Document Metadata

• Name: STEP-06-STATE-MACHINE-EX-IP-04
• Version: 1.0
• Status: DRAFT
• Date: 2026-02-26

Purpose

This governance state machine defines the canonical lifecycle for EX-IP-04 (Cost Estimate Inspection), including state authority, transition boundaries, and invariants required for auditability and automation-safe form gating. This document does NOT define UI design, backend workflows, SLAs, or implementation details.

Canonical State List

• INITIATED
• SUBMITTED
• ASSIGNED
• UNDER_INSPECTION
• UNDER_VERIFICATION
• VERIFICATION_COMPLETED
• UNDER_REVIEW
• DECISION_PENDING
• CORRECTION_REQUIRED
• APPROVED
• REJECTED
• ANCHORED
• SETTLED
• CLOSED
• CANCELLED

State Definitions

INITIATED

• Description: Procedure instance is opened; submission package is being prepared.
• Allowed roles: Applicant / Client
• Prohibited actions: Assignment, decision, closure
• Mandatory records: F-IP-04-01 (draft in progress)
• Governance invariants: Initiator MUST NOT self-approve later decision stages.

SUBMITTED

• Description: Submission package is formally submitted for governance processing.
• Allowed roles: Applicant / Client
• Prohibited actions: Decision, closure
• Mandatory records: F-IP-04-01
• Governance invariants: Submission payload becomes auditable evidence.

ASSIGNED

• Description: Inspector is assigned under explicit authority boundaries.
• Allowed roles: Governance Manager
• Prohibited actions: Inspection output approval by assigner
• Mandatory records: F-IP-04-02, F-IP-04-09 (if required)
• Governance invariants: Assigned inspector MUST satisfy independence constraints.

UNDER_INSPECTION

• Description: Inspection evidence is being collected and recorded.
• Allowed roles: Inspector
• Prohibited actions: Final decision, closure
• Mandatory records: F-IP-04-03
• Governance invariants: Inspector MUST record factual observations only.

UNDER_VERIFICATION

• Description: Verification activity is in progress against submitted estimate and inspection evidence.
• Allowed roles: Inspector
• Prohibited actions: Final governance decision
• Mandatory records: F-IP-04-04 (in progress)
• Governance invariants: Verification evidence MUST be traceable and complete.

VERIFICATION_COMPLETED

• Description: Verification result is finalized and ready for review/decision gate.
• Allowed roles: Inspector
• Prohibited actions: Direct closure, settlement finalization
• Mandatory records: F-IP-04-04
• Governance invariants: Verification completion MUST be immutable before review.

UNDER_REVIEW

• Description: Independent review stage (when review role is enabled).
• Allowed roles: Reviewer (if applicable), Quality Manager
• Prohibited actions: Reviewer MUST NOT sign as inspector for same instance
• Mandatory records: F-IP-04-05 (conditional)
• Governance invariants: Review separation-of-duties MUST hold.

DECISION_PENDING

• Description: Governance authority evaluates evidence for final decision.
• Allowed roles: Governance Manager
• Prohibited actions: Unapproved closure
• Mandatory records: F-IP-04-06 (draft/working)
• Governance invariants: Decision authority MUST NOT equal inspector role for same instance.

CORRECTION_REQUIRED

• Description: Correction or clarification is required before decision.
• Allowed roles: Governance Manager, Inspector, Applicant / Client (as applicable)
• Prohibited actions: Approval, closure, settlement
• Mandatory records: F-IP-04-07
• Governance invariants: Corrections MUST be linked to explicit evidence gaps.

APPROVED

• Description: Inspection outcome is formally approved.
• Allowed roles: Governance Manager, Quality Manager (review scope)
• Prohibited actions: Payload mutation without correction loop
• Mandatory records: F-IP-04-06
• Governance invariants: Approval MUST be justified and auditable.

REJECTED

• Description: Inspection outcome is rejected with governance reason.
• Allowed roles: Governance Manager
• Prohibited actions: Further progression
• Mandatory records: F-IP-04-06 (with rejection rationale)
• Governance invariants: Rejection MUST be immutable and traceable.

