Joint Circular No. 04/2015/TTLT-BKHĐT-BTC-BNV promulgates the Model Regulation on coordination among functional agencies at provincial level and centrally governed cities in managing enterprises after registration.

JOINT CIRCULAR

Issued Article 24Regulation on Model Coordination Mechanism among Functional Agencies within the Territory

of provinces and centrally governed citiesTParty in State Management over Enterprises after Registration

Establishmentsession number

_________________________

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

Pursuant to the Law on Organization of People's Councils and People's Committees dated November 26, 2003;

Pursuant to the Enterprise Law dated November 29, 2005;

Based on the Investment Law dated November 29, 2005;

Pursuant to the Law on Tax Administration dated November 29, 2006 and the Law Amending and Supplementing Certain Provisions of the Law on Tax Administration dated November 20, 2012;

Based on the Inspection Law dated November 15, 2010;

Pursuant to Decree No. 24/2014/NĐ-CP dated April 4, 2014 of the Government on the organization of specialized agencies under provincial People's Committees and municipal People's Committees directly under the Central Government;

Pursuant to Decree No. 116/2008/ND-CP dated November 14, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Planning and Investment;

Pursuant to Decree No. 58/2014/NĐ-CP dated June 16, 2014, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Home Affairs;

Pursuant to Decree No. 215/2013/NĐ-CP dated December 23, 2013, promulgated by the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Finance;

The Ministers of the Ministry of Planning and Investment, the Ministry of Finance, and the Ministry of Home Affairs issue this Joint Circular on the Regulation on Model Coordination Mechanism among Functional Agencies within the Territory of Provinces and Centrally Governed Cities in State Management over Enterprises after Registration Establishment.

Article 1. This Circular annexes the Regulation on Model Coordination Mechanism among Functional Agencies within the Territory of Provinces and Centrally Governed Cities in State Management over Enterprises after Registration Establishment.

Article 2. Implementation Provisions

This Circular takes effect from July 31, 2015.

Based on the Model Coordination Mechanism Regulation annexed to this Circular and the specific characteristics, conditions, and socio-economic development situation of each locality, the People's Committees of provinces and centrally governed cities shall promulgate the Coordination Mechanism Regulation among Functional Agencies within their localities in State Management over Enterprises after Registration Establishment before September 1, 2015.

Article 3. Responsibility for Implementation

The Heads of the Office, Heads of relevant units under the Ministry of Planning and Investment, the Ministry of Finance, the Ministry of Home Affairs, Chairpersons of the People's Committees of provinces and centrally governed cities, and related agencies, organizations, and individuals are responsible for implementing this Circular./.

MODEL REGULATION ON COORDINATION MECHANISM
Among Functional Agencies within the Territory of Provinces and Centrally Governed Cities in State Management over Enterprises after Registration Establishment
(Annexed to the Joint Circular No. 04/2015/TTLT-BKHĐT-BTC-BNV dated May 28, 2015 of the Ministry of Planning and Investment, the Ministry of Finance, and the Ministry of Home Affairs)

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Regulation stipulates the objectives, principles, contents, and responsibilities of coordination among functional agencies within the territory of provinces and centrally governed cities (hereinafter referred to as provinces and cities) in the following areas: exchanging, providing, and publicizing enterprise information; inspecting and supervising enterprises; revoking enterprise registration certificates; handling enterprises that violate regulations on conditional business sectors; reporting on the implementation of state management over enterprises after registration establishment.

Article 2. Applicability

1. People's Committee of provinces and centrally governed cities (hereinafter referred to as provincial level).

2. Specialized agencies under the People's Committee at the provincial level.

3. Specialized administrative agencies under central-level state management agencies located in provinces and cities.

4. People's Committee of districts, counties, towns, and cities under provinces (hereinafter referred to as district level).

Article 3. Explanation of Terms

In this Regulation, the following terms shall be understood as follows:

1. Providing Enterprise Information refers to the act of a state agency, within its scope of administrative management and in accordance with the provisions of law, sending enterprise information with defined content and scope to the requesting agency to serve state management over enterprises.

2. Exchanging Enterprise Information refers to the act of two or more functional agencies continuously or periodically providing enterprise information within their respective scopes of management to each other.

3. Publicizing Enterprise Information refers to the act of a state agency, based on its scope of administrative management and in accordance with the provisions of law, widely disseminating enterprise information without charge.

