Secure Web Internet File Transmission Service(SWIFT) Transmitter User Guide

Overview

SWIFT is the secure file transfer system all external customers use for submitting confidential information to FTB via the Internet. SWIFT uses Axway’s Secure Transport software. Transmitters should use SWIFT for all Internet file transfers. This guide contains the information your business will need to:

• Successfully transmit data through our SWIFT system
• Request an account to use SWIFT
• Transmit files to or receive files from FTB

Browsers and Transfer Clients

Browsers

• Microsoft Edge - latest version
• Mozilla Firefox - latest version
• Apple Safari - latest version
• Google Chrome - latest version

Software for file exchange

Secure Transport (SWIFT) is expected to work properly with any client or server software which complies with:

Protocol	CIT / SIT	Standard Details
FTP(S)	CIT, SIT	RFC 959
		RFC 2228
		RFC 2389
		RFC 2428
		RFC 2640
		RFC 4217
SFTP/SCP	CIT, SIT	RFC 4251
		RFC 4252
		RFC 4253
		RFC 4254
		Draft RFC – Secure Shell Transfer Protocol
		Draft RFC – SSH File Transfer
		Protocol (draft-ietf-secsh-filexfer-04.txt)

List of certified software for file exchange

Note: Browsers connecting to SWIFT must have cookies and JavaScript enabled.

SWIFT Login Name and Password

1. Contact your FTB representative to request a SWIFT login name and password.
2. We send your SWIFT login name and temporary password to the business email address of the primary contact in two separate messages (see examples shown below).
3. Change your password the first time you access the SWIFT system.

Example of the Email with your Login Name

STATE OF CALIFORNIA
FRANCHISE TAX BOARD
PO Box 1468
Sacramento CA 95812-1468

Secure Web Internet File Transfer (SWIFT) Registration Confirmation

Effective Date: MM/DD/YYYY
FTB Contact: email address

Thank you for registering to use FTB’s Secure Web Internet File Transfer (SWIFT) system. To access SWIFT, you will need a login Name and Password.

This is your login Name: XXXXXXXX

Print this message and retain for your records.

You will receive another email providing you with a temporary password that will be used with the above login Name to access the SWIFT system the first time.

If you have questions or need assistance, please call or email your FTB contact or SWIFT Technical Support.

Example of the Email with your Password

Secure Web Internet File Transfer (SWIFT) Password Confirmation

Your temporary Password is:XXXXXXXX

Your new password must:

• Not match one of your last 12 passwords
• Not be similar to your current password
• Not be similar to your logon name
• Not be similar to your name
• Not be a common password
• Not be similar to a common password
• Contain at least 4 of these character types:
  • Upper alpha
  • Lower alpha
  • Numeric
  • Special
• Not contain a character pattern like "abcde"
• Contain at least 15 characters
• Not contain more than two sets of repeating characters

You can change the password within SWIFT by using the "Forgot your password?" link.

To access SWIFT:

Connect via the Web at: https://swift.ftb.ca.gov or connect via ftps at, swift.ftb.ca.gov

If you have questions or need assistance, please call or email your FTB contact representative or SWIFTTechnicalSupport@ftb.ca.gov.

Or refer to the SWIFT manual at: /help/swift/transmitter-user-guide.html

URL Names

1. FTB accepts HTTPS, FTPS, and SFTP protocols.
   • Connect via the Web at: https://SWIFT.ftb.ca.gov
   • Connect via FTP by entering ftps://SWIFT.ftb.ca.gov in your FTPS client (e.g. FileZilla Version 3.55.1 or WinSCP Version 5.21.2).

     Note: If you use the FTPS protocol with your business firewall, use the passive port range 1024 – 2023 for outbound connections. Also use FTPS control port 21.

2. FTB prohibits using file types with the following extensions: .wav; .mov; .iso; .ai; .avi; .mpeg; .mpg; .scr; .vbs; .exe; .com; .dll; .bat; .pif; .cpl; ps1; .js; .sh; .bash; .bin; .php; .yaml; .c; .psm1; .py

   Note: All files require a file extension.

Logging In

After you access the appropriate URL, the SWIFT Login Screen will appear (see sample below). The first time you access the SWIFT system, use the user name and password previously provided.

SWIFT Main Screen

1. After entering the user name and password, the SWIFT main screen will appear (see sample below).
2. This screen displays your subscription folders.

   

3. To navigate, select the folder desired from the options presented in the left navigation pane.

   

4. To logout, click the down arrow to the right of your username in the right corner of the screen. Select the logout option from the dropdown menu.

   

5. To upload files, select the ToFTB folder.
   • The Upload button allows you to browse your computer and select files for upload.
   • You may also click and drag a file from your system into the folder.

     Note: All files need to be uploaded to the ToFTB folder.

     

6. You may also choose the transfer mode for uploading your files. If you wish to change your transfer mode you must update your transfer preferences.  You can do so by clicking the down arrow to the right of your username in the right corner of the screen. Select the Preferences option from the dropdown menu. This will populate an additional menu. From this menu select the down arrow to the right of the Transfer mode box. This will allow you to toggle your preference between Binary(.zip, .pdf, Excel, etc.) and ASCII Text (.txt, etc.).

Submitting a Transmission File

1. From the SWIFT main screen:
   • Access your preferences to verify that the transfer mode is set appropriately.
   • Select the ToFTB folder.
   • Select Upload to view the files on your computer.

• Select the file to be uploaded and click "Open" to upload your file.
  

  Note: Do not close your browser until the file has completed transferring.

  
  

• You may also upload multiple files simultaneously. After selecting the Upload button and navigating to the folder of your choice, on your system, you can select multiple files by either:
  • Selecting a range of files:
    

• Selecting individual files
  

• After successfully uploading a file, 3 options remain:
  • Transmit another file.
  • Retrieve files.
  • Logout

    Note: Uploading the file finishes the process. If you have transmitted a file in error, contact your FTB representative or SWIFT Technical Support.

Retrieving Files

1. From the SWIFT main screen, click the FromFTB subscription folder.
   • Find the file you wish to retrieve from the list and “right-click” on the file name. A drop down menu will appear.
   • Select Download to download the file.
     • You can also download the file by click directly on the filename.
   • Select Delete to delete the file.

2. All downloaded files are deleted from your SWIFT folder immediately upon download.
3. Always click the "Logout" link in the upper right corner before leaving the application and closing your browser.

Note: For full security assurance you should completely shut down your browser after logging out.

Changing Your Password

1. The first time you access SWIFT, you will be provided with a username and password when your account is constructed. It is highly recommended, for security purposes, that you change that password after your first successful login. In order to change your password you must Enroll in the password maintenance tool.
2. FTB security regulations require you to change your password annually. The SWIFT system will not prompt you when you password has expired. Passwords are good for one year and the system will allow you to reset your password within that timeframe. If your password expires, contact your FTB representative to have the password reset for you.
3. To change your password click the "Forgot your password?" link from the main SWIFT screen. This will navigate you to the SWIFT Password reset tool.

Within the Password Reset Tool you will be presented with four options:

Enroll

You must enroll into the system before you can use it to reset your password or unlock your account. To enroll you must perform the following actions:

1. Enter a username in Username Field
2. Enter an existing and valid password for the username
3. Enter a valid email address in E-mail field
4. Select an answer to each of the three unique challenge questions
5. Click on Next button

Reset

The Reset feature allows you to reset a forgotten password. In order to reset an account you must:

1. Enter your SWIFT account username

   

2. You will then be prompted to successfully answer the three challenge questions you selected during the registration process.

   

3. Once your challenge questions are successfully answered you will receive a prompt that will allow you to reset your password. You must reenter your SWIFT account username and select a new password. You must also confirm the new password and select the Next button.

   

4. The password you select must adhere to the following criteria:
   • Not match one of your last 12 passwords
   • Not be similar to your current password
   • Not be similar to your logon name
   • Not be similar to your name
   • Not be a common password
   • Not be similar to a common password
   • Contain at least 4 of these character types:
     • Upper alpha
     • Lower alpha
     • Numeric
     • Special
   • Not contain a chararcter pattern like "abcde"
   • Contain at least 15 characters
   • Not contain more than two sets of repeating characters

Unlock

The Unlock feature allows you to unlock an account if you have entered the password incorrectly too many times. In order to unlock an account you must:

1. Enter your SWIFT account username, in the Username field, and select Next.

   

2. You must then correctly answer the three challenge questions you selected during the registration process

   

3. If all challenge questions are successfully answered your account will be unlocked.

Change

The Change feature allows you to change your password if you know your current password and your account is not locked. The user DOES NOT need to be enrolled to utilize this function. In order to change your password:

1. Enter your SWIFT account username, in the Username field, and select Next.

   

2. Input your existing password in the Old Password field. Enter a new password in the New Password field. Reenter the selected new password in the Confirm Password.

   

3. The password you select must adhere to the following criteria:
   • Not match one of your last 12 passwords
   • Not be similar to your current password
   • Not be similar to your logon name
   • Not be similar to your name
   • Not be a common password
   • Not be similar to a common password
   • Contain at least 4 of these character types:
     • Upper alpha
     • Lower alpha
     • Numeric
     • Special
   • Not contain a pattern like "abcde"
   • Contain at least 15 characters
   • Not contain more than two sets of repeating characters
4. If the selected password meets the specified criteria, your password has been updated.

Password Problems

Password expired

FTB security regulations require you to change your password annually. The SWIFT system will not prompt you when you password has expired. Passwords are good for one year and the system will allow you to reset your password within that timeframe. Contact your FTB representative if your password expires.

Login error

You typed your user name or password incorrectly. If you re-enter the information and continue to receive this error, contact your FTB representative or SWIFT Technical Support for assistance.

Forgot password

Contact your FTB representative or SWIFT Technical Support.

System Maintenance Schedule

We reserve Tuesday mornings from 5 a.m. to 7 a.m. for scheduled system maintenance. We plan to consolidate all non-critical maintenance activity into this window. If you receive a transmission error during this time, please try again after 7 a.m.

Contact Information

If you have any questions or problems using the SWIFT system, contact your FTB representative or SWIFT Technical Support.