results to individuals and organizations.

2. Modern Single Window Unit is a Single Window Unit equipped with electronic devices and applying electronic software in administrative transactions between individuals and organizations and administrative agencies, and between administrative agencies in publicly disclosing, guiding, receiving files to transfer to specialized agencies for resolution, and receiving and delivering results to individuals and organizations according to the single window mechanism and the interconnected single window mechanism across all areas under the resolution authority of the administrative agency.

Article 3. Principles for Implementing the Single Window Mechanism and the Interconnected Single Window Mechanism

1. Publicly posting complete and timely administrative procedures in the Decision on Announcing Administrative Procedures of the People's Committee of the province or centrally governed city (hereinafter referred to collectively as the provincial-level People's Committee) as prescribed.

2. Ensuring prompt and convenient handling of matters for individuals and organizations; requests for supplementary files shall only be made once throughout the entire process of handling files at one specialized agency.

3. Ensuring close coordination among administrative agencies in handling matters for individuals and organizations.

4. Collection of fees and charges from individuals and organizations must be carried out strictly in accordance with the provisions of the law.

Article 4. Authorities Implementing the Single Window Mechanism and the Interconnected Single Window Mechanism

1. Specialized agencies under the People's Committee of the province.

2. People's Committees of districts, towns, cities under provinces (hereinafter referred to collectively as district level).

3. People's Committees of communes, wards, towns (hereinafter referred to collectively as commune level).

4. Central agencies organized vertically located at localities (hereinafter referred to collectively as vertically organized agencies).

Article 5. Scope of Application of the Single Window Mechanism and the Interconnected Single Window Mechanism

1. The single window mechanism shall be implemented in handling administrative procedures within the jurisdiction of one of the authorities specified in Article 4 of this Regulation.

2. The interconnected single window mechanism shall be implemented in handling administrative procedures in the following fields: Investment; land; business registration; construction permit issuance; judiciary and other fields within the jurisdiction of multiple administrative state agencies.

Chapter II

PROCEDURE FOR IMPLEMENTING THE SINGLE WINDOW MECHANISM AND THE INTERCONNECTED SINGLE WINDOW MECHANISM

Article 6. Procedure for Implementing the Single Window Mechanism

1. Receiving applications

a) Individuals and organizations submit applications directly at the Service Reception and Result Delivery Unit or through postal services, online submission where such services are provided.

b) Civil servants receiving applications at the Service Reception and Result Delivery Unit check the validity and completeness of the application:

If the application does not fall within the scope of resolution, they guide individuals and organizations to the competent authority;

If the application is incomplete, they provide specific guidance according to Model No. 01 attached to this Decision;

c) Civil servants receiving applications enter the application into the Register of Applications according to Model No. 02 attached to this Decision and electronic software (if available), issue an Application Receipt and set a date for result delivery according to Model No. 03 attached to this Decision;

d) In cases where civil servants receiving applications at the Service Reception and Result Delivery Unit are assigned to resolve the application, they enter it into the Register of Applications and electronic software (if available):

For applications that can be resolved and results delivered immediately without issuing an Application Receipt and setting a date for result delivery: Civil servants review, present to the competent authority for decision, and deliver the result of the application resolution to individuals and organizations;

For applications with a resolution timeframe: Civil servants issue an Application Receipt and set a date for result delivery, review, present to the competent authority for decision, and deliver the result of the application resolution to individuals and organizations.

2. Transfer of Applications

a) After receiving applications as stipulated in Point c Clause 1 of this Article, civil servants prepare a Process Control Sheet according to Model No. 04 attached to this Decision;

b) Transfer the application and Process Control Sheet to relevant agencies and organizations for resolution. The Process Control Sheet is transferred along with the application and kept at the Service Reception and Result Delivery Unit.

3. Resolution of Applications

After receiving applications, agencies and organizations assign staff and civil servants to resolve them as follows:

a) In cases where there is no requirement for verification or investigation of the application: Civil servants review, present to the competent authority for decision, and transfer the result of the application resolution to the Service Reception and Result Delivery Unit;

b) In cases where there is a requirement for verification or investigation of the application: Civil servants report to the authorized person on the verification and investigation plan and organize its implementation. The verification and investigation process must be documented and kept at the resolving agency;

For applications that meet conditions after verification and investigation: Civil servants review, present to the competent authority for decision, and transfer the result of the application resolution to the Service Reception and Result Delivery Unit;

For applications that do not meet conditions after verification and investigation: Civil servants report to the competent authority to return the application with a written notification specifying the reasons and required supplements. The time spent on the first resolution attempt by the agency or organization counts towards the resolution timeframe;

c) For applications specified in Points a and b of this Clause that do not meet conditions after review, civil servants report to the competent authority to return the application and issue a written notification specifying the reasons for non-resolution. The notification is entered into the result delivery section of the Register of Applications. The notification period must be within the resolution timeframe;

d) For overdue applications: The agency or organization resolving the application must notify the Service Reception and Result Delivery Unit in writing and issue an apology letter to individuals and organizations, specifying the reasons for the delay and the new deadline for result delivery.

