[Federal Register: February 24, 1994]


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DEPARTMENT OF COMMERCE
Bureau of Export Administration

15 CFR Parts 770, 772, 773, 776, and 799

[Docket No. 931245-3345]

 
Computers: General License Eligibility; Supercomputer Definition

AGENCY: Bureau of Export Administration, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Export Administration (BXA) is amending the 
Export Administration Regulations (EAR) to revise the definition of 
``supercomputers''. This final rule increases the ``supercomputer'' 
threshold level from a CTP (composite theoretical performance) equal to 
or exceeding 195 Mtops (million theoretical operations per second) to a 
CTP equal to or exceeding 1,500 Mtops.
    This rule also increases the General License GFW eligibility level 
for digital computers controlled by ECCN 4A03A to a CTP of 500 Mtops or 
less for eligible countries listed in the Nuclear Nonproliferation 
Special Country List (i.e., Supplement No. 4) and 1,000 Mtops or less 
for other eligible countries. To conform with recent COCOM changes to 
the International Industrial List (IL), this rule makes General License 
G-DEST available for exports of ``digital'' computers with a ``CTP'' 
not exceeding 260 Mtops, except to Country Groups S and Z, Iran, Syria, 
and South African military and police entities. The Department of the 
Treasury's Office of Foreign Assets Control maintains an embargo on 
other destinations, such as Iraq and the Federal Republic of Yugoslavia 
(Serbia and Montenegro).
    In addition, this rule raises the level at which nuclear 
nonproliferation controls apply to digital computers controlled by 
ECCNs 4A01A, 4A02A, and 4A03A. Nuclear nonproliferation controls now 
apply to computers with a CTP exceeding 500 Mtops for countries listed 
in Supplement No. 4.
    This rule makes more computers eligible for export under the 
special license procedures because the eligibility levels for certain 
countries are tied to either the supercomputer threshold level or the 
nuclear nonproliferation control level for computers, both of which are 
increased by this rule.
    Finally, this rule revises the Technical Note in the Commerce 
Control List that provides instructions on calculating ``CTP''.

EFFECTIVE DATE: February 24, 1994.

FOR FURTHER INFORMATION CONTACT: For technical information on computers 
contact Joseph Young, Information Sytems Technology Center, Office of 
Technology and Policy Analysis, Telephone: (202) 482-0706.
    For information on licensing policies and procedures applicable to 
supercomputers, contact Gene Peterson-Beard, Office of Technology and 
Policy Analysis, Telephone: (202) 482-4220.

SUPPLEMENTARY INFORMATION:

Background

    This interim rule revises the definition of a supercomputer, 
expands the General License GFW eligibility level for digital computers 
controlled by ECCN 4A03A, raises the levels at which nuclear 
nonproliferation controls apply to computers controlled by ECCNs 4A01A, 
4A02A, and 4A03A, and makes more computers eligible for export under 
the special license procedures.
    In international negotiations with our partner in the supercomputer 
regime, we have reached agreement on a new supercomputer threshold 
level. Accordingly, this rule revises the definition of 
``supercomputer'' in Sec. 770.2 and Sec. 776.11(a) to increase the 
supercomputer threshold level from a CTP (composite theoretical 
performance) equal to or exceeding 195 Mtops (million theoretical 
operations per second) to a CTP equal to or exceeding 1,500 Mtops. The 
United States continues to seek an agreement that would increase the 
supercomputer threshold level to 2,000 Mtops. Following the completion 
of negotiations with our supercomputer partner, the Bureau of Export 
Administration (BXA) intends to publish a rule that will revise the 
supercomputer safeguards that apply to certain countries.
    This rule also increases the General License GFW eligibility level 
for digital computers controlled by ECCN 4A03A from a CTP less than 195 
Mtops to a CTP of 500 Mtops or less for eligible countries listed in 
Supplement No. 4 to part 778 and a CTP of 1,000 Mtops or less for other 
eligible countries. Subject to the restrictions in Sec. 771.2(c), items 
eligible for General License GFW may be exported to most destinations 
in Country Groups T and V. General License GFW is not available for 
exports to Iran, Syria, the People's Republic of China, or the South 
African military or police and a validated license continues to be 
required for exports of all computers controlled by ECCN 4A03A to these 
destinations.
    To conform with recent COCOM changes to the International 
Industrial List (IL), this rule amends the Validated License Required 
paragraph in ECCN 4A03A to indicate that General License G-DEST is 
available for exports of ``digital'' computers with a ``CTP'' not 
exceeding 260 Mtops, except to Country Groups S and Z, Iran, Syria, and 
South African military and police entities.
    National security-based validated license requirements continue to 
apply to: (1) Exports of ``digital computers'' with a CTP exceeding 260 
Mtops to controlled destinations and to all other destinations not 
eligible for General License GFW and (2) exports to GFW-eligible 
destinations of ``digital computers'' that exceed the GFW eligibility 
levels (i.e., 500 Mtops or less for eligible Supplement No. 4 countries 
and 1,000 Mtops or less for other eligible countries).
    Foreign policy-based validated license requirements remain in 
effect for exports of computers controlled by ECCNs 4A03A and 4A94F 
(i.e., computers with a CTP of 6 Mtops or greater) to Iran or Syria and 
for exports of all computers to Country Groups S and Z, and South 
African military and police entities. Exporters should also be aware 
that the Department of the Treasury's Office of Foreign Assets Control 
maintains an embargo on other destinations, such as Iraq and the 
Federal Republic of Yugoslavia (Serbia and Montenegro).
    This rule also amends ECCNs 4A01A, 4A02A, and 4A03A to increase the 
level at which nuclear nonproliferation controls apply to computers. 
Nuclear nonproliferation controls now apply only for exports of 
computers with a CTP exceeding 500 Mtops to countries listed in 
Supplement No. 4 to part 778. Previously, nuclear nonproliferation 
controls applied to computers with a CTP of 195 Mtops or above for 
countries listed in Supplement No. 4 to part 778.
    This rule makes more computers eligible for export under the 
special license procedures. Destinations that are not subject to 
nuclear nonproliferation controls, and not eligible to receive 
supercomputers under the special license procedures, are eligible to 
receive computers below the new supercomputer threshold level, i.e., 
1,500 Mtops. Countries for which exports of computers with a CTP above 
500 Mtops are subject to nuclear nonproliferation controls are now 
eligible to receive computers with a CTP of 500 Mtops or less.
    Section 772.1 is amended by adding a new paragraph (h) to inform 
exporters that validated license conditions are terminated when items 
are decontrolled. Exporters who have received validated licenses 
containing restrictive conditions for items that are now eligible for 
shipment under a general license (e.g., General Licenses GFW, GCT, or 
G-DEST) may use the appropriate general license to export such items, 
subject only to the specific conditions that apply to the use of these 
general licenses. Exporters should be aware, however, of the general 
prohibitions in Sec. 771.2(c) concerning the use of general licenses 
and of the validated license requirements that apply to certain 
nuclear, missile technology, or chemical-biological weapons activities 
described in Sec. 778.3, Sec. 778.7, Sec. 778.8, and Sec. 778.9.
    Finally, this rule revises the Technical Note under the heading 
``Information on How to Calculate Composite Theoretical Performance 
(CTP)'' at the end of Category 4 in the Commerce Control List (CCL). 
The changes in this Technical Note may affect the control status of 
certain computers (e.g., eligibility for export under General License 
G-DEST, GFW, or GCT), as well as whether or not a computer is treated 
as a supercomputer.

Saving Clause

    Shipments of items removed from general license authorizations as a 
result of this regulatory action that were on dock for loading, on 
lighter, laden aboard an exporting carrier, or en route aboard carrier 
to a port of export pursuant to actual orders for export before March 
10, 1994 may be exported under the previous general license provisions 
up to and including March 24, 1994. Any such items not actually 
exported before midnight March 24, 1994, require a validated export 
license in accordance with this regulation.

