Skip to content
Return to Questionnaire Return to Search

DSGL Item Details - 4E001

PART 2 Dual Use List / CATEGORY 4 - COMPUTERS / 4E - Technology

​​​​​​​4E001  a. “Technology” according to the General Technology Note, for the “development”, “production” or “use” of equipment or “software” specified by 4A or 4D.

b. "Technology" according to the General Technology Note, other than that specified by 4E001.a., for the "development" or "production" of equipment as follows:

1. “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 15​ Weighted TeraFLOPS (WT);

2. “Electronic assemblies” specially designed or modified for enhancing performance by aggregation of processors so that the “APP” of the aggregation exceeds the limit by 4E001.b.1.

c.  "Technology" for the "development" of "intrusion software".​

Note 1: 4E001.a. and 4E001.c. do not apply to 'vulnerability disclosure' or 'cyber incident response'.

Note 2: Note 1 does not diminish national authorities’ entitlements to ascertain compliance with 4E001.a. and 4E001.c..

Technical Notes:

1. 'Vulnerability disclosure' means the process of identifying, reporting, or communicating a vulnerability to, or analysing a vulnerability with, individuals or organizations responsible for conducting or coordinating remediation for the purpose of resolving the vulnerability.

2. 'Cyber incident response' means the process of exchanging necessary information on a cyber security incident with individuals or organizations responsible for conducting or coordinating remediation to address the cyber security incident.

TECHNICAL NOTE ON “ADJUSTED PEAK PERFORMANCE” (“APP”)

“APP” is an adjusted peak rate at which “digital computers” perform 64-bit or larger floating point additions and multiplications.

“APP” is expressed in Weighted TeraFLOPS (WT), in units of 1012 adjusted floating point operations per second

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

Outline of “APP” calculation method

1.  For each processor i, determine the peak number of 64-bit or larger floating point operations, FPOi, performed per cycle for each processor in the “digital computer”.

​Note:  In determining FPO, include only 64-bit or larger floating point additions and/or multiplications.  All floating point operations must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle.  For processors not capable of performing calculations on floating point operands of 64-bit or more, the effective calculating rate R is zero.

2.  Calculate the floating point rate R for each processor:

N4 Formula 1.png 

3.  Calculate “APP”:

N4 Formula 1.png 

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 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 processor combinations containing processors specially designed to enhance performance by aggregation, operating simultaneously and sharing memory;

Technical Notes:

  1. Aggregate all processors and accelerators operating simultaneously and located on the same die.
  2. Processor combinations share memory when any processor is capable of accessing any memory location in the system through the hardware transmission of cache lines or memory words, without the involvement of any software mechanism, which may be achieved using "electronic assemblies" specified by  4A003.c.

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.​

Sensitive Listing:

One or more of the items in this control are listed in the Sensitive List. Items on the Sensitive List require additional care in their transfer and General Export Licenses are generally not available for the export or supply of these items. To view the Sensitive List, click here.

Related Software Controls

No related software controls found

Related Technology Controls

No related technology controls found

Relevant Notes for interpreting this DSGL Item

GENERAL NOTES

​​​​Definitions

Terms in “quotation marks” are defined terms (see Definitions). Words and terms that are defined and that appear in the Defence and Strategic Goods List without quotation marks are intended to take their ordinary dictionary meanings.


​​ Notes​

​​​The Notes, Technical Notes and Nota Bene (N.B.) appearing in the Defence and Strategic Goods List form an integral part of the control text.


Incorporated goods​

The object of the controls contained in the Defence and Strategic Goods List should not be defeated by the export of any non‑controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes.​​

N​ote​:​      In judging whether the controlled component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know‑how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.​


New and used goods

Goods specified in the Defence and Strategic Goods List include both new and used goods.


CAS numbers

In some instances chemicals are listed by name and CAS number. The list applies to chemicals of the same structural formula (including hydrates) regardless of name or CAS number. CAS numbers are shown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CAS numbers cannot be used as unique identifiers because:

   (a)some forms of the listed chemical have different CAS numbers; and

   ​(b)​mixtures containing a listed chemical may also have different CAS numbers.​

​ ​​

Source Code

“Source code” items are controlled either by “software” or by “software” and “technology” controls, except when such “source code” items are explicitly decontrolled.​​


Medical equipment

Equipment specially designed for medical end use that incorporates an item controlled in the Dual Use List is not controlled​​​.​​​

General “information security” note (GISN)

"Information security" items or functions should be considered against the provisions in Category 5 Part 2, even if they are components, "software" or functions of other items.

Note(s) to PART 2 Dual Use List

​​Rel​ocated.​​

Note(s) to CATEGORY 4 - COMPUTERS

​​​Note 1: Computers, related equipment and “software” performing telecommunications or “local area network” functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications).

Note 2: Control units which directly interconnect the buses or channels of central processing units, “main storage” or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).

N.B.: For the control status of “software” specially designed for packet switching, see 5D001.​

​Technical Note:​​

​​‘Main storage’ is the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a “digital computer’ and any hierarchical extension thereto, such as cache storage or non sequentially accessed extended storage.

Additional DSGL Items to consider

No additional DSGL items found

Additional Guidance Material

No additional guidance material found

Definitions & Abbreviations

Return to Questionnaire Return to Search