Phase 4: Contracting
Applies to: All staff who prepare, route, execute, or validate participant contracts
Sequence note: Phases 0-4 sequential; phase 10 anytime; not all phases apply
What you'll learn
- Select the correct contract type and ensure scope matches the participant's engagement stage before sending any agreement
- Route contract modifications through Legal approval and execute the agreement via an approved secure method, then validate the fully executed contract before advancing to Phase 5
- Apply the minor-participant hard stop and the Finance verification requirement as non-negotiable controls
Lesson
Step 1 - Determine Contract Type
Before drafting any agreement, identify which contract type applies. Option A is a client-directed contract, issued in the client's name. Option B is an A*I contract, used for internal engagements or new business. Choosing the wrong type is not a minor clerical error - it affects who is legally responsible for the agreement.
Source: slide 14 - Patient Contracting and Confidentiality_Final_8-2026
Step 2 - Match Scope to Engagement Stage
The scope of the contract must match where the participant is in the program. For an initial or limited engagement, use minimal terms only. For a confirmed program participant, the contract must include full program terms. Do not send a full-program agreement to a participant who is still in a limited or exploratory stage.
Source: slide 14 - Patient Contracting and Confidentiality_Final_8-2026
Step 3 - Obtain Legal Approval Before Modifying Templates
Legal approval is required before any modification to a contract template. This is a mandatory step - do not send a modified agreement that has not been reviewed and approved by Legal first. Template changes made without Legal approval are not authorized regardless of how minor the change appears.
Source: slide 14 - Patient Contracting and Confidentiality_Final_8-2026
Step 4 - Send the Patient Participation Agreement
Send the Patient Participation Agreement_Final_8-2026. This document covers confidentiality, scope, compensation, and content usage rights. It must be executed via an approved secure method. Do not distribute the agreement through unapproved channels such as personal email or unencrypted file sharing.
Source: slide 14 - Patient Participation Agreement_Final_8-2026
Step 5 - Patient Uploads Signed Agreement
The patient uploads the signed agreement to their participant SharePoint folder. Do not accept agreements by email attachment or other non-approved storage locations. The signed document must reside in the designated SharePoint location to support audit traceability.
Source: slide 14 - Patient Data Storage and Access Control_Final_8-2026
HARD STOP - Minor Participants (Under 18)
If at any point you determine that a participant is under 18 years of age, you must stop immediately and escalate to Legal. Do not draft, send, or execute any direct contract with anyone under 18. This is an absolute hard stop with no exceptions. Proceed only after Legal has resolved the situation.
Source: slide 14 - Patient Contracting and Confidentiality_Final_8-2026
Step 6 - Validate the Executed Contract
Before advancing to Phase 5, validate the contract: it must be fully executed with all fields complete, linked to the participant's subject ID, and the document version must be recorded. Finance verifies contract execution before any payment is made. Do not proceed to Phase 5 until validation is complete.
Source: slide 14 - Patient Contracting and Confidentiality_Final_8-2026
Scenario
You are a Patient Engagement coordinator preparing contracts for two participants. Participant A is in an initial limited engagement. Participant B is a confirmed program participant. While reviewing the standard contract template, you realize the compensation clause does not match the current program terms, so you update the template language and send both agreements before the end of the day. Later, a colleague flags that one of the participants may be 17 years old. You also receive an urgent request from a project lead to move both participants to Phase 5 immediately because the client timeline is tight.
You modified the compensation clause in the contract template and sent it to both participants without first obtaining Legal approval. What should have happened?
Incorrect. There is no 'minor change' exception. Legal approval is required before any contract template modification, regardless of the scope of the change.
Correct. Legal approval is a mandatory pre-condition for any template modification. Sending an unapproved modified agreement is a protocol violation. The agreements must be recalled and Legal approval obtained before re-sending.
Incorrect. Retroactive approval does not satisfy the requirement. The policy requires Legal approval before sending modified templates, not after.
Incorrect. Legal review is not optional for any template modification, including changes to compensation language.
A colleague believes one participant may be under 18. What is the correct immediate action?
Incorrect. Self-attestation by a participant does not satisfy the minor hard stop. Escalation to Legal is required whenever a participant's age is in question.
Incorrect. Noting the concern and continuing is not compliant with the hard stop rule. All contracting activity must stop immediately until Legal resolves the issue.
Correct. A minor participant (under 18) triggers an absolute hard stop. All contracting activity must stop immediately and Legal must be notified and consulted before any further action.
Incorrect. Sending the agreement before Legal resolves the age question is explicitly prohibited. The hard stop applies before execution, not after.
Knowledge Check
Select an answer to see feedback. This is practice - it does not affect your score.
Which two contract types are available in Phase 4, and what determines which one applies?
Incorrect. Contract type is not determined by participant preference or document length.
Correct. Option A is a client-directed contract issued in the client's name; Option B is an A*I contract used for internal engagements or new business.
Incorrect. There is no expedited contract type. Client timeline pressure does not change the required contracting process.
Incorrect. Contract type is not based on participant geography.
A participant is in an initial limited engagement. Which contract scope is correct?
Incorrect. Using full program terms for a limited engagement is a scope mismatch. The contract scope must match the engagement stage.
Correct. An initial or limited engagement requires minimal terms only. Full program terms are reserved for confirmed program participants.
Incorrect. A contract is still required for initial and limited engagements - minimal terms apply.
Incorrect. Participant signature does not make an incorrectly scoped contract compliant. Scope must match the engagement stage.
Before advancing to Phase 5, which validation conditions must the executed contract meet?
Correct. The contract must be fully executed with all fields complete.
Correct. The contract must be linked to the participant's subject ID.
Correct. The document version must be recorded.
Incorrect. Project lead review is not listed as a required validation condition before advancing to Phase 5.
Correct. Finance verifies contract execution before any payment, and the contract must be fully validated before Phase 5 can begin.
Key Controls Recap
- [RULE] Step 2 - Match Scope to Engagement Stage
- [RULE] Step 3 - Obtain Legal Approval Before Modifying Templates
- [WATCH OUT] HARD STOP - Minor Participants (Under 18)
- [RULE] Step 6 - Validate the Executed Contract
You've completed the Phase 4 learning module.
Return to Dayforce and take the Phase 4 quiz.