California Legislature—2013–14 Regular Session

Assembly Bill No. 961

Introduced by Assembly Member Levine

February 22, 2013

An act to amend Section 1420 of the Health and Safety Code, to amend Sections 4514 and 5328.15 of, and to add Sections 4514.2 and 5328.17 to, the Welfare and Institutions Code, relating to health facilities.

LEGISLATIVE COUNSEL’S DIGEST

AB 961, as introduced, Levine. Health facilities: investigations: public disclosure.

Existing law establishes the State Department of Health Care Services and sets forth its powers and duties, including, but not limited to, the licensing and regulation of health facilities, with certain exceptions. Existing law requires the department to investigate complaints relating to long-term health facilities, as defined.

This bill would require the department to complete its investigation and issue a citation within specified time periods, but would allow for an extension of these periods for up to 30 days if the department is unable to complete its investigation due to extenuating circumstances beyond its control, and would require the department to document these circumstances in its final determination.

Existing law requires the confidentiality of all information and records obtained in the course of providing intake, assessment, and services pursuant to specified provisions of existing law to persons with developmental disabilities and to voluntary or involuntary recipients of services under the Lanterman-Petris Short Act or within a prescribed state or county hospital. Existing law authorizes disclosure of this information to certain authorized licensing personnel who are employed by, or who are authorized representatives of, the State Department of Public Health or State Department of Social Services, as necessary to the performance of their duties to inspect, license, and investigate health facilities and community care facilities, and to ensure that the standards of care and services provided in these facilities are adequate and appropriate and to ascertain compliance with the rules and regulations to which the facility is subject. Existing law prohibits the confidential information in the possession of these departments from containing the name of the patient or the person with a developmental disability.

This bill would authorize public notice of the survey or licensing reports, or all class “AA,” “A,” or “B” violations issued by the State Department of Public Health, as specified, or facility evaluation, deficiency, or complaint investigation reports issued by the State Department of Social Services, if the information relates to a facility with a license capacity of 16 beds or more and does not include the name or personally identifiable information of any patient or person with a developmental disability. The bill would also prohibit the confidential information in the possession of the State Department of Public Health or State Department of Social Services from containing personally identifiable information about a patient or a person with a disability.

Vote: majority. Appropriation: no. Fiscal committee: yes. State-mandated local program: no.

The people of the State of California do enact as follows:

SECTION 1.  

Section 1420 of the Health and Safety Code is
amended to read:

1420.  

(a) (1) Upon receipt of a written or oral complaint, the
state department shall assign an inspector to make a preliminary
review of the complaint and shall notify the complainant within
two working days of the receipt of the complaint of the name of
the inspector. Unless the state department determines that the
complaint is willfully intended to harass a licensee or is without
any reasonable basis, it shall make an onsite inspection or
investigation within 10 working days of the receipt of the
complaint. In any case in which the complaint involves a threat of
imminent danger of death or serious bodily harm, the state
department shall make an onsite inspection or investigation within
24 hours of the receipt of the complaint. In any event, the
complainant shall be promptly informed of the state department’s
proposed course of action and of the opportunity to accompany
the inspector on the inspection or investigation of the facility. Upon
the request of either the complainant or the state department, the
complainant or his or her representative, or both, may be allowed
to accompany the inspector to the site of the alleged violations
during his or her tour of the facility, unless the inspector determines
that the privacy of any patient would be violated thereby.

(2) When conducting an onsite inspection or investigation
pursuant to this section, the state department shall collect and
evaluate all available evidence and may issue a citation based
upon, but not limited to, all of the following:

(A) Observed conditions.

(B) Statements of witnesses.

(C) Facility records.

begin insert

(3) (A) The department shall complete its investigation and
issue a citation, if any, within the following periods:

end insert begin insert

(i) If the violation was the direct proximate cause of the death
of a patient or resident, within 90 days.

end insert begin insert

(ii) If the violation presented an imminent danger of death or
serious harm to a patient or resident or a substantial probability
of death or serious harm to a patient or resident, within 120 days.

end insert begin insert

(iii) If the violation has a direct or immediate relationship to
the health, safety, or security of a patient or resident, within 180
days.

end insert begin insert

(B) The time periods described in subparagraph (A) may be
extended by 30 days if the department is unable to complete its
investigation due to extenuating circumstances beyond its control.
The department shall document these extenuating circumstances
in its final determination.

end insert begin delete

(3)

end delete

begin insert (4) end insert  Within 10 working days of the completion of the complaint
investigation, the state department shall notify the complainant
and licensee in writing of the department’s determination as a
result of the inspection or investigation.

(b) Upon being notified of the state department’s determination
as a result of the inspection or investigation, a complainant who
is dissatisfied with the state department’s determination, regarding
a matter which would pose a threat to the health, safety, security,
welfare, or rights of a resident, shall be notified by the state
department of the right to an informal conference, as set forth in
this section. The complainant may, within five business days after
receipt of the notice, notify the director in writing of his or her
request for an informal conference. The informal conference shall
be held with the designee of the director for the county in which
the long-term health care facility which is the subject of the
complaint is located. The long-term health care facility may
participate as a party in this informal conference. The director’s
designee shall notify the complainant and licensee of his or her
determination within 10 working days after the informal conference
and shall apprise the complainant and licensee in writing of the
appeal rights provided in subdivision (c).

(c) If the complainant is dissatisfied with the determination of
the director’s designee in the county in which the facility is located,
the complainant may, within 15 days after receipt of this
determination, notify in writing the Deputy Director of the
Licensing and Certification Division of the state department, who
shall assign the request to a representative of the Complainant
Appeals Unit for review of the facts that led to both determinations.
As a part of the Complainant Appeals Unit’s independent
investigation, and at the request of the complainant, the
representative shall interview the complainant in the district office
where the complaint was initially referred. Based upon this review,
the Deputy Director of the Licensing and Certification Division
of the state department shall make his or her own determination
and notify the complainant and the facility within 30 days.

(d) Any citation issued as a result of a conference or review
provided for in subdivision (b) or (c) shall be issued and served
upon the facility within three working days of the final
determination, unless the licensee agrees in writing to an extension
of this time. Service shall be effected either personally or by
registered or certified mail. A copy of the citation shall also be
sent to each complainant by registered or certified mail.

(e) A miniexit conference shall be held with the administrator
or his or her representative upon leaving the facility at the
completion of the investigation to inform him or her of the status
of the investigation. The department shall also state the items of
noncompliance and compliance found as a result of a complaint
and those items found to be in compliance, provided the disclosure
maintains the anonymity of the complainant. In any matter in which
there is a reasonable probability that the identity of the complainant
will not remain anonymous, the state department shall also notify
the facility that it is unlawful to discriminate or seek retaliation
against a resident, employee, or complainant.

(f) For purposes of this section, “complaint” means any oral or
written notice to the state department, other than a report from the
facility of an alleged violation of applicable requirements of state
or federal law or any alleged facts that might constitute such a
violation.

SEC. 2.  

Section 4514 of the Welfare and Institutions Code is
amended to read:

4514.  

All information and records obtained in the course of
providing intake, assessment, and services under Division 4.1
(commencing with Section 4400), Division 4.5 (commencing with
Section 4500), Division 6 (commencing with Section 6000), or
Division 7 (commencing with Section 7100) to persons with
developmental disabilities shall be confidential. Information and
records obtained in the course of providing similar services to
either voluntary or involuntary recipients prior to 1969 shall also
be confidential. Information and records shall be disclosed only
in any of the following cases:

(a) In communications between qualified professional persons,
whether employed by a regional center or state developmental
center, or not, in the provision of intake, assessment, and services
or appropriate referrals. The consent of the person with a
developmental disability, or his or her guardian or conservator,
shall be obtained before information or records may be disclosed
by regional center or state developmental center personnel to a
professional not employed by the regional center or state
developmental center, or a program not vendored by a regional
center or state developmental center.

(b) When the person with a developmental disability, who has
the capacity to give informed consent, designates individuals to
whom information or records may be released, except that nothing
in this chapter shall be construed to compel a physician and
surgeon, psychologist, social worker, marriage and family therapist,
professional clinical counselor, nurse, attorney, or other
professional to reveal information that has been given to him or
her in confidence by a family member of the person unless a valid
release has been executed by that family member.

(c) To the extent necessary for a claim, or for a claim or
application to be made on behalf of a person with a developmental
disability for aid, insurance, government benefit, or medical
assistance to which he or she may be entitled.

