Joint Circular No. 04/TTLT-BKHĐT-BTC-BNV promulgates the Regulation on the Model for Coordination among Functional Agencies within Provinces/Cities Directly Under the Central Government in State Management of Enterprises after Registration.

JOINT CIRCULAR

Issuing Model Regulations on Coordination among Functional Agencies within Provinces and Central-Supervised Municipalities in State Management of Enterprises after Registration

On the basis of Law on Government Organization December 25, 2001;

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

On the basis of Enterprise Law November 29, 2005;

On the basis of Investment Law November 29, 2005;

On the basis of Law on Personal Income Tax November 29, 2006 and The Minister of Finance issues this Circular guiding the collection and management of budget revenues through the State Treasury. dated November 20, 2012;

On the basis of Inspection Law Decision No. 150/2020/NĐ-CP

Decree No. 24/2014/NĐ-CP April 4, 2014, providing for the organization of specialized agencies under Provincial People's Committees and Central-Supervised Municipalities' People's Committees;

Decree No. dated November 14, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Planning and Investment; November 14, 2008, stipulating the functions, tasks, powers, and organizational structure of the Ministry of Planning and Investment;

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

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

The Minister of Planning and Investment, the Minister of Finance, and the Minister of Home Affairs issue Circular Jointly on Model Regulations on Coordination among Functional Agencies within Provinces and Central-Supervised Municipalities in State Management of Enterprises after Registration.

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.

Pursuant to the model coordination regulations attached to this Circular and taking into account the characteristics, conditions, and socio-economic development situation of each locality, the People's Committees of provinces and central-supervised municipalities shall promulgate regulations on coordination among functional agencies within their localities in state management of enterprises after registration 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, Chairmen of Provincial People's Committees and Central-Supervised Municipalities' People's Committees, and related agencies, organizations, and individuals are responsible for implementing this Circular./.

MODEL REGULATION ON COORDINATION MECHANISM

BETWEEN FUNCTIONAL AGENCIES WITHIN PROVINCES AND CENTRAL-SUPervised MUNICIPALITIES IN STATE MANAGEMENT OF ENTERPRISES AFTER REGISTRATION
(Issued together with Circular Jointly 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

These regulations specify the objectives, principles, contents, and responsibilities of coordination among functional agencies within provinces and central-supervised municipalities in matters such as exchanging, providing, and publicly disclosing enterprise information; inspecting and supervising enterprises; revoking business registration certificates; handling enterprises that violate laws regarding conditional business sectors; reporting on the implementation of state management of enterprises after registration.

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 according to the provisions of the law, sending specific content and scope of enterprise information to the requesting agency to serve the state management of 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 examination, evaluation, and handling according to the procedures and formalities prescribed in Inspection Law Article 2, Clause 2, 3, and 4 of these regulations

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 Clause 2, 3, and 4 of Article 2 of these regulations.

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. Responsibilities for state management of enterprises must be clearly defined in accordance with the functions, tasks, and powers of each level and specific state management agency. State agencies manage enterprises based on the industry and field of business activities of the enterprises. Enterprises engaged in multiple industries and trades are subject to management by multiple state agencies; each agency is responsible for managing the activities of the enterprise in corresponding industries and fields.

2. Exchanging, providing, and publicly disclosing enterprise information must ensure accuracy, completeness, and timeliness. Requests for exchanging and providing enterprise information must be based on the needs of state management that are consistent with the functions, tasks, and powers of the requesting agency. The use of enterprise information must comply with the provisions of the law.

3. Coordination in inspecting and supervising enterprises must ensure accuracy, objectivity, honesty, transparency, democracy, and timeliness; there should be no overlap in terms of scope, objects, and content of inspection and supervision between agencies conducting inspections and supervision at the same time; 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. Enterprise registration information includes: enterprise name; enterprise code; main office address; business sector; information about the legal representative; registered capital, company charter; list of shareholders, founding shareholders, authorized representatives; information about subordinate units and other enterprise registration information as prescribed by law.

2. Information on the operational status of enterprises includes: active operation; undergoing dissolution procedures; dissolved; business registration certificate revoked; temporarily suspended from operating; ceased operations (for subordinate units of enterprises).

