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May 19, 2005

REGION 5 ETA WORKFORCE DEVELOPMENT LETTER NO. 012-05

TO: STATE WORKFORCE AGENCY ADMINISTRATORS

FROM: Byron Zuidema
BYRON ZUIDEMA
Regional Administrator

SUBJECT:    Funding for Implementation of a UI SUTA Dumping Detection System

1.  Purpose.  To inform State workforce agencies that funds are available to implement an unemployment insurance (UI) SUTA Dumping Detection System (SDDS) developed by the U.S. Department of Labor and to provide information about how to apply for these funds.

2.   References.  Public Law (Pub. L. 108-295) No. 108-295, the “SUTA Dumping Prevention Act of 2004”; the Social Security Act (SSA); the Internal Revenue Code (IRC), including the Federal Unemployment Tax Act (FUTA); Unemployment Insurance Program Letters (UIPLs) No. 34-02, No. 30-04, and No. 30-04, Change 1.

3.  Links.  This Letter is in the Region 5 website archive at: http://doleta.gov/regions/reg05/pages/libraryissuances.cfm

4.   Background.  SUTA Dumping Prevention Act refers to tax rate manipulation, as practiced by some employers and recommended by some financial advisors, in order to pay lower State UI taxes than their unemployment experience would otherwise allow.  (“SUTA” refers to State unemployment tax act.)

The SUTA Dumping Prevention Act of 2004 (the Act) amended the SSA to add Section 303(k), establishing a nationwide minimum standard for detecting and preventing SUTA Dumping.  States are required to amend their UI laws to conform to this new requirement.

5.  SDDS Developed by the DOL.  To assist States to detect SUTA Dumping activities, DOL entered into a cooperative agreement with the North Carolina Employment Security Commission (NCESC) to develop a SDDS that can be installed and implemented by all States at minimal cost.  The resulting DOL SDDS is a server-based system with a browser interface that compares extract data from States’ mainframe tax systems to a variety of criteria that may indicate tax rate manipulation (SUTA Dumping) activity.

Seven States (North Carolina, Nebraska, Rhode Island, Texas, Utah, Virginia, and Washington) tested the SDDS application in February 2005; it is ready for distribution once a licensing agreement is signed by each interested State.  As soon as licensing agreements are obtained from interested States, the software and users’ manual will be distributed to those States at no cost. 

States choosing to use the DOL SDDS system will also be offered technical assistance and support for the implementation and operation of the system through the UI Information Technology Support Center (ITSC) and the NCESC.  Technical assistance will be provided for procurement of necessary hardware, installation and configuration, programming of related extract files, and enhancements made to the DOL SDDS application through Fiscal Year (FY) 2007.

6.  Funding and Specifications.  FY 2005 supplemental funding is available for SDDS implementation, including technical support and training related to SUTA Dumping activities.  States choosing to use the DOL SDDS will be provided funding to procure the necessary hardware and software and for installation of the application as well as technical support.  Funding will also be provided to States for training related to the SDDS as well as enforcement of the new legal provisions related to SUTA Dumping.

A State that decides to purchase or develop its own SUTA Dumping detection system may request funds for the necessary related hardware/software, technical support, and training.  However, the requested funds cannot be an amount greater than that which the State would be entitled to receive for the DOL SDDS.  States may request funding as follows:

  • Up to $13,000 to develop the necessary programs to generate the nine (9) extract files used by the DOL SDDS application.  Technical specifications for the extract files are detailed in Attachment 1.  States opting to develop their own SUTA Dumping detection system may request this portion of funding for equivalent work, if appropriate.

  • Up to $14,000 (small State), up to $22,000 (mid-size State), and up to $40,000 (large State) to purchase the appropriate hardware configuration specified in Attachment 2, General Specifications for the SUTA Dumping Detection System (SDDS) Hardware and Software Configurations.  The funding level is determined by the configuration size of the State as indicated in Attachment 3, List of State Size Configuration Classifications.  Because of the amount of data that a State’s system must be capable of processing, States must agree to procure a system consistent with the specifications identified for their size State.  It is strongly recommended that States not deviate from the specified configurations as it may adversely impact the supportability of the DOL SDDS software.  States opting to develop their own SUTA Dumping detection system may request this portion of funding up to the funding level indicated above based on State size.

  • Up to $9,000 for Information Technology (IT) costs for implementation and configuration of the hardware and software needed to run the DOL SDDS application.  States opting to develop their own SUTA Dumping detection system may request this portion of funding for equivalent work, if appropriate.

  • Up to $25,000 for staff training regarding the implementation and/or enforcement of new State SUTA Dumping law provisions.  This training may include costs for staff to participate in the SUTA Dumping training and workshops offered in connection with the National UI Tax Conference in August 2005.

  • In addition to the extract file development, implementation, and hardware and software costs, each State requesting the DOL SDDS software will be provided funding through FY 2007 for on-going maintenance and technical support costs for the DOL SDDS software.  A technical support and maintenance program is available through the ITSC in partnership with the NCESC.  Funding levels are yet to be determined and will be announced at a later date.  However, the funding will cover the full cost of the ITSC/NCESC support program through FY 2007, and States are encouraged to accept this offer of support.  States opting not to accept the offer of ITSC/NCESC maintenance and support may request equivalent funding for their own or other maintenance and support.

