Full article: Tainted food—Do managers really go to jail?

In recent years, causes of such illnesses have been traced to tainted fresh produce, peanut butter, ice cream, cheese, meats, flour, frozen foods, raw milk, ... SkiptoMainContent Searchin: ThisJournal Anywhere Advancedsearch CogentBusiness&Management Volume5,2018-Issue1 Submitanarticle Journalhomepage 764 Views 1 CrossRefcitationstodate 0 Altmetric Listen ResearchArticle Taintedfood—Domanagersreallygotojail?RickeyE.RichardsonDepartmentofAccounting,Finance&Economics,TarletonStateUniversity,BoxT-0920,Stephenville,TX76402,USACorrespondencerrichardson@tarleton.eduViewfurtherauthorinformation,LauraL.GordeyDepartmentofAccounting,Finance&Economics,TarletonStateUniversity,BoxT-0920,Stephenville,TX76402,USAViewfurtherauthorinformation&KyleC.PostDepartmentofAccounting,Finance&Economics,TarletonStateUniversity,BoxT-0920,Stephenville,TX76402,USAViewfurtherauthorinformation|SandyNunnForeignAffairsCouncil,USA (ReviewingEditor) Article:1450817 Received10Dec2017Accepted07Mar2018Acceptedauthorversionpostedonline:12Mar2018Publishedonline:22Mar2018 Downloadcitation https://doi.org/10.1080/23311975.2018.1450817 CrossMark InthisarticleInthisarticleAbstract1.Introduction2.Literaturereview3.Methodology4.Researchanddiscussion5.ConclusionFundingAdditionalinformationReferences ResearchArticle Taintedfood—Domanagersreallygotojail? 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AbstractAbstractTheCentersforDiseaseControlandPrevention(CDC)estimatesthat,intheUnitedStates,“eachyear48millionpeoplegetsickfromafoodborneillness,128,000arehospitalizedand3,000die”.Inrecentyears,causesofsuchillnesseshavebeentracedtotaintedfreshproduce,peanutbutter,icecream,cheese,meats,flour,frozenfoods,rawmilk,nuts,andawidevarietyofotherfoods.TheprimaryresponsibilitytokeepthefoodsupplysafeintheUnitedStatesrestswiththeUnitedStatesDepartmentofAgriculture(USDA)andtheFoodandDrugAdministration(FDA).Inseriouscasesoftaintedfood,aninvestigationmayresultincriminalchargesbeingpursuedbytheUnitedStatesDepartmentofJustice(DOJ).Prosecutionsmaybeagainstabusinessentity,individualsworkingfortheentity,orboth.Thisresearchfocusesonprosecutionsreportedbetween1January2012,and31August2017.ContentanalysiswasusedtoanalyzeCDCdata,pressreleasesoftheUSDA,FDA,andDOJ,andcourtcases.Resultsofthisstudymayincreaseawarenessofmanagersofthepotentialcriminalconsequencesoftheirdecisionsrelatedtofoodproduction,processing,andsales,aswellasmoreethicalbusinessdecisions.Keywords:managementbusinesslawfoodborneillnessDOJCDCFDAUSDAethics PublicInterestStatementWorldwide,hundredsofmillionsofpeoplearesickenedeachyearfromfoodborneillnessandthousandsdie.IntheUnitedStatesalonethosenumbersareestimatedtobe48millionwhobecomeilland3,000whodie.Strictregulationsandlawsapplytothecommercialproductionandsaleoffood.Thepotentialconsequencestobusinessesdeterminedtobethesourcesofcontaminatedoradulteratedfoodcanincludereputationalharm,diminishedsales,stockpricedeclines,productliabilitylawsuits,businessinterruption,governmentfinesandevenbankruptcy.Criminalprosecutionofthebusinessentity,individualsworkingfortheentity,orboth,canalsooccur.Resultsofthisstudymayincreaseawarenessoffoodindustrymanagersofthepotentialcriminalconsequencesoftheiractionsrelatedtofoodproduction,processing,andsales,aswellasmoreethicalbusinessdecisionsandfewerpeoplebecomingsickanddying.1.IntroductionInrecentyears,PeterPanpeanutbutter,BlueBellicecream,andChipolteMexicanGrillrestaurants,haveallbeendeterminedtobethesourceofsignificantfoodborneillnessoutbreaks.Thedifferencebetweenthem,sofar,isthatthemanufacturerofPeterPan,ConAgraGroceryProducts,LLC,hasbeencriminallyprosecutedwhiletheothershavenotbeen.Atleastnotyet.TheCentersforDiseaseControlandPrevention(CDC)(2017a,November1)estimates,thateveryyearintheUnitedStates,“48millionpeoplegetsickfromafoodborneillness,128,000arehospitalizedand3,000die”(para.1).Forthosethatcouldbeidentified,originsofpreviousoutbreaksincludeawidevarietyofsources,including,butnotlimitedtofarms,homes,communitygatherings,manufacturedproducts,commercialfoodpreparationestablishments,andrestaurants.Justasvariedastheoriginsoftheoutbreaksarethetypesoffoodinvolved,whichinrecentyearshaveincludedfreshproduce,peanutbutter,icecream,cheese,meats,flour,frozenfoods,rawmilk,nuts,andawideassortmentofothers.Atthefederallevel,theprimaryresponsibilitytohelppreventfoodfrombecomingcontaminatedandtokeepthefoodsupplysafe,restswiththeUnitedStatesDepartmentofAgriculture(USDA)andtheFoodandDrugAdministration(FDA).Eachagencyattemptstoaccomplishitsmissionthroughregulations,education,inspections,andinvestigations.TheCDCbecomesanintegralpartnerwhenfoodborneillnessoutbreaksoccur.Insuchcases,theCDCattemptstoidentifythetypeofillness,contaminants,andthesourceoftheoutbreakinanefforttolimitthespread.Inseriouscases,theUnitedStatesDepartmentofJustice(DOJ)maybecomeinvolvedbyprosecutingthebusinessesand/orindividualsresponsibleforthecontamination.Thepotentialconsequencestobusinessesdeterminedtobethesourcesofcontaminatedoradulteratedfoodcanincludereputationalharm,diminishedsales,stockpricedeclines,productliabilitylawsuits,businessinterruption,governmentfines,andevenbankruptcy.Criminalprosecutionofthebusinessentity,individualsworkingfortheentity,orboth,canalsooccur.Thisresearchfocusesontheanalysisofcriminalprosecutionsreportedbetween1January2012,and31August2017.Sincethereisdelaybetweenoffendingconductandprosecution,thisfive-yearplusperiodwasusedtoallowsufficientenoughtimeforthecommencementoflegalproceedings,whilestillachievingtimelinessofresearch.Resultsofthisstudymayincreasetheawarenessofbusinessmanagersandtheiremployeesofthepotentialcriminalconsequencesoftheirdecisions,encouragemoreethicalbusinessdecisions,andpreventfewerpeoplefrombecomingsickordying.2.LiteraturereviewTaintedfoodisreferredtolegallyas“adulteratedfood.”Foodbecomes“adulteratedif,amongotherthings,itiscontaminatedwithasubstancethatmaymakesomeonesick,orifitwasprepared,packedorheldunderinsanitaryconditions”(UnitedStatesDepartmentofJustice,2015a).“Actualcontaminationisnotrequired,itissufficientthatthereexistsareasonablepossibilityofcontamination”(UnitedStatesofAmericav.CharlieA.Kujawa,GregoryS.Birdsell,andChungProductsL.P,2013,para.III).TheUSDA,FDA,CDC,andDOJplaykeyrolesinhelpingtoensurefoodsafetyintheUnitedStates.Theirrolesrangefrompreventativeeffortsdesignedtoavoidfoodfrombecomingadulterated,toidentificationofthecontaminationsourceandcontrollingitsspreadifafoodborneillnessoutbreakoccurs,toprosecutioninthosecasesinwhichitiswarranted.2.1.UnitedStatesDepartmentofAgricultureOneoftheearliestattemptstoregulatetheUSfoodindustrycamein1906withthepassageoftheFederalMeatInspectionAct(FMIA)andtheFoodandDrugsAct.TheUSDAisresponsibleforenforcingtheFMIAandlaterrelatedActs.WithintheUSDA,theFoodSafetyandInspectionService(FSIS)“ensuresthatmeat,poultry,andprocessedeggproductsaresafe,wholesomeandaccuratelylabeled”(UnitedStatesDepartmentofAgriculture,2014).Tofulfillitsduties,theFSISutilizesinspections,riskassessments,andeducation,aswellasworkingcooperativelywiththeFDA.2.2.UnitedStatesFoodandDrugAdministrationCongresschargedtheFDAtoenforcetheFoodandDrugsAct.ToaddressthelimitedcoverageoftheAct,theFood,Drug,andCosmeticAct(FDCA)waspassedin1937.Sincethen,anumberofotherlawshavebeenenactedwhich,alongwithitsotherregulatoryduties,directtheFDA’sfocusonitsfood-relatedactivitiestocenteron“dietarysupplements,bottledwater,foodadditives,infantformulas”and“otherfoodproducts…althoughtheUSDepartmentofAgricultureplaysaleadroleinregulatingaspectsofsomemeat,poultry,andeggproducts”(UnitedStatesFood&DrugAdministration,2017b,para.2).TheOfficeofCriminalInvestigations(OCI)istheFDA’scriminallawenforcementbranchandiscommonlyreferredtoasthe“foodpolice.”TheOCI’schargeisto“protecttheAmericanpublicbyconductingcriminalinvestigationsofillegalactivitiesinvolvingFDAregulatedproducts,arrestingthoseresponsible,andbringingthembeforetheDepartmentofJusticeforprosecution”(UnitedStatesFood&DrugAdministration,2017c,para.1).TheseinvestigationssometimesrequirethespecializedexpertiseoftheCDC.2.3.CentersforDiseaseControlandPreventionTheCDCworksincooperationwiththeUSDAandFDAtopromotefoodsafety,butoncethereisanillnessoutbreaklinkedtofood,theCDCtakestheleadroleinidentifyingthesource.Researchershavediscoveredmorethan250diseaseslinkedtotaintedfood,withunderlyingcausesthatincludebacteria,viruses,parasites,toxins,andchemicals(CentersforDiseaseControl&Prevention,2017a,November1).Illnesssymptomsandconsequencesrangefromdiarrhea,fever,nausea,stomachcramps,vomiting,chronicarthritis,braindamage,nervedamage,andkidneyfailure,todeathinseverecases.Althoughanyonecancontractafoodborneillness,groupsparticularlysusceptiblearepregnantwomen,childrenyoungerthanfive,adults65andolder,andthosesufferingfromweakenedimmunesystems(CentersforDiseaseControl&Prevention,2017a,November1).Ifanoutbreak,whichisdefinedas“theoccurrenceoftwoormorecasesofasimilarillnessresultingfromacommonexposure,”issmallandconfinedtoasinglestateorterritory,localpublichealthdepartmentstypicallyinvestigateandreporttheirfindingstotheCDC(CentersforDiseaseControl&Prevention,2016,September9).TheCDCentersactiveinvestigationsorbeginsitsowninvestigationwhentheoutbreakspansmultiplestates,isparticularlylarge,orwhenitsassistanceisrequested.TheCDCworkstoidentifytheillness,itssource,understandthescope,helpstopthespreadandmanagecommunications.However,manyfoodborneillnessoutbreaksgounreportedatthelocalleveleveryyearduetopoortraining,limitedresources,andthevoluntarynatureofreporting.Additionally,isolatingthesourcecanbechallengingduetotheinabilityofthoseaffectedtoidentifyexactlywhattheyateand/ortheoutbreaksendingbeforethesourcecanbeidentified(CentersforDiseaseControl&Prevention,2017b,September5).2.4.UnitedStatesDepartmentofJusticeIfanoutbreakoccursorafoodregulatoryagencydeemsitwarranted,thebusinessand/orindividualsinvolvedmaybereferredtotheDOJforpotentialprosecutionortheDOJmayundertakeitsownindependentinvestigation.AccordingtotheDOJ,“Congresshasmadetheprohibitiononintroducingadulteratedfoodintointerstatecommerceastrictliabilityoffense,meaningacompanyviolatesthelawwhenitdistributesadulteratedfoodwhetherornotitintendedtodoso”(UnitedStatesDepartmentofJustice,2015a).Theimpositionofstrictliabilityistypicallylimitedtothosesituationsinvolvingpublicwelfareand“placestheburdenofcomplianceonthoseuniquelypositionedtoensurethesafetyofourfood,drugs,water,airandworkplaces,notinnocentconsumersandworkers”(UnitedStatesDepartmentofJustice,2016a).Supportingthisproposition,inthecaseofUnitedStatesofAmericav.QualityEgg,L.L.C.,(d/b/aWrightCountyEggandEnviron),AustinDeCoster(a/k/aJackDeCoster),andPeterDeCoster,(2015)thecourtstated,theaccused,ifhedoesnotwilltheviolation,usuallyisinapositiontopreventitwithnomorecarethansocietymightreasonablyexpectandnomoreexertionthanitmightreasonablyexactfromonewhoassumedhisresponsibilities.