SWDF Evaluation Report (Phase 1)

Evaluation Report for

Phase 1 of Social Welfare Development Fund (SWDF)

Name of applicant NGO:______

(Code of NGO)______

Part A –Income and Expenditure for the Financial Year (2012-13)

1.Approved Funding Allocation for the Financial Year (2012-13)

(a) Funding allocation in 2012-13 (Non-IT) / : / $
(b) Funding allocation in 2012-13 (IT) / : / $
(c) Total funding allocation in 2012-13 [ (a) + (b) ] / : / $

2.Income and Expenditure for the Financial Year (2012-13)

$ / $
Income
(a)Funding allocation received in 2012-13
(b)Interest received in 2012-13
(c)Total income in 2012-13 [ (a) + (b) ]
Expenditure
(i) Scope A – Training and professional development programmes
(ii) Scope B – Business system upgrading projects (Non-IT)
(iii) Scope B – Business system upgrading projects (IT)
(iv) Scope C – Studies aiming at enhancing service delivery
(d) Total expenditure in 2012-13 [(i) + (ii) + (iii)+ (iv)]
(e) Surplus (or Deficit) in 2012-13 [(c) – (d) ]
(f) Cumulative Surplus (or Deficit) brought forward from previous financial years
(g) Balance as at 31 March 2013 [ (e) + (f) ]

Remarks:

The above income and expenditure should tally with those disclosed in the NGO’s audited financial statements.
The Evaluation Report should be submitted to Subventions Section, Social Welfare Department (38/F, 248 Queen’s Road East, Wanchai, Hong Kong) and the Audited Financial Statements should be submitted to Finance Branch, Social Welfare Department (Room 818, 8/F, Wu Chung House, 213 Queen’s Road East, Wanchai, Hong Kong). The deadline for both submissions is 31 October 2013.

Actual Expenditure for the Financial Year (2012-13)

No / Name of project
(including expenditure on relief workers) / Approved
Budget (2012-13)
($) / Actual expenditure (2012-13)
($) / Please “” if actual expenditure exceeds the approved budget by 15% or above
Scope A – Training and professional development (T&D) programmes
Local T&D programmes
Sub-total
Outside-HK T& D programmes
Sub-total
(a) Total of Scope A
Scope B – Business system upgrading projects (including IT and Non-IT projects)
Non-IT projects
Sub-total
IT projects
Sub-total
(b) Total of Scope B
Scope C – Studies aiming at enhancing service delivery
(c) Total of Scope C
(d) Grand Total Expenditure [(a) + (b) + (c)]

4.Justifications for the Virement of Fund Among the Approved Projects[1] for the Financial Year (2012-13)

Please provide justifications in the table below if the actual expenditure of the following approved projects/items exceeds the approved budget by 15% or above and the projects/items have to be covered by fundsvired from the otherapproved project(s)in the financial year:

overall local T&D programmes under Scope A

overall outside-HK T&D programmes under Scope A

individual non-IT business system upgrading projects under Scope B

individual studiesaiming at enhancing service deliveryunder Scope C

(a)Name and scope of the approved project(s) with expenditure exceeding the approved budget by 15% or above.
(b)Justifications for the expenditure increase. / (c)Name and scope of the approved
project(s) with fund vired to (a).
(d)Justificationsand follow up actions to ensure that the objectives of the project(s) in (c) can be achieveddespite the reduced budget.
(a)
(b) / (c)
(d)

5.Declaration

We confirm that the above expenditure under the SWDF wasincurred in accordance with the requirements stipulated in the SWDF Guidance Notes forApplication and the SWD’s approval letter,and the procurement of projects and services are in line with the procedures specified in the Lotteries Fund Manual.

