PROFESSIONAL EMPLOYERS PRIVATE LIMITED
Proprietary Notice: This document contains confidential information proprietary to People™ and may not be reproduced, copied or used for purposes other than its intended use without the prior written consent of People™, the information in this document is subject to change without notice.
Standard Operating Procedures ‐ SOP
SERVICE DELIVERY – MIS & CPU
People™ ‐ CR/SD ‐ SOP
Version: 1.2
September 2008
Karachi 704 Progressive Plaza Beaumont Road, Karachi-75530, Pakistan Tel: (+921 21) 111 000 737 Fax: (+92 21) 567 9563
Lahore 42C, E/1 Gulberg III, Lahore - 54660, Pakistan Tel: (+92 42) 111 000 737 Fax: (+ 92 42) 577 7819
Dubai Suite 112, Al Moosa Tower 1, P.O.Box 121400, Sheikh Ziad RoadDubai, UAE Tel: (+97 14) 332 5905 Fax: (+97 14) 332 5906
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Document Overview
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TABLE OF CONTENTS
1. Definitions and Abbreviations ............................................................................................................6
2. Service Delivery ‐ MIS Operations .....................................................................................................7 2.1. Overview .....................................................................................................................................7 2.2. Employment Letter Issuance .......................................................................................................7 2.3. General Letter Issuance ...............................................................................................................8 2.4. Employee Code Generation.........................................................................................................9 2.4.1 Primary Particulars..............................................................................................................9 2.4.2 Secondary Particulars ........................................................................................................10 2.5. Employee’s Document Management.........................................................................................10 2.6. Employee’s ID Card Issuance ....................................................................................................11 2.7. CNIC Verification ......................................................................................................................12 2.7.1 NADRA Verisys ................................................................................................................12 2.7.2 NADRA Bulk.....................................................................................................................12 2.8. Documents Verification .............................................................................................................13 2.9. Insurance Management .............................................................................................................14 2.9.1 Proposal Acquisition Process ............................................................................................14 2.9.2 Claim Process ....................................................................................................................15 i. Contractual Liability & 3rd Party Liability................................................................................15 ii. Group Hospitalization Claim Process .......................................................................................16 iii. Group Life Insurance Process....................................................................................................17
3. Service Delivery – CPU Operations ..................................................................................................19 3.1 Overview ...................................................................................................................................19 3.2 Invoice Generation ....................................................................................................................19 3.3 Payment Disbursement .............................................................................................................20 3.4 Out of Pocket Payment – OOP ..................................................................................................22 3.5 Stop Payments ...........................................................................................................................23 3.5.1 Stop & Reissue Cheques ....................................................................................................23 3.5.2 Stop Cheque.......................................................................................................................24 3.6 Gratuity Payments.....................................................................................................................24 3.6.1 Through Invoices...............................................................................................................24 3.6.2 Already Claimed ...............................................................................................................26
4. Service Level Agreements ...................................................................................................................28
5. Audit Process.........................................................................................................................................29
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5.1 Internal Audit By Service Delivery............................................................................................29 5.2 External Audit By Compliance & Audit ....................................................................................29
6. Reporting Process .................................................................................................................................31 6.1 Reporting CR & SD – MIS/CPU.................................................................................................31 6.1.1 From CR to SD ‐ CPU ........................................................................................................31 6.1.2 From SD – MIS/CPU to CR ................................................................................................31 6.2 Reporting Finance & SD – MIS/CPU .........................................................................................32 6.2.1 From SD – MIS/CPU to Finance.........................................................................................32 6.2.2 From Finance to SD – MIS/CPU.........................................................................................32
7. Procedure for User Profiles/Passwords Management....................................................................33
8. Procedure for Source Code Review...................................................................................................34
9. Procedure for Software Problem Reporting ....................................................................................35
10. Procedure for Hardware Problem Reporting...................................................................................36
11. Procedure for Electronic/Paper Media Disposal .............................................................................37
12. Procedure for Backup and Restoration.............................................................................................38
13. Appendices ............................................................................................................................................39 13.1 MIS Operations Process Flow....................................................................................................39 13.2 CNIC Verification (Verisys) Process Flow.................................................................................40 13.3 CNIC Verification (Bulk) Process Flow .....................................................................................41 13.4 MIS Form for CNIC Verification ...............................................................................................42 13.5 Document Verification Process Flow.........................................................................................43 13.6 Insurance Management Process Flow .......................................................................................44 13.7 Insurance Claim (CLI) Process Flow .........................................................................................45 13.7.1 Document Check List for (CLI) Claim Process ..................................................................46 13.8 Insurance Claim (GHI) Process Flow ........................................................................................47 13.8.1 Document Check List for (GHI) Claim Process .................................................................47 13.9 Insurance Claim (GLI) Process Flow .........................................................................................48 13.9.1 Document Check List for (GLI) Claim Process ..................................................................49 13.10 Salary & Invoice Preparation Process Flow ...............................................................................50 13.11 Out of Pocket Payment Process Flow ........................................................................................51 13.12 Stop & Re‐Issue Cheque Process Flow ......................................................................................52 13.13 Gratuity Payment Process Flow ................................................................................................53 13.14 SD – MIS Audit Process Flow ....................................................................................................54 13.15 Invoice/Payment Audit Process Flow........................................................................................55 13.16 GL Posting Audit Process Flow .................................................................................................56
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13.17 OOP Payment Audit Process Flow............................................................................................57 13.18 MIS Form ...................................................................................................................................58 13.19 Software Problem Report Form .................................................................................................59 13.20 Hardware Problem Reporting Form..........................................................................................60 13.21 Contents of Recruitment Pack ...................................................................................................61 13.22 Contact Information ..................................................................................................................62
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1. DEFINITIONS AND ABBREVIATIONS
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2. SERVICE DELIVERY ‐ MIS OPERATIONS
2.1. OVERVIEW
SD‐MIS is custodian of PPM & PEO employee’s database and documentation. SD –
MIS responsibilities include but not limited to issuance of ELs, GLs, employee ID
cards, employee code generation, employee’s document management, insurance
management, CNIC & documents verification, etc. The purpose of this document is to
keep SD – MIS operations standardized and any change in the procedure will be
added, version will get revised and then approved from the concerned authorities.
