Findings of corrupt conduct
Download the findings of corrupt conduct (pdf)
Recommendations for prosecutions
Download the recommendations for prosecutions (pdf)
Recommendations for disciplinary action
Consequent to the Commission’s investigation, Alexandre Dubois’ employment was suspended on 18 June 2019 and terminated on 17 October 2019. Accordingly, the question of whether consideration should be given to the taking of action against him for a disciplinary offence or the taking of action with a view to his dismissal, does not arise.
Consequent to the Commission’s investigation, Mr Steyn’s employment was terminated on 6 December 2019. Accordingly, the question of whether consideration should be given to the taking of action against him for a disciplinary offence or the taking of action with a view to his dismissal, does not arise.
Recommendations for corruption prevention
The Commission has made nine recommendations to help Transport for NSW (TfNSW) prevent the conduct identified in the investigation from recurring.
Recommendation 1
That TfNSW reviews its processes surrounding construction procurement to ensure that planning of minor works:
- is based on a meaningful analysis of need
- properly considers relevant market(s), including the existence of relevant panels of suppliers or prequalification schemes
- is guided by an appropriately detailed procurement strategy, with controls to avoid the splitting of work
- is only conducted in accordance with its delegation framework.
Recommendation 2
That TfNSW ensures that it has a robust supplier due diligence framework that includes:
- routinely obtaining full ASIC records of new suppliers
- routinely conducting internet searches on new suppliers
- further due diligence checks being conducted on a risk-basis
- due diligence checks being conducted by an individual
- processes to follow up supplier red flags in a meaningful manner.
Recommendation 3
That TfNSW strengthens its controls surrounding subcontractors and makes any necessary enhancements to ensure that it monitors the role of subcontractors throughout the construction procurement process.
Recommendation 4
That TfNSW develops and implements a plan to:
- assess the procurement competence of relevant TfNSW employees and contractors who perform procurement activities, making allowance for the fact that different activities may require different competencies, and rectify any competency deficits
- adopt mechanisms to ensure that staff with new procurement responsibilities are competent.
Recommendation 5
That TfNSW reviews its governance of procurement information to ensure that accurate and completed records are kept.
Recommendation 6
That TfNSW reviews supervision of staff involved in procurement processes to ensure that managers are alert to, and aware of, red flags of misconduct, and act upon them appropriately.
Recommendation 7
That TfNSW strengthens its governance of change management processes to ensure that the following are addressed:
- potential structural weaknesses that might arise
- the effect of change on supplier markets, including knowledge of potential suppliers
- adequacy of supervisor and management handovers that may be required when accountabilities change (whether these relate to oversight of an individual or a function).
Recommendation 8
That TfNSW reviews its infrastructure programs to ensure that the new policy/framework requirements for construction procurements (regardless of asset value) include an appropriate level of assurance and compliance mechanisms to address the systemic risks identified in this investigation.
Recommendation 9
That TfNSW strengthens its complaints management and contracts management systems to ensure that:
- there is clear and easy access for suppliers to report suspected corrupt conduct by TfNSW employees, including their designated TfNSW project and/or contract manager
- adequate processes exist to manage allegations of corrupt conduct raised by suppliers.
Responses to ICAC recommendations
The action plan posted below has been provided by Transport for NSW in response to the ICAC’s recommendations. Its
publication here is to show the status of the responses. It does not
constitute approval or endorsement by the Commission.
Action Plan - Transport for NSW