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VA Technical Reference Model v 25.7

Serv-U File Server

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:	The Serv-U Managed File Transfer (MFT) enhances security and control over file transfers in and outside of a client organization. This entry covers the complete version (Gold Edition) of the product which includes: Secure File Transport Protocol (SFTP), Secure Web Client (HTTPS), Secure File Sharing (Ad Hoc File Transfer), Web and iPad Administration, Events and Notification, Active Directory or Lightweight Directory Access Protocol (LDAP) Authentication, Branding, Database (DB) Integration and File Transport Protocol Voyager JV. This entry covers the Desktop Edition of this technology and not any mobile versions. See Category tab/Comparable for the corresponding Mobile entry. Note: The implementation of mobile technology applications that operate on Mobile Operating Systems must be reviewed and authorized by the Mobile Technology and Endpoint Security Engineering Team: http://vaww.eie.va.gov/SysDesign/CS/MT/default.aspx
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 System Security Officer (ISSO), 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 been assessed by the Section 508 Office and found non-conformant. 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. Please see reference tab for more information concerning product versions.
Decision:	View Decisions

Decision Source:	TRM Mgmt Group
Decision Process:	One-VA TRM v23.4
Decision Date:	04/10/2023 at 03:24:13 UTC
Aliases:	Serv-U FTP Server; Serv-U MFT Server; Serv-U Gateway
Introduced By:	TRM Request
Vendor Name:	SolarWinds

Vendor Release Information

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

You must be logged into the RSAA website prior to clicking the Attestation URLs or the URLs won't open.

Major versions and minor versions of that Major released on or after 09/14/2022 are NOT EXEMPT. Major Versions released before 09/14/2022 are EXEMPT as well as minor versions of that Major regardless of release date.

Version	Release Date	Vendor End of Life Date	Vendor Desupport Date
1.x
2.x
3.x
4.x
5.x
6.x
7.x
8.x
9.x
10.x
11.x
12.x	05/08/2012
14.x	11/10/2012
15.x	12/03/2017

Current Decision Matrix (04/04/2023)

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 System Security Officer (ISSO), 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 VAIT 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.

Legend:

White	Authorized: The technology/standard has been authorized for use.
Yellow	Authorized 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	Authorized w/ Constraints (POA&M): 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	Authorized w/ Constraints (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 unauthorized may be found on the Decision tab for the specific entry.
Black	Unauthorized: The technology/standard is not (currently) permitted to be used under any circumstances.
Blue	Authorized w/ Constraints (PLANNING/EVALUATION): 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 authorized 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 authorized 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.

Any major.minor version that is not listed in the VA Decision Matrix is considered Authorized w/ Constraints (POA&M).

<Past

CY2018

CY2019

CY2020

Future>

Release

1.x

Prohibited

2.x

Prohibited

3.x

Prohibited

4.x

Prohibited

5.x

Prohibited

6.x

Prohibited

7.x

Prohibited

8.x

Prohibited

9.x

Prohibited

10.x

Prohibited

11.x

Prohibited

12.x

Unapproved

14.x

Unapproved

15.x

Approved w/Constraints
[8, 9, 10]

Approved w/Constraints
[8, 9, 11]

Approved w/Constraints
[7, 8, 12, 13]

Approved w/Constraints
[7, 8, 13, 14]

Note:

At the time of writing, version 15.3.2 is the most current version, released 12/15/2022.

Decision Constraints


[7]	Users should check with their supervisor, Information Security Office (ISO) or local OIT representative for permission to download and use this software. Downloaded software must always be scanned for viruses prior to installation to prevent adware or malware. Freeware may only be downloaded directly from the primary site that the creator of the software has advertised for public download and user or development community engagement. Users should note, any attempt by the installation process to install any additional, unrelated software is not authorized and the user should take the proper steps to decline those installations.

[8]	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.

[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. Only the MFT edition of this product is certified for use with VA sensitive data. The FTP edition may NOT be used to transfer VA sensitive data. If free trialware is utilized, the software must be purchased or removed at the end of the trial period. Technology must remain patched and operated in accordance with Federal and Department security policies and guidelines in order to mitigate known and future security vulnerabilities.

