Are applications for a North Carolina Private Protective Services license open to the public, or can the licensing board keep them confidential?

Plain-English summary

W.A. "Doc" Hoggard, who handled records questions for the Private Protective Services Board (PPSB), asked Chief Deputy AG Andrew Vanore which parts of a PPSB licensure file could be withheld from a public records request. Vanore's answer was the default the NC public records law sets: applications and other information received during licensure are public records, open to inspection and copying, unless some other law makes a specific item confidential.

The structural reasoning runs through three steps.

Step 1: PPSB is a state agency. Created under Chapter 74C of the General Statutes, the Board is an agency of state government. Everything it makes or receives in carrying out its statutory duties is a public record under § 132-1's broad definition unless another law removes it from that category.

Step 2: § 132-6 mandates inspection. Public records under § 132-1 are open to inspection and examination under § 132-6. The default is disclosure, not confidentiality. The Board cannot withhold records just because the applicant would prefer they be confidential or because the Board would rather not produce them.

Step 3: Specific exceptions. Three categories of items in a PPSB licensure file were confidential:

• Social Security number. Federal law (5 U.S.C. § 552a note, codifying the Privacy Act notice and disclosure rules) protects SSNs from compelled public disclosure.
• Medical information from the applicant or the applicant's physician. Protected by the physician-patient privilege at N.C.G.S. § 8-53.
• Some financial information. Only if it falls within the § 132-1.1(b) "tax information" exception. § 132-1.1(b) makes confidential the information defined as tax information in § 105-259(a)(2): information on tax returns, tax reports, license applications subject to a tax, audit information, return-filing status, and lists of taxpayer identifiers. Generic financial information (debts, bad debts, credit information) that does not fit one of those categories is not automatically confidential.

The opinion noted that the AG had reached a parallel conclusion in 1976 for the State Board of Examiners for Speech and Language Pathologists and Audiologists (Volume 45 N.C.A.G. 188), so the public-records treatment of licensure applications was already established for at least one other state licensing board.

Currency note

This opinion was issued in 1997. Subsequent statutory amendments, court decisions, or later AG opinions may have changed the analysis. Treat this page as historical context, not current legal advice. Verify current law before relying on any specific rule, deadline, or remedy mentioned here. The North Carolina Public Records Law (Chapter 132) has been amended multiple times since 1997, including additions of specific exemptions for personal identifying information and for occupational licensing files in some areas. Federal HIPAA and state mental health records laws now create additional layers of protection for some medical information. Anyone analyzing a current PPSB or other licensing-board records question should review the current text of Chapter 132, the licensing board's enabling statute, and any board-specific confidentiality rules.

Background and statutory framework

North Carolina's public records framework is built around two presumptions. First, § 132-1 defines "public record" broadly to capture documents and other materials made or received by a state or local agency in connection with public business, regardless of form. Second, § 132-6 makes those records open to public inspection and copying. The combined effect is that any record an agency holds is presumed public unless a specific statutory exception removes it from that category.

The exceptions are narrowly read. The agency seeking to withhold a record carries the burden of pointing to a specific statute that makes the record confidential. General assertions of sensitivity, embarrassment, or competitive harm are not enough. Each item must fit a specific exception or it remains a public record.

For occupational licensing boards, this default has substantial implications. Applications typically contain information the applicant would prefer to keep private: prior employment history, professional disciplinary history, criminal background, residence information, and so on. Without a specific statutory exception, all of that is public.

The opinion identifies the three specific exceptions that consistently apply across occupational licensing files: SSN (federal), medical (§ 8-53), and tax-information-style financial data (§ 132-1.1(b) + § 105-259). Anything outside those three categories is disclosable.

Common questions

Was the applicant's home address public under this opinion?

The opinion did not separately analyze residence information, but the default would be public. Unless a separate statute carved residence addresses out of the public record category, they would be available for inspection.

What about criminal history information the Board might have collected?

Criminal records collected through state or federal background checks have their own confidentiality regime (e.g., FBI CHRI rules, NC Department of Public Safety dissemination limits). The opinion did not address those, but a Board could not produce CHRI in violation of its access agreements just because the underlying public records law would otherwise call for production. The override comes from the source agreement, not from a § 132-6 exception, but the operational effect is the same.

