commerce control list 4.3

Commerce Control List Supplement No. 1 to Part 774 Category 4page 1

Export Administration Regulations EARB 298 - October 2001

CATEGORY 4 - COMPUTERS

Note 1: Computers, related equipment and"software" performing telecommunications or"local area network" functions must also beevaluated against the performance characteristicsof Category 5, Part 1 (Telecommunications).

Note 2: Control units that directlyinterconnect the buses or channels of centralprocessing units, "main storage" or diskcontrollers are not regarded as telecommunicationsequipment described in Category 5, Part 1(Telecommunications).

N.B: For the control status of "software"specially designed for packet switching, seeECCN 5D001. (Telecommunications).

Note 3: Computers, related equipment and"software" performing cryptographic,cryptoanalytic, certifiable multi-level security orcertifiable user isolation functions, or that limitelectromagnetic compatibility (EMC), must alsobe evaluated against the performancecharacteristics in Category 5, Part 2 ("InformationSecurity").

A. SYSTEMS, EQUIPMENT ANDCOMPONENTS

4A001 Electronic computers and relatedequipment, and "electronic assemblies" andspecially designed components therefor.

License Requirements

Reason for Control: NS, MT, AT, NP, XP

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to items in MT Column 14A001.a when the

parameters in 4A101 aremet or exceeded

AT applies to entire entry AT Column 1

NP applies to electronic computers with a CTPgreater than 6,500 Mtops, unless a LicenseException is available. See 742.3(b) of the EARfor information on applicable licensing reviewpolicies.

XP applies to electronic computers with a CTPgreater than 6,500 Mtops, unless a LicenseException is available. XP controls varyaccording to destination and end-user and end-use.See 742.12 of the EAR for additionalinformation.

License Requirement Notes: See 743.1 ofthe EAR for reporting requirements for exportsunder License Exceptions.

License Exceptions

LVS: $5000 for 4A001.a; N/A for MT and4A001.b

GBS: N/ACIV: N/A

List of Items Controlled

Unit: Equipment in number; parts andaccessories in $ valueRelated Controls: See also 4A101 and4A994. Equipment designed or rated fortransient ionizing radiation is subject to theexport licensing authority of the U.S.Department of State, Office of Defense TradeControls. (See 22 CFR part 121.) See also4A101.Related Definitions: For the purposes ofintegrated circuits in 4A001.a.2, 5 x 103Gy(Si) = 5 x 105 Rads (Si); 5 x 106 Gy (Si)/s= 5 x 108 Rads (Si)/s.Items:

a. Specially designed to have either of the



following characteristics:

a.1. Rated for operation at an ambienttemperature below 228 K (-45 C) or above 358 K(85 C);

Note: 4A001.a.1. does not apply to computersspecially designed for civil automobile or railwaytrain applications.

a.2. Radiation hardened to exceed any of thefollowing specifications:

a.2.a. A total dose of 5 x 103 Gy (Si); or

a.2.b. A dose rate upset of 5 x 106 Gy(Si)/s;

a.2.c. Single Event Upset of 1 x 10-7Error/bit/day; b. Having characteristics or performing functionsexceeding the limits in Category 5, Part 2("Information Security").

4A002 "Hybrid computers" and "electronicassemblies" and specially designed componentstherefor.





MT applies to hybrid MT Column 1computers combined withspecially designed "software",for modeling, simulation,or design integration ofcomplete rocket systems and

Unmanned air vehicle systemsthat are usable in systems

controlled for MT reasons


NP applies to hybrid computers with a CTPgreater than 6,500 Mtops, unless a LicenseException is available. See 742.3(b) of the EARfor information on applicable licensing reviewpolicies.

XP applies to hybrid computers with a CTPgreater than 6,500 Mtops, unless a LicenseException is available. XP controls varyaccording to destination and end-user and end-use.See 742.12 of the EAR for additionalinformation.