(para.C3)Individualsandbusinessesallegedtohaveviolatedfoodsafetylawscanpotentiallyfacecivilactions,criminalpenalties,orboth.Civilenforcementsgenerallyseekcourtorderedinjunctionsprohibitingfurtherdistributionofadulteratedfood,correctionofthecause,andcompliancewithregulatoryactions.Insuchcivilactions,courtshavebroadlatitudeinfindingagainstadefendant,andmaybasetheirrulingonthepropositionthat“pastmisconductishighlysuggestiveofthelikelihoodoffutureviolations”andifthereisahistoryoflegalviolationsthecourt“hassignificantdiscretiontoconcludethatfutureviolationsofthesamekindarelikely.”(UnitedStatesofAmericav.StevenKoyfman,MaximKutsyk,PavelRoytkov,LeonidStaroseletsky,NewYorkCityFish,Inc.,andN.Y.Fish,Inc,2014,para.III).Beforeinstitutingacourtactionthough,theDOJmayseektonegotiateanagreementwiththeoffendercallingforthesamesanctionsaninjunctionwouldaccomplish.Thiscanbeatimeandcostsavingsmeasureforboththeoffenderandgovernment,whilestillallowingcourtactioniftheagreementisviolated.Criminalchargescanbeeithermisdemeanororfelony.Prisontimeandmonetaryfinesarepossibleunderboth,withfelonypenaltiesbeingthegreaterofthetwo.Whendecidingonthetypeofactiontopursue,prosecutors“evaluatethenatureandseriousnessoftheoffense,thedeterrenteffectoftheprosecutionandtheculpabilityoftheindividualsorentitiesinvolved,”(UnitedStatesDepartmentofJustice,2016e).Inrecentyears,theDOJhasannouncedtheireffortstofocusonprosecutingtheindividualsinvolvedinadulteratedfoodcases,aswellasthebusinessentity.AccordingtotheDOJ,“welonghaveknownthatoneofthemosteffectivewaystoensurecorporateaccountabilityanddeterfuturemisconductisbypursuingtheindividualsthroughwhichcorporationsact”(UnitedStatesDepartmentofJustice,2015b).Insuchcases,theDOJhasobserved,“acommonthreadinmanyofthecases…isthatmultiplepeoplewithinanorganizationsawredflagsofunsafepracticesandchosenottoact”(UnitedStatesDepartmentofJustice,2015b).3.MethodologyTheCDCFoodborneOutbreakOnlineDatabasewasutilizedprimarilytodetermineiftaintedfoodwasacontinuingsignificantissueduringtheperiodof1January2012,to31August2017.Incasesinwhichcriminalprosecutionwasreportedagainstallegedfoodsafetyviolators,pressreleasesoftheUSDA,FDA,andDOJ,issuedduringthesametimeframe,wereanalyzedtoidentifyanddetermineoutcomesifavailable.Databasesearcheswerealsoconductedtoidentifyfederalcasesinwhichfoodsafetywasanissue.ThecasesearcheswereconductedusingWestlawNextandtheUniversityofVirginiaLawSchool’sCorporateProsecutionRegistry.WestlawNextisaprimarysearchtoolofcomprehensivelegaldatabasescomprisedoffederalandstatecourtcases,regulations,legislation,andotherrelatedsourcedocuments.TheUniversityofVirginiaLawSchool’sCorporateProsecutionRegistry“providesinformationonfederalorganizationalprosecutionsintheUnitedStates”(UniversityofVirginiaSchoolofLaw,2017,para.1).Oncerelevantsourcedocumentswereobtained,qualitativecontentanalysiswasutilizedtomanuallyrevieweachdocument.Contentanalysisreducesdatavolumeandsubjectivelyinterpretstextdatatoarriveatpatternsandthemes(Hsiu-Fang&Shannon,2005;Patton,2002).Ithasbeenobservedthatfindingsarrivedatthroughcontentanalysismayhavereliabilityissueswhenthereisonereviewerofthedata,whileontheotherhandmultiplereviewersmaysacrifice“researchdesignandrigor”(Morris,1994,p.907).Theexpertiseandqualificationsofthereviewercanpositivelyimpactvalidityanddiminishreliabilityissues(Morris,1994,p.907).Toaddressthesepotentialconcerns,theresearcherwhoperformeddataanalysishasanearnedlawdegreeandsubstantiallawpracticeexperience.Thisresearcherperformedadditionalsamplereviewsofsourcedocumentsandconclusionstoaidinfindingsconsistency.4.ResearchanddiscussionCDCdataoffoodborneillnessoutbreakswasavailablefor1January2012,through31December2016,butnotfor2017.Eventhoughthepartialfinalyearofthestudyperiodwasnotaccessible,theavailabledatawasconsideredsufficienttorecognizetrendsastowhetherornottaintedfoodisacontinuingproblemfromahealthsafetyviewpoint.Table1showsthenumberofreportedoutbreaksandtheirrelatedillnesses,