Signature / :
Name in Block Letter / :
Title / : / NGO Head / Board Chairperson
Date / :

6.Information of Contact Person

Name in Block Letter / :
Title / :
Telephone / Fax No. / :

Evaluation Report for

Social Welfare Development Fund (SWDF) Phase 1

Part B - Progress of Approved Projects for the Financial Year (2012-13 / 20__- __)[2]

1.Implementation Progress of Approved T&D Programmesunder Scope A

(a)Local T&D programmes attended by individual subvented staff or board members on regular basis for over one year such as full/part-time Master degree course, Bachelor degree course, diploma/certificate coursefor professional trainings etc for the financial year

S/N / Name of T&D programme / #/@[3] / Period
(mm/yyyy
to mm/yyyy) / No. of subvented staff / board members participation[4]
SW[5] / JSW5 / NSW5 / Staff sub-total / BM5
1.
2.
3.
4.
5.
Total:

(b)Other local T&D programmes attended by subvented staff and/or board members for the financial year

S/N / Name of T&D programme / # / @ / Period
(mm/yyyy
to mm/yyyy) / No. of subvented staff / board members participation
SW / JSW / NSW / Staff sub-total / BM
1.
2.
3.
4.
5.
Total:

(c)Outside-HK T&D programmes for the financial year

S/N / Name of T&D programme / # / @ / Period
(mm/yyyy
to mm/yyyy) / No. of subvented staff / board members participation
SW / JSW / NSW / Staff sub-total / BM
1.
2.
3.
4.
5.
Total:

(d)Headcounts of subvented staff and board members having benefited from all the T&D Programmes for the financial year as stated in 1(a) – (c) above

i. / Headcount of subvented social work staff:
ii. / Headcount of subvented junior social work staff:
iii. / Headcount of subvented non-social work staff:
iv. / Headcount of board member:
v. / Total headcount of subvented staff and board member having benefited from the T&D programmes [(i) + (ii) + (iii) + (iv)]

(e)Approved relief workersemployed in T&D programme(s) for the financial year

Relief Worker / T&D programme(s) requiring the relieving worker[6] / Expenditure
(daily wage
× no. of days)
Post / Rank / No. / Daily
Wage[7] / No. of Days[8]
Total no. of relief workers: / Total expenditure:

(f)Detailed report foroutside-HK T&D programmes (fill in each completed outside-HK programme) for the financial year:

S/N in (c) of Part B1 / Name of the
outside-HK T&D programme / Implementation period
(dd/mm/yyyy to dd/mm/yyyy) / Location
(City / Country) / Social service areas [9]
visited
(please specify) / No. of participant
(by headcount) / Average expenditure per staff
(c)
($) / Average expenditure per board member (after deducting 50% contribution)
(d)
($) / Total expenditure
[(a)×(c) + (b)×(d)]
($)
No. of Staff
(a) / No. of board member
(b) / Total
Grand Total

Part B

2.Implementation Progress of Approved Business System Upgrading Projects(Non-IT)for the Financial Year (2012-13 / *20__-__)[10]

(Please use separate sheet for each project)

(a)Programme name:______

(b)Objectives:______

(c)Implementation period (approved in application):From: / To: /

(mm/yyyy)(mm/yyyy)

Implementation period (actual): From: / To: /

(mm/yyyy)(mm/yyyy)

(d)Approved budget:______

(e)Breakdown of actual expenditure for the year(excluding NGO contribution):

No. / Expenditure items / $
i. / Total personal emolument for temporary staff employed, if any
ii. / Payment to contractor, if any
Total (The figure should tally with
the amount reported in Item 3 of Part A ):

(f)Contribution from NGO (to be completed after completion of the whole project):

Item / $
(i)Total actual cost of the project
(including NGO contribution):
(ii) Total approved allocation:
(iii) Total contribution from the NGO[11]:
[at least (i) × 15%]
Source of contribution:

(g)Breakdown of expenditure incurred in employing temporary staff[1]2, if any:

Item
No. of staff employed:
Monthly emolument per staff: / $ / $
Duration of employment
(dd/mm/yyyy to dd/mm/yyyy):
Post title & duties:

(h)Name of contractor, if any:______

(i)Implementation progress:

(Please “” as appropriate)

On schedule (i.e. within the approved schedule stated in NGO’s application)

Revised schedule but able to complete within Phase 1

(Please specify difficulties encountered)

______

Revised schedule but still unable to complete within Phase 1 havingSWD’sprior approval for project extension beyond Phase 1

(Please provide additional information in Part D)

(j)Briefly list the tasks / activities carried out during the year:

______

(k)Specify the areas upgraded / being upgradedinthe project:

______

(l)Output / outcome evaluation:

i.Specify the output / outcome indicators.