Rulemaking Requirements

    1. This rule was reviewed by the Office of Management and Budget 
under Executive Order 12866.
    2. This rule involves collections of information subject to the 
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). These 
collections have been approved by the Office of Management and Budget 
under control numbers 0694-0005, 0694-0010, 0694-0013, 0694-0015, and 
0694-0073.
    3. This rule does not contain policies with Federalism implications 
sufficient to warrant preparation of a Federalism assessment under 
Executive Order 12612.
    4. Because a notice of proposed rulemaking and an opportunity for 
public comment are not required to be given for this rule by section 
553 of the Administrative Procedure Act (5 U.S.C. 553) or by any other 
law, under section 3(a) of the Regulatory Flexibility Act (5 U.S.C. 
603(a) and 604(a)) no initial or final Regulatory Flexibility Analysis 
has to be or will be prepared.
    5. 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 the effective date, are 
inapplicable because this regulation involves a military or foreign 
affairs function of the United States. Further, no other law requires 
that a notice of proposed rulemaking and an opportunity for public 
comment be given for this rule.
    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 Willard 
Fisher, Office of Technology and Policy Analysis, Bureau of Export 
Administration, Department of Commerce, P.O. Box 273, Washington, DC 
20044.

List of Subjects

15 CFR Part 770

    Administrative practice and procedure.

15 CFR Parts 772, 773, 776, and 799

    Exports, Reporting and recordkeeping requirements.

    Accordingly, parts 770, 772, 773, 776, and 799 of the Export 
Administration Regulations (15 CFR parts 730-799) are amended as 
follows:
    1. The authority citation for 15 CFR parts 770, 772, and 799 is 
revised to read as follows:

    Authority: Pub. L. 90-351, 82 Stat. 197 (18 U.S.C. 2510 et 
seq.), as amended; sec. 101, Pub. L. 93-153, 87 Stat. 576 (30 U.S.C. 
185), as amended; sec. 103, Pub. L. 94-163, 89 Stat. 877 (42 U.S.C. 
6212), as amended; secs. 201 and 201(11)(e), Pub. L. 94-258, 90 
Stat. 309 (10 U.S.C. 7420 and 7430(e)), as amended; Pub. L. 95-223, 
91 Stat. 1626 (50 U.S.C. 1701 et seq.); Pub. L. 95-242, 92 Stat. 120 
(22 U.S.C. 3201 et seq. and 42 U.S.C. 2139a); sec. 208, Pub. L. 95-
372, 92 Stat. 668 (43 U.S.C. 1354); Pub. L. 96-72, 93 Stat. 503 (50 
U.S.C. App. 2401 et seq.), as amended (extended by Pub. L. 103-10, 
107 Stat. 40); sec. 125, Pub. L. 99-64, 99 Stat. 156 (46 U.S.C. 
466c); E.O. 11912 of April 13, 1976 (41 FR 15825, April 15, 1976); 
E.O. 12002 of July 7, 1977 (42 FR 35623, July 7, 1977), as amended; 
E.O. 12058 of May 11, 1978 (43 FR 20947, May 16, 1978; E.O. 12214 of 
May 2, 1980 (45 FR 29783, May 6, 1980); E.O. 12735 of November 16, 
1990 (55 FR 48587, November 20, 1990), as continued by Notice of 
November 12, 1993 (58 FR 60361, November 15, 1993); E.O. 12867 of 
September 30, 1993 (58 FR 51747, October 4, 1993); and E.O. 12868 of 
September 30, 1993 (58 FR 51749, October 4, 1993).