4. Inspecting Enterprises refers to the act of a competent state agency examining, evaluating, and handling according to the procedures and formalities prescribed in the Law on Inspection regarding the implementation of laws, policies, rights, obligations of enterprises and related individuals and organizations.

5. Supervising Enterprises refers to the act of a competent state agency examining and evaluating the implementation of laws, policies, rights, and obligations of enterprises and related individuals and organizations.

6. Functional Agency refers to the agencies specified in Clauses 2, 3, and 4 of Article 2 of this Regulation.

7. Subsidiary Unit of an Enterprise refers to branch offices, representative offices, and business locations established by the enterprise.

Article 4. Objectives of cooperation in managing enterprises after registration

1. Enhance the effectiveness and efficiency of state management over enterprises after registration at local levels in the direction of:

a) Strengthening coordination among agencies in state management over enterprises;

b) Clarifying responsibilities among agencies in state management over enterprises;

c) Enhancing the role of social supervision over enterprises.

2. Timely detecting and handling enterprises with illegal activities, preventing and limiting negative impacts caused by enterprises on society.

3. Contributing to building a favorable business environment.

1. Cooperation shall be carried out based on the principle of ensuring the functions, tasks, and powers of the agencies; complying with the laws on inspection, labor laws, and other relevant laws.

1. The responsibility for state management over enterprises must be clearly defined in accordance with the functions, tasks, and authorities of each level and specific state management agency. State agencies manage enterprises according to their respective industries and fields of business activity. Enterprises engaged in multiple industries and trades are subject to management by multiple state agencies; each agency is responsible for managing the enterprise's activities in its corresponding industry or field.

2. Exchange, provision, and public disclosure of enterprise information must ensure accuracy, completeness, and timeliness. Requirements for exchanging and providing enterprise information must be based on the needs of state management consistent with the functions, tasks, and authorities of the requesting agency. The use of enterprise information must comply with legal provisions.

3. Cooperation in inspecting and examining enterprises must ensure accuracy, objectivity, honesty, transparency, democracy, and timeliness; there should be no overlap in scope, subjects, or content of inspections and examinations conducted simultaneously by different agencies; minimize to the greatest extent possible any inconvenience and hindrance to the normal operations of enterprises.

4. Do not generate additional administrative procedures for enterprises and facilitate their normal operations.

Chapter II

EXCHANGE, PROVISION, AND PUBLIC DISCLOSURE OF ENTERPRISE INFORMATION

Article 6. Content of Enterprise Information

1. Registration information of enterprises, including: enterprise name; enterprise code; main office address; industry and trade; information about the legal representative; registered capital, company charter; list of members, founding shareholders, authorized representatives; information about affiliated units and other registration information of enterprises as prescribed by law.

2. Information on the operational status of enterprises, including statuses: operating; undergoing dissolution procedures; dissolved; certificate of enterprise registration revoked; temporarily suspended from business; ceased operations (for affiliated units of enterprises).

3. Information on the business operation situation of enterprises, including: reports on business operation situations, financial statements, revenue, production volume, number of employees, exports, imports, and other information on business operation situations of enterprises as prescribed by law.

4. Information on the handling of enterprises engaging in illegal business activities, including: conclusions and results of handling by competent authorities regarding enterprises violating laws on enterprises, investment, tax administration, and other specialized laws.

Article 7. Responsibilities of agencies in exchanging, providing, and publicly disclosing business registration information

1. The Department of Planning and Investment is the main agency providing business registration information within the province/city.

Based on their functions, tasks, and authorities, competent agencies may request the Department of Planning and Investment to provide business registration information. The Department of Planning and Investment shall issue a procedure for providing business registration information to state management agencies within the province/city.

In case of discovering that the business registration information provided by the Department of Planning and Investment is inaccurate or incomplete compared to the actual situation of the enterprise, the competent agency has the responsibility to notify in writing the Department of Planning and Investment to require the enterprise to implement changes or corrections to the business registration information according to regulations. After the enterprise registers changes or corrections to the information, the Department of Planning and Investment shall be responsible for notifying the results to relevant competent agencies.

2. The Department of Planning and Investment is the main agency publicly disclosing business registration information within the province/city. The contents of publicly disclosed business registration information include:

a) Name, code number, headquarters address, and legal representative's name of the enterprise;

b) Name, code number, office address, and head of subordinate units' name of the enterprise;

c) Name, code number, headquarters address, and legal representative's name of the enterprise that has completed dissolution procedures;

d) Name, code number, office address, and head of subordinate units' name of the enterprise that has ceased operations.