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

4. Information on handling enterprises that engage in illegal business activities includes: conclusions and results of handling by competent authorities regarding enterprises that violate 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 powers, functional agencies may request the Department of Planning and Investment to provide enterprise registration information. The Department of Planning and Investment shall issue procedures for providing enterprise registration information to state management agencies within provinces and central-supervised municipalities.

In case information on business registration provided by the Department of Planning and Investment is found to be inaccurate or incomplete compared to the actual status of the business, the competent authority shall notify in writing the Department of Planning and Investment to request the business to make changes or corrections to its registration information according to regulations. After the business registers for changes or corrections, the Department of Planning and Investment shall notify the results to the relevant competent authorities.

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 serves as the main provider and publicizer of information about the operational status of businesses within the province or 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 businesses. For businesses that have ceased operations for over one year without notifying the tax authority or the business registration agency, the Department of Planning and Investment will conduct inspections, investigations, and impose penalties according to their functions, tasks, powers, 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 authorities proactively build databases on businesses operating in industries and sectors under their state management; proactively develop plans and tools for exchanging business information with the Department of Planning and Investment, Tax Bureau, and other primary information agencies to serve their state management tasks.

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

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 is responsible for publicly disclosing information on businesses that violate laws related to businesses and investment. Publicly disclosed information includes: name, code number, headquarters address, and the name of the legal representative of the business.

2. The Tax Bureau publicly discloses lists of businesses and subordinate units within businesses in the province or city that have violated tax laws according to the provisions of Law on Personal Income Tax and the guidelines of the General Tax Department.

3. Other competent authorities, except those specified in Clause 1 and Clause 2 of this Article, are responsible for publicly disclosing businesses and subordinate units within businesses that have been penalized for violations according to specialized legal provisions within their jurisdiction. Publicly disclosed information includes: name, code number, headquarters address, the name of the legal representative, the head of the subordinate unit within the business, the violation of the law, the form of penalty, and measures to rectify the 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. The People's Committee of the province decides on the forms and means of exchanging, providing, and publicly 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 decide or submit to authorized agencies for decision on the forms and means of exchanging, providing, and publicly disclosing business information of the agencies 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 the business registration certificate includes: cooperating to identify violations leading to the revocation of the business registration certificate and implementing the revocation of the business registration certificate.

3. Content of cooperation in handling businesses violating regulations on conditional business activities includes: cooperating to penalize businesses; requiring businesses to temporarily suspend conditional business activities.

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

1. Provincial Inspectorates (hereinafter referred to collectively as Provincial Inspectorates) are the main agencies responsible for building inspection and supervision plans for businesses in the province or city based on consolidating inspection and supervision requirements of businesses from the agencies specified in Clause 2 and Clause 4 of Article 2 of this Regulation.; monitoring and summarizing approved annual inspection and supervision 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 authorities are responsible for coordinating the implementation of annual inspection and supervision plans for businesses within their functional, task, and power scope. In their annual inspection and supervision plans, competent authorities must clearly specify the businesses and subordinate units within businesses planned for inspection and supervision.

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

Based on the orientation and program plan of the Government Inspectorate, the Provincial Inspectorate compiles the inspection and supervision needs of the agencies specified in Clause 2 and Clause 4 of Article 2 of this Regulation.and submits them to the Chairman of the provincial People's Committee for approval.

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) Central-level specialized administrative agencies located in the locality are responsible for comparing their inspection and supervision plans with those of other competent authorities in the area when drafting their own plans to minimize overlap; sending the Provincial Inspectorate their next year's approved inspection and supervision plans for businesses.

3. The Provincial Inspectorate notifies in writing the relevant competent authorities of plans to inspect and supervise the same or several businesses, requesting these authorities to negotiate and establish a joint inspection and supervision team led by one agency. If special requirements necessitate independent inspections or supervisions, the heads of the competent authorities 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.

When forming a joint inspection team, the Provincial Inspectorate is responsible for leading, with related agencies assigning staff to participate. Joint inspection results must be sent to participating competent authorities. Violations by businesses in specific fields are handled according to specialized legal provisions. Based on the joint inspection team's conclusions, the head of the specialized inspection agency issues decisions or recommends the competent authority to issue decisions for handling according to regulations.