License Exceptions

LVS: $5000; N/A for MTGBS: N/ACIV: N/A


Unit: Equipment in number; parts andaccessories in $ valueRelated Controls: See also 4A102 and 4A994Related Definitions: N/AItems:

a. Containing "digital computers" controlled by4A003;

b. Containing analog-to-digital converters havingall of the following characteristics:

b.1. 32 channels or more; and

b.2. A resolution of 14 bits (plus sign bit) ormore with a conversion rate of 200,000conversions/s or more.

4A003 "Digital computers", "electronicassemblies", and related equipment therefor,and specially designed components therefor.




Reason for Control: NS, MT, CC, AT, NP,XP


NS applies to 4A003.b and .c NS Column 1

NS applies to 4A003.a, d, .e, NS Column 2 and .g

MT applies to digital MT Column 1computers used as ancillaryequipment for testfacilities and equipmentthat are controlled by 9B005or 9B006.

CC applies to digital computers CC Column 1for computerized finger-printequipment

AT applies to entire entry AT Column 1(refer to 4A994 for controlson digital computers with a CTP 6 but to 6,500 MTOPS)

NP applies to digital computers with a CTPgreater than 6,500 MTOPS, unless a LicenseException is available. See 742.3(b) of the EARfor information on applicable licensing reviewpolicies.

XP applies to digital computers with a CTPgreater than 6,500 MTOPS, unless a LicenseException is available. XP controls varyaccording to destination and end-user and end-use.See 742.12 of the EAR for additionalinformation.

Note: For all destinations, except Cuba,Iran, Iraq, Libya, North Korea, Sudan,and Syria, no license is required (NLR)for computers with a CTP not greater than

6,500 MTOPS and for assembliesdescribed in 4A003.c that are not capableof exceeding a CTP greater than 6,500MTOPS in aggregation. Computerscontrolled in this entry for MT reasons arenot eligible for NLR.


License Exceptions

LVS: $5000; N/A for MT "digital"computers controlled by 4A003.b andhaving a CTP exceeding 12,500MTOPS; or "electronic assemblies"controlled by 4A003.c and capable ofenhancing per formance byaggregation of "computing elements"so that the CTP of the aggregationexceeds 12,500 MTOPS.

GBS: Yes, for 4A003.d, .e, and .g andspecially designed componentstherefor, exported separately or aspart of a system.

CTP: Yes, for computers controlled by4A003.a, .b and .c, to the exclusion ofother technical parameters, with theexception of parameters specified ascontrolled for Missile Technology(MT) concerns and 4A003.e(equipment performing analog-to-digi ta l or digi ta l - to-analogconversions exceeding the limits of3A001.a.5.a). See 740.7 of theEAR.

CIV: Yes, for .e, and .g.


Unit: Equipment in number; parts andaccessories in $ valueRelated Controls: See also 4A994 and 4A980Related Definitions: N/AItems:



Note 1: 4A003 includes the following:

a. Vector processors;

b. Array processors;

c. Digital signal processors;

d. Logic processors;

e. Equipment designed for "imageenhancement";

f. Equipment designed for "signalprocessing".

Note 2: The control status of the "digitalcomputers" and related equipment described in4A003 is determined by the control status of otherequipment or systems provided:

a. The "digital computers" or relatedequipment are essential for the operation of theother equipment or systems;

b. The "digital computers" or relatedequipment are not a "principal element" of theother equipment or systems; and

N.B. 1: The control status of "signalprocessing" or "image enhancement" equipmentspecially designed for other equipment withfunctions limited to those required for the otherequipment is determined by the control status ofthe other equipment even if it exceeds the"principal element" criterion.

N.B. 2: For the control status of "digitalcomputers" or related equipment fortelecommunications equipment, see Category 5,Part 1 (Telecommunications).

c. The "technology" for the "digitalcomputers" and related equipment is determinedby 4E.

a. Designed or modified for "fault tolerance";

Note: For the purposes of 4A003.a., "digitalcomputers" and related equipment are notconsidered to be designed or modified for "faulttolerance" if they utilize any of the following:

1. Error detection or correction algorithms in"main storage";

2. The interconnection of two "digitalcomputers" so that, if the active central processingunit fails, an idling but mirroring centralprocessing unit can continue the system'sfunctioning;

