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Manage Restrictions

Manage Restrictions
allow you to place restrictions on who can access the binder and client profile (in TaxCaddy). You can choose to restrict access to only selected firm users (i.e., assigned members) or users assigned to specific office locations. Enabling an access restriction will apply the restriction to FileRoom binders and TaxCaddy profiles.
Firms can prevent their users from accessing binders and client profiles (in TaxCaddy) with the following restriction type:
Access Restriction type
Firm users restricted due to:
Assigned Members
Not being an Owner or an Assigned Member.
Office Location
Not having access to clients from a different office location.
7216 Consent
Not having 7216 Consent to access binders or TaxCaddy client profile.
For firms using
Assign Members
 restriction and
Office Location
 restriction, firm users can have access to the client as long as they are able to qualify for one of those two requirements. User either belong to the same office location or are added as an assigned member.
To enable binder restrictions, go to 
FileRoom
, 
Admin
, 
Enterprise Features
, then
Manage Restrictions
.

Assigned Team Members

Firms can use
Assign Team Members
 (i.e., Assign Members) restriction to limit which firm users are allowed to access clients' profiles and any binders associated with clients. When the
Assign Team Members
 restriction is enabled, only users that are added to the client's profile will have exclusive access to the client's information (i.e., all clients are VIP access only).
There are two methods of enabling assigned members' restriction:
  • Firm-level restriction
    : Places access restrictions on all client profiles/binders at the firm. Only owners, users added as assigned members, and Firm System Administrators can access individual clients.Note: Even if this option is not selected at the firm level, access can still be restricted to assigned team members on a binder-by-binder basis. The restrictions will also sync back to TaxCaddy client profile and vice versa.For firm-level restriction: Access to all clients is restricted.
  • Restrictions enabled on per client basis
    - TaxCaddy client profile and binder become restricted as soon as a single user is added as an additional assigned member from TaxCaddy or the client's binder (excluding the owner). The client access is now (VIP) exclusive to owners and users added as assigned members only, irrespective of firm-level settings.
    Know how to about assigning members in SPbinder.
    Know how to about assigning members in FileRoom.
    Removing all assigned members (excluding the owner) from a client will remove the assigned members' restriction.For restriction on per-client bases: Only clients with one or more assigned members is restricted (binder/client profile):
To enable firm-level restriction (i.e., restrict access to all firm clients), select the
Assigned Team Members
check box to restrict binder/client profile access to assigned members only (including Owner).
Once the
Assigned Team Members
 binder restriction is enabled, only users assigned to the binder, Owners, and Firm System Administrator can access the binder. Users not assigned to the binder will see a message window when attempting to open the binder.
"You must be an assigned member/owner to access this binder. Please contact the
        binder owner or a Firm System Administrator."
The Firm System Administrator will always be let to access and edit all binders in
FileRoom
, and the owner of the binder can always access and edit his or her own binders.
When this feature is enabled, three additional permissions will appear in the
User Group
 section of
Users
,
User Group Management
, then
Permissions
.
These permissions are:
  • Can be an Owner
    Members of user groups with this permission appear in the Owner list in the
    Create New Binder
     window. Additionally, they can assign members to binders from FileRoom and SPbinder. When a member of this user group is the owner of a binder, they can transfer ownership of that binder to another user who also has the
    Can be an Owner
     permission.
  • Assign New Owner
    Lets changing the owner of any binder from FileRoom, SPbinder, or TaxCaddy if the user belongs to the group assigned to the binder.
    Irrespective of
    Assign New Owner
     permissions, other users can change binder owners from FileRoom when binder access restrictions are disabled for Assigned members.
  • Assign Members
    .
    This lets assigning new members to binders from within SPbinder, FileRoom, and TaxCaddy.
A new
Members
 column will be available in
FileRoom
. To make this column visible, select
Column Setup,
 select the
Members
 checkbox, then select
Save
.
If you select the number in the
Members
 column, you can view and change the assigned members. Adding one or more assigned members will restrict binder access to assigned members only. Any users following the clients in TaxCaddy will be unfollowed if they are not an assigned member.
This will also enable an additional filter on the top of
FileRoom
.
You will see an option to
Assign Members
 in
SPbinder
, then
Edit
. Only the owner and other assigned members will be able to access the client profile.
TaxCaddy
users will see the
Member Engagement Team
option on the navigation bar menu. 
If the 
Assigned Team Members
 option is enabled, then only the owner and other assigned members will be able to access the client profile. 
If you clear the
Assigned Team Members
checkbox on the
Manage Restrictions
 tab, all users will once again have access to all the binders.
Adding an assigned member automatically enables the assigned member restriction on that binder and Client Profile (in TaxCaddy) irrespective of global firm-level settings. Any users following the clients in TaxCaddy will be unfollowed if they are not an assigned member. In FileRoom, users who are not assigned members will be prevented from accessing the binder.

