5.3 Budgets and Fiscal Estimates

Budget reporting may include both actuals and projected amounts. Projected amounts, although developed with models that are based on the historical actuals, reflect activities that have not yet occurred and, therefore, do not require an assessment for de-identification. Actual amounts do need to be assessed for de-identification. When the budgets reflect caseloads, but do not include personal characteristics of the individuals in the caseloads, then the budgets are reflecting data in the Providers and Health and Service Utilization Data circles of the Figure 2 Venn Diagram and do not need further assessment. However, if the actual amounts report caseloads based on personal characteristics, such as age, sex, race or ethnicity, then the budget reporting needs to be assessed for de-identification.

Facilities, Service Locations and Providers

Many CalHