24 April 2006
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[Federal Register: April 24, 2006 (Volume 71, Number 78)]
[Rules and Regulations]
[Page 20876-20894]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr24ap06-8]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 730, 732, 734, 738, 740, 742, 743, 746, 748, 750, 752,
762, 770, 772 and 774
[Docket No. 060404096-6096-01]
RIN 0694-AD66
Implementation of New Formula for Calculating Computer
Performance: Adjusted Peak Performance (APP) in Weighted TeraFLOPS;
Bulgaria; XP and MT Controls
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
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SUMMARY: This final rule amends the Export Administration Regulations
to implement the Wassenaar Arrangement's December 2005 agreement to
revise the formula for calculating computer performance from Composite
Theoretical Performance (CTP) measured in Millions of Theoretical
Operations Per Second (MTOPS) to Adjusted Peak Performance (APP)
measured in Weighted TeraFLOPS (Trillion Floating point Operations Per
Second) (WT). This rule also establishes new control levels in Category
4 of the Commerce Control List (CCL) expressed in WT. In addition, this
rule renames License Exception CTP to License Exception APP (Adjusted
Peak Performance) to correspond to the new formula. This rule also
makes conforming changes to the EAR based on the new computer
parameter, such as, revising the parameters for eligibility of License
Exception APP.
[[Page 20877]]
This rule also moves Bulgaria from Computer Tier 3 to Computer Tier
1, removes High Performance Computer (XP) and Missile Technology (MT)
controls from certain Export Control Classification Numbers (ECCNs) in
Category 4 of the CCL, and removes the section of the EAR dedicated to
various requirements for high performance computers.
DATES: Effective Dates: This rule is effective on April 24, 2006, with
the exception of the movement of Bulgaria from Computer Tier 3 to
Computer Tier 1 in section 740.7 of the EAR, which will be effective
June 3, 2006.
FOR FURTHER INFORMATION CONTACT: For questions of a general nature
contact Sharron Cook, Office of Exporter Services, Regulatory Policy
Division at (202) 482-2440 or E-Mail: scook@bis.doc.gov.
For questions of a technical nature contact Joseph Young, Office of
National Security and Technology Transfer Controls at 202-482-4197 or
E-Mail: jyoung@bis.doc.gov.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement
The United States is one of 40 states participating in the
Wassenaar Arrangement on Export Controls for Conventional Arms and
Dual-Use Goods and Technologies (Wassenaar Arrangement). The Wassenaar
Arrangement contributes to regional and international security and
stability by promoting transparency and greater responsibility in
transfers of conventional arms and dual-use goods and technologies,
thus preventing destabilizing accumulations of such items.
Participating states have committed to exchange information on exports
of dual-use goods and technologies to non-participating states for the
purposes of enhancing transparency and assisting in developing common
understandings of the risks associated with the transfers of these
items. In December 2005, the Wassenaar Arrangement met in Plenary
session and agreed to implement a new computer performance formula and
associated control levels for export control purposes.
Composite Theoretical Performance (CTP) to Adjusted Peak Performance
(APP)
For more than a decade, Composite Theoretical Performance (CTP) has
been used for measuring computer performance for the purpose of export
control. CTP, expressed in millions of theoretical operations per
second (MTOPS), is difficult to calculate and, because of remarkable
changes in computer architecture and semiconductor technology, has
significant shortcomings in the ranking of computers. As a result of
the limitations of CTP and the continued growth of commodity cluster
systems, the Administration conducted a comprehensive review of export
controls on computer hardware. In 2004, the Departments of Defense and
Energy conducted an assessment of U.S. Government requirements and
benchmark tests. The review identified a controllable class of high-end
proprietary computer systems, a more effective metric for controlling
such systems, and a new proposed control level. As a result, the
interagency group concerned, including the Departments of Defense,
State, Energy and Commerce, concluded that CTP (measured in MTOPS) has
been unable to keep up with advances in computer architecture
technology, and no longer meets national security objectives.
Specifically, the CTP formula does not adequately distinguish between
generic commodity systems and vector systems. The CTP formula
imprecisely equates off-the-shelf systems based on low-cost widely
available microprocessors--computers with lesser national security
significance--with high-end special order high performance computers
such as vector systems, which have greater national security
significance.
The CTP calculation takes into account short word length
operations. As state-of-the-art computers have evolved, capabilities to
perform this class of operations have become ubiquitous in multi-media
extensions (MMX) in low-cost commodity microprocessors. The requirement
to include these operations when using the CTP formula complicates the
calculation and overstates the scientific computational capability of
these systems by as much as a factor of two.
Even as a formula for this class of computers, CTP has several
problems. The CTP formula does not distinguish between architectures,
and arguably understates the performance of vector supercomputers
relative to aggregations of scalar processors. The inclusion of short
word length operations and the current formula for aggregation make the
CTP formula unnecessarily complicated to calculate for modern computing
architectures, with no offsetting benefit to national security.
Since 1999, a number of alternatives to the CTP formula have been
suggested. These ranged from dispensing with a ``formula'' and simply
counting the number of processors in a computer to implementing more
rigorous formulas for measuring computer performance, such as
incorporating memory and/or interconnect bandwidth. All of these
alternatives raised definitional problems or required even more vendor-
proprietary data than is currently necessary for CTP calculations.
The Administration's assessment identified a controllable class of
high end proprietary computer systems with the most significant
national security applications, a more effective formula for
identifying such systems, and a new proposed control level. A formula
was needed to draw a clear distinction between vector systems which
have significantly more value in national security applications and
non-vector systems. It was determined that double precision floating-
point computation (DP FP) was the most meaningful measure of HPC
performance for export control purposes to distinguish between vector
and non-vector systems. This distinction is critical to achieving the
nation's computer export control policy objectives. By using DP FP
performance as the basis for export controls, the inflation introduced
by short word length operands in the formula used for calculating CTP
is eliminated and the playing field leveled for competing
microprocessor architectures.
The new control formula based on DP FP is Adjusted Peak Performance
(APP) measured in Weighted TeraFLOPS (WT). The APP formula allows for
much more targeted control of the high-end, special order HPCs, such as
vector systems and proprietary cluster systems, which are of the
greatest national security significance. The APP formula is derived
from existing industry standards and is easier to calculate than the
CTP formula. The APP formula will maintain controls on high-end high
performance computers (HPCs) capable of computationally intensive
national security operations. The APP formula places more weight on
vector systems than non-vector systems. Considering the superior
performance of vector supercomputers for some important applications
and an analysis of applications and the High Performance Linpack
benchmarks, a weighting of 0.9 was selected for vector processors.
Currently available HPC systems exhibit a wide range of efficiencies. A
weighting factor of 0.3 was appropriate for other classes of non-vector
export controlled HPC systems. The 0.3 weighting factor is a rough
approximation of the relative performance observed between vector and
non-vector HPCs over a representative range of applications.
[[Page 20878]]
APP provides more consistent treatment for all comparable systems than
CTP.
Setting of the Control Thresholds
The Administration's assessment determined that the appropriate
control level for computers using the APP formula is 0.75 WT, which was
proposed in the April 2005 meeting of the Wassenaar Arrangement and
agreed to at the December 2005 Wassenaar Arrangement Plenary meeting.
This determination was based on the Departments of Defense and Energy
HPC benchmarks, procurement and usage; the government's ability to
control state-of-the-art technology (i.e., proprietary and vector
systems); the ability of Tier 3 countries to achieve a given level of
performance for range of architectures; and maintenance of a level
playing field among comparable products.
The 0.75 WT control level recognizes the foreign availability of
the computing capacity illustrated by the Chinese commodity cluster
systems currently ranked on the Top-500 List of fastest HPCs in the
world. The 0.75 WT level continues to control high-end proprietary
HPCs, such as those used by the Department of Defense and the
Department of Energy for advanced research, development, and
simulation, while removing controls on the lower-end, more widely
available systems.
The Wassenaar Arrangement agreed to set the Basic List control
level for computer software and technology at 0.04 WT, and this was
based on computer chip manufacturer projections of what chips would be
in production by the end of 2007, e.g., a 4 GHz, dual core Itanium
processor would have an APP of 0.0384 WT. The Wassenaar Sensitive List
threshold for computer development and production technology and
software was set at 0.1 WT to limit the production of multi-board
computer vector systems, such as the 8 way Cray X1 or the 4 way Cray
XE.
The EAR also set forth several other computer control levels, for
purposes of unilateral anti-terrorism controls and License Exception
eligibility, that do not have Wassenaar Arrangement equivalents. This
final rule makes conforming changes in these provisions by establishing
control levels expressed in WT using the APP formula. These control
thresholds were obtained by finding a computer chip that had a CTP
equivalent to the CTP threshold control level in the EAR, performing
the APP formula on the chip, and then rounding up. For instance, in
ECCN 4A994 the CTP threshold is 6 MTOPS. This is very similar in
performance to the Intel 386 microprocessor. When the APP formula is
applied to the Intel 386, the APP equals 0.00001 WT (after rounding
up).
National Defense Authorization Act (NDAA) Congressional Notification
Requirement
Subsections 1211(d) and (e) of the National Defense Authorization
Act (NDAA) for FY 1998 (Pub. L. 105-85, November 18, 1997, 111 Stat.
1932) provides that the President must submit a report to Congress 60
days before adjusting the composite theoretical performance level above
which exports of digital computers to Tier 3 countries require a
license. The President sent a report to Congress on February 3, 2006
that establishes and provides justification for the 0.75 WT control
level using the APP formula.
Bulgaria
This rule removes Bulgaria from Computer Tier 3 and places it in
Computer Tier 1. However, due to the requirements in the 1998 National
Defense Authorization Act (NDAA), removing Bulgaria from Computer Tier
3 is not effective until 120 days after the Congress receives a report
justifying such a removal. This report was sent to Congress on February
3, 2006. Therefore, the movement of Bulgaria from Computer Tier 3 to
Computer Tier 1 will become effective on June 3, 2006.
Bulgaria is a member of the Wassenaar Arrangement, the Missile
Technology Control Regime, the Australia Group, and the Nuclear
Suppliers Group. Bulgaria is also a member of the North Atlantic Treaty
Organization (NATO). Because of the Bulgarian Government's success in
strengthening its export control system, it has been determined that
moving Bulgaria from Computer Tier 3 to Computer Tier 1 will not
decrease the national security of the United States, and may in fact
strengthen it by building stronger coalitions with nations that
understand the importance of a strong export control program. This
revision will result in fewer license applications, because Bulgaria
will be eligible for License Exception APP. In addition, the EAR will
no longer require NDAA-based recordkeeping and post shipment
verification reporting of exports of high performance computers to
Bulgaria.
XP Reason for Control
This rule removes the reason for control related to high
performance computers (XP) from ECCNs 4A001, 4A003, 4D001, 4D002, and
4E001. XP controls were implemented on March 25, 1996, 61 FR 12714, in
the regulation entitled, ``Simplification of Export Administration
Regulations.'' At the present time, XP controls do not enhance license
requirements or license review policies that are already in place under
the national security (NS) controls described in Sec. 742.4 of the
EAR, the anti-terrorism (AT) controls in various parts of 742, or any
other controls in the EAR. The XP control creates more of a burden to
the public than assistance. In addition, placing special reporting and
recordkeeping requirements in this section is not consistent with the
organizational format of the EAR. The EAR has specific parts for
special reporting and recordkeeping. For these reasons, this rule
removes the reason for control XP from the aforementioned ECCNs.
Conforming changes are also made to Sec. 738.2(d)(2)(i)(A) and Sec.
746.3(a)(1) of the EAR.
Missile Technology Controls
This rule removes the missile technology (MT) control from ECCN
4A003. The MT control in 4A003 applies to digital computers used as
ancillary equipment for test facilities and equipment that are
controlled by ECCNs 9B005 or 9B005 (both non-MT controlled
commodities). This MT control has no corresponding entry on the Missile
Technology Control Regime's (MTCR) Annex. The computers that are
described on the Missile Technology Control (MTCR) Annex fall under two
entries 13.A.1 and 16.A.1. The 13.A.1 entry on the MTCR Annex is for
ruggedized or radiation hardened computers and is controlled on the
Commerce Control List (CCL) under ECCN 4A101 for MT and AT reasons. The
16.A.1 entry on the MTCR Annex is for hybrid computers for modeling,
simulation or design integration of missile or rocket systems or
subsystems specified on the MTCR Annex, which is controlled on the CCL
under ECCN 4A102 for MT and AT reasons. Therefore, because these
computers are controlled under other ECCNs, this rule removes the MT
control under ECCN 4A003. Corresponding amendments associated with the
removal of the MT controls under ECCN 4A003, include:
a. Removing the last sentence of Sec. 740.7(a)(1) of the EAR,
which states that computers controlled for missile technology (MT)
reasons are not eligible for License Exception APP. Because the only
computers eligible for License Exception APP are classified under 4A003
and this rule removes all MT controls from 4A003, this sentence is not
necessary.
b. Removing the phrase ``and software'' from the last sentence in
[[Page 20879]]
Sec. 740.7(a)(2) of the EAR, which states, ``Technology and software
for computers controlled for missile technology (MT) reasons are not
eligible for License Exception CTP.'' However, the only eligible
software eligible for License Exception APP is classified under 4D001,
and there are no existing MT controls in 4D001. However, there are MT
controls in 4E001 for technology for items controlled by 4A001.a and
4A101.
c. For the same reasons stated in paragraph (a) above, the last
sentence of the first paragraph in Sec. 770.2(l)(1) is removed, which
stated, ``Computers controlled in this entry for MT reasons are not
eligible for License Exception regardless of the CTP of the computer.''
d. For the same reasons stated in paragraph (a) above, the phrase
``parameters of Missile Technology concern, or'' is removed from the
first sentence of the second paragraph in Sec. 770.2(l)(1).
e. For the same reasons stated in paragraph (a) above, the second
sentence of the second paragraph in Sec. 770.2(l)(1) is removed, which
stated, ``This License Exception does not authorize the export or
reexport of computers controlled for MT purposes regardless of the
CTP.''
Section 742.12 ``High Performance Computers''
The EAR has contained a section for high performance computers
(HPCs) for over a decade. The rapid advance in technology created a
high demand for information about export controls for computers among
those who were not acquainted with the EAR, i.e., individuals using
personal computers. Now that the HPC controls are raised to a level
such that only high performance computers of the greatest national
security concern require a license for export, BIS expects that it will
receive fewer license applications for computers. As a result of this
shift, there will be less burden on individual users of personal
computers. The license requirements that are stated in 742.12 are
redundant to those stated in other parts of the EAR, such as national
security (Sec. 742.4 of the EAR), anti-terrorism (various sections of
part 742), or nonproliferation controls found in part 744. For these
reasons, this rule removes section 742.12. However, this rule will
preserve the recordkeeping requirement for computers, mandated by the
National Defense Authorization Act for FY 1998 (section 1212), by
combining it with the special reporting requirements in part 743. In
addition, this rule moves the post shipment verification reporting and
recordkeeping requirements, mandated by the National Defense
Authorization Act of FY 1998 (section 1213) to part 743 ``Special
Reporting,'' under a new section 743.2 ``High Performance Computers:
Post Shipment Verification Reporting.'' In addition, this rule revises
Sec. 762.2(b)(6) of the EAR that referred to the recordkeeping
requirements that were in Sec. 742.12 of the EAR, to reference section
743.2 where the recordkeeping requirement has been moved.
In conformance with the removal of Sec. 742.12, this rule revises
a phrase in Sec. 734.4(a)(1) of the EAR. The phrase stated ``to
Computer Tier 4 countries described in Sec. 742.12 of the EAR'' and is
revised to read ``to Cuba, Iran, Libya, North Korea, Sudan, and
Syria.'' All references to Computer Tier 4 are no longer necessary,
because the license requirements and license review policy for these
countries is found in either part 736, part 746, or part 742 of the EAR
depending generally on it's status as a country that supports terrorism
or its embargo status.
In addition, this rule removes Supplement No. 3 to part 742 ``High
Performance Computers; Safeguard Conditions and Related Information,''
because a sample security safeguard plan can be found on BIS's Web site
at http://www.bis.doc.gov/hpcs/SecuritySafeguardPlans.html. The
requirement for this security safeguard plan is added to paragraph
(c)(2) of Supplement No. 2 to part 748 ``Unique Application and
Submission Requirements'' of the EAR.
Section 740.7 License Exception APP (Formerly License Exception CTP)
Because this rule changes the computer formula for determining
computer performance from Composite Theoretical Performance (CTP) to
Adjusted Peak Performance (APP), this rule revises the license
exception symbol for License Exception CTP to ``APP.'' Hereafter,
License Exception CTP will be known as License Exception APP. This rule
also makes conforming changes throughout the EAR as a result of this
change.
This rule also makes ``use'' technology equal to or less than 0.75
WT eligible for export under License Exception APP to Computer Tier 3
destinations and to Computer Tier 1 destinations, other than the
destinations that are listed in Sec. 740.7(c)(3)(i) of the EAR. The
0.75 WT control threshold is consistent with levels agreed to by the
Wassenaar Arrangement. The Wassenaar Arrangement agreed that
development and production technology and source code for computers
with an APP exceeding 0.1 Weighted TeraFLOPS (WT) is sensitive for
conventional arms purposes. Therefore, eligibility under License
Exception APP for development and production technology and source code
to Computer Tier 3 destinations and to Computer Tier 1 destinations,
other than the destinations that are listed in Sec. 740.7(c)(3)(i) of
the EAR, is set at an APP of less than or equal to 0.1 WT.
However, eligibility under License Exception APP for development
and production technology and source code to Computer Tier 1
destinations listed in Sec. 740.7(c)(3)(i) of the EAR is set at an APP
of less than or equal to 0.75 WT, because these destinations are of
lesser national security concern.
Supplement No. 2 to Part 748
This rule clarifies the phrase ``according to the principal
function of the equipment,'' by replacing it with references to Notes
in Category 5 part 1 and part 2, where the applicant can find
information to guide them about Category 5 telecommunication and
information security functions. In paragraph (c), this rule deletes the
phrase ``certifiable multi-level security or certifiable user isolation
functions'' because this former 5A002 sub-item has been deleted.
This rule also removes paragraph (c)(2), because Category 4 has not
contained Advisory Notes for over a decade. In place of text that was
in paragraph (c)(2), this rule adds a paragraph describing the security
safeguard plan requirement. The United States requires security
safeguards for exports, reexports, and in-country transfers of High
Performance Computers (HPCs) to ensure that they are used for peaceful
purposes. If you are submitting a license application for an export,
reexport, or in-country transfer of a high performance computer to or
within a destination in Computer Tier 3 (see Sec. 740.7(c)(1) of the
EAR) or to Cuba, Iran, Libya, North Korea, Sudan, or Syria you must
include with your license application a security safeguard plan signed
by the end-user, who may also be the ultimate consignee. This
requirement also applies to exports, reexports, and in-country
transfers of components or electronic assemblies to upgrade existing
``computer'' installations in those countries. A sample security
safeguard plan is posted on BIS's webpage at http://www.bis.doc.gov/
hpcs/SecuritySafeguardPlans.html. In addition, this rule makes
conforming changes to the table ``Information Collection Requirements
Under the Paperwork Reduction Act: OMB Control Numbers'' in Supplement
No. 1 to part
[[Page 20880]]
730 to change the reference to where the safeguard requirements are
located in the EAR.
Section 750.4(b) Actions Not Included in Processing Time Calculations
On May 11, 1995, BIS published a proposed rule for the
simplification of the EAR (60 FR 25270) that contained the Acting
Secretary of State's determination of December 28, 1993, that five
categories of multilaterally controlled items would be controlled under
section 6(j). License applications for certain items would be reviewed
under the 6(j) procedures. This rule was made final on March 25, 1996
(61 FR 12714). One category of items subject to the new 6(j) procedure
was those subject to national security controls, except national
security controlled digital computers with a Composite Theoretical
Performance (CTP) of 500 Million Theoretical Operations Per Second
(MTOPS) or less. At the time, and until 1998, the NS control level for
computers was 260 MTOPS (then it increased to 2,000 MTOPS). So until
1998, computers controlled for NS reasons were not subject to 6(j)
requirements if they were between 260 and 500 MTOPS. Although the NS
control level for computers was increased several times, this computer
level in this section was repeatedly overlooked. This rule corrects
this error by removing the exemption for computers with a CTP of 500
MTOPS from a Congressional 30-day notification requirement under
section 6(j) of the Export Administration Act, as amended (EAA), prior
to the issuance of the license for any digital computers destined to
the military, police, intelligence or other sensitive end-users located
in designated terrorist-supporting countries. This exemption has been
overtaken by technological advancements, i.e., computers controlled for
NS reasons with a CTP of 500 MTOPS no longer exist today. This rule
does not change the requirement for Congressional notification for all
items controlled for national security reasons to end users set forth
above. Computers classified by ECCN 4A003 are controlled for national
security reasons when the APP exceeds 0.75 WT, as implemented by this
rule.