3. The interconnection of two centralprocessing units by data channels or by use ofshared storage to permit one central processingunit to perform other work until the second centralprocessing unit fails, at which time the first centralprocessing unit takes over in order to continue thesystem's functioning; or

4. The synchronization of two centralprocessing units by "software" so that one centralprocessing unit recognizes when the other centralprocessing unit fails and recovers tasks from thefailing unit.

b. "Digital computers" having a "compositetheoretical performance" ("CTP") exceeding 6,500million theoretical operations per second(MTOPS);

c. "Electronic assemblies" specially designed ormodified to be capable of enhancing performanceby aggregation of "computing elements" ("CEs")so that the "CTP" of the aggregation exceeds thelimit in 4A003.b.;

Note 1: 4A003.c applies only to "electronicassemblies" and programmable interconnectionsnot exceeding the limit in 4A003.b. when shippedas unintegrated "electronic assemblies". It doesnot apply to "electronic assemblies" inherentlylimited by nature of their design for use as relatedequipment controlled by 4A003.d, or 4A003.e



Note 2: 4A003.c does not control "electronicassemblies" specially designed for a product orfamily of products whose maximum configurationdoes not exceed the limit of 4A003.b.

d. Graphics accelerators and graphicscoprocessors exceeding a "three dimensionalVector Rate" of 200,000,000;

e. Equipment performing analog-to-digitalconversions exceeding the limits in 3A001.a.5;

f. Reserved.

g. Equipment specially designed to provideexternal interconnection of "digital computers" orassociated equipment that allows communicationsat data rates exceeding 1.25 Gbyte/s.

Note: 4A003.g does not control internalinterconnection equipment (e.g., backplanes,buses) passive interconnection equipment,"network access controllers" or "communicationchannel controllers".

4A004 Computers, as follows (see List of ItemsControlled) and specially designed relatedequipment, "electronic assemblies" andcomponents therefor.


Reason for Control: NS, AT




License Exceptions

LVS: $5000GBS: N/A

CIV: N/A


Unit: Equipment in number; parts andaccessories in $ valueRelated Controls: N/ARelated Definitions: N/AItems:

a. "Systolic array computers";

b. "Neural computers";

c. "Optical computers".

4A101 Analog computers, "digital computers"or digital differential analyzers, other thanthose controlled by 4A001 designed or modifiedfor use in "missiles", having any of thefollowing (see List of Items Controlled).


Reason for Control: MT, AT


MT applies to entire entry MT Column 1


License Exceptions

LVS: N/AGBS: N/ACIV: N/A


Unit: Equipment in numberRelated Controls: N/ARelated Definitions: N/AItems:

a. Rated for continuous operation at temperatures



from below 228 K (-45o C) to above 328 K(+55oC); or

b. Designed as ruggedized or "radiationhardened".

4A102 "Hybrid computers" specially designedfor modelling, simulation or design integrationof "missiles". (These items are subject to theexport licensing authority of the U.S.Department of State, Office of Defense TradeControls. See 22 CFR part 121.)

4A980 Computers for fingerprint equipment,n.e.s.


Reason for Control: CC, AT


CC applies to entire entry CC Column 1


License Exceptions



Unit: Equipment in numberRelated Controls: N/ARelated Definitions: N/AItems:

The list of items controlled is contained in theECCN heading.

4A994 Computers, "electronic assemblies",and related equipment not controlled by

4A001, 4A002, or 4A003, and specially designedcomponents therefor.


Reason for Control: AT



License Exceptions



Unit: Equipment in number; parts andaccessories in $ valueRelated Controls: N/A Related Definitions: "Two dimensionalvector rate" is the number vectors generatedper second that have 10 pixel poly linevectors, clip tested, randomly oriented, witheither integer or floating point X-Y coordinatevalues (whichever produces the maximumrate) (see paragraph (g) of this ECCN).Items:

a. Electronic computers and related equipment,and "electronic assemblies" and specially designedcomponents therefor, rated for operation at anambient temperature above 343 K (70 C);

b. "Digital computers" having a "compositetheoretical performance" ("CTP") equal to orgreater than 6 million theoretical operations persecond (MTOPS);

c. "Electronic assemblies" that are speciallydesigned or modified to enhance performance byaggregation of "computing elements" ("CEs"), asfollows:

c.1. Designed to be capable of aggregation in



configurations of 16 or more "computingelements" ("CEs"); or

c.2. Having a sum of maximum data rates onall channels available for connection to associatedprocessors exceeding 40 million Byte/s;