(d) If the person with a developmental disability is a minor,
dependent ward, or conservatee, and his or her parent, guardian,
conservator, limited conservator with access to confidential records,
or authorized representative, designates, in writing, persons to
whom records or information may be disclosed, except that nothing
in this chapter shall be construed to compel a physician and
surgeon, psychologist, social worker, marriage and family therapist,
professional clinical counselor, nurse, attorney, or other
professional to reveal information that has been given to him or
her in confidence by a family member of the person unless a valid
release has been executed by that family member.

(e) For research, begin delete provided that end delete begin insert if end insert the Director of Developmental
Services designates by regulation rules for the conduct of research
and requires the research to be first reviewed by the appropriate
institutional review board or boards. These rules shall include, but
need not be limited to, the requirement that all researchers shall
sign an oath of confidentiality as follows:

 

	“
	Date

 

As a condition of doing research concerning persons with
developmental disabilities who have received services from ____
(fill in the facility, agency or person), I, ____, agree to obtain the
prior informed consent of persons who have received services to
the maximum degree possible as determined by the appropriate
institutional review board or boards for protection of human
subjects reviewing my research, or the person’s parent, guardian,
or conservator, and I further agree not to divulge any information
obtained in the course of the research to unauthorized persons, and
not to publish or otherwise make public any information regarding
persons who have received services so those persons who received
services are identifiable.

I recognize that the unauthorized release of confidential
information may make me subject to a civil action under provisions
of the Welfare and Institutions Code.

 

	”
	Signed

 

(f) To the courts, as necessary to the administration of justice.

(g) To governmental law enforcement agencies as needed for
the protection of federal and state elective constitutional officers
and their families.

(h) To the Senate Committee on Rules or the Assembly
Committee on Rules for the purposes of legislative investigation
authorized by the committee.

(i) To the courts and designated parties as part of a regional
center report or assessment in compliance with a statutory or
regulatory requirement, including, but not limited to, Section
1827.5 of the Probate Code, Sections 1001.22 and 1370.1 of the
Penal Code, and Section 6502 of begin delete the Welfare and Institutions Code end delete
begin insert this code end insert .

(j) To the attorney for the person with a developmental disability
in any and all proceedings upon presentation of a release of
information signed by the person, except that when the person
lacks the capacity to give informed consent, the regional center or
state developmental center director or designee, upon satisfying
himself or herself of the identity of the attorney, and of the fact
that the attorney represents the person, shall release all information
and records relating to the person except that nothing in this article
shall be construed to compel a physician and surgeon, psychologist,
social worker, marriage and family therapist, professional clinical
counselor, nurse, attorney, or other professional to reveal
information that has been given to him or her in confidence by a
family member of the person unless a valid release has been
executed by that family member.

(k) Upon written consent by a person with a developmental
disability previously or presently receiving services from a regional
center or state developmental center, the director of the regional
center or state developmental center, or his or her designee, may
release any information, except information that has been given
in confidence by members of the family of the person with
developmental disabilities, requested by a probation officer charged
with the evaluation of the person after his or her conviction of a
crime if the regional center or state developmental center director
or designee determines that the information is relevant to the
evaluation. The consent shall only be operative until sentence is
passed on the crime of which the person was convicted. The
confidential information released pursuant to this subdivision shall
be transmitted to the court separately from the probation report
and shall not be placed in the probation report. The confidential
information shall remain confidential except for purposes of
sentencing. After sentencing, the confidential information shall be
sealed.

(l) Between persons who are trained and qualified to serve on
“multidisciplinary personnel” teams pursuant to subdivision (d)
of Section 18951. The information and records sought to be
disclosed shall be relevant to the prevention, identification,
management, or treatment of an abused child and his or her parents
pursuant to Chapter 11 (commencing with Section 18950) of Part
6 of Division 9.

(m) When a person with a developmental disability dies from
any cause, natural or otherwise, while hospitalized in a state
developmental center, the State Department of Developmental
Services, the physician and surgeon in charge of the client, or the
professional in charge of the facility or his or her designee, shall
release information and records to the coroner. The State
Department of Developmental Services, the physician and surgeon
in charge of the client, or the professional in charge of the facility
or his or her designee, shall not release any notes, summaries,
transcripts, tapes, or records of conversations between the resident
and health professional personnel of the hospital relating to the
personal life of the resident that is not related to the diagnosis and
treatment of the resident’s physical condition. Any information
released to the coroner pursuant to this section shall remain
confidential and shall be sealed and shall not be made part of the
public record.