2.2. EMPLOYMENT LETTER ISSUANCE
The Employment Letter containing terms & condition of the employment issued to the
selected candidate. Employment with People™ will commence on acceptance of
Employment Letter. The following steps are integral in issuing an Employment Letter
of any client:
SD ‐ MIS receives the information on EL request template from CR
The information on EL template will be added in the prescribed format of EL with
respect to the client
Two copies of EL will be printed , one will be kept by the employee other for
People™ record
The recruitment package (Annexure 13.21 attached) will be attached with EL as
per checklist
EL will be dispatched to the recipient address provided in EL request template
The details of EL will be added in MIS maintained for EL issuance
One full working day up to 40 letters will be benchmark STAT for EL process.
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In case of any delay, issue will resolve in 4 working hours and verbal /written
warning will issue to responsible OE/SE as per HR policy then an interchange in
SD – MIS team may require before taking the final step
Please see process flow diagram of “Employment Letter Issuance” in appendix 13.1
2.3. GENERAL LETTER ISSUANCE
General letters include but not limited to experience/verification letters, transfer letters,
show cause notices/warning letters, promotion/increment letters &
termination/acceptance of resignation letters etc.. The following steps are integral in
issuing of any GL for any client:
SD ‐ MIS receives the information on GL request template from CR
The information on GL template will be added in the prescribed format of GL
with respect to the client
Two copies but not limited to each GL will be printed , one will be kept by the
employee other for People™ record
GL will be dispatched to the recipient address provided in letter’s request
template
The details of GL will be added in MIS maintained for general letters issuance
One full working day up to 100 letters will be benchmark STAT for GL issuance.
For Experience Letters and Antecedent Verification Letters, SD – MIS will
response respectively on every Monday (for Experience Letter up to 200) and
Tuesday (for Antecedent Verification Letters up to 100).
In case of delay, problem will be resolved with immediate response in 4 working
hours and verbal /written warning will be issued to responsible OE/SE as per HR
policy then an interchange in SD – MIS team may require before taking the final
step.
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Please see process flow diagram of “General Letter Issuance” in appendix 13.1
2.4. EMPLOYEE CODE GENERATION
Every employee is assigned a unique code for his/her identification & future
correspondence. Following steps are part of employee code generation process:
SD ‐ MIS department receives documents after being filled up by employee (EL
& recruitment package) from CR
SD ‐ MIS will check the documents and acknowledge CR via email of
received/missing documents.
The SD ‐ MIS will assign a unique code to the documents which will become
employee code of that individual and enter the particulars of the employee in
payroll system
The employee codes are also generated through STFs received from CR provided
primary particulars & validated on receipt of documents.
One full working day up to 50 codes will be benchmark STAT for employee
code generation process.
The employee particulars can be broken down in two categories namely primary
& secondary. No code can be generated without primary particulars.
Any query regarding employee code generation will be handled with in 2
working hours verbal /written warning will issue to responsible OE/SE as per
HR policy then an interchange in SD – MIS team may require before taking the
final step
The details of particulars are as follow:
2.4.1 PRIMARY PARTICULARS
Employee’s name, Copy of CNIC, department, designation, date of joining, salary,
gender, date of birth, type of employment (salaried or commission based)
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2.4.2 SECONDARY PARTICULARS
Father’s/husband name, residential address, contact #, region, city ,religion, bank
branch name, a/c #, marital status, , personal file status, last qualification, previous
employment & document checklist (Annexure 13.21 attached).
Employee codes will then be sent to CR & SD – CPU (if required) for future
correspondence / action.
Updating / amendment (a/c #, branch posting, city, section, designation, increment
etc.) in the Payroll will be made upon receiving STFs / document from client
through CR.
Please see process flow diagram of “Employee Code Generation” in appendix 13.1
2.5. EMPLOYEE’S DOCUMENT MANAGEMENT
Employee’s document contains full details confidential / non‐confidential of the
employee which can be needed time to time. The safe custody of the documents is one
of the critical parts of SD‐MIS functions. Following steps are part of this process:
Employee code will be put on the Employees’ Personal File
The employee code & name will be entered in the MIS.
