Joint Circular No. 04/2015/TTLT-BKHDT-BTC-BNV dated May 28, 2015 of the Ministry of Planning and Investment, the Ministry of Home Affairs and the Ministry of Finance ssuing the model Regulation on coordination among functional agencies in provinces and centrally run cities in the state management of enterprises after establishment registration

JOINT CIRCULAR

Issuing the model Regulation on coordination among functional agencies in provinces and centrally run cities in the state management of enterprises after establishment registration[1]

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

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

Pursuant to the November 29, 2005 Law on Enterprises;

Pursuant to the November 29, 2005 Law on Investment;

Pursuant to the November 29, 2006 Law on Tax Administration and the November 20, 2012 Law Amending and Supplementing a Number of Articles of the Law on Tax Administration;

Pursuant to the November 15, 2010 Law on Inspection;

Pursuant to the Government’s Decree No. 24/2014/ND-CP of April 4, 2014, providing the organization of specialized agencies under People’s Committees of provinces and centrally run cities;

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

Pursuant to the Government’s Decree No. 58/2014/ND-CP of June 16, 2014, defining the functions, tasks, powers and organizational structure of the Ministry of Home Affairs;

Pursuant to the Government’s Decree No. 215/2013/ND-CP of December 23, 2013, defining 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 promulgates the Joint Circular on the model Regulation on coordination among functional agencies in provinces and centrally run cities in the state management of enterprises after establishment registration.

Article 1.To promulgate together with this Circular the model Regulation on coordination among functional agencies in provinces and centrally run cities in the state management of enterprises after establishment registration.

Article 2.Implementation provisions

This Circular takes effect on July 31, 2015.

Before September 1, 2015, based on the model Regulation promulgated together with this Circular and their characteristics, conditions and socio-economic development, provincial-level People’s Committees shall issue Regulations on coordination among locally based functional agencies in the state management of enterprises after establishment registration.

Article 3.Implementation responsibility

Chiefs of the Offices and heads of related units of the Ministry of Planning and Investment, the Ministry of Finance and the Ministry of Home Affairs and chairpersons of provincial-level People’s Committees and related agencies, organizations and individuals shall implement this Circular.-

Model Regulation on coordination among functional agencies in provinces and centrally run cities in the state management of enterprises after establishment registration

(Promulgated together with the Ministry of Planning and Investment, the Ministry of Finance and the Ministry of Home Affairs’ Joint Circular No. 04/2015/TTLT-BKHDT-BTC-BNV of May 28, 2015)

Chapter I

GENERAL PROVISIONS

Article 1.Scope of regulation

This Regulation provides objectives, principles, contents of and responsibilities for coordination among functional agencies in provinces and centrally run cities (below referred to as provinces and cities) in the exchange, provision and publicization of information on enterprises; inspection and examination of enterprises; revocation of enterprise registration certificates; handling of enterprises violating regulations on conditional business lines; and reporting on the state management of enterprises after establishment registration.

Article 2.Subjects of application

1. People’s Committees of provinces and centrally run cities (below collectively referred to as provincial-level People’s Committees).

2. Specialized agencies under provincial-level People’s Committees.

3. Specialized management agencies under central state management agencies based in provinces and cities (below referred to as provincially based specialized agencies).

4. People’s Committees of districts, towns and provincial cities (below collectively referred to as district-level People’s Committees).

Article 3. Interpretation of terms

In this Regulation, the terms below shall be construed as follows:

1. Provision of enterprise information means the sending by a requested state agency within the ambit of its management functions and in accordance with law, of enterprise information with determined contents and within a determined scope to the requesting agency to serve the state management of enterprises.

2. Exchange of enterprise information means the continuous or periodical provision of enterprise information between or among two or more functional agencies.

3. Publicization of enterprise information means the wide, free dissemination of enterprise information by a state agency based on its management functions and as prescribed by law.

4. Inspection of enterprises means the examination, assessment and handling by a competent state agency of the implementation of policies and laws and the performance of tasks and exercise of powers by enterprises and related organizations and individuals according to the order and procedures prescribed in the Law on Inspection.