4. Delivery of Resolution Results

Civil servants at the Service Reception and Result Delivery Unit enter the application into the Register of Applications and electronic software (if available) and proceed as follows:

a) For fully resolved applications: Deliver the resolution result to individuals and organizations and collect fees and charges (if applicable); if individuals and organizations have registered to receive results via postal service, the result delivery, fee collection, and postage will be conducted via postal service; if level 4 online public service is applied, the result delivery and fee collection (if applicable) shall be carried out according to regulations;

b) For applications that do not meet resolution conditions: Contact individuals and organizations to request additional documentation based on the notification from the agency or organization resolving the application and the apology letter from the Service Reception and Result Delivery Unit (if the error was made by the civil servant when receiving the application);

c) For unresolved applications: Contact individuals and organizations to return the application with a notification of non-resolution;

d) For overdue applications: Notify the next delivery date and transfer the apology letter from the agency or organization responsible for the delay to individuals and organizations;

e) For applications resolved before the scheduled delivery date: Contact individuals and organizations to receive the result;

f) In cases where individuals and organizations have not come to receive the application according to the Application Receipt and the scheduled delivery date, the resolution result is kept at the Service Reception and Result Delivery Unit.

Article 7. Procedures for implementing the single-window interconnection mechanism to handle administrative procedures

1. Types of interconnection

a) Interconnection between administrative agencies at the same level: Between specialized agencies under the People's Committee at the district level; between specialized agencies under the People's Committee at the district level and agencies organized vertically located in the district; between specialized agencies under the People's Committee at the provincial level; between specialized agencies under the People's Committee at the provincial level and agencies organized vertically located in the province;

b) Interconnection between administrative agencies at different levels: Between the People's Committee at the commune level and specialized agencies under the People's Committee at the district level or agencies organized vertically located in the district; between the People's Committee at the commune level and specialized agencies under the People's Committee at the provincial level or agencies organized vertically located in the province; between the People's Committee at the district level and specialized agencies under the People's Committee at the provincial level or agencies organized vertically located in the province; between provincial-level administrative agencies and Ministries, ministerial-level agencies, and agencies under the Government.

2. Interconnection process

a) Individuals and organizations submit applications at the Single Window Unit of the leading agency handling the administrative procedure (hereinafter referred to as the leading agency) or submit through postal services, online submission where there are regulations on accepting applications through postal services or online submission;

b) Civil servants working at the Single Window Unit check the validity and completeness of the application and accept it according to Points b and c, Clause 1, Article 6 of this Regulation;

c) After receiving the application, the leading agency organizes to seek opinions from collaborating agencies in writing, and the agencies asked for their opinions must respond within the prescribed time limit;

In cases where the administrative procedure needs to be carried out after obtaining the results from collaborating agencies, the leading agency sends the application and relevant documents to the collaborating agencies for processing within the prescribed time limit;

d) Based on the processing of the application by collaborating agencies, the leading agency reviews and submits to the competent authority for decision-making, and transfers the results of the application processing to the Single Window Unit where individuals and organizations submitted the application;

đ) In cases where the application does not meet the conditions for processing: The responsible agency returns the application along with a written notice specifying the reasons and the required supplementary information. The time spent by specialized agencies and organizations on the initial processing is counted towards the processing time. The Single Window Unit contacts individuals and organizations to transfer the apology letter of the Single Window Unit (if the error is due to the civil servant when accepting the application) and requests supplementary information according to the notice of the responsible agency;

e) In cases where the application does not meet the conditions for processing: The responsible agency submits to the competent authority a written notice specifying the reasons for not processing the application. The notice is entered into the result section in the file tracking system. The notification period must be within the prescribed processing time;

g) In cases where the application exceeds the processing deadline: The responsible agency must send a letter to the Single Window Unit and an apology letter to individuals and organizations specifying the reasons for the delay and the deadline for providing the result. Civil servants at the Single Window Unit enter the file tracking system and electronic software (if available), notify the deadline for providing the result, and transfer the apology letter of the agency that exceeded the processing deadline to individuals and organizations;

h) Delivering the results of the application processing is carried out according to the provisions of Clause 4, Article 6 of this Regulation.