In the case of establishing a joint inspection team, relevant agencies shall uniformly elect one leading agency, and other related agencies shall send officials to participate. The results of the joint inspection must be sent to all participating agencies. Violations of enterprises in each field shall be handled according to the specialized laws. Based on the conclusion of the joint inspection team, the head of the specialized agency shall issue a decision or recommend the competent authority to issue a decision to handle administrative violations as prescribed.

2. In the process of preparation or during the inspection and examination of enterprises, if the competent authority discovers or notices signs that the enterprise has committed violations outside the scope of its assigned functions, duties, and authorities, it shall notify or request the competent authority to coordinate or conduct independent inspections and examinations.

3. The provincial inspection agency is responsible for advising and assisting the provincial People's Committee in monitoring and urging the implementation of the inspection and examination plan for enterprises in the province, city; consolidating the results of the inspection and examination plans of functional agencies and reporting to the provincial People's Committee.

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

1. The Business Registration Department under the Department of Planning and Investment shall be responsible for revoking the business registration certificate in accordance with the provisions of Enterprise Law.

2. Within five working days from the date of identifying the violation of the enterprise as prescribed for revoking the business registration certificate, the competent authority shall be responsible for notifying the Department of Planning and Investment in writing.

3. Upon receiving information about the violation of the enterprise that falls within the scope of revoking 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 a state agency with the authority to inspect the enterprise, individuals, or organizations involved. The verification result regarding the violation of the enterprise that falls within the scope of revoking 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.

b) Agencies specified in Clause 2 and Clause 3 Article 2 of this Regulation shall be responsible for verifying the business activities in prohibited industries of enterprises under their management;

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

d) Agencies or organizations managing founders of enterprises prohibited from establishing enterprises according to the provisions of Enterprise Law shall be responsible for verifying the background of such founders.

4. Upon receiving a written document from the competent authority determining the violation of the enterprise that falls within the scope of revoking the business registration certificate, the Department of Planning and Investment shall direct the Business Registration Department to revoke the business registration certificate of the enterprise in accordance with the regulations, while simultaneously notifying the competent authority that requested the revocation.

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

1. When discovering that an enterprise has violated the regulations on conditional business sectors, the competent authority shall decide on punishment within its authority or request the competent authority to decide on punishment according to the specialized laws, and at the same time require the enterprise to comply with the conditions for business operations.

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 qualification certificates, or other types of certification 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 a written notification from the competent authority specified in Clause 2 of this Article, the Department of Planning and Investment shall direct the Business Registration Department to issue a notice requiring the enterprise to temporarily suspend operations in conditional business sectors, and simultaneously send it to the district-level People's Committee.

4. The district-level People's Committee shall monitor the production and business activities of enterprises that have been notified by the Business Registration Department to temporarily suspend operations in conditional business sectors. If the enterprise continues to operate in conditional business sectors without meeting the business conditions, the district-level People's Committee shall notify the competent authority to handle the situation.

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 status of enterprises in the industry and sector under its management and the implementation of coordination contents stipulated in Clause 2 Article 17 of this Regulation of the previous year.

2. The Department of Planning and Investment shall be responsible for consolidating the implementation status of coordination contents stipulated in Points a, c, and d Clause 2 Article 17 of this Regulation.

3. The provincial inspection agency shall be responsible for consolidating the implementation status of coordination contents stipulated in Point b Clause 2 Article 17 of this Regulation.

4. By the end of February each year, the provincial People's Committee shall report to the Ministry of Planning and Investment on the management status of enterprises after registration in the previous year according to the contents stipulated in Article 17 of this Regulation, shall be sent simultaneously 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 Home Affairs, the Department of Finance, the Taxation Service, and other competent agencies to develop a coordination regulation among competent agencies within the province or city in managing enterprises after registration for establishment, to be submitted to the People's Committee of the province or city for issuance; monitor and compile the implementation status of the Regulation.

Article 20. Budget for Implementation of the Coordination Regulations

The funding to ensure the coordination work among competent agencies in state management of enterprises after registration for establishment within the province or city shall be allocated in the regular budget of these agencies.

Article 21. Amendment and Supplement to Model Coordination Regulations

During the implementation process, if there are any difficulties, individuals or organizations are requested to promptly reflect them to the Ministry of Planning and Investment, the Ministry of Finance, or the Ministry of Home Affairs for research and amendment.