Is Your Oral History Legal and Ethical?

2 Preparation

Before the interview or project begins

Before an interview or project begins interviewers or project managers should prepare by taking a number of essential steps so that what is proposed is acceptable to all participants and will pass ethical scrutiny.

Preparatory steps

At the outset the interviewer or project leader needs to consider the purpose of the interview and the possible range of future uses to which it might be put (for example research, educational use, as an archive, transcription, publication, broadcasting).

Arrangements need to be made for the custody and preservation of the interview and accompanying material, both immediately and in the future. For example, archives which may be willing to accept the recordings should be contacted in advance to check what documentation is required and to ensure that any wording about conditions of access and reference to the archive is accurately presented to interviewees and project partners.

The project’s objectives and intentions can best be expressed in a clear public statement or information sheet (PDF – 121Kb) detailing the nature of the research or project, which can be widely shared and understood by interviewees, project partners and stakeholders, and potential users.

As well as these steps, interviewers also need to carry out research about the topic to be covered by the interview, acquire sufficient technical knowledge and attend specialist training to conduct an interview of the best possible standard.

Organisations carrying out or sponsoring oral history work should select interviewers of sufficient competence and skill, and provide sufficient guidance or training to ensure that recordings and documentation are carried out to the best possible standard.

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Ethical considerations

Interviewers working in a UK institution of higher or further education, or whose interviewees are either employees or currently patients of the National Health Service (NHS) will be required to submit their research proposal to an ethics committee. In higher education this will be a Research Ethics Committee

Interviewers wishing to approach staff or patients of the UK National Health Service, offenders and certain other individuals will need to complete the Integrated Research Application System (IRAS) documentation before their project can begin.

Ethical considerations apply to all projects, whether in higher education or not, and these continue throughout the course of the project: from the first contact with an interviewee to preserving, sharing and disseminating the results of interviews.

The following principles or ‘duties’ have been identified by the UK Data Archive:

  • a duty of confidentiality (though not necessarily anonymity) towards informants and participants
  • a duty to protect participants from harm, by not disclosing sensitive information
  • a duty to treat participants as intelligent beings, able to make their own decisions on how the information they provide can be used, shared and made public (through informed consent)
  • a duty to inform participants how information and data obtained will be used, processed, shared, disposed of, prior to obtaining consent
  • a duty to wider society to make available resources produced by researchers with public funds (data sharing is required by some funders)

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Interviewing children and vulnerable adults

Interviewing children and vulnerable adults requires awareness of legal responsibility as well as issues of power and ownership.

So far as children are concerned, based on health service clinical practice and drawing on legal rulings, young people over the age of sixteen can give their own consent. Younger children should be approached through a responsible adult such as parent or teacher and should be given information about the research that can be presented verbally and visually to help their understanding of what will happen, what their involvement will be and the expected outcomes of the research.

Vulnerable adults, for example people with learning difficulties or with some degree of cognitive impairment, may sometimes be encountered by means of a ‘gatekeeper’- a carer, relative or friend whose role in the interview process needs to be carefully defined. It is important to ensure that explanations and presentation of the research is communicated in ways that are accessible without being patronising. In some instances it may be helpful for the adult concerned to have a friend or long term associate with them to help with interpretation and explanation of the interview process.

This guidance includes examples of information and consent forms designed for children and for vulnerable adults.

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Interviewing within the family

In a one-to-one interview, interviewees often reveal thoughts, memories and insights that they haven’t vocalised before. Whilst this is very useful for family history research, if the interviewer is a member of the same family as the interviewee this can also mean that information and family secrets might be disclosed that could potentially be distressing to the interviewer or other members of the family. This guidance recommends that, in line with all oral history interviewing, a number of preparatory steps are taken before recording oral history within the family.

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Since this advice was written GDPR (General Data Protection Regulation) has come into effect in the UK and EU. This has changed some of the advice below and references to Data Protection are now out of date. The OHS is in the process of updating this advice but in the meantime it is important that you supplement it with our new GDPR guidance. November 2018