    2. The authority citation for 15 CFR part 773 is revised to read as 
follows:

    Authority: Pub. L. 90-351, 82 Stat. 197 (18 U.S.C. 2510 et 
seq.), as amended; Pub. L. 95-223, 91 Stat. 1626 (50 U.S.C. 1701 et 
seq.); Pub. L. 95-242, 92 Stat. 120 (22 U.S.C. 3201 et seq. and 42 
U.S.C. 2139a); Pub. L. 96-72, 93 Stat. 503 (50 U.S.C. App. 2401 et 
seq.), as amended (extended by Pub. L. 103-10, 107 Stat. 40); E.O. 
12002 of July 7, 1977 (42 FR 35623, July 7, 1977), as amended; E.O. 
12058 of May 11, 1978 (43 FR 20947, May 16, 1978; E.O. 12214 of May 
2, 1980 (45 FR 29783, May 6, 1980); E.O. 12735 of November 16, 1990 
(55 FR 48587, November 20, 1990), as continued by Notice of November 
12, 1993 (58 FR 60361, November 15, 1993); E.O. 12867 of September 
30, 1993 (58 FR 51747, October 4, 1993); and E.O. 12868 of September 
30, 1993 (58 FR 51749, October 4, 1993).

    3. The authority citation for 15 CFR part 776 is revised to read as 
follows:

    Authority: Pub. L. 90-351, 82 Stat. 197 (18 U.S.C. 2510 et 
seq.), as amended; Pub. L. 95-223, 91 Stat. 1626 (50 U.S.C. 1701 et 
seq.); Pub. L. 95-242, 92 Stat. 120 (22 U.S.C. 3201 et seq. and 42 
U.S.C. 2139a); Pub. L. 96-72, 93 Stat. 503 (50 U.S.C. App. 2401 et 
seq.), as amended (extended by Pub. L. 103-10, 107 Stat. 40); sec. 
125, Pub. L. 99-64, 99 Stat. 156 (46 U.S.C. 466c); E.O. 12002 of 
July 7, 1977 (42 FR 35623, July 7, 1977), as amended; E.O. 12058 of 
May 11, 1978 (43 FR 20947, May 16, 1978; E.O. 12214 of May 2, 1980 
(45 FR 29783, May 6, 1980); E.O. 12735 of November 16, 1990 (55 FR 
48587, November 20, 1990), as continued by Notice of November 12, 
1993 (58 FR 60361, November 15, 1993); E.O. 12867 of September 30, 
1993 (58 FR 51747, October 4, 1993); and E.O. 12868 of September 30, 
1993 (58 FR 51749, October 4, 1993).

PART 770--[AMENDED]

    4. Section 770.2 is amended by revising the definition of 
``supercomputers'' to read as follows:


Sec. 770.2  Definitions of terms.

* * * * *
    Supercomputer. A ``supercomputer'' is any computer with a Composite 
Theoretical Performance (CTP) equal to or exceeding 1,500 Mtops 
(million theoretical operations per second). For calculation of CTP, 
see the Technical Note that follows the Advisory Notes for Category 4 
in the Commerce Control List (Supplement No. 1 to Sec. 799.1 of this 
subchapter).
* * * * *

PART 772--[AMENDED]

    5. Section 772.1 is amended by adding a new paragraph (h) to read 
as follows:


Sec. 772.1  General provisions.

* * * * *
    (h) Terminating validated license conditions. Exporters who have 
shipped under validated licenses containing conditions that would not 
apply to an export under a general license, and foreign consignees who 
have agreed to such conditions, are no longer bound by the conditions 
when the licensed items become eligible for shipment under a general 
license (e.g., GFW, GCT, G-DEST). Items that were exported under such 
licenses remain subject to the conditions of permissive reexports and 
any applicable general licenses on which they are based, as well as the 
general prohibitions in Sec. 771.2(c) of this subchapter on the use of 
general licenses. Termination of validated license conditions does not 
relieve persons of responsibility for any violations that may have 
occurred before availability of a general license.

PART 773--[AMENDED]


Supplement No. 1 to Part 773  [Amended]

    6. Supplement No. 1 to part 773 is amended by revising in paragraph 
(l)(1) the phrase ``of less than 195 MTOPS'' to read ``that does not 
exceed 500 MTOPS''.

PART 776--[AMENDED]

    7. Section 776.11(a) is revised to read as follows:


Sec. 776.11  Supercomputers.

