Section I Introduction
Section II. Self-Assessment To Determine Strengths and Challenges
Section III. Completing the Work

A. Why Do Head Start and Early Head Start Programs Use Consultants?
B. Who is Your Client?
C. ECLKC Consultant Directory Help Text for Consultants
D. The Consulting Process Flow Chart
E. Managing Ethical Concerns Flow Chart
F. Negotiating the Consultant Contract

Section IV Self-Assessment to Evaluate Progress and To Set Professional Development Goals
Section V - Consultant’s Code of Ethical and Professional Conduct Example
Section VI IRS and State Guidelines on Taxes for Consultants
Section VII. Consulting Agreement Example

Section I. Introduction

Welcome to the Office of Head Start National Consultant Directory Toolkit.

Part Two of the toolkit has been developed to help consultants offer appropriate help to programs. There are seven segments in the consultant section of the toolkit, as outlined above.

Refer to the resources inPart Three of the toolkit for resource information supporting the needs of both programs and consultants.

Feel free to contact hsconsultants@pal-tech.com with questions, concerns or feedback regarding this toolkit.

Thank you on behalf of the children and families served by Head Start programs.

Section II. Self-Assessment To Determine Strengths and Challenges

Towards Effective Consulting is a self-assessment tool for consultants who serve the nonprofit community.

The tool is designed to help consultants identify strengths and areas that may require further development. It has four sections listed below. Sections I and II can be particularly helpful at the beginning of consulting relationships.

Section I: Technical skills required for consulting to nonprofit organizations
Section II: Marketing and referral
Section III: Knowledge and ability to manage major phases of the consulting relationship
Section IV: Your professional improvement plan

Section III. Completing the Work

A. Why Do Head Start/Early Head Start Programs Use Consultants?
There are many different reasons why Head Start and Early Head Start programs hire consultants. These reasons can be divided into four major categories:

1. Pre-service and In-service Training: Head Start Program Performance Standards (1306.23) require that Head Start grantees provide pre-service and in-service training opportunities to program staff and volunteers to assist them in acquiring or increasing the knowledge and skills they need to fulfill their job responsibilities. The goal is to enhance program quality by improving staff knowledge and skills. To meet this requirement, Head Start and Early Head Start programs hire consultants to provide training.
2. Technical Assistance for Organizational Development: To enhance the quality of programs, Head Start and Early Head Start programs hire consultants to assist them in planning and implementing organizational development activities. This can include strategic planning, team building, and re-organization of the agency. Agencies seeking this level of technical assistance search for external expertise to guide them through the process.
3. Technical Assistance for Program Compliance Related Issues: Head Start and Early Head Start programs are required to have a system for ongoing monitoring and self assessment that ensures program’s compliance with all Head Start specific performance standards and requirements. The federal government conducts a peer review to monitor grantees’ compliance with all requirements every three years. During these various monitoring and assessment activities, a grantee may identify some areas of weakness that need work and change. Many programs hire consultants to assist them to address issues of compliance.
4. Facilitate Group Processes: Some Head Start and Early Head Start programs hire consultants to help them facilitate meetings such as staff retreats. This allows the key managers to actively participate in group processes and can provide an open and safe environment for the exchange of ideas.

These four major categories require a range of consulting skills – training, technical assistance, group facilitation, organizational development, and Head Start and Early Head Start specific expertise.

B. Who is Your Client?

When hired to work with an individual and provide case consultation (for example, working with a child or working with one teacher as a mentor), that individual is your client. However, if you are consulting with the Head Start program director/ management team and provide program-centered consultation, your client is the “program.”

A clear understanding of who the client is helps you to stay focused on the client’s needs. In Head Start and Early Head Start programs, the client is always the program and its many stakeholders.

The consultant generally signs a contract with the program director or key management team member. The contract is developed to address the need to improve or enhance the quality of program.

During the consulting process, a consultant may experience an ethical dilemma and/or the need to respond to the conflicting interests of different stakeholders. In such situations, using the code of ethical conduct and addressing what is in the best interest of the client will guide ethical decision-making.

The consultant needs to consider the following list of stakeholders who are potential clients while working for an Head Start and Early Head Start program:

Head Start and Early Head Start Director
Management Team
Head Start and Early Head Start staff
Program children
Program parents
Policy Council
Agency’s Governing Board
Head Start and Early Head Start Community
Federal Government
Other funding source(s)

C. Early Childhood Learning and Knowledge Center Consultant Directory Help Text for Grantees

This is the help text for the Early Childhood Learning and Knowledge Center (ECLKC) Consultant Directory. The Directory is a Web-based database of Office of Head Start approved consultants. It is intended to be used by Head Start grantees that need the services of knowledgeable specialists in the Head Start arena.