Chapter III

SINGLE WINDOW UNIT

Article 8. Position of the Receiving and Delivering Results Unit

1. The Receiving and Delivering Results Unit of the specialized agency under the provincial People's Committee shall be located at the office of the agency and shall be subject to management and direction by the Office of the specialized agency under the provincial People's Committee. The centralized Receiving and Delivering Results Units of the specialized agencies under the provincial People's Committee shall be organized in provinces and centrally-administered cities with centralized administrative centers.

2. The Receiving and Delivering Results Unit of the district People's Committee shall be located at the Office of the People's Council and People's Committee or the Office of the People's Committee where the district-level People's Council is not established (hereinafter referred to collectively as the Office of the People's Council and People's Committee at the district level); it shall be subject to management and direction by the Office of the People's Council and People's Committee at the district level.

3. The Receiving and Delivering Results Unit of the commune People's Committee shall be located at the headquarters of the commune People's Committee.

4. The Receiving and Delivering Results Unit of the agencies organized vertically shall implement according to the regulations of the competent authority.

Article 9. Working Area and Equipment of the Receiving and Delivering Results Unit

1. Minimum working area of the Receiving and Delivering Results Unit

a) Of the specialized agency under the provincial People's Committee: 40m²;

b) Of the district People's Committee: 80m²;

c) Of the commune People's Committee: 40m²;

In the total working area of the Receiving and Delivering Results Unit, approximately 50% of the area must be allocated for seating arrangements for individuals and organizations coming to transact business.

2. Equipment of the Receiving and Delivering Results Unit

a) Common equipment

Based on the nature of work at each level, the provincial People's Committee shall stipulate the equipment for the Receiving and Delivering Results Unit, including at least computers, photocopiers, fax machines, printers, landline telephones, chairs, desks, drinking water, fans or air conditioners, and other necessary equipment to meet the needs of work and requirements for applying information technology in the operation of state administrative agencies;

b) Modern equipment of the Receiving and Delivering Results Unit

Shall be placed in a prominent position within the state administrative agency, convenient for individuals and organizations during the process of implementing administrative transactions;

Shall be arranged scientifically according to functional zones, including: Information provision and administrative procedure zone; electronic equipment placement zone, including automatic number-taking and queuing machines, information and administrative procedure search machines, administrative procedure resolution result search machines; receiving and delivering results zone divided into separate counters corresponding to different fields; sufficient seating and writing desks for individuals and organizations coming to transact business;

Shall have hardware infrastructure and dedicated equipment according to regulations; have conditions to implement online public services at levels 3 and 4; apply electronic software according to regulations.

Article 10. Civil Servants Working at the Receiving and Delivering Results Unit

1. Requirements

a) The team of civil servants working at the Receiving and Delivering Results Unit must ensure adequate numbers and possess appropriate expertise to meet job requirements;

b) Must have good moral character, high sense of responsibility, and professionalism;

c) Must have proper conduct and attitude, and the ability to communicate effectively with individuals and organizations.

2. Responsibilities

a) Strictly and fully implement the operational regulations of the Receiving and Delivering Results Unit;

b) Create favorable conditions for individuals and organizations to carry out administrative transactions;

c) Provide comprehensive, clear, and accurate guidance on administrative procedures to ensure that individuals and organizations only need to supplement their files once;

d) Receive administrative files from individuals and organizations in accordance with regulations;

đ) Proactively advise and propose innovative improvements to the implementation of administrative procedures; promptly identify and recommend to the competent authorities to amend, supplement, change, or abolish administrative procedure regulations that are unfeasible or unsuitable for local circumstances;

e) Wear uniforms while performing duties;

g) Implement other legal provisions.

3. Benefits

a) Receive training on professional skills and cultural behavior in interacting with individuals and organizations;

b) Enjoy support benefits as prescribed.

4. Management of Civil Servants Working at the Receiving and Delivering Results Unit

a) Civil servants working at the Receiving and Delivering Results Unit of the specialized agency under the provincial People's Committee shall be directly and comprehensively managed by the Director of the Office of the specialized agency under the provincial People's Committee;

b) Civil servants working at the Receiving and Delivering Results Unit of the district People's Committee, who are part of the district-level People's Council and People's Committee staff, shall be directly and comprehensively managed by the Director of the Office of the district-level People's Council and People's Committee;

c) Civil servants working at the Receiving and Delivering Results Unit of the commune People's Committee are civil servants among the seven positions of commune-level civil servants prescribed by the Civil Servant Law, assigned by the Chairman of the commune People's Committee based on specific local conditions.

