International Business Machine (IBM) Sterling Connect:Direct

General Information

Technologies must be operated and maintained in accordance with Federal and Department security and privacy policies and guidelines. More information on the proper use of the TRM can be found on the TRM Proper Use Tab/Section.

Website:	Go to site
Description:	International Business Machine (IBM) Sterling Connect:Direct is a secure, point-to-point file transfer solution that provides high volume data delivery of files within and between enterprises. This product can eliminate dependency on unreliable File Transfer Protocol (FTP) transfers. The TRM decisions in this entry only apply to technologies and versions owned, operated, managed, patched, and version-controlled by VA. This includes technologies deployed as software installations on VMs within VA-controlled cloud environments (e.g., VA Enterprise Cloud (VAEC)). Cloud services provided by the VAEC, which are listed in the VAEC Service Catalog, and those controlled and managed by an external Cloud Service Provider (i.e., SaaS) are not in the purview of the TRM. For more information on the use of cloud services and cloud-based products within VA, including VA private clouds, please see the Enterprise Cloud Solutions Office (ECSO) Portal at: https://dvagov.sharepoint.com/sites/OITECSO
Technology/Standard Usage Requirements:	Users must ensure their use of this technology/standard is consistent with VA policies and standards, including, but not limited to, VA Handbooks 6102 and 6500; VA Directives 6004, 6513, and 6517; and National Institute of Standards and Technology (NIST) standards, including Federal Information Processing Standards (FIPS). Users must ensure sensitive data is properly protected in compliance with all VA regulations. Prior to use of this technology, users should check with their supervisor, Information Security Officer (ISO), Facility Chief Information Officer (CIO), or local Office of Information and Technology (OI&T) representative to ensure that all actions are consistent with current VA policies and procedures prior to implementation.
Section 508 Information:	This technology has not been assessed by the Section 508 Office. The Implementer of this technology has the responsibility to ensure the version deployed is 508-compliant. Section 508 compliance may be reviewed by the Section 508 Office and appropriate remedial action required if necessary. For additional information or assistance regarding Section 508, please contact the Section 508 Office at Section508@va.gov.
Decision:	View Decisions

Decision Source:	TRM Mgmt Group
Decision Process:	One-VA TRM v23.3
Decision Date:	03/16/2023 at 03:46:28 UTC
Aliases:	Connect Direct
Introduced By:	TRM Request
Vendor Name:	International Business Machines (IBM)

Vendor Release Information

The Vendor Release table provides the known releases for the TRM Technology, obtained from the vendor (or from the release source).

Version	Release Date	Vendor Desupport Date
3.4.X - OpenVMS	06/01/2007	12/31/2013
3.5.X - OpenVMS	11/23/2010
3.6.X - OpenVMS	07/01/2011
4.0.X - UNIX	11/06/2008	07/31/2016
4.1.X - UNIX	07/01/2011	09/30/2017
4.2.X - UNIX	05/30/2014
4.3.X - UNIX	03/09/2018
6.0.X - UNIX	03/21/2019
4.5.X - Windows	01/21/2010	07/31/2016
4.6.X - Windows	12/05/2011	09/30/2017
4.7.X - Windows	05/30/2014
6.0.X - Windows	03/21/2019
5.0.X - z/OS	07/01/2010
5.1.X - z/OS	07/01/2011
5.2.X - z/OS	09/17/2015	09/30/2021
6.0.X - z/OS	03/21/2019
6.1.X	02/27/2021
6.2.X	11/22/2022

Current Decision Matrix (03/14/2023)

Users must ensure their use of this technology/standard is consistent with VA policies and standards, including, but not limited to, VA Handbooks 6102 and 6500; VA Directives 6004, 6513, and 6517; and National Institute of Standards and Technology (NIST) standards, including Federal Information Processing Standards (FIPS). Users must ensure sensitive data is properly protected in compliance with all VA regulations. Prior to use of this technology, users should check with their supervisor, Information Security Officer (ISO), Facility Chief Information Officer (CIO), or local Office of Information and Technology (OI&T) representative to ensure that all actions are consistent with current VA policies and procedures prior to implementation.

The VA Decision Matrix displays the current and future VA IT position regarding different releases of a TRM entry. These decisions are based upon the best information available as of the most current date. The consumer of this information has the responsibility to consult the organizations responsible for the desktop, testing, and/or production environments to ensure that the target version of the technology will be supported. Any major.minor version that is not listed in the VA Decision Matrix is considered unapproved for use.