Employee’s picture will be scanned for ID card
Employee personal file will be forwarded to the scanning desk for scanning
The scanned file will be placed in Laserfiche® & hard file will be placed into the
respective cabinet, drawer & flap
Cabinets will be tagged with client name, drawer number
Loose documents will be scanned, placed in respective folder of Laserfiche® and
hard copy put in the physical place.
The personal files will be kept in cabinets only for active employees
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The personal files of resigned / inactive employees will be placed in store room in
boxes with proper tagging
Four full working days will be benchmark STATs for employee’s personal file
management process
The MIS for resigned / inactive staff will be maintained for the record
Please see process flow diagram of “Employee Document Management” in appendix
13.1
2.6. EMPLOYEE’S ID CARD ISSUANCE
Every employee of People™ issued an ID card for his / her identification and easy
movement across the offices. Following steps are part of employee’s ID card issuance
process:
SD ‐ MIS will prepare & forward the standard template of the card upon the
request of CR
The CR will provide the approved template of the card by the client
After code generation the picture of the employee will be scanned & saved with
employee code
The required data (employee code, name, location, designation, DOJ & signature
of issuing authority) will be entered in the card template & get it printed
ID cards will be dispatched to the CR for distribution with followed up receipt
acknowledgement
The status will be updated to “issued” in payroll system.
Two full working days for up to 50 ID cards will be benchmark STAT for the
process of employee card issuance after receipt of documents.
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Any delay will be resolved with in 4 working hours and verbal /written warning
will issue to responsible OE/SE as per HR policy then an interchange in SD –
MIS team may require before taking the final step
Please see process flow diagram of “Employee ID Card Issuance” in appendix 13.1
2.7. CNIC VERIFICATION
People™ has acquired the facility to verify the CNIC of the employee from NADRA to
minimize the fraudulently. Following steps are part of CNIC verification.
Upon receiving of documents from Client through CR, SD ‐ MIS must verify the
CNIC either from NADRA Verisys or Bulk verification processes
The details of both processes are as follow:
2.7.1 NADRA VERISYS
To verify CNIC, SD – MIS will login for NADRA Verisys through HTTP server
by NADRA provided username and password
The CNIC number will be entered in the Verisys Software & the true image of
CNIC from NADRA database will be displayed
The status will be filed on prescribed form (Annexure 13.4 attached). Screen shot
will be saved in soft form.
Two full working days for up to 50 verifications will be benchmark STAT for
process of CNIC verification through Verisys
Please see process flow diagram of “CNIC verification through Verisys process” in
appendix 13.2
2.7.2 NADRA BULK
CNIC number’s text file will be uploaded in inbox provided by NADRA on FTP
server.
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Four full working days will be benchmark STAT for process of CNIC verification
through Bulk process
After agreed STATs of NADRA, verified CNIC number’s zip file will be
downloaded from the FTP server.
Please see process flow diagram of “CNIC verification through Bulk process” in
appendix 13.3
The status verified or not by NADRA will be transformed on prescribed form &
printed form will be filed in each Employee’s Personal File.
SD ‐ MIS will maintain MIS of verified staff client vise
Queries/delays will be handled in 4 working hours and verbal /written warning
will issue to responsible OE/SE as per HR policy then an interchange in SD – MIS
team may require before taking the final step
2.8. DOCUMENTS VERIFICATION
Based upon each client’s request last degree & employment verification will be
performed within a reasonable time from the related board / universities / and or
previous employers. All the cost of verification will be borne by the client or employee
as per agreement.
SD ‐ MIS will receive the request for degree verification from CR or if have a
process in place for a certain client/department to be verified the process of degree
verifications will be auto initiated by SD –MIS.
SD –MIS will forward the request to Process Outsourcing department with the
copy of last degree, copy of CNIC & one snap of the staff.
Verified copy of degree will be filed in his/her personal file and findings will be
forwarded to the CR.
SD ‐ MIS will maintain an MIS of verified staff client vise
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No STAT, as time varies form university to university, board to board & technical
board to technical board for verification of degree, certificate or diploma
respectively.
Please see process flow diagram of “Employee Document Verification” in appendix 13.5
2.9. INSURANCE MANAGEMENT
People™ offer several types of insurances i.e., group hospitalization, group life,
contractual liability, 3rd party & cash in transit insurances to hedge against the risk of
contingent loss. To cover under the above mentioned insurance following steps are the
part of process.
2.9.1 PROPOSAL ACQUISITION PROCESS
SD ‐ MIS will receive the request for insurance cover required to the client through
CR
SD –MIS will forward the details to IC to get a proposal of requested insurance.
The proposal will contain the type of coverage, limit of coverage, benefits,
premium rate & mode of payment etc.
On receipt of proposal SD‐MIS will forward it to the CR department for approval
from client. On consent of client via CR department, the request for policy
issuance will be forward to IC
The scanned copy of the policy will be shared with CR department.
SD ‐ MIS will forward the monthly addendum/deletion of staff to IC and
maintained its record
On receipt of premium bill SD –MIS will check the bill with own working (where
possible) and forward it to the Finance department for payment
The status of payment will be updated in the record maintained by SD –MIS &
cheque will be forwarded to the IC & the copy of cheque will be filed
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SD – MIS will ensure the medical cards are being issued to the employees & will
keep its record
SD –MIS will maintain an MIS of claims processed or in‐process
Seven working days for proposal acquisition will be benchmark STAT for
insurance management process.
