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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.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):Know how to about assigning members in FileRoom.
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).note
Even if the
Assigned Team Members
restriction is not enabled at the firm level, assigning one or more members will restrict access to a binder and the associated Client Profile in TaxCaddy. Any users following the clients in TaxCaddy will be unfollowed if they are not an assigned member.
note
If the
Assigned Team Members
check box is not selected in Account Admin
, you can still restrict the binder access to assigned team members on a binder-by-binder basis. 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 OwnerMembers of user groups with this permission appear in the Owner list in theCreate New Binderwindow. 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 theCan be an Ownerpermission.
- Assign New OwnerLets changing the owner of any binder from FileRoom, SPbinder, or TaxCaddy if the user belongs to the group assigned to the binder.Irrespective ofAssign New Ownerpermissions, 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. note
Adding or removing a user as an assigned member from either
TaxCaddy
or FileRoom
will be reflected in the other application.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.
note
For firms using
Assign Members
restriction and Office Location
restriction, 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.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.
note
Once this feature is enabled: - The previous owner will only become an assigned member if a client access is already restricted to assigned members (firm-level or per client-level). - This setting doesn’t apply to access restrictions based on Office location and 7216 Consent.- Previous owner won’t be added as an assigned member if the client access is not restricted to assigned members and owners. If your client is non-restricted with only an owner, then it won’t add the previous owner as a member.
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.
note
Clients who don’t have an office location saved in their binders or client profile can be accessed by all users.
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.
note
Firm System Administrators and Binder owners will be able to access the binders irrespective whether their assigned location matches to the binder or not.
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. note
Location Restriction can’t be disabled if
Account Admin > Manage Restrictions
for Office Location
is enabled at the firm-level.
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.
note
Firm System Administrators and Binder owners will be able to access the binders irrespective whether their assigned location matches to the binder or not.
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.
note
For firms using
Assign Members
restriction and Office Location
restriction, 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 assigned members.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
note
If you want to let a selected few users in the office to have access to a private client, then you can create a new office location (that is, Chicago Private Clients), then only assign those few users to that office location. You can edit user then add them to the new private office location.