Chapter IV

RESPONSIBILITIES FOR IMPLEMENTING THE ONE-DOOR MECHANISM AND THE INTERCONNECTED ONE-DOOR MECHANISM

Article 11. Responsibilities of Ministers, Heads of Ministries-Equivalent Agencies, and Government-Affiliated Agencies

1. Publish administrative procedures within their functional management scope; assign tasks or delegate authority to heads of subordinate agencies or units to guide the implementation of procedures for handling matters for individuals and organizations, and publish administrative procedures within their decision-making authority.

2. Lead and coordinate with the Ministry of Justice, the Ministry of Home Affairs, and related agencies to establish and guide localities in implementing the single-window interlinked mechanism for administrative procedures in areas specified in Clause 2, Article 5 of this Regulation, to be uniformly applied nationwide.

3. Direct agencies organized vertically at the local level to implement the single-window mechanism and the single-window interlinked mechanism, and cooperate with local state administrative agencies in implementing this Regulation.

4. Establish regulations on the implementation of the single-window mechanism and the single-window interlinked mechanism for subordinate units that frequently transact with individuals and organizations.

Article 12. Responsibilities of People's Committees of Provinces and Central City Municipalities

1. Publish administrative procedures within their decision-making authority for levels of government on provincial and central city municipal territory under the single-window mechanism and the single-window interlinked mechanism.

2. Issue Decisions on implementing the single-window mechanism and the single-window interlinked mechanism at provincial, district, and commune-level state administrative agencies; establish regulations on the implementation of the single-window mechanism and the single-window interlinked mechanism at public service units and state-owned enterprises on provincial territory relevant to individuals and organizations.

3. Implement measures to enhance the quality and effectiveness of the single-window mechanism and the single-window interlinked mechanism; widely deploy modernized Result Delivery Units at district-level People's Committees according to legal provisions.

4. Ensure the collection of fees and charges in accordance with legal regulations.

5. In addition to implementing the single-window interlinked mechanism for administrative procedures in areas specified in Clause 2, Article 5 of this Regulation, establish regulations on implementing the single-window interlinked mechanism for administrative procedures in other areas suitable to local conditions and circumstances.

6. Submit to the Provincial People's Council for decisions on support systems and travel expenses for civil servants working at Result Delivery Units at various levels; decide on fee and charge revenue levels within the authorized issuance authority of the Provincial People's Council.

7. Regularly check the implementation of the single-window mechanism and the single-window interlinked mechanism within their management scope every six months and annually.

Article 13. Responsibilities of Specialized Agencies under Provincial People's Committees, District People's Committees, and Commune People's Committees

1. Assign and allocate competent civil servants to work at Result Delivery Units.

2. Based on specific circumstances, issue Operation Regulations for Result Delivery Units under their management responsibility.

3. Publicize complete, regular, clear, accessible, and user-friendly regulations and administrative procedures according to legal provisions; publicize standards and administrative regulations to facilitate supervision.

4. Train staff on business procedures and communication methods with individuals and organizations during the process of handling matters at Result Delivery Units.

5. Provide information and promote the activities of the single-window mechanism and the single-window interlinked mechanism at local state administrative agencies.

Chapter V

EXPENSES FOR IMPLEMENTATION AND REWARDS, DISCIPLINARY MEASURES

Article 14. Funding for the Single Window Mechanism and the Interconnected Single Window Mechanism

1. The funding for the Single Window Mechanism and the Interconnected Single Window Mechanism shall be guaranteed from the state budget, allocated within the annual state budget estimate assigned by the competent authority according to the state budget decentralization.

2. The People's Committee at the provincial level shall be responsible for allocating the funding for the Single Window Mechanism and the Interconnected Single Window Mechanism within the local annual state budget estimate in accordance with the State Budget Law and guiding documents; at the same time, they may mobilize and utilize other lawful resources to enhance the implementation of the Single Window Mechanism and the Interconnected Single Window Mechanism within their jurisdiction.

Article 15. Awards and Disciplinary Measures

1. The responsibility and results of implementing the Single Window Mechanism and the Interconnected Single Window Mechanism shall be one of the bases for evaluating the completion of annual tasks and duties of heads of administrative state agencies at all levels and civil servants.