ANCHORED

• Description: Integrity proof for finalized inspection record set is anchored.
• Allowed roles: Governance/Oversight function
• Prohibited actions: Treat anchoring as approval logic
• Mandatory records: Anchoring proof reference
• Governance invariants: Anchoring is proof-only.

SETTLED

• Description: Settlement reference is recorded for finality evidence.
• Allowed roles: Governance/Oversight function
• Prohibited actions: Re-open decision logic
• Mandatory records: Settlement reference record
• Governance invariants: Settlement is finality evidence, not governance decision logic.

CLOSED

• Description: Procedure instance is formally closed.
• Allowed roles: Governance Manager, Quality Manager
• Prohibited actions: Any state mutation
• Mandatory records: F-IP-04-08
• Governance invariants: Closed record set MUST be immutable.

CANCELLED

• Description: Procedure instance is cancelled before completion.
• Allowed roles: Governance Manager
• Prohibited actions: Further progression
• Mandatory records: Cancellation record (decision evidence)
• Governance invariants: Cancellation MUST be explicit and auditable.

State Transitions (Conceptual)

| From State | To State | Triggering Condition | Responsible Role | Required Evidence | |------------------------|------------------------|------------------------------------------------|--------------------------|------------------| | INITIATED | SUBMITTED | Submission package formally submitted | Applicant / Client | F-IP-04-01 | | SUBMITTED | ASSIGNED | Inspector assignment approved | Governance Manager | F-IP-04-02 | | ASSIGNED | UNDER_INSPECTION | Inspection activity started | Inspector | F-IP-04-03 | | UNDER_INSPECTION | UNDER_VERIFICATION | Inspection observations complete | Inspector | F-IP-04-03 | | UNDER_VERIFICATION | VERIFICATION_COMPLETED | Verification completed | Inspector | F-IP-04-04 | | VERIFICATION_COMPLETED | UNDER_REVIEW | Independent review required | Governance Manager | F-IP-04-05 (if enabled) | | VERIFICATION_COMPLETED | DECISION_PENDING | Review bypass not required by policy | Governance Manager | F-IP-04-04 | | UNDER_REVIEW | DECISION_PENDING | Review completed | Reviewer / Quality | F-IP-04-05 | | UNDER_REVIEW | CORRECTION_REQUIRED | Review identified correction need | Reviewer / Quality | F-IP-04-05 | | DECISION_PENDING | APPROVED | Decision approved | Governance Manager | F-IP-04-06 | | DECISION_PENDING | REJECTED | Decision rejected | Governance Manager | F-IP-04-06 | | DECISION_PENDING | CORRECTION_REQUIRED | Decision requires correction cycle | Governance Manager | F-IP-04-07 | | CORRECTION_REQUIRED | SUBMITTED | Corrected package resubmitted | Applicant / Inspector | F-IP-04-07 | | APPROVED | ANCHORED | Anchoring executed (if enabled) | Oversight | Anchoring proof reference | | ANCHORED | SETTLED | Settlement reference recorded | Oversight | Settlement reference | | SETTLED | CLOSED | Closure finalized | Governance Manager | F-IP-04-08 | | APPROVED | CLOSED | Direct closure path (if anchoring not required)| Governance Manager | F-IP-04-08 | | Any pre-terminal state | CANCELLED | Cancellation decision | Governance Manager | Cancellation record |

Governance Invariants

• Inspector MUST NOT approve own inspection output.
• Reviewer (if enabled) MUST be independent from inspector for same instance.
• Governance decision authority MUST remain separated from inspection authorship.
• Correction loops MUST NOT bypass verification and decision evidence gates.
• After terminal states (CLOSED, REJECTED, CANCELLED), records are immutable.
• Anchoring and settlement are proof/finality artefacts only.

Terminal States

• CLOSED
• REJECTED
• CANCELLED

Anchoring and Settlement Positioning

• ANCHORED and SETTLED represent evidence of integrity/finality.
• They MUST NOT act as approval authority.
• UI and APIs MUST NOT present these states as decision makers.

UNDEFINED Items

• Reviewer role mandatory/optional enforcement policy.
• Maximum correction loop count.
• Detailed cancellation authority matrix.
• Anchoring requirement policy per inspection category.

END OF DOCUMENT