Assigned Owners

When access to a client (SPbinder/TaxCaddy) is restricted to only assigned members and owners only, removing the previous owner automatically removes them from being able to access the client.
Since the previous owner is not an owner or an assigned member, they can't access the client. To regain access to the client, a firm needs to add the previous owner back with an assigned member role.
Instead of manually adding the previous owner back as an assigned owner for each client, you can automatically add the previous owner as an assigned member. Firms can enable the
Assigned Owners
 setting to let a previous owner access to the client (in TaxCaddy and SPbinder). When this restriction is enabled and a client's owner is updated, the previous owner will be automatically added as a member of the client's Assigned Member team, maintaining their access to the content in the selected client's profile.
To enable the
Assigned Owners
 feature for your firm, find the
Assigned Owners
 section of
Manage Restrictions
 in your
Admin
 settings.
Select the
Assigned Owners
 checkbox to automatically add the previous owner as an assigned member.
Clear the
Assigned Owners
 checkbox to disable the previous owner from automatically becoming an assigned member.
"Automatically add the previous owner as an assigned member when a client's owner changes."
Once enabled, the previous owner will automatically become an assigned member when a new owner is selected. This will let the previous owner retain access to the restricted client.

Office location and access restrictions

Access restrictions let you permit access to FileRoom binders and TaxCaddy Client Profiles to users that have the same office location as the client.
Example:
Firm user Paul is assigned to the 'California'
Office Location
. In TaxCaddy, Paul can only access clients from the 'California' office location. In FileRoom, Paul can only open binders from the 'California' office location. However, Paul can still access clients from another office location if Paul is the owner or an assigned member.
The firm user FIRM_ADMIN (Pam) is a
Firm System Administrator
. Pam can access the binders irrespective of whether the assigned location matches the binder or not.
Office location access restriction (Firm-Level Restriction)
To enable access restrictions for all clients at the firm, select the
Office Locations
 checkbox. Once enabled, only users from the same office locations will be able to access the client profile.
Access restrictions changes in TaxCaddy when enabled at the firm:
LOCATION RESTRICTION
will be mandatory when you add a new client or edit an existing one. 
Once the access restriction is enabled, only users from the same office locations will be able to access the Client Profile. Users from another office location can still access Client Profile if they are an owner or an assigned member.
Access restrictions changes in FileRoom when Location Restriction is enabled globally at the firm-level:
The 
Restrict by Office
 checkbox will be auto-selected and can't be disabled when creating a new binder from FileRoom. 
Only users from the same office locations will be able to access the binder. However, a user can still access the binder from a different office location if they are an owner or an assigned member.
Enabling office location access restriction per client (Individual Level Restrictions)
Access restrictions in TaxCaddy
You can also manually restrict the office location on individual clients from TaxCaddy without enabling it at the firm level from
Account Admin > Manage Restrictions
.
Go to 
TaxCaddy
,
Administrative
, then 
Client management
, then when you add or edit a client:
Select
ON
 to enable office location restriction for this client.
Select
OFF
 to disable office location restriction for this client. 
Office
Location Restriction
 can only be disabled by an Owner, Assigned Member, a user from the same office location or a Firm System Administrator.
Access restrictions in FileRoom
If access restrictions are not enabled globally at the firm-level, you can manually select the
Restrict by Office
 checkbox to enable access restriction on individual binders.
Independently disabling office location access restriction per client
In FileRoom, a binder's office location restriction can be manually disabled by an Owner, Assigned Members, users with the same office location, or the Firm System Administrator.
To disable the binder access restriction based on office location, clear the
Restrict by Office
 checkbox then select
Save
. Once disabled, the binder will be accessible to all users.
Without proper permissions (Owner/Assigned Member/Firm System Administrator), you won’t be able to clear the
Restrict by Office
 checkbox.
Access restrictions sync in TaxCaddy and FileRoom
When you enable access restrictions in TaxCaddy, the binder created for that client will retain those access restrictions in FileRoom. Conversely, binders created with access restrictions in FileRoom will retain those permissions TaxCaddy.
For example, if you enable
Location Restriction
 for a client in TaxCaddy, then create a binder for that client. That client's profile and binder will be inaccessible to users from a different office location. The same setting will apply when users from different locations try to access that binder from FileRoom.
The following restrictions will be auto-synced across TaxCaddy and FileRoom:
  • Office location
  • Office restriction
  • Owner
  • Assigned members

This article applies to:

  • Product: SurePrep
  • Subject: User account
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