7.  Supplemental Budget Request (SBR) Application.  States are encouraged to submit the SBR application for this funding by completing Attachment 4, the SBR application.  Advance funding provided to the DOL SDDS pilot States must be deducted from their SBR request(s). 

When completing the SBR application, States should:

  • Indicate the State’s name and date of the request.

  • Determine the State’s classification (small, medium, or large) from Attachment 3, the List of State Size Configuration Classifications, for the maximum SDDS start-up costs allowed the State.

  • Provide the State’s estimate, based on State size, of start-up costs in each category (not to exceed a total of $62,000).

  • Indicate the method of funding desired for technical support and maintenance.

  • Indicate the amount of funding requested for SUTA Dumping training and indicate the amount requested up to the maximum allowed.  This should include funds requested for participation in training/workshops at the 2005 National UI Tax Conference.  Individuals may register for the conference by accessing the following Internet link: http://cl.idaho.gov/portal/ICL/alias__uitax/tabID__0/DesktopDefault.aspx?init

8.  Action.  States are encouraged to take advantage of this funding opportunity and have completed SBR applications sent to the Regional Office, Attention:  Linda Mulcahey, by May 31, 2005. 

9.  Inquiries.  Questions or comments concerning SUTA dumping SBRs may be directed to Linda Mulcahey on 312.596.5434. Questions or comments about the format of this Letter may be directed to Tom Coyne on 312.596.5435.

10.  Expiration Date: May 31, 2005

11.       Attachments.

Attachment 1 – General Specifications for the SUTA Dumping Detection System (SDDS) Extract File Layout

Attachment 2 – General Specifications for the SUTA Dumping Detection System (SDDS) Hardware and Software Configurations

Attachment 3 – List of State Size Configuration Classifications

Attachment 4 – Supplemental Budget Request Application


Attachment 1

General Specifications for the SUTA Dumping Detection System (SDDS)
EXTRACT FILE LAYOUT

SUTA File Layouts

The data that is loaded into SDDS has to be extracted from its source into fixed length files. The extracts must conform to the following layouts. Fields that are indicated as “R” for Required must have data present in the extract. Fields that are specified as “O” for Optional must exist as specified in the layout but do not require actual data.  File layouts are also designated required or optional. Files that are required are needed by the SDDS loader to run successfully and represent the minimum amount of information to be provided to the system for the purpose of SUTA dumping detection. However, States should make every effort to load all specified data is available to them to gain the full benefits and features of SDDS. Limiting the amount of information loaded into the system will limit the system’s ability to accurately analyze a State’s SUTA activity for purposes of SUTA dumping detection.

Wage Records, Employer, and Employer Contacts

An extract will be created for each quarter of Wage Record, Employer data, and Employer Contacts data, to be loaded into the system. Every quarter of Wage Record data must have a corresponding quarter of Employer data and Employer Contacts data.

For example, if a State wants to load all Wage Records for the twelve quarters from 2000 Quarter 1 to 2003 Quarter 4, twelve Wage Record extract files will be created, one for each quarter, and twelve Employer Information extract files will be created, one for each quarter, and twelve Employer Contacts extract files, one for each quarter.

This section identifies and describes the input files to SDDS.  All States’ wage record files will contain the following data items:

  • Year
  • Quarter
  • Employer UI Account Number
  • Federal Employer Identification Number (EIN)
  • Social Security Number of the worker
  • Name of worker (completeness and format varies by State)
  • Wages paid by the employer to the worker

(States that collect additional data items in their wage record system, such as hours worked, worksite (reporting unit), and occupation, should not include those elements in the extract.)

The Wage Record extract is a fixed length file and must be in the format shown in Table 1.  This file is required by SDDS.

Table 1 - Wage Record File layout

Position

Short name

Description

Format

Required

1-9

SSN

SSN

9 digits, no dashes

R

10-24

Name_first

First Name

Alpha – filler needed

R

25

Name_middle

Middle initial

Alpha

R

26-45

Name_last

Last name

Alpha

R

46-47

State

State FIPS code

2 digit

R

48-57

Empr_no

UI Account Number

10 digit (left pad w/ 0s)

R

58-62

Seinunit

State UI reporting unit number

5 digit (left pad w/ 0s)  Fill with 00000 if unavailable.

R

63-71

EIN

Employer identification number

9 digit (left pad w/ 0s)

R

72-75

Year

Year YYYY

4 digit

R

76

Quarter

Quarter Q

1 digit

R

77-86

Wage

Quarterly wages paid

10 digit (no commas or $ sign)

R

Source:  Adapted from LEHD Technical Paper No. TP-2002-05 (rev), page 157.

 


Employer Information: The Employer Information extract is a fixed length file and must be in the format shown in Table 2.  This file is required by SDDS.