Please see process flow diagram of “Insurance Management” in appendix 13.6
2.9.2 CLAIM PROCESS
i. Contractual Liability, 3rd Party & Cash in Transit
These insurances are to cover up any probable loss of client if it may cause due to
People™ Outsourced Employee.
SD – MIS will get intimation by client via CR highlighting the fraudulent activity
immediately along with details related to the suspected staff with date of
occurrence and discover embezzled amount & intimate the same to IC with in one
working day.
CR will issue show cause notice or suspension of service order with in 2 working
days.
IC will appoint a surveyor with in 3 working days after intimation.
ICS will meet with SD‐MIS within 3 working days after appointment. And will let
People™ know the list of required documents (Annexure 13.7.1 attached) by
keeping view the nature of the case.
In the meanwhile CR will joint investigate the case with client within 4 working
days. One extra working day will be required to compile the People™ internal
investigation report.
SD‐MIS will inform CR the list of required documents by ICS with in one working
day & CR will share the surveyor required document list with client in one
working day.
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Client will provide the required documents with in 7 working days.
CR will provide received documents to SD – MIS in one working day.
SD‐MIS will share the received documents with ICS with in one working day.
ICS will assess the received documents and if required any further document will
inform SD‐MIS with in 7 working days. And the same process from document
intimation to client to receipt will be followed.
ICS will compile the assessment report maximum in 30 working days & submit the
same to Insurance Company.
IC will review & release the check with in 7 working days if claim is accepted
otherwise IC will inform SD – MIS
SD‐MIS will arrange the payment to client with in two working days.
Please see process flow diagram of “Insurance Management” in appendix 13.7
ii. Group Hospitalization Process
People™ is maintaining Group Hospitalization Insurance (GHI) for its clients. The ICs
are the one of the best companies with respect to panel hospital coverage, services and
cost. Usually it is discouraged to get treatment from non panel hospitals. But in case of
emergency and non availability of panel hospital in the area the employee can visit the
non panel and claim the expense. Following is the process will be followed to process
the GHI claim.
Employee will submit the claim form duly filled and signed along with original
bills to CR
CR will forward the received documents to SD‐MIS
SD‐MIS will copy all the documents for own record and enter the details in MIS &
forward to IC within one working day after receipt
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IC will analyze the claim according to GHI policy. If the claim is under the policy,
IC will dispatch the claim settlement cheque to SD‐MIS with in 21 working days.
In case of decline IC will inform SD‐MIS within 7 working days.
On receipt of cheque SD‐MIS will add its details in MIS and dispatch it to CR for
handing over to employee or directly dispatch to the employee on provision of
his/her dispatching address.
Please see process flow diagram of “Insurance Management” in appendix 13.8 & for
required document check list 13.8.1
iii. Group Life Process
People™ is maintaining Group Life Insurance (GLI) of all outsourced staff. In case of
sad demise of any employee the GLI claim will be lodged to IC. The following process
will be followed to settle the GLI claim.
CR will inform SD‐MIS about the death of employee containing date of death,
nature of death (accidental or natural), employee ID & address of his/her heir
SD‐MIS will intimate to IC with in one working day & add the claim details in MIS
IC will send the list of documents required (Annexure 13.9.1 attached) along with
physician statement and employer statement form
SD‐MIS will write a condolence letter on standard format to the heir mentioning
the required details for claim settlement & inform CR accordingly
CR will follow the completion of documents ASAP
After receipt of complete documents SD‐MIS will dispatch these documents to IC
with in one working day. And maintain the copies for own record & update the
MIS
IC will analyze the case and if accepted will release the cheque within 21 working
days. Otherwise inform SD‐MIS within 7 working days
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On receipt of cheque SD‐MIS will maintain a copy for own record and update the
MIS. The cheque will be forwarded to Finance department along with
acknowledgment email
SD‐MIS will demand the Succession Certificate from the legal heir issued under
succession act 1925
On receipt of succession certificate SD‐MIS will send its verification request to
verification department with in one working day
Verification department will take 7 working days for its verification
On receipt of verification department positive feed back SD‐MIS will prepare the
payment receipt as per Succession Certificate & send email to Finance department
to arrange the payment cheque against the legal heirs. On negative feed back the
same will be informed to CR & legal heirs
Finance department will arrange the cheque with in 3 working days
CR will arrange to handover the cheque & ensure to take the signature & thumb
impression of recipient on receipt along with copies of CNIC verified with original
CR will send the receipt along with copies of CNIC to SD‐MIS for its record
Please see process flow diagram of “Insurance Management” in appendix 13.9
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3. SERVICE DELIVERY – CPU OPERATIONS
3.1 OVERVIEW
SD – CPU takes care of invoice processing, salary disbursement, gratuity/bonus
disbursement, etc. to all PPM & PEO staff. The purpose of this document is to keep SD
– CPU operations standardized. Any change in the procedure will be added in this
document and version will get revised and approved from the concerned authority.
This section of SOP document covers complete procedures of SD ‐ CPU starting from
information received from the client through CR, invoice processing & generation &
how to disburse of all types of payments, etc.