* * * * *
    (a) Definition of ``supercomputer''. A supercomputer is any 
computer with a Composite Theoretical Performance (CTP) equal to or 
exceeding 1,500 MTOPS (million theoretical operations per second). For 
calculation of the CTP, see the Technical Note that follows the 
Advisory Notes for Category 4 in the Commerce Control List (Supplement 
No. 1 to Sec. 799.1 of this subchapter).
* * * * *

PART 799--[AMENDED]


Supplement No. 1 to Sec. 799.1  [Amended]

    8. In Supplement No. 1 to Section 799.1 (the Commerce Control 
List), Category 4 (Computers), ECCN 4A01A is amended by revising the 
Requirements section to read as follows:


4A01A  Electronic computers and related equipment, as follows, and 
``assemblies'' and specially designed components therefor.

Requirements

Validated License Required: QSTVWYZ
Units: Computers and peripherals in number; parts and accessories in 
Sec. value
Reason for Control: NS, MT, NP, FP (see Notes)
GLV: $5,000 for 4A01.a only; $0 for 4A01.b
GCT: Yes, except MT (see Notes) and except supercomputers as defined in 
Sec. 776.11(a) (no supercomputer restriction for Japan)
GFW: No

    Notes: 1. MT controls apply to 4A01.a.
    2. NP controls apply to computers with a CTP exceeding 500 Mtops 
to countries listed in Supplement No. 4 to part 778 of this 
subchapter.
    3. FP controls apply to all destinations, except Japan, for 
supercomputers (see Sec. 776.11 of this subchapter).
* * * * *


Supplement No. 1 to Sec. 799.1  [Amended]

    9. In Supplement No. 1 to Section 799.1 (the Commerce Control 
List), Category 4 (Computers), ECCN 4A02A is amended by revising the 
Requirements section to read as follows:


4A02A  ``Hybrid computers'', as follows, and ``assemblies'' and 
specially designed components therefor.

Requirements

Validated License Required: QSTVWYZ
Unit: Computers and peripherals in number; parts and accessories in $ 
value
Reason for Control: NS, MT, NP, FP (see Notes)
GLV: $5,000
GCT: Yes, except MT (see Notes) and except supercomputers as defined in 
Sec. 776.11(a) (no supercomputer restriction for Japan)
GFW: No

    Notes: 1. MT controls apply to hybrid computers combined with 
specially designed ``software'', for modeling, simulation, or design 
integration of complete rocket systems and unmanned air vehicle 
systems described in Sec. 787.7 of this subchapter.
    2. NP controls apply to computers with a CTP exceeding 500 Mtops 
to countries listed in Supplement No. 4 to part 778 of this 
subchapter.
    3. FP controls apply to all destinations, except Japan, for 
supercomputers (see Sec. 776.11 of this subchapter).
* * * * *

Supplement No. 1 Sec. 799.1  [Amended]

    10. In Supplement No. 1 to Section 799.1 (the Commerce Control 
List), Category 4 (Computers), ECCN 4A03A is amended by revising the 
Requirements section to read as follows:


4A03A  ``Digital computers'', ``assemblies'', and related equipment 
therefor, as described in this entry, and specially designed components 
therefor.

Requirements

    Validated License Required: QSTVWYZ (The ``CTP'' level in 4A03.c 
notwithstanding, General License G-DEST is available for exports of 
``digital'' computers with a ``CTP'' not exceeding 260 Mtops, except to 
Country Groups S and Z, Iran, Syria, and South African military and 
police entities.)

Unit: Computers and peripherals in number; parts and accessories in $ 
value
Reason for Control: NS, MT, NP, FP (see Notes)
GLV: $5,000
GCT: Yes, except MT and FP, and except supercomputers as defined in 
Sec. 776.11(a) (no supercomputer restriction for Japan); see Notes
GFW: Yes, except MT and FP (see Notes), for the following items:

    a. Equipment described in Advisory Note 4; and
    b. Computers with a CTP not exceeding 1,000 Mtops (500 Mtops for 
eligible countries listed in Supp. 4 to part 778 of this subchapter) 
and specially designed components therefor, exported separately or as 
part of a system, and related equipment therefor when exported with 
these computers as part of a system.
    N.B. 1: General License GFW is not available for the export of 
commodities that the exporter knows will be used to:
    a. Enhance the performance capability (i.e., CTP) of a computer to 
the ``supercomputer'' level; or
    b. Enhance the performance capability of a ``supercomputer'' (see 
Sec. 776.11 for definition of ``supercomputer'').
    N.B. 2: To determine whether General License GFW may be used to 
export related equipment controlled under another entry in the CCL, 
consult the GFW paragraph under the Requirements heading of the 
appropriate entry.