Conforming Changes
This rule makes the following conforming changes:
With regard to License Exception CTP being changed to
License Exception APP:
--------------------------------------------------------------------------------------------------------------------------------------------------------
EAR citation Subject matter
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec. 732.4(b)(3)(iii) and (b)(3)(iv)... Steps regarding License Exceptions.
Sec. 740.7............................. License Exception CTP.
Sec. 743.1(b)(1)....................... Wassenaar Arrangement special reporting requirements.
Sec. 746.3(c).......................... License Exceptions for Iraq.
EECN 4A003............................... License Exception section, License Exception CTP.
ECCN 4D001............................... License Exception section, License Exception CTP.
ECCN 4E01................................ License Exception section, License Exception CTP.
--------------------------------------------------------------------------------------------------------------------------------------------------------
With regard to references to the computer metric CTP,
without reference to a specific MTOPS limit:
--------------------------------------------------------------------------------------------------------------------------------------------------------
EAR citation Subject matter
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec. 740.11(a)(4)...................... License Exception GOV.
Sec. 740.11(c)(4)...................... License Exception GOV.
Sec. 743.1(c)(2)....................... Reference to formula for calculating APP.
Sec. 743.2 (c)(7)...................... Information that must be included in the Post Shipment Verification Report.
Supplement No. 1 to part 748, Block 22(b) Multipurpose Application Instructions.
Supplement No. 2 to part 748, paragraph Digital Computers, telecommunications, and related equipment.
(c).
Supp. No. 1 to part 752, (b)............. Instructions for completing form BIS-748P-A.
Sec. 770.2(l).......................... Interpretation 12: Computers.
ECCN 4A003.c............................. Electronic Assemblies.
ECCN 4A994 Note 1 to 4A994.c............. Electronic Assemblies.
ECCN 4D001.b.2........................... Electronic Assemblies.
ECCN 4E001.b.2........................... Electronic Assemblies.
--------------------------------------------------------------------------------------------------------------------------------------------------------
With regard to a change in computer metric changes from
CTP to APP:
----------------------------------------------------------------------------------------------------------------
EAR citation Subject matter Prior CTP in MTOPS New APP in WT
----------------------------------------------------------------------------------------------------------------
Sec. 734.4(a)(1).............. De minimis eligibility 190,000................. 0.75.
for foreign-made
computers going to
Computer Tier 3
destinations.
Sec. 734.4(a)(1).............. De minimis eligibility 28,000.................. .002.
for foreign-made
computers going to
Cuba, Iran, Libya,
North Korea, Sudan, and
Syria.
Sec. 740.7(c)(3)(ii).......... Development and 190,000................. 0.1.
Production technology
and source code
eligible for deemed
exports under License
Exception APP to
foreign nationals of
Tier 1 destinations,
other than the
destinations that are
listed in Sec.
740.7(c)(3)(i).
[[Page 20881]]
Sec. 740.7(c)(3)(iii) (new Use technology and 190,000................. 0.75.
paragraph). source code eligible
for deemed exports
under License Exception
APP to foreign
nationals of Tier 1
destinations, other
than the destinations
that are listed in Sec.
740.7(c)(3)(i).
Sec. 740.7(d)(3)(i)........... Development and 190,000................. 0.1.
Production technology
and source code
eligible for deemed
exports under License
Exception APP to
foreign nationals of
Tier 3 destinations.
Sec. 740.7(d)(3)(ii) new Use technology and 190,000................. 0.75.
paragraph. source code eligible
for deemed exports
under License Exception
APP to foreign
nationals of Tier 3
destinations.
740.9(a)(2)(i)(B)(1)............ License Exception TMP, 6,500................... 0.0015.
Tools of Trade, Sudan,
eligible computers
under 4A994.
Sec. 740.19(a)(2)(iv)......... License Exception USPL, 12,000.................. 0.003.
eligible AT controlled
computers (4A994) to
U.S. persons in Libya.
Supp. No. 2 to part 742(c)(24).. Heading for digital 6....................... 0.00001.
computer license policy
destined to designated
terrorist supporting
countries.
Supp. No. 2 to part N. Korea license policy 2,000................... 0.0004.
742(c)(24)(iv)(A) and (B). for digital computers.
Sec. 743.1(c)(2).............. Wassenaar Arrangement 190,000................. 0.1.
Special Reporting
Requirements for
computer technology and
software for the
development and
production of computers.
Sec. 743.2 (new), moved from Post Shipment 190,000................. 0.75.
742.12(b)(3)(iv). Verification Reporting
and recordkeeping for
Computer Tier 3
destinations.
750.4(b)(6)(ii)(A).............. Digital Computers not Less than 500........... Removed.
subject to a
Congressional 500
notification
requirement when the
issuance of the license
for any military,
police, intelligence or
other sensitive end-
user in designated
terrorist-supporting
country.
ECCN 4A003...................... License Requirement 6 and 190,000........... 0.00001 and 0.75.
section, AT controls
(refer to ECCN 4A994).
ECCN 4A003...................... License Requirement 190,000................. Removed.
section, XP controls.
ECCN 4A003...................... Note in License 190,000................. 0.75 (two times).
Requirement section.
ECCN 4A994...................... ECCN 4A994.b............ 6....................... 0.00001.
ECCN 4A994...................... ECCN 4A994.f equipment 8.5..................... 0.00001.
for signal processing
or image enhancement.
ECCN 4D001...................... License Exception 190,000................. 0.1.
section, TSR.
ECCN 4E001...................... License Exception 190,000................. 0.1.
section, TSR.
----------------------------------------------------------------------------------------------------------------
With regard to the placement of the CTP formula:
Because BIS has decided to move the formula for CTP from the end of
Category 4 to the end of Category 3, this rule revises the definition
of ``Composite Theoretical Performance'' (``CTP'') to remove references
to Category 4, and revises the information about where the formula for
CTP may be found. The formula for CTP is no longer necessary in
Category 4, because CTP has been replaced by APP throughout Category 4.
However, the formula for CTP is still necessary for Category 3, because
it is used in 3A991 (License Requirement Note and 3A991.a.1), 3E001
(License Exception CIV), and 3E002 (Heading and License Exception CIV).
With regard to ``computing elements'':
This rule implements an amendment to 4A003.c to revise the term
``computing elements'' (``CE'')'' to read ``processors.'' There are two
conforming changes to this revision in Sec. 740.11(a)(4) and Sec.
740.11(c)(4) under License Exception GOV.
Category 3--Electronics
This rule moves the technical note on how to calculate the
Composite Theoretical Performance (CTP) from the end of Category 4 to
the end of Category 3, because the implementation of Adjusted Peak
Performance removed all references to CTP in Category 4 and CTP only
remains in Category 3.
ECCN 3A991 is amended by revising License Requirement Note 1 to:
(1) Spell out the acronym CTP, and (2) Add a reference about where to
find information on how to calculate CTP.
ECCNs 3E001 and 3E002 are amended by revising License Exception CIV
text to spell out the acronym CTP, for clarification and to indicate
that Composite Theoretical Performance is a defined term in section
772.1.
Implementation of Wassenaar Arrangement Agreements
The following revisions are consistent with agreements made by the
Wassenaar Arrangement to replace the CTP formula for calculating
composite theoretical performance with the APP formula:
Category 4--Computers
Category 4 is amended by adding the formula for Adjusted Peak
Performance (APP) after EAR99.
ECCN 4A001 is amended by:
a. Removing High Performance Computer (XP) controls from the
License Requirements section for reasons set forth above in this
background section of the rule; and
b. Adding in the License Requirement Note a reference to the
paragraph (4A001.a.2) that triggers the Wassenaar reporting requirement
in Sec. 743.1 of the EAR.
ECCN 4A003 is amended by:
a. Removing the Missile Technology (MT) and High Performance
Computer (XP) controls paragraph in the License Requirement section for
reasons set forth above in the background section of this rule;
b. Revising the parameter and value in 4A003.b from CTP to APP and
from 190,000 MTOPS to 0.75 WT; and
c. Revising the text and parameter in 4A003.c (electronic
assemblies) from ``computing elements (CE)'' to ``processors.''
ECCN 4A994 is amended by:
[[Page 20882]]
a. Revising the parameter and value in 4A994.b from CTP to APP and
from 6 MTOPS to 0.00001 WT;
b. Replacing the reference to CTP with APP in Note 1 to 4A994.c;
and
c. Revising the parameter and value in 4A994.f from CTP to APP and
from 8.5 MTOPS to 0.00001 WT, because there is little difference
between the APP in 4A994.b and this paragraph and BIS believes that it
is easier to comply with regulations when numbers are harmonized.
ECCN 4D001 is amended by revising:
a. Removing the High Performance Computer (XP) controls paragraph
in the License Requirement section for reasons set forth above in the
background section of this rule;
b. Revising the parameter and value in 4D001.b.1 from CTP to APP
and from 75,000 MTOPS to 0.04 WT; and
c. Revising the text and parameter in 4D001.b.2 from ``computing
elements (CE)'' to ``processors'' and the parameter CTP to APP.
ECCN 4D002 is amended by removing the High Performance Computer
(XP) controls paragraph in the License Requirement section for reasons
set forth above in the background section of this rule.
ECCN 4E001 is amended by revising:
a. Removing the High Performance Computer (XP) controls paragraph
in the License Requirement section for reasons set forth above in the
background section of this rule;
b. Revising the parameter and value in 4E001.b.1 from CTP to APP
and from 75,000 MTOPS to 0.04 WT; and
c. Revising the text and parameter in 4E001.b.2 from ``computing
elements (CE)'' to ``processors'' and the parameter CTP to APP.