5. Examination of enterprises means the examination and assessment by a competent state agency of the implementation of policies and laws and the performance of tasks and exercise of powers by enterprises and related organizations and individuals.

6. Functional agencies are those defined in Clauses 2, 3 and 4, Article 2 of this Regulation.

7. Attached units of an enterprise include branches, representative offices and business locations established by an enterprise.

Article 4.Purposes of coordination in the management of enterprises after establishment registration

1. To raise the effectiveness and efficiency of state management of enterprises after establishment registration in localities through:

a/ Strengthening coordination among agencies in the state management of enterprises;

b/ Dividing responsibilities of agencies for the state management of enterprises;

c/ Promoting the society’s supervision of enterprises.

2. To detect and promptly handle enterprises violating the law, prevent and reduce negative impacts caused by enterprises on the society.

3. To contribute to building a favorable business environment.

Article 5. Principles of coordination

1. The responsibilities for the state management of enterprises shall be clearly divided according to functions, tasks and powers of each level and state management agency. State management agencies shall manage enterprises according to each of their business sectors or fields. An enterprise conducting multiple business lines shall be managed by multiple state agencies. Each agency shall manage enterprises according to its sector or field.

2. Exchange, provision and publicization of enterprise information must be accurate, sufficient and timely. Requests for exchange and provision of enterprise information shall be based on state management requirements suitable to the functions, tasks and powers of requesting agencies. The use of enterprise information must comply with the law.

3. Coordination in inspection and examination of enterprises must assure accuracy, objectiveness, honesty, publicity, democracy and promptness; no overlap in the scope, subjects, contents of inspection and examination at a time among agencies conducting inspection and examination; and minimization of troubles and obstacles to normal operations of enterprises.

4. Enterprises shall not be required to carry out any additional administrative procedures and their normal operations shall be facilitated.

Chapter II

EXCHANGE, PROVISION AND PUBLICIZATION OF ENTERPRISE INFORMATION

Article 6.Contents of enterprise information

1. Information on enterprise registration, including: name; identification number; head office address; business line of enterprise; information about the at-law representative; charter capital; company charter; list of members, founding shareholders and authorized representatives; information about attached units, and other enterprise registration information as prescribed by law.

2. Information on operation status of enterprises, including being operational; carrying out dissolution procedures; having been dissolved; having enterprise registration certificate revoked; having suspended business; having terminated operation (for attached units).

3. Information on production and business operations of enterprises, including: production and business reports, financial statements, turnover, product output, number of employees, export, import and other relevant information as prescribed by law.

4. Information on handling of enterprises’ violations of law, including: competent agencies’ conclusions and results of handling of enterprises’ violations of enterprise, investment, tax administration and other specialized laws.

Article 7.Responsibilities of agencies for exchange, provision and publicization of enterprise registration information

1. Provincial-level Planning and Investment Departments shall act as the focal points in providing enterprise registration information in provinces and cities.

According to their functions, tasks and powers, functional agencies may request provincial-level Planning and Investment Departments to provide enterprise registration information. Provincial-level Planning and Investment Departments shall establish the process of providing enterprise registration information to state management agencies in provinces and cities.

If detecting that enterprise registration information provided by the provincial-level Planning and Investment Department is inaccurate or insufficient compared to the real situation of an enterprise, a functional agency shall notify in writing the provincial-level Planning and Investment Department for requesting the enterprise to register the change or correct its registration information under regulations. After the enterprise registers the change or corrects its information, the provincial-level Planning and Investment Department shall notify the result to the concerned functional agency.

2. Provincial-level Planning and Investment Departments shall act as the focal points in publicizing enterprise registration information in provinces and cities. Enterprise registration information to be publicized includes:

a/ Name; identification number; head office address; and name of the at-law representative of the enterprise;

b/ Names; identification numbers; office addresses; and names of heads of attached units of the enterprise;

c/ Name; identification number; head office address; and name of the at-law representative of enterprise that has completed dissolution procedures;

d/ Names; identification numbers; office addresses; and names of heads of the enterprise’s attached units that have terminated their operation;

Article 8.Responsibilities of agencies for exchange, provision and publicization of information on operation status of enterprises

1. With information available in the national enterprise registration database, provincial-level Planning and Investment Departments shall act as the focal points in providing and publicizing information on operation status of enterprises in provinces and cities.