hospitalizationsanddeathsfor2012through2016.Duringthestudyperiod,thenumbersforeachcategorywerereasonablyconsistentyearoveryear,withspikesoccurringindeathsin2012and2014.Itisimportanttonotethedatareflectsonlyoutbreaks(i.e.twoormorecasesofasimilarillnessresultingfromacommonexposure)notallofthefoodborneillnessesanddeathsoccurringintheUnitedStatesduringaparticularyear.Equallyimportantisthefactthatmanycasesrelatedtoanoutbreakarelikelynotreported.Taintedfood—Domanagersreallygotojail?AllauthorsRickeyE.Richardson,LauraL.Gordey&KyleC.Post|https://doi.org/10.1080/23311975.2018.1450817Publishedonline:22March2018Table1.FoodborneillnessoutbreaksCSVDisplayTableOneexampleofthesepointsisthePeanutCorporationofAmerica(PCA)case.ThePCAfactpatternwasparticularlytroubling.Defendantsknowinglyshippedpeanutbutterbasecontaminatedwithsalmonellawhichresultedinthousandsofillnessesandninedeaths.Intrialtestimony,estimatesprovidedbytheCDCexpertreflected,“thirtyunreportedcasesofsalmonellalinkedtothePCAoutbreakforeveryonereportedcaseduetothelikelihoodthatindividualsinfectedwithsalmonellawouldnotgothroughtheentireprocessofidentifyingthestrainofsalmonella”(UnitedStatesofAmericav.StewartParnell,MichaelParnell,andMaryWilkerson,2016,para.5).WesearchedandreviewedtheUSDApressreleasesandFDApressreleasesrelatedtoinspections,compliance,enforcement,andcriminalinvestigationsforthestudyperiod(UnitedStatesFood&DrugAdministration,2017a).OnlyoneUSDApressreleaseduringtheentirestudyperiodpertainedtoafood-relatedprosecutionandthesubjectmatterofthereleasewascoveredinaDOJrelease.ResultsofourFDApressreleasereviewareshowninTable2.Thevastmajorityofreleaseswereregardingdrugviolations,withonlyafewconcerningfood-relatedcriminalprosecutions.Eachofthereleasesthatdidmentionfood-relatedcriminalprosecutionswerealsomentionedinacorrespondingDOJrelease.Taintedfood—Domanagersreallygotojail?AllauthorsRickeyE.Richardson,LauraL.Gordey&KyleC.Post|https://doi.org/10.1080/23311975.2018.1450817Publishedonline:22March2018Table2.FDA—pressreleasesrelatedtofoodprosecutionsCSVDisplayTableTheDOJenforcesawidevarietyofbothcivilandcriminalfederallaws.Casesofsignificance,alongwithimportantspeechesmadebyhigh-levelDepartmentexecutives,areincludedinpressreleasesissuedbytheDOJonayearlybasis.Table3reflectsthetotalnumberofreleasestheDOJissuedrelatedtoprosecutionsforthestudyyears,aswellasthenumberthatwere“foodrelated.”Allfood-relatedreleaseswereindividuallyreviewed.Taintedfood—Domanagersreallygotojail?AllauthorsRickeyE.Richardson,LauraL.Gordey&KyleC.Post|https://doi.org/10.1080/23311975.2018.1450817Publishedonline:22March2018Table3.DOJ—pressreleasesrelatedtofoodprosecutionsCSVDisplayTableOurresearchalsoincorporatedsearchesofbothWestLawNextandTheCorporationProsecutionRegistry.OurWestLawNextsearchusedthesearchterms—food,taintedfood,UnitedStates,USA,FoodDrugandCosmeticAct,andothers.Intotal,thesesearchesyieldedonlyonecasethatwasnotidentifiedbyourreviewofUSDA,FDA,andDOJpressreleases.Finally,oursearchofTheCorporationProsecutionRegistryyieldedfourcasesthatwerenotidentifiedbyourreviewofUSDA,FDA,andDOJpressreleases.WereviewedalloftheresultsofourresearchanddistilledfindingsintoDOJcivilandcriminalactionsrelatedtotaintedfood.Table4providesarecapofsuchactionsforthetimeperiodunderstudy.Therecapreflects“uniqueprosecutions”bywhichwemeancasesinvolvingdifferentincidents.Inmostcases,therewereseveraldefendantsperprosecution(e.g.businessentityandindividual(s)).Someofthecasesarestillbeingpursued,whileothershaveconcluded.Taintedfood—Domanagersreallygotojail?AllauthorsRickeyE.Richardson,LauraL.Gordey&KyleC.Post|https://doi.org/10.1080/23311975.2018.1450817Publishedonline:22March2018Table4.Uniqueprosecutionsrelatedtofood*CSVDisplayTableAmongthemostnotableofthecriminalcasesfoundinwhichfinalverdicthadbeenrenderedbythecourt,wereConAgraGroceryProducts,JensenFarms,OasisBrands,QualityEgg,RoosFoods,andPeanutCorporationofAmerica.Thesecaseswereparticularlyegregiousandthefactsofeacharediscussedindetailbelow.ConAgraGroceryProducts,LLC(ConAgra),asubsidiaryofConAgraFoods,Inc.,manufacturesPeterPanpeanutbutter,amongotherproducts.PeterPanwaslinkedtoa2006through2007nationwideoutbreakofsalmonellapoisoningthatsickenedatleast625peoplein47states.ConAgrashippedthetaintedpeanutbutterevenaftertwoseparatetestsconfirmedthepresenceofsalmonella.Thepresidentofthecompanyenteredaguiltypleaonbehalfofthecompanytoasinglemisdemeanorcountofshippingadulteratedfood.Aspartoftheverdictrenderedin2016,ConAgraagreedtopayan$8millionfineplus$3.2millionincashforfeitures,whichisthelargestcriminalfineeverinaUSfoodsafetycase.Noindividualswereprosecuted(UnitedStatesDepartmentofJustice,2016b).BrothersEricandRyanJensenownedandoperatedJensenFarmswhichwaslocatedinGranada,Colorado.TheJensen’sgrew,picked,packaged,sold,andshippedcantaloupe.In2011,theyinstalledawashingsystemdesignedforpotatoesbutdidn’tactivateachlorinesprayfeaturewhichwouldhavehelpedkillbacteriafoundontheexteriorofthecantaloupes.In2011,alisteriaoutbreakwastracedtoJensencantaloupesbytheCDCandFDA.Theoutbreakaffectedpeoplelivingin28statesandresultedinatleast147hospitalizations,33deaths,andamiscarriage.Asaresultoftheirguiltypleas,eachbrotherwassentencedtofiveyearsprobationincludingin-homedetentionforthefirstsixmonths.Theywereeachalsoorderedtopay$150,000inrestitutionandperform100 hofcommunityservice(UnitedStatesDepartmentofJustice,2014).ChristianRivaswastheownerofOasisBrands,Inc.whichmanufacturedanddistributedcheeseproducts.In2014,cheesedistributedbyOasiswasdiscoveredtobecontaminatedwithlisteria.TheCDCandFDAbegananinvestigationandRivasinitiallyagreedtostopproduction,ceaseadditionalshipments,andcleantheproductionfacilities.However,contrarytotheagreement,Rivasresumedproductionofinventoryinprogressanddistributedthefinishedproducts.TherewerefiveillnessesandonedeathlinkedtoadulteratedOasischeese.Attrial,Rivasadmittedtoknowinglysellingcheesecontaminatedwithlisteriaandwassentencedto15 monthsinprison(UnitedStatesDepartmentofJustice,2016d).AustinDeCosterwastheownerofQualityEggLLC,andhissonPeterDeCosterwasthechiefoperatingofficer.QualityEggproducedanddistributedeggs,whichwerelinkedtoa2010nationwideoutbreakofsalmonellapoisoningresultingin1,939reportedconsumerillnessesinmultiplestatesandarecallofmillionsofeggs.In2015,QualityEggLLCpledguiltytoonecountofbriberyofapublicofficial,onecountofintroducingamisbrandedfoodintointerstatecommercewithintenttodefraud,andonecountofintroducingadulteratedfoodintointerstatecommerce.Thecompanywasfined$6.79millionandsentencedtothreeyearsprobation.AustinDeCosterandPeterDeCostereachpledguiltytoonecountofintroducingadulteratedeggsintointerstatecommerceandeachwerefined$100,000andsentencedtothreemonthsinprisonfollowedbyoneyearsupervisedrelease(UnitedStatesDepartmentofJustice,2015d).RoosFoods,Inc.distributedavarietyofcheeses.In2014,thecompany’scheeseswereassociatedwithanoutbreakoflisteria.Atotalofeightpeoplebecameillandoneofthosedied.TheDOJpursuedbothcriminalchargesagainstthecompanyandcivilchargesagainstitsowners.In2016,thecompanypledguiltytoamisdemeanorviolationoftheFDCAandwasfined$100,000.Additionally,thefirm’sprincipals,AnaA.RoosandVirginiaMejia,agreedtoapermanentinjunctionwhichprovidedthatifthecompanyresumesbusiness,itmustnotifytheFDAandtakecertainfoodsafetysteps(UnitedStatesDepartmentofJustice,2016c).ThePeanutCorporationofAmerica(PCA)producedindustrialpeanutbutterandpeanutbase.Itsproductswereusedbymanufacturersofconsumerproductscontainingpeanuts.In2009,asalmonellaoutbreakin46stateswastracedtoPCAproducts.Anestimated22,000illnessesandninedeathswerecausedbythecompany’staintedproducts.Uponinvestigation,itwasdiscoveredthatresponsibleindividualsfabricateddocumentsandtestingresults,knowinglyshippedtaintedproducts,andliedtocustomersandinvestigators.SamuelLightsey,aformeroperationsmanager,wassentencedtothreeyearsinprisonplusthreeyearsofsupervisedrelease.DanielKilgore,alsoaformeroperationsmanager,receivedasix-yearprisonsentenceplusthreeyearsofsupervisedrelease.MaryWilkerson,aqualityassurancemanager,wassentencedtoservefiveyearsinprisonplustwoyearsofsupervisedrelease.MichaelParnell,PCA’sfoodbrokerandbrotherofownerStewartParnell,receiveda20-yearsentenceplusthreeyearsofsupervisedrelease.StewartParnell,formerownerandpresidentofPCAandinstigatoroftheschemetolieanddeceiveinordertomaximizeprofits,wassentencedto28 yearsinprisonplusthreeyearsofsupervisedrelease.Atthetimeofsentencingin2015,StewartParnellwas61 yearsold.Ineffect,hereceivedalifesentence(UnitedStatesDepartmentofJustice,2015c).The14criminalcasesreportedoverthestudyperiodoffive-plusyearsindicatethattheriskofcriminalprosecutionisverylowwhencomparedtothenumberofpeoplewhobecamesick,aswellasthosewhodiedduetotaintedfoodduringthesametimeperiod.And,evenifcriminallyprosecutedtheriskofresponsibleindividualsactuallygoingtojailisevenmoreremote,asevidencedbyonlythoseinvolvedintheOasisBrands,QualityEgg,andPCAcasesbeingsentencedtoprisonduringtheperiodunderstudy.AsrevealedinJensenFarmsandRoosFoods,evenadeathordeathsrelatedtoataintedproductdoesn’tautomaticallyresultinprisontimefortheindividualsresponsibleformakingthedecisionswhichledtotheadulterationandplacingoftheproductintothemarketplace.However,thePCAcasedoesillustratethatgoingtojailispossible,particularlyincaseswheretherehasbeenaconcertedefforttomisleadauthoritiesandtherewasdeliberateactiontoknowinglyselladulteratedproductswithobviousdisregardtoexposingconsumerstopotentiallydeadlyconsequences.Itshouldbenotedhowever,thatin2015,theDOJannouncedachangeinpolicywhichostensiblycouldmeanmoreprosecutionsofindividuals.Thepolicystates,oneofthemosteffectivewaystocombatcorporatemisconductisbyseekingaccountabilityfromtheindividualswhoperpetratedthewrongdoing.Suchaccountabilityisimportantforseveralreasons:itdetersfutureillegalactivity;itincentivizeschangesincorporatebehavior;itensuresthattheproperpartiesareheldresponsiblefortheiractions;anditpromotesthepublic’sconfidenceinourjusticesystem.(UnitedStatesDepartmentofJustice,n.d.,para.2)EveniftheDOJhasdecidedtofocusonresponsibleindividuals,itwilltaketimebeforethisfocustranslatesintoactualprosecutionsandverdicts.Forexample,intheConAgracase,thefirstoutbreakrelatedtoPeterPanpeanutbutteroccurredin2006,butthecriminalprosecutiondidnotconcludeuntil2016.And,inthePCAcase,thefirstillnesseswerereportedin2009andtheverdictsagainstthedefendantsweren’trendereduntil2015.ItisalsoimportanttonotethatoverallfoodsafetyintheUnitedStatesisstillveryhigh.AccordingtotheUnitedStatesDepartmentofJustice(2016e),there’snoquestionthattheoverwhelmingmajorityoffoodproducedandconsumedintheUnitedStatesissafe.America’sincidenceoffoodborneillnessisbelowtheaverageinotherdevelopedcountriesanditcontinuestodrop.Americanscanbeconfidentinthequalityofthefoodthattheybuyandeateveryday.