16 January 1998
Source: "Implementation of the Wassenaar
Arrangement List of Dual-Use Items: Revisions to the Commerce Control List
and Reporting Under the Wassenaar Arrangement; Rule."
Supplement No. 1 to Part 774--the Commerce Control List
Category 4--Computers
Note 1: Computers, related equipment and ``software'' performing
telecommunications
[[Page 2513]]
or ``local area network'' functions must also be evaluated against
the performance characteristics of Category 5, Part 1
(Telecommunications).
N.B. 1: Control units that directly interconnect the buses or
channels of central processing units, ``main storage'' or disk
controllers are not regarded as telecommunications equipment
described in Category 5, Part 1 (Telecommunications).
N.B. 2: For the control status of ``software'' specially
designed for packet switching, see ECCN 5D001 (Telecommunications).
Note 2: Computers, related equipment and ``software'' performing
cryptographic, cryptoanalytic, certifiable multi-level security or
certifiable user isolation functions, or that limit electromagnetic
compatibility (EMC), must also be evaluated against the performance
characteristics in Category 5, Part 2 (``Information Security'').
A. Systems, Equipment and Components
4A001 Electronic computers and related equipment, and ``electronic
assemblies'' and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to items in 4A001.a when the MT Column 1
parameters in 4A101 are met or
exceeded.
AT applies to entire entry............. AT Column 1
NP applies to electronic computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
XP applies to electronic computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000 for 4A001.a; N/A for MT and 4A001.b
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A101 and 4A994. Equipment designed or
rated for transient ionizing radiation is subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121.) See also 4A101.
Related Definitions: For the purposes of integrated circuits in
4A001.a.2, 5 x 103 Gy(Si) = 5 x 105 Rads (Si); 5 x 106 Gy (Si)/s = 5
x 108 Rads (Si)/s.
Items: a. Specially designed to have either of the following
characteristics:
a.1. Rated for operation at an ambient temperature below 228 K
(-45 deg.C) or above 358 K (85 deg.C);
Note: 4A001.a.1. does not apply to computers specially designed
for civil automobile or railway train applications.
a.2. Radiation hardened to exceed any of the following
specifications:
a.2.a. A total dose of 5 x 10 \3\ Gy (Si); or
a.2.b. A dose rate upset of 5 x 10 \6\ Gy (Si)/s;
a.2.c. Single Event Upset of 1 x 10 <SUP>-7</SUP> Error/bit/
day;
b. Having characteristics or performing functions exceeding the
limits in Category 5, Part 2 (``Information Security'').
4A002 ``Hybrid computers'' and ``electronic assemblies'' and specially
designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to hybrid computers combined MT Column 1
with specially designed ``software'',
for modeling, simulation, or design
integration of complete rocket systems
and unmanned air vehicle systems that
are usable in systems controlled for
MT reasons.
AT applies to entire entry............. AT Column 1
NP applies to hybrid computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
XP applies to hybrid computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.
License Exceptions
LVS: $5000; N/A for MT
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A102 and 4A994
Related Definitions: N/A
Items: a. Containing ``digital computers'' controlled by 4A003;
b. Containing analog-to-digital converters having all of the
following characteristics:
b.1. 32 channels or more; and
b.2. A resolution of 14 bits (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
Control(s) Country Chart
NS applies to 4A003.b and .c........... NS Column 1
NS applies to 4A003.a, d, .e, .f, and NS Column 2
.g.
MT applies to digital computers used as MT Column 1
ancillary equipment for test
facilities and equipment that are
controlled by 9B005 or 9B006.
CC applies to digital computers for CC Column 1
computerized finger-print equipment.
AT applies to entire entry (refer to AT Column 1
4A994 for controls on digital
computers with a CTP <gr-thn-eq> 6 but
<ls-thn-eq> to 2,000 Mtops).
NP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
XP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.