Definitions
This rule amends 772.1, Definitions of Terms as Used in the Export
Administration Regulations (EAR) by adding the definition of ``Adjusted
Peak Performance'' (``APP'').
Effect on License Applications
BIS expects that the implementation of the new computer metric
Adjusted Peak Performance (APP) will decrease the number of high
performance computer (ECCN 4A003.b) license applications received by
BIS by about 90 percent (i.e., 6 fewer applications projected) over the
next 6 months. The new licensing threshold provides a relaxation of HPC
export controls because all computers that are equal to or below
190,000 MTOPS are also below 0.75 WT, while certain computers with
performance currently measured as exceeding 190,000 MTOPS do not exceed
0.75 WT. The amount of relaxation that may occur for any particular
family of computers will depend on the technical specifics of the
system architecture and the processor used in the family.
Other Revisions
This rule also makes an editorial correction to Sec. 770.2(l)(2),
Interpretation 12: Computers by removing reference to 4A003.d and
4A003.f, which are currently reserved and not in use.
Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001, 3 CFR,
2001 Comp., p. 783 (2002), as extended by the Notice of August 2, 2005,
70 FR 45273 (August 5, 2005), has continued the Export Administration
Regulations in effect under the International Emergency Economic Powers
Act.
Rulemaking Requirements
1. This final rule has been determined to be not significant for
purposes of E.O. 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information, subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number. This rule
involves three collections of information subject to the PRA. The first
collection has been approved by OMB under control number 0694-0088,
``Multi-Purpose Application,'' and carries a burden hour estimate of 58
minutes for a manual or electronic submission. The second collection
has been approved by OMB under control number 0694-0106, ``Reporting
and Recordkeeping Requirements under the Wassenaar Arrangement,'' and
carries a burden hour estimate of 21 minutes for a manual or electronic
submission. The third collection has been approved by OMB under control
number 0694-0073, ``Export Controls of High Performance Computers,''
and carries a burden hour estimate of 78 hours for a manual or
electronic submission. This rule is expected to result in an immediate
decrease in license applications, and in associated reporting and
support documentation requirements, for high performance computers;
however, this decrease may be reduced over time as higher performance
systems are marketed. Send comments regarding these burden estimates or
any other aspect of these collections of information, including
suggestions for reducing the burden, to OMB Desk Officer, New Executive
Office Building, Washington, DC 20503; and to the Office of
Administration, Bureau of Industry and Security, Department of
Commerce, 14th and Pennsylvania Avenue, NW., Room 6883, Washington, DC
20230.
3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). Further, no other
law requires that a notice of proposed rulemaking and an opportunity
for public comment be given for this final rule. Because a notice of
proposed rulemaking and an opportunity for public comment are not
required to be given for this rule under the Administrative Procedure
Act or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore,
this regulation is issued in final form. Although there is no formal
comment period, public comments on this regulation are welcome on a
continuing basis. Comments should be submitted to Sharron Cook, Office
of Exporter Services, Bureau of Industry and Security, Department of
Commerce, P.O. Box 273, Washington, DC 20044.
List of Subjects
15 CFR Part 730
Administrative practice and procedure, Advisory committees,
Exports, Reporting and recordkeeping requirements, Strategic and
critical materials.
15 CFR Parts 732, 740, 748, 750, and 752
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 734
Administrative practice and procedure, Exports, Inventions and
patents, Research Science and technology.
15 CFR Part 742
Exports, Terrorism.
[[Page 20883]]
15 CFR Part 743
Administrative practice and procedure, Reporting and recordkeeping
requirements.
15 CFR Parts 746 and 774
Exports, Reporting and recordkeeping requirements.
15 CFR Part 762
Administrative practice and procedure, Business and industry,
Confidential business information, Exports, Reporting and recordkeeping
requirements.
15 CFR Parts 738, 770 and 772
Exports.
0
Accordingly, parts 730, 732, 734, 738, 740, 742, 743, 746, 748, 750,
752, 762, 770, 772 and 774 of the Export Administration Regulations (15
CFR parts 730-799) are amended as follows:
PART 730--[AMENDED]
0
1. The authority citation for part 730 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c; 22 U.S.C. 2151 note, Pub. L. 108-175; 22 U.S.C. 3201 et seq.;
22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42 U.S.C.
6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50 U.S.C. app. 5; Sec.
901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; E.O. 11912, 41
FR 15825, 3 CFR, 1976 Comp., p. 114; E.O. 12002, 42 FR 35623, 3 CFR,
1977 Comp., p. 133; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p.
179; E.O. 12214, 45 FR 29783, 3 CFR, 1980 Comp., p. 256; E.O. 12851,
58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12854, 58 FR 36587, 3
CFR, 1993 Comp., p. 179; E.O. 12918, 59 FR 28205, 3 CFR, 1994 Comp.,
p. 899; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O.
12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356; E.O. 12981, 60 FR
62981, 3 CFR, 1995 Comp., p. 419; E.O. 13020, 61 FR 54079, 3 CFR,
1996 Comp., p. 219; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. 208; E.O. 13222,
66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3
CFR, 2001 Comp., p. 786; E.O. 13338, 69 FR 26751, May 13, 2004;
Notice of August 2, 2005, 70 FR 45273 (August 5, 2005); Notice of
October 25, 2005, 70 FR 62027 (October 27, 2005).
0
2. Supplement No. 1 to part 730 is amended by revising ``Sec. 742.12,
Supplement No. 3 to part 742, and Sec. 762.2(b)'' to read ``Supplement
No. 2 to part 748, paragraph (c)(2), and Sec. 762.2(b)'' in the third
column ``Reference in the EAR'' of row ``0694-0073''.
PART 732--[AMENDED]
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3. The authority citation for part 732 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 2, 2005, 70 FR
45273 (August 5, 2005).
Sec. 732.4 [Amended]
0
4. Section 732.4 is amended by
0
a. Revising the phrase ``List-based License Exceptions (LVS, GBS, CIV,
TSR, and CTP)'' to read ``List-based License Exceptions (LVS, GBS, CIV,
TSR, and APP) in paragraph (b)(3)(iii); and
0
b. Revising the phrase ``under License Exceptions GBS, CIV, LVS, CTP,
TSR, or GOV,'' to read ``under License Exceptions GBS, CIV, LVS, APP,
TSR, or GOV,'' in paragraph (b)(3)(iv).
PART 734--[AMENDED]
0
1. The authority citation for part 734 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13020, 61
FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; Notice of November 4, 2004, 69 FR 64637 (November 8, 2004);
Notice of August 2, 2005, 70 FR 45273 (August 5, 2005).
0
2. Section 734.4 is amended by revising paragraph (a)(1) to read as
follows:
Sec. 734.4 De minimis U.S. content.
(a) Items for which there is no de minimis level. (1) There is no
de minimis level for the export from a foreign country of a foreign-
made computer with an Adjusted Peak Performance (APP) exceeding 0.75
Weighted TeraFLOPS (WT) containing U.S.-origin controlled
semiconductors (other than memory circuits) classified under ECCN 3A001
to Computer Tier 3; or exceeding an APP of 0.002 WT containing U.S.-
origin controlled semiconductors (other than memory circuits)
classified under ECCN 3A001 or high speed interconnect devices (ECCN
4A994.j) to Cuba, Iran, Libya, North Korea, Sudan, and Syria.
* * * * *
PART 738--[AMENDED]
0
1. The authority citation for part 738 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; 50 U.S.C. app. 5; Sec. 901-911, Pub. L. 106-387; Sec.
221, Pub. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 2, 2005, 70 FR 45273 (August 5, 2005).
Sec. 738.2 [Amended]
0
2. Section 738.2 is amended by removing the phrase ``XP Computers''
from the list at the end of paragraph (d)(2)(i)(A).
PART 740--[AMENDED]
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3. The authority citation for part 740 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec. 901-911, Pub. L. 106-387; E.O. 13026, 61 FR 58767, 3 CFR, 1996
Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783;
Notice of August 2, 2005, 70 FR 45273 (August 5, 2005).
0
4. Section 740.7 is revised to read as follows:
Sec. 740.7 Computers (APP).
(a) Scope. (1) Commodities. License Exception APP authorizes
exports and reexports of computers, including ``electronic assemblies''
and specially designed components therefor controlled by ECCN 4A003,
except ECCN 4A003.e (equipment performing analog-to-digital conversions
exceeding the limits in ECCN 3A001.a.5.a), exported or reexported
separately or as part of a system for consumption in Computer Tier
countries as provided by this section. When evaluating your computer to
determine License Exception APP eligibility, use the APP parameter to
the exclusion of other technical parameters in ECCN 4A003.
(2) Technology and software. License Exception APP authorizes
exports of technology and software controlled by ECCNs 4D001 and 4E001
specially designed or modified for the ``development'', ``production'',
or ``use'' of computers, including ``electronic assemblies'' and
specially designed components therefor classified in ECCN 4A003, except
ECCN 4A003.e (equipment performing analog-to-digital conversions
exceeding the limits in ECCN 3A001.a.5.a), to Computer Tier countries
as provided by this section. Technology for computers controlled for
missile technology (MT) reasons are not eligible for License Exception
APP.
(b) Restrictions. (1) Related equipment controlled under ECCN
4A003.g may not be exported or reexported under this License Exception
when exported or reexported separately from eligible
[[Page 20884]]
computers authorized under this License Exception.
(2) Access and release restrictions. (i) Computers and software.
Computers and software eligible for License Exception APP may not be
accessed either physically or computationally by nationals of Cuba,
Iran, Libya, North Korea, Sudan, or Syria, except that commercial
consignees described in Supplement No. 3 to part 742 of the EAR are
prohibited only from giving such nationals user-accessible
programmability.
(ii) Technology and source code. Technology and source code
eligible for License Exception APP may not be released to nationals of
Cuba, Iran, Libya, North Korea, Sudan, or Syria.
(3) Computers and software eligible for License Exception APP may
not be reexported or transferred (in country) without prior
authorization from BIS, i.e., a license, a permissive reexport, another
License Exception, or ``No License Required''. This restriction must be
conveyed to the consignee, via the Destination Control Statement, see
Sec. 758.6 of the EAR. Additionally, the end-use and end-user
restrictions in paragraph (b)(5) of this section must be conveyed to
any consignee in Computer Tier 3.