[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]	This technology should only be used when required by a Veterans Affairs (VA) business partner for an authorized 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.

[12]	The use of mobile technology applications that operate on Mobile Operating Systems must be reviewed and authorized by the Mobile Technology and Endpoint Security.

[13]	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.

[14]	The use of mobile technology applications that operate on Mobile Operating Systems must be reviewed and authorized by the Mobile Technology and Endpoint Security. If free trialware is utilized, the software must be purchased or removed at the end of the trial period. Users must ensure that Firefox, Google Chrome, and Microsoft Internet Explorer (IE) are implemented with VA-authorized baselines.

Type	Name	Source	Description
Vendor Provided*	Release notes		This site includes vendor provided release notes of current and previous versions.
*NOTE: Vendor provided information is subject to the accuracy of the manufacturer.

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
FTP Voyager JV Plug-in	FTP Voyager Java Version (JV) is a web client that works with Serv-U to provide the experience of an FTP client without the desktop installation. FTP Voyager JV also supports folder synchronization via the web.
Serv-U FTP Server	Serv-U File Transfer Protocol (FTP) server for Windows and Linux supports Secure Shell (SSH) FTP (SFTP), secure FTP (FTPS), web transfers, and remote admin. This edition does NOT support Federal Information Processing Standard (FIPS) 140-2 certified encryption and can NOT be used to transfer VA sensitive information.
Serv-U Gateway	Serv-U Gateway acts as a reverse proxy in demilitarized zone (DMZ) segments and prevents Serv-U deployments from ever storing data at rest in the DMZ or opening connections from the DMZ to the internal network.
Serv-U MFT Server	Serv-U Managed File Table (MFT) Server is a managed file transfer application (server and gateway) that provides FTP, SFTP and FTPS services, web transfers, and mobile support to allow employees to access their files from anywhere. This edition uses FIPS 140-2 certified encryption modules and can be used in VA to transfer sensitive information.
Web Client Pro Plug-In	Web Client Pro Plug-In is a basic web client that ships with all editions of Serv-U that allows people to transfer or delete multiple files at once and to upload very large files.


Network and Telecommunications Transport	Wide Area Network (WAN)
Network and Telecommunications Transport	Local/Campus Area Network (LAN/CAN)

General Analysis

Adoption Benefits

This technology supports SFTP (Secure Shell (SSH)), secure File Transfer Protocol (FTPS), web transfers, and remote admin.
This technology is Federal Information Processing (FIPS) 140-2 compliant.
This is a well-documented technology.

Adoption Risks

This technology can potentially use File Transfer Protocol (FTP), an unapproved protocol.
There are known Common Vulnerabilities and Exposures (CVEs) associated with this technology. Please see NVD - Results (nist.gov) for more details.
There are other authorized 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 has a free trial period, which carries the potential for the disruption of service delivery and inaccurate financial planning.
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.

Architectural Benefits

The technology is contained in the Office of Information and Technology Infrastructure Architecture.
This technology is portable as it runs on multiple TRM-authorized operating systems

- The information contained on this page is accurate as of the Decision Date (04/10/2023 at 03:24:13 UTC).

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VA Technical Reference Model v 25.7

General Information

Vendor Release Information

Current Decision Matrix (04/04/2023)

Decision Constraints

References

Technology Components

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Operating Systems Supported by the Technology

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General Analysis

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VA Technical Reference Model v 25.7

General Information

Vendor Release Information

Current Decision Matrix (04/04/2023)

Decision Constraints

References

Technology Components

VA Categories View the VA Categorization Framework

Operating Systems Supported by the Technology

Technologies/Standards Relationships

Runtime Dependencies:

Optional Dependencies:

Comparable Technologies:

Companion Technologies/Supported Standards:

General Analysis

Adoption Benefits

Adoption Risks

Architectural Benefits

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VA Categories

View the VA Categorization Framework