Accessing the Database

This is a live, Web-based database, so you must first access the Internet through your desired Internet browser. Once on the site, there is a list of links to the various sections within the site. This text refers to this list as the site’s “Navigation Tree”. The Tree expands to show the various subsections within a broader area, will allow you to easily move between pages, and allows you to see where you are within the site.

1. The ECLKC address is eclkc.ohs.acf.hhs.gov.
2. Under the Navigation Tree, left click on “Directories”.
3. View the ECLKC Directory welcome text, select Head Start Consultant Directory from the list provided.
4. You may also select the Directory from the Navigation Tree.

New Users - Adding Your Profile

Once in the Directory, you may apply online to be listed in the Consultant Directory, but you need to be logged in to the ECLKC site for access to all consultant services.

Are you already a registered member of the ECLKC? If not, click here on Register.
If you are registered, but not logged in, you may click here on Log in.
Once registered or logged in, you will be able to apply online and browse the Consultant Directory.

Select the link "Click here to apply on-line to be listed in the Head Start Consultant's Directory" to add your profile.

1. Step 1 of the Wizard
   • * = Required Fields
   • Photos to upload may be no more than 126kb.
   • ACF Region is the region you reside in.
   • Uploading your résumé – You must upload a résumé to be considered for the Directory. Your uploaded résumé must follow the Office of Head Start Approved Template. This Template has been provided in both Microsoft Word and Adobe PDF formats.
     • Select the Template you prefer to use.
     • Complete the Template with your information.
     • “Save As” to a desired location on your computer.
     • Upload your résumé using the “Upload Resume” box.
     • Save your application and proceed to Step 2.
2. Steps 2 thru 7 of the Wizard are detailed information on your past experience and expertise. Please proceed as accurately as possible. All information will be confirmed by the Office of Head Start.
3. The final screen of the Wizard is confirmation that your profile has been created successfully. Once your profile is created, it will be verified by the Office of Head Start. If your profile is approved, you will receive written notification and your profile will then become searchable to Head Start grantees.

Previous Users – Updating Your Profile

Once in the Directory, there is one main search area and five advanced areas which allow you to narrow your search. After the search areas there is a link that states “Click here to modify your profile.”

1. Upon entering “ Click here to modify your profile” you will be directed to your most recently saved profile.
2. Review your profile and make changes where needed.
3. Select “Submit Application” and then “Save” to submit your changes.
4. Select “Save Application as Draft” and then “View my Profile” to preview your changes. Follow Step 3 (above) to submit changes.
5. Select “Remove my Profile” to remove your current profile from the Directory (and from review, if necessary).

Quick Icons

At the top of each page of the Directory (and the entire Web site) there are 3 user friendly icons.

1. This icon directs you to the printer-friendly version of the page you are on.
2. This icon opens your default e-mail service with a message forwarding the page you are on; enter the recipients e-mail address.
3. This icon directs you to an online form so that you may enter suggestions or questions that will be answered by the ECLKC.

D. The Consulting Process Flow Chart

E. Managing Ethical Concerns Flow Chart

F. Negotiating the Consultant Contract

Successful consulting depends on how well the contract is negotiated. Developing and negotiating the consultant contract is often the first and most important step in your work as a consultant. Here the consultant determines:

• Client expectations
• Client needs and issues
• Amount of flexibility in implementing consulting activities
• Consultant’s role and authority to carry out the plan
• Timeline for completion of the work
• Products and deliverables
• Evaluative feedback
• Compensation

This is the opportunity for the consultant and consultee to decide if this is the “right fit” to accomplish program goals.

Many consultants working for Head Start and Early Head Start programs have worked as program employees and have a passion for the well-being of children and their families. They are driven by the need to help programs. Unfortunately, there are times that the passion and best intentions do not result in the best outcome for the client – the Head Start and Early Head Start program. To increase the experience of success in your contract work with Head Start and Early Head Start, we have provided some key points to consider in negotiating the consultant contract.

