[Federal Register Volume 66, Number 68 (Monday, April 9, 2001)]
[Rules and Regulations]
[Pages 18402-18407]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-8636]


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DEPARTMENT OF COMMERCE

Bureau of Export Administration

15 CFR Part 774

[Docket No. 010108008-1008-01]
RIN 0694-AC39


Implementation of the Wassenaar Arrangement List of Dual-Use 
Items: Revisions to Microprocessors, Graphic Accelerators, and External 
Interconnects

AGENCY: Bureau of Export Administration, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Export Administration (BXA) maintains the 
Commerce Control List (CCL), which identifies those items subject to 
Department of Commerce export controls. The CCL also reflects 
multilateral national security controls established by the Wassenaar 
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods 
(the Wassenaar Arrangement), of which the United States is a founding 
member. The Wassenaar Arrangement controls strategic items with the 
objective of improving regional and international security and 
stability.
    In this regard, on December 1, 2000, the Wassenaar Arrangement 
agreed to implement several changes in its List of Dual-Use Goods and 
Technologies. This final rule revises the CCL to implement certain 
recently agreed changes in Category 3 (Electronics) and Category 4 
(Computers) of the Wassenaar List of Dual-Use Goods and Technologies, 
specifically in the areas of microprocessors, graphic accelerators, and 
external interconnects. This change is being implemented to reflect 
rapid technological advances and controllability factors. Additional 
changes in the Wassenaar Dual-Use List

[[Page 18403]]

will be implemented in the CCL in a supplemental regulation.

DATES: This rule is effective April 9, 2001.

FOR FURTHER INFORMATION CONTACT: Tanya Hodge Mottley in the Office of 
Strategic Trade and Foreign Policy Controls, Bureau of Export 
Administration, U.S. Department of Commerce at (202) 482-1837.

SUPPLEMENTARY INFORMATION: BXA will be publishing a separate regulation 
to implement other changes recently agreed to on the Wassenaar List of 
Dual-Use Goods and Technologies. These revisions will include changes 
to ECCNs in Categories 1 (Materials, Chemicals, ``Microorganisms,'' and 
Toxins), 2 (Materials Processing), 3 (Electronics), 4 (Computers), 5 
part 1 (Telecommunications), 5 part 2 (Information Security), 6 (Lasers 
and Sensors), 7 (Navigation and Avionics), and 9 (Propulsion Systems, 
Space Vehicles and Related Equipment).
    This final rule revises the Commerce Control List to implement 
recently agreed changes in the Wassenaar List of Dual-Use Goods and 
Technologies, as follows:

Category 3--Electronics

    3A001--amended by:
    (1) Increasing the composite theoretical performance (CTP) control 
parameter for microprocessors in 3A001.a.3.a from 3,500 million 
theoretical operations per second (MTOPS) to 6,500 MTOPS to account for 
technological advances and controllability factors (3A001.a.3.a); and
    (2) Removing License Exception CIV eligibility for microprocessors, 
as the CIV limit has been surpassed by the new higher control threshold 
and BXA has determined that CIV eligibility above the new threshold is 
not warranted.
    4A003--amended by:
    (1) Removing the License Exception CIV eligibility for graphic 
accelerators, as the CIV limit has been surpassed by the new higher 
control threshold and BXA has determined that CIV eligibility above the 
new threshold is not warranted.
    (2) Revising paragraph (d) in the List of Items Controlled to 
increase the national security (NS) control level for graphics 
accelerators and coprocessors from 3 M vectors/sec to 200 M vectors/
sec.
    (3) Revising paragraph (g) in the List of Items Controlled to 
increase the NS control level for external interconnects from a data 
rate of 80 Mbyte/sec to 1.25 Gbyte/sec.
    4A994--amended by adding Anti-Terrorism (AT) controls for external 
interconnects with data rates exceeding 80 Mbyte/s but less than 1.25 
Gbyte/sec. These external interconnects have been removed from NS 
controls as a result of recent changes made by the Wassenaar 
Arrangement, but continue to remain controlled for AT reasons under 
this entry.