(4) You may not use this License Exception to export or reexport
items that you know will be used to enhance the APP beyond the
eligibility limit allowed to your country of destination.
(5) License Exception APP does not authorize exports and reexports
for nuclear, chemical, biological, or missile end-users and end-uses
subject to license requirements under Sec. 744.2, Sec. 744.3, Sec.
744.4, and Sec. 744.5 of the EAR. Such exports and reexports will
continue to require a license and will be considered on a case-by-case
basis. Reexports and transfers (in country) to these end-users and end-
uses in eligible countries are strictly prohibited without prior
authorization.
(6) Foreign nationals in an expired visa status are not eligible to
receive deemed exports of technology or source code under this License
Exception. It is the responsibility of the exporter to ensure that, in
the case of deemed exports, the foreign national maintains a valid U.S.
visa, if required to hold a visa from the United States.
(c) Computer Tier 1 destinations. (1) Eligible destinations. The
destinations that are eligible to receive exports and reexports under
paragraph (c) of this section include: Antigua and Barbuda, Argentina,
Aruba, Australia, Austria, Bahamas (The), Bangladesh, Barbados,
Belgium, Belize, Benin, Bhutan, Bolivia, Botswana, Brazil, Brunei,
Bulgaria, Burkina Faso, Burma, Burundi, Cameroon, Cape Verde, Central
African Republic, Chad, Chile, Colombia, Congo (Democratic Republic of
the), Congo (Republic of the), Costa Rica, Cote d'Ivoire, Cyprus, Czech
Republic, Denmark, Dominica, Dominican Republic, East Timor, Ecuador,
El Salvador, Equatorial Guinea, Eritrea, Estonia, Ethiopia, Fiji,
Finland, France, Gabon, Gambia (The), Germany, Ghana, Greece, Grenada,
Guatemala, Guinea, Guinea-Bissau, Guyana, Haiti, Honduras, Hong Kong,
Hungary, Iceland, Indonesia, Ireland, Italy, Jamaica, Japan, Kenya,
Kiribati, Korea (Republic of), Latvia, Lesotho, Liberia, Liechtenstein,
Lithuania, Luxembourg, Madagascar, Malawi, Malaysia, Maldives, Mali,
Malta, Marshall Islands, Mauritius, Mexico, Micronesia (Federated
States of), Monaco, Mozambique, Namibia, Nauru, Nepal, Netherlands,
Netherlands Antilles, New Zealand, Nicaragua, Niger, Nigeria, Norway,
Palau, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Poland,
Portugal, Romania, Rwanda, St. Kitts & Nevis, St. Lucia, St. Vincent
and the Grenadines, Sao Tome & Principe, Samoa, San Marino, Senegal,
Seychelles, Sierra Leone, Singapore, Slovakia, Slovenia, Solomon
Islands, Somalia, South Africa, Spain, Sri Lanka, Surinam, Swaziland,
Sweden, Switzerland, Taiwan, Tanzania, Togo, Tonga, Thailand, Trinidad
and Tobago, Turkey, Tuvalu, Uganda, United Kingdom, Uruguay, Vatican
City, Venezuela, Western Sahara, Zambia, and Zimbabwe.
(2) Eligible commodities. All computers, including electronic
assemblies and specially designed components therefore are eligible for
export or reexport under License Exception APP to Tier 1 destinations,
subject to the restrictions in paragraph (b) of this section.
(3) Eligible technology and software. (i) Technology and software
described in paragraph (a)(2) of this section for computers of
unlimited APP are eligible for export or reexport under License
Exception APP to: Australia, Austria, Belgium, Canada, Denmark,
Finland, France, Germany, Greece, Ireland, Italy, Japan, Luxembourg,
Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland,
Turkey, or the United Kingdom; and
(ii) ``Development'' and ``production'' technology and source code
described in paragraph (a)(2) of this section for computers with a APP
less than or equal to 0.1 Weighted TeraFLOPS (WT) are eligible for
deemed exports under License Exception APP to foreign nationals of Tier
1 destinations, other than the destinations that are listed in
paragraph (c)(3)(i) of this section, subject to the restrictions in
paragraph (b) of this section.
(iii) ``Use'' technology and source code described in paragraph
(a)(2) of this section for computers with a APP less than or equal to
0.75 WT are eligible for deemed exports under License Exception APP to
foreign nationals of Tier 1 destinations, other than the destinations
that are listed in paragraph (c)(3)(i) of this section, subject to the
restrictions in paragraph (b) of this section.
(d) Computer Tier 3 destinations. (1) Eligible destinations.
Eligible destinations under paragraph (d) of this section are:
Afghanistan, Albania, Algeria, Andorra, Angola, Armenia, Azerbaijan,
Bahrain, Belarus, Bosnia & Herzegovina, Cambodia, China (People's
Republic of), Comoros, Croatia, Djibouti, Egypt, Georgia, India, Iraq,
Israel, Jordan, Kazakhstan, Kuwait, Kyrgyzstan, Laos, Lebanon, Macau,
Macedonia (The Former Yugoslav Republic of), Mauritania, Moldova,
Mongolia, Morocco, Oman, Pakistan, Qatar, Russia, Serbia and
Montenegro, Saudi Arabia, Tajikistan, Tunisia, Turkmenistan, Ukraine,
United Arab Emirates, Uzbekistan, Vanuatu, Vietnam, and Yemen.
(2) Eligible commodities. None.
(3) Eligible technology and source code. (i) ``Development,'' and
``production'' technology and source code described in paragraph (a)(2)
of this section for computers with a APP less than or equal to 0.1
Weighted TeraFLOPS (WT) are eligible for deemed exports under License
Exception APP to foreign nationals of Tier 3 destinations as described
in paragraph (d)(1) of this section, subject to the restrictions in
paragraph (b) and the provisions of paragraph (d)(4) of this section.
(ii) ``Use'' technology and source code described in paragraph
(a)(2) of this section for computers with an APP less than or equal to
0.75 WT are eligible for deemed exports under License Exception APP to
foreign nationals of Tier 3 destinations as described in paragraph
(d)(1) of this section, subject to the restrictions in paragraph (b)
and the provisions of paragraph (d)(4) of this section.
(4) Foreign National Review (FNR) requirement for deemed exports.
(i) Submission requirement. Prior to disclosing eligible technology or
source code to a foreign national of a Computer Tier 3 country that is
not also a country listed in Country Group B in Supplement No. 1 to
part 740 of the EAR under this License Exception, you must submit a
Foreign National Review
[[Page 20885]]
(FNR) request to BIS, as required under Sec. 748.8(s) of the EAR. Your
FNR request must include information about the foreign national
required under Sec. 748.8(t) of the EAR and set forth in Supplement
No. 2 of part 748 of the EAR.
(ii) Confirmation of eligibility. You may not use License Exception
APP, until you have obtained confirmation of eligibility by calling the
System for Tracking Export License Applications (STELA), see Sec.
750.5 for how to use STELA, or electronically from the Simplified
Network Application Procedure (SNAP), see http://www.bis.doc.gov/SNAP/index.htm
for more information about SNAP.
(iii) Action by BIS. Within nine business days of the registration
of the FNR request, BIS will electronically refer the FNR request for
interagency review, or if necessary return the FNR request without
action (e.g., if the information provided is incomplete). Processing
time starts at the point at which the notification is registered into
BIS's electronic system.
(iv) Review by other departments or agencies. The Departments of
Defense, State, Energy, and other agencies, as appropriate, may review
the FNR request. Within 30 calendar days of receipt of the BIS
referral, the reviewing agency will provide BIS with a recommendation
either to approve or deny the FNR request. A reviewing agency that
fails to provide a recommendation within 30 days shall be deemed to
have no objection to the final decision of BIS.
(v) Action on the FNR Request. After the interagency review period,
BIS will promptly notify the applicant regarding the FNR request, i.e.,
whether the FNR request is approved, denied, or more time is needed to
consider the request.
(e) Reporting requirements. See Sec. 743.1 of the EAR for
reporting requirements of certain items under License Exception APP.
0
5. Section 740.9 is amended by revising the phrase ``Personal computers
(including laptops) controlled under ECCN 4A994 that do not exceed a
composite theoretical performance of 6,500 millions of theoretical
operations per second'' to read ``Personal computers (including
laptops) controlled under ECCN 4A994 that do not an exceed Adjusted
Peak Performance (APP) of 0.0015 Weighted TeraFLOPS (WT)'' in paragraph
(a)(2)(i)(B)(1).
0
6. Section 740.11 is amended by revising paragraphs (a)(4) and (c)(4)
to read as follows:
Sec. 740.11 Governments, international organizations, and
international inspections under the Chemical Weapons Convention (GOV).
* * * * *
(a) * * *
(4) Restrictions. Nationals of countries in Country Group E:1 may
not physically or computationally access computers that have been
enhanced by ``electronic assemblies'', which have been exported or
reexported under License Exception GOV and have been used to enhance
such computers by aggregation of processors so that the APP of the
aggregation exceeds the APP parameter set forth in ECCN 4A003.b. of the
Commerce Control List in Supplement No. 1 to part 774 of the EAR,
without prior authorization from the Bureau of Industry and Security.
* * * * *
(c) * * *
(4) Restrictions. Nationals of countries in Country Group E:1 may
not physically or computationally access computers that have been
enhanced by ``electronic assemblies'', which have been exported or
reexported under License Exception GOV and have been used to enhance
such computers by aggregation of processors so that the APP of the
aggregation exceeds the APP parameter set forth in ECCN 4A003.b. of the
Commerce Control List in Supplement No. 1 to part 774 of the EAR,
without prior authorization from the Bureau of Industry and Security.
* * * * *
Sec. 740.19 [Amended]
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7. Section 740.19 is amended by revising the sentence ``4A994, for
items with CTP levels up to12,000 MTOPS; and'' to read ``4A994, for
items with an Adjusted Peak Performance (APP) equal to or less than
0.003 Weighted TeraFLOPS; and'' in paragraph (a)(2)(iv).
PART 742--[AMENDED]
0
8. The authority citation for part 742 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
18 U.S.C. 2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a;
Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; Sec. 1503,
Pub. L. 108-11,117 Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978
Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608;
E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61
FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; Presidential Determination 2003-23 of May 7,
2003, 68 FR 26459, May 16, 2003; Notice of November 4, 2004, 69 FR
64637 (November 8, 2004); Notice of August 2, 2005, 70 FR 45273
(August 5, 2005).
