State and federal laws govern the confidentiality of certain information maintained by NC State. These laws apply to computer or digital information as well as other media. All NC State employees are legally obligated to comply with the confidentiality laws.

This document is a guideline to assist in compliance. If you have specific questions about confidentiality, please contact the Office of Legal Affairs.

1.   SOCIAL SECURITY NUMBERS

2.   PERSONNEL RECORDS

3.   STUDENT RECORDS

4.    OTHER

1. Non-disclosure agreements
2. Trade secrets
3. Medical records
4. Disability records
5. Research information

1.  SOCIAL SECURITY NUMBERS

Federal law imposes conditions on the collection and use of Social Security numbers. The UNC Board of Governors has set out the requirements in section XII E of its Administrative Manual. See http://www.ga.unc.edu/publications/admin_manual/chapter_xii.pdf

The requirements include the following:

"That request by an employee of the University of North Carolina [including NC State University] for disclosure and release of a social security number with respect to University business for a use not previously authorized shall be supported by a University statement to the individual indicating (a) whether the disclosure is mandatory or voluntary, (b) what statutory or other authority supports the disclosure, and (c) what use will be made of the disclosure."

(1) "That any University use of the social security number shall fall within those uses authorized by federal law for mandatory disclosure or be uses where the individual is requested to voluntar[il]y disclose the number, [and does voluntarily disclose for that particular use].

(2) "That uses of the social security number authorized by federal law for mandatory disclosure from the individual consist only of the following:

(a) disclosure required by federal statute.

(b) disclosure to a federal, state, or local governmental agency maintaining a system of

records in existence and operating before January 1, 1975, if such disclosure was required under statute or regulation adopted prior to January 1, 1975.

(c) disclosure to any state, political subdivision, or agency to establish personal identification pursuant to administration of a tax law within the jurisdiction of the state

or political subdivision.

(d) disclosure to any state, political subdivision, or agency to establish personal

identification pursuant to administration of a general public assistance law within the

jurisdiction of the state or political subdivision.

(e) disclosure to any state, political subdivision, or agency to establish personal identification pursuant to administration of a driver's license law within the jurisdiction of the state or political subdivision.

(f) disclosure to any state, political subdivision, or agency to establish personal

identification pursuant to administration of a motor vehicle registration law within the

jurisdiction of the state or political subdivision."

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2.  PERSONNEL RECORDS

The personnel records of state employees, applicants for state employment, and former employees are generally confidential under state law (G.S. 126-22 et seq.). A personnel record is defined as:

NC State interprets this definition to cover information that relates to initial employment, departure from employment, discipline, and performance evaluation of employees.

The following personnel information for employees (but not applicants or former employees) is not confidential and must be disclosed upon request:

All other personnel file information is confidential, but may be accessed under these conditions and by these people:

(1) The employee, applicant, former employee, or properly authorized agent, may examine the employee’s own personnel file except for (i) letters of reference solicited prior to employment, or (ii) information concerning a medical disability that a prudent physician would not divulge to a patient.

(2) Persons in the supervisory chain over the employee.

(3) Members of the General Assembly who may inspect and examine personnel records under the authority of G.S. 120-19.

(4) A party by authority of a proper court order may inspect and examine a particular confidential portion of a State employee's personnel file.

(5) An official of an agency of the federal government, State government or any political subdivision thereof. Such an official may inspect any personnel records when such inspection is deemed by the department head of the employee whose record is to be inspected or, in the case of an applicant for employment or a former employee, by the department head of the agency in which the record is maintained as necessary and essential to the pursuance of a proper function of said agency; provided, however, that such information shall not be divulged for purposes of assisting in a criminal prosecution, nor for purposes of assisting in a tax investigation. Consult with Legal Affairs in this situation.

