Yes, your clients can upload Word, Excel, and PDF files into TaxCaddy. Additionally, when your clients receive paper documents they can use the TaxCaddy app for iPhone and Android to photo-scan and upload the documents as PDF.
What scanners do you recommend?
We recommend the following scanners: Canon DR-M260, Fujitsu fi-7160, and Fujitsu fi-7260.
Security of your client’s data is our highest priority. As a TaxCaddy user, your client will benefit from best-in-class technology, data centers, and infrastructure to meet the strict requirements of the most security-sensitive CPA firms in the world.
TaxCaddy is built with layers of protection across a secure, reliable infrastructure. TaxCaddy leverages the Microsoft Azure cloud to ensure data security through encrypted communications, threat management, and threat mitigation practices, including regular penetration testing. TaxCaddy uses Amazon Web Services for secure, reliable storage. TaxCaddy documents and data are encrypted in transit and at rest using Amazon’s best-in-class Secure Socket Layer and Server-Side Encryption technologies.
Testing and Validation
TaxCaddy has been audited, tested, and validated by C-Level Security, LLC. C-Level Security is an independent, security-focused consulting firm employing leaders in the industry. TaxCaddy was found to enforce security controls to support a secure processing solution. The C-Level security attestation can be downloaded at sureprep.com and taxcaddy.com. Additionally, TaxCaddy is used by two of the largest CPA firms in the world, and it’s been through their rigorous security testing and validation.
SOC 2 Audit
SurePrep, the developer of TaxCaddy, received a SOC 2 Type 1, an independent service auditor’s report on controls relevant to security, availability, confidentiality, and processing integrity set forth by the AICPA Trust Services Criteria.
Credentials for TaxCaddy Smart Links accounts are encrypted from the moment they’re entered, so nobody can ever see or steal data as it is transmitted to or from the account. No matter what device is used, from desktop browser to mobile phone, data is always sent using 256-bit Secure Socket Layer encryption.
Tax documents are delivered directly to the client’s TaxCaddy account—no other service gets access to the documents, nor are they stored anywhere else. If your client chooses to delete any of the documents in their TaxCaddy account, those documents are permanently deleted—the taxpayer maintains full control of their tax documents. The taxpayer can delete any (or all) of their Smart Links at any time. When a Smart Link is deleted, the encrypted username and password information is deleted immediately.
Passwords and Two-Factor Authentication
To help keep TaxCaddy safe, the system requires a strong password that includes a number, a special character, both uppercase and lowercase letters, and a minimum of 8 characters.
TaxCaddy uses two-factor authentication to help keep the account secure by prompting the taxpayer to enter their password and a unique, one-time verification code each time they log in. Although the taxpayer can select “Don’t ask me for verification again on this computer,” we recommend keeping the two-factor authentication enabled on all devices.
We regularly review and update security policies; provide security training; perform application and network security testing, including penetration testing; monitor compliance with security policies; and conduct internal and external risk assessments.
About SurePrep’s REST API
SurePrep’s REST API enables users to integrate with the SurePrep FileRoom to automate and streamline their workflow. This API is organized around REST. We use built-in HTTP features, like HTTP authentication and HTTP verbs, which can be understood by off-the-shelf HTTP clients. Learn More
How is SPbinder different from Workpapers CS?
SPbinder is specifically designed for tax return preparation while Workpapers CS is intended for trial balance-based engagements or more general workpapers. SPbinder gives users the tools for highly flexible tax workpaper organization. Its wide array of tickmarks and annotations are tax return preparation specific.
Additionally, multi-page PDFs are automatically split so each page can be bookmarked separately in SPbinder. Workpapers CS’s functionality is far more rigid, forcing users to instead drag and drop individual PDF documents into separate folders for organization.
How is SPbinder different from ProSystem fx Engagement?
SPbinder is specifically designed for tax return preparation while ProSystem fx Engagement is intended for trial balance-based engagements (financial statement work such as compilations, reviews and audits). SPbinder gives users the tools for highly flexible tax workpaper organization. It’s wide array of tickmarks and annotations are tax return preparation specific whereas ProSystem fx Engagement’s are designed for trial balance work.
Additionally, multi-page PDFs are automatically split so each page can be bookmarked separately in SPbinder. ProSystem fx Engagement’s functionality is far more rigid, forcing users to instead drag and drop individual PDF documents into separate folders for organization.
Which institutions can my clients link to their TaxCaddy accounts?