Rulemaking Requirements

    1. This final rule has been determined to be not significant for 
purposes of Executive Order 12866.
    2. Notwithstanding any other provision of law, no person is 
required to respond to nor be subject to a penalty for failure to 
comply with a collection of information subject to the requirements of 
the Paperwork Reduction Act unless that collection of information 
displays a current valid OMB Control Number. This regulation involves 
collections previously approved by Office of Management Budget under 
control numbers 0694-0088, ``Multi-Purpose Application,'' which carries 
a burden hour estimate of 45 minutes per manual submission and 40 
minutes per electronic submission. Miscellaneous and recordkeeping 
activities account for 12 minutes per submission. Information is also 
collected under OMB control number 0694-0107, ``National Defense 
Authorization Act,'' Advance Notifications and Post-Shipment 
Verification Reports, which carries a burden hour estimate of 15 
minutes per report. This rule also involves collections of information 
under OMB control number 0694-0073, ``Export Controls of High 
Performance Computers'' and OMB control number 0694-0093, ``Import 
Certificates and End-User Certificates''.
    3. This rule does not contain policies with Federalism implications 
as that term is defined in Executive Order 13132.
    4. The provisions of the Administrative Procedure Act requiring 
notice of proposed rule making, the opportunity for public 
participation, and a delay in effective date, are inapplicable because 
this regulation involves a military or foreign affairs function of the 
United States (see 5 U.S.C. 553(a)(1)). Further, no other law requires 
that a notice of proposed rule making and an opportunity for public 
comment be given for this rule. Because a notice of proposed rule 
making and opportunities for public comment are not required to be 
given for this rule by 5 U.S.C. 553, or by any other law, the 
analytical requirements of the Regulatory Flexibility Act, 5 U.S.C. 601 
et seq., are inapplicable.
    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 Office 
of Exporter Services, Bureau of Export Administration, Department of 
Commerce, P.O. Box 273, Washington, D.C. 20044.

List of Subjects 15 CFR Part 774

    Exports, Foreign trade, Reporting and recordkeeping requirements.

    Accordingly, part 774 of the Export Administration Regulations (15 
CFR Parts 730-799) is amended as follows:
    1. The authority citation for part 774 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. No. 106-508; 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; E.O. 12924, 59 
FR 43437, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 61 FR 58767, 3 CFR, 
1996 Comp., p. 228; Notice of August 3, 2000 (65 FR 48347, August 8, 
2000).

PART 774--[AMENDED]

    2. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3--Electronics is amended by revising the ``License 
Exceptions'' and ``List of Items Controlled'' section of Export Control 
Classification Number (ECCN) 3A001, to read as follows:

3A001  Electronic components, as follows (see List of Items 
Controlled).

* * * * *

License Exceptions

LVS: N/A for MT
    $1500: 3A001.c
    $3000: 3A001.b.1, b.2, b.3, .d, .e and .f
    $5000: 3A001.a, and .b.4 to b.7
GBS: Yes, except 3A001.a.1.a, b.1, b.3 to b.7, .c to .f
CIV: Yes, except 3A001.a.1, a.2, a.3.a , a.5, a.6, a.9, a.10, and a.12, 
.b, .c, .d, .e, and .f

List of Items Controlled

Unit: Number
Related Controls: See also 3A101, 3A201, and 3A991
Related Definitions: For the purposes of integrated circuits in 
3A001.a.1, 5  x  103 Gy(Si) = 5  x  105 Rads 
(Si); 5  x  106 Gy (Si)/s = 5  x  108 Rads (Si)/
s.

    Items:
    a. General purpose integrated circuits, as follows:

    Note 1: The control status of wafers (finished or unfinished), 
in which the function has been determined, is to be evaluated 
against the parameters of 3A001.a.