3.2 INVOICE GENERATION
To claim service charges and to pay salaries and other benefits to PPM & PEO
employees, we process and generate invoices for all of our clients. The invoice includes
the details of salaries, commission, incentives, bonus, gratuities, etc which are payable.
It also includes details of statutory benefits such as EOBI, Social Security, Income Tax,
Provident Fund, Gratuity and other benefits like GLI, CLI & GHI. People™ service
charges are also part of this invoice for providing the outsourcing services to its
different clients. The following steps are part of this invoice generation process:
MIS/STF received from CR for any new information which needs to be added or
amended in the employee’s master data of the particular client.
SD ‐ CPU process invoice based on the information received from client through
CR and initiate working on excel file
Import excel working file in PPM & PEO and generate an invoice number from the
system
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Two/three copies of invoice get printed, cover letter attach with each invoice &
forward it for authorization
Invoices are signed by the authorized signatory & one copy will be kept for
People™ record. SD ‐ CPU sends other copy of invoice directly to the client or
through CR and inform to CR via email.
If invoice gets returned due to any error by People™ or any update/change by the
client, IAR needs to be prepared and approved by a senior manager
File the IAR with the invoice as revised invoice with SD ‐ CPU & Finance so to
cater reconciliation purposes later on.
Again get two / three prints of revised invoice, signed & also get dumped one for
Finance record and other forward to the client. Previous copy of invoice will also
remain in the file & in system for the record purpose
Two full working days for MCB, HBL & PMCL and one full working day for all
other clients will be benchmark STAT for process of invoice generation & revise
invoice (if any amendment needed) will not take more than 4 hours
Query/delay in invoice generation will be resolved immediately in 2 working
hours and verbal /written warning will issue to responsible OE/SE as per HR
policy then an interchange in SD – CPU team may require before taking the final
step
Please see process flow diagram of “Invoice Generation” in appendix 13.10
3.3 PAYMENT DISBURSEMENT
All type of payments which can be made to the employee against any invoice will come
under this process. Following steps are part of the payment disbursement process:
Invoice payment received
Recheck invoice processed in Payroll system
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Check the Salary Register with final invoice
Print & dump soft copies of Salary Register, bank cheque # list, EFT, TI and Tax
Deduction Statements
Upload cheque batches in HSBCnet in this format “date‐clientname‐inv#‐location”
SE will send an email to team members of SD – CPU & Finance after uploading the
batch into HSBC for authorization. Hard copy of cheque # list should be
forwarded to the authorizers for signatures
Once it authorized, file the cheque # list with other particulars of the invoice
Enter the details of upload batch details in MS Excel file which will help Finance to
reconcile at the month end
Print Transfer Instructions and forward it to the authorize signatories for signing
Once it is authorized, forward the TI to the respective bank for EFT and file the
same with other particulars of the invoice.
Forward the soft copies of bank cheque # lists, TI & pay slips to CR
Update the cheque numbers in Payroll system upon receiving the details from CR,
HSBC or any other bank have been used to do EFT
GL posting of the invoice & payment disbursement
Hard copy of original GL vouchers should be forwarded to Finance after it has
been verified by SDs’ internal auditor.
Print the pay slips and dispatch it accordingly
All above documents mentioned which are printed for internal filling should be
initialed by the OE/SE
Recheck all the documents have been filed properly along with the cheque # list
Any change required after processing, IAR should be prepared and signed
accordingly
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Print & Dump revised reports and forwarded to the Client/CR without deleting
the previous reports
One full working day will be benchmark STAT for process of payment
disbursement. Payment that receives in 1st half of the day must be forwarded to
the bank for disbursement by COB and payment that receives in 2nd half will be
forwarded to the bank for disbursement by next days’ noon
Query/delay will be resolved in 2 working hours and verbal /written warning will
be issued to responsible OE/SE as per HR policy then an interchange in SD – CPU
team may require before taking the final step
Please see process flow diagram of “Payment Disbursement” in appendix 13.10
3.4 OUT OF POCKET PAYMENT – OOP
Any type of payment which is made to the employee in advance and will be claimed in
the upcoming invoice is called OOP. Following steps are part of the OOP payment
process:
Email from Country/Segment Head CR to Segment Head SD – CPU / Team Head
SD ‐ CPU for OOP payment to entertain client’s request
Authorized personal in SD – CPU approves the request and instructions of OOP
are forwarded to OE/SE
Request of OOP will be verify with internal record then upload the amount as
miscellaneous file & miscellaneous cheque
Enter the details in OOP register, get it signed by the authorized signatory & then
upload cheque on HSBCnet (Batch # format = date‐clientname‐OOP‐location)
SE will send an email to team members of SD – CPU & Finance after uploading the
batch into HSBC for authorization. Hard copy of cheque # list should be
forwarded to the authorizers for signatures
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Complete details of the upload batch in MS Excel for further reconciliation
Upon authorization, file the cheque # list
All above documents mentioned above and are printed as office copy should have
OE/SE initials
Claim the OOP payment in next coming invoice by default unless otherwise
requested by the client to claim it earlier or later through CR. Once OOP payment
is claimed, OE/SE enter the invoice number in OOP register & have it signed by
the internal auditor
Please see process flow diagram of “Out of Pocket Payment” in appendix 13.11
3.5 STOP PAYMENTS
3.5.1 STOP & REISSUE CHEQUES
In case of lost/cancelled cheques by the employee / client / CR and need to be reissued,
