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Holdings Protection Training Presentation to SAA August 26, 2011 1.

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Presentation on theme: "Holdings Protection Training Presentation to SAA August 26, 2011 1."— Presentation transcript:


2 Holdings Protection Training Presentation to SAA August 26, 2011 1

3 What We Do and Why We Do It! 2 SAA Presentation, August 26, 2011

4 3 Missing: exchequer rolls from the 1220s and a Papal Bull from Pope Clement V in 1309 Source: a register of missing items released under freedom of information laws. Stolen or Lost?: An archives spokesman said the majority of the missing papers were thought to still be at its depository in Kew, Surrey. Frustration: Dr Andrew Roberts, a Second World War expert and scholar on the Royal family, said: "There is nothing more frustrating as a historian to call up papers from an archive and find that the reason you cannot have them is not because of a 50–year rule preventing disclosure, but because of bureaucratic negligence or incompetence."

5 Holdings Protection Team Mission: The Holding Protection Team serves the National Archives and Records Administration by establishing, maintaining and enforcing procedures to safeguard all holdings contained within this agency, while ensuring that the people have access to discover, use and learn from our country’s extensive heritage. 4SAA Presentation, August 26, 2011

6 Holdings Protection Training Internal Loss Awareness Preserving the Past to Protect the Future Everyone has a role in keeping NARA holdings safe 5SAA Presentation, August 26, 2011

7 6 From the Archivist “The security of the holdings of the National Archives is my highest priority. I will not tolerate any violation of the law that protects both records and property that belongs to the US government and the American people.” David S. Ferriero, 10/28/10 SAA Presentation, August 26, 2011

8 Course Objectives 1.Ensure staff is familiar with the warning signs for theft by insiders 2.Encourage staff to obey, execute and enforce procedures 3.Ensure staff knows how to communicate a suspicion or concern and take immediate action 7SAA Presentation, August 26, 2011

9 1)Failure to Complete Sign-Out Cards / Pull-Slips. Need to be completed each & every time records are moved…observe for this 2)Mistakes in Re-Shelving. Especially when employees are measured on speed/metrics but not accuracy of re-shelving 3)Errors in inventory control system or earlier record descriptions 4)Records Unattended…in both research, reference and processing areas 5)Records wrongly pulled for destruction Opppps!! Non-Intentional 6)Intentional, “yes” intentional! E.g., disgruntled contractor who started throwing records into the trash Why do Records Go Missing? 8SAA Presentation, August 26, 2011

10 The Facts 1.FBI, IFCPP & SAA and others find that over 80% of thefts from cultural institutions have been traced back to trusted insiders. 2.While insiders account for most thefts, very few insiders are thieves. At NARA, well less than 1% of insiders have been shown to be thieves but losses were severe given the time to discover. 3.There is no “profile” of a thief: Old / young / new/ longtime trusted employee, etc.  Conclusion: Focus on policy execution & recognize specific behaviors 9SAA Presentation, August 26, 2011

11 VIDEO 10SAA Presentation, August 26, 2011 Note: The video presented at SAA is not available on a public website. For information on viewing the video, please contact

12 What’s Wrong in Scene 1?? Food on cart Dangerous stacking of box on cart Drink container on record box Didn’t watch to see door close Didn’t fill out a pull slip Leaves cart unattended Employee drinking in stack over records Record box left on the floor damage/liability hazard Eating cookies while working with records Using a pen to mark a record Left a scissor on the record folder Rough use of staple puller…damages document Doesn’t report damaged document, folds back into folder Takes a cassette tape out of a box and puts into his pocket Doesn’t use pull slip for cassette tape….THEFT???? 11SAA Presentation, August 26, 2011

13 What’s Wrong in Scene 2 Contractor talks his way into stack area w/out authorization or proper credentials Takes records out of stack area w/out filling out a pull slip Unattended box near the stack door Cassette left unattended and drink cup suggests policy violations 12SAA Presentation, August 26, 2011

14 Trouble from the Beginning Lester Weber, Director of the Mariner’s Museum Declared bankruptcy two months before taking the promotion; began stealing from the start Also had access to both records and record-management system, so he could delete references Sentenced to 48 months prison, plus restitution Turned in by dealer spotting item on E-bay 13SAA Presentation, August 26, 2011