[[Page 18404]]


    Note 2: Integrated circuits include the following types:

``Monolithic integrated circuits'';
``Hybrid integrated circuits'';
``Multichip integrated circuits'';
``Film type integrated circuits'', including silicon-on-sapphire 
integrated circuits;
``Optical integrated circuits''
    a.1. Integrated circuits, designed or rated as radiation hardened 
to withstand any of the following:
    a.1.a. A total dose of 5  x  103 Gy (Si), or higher; or
    a.1.b. A dose rate upset of 5  x  106 Gy (Si)/s, or 
higher;
    a.2. ``Microprocessor microcircuits'', ``microcomputer 
microcircuits'', microcontroller microcircuits, storage integrated 
circuits manufactured from a compound semiconductor, analog-to-digital 
converters, digital-to-analog converters, electro-optical or ``optical 
integrated circuits'' designed for ``signal processing'', field 
programmable logic devices, neural network integrated circuits, custom 
integrated circuits for which either the function is unknown or the 
control status of the equipment in which the integrated circuit will be 
used is unknown, Fast Fourier Transform (FFT) processors, electrical 
erasable programmable read-only memories (EEPROMs), flash memories or 
static random-access memories (SRAMs), having any of the following:
    a.2.a. Rated for operation at an ambient temperature above 398 K 
(125  deg.C);
    a.2.b. Rated for operation at an ambient temperature below 218 K 
(-55  deg.C); or 
    a.2.c. Rated for operation over the entire ambient temperature 
range from 218 K (-55  deg.C) to 398 K (125  deg.C);

    Note: 3A001.a.2 does not apply to integrated circuits for civil 
automobiles or railway train applications.

    a.3. ``Microprocessor microcircuits'', ``micro-computer 
microcircuits'' and microcontroller microcircuits, having any of the 
following characteristics:

    Note: 3A001.a.3 includes digital signal processors, digital 
array processors and digital coprocessors.

    a.3.a. A ``composite theoretical performance'' (``CTP'') of 6,500 
million theoretical operations per second (MTOPS) or more and an 
arithmetic logic unit with an access width of 32 bit or more;
    a.3.b. Manufactured from a compound semiconductor and operating at 
a clock frequency exceeding 40 MHz; or
    a.3.c. More than one data or instruction bus or serial 
communication port for external interconnection in a parallel processor 
with a transfer rate exceeding 2.5 Mbyte/s;
    a.4. Storage integrated circuits manufactured from a compound 
semiconductor;
    a.5. Analog-to-digital and digital-to-analog converter integrated 
circuits, as follows:
    a.5.a. Analog-to-digital converters having any of the following:
    a.5.a.1. A resolution of 8 bit or more, but less than 12 bit, with 
a total conversion time of less than 10 ns;
    a.5.a.2. A resolution of 12 bit with a total conversion time of 
less than 200 ns; or
    a.5.a.3. A resolution of more than 12 bit with a total conversion 
time of less than 2 s;
    a.5.b. Digital-to-analog converters with a resolution of 12 bit or 
more, and a ``settling time'' of less than 10 ns;

Technical Note

    1. A resolution of n bit corresponds to a quantization of 
2n levels.
    2. Total conversion time is the inverse of the sample rate.

    a.6. Electro-optical and ``optical integrated circuits'' designed 
for ``signal processing'' having all of the following:
    a.6.a. One or more than one internal ``laser'' diode;
    a.6.b. One or more than one internal light detecting element; and
    a.6.c. Optical waveguides;
    a.7. Field programmable logic devices having any of the following:
    a.7.a. An equivalent usable gate count of more than 30,000 (2 input 
gates);
    a.7.b. A typical ``basic gate propagation delay time'' of less than 
0.4 ns; or
    a.7.c. A toggle frequency exceeding 133 Mhz;

    Note: 3A001.a.7 includes: Simple Programmable Logic Devices 
(SPLDs), Complex Programmable Logic Devices (CPLDs), Field 
Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays 
(FPLAs), and Field Programmable Interconnects (FPICs).
    N.B.: Field programmable logic devices are also known as field 
programmable gate or field programmable logic arrays.

    a.8. Reserved.
    a.9. Neural network integrated circuits;
    a.10. Custom integrated circuits for which the function is unknown, 
or the control status of the equipment in which the integrated circuits 
will be used is unknown to the manufacturer, having any of the 
following:
    a.10.a. More than 208 terminals;
    a.10.b. A typical ``basic gate propagation delay time'' of less 
than 0.35 ns; or
    a.10.c. An operating frequency exceeding 3 GHz;
    a.11. Digital integrated circuits, other than those described in 
3A001.a.3 to 3A001.a.10 and 3A001.a.12 based upon any compound 
semiconductor and having any of the following:
    a.11.a. An equivalent gate count of more than 3,000 (2 input 
gates); or
    a.11.b. A toggle frequency exceeding 1.2 GHz;
    a.12. Fast Fourier Transform (FFT) processors having any of the 
following:
    a.12.a. A rated execution time for a 1,024 point complex FFT of 
less than 1 ms;
    a.12.b. A rated execution time for an N-point complex FFT of other 
than 1,024 points of less than N log2 N/10,240 ms, where N 
is the number of points; or
    a.12.c. A butterfly throughput of more than 5.12 MHz;
    b. Microwave or millimeter wave components, as follows:
    b.1. Electronic vacuum tubes and cathodes, as follows:

    Note: 3A001.b.1 does not control tubes designed or rated to 
operate in the ITU allocated bands at frequencies not exceeding 31 
GHz.

    b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows:
    b.1.a.1. Operating at frequencies higher than 31 GHz;
    b.1.a.2. Having a cathode heater element with a turn on time to 
rated RF power of less than 3 seconds;
    b.1.a.3. Coupled cavity tubes, or derivatives thereof, with an 
``instantaneous bandwidth'' of more than 7% or a peak power exceeding 
2.5 kW;
    b.1.a.4. Helix tubes, or derivatives thereof, with any of the 
following characteristics:
    b.1.a.4.a. An ``instantaneous bandwidth'' of more than one octave, 
and average power (expressed in kW) times frequency (expressed in GHz) 
of more than 0.5;
    b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less, 
and average power (expressed in kW) times frequency (expressed in GHz) 
of more than 1; or
    b.1.a.4.c. Being ``space qualified'';
    b.1.b. Crossed-field amplifier tubes with a gain of more than 17 
Db;
    b.1.c. Impregnated cathodes designed for electronic tubes producing 
a continuous emission current density at rated operating conditions 
exceeding 5 A/cm\2\;
    b.2. Microwave integrated circuits or modules having all of the 
following:
    b.2.a. Containing ``monolithic integrated circuits''; and
    b.2.b. Operating at frequencies above 3 GHz;

    Note: 3A001.b.2 does not control circuits or modules for 
equipment designed or rated

[[Page 18405]]

to operate in the ITU allocated bands at frequencies not exceeding 
31 GHz.

    b.3. Microwave transistors rated for operation at frequencies 
exceeding 31 GHz;
    b.4. Microwave solid state amplifiers, having any of the following:
    b.4.a. Operating frequencies exceeding 10.5 GHz and an 
``instantaneous bandwidth'' of more than half an octave; or
    b.4.b. Operating frequencies exceeding 31 GHz;
    b.5. Electronically or magnetically tunable band-pass or band-stop 
filters having more than 5 tunable resonators capable of tuning across 
a 1.5:1 frequency band (Fmax/Fmin) in less than 
10 s having any of the following:
    b.5.a. A band-pass bandwidth of more than 0.5% of center frequency; 
or
    b.5.b. A band-stop bandwidth of less than 0.5% of center frequency;
    b.6. Microwave ``assemblies'' capable of operating at frequencies 
exceeding 31 GHz;
    b.7. Mixers and converters designed to extend the frequency range 
of equipment described in 3A002.c, 3A002.e or 3A002.f beyond the limits 
stated therein;
    b.8. Microwave power amplifiers containing tubes controlled by 
3A001.b and having all of the following:
    b.8.a. Operating frequencies above 3 GHz;
    b.8.b. An average output power density exceeding 80 W/kg; and
    b.8.c. A volume of less than 400 cm\3\;

    Note: 3A001.b.8 does not control equipment designed or rated for 
operation in an ITU allocated band.