Table 2 – Employer Information File Layout

Position

Short name

Description

Format

Required (R) or Optional (O)

1-2

Stfips

State FIPS of the State that the file is from

Alpha2

R

3-12

UIAccount

UIAccount

Alpha 10 chars (left pad w/ 0s)

R

13-21

EIN

Federal Employer identification number

Alpha9 (left pad w/ 0s)

R

22-25

Year

Year of Employer Record

Alpha 4

R

26

Quarter

Quarter of Employer Record

Alpha 1(if a State has only annual records, the quarter is 0)

R

27-61

Name1

Primary Name of Employer

Alpha 35

R

62-96

Name2

Secondary Name of Employer

Alpha 35

O

97-131

UI Address1

1st line of address from UI block

Alpha35

O

132-166

UI Address2

2nd line of address from UI block

Alpha35

O

167-196

UI City

City of Employer from UI block

Alpha30

O

197-198

UI State

Stfips of Employer from UI block

Alpha2

O

199-203

UI Zip 5

5 digit zip code from UI block

Alpha5

O

204-207

UI Zip 4 Extension

4 digit zip code extension from UI block

Alpha4

O

208-242

Physical Address 1

1st line of address from Physical Block

Alpha35

O

243-277

Physical Address 2

2nd line of address from Physical Block

Alpha35

O

278-307

Physical City

City of Employer from Physical Block

Alpha 30

O

308-309

Physical State

Stfips of Employer

Alpha2

O

310-314

Physical Zip 5

5 digit zip code

Alpha5

O

315-318

Physical Zip 4

4 digit zip code extension

Alpha4

O

319-328

Telephone

10 digit telephone

Alpha10, no dashes

O

329-330

Ownership

Ownership Code

Alpha 2, known valid values:

10 Federal

20 State

30 Local

40 International

50 Private

O

331-334

SIC code

Industry Code SIC

Alpha 4

O

335-340

NAICS code

Industry Code NAICS

Alpha 6

O

(adjusted during v1.10 of SDDS release).


Employer Contacts File:  The Employer Contacts File extract is a fixed length file and must be in the format shown in Table 3.  This file is required by SDDS.

Table 3 - Employer Contacts File Layout

Position

Short name

Description

Format

Required (R) or Optional (O)

1-2

Stfips

State FIPS of the State that the file is from

Alpha2

R

3-12

UIAccount

UIAccount

Alpha 10 chars (left pad w/ 0s)

R

13-16

Year

Year of Employer Record

Alpha 4

R

17

Quarter

Quarter of Employer Record

Alpha 1

R

18-52

Contact Name

Contact Name

Alpha35; right pad with spaces

R

53-62

Contact Telephone

Contact Telephone

Alpha10, no dashes

O

63-71

Contact SSN

Owner/Officer SSN

Alpha9, no dashes

O

72-101

Contact Title

Contact Title

Alpha 30; right pad with spaces

O


Tax Quarter Information The Tax Quarter extract is a fixed length file and must be in the format shown in Table 4.  This file is required by SDDS.

Table 4 -Tax Quarter Information File Layout

Position

Short name

Description

Format

Required

1-2

Stfips

State FIPS

Alpha 2

R

3-12

UIaccount

UI Account Number

Alpha 10 (left pad w/ 0s)

R

13-16

Year

Year

Alpha 4, YYYY

R

17

Quarter

Quarter

Alpha 1

R

18-26

Taxpaid

Taxes Paid

Alpha 9* (left pad w/0s)

R

27-37

Totalwage

Total Wages Reported

Alpha 11* (left pad w/0s)

R

38-48

Taxwage

Taxable Wages Reported

Alpha 11* (left pad w/0s)

R

59-54

TaxRate

Tax Rate of Account

Alpha 6* (left pad w/0s)

R

55-60

Mnth1emp

Employment in first month of quarter

Alpha 6 (left pad w/0s)

R

61-66

Mnth2emp

Employment in second month of quarter

Alpha 6 (left pad w/0s)

R

67-72

Mnth3emp

Employment in third month of quarter

Alpha 6 (left pad w/0s)

R

Alpha9 can include two decimal places up to 9 characters, including the decimal point, example: 123456.89, or represent whole dollars (no decimal point or cents), example: 123456789

Alpha11 can include two decimal places up to 11 characters, including the decimal point, example: 12345678.01, or represent whole dollars (no decimal point or cents), example: 12345678901

Tax Rate, Alpha6, should include the decimal point, example: 12.456.

 

Benefit Charges File layout – The Benefits Charges extract is a fixed length file and must be in the format shown in Table 5.  This file is optional, however, if included, all fields are required.

Table 5 - Benefit Charges File layout

Position

Short name

Description

Format

Required (R) or Optional (O)

1-2

Stfips

State FIPS

Alpha 2

R

3-12

UIaccount

UI Account Number

Alpha 10 (left pad w/ 0s)

R

13-16

Year

Year

Alpha 4

R

17-18

Periodtype

01 for annual, 02 for quarterly, 03 for monthly

Alpha2

R

19-20

Period

Period, 00 if periodtype is annual

Alpha 2    

R

21-32

ChargeAmount

Total Charges Reported for the Account in a designated timeframe

Alpha 12   (includes decimal character)

R

33-42

ChargeDate

Date Charges Were Assigned to the Account

Alpha 10  MM/DD/YYYY

R

Voluntary Contributions - The Voluntary Contributions file (Table 6) is an optional, fixed length file. This section will not be activated during the setup routine if a State does not have voluntary contributions.  However, if a State intends to use the voluntary contribution part of the program, then all fields are required.