Sec. 742.12 [Removed]
0
9. Section 742.12 is removed and reserved.
Sec. 742.19 [Removed]
0
10. Section 742.19 is amended by revising the sentence ``Digital
computers with a CTP above 2000.'' to read ``Digital computers with an
Adjusted Peak Performance (APP) exceeding 0.0004 Weighted TeraFLOPS
(WT).'' in paragraph (b)(1)(xviii).
0
11. Supplement No. 2 is amended by:
0
a. Revising the phrase ``Digital computers with a CTP of 6 or above,''
to read ``Digital computers with an APP of .00001 WT or above,'' in the
heading to paragraph (c)(24);
0
b. Revising the phrase ``Computers with a CTP above 2000 MTOPS:'' to
read ``Computers with an APP exceeding 0.0004 WT:'' in paragraph
(c)(24)(iv)(A); and
0
c. Revising the phrase ``Computers with a CTP at or below 2000 MTOPS:''
to read ``Computers with an APP equal to or less than 0.0004 WT:'' in
paragraph (c)(24)(iv)(B).
0
12. Supplement No. 3 is removed and reserved.
PART 743--[AMENDED]
0
13. The authority citation for part 743 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50
U.S.C. 1701 et seq.; Notice of August 2, 2005, 70 FR 45273 (August
5, 2005).
0
14. Section 743.1 is amended by revising the phrase ``License
Exceptions GBS, CIV, TSR, LVS, CTP,'' to read ``License Exceptions GBS,
CIV, TSR, LVS, APP,'' in paragraph (b)(1).
0
15. Section 743.1 is amended by revising paragraph (c)(2) to read as
follows:
Sec. 743.1 Wassenaar arrangement.
* * * * *
(c) * * *
(2) Reports for ``software'' controlled by 4D001 (that is specially
designed), and ``technology'' controlled by 4E001 (according to the
General Technology Note in Supplement No. 2 to part 774 of the EAR) are
required for the ``development'' or ``production'' of computers
controlled under 4A001.a.2, or for the ``development'' or
``production'' of ``digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 0.1 Weighted TeraFLOPS (WT). For the
calculation of APP, see the Technical Note for Category 4 in the
Commerce Control List
[[Page 20886]]
(Supplement No. 2 to part 774 of the EAR).
* * * * *
0
16. Part 743 is amended by adding section 743.2 to read as follows:
Sec. 743.2 High Performance Computers: Post Shipment Verification
Reporting.
(a) Scope. This section outlines special post-shipment reporting
requirements for exports of certain computers to destinations in
Computer Tier 3, see Sec. 740.7(d) for a list of these destinations.
Post-shipment reports must be submitted in accordance with the
provisions of this section, and all relevant records of such exports
must be kept in accordance with part 762 of the EAR.
(b) Requirement. Exporters must file post-shipment reports and keep
records in accordance with recordkeeping requirements in part 762 of
the EAR for high performance computer exports to destinations in
Computer Tier 3, as well as, exports of commodities used to enhance
computers previously exported or reexported to Computer Tier 3
destinations, where the ``Adjusted Peak Performance'' (``APP'') is
greater than 0.75 Weighted TeraFLOPS (WT).
(c) Information that must be included in each post-shipment report.
No later than the last day of the month following the month in which
the export takes place, the exporter must submit the following
information to BIS at the address listed in paragraph (d) of this
section:
(1) Exporter name, address, and telephone number;
(2) License number;
(3) Date of export;
(4) End-user name, point of contact, address, telephone number;
(5) Carrier;
(6) Air waybill or bill of lading number;
(7) Commodity description, quantities--listed by model numbers,
serial numbers, and APP level in WT; and
(8) Certification line for exporters to sign and date. The exporter
must certify that the information contained in the report is accurate
to the best of his or her knowledge.
Note to Paragraph (c) of this Section: Exporters are required to
provide the PRC End-User Certificate Number to BIS as part of their
post-shipment report. When providing the PRC End-User Certificate
Number to BIS, you must identify the transaction in the post
shipment report to which that PRC End-User Certificate Number
applies.
(d) Mailing address. A copy of the post-shipment report[s] required
under paragraph (b) of this section shall be delivered to one of the
following addresses. Note that BIS will not accept reports sent C.O.D.
(1) For deliveries by U.S. postal service: U.S. Department of
Commerce, Bureau of Industry and Security, P.O. Box 273, Washington, DC
20044, Attn: Office of Enforcement Analysis HPC Team, Room 4065.
(2) For courier deliveries: U.S. Department of Commerce, Office of
Enforcement Analysis, HPC Team, 14th Street and Constitution Ave., NW.,
Room 4065, Washington, DC 20230.
PART 746--[AMENDED]
0
17. The authority citation for part 746 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 287c; Sec 1503, Pub. L. 108-11,117 Stat. 559; 22 U.S.C.
6004; Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; E.O.
12854, 58 FR 36587, 3 CFR 1993 Comp., p. 614; E.O. 12918, 59 FR
28205, 3 CFR, 1994 Comp., p. 899; E.O. 13222, 3 CFR, 2001 Comp., p.
783; Presidential Determination 2003-23 of May 7, 2003, 68 FR 26459,
May 16, 2003; Notice of August 2, 2005, 70 FR 45273 (August 5,
2005).
Sec. 746.3 [Amended]
0
18. Section 746.3 is amended by revising the phrase ``NS, MT, NP, CW,
CB, RS, CC, EI, SI, or XP reasons.'' to read ``NS, MT, NP, CW, CB, RS,
CC, EI, or SI reasons.'' in paragraph (a)(1).
0
19. Section 746.3 is amended by revising the phrase ``following License
Exceptions: CIV, CTP, TMP, RPL, GOV, GFT, TSU, BAG, AVS, ENC or KMI.''
to read ``following License Exceptions: CIV, APP, TMP, RPL, GOV, GFT,
TSU, BAG, AVS, ENC or KMI.'' in paragraph (c).
PART 748--[AMENDED]
0
20. The authority citation for part 748 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 2, 2005, 70 FR
45273 (August 5, 2005).
0
21. Supplement No. 1 to part 748 is amended by revising paragraph (b)
under Block 22 to read as follows:
Supplement No. 1 to Part 748--BIS-748P, BIS-748P-A: Item Appendix, and
BIS-748P-B: End-User Appendix; Multipurpose Application Instructions
* * * * *
Block 22: * * *
(b) CTP. You must enter the ``Adjusted Peak Performance'' (``APP'')
in this Block if your application includes a digital computer or
equipment containing a computer as described in Supplement No. 2 to
this part. Instructions on calculating the APP are contained in a
Technical Note at the end of Category 4 in the CCL.
* * * * *
0
22. Supplement No. 2 to part 748 is amended by revising paragraph (c)
to read as follows:
Supplement No. 2 to Part 748--Unique Application and Submission
Requirements
* * * * *
(c) Computers, telecommunications, information security items, and
related equipment. If your license application includes items
controlled by both Category 4 and Category 5, your license application
must be submitted under Category 5 of the Commerce Control List (Sec.
774.1 of the EAR)--see Category 5 Part 1 Notes 1 and 2 and Part 2 Note
1. License applications including computers controlled by Category 4
must identify an ``Adjusted Peak Performance'' (``APP'') in Block
22(b). If the principal function is telecommunications, an APP is not
required. Computers, related equipment, or software performing
telecommunication or local area network functions will be evaluated
against the telecommunications performance characteristics of Category
5 Part 1, while information security commodities, software and
technology will be evaluated against the information security
performance characteristics of Category 5 Part 2.
If your license application involves items controlled by both
Category 4 and Category 5, your license application must be submitted
under Category 5--see Category 5 Part 1 Notes 1 and 2 and Part 2 Note
1. License applications involving computers controlled by Category 4
must identify an Adjusted Peak Performance (APP) in Block 22(b). If the
principal function is telecommunications, an APP is not required.
Computers, related equipment, or software performing telecommunication
or local area network functions will be evaluated against the
telecommunications performance characteristics of Category 5 Part 1,
while information security commodities, software and technology will be
evaluated against the information security performance characteristics
of Category 5 Part 2.
(1) Requirements for license applications that include computers.
If you are submitting a license application to export or reexport
computers or equipment containing computers to destinations in Country
Group D:1 (See
[[Page 20887]]
Supplement No. 1 to part 740 of the EAR), or to upgrade existing
computer installations in those countries, you must also include
technical specifications and product brochures to corroborate the data
supplied in your license application, in addition to the APP in Block
22(b).
(2) Security Safeguard Plan requirement. The United States requires
security safeguards for exports, reexports, and in-country transfers of
High Performance Computers (HPCs) to ensure that they are used for
peaceful purposes. If you are submitting a license application for an
export, reexport, or in-country transfer of a high performance computer
to or within a destination in Computer Tier 3 (see Sec. 740.7(c)(1) of
the EAR) or to Cuba, Iran, Libya, North Korea, Sudan, or Syria you must
include with your license application a security safeguard plan signed
by the end-user, who may also be the ultimate consignee. This
requirement also applies to exports, reexports, and in-country
transfers of components or electronic assemblies to upgrade existing
``computer'' installations in those countries. A sample security
safeguard plan is posted on BIS's Web page at http://www.bis.doc.gov/hpcs/SecuritySafeguardPlans.html
.
* * * * *
PART 750--[AMENDED]
0
23. The authority citation for part 750 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec 1503, Pub.L. 108-11,117 Stat. 559; E.O. 13026, 61 FR 58767, 3
CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; Presidential Determination 2003-23 of May 7, 2003, 68 FR
26459, May 16, 2003; Notice of August 2, 2005, 70 FR 45273 (August
5, 2005).
Sec. 750.4 [Amended]
0
24. Section 750.4 is amended to remove the phrase ``, except digital
computers with a Composite Theoretical performance (CTP) less than 500
MTOPS'' in paragraph (b)(6)(ii)(A).
