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.) 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 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
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:
- That we are dealing with 100% or total successorships - when generating the records for this file, you should only include total successorships.
- 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
- 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 |
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