2. Provincial-level Planning and Investment Departments shall periodically compare information on operation status of enterprises on the national enterprise registration database with that provided by tax agencies. For an enterprise having suspended its operation for more one year without notifying the tax or business registration agency, the provincial-level Planning and Investment Department shall inspect, examine and handle the enterprise according to its functions, tasks and powers and in accordance with law.

Article 9.Responsibilities of agencies for exchange, provision and publicization of information on production and business operations of enterprises

1. Functional agencies shall take the initiative in building databases of enterprises in their assigned sectors and fields of state management, and making plans and tools for exchange of enterprise information with provincial-level Planning and Investment Departments, Taxation Departments and other agencies acting as the focal points in providing enterprise information to serve their state management tasks.

2. Functional agencies shall be encouraged to exchange enterprise information and share enterprise databases in order to raise the effectiveness and efficiency of the state management of enterprises and reducing enterprises’ declaration and reporting obligations.

3. Functional agencies shall publicize information on production and business operations of enterprises in accordance with specialized laws.

Article 10.Responsibilities of agencies for publicization of information on handling of enterprises committing violations of law

1. Provincial-level Planning and Investment Departments shall act as the focal points in publicizing information on enterprises violating enterprise and investment laws. Information to be publicized includes: name; identification number; head office address; and name of the at-law representative of the violating enterprise.

2. Provincial-level Taxation Departments shall publicize lists of enterprises and their attached units that violate the tax law in provinces and cities under the Law on Tax Administration and the guidance of the Tax General Department.

3. Functional agencies other than those specified in Clauses 1 and 2 of this Article shall publicize enterprises under their management and these enterprises’ attached units that commit and are sanctioned for administrative violations under specialized laws. Information to be publicized includes: name; identification number; head office address; and name of the at-law representative, heads of attached units of the enterprise, violations, sanctions applied and remedial measures taken.

Article 11.Forms and means of exchange, provision and publicization of enterprise information

1. Functional agencies shall be encouraged to apply information technology to the exchange, provision and publicization of enterprise information.

2. Provincial-level People’s Committees may decide forms and means of exchange, provision and publicization of enterprise information by the agencies specified in Clauses 2 and 4, Article 2 of this Regulation.

3. Central state management agencies may decide or submit forms and means of exchange, provision and publicization of enterprise information by the agencies specified in Clause 3, Article 2 of this Regulation to competent agencies for decision.

Chapter III

INSPECTION AND EXAMINATION OF ENTERPRISES, REVOCATION OF ENTERPRISE REGISTRATION CERTIFICATES AND HANDLING OF ENTERPRISES VIOLATING REGULATIONS ON CONDITIONAL BUSINESS LINES

Article 12.Contents of coordination in inspection and examination of enterprises, revocation of enterprise registration certificates and handling of enterprises violating regulations on conditional business lines

1. Coordination in inspection and examination of enterprises includes coordination in the formulation of inspection and examination plans and coordination in organization of inspection and examination of enterprises.

2. Coordination in revocation of enterprise registration certificates includes coordination in identification of violations subject to revocation of enterprise registration certificates and in revocation of enterprise registration certificates.

3. Coordination in handling of enterprises’ violations of regulations on conditional business lines includes coordination in sanctioning of enterprises and request for enterprises to suspend conditional business lines.

Article 13.Responsibilities of agencies for coordination in making plans on inspection and examinations of enterprises

1. Inspectorates of provinces and centrally run cities (below collectively referred to as provincial-level inspectorates) shall act as the focal points in making plans on inspection and examination of enterprises in provinces and cities based on summarization of inspection and examination requests of the agencies specified in Clauses 2 and 4, Article 2 of this Regulation; and in monitoring and summarizing approved inspection and examination plans for reporting to the provincial-level People’s Committee.