1. What are the issues and challenges facing the client? Obtain background information on this matter. Understanding client needs helps the consultant to develop an intervention plan. Request access to all consulting work-related documents along with access to staff with direct experience with these issues.
2. What are the goals and objectives for the consultant contract? What are the client’s expectations? What are the expected outcomes of the consultant’s work? This will give you a comprehensive understanding of the outcomes for which you will be responsible. It also will help you determine if expectations are reasonable and possible to accomplish.
3. What flexibility and authority will be given to you to accomplish the goals and objectives for the consultant contract? This information is critical to you. Ask the client for the help and assistance you will need to do your work and accomplish the outcomes. This is critical. If the client avoids clear answers to your request for help, assistance, flexibility and authority, you may be receiving a powerful message about your partnership with the client.
4. When the outside consultant is invited to work with the group, the client may feel vulnerable due to this transparency. The consultant should ask the client how he feels about feeling vulnerable and about staff communicating honestly and openly. Your goal of enhancing program quality will require honest assessment and communication. If the client does not want to have honest dialogue, the consultant faces additional difficulty. Addressing this issue during negotiation helps the client to think about it before entering into any contract.
5. Clearly define a timeline for the beginning and the end of the work. Get a commitment for the number of days and hours per day that the staff will be available to work with you. Define it clearly so that you are not losing time arranging appointments to talk and work with key staff. Also, negotiate alternative strategies and maintain deadlines for work completion.
6. Determine the client’s expectations regarding deliverables. Make sure you know the type of documents and reports that the client will need. Gain clarity regarding the size and format of required documents. This can have a major impact on your time and level of effort. For example: you will provide notes of discussions at staff meeting vs. you will provide analysis, synthesis, and recommendations of staff meeting discussions.
7. Talk to the client regarding evaluative feedback. The quality of your work improves with honest feedback from your clients. It is a good practice to debrief the client after each major activity is completed.
8. What should you charge for your consulting services? Consultant fees must cover not only the time spent on a project, but also the time needed for marketing and administration, and to pay for things such as equipment, overhead, and insurance. While negotiating compensation with your client, you may want to consider travel related costs, travel time, and costs for contract related work such as costs for printing, copying, telephones, and faxes. Furthermore, consider that a consultant is self-employed and is responsible for paying state, federal, and Social Security taxes quarterly in January, April, June, and September of each year.  See Section VI, IRS and State Guidelines on Taxes for Consultants, for further information about the requirement to pay taxes and consider your tax responsibility when determining what to charge for your services. Consultant fees are based on many factors like market rate, consultant expertise, length of contract, urgency of project, travel, and the nature of work. Do your research -- find out what your competition charges and avoid undercharging.
9. Every Head Start and Early Head Start agency establishes its own code of professional and ethical conduct to guide its staff, volunteers, and consultants. A Head Start and Early Head Start consultant should ask for this policy during the contract negotiation phase.

Links for consultants:
http://www.tompeters.com/index.php
http://www.managementconsultingnews.com/index.php
http://beginnersguide.com/training/
http://www.consulting-site.info/

Section IV. Self-Assessment To Evaluate Progress and To Set Professional Development Goals

Towards Effective Consulting is a self-assessment tool for consultants who serve the nonprofit community.

The tool is designed to help consultants identify areas that may require further development. You may use Sections III and IV of the tool to evaluate progress and set professional development goals. The tool has the following sections:

Section I: Technical skills required for consulting to nonprofit organizations
Section II: Marketing and referral
Section III: Knowledge and ability to manage major phases of the consulting relationship
Section IV: Your professional improvement plan

Section V. Consultant’s Code of Ethical and Professional Conduct Example

A code of professional and ethical conduct provides guidelines for the consultant’s decision-making process. These are agreed upon good practices among professionals.

The Head Start Program Performance Standards 45 CFR 1304.52(h) specifically addresses the standards of conduct for staff, consultants, and volunteers. Grantee and delegate agencies must ensure that all staff, consultants, and volunteers abide by the program's standards of conduct. These standards must specify that:

• They will respect and promote the unique identity of each child and family and refrain from stereotyping on the basis of gender, race, ethnicity, culture, religion, or disability (45 CFR 1304.52(h)(1)(i));
• They will follow program confidentiality policies concerning information about children, families, and other staff members (45 CFR 1304.52(h)(1)(ii)).

Every Head Start and Early Head Start agency establishes its own code of professional and ethical conduct to guide its staff, volunteers, and consultants. A Head Start and Early Head Start consultant should ask for this policy during the contract negotiation phase and use it as a guide.

Sample elements of a code of professional and ethical conduct are listed below for your reference. To expand the number of elements, you may wish to review other codes of professional ethics and integrate the content.