Table 6-Voluntary Contribution File Layout

Position

Short name

Description

Format

Required

1-2

Stfips

State FIPS

Alpha 2

R

3-12

UIaccount

UI Account Number

Alpha 10 (left pad w/ 0s)

R

13-16

TaxYear

Tax Year Contribution was made

Alpha 4

R

17-27

Contrib

Contribution Amount

Alpha 11

R

28-37

Contrib_Date

Contribution Date

Alpha 10 in format MM/DD/YYYY

R

 


 

Demographics File - The Demographics files is an optional, fixed length file, and, if loaded, must be in the format specified here.

Table 7 - Demographics File Layout

Position

Length

Field Name

Description

Format

Valid Values

Required (R) or Optional (O)

1-3

3

DataSourceType

Type of data source

Alpha3

WFR=Workforce Registration

UI=Unemployment Insurance

DMV=Dept of Motor Vehicles

NH=New Hires

PT=Performance Tracking

OTR=SSA/LED/Other

R

4-6

3

DataSource

The source of this data

Alpha3

State Specific.

R

7-16

10

DataSourceDate

The Date the data from this data source was generated

Alpha10

MM/DD/YYYY

R

17

1

StatusFlag

 

Alpha1

N=New Record this quarter

C=Changed Record since last quarterly run

U=Unchanged

R

18-19

2

SourceStfips

Which State did this data come from

Alpha2

State Fips

R

20-23

4

Year

Year this data represents

Alpha4

YYYY

R

24

1

Quarter

Quarter this data represents

Alpha1

if unknown pad with spaces

R

25-33

9

SSN

Social Security No

Alpha9

Alpha9 no dashes

R

34-43

10

Alternate ID

StateSpecific Alternated ID number - such as Driver License Number

Alpha10

if unknown pad with spaces

O

44-153

110

FullName

concatanation of all name fields.  Or if you have a single field with name then put it here

Alpha110

 if unknown pad with spaces

O

154-183

30

LastName

 

Alpha30

if unknown pad with spaces

R

184-213

30

FirstName

 

Alpha30

if unknown pad with spaces

R

214-243

30

MiddleName

 

Alpha30

if unknown pad with spaces

R

244-247

4

Title

 

Alpha4

if unknown pad with spaces

O

248-251

4

Suffix

 

Alpha4

if unknown pad with spaces

O

252

1

Gender

 

Alpha1

M=male

F=female

U=unknown

R

253

1

Race

 

Alpha1

1=White  

2=Black African American

3=Asian  

4=American Indian or Alaska Native

5=Native Hawaiian or Other Pacific Islander

6=Multiple Categories Reported

9=Race Unknown

R

254

1

Ethnicity

 

Alpha1

0=Not Hispanic

1=Hispanic

9=Unknown

R

255-264

10

DOB

 

MM/DD/YYYY

if unknown pad with spaces

O

265

1

Citizen

 

Alpha1

C=Citizen

A=Authorized Alien

N=Unauthorized Alien

U=unknown

R

266-300

35

Address1

 

Alpha35

if unknown pad with spaces

O

301-335

35

Address2

 

Alpha35

if unknown pad with spaces

O

336-370

35

Address3

 

Alpha35

if unknown pad with spaces

O

371-400

30

City

 

Alpha30

if unknown pad with spaces

O

401-402

2

State

 

Alpha2

if unknown then UU

R

403-407

5

Zip5

 

Alpha5

if unknown then 00000

R

408-411

4

Zip4

 

Alpha4

if unknown then 0000

R

412-413

2

STFIPS

State FIPS

Alpha2

if unknown then 99

R


The Account Balances file (Table 8) is an optional, fixed length file.

Table 8 - Account Balances File layout

Position

Short name

Description

Format

Required (R) or Optional (O)

1-2

Stfips

State FIPS

Alpha 2

R

3-12

UIaccount

UI Account Number

Alpha 10 (left pad w/ 0s)

R

13-16

Year

Year

Alpha 4

R

17-18

Periodtype

From the periodtype table

Alpha2

R

19-20

Period

Period 

Alpha 2    

R

21-33

AccountBalance

Tax Account Balance for the Specified Period

Alpha 13 (to be converted into a 9,2 decimal that can be negative)*

R

34-40

ExperienceRating

Historical Experience Rating of UIAccount

Alpha 8 (to be converted into a 3,3 decimal that can be negative)**

O

  *Example of positive and negative account balances: 000001234.56, -000001234.56

  *States that do not carry account balances should pad with spaces.

**Example of positive and negative experience rating: 0123.678, -234.678


The Predecessor/Successor file (Table 9) is optional, fixed length file. If a State wants to include it, all fields require data.