Acura Financial Services
ADP Payroll Workcenter
ADP Run Payroll
ADP TotalSource Retirement
ADP Workforce Now
All South Federal Credit Union
Alliant Credit Union
Amarillo National Bank
Amegy Bank Mortgage
American Bank Waco
American Education Services (AES)
American Express Personal Savings
American Funds Retirement
Arizona Central Credit Union
Arizona Federal Credit Union
Aspire Federal Credit Union
Associated Credit Union
Astoria Federal Savings Mortgage
Atlantic Capital Bank
Atlantic Stewardship Bank
Audi Financial Services
Bank Leumi USA
Bank of Albuquerque
Bank of Albuquerque Mortgage
Bank of America
Bank of Arizona
Bank of Arizona Mortgage
Bank of Arkansas
Bank of Arkansas Mortgage
Bank of Colorado Business
Bank of Hawaii
Bank of Hawaii Mortgage
Bank of Kansas City
Bank of Oklahoma
Bank of Oklahoma Mortgage
Bank of Stockton
Bank of Texas
Bank of Texas Mortgage
Bank of the West
Barclays Online Banking
BMO Harris Bank
BMW Financial Services
Boeing Employee’s Credit Union
Boston Firefighters Credit Union
Bryn Mawr Trust
Cal HFA Mortgage
Cap Com Federal Credit Union
Cardinal Financial Mortgage
Centris FCU Mortgage
Ceridian Self Service
Chelsea State Bank
Chino Commercial Cash Management
CIT Bank Mortgage
Citi Wealth Management
City National Bank
City of Los Angeles Retirement
City of Mesa Retirement
Coastal Community Teachers Credit Union
Coastal Federal Credit Union
College Choice Advisors 529
College Choice Direct
College Invest Direct
College Save 529
College Saving Iowa
Colorado State Bank and Trust
Comerica Bank Mortgage
Community Resource Credit Union
Connex Credit Union
County of Los Angeles Retirement
County of Milwaukee Retirement
Cross Country Mortgage
Delta Community Credit Union
Digital Federal Credit Union
Dort Federal Credit Union
East West Bank
Eastman Credit Union
EastWest Bank Mortgage
Elevations Credit Union
ESL Federal Credit Union
Fifth Third Bank
Fifth Third Bank Retirement
Fifth Third Securities
First Atlantic Federal Credit Union
First Bank Mortgage
First Citizens National Bank
First Community Credit Union
First County Bank
First County Bank Business
First Hawaiian Bank
First Light Federal Credit Union
First Republic Bank
First Tech Federal Credit Union
First United Bank Mortgage
Firstland Mortgage Servicing
Flagstar My Loans
Franklin American Mortgage
Franklin Templeton Investments
Front Range Bank
Fulton Bank of NJ
Georgia’s Own Credit Union
German American Bank
Global Credit Union
Goldman Sachs Wealth Management
Grandview State Bank
Great Lakes Student Loans
Great Southern Bank MS
Great West Retirement Services
Guaranteed Rate Mortgage
Guaranty Bank and Trust
Guidance Residential Mortgage
Happy State Bank
Hawaii State Federal Credit Union
Heritage Bank NW
Hiway Federal Credit Union
HomeStreet Bank Mortgage
Houston Federal Credit Union
Huntington Bank Mortgage
Hyundai Motor Finance
Indiana Members Credit Union
Indiana University Credit Union
Infiniti Financial Services
Intuit Paycheck Records
John Hancock NY Pensions
John Hancock Pensions
JP Morgan Asset Management
Kia Motors Finance
Kitsap Credit Union
Lake Trust Credit Union
LaSalle St Securities
Learning Quest 529
Lexus Financial Services
Library of Congress Federal Credit Union
Lincoln Financial Advisors
Lincoln Financial Securities
M&T Bank Mortgage
Mass SMART Retirement
Matadors Community Credit Union
Mercedes-Benz Financial Services
Merrill Lynch Wealth Management
Merrimack County Savings
Michigan Mutual Mortgage
Middlesex Savings Bank
Missouri Most 529
Montana Saves 529
Montgomery County Employees Federal Credit Union
Morgan Stanley Wealth Management
Mr. Cooper Mortgage
My First Farmers
Navy Federal Credit Union
NCSE Credit Union
NE Federal Credit Union
Neighborhood Credit Union
New American Funding
NIH Federal Credit Union
Nissan Motor Finance
Northwestern Mutual Investments
NYC DCP Retirement
NY’s 529 Direct
Ocean First Bank
Ohio College Advantage 529
Oppenheimer Wealth Management
Opus Bank Business
PA 529 College Savings
Park Avenue Securities
Pen Air Federal Credit Union
Penn State Hershey Retirement
Pentagon Federal Credit Union
People First Federal Credit Union
People’s United Bank
Pinnacle Bank Business
Pinnacle Bank SC
Power Financial Credit Union
Premier America Credit Union
Principal Financial Personal
Prosperity Bank TX
RBC Bank Mortgage
Redstone Federal Credit Union
Rhode Island Housing Mortgage
Round Point Mortgage Servicing
Sallie Mae Student Loans
Service Credit Union
Signature Bank NY
Silicon Valley Bank
Silicon Valley Bank Private Banking
South Shore Bank Mortgage
SSgA Upromise 529
State Department Federal Credit Union
State Farm Bank
State of Florida Retirement
State of Mississippi Retirement
State of South Carolina Retirement
Summit Federal Credit Union
Sunmark Federal Credit Union
Suntrust Online Cash Manager
T. Rowe Price Investment
T. Rowe Price Retirement
TD Bank Business Direct
The Gift Plan
Tower Federal Credit Union
Toyota Financial Services
Truwest Credit Union
Tyndall Federal Credit Union
UBS Wealth Management
UMB Bank HSA
Union Banc Investment
Union Bank & Trust
Union Home Mortgage
United Wholesale Mortgage
US Bank Home Mortgage
USBank Access Online
Valley National Bank
Vantage West Credit Union
Veterans United Home Loan
Washington State Employees Credit Union
Washington Trust Company
Wells Fargo Advisors
Wells Fargo Dealer Services
Wells Fargo Mortgage
Wright-Patt Credit Union
Zions Bank Business
Is the software IRS approved for electronic signatures?
Yes, TaxCaddy uses knowledge-based authentication to verify your client’s identity at the time of signing documents that require IRS-approved identity verification like the e-file authorization.
Can a client still provide hard copies of their documents even though they have a TaxCaddy account?
Yes. If you receive hard copies of documents from your client, you can scan and upload those documents directly to your client’s TaxCaddy account.
Can my clients add documents like Word and Excel or are they required to upload PDF?
Yes, your clients can upload Word, Excel, and PDF files into TaxCaddy. Additionally, when your clients receive paper documents they can use the TaxCaddy app for iPhone and Android to photo-scan and upload the documents as PDF.
Can firms who do not use other SurePrep products and services (e.g., 1040SCAN) still use TaxCaddy?
Yes, TaxCaddy features will work for standalone users as long as it is for one of the SurePrep supported tax softwares (CCH Axcess Tax, CCH ProSystem fx Tax, GoSystem Tax RS, Lacerte and UltraTax CS). Firms that do not use SurePrep supported tax software can still use TaxCaddy but some features will not be available (e.g., customized document request list). Submit the Contact Sales form for more information.
What are the system requirements?
Compatible Operating Systems:
- Windows 8
- Windows 10 or higher
Compatible Network Services:
(includes Small Business Server)
- Windows Server 2008
- Windows Server 2016
- Windows Server 2019
- Citrix Server (on Windows Server 2008 or higher)
Required MS .Net Framework:
- Version 4.5.2 or higher
Compatible Tax Software Applications:
- Axcess Tax (CCH)
- GoSystem Tax RS (Thomson Reuters)
- ProSystem fx Tax (CCH)
- Lacerte (Intuit)
- UltraTax CS (Thomson Reuters)
- Adobe Reader 9.0 or higher (or similar PDF software).
- Word and Excel 2007
- Word and Excel 2010
- Word and Excel 2013
- Word and Excel 2016
- Microsoft Office 365
- Google Chrome (v85 or higher)
- Mozilla Firefox (v81 or higher)
- Microsoft Edge (v85 or higher)
- High-speed, such as T-1, DSL, or Cable/Broadband
- 2.0 Ghz (Quad Core)
Minimum Memory (RAM):
- 8 GB RAM
- 12 GB RAM (Recommended)
- 19″ with screen resolution of 1024 x 768 or higher, (dual Monitors are recommended).
- System time should match the standard time zone.
- 300 DPI resolution
- Grayscale mode scanning
- Multi-sheet feeder
- Ability to create a PDF
- PDF files must be compatible with Adobe 9.0 and higher
- Scans 15 ppm or higher
Security for SurePrep’s 1040 tax automation solutions:
Hosted Web Servers
SurePrep’s production servers are managed by SurePrep staff and hosted by IBM at data centers in Dallas, Seattle and Washington D.C. Our servers and firewalls are monitored on a 24/7 basis. Performance reports are generated to assure maximum operational availability. Citrix NetScalar load balancing is in place to achieve the best possible system performance. Through monthly patch management, we are constantly updating our security software to protect against unauthorized access to our network systems. Daily back-ups are performed and stored off-site.
- Access limited to IBM IT staff only
- Proximity security badge access
- Individual card key access
- Digital security video surveillance
- Static free environment
- 24 X 7 NOC personnel presence
- Redundant Liebert 30-ton HVAC units
- Pre-Action dry pipe fire suppression
Network Operations Center
- Permissively neutral network
- Multi-homed connectivity with redundant 10 Gbit/s Tier 1 carriers (over 80 Gbit/s bandwidth)
- Continuous, uninterrupted operation
- N + 1 paralleled generator and UPS power systems
- IBM data centers are SAS-70 Type II and SSAE 16 certified.
SurePrep Tax Center
The SurePrep Tax Center is a Microsoft SQL based ASP application. Password protected logins restrict access to registered users. User passwords are encrypted in the SQL database and a log is maintained of all users that access the system. The SurePrep Tax Center uses 4096-bit Secure Socket Layer encryption for all data transfers. This is the same encryption technology used by banks for securing online banking transactions.
Non-disclosure / Confidentiality Agreements
All SurePrep employees in the U.S. and India are required to sign non-disclosure/confidentiality agreements. Each employee is bound by the agreement and not allowed to discuss information from engagements they are working on with anyone unless there is a question related to the preparation of the engagement. Preparers and reviewers are only allowed to request help from their direct supervisors.
SurePrep has implemented a comprehensive service center security policy that is designed to ensure the protection of data. Security measures include policies that:
- Restrict physical access to the processing and server environments.
- Ensure a paperless environment so data cannot be removed from the facility.
- Standard computer hardware and software configurations restrict access to email and Internet sites.
- Thin clients are used with centrally managed servers. No data ever resides on the diskless thin client, and provide only keyboard, video and mouse input.
- PC-based workstations do not have CD or floppy drives and USB ports are disabled.
- SurePrep is ISO 9001:2015 Certified.
- A security guard is stationed at the entrance.
- Access card required to enter the facility.
- Access card required to enter the server room. Access is restricted to the IT and service center manager.
- Returns are prepared in a paperless environment. No source documents or tax returns are printed.
- The printer in the server room is limited to printing management reports.
- Paper shredders are used by management to shred management reports.
- Briefcases and other personal belongings are not allowed in the service center.
- There are no removable media devices. PC hard drives are read only.
- No access to email
- Outlook and Outlook Express have been removed from all PC’s
- No access to internet except for:
- SurePrep site for return processing
- Global fx site for return processing
- GoSystem RS site for return processing
- RIA Checkpoint access is allowed for supervisors only
Software Configuration for PC-based Workstations
- Windows XP or 7
- MS Word and Excel
- Acrobat Reader or Bluebeam
- McAfee antivirus
- WinZip, WinRAR or PeaZip
- SurePrep processing software
- Tax processing software
What tax software must I use with your full preparation outsourcing services?
For full preparation outsourcing you must use either CCH Axcess Tax, CCH ProSystem fx Tax, GoSystem Tax RS, Lacerte, or UltraTax CS.
What tax software does 1040SCAN integrate with?
What is the turnaround time for 1040SCAN?
An average return with 50 pages of source documents generally takes less than 30 minutes to process.
Do I need to organize my source documents before scanning them?
Separator pages are not required, however, complete consolidated statements should be scanned in sequential order and K-1s should be scanned last. 1040SCAN ORGANIZE, 1040SCAN PRO and 1040SCANverify will do the rest of the organization for you. *SurePrep customers should refer to the Help Center for best practices.
What scanner settings should I use?
We recommend scanning in black and white at 300 DPI. Detailed scanner settings for the supported Canon and Fujitsu scanner models can be found in our customer Help Center.
Must I wait until I’ve received all of my client’s source documents before submitting a return?
No. You can submit what you have when you have it and then submit additional documents later. 1040SCAN ORGANIZE, 1040SCAN PRO, and 1040SCANverify will automatically append additional documents to the appropriate job.
Is my clients’ data ever viewed by anyone outside my firm?
1040SCAN ORGANIZE and 1040SCAN PRO are fully automated OCR software applications that do not result in your clients’ data being viewed by anyone outside your firm. If you use 1040SCANverify or our full preparation outsourcing services SurePrep’s staff will view your clients’ data in a highly secure environment while working on your returns.
Do I need training?
Yes. Although all of our solutions are intuitive and easy to use, training will ensure that you maximize the benefits of the system. We provide a wide range of training options to assist you. Please visit our training and implementation page for more details.
What type of support is provided?
Unlimited e-mail, live chat, telephone, and GoToMeeting support is provided free of charge to all current customers. Customers can contact our support department in the SurePrep Help Center: https://helpcenter.sureprep.com
Does using your software affect any client disclosure or consent requirements?
1040SCAN client disclosure and consent requirements depend on the level of service you are using. No special disclosure or consent are required if you are using 1040SCAN ORGANIZE or 1040SCAN PRO, since using these services do not result in the disclosure of client data to anyone outside your firm. Special disclosure and/or consent are only required when using 1040SCANverify or our full preparation outsourcing services.
How is SPbinder different from Adobe Acrobat?
Many of the tasks that accountants need to perform like bookmarking and organizing workpapers, signing off workpapers, merging subsequent documents like a late K-1, communicating between staff members and incorporating file types such as Microsoft Word and Excel, are difficult and time consuming in Adobe Acrobat, if you can perform them at all. SPbinder performs these and many other accounting related tasks with ease.
What kind of engagement types are appropriate for SPbinder?
SPbinder can be used on any engagement type. The organizational structure of 1040 and 1041 returns are set up automatically and custom engagement types can be created for business entity returns, compilations, reviews, audits or any other type. Binder templates can then be used to minimize set up time and to promote standardization.
What file types can I save in SPbinder?
SPbinder can contain scanned documents, PDF files, Excel schedules, Word documents, and even Outlook emails.
Can I create custom binder templates in SPbinder?
Is SPbinder integrated with 1040SCAN?
Does SurePrep offer any onshore outsourcing options?
Yes. Our onshore outsourcing option provides all of the benefits of our offshore option. Onshore processing is performed in our Irvine, California location.
How do I communicate with SurePrep’s Outsource staff?
SurePrep has developed a web-based document management tool that you will use to store your clients’ source documents electronically. This easy to use tool also allows you to enter notes and comments about your clients’ tax data that is pertinent to the preparation of the return. The SurePrep staffperson assigned to your returns will inform you of any important information about the return using the same tool.
What should I tell my clients regarding their outsourced returns?
While SurePrep’s accountants will prepare the tax returns, our role is transparent to the process from your clients’ perspective. Your firm is responsible for tax planning, reviewing and approving the return prior to delivery.
Why does SurePrep offer an offshore outsourcing option?
It is well known that many countries have highly educated English-speaking workforces. Many large accounting firms have recognized this fact and are processing their US clients’ tax returns offshore to lower costs and improve client service. SurePrep continually strives to provide the highest quality and most cost effective service possible. These business practices allow us to deliver more efficient and cost-effective services to you. If our offshore option is not right for you, please consider our onshore option.
Do I have control over my clients’ files?
Yes, you are always in control. Your firm maintains the original copies of your clients’ records plus you can access the electronic files anywhere you have an internet connection to see the status of each return. Once the return is complete, it is securely transmitted to you in a file format compatible with your tax software. If necessary, the return can easily be modified online by your staff or your SurePrep team.
How are SurePrep’s outsourcing services priced?
Standard pricing for SurePrep’s tax preparation services are based on the complexity of the return. Please Contact Sales for detailed pricing information.
What are the advantages of outsourcing tax preparation with SurePrep?
SurePrep offers numerous advantages including increased availability of qualified personnel, faster turnaround time, secure online access, and higher customer satisfaction. But the most important advantage is cost. By outsourcing the preparation of tax returns to SurePrep you can save up to 50 percent over what it is costing you now. At the same time, you can reduce, or even eliminate, your need to increase staff during peak tax season. In addition, by capturing and storing all your clients’ tax information in electronic format, you will be able to take advantage of the latest technology to improve workflow, speed your tax preparation process, and take your firm paperless.
How do SurePrep’s offshore staff stay current on US tax laws?
SurePrep’s Chartered Accountants are professionals who have been specially trained in US tax law. They maintain proficiency through ongoing classes conducted live by US tax professionals that educate them on the latest changes in tax code.
How does SurePrep safeguard the security of my clients’ data?
Client tax information is electronically shared on secure SurePrep servers utilizing the latest data encryption technology. SurePrep servers are located in redundant SSAE 16 certified Internet Data Centers located in the continental US. All information is maintained online and a log entry is automatically generated each time it is accessed. In addition, SurePrep accountants are bound by comprehensive non-disclosure agreements that require complete confidentiality. For additional information please visit the Security page.