Elements:

• Ethical
  • Provide and seek honest and objective feedback.
  • Render impartial, independent advice to client.
  • Avoid any situation and/or appearance of conflict of interest. Be upfront about any situation that would limit your ability to provide honest feedback.
  • Treat all stakeholders with respect and ensure confidentiality in all your communication.
  • Safeguard confidential information.
  • If you encounter fraud and/or inappropriate conduct or actions in the agency, bring it to the attention of the appropriate person in the leadership. Fraud in a government funded agency should be reported to the appropriate governmental agency.
  • Do not promise outcomes that you cannot deliver.
  • Accept only those contracting engagements that you are qualified to perform.
  • Conduct yourself in work in ways that are in keeping with a Code of Ethics.
• Professional
  • Be sensitive to the diverse needs of all clients.
  • Provide a safe environment for open and honest communication.
  • Assess and monitor the progress with your clients; search for reasons for lack of progress, make corrections as necessary.
  • If you feel resistance, confront the client with positive communication techniques. Help the client to understand that it is important for both parties to have an open discussion and to determine a realistic solution.
  • Help all stakeholders to understand that your primary client is the agency and all your work is committed to the agency’s improvement and growth.
  • Share your personal values and code of conduct with clients.
  • Develop ground rules for behaviors, communication and the sharing of information before you begin your work. Revisit ground rules, as necessary.
  • Respect people’s time – keep appointments and begin and end work and meetings on time.
  • Be conscious of power structures and stresses experienced by various stakeholders within the organization.
  • Seek honest and critical evaluation of your work and learn from feedback.
  • Share enthusiasm for your work.
  • Keep fit, be in good health and be energetic.
  • Focus on outcomes and help clients to focus on the same.
  • Develop a consultation plan based on a thorough needs analysis, defined goals, and outcomes expectations. Partner with different stakeholders to develop a realistic, workable consultation plan.
  • Commit to learning and become a lifelong learner. Continue to improve your knowledge, skills, and understanding of your work. Incorporate research-based practices in your work.
  • Remain current with the best practices in your profession.

Section VI. IRS and State Guidelines on Taxes for Consultants

When an employee gets paid, the employer withholds state, local, and Social Security taxes from the pay check and pays appropriate authorities. However, the consultant is self-employed and is responsible for paying state, federal, and Social Security taxes quarterly in January, April, June, and September of each year.

Contact your state tax office and the U.S. Internal Revenue Service to get additional information and the forms to file with tax payments.

On Federal tax returns, consultants use Schedule C (Income from Self Employment) instead of Schedule A (Itemized Deductions) to pay annual taxes. This form is attached to the primary tax form for the payment of, or a refund of, annual taxes. Usually, every expense the consultant has that impacts income is deductible, e.g., software, auto use when traveling to customers and a portion of Internet and telephone use. This documentation requires substantial record keeping. If necessary, consult a tax services provider to get assistance in setting up your systems and to comply with all IRS requirements.

Helpful Links

IRS link: http://www.irs.gov/

FirstGov.gov: FirstGov.gov for the Self-Employed: http://www.firstgov.gov/Business/Self_Employed.shtml

Internal Revenue Service (IRS): Small Business and Self-Employed One-Stop Resource: http://www.irs.gov/businesses/small/index.html

IRS: Self-Employed Individuals or Independent Contractors: http://www.irs.gov/businesses/small/article/0,,id=115045,00.html

IRS: Publications and Forms for the Self-Employed: http://www.irs.gov/businesses/small/article/0,,id=115044,00.html

Internal Revenue Service Publication 1779, Independent Contractor or Employee ( 1/2/2005). Revised 1/2005: http://www.irs.gov/taxtopics/tc762.html (accessed October 23, 2006).

U.S. Small Business Administration: Startup Guide: http://www.sba.gov/starting_business/startup/guide.html

Section VII  Consulting Agreement Example

THIS AGREEMENT is effective as of _______ [date], by and between ABC Head Start/ Early Head Start [Company], and ____________ (Consultant).

Term

[Company] will retain Consultant,and Consultant will accept such retention, commencing as of the effective date of this Agreement and continuing through midnight of [date] or until termination of this Agreement as provided below.

Scope of Services

Consultant will provide expertise to deliver successful outcomes for the following objectives (EXAMPLES):

* To enhance skills in reflective supervision for the supervisory staff

* To improve communication between all levels of staff

* To assist the program’s management team in revising communication systems

Consultant will provide technical assistance, training, and facilitate meetings as necessary. Consultant will provide action plan to accomplish outlined objectives with time lines prior to implementation of the plan. Implementation of the plan will begin after the approval by the Company.

Consultant agrees to be available on a basis to be mutually agreed upon, but no more than _____ hours or days under this agreement. Services shall include telephone time; on-site consulting at [Company], or elsewhere; review of written documents and data; and/or preparation of written documents.