Table 9 - Predecessor/Successor File Layout

Position

Short name

Description

Format

Required (R) or Optional (O)

1-2

Stfips

Stfips

2 digits

R

3-12

pred_uiaccount

Predecessor UIAccount #

Alpha 10 (left pad w/ 0s)

R

13-22

Succ_uiaccount

Successor UIAccount #

Alpha 10 (left pad w/ 0s)

R

Critical Assumptions: 

  1. That we are dealing with 100% or total successorships – when generating the records for this file, you should only include total successorships. 
  1. That this file is all inclusive -- because this file has no time on the relationship, it has to assume that the contents of the file are the full contents of the destination table.  Therefore, this file should be a cumulative set of all 100% successorships.  So for example if you have new predecessor/successor relationships to add 6 months from now, you would add those records to the ones that you have in your file today.

Administrative Table Definitions:

The Administrative tables necessary to manage the information in the Account Balances table are defined in the following period/periodtype tables. These constructs are the same as those established for the ALMIS database standard.

This table contains one record for each period identified in the database.

Position

Period Column

Type

Constraint

Description

Required

1-4

periodyear

Char(4)

Primary Key

Character representation of calendar year (e.g. 2000).

R

5-6

periodtype

Char(2)

Primary Key

Code describing type of period (e.g. annual, quarterly, monthly, etc.)

R

7-8

period

Char(2)

Primary Key

Period Code. (see below for examples)

R




This table contains one record for each type of period (e.g. Annual, quarterly, hourly, etc.)

Position

Period Type Column

Type

Constraint

Description

Required

1-2

periodtype

char(2)

Primary Key

Code describing type of period (e.g. annual, quarterly, monthly, etc.)

R

3-42

pertypdesc

varchar(40)

 

A description of the period type.

R

Predefined periodtypes are as followed:

 

periodtype

01 = Annual (calendar year)
02 = Quarter
03 = Monthly
04 = Weekly
05 = Decennial
06 = Bi-monthly
07 = Semi-annually
08 = Bi-annually

99 = Not Applicable

50-70 = State Defined Period Types

Some examples of periodyear, periodtype, period combinations would be as follows:

2003 Annual* —›   Periodyear = ‘2003’, Periodtype = ‘01’, Period = ‘00’
2003 2nd Quarter —›        Periodyear = ‘2003’, Periodtype = ‘02’, Period = ‘02’
2003 November —›        Periodyear = ‘2003’, Periodtype = ‘03’, Period = ‘11’

*Calendar Year

Periodyear is the year the calculation for which the calculation is applied to generate a new tax rate. For example, in North Carolina, the account balance as of July 31, 2003 was used in the computation of the tax rate for calendar year 2004, therefore, the periodyear is 2004.


Attachment 2

General Specifications for the SUTA Dumping Detection System (SDDS)
 Hardware and Software Configurations

The SDDS is a server-based system with a browser interface. A server platform was selected for several reasons:

  • scalable architecture,
  • data storage requirements (particularly for large States)
  • RAM and processing capacity to provide reasonable response times, and
  • the ability to support multiple analysts simultaneously.

The browser-based interface was employed to speed development, simplify change control and, if appropriate at a future time, to allow remote access. The server/database software, as described, is licensed to support the system as a multi-user workstation application.

States will need to create extracts from tax, wage records and related data sets. File specifications will be provided for all required extracts. SDDS includes data loader/analyzer utilities to import data from the raw files into the database. A CD including these utilities, database and snapshot creation scripts, technical documentation, etc., will be provided to participating States.

The general software specifications for the SDDS are as follows:

  • Browser:                     MS Internet Explorer version 6.X
  • Server OS                   MS Windows Server 2003 OS
  • Environment:              .NET Framework 1.1
          • VB.NET ver. 2003
          • IIS 6.0
  • Database:                     MS SQL Server 2000 Enterprise Edition

The hardware configuration is designed to function as both the web and database server. As designed, the system will store the application, OS and temp files separately from the data files and access these functions through separate controller channels. RAID arrays are configured to optimize access speed during data loads without compromising production response times.

Three system sizes, small, mid-size, and large, have been designed to accommodate all States. Each State will customize the data storage requirement to fit its particular need. All configurations represent a carefully calculated balance of performance and cost.


Small State Hardware General Description

The small State system is a single, internal enclosure server, that consists of a minimum 3.06GHz dual Intel Xeon processors with 512KB level 2 ECC Cache, 4GB of RAM, eight 72.8 GB Ultra320 15000 rpm hard drives, and a dual channel (Ultra320 capable) RAID controller. This configuration includes redundant hot-pluggable power supply and fan.

The dual processors with a minimum of 512kb L2 Cache are needed to provide both the real-time performance to run the SQL queries and to minimize the data load times.

4GB of RAM is specified for performance optimization. MS SQL Server effectively utilizes both the processor speed and available RAM to maximize performance. Generally speaking, more is better; however, like most things in life, there is a downside. In this case it is cost. In addition to the higher cost of the faster processor and additional memory, the price of the server operating system increases if the installed RAM exceeds 4GB. Servers configured with 4GB of memory, or less, can run Windows 2003 Standard Edition Server. The Standard Edition of the operating system provides all the functionality the application will require.