Article 8. Responsibilities of agencies in exchanging, providing, and publicly disclosing information about the operational status of enterprises

1. Based on exploiting the National Business Registration Information System, the Department of Planning and Investment is the main agency providing and publicly disclosing information about the operational status of enterprises within the province/city.

2. The Department of Planning and Investment regularly compares information from the National Business Registration Information System with information provided by tax authorities regarding the operational status of enterprises. For enterprises that have been inactive for over one year without reporting to the tax authority or business registration agency, the Department of Planning and Investment will conduct inspections, investigations, and impose penalties according to its functions, tasks, authorities, and legal provisions.

Article 9. Responsibilities of agencies in exchanging, providing, and publicly disclosing information about the production and business operation status of enterprises

1. Competent agencies proactively build databases on enterprises operating in sectors under their state management responsibilities; proactively develop plans and tools for exchanging enterprise information with the Department of Planning and Investment, Tax Bureau, and other main information agencies to serve their state management tasks.

2. Encouragement is given to competent agencies to exchange enterprise information and share databases on enterprises to enhance the effectiveness of state management over enterprises while reducing the reporting obligations of enterprises.

3. Competent agencies shall publicly disclose information about the production and business operation status of enterprises in accordance with specialized legal regulations.

Article 10. Responsibilities of agencies in disclosing information on handling enterprises with violations of laws

1. The Department of Planning and Investment shall be the focal point for disclosing information on enterprises that have violated laws related to businesses and investment. Disclosed information includes: name, code number, main office address, and the name of the legal representative of the enterprise.

2. The Tax Department shall disclose lists of enterprises and units under enterprises within the province or city that have violated tax laws as prescribed by the Law on Tax Administration and according to guidelines from the General Tax Department.

3. Other competent authorities, other than those specified in Clause 1 and Clause 2 of this Article, shall be responsible for disclosing enterprises and units under enterprises that have been penalized for violating laws within their specialized jurisdiction. Disclosed information includes: name, code number, main office address, the name of the legal representative, the head of the unit under the enterprise, the violation of law, the form of penalty, and measures to rectify consequences.

Article 11. Forms and means of exchanging, providing, and disclosing business information

1. Encouragement is given to competent authorities to apply information technology to exchange, provide, and disclose business information through electronic networks.

2. Provincial People's Committees shall decide on the forms and means of exchanging, providing, and disclosing business information of the agencies specified in Clause 2 and Clause 4 of Article 2 of this Regulation.

3. Central-level state management agencies shall decide or submit to the competent authority for decision on the forms and means of exchanging, providing, and disclosing business information of the agency specified in Clause 3 of Article 2 of this Regulation.

Chapter III

INSPECTION, AUDITING OF ENTERPRISES, REVOCATION OF BUSINESS REGISTRATION CERTIFICATES AND HANDLING OF ENTERPRISES VIOLATING PROVISIONS ON INDUSTRIES AND TRADES REQUIRING CONDITIONS

Article 12. Content of cooperation in inspection, auditing, revocation of business registration certificates, and handling of enterprises violating provisions on industries and trades requiring conditions

1. Content of cooperation in inspection and auditing of enterprises includes: cooperation in building plans for inspecting and auditing enterprises; cooperation in implementing inspection and auditing work of enterprises.

2. Content of cooperation in revoking business registration certificates includes: cooperation in identifying violations subject to revocation of business registration certificates and carrying out the revocation of business registration certificates.

3. Content of cooperation in handling enterprises violating provisions on industries and trades requiring conditions includes: cooperation in penalizing enterprises; requiring enterprises to temporarily cease operations in industries and trades requiring conditions.

Article 13. Responsibilities of agencies in cooperating to build plans for inspecting and auditing enterprises

1. Provincial Inspectorates (hereinafter referred to as Provincial Inspectorates) shall be the focal point for building plans for inspecting and auditing enterprises in the province or city based on consolidating requirements for inspecting and auditing enterprises from the agencies specified in Clause 2 and Clause 4 of Article 2 of this Regulation; monitoring and consolidating approved inspection and auditing plans of these agencies to report to the provincial People's Committee.

Plans for inspecting and auditing enterprises may be built independently or as part of the provincial or city inspection and auditing plan.

