Note: The control status of "software" for equipment described in other Categories is dealt with in the appropriate Category.
4A001 Electronic computers and related equipment, having any of the following (see List of Items Controlled), and "electronic assemblies" and specially designed components therefor.
License Requirements| Control(s) | Country Chart |
| NS applies to entire entry | NS Column 2 |
| MT applies to items in 4A001.a when the parameters in 4A101 are met or exceeded. | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
License ExceptionsLicense Requirement Notes: See Sec. 743.1 of the EAR for reporting requirements for exports under License Exceptions for 4A001.a.2.
Unit: Computers and related equipment in number; "electronic assemblies" and components in $ value
Related Controls: See also 4A101 and 4A994. See Category 5--Part 2 for electronic computers and related equipment performing or incorporating "information security" functions as the primary function. Equipment designed or rated for transient ionizing radiation is subject to the export licensing authority of the U.S. Department of State, Directorate of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: For the purposes of integrated circuits in 4A001.a.2, 5 x 103 Gy(Si) = 5 x 105 Rads (Si); 5 x 106 Gy (Si)/s = 5 x 108 Rads (Si)/s. Items:Note: 4A001.a.1 does not apply to computers specially designed for civil automobile, railway train or "civil aircraft" applications.
a.2. Radiation hardened to exceed any of the following specifications:Note: 4A001.a.2 does not apply to computers specially designed for "civil aircraft" applications.
b. [RESERVED]4A002 {REMOVED 04/29/04}
4A003 "Digital computers", "electronic assemblies", and related equipment therefor, as follows (see List of Items Controlled) and specially designed components therefor.
License Requirements| Control(s) | Country Chart |
| NS applies to 4A003.b and .c | NS Column 1 |
| NS applies to 4A003.e and .g | NS Column 2 |
| CC applies to "digital computers" for computerized finger-print equipment. | CC Column 1 |
| AT applies to entire entry (refer to 4A994 for controls on "digital computers" with a APP > 0.0128 but =3.0 WT) | 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 ExceptionsNote: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 3.0 Weighted TeraFLOPS (WT) and for "electronic assemblies" described in 4A003.c that are not capable of exceeding an "Adjusted Peak Performance" ("APP") exceeding 3.0 Weighted TeraFLOPS (WT) in aggregation, except certain transfers as set forth in §746.3 (Iraq).
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.
Note 1: 4A003 includes the following:
--`Vector processors' (as defined in Note 7 of the "Technical Note on "Adjusted Peak Performance" ("APP")");
--Array processors;
--Digital signal processors;
--Logic processors;
--Equipment designed for "image enhancement";
--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. [Reserved]
b. "Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding 3.0 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 for aggregating the performance of "digital computers" by providing external interconnections which allow communications at unidirectonal data rates exceeding 2.0 Gbyte/s per link.
Note:4A003.g does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, "network access controllers" or "communication channel controllers".
4A004 Computers as follows (see List of Items Controlled) and specially designed related equipment, "electronic assemblies" and components therefor.
License Requirements| Control(s) | Country Chart |
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
4A101 Analog computers, "digital computers" or digital differential analyzers, other than those controlled by 4A001 designed or modified for use in "missiles", having any of the following (see List of Items Controlled).
License Requirements| Control(s) | Country Chart |
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
Note: `Radiation hardened' means that the component or equipment is designed or rated to withstand radiation levels which meet or exceed a total irradiation dose of 5 x 10\5\ rads (Si).
4A102 "Hybrid computers" specially designed for modelling, simulation or design integration of "missiles". (These items are subject to the export licensing authority of the U.S. Department of State, Directorate of Defense Trade Controlss. See 22 CFR part 121.)
4A980 Computers for fingerprint equipment, n.e.s.
License Requirements| Control(s) | Country Chart |
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
Note: 4A980 does not control equipment limited to one finger and designed for user authentication or access control.
4A994 Computers, "electronic assemblies", and related equipment not controlled by 4A001, or 4A003, and specially designed components therefor
License Requirements| Control(s) | Country Chart |
| AT applies to entire entry | AT Column 1 |
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);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 telecommunications equipment, see Category 5, Part 1 (Telecommunications).
c. The "technology" for the "digital computers" and related equipment is determined by 4E.
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.k.
d. [Reserved];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.
Note: The control status of "software" for the equipment described in other Categories is dealt with in the appropriate Catergory.
4D001 "Software" as follows (see List of Items Controlled).
License Requirements| Control(s) | Country Chart |
| NS applies to entire entry | NS Column 1 |
| CC applies to "software" for computerized finger-print equipment controlled by 4A003 for CC reasons. | CC 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.
License ExceptionsList of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
4D002 "Software" specially designed or modified to support "technology" controlled by 4E (except 4E980, 4E992, and 4E993).
License Requirements| 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.
License Exceptions4D003 {REMOVED 09/07/2010}
4D980 "Software" specially designed for the "development", "production", or "use" of items controlled by 4A980.
License Requirements| Control(s) | Country Chart |
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
4D993 "Program" proof and validation "software", "software" allowing the automatic generation of "source codes", and operating system "software" that are specially designed for real time processing equipment (see List of Items Controlled).
License Requirements| Control(s) | Country Chart |
| AT applies to entire entry | AT Column 1 |
4D994"Software" Other Than That Controlled in 4D001 Specially Designed or Modified for the "Development", "Production", or "Use" of Equipment Controlled by 4A101 and 4A994.
License Requirements| Control(s) | Country Chart |
| AT applies to entire entry | AT Column 1 |
4E001 "Technology" as follows (see List of Items Controlled).
License Requirements| Control(s) | Country Chart |
| NS applies to entire entry | NS Column 1 |
| MT applies to "technology" for items controlled by 4A001.a and 4A101 for MT reasons. | MT Column 1 |
| CC applies to "technology" for computerized fingerprint equipment controlled by 4A003 for CC reasons. | CC 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.
License Requirement Notes: See Sec. 743.1 of the EAR for reporting requirements for exports under License Exceptions.
License Exceptions4E980 "Technology" for the "development", "production", or "use" of items controlled by 4A980.
License Requirements| Control(s) | Country Chart |
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
4E992 "Technology" other than that controlled in 4E001 for the "development," "production," or "use" of equipment controlled by 4A994, or "software" controlled by 4D993 or 4D994.
License Requirements| Control(s) | Country Chart |
| AT applies to entire entry | AT Column 1 |
4E993 "Technology" for the "development" or "production" of equipment designed for "multi-data-stream processing."
License Requirements| Control(s) | Country Chart |
| AT applies to entire entry | AT Column 1 |
EAR99 Items subject to the EAR that are not elsewhere specified in this CCL Category or in any other category in the CCL are designated by the number EAR99.
Technical Note on "Adjusted Peak Performance" ("APP")
"APP" is expressed in Weighted TeraFLOPS (WT) in units of 10\12\ adjusted floating point operations per second.
Abbreviations Used in This Technical Note
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 10\12\ adjusted floating point operations per second.
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".2. Calculate the floating point rate R for each processor.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.
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.
Technical Note: Aggregate all processors and accelerators operating simultaneously and located on the same die.
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.