Inspection and examination plans may be made separately or incorporated in provincial-level inspection and examination plans.

2. Within the ambit of their respective functions, tasks and powers, functional agencies shall coordinate in implementing annual inspection and examination plans. In their annual inspection and examination plans, functional agencies shall specify enterprises and their attached units to be inspected and examined.

a/ Before November 11 every year, the agencies specified in Clauses 2 and 4, Article 2 of this Regulation shall submit their inspection and examination plans for the subsequent year to the provincial-level inspectorates;

Based on the Government Inspectorate’s inspection guideline and program, provincial-level inspectorates shall summarize inspection and examination requests of the agencies specified in Clauses 2 and 4, Article 2 of this Regulation, and submit them to chairpersons of provincial-level People’s Committees for approval.

By November 25 every year at the latest, chairpersons of provincial-level People’s Committees shall approve their local inspection and examination plans for the subsequent year.

b/When preparing their inspection and examination plans, provincially based specialized agencies under central state management agenciesshall compare them with other functional agencies’ plans in the locality in order to minimize overlapping, and send their approved plans for the subsequent year to provincial-level inspectorates.

3. Provincial-level inspectorates shall notify the functional agencies that plan to inspect and examine a same enterprise or number of enterprises, asking them to form an inter-sectoral inspection team and assign an agency to take charge of the inspection. In case independent inspection and examination is needed for a special reason, the head of the functional agency shall report it in writing to the provincial-level People’s Committee.

Article 14.Responsibilities of agencies for coordination in organization of inspection and examination of enterprises

1. Functional agencies shall organize inspection and examination of enterprises according to approved inspection and examination plans.

In case an inter-sectoral inspection team is formed, the provincial-level inspectorate shall assume the prime responsibility for and related agencies shall assign their officials to join the inspection. Violations of enterprises in each field shall be handled under relevant specialized laws. Based on the inter-sectoral inspection team’s conclusion, the head of the specialized inspection agency shall issue or propose a competent agency to issue a decision on handling of the violations under regulations.

In case an inter-sectoral examination team is formed, related agencies shall appoint one among them to assume the prime responsibility for and other agencies shall assign their officials to join the examination. The results of inter-sectoral examination shall be sent to the participating agencies. Violations of enterprises in each field shall be handled under relevant specialized laws. Based on the inter-sectoral examination team’s conclusion, the head of the specialized agency shall issue or propose a competent agency to issue a decision on handling of the violations under regulations.

2. In the course of preparation or inspection and examination of enterprises, if detecting signs of violation beyond their functions, tasks and powers, functional agencies shall notify and propose competent agencies to coordinate in the inspection and examination or conduct independent inspection and examination.

3. Provincial-level inspectorates shall assist provincial-level People’s Committees in monitoring and urging the implementation of inspection and examination plans in their localities; summarize the results of implementation of these plans by functional agencies, and report them to provincial-level People’s Committees.

4. Results of inspection and examination of enterprises shall be publicized in accordance with law.

Article 15.Responsibilities of agencies for coordination in revocation of enterprise registration certificates

1. Business Registration Divisions of provincial-level Planning and Investment Departments shall revoke enterprise registration certificates under the Law on Enterprises.

2. Within 5 working days after identifying an enterprise’s violation subject to revocation of enterprise registration certificate, the functional agency shall notify it in writing to the provincial-level Planning and Investment Department.

3. When receiving information on an enterprise’s violation subject to revocation of enterprise registration certificate, if seeing that such information needs verification, the provincial-level Planning and Investment Department shall examine according to its competence or propose a competent state agency to examine the enterprise and related individuals and organizations. The results of verification shall be presented in writing. Specific responsibilities are as follows:

a/ District-level People’s Committees shall verify production and business operations of enterprises in their localities;

b/ The agencies specified in Clauses 2 and 3, Article 2 of this Regulation shall verify enterprises conducting banned business lines under their management;

c/ Provincial-level Public Security Departments shall verify forged contents in enterprise registration dossiers;

d/ Agencies and organizations managing enterprise founders subject to be banned from the founding of enterprises under the Law on Enterprises shall verify their resumes.