Legend:

White	Approved: The technology/standard has been approved for use.
Yellow	Approved w/Constraints: The technology/standard can be used within the specified constraints located below the decision matrix in the footnote[1] and on the General tab.
Gray	Unapproved: This technology or standard can be used only if a POA&M review is conducted and signed by the Authorizing Official Designated Representative (AODR) as designated by the Authorizing Official (AO) or designee and based upon a recommendation from the POA&M Compliance Enforcement, has been granted to the project team or organization that wishes to use the technology.
Orange	Divest: VA has decided to divest itself on the use of the technology/standard. As a result, all projects currently utilizing the technology/standard must plan to eliminate their use of the technology/standard. Additional information on when the entry is projected to become unapproved may be found on the Decision tab for the specific entry.
Black	Prohibited: The technology/standard is not (currently) permitted to be used under any circumstances.
Blue	Planning/Evaluation Constraint:The period of time this technology is currently being evaluated, reviewed, and tested in controlled environments. Use of this technology is strictly controlled and not available for use within the general population. If a customer would like to use this technology, please work with your local or Regional OI&T office and contact the appropriate evaluation office displayed in the notes below the decision matrix. The Local or Regional OI&T office should submit an inquiry to the TRM if they require further assistance or if the evaluating office is not listed in the notes below.

Release/Version Information:

VA decisions for specific versions may include a ‘.x’ wildcard, which denotes a decision that pertains to a range of multiple versions.

For example, a technology approved with a decision for 7.x would cover any version of 7.(Anything) - 7.(Anything). However, a 7.4.x decision would cover any version of 7.4.(Anything), but would not cover any version of 7.5.x or 7.6.x on the TRM.

VA decisions for specific versions may include ‘+’ symbols; which denotes that the decision for the version specified also includes versions greater than what is specified but is not to exceed or affect previous decimal places.

For example, a technology approved with a decision for 12.6.4+ would cover any version that is greater than 12.6.4, but would not exceed the .6 decimal ie: 12.6.401 is ok, 12.6.5 is ok, 12.6.9 is ok, however 12.7.0 or 13.0 is not.

<Past

CY2018

CY2019

CY2020

Future>

Release

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

3.4.X - OpenVMS

Unapproved

3.5.X - OpenVMS

Unapproved

3.6.X - OpenVMS

Unapproved

4.0.X - UNIX

Unapproved

4.1.X - UNIX

Unapproved

4.2.X - UNIX

Approved w/Constraints
[5, 9, 10]

Approved w/Constraints
[5, 9, 10, 11]

Divest
[5, 9, 10, 12, 13, 14]

Divest
[5, 9, 13, 14, 15]

Divest
[5, 9, 13, 15, 16]

Divest
[5, 9, 10, 13, 15, 16, 17]

Unapproved

4.3.X - UNIX

Unapproved

Divest
[5, 9, 10, 12, 13, 14]

Divest
[5, 9, 13, 14, 15]

Divest
[5, 9, 13, 15, 16]

Divest
[5, 9, 10, 13, 15, 16, 17]

Unapproved

6.0.X - UNIX

Unapproved

Approved w/Constraints
[5, 9, 10, 12, 13, 14]

Approved w/Constraints
[5, 9, 13, 14, 15]

Approved w/Constraints
[5, 9, 13, 15, 16]

Divest
[5, 9, 10, 13, 15, 16, 17]

4.5.X - Windows

Unapproved

4.6.X - Windows

Divest
[5, 9, 10]

Unapproved

4.7.X - Windows

Approved w/Constraints
[5, 9, 10]

Approved w/Constraints
[5, 9, 10, 11]

Divest
[5, 9, 10, 12, 13, 14]

Divest
[5, 9, 13, 14, 15]

Divest
[5, 9, 13, 15, 16]

Divest
[5, 9, 10, 13, 15, 16, 17]

Unapproved

6.0.X - Windows

Unapproved

Approved w/Constraints
[5, 9, 10, 12, 13, 14]

Approved w/Constraints
[5, 9, 13, 14, 15]

Approved w/Constraints
[5, 9, 13, 15, 16]

Divest
[5, 9, 10, 13, 15, 16, 17]

5.0.X - z/OS

Unapproved

5.1.X - z/OS

Divest
[5, 9, 10]

Unapproved

5.2.X - z/OS

Divest
[5, 9, 10]

Approved w/Constraints
[5, 9, 10]

Approved w/Constraints
[5, 9, 10, 11]

