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

The available portion of this AG letter says applications and other information obtained during the Private Protective Services Board's licensing process are public records "which are not otherwise exempt by law." The Board was a state agency, and the AG applied N.C.G.S. § 132-1 to materials it made or received while carrying out its duties. Source

For the particular items listed in the requester's letter, the AG identified Social Security numbers and medical information provided by the applicant or the applicant's physician as items the Board could keep confidential. The letter says some financial information might also be confidential, but the AG had not reviewed the specific financial materials and could not determine that with certainty. The tax-information definition in N.C.G.S. § 105-259(a)(2) governed that question. Source

These were answers about items in the requester's letter. The opinion's broader rule preserves records "otherwise made confidential by some other provision of law." It does not say the three discussed categories are an exhaustive list of legal exemptions. Source

Currency note

The stored opinion text lacks its opening date and request, and the official page could not be retrieved for this review. Use the surviving text for its stated rule and check the complete opinion and current law before applying it to a present records request.

Background and statutory framework

N.C.G.S. § 132-1 defines public records as documentary material "made or received pursuant to law or ordinance in connection with the transaction of public business" by a North Carolina government agency or subdivision. The AG said the Board was a state agency created under Chapter 74C, so materials it made or received in carrying out its duties were public unless another law made them confidential. Source

The letter cites 5 U.S.C. § 552a note for Social Security numbers, N.C.G.S. § 8-53 for medical information, and N.C.G.S. § 132-1.1(b) with § 105-259(a)(2) for potentially confidential tax information. It also refers to a 1976 AG opinion on applications received by the Board of Examiners for Speech and Language Pathologist and Audiologists. Source

Common questions

Are all details in a licensing file open for inspection?

The AG's rule is that licensure materials are public unless "otherwise exempt by law." The letter identifies some confidential items from the requester's list, but does not purport to rule out every other possible exemption. Source

Did the AG say all financial information in an application was confidential?

No. The AG said the financial information had not been reviewed, so the office could not decide with certainty. Information such as debts would be confidential under the cited provision only if it fit the statutory definition of tax information. Source

What medical information did the letter address?

It names "medical related information provided by the applicant or the applicant's physician" among the items the Board could keep confidential. It does not resolve every possible medical-record question. Source

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