The Head Start Self-Assessment Guide helps Head Start and Early Head Start programs evaluate their service areas and management systems. Programs may also use this guide to determine when and how to use consultants to improve the quality of services.

The Guide is divided into four sections representing the four stages of the self-assessment process:
Stage 1: Preparing
Stage 2: Collecting and Synthesizing
Stage 3: Interpreting
Stage 4: Strengthening

 Completing the Work

 Why Do Head Start/Early Head Start Programs Use Consultants?

There are four major reasons why Head Start and Early Head Start programs hire consultants:

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, HS/EHS programs hire consultants to provide training.
2. Technical Assistance for Organizational Development: To enhance the quality of programs, HS/EHS 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: HS and EHS 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 HS and EHS 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 expertise specific to Head Start  and Early Head Start programs.

How To Make the Most of Consultants

As programs search for consultants, they will benefit from having a clear understanding of both the need for and purpose of hiring consultants. Consultants with an understanding of research-based practices in Head Start and Early Head Start programs and skills in adult education, consulting, problem solving, and communication will be more likely to match the needs of programs. Independently-contracted consultants with this type of expertise can help employed staff to meet diverse needs, such as training, technical assistance, organizational development, and meeting facilitation.

Head Start and Early Head Start program managers may wish to consider answers to the following questions before investing in consultant resources: 
 
Needs: Why do we need assistance from a consultant? What are our needs for assistance? What will be the level of time and other resource commitments necessary to support the consultant’s work?

Communication: What type of report and on-going updates will we need from the consultant? How will we provide feedback to the consultant regarding her/his work? How often will we provide feedback?

Outcomes: What are our expectations of outcomes from consultant services?

Progress: How will we monitor the consultant’s work and progress towards contract goals? How will we manage the consultant’s contract when the consultant’s work is not meeting our agreed upon objectives? Have we established an ethical code of conduct and professional code of behavior with the consultant? How will we address a situation where we feel that the consultant’s work and behavior do not meet our code of ethical conduct?

Conflict Resolution: How will we resolve any conflict with a consultant?

Working with Consultants Tip Sheet

You may find it necessary to hire one or more consultants to help you carry out your TA Plan. This tip sheet has been developed to help you have a successful experience working with consultants. It addresses the following topics:

1. Deciding to hire a consultant
2. Finding consultants
3. Bidding proposals
4. Interviewing candidates
5. Criteria for selecting a consultant
6. Contract contents
7. Communicating with a consultant
8. Evaluating the consultant

1. Deciding to Hire a Consultant
A consultant is:

• An independent contractor with valuable expertise and experience.
• Paid to complete an agreed upon set of tasks and objectives.
• A person who usually uses his or her own computers and other equipment.
• Responsible for managing his or her business.

A consulting relationship is:

• Governed by contract law not labor law.
• Focused on a limited project rather than an ongoing function.
• Often a brief, task-focused encounter.
• Sometimes an ongoing collaborative relationship.

2. Finding Consultants
To find a consultant that is a good fit with your organization, define the work to be accomplished and the specific ways a consultant can help. These tips will help you narrow your search:

• Find out as much as you can about the field or problem.
• Do simple research on the process for hiring.
• Ask colleagues in other programs about their experiences.
• Look for appropriate experience, skills, areas of expertise and training.
• Ask yourself what kind of consultant would best accomplish your project and adapt to your organizational structure.

3. Bidding Proposals
Before the interview, ask potential candidates to submit a proposal for the project. The proposal should include:

• The goal of project.
• A detailed work plan.
• A timeline including starting and ending dates.
• Tasks to be completed and the number of estimated hours of work required.
• Dates for completion of major milestones tasks or deliverables.
• A list of products that are contract deliverables.
• A detailed budget for the work.
• An estimate of organizational and director time required by the consultant.

4. Interviewing Candidates
Schedule interviews to determine which consultant might best work with your project. During an interview:

• Explain the project or work to be accomplished
  • If you are unsure about the problem or how to address it, describe your understanding of the scope of work and explain what might be needed to address it.
• Answer questions about the work.
• Ask the following or similar questions:
  • Why are you interested in this project?
  • How would you approach this project?
  • What experience do you have that might assist you with this project?
  • Do you have specific samples of your work – writing samples, procedural manuals, plans, grants, etc.—that you could give to us?
  • Can I get references from other organizations for which you have done similar work?
  • What problems do you anticipate?
  • How long do you estimate it will take you to complete the assigned work?
  • Describe your ideal working relationship with clients.
  • What will you expect from us?
• Disclose that it is the policy to keep ownership of and rights to the work products consultants produce while working on the project. Ask if this presents a problem for the consultant.
• Disclose the intent to contact references and verify statements about prior employment and follow through on this.