Note: For all destinations, except Cuba, Iran, Iraq, Libya,
North Korea, Sudan, and Syria, no license is required (NLR) for
computers with a CTP of 2,000 Mtops, and for assemblies described in
4A003.c that are not capable of exceeding a CTP of 2,000 Mtops in
aggregation. Computers controlled in this entry for MT reasons are
not eligible for NLR.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000; N/A for MT and ``digital'' computers controlled by
4A003.b and having a CTP exceeding 10,000 MTOPS; or ``electronic
assemblies'' controlled by 4A003.c and capable of enhancing
performance by aggregation of ``computing elements'' so that the CTP
of the aggregation exceeds 10,000 MTOPS.
GBS: Yes, for 4A003.d, .e, .f, and .g and specially designed
components therefor, exported separately or as part of a system.
CTP: Yes, for computers controlled by 4A003.a, .b and .c, to the
exclusion of other technical parameters, with the exception of
parameters specified as controlled for Missile Technology (MT)
concerns and 4A003.e (equipment performing analog-to-digital or
digital-to-analog conversions exceeding the limits of 3A001.a.5.a).
See Sec. 740.7 of the EAR.
CIV: Yes, for 4A003.d (having a 3-D vector rate less that 10 M
vectors/sec), .e, .f and .g.
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A994
Related Definitions: N/A
Items:
Note 1: 4A003 includes the following:
[[Page 2514]]
a. Vector processors;
b. Array processors;
c. Digital signal processors;
d. Logic processors;
e. Equipment designed for ``image enhancement'';
f. Equipment designed for ``signal processing''.
Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. Designed or modified for ``fault tolerance'';
Note: For the purposes of 4A003.a., ``digital computers'' and
related equipment are not considered to be designed or modified for
``fault tolerance'' if they utilize any of the following:
1. Error detection or correction algorithms in ``main storage'';
2. The interconnection of two ``digital computers'' so that, if
the active central processing unit fails, an idling but mirroring
central processing unit can continue the system's functioning;
3. The interconnection of two central processing units by data
channels or by use of shared storage to permit one central
processing unit to perform other work until the second central
processing unit fails, at which time the first central processing
unit takes over in order to continue the system's functioning; or
4. The synchronization of two central processing units by
``software'' so that one central processing unit recognizes when the
other central processing unit fails and recovers tasks from the
failing unit.
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 2,000 million theoretical
operations per second (Mtops);
c. ``Electronic assemblies'' specially designed or modified to
be capable of enhancing performance by aggregation of ``computing
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds
the limit in 4A003.b.;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b.
when shipped as unintegrated ``electronic assemblies''. It does not
apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A003.d,
4A003.e or 4A003.f.
Note 2: 4A003.c does not control ``electronic assemblies''
specially designed for a product or family of products whose maximum
configuration does not exceed the limit of 4A003.b.
d. Graphics accelerators and graphics coprocessors exceeding a
``three dimensional Vector Rate'' of 3,000,000;
e. Equipment performing analog-to-digital conversions exceeding
the limits in 3A001.a.5;
f. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A001.b.3;
Note: For the purposes of 4A003.f, ``terminal interface
equipment'' includes ``local area network'' interfaces and other
communications interfaces. ``Local area network'' interfaces are
evaluated as ``network access controllers''.
g. Equipment specially designed to provide external
interconnection of ``digital computers'' or associated equipment
that allows communications at data rates exceeding 80 Mbyte/s.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) or passive interconnection
equipment.
4A004 Computers, as follows (see List of Items Controlled) and
specially designed related equipment, ``electronic assemblies'' and
components therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Systolic array computers'';
b. ``Neural computers'';
c. ``Optical computers''.
4A101 Analog computers, ``digital computers'' or digital differential
analyzers, other than those controlled by 4A001 designed or modified
for use in ``missiles'', having any of the following (see List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Rated for continuous operation at temperatures from below
228 K (-45 deg. C) to above 328 K (+55 deg. C); or
b. Designed as ruggedized or ``radiation hardened''.
4A102 ``Hybrid computers'' specially designed for modelling,
simulation or design integration of ``missiles''. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
4A980 Computers for fingerprint equipment, n.e.s.