The configuration employs eight, 72.8 GB Ultra320 hard drives. The system is designed with three internal storage arrays to improve read/write performance. This arrangement segregates the administrative functions from the data storage. Two, two-drive mirrored (RAID 1) arrays are utilized to optimize performance for transaction logs, indexes, operating system, and the temp.db function. One four-drive RAID 1+0 (mirrored and striped) array is configured to optimize SQL database performance. This is particularly significant during the data loading process.

The system supports the three internal storage arrays with a dual channel, Ultra320 capable, controller to support the separation of administrative and data functions discussed above for improved throughput. The mirrored and striped, four-drive array and one of the mirrored, two-drive arrays will share one channel of the controller. The second mirrored and striped two-drive array will utilize the second channel of the controller.

All hard drives in the configuration are Ultra320 SCSI devices. The 72.8GB drive is the largest currently available hard disk that supports a spin rate of 15,000 rpm's. This drive speed is essential for rapid response times and overall database performance (10,000 rpm drives are too slow to achieve the desired response times).


Mid-sized State Hardware General Description

The mid-sized State system combines internal and dual bus external storage to accommodate up to 20 drives and consists of minimum 3.2GHz Intel Xeon dual processors with 1MB level 2 ECC Cache, 4GB of RAM, 72.8 GB Ultra320 15000 rpm hard drives, and a four channel (Ultra320 capable) RAID controller. This configuration includes redundant hot-pluggable power supply and fan.

The dual processors with a minimum of 1MB L2 Cache are needed to provide both the real-time performance to run the SQL queries and to minimize the data load times.

4GB of RAM are specified for performance optimization. MS SQL Server effectively utilizes both the processor speed and available RAM to maximize performance. Generally speaking, more is better; however, like most things in life, there is a downside. In this case it is cost. In addition to the higher cost of the faster processor and additional memory, the price of the server operating system increases if the installed RAM exceeds 4GB. Servers configured with 4GB of memory, or less, can run Windows 2003 Standard Edition Server. The Standard Edition of the operating system provides all the functionality the application will require.

The configuration employs up to twenty 72.8 GB Ultra320 hard drives. The system is designed with three internal storage arrays to improve read/write performance. This arrangement segregates the administrative functions from the data storage. Up to three, two-drive mirrored (RAID 1) arrays are utilized to optimize performance for transaction logs, indexes, operating system, and the temp.db function. The fourth mirrored and striped (RAID1+0) array will consist of an even number of drives, up to 14 total, in the external enclosure.

The system supports the storage arrays with a four channel, Ultra320 capable, controller to support the separation of administrative and data functions discussed above for improved throughput. Two of the mirrored, two-drive arrays will share one channel of the controller; the third mirrored, two-drive array will occupy its own channel of the controller. The fourth array, in the external enclosure, will utilize the third channel of the controller.

All hard drives in the configuration are Ultra320 SCSI devices. The 72.8GB drive is the largest currently available hard disk that supports a spin rate of 15,000 rpm's. This drive speed is essential for rapid response times and overall database performance (10,000 rpm drives are too slow to achieve the desired response times). This is particularly significant during the data loading process.


Large State Hardware General Description

The large State system is a dual Intel Xeon 3.2GHz processor with 1MB Level 2 ECC Cache and 8GB of RAM. This configuration includes two external dual bus storage arrays that each hold up to 14 additional Ultra320 drives and an internal enclosure that holds 6 internal drives.  A 4 channel RAID controller that supports the 72.8GB Ultra320 devices is required. This configuration requires a minimum of twenty-two drives up to a maximum of thirty-four drives. This configuration includes redundant hot-pluggable power supply and fan.

Large States require additional external storage enclosures to hold the number of drives required for the datasets. The total number of drives installed in each enclosure will be determined by the RAID configurations and the dataset size estimates generated for this project. For optimal performance, systems will be configured with up to 5 RAID arrays.

3 - two drive RAID One Arrays configured to separate and optimize performance for transaction logs, indices, operating system, and temp.db 

2 - RAID 1+0 (Ten) Array configured to optimize SQL database performance up to 14 maximum drives for a total disk capacity of 500GB.

Each enclosure will contain one RAID 1+0 (Ten) Array. The three RAID One Arrays will use the two remaining channels as allowed by the internal enclosure.

Large States require Windows 2003 Enterprise Edition to support the 8GB RAM.

Hardware Notes

The details of each State's existing strategies for system backup, disaster recovery and business continuity are unknown. The above configuration does not include backup software or devices. However, the storage purchased by an individual State should accommodate space for storage of database backups to system drives. The SUTA application recommends that a database backup be completed prior to any applied updates.

It is highly recommended that this system be attached to an uninterruptible power supply (UPS). If UPS is not already available, small units may be purchased to support a single server.

Software Notes

Windows2003 CALs (client access licenses) only need to be purchased for users who are not already licensed for Windows2003 Server in your environment. If this will be your first Windows2003 Server then a CAL will have to be purchased for each user of that server.

SQL 2000 CALs only need to be purchased for users who are not already licensed for SQL 2000 in your environment regardless of Standard or Enterprise edition.