______

ii.Evaluate the output / outcome after carrying out the system upgrading project

(this item to be completed after completion of the whole project)

______

(m)Remark, if any

______

Remark:

For ajoint project, the lead NGO should submit the “Supplementary Information” at Part C.

Evaluation Reportfor

Social Welfare Development Fund (SWDF) Phase 1

Part B

3.Implementation Progress of Studies for the Financial Year (2012-13 / *20__ - __ )[13]

(Please use separate sheet for each study)

(a)Name of the approved study:______

(b)Objectives:______

(c)Implementation period (approved in application): From: / To: /

(mm/yyyy)(mm/yyyy)

Implementation period (actual): From: / To: /

(mm/yyyy)(mm/yyyy)

(d)Approved budget:______

(e)Breakdown of actual expenditure for the year:

No. / Expenditure Items / $
i. / Total personal emolument for temporary staff employed, if any
ii. / Payment to consultancies, if any
iii.
iv.
v.
vi.
Total (The figure should tally with the amount reported in Item 3 of Part A) :

(f)Breakdown of expenditure incurred in employing temporary staff[14], if any:

Item
No. of staff employed:
Monthly emolument per staff: / $ / $
Duration of employment
(dd/mm/yyyy to dd/mm/yyyy):
Post title & duties:

(g)Name of contractor, if any:______

(h)Composition and operation of Project Steering Committee formed to oversee the study[1]5 which was carried out by temporary staff:

______

(i)Implementation progress:

(Please “” as appropriate)

On schedule (i.e. within the approved schedule stated in NGO’s application)

Revised schedule but able to complete within Phase 1

Please specify difficulties encountered:

______

Revised schedule but still unable to complete within Phase 1 havingSWD’sprior approval for project extension beyond Phase 1

(Please provide additional information in Part D)

(j)Brief description of the study:

Item / Description
Subvented service covered in the study / :
No. of the subvented service units involved / :
Name of the subvented service units involved / :
Sample studied / : / Sample subjects ( e.g. service users, carers): / Sample size:
Objectives of the study / :
Briefly explain how far the study can enhancethe existing service delivery
(this item to be completed after completion of whole study) / :

Remark:

For joint projects, the lead NGO should submit the “Supplementary Information” at Part C.

Evaluation Report for

Social Welfare Development Fund (SWDF) Phase 1

Supplementary Information for

Reporting the Implementation Progress ofApproved JointProject for the

Financial Year (2012-2013/ *20__ - __ )[16]

[to be completed by Lead NGO]

(Use separate sheet for each joint application)

1.Name of approved joint project:______

2.Name of lead NGO:______

3.Contact person of the approved joint project:

Name / :
Correspondence address / :
Telephone no. / :
Fax no. / Email / :

4.Names of other participating NGOs:

(a)______

(b)______

(c)______

(d)______

(e)______

5.Approved budget of the joint project:($)

6.Total expenditure of the joint project:($)

7.Total expenditure charged to SWDF after deducting the NGO’s contribution, if applicable:($)

8.Expenditure breakdown of eachparticipating NGO including Lead NGO:

Name of NGO / (a)Actual expenditure of individual NGO
($) / (b) Individual NGO’s contribution,[17] if applicable
($) / Total amount charged to SWDF by individual NGO
[(a) – (b)]
($) / Source of contribution
(should not be LSG or LSG Reserve)
1 / Lead NGO
2 / Participating NGO

Part D – Overall Usage of Approved Funds in Phase 1

1.Total Approved Funding Allocation in Phase 1 (both IT and Non-IT)

(a) Total approved funds in Phase 1 [18]
(both IT and Non-IT) / : / $
(b) Funding allocation in each of the financial year / : / $ (2010-11)
$ (2011-12)
$ (2012-13)

2.Total Income and Expenditure in Phase 1 (both IT and Non-IT)

$ / %
Income
(a)Total funding allocation received in Phase 1
(b)Total interest received in Phase 1
(c)Total income in Phase 1 [ (a) + (b) ]
Expenditure
(i)Scope A – Training and professional development programmes / %
(ii)Scope B – Business system upgrading projects (Non-IT) / %
(iii)Scope B – Business system upgrading projects (IT) / %
(iv)Scope C – Studies aiming at enhancing service delivery / %
(d)Total expenditure in Phase 1 [(i) + (ii) + (iii) + (iv)] / 100%
(e)Surplus (or Deficit) in Phase 1 [ (c) – (d) ]
(f)Remaining funds after completion of Phase 1 subject to clawback by SWD [ i.e., (e) if it is a surplus ]

Remarks:

According to paragraph 15 of Guidance Notes for Application, any surplus of approved funds by the end of Phase 1 will be clawed back.
For extension of implementation period of the approved projects,for which the remaining funds will be carried forward to Phase 2 for settling the project cost upon completion, prior approval from SWD should be sought.