following are part of the stop & reissue cheques process
SD – CPU receives a request from the client / employee through CR for stop
payment
SE from SD ‐ CPU will put a stop cheque request in HSBCnet
SE will send an email to team members of SD – CPU & Finance after requesting
the stop instructions in HSBC for authorization. Hard copy of cheque # list should
be forwarded to the authorizers for signing
Enter the details of uploaded request for stop cheque in MS Excel file
Received a confirmation mail of stop payment by HSBCnet
While stop cheque request confirmed, same process will be need to reissue the
cheque. SE will upload the batch/company check of cheque in HSBCnet (Batch #
format = date‐clientname‐inv#‐location)
After that SE will send an email for authorization
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Enter the details of upload batch in MS Excel for reconciliation purposes
Hard copy of cheque # list should be forwarded to the authorizers for signatures
As cheque are authorized, file the cheque # list with the invoice particulars
All above documents mentioned and are printed as office copy should have OE/SE
initials
Update the new cheque # in payroll system
Please see process flow diagram of “Stop & Re‐Issue Cheque” in appendix 13.12
3.5.2 STOP CHEQUE
In case of lost/cancelled cheques by the employee or client and does not require to be
reissued, following are the steps of this process:
Request from the client / employee through CR for stop payment
SE from SD ‐ CPU will put a stop cheque request in HSBCnet
SE will send an email to team members of SD – CPU & Finance after requesting
the stop instructions in HSBC for authorization. Hard copy of cheque # list should
be forwarded to the authorizers for signing
OE/SE ‐ CPU will instruct finance for GL voucher posting
Enter the details of upload batch in MS Excel
Confirmation of the stop payment received by HSBCnet
All above documents mentioned are printed and office copy should have OE/SE
initials
Please see process flow diagram of “Stop Cheque” in appendix 13.12
3.6 GRATUITY PAYMENTS
3.6.1 THROUGH INVOICES
Once employee resigns from services and his/her gratuity is applicable, following are
the steps to be taken while processing gratuity:
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MIS/STF received from CR
Gratuity processing
Forward the working to C&A for verification i.e., documents completeness &
calculations, etc.
Inform CR about employees with missing documents
File the verified MIS
Prepare invoice and get invoice # from the system
Print complete invoice and forwarded directly to the client and inform CR through
email or telephone and then dump the same for Finance record
Invoice returned due to error/change, IAR should be prepared and signed
File the IAR with the revised invoice and other places as mentioned in the IAR
Print revised invoice and forwarded to the client and keep the previous invoice for
the record & dump the same for Finance record
Once invoice payment is received, update the system accordingly
Upload batch of cheques or company check in HSBCnet (Batch # format = date‐
clientname‐inv#‐location)
SE will send an email to team members of SD – CPU & Finance after uploading the
batch into HSBC for authorization. Hard copy of cheque # list should be
forwarded to the authorizers for signing
Enter the details of upload batch in MS Excel file for further reconciliation
Hard copy of cheque # list should be forwarded to the authorizers for signing
Upon authorization, file the cheque # list along with other particulars of the
invoice
Forward the soft copies of bank cheque # lists to CR
GL posting of the invoice by the relevant OE/SE
Update the cheque # in the Payroll system, upon receiving the details from CR
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All above documents mentioned which are printed for office use should be signed
by the OE/SE
Recheck if all the documents have been filed properly along with the check list
Any change required after processing, IAR should be prepared , signed and filed
accordingly
Print revised invoice and forwarded it direct to the client or through CR, CR will
keep the previous invoice for the record both in soft and hard form
Seven full working days after receiving the payment will be benchmark STATs for
process of gratuity through invoice
Please see process flow diagram of “Gratuity Payment” in appendix 13.13
3.6.2 ALREADY CLAIMED
Once the employee resigns from his/her services and eligible for gratuity, following
steps needs to be taken to disburse the gratuity:
MIS/STF received from CR & prepared by SD ‐ CPU to calculate gratuity
Forward the working to C&A for verification of documents completeness &
calculations, etc.
Verification of gratuity received from C&A
File the verified MIS
Forward the details to the management for approval of gratuity payment
Approval received from management
Upload batch of cheques in HSBCnet (Batch # format = date‐clientname‐gratuity‐
location)
SE will send an email to team members of SD – CPU & Finance after uploading the
batch into HSBC for authorization. Hard copy of cheque # list should be
forwarded to the authorizers for signing & requesting Finance for GL posting of
the gratuity payments
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Enter the details of upload batch in MS excel file for further reconciliation
Upon authorization file the cheque # list along with other particulars
Forward the soft copies of bank cheque # lists to CR
Update the cheque # in the Payroll system after receiving the details from CR
45 days after receiving resignation letter will be benchmark STAT for payment of
already claimed gratuities
Please see process flow diagram of “Gratuity Payment” in appendix 13.13
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4. SERVICE LEVEL AGREEMENTS
It is an internal contract that exists between the Client Relationships (Marketing &
Sales) and Service Delivery – CPU & MIS departments and designed to create a
common understanding about services, priorities and responsibilities of each party. The
issues mentioned below define levels that the service should meet, and escalations in
case of delay to meet the service level. The SLA covers a description of the provided
service nature, level of responsiveness, reliability of the service, service problems
reporting, problem response time, resolution, monitoring, service reporting, liabilities
on the service provider if promises were not met, etc.