Windows Server and SQL licensing is sufficient for use by internal users only with SQL client tools or via an intranet.  Microsoft now requires that all SQL servers with databases accessed through the internet must be licensed on a per processor basis, not a CAL basis. The price is significantly higher for such publicly accessible, internet-facing databases (e.g., NC per processor contract price for SQL Server Enterprise is over $12,300). An External Connector license is required for Windows 2003 servers accessible via internet (e.g. NC per server contract price for Windows 2003 Standard Server is approximately $1,300).

SDDS Pilot State Configurations

SDDS was piloted in seven States. Hardware from three different vendors was implemented. North Carolina, Rhode Island, Virginia, and Utah used Hewlett-Packard ML370 servers. Texas used a Dell Power Edge 2600 and Nebraska used a Dell Power Edge 2850. Washington used an IBM x235 server. Nebraska and Rhode Island used small State configurations. Virginia, Utah, North Carolina, and Washington used mid-size configurations. Texas used the mid-sized configuration with 8GB of memory which requires use of Windows 2003 Server Enterprise Edition.

State

Size

Server

Processor

Memory

# of drives

External enclosure

Nebraska

SM

Dell Power Edge 2850

Dual  Xeon 3.2 GHz

2GB

6 – 73 GB

N/A

North Carolina

MED

HP ML370 G3

Dual Xeon 3.2 GHz

4GB

10 – 72.8 GB

HP MSA30

Rhode Island

SM

HP ML370 G3

Dual Xeon 3.06 GHz

4GB

8 – 72.8 GB

N/A

Texas

MED

Dell Power Edge 2600

Dual 3.2 GHz

8GB

14 – 73 GB

Power Vault 220S

Utah

SM

HP ML370 G3

Dual Xeon 3.2 GHz

4GB

10 – 72.8 GB

HP MSA30

Virginia

MED

HP ML370 G3

Dual Xeon 3.2GHz

4GB

10 – 72.8 GB

HP MSA30

Washington

MED

IBM x235

Dual Xeon 3.1 GHz

4GB

9 – 70 GB

N/A


Recommended RAID Configurations

Recommended RAID Configuration – SMALL State subject to testing

 

Array #

RAID Type

# of drives, up to

Physical Arrangement

Formatted

Software

Volume Name

1
C: drive

mirror

2

Internal Bay

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

OS, Swap Disk & SQL Server Binaries

System

2

D: drive

mirror

2

Internal Bay

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL TempDB, SQL Transaction Logs

TempDB

3

E: drive

mirror and stripe

4

Internal Enclosure

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL Data

Data

 

Recommended RAID configuration – MID-SIZED State subject to testing

 

Array #

RAID Type

# of drives, up to

Physical Arrangement

Formatted

Software

Volume Name

1
C: drive

mirror

2

Internal Bay

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

OS, Swap Disk & SQL Server Binaries

System

2

D: drive

mirror

2

Internal Bay

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL TempDB

TempDB

3

E: drive

mirror

2

Internal Enclosure

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL Transaction Log

Logs

4

F: drive

mirror and stripe

14

External Enclosure

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL Data

Data



Recommended RAID configuration – LARGE State

 

Array #

RAID Type

# of drives, up to

Physical Arrangement

Formatted

Software

Volume Name

1
C: drive

mirror

2

Internal Bay

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

OS, Swap Disk & SQL Server Binaries

System

2

D: drive

mirror

2

Internal Bay

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL TempDB

TempDB

3

E: drive

mirror

2

Internal Enclosure

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL Transaction Log

Logs

4

F: drive

mirror and stripe

14

External Enclosure

NTFS.  64K Allocation Unit Size.  NO COMPRESSION

SQL Data

Data

5

G: drive

mirror and stripe

14

External Enclosure

NTFS. 64K Allocation Unit Size. NO COMPRESSION

SQL Data

Data2


               

# of 72

 
 

# of

# of Wage

     

Estimated

# of 72

GB drives

Total

 

