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