    c. Acoustic wave devices, as follows, and specially designed 
components therefor:
    c.1. Surface acoustic wave and surface skimming (shallow bulk) 
acoustic wave devices (i.e., ``signal processing'' devices employing 
elastic waves in materials), having any of the following:
    c.1.a. A carrier frequency exceeding 2.5 GHz;
    c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 
GHz, and having any of the following:
    c.1.b.1. A frequency side-lobe rejection exceeding 55 Db;
    c.1.b.2. A product of the maximum delay time and the bandwidth 
(time in s and bandwidth in MHz) of more than 100;
    c.1.b.3. A bandwidth greater than 250 MHz; or
    c.1.b.4. A dispersive delay of more than 10 s; or
    c.1.c. A carrier frequency of 1 GHz or less, having any of the 
following:
    c.1.c.1. A product of the maximum delay time and the bandwidth 
(time in s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 s; or
    c.1.c.3. A frequency side-lobe rejection exceeding 55 Db and a 
bandwidth greater than 50 MHz;
    c.2. Bulk (volume) acoustic wave devices (i.e., ``signal 
processing'' devices employing elastic waves) that permit the direct 
processing of signals at frequencies exceeding 1 GHz;
    c.3. Acoustic-optic ``signal processing'' devices employing 
interaction between acoustic waves (bulk wave or surface wave) and 
light waves that permit the direct processing of signals or images, 
including spectral analysis, correlation or convolution;
    d. Electronic devices and circuits containing components, 
manufactured from ``superconductive'' materials specially designed for 
operation at temperatures below the ``critical temperature'' of at 
least one of the ``superconductive'' constituents, with any of the 
following:
    d.1. Current switching for digital circuits using 
``superconductive'' gates with a product of delay time per gate (in 
seconds) and power dissipation per gate (in watts) of less than 10\14\ 
J; or
    d.2. Frequency selection at all frequencies using resonant circuits 
with Q-values exceeding 10,000;
    e. High energy devices, as follows:
    e.1. Batteries and photovoltaic arrays, as follows:

    Note: 3A001.e.1 does not control batteries with volumes equal to 
or less than 27 cm\3\ (e.g., standard C-cells or R14 batteries).

    e.1.a. Primary cells and batteries having an energy density 
exceeding 480 Wh/kg and rated for operation in the temperature range 
from below 243 K (-30  deg.C) to above 343 K (70  deg.C);
    e.1.b. Rechargeable cells and batteries having an energy density 
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge 
current equal to C/5 hours (C being the nominal capacity in ampere 
hours) when operating in the temperature range from below 253 K (-20 
deg.C) to above 333 K (60  deg.C);

    Technical Note: Energy density is obtained by multiplying the 
average power in watts (average voltage in volts times average 
current in amperes) by the duration of the discharge in hours to 75% 
of the open circuit voltage divided by the total mass of the cell 
(or battery) in kg.

    e.1.c. ``Space qualified'' and radiation hardened photovoltaic 
arrays with a specific power exceeding 160 W/m\2\ at an operating 
temperature of 301 K (28  deg.C) under a tungsten illumination of 1 kW/
m\2\ at 2,800 K (2,527  deg.C);
    e.2. High energy storage capacitors, as follows:
    e.2.a. Capacitors with a repetition rate of less than 10 Hz (single 
shot capacitors) having all of the following:
    e.2.a.1. A voltage rating equal to or more than 5 kV;
    e.2.a.2. An energy density equal to or more than 250 J/kg; and
    e.2.a.3. A total energy equal to or more than 25 kJ;
    e.2.b. Capacitors with a repetition rate of 10 Hz or more 
(repetition rated capacitors) having all of the following:
    e.2.b.1. A voltage rating equal to or more than 5 kV;
    e.2.b.2. An energy density equal to or more than 50 J/kg;
    e.2.b.3. A total energy equal to or more than 100 J; and
    e.2.b.4. A charge/discharge cycle life equal to or more than 
10,000;
    e.3. ``Superconductive'' electromagnets and solenoids specially 
designed to be fully charged or discharged in less than one second, 
having all of the following:

    Note: 3A001.e.3 does not control ``superconductive'' 
electromagnets or solenoids specially designed for Magnetic 
Resonance Imaging (MRI) medical equipment.

    e.3.a. Energy delivered during the discharge exceeding 10 kJ in the 
first second;
    e.3.b. Inner diameter of the current carrying windings of more than 
250 mm; and
    e.3.c. Rated for a magnetic induction of more than 8 T or ``overall 
current density'' in the winding of more than 300 A/mm\2\;
    f. Rotary input type shaft absolute position encoders having any of 
the following:
    f.1. A resolution of better than 1 part in 265,000 (18 bit 
resolution) of full scale; or
    f.2. An accuracy better than  2.5 seconds of arc.
* * * * *
    3. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 4--Computers is amended by revising ``License Exceptions'' and 
``List of Items Controlled'' sections of Export Control Classification 
Number (ECCN) 4A003; and by revising the ``List of Items Controlled'' 
section in ECCN 4A994, to read as follows:

4A003  ``Digital computers'', ``electronic assemblies'', and 
related equipment therefor, and specially designed components 
therefor.

