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From the News column of
the December 2004 Perspectives
Oral History and IRBs: Caution Urged as Rule Interpretations
Vary Widely
by Robert B. Townsend and Mériam
Belli
Just as historians were beginning to think they could safely go
back to oral history research without the possibly inhibiting oversight
of Institutional Review Boards (IRBs), some are finding progress
blocked at the local level. While some universities have agreed that
federal regulations were never intended to cover oral history research,
many other Institutional Review Boards are holding fast to rules
that include oral history under human subject research—despite
recent communications to the contrary from the concerned federal
government office. As a result, oral historians in academia need
to be aware of the policies and practices of IRBs at their home institution,
both to ensure that they are in conformity with standing policies
and to press for change where needed.
As regular Perspectives readers will remember, oral historians
seemed to make significant progress on this front, when Michael Carome,
the associate director for regulatory affairs at the federal Office
for Human Research Protections (OHRP)—which is part of the
Department of Health and Human Services—agreed that oral
history interviewing activities "in general" fell outside
the federal definition of research requiring scrutiny by IRBs (see
box
on this page for relevant extracts from Carome's letter of
September 22, 2003). The AHA consequently issued an advisory statement
suggesting that oral historians could now safely conduct interviews
without IRB review (http://www.historians.org/Perspectives/Issues/2004/0403/0403new1.cfm).
The Oral History Association (OHA) also issued a similar statement.
In a clarification
issued on January 8, 2004, Carome reaffirmed the OHRP's concurrence
with the policy statement as drafted by the AHA and the OHA (and
modified according to suggestions made by the OHRP).
Despite this effort, a preliminary review of current institutional
review policies in several universities, conducted by AHA staff
and Zachary Schrag (an assistant professor at George Mason Univ.),
reveals
that oversight of oral history projects remains a confusing patchwork
of widely disparate policies and procedures. Some university policies,
for instance at the University of Texas, seem to have adopted the
position of the OHRP as stated in its communications (and contained
in the AHA-OHA advisories) and have excluded, "in general," oral
history interviews from IRB review (http://www.utexas.edu/research/rsc/humanresearch/special_topics/oral_history.php;
see box below for text of statement).
In sharp contrast, a number of institutions are following a conservative
line set by UCLA, which stipulates that "communication between
OHRP and the oral history community does not change the HHS interpretation
of the Federal regulations for the protection of human subjects
nor does it change UCLA policy on such research."(http://www.oprs.ucla.edu/human/NewsLetters/20031210.htm)
Still other institutions have remained silent on the issue, further
compounding the general ambiguity.
"We are disturbed," observed Roy Rosenzweig, the AHA's
vice president for research, "that some IRBs are not following
the understanding the AHA worked out with the OHRP. But we feel
that we owe it to our members to make them aware that some universities
are insisting on IRB oversight of oral history."
The federal regulations on human subject research were designed
for medical and psychological research that could inflict physical
and
mental harm on human beings, an aim reflected in the professional
composition of most IRBs and the semantics of OHRP regulations.
These regulations have been framed primarily to address research
projects
using interviews conducted with questionnaires and anonymous sources,
not the type of open-ended, individualistic interviewing normally
involved in oral history. Accordingly, the AHA and the OHA have
argued that these regulations should not be applied across the
board to
the humanities and social sciences in general and oral history
in particular.
Several legal scholars support this position. For example, C. Kristina
Gunsalus—academic ethics expert, special counsel in the Office
of University Counsel, and adjunct professor in the College of
Law at the University of Illinois at Urbana-Champaign—asserts
in a forthcoming article in Ethics and Behavior, that oral history,
like journalism and English, does not fall within the scope of
IRB
jurisdiction. She also insists that the related research currently
subject to IRB regulations (surveys, informational interviews,
etc.) would be best dealt with at the departmental level "rather
than [left to] centralized review" (see http://www.news.uiuc.edu/news/04/1011subjects.html).
One repercussion of the present uncertainty has been a retreat
to a cautionary stance by academic administrators and a certain
degree
of apprehension among historians doing oral history. By requesting
IRB exclusion for oral history research, historians are simply
affirming the distinct nature and purpose of oral history research
(as compared
to medical or even political science, despite interdisciplinary
overlaps).
Despite the confusion on some campuses, the AHA continues to support
the policy statement jointly elaborated with the OHA (http://www.historians.org/press/2004_06_08_Council_IRBs.htm)
and agreed upon by the OHRP. However, given the legal uncertainties
and complexities, the AHA
cautions researchers doing oral interviews—especially graduate
students for whom the stakes are particularly high—to carefully
consult the institutional policy of their universities, as well
as their department chairs, before undertaking fieldwork. This
is imperative
for all academic historians using oral interviews for their research,
regardless of whether such interviews are the core of their work
or only one source among many.
However, caution alone will not suffice. Historians—both as
individual researchers and collectively as departments—must
actively work within their universities to raise awareness about
the potentially harmful effects of applying standards intended for
a very different type of research to oral history. One example of
such awareness-raising engagement comes from Mary Marshall Clark,
director of the Oral History Research Office (OHRO) at Columbia University,
who expressed optimism about maintaining what has historically been "an
excellent informal working relationship" of mutual respect
between the OHRO and the IRB office. "We look forward to clarifying
this relationship in the next few months as we determine a formal
policy of guidance for the creation and use of oral history interviews
that acknowledges both our concerns and our independent authority," Clark
said.
The AHA's Research Division is currently undertaking a more
systematic survey and analysis of IRB policies at a wide range
of colleges and universities and will present a detailed report in
a
spring 2005 issue of Perspectives.
— Robert Townsend is AHA's assistant director for research and
publications.
— Mériam Belli is a research associate for the
Research Division of the AHA.
Copyright © American Historical Association.
http://www.historians.org/Perspectives/Issues/2004/0412/0412new4.cfm on April 25, 2005
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