PART 752--[AMENDED]
0
25. The authority citation for part 752 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp. p. 219; E.O. 13222, 66 FR
44025, 3 CFR, 2001 Comp., p. 783; Notice of August 2, 2005, 70 FR
45273 (August 5, 2005).
0
26. Supplement No. 2 to part 752 is amended by revising Block 22
paragraph (b) to read as follows:
Supplement No. 1 to Part 752--Instructions for Completing Form BIS-
748P-B, ``Item Annex''
* * * * *
Block 22: * * *
(b) CTP. You must enter the ``Adjusted Peak Performance'' (``APP'')
in this block if you intend to export or reexport a computer or
equipment that contains a computer. Instructions on calculating the APP
are contained in a Technical Note at the end of Category 4 in the CCL.
* * * * *
PART 762--[AMENDED]
0
27. The authority citation for part 762 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
2, 2005, 70 FR 45273 (August 5, 2005).
0
28. Section 762.2 is amended by revising (b)(6) to read as follows:
Sec. 762.2 Records to Be Retained.
* * * * *
(b) * * *
(6) Sec. 743.2, High Performance Computers
* * * * *
PART 770--[AMENDED]
0
29. The authority citation for part 770 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
2, 2005, 70 FR 45273 (August 5, 2005).
0
30. Section 770.2 is amended by revising paragraph (l) to read as
follows:
Sec. 770.2 Item Interpretations.
* * * * *
(l) Interpretation 12: Computers. (1) Digital computers or computer
systems classified under ECCN 4A003.a, .b, or .c, that qualify for ``No
License Required'' (NLR) must be evaluated on the basis of Adjusted
Peak Performance (APP) alone, to the exclusion of all other technical
parameters.
Digital computers or computer systems classified under ECCN
4A003.a, .b, or .c that qualify for License Exception APP must be
evaluated on the basis of APP, to the exclusion of all other technical
parameters, except for ECCN 4A003.e (equipment performing analog-to-
digital conversions exceeding the limits in ECCN 3A001.a.5.a).
Assemblies performing analog-to-digital conversions are evaluated under
Category 3--Electronics, ECCN 3A001.a.5.a.
(2) Related equipment classified under ECCN 4A003.e or .g may be
exported or reexported under License Exceptions GBS or CIV. When
related equipment is exported or reexported as part of a computer
system, NLR or License Exception APP is available for the computer
system and the related equipment, as appropriate.
* * * * *
PART 772--[AMENDED]
0
31. The authority citation for part 772 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
2, 2005, 70 FR 45273 (August 5, 2005).
0
32. Section 772.1 is amended by:
0
a. Adding in alphabetical order the definitions of ``Adjusted Peak
Performance (APP)'', and ``APP'', as set forth below; and
0
b. Revising the definition of ``Composite theoretical performance
(CTP)'', as set forth below.
Sec. 772.1 Definitions of Terms as Used in the Export Administration
Regulations (EAR).
* * * * *
``APP'' See ``Adjusted Peak Performance.'' This term may also
appear without quotation marks.
``Adjusted Peak Performance'' (APP). (Cat 4) An adjusted peak rate
at which ``digital computers'' perform 64-bit or larger floating point
additions and multiplications. The formula to calculate APP is
contained in a technical note at the end of Category 4 of the Commerce
Control List.
* * * * *
``Composite theoretical performance''. (CTP) (Cat 3)--A measure of
computational performance given in millions of theoretical operations
per second (MTOPS), calculated using the aggregation of ``computing
elements (CE)''. (see Category 3, Technical Note.) This term may also
appear without quotation marks. The formula to calculate the CTP is
contained in a technical note titled ``Information on How to Calculate
``Composite Theoretical Performance'' at the end of Category 3 of the
CCL.
* * * * *
PART 774--[AMENDED]
0
33. The authority citation for part 774 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c, 22 U.S.C. 3201 et seq., 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app.
[[Page 20888]]
466c; 50 U.S.C. app. 5; Sec. 901-911, Pub. L. 106-387; Sec. 221,
Pub. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
2, 2005, 70 FR 45273 (August 5, 2005).
0
34. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, ECCN 3A991 is amended by adding License
Requirement notes 1 and 2, to read as follows:
3A991 Electronic devices and components not controlled by 3A001.
* * * * *
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
See Sec. Sec. 740.19 and 742.20 of the EAR for additional
information on Libya.
License Requirements Notes: 1. Microprocessors with a ``Composite
Theoretical Performance'' (``CTP'') below 550 MTOPS listed in
subparagraphs (a)(2) or (a)(3) of this entry may be shipped NLR (No
License Required) when destined to North Korea, provided restrictions
set forth in other sections of the EAR (e.g., end-use restrictions), do
not apply. See ``Information on How to Calculate ``Composite
Theoretical Performance'' (``CTP'')'' at the end of Category 3.
2. See 744.17 of the EAR for additional license requirements for
commodities classified as 3A991.a.1.
* * * * *
0
35. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, ECCN 3E001 is amended by revising the CIV
paragraph of the License Exception section, to read as follows:
3E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment or materials controlled
by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (except 3B991 or
3B992) or 3C.
* * * * *
License Exceptions
CIV: Yes for deemed exports, as described in Sec. 734.2(b)(2)(ii)
of the EAR, of technology for the development or production of
microprocessor microcircuits, micro-computer microcircuits, and
microcontroller microcircuits having the characteristics described in
3A001.a.3.c with a ``Composite Theoretical Performance'' (``CTP'') less
than or equal to 40,000 MTOPS (regardless of word length or access
width). Deemed exports under License Exception CIV are subject to a
Foreign National Review (FNR) requirement, see Sec. 740.5 of the EAR
for more information about the FNR. License Exception CIV does not
apply to ECCN 3E001 technology for 3A001.a.3.c required for the
development or production of other items controlled under ECCNs
beginning with 3A, 3B, or 3C, or to ECCN 3E001 technology also
controlled under ECCN 3E003.
TSR: * * *
* * * * *
0
36. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, ECCN 3E002 is amended by revising the CIV
paragraph of the License Exception section, to read as follows:
3E002 ``Technology'' according to the General Technology Note other
than that controlled in 3E001 for the ``development'' or ``production''
of ``microprocessor microcircuits'', ``micro-computer microcircuits''
and microcontroller microcircuits having a ``composite theoretical
performance'' (``CTP'') of 530 million theoretical operations per
second (MTOPS) or more and an arithmetic logic unit with an access
width of 32 bits or more.
* * * * *
License Exceptions
CIV: Yes, for deemed exports, as described in Sec. 734.2(b)(2)(ii)
of the EAR, of ``technology'' for the ``development'' or ``production''
of general purpose microprocessors with a ``Composite Theoretical
Performance'' (``CTP'') less than or equal to 40,000 MTOPS (regardless
of word length or access width). Deemed exports under License Exception
CIV are subject to a Foreign National Review (FNR) requirement, see
Sec. 740.5 of the EAR for more information about the FNR. License
Exception CIV does not apply to ECCN 3E002 technology also required for
the development or production of items controlled under ECCNs beginning
with 3A, 3B, or 3C, or to ECCN 3E002 technology also controlled under
ECCN 3E003.
TSR: * * *
* * * * *
0
37. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics is amended by adding a technical note after
EAR99, to read as follows:
Category 3--Electronics
* * * * *
Information on How To Calculate ``Composite Theoretical Performance
(``CTP'')
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
BILLING CODE 3510-33-P
[[Page 20889]]
[GRAPHIC] [TIFF OMITTED] TR24AP06.020
[[Page 20890]]
[GRAPHIC] [TIFF OMITTED] TR24AP06.021
BILLING CODE 3510-33-C
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] TR24AP06.022
``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:
[GRAPHIC] [TIFF OMITTED] TR24AP06.023
If the ``CE'' implements FP reciprocal but not FP add, FP
multiply or FP divide, then
[GRAPHIC] [TIFF OMITTED] TR24AP06.024
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
[[Page 20891]]
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'' (Rxp );
Each FP-only ``CE'' (Rfp );
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
(TPfp , TPxp ))
``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: [RESERVED]
Note 4: [RESERVED]
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.
``CTP'' = TP1 + C2 * TP2 + . . . +
Cn \*\ TPn ,
Where the TPs are ordered by value, with TP1 being the
highest, TP2 being the second highest, . . . and
TPn being the lowest. Ci is a coefficient
determined by the strength of the interconnection between ``CEs'', as
follows:
For multiple ``CEs'' operating simultaneously and sharing memory:
C2 = C3 = C4 = . . . = Cn =
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
Ci :
[GRAPHIC] [TIFF OMITTED] TR24AP06.025
Where m = the number of ``CEs'' or groups of ``CEs'' sharing access.
Provided:
1. The TP1 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:
Ci = 0.75 \*\ ki (i = 2, . . . , 32) (see Note
below)
= 0.60 \*\ ki (i = 33, . . . , 64)
= 0.45 \*\ ki (i = 65, . . . , 256)
= 0.30 \*\ ki (i > 256)
The value of Ci is based on the number of ``CE''s, not
the number of nodes.
Where ki = min (Si /Kr , 1), and
Kr = normalizing factor of 20 MByte/s.
Si = sum of the maximum data rates (in units of MByte/s) for
all data channels connected to the i\th\ ``CE'' or group of ``CEs''
sharing memory.
When calculating a Ci for a group of ``CEs'', the number
of the first ``CE'' in a group determines the proper limit for
Ci . For example, in an aggregation of groups consisting of 3
``CEs'' each, the 22nd group will contain ``CE''64 ,
``CE''65 and ``CE''66 . The proper limit for
Ci for this group is 0.60.
Aggregation (of ``CEs'' or groups of ``CEs'') should be from the
fastest-to-slowest; i.e.:
TP1 >= TP2 >= .... > TPn , and
in the case of TPi = TPi + 1 , from the largest to
smallest; i.e.: Ci >= Ci + 1
Note: The ki factor is not to be applied to ``CEs'' 2
to 12 if the TPi of the ``CE'' or group of ``CEs'' is
more than 50 MTOPS; i.e., Ci for ``CEs'' 2 to 12 is 0.75.
0
38. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4A001 is amended by revising the License Requirements section, to read
as follows:
4A001 Electronic computers and related equipment, and ``electronic
assemblies'' and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP.