License Requirements
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4A994 Computers, ``electronic assemblies'', and related equipment not
controlled by 4A001, 4A002, or 4A003, and specially designed components
therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Electronic computers and related equipment, and
``electronic assemblies'' and specially designed components
therefor, rated for operation at an ambient temperature above 343 K
(70 deg. C);
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') equal to or greater than 6 million
theoretical operations per second (Mtops);
c. ``Assemblies'' not controlled by 4A003 that are specially
designed or modified to enhance performance by aggregation of
``computing elements'' (``Ces''), as follows:
c.1. Designed to be capable of aggregation in configurations of
16 or more ``computing elements'' (``Ces''); or
[[Page 2515]]
c.2. Having a sum of maximum data rates on all channels
available for connection to associated processors exceeding 40
million Bytes/s;
Note 1: 4A994.c applies only to ``electronic assemblies'' and
programmable interconnections with a ``CTP'' not exceeding the
limits in 4A994.b, when shipped as unintegrated ``electronic
assemblies''. It does not apply to ``electronic assemblies''
inherently limited by nature of their design for use as related
equipment controlled by 4A994.
Note 2: 4A994.c does not control any ``electronic assembly''
specially designed for a product or family of products whose maximum
configuration does not exceed the limits of 4A994.b.
d. Disk drives and solid state storage equipment:
d.1. Magnetic, erasable optical or magneto-optical disk drives
with a ``maximum bit transfer rate'' exceeding 25 million bit/s;
d.2. Solid state storage equipment, other than ``main storage''
(also known as solid state disks or RAM disks), with a ``maximum bit
transfer rate'' exceeding 36 million bit/s;
e. Input/output control units designed for use with equipment
controlled by 4A994.d;
f. Equipment for ``signal processing'' or ``image enhancement'',
not controlled by 4A003, having a ``composite theoretical
performance'' (``CTP'') exceeding 8.5 million theoretical operations
per second (Mtops);
g. Graphics accelerators or graphics coprocessors, not
controlled by 4A003, that exceeds a ``3-D vector rate'' of 400,000
or, if supported by 2-D vectors only, a ``2-D vector rate'' of
600,000;
Note: The provisions of 4A994.g do not apply to work stations
designed for and limited to:
a. Graphic arts (e.g., printing, publishing); and
b. The display of two-dimensional vectors.
h. Color displays or monitors having more than 120 resolvable
elements per cm in the direction of the maximum pixel density;
Note 1: 4A994.h does not control displays or monitors not
specially designed for electronic computers.
Note 2: Displays specially designed for air traffic control
(ATC) systems are treated as specially designed components for ATC
systems under Category 6.
i. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A991.
Note: For the purposes of 4A994.i, ``terminal interface
equipment'' includes ``local area network'' interfaces, modems and
other communications interfaces. ``Local area network'' interfaces
are evaluated as ``network access controllers''.
B. Test, Inspection and Production Equipment
4B994 Equipment for the ``development'' and ``production'' of magnetic
and optical storage equipment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control general-purpose
sputtering equipment.
Related Definition: N/A
Items: a. Equipment specially designed for the application of
magnetic coating to controlled non-flexible (rigid) magnetic or
magneto-optical media;
b. ``Stored program controlled'' equipment specially designed
for monitoring, grading, exercising or testing controlled rigid
magnetic media;
c. Equipment specially designed for the ``production'' or
alignment of heads or head/disk assemblies for controlled rigid
magnetic and magneto-optical storage, and electro-mechanical or
optical components therefor.
C. Materials
4C994 Materials specially formulated for and required for the
fabrication of head/disk assemblies for controlled magnetic and
magneto-optical hard disk drives.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
D. Software
Note: The control status of ``software'' for the
``development'', ``production'', or ``use'' of equipment described
in other Categories is dealt with in the appropriate Category. The
control status of ``software'' for equipment described in this
Category is dealt with herein.
4D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A001 to 4A004, or 4D (except 4D993 or 4D994).
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
Control(s) Country Chart
NS applies to ``software'' for NS Column 1
equipment controlled by 4A001 to
4A004, 4D001 to 4D003.
MT applies to ``software'' for MT Column 1
equipment controlled by 4A001 to 4A003
for MT reasons.
CC applies to ``software'' for CC Column 1
equipment controlled by 4A003 for CC
reasons.