Employers

 Records

GBs

GBs

Data, IDXs &

Configuration

GB drives

OS, TLogs,

 # of

State 

2004Q3

2004Q3

per Quarter

12 Quarters

Backups

Size

DATA, IDX, B/U

TempDB

drives

AL

86,044

2,128,547

0.991

11.894

47.577

SMALL

4

4

8

AK

17,073

351,596

0.164

1.965

7.859

SMALL

4

4

8

AZ

110,253

2,730,213

1.271

15.256

61.025

MID

4

6

10

AR

61,356

1,332,452

0.620

7.446

29.783

SMALL

4

4

8

CA

1,058,604

18,562,007

8.644

103.723

414.893

LARGE

20

6

26

CO

144,700

2,434,059

1.133

13.601

54.405

MID

4

6

10

CT

96,318

1,892,735

0.881

10.576

42.306

SMALL

4

4

8

DE

25,981

537,311

0.250

3.002

12.010

SMALL

4

4

8

DC

27,242

580,219

0.270

3.242

12.969

SMALL

4

4

8

FL

442,898

8,814,209

4.104

49.253

197.013

MID

12

6

18

GA

203,430

4,060,525

1.891

22.690

90.760

MID

6

6

12

HI

29,628

634,740

0.296

3.547

14.188

SMALL

4

4

8

ID

43,168

697,567

0.325

3.898

15.592

SMALL

4

4

8

IL

284,036

6,769,547

3.152

37.828

151.311

MID

10

6

16

IN

125,469

3,374,515

1.571

18.857

75.426

MID

6

6

12

IA

69,309

1,713,673

0.798

9.576

38.304

SMALL

4

4

8

KS

68,929

1,540,866

0.718

8.610

34.441

SMALL

4

4

8

KY

82,790

2,049,083

0.954

11.450

45.801

SMALL

4

4

8

LA

96,014

1,763,390

0.821

9.854

39.415

SMALL

4

4

8

ME

40,158

719,319

0.335

4.020

16.078

SMALL

4

4

8

MD

136,095

2,924,296

1.362

16.341

65.363

MID

4

6

10

MA

178,085

2,411,377

1.123

13.475

53.898

MID

4

6

10

MI

214,739

4,644,178

2.163

25.951

103.805

MID

8

6

14

MN

133,374

3,163,480

1.473

17.677

70.709

MID

6

6

12

MS

54,039

1,271,802

0.592

7.107

28.427

SMALL

4

4

8

MO

133,200

3,112,948

1.450

17.395

69.580

MID

4

6

10

MT

34,673

484,472

0.226

2.707

10.829

SMALL

4

4

8

NV

50,806

1,145,332

0.533

6.400

25.600

SMALL

4

4

8

NH

39,817

771,596

0.359

4.312

17.247

SMALL

4

4

8

NJ

256,961

3,794,818

1.767

21.205

84.821

MID

6

6

12

NM

42,102

786,138

0.366

4.393

17.572

SMALL

4

4

8

NY

480,750

8,823,554

4.109

49.305

197.222

MID

12

6

18

ND

19,002

354,661

0.165

1.982

7.927

SMALL

4

4

8

OH

230,460

6,062,045

2.823

33.874

135.497

MID

8

6

14

OK

76,454

1,800,523

0.838

10.061

40.245

SMALL

4

4

8

OR

103,018

1,849,729

0.861

10.336

41.345

SMALL

4

4

8

PA

274,700

6,177,456

2.877

34.519

138.077

MID

8

6

14

PR

50,000

1,369,800

0.638

7.654

30.617

SMALL

4

4

8

SC

92,337

2,091,324

0.974

11.686

46.745

SMALL

4

4

8

SD

23,538

416,200

0.194

2.326

9.303

SMALL

4

4

8

TN

109,173

3,048,562

1.420

17.035

68.141

MID

4

6

10

VT

21,253

364,141

0.170

2.035

8.139

SMALL

4

4

8

WV

36,790

811,068

0.378

4.532

18.129

SMALL

4

4

8

WI

125,417

3,096,439

1.442

17.303

69.211

MID

4

6

10

WY

20,028

257,308

0.120

1.438

5.751

SMALL

4

4

8


Attachment 3

List of State Size Configuration Classifications

Alabama

Small

Alaska

Small

Arizona

Medium

Arkansas

Small

California

Large

Colorado

Medium

Connecticut

Small

Delaware

Small

District of Columbia

Small

Florida

Medium

Georgia

Medium

Hawaii

Small

Idaho

Small

Illinois

Medium

Indiana

Medium

Iowa

Small

Kansas

Small

Kentucky

Small

Louisiana

Small

Maine

Small

Maryland

Medium

Massachusetts

Medium

Michigan

Medium

Minnesota

Medium

Mississippi

Small

Missouri

Medium

Montana

Small

Nevada

Small

New Hampshire

Small

New Jersey

Medium

New Mexico

Small

New York

Medium

North Dakota

Small

Ohio

Medium

Oklahoma

Small

Oregon

Small

Pennsylvania

Medium

Puerto Rico

Small

South Carolina

Small

South Dakota

Small

Tennessee

Medium

Vermont

Small

Virgin Islands

Small

West Virginia

Small

Wisconsin

Medium

Wyoming

Small

Attachment 4

SUTA Dumping Detection System (SDDS) Supplemental Budget Request 

Date:  _________________________          

The State of ____________________ requests the following funds:

Part I.    SDDS Start-up Costs *

          1.  Development of State Extract Files                             $__________

          2.  Hardware Costs per Specifications                              $__________

          3.  Software Costs per Specifications                               $__________

          4.  Set-up and Configuration Support for
             hardware and software                                               $__________

Part II.   Technical Support and Maintenance ** (Costs to be determined)   

            ____ Transfer the appropriate fund amount to the State of
                       Maryland to pay our separately funded project for ITSC
                       technical support and maintenance thru 09/30/07  ***

            ____ The State will do a separately funded direct contract with
                       the ITSC contractor Mitretek Systems Inc. for technical
                       support and maintenance thru 09/30/07.  

            ____ The State requests funding to procure other or to provide its
                       own technical support and maintenance thru 09/30/07 

Part III.  SUTA Dumping Training

          1.  SUTA Dumping Training                                      $__________

          2.  National Tax Conference Participation                   $__________

               Indicate number of Participants: _____

*      Pilot States must deduct previous funding from their SBR application
**   Funding will be provided for Technical Support and Maintenance through 09/30/07
*** Funding only for the DOL SDDS


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