(n) To authorized licensing personnel who are employed by, or
who are authorized representatives of, the State Department of
Public Health, and who are licensed or registered health
professionals, and to authorized legal staff or special investigators
who are peace officers who are employed by, or who are authorized
representatives of, the State Department of Social Services, as
necessary to the performance of their duties to inspect, license,
and investigate health facilities and community care facilities, and
to ensure that the standards of care and services provided in these
facilities are adequate and appropriate and to ascertain compliance
with the rules and regulations to which the facility is subject. The
confidential information shall remain confidential except for
purposes of inspection, licensing, or investigation pursuant to
Chapter 2 (commencing with Section 1250) and Chapter 3
(commencing with Section 1500) of Division 2 of the Health and
Safety Code, or a criminal, civil, or administrative proceeding in
relation thereto. The confidential information may be used by the
State Department of Public Health or the State Department of
Social Services in a criminal, civil, or administrative proceeding.
The confidential information shall be available only to the judge
or hearing officer and to the parties to the case. Names which are
confidential shall be listed in attachments separate to the general
pleadings. The confidential information shall be sealed after the
conclusion of the criminal, civil, or administrative hearings, and
shall not subsequently be released except in accordance with this
subdivision. If the confidential information does not result in a
criminal, civil, or administrative proceeding, it shall be sealed after
the State Department of Public Health or the State Department of
Social Services decides that no further action will be taken in the
matter of suspected licensing violations. Except as otherwise
provided in this subdivision, confidential information in the
possession of the State Department of Public Health or the State
Department of Social Services shall not contain the name of the
person with a developmental disability begin insert or other personally
identifiable information end insert .

(o) To any board which licenses and certifies professionals in
the fields of mental health and developmental disabilities pursuant
to state law, when the Director of Developmental Services has
reasonable cause to believe that there has occurred a violation of
any provision of law subject to the jurisdiction of a board and the
records are relevant to the violation. The information shall be
sealed after a decision is reached in the matter of the suspected
violation, and shall not subsequently be released except in
accordance with this subdivision. Confidential information in the
possession of the board shall not contain the name of the person
with a developmental disability.

(p) To governmental law enforcement agencies by the director
of a regional center or state developmental center, or his or her
designee, when (1) the person with a developmental disability has
been reported lost or missing or (2) there is probable cause to
believe that a person with a developmental disability has
committed, or has been the victim of, murder, manslaughter,
mayhem, aggravated mayhem, kidnapping, robbery, carjacking,
assault with the intent to commit a felony, arson, extortion, rape,
forcible sodomy, forcible oral copulation, assault or battery, or
unlawful possession of a weapon, as provided in any provision
listed in Section 16590 of the Penal Code.

This subdivision shall be limited solely to information directly
relating to the factual circumstances of the commission of the
enumerated offenses and shall not include any information relating
to the mental state of the patient or the circumstances of his or her
treatment unless relevant to the crime involved.

This subdivision shall not be construed as an exception to, or in
any other way affecting, the provisions of Article 7 (commencing
with Section 1010) of Chapter 4 of Division 8 of the Evidence
Code, or Chapter 11 (commencing with Section 15600) and
Chapter 13 (commencing with Section 15750) of Part 3 of Division
9.

(q) To the Division of Juvenile Facilities and Department of
Corrections and Rehabilitation or any component thereof, as
necessary to the administration of justice.

(r) To an agency mandated to investigate a report of abuse filed
pursuant to either Section 11164 of the Penal Code or Section
15630 of the Welfare and Institutions Code for the purposes of
either a mandated or voluntary report or when those agencies
request information in the course of conducting their investigation.

(s) When a person with developmental disabilities, or the parent,
guardian, or conservator of a person with developmental disabilities
who lacks capacity to consent, fails to grant or deny a request by
a regional center or state developmental center to release
information or records relating to the person with developmental
disabilities within a reasonable period of time, the director of the
regional or developmental center, or his or her designee, may
release information or records on behalf of that person provided
both of the following conditions are met:

(1) Release of the information or records is deemed necessary
to protect the person’s health, safety, or welfare.

(2) The person, or the person’s parent, guardian, or conservator,
has been advised annually in writing of the policy of the regional
center or state developmental center for release of confidential
client information or records when the person with developmental
disabilities, or the person’s parent, guardian, or conservator, fails
to respond to a request for release of the information or records
within a reasonable period of time. A statement of policy contained
in the client’s individual program plan shall be deemed to comply
with the notice requirement of this paragraph.