Note 1: 4A994.c applies only to "electronicassemblies" and programmable interconnectionswith a "CTP" not exceeding the limits in 4A994.b,when shipped as unintegrated "electronicassemblies". It does not apply to "electronicassemblies" inherently limited by nature of theirdesign for use as related equipment controlled by4A994.

Note 2: 4A994.c does not control any"electronic assembly" specially designed for aproduct or family of products whose maximumconfiguration does not exceed the limits of4A994.b. d. Disk drives and solid state storage equipment:

d.1. Magnetic, erasable optical ormagneto-optical disk drives with a "maximum bittransfer rate" exceeding 25 million bit/s;

d.2. Solid state storage equipment, other than"main storage" (also known as solid state disks orRAM disks), with a "maximum bit transfer rate"exceeding 36 million bit/s;

e. Input/output control units designed for use withequipment controlled by 4A994.d;

f. Equipment for "signal processing" or "imageenhancement" having a "composite theoreticalperformance" ("CTP") exceeding 8.5 milliontheoretical operations per second (MTOPS);

g. Graphics accelerators or graphics coprocessorsthat exceed a "three dimensional vector rate" of400,000 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 than120 resolvable elements per cm in the direction ofthe maximum pixel density;

Note 1: 4A994.h does not control displays ormonitors not specially designed for electroniccomputers.

Note 2: Displays specially designed for airtraffic control (ATC) systems are treated asspecially designed components for ATC systemsunder Category 6.

i. Equipment containing "terminal interfaceequipment" exceeding the limits in 5A991.

Note: For the purposes of 4A994.i, "terminalinterface equipment" includes "local area network"interfaces, modems and other communicationsinterfaces. "Local area network" interfaces areevaluated as "network access controllers".

j. Equipment specially designed to provideexternal interconnection of "digital computers" orassociated equipment that allows communicationsat data rates exceeding 80 Mbyte/s .

Note: 4A994.j does not control internalinterconnection equipment (e.g., backplanes,buses) passive interconnection equipment,"network access controllers" or "communicationchannel controllers".

B. TEST, INSPECTION ANDPRODUCTION EQUIPMENT

4B994 Equipment for the "development" and"production" of magnetic and optical storage



equipment.





License Exceptions



Unit: $ valueRelated Controls: This entry does not controlgeneral-purpose sputtering equipment.Related Definition: N/AItems:

a. Equipment specially designed for theapplication of magnetic coating to controllednon-flexible (rigid) magnetic or magneto-opticalmedia;

b. "Stored program controlled" equipmentspecially designed for monitoring, grading,exercising or testing controlled rigid magneticmedia;

c. Equipment specially designed for the"production" or alignment of heads or head/diskassemblies for controlled rigid magnetic andmagneto-optical storage, and electro-mechanicalor optical components therefor.

C. MATERIALS

4C994 Materials specially formulated for andrequired for the fabrication of head/diskassemblies for controlled magnetic and

magneto-optical hard disk drives.





License Exceptions



Unit: $ valueRelated Controls: N/ARelated Definitions: N/AItems:


D. SOFTWARE

Note: The control status of "software" for the"development", "production", or "use" ofequipment described in other Categories is dealtwith in the appropriate Category. The controlstatus of "software" for equipment described inthis Category is dealt with herein.

4D001 "Software" specially designed ormodified for the "development", "production"or "use" of equipment or "software" controlledby 4A001 to 4A004, or 4D (except 4D980,4D993 or 4D994).