4. After receiving the functional agency’s written confirmation of the enterprise’s violation subject to revocation of enterprise registration certificate, the provincial-level Planning and Investment Department shall direct the Business Registration Division to revoke the enterprise registration certificate under regulations, and notify the revocation-requesting functional agency.

Article 16.Responsibilities of agencies for coordination in handling enterprises’ violations of regulations on conditional business lines

1. When detecting an enterprise violating regulations on conditional business lines, a functional agency shall decide according to its competence or propose a competent agency to decide on the handling under a relevant specialized law, and request the enterprise to comply with regulations on business conditions.

2. Functional agencies managing conditional business lines shall notify in writing provincial-level Planning and Investment Departments in the following cases:

a/ Revoking, withdrawing, and suspending the use of, the business certificates, certificates of eligibility, practice certificates or other written certifications and approvals that have been granted to the enterprises for conducting conditional business;

b/ Requesting the business registration agency to order the enterprises to suspend the conditional business line that does not satisfy all business conditions.

3. Upon receiving the notices of the functional agencies specified in Clause 2 of this Article, the provincial-level Planning and Investment Department shall direct the Business Registration Division to issue notices ordering the enterprises to suspend the conditional business line that does not satisfy all business conditions, and sent them to the district-level People’s Committee.

4. The district-level People’s Committee shall monitor the production and business operations of the enterprises that are ordered by the Business Registration Division to suspend the conditional business line. In case such an enterprise continues to conduct the business line that does not satisfy all business conditions, the district-level People’s Committee shall notify a competent agency for handling.

Chapter IV

REPORTING ON STATE MANAGEMENT OF ENTERPRISES AFTER ESTABLISHMENT REGISTRATION

Article 17.Reported contents of state management of enterprises after establishment registration

1. State management of enterprises after establishment registration

2. Coordination among functional agencies in the following activities:

a/ Exchange, provision and publicization of enterprise information;

b/ Inspection and examination of enterprises;

c/ Revocation of enterprises registration certificates;

d/ Handling of enterprises violating regulations on conditional business lines;

dd/ Other issues specified in the Regulation on coordination among provincial-level functional agencies in the state management of enterprises after establishment.

Article 18.Responsibilities of functional agencies for reporting on the state management of enterprises

1. On January every year, functional agencies shall report on production and business situations of enterprises in sectors and fields under their respective management and their coordination in the implementation of contents specified in Clause 2, Article 17 of this Regulation in the preceding year to provincial-level People’s Committees.

2. Provincial-level Planning and Investment Departments shall act as the focal points in reviewing the implementation of Points a, c and d, Clause 2, Article 17 of this Regulation.

3. Provincial-level inspectorates shall act as the focal points in reviewing the implementation of Point b, Clause 2, Article 17 of this Regulation.

4. On February every year, provincial-level People’s Committees shall send a report on the state management of enterprises after establishment registration in the preceding year according to the contents specified in Article 17 of this Regulation to the Ministry of Planning and Investment, and concurrently send it to the Ministry of Finance and the Ministry of Home Affairs.

Chapter V

ORGANIZATION OF IMPLEMENTATION

Article 19.Formulation of Regulations on coordination among functional agencies in the state management of enterprises after establishment registration

Provincial-level Planning and Investment Departments shall assume the prime responsibility for, and coordinate with provincial-level Home Affairs Departments, Finance Departments, Taxation Departments and other functional agencies in, formulating the Regulations on coordination among provincially based functional agencies in the management of enterprises after establishments registration, and submit them to provincial-level People’s Committees for promulgation; and shall monitor and review the implementation of these Regulations.

Article 20.Funds for the implementation of the Regulation

Funds for coordination among provincially based functional agencies in the management of enterprises after establishment registration shall be incorporated in regular expenditure estimates of these agencies.

Article 21.Amendment and supplementation of the model Regulation

In the course of implementation, any arising problems shall be promptly reported to the Ministry of Planning and Investment, the Ministry of Finance or the Ministry of Home Affairs for study, amendment and supplementation.-