(para.8)5.ConclusionConsumptionoftaintedfoodcanleadtoillnessandinsomecasesdeath,butnotnecessarilycriminalprosecutionoftheentity,managersand/orotherindividualsresponsibleforcreatingtheadulteratedfood.Inregardstothequestionposedinthisresearch“domanagersreallygotojail”,theanswerisrarely.Althoughtheriskofcriminalprosecution,aswellasactuallygoingtojail,isverylow,it’simportanttorecognizethatitdoesstillexist.Withthatinmind,theresultsofthisstudymayincreaseawarenessofbusinessmanagersandtheiremployeesofthepotentialconsequencesoftheirdecisionsrelatedtotheproduction,processing,andsaleoffood.Notbeingcriminallyprosecutedforthesaleofadulteratedproductsmayalsohelpthebusinessavoidreputationalharm,diminishedsales,stockpricedeclines,productliabilitylawsuits,businessinterruption,governmentfines,andbankruptcy.Thisstudymayalsoleadtomoreethicalbusinessdecisionsandfewerpeoplebecomingsickanddying,ifinfactmanagersrealizethepotentialhumanandfinancialtollofplacingadulteratedfoodinthemarketplace.However,theriskofcriminalprosecutionalonemaynotbeenoughtoaccomplishthehopedforimpactofthisstudy.Smith,Simpson,andHuang(2007)observed,“formalsanctionsmaybeineffective,atleastinisolation”andtheremaybearoleforethics,evenifthereis“highlypunitivesentencingofcorporateoffenders,”since“theremaybejustifiableskepticismofitseffectivenessindeterringfuturecorporatemisconduct”(p.633).Therearecertainlimitationstothisstudy,aswellasopportunitiesforadditionalresearch.Ourreviewwaslimitedtofederalcasesanddidnotincludestatecourtcases.ThisdecisionwasmadebecauseitwasthoughttheDOJwouldbethemostlikelytoprosecuteandconsequentlythevenuefortaintedfoodprosecutionswouldbefederalcourt.Additionally,pre-courtactionnegotiatedsettlementswouldnothaveappearedinoursearches,soitispossiblebutseeminglyunlikely,thatapotentialcriminalmattercouldhavebeensettledbeforeacourtfiling.However,evenifsuchdidoccur,becauseofthenatureofsuchagreements,theywouldnothaveresultedinprisontimefortheindividualsinvolved.InlightoftheDOJ’spolicychangein2015tofocusmoreontheprosecutionofindividuals,itappearsfutureresearchiswarrantedtodetermineiftheriskofcriminalprosecutiontoindividualsdoesinfactincreaseastimegoeson.Perhapsifthedecision-makersatBlueBellicecreamandChipolteMexicanGrillrestaurantsareprosecutedfortheirrelativelyrecenttaintedfoodissues,thentheremayinfactbeanincreasedriskofcriminalsanctionsformanagersandotherresponsibleindividuals.FundingTheauthorsreceivednodirectfundingforthisresearch.Table1.FoodborneillnessoutbreaksCDCreportedtotals20122013201420152016Outbreaks833824872897832Illnesses14,99513,43113,29515,01813,776Hospitalizations8591051722923810(5.7%*)(7.8%*)(5.4%*)(6.1%*)(5.9%*)Deaths2014231416(0.1%*)(0.1%*)(0.2%*)(0.1%*)(0.1%*)*Percentofillnesses.Table2.FDA—pressreleasesrelatedtofoodprosecutions 201220132014201520162017*Total#ofpressreleases8675971168867Foodprosecutionsrelated002420*1January2017–31August2017.Table3.DOJ—pressreleasesrelatedtofoodprosecutions 201220132014201520162017*Total#ofpressreleases**1,5821,4071,5801,8691,7241,146Foodprosecutionsrelated456041765141*1January2017–31August2017.**Excludingspeeches.Table4.Uniqueprosecutionsrelatedtofood*Civil19Criminal14*1January2017–31August2017.AdditionalinformationNotesoncontributorsRickeyE.RichardsonRickeyE.RichardsonisalicensedattorneyandCPAintheStateofTexas.HeholdsaJurisDoctordegreefromBaylorUniversityandaPhDinOrganizationalLeadershipfromRegentUniversity.LauraL.GordeyLauraL.GordeyisalicensedattorneyintheStateofTexas.SheholdsaJurisDoctordegreefromTexasA&MUniversityandaBAfromBaylorUniversity.KyleC.PostKyleC.PostisalicensedattorneyintheStatesofTexasandArizona.HeholdsaJurisDoctordegreefromArizonaStateUniversityandaMasterofLawsdegreefromNewYorkUniversity. Researchinterestsoftheauthorsincludebusinesslaw,businessethics,taxation,managementdecisionmaking,leadership,publichealthissues,andconsumerprotection.Fromabroadperspective,theresearchreportedinthispaperrelatestomanagementdecisionmaking,managerandemployeeliability,legalissuesinbusiness,ethicalissuesinbusiness,consumerprotection,andproductsafety. 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