Name: STEP-06-STATE-MACHINE-EX-TN-01 Version: 1.0 Status: DRAFT Date: 2026-02-09

1. Purpose of the State Machine

This state machine defines the canonical governance states, transitions, and invariants for EX-TN-01 — Tender / Bidding Procedure. It exists to ensure fairness, auditability, and compliance with ISO 9001, ISO 27001, and ISO 17020 principles. No implementation, UI, or automation logic is included.

2. Canonical State List

• DRAFT
• PUBLISHED
• BIDDING_OPEN
• BIDDING_CLOSED
• UNDER_EVALUATION
• SELECTION_PROPOSED
• APPROVED
• REJECTED
• CLOSED

3. State Definitions

DRAFT

• Description: Tender is being prepared; not visible to bidders.
• Allowed roles: Tender Creator, Governance Authority
• Prohibited actions: Bid submission, evaluation, publication
• Mandatory records: Tender Notice / Invitation
• Immutability: May be edited until published

PUBLISHED

• Description: Tender is published and open for interest.
• Allowed roles: Tender Creator, Governance Authority
• Prohibited actions: Bid submission (until BIDDING_OPEN), evaluation
• Mandatory records: Tender Notice / Invitation
• Immutability: Tender content MUST NOT be changed after publication

BIDDING_OPEN

• Description: Bids may be submitted; tender is open for participation.
• Allowed roles: Bidders, Tender Creator
• Prohibited actions: Bid opening, evaluation
• Mandatory records: Bid Submission Record, Eligibility Declaration
• Immutability: Bids MUST NOT be visible to evaluators

BIDDING_CLOSED

• Description: Bidding period is closed; no further bids accepted.
• Allowed roles: Governance Authority
• Prohibited actions: Bid submission, bid modification
• Mandatory records: Bid Confidentiality & Integrity Record, Bid Opening Record
• Immutability: Bids MUST NOT be modified or withdrawn

UNDER_EVALUATION

• Description: Evaluation committee reviews bids.
• Allowed roles: Evaluation Committee
• Prohibited actions: Bid submission, bid modification, single-person evaluation
• Mandatory records: Evaluation Committee Declaration, Evaluation Record
• Immutability: Evaluation records MUST be immutable

SELECTION_PROPOSED

• Description: Evaluation outcome is proposed for approval.
• Allowed roles: Evaluation Committee, Approver
• Prohibited actions: Evaluation modification, bid modification
• Mandatory records: Selection / Award Justification Record, Non-selection Rationale Record
• Immutability: Proposal MUST NOT be altered after submission

APPROVED

• Description: Selection is formally approved.
• Allowed roles: Approver, Governance Authority
• Prohibited actions: Further evaluation, bid modification
• Mandatory records: Award Justification Record
• Immutability: Approval record MUST be immutable

REJECTED

• Description: Selection is rejected; process may return to evaluation or close.
• Allowed roles: Approver, Governance Authority
• Prohibited actions: Bid modification, new evaluation without correction
• Mandatory records: Non-selection Rationale Record
• Immutability: Rejection record MUST be immutable

CLOSED

• Description: Tender is closed; all records finalized.
• Allowed roles: Governance Authority
• Prohibited actions: Any further process actions
• Mandatory records: Tender Closure Record
• Immutability: All records MUST be immutable

4. State Transitions (Conceptual)

| From State | To State | Triggering Condition | Responsible Role | Required Evidence | |-----------------|------------------|-------------------------------------|----------------------|----------------------------------------| | DRAFT | PUBLISHED | Governance approval to publish | Governance Authority | Tender Notice / Invitation | | PUBLISHED | BIDDING_OPEN | Bidding period opens | Governance Authority | Bid Submission Record | | BIDDING_OPEN | BIDDING_CLOSED | Bidding deadline reached | Governance Authority | Bid Confidentiality & Integrity Record | | BIDDING_CLOSED | UNDER_EVALUATION | Bids formally opened | Evaluation Committee | Bid Opening Record | | UNDER_EVALUATION| SELECTION_PROPOSED| Evaluation completed | Evaluation Committee | Evaluation Record, Committee Declaration| | SELECTION_PROPOSED| APPROVED | Approval granted | Approver | Award Justification Record | | SELECTION_PROPOSED| REJECTED | Approval denied | Approver | Non-selection Rationale Record | | REJECTED | UNDER_EVALUATION | Correction required | Governance Authority | Correction Record (UNDEFINED) | | APPROVED | CLOSED | Settlement/anchoring completed | Governance Authority | Tender Closure Record | | REJECTED | CLOSED | Process terminated | Governance Authority | Tender Closure Record |

5. Correction Loops (Governance-Level Only)

• If selection is REJECTED, process MAY return to UNDER_EVALUATION for correction.
• Correction record MUST be created (form: UNDEFINED — requires organizational decision).
• No automatic or infinite loops permitted.

6. Terminal States

• APPROVED (prior to closure)
• REJECTED (if not corrected)
• CLOSED (final terminal state)

7. Audit & Traceability Requirements

• Every state transition MUST be logged with actor, timestamp, and evidence reference.
• All records MUST be immutable after closure.
• Evaluation and approval actions MUST be traceable to individual roles.

8. Anchoring & Settlement Positioning

• Only immutable, finalized records (e.g., Award Justification, Closure Record) MAY be anchored (hashes only).
• Anchoring provides cryptographic proof of integrity ONLY.
• Anchoring MUST NOT imply approval, selection, or contract formation.
• Settlement refers to finalization of the tender process ONLY.

9. Explicit Prohibitions

• Automatic transitions between states
• Single-person evaluation or approval
• Bidder access to evaluation or selection records
• Blockchain influencing evaluation or selection
• Implicit or unrecorded winner selection

10. UNDEFINED Items

• Correction record form and process: UNDEFINED — requires organizational decision
• Detailed criteria for evaluation and selection: UNDEFINED
• Handling of appeals or disputes: UNDEFINED
• Any scoring or ranking logic: UNDEFINED
• Supplier notification process: UNDEFINED