Reason for Control: NS, MT, CC, AT,



NP, XP

Control(s) Country ChartNS applies to "software" for NS Column 1commodities or softwarecontrolled by 4A001 to 4A004,4D001 to 4D003

MT applies to "software" MT Column 1for equipment controlled by 4A001 to 4A003 for MT reasons

CC applies to "software" CC Column 1 for computerizedfinger-print equipment controlled by 4A003 forCC reasons


NP applies to software for computers with aCTP greater than 6,500 Mtops, unless a LicenseException is available. See 742.3(b) of the EARfor information on applicable licensing reviewpolicies.

XP applies to software for computers with aCTP greater than 6,500 Mtops, unless a LicenseException is available. XP controls varyaccording to destination and end-user and end-use.See 742.12 of the EAR for additionalinformation.


License Exceptions

CIV: N/ATSR: Yes, except for the following:

(1) "Software" controlled for MTreasons;

(2) "Software" for equipment or"software" requiring a license; or

(3) Exports and reexports todestinations outside of Austria,

Belgium, Canada, Denmark,Finland, France, Germany,Greece, Ireland, Italy, Japan,Luxembourg, the Netherlands,Portugal, Spain, Sweden, or theUnited Kingdom of "software"specially designed for the"development" or "production" ofequipment controlled as follows:(a) " D i g i t a l " c o m p u t e r s

controlled by 4A003.b andhaving a CTP exceeding33,000 MTOPS; or

(b) "Electronic assemblies"controlled by 4A003.c andcapable of enhancingperformance by aggregationof "computing elements" sothat the CTP of theaggregation exceeds 33,000MTOPS.




4D002 "Software" specially designed ormodified to support "technology" controlled by4E (except 4E980, 4E992, and 4E993).





MT applies to "software" MT Column 1for equipment controlled by 4E for MT reasons




NP applies to "software" for computers with aCTP greater than 2,000 Mtops, unless a LicenseException is available. See 742.3(b) of the EARfor information on applicable licensing reviewpolicies.

XP applies to "software" for computers with aCTP greater than 2,000 Mtops, unless a LicenseException is available. See 742.3(b) of the EARfor information on applicable licensing reviewpolicies.

License Exceptions

CIV: N/ATSR: Yes, except N/A for MT and for"software" specifically designed or modifiedto support "technology" for computersrequiring a license.




4D003 Specific "software", as follows (see Listof Items Controlled).


Reason for Control: NS, AT




License Requirement Notes: See 743.1 of

the EAR for reporting requirements for exportsunder License Exception.

License Exceptions

CIV: N/ATSR: Yes, except 4D003.c



a. Operating system "software", "software"development tools and compilers speciallydesigned for "multi-data-stream processing"equipment, in "source code";

b. "Expert systems" or "software" for "expertsystem" inference engines providing both:

b.1. Time dependent rules; and

b.2. Primitives to handle the timecharacteristics of the rules and the facts;

c. "Software" having characteristics or performingfunctions exceeding the limits in Category 5, Part2 ("Information Security");

d. Operating systems specially designed for "realtime processing" equipment that guarantees a"global interrupt latency time" of less than 20 s.

4D102 "Software" specially designed ormodified for the "development", "production"or "use" of equipment controlled by 4A101.


Reason for Control: MT, AT




MT applies to entire entry MT Column 1


License Exceptions

CIV: N/ATSR: N/A




4D980 "Software" specially designed for the"development", "production", or "use" ofitems controlled by 4A980. License Requirements





License Exceptions

CIV: N/ATSR: N/A




4D993 "Program" proof and validation"software", "software" allowing the automaticgeneration of "source codes", and operatingsystem "software" not controlled by 4D003 thatare specially designed for real time processingequipment.





License Exceptions

CIV: N/ATSR: N/A



a. "Program" proof and validation "software"using mathematical and analytical techniques anddesigned or modified for "programs" having morethan 500,000 "source code" instructions;

b. "Software" allowing the automatic generationof "source codes" from data acquired on line fromexternal sensors described in the CommerceControl List;

c. Operating system "software" not controlled by4D003 that are specially designed for "real timeprocessing" equipment that guarantees a "globalinterrupt latency time" of less than 30microseconds.



4D994 "Software" specially designed ormodified for the "development", "production",or "use" of equipment controlled by 4A994,4B994 and materials controlled by 4C994.