3.List of All the Approved Projects Conducted / Commenced in Phase 1

No / Name of project
(including expenditure on relief workers) / Expenditure on the
Approved Projects
($) / Please “” for projects approved by SWD for extension beyond Phase 1
(Please also refer to Item 6 of Part D below)
Scope A – Training and professional development (T&D) programmes
Local T&D programmes
Sub-total
Outside-HK T& D programmes
Sub-total
(a) Total of Scope A
Scope B – Business system upgrading projects (including IT and Non-IT projects)
Non-IT projects
Sub-total
IT projects
Sub-total
(ii) Total of Scope B
Scope C – Studies aiming at enhancing service delivery
(iii) Total of Scope C
Grand Total Expenditure [ (a) + (b) + (c)]

4.Additional Information in respect of T&D Programmes (both local & outside-HK) Conducted in Phase 1(please “” as appropriate)

The NGO has conducted the approved T&D programmes in Phase 1

(Please report the total headcounts of subvented staff and board members who went through the T&D programmes in Phase 1)

1. / Headcount of subvented social work staff:
2. / Headcount of subvented junior social work staff:
3. / Headcount of subvented non-social work staff:
4. / Headcount of board member:
5. / Total headcount of subvented staff and board member:

The total expenses of training for board members do not exceed 15% of the NGO’s totalexpenses of T&D programmes in Phase 1. The total expenses for board members are as follows:

Item
(a) / Total expenses of training for board members in Phase 1 / $
(b) / NGO’s total expenses of T&D programmes in Phase 1 / $
(c) / % of total expenses of training for board members in Phase 1
[(a) ÷ (b)×100%] / %

If the % of total expenses of training for board members exceeds the total expenses of T&D programmes of the NGO in Phase 1 by 15%, NGO should provide justification below for SWD’s assessment:

______

The total expenses of outside-HK T&D programmes do not exceed 30% of NGO’s total expenses of T&D programmes in Phase 1.

Item
(a) / Total expenses of outside-HK T&D programmes in Phase 1 / $
(b) / NGO’s total expenses of T&D programmes in Phase 1 / $
(c) / % of total expenses of outside-HK T&D programmes in Phase 1
[(a) ÷ (b)×100%] / %

If the % of total expenses of outside-HK T&D programmes exceeds the total expenses of T&D programmes of the NGO in Phase 1 by 30%, NGO should provide justification below for SWD’s assessment:

______

The NGO has conducted sharing sessions / talks / seminars for staff in order to report back the information / knowledge acquired from the T&D programmes (i.e. outside-HK programmes) in Phase 1.

5.How the staff / NGO benefited from the approved projects in Phase 1:

Scope A (Local and Outside-HK T&D Programmes):

______

Scope B (Non-IT and IT Projects):

______

Scope C (Studies Aiming at Enhancing Service Delivery):

______

Overall Comment (if any):

______

6.List of Projects with SWD’s Prior Approval for Extension Beyond Phase 1

No. / Name of Project Approved for Extension beyond Phase 1 / Approved Revised Schedule
(from mm/yyyy to mm/yyyy) / Scope A / Scope B (non-IT) / Scope B(IT) / Scope C
(please “” as appropriate)

7.Report the Expenditure on the Projects Approved for Extension Beyond Phase 1

NGOs should continue to submit the following information in respect of projects approved for extension beyond Phase 1 (i.e. after 31 March 2013)for each financial yearto SWD (by the end of October after each financial year end):

(a)Total Expenditure on the Projects Approved for Extension beyond Phase 1

(Please refer to Attachment A)

(b)Disclosure to be included in NGO’s Audited Financial Statements

(Please refer to Attachment B)

(c)Detailed Implementation Progress of Each T&D programme under Scope A, Non-IT project under Scope B and study under Scope C Approved for Extension Beyond Phase 1(Please refer to Parts B1, B2 and B3 and Part C of the Evaluation Formabove)

(d)Detailed Implementation Progress of Each IT Project under Scope B Approved for Extension Beyond Phase 1(Please refer to Interim Report and Overall Evaluation Report as stipulated in the approved letter to your NGO in respect of the approved funds for IT projects).