5. Criteria for Selecting a Consultant

After interviewing candidates, checking references and reviewing proposals, you should have the information you need to help you make a selection.

Also consider:

• The needs of your organization and its problems.
• The culture of your organization and how staff work best.
• The expertise and experience required for the job.
• Choosing the person or organization that will do the best job for the right amount of money.
• The cost to your organization.
• Do not use a consultant
  • to take work off your desk
  • if they are evasive
  • if they are intimidating
  • if they continue to use language you have made clear you do not understand

6. Consultant Agreements

Negotiating a consulting agreement (also known as a contract) will ensure all parties understand the project scope, goals, benchmarks, and needs.

A written agreement should include at least the following:

• The objective of project.
• The services to be performed.
• A description of the stages, components and end of the project.
• A timeline with milestone completion dates and a final deadline including written reports and any other deliverables.
• Roles and responsibilities.
• Payment information that is --
  • clearly stated
  • includes a description of how payment will be computed
  • links the schedule of payments to completion of deliverables.
• A requirement to submit itemized invoices in triplicate for work performed.
• A reference to the independent contractor status of the consultant to indicate there is no obligation to pay health or other benefits to the consultant.
• A statement that a consultant is responsible for supplies and equipment used.
• A list of any project costs the organization will cover for the consultant.
• A statement requiring protection of the organization hiring the consultant.
• A termination clause that allows for termination for any reason by either party with 30 days written notice for cause.
• An Alternative Dispute Resolution mechanism.
• Rights to retain ownership and control over the work products of consultants.
• Signatures by a person in the organization authorized to sign contracts and agreements and the consultant.

7. Communication
Tips for staying actively involved with a consultant during the project:

• Consultants should be willing to take time to explain what they are doing and why they are doing it.
• Consultants should help managers and staff members to see their organization and its problems in a new light.
• Consultants should provide new skills to support work.
• The best work with a consultant is collaborative.
• Consultants need guidance and support in order for the project to be successful.
• Discuss roles and ask how you can help the consultant understand the tasks.
• Schedule regular meetings with the consultant to ensure the project is proceeding as expected.
• Speak up if the project goes off course.
• Return calls from a consultant immediately, if possible.
• Expect a consultant to return your calls promptly.
• Inform staff, clients, Policy Council and the board about the consultant and the project.
• Introduce a consultant to staff at the beginning of the project.
• Encourage staff, clients and board members to meet with consultant, if appropriate.
• Assure staff, clients, Policy Council and board that they can be honest with the consultant.
• Consultants must assure confidentiality because you are hiring them to help you deal with unattractive truths about your organization.
• Ensure that consultant is paid promptly.
• Overcome resistance to change in your organization.
  • Emphasize -
    • the agency’s mission,
    • the respective roles of all stakeholders, and
    • how the consultant’s project will support the mission, strengthen the organization, and benefit everyone.
    • Keep everybody informed.

8. Evaluating the Consultant
While the project is progressing, conduct troubleshooting.

• Determine if you are off schedule –
  • Discover what is wrong and how to fix it --
    • Did the consultant underestimate the work?
    • Does the consultant need to bring in more workers?
    • Does the project require more staff time?
    • Are there revised expectations?
    • Should the schedule be delayed?
    • Should the manager forgo some deliverables?
    • Is there room for creative compromise?
  • If the relationship is salvageable, make adjustments and move on with the work.
  • If the work is poor, weigh the cost of ending the relationship, finding another consultant, or starting over against continuing with the same consultant.
  • Ask friends and colleagues for help.
  • End the relationship if:
    • The quality of the work is consistently below average.
    • There is evidence that the consultant is dishonest.
    • Deadlines are missed.
    • Communication is poor.
    • Trust is absent.
    • The benefit of starting over with another consultant outweighs the cost.
    • After mediation and trying to address concerns, the product is not useable.

When the consultant agreement ends, take time to evaluate the process and outcomes of the project. This is an important step whether the agreement closes early or on schedule.

Consider:

• Were the objectives met and was the work plan followed?
• Did the consultant produce the deliverables outlined in the contract?
• Were the deliverables of acceptable quality?
• Would management use the consultant again?
• Would management recommend the consultant to others?
• Did management and staff learn from the consultant?
• Was management happy with its role in the consulting process?
• Were staff, board, Policy Council, and other clients pleased?

 Code of Ethical and Professional Conduct for Head Start Consultants

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'

• 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 HS/EHS 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.

  Ethical Elements:
  • 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 Elements:

  • 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.