* * * * *

License Exceptions

    LVS: $5000; N/A for MT ``digital'' computers controlled by 4A003.b 
and having a CTP exceeding 12,500 MTOPS;

[[Page 18406]]

or ``electronic assemblies'' controlled by 4A003.c and capable of 
enhancing performance by aggregation of ``computing elements'' so that 
the CTP of the aggregation exceeds 12,500 MTOPS.
    GBS: Yes, for 4A003.d, .e, and .g and specially designed components 
therefor, exported separately or as part of a system.
    CTP: Yes, for computers controlled by 4A003.a, .b and .c, to the 
exclusion of other technical parameters, with the exception of 
parameters specified as controlled for Missile Technology (MT) concerns 
and 4A003.e (equipment performing analog-to-digital or digital-to-
analog conversions exceeding the limits of 3A001.a.5.a). See Sec. 740.7 
of the EAR.
    CIV: Yes, for .e, and .g.

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A994 and 4A980
Related Definitions: N/A

    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 a ``composite theoretical 
performance'' (``CTP'') exceeding 6,500 million theoretical operations 
per second (MTOPS);
    c. ``Electronic assemblies'' specially designed or modified to be 
capable of enhancing performance by aggregation of ``computing 
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds the 
limit in 4A003.b.;

    Note 1: 4A003.c applies only to ``electronic assemblies'' and 
programmable interconnections not exceeding the limit in 4A003.b. 
when shipped as unintegrated ``electronic assemblies''. It does not 
apply to ``electronic assemblies'' inherently limited by nature of 
their design for use as related equipment controlled by 4A003.d, or 
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. Graphics accelerators and graphics coprocessors exceeding a 
``three dimensional Vector Rate'' of 200,000,000;
    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''.

* * * * *

4A994  Computers, ``Electronic Assemblies'', and Related Equipment Not 
Controlled by 4A001, 4A002, or 4A003, and Specially Designed Components 
Therefor

* * * * *

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A

    Items:
    a. Electronic computers and related equipment, and ``electronic 
assemblies'' and specially designed components therefor, rated for 
operation at an ambient temperature above 343 K (70  deg.C);
    b. ``Digital computers'' having a ``composite theoretical 
performance'' (``CTP'') equal to or greater than 6 million theoretical 
operations per second (MTOPS);
    c. ``Electronic assemblies'' that are specially designed or 
modified to enhance performance by aggregation of ``computing 
elements'' (``CEs''), as follows:
    c.1. Designed to be capable of aggregation in configurations of 16 
or more ``computing elements'' (``CEs''); or
    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 ``CTP'' not exceeding the 
limits in 4A994.b, when shipped as unintegrated ``electronic 
assemblies''. It does not apply to ``electronic assemblies'' 
inherently limited by nature of their design for use as related 
equipment controlled by 4A994.


    Note 2: 4A994.c does not control any ``electronic assembly'' 
specially designed for a product or family of products whose maximum 
configuration does not exceed the limits of 4A994.b.

    d. Disk drives and solid state storage equipment:
    d.1. Magnetic, erasable optical or magneto-optical disk drives with 
a ``maximum bit transfer rate'' exceeding 25 million bit/s;
    d.2. Solid state storage equipment, other than ``main storage'' 
(also known as solid state disks or RAM disks), with a ``maximum bit 
transfer rate'' exceeding 36 million bit/s;
    e. Input/output control units designed for use with equipment 
controlled by 4A994.d;
    f. Equipment for ``signal processing'' or ``image enhancement'' 
having a ``composite theoretical performance'' (``CTP'') exceeding 8.5 
million theoretical operations per second (MTOPS);
    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;


[[Page 18407]]


    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''.

* * * * *

    Dated: April 3, 2001.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 01-8636 Filed 4-6-01; 8:45 am]
BILLING CODE 3510-33-P