    Notes: 1. MT controls apply to digital computers used as 
ancillary equipment for test facilities and equipment that are 
controlled by 9B05 or 9B06.
    2. NP controls apply to computers with a CTP exceeding 500 Mtops 
to countries listed in Supplement No. 4 to part 778 of this 
subchapter.
    3. FP controls apply to computers for computerized fingerprint 
equipment to all destinations except Australia, Japan, New Zealand 
and members of NATO.
    4. FP controls apply to all destinations, except Japan, for 
supercomputers (see Sec. 776.11 of this subchapter).
    5. FP controls apply to Iran and Syria for computers controlled 
by 4A03A or 4A94F (i.e., computers with a CTP of 6 Mtops or 
greater). See Sec. 785.4(d)(1) of this subchapter.
* * * * *
     11. In Category 4 (Computers), following Advisory Note 7, the 
Technical Note under the heading ``Information on How to Calculate 
Composite Theoretical Performance (CTP)'' is revised to read as 
follows:
    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
* multiply

    Execution time `t' is expressed in microseconds, TP and ``CTP'' are 
expressed in Mtops (millions of theoretical operations per second) and 
WL is expressed in bits.

Outline of ``CTP'' Calculation Method

    ``CTP'' is a measure of computational performance given in millions 
of theoretical operations per second (Mtops). In calculating the 
``Composite Theoretical Performance'' (``CTP'') of an aggregation of 
``Computing Elements'' (``CEs''), the following three steps are 
required:
    1. Calculate the effective calculating rate (R) for each 
``computing element'' (``CE'');
    2. Apply the word length adjustment (L) to the effective 
calculating rate (R), resulting in a Theoretical Performance (TP) for 
each ``computing element'' (``CE'');
    3. If there is more than one ``computing element'' (``CE''), 
combine the Theoretical Performances (TPs), resulting in a ``Composite 
Theoretical Performance'' (``CTP'') for the aggregation.
    Details for these steps are given in the following section.

    Note 1: For aggregations of multiple ``computing elements'' 
(``CEs'') that have both shared and unshared memory subsystems, the 
calculation of ``CTP'' is completed hierarchically, in two steps: 
first, aggregate the groups of ``computing elements'' (``CEs'') 
sharing memory; second calculate the ``CTP'' of the groups using the 
calculation method for multiple ``computing elements'' (``CEs'') not 
sharing memory.
    Note 2: ``Computing elements'' (``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 ``Computing Element'' 
(``CE''):
    Step 1: The effective calculating rate R. 

------------------------------------------------------------------------
    For computing elements (CEs)                                        
  Implementing: Note: Every ``CE''      Effective calculating rate, R   
  must be evaluated independently                                       
------------------------------------------------------------------------
XP only (R<INF>xp)......................  1 <divide> 3 * (t<INF>xp <INF>add).          
                                     If no add is implemented use: 1    
                                      <divide> (t<INF>xp <INF>mult).              
                                     If neither add nor multiply is     
                                      implemented use the fastest       
                                      available arithmetic operation as 
                                      follows:                          
                                     1 <divide> 3 * (t<INF>xp).              
                                     See Notes X and Y.                 
FP only (R<INF>fp)......................  Max 1 <divide> t<INF>fp <INF>add,            
                                     1 <divide> t<INF>fp <INF>mult.               
                                     See Notes X and Y.                 
Both FP and XP (R).................  Calculate both R<INF>xp, R<INF>fp.           
For simple logic processors not      1 <divide> 3 * t<INF>log.               
 implementing any of the specified                                      
 arithmetic operations.                                                 
                                     Where t<INF>log is the execute time of  
                                      the XOR, or for logic hardware not
                                      implementing the XOR, the fastest 
                                      simple logic operation.           
                                     See Notes X and Z.                 
For special logic processors not     R = R<SUP>t <SUP>* <SUP>WL/64, Where R is the     
 using any of the specified           number of results per second, WL  
 arithmetic or logic operations.      is the number of bits upon which  
                                      the logic operation occurs, and 64
                                      is a factor to normalize to a 64  
                                      bit operation.                    
------------------------------------------------------------------------