Remark:

Please note that documents (a), (c)and(d) listed above should be submitted to Subventions Section, Social Welfare Department (38/F, 248 Queen’s Road East, Wanchai, Hong Kong) while document (b), i.e. the Audited Financial Statements, should be submitted to Finance Branch, Social Welfare Department (Room 818, 8/F, Wu Chung House, 213 Queen’s Road East, Wanchai, Hong Kong).

Expenditure on the Projects Approved by SWD for Extension beyond Phase 1

(i.e. after 31 March 2013)

Name of NGO (Code):______

(Financial Year: ______)

$
(a)Balance of SWDF brought forward
(b)Interest received during the year
Expenditure on the projects approved for extension
(i) Scope A – T&D development programmes
(Please list out each of the T&D programme)
(ii) Scope B – Business system upgrading projects (Non-IT)
(Please list out each of the Non-IT system upgrading projects)
(iii) Scope B – Business system upgrading projects (IT)
(Please list out each of the IT system upgrading projects)
(iv) Scope C – Studies aiming at enhancing service delivery
(Please list out each of the studies)
(c) Total expenditure on the projects approved for extension
[(i) + (ii) + (iii)+ (iv)]
(d) Remaining balance [(a) + (b)– (c)]
(e) Amount subject to clawback by SWD
(f) Balance carried forward for the next financial year (Subject to prior approval by SWD for projects under extension) [(d) – (e)]

Declaration

We confirm that the above expenditures under the SWDF were incurred in accordance with the requirements stipulated in the SWDF Guidance Notes for Application and the SWD’s approval letter, and that the procurement of projects and services are in line with the procedures specified in the Lotteries Fund Manual.

Signature / :
Name in Block Letter / :
Title / : / NGO Head / Board Chairperson
Date / :

Information of Contact Person

Name in Block Letter / :
Title / :
Telephone / Fax No. / :

Remarks:

The income and expenditure reported in this Attachment should tally with those disclosed in the NGO’s audited financial statements.
This Attachment together with documents listed in Item 7 of Part D of the Evaluation Report(except for Attachment B) should be submitted to Subventions Section, Social Welfare Department (38/F, 248 Queen’s Road East, Wanchai, Hong Kong). Attachment B, i.e. the Audited Financial Statements, should be submitted to Finance Branch, Social Welfare Department (Room 818, 8/F, Wu Chung House, 213 Queen’s Road East, Wanchai, Hong Kong). The deadline for submission is the end of October after each financial year end.

Disclosure to be included in NGO’s Audited Financial Statements

Use of Social Welfare Development Fund (SWDF)

for Projects Approved for Extension Beyond Phase 1

Name of NGO (Code):______

(Financial Year: ______)

Particulars / $ / $
(a). / Balance of SWDF brought forward / (a)
(b) / Interest received during the year / (b)
(c) / Expenditure under SWDF during the year

Expenditure for projects under Scope A

– T&D programmes
2. Expenditure for projects under Scope B
– Business system upgrading projects
3. Expenditure for projects under Scope C
– Studies
Total expenditure during the year / (c)
(d) / Remaining balance [(a) + (b) - (c)] / (d)
(e) / Amount subject to clawback by SWD / (e)
(f) / Balance carried forward for the next financial year
(Subject to prior approval by SWD) [(d)-(e)] / (f)

[1]Justifications should be provided by NGOs for the virement of funds between the approved non-IT projects within the same phase. According to paragraph 13(e) of the Guidance Notes for Phase 1 Application, if the actual expenditure of the approved IT projects exceeds the approved grant, the NGO should absorb the additional expenditure by its own resources other than the LSG or LSG Reserve. Hence, only virement of surplus from IT projects to other approved projects in the same phase is allowed in Phase 1 and the reverse is not accepted.

[2] Please delete and/or fill in the financial year as appropriate for progress report of projects approved for extension beyond Phase 1.