STATs are benchmarked for service delivery between CR (M & S) and SD
Urgent requests may be dealt on priority but SD expects CR (M & S) to keep the
urgent requests on a level where these requests should not disturb regular work
queue
All STATs start upon receiving requests from CR (M & S) and end on dispatching
it to CR or client on behalf of CR. SD can only dispatch at COB regardless when
STATs ends during the day so CR needs to devise each client STATs accordingly
In case of any delay in SLA, CR (M & S) will communicate with liable AM SD – MIS or
Unit/Team Head SD – CPU via email &/or phone call
Note: In case any breach of this agreement, responsible personnel should be contacted
immediately. Contact information is attached in appendix 13.22
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5. AUDIT PROCESS
In order to produce good result at individual level, an internal audit of SD – MIS/CPU
regarding document management system that includes Employees’ Personal File, loose
documents, documents (both in hard & soft shape) and payroll processing system that
includes invoices and payment disbursement is conducted by an internal auditor on
weekly basis. The external audit is a surprise audit and conducted by the C & A on
monthly basis.
5.1 INTERNAL AUDIT BY SERVICE DELIVERY
Following are the steps of the internal audit process
Weekly DSR, MIS of employees’ documents, invoices and payment reports will be
provided to internal auditor for audit purpose
Each piece of paper & every document will be audited on a defined check list
Errors & missing files or / suggestion will be reported to the responsible OE/SE
through AM SD – MIS, Team Head SD – CPU & Segment Head IS & Service
Delivery
Please see process flow diagrams of “Service Delivery Internal Audit” in appendix 13.14
to 13.17
5.2 EXTERNAL AUDIT BY COMPLIANCE & AUDIT
Following are the steps of external audit process
Details requested by C&A which includes but not limited to Employees’ Personal
Files, Laserfiche® scanned file record, cabinets and their security locks,
STF/emails, invoices, cover letter of invoices, salary/bonus registers, Transfer
Instructions letters, Transfer Instructions details/bank cheque numbers, income
tax deductions statement, OOP register, etc.
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Details provided to C&A on priority basis during audit
Audit report forwarded to CEO/Directors / Segment Head IS & Service Delivery
for review and also to AM SD – MIS & Team Head SD CPU to take corrective
measures/actions
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6. REPORTING PROCESS
6.1 REPORTING CR & SD – MIS/CPU
It is expected that all the information received from client by CR will be relayed to SD –
MIS/CPU right away. All communication should be documented in the shape of email
so to have a record. After or before sending an email phone call can be placed but then
phone conversation needs to be documented in that email. The following protocol is
recommended to be followed while emailing from CR to SD – MIS/CPU and vice versa
for each client to have a smooth and error free operations:
6.1.1 FROM CR TO SD ‐ CPU
To: OE/SE – MIS/CPU
Cc: AM SD – MIS/Team Head SD – CPU
6.1.2 FROM SD – MIS/CPU TO CR
To: ECR/SECR
Cc: Team Head CR, Unit Head CR
If any issue needs to be escalated, the following protocol should be observed:
1st escalation
AM SD – MIS, Team Head SD – CPU, Segment Head CR
2nd escalation
Segment Head IS & SD, Regional/Segment Head CR, Country Head CR, Director, CEO
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6.2 REPORTING FINANCE & SD – MIS/CPU
Due to the nature of relationship in between Finance & SD – MIS/CPU, very clear and to
the point communication is required. All communication needs to be documented in
the shape of email for the record. The following protocol is recommended to be
followed while emailing from SD – MIS/CPU to Finance and vice versa for each client
and query to have a smooth and error free operations:
6.2.1 FROM SD – MIS/CPU TO FINANCE
To: AM Finance, Unit Head FR
Cc: Country Head Finance
6.2.2 FROM FINANCE TO SD – MIS/CPU
To: AM SD – MIS/Team Head SD – CPU
Cc: Segment Head IS & SD
1st escalation
AM SD – MIS/Team Head SD – CPU, Segment Head IS & SD, Country Head Finance
2nd escalation
Segment Head IS & SD, Country Head Finance, Director, CEO
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7. PROCEDURE FOR USER PROFILES/PASSWORDS MANAGEMENT
In order to set a high security level and to ensure the data security of each client, users
are restricted to access the data which are under their portfolio. Following procedure
should be used for managing user profiles and passwords:
HR initiates MIS form (MIS Form is attached in Appendix 13.18) upon joining of a
new employee and then immediate line manager of the user fills in this MIS Form
Manager/AM IT performs an administrative check on the employee’s MIS form for
whom profile management has been requested
If the request is for an operating system profile management, the Network
Engineer is assigned to carry out the task
If the request is for a business application software profile management, the task is
assigned to the respective administrative (in this case Team Head SD ‐ CPU) user
of that particular application, authorized by another administrative user
Team Head SD ‐ CPU is informed upon task fulfillment. IT Manager keeps a
record of all the profile requests
Users are accountable for all activity associated with their user ID and password.