Divest
[5, 9, 10, 12, 13, 14]

Divest
[5, 9, 13, 14, 15]

Divest
[5, 9, 13, 15, 16]

Divest
[5, 9, 10, 13, 15, 16, 17]

Unapproved

6.0.X - z/OS

Unapproved

Approved w/Constraints
[5, 9, 10, 12, 13, 14]

Approved w/Constraints
[5, 9, 13, 14, 15]

Approved w/Constraints
[5, 9, 13, 15, 16]

Divest
[5, 9, 10, 13, 15, 16, 17]

6.1.X

Unapproved

Approved w/Constraints
[5, 9, 10, 13, 15, 16, 17]

6.2.X

Unapproved

Decision Constraints


[1]	Known security vulnerabilities must be properly remediated prior to product deployment. Product must remain properly patched per Federal and Department standards in order to mitigate known and future security vulnerabilities. Additionally, if PII/PHI/VA sensitive information is involved, FIPS 140-2 certified encryption (Connect Direct Secure Plus Option) must be used to encrypt data in transit and the technology must be implemented within the VA production network (not in a DMZ) or additional mitigating controls must be documented in an approved System Security Plan (SSP).

[2]	Known security vulnerabilities must be properly remediated prior to product deployment. Product must remain properly patched per Federal and Department standards in order to mitigate known and future security vulnerabilities. Per VA Handbook 6500, Federal Information Processing Standards (FIPS) 140-2 certified encryption (Connect Direct Secure Plus Option) must be used to encrypt data in transit and at rest if Personally Identifiable Information (PII), Protected Health Information (PHI) or VA sensitive information is involved or additional mitigating controls must be documented in an approved System Security Plan (SSP). Additionally the technology must be implemented within the VA production network (not in a Demilitarized Zone (DMZ)) unless those specific uses and instances of this technology are approved by the Enterprise Security Change Control Board (ESCCB) along with a Memorandum of Understanding and Interconnection Security Agreements (MOU/ISA) which detail the security requirements for those users and systems that share information and resources outside of the VA production network.

[3]	Known security vulnerabilities must be properly remediated prior to product deployment. Product must remain properly patched per Federal and Department standards in order to mitigate known and future security vulnerabilities. Per VA Handbook 6500, Federal Information Processing Standards (FIPS) 140-2 certified encryption (Connect Direct Secure Plus Option) must be used to encrypt data in transit and at rest if Personally Identifiable Information (PII), Protected Health Information (PHI) or VA sensitive information is involved or additional mitigating controls must be documented in an approved System Security Plan (SSP). Additionally the technology must be implemented within the VA production network (not in a Demilitarized Zone (DMZ)) unless those specific uses and instances of this technology are approved by the Enterprise Security Change Control Board (ESCCB) along with a Memorandum of Understanding and Interconnection Security Agreements (MOU/ISA) which detail the security requirements for those users and systems that share information and resources outside of the VA production network.

[4]	Per the May 5th, 2015 memorandum from the VA Chief Information Security Officer (CISO) FIPS 140-2 Validate Full Disk Encryption (FOE) for Data at Rest in Database Management Systems (DBMS) and in accordance with Federal requirements and VA policy, database management must use Federal Information Processing Standards (FIPS) 140-2 compliant encryption to protect the confidentiality and integrity of VA information at rest at the application level. If FIPS 140-2 encryption at the application level is not technically possible, FIPS 140-2 compliant full disk encryption (FOE) must be implemented on the hard drive where the DBMS resides. Appropriate access enforcement and physical security control must also be implemented. All instances of deployment using this technology should be reviewed to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. It is the responsibility of the system owner to work with the local CIO (or designee) and Information Security Officer (ISO) to ensure that a compliant DBMS technology is selected and that if needed, mitigating controls are in place and documented in a System Security Plan (SSP).

[5]	Due to National Institute of Standards and Technology (NIST) identified security vulnerabilities, extra vigilance should be applied to ensure the versions remain properly patched to mitigate known and future vulnerabilities. The local ISO can provide assistance in reviewing the NIST vulnerabilities.

[6]	Per VA Handbook 6500, Federal Information Processing Standards (FIPS) 140-2 certified encryption (Connect Direct Secure Plus Option) must be used to encrypt data in transit and at rest if Personally Identifiable Information (PII), Protected Health Information (PHI) or VA sensitive information is involved or additional mitigating controls must be documented in an approved System Security Plan (SSP). Additionally the technology must be implemented within the VA production network (not in a Demilitarized Zone (DMZ)) unless those specific uses and instances of this technology are approved by the Enterprise Security Change Control Board (ESCCB) along with a Memorandum of Understanding and Interconnection Security Agreements (MOU/ISA) which detail the security requirements for those users and systems that share information and resources outside of the VA production network.

[7]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500.

[8]	In cases where the technology is used for external connections, a full Enterprise Security Change Control Board (ESCCB) review is required in accordance VA Directive 6004 , VA Directive 6517, and VA Directive 6513. The local ISO can advise on the ESCCB review process.

[9]	Veterans Affairs (VA) users must ensure VA sensitive data is properly protected in compliance with all VA regulations. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500.

[10]	In cases where the technology is used for external connections, a full Enterprise Security Change Control Board (ESCCB) review is required in accordance VA Directive 6004 , VA Directive 6517, and VA Directive 6513. The local ISO can advise on the ESCCB review process.

[11]	Secure Plus option must be used when PII/PHI/VA sensitive information is involved.

[12]	Users must ensure that they are using TRM-approved protocols in conjunction with this software.

[13]	Per the May 5th, 2015 memorandum from the VA Chief Information Security Officer (CISO) FIPS 140-2 Validate Full Disk Encryption (FOE) for Data at Rest in Database Management Systems (DBMS) and in accordance with Federal requirements and VA policy, database management must use Federal Information Processing Standards (FIPS) 140-2 compliant encryption to protect the confidentiality and integrity of VA information at rest at the application level. If FIPS 140-2 encryption at the application level is not technically possible, FIPS 140-2 compliant full disk encryption (FOE) must be implemented on the hard drive where the DBMS resides. Appropriate access enforcement and physical security control must also be implemented. All instances of deployment using this technology should be reviewed to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. It is the responsibility of the system owner to work with the local CIO (or designee) and Information Security Officer (ISO) to ensure that a compliant DBMS technology is selected and that if needed, mitigating controls are in place and documented in a System Security Plan (SSP).

[14]	Due to potential information security risks, cloud based technologies may not be used without the approval of the Enterprise Cloud Solution Office (ECSO). This body is in part responsible for ensuring organizational information, Personally Identifiable Information (PII), Protected Health Information (PHI), and VA sensitive data are not compromised. (Ref: VA Directive 6004, VA Directive 6517, VA Directive 6513 and VA Directive 6102).

[15]	This technology should only be used when required by a Veterans Affairs (VA) business partner for an approved VA Project. Use of this technology must comply with ESCCB requirements which include: Signed Interconnection Agreements/Memorandum of Understanding agreements (MOU/ISA) with each external business partner, compliance with VA Handbook 6500, and must implement appropriate National Institute of Standards and Technology (NIST) Federal Information Processing Standards (FIPS) requirements for all devices interacting with this technology. All instances of deployment using this technology should be reviewed by the local ISO (Information Security Officer) to ensure compliance with VA Handbook 6500 and National Institute of Standards and Technology (NIST) standards. As of January 27th, 2017, Risk-based Decisions (RBD) will be handled per VAIQ # 7769667. In cases where the technology is used for external connections, a full Enterprise Security Change Control Board (ESCCB) review is required in accordance VA Directive 6004, VA Directive 6517 and VA Directive 6513. The local ISO can advise on the ESCCB review process and ensure privacy of information compliance protections are in place.

[16]	Due to potential information security risks for cloud-based technologies, users should coordinate closely with their facility ISSO for guidance and assistance on cloud products. If further guidance is needed contact the Enterprise Cloud Solution Office (ECSO), which is the body responsible for new software development in and migration of existing systems to the VA Enterprise Cloud (VAEC) and ensuring organizational information, Personally Identifiable Information (PII), Protected Health Information (PHI), and VA sensitive data are not compromised within the VAEC. For information about Software as a Service (SaaS) products or to submit a SaaS product request with the Project Special Forces (SPF) team, please use their online form. (Ref: VA Directive 6004, VA Directive 6517, VA Directive 6513 and VA Directive 6102).

[17]	The File Transfer Protocol (FTP) features of this software must not be used as the FTP protocol is prohibited for use on the VA network. Users must ensure that Microsoft Structured Query Language (SQL) Server and PostgreSQL are implemented within VA-approved baselines.

Note:

At the time of writing, version 6.2.0.4 is the latest version of this technology, released 02/02/2023.