    Note W: For a pipelined ``CE'' capable of executing up to one 
arithmetic or logic operation every clock cycle after the pipeline 
is full, a pipelined rate can be established. The effective 
calculating rate (R) for such a ``CE'' is the faster of the 
pipelined rate or non-pipelined execution rate.

    Note X: For a ``CE'' that performs multiple operations of a 
specific type in a single cycle (e.g., two additions per cycle or 
two identical logic operations per cycle), the execution time t is 
given by:

<GRAPHIC><TIFF>TR24FE94.027

    ``Computing elements'' (``CEs'') that perform different types of 
arithmetic or logic operations in a single machine cycle are to be 
treated as multiple separate ``computing elements'' (``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 ``computing element'' (``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><TIF1>TR24FE94.028

    If the ``CE'' implements FP reciprocal, but not FP add, FP 
multiply or FP divide, then:

<GRAPHIC><TIF2>TR24FE94.029

    If none of the specified instructions is implemented, the 
effective floating point (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<SUP>t) by the word length adjustment L as 
follows:

TP=R * L, where L=(1/3+WL/96).

    Note: The word length WL used in these calculations is the 
operand length in bits. (If an operation uses operands of different 
lengths, select the largest word length.)

    The combination of a mantissa ALU and an exponent ALU of a 
floating point processor or unit is considered to be one ``computing 
element'' (``CE'') with a Word Length (WL) equal to the number of 
bits in the data representation (typically 32 or 64) for purposes of 
the ``Composite Theoretical Performance'' (``CTP'') calculation.
    This adjustment is not applied to specialized logic processors 
that do not use XOR instructions. In this case TP=R.
    Select the maximum resulting value of TP for:

Each XP-only ``CE'' (R<INF>xp);
Each FP-only ``CE'' (R<INF>fp);
Each combined FP and XP ``CE'' (R);
Each simple logic processor not implementing any of the specified 
arithmetic operations; and
Each special logic processor not using any of the specified 
arithmetic or logic operations.
    Step 3: ``CTP'' for aggregations of ``CEs'', including CPUs:
    For a CPU with a single ``CE'', ``CTP''=TP (for CEs performing 
both fixed and floating point operations, TP=max (TP<INF>fp, 
TP<INF>xp)).
    ``CTP'' for aggregations of multiple ``CEs'' operating 
simultaneously is calculated as follows:

    Note 1: For aggregrations that do not allow all of the ``CEs'' 
to run simultaneously, the possible combination of ``CEs'' that 
provides the largest ``CTP'' should be used. The TP of each 
contributing ``CE'' is to be calculated at its maximum value 
theoretically possible before the ``CTP'' of the combination is 
derived.

    N.B.: To determine the possible combinations of simultaneously 
operating ``CEs'', generate an instruction sequence that initiates 
operations in multiple ``CEs'', beginning with the slowest ``CE'' 
(the one needing the largest number of cycles to complete its 
operation) and ending with the fastest ``CE''. At each cycle of the 
sequence, the combination of ``CEs'' that are in operation during 
that cycle is a possible combination.
    The instruction sequence must take into account all hardware 
and/or architectural constraints on overlapping operations.

    Note 2: A single integrated circuit chip or board assembly may 
contain multiple ``CEs''.