AT applies to entire entry............. AT Column 1
NP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
XP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT and for ``software'' for equipment or
``software'' requiring a license and except for ``software''
specially designed for the ``development'', or ``production'' of
equipment controlled as follows, for exports and reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: (a)
``Digital'' computers controlled by 4A003.b and having a CTP
exceeding 10,000 MTOPS; or (b) ``Electronic assemblies'' controlled
by 4A003.c and capable of enhancing performance by aggregation of
``computing elements'' so that the CTP of the aggregation exceeds
10,000 MTOPS.
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D002 ``Software'' specially designed or modified to support
``technology'' controlled by 4E (except 4E980, 4E992, and 4E993).
License Requirements
Reason for Control: NS, MT, AT, NP, XP
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for MT Column 1
equipment controlled by 4E for MT
reasons.
AT applies to entire entry............. AT Column 1
NP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
XP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless
[[Page 2516]]
a License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT and for ``software'' specifically
designed or modified to support ``technology'' for computers
requiring a license.
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D003 Specific ``software'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exception.
License Exceptions
CIV: N/A
TSR: Yes, except 4D003.c
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Operating system ``software'', ``software'' development
tools and compilers specially designed for ``multi-data-stream
processing'' equipment, in ``source code'';
b. ``Expert systems'' or ``software'' for ``expert system''
inference engines providing both:
b.1. Time dependent rules; and
b.2. Primitives to handle the time characteristics of the rules
and the facts;
c. ``Software'' having characteristics or performing functions
exceeding the limits in Category 5, Part 2 (``Information
Security'');
d. Operating systems specially designed for ``real time
processing'' equipment that guarantees a ``global interrupt latency
time'' of less than 20 <greek-m>s.
4D102 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
4A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D980 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of items controlled by 4A980.
License Requirements
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D993 ``Program'' proof and validation ``software'', ``software''
allowing the automatic generation of ``source codes'', and operating
system ``software'' not controlled by 4D003 that are specially designed
for real time processing equipment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Program'' proof and validation ``software'' using
mathematical and analytical techniques and designed or modified for
``programs'' having more than 500,000 ``source code'' instructions;
b. ``Software'' allowing the automatic generation of ``source
codes'' from data acquired on line from external sensors described
in the Commerce Control List;
c. Operating system ``software'' not controlled by 4D003 that
are specially designed for ``real time processing'' equipment that
guarantees a ``global interrupt latency time'' of less than 30
microseconds.
4D994 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
4A994, 4B994 and materials controlled by 4C994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
4E001 ``Technology'' according to the General Technology Note, for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A or 4D (except 4A980, 4A993 or 4A994).
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
Control(s) Country Chart
NS applies to ``technology'' for NS Column 1
equipment controlled by 4A001 to
4A004, 4D001 to 4D003.
MT applies to ``technology'' for items MT Column 1
controlled by 4A001 to 4A003, 4A101,
4D001, 4D102 or 4D002 for MT reasons.
CC applies to ``technology'' for CC Column 1
equipment controlled by 4A003 for CC
reasons.
AT applies to entire entry............. AT Column 1
NP applies to ``technology'' for computers with a CTP greater
than 2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
XP applies to ``technology'' for computers with a CTP greater
than 2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes for ``technology'' directly related for hardware under a
License Exception. N/A for MT and for ``technology'' for the
``development'' or ``production'' of equipment or ``software'' for
export and reexport to destinations outside of Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the United
Kingdom of ``technology'' for: (a) ``Digital'' computers controlled
by 4A003.b and having a CTP exceeding 10,000 MTOPS; or (b)
``Electronic assemblies'' controlled by 4A003.c and capable of
enhancing performance by aggregation of ``computing elements'' so
that the CTP of the aggregation exceeds 10,000 MTOPS.
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4E980 ``Technology'' for the ``development'', ``production'', or
``use'' of items controlled by 4A980.