Why was financial information treated more narrowly?

The opinion explicitly noted that not all financial information is confidential. Only financial information that fits the tax-information categories in § 105-259(a)(2) qualifies for the § 132-1.1(b) exception. Generic financial data like outstanding debts is not automatically confidential. If a Board wanted to keep generic financial information confidential, it would need either a board-specific statutory exception or a separate confidentiality basis (e.g., trade-secret protection under § 132-1.2 for genuine business secrets).

How did this interact with the physician-patient privilege?

§ 8-53 protects communications between a patient and a licensed physician. Medical information the applicant provided directly, or that the applicant's physician provided in support of the application, fell within the privilege. The Board could not produce that information without the applicant's waiver, which most licensing schemes treat as separate from the application itself.

Did this opinion apply to other licensing boards too?

The reasoning generalizes. Any state licensing board created under the General Statutes is a state agency under § 132-1. The default public-records treatment applies to all of them. Board-specific confidentiality rules (where they exist) would override the default for the items they cover, but the underlying structure is the same. The 1976 opinion the AG cited about Speech and Language Pathologists is one example; the same logic reaches Cosmetic Art Examiners, Real Estate Commission, etc.

What happened if a Board produced records improperly?

The opinion did not address remedies. In practice, an applicant whose confidential information was wrongly released could seek injunctive relief or damages. The Board's exposure is significant enough that the cautious practice is to redact SSNs, medical information, and tax-style financial information by default before producing licensure files.

Source

• Landing page: https://ncdoj.gov/opinions/confidentiality-of-information-obtained-during-the-licensure-procedure/

Citations

• N.C.G.S. § 132-1
• N.C.G.S. § 132-1.1
• N.C.G.S. § 132-6
• N.C.G.S. § 8-53
• N.C.G.S. § 105-259
• 5 U.S.C. § 552a note
• Chapter 74C of the N.C. General Statutes

Original opinion text

For reasons which follow, the application and other information obtained during the licensure procedure which are not otherwise exempt by law, are public records subject to public inspection and examination.

N.C.G.S. § 132-1 defines public records as follows:

"Public record" or "public records" shall mean all documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or other tapes, electronic data-processing records, artifacts, or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions.

The Private Protective Services Board is an agency of state government, having being created by the General Assembly of North Carolina. See Chapter 74C of the General Statutes of North Carolina. Therefore, anything made or received by the Board in carrying out its statutory duties and responsibilities is a matter of public record, unless otherwise made confidential by some other provision of law.

Mr. W. A. "Doc" Hoggard, III

As to the specific items listed in your letter which you ask that we identify as being "public" or "confidential," the only ones which you may by law keep confidential are: (a) social security number; and (b) medical related information provided by the applicant or the applicant's physician. See, 5 U.S.C. § 552a note; and N.C.G.S. § 8-53. It is also possible that some financial information may be confidential. Because I have not reviewed the financial information you refer to, I cannot with certainty state whether or not it may be kept confidential. However, in our telephone conversation you elaborated to some extent on what you meant by financial information, which would include outstanding debts, bad debts and the like. This type information would be confidential only if it falls within the exclusion for financial information contained in N.C.G.S. § 132-1.1(b). This section provides that tax information is confidential. It then defines tax information as follows:

(a). Information contained on a tax return, a tax report, or an application for a license for which a tax is imposed.
(b). Information obtained through an audit of a taxpayer or by correspondence with the taxpayer.
(c). Information on whether a taxpayer has filed a tax return or a tax report.
(d). A list or other compilation of the names, addresses, social security numbers, or similar information concerning taxpayers.

N.C.G.S. § 105-259(a)(2).

In 1976 this office issued a formal opinion concluding that applications for licensure received by the North Carolina State Board of Examiners for Speech and Language Pathologist and Audiologists are subject to inspection and examination under N.C.G.S. § 132-6. This formal opinion may be found in Volume 45 N.C.A.G. 188. I enclose a copy of this opinion for your information.

Should you have any further questions, please feel free to contact us.

Very Truly Yours,

Andrew A. Vanore, Jr.
Chief Deputy Attorney General