    Note 3: Simultaneous operations are assumed to exist when the 
computer manufacturer claims concurrent, parallel or simultaneous 
operation or execution in a manual or brochure for the computer.
    Note 4: ``CTP'' values are not to be aggregated for ``CE''-
combinations (inter)connected by ``Local Area Networks'', Wide Area 
Networks, I/O shared connections/devices, I/O controllers and any 
communication interconnection implemented by software.
    Note 5: ``CTP'' values must be aggregated for multiple ``CEs'' 
specially designed to enhance performance by aggregation, operating 
simultaneously and sharing memory-, or multiple memory/``CE''- 
combinations operating simultaneously utilizing specially designed 
hardware.

    This aggregation does not apply to ``assemblies'' controlled by 
4A03.d. ``CTP''=TP<INF>1+C<INF>2*TP<INF>2+. . .+C<INF>n*TP<INF>n, 
where the TPs are ordered by value, with TP<INF>1 being the highest, 
TP<INF>2 being the second highest, * * * and TP<INF>n being the 
lowest. C<INF>i is a coefficient determined by the strength of the 
interconnection between ``CEs'', as follows:
    For multiple ``CEs'' operating simultaneously and sharing 
memory:

<GRAPHIC><TIF3>TR24FE94.030

    Note 1: When the ``CTP'' calculated by the above method does not 
exceed 194 Mtops, the following formula may be used to calculate 
C<INF>i:

<GRAPHIC><TIF4>TR24FE94.031

    Where m equals the number of ``CEs'' or groups of ``CEs'' 
sharing access.
    Provided:
    1. The TP<INF>i of each ``CE'' or group of ``CEs'' does not 
exceed 30 Mtops;
    2. The ``CEs'' or groups of ``CEs'' share access to main memory 
(excluding cache memory) over a single channel; and
    3. Only one ``CE'' or group of ``CEs'' can have use of the 
channel at any given time.
    N.B.: This does not apply to items controlled under Category 3.

    Note 2: ``CEs'' share memory if they access a common segment of 
solid state memory. This memory may include cache memory, main 
memory, or other internal memory. Peripheral memory devices such as 
disk drives, tape drives, or RAM disks are not included.

    For multiple ``CEs'' or groups of ``CEs'' not sharing memory, 
interconnected by one or more data channels:

C<INF>i=0.75 * k<INF>i (i=2, ..., 32) (see NOTE on k<INF>i factor)
    =0.60 * k<INF>i (i=33, ..., 64)
    =0.45 * k<INF>i (i=65, ..., 256)
    =0.30 * k<INF>i (i > 256)

    The value of C<INF>i is based on the number of ``CEs'', not the 
number of nodes.

where:
    k<INF>i=min (S<INF>i/K<INF>r, 1), and
    K<INF>r=normalizing factor of 20 MByte/s.
    S<INF>i=sum of the maximum data rates (in units of MByte/s) for 
all data channels connected to the i<SUP>th ``CE'' or group of 
``CEs'' sharing memory.

    When calculating a C<INF>i for a group of ``CEs'', the number of 
the first ``CE'' in a group determines the proper limit for C<INF>i. 
For example, in an aggregation of groups consisting of 3 ``CEs'' 
each, the 22nd group will contain ``CE''<INF>64, ``CE''<INF>65, and 
``CE''<INF>66. The proper limit for C<INF>i for this group is 0.60.
    Aggregation (of ``CEs'' or groups of ``CEs'') should be from the 
fastest-to-slowest; i.e.:

TP<INF>1 <gr-thn-eq> TP<INF>2 <gr-thn-eq> TP<INF>n, and
in the case of TP<INF>i=TP<INF>i+1, from the largest to smallest; 
i.e.:
C<INF>i <gr-thn-eq> C<INF>i+1

    Note: The k<INF>i factor is not to be applied to ``CEs'' to 2 to 
12 if the TP<INF>i of the ``CE'' or group of ``CEs'' is more than 50 
Mtops; i.e., C<INF>i for ``CEs'' 2 to 12 is 0.75.

    Dated: February 18, 1994.
Sue E. Eckert,
Assistant Secretary for Export Administration.
[FR Doc. 94-4156 Filed 2-18-94; 4:49 pm]
BILLING CODE 3510-DT-P