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Business Document to PwC

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BUSINESS DOCUMENT SUBMISSION AND SERVICES AGREEMENT

This Business Document Submission and Services Agreement (the Agreement) is entered into on Effective Date: by and between Client Name: with principal address at , and PwC Entity Name: with principal address at .

WHEREAS

WHEREAS, Client possesses or will provide certain business documents, data, analyses, and related materials (collectively, Submitted Materials) necessary for PwC to perform advisory, review, or other professional services described herein; and

WHEREAS, PwC has the experience and capability to receive, review and perform services with respect to the Submitted Materials and has agreed to provide such services on the terms and conditions set forth in this Agreement; and

WHEREAS, the parties desire to set forth their respective rights and obligations with respect to submission, use, protection, and remuneration for services related to the Submitted Materials.

SCOPE OF WORK

Client shall provide to PwC, in the form and by the dates specified below, the Submitted Materials required for performance. Submitted Materials shall be described as: .

Electronic delivery (secure transfer) Hard copy delivery

PAYMENT TERMS

Client shall pay PwC fees for services and for reasonable, pre-approved out-of-pocket expenses in accordance with the following terms.

Invoices are due within days of invoice date. Overdue amounts shall accrue interest at the lesser of (a) a rate of % per month, or (b) the maximum rate permitted by law, plus reimbursement of reasonable collection costs.

TERM AND TERMINATION

This Agreement commences on Start Date: and will continue until End Date: unless earlier terminated in accordance with this Section.

Either party may terminate this Agreement for convenience upon days' prior written notice to the other party. Either party may terminate immediately for material breach by the other party that remains uncured for a period of 15 days after written notice specifying the breach.

Termination shall not relieve Client of its obligation to pay for services performed and expenses incurred through the effective date of termination, nor shall it limit any party's rights with respect to breaches occurring prior to termination.

CONFIDENTIALITY

For purposes of this Agreement, Confidential Information means non-public information disclosed by one party (Discloser) to the other (Recipient) in any form that is designated as confidential or that reasonably should be understood to be confidential given the nature of the information and the circumstances of disclosure. Submitted Materials shall be treated as Confidential Information of Client unless otherwise specified in writing.

Recipient shall (a) use Confidential Information solely for the performance of its obligations under this Agreement; (b) protect Confidential Information using at least the same degree of care it uses to protect its own confidential information, but no less than reasonable care; and (c) not disclose Confidential Information to any third party except to those employees, contractors or professional advisers who have a need to know and who are bound by confidentiality obligations no less protective than those herein.

The obligations in this Section shall not apply to information that: (i) becomes publicly known through no fault of Recipient; (ii) is lawfully received from a third party without restriction; (iii) is independently developed by Recipient without use of Discloser's Confidential Information; or (iv) is required to be disclosed by law, provided Recipient gives prior written notice to Discloser and cooperates in any protective measures sought by Discloser. Confidentiality obligations shall survive termination of this Agreement for a period of unless a longer statutory period applies.

LIMITATION OF LIABILITY

Except for liability resulting from gross negligence, willful misconduct, or breach of confidentiality, neither party shall be liable to the other for consequential, incidental, special or punitive damages. The aggregate liability of each party arising out of or relating to this Agreement shall not exceed the total fees paid by Client to PwC under this Agreement during the 12 months preceding the claim.

GOVERNING LAW

This Agreement shall be governed by and construed in accordance with the laws of the State of , without regard to conflict of law principles. The parties submit to the exclusive jurisdiction of the state and federal courts located in that state for resolution of disputes arising out of this Agreement.

NOTICES

ENTIRE AGREEMENT

This Agreement, including any exhibits or attachments executed by the parties, constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior and contemporaneous agreements, proposals, understandings and communications, whether written or oral. No amendment or modification of this Agreement shall be effective unless in writing and signed by authorized representatives of both parties.

ADDITIONAL PROVISIONS

Each party represents and warrants that it has the full right, power and authority to enter into and perform this Agreement. If any provision of this Agreement is held to be invalid or unenforceable, the remaining provisions shall continue in full force and effect.

Client

Printed Name:

By:

Title:

Date:

PwC

Printed Name:

By:

Title:

Date:

Enter text✕

What a Business Document to PwC Is and when it’s used

A Business Document to PwC is a formal submission prepared for review by PricewaterhouseCoopers engagement teams and may support audits, tax engagements, advisory projects, or due diligence. It typically consolidates financial statements, reconciliations, attestations, and exhibits into a single, labeled package with metadata and contact details. Proper formatting, consistent numbering of schedules, and verifiable signatures reduce review cycles and make it easier for PwC to route work to the correct specialists. Delivery commonly occurs via secure portal upload, encrypted email, or controlled file transfer.

Why a clear submission matters for PwC engagements

A well-prepared Business Document to PwC speeds review, reduces requests for supplemental materials, preserves an auditable signature trail under ESIGN (15 U.S.C. ch. 96) and UETA, and helps satisfy tax and regulatory recordkeeping obligations.

Why a clear submission matters for PwC engagements

Who typically prepares and approves these submissions

Responsibility for preparing and signing a Business Document to PwC varies by engagement type and internal delegation of authority.

  • Chief Financial Officer or Controller certifies financial accuracy and signs management attestations.
  • Accounting or reporting manager assembles schedules, reconciliations, and source documents for submission.
  • External tax advisor or legal counsel reviews specialized language and may sign engagement-specific declarations.

