A recent case in the 7th Circuit, upholding the criminal convictions of two supervisors based on their falsification of health and safety records, serves as an important reminder that although uncommon, the Occupational Safety and Health Act does provide for criminal penalties.
The underlying OSHA inspection stemmed from an explosion that resulted in multiple fatalities. After the inspection, OSHA issued citations against the employer and referred the matter to the Justice Department for criminal prosecution. OSHA determined that the supervisors had engaged in falsification of records involving compliance certificates, obstructing OSHA examinations by providing false testimony, and participated in a conspiracy to commit those and similar offenses. As one example, the Court found that one of the supervisors was fully aware of inaccurate compliance records even though he did not prepare the certification, he still signed off on them.
In addition to reminding employers that OSHA inspections may lead to criminal prosecution, supervisors should understand the potential for criminal liability even if they did not falsify records themselves but had knowledge of them and remained silent. The case also highlights the importance of accurate record-keeping and why employers must ensure that individuals responsible for creating, maintaining, and certifying health and safety records have the proper training and resources to do so.
The OSHA Chronicle is grateful for the assistance of Abigail Ho, a college summer intern, for her assistance in preparing this blog.