License Exceptions

CIV: N/ATSR: N/A




E. TECHNOLOGY

4E001 "Technology" according to the GeneralTechnology 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).


Reason for Control: NS, MT, CC, AT, NP, XP


NS applies to "technology" NS Column 1

for commodities or software controlled by 4A001 to 4A004, 4D001 to 4D003

MT applies to "technology" MT Column 1for items controlled by 4A001 to 4A003 4A101, 4D001, 4D102 or 4D002 for MT reasons

CC applies to "technology" CC Column 1for computerized fingerprintequipment controlled by 4A003 for CC reasons


NP applies to technology for computers with aCTP greater than 6,500 Mtops, unless a LicenseException is available. See 742.3(b) of the EARfor information on applicable licensing reviewpolicies.

XP applies to technology for computers with aCTP greater than 6,500 Mtops, unless a LicenseException is available. XP controls varyaccording to destination and end-user and end-use.See 742.12 of the EAR for additionalinformation.


License Exceptions

CIV: N/ATSR: Yes for "technology" directly related

for hardware exported under aLicense Exception. N/A for the following:(1) "Technology" controlled for MT

reasons; or(2) Exports and reexports to

destinations outside of Austria,Belgium, Canada, Denmark,Finland, France, Germany,Greece, Ireland, Italy, Japan,



Luxembourg, the Netherlands,Portugal, Spain, Sweden, or theUnited Kingdom of "technology"for the "development" or"production" of the followingitems:(a) " D i g i t a l " c o m p u t e r s

controlled by 4A003.b andhaving a CTP exceeding33,000 MTOPS;

(b) "Electronic assemblies"controlled by 4A003.c andcapable of enhancingperformance by aggregationof "computing elements" sothat the CTP of theaggregation exceeds 33,000MTOPS; or

(c) "Sof tware" spec ia l lyd e s i g n e d f o r t h e" d e v e l o p m e n t " o r"production" of equipmentlisted in paragraphs (a) or (b)above.


Unit: N/ARelated Controls: N/ARelated Definitions: N/AItems:


4E980 "Technology" for the "development","production", or "use" of items controlled by4A980.






License Exceptions

CIV: N/ATSR: N/A




4E992 "Technology" for the "development","production", or "use" of equipmentcontrolled by 4A994 and 4B994, materialscontrolled by 4C994, or "software" controlledby 4D993 or 4D994.





License Exceptions

CIV: N/ATSR: N/A


Unit: N/ARelated Controls: See also 4E994Related Definitions: N/AItems:




4E993 Other "Technology" for the"development" or "production" of graphicsaccelerators or equipment designed for "multi-data-stream processing" and "technology""required" for the "development" or"production" of magnetic hard disk drives.





License Exceptions

CIV: N/ATSR: N/A



a. "Technology" for the "development" or"production" of graphics accelerators;

b. "Technology", for the "development" or"production" of equipment designed for"multi-data-stream processing";

c. "Technology", "required" for the "development"or "production" of magnetic hard disk drives witha "maximum bit transfer rate" ("MBTR")exceeding 11 Mbit/s.

EAR99 Items subject to the EAR that are notelsewhere specified in this CCL Category or in

any other category in the CCL are designatedby the number EAR99.

Information on How to Calculate "CompositeTheoretical Performance ("CTP")

Technical Note:

"COMPOSITE THEORETICALPERFORMANCE" ("CTP")

Abbreviations used in this Technical Note

"CE" "computing element"(typicallyan arithmetic logical unit)

FP floating pointXP fixed pointt execution timeXOR exclusive ORCPU central processing unitTP theoretical performance (of a single "CE")"CTP" "composite theoretical performance"

(multiple "CEs")R effective calculating rateWL word lengthL word length adjustment* multiply

Execution time t is expressed in microseconds, TPand "CTP" are expressed in millions of theoreticaloperations per second (Mtops) and WL isexpressed in bits.

