holdings protection training presentation to saa august 26, 2011 1

Holdings Protection TrainingHoldings Protection Training

Presentation to SAAPresentation to SAAAugust 26, 2011August 26, 2011

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What We Do and Why We Do It!

2SAA Presentation, August 26, 2011


Missing: exchequer rolls from the 1220s and a Papal Bull from Pope Clement V in 1309Source: 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."

Holdings Protection Team Mission:The Holding ProtectionTeam serves the NationalArchives and RecordsAdministration by establishing, maintainingand enforcing proceduresto 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.



Internal Loss AwarenessInternal Loss Awareness

Preserving the Past to Protect the Future

Everyone has a role in keeping NARA holdings safe 5SAA Presentation, August 26, 2011

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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

Course Objectives1. 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


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?


The Facts1. 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


VIDEO


Note: The video presented at SAA is not available on a public website. For information on viewing the video, please contact [email protected]

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????


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


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


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.


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


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


“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


“Protect Our House”• Be aware of your surroundings –Cologne, 2009

– Access– Environment– Tracking


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


Barry LandauJason 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, 2011 20

Confronting Suspicious Activity in the Research Room

Preserving the Past to Protect the Future

Everyone has a role in keeping NARA holdings safe



Objective

Enable Research Room staff and supervisors to safely confront a researcher they suspect is trying to steal or damage documents


Powers of Observation Exercise

“OMG…What’s That?

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YouTube - Test Your Awareness: Do The Test


http://www.youtube.com/watch?v=Ahg6qcgoay4

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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?


HAVE WE DETERMINED MOTIVES EXIST?


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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


What Does Suspicious Behavior Look Like?


No, not likely


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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


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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!


Note: The video presented at SAA is not available on a public website. For information on viewing the video, please contact [email protected]

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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


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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


Case Studies

• Gilbert Bland

• Charles Merrill Mount

• Thomas Lowry


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.


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


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


http://www.youtube.com/watch?v=qKo8H9NN4nA

http://www.youtube.com/watch?v=qKo8H9NN4nA

SAA Presentation, August 26, 2011 37

Reporting Incidents

Policies and Directives

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NATIONAL ARCHIVES &RECORDS ADMINISTRATIONHOLDINGS PROTECTION TEAM8601 Adelphi Road Phone: 301-837-3205 College Park, MD 20740 Fax: 301-837-0877 [email protected]


holdings protection training presentation to saa august 26, 2011 1

Documents

saa presentation

ifcpp saa

trusted insiders

nara holdings safe

insiders account

missing papers

time records

register of missing