Define signatory authority in company policy and retain delegation documents with the submission to support PwC's review and any subsequent audit trail requests.

Authorized signers and their roles

CFO

The Chief Financial Officer commonly has authority to sign audit- or tax-related submissions and formal attestations. Where corporate bylaws require it, the CFO’s signature should be supported by board authorization or a written delegation of authority retained with the file.

Authorized Representative

An authorized representative (for example, Controller, VP Finance, or other designee) may sign routine submissions when a delegation exists. Include the delegation document so PwC can verify the signer's authority during review or audit procedures.

Essential fields to include in the Business Document to PwC

Entity Name: Full legal name as on federal tax records
EIN: Employer Identification Number (nine digits)
Period Covered: Reporting period start and end dates
Primary Contact: Name, phone number, and email address
Financial Statements: Balance sheet, income statement, cash flow
Supporting Schedules: Reconciliations, trial balance, third-party confirmations

Step-by-step: preparing a Business Document to PwC

Follow a consistent sequence to reduce review friction and make sign-off traceable.

  • 01
    Assemble: Gather financials, schedules, exhibits and source files.
  • 02
    Validate: Reconcile totals, confirm footnotes, and verify cross-references.
  • 03
    Authorize: Obtain required approvals and signatures according to delegation policy.
  • 04
    Deliver: Submit via PwC intake method with clear file names and metadata.

Configuring an online submission workflow

Set up a predictable digital workflow so documents arrive complete and auditable.

Field Configuration
Template Create reusable template with required fields and attachments
Authentication Choose email link, SMS code, or stronger signer verification
Routing Define signer order and conditional approvers
Notifications Enable reminders and completion receipts

Typical delivery paths to PwC and internal routing

Understanding delivery options helps you match PwC intake preferences and maintain secure custody.

  • PwC Secure Portal: Upload signed package to the PwC secure intake portal
  • Encrypted Email: Send password-protected attachments per PwC guidance
  • SFTP / FTPS: Use firm-designated secure file transfer protocols
  • Physical Delivery: Provide hard copies when specifically requested by engagement team

Digital signing and file-format considerations

Use common, non-proprietary formats and platforms that preserve audit trails and file integrity.

  • Accepted Formats: PDF/A, PDF, DOCX recommended
  • Authentication Options: Email, SMS code, or stronger MFA
  • Integrations: Ensure compatibility with Salesforce, NetSuite, or secure cloud

Confirm with the PwC engagement contact before using new platforms; retain signed originals or certified electronic copies in a secure archive.

Timelines and typical submission deadlines

Be proactive about deadlines so PwC can schedule fieldwork and meet regulatory filing dates.

Internal Lead Time:

Provide materials at least 10 business days before scheduled fieldwork

Tax Filing Support:

Supply requested data within dates required for preparer deadlines

Response to Requests:

Respond to PwC follow-ups within 3–5 business days when possible

Extension Planning:

Allow extra time when filings require external confirmations or notarization

Real-Time Updates:

Notify PwC immediately of material changes or restatements

Common preparation mistakes to avoid

  • Submitting inconsistent numbers between schedules and financial statements creates delays and additional audit requests.
  • Missing or unsigned attestation pages force PwC to seek re-execution and can delay opinion or reporting timelines.
  • Uploading unsupported file formats or poorly named files increases reviewer time and the risk of misplaced exhibits.
  • Failing to document signatory delegation or authority can require legal confirmation and extend the review cycle.

Key risks if the submission is incorrect or incomplete

Audit Delays: Extended fieldwork and additional fees
Regulatory Penalties: IRC §6721 penalties may apply for incorrect filings
Contractual Breach: Missed covenants or reporting obligations
Reputational Risk: Negative stakeholder and auditor perceptions
Withholding Risks: Backup withholding triggers for incorrect TINs
Data Exposure: Nonsecure transfers increase breach liability

Real examples of electronic submissions used in practice

These examples illustrate how organizations use standardized electronic workflows when submitting documents to large professional services firms.

Tech Data — Bob Dutkowsky

Tech Data standardized submission packages for external reviewers to reduce turnaround time and ensure consistency.

  • Bulk templates and integrated workflows were used to scale external reporting.
  • As a result, the team reported improved internal and external customer service while accelerating speed to revenue and simplifying reconciliation across systems.

Xerox — Kodi-Marie Evans

Xerox integrated document templates with its ERP system to ensure mapping consistency for external reviews.

  • API-driven attachments preserved source formatting.
  • This approach provided flexibility to deliver the right documents and formats to reviewers and reduced manual data entry during PwC engagements.

How the Business Document to PwC differs from similar submission types

Compare common submission types to decide whether a formal Business Document to PwC or an informal data package is required.

Criteria Audit Package Informal Data Package
Purpose audit support ad hoc questions
Formality high low
Required Signatures usually no
Retention Expectation long-term short-term

eSignature vendor comparison for submitting documents to PwC

Select an eSignature solution that meets compliance needs; the table below compares basic plan-level attributes across common vendors with signNow listed first.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies by offer Varies by offer Varies by offer Varies by offer
Bulk Send Yes (Business Premium) Yes Yes Yes Varies
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes (BAA available) Yes (BAA available) Yes (BAA available) No No

Frequently asked questions about Business Document to PwC submissions

Answers to common questions about signatures, notarization, authenticity, and corrections when submitting documents to PwC engagement teams.


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