Outline of "CTP" calculation method

"CTP" is a measure of computational performancegiven in Mtops. In calculating the "CTP" of anaggregation of "CEs" the following three steps arerequired:

1. Calculate the effective calculating rate Rfor each "CE";

2. Apply the word length adjustment (L) tothe effective calculating rate (R), resulting in a



Theoretical Performance (TP) for each "CE";

3. If there is more than one "CE", combinethe TPs, resulting in a "CTP" for the aggregation.

Details for these steps are given in the followingsections.

Note 1: For aggregations of multiple "CEs"that have both shared and unshared memorysubsystems, the calculation of "CTP" is completed

hierarchically, in two steps: first, aggregate thegroups of "CEs" sharing memory; second,calculate the "CTP" of the groups using thecalculation method for multiple "CEs" not sharingmemory.

Note 2: "CEs" that are limited to input/outputand peripheral functions (e.g., disk drive,communication and video display controllers) arenot 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

For "CEs" Implementing:Note: Every "CE" must be evaluatedindependently.

Effective calculating Rate, R

XP only

(R xp)

1------------3 * (txp add)if no add is implemented use: 1----------(txp mult)If neither add nor multiply is implemented usethe fastest available arithmetic operation asfollows: 1-------3 * txpSee Notes X & Z

FP only(R fp)

1 1max ------- , -------- tfp add tfp multSee Notes X & Y

Both FP and XP(R)

Calculate bothR xp, R fp

For simple logic processors not implementingany of the specified arithmetic operations.

1--------3 * tlogWhere tlog is the execute time of the XOR, or forlogic hardware not implementing the XOR, thefastest simple logic operation.See Notes X & Z

For special logic processors not using any of thespecified arithmetic or logic operations.

R = R' * WL/64Where R' is the number of results per second,WL is the number of bits upon which the logicoperation occurs, and 64 is a factor to normalizeto a 64 bit operation.



Note W: For a pipelined "CE" capable ofexecuting up to one arithmetic or logic operationevery clock cycle after the pipeline is full, apipelined rate can be established. The effectivecalculating rate (R) for such a "CE" is the faster ofthe pipelined rate or non-pipelined execution rate.

Note X: For a "CE" that performs multipleoperations of a specific type in a single cycle (e.g.,two additions per cycle or two identical logicoperations per cycle), the execution time t is givenby:

cycle timet = ----------------------------------------------------

the number of identical operations per machine cycle

"CEs" that perform different types of arithmetic orlogic operations in a single machine cycle are tobe treated as multiple separate "CEs" performingsimultaneously (e.g., a "CE" performing anaddition and a multiplication in one cycle is to betreated as two "CEs", the first performing anaddition in one cycle and the second performing amultiplication in one cycle). If a single "CE" hasboth scalar function and vector function, use theshorter execution time value.

Note Y: For the "CE" that does notimplement FP add or FP multiply, but thatperforms FP divide:

1Rfp = --------- tfpdivide

If the "CE" implements FP reciprocal but not FPadd, FP multiply or FP divide, then

1Rfp = ------------- tfpreciprocal

If none of the specified instructions is

implemented, the effective FP rate is 0.

Note Z: In simple logic operations, a singleinstruction performs a single logic manipulation ofno more than two operands of given lengths. Incomplex logic operations, a single instructionperforms multiple logic manipulations to produceone or more results from two or more operands.

Rates should be calculated for all supportedoperand lengths considering both pipelinedoperations (if supported), and non-pipelinedoperations using the fastest executing instructionfor each operand length based on:

1. Pipelined or register-to-register operations.Exclude extraordinarily short execution timesgenerated for operations on a predeterminedoperand or operands (for example, multiplicationby 0 or 1). If no register-to-register operations areimplemented, continue with (2).

2. The faster of register-to-memory ormemory-to-register operations; if these also do notexist, then continue with (3).

3. Memory-to-memory.

In each case above, use the shortest execution timecertified by the manufacturer.

Step 2: TP for each supported operand length WL

Adjust the effective rate R (or R') by the wordlength adjustment L as follows:

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

Note: The word length WL used in thesecalculations is the operand length in bits. (If anoperation uses operands of different lengths, selectthe largest word length.) The combination of amantissa ALU and an exponent ALU of a floatingpoint processor or unit is considered to be one"CE" with a Word Length (WL) equal to thenumber of bits in the data representation (typically32 or 64) for purposes of the "CTP" calculation.