License Requirements
[[Page 2517]]
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4E992 ``Technology'' for the ``development'', ``production'', or
``use'' of equipment controlled by 4A994 and 4B994, materials
controlled by 4C994, or ``software'' controlled by 4D993 or 4D994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 4E994
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4E993 Other ``Technology'' for the ``development'' or ``production''
of graphics accelerators or equipment designed for ``multi-data-stream
processing'' and ``technology'' ``required'' for the ``development'' or
``production'' of magnetic hard disk drives.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' or ``production''
of graphics accelerators;
b. ``Technology'', for the ``development'' or ``production'' of
equipment designed for ``multi-data-stream processing'';
c. ``Technology'', ``required'' for the ``development'' or
``production'' of magnetic hard disk drives with a ``maximum bit
transfer rate'' (``MBTR'') exceeding 11 Mbit/s.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Technical Note: ``COMPOSITE THEORETICAL PERFORMANCE'' (``CTP'').
Abbreviations used in this Technical Note
``CE'' ``computing element'' (typically an arithmetic logical unit)
FP floating point
XP fixed point
t execution time
XOR exclusive OR
CPU central processing unit
TP theoretical performance (of a single ``CE'')
``CTP'' ``composite theoretical performance'' (multiple ``CEs'')
R effective calculating rate
WL word length
L word length adjustment
* multiply
Execution time t is expressed in microseconds, TP and ``CTP''
are expressed in millions of theoretical operations per second
(Mtops) and WL is expressed in bits.
Outline of ``CTP'' Calculation Method
``CTP'' is a measure of computational performance given in
Mtops. In calculating the ``CTP'' of an aggregation of ``CEs'' the
following three steps are required:
1. Calculate the effective calculating rate R for each ``CE'';
2. Apply the word length adjustment (L) to the effective
calculating rate (R), resulting in a Theoretical Performance (TP)
for each ``CE'';
3. If there is more than one ``CE'', combine the TPs, resulting
in a ``CTP'' for the aggregation.
Details for these steps are given in the following sections.
Note 1: For aggregations of multiple ``CEs'' that have both
shared and unshared memory subsystems, the calculation of ``CTP'' is
completed hierarchically, in two steps: first, aggregate the groups
of ``CEs'' sharing memory; second, calculate the ``CTP'' of the
groups using the calculation method for multiple ``CEs'' not sharing
memory.
Note 2: ``CEs'' that are limited to input/output and peripheral
functions (e.g., disk drive, communication and video display
controllers) are not aggregated into the ``CTP'' calculation.
The following table shows the method of calculating the
Effective Calculating Rate R for each ``CE'':
Step 1: The effective calculating rate R
------------------------------------------------------------------------
Effective calculating Rate, R
------------------------------------------------------------------------
XP only................................ 1<divide>3 * (t<INF>xp <INF>add), if no
add is implemented use:
(R<INF>xp).................................. 1<divide> (t<INF>xp <INF>mult) If neither
add nor multiply is
implemented use the fastest
available arithmetic operation
as follows: 1<divide>3 * t<INF>xp.
See Notes X & Z.
FP only (R<INF>fp).......................... max 1<divide>t<INF>fp <INF>add,
1<divide>t<INF>fp <INF>mult, See Notes X
& Y.
Both FP and XP (R)..................... Calculate both R<INF>xp, R<INF>fp.
For simple logic processors not 1<divide>3 * t<INF>log. Where t<INF>log
implementing any of the specified is the execute time of the
arithmetic operations. XOR, or for logic hardware not
implementing the XOR, the
fastest simple logic
operation. See Notes X & Z.
For special logic processors not using R = R' * WL/64. Where R' is the
any of the specified arithmetic or number of results per second,
logic operations. WL is the number of bits upon
which the logic operation
occurs, and 64 is a factor to
normalize to a 64 bit
operation.
------------------------------------------------------------------------
Note W: For a pipelined ``CE'' capable of executing up to one
arithmetic or logic operation every clock cycle after the pipeline
is full, a pipelined rate can be established. The effective
calculating rate (R) for such a ``CE'' is the faster of the
pipelined rate or non-pipelined execution rate.