15 Rules Bent for Trusted Employee William John Scott, freshmen and lacrosse athlete @ Drew University, New Jersey, 2009/2010 Part time work-study student provided a key to stack area for reference pulls. Almost immediately began stealing notable correspondence including: – Abraham Lincoln & 4 other presidents – Madame Chiang Kai-Shek – John & Charles Wesley Dealer became suspicious due to the manner in which the letters were packaged. He contacted Drew U. staff. Dismissed from University: pleads guilty, Jan. 2011; sentencing April 2011. 14SAA Presentation, August 26, 2011

16 Right Here at NARA Philadelphia Regional Archives: employee Shawn P. Aubitz (2000), intern Denning McTague (2006) Each stole over 100 documents Both went to jail and paid fines OIG investigation confirmed that proper procedures were in place – BUT lax enforcement was the problem (piggy-backing, night & weekend work) Aubitz was caught when a colleague reported his selling the records 15SAA Presentation, August 26, 2011

17 Penalties Federal Sentencing Guidelines toughened in 2002 Howard Harner (NARA Philadelphia) sentenced to 24-30 months, rather than 10 months under the earlier guidelines “Theft of. Damage to, or Destruction of, Cultural Heritage Resources“ organized under §2B1.5 of the Guidelines. As I have stated on several occasions, the security of the holdings of the National Archives is my highest priority. I will not tolerate any violation of the law that protects both records and property that belongs to the US government and the American people. -- David S. Ferriero, 10/28/10 16SAA Presentation, August 26, 2011

18 “Protect Our House” Enforce policies, no matter who is involved, and even if following the policy takes a little longer. This is not a case where its better to ask forgiveness than permission No piggy-backing in stack or secured areas Always sign out holdings (HMS, pull-slips, sign-out cards depending on location) Never leave holdings in unsecured / unlocked processing areas or other locations Re-shelve carefully Report concerns immediately 17SAA Presentation, August 26, 2011

19 “Protect Our House” Be aware of your surroundings –Cologne, 2009 – Access – Environment – Tracking 18 SAA Presentation, August 26, 2011

20 Types of Concern Imminent-poses a serious, direct danger to holdings and requires immediate, on the spot reaction to prevent additional loss Likely-this could be a possible observation of theft that needs reported and follow up or a policy violation And if you don’t raise the concern or follow policy, you might fall under suspicion unnecessarily 19SAA Presentation, August 26, 2011

21 Barry Landau Jason Savedoff REQUEST FOR INFORMATION The Baltimore Division of the Federal Bureau of Investigation is conducting an inquiry into the possible theft of historical documents from libraries, historical societies and other repositories of valuable documents. The FBI is seeking information regarding Barry H. Landau and Jason James Savedoff, both residents of New York City, New York. If Mr. Landau or Mr. Savedoff have accessed special collections material or other valuable documents at your institution, utilizing their true names or permutations thereof (i.e. “Jason James,” “James Jason,” etc) please contact FBI Baltimore at 410-265-8080. Your cooperation in this matter is appreciated. SAA Presentation, August 26, 201120

22 Confronting Suspicious Activity in the Research Room Preserving the Past to Protect the Future Everyone has a role in keeping NARA holdings safe Holdings Protection Training 21SAA Presentation, August 26, 2011

23 Objective Enable Research Room staff and supervisors to safely confront a researcher they suspect is trying to steal or damage documents 22 SAA Presentation, August 26, 2011

24 Powers of Observation Exercise “OMG…What’s That? 23 YouTube - Test Your Awareness: Do The Test SAA Presentation, August 26, 2011

25 24 1)$$$$ Document/media/artifact has significant market value 2)Personal Collection Value Document/media/artifact is a priceless addition to my collection 3)Private Collector-Steal to Order Collector sends third party in to steal a specific item 4)Conversation Piece Nice to have in my living room or dorm room to show off 5)Make it Disappear! Bankruptcy, other court documents, dishonorable discharge, anything negative about me or my family 6)Alterations Adding, embellishing, modifying a file for personal gain Why do People Steal Records? SAA Presentation, August 26, 2011