(6) Any department head may, in his discretion, inform any person or corporation of any promotion, demotion, suspension, reinstatement, transfer, separation, dismissal, employment or nonemployment of any applicant, employee or former employee employed by or assigned to his department or whose personnel file is maintained in his department and the reasons therefor and may allow the personnel file of such person or any portion thereof to be inspected and examined by any person or corporation when such department head shall determine that the release of such information or the inspection and examination of such file or portion thereof is essential to maintaining the integrity of such department or to maintaining the level or quality of services provided by such department; provided that prior to releasing such information or making such file or portion thereof available as provided herein, such department head shall prepare a memorandum setting forth the circumstances which the department head deems to require such disclosure and the information to be disclosed. The memorandum shall be retained in the files of said department head and shall be a public record. Consult with Legal Affairs in this situation.

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3.  STUDENT RECORDS

Federal law requires the university to keep student records private in most circumstances.

More information about this law can be found on the NC State Office of Legal Affairs web site (see http://www.fis.ncsu.edu/ncsulegal/stupriv.htm).

Personally identifiable records about a student, that the university maintains, may not be disclosed without the written consent of the student. "Personally identifiable" covers unique identifiers like student identification numbers as well as names and other information from which a person could identify a student.

Exceptions to confidentiality include:

1. "Directory information" may be freely disclosed unless the student has initiated a "privacy block" with the Registrar. Thus it is important to check with the Registrar’s office before making this information available. Directory information at NC State consists of:

 

a student's name, email address(es) on file with the Registrar, mailing address(es) on file with the Registrar, photograph, enrollment status (e.g., undergraduate or graduate; full-time or part-time), telephone number, date and place of birth, major field of study, student activities, weight and height of members of athletic teams, dates of attendance, degrees and awards received, and the most recent previous educational agency or institution attended by the student.

 

2. Student records may be disclosed to NC State officials who have a legitimate educational interest in the records.

 

3. They may be disclosed to anyone if the purpose is to determine a student’s eligibility for, or the amount of, or the conditions of financial aid.

 

4. They may be disclosed to parents of a student who is a financial dependent as defined under federal tax law.

 

5. They may be disclosed to comply with a lawful subpoena or court order; provided that for some orders the student must be notified in advance.

 

6. They may be disclosed if necessary to deal with a health or safety emergency.

 

7. The final results of certain types of disciplinary hearings may be disclosed.

 

8. They may be disclosed in limited other circumstances.

For disclosures other than those made to university officials, or with student consent, or directory information, the person making the disclosure must put a record of the disclosure in the student’s file.

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4. OTHER

A.  Non-disclosure agreements

University contracts, licenses, and research agreements may include non-disclosure or confidentiality agreements. These agreements must conform to public records law. To be binding on the university, they must be signed by an authorized university official (all such agreements should be routed through the NC State Office of Technology Transfer for review and signature).

In general, the only types of information that can be kept confidential under such an agreement are (1) commercial trade secrets of private parties, and (2) research data that must be kept private under federal requirements or to protect important university intellectual property and publication interests.

 

B.  Trade secrets

 

Trade secrets are confidential when (a) owned by private parties and (b) disclosed to the university in connection with public contracts, proposals, bids or as required by law.

 

A "trade secret" is business or technical information, including but not limited to a formula, pattern, program, device, compilation of information, method, technique, or process that:

 

a.  Derives independent actual or potential commercial value from not being generally known or readily ascertainable through independent development or reverse engineering by persons who can obtain economic value from its disclosure or use; and

 

b.  Is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.

 

C.  Medical records

 

Records made as part of the physician – patient relationship are generally confidential. This privacy right extends to psychologists, professional counselors, and others as well.

 

D.  Disability records

 

Records pertaining to a person’s disability must be kept separate from other student or employee records, and are confidential.

 

E.  Family Medical Leave records

 

Records pertaining to an employee’s status under the Family Medical Leave Act must be kept separate from other employee records, and are confidential.

 

F. Research information

 

Some research data may need confidentiality. Reasons for confidentiality may include the possibility that research results could form the basis for a patent claim, or there is a need to prevent others from using the data to publish on a subject where the research was done at or through NC State, or there is a federal regulation or agreement for non-disclosure. Additionally, case law indicates that information that identifies researchers may be kept confidential if its release could subject them to harassment.

 

The determination of whether research data is confidential should be made jointly by the person responsible for developing the data and the Office of Legal Affairs.

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This page last updated for Office of Legal Affairs on August 16, 2001 by rhonda_greene@ncsu.edu