2. Competent agencies shall cooperate in implementing annual inspection and auditing plans of enterprises within their functional responsibilities, duties, and powers. In their annual inspection and auditing plans, competent agencies must clearly identify the enterprises and units under enterprises planned for inspection and auditing.

a) Before November 15 each year, the agencies specified in Clause 2 and Clause 4 of Article 2 of this Regulation shall send their next-year inspection and auditing plans to the Provincial Inspectorate.

Based on the orientation and program of the State Audit Office and the Provincial Inspectorate, the Provincial Inspectorate shall consolidate the inspection and auditing needs of the agencies specified in Clause 2 and Clause 4 of Article 2 of this Regulation, and submit them for approval by the Chairman of the provincial People's Committee.

By November 25 each year at the latest, the Chairman of the provincial People's Committee shall approve the next-year inspection and auditing plan of enterprises in the province or city.

b) Sectoral and field management agencies under central-level state management agencies located in the locality shall be responsible for comparing their own inspection and auditing plans with those of other competent agencies in the area when drafting their own plans to minimize overlap; sending the Provincial Inspectorate their next-year inspection and auditing plans of enterprises which have been approved by superiors.

3. The Provincial Inspectorate shall notify in writing to competent agencies about plans to inspect and audit the same or some enterprises, requesting these agencies to exchange and agree to establish a joint inspection and auditing team led by one agency. In cases where special requirements necessitate independent inspection and auditing, the heads of competent agencies must report in writing to the provincial People's Committee.

Article 14. Responsibilities of agencies in coordinating to organize the implementation of inspection and supervision work on enterprises

Clause 1. Competent agencies have the responsibility to organize the implementation of inspection and supervision work on enterprises according to the inspection and supervision plan on enterprises that has been approved by the competent authority.

In case a multi-sector inspection team is established, the Provincial Inspectorate shall be responsible for chairing, and relevant agencies shall send officials to participate. The results of multi-sector inspections must be sent to participating competent agencies. Violations of enterprises in each field shall be handled according to the specialized laws. Based on the conclusion of the multi-sector inspection team, the head of the specialized inspection agency shall issue a decision or recommend the competent authority to issue a decision to handle the violation according to regulations.

In case a multi-sector supervision team is established, relevant agencies shall agree to appoint one agency as the main organizer, and other related agencies shall send officials to participate. The results of multi-sector supervision must be sent to participating agencies. Violations of enterprises in each field shall be handled according to the specialized laws. Based on the conclusion of the multi-sector supervision team, the head of the specialized agency shall issue a decision or recommend the competent authority to issue a decision to handle administrative violations according to regulations.

Clause 2. In case during the preparation process or during the inspection and supervision of enterprises, the competent agency discovers or notices signs that the enterprise has committed violations outside the scope of its assigned functions, tasks, and authorities, it has the responsibility to report and request the competent authority to coordinate or conduct independent inspections and supervision.

Clause 3. The Provincial Inspectorate is the advisory body assisting the People's Committee at the provincial level in monitoring and urging the implementation of the inspection and supervision plan on enterprises of the province, city; summarizing the results of the implementation of the inspection and supervision plan on enterprises by functional agencies and reporting to the People's Committee at the provincial level.

Clause 4. The results of inspections and supervisions on enterprises must be disclosed according to the provisions of the law.

Article 15. Responsibilities of agencies in coordinating to recover business registration certificates

Clause 1. The Business Registration Department under the Department of Planning and Investment has the responsibility to recover business registration certificates according to the provisions of the Enterprise Law.

Clause 2. Within five working days from the date of identifying the enterprise's violation according to the regulations requiring recovery of the business registration certificate, the competent agency has the responsibility to notify in writing the Department of Planning and Investment.

Clause 3. In case receiving information about the enterprise's violation falling within the category requiring recovery of the business registration certificate, if deemed necessary to verify the information, the Department of Planning and Investment shall inspect the enterprise within its authority or request the competent state agency to inspect the enterprise, individual, or organization involved. The result of verifying the enterprise's violation information falling within the category requiring recovery of the business registration certificate must be documented in writing. Specific responsibilities:

Point a) The People's Committee at the district level has the responsibility to verify the operation of the enterprise's production and business activities within the managed area.

Point b) Agencies specified in Clause 2 and Clause 3 of Article 2 of this Regulation have the responsibility to verify the enterprise's business activities in prohibited industries within their management scope.