  

  IRS Guidelines and Consultants

  What is a Consultant?

  People who contract to perform services for others but don’t have the legal status of employees.

  Benefits of Using Consultants

  Save money because hiring organizations don’t pay:

  • Federal payroll taxes including Social Security and federal unemployment insurance
  • State unemployment insurance premiums
  • Worker’s compensation insurance premiums
  • Employee benefits – health insurance, paid vacations, sick leave, retirement benefits & life or disability insurance
  • Office space and equipment

  Provides a level of flexibility for the hiring organization to accomplish a specific task

  Hiring organization has access to specialized expertise for a short period

  Risks of Using Consultants

  Misclassifying as Consultant workers who are employees

  Consultants can sue for negligence if they are injured on the job

  Government Agencies interested in your classification and treatment of workers:

  • Internal Revenue Service
  • State unemployment compensation insurance agencies
  • State workers’ compensation insurance agencies
  • State tax departments
  • United States Labor Department
  • National Labor Relations Board

  It is important to learn your state unemployment department and workers compensation tests to determine worker status before hiring a consultant.

  How the IRS determine whether workers are Consultants or Employees

  The IRS is the most important agency to satisfy when it comes to classifying workers.

  Workers are employees if

  • The people they work for have the right to direct and control the way they work - including when, where and how they do their jobs.
  • The hiring company can fire them at any time
  • They are paid by the hour
  • They receive instructions from the hiring company
  • They receive training from the hiring company
  • They work full time for the hiring company
  • They receive employee benefits
  • They have the right to quit without incurring liability
  • They provide services that are an integral part of the hiring company’s day-to-day operations

  Workers are consultants if:

  • The hiring company’s control is limited to accepting or rejecting the final results the consultant achieves.
  • They can earn a profit or suffer a loss from the activity
  • They furnish the tools and materials needed
  • They are paid by the job
  • They work for more than one client at a time
  • They invest in equipment and facilities
  • They pay their own business and traveling expenses
  • They hire and pay assistants
  • They set their own working hours

  Written agreements with Consultants

  • Provides a written description of the services the consultant is to perform –
  • Specifies when and how much will be paid for services
  • Helps establish that a worker is a consultant
  • Helps show the IRS and other agencies that your organization and the worker intended to create a hiring company-consultant relationship not an employer-employee relationship.
  • Written agreement is only useful if it is obeyed. A Written Agreement is useless if you treat a worker like an employee.

  Intellectual Property Ownership and Consultants

  • Hiring organization needs to be concerned about copyright ownership when hiring a consultant to create a work of authorship such as a computer program, written work, artwork, musical work, photographs or multimedia work.
  • Hiring organization will not own the copyright unless it obtains a written assignment (transfer) of copyright ownership from the consultant
  • Obtain an assignment before the consultant starts work. If not, the copyright will automatically belong to the person who creates the work. The Assignment should be in the written agreement.
  • An assignment isn’t necessary for works for hire to which the company automatically owns copyright rights such as:
    • Contribution to a collective work – for example – anthology, work for a newspaper or magazine
    • Part of an audiovisual work – for example a motion picture screenplay
    • A translation
    • Supplementary works – forewords, afterwords, maps, charts
    • A compilation – an electronic database
    • An instructional text
    • A test
    • Answer material for a test
    • An atlas

  

  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 Consultantwill 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 URLS are referenced and used as source of information. The URLS will provide more help with developing alternative Consultant Agreements:

  http://www.biokin.com/consulting/index.html
  http://www.lectlaw.com/forms/f050.htm
  http://contracts.onecle.com/intergraph/green-mountain.consult.1990.01.17.shtml
  http://www.managementhelp.org/misc/smplcntr.htm
  

  

  Sources:

  American Society for Training and Development, Consulting Community (accessed March, 2011).

  Creating a Code of Ethics for Your Organization

  Institute of Management Consultants USA, Code of Ethics

  Internal Revenue Service: Employer's Supplemental Tax Guide (Supplement to Publication 15 (Circular E), Employer's Tax Guide) Revised: 1/2005

  NAEYC Code of Ethical Conduct and Statement of Commitment (Revised April 2005)
  
  NAEYC Code of Ethical Conduct – Supplement for Early Childhood Adult Educators [PDF, 129KB]

   Nolo Law for All: Hiring Independent Contractors FAQ (accessed May 20, 2004).

  The Ombudsman Association  (accessed January 13, 2009)

  Technical Assistance Clearinghouse, Organizational Self Assessment TAClearinghouse.org (accessed July 13, 2006)

  Technical Assistance Clearinghouse, Working With Consultants; TAClearinghouse.org (accessed March 5, 2004).