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STEP-06-STATE-MACHINE-EX-PR-01.md

Document Metadata

Name: STEP-06-STATE-MACHINE-EX-PR-01.md
Version: 0.1
Status: DRAFT
Date: 2026-02-09

1. Purpose and Scope

This document defines the complete, authoritative governance state machine for EX-PR-01 (Procurement Procedure) under strict governance-first, ISO-aligned principles. It governs state logic, transitions, and role boundaries for procurement, ensuring impartiality, auditability, and compliance. It does NOT define UI, backend, APIs, workflows, or automation.

2. Canonical List of Governance States

| State Key | Description | |--------------------|---------------------------------------------| | INITIATED | Procurement request submitted | | ELIGIBILITY_REVIEW | Eligibility of request and participants | | TENDER_OPEN | Tender/bid submission window open | | TENDER_CLOSED | Tender/bid submission window closed | | EVALUATION | Bids/offers under evaluation | | SELECTION | Selection decision pending | | DECISION | Final decision and notification | | CORRECTION | Correction or clarification required | | REJECTED | Procurement process terminated (rejected) | | SETTLED | Settlement/anchoring proof issued | | CLOSED | Procedure formally closed |

3. State Definitions

INITIATED

Description: Procurement request submitted by authorized requester.
Entry: Submission of complete request form by eligible role.
Exit: Eligibility review assigned.
Allowed transitions: ELIGIBILITY_REVIEW, CORRECTION
Prohibited: Direct transition to EVALUATION, SELECTION, DECISION, SETTLED, CLOSED
Responsible: Requestor
Invariants: Requestor MUST NOT evaluate or approve own request.

ELIGIBILITY_REVIEW

Description: Review of request and participant eligibility.
Entry: Assignment by governance authority.
Exit: Eligibility confirmed or correction required.
Allowed: TENDER_OPEN, CORRECTION, REJECTED
Prohibited: Direct transition to SELECTION, DECISION, SETTLED, CLOSED
Responsible: Reviewer
Invariants: Reviewer MUST be independent from requestor.

TENDER_OPEN

Description: Tender/bid submission window is open.
Entry: Eligibility confirmed.
Exit: Submission window closed.
Allowed: TENDER_CLOSED
Prohibited: Direct transition to EVALUATION, SELECTION, DECISION, SETTLED, CLOSED
Responsible: Governance/Procurement Manager
Invariants: All bids MUST be submitted before window closes.

TENDER_CLOSED

Description: Tender/bid submission window is closed.
Entry: Window closure event.
Exit: Evaluation begins.
Allowed: EVALUATION
Prohibited: Direct transition to SELECTION, DECISION, SETTLED, CLOSED
Responsible: Governance/Procurement Manager
Invariants: No new bids may be accepted.

EVALUATION

Description: Bids/offers are evaluated.
Entry: Tender closed.
Exit: Selection decision or correction required.
Allowed: SELECTION, CORRECTION, REJECTED
Prohibited: Direct transition to DECISION, SETTLED, CLOSED
Responsible: Evaluator(s)
Invariants: Evaluator MUST be independent from requestor and suppliers.

SELECTION

Description: Selection decision is pending.
Entry: Evaluation complete.
Exit: Decision made.
Allowed: DECISION, CORRECTION, REJECTED
Prohibited: Direct transition to SETTLED, CLOSED
Responsible: Approver
Invariants: Approver MUST NOT be requestor or evaluator.

DECISION

Description: Final decision and notification.
Entry: Selection approved.
Exit: Settlement/anchoring or closure.
Allowed: SETTLED, CLOSED, CORRECTION
Prohibited: Direct transition to REJECTED
Responsible: Approver
Invariants: Notification MUST be auditable.

CORRECTION

Description: Correction or clarification required at any stage.
Entry: Nonconformity or missing information detected.
Exit: Return to previous state after correction.
Allowed: INITIATED, ELIGIBILITY_REVIEW, EVALUATION, SELECTION, DECISION
Prohibited: Direct transition to SETTLED, CLOSED
Responsible: Original actor for correction
Invariants: Correction loop MUST NOT bypass independence rules.

REJECTED

Description: Procurement process terminated.
Entry: Rejection at any review or evaluation stage.
Exit: Terminal state.
Allowed: None
Prohibited: All transitions
Responsible: Governance/Reviewer
Invariants: Rejection MUST be justified and recorded.

SETTLED

Description: Settlement/anchoring proof issued.
Entry: Decision finalized and settlement/anchoring performed.
Exit: Closure
Allowed: CLOSED
Prohibited: All other transitions
Responsible: System (anchoring only)
Invariants: Anchoring/settlement is proof only, not approval.

CLOSED

Description: Procedure formally closed.
Entry: All required records complete and anchored if applicable.
Exit: Terminal state.
Allowed: None
Prohibited: All transitions
Responsible: Governance/Quality
Invariants: No further changes permitted.

4. Transition Matrix

| From State | To State | Condition/Trigger | |--------------------|--------------------|----------------------------------| | INITIATED | ELIGIBILITY_REVIEW | Request submitted | | INITIATED | CORRECTION | Nonconformity detected | | ELIGIBILITY_REVIEW | TENDER_OPEN | Eligibility confirmed | | ELIGIBILITY_REVIEW | CORRECTION | Correction required | | ELIGIBILITY_REVIEW | REJECTED | Eligibility failed | | TENDER_OPEN | TENDER_CLOSED | Submission window closed | | TENDER_CLOSED | EVALUATION | All bids received | | EVALUATION | SELECTION | Evaluation complete | | EVALUATION | CORRECTION | Correction required | | EVALUATION | REJECTED | Evaluation failed | | SELECTION | DECISION | Selection approved | | SELECTION | CORRECTION | Correction required | | SELECTION | REJECTED | Selection rejected | | DECISION | SETTLED | Settlement/anchoring performed | | DECISION | CLOSED | No settlement required | | DECISION | CORRECTION | Correction required | | CORRECTION | [Previous State] | Correction completed | | SETTLED | CLOSED | All records anchored |

5. Correction Loops

Correction may be triggered from INITIATED, ELIGIBILITY_REVIEW, EVALUATION, SELECTION, DECISION.
Correction returns to the previous state after required action.
Correction loops MUST NOT bypass independence or separation-of-duties invariants.
Maximum loop count: UNDEFINED — GOVERNANCE DECISION REQUIRED.

6. Terminal States

REJECTED
CLOSED

7. Audit & Traceability Requirements

All state transitions MUST be logged with actor, timestamp, and justification.
All approvals, rejections, and corrections MUST be auditable.
No state or record may be deleted or altered after closure.

8. Settlement & Anchoring Positioning

Settlement and anchoring are for proof only, never for approval or decision-making.
Anchoring/settlement MUST NOT be interpreted as legal or governance approval.
Only finalized, approved records may be anchored.

9. Explicit UNDEFINED Items

Maximum correction loop count: UNDEFINED — GOVERNANCE DECISION REQUIRED
Supplier eligibility criteria: UNDEFINED — GOVERNANCE DECISION REQUIRED
Detailed evidence schema: UNDEFINED — GOVERNANCE DECISION REQUIRED
Any automation or SLA: UNDEFINED — GOVERNANCE DECISION REQUIRED

End of Document