2. Heads of People's Committees at all levels, heads of administrative state agencies, civil servants who successfully complete tasks related to the implementation of the Single Window Mechanism and the Interconnected Single Window Mechanism shall be considered for annual awards in accordance with the law on commendation and rewards.

3. Organizations, individuals who violate regulations or obstruct the organization and implementation of the Single Window Mechanism and the Interconnected Single Window Mechanism shall be subject to examination and handling according to the degree of violation as stipulated by law.

Chapter VI

IMPLEMENTING PROVISIONS

Article 16. Transitional Provisions

1. Units under Ministries, ministerial-level agencies, government agencies, public service organizations, state-owned enterprises that have many administrative procedures related to individuals and organizations shall apply the Single Window Mechanism and the Interconnected Single Window Mechanism in accordance with this Regulation.

2. The People's Committee at the provincial level shall specify appropriate forms of implementation to ensure effectiveness in the implementation of the Single Window Mechanism and the Interconnected Single Window Mechanism in island districts, communes in particularly difficult areas, border communes, and specialized agencies under the People's Committee at the provincial level with few transactions between organizations and individuals and administrative state agencies.

3. For communes in difficult areas, particularly difficult areas, and border communes where the Receiving and Result Delivery Unit does not meet the area requirements specified in Clause 1, Article 9 of this Regulation, it must ensure compliance with the prescribed area when renovating or building new Receiving and Result Delivery Units.

Article 17. Implementation Organization

1. The Minister, head of a ministerial-level agency, head of a government agency, and the Chairman of the People's Committee at the provincial level shall be responsible for directing and organizing the implementation of this Regulation; annually summarizing, evaluating, and submitting reports to the Ministry of Home Affairs.

2. The Minister of Home Affairs shall take the lead, coordinate with relevant Ministers, heads of ministerial-level agencies, and heads of government agencies to guide, urge, inspect, monitor, and evaluate; annually compiling and reporting to the Prime Minister on the situation and results of implementing this Regulation./.

 

ANNEX

SOME SAMPLE FORMS
(Annexed to the Regulation on Implementing the Single Window Mechanism and the Interconnected Single Window Mechanism at Local Administrative Agencies pursuant to Decision No. 09/2015/QĐ-TTg dated March 25, 2015 of the Prime Minister)

 

Form No. 01

 

GUIDANCE FORM FOR COMPLETING DOCUMENTS

Documents of:…

Content Requested for Resolution:

...................................................................................................................................

Address:…

Phone number…Email:…

Requirements for completing documents include the following contents:

1..........................................................

2..........................................................

3..........................................................

4..........................................................

...........................................................

...........................................................

...........................................................

During the process of completing documents, if there are any difficulties, please contact …phone number…for guidance./.

 

 

Form No. 02

 

DOCUMENT TRACKING BOOK

Note: The document tracking book is established according to each field or group of fields at the Reception and Result Delivery Unit.

Implementation Report of Production Projects of Supporting Industry Products Confirmed with Incentives

 

RECEIPT AND APPOINTMENT NOTICE FOR RESULTS
Document code:……
(Copy: Retain/Give to customer)

Reception and Result Delivery Unit…

Received documents of:…

Address: …

Phone number: …Email:…

Content requested for resolution:…

1. Components of submitted documents include:

1......................................................................

2......................................................................

3......................................................................

4......................................................................

........................................................................

........................................................................

2. Number of documents:…(set)

3. Time limit for resolving documents as prescribed is:…days

4. Time of receiving documents: …hours…minutes, day...month...year...

5. Time of delivering results:…hours…minutes, day…month…year...

6. Registration for receiving results at:…

Entered into the Document Tracking Book, Volume No.:…Serial No.…

 

Note:

- The receipt and appointment notice for results is made in two copies; one copy is transferred along with the Process Control Form for Resolving Documents and retained at the Reception and Result Delivery Unit; one copy is given to the individual or organization submitting the documents;

- Individuals and organizations can register to receive results at the Reception and Result Delivery Unit or at home (organization headquarters) through postal services.

 

Form number 04

 

PROCESS CONTROL FORM FOR RESOLVING DOCUMENTS

Receipt and appointment notice for results No.: ………

(Attached to this Process Control Form for Resolving Documents)

Agency (unit) resolving documents:…

Agency coordinating in resolving documents:…

Note:

- In cases where documents are transferred via postal services, the time of handing over and receiving documents and the signature upon receipt will be reflected in the postal service invoice;

- The resolution results are recorded by the recipient when receiving the handover of documents.