References

The following reference(s) are associated with this entry:
Type	Name	Source	Description
Edition	Release Information		This link provides the latest release information for International Business Machine (IBM) Sterling Connect:Direct.

Technology Components

Note: This list may not be complete. No component, listed or unlisted, may be used outside of the technology in which it is released. The usage decision for a component is found in the Decision and Decision Constraints.
Name	Description
IBM Control Center	IBM Control Center tracks the critical events across the B2B and managed file transfer (MFT) software for improved operations, customer service and B2B governance. It applies rules to alert audiences when there is a problem with a server, process or transfer. Actionable dashboards are customized for various types of users, including operations staff; IT governance, risk and compliance (GRC) professionals; and line-of-business (LOB) customer service representatives.
IBM Sterling B2B Integrator	IBM Sterling B2B Integrator helps users securely integrate complex B2B processes with partner communities.
IBM Sterling Connect:Direct FTP+	IBM Sterling Connect:Direct FTP+ extends Connect Direct and Secure Plus protocols to allow for secure upgrade of existing FTP connections. Note: Secure Plus features must be used when Personally Identifiable Information (PII), Protected Health Information (PHI) or VA sensitive information is being transferred.
IBM Sterling File Accelerator	IBM Sterling File Accelerator provides enhancements to overcome latency issues and increase transfer speeds of large files.
IBM Sterling File Gateway	Sterling File Gateway can help users increase secure and dependable file transfer with trading partners. It consolidates disparate centers of file transfer activity and facilitates the security-rich exchange of file-based data over the Internet. It helps companies avoid the risk and operational issues that can result from using loosely controlled file-transfer servers.
Secure Plus	Connect:Direct Secure Plus is an add-on that provides configurable authentication and encryption. This option of Sterling Connect:Direct enables a user to select one of three security protocols to use to secure data during electronic transmission: Transport Layer Security (TLS), Secure Sockets Layer protocol (SSL) or Station-to-Station protocol (STS).
Sterling Connect:Direct Browser User Interface Documentation	The IBM Sterling Connect:Direct Browser User Interface allows users to create, submit, and monitor Sterling Connect:Direct processes from an Internet browser.
Sterling Connect:Direct File Agent	Sterling Connect:Direct File Agent provides automated monitoring and detection capabilities to streamline processes and support unattended file management.

VA Categories View the VA Categorization Framework

Domain Area	Category	Customer Guidance	Category Locked By ELT Date
Application Technology Application and Web Server Software	Application Server Software
Systems Management Systems Management Tools	Data Center Automation Software
Network and Telecommunications Transport	Wide Area Network (WAN)

Operating Systems Supported by the Technology

Red Hat Enterprise Linux (RHEL) - Approved w/Constraints
Windows Client - Approved w/Constraints
Windows Server - Approved w/Constraints
z/OS - Approved w/Constraints

Technologies/Standards Relationships

Runtime Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

General Analysis

Adoption Benefits

The technology has a comprehensive set of documentation.
The vendor of this technology is an industry leader in the subject matter.
This vendor stated that this technology is Federal Information Processing Standard (FIPS) 140-2 compliant.

Adoption Risks

This product can be configured with a PostgreSQL Database, which currently has TRM constraints limiting its use to Red Hat Enterprise Linux (RHEL) only due to its many known security issues on other platforms.
There are other approved solutions that provide similar functionality available on the TRM. The use of several similar solutions may increase organization requirements for support and maintenance.
This technology can integrate with and alter database technologies.
The potential exists to store Personally Identifiable Information (PII), Protected Health Information (PHI) and/or VA Sensitive data and proper security standards must be followed in these cases.
There are known Common Vulnerabilities and Exposures (CVEs) associated with this technology. Please see https://nvd.NIST.gov/vuln/search for more details.
This technology can potentially use Secure Sockets Layer (SSL), an unapproved protocol.
This technology can potentially use File Transfer Protocol (FTP), an unapproved protocol.
This technology may utilize external data connections.
Due to the rapid release schedule of this technology, the VA may be unable to update to the most recent patch and may require a deployment model requiring the use of specific versions.

Architectural Benefits

This technology can use a VA-preferred database.
This technology is portable as it runs on multiple TRM-approved operating systems.

Architectural Risks

This technology includes cloud-based functionality which has potential information security risks.

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Architectural Benefits

Architectural Risks

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Technology Components

VA Categories View the VA Categorization Framework

Operating Systems Supported by the Technology

Technologies/Standards Relationships

Runtime Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

General Analysis

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Architectural Benefits

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