Note X: For a ``CE'' that performs multiple operations of a
specific type in a single cycle (e.g., two additions per cycle or
two identical logic operations per cycle), the execution time t is
given by:
[GRAPHIC] [TIFF OMITTED] TR15JA98.000
``CEs'' that perform different types of arithmetic or logic
operations in a single machine cycle are to be treated as multiple
separate ``CEs'' performing simultaneously (e.g., a ``CE''
performing an addition and a multiplication in one cycle is to be
treated as two ``CEs'', the first performing an addition in one
cycle and the second performing a multiplication in one cycle). If a
single ``CE'' has both scalar function and vector function, use the
shorter execution time value.
Note Y: For the ``CE'' that does not implement FP add or FP
multiply, but that performs FP divide:
[[Page 2518]]
[GRAPHIC] [TIFF OMITTED] TR15JA98.001
If the ``CE'' implements FP reciprocal but not FP add, FP
multiply or FP divide, then
[GRAPHIC] [TIFF OMITTED] TR15JA98.002
If none of the specified instructions is implemented, the
effective FP rate is 0.
Note Z: In simple logic operations, a single instruction
performs a single logic manipulation of no more than two operands of
given lengths. In complex logic operations, a single instruction
performs multiple logic manipulations to produce one or more results
from two or more operands.
Rates should be calculated for all supported operand lengths
considering both pipelined operations (if supported), and non-
pipelined operations using the fastest executing instruction for
each operand length based on:
1. Pipelined or register-to-register operations. Exclude
extraordinarily short execution times generated for operations on a
predetermined operand or operands (for example, multiplication by 0
or 1). If no register-to-register operations are implemented,
continue with (2).
2. The faster of register-to-memory or memory-to-register
operations; if these also do not exist, then continue with (3).
3. Memory-to-memory.
In each case above, use the shortest execution time certified by
the manufacturer.
Step 2: TP for each supported operand length WL.
Adjust the effective rate R (or R') by the word length
adjustment L as follows:
TP = R * L, where L = (1/3 + WL/96)
Note: The word length WL used in these calculations is the
operand length in bits. (If an operation uses operands of different
lengths, select the largest word length.) The combination of a
mantissa ALU and an exponent ALU of a floating point processor or
unit is considered to be one ``CE'' with a Word Length (WL) equal to
the number of bits in the data representation (typically 32 or 64)
for purposes of the ``CTP'' calculation.
This adjustment is not applied to specialized logic processors
that do not use XOR instructions. In this case TP = R.
Select the maximum resulting value of TP for:
Each XP-only ``CE'' (R<INF>xp</INF>);
Each FP-only ``CE'' (R<INF>fp</INF>);
Each combined FP and XP ``CE'' (R);
Each simple logic processor not implementing any of the specified
arithmetic operations; and
Each special logic processor not using any of the specified
arithmetic or logic operations.
Step 3: ``CTP'' for aggregations of ``CEs'', including CPUs.
For a CPU with a single ``CE'', ``CTP'' = TP (for ``CEs''
performing both fixed and floating point operations TP = max
(TP<INF>fp</INF>, TP<INF>xp</INF>))
``CTP'' for aggregations of multiple ``CEs'' operating
simultaneously is calculated as follows:
Note 1: For aggregations that do not allow all of the ``CEs'' to
run simultaneously, the possible combination of ``CEs'' that
provides the largest ``CTP'' should be used. The TP of each
contributing ``CE'' is to be calculated at its maximum value
theoretically possible before the ``CTP'' of the combination is
derived.
N.B.: To determine the possible combinations of simultaneously
operating ``CEs'', generate an instruction sequence that initiates
operations in multiple ``CEs'', beginning with the slowest ``CE''
(the one needing the largest number of cycles to complete its
operation) and ending with the fastest ``CE''. At each cycle of the
sequence, the combination of ``CEs'' that are in operation during
that cycle is a possible combination. The instruction sequence must
take into account all hardware and/or architectural constraints on
overlapping operations.
Note 2: A single integrated circuit chip or board assembly may
contain multiple ``CEs''.
Note 3: Simultaneous operations are assumed to exist when the
computer manufacturer claims concurrent, parallel or simultaneous
operation or execution in a manual or brochure for the computer.