------------------------------------------------------------------------
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, 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 for 4A001.a.2.
* * * * *
0
39. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control
[[Page 20892]]
Classification Number (ECCN) 4A003 is amended by revising the License
Requirements section, the License Exceptions section, and the ``items''
paragraph in the List of Items Controlled section, to read as follows:
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, as follows, and specially designed components
therefor.
License Requirements
Reason for Control: NS, CC, AT, NP.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to 4A003.b and .c............ NS Column 1.
NS applies to 4A003.a, .e, and .g....... NS Column 2.
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 APP >= 0.00001 but
< = to 0.75 WT).
------------------------------------------------------------------------
NP applies, unless a License Exception is available. See Sec.
742.3(b) of the EAR for information on applicable licensing review
policies.
Note 1: For all destinations, except those countries in Country
Group E:1 of Supplement No. 1 to part 740 of the EAR, no license is
required (NLR) for computers with an ``Adjusted Peak Performance''
(``APP'') not exceeding 0.75 Weighted TeraFLOPS (WT) and for
``electronic assemblies'' described in 4A003.c that are not capable
of exceeding an ``Adjusted Peak Performance'' (``APP'') exceeding
0.75 Weighted TeraFLOPS (WT) in aggregation, except certain
transfers as set forth in Sec. 746.3 (Iraq). Computers controlled
in this entry for MT reasons are not eligible for NLR.
Note 2: Special Post Shipment Verification reporting and
recordkeeping requirements for exports of computers to destinations
in Computer Tier 3 may be found in Sec. 743.2 of the EAR.
License Exceptions
LVS: * * *
GBS: * * *
APP: Yes, for computers controlled by 4A003.a or .b, and
``electronic assemblies'' controlled by 4A003.c, to the exclusion of
other technical parameters, with the exception of 4A003.e (equipment
performing analog-to-digital conversions exceeding the limits of
3A001.a.5.a). See Sec. 740.7 of the EAR.
CIV: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: 4A003 includes the following:
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 an ``Adjusted Peak Performance''
(``APP'') exceeding 0.75 weighted TeraFLOPS (WT);
c. ``Electronic assemblies'' specially designed or modified to be
capable of enhancing performance by aggregation of processors so that
the ``APP'' 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.e.
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. [RESERVED]
e. Equipment performing analog-to-digital conversions exceeding the
limits in 3A001.a.5;
f. [RESERVED]
g. Equipment specially designed to provide external interconnection
of ``digital computers'' or associated equipment that allows
communications at data rates exceeding 1.25 Gbyte/s.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers'.
0
40. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4A994 is amended by revising the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
4A994 Computers, ``electronic assemblies'', and related equipment not
controlled by 4A001 or 4A003, and specially designed components
therefor
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: The control status of the ``digital computers'' and
related equipment described in 4A994 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
[[Page 20893]]
telecommunications equipment, see Category 5, Part 1
(Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
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 an ``Adjusted Peak Performance''
(``APP'') equal to or greater than 0.00001 Weighted TeraFLOPS (WT);
c. ``Electronic assemblies'' that are specially designed or
modified to enhance performance by aggregation of processors, as
follows:
c.1. Designed to be capable of aggregation in configurations of 16
or more processors; or
c.2. Having a sum of maximum data rates on all channels available
for connection to associated processors exceeding 40 million Byte/s;
Note 1: 4A994.c applies only to ``electronic assemblies'' and
programmable interconnections with a ``APP'' 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.g and 4A994.k.
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''
having an ``Adjusted Peak Performance'' (``APP'') equal to or greater
than 0.00001 Weighted TeraFLOPS (WT);
g. Graphics accelerators or graphics coprocessors that exceed a
``three dimensional vector rate'' of 400,000 or, if supported by 2-D
vectors only, a ``two dimensional 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''.
j. Equipment specially designed to provide external interconnection
of ``digital computers'' or associated equipment that allows
communications at data rates exceeding 80 Mbyte/s.
Note: 4A994.j does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers''.
k. ``Hybrid computers'' and ``electronic assemblies'' and specially
designed components therefor, as follows:
k.1. Containing ``digital computers'' controlled by 4A003;
k.2. Containing analog-to-digital converters having all of the
following characteristics:
k.2.a. 32 channels or more; and
k.2.b. A resolution of 14 bit (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.
0
41. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4D001 is amended by revising the License Requirements section, the
License Exceptions section, and the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
4D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A001 to 4A004, or 4D (except 4D980, 4D993 or 4D994), and
other specified software, see List of Items Controlled.
License Requirements
Reason for Control: NS, CC, AT, NP.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``software'' for NS Column 1.
commodities or software controlled by
4A001 to 4A004, 4D001 to 4D003.
CC applies to ``software'' for CC Column 1.
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
NP applies, unless 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 ``software'' for commodities controlled by ECCN
4A003.b or ECCN 4A003.c is limited to ``software'' for computers or
``electronic assemblies'' with an ``Adjusted Peak Performance''
(``APP'') equal to or less than 0.1 Weighted TeraFLOPS (WT).
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria)
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A001 to 4A004, or 4D (except 4D980, 4D993 or 4D994).
b. ``Software'', other than that controlled by 4D001.a, specially
designed or modified for the ``development'' or ``production'' of:
b.1. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 0.04 Weighted TeraFLOPS (WT); or
b.2. ``Electronic assemblies'' specially designed or modified for
enhancing performance by aggregation of processors so that the ``APP''
of the aggregation exceeds the limit in 4D001.b.1.
0
42. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4D002 is amended by revising the License Requirements section, to read
as follows:
4D002 ``Software'' specially designed or modified to support
``technology'' controlled by 4E (except 4E980, 4E992, and 4E993).
License Requirements
Reason for Control: NS, AT, NP.
[[Page 20894]]
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
NP applies, unless a License Exception is available. See Sec.
742.3(b) of the EAR for information on applicable licensing review
policies.
* * * * *
0
43. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4E001 is amended by revising the License Requirements section, the
License Exceptions section, and the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
4E001 ``Technology'' according to the General Technology Note, for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A (except 4A980, 4A993 or 4A994) or 4D (except 4D980,
4D993, 4D994), and other specified technology, see List of Items
Controlled.
License Requirements
Reason for Control: NS, MT, CC, AT, NP.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for NS Column 1.
commodities or software controlled by
4A001 to 4A004, 4D001 to 4D003.
MT applies to ``technology'' for items MT Column 1.
controlled by 4A001.a and 4A101 for MT
reasons.
CC applies to ``technology'' for CC Column 1.
computerized fingerprint equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
NP applies, 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 technology for commodities controlled by ECCN
4A003.b or ECCN 4A003.c is limited to technology for computers or
electronic assemblies with an ``Adjusted Peak Performance'' (``APP'')
exceeding 0.1 Weighted TeraFLOPS (WT).
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria).
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Technology'' according to the General Technology Note, for the
``development,'' ``production,'' or ``use'' of equipment or
``software'' controlled by 4A (except 4A980, 4A993 or 4A994) or 4D
(except 4D980, 4D993, 4D994).
b. ``Technology'', other than that controlled by 4E001.a, specially
designed or modified for the ``development'' or ``production'' of:
b.1. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 0.04 Weighted TeraFLOPS (WT); or
b.2. ``Electronic assemblies'' specially designed or modified for
enhancing performance by aggregation of processors so that the ``APP''
of the aggregation exceeds the limit in 4D001.b.1.
0
44. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers is amended by:
0
(a) Removing the Technical Note ``Information on How to Calculate
``Composite Theoretical Performance (``CTP'')'' that appears after
EAR99; and
0
(b) Adding a Technical Note on ``Adjusted Peak Performance (APP)''
after EAR99, to read as follows:
Technical Note on ``Adjusted Peak Performance'' (``APP'')
APP is an adjusted peak rate at which ``digital computers'' perform
64-bit or larger floating point additions and multiplications.
Abbreviations Used in This Technical Note
n number of processors in the ``digital computer''
i processor number (i,....n)
ti processor cycle time (ti = 1/Fi)
Fi processor frequency
Ri peak floating point calculating rate
Wi architecture adjustment factor
APP is expressed in Weighted TeraFLOPS (WT), in units of 1012
adjusted floating point operations per second,
Outline of ``APP'' Calculation Method
1. For each processor i, determine the peak number of 64-bit or
larger floating-point operations, FPOi, performed per cycle for each
processor in the ``digital computer''.
Note: In determining FPO, include only 64-bit or larger floating
point additions and/or multiplications. All floating point
operations must be expressed in operations per processor cycle;
operations requiring multiple cycles may be expressed in fractional
results per cycle. For processors not capable of performing
calculations on floating-point operands of 64-bits or more the
effective calculating rate R is zero.
2. Calculate the floating point rate R for each processor
Ri = FPOi/ti.
3. Calculate APP as
APP = W1 x R1 + W2 x R2 + ... + Wn x Rn.
4. For ``vector processors'', Wi = 0.9. For non-``vector
processors'', Wi = 0.3.
Note 1: For processors that perform compound operations in a
cycle, such as an addition and multiplication, each operation is
counted.
Note 2: For a pipelined processor the effective calculating rate
R is the faster of the pipelined rate, once the pipeline is full, or
the non-pipelined rate.
Note 3: The calculating rate R of each contributing processor is
to be calculated at its maximum value theoretically possible before
the ``APP'' of the combination is derived. 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: Do not include processors that are limited to input/
output and peripheral functions (e.g., disk drive, communication and
video display) when calculating APP.
Note 5: APP values are not to be calculated for processor
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 6: APP values must be calculated for (1) processor
combinations containing processors specially designed to enhance
performance by aggregation, operating simultaneously and sharing
memory; or (2) multiple memory/processor combinations operating
simultaneously utilizing specially designed hardware.
Note 7: A ``vector processor'' is defined as a processor with
built-in instructions that perform multiple calculations on
floating-point vectors (one-dimensional arrays of 64-bit or larger
numbers) simultaneously, having at least 2 vector functional units
and at least 8 vector registers of at least 64 elements each.
Dated: April 12, 2006.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 06-3647 Filed 4-21-06; 8:45 am]
BILLING CODE 3510-33-P