26 HAVE WE DETERMINED MOTIVES EXIST? 25 SAA Presentation, August 26, 2011

27 26 1)Who has come to work in the last 30 days and said to themselves…”I am concerned someone may steal a record/document today?” 2)Who feels 100% ready they know what to do if you were to observe a researcher or another employee attempting to steal a record/document today??????? 3)I feel fully competent I can quickly and efficiently operate the camera system and record the activity? 4)Managers…..staff is going to call you and look for guidance on this….do you feel ready to provide leadership and support Questions SAA Presentation, August 26, 2011

28 What Does Suspicious Behavior Look Like? 27 SAA Presentation, August 26, 2011

29 No, not likely 28 SAA Presentation, August 26, 2011

30 29 1)More interested in what’s going on around them then what they have in front of them to work on 2)Constantly watching where staff is and where other researchers are 3)Moves table positions more than once, trying to find a quiet area. May try to figure out where camera views are 4)Moving records around the table in a disorganized, haphazard manner. Bending below table frequently or fussing with their clothing. Wearing clothing inappropriate for the external/internal weather conditions 5)Teamwork: One person hides a record while another distracts staff 6)Asking for “illogical record groups to be pulled”…steal to order and trying to cover 7)What else?????????? Probably a lot more like this SAA Presentation, August 26, 2011

31 30 1)You will learn about observing suspicious behavior 2)Making the first approach…Enhanced Customer Service 3)Taking a partner for a second approach….Command Presence!!!! 4)Utilizing CCTV if available 5)When to bring in a supervisor. Supervisor response/actions 6)Calling for the Quality Control Audit…what’s that????? 7)What about a potentially violent Researcher….good question! 8)Contacting the HPT for advice 9)Researcher checkout process 10)When to bring in Security or beyond Lets Go to the Video! SAA Presentation, August 26, 2011 Note: The video presented at SAA is not available on a public website. For information on viewing the video, please contact

32 31 1)Remember: Your safety is our top priority. 2)Provide "enhanced customer service“ 3)Get camera on researcher 4)After initial approach, never approach alone 5)Contact supervisor 6)Require researcher keep desk clean -- command presence 7)Use Quality Control Audit if problem persists 8)Contact Holdings Protection Team 9)Complete NARA Incident Report Form 10) Remember: You are the best witness Review Procedures SAA Presentation, August 26, 2011

33 32 1.Safety First: if a researcher becomes hostile or you fear violence, back away! Then call Security (or 911 if NARA security is not available) 2.Never Accuse / Never Search: do not accuse the researcher of trying to steal / do not touch the researcher or ask them to remove or lift clothing (even business suit jackets) 3.Goal is Deterrence: just showing the researcher that you are watching should encourage them to return records 4.Enhanced customer service: asking politely if researcher needs anything let's them know you are watching and limits their opportunity to complain against you 5.Command presence: use a polite and assertive tone do encourage compliance. Key Takeaways SAA Presentation, August 26, 2011

34 Case Studies Gilbert Bland Charles Merrill Mount Thomas Lowry 33 SAA Presentation, August 26, 2011

35 Gilbert Bland Convicted in 1995 of Stealing Pages from University Libraries Captured at Johns Hopkins Peabody Library Cut maps from volumes in Rare Books Collections using razor blade Concealed items in his clothing and left facility When captured he had a “Shopping List” of items to take. 34SAA Presentation, August 26, 2011

36 Charles Merrill Mount Convicted in 1989 of Interstate Transport of Stolen Property Removed items from NARA and LOC Well known and well liked researcher. Reportedly had fallen on hard times. Removed documents including Presidential Pardons Turned in by a rare books dealer suspicious of the origin of the documents 35SAA Presentation, August 26, 2011

37 Dr. Thomas P. Lowry MD Confessed in 2011 to Tampering with Federal Documents Changed date of document signed by Abraham Lincoln Motivated by ego and to increase his notoriety Admitted to knowing specific details of the event Worked with a partner YouTube - Inside the Vaults - National Archives Discovers Date Change on Lincoln Document 36SAA Presentation, August 26, 2011

38 37 Reporting Incidents Policies and Directives

39 38 NATIONAL ARCHIVES & RECORDS ADMINISTRATION HOLDINGS PROTECTION TEAM 8601 Adelphi Road Phone: 301-837-3205 College Park, MD 20740 Fax: 301-837-0877 SAA Presentation, August 26, 2011

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