(t) (1) When an employee is served with a notice of adverse
action, as defined in Section 19570 of the Government Code, the
following information and records may be released:

(A) All information and records that the appointing authority
relied upon in issuing the notice of adverse action.

(B) All other information and records that are relevant to the
adverse action, or that would constitute relevant evidence as
defined in Section 210 of the Evidence Code.

(C) The information described in subparagraphs (A) and (B)
may be released only if both of the following conditions are met:

(i) The appointing authority has provided written notice to the
consumer and the consumer’s legal representative or, if the
consumer has no legal representative or if the legal representative
is a state agency, to the clients’ rights advocate, and the consumer,
the consumer’s legal representative, or the clients’ rights advocate
has not objected in writing to the appointing authority within five
business days of receipt of the notice, or the appointing authority,
upon review of the objection has determined that the circumstances
on which the adverse action is based are egregious or threaten the
health, safety, or life of the consumer or other consumers and
without the information the adverse action could not be taken.

(ii) The appointing authority, the person against whom the
adverse action has been taken, and the person’s representative, if
any, have entered into a stipulation that does all of the following:

(I) Prohibits the parties from disclosing or using the information
or records for any purpose other than the proceedings for which
the information or records were requested or provided.

(II) Requires the employee and the employee’s legal
representative to return to the appointing authority all records
provided to them under this subdivision, including, but not limited
to, all records and documents or copies thereof that are no longer
in the possession of the employee or the employee’s legal
representative because they were from any source containing
confidential information protected by this section, and all copies
of those records and documents, within 10 days of the date that
the adverse action becomes final except for the actual records and
documents submitted to the administrative tribunal as a component
of an appeal from the adverse action.

(III) Requires the parties to submit the stipulation to the
administrative tribunal with jurisdiction over the adverse action
at the earliest possible opportunity.

(2) For the purposes of this subdivision, the State Personnel
Board may, prior to any appeal from adverse action being filed
with it, issue a protective order, upon application by the appointing
authority, for the limited purpose of prohibiting the parties from
disclosing or using information or records for any purpose other
than the proceeding for which the information or records were
requested or provided, and to require the employee or the
employee’s legal representative to return to the appointing authority
all records provided to them under this subdivision, including, but
not limited to, all records and documents from any source
containing confidential information protected by this section, and
all copies of those records and documents, within 10 days of the
date that the adverse action becomes final, except for the actual
records and documents that are no longer in the possession of the
employee or the employee’s legal representatives because they
were submitted to the administrative tribunal as a component of
an appeal from the adverse action.

(3) Individual identifiers, including, but not limited to, names,
social security numbers, and hospital numbers, that are not
necessary for the prosecution or defense of the adverse action,
shall not be disclosed.

(4) All records, documents, or other materials containing
confidential information protected by this section that have been
submitted or otherwise disclosed to the administrative agency or
other person as a component of an appeal from an adverse action
shall, upon proper motion by the appointing authority to the
administrative tribunal, be placed under administrative seal and
shall not, thereafter, be subject to disclosure to any person or entity
except upon the issuance of an order of a court of competent
jurisdiction.

(5) For purposes of this subdivision, an adverse action becomes
final when the employee fails to answer within the time specified
in Section 19575 of the Government Code, or, after filing an
answer, withdraws the appeal, or, upon exhaustion of the
administrative appeal or of the judicial review remedies as
otherwise provided by law.

(u) To the person appointed as the developmental services
decisionmaker for a minor, dependent, or ward pursuant to Section
319, 361, or 726.

(v) To a protection and advocacy agency established pursuant
to Section 4901, to the extent that the information is incorporated
within any of the following:

(1) An unredacted facility evaluation report form or an
unredacted complaint investigation report form of the State
Department of Social Services. This information shall remain
confidential and subject to the confidentiality requirements of
subdivision (f) of Section 4903.

(2) An unredacted citation report, unredacted licensing report,
unredacted survey report, unredacted plan of correction, or
unredacted statement of deficiency of the State Department of
Public Health, prepared by authorized licensing personnel or
authorized representatives described in subdivision (n). This
information shall remain confidential and subject to the
confidentiality requirements of subdivision (f) of Section 4903.