This adjustment is not applied to specialized logicprocessors that do not use XOR instructions. Inthis 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 implementingany of the specified arithmetic operations; and

Each special logic processor not using any ofthe 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 floatingpoint operationsTP = max (TPfp, TPxp))

"CTP" for aggregations of multiple "CEs"operating simultaneously is calculated as follows:

Note 1: For aggregations that do not allow allof the "CEs" to run simultaneously, the possiblecombination of "CEs" that provides the largest"CTP" should be used. The TP of eachcontributing "CE" is to be calculated at itsmaximum value theoretically possible before the"CTP" of the combination is derived.

N.B.: To determine the possiblecombinations of simultaneously operating "CEs",generate an instruction sequence that initiatesoperations in multiple "CEs", beginning with theslowest "CE" (the one needing the largest numberof cycles to complete its operation) and endingwith the fastest "CE". At each cycle of thesequence, the combination of "CEs" that are inoperation during that cycle is a possiblecombination. The instruction sequence must take

into account all hardware and/or architecturalconstraints on overlapping operations.

Note 2: A single integrated circuit chip orboard assembly may contain multiple "CEs".

Note 3: Simultaneous operations are assumedto exist when the computer manufacturer claimsconcurrent, parallel or simultaneous operation orexecution in a manual or brochure for thecomputer.

Note 4: "CTP" values are not to beagg rega ted fo r "CE" combina t ions(inter)connected by "Local Area Networks", WideArea Networks, I/O shared connections/devices,I/O controllers and any communicationinterconnection implemented by "software".

Note 5: "CTP" values must be aggregated formultiple "CEs" specially designed to enhanceperformance by aggregation, operatingsimultaneously and sharing memory,- or multiplememory/"CE"- combinations operatingsimultaneously utilizing specially designedhardware.

This aggregation does not apply to "electronicassemblies" described by 4A003.c.

"CTP" = TP1 + C2 * TP2 + ... + Cn * TPn,

where the TPs are ordered by value, with TP1being the highest, TP2 being the second highest,..., and TPn being the lowest. Ci is a coefficientdetermined by the strength of the interconnectionbetween "CEs", as follows:

For multiple "CEs" operating simultaneously andsharing memory:

C2 = C3 = C4 = ... = Cn = 0.75

Note 1: When the "CTP" calculated by theabove method does not exceed 194 Mtops, thefollowing formula may be used to calculate Ci:



0.75Ci = ---- (i = 2, ... , n) m

where m = the number of "CEs" or groups of"CEs" sharing access.

provided:

1. The TP1 of each "CE" or group of "CEs" doesnot exceed 30 Mtops;

2. The "CEs" or groups of "CEs" share access tomain memory (excluding cache memory) over asingle channel; and

3. Only one "CE" or group of "CEs" can have useof the channel at any given time.

N.B.: This does not apply to items controlledunder Category 3.

Note 2: "CEs" share memory if they access acommon segment of solid state memory. Thismemory may include cache memory, mainmemory or other internal memory. Peripheralmemory devices such as disk drives, tape drives orRAM disks are not included.

For Multiple "CEs" or groups of "CEs" notsharing memory, interconnected by one or moredata channels:

Ci = 0.75 * ki (i = 2, ... , 32) (see Notebelow) = 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), andKr = normalizing factor of 20 MByte/s.Si = sum of the maximum data rates (in

units of MByte/s) for all datachannels connected to the ith"CE" or group of "CEs" sharingmemory.

When calculating a Ci for a group of "CEs", thenumber of the first "CE" in a group determines theproper limit for Ci. For example, in anaggregation 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 is0.60.

Aggregation (of "CEs" or groups of "CEs") shouldbe from the fastest-to-slowest; i.e.:

TP1 TP2 .... > TPn , and

in the case of TPi = TPi + 1, from the largest tosmallest; 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" 2to 12 is 0.75.

commerce control list 4.3

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