Note 4: ``CTP'' values are not to be aggregated for ``CE''
combinations (inter) connected by ``Local Area Networks'', Wide Area
Networks, I/O shared connections/devices, I/O controllers and any
communication interconnection implemented by ``software''.
Note 5: ``CTP'' values must be aggregated for multiple ``CEs''
specially designed to enhance performance by aggregation, operating
simultaneously and sharing memory,--or multiple memory/''CE''--
combinations operating simultaneously utilizing specially designed
hardware.
This aggregation does not apply to ``electronic assemblies''
described by 4A003.d.
``CTP''=TP<INF>1</INF>+C<INF>2</INF> * TP<INF>2</INF>+* *
*+C<INF>n</INF> * TP<INF>n</INF>,
where the TPs are ordered by value, with TP<INF>1</INF> being the
highest, TP<INF>2</INF> being the second highest, * * *, and
TP<INF>n</INF> being the lowest. C<INF>i</INF> is a coefficient
determined by the strength of the interconnection between ``CEs'',
as follows:
For multiple ``CEs'' operating simultaneously and sharing
memory:
C<INF>2</INF>=C<INF>3</INF>=C<INF>4</INF>=* * *=C<INF>n</INF>=0.75
Note 1: When the ``CTP'' calculated by the above method does not
exceed 194 Mtops, the following formula may be used to calculate
C<INF>i</INF>:
[GRAPHIC] [TIFF OMITTED] TR15JA98.003
where m=the number of ``CEs'' or groups of ``CEs'' sharing access.
Provided:
1. The TP<INF>1</INF> of each ``CE'' or group of ``CEs'' does
not exceed 30 Mtops;
2. The ``CEs'' or groups of ``CEs'' share access to main memory
(excluding cache memory) over a single channel; and
3. Only one ``CE'' or group of ``CEs'' can have use of the
channel at any given time.
N.B.: This does not apply to items controlled under Category 3.
Note 2: ``CEs'' share memory if they access a common segment of
solid state memory. This memory may include cache memory, main
memory or other internal memory. Peripheral memory devices such as
disk drives, tape drives or RAM disks are not included.
For Multiple ``CEs'' or groups of ``CEs'' not sharing memory,
interconnected by one or more data channels:
C<INF>i</INF>=0.75 * k<INF>i</INF> (i=2, * * * , 32) (see Note
below)
=0.60 * k<INF>i</INF> (i=33, * * *, 64)
=0.45 * k<INF>i</INF> (i=65, * * *, 256)
=0.30 * k<INF>i</INF> (i >256)
The value of C<INF>i</INF> is based on the number of ``CE''s,
not the number of nodes.
where
k<INF>i</INF>=min (S<INF>i</INF>/K<INF>r</INF>, 1), and
K<INF>r</INF>=normalizing factor of 20 MByte/s.
S<INF>i</INF>=sum of the maximum data rates (in units of MByte/
s) for all data channels connected to the i<SUP>th</SUP> ``CE'' or
group of ``CEs'' sharing memory.
When calculating a C<INF>i</INF> for a group of ``CEs'', the
number of the first ``CE'' in a group determines the proper limit
for C<INF>i</INF>. For example, in an aggregation of groups
consisting of 3 ``CEs'' each, the 22nd group will contain
``CE''<INF>64</INF>, ``CE''<INF>65</INF> and ``CE''<INF>66</INF>.
The proper limit for C<INF>i</INF> for this group is 0.60.
Aggregation (of ``CEs'' or groups of ``CEs'') should be from the
fastest-to-slowest; i.e.:
TP<INF>1</INF> <gr-thn-eq>TP<INF>2</INF><gr-thn-eq> * * * .
>TP<INF>n</INF>, and
in the case of TP<INF>i</INF>=TP<INF>i</INF>+<INF>1</INF>, from the
largest to smallest; i.e.:
C<INF>i</INF> <gr-thn-eq> C<INF>i</INF>+<INF>1</INF>
Note: The k<INF>i</INF> factor is not to be applied to ``CEs'' 2
to 12 if the TP<INF>i</INF> of the ``CE'' or group of ``CEs'' is
more than 50 Mtops; i.e., C<INF>i</INF> for ``CEs'' 2 to 12 is 0.75.