SEC. 3.  

Section 4514.2 is added to the Welfare and Institutions
Code, to read:

4514.2.  

Notwithstanding Section 4514, public notice may be
provided of the following information, if the information relates
to a facility with a license capacity of 16 beds or more and does
not include the name or personally identifiable information of any
person with a developmental disability:

(a) Survey and licensing reports, and all class “AA,” “A,” or
“B” violations under the standards set forth in Section 1424 of the
Health and Safety Code, issued by the State Department of Public
Health.

(b) Facility evaluation, deficiency, and complaint investigation
reports issued by the State Department of Social Services.

SEC. 4.  

Section 5328.15 of the Welfare and Institutions Code
is amended to read:

5328.15.  

All information and records obtained in the course
of providing services under Division 5 (commencing with Section
5000), Division 6 (commencing with Section 6000), or Division
7 (commencing with Section 7000), to either voluntary or
involuntary recipients of services shall be confidential. Information
and records may be disclosed, however, notwithstanding any other
provision of law, as follows:

(a) To authorized licensing personnel who are employed by, or
who are authorized representatives of, the State Department of
Public Health, and who are licensed or registered health
professionals, and to authorized legal staff or special investigators
who are peace officers who are employed by, or who are authorized
representatives of the State Department of Social Services, as
necessary to the performance of their duties to inspect, license,
and investigate health facilities and community care facilities and
to ensure that the standards of care and services provided in such
facilities are adequate and appropriate and to ascertain compliance
with the rules and regulations to which the facility is subject. The
confidential information shall remain confidential except for
purposes of inspection, licensing, or investigation pursuant to
Chapter 2 (commencing with Section 1250) of, and Chapter 3
(commencing with Section 1500) of, Division 2 of the Health and
Safety Code, or a criminal, civil, or administrative proceeding in
relation thereto. The confidential information may be used by the
State Department of Public Health or the State Department of
Social Services in a criminal, civil, or administrative proceeding.
The confidential information shall be available only to the judge
or hearing officer and to the parties to the case. Names which are
confidential shall be listed in attachments separate to the general
pleadings. The confidential information shall be sealed after the
conclusion of the criminal, civil, or administrative hearings, and
shall not subsequently be released except in accordance with this
subdivision. If the confidential information does not result in a
criminal, civil, or administrative proceeding, it shall be sealed after
the State Department of Public Health or the State Department of
Social Services decides that no further action will be taken in the
matter of suspected licensing violations. Except as otherwise
provided in this subdivision, confidential information in the
possession of the State Department of Public Health or the State
Department of Social Services shall not contain the name of the
patient begin insert or other personally identifiable information end insert .

(b) To any board which licenses and certifies professionals in
the fields of mental health pursuant to state law, when the Director
of Mental Health has reasonable cause to believe that there has
occurred a violation of any provision of law subject to the
jurisdiction of that board and the records are relevant to the
violation. This information shall be sealed after a decision is
reached in the matter of the suspected violation, and shall not
subsequently be released except in accordance with this
subdivision. Confidential information in the possession of the
board shall not contain the name of the patient.

(c) To a protection and advocacy agency established pursuant
to Section 4901, to the extent that the information is incorporated
within any of the following:

(1) An unredacted facility evaluation report form or an
unredacted complaint investigation report form of the State
Department of Social Services. This information shall remain
confidential and subject to the confidentiality requirements of
subdivision (f) of Section 4903.

(2) An unredacted citation report, unredacted licensing report,
unredacted survey report, unredacted plan of correction, or
unredacted statement of deficiency of the State Department of
Public Health, prepared by authorized licensing personnel or
authorized representatives described in subdivision (n). This
information shall remain confidential and subject to the
confidentiality requirements of subdivision (f) of Section 4903.

SEC. 5.  

Section 5328.17 is added to the Welfare and
Institutions Code, immediately following Section 5328.15, to read:

5328.17.  

Notwithstanding Section 5328.15, public notice may
be provided of the following information, if the information relates
to a facility with a license capacity of 16 beds or more and does
not include the name or personally identifiable information of any
patient:

(a) Survey and licensing reports, and all class “AA,” “A,” or
“B” violations under the standards set forth in Section 1424 of the
Health and Safety Code, issued by the State Department of Public
Health.

(b) Facility evaluation, deficiency, and complaint investigation
reports issued by the State Department of Social Services.