Point c) The Provincial Police have the responsibility to verify the content of the enterprise's registration documents being false.

Point d) Agencies or organizations managing individuals establishing enterprises prohibited from establishing enterprises according to the Enterprise Law have the responsibility to verify the background of the enterprise's founders.

Clause 4. Upon receipt of the document from the competent agency determining the enterprise's violation falling within the category requiring recovery of the business registration certificate, the Department of Planning and Investment shall instruct the Business Registration Department to recover the enterprise's business registration certificate according to the regulations, while notifying the competent agency that requested the recovery.

Article 16. Responsibilities of agencies in coordinating to handle enterprises with violations of regulations on conditional business sectors

1. In cases where an enterprise is found to have violated regulations on conditional business sectors, the competent authority shall decide to impose penalties within its jurisdiction or propose the competent authority to impose penalties according to the specialized laws, while requiring the enterprise to comply with the conditions for conducting business.

2. The state management agency responsible for conditional business sectors has the responsibility to notify in writing the Department of Planning and Investment in the following situations:

a) Revoking, withdrawing, suspending the business license, certificate of compliance with business conditions, professional practice certificate, or other types of certification and approval documents issued to enterprises operating conditional business sectors;

b) Proposing the business registration agency to issue a Notice requesting the enterprise to temporarily cease operations in conditional business sectors due to non-compliance with business conditions.

3. Upon receiving the written notification from the competent authority as stipulated in Clause 2 of this Article, the Department of Planning and Investment shall instruct the Business Registration Office to issue a Notice requesting the enterprise to temporarily cease operations in conditional business sectors, and simultaneously send it to the People's Committee at the district level.

4. The People's Committee at the district level shall monitor the production and business activities of enterprises that have been notified by the Business Registration Office to temporarily cease operations in conditional business sectors. If an enterprise continues to operate in conditional business sectors without meeting the required business conditions, the People's Committee at the district level shall report to the competent authority for handling.

Chapter IV

REPORT ON STATE MANAGEMENT OF ENTERPRISES AFTER REGISTRATION

Article 17. Contents of the report on state management of enterprises after registration

1. The situation of state management work for enterprises after registration.

2. The situation of coordination among functional agencies on the following contents:

a) Exchange, provide, and publicly disclose information about enterprises;

b) Inspect and examine enterprises;

c) Revoke the enterprise registration certificate;

d) Handle enterprises with violations of regulations on conditional business sectors;

e) Other contents prescribed in the Circular on coordination among functional agencies within the province/city in managing enterprises after registration.

Article 18. Responsibilities of agencies in reporting on state management of enterprises

1. By the end of January each year, the competent authority shall report to the Provincial People's Committee on the operation of enterprises in the industry/sector under its assigned management scope and the implementation of coordination on the contents prescribed in Clause 2 of Article 17 of this Circular in the previous year.

2. The Department of Planning and Investment is responsible for consolidating the implementation status of coordination contents prescribed in Points a, c, and d of Clause 2 of Article 17 of this Circular.

3. The Provincial Inspectorate is responsible for consolidating the implementation status of coordination contents prescribed in Point b of Clause 2 of Article 17 of this Circular.

4. By the end of February each year, the Provincial People's Committee shall report to the Ministry of Planning and Investment on the state management of enterprises after registration in the previous year according to the contents prescribed in Article 17 of this Circular, and simultaneously send it to the Ministry of Finance and the Ministry of Home Affairs.

Chapter V

IMPLEMENTATION

Article 19. Construction of Regulations on Coordination among Functional Agencies in State Management of Enterprises after Registration

The Department of Planning and Investment shall take the lead in coordinating with the Department of Civil Affairs, the Department of Finance, the Taxation Service, and other functional agencies to develop Regulations on Coordination among these agencies within the province or city in managing enterprises after registration for establishment, and submit them for promulgation by the People's Committee at the provincial level; monitor and compile information on the implementation of the Regulations.

Article 20. Budget for Implementation of the Coordination Regulations

The funds necessary for the coordination work among functional agencies in state management of enterprises after registration within the province or city shall be allocated from the regular budget of these agencies.

Article 21. Amendment and Supplement to Model Coordination Regulations

During the implementation process, if there are any difficulties or issues, individuals or organizations are requested to promptly report to the Ministry of Planning and Investment, the Ministry of Finance, or the Ministry of Civil Affairs for research and amendment or supplementation./.