Compensation

[Company] will pay Consultant a fee of $______ per hour/ day for the consulting services requested and performed under this Agreement. Total hours/days of services will not exceed ______ hours/days under this agreement. Consultant invoices detailing the services rendered pursuant to this Agreement should be sent to [Contact] at [Company], and payments will be made within thirty (30) days of [Contact's] receipt of such invoices. In addition, [Company] will reimburse Consultant for her reasonable expenses approved in advance by [Company].

The Hourly Compensation Rate does not include expenses. [Company] shall reimburse Consultant for all reasonable living and transportation expenses incurred in response to a request by [Company] for Consultant to travel. Reimbursement shall be made directly to Consultant within 30 days of receipt by [Company] of a request from Consultant for reimbursement, with original receipts of all expenses claimed.

No Conflict of Interest

Consultant acknowledges that no prior or existing relationships exist which would prevent Consultant from entering into and fulfilling all obligations under this Consulting Agreement.

{If your agency is retaining a consultant who has worked with your competition it may be advisable to place the following language in contract… “Consultant shall not disclose to [Company] any information, suggestion, product, product development, or process with respect to which Consultant is under any actual or implied duty to any third party to keep secret or to advise, suggest, or develop such information, and nothing in this Agreement shall impose an obligation on Consultant to act contrary to any such actual or implied duty to others. [Company] shall be free to use all information that is disclosed by Consultant to [Company] without any further obligation to Consultant.”}

Confidential Information

[Company] shall disclose confidential information to Consultant directly or indirectly, with or without notice of its confidential nature. Accordingly, Consultant agrees to hold all information disclosed to Consultant by [Company] in confidence and neither disclose the same to others nor use the same for any purpose without the written permission of [Company]. Upon request, Consultant will return to [Company] all written information supplied to Consultant by [Company], or generated by Consultant on behalf of [Company], including all copies thereof.

Consultant agrees that all technical information, including any reports, relating to the Field developed by Consultant in connection with services under this Agreement, shall be the property of [Company] and subject to the confidentiality and nonuse provisions set forth herein. {If you have hired a consultant to take pictures or develop video, please specify ownership of these products developed under this contract. Also specify procedures to get authorization to take pictures or videos from subjects included in the product.}

Code of Conduct

Consultant will follow [Company’s] code of ethical and professional conduct. Consultant’s failure to follow the code of professional ethics will result in immediate termination of this agreement and notification to appropriate sources as necessary.

Other Provisions

In performing Services for [Company] pursuant to this Agreement, Consultant shall be acting in the capacity of an independent contractor to [Company] and not as an employee of [Company] or any of its subsidiaries. Accordingly, although [Company] shall specify the general nature of the work to be performed and the goals to be met, the details of performing such work and meeting such goals shall be determined by Consultant.

Consultant is an independent contractor and is not an employee or agent of [Company]. Consultant shall not be entitled to any benefits or compensation from [Company] except as set forth in this Agreement, and shall in no event be entitled to any fringe benefits payable to employees of [Company]. Consultant will be responsible for taxes.

The term of this Agreement shall be _____ months from the Effective Date, unless terminated earlier or extended longer as may be mutually agreed upon by the parties in writing. Some provisions of this Agreement, including provisions of confidentiality, shall survive termination of the Agreement.

Any amendment or modification to this Agreement shall be valid only if in writing and signed by both parties.

Either party may terminate this Agreement for any reason upon not less than 30 days prior written notice delivered to the other.

This Agreement will be governed by the laws and policies of the Company. Any dispute arising under this Agreement that the parties cannot resolve by good faith discussion and negotiation shall be decided by binding arbitration, conducted according to the rules and guidelines of the Company policy.

Agreement to this consulting contract is indicated by the signatures below:

_______________________ Consultant Name Social Security Number: Address:

____________________ Company Director Company Name: Address:

Disclosure: Language in this example is borrowed from many different contract examples posted on the Internet. The following web sites are referenced and used as source of information. The web sites will provide more help with developing alternative Consultant Agreements:

http://www.biokin.com/consulting/index.html
http://www.lectlaw.com/forms/f050.htm
http://www.state.sd.us/auditor/ConsultantGuidelines.htm
http://downloads.techrepublic.com.com/5138-6337-730174.html
http://www.nupplegal.com/inconconag.html
http://contracts.onecle.com/intergraph/green-mountain.consult.1990.01.17.shtml
http://www.managementhelp.org/misc/smplcntr.htm
http://contracts.onecle.com/intergraph/green-mountain.consult.1990.01.17.shtml
http://www.contractedge.com/consultingservicesagreement.html