All system‐level passwords (e.g., root, enable, NT admin, application
administration accounts, etc.) must be changed at least on quarterly basis.
All passwords must consist of a minimum of six (6) alphanumeric characters
All user level passwords (e.g., email, web, desktop computer, etc.) must be
changed at least on quarterly basis
Application user IDs are disabled after three (3) consecutive login fail attempts
Application user IDs are disabled after one (1) month of inactivity if not revoked
after resignation
Passwords must not be inserted into email messages or other forms of electronic
communication or discuss over the phone
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8. PROCEDURE FOR SOURCE CODE REVIEW
Following procedure is used for reviewing source code before the application is
deployed in production/live environment:
The purpose of this exercise is to validate the integrity of the source code with the
production system
After each major development, latest version of the source code is extracted and a
new application build is generated
This build is deployed on the contingency server for testing and parallel run
The same server may be used for performing the contingency test operation
Results and reports are matched and validated by the relevant staff
The contingency test operation report validates the correct results of the fresh
application software build, duly signed by the Team Head SD ‐ CPU/Segment
Head IS & SD
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9. PROCEDURE FOR SOFTWARE PROBLEM REPORTING
In order to make the system more reliable, feed back controls are important on every
level of processing. Following procedure is used for software problem reporting to the
software development team
SD – MIS/CPU, CR’s representative fills in a Software Problem Report Form
(Appendix 13.19) for all problems relating to the licensed software which includes
People™ payroll, Laserfiche®, etc. If CR’s representative does not fill in the form
and reports the problem via email or any other means, IT team may fills in the
Software Problem Report Form on CR’s behalf.
AM SD – MIS/Team Head SD – CPU assigns a problem report number
AM SD – MIS/Team Head SD – CPU requests IT, software development team or
vendor to assign a support person to investigate the problem
The support personnel enter the resolution comment and has it signed off by the
problem reporting person
AM SD – MIS/Team Head SD – CPU keeps a record of all the change requests and
their resolutions
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10. PROCEDURE FOR HARDWARE PROBLEM REPORTING
Following procedure is used for hardware problem reporting:
Users fill in a Hardware Problem Report Form (Appendix 13.20) in case any
hardware problems are detected and send it to the on duty Network Engineer
After receiving the form, the on duty Network Engineer checks the problem and
resolves it and writes his remarks for future reference
IT keeps a record of all the Hardware Problem Report Forms
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11. PROCEDURE FOR ELECTRONIC/PAPER MEDIA DISPOSAL
Following procedure is used to dispose of electronic and paper used in SD – MIS/CPU:
Discarded reports or papers are shredded using shredder on day to day basis as
and when required
Electronic media i.e., backup cartridges, CD, DVD and floppy disks, if any, are
discarded/shredded after the period of 6 months from the day of its first use
For tape media the tape reel is pulled out of the cartridge and cut into the pieces to
avoid any misuse. USB drives cut into pieces before being discarded.
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12. PROCEDURE FOR BACKUP AND RESTORATION
Following procedures will be used for backups and restoration by IT:
Biweekly software backups of applications, Master Data, Payroll, GL, & source
codes, etc.
Weekly backups of manual excel data files
Weekly email backups by the user & IT as well
Restoration of data upon data loss by IT
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13. APPENDICES
13.1 MIS OPERATIONS PROCESS FLOW
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13.2 CNIC VERIFICATION (VERISYS) PROCESS FLOW
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13.3 CNIC VERIFICATION (BULK) PROCESS FLOW
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13.4 MIS FORM FOR CNIC VERIFICATION
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13.5 DOCUMENT VERIFICATION PROCESS FLOW
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13.6 INSURANCE MANAGEMENT PROCESS FLOW
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13.7 INSURANCE CLAIM (CL, 3RD PARTY, CIT) PROCESS FLOW
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13.7.1 DOCUMENT CHECK LIST FOR (CL, 3RD PARTY & CIT) CLAIM PROCESS
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13.8 INSURANCE CLAIM (GHI) PROCESS FLOW
13.8.1 DOCUMENT CHECK LIST FOR (GHI) CLAIM PROCESS
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13.9 INSURANCE CLAIM (GLI) PROCESS FLOW
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13.9.1 DOCUMENT CHECK LIST FOR (GLI) CLAIM PROCESS
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13.10 SALARY & INVOICE PREPARATION PROCESS FLOW
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13.11 OUT OF POCKET PAYMENT PROCESS FLOW
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13.12 STOP & RE‐ISSUE CHEQUE PROCESS FLOW
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13.13 GRATUITY PAYMENT PROCESS FLOW
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13.14 SD – MIS AUDIT PROCESS FLOW
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13.15 INVOICE/PAYMENT AUDIT PROCESS FLOW
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13.16 GL POSTING AUDIT PROCESS FLOW
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13.17 OOP PAYMENT AUDIT PROCESS FLOW
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13.18 MIS FORM
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13.19 SOFTWARE PROBLEM REPORT FORM
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13.20 HARDWARE PROBLEM REPORTING FORM
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13.21 CONTENTS OF RECRUITMENT PACK
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13.22 CONTACT INFORMATION
For the purpose of this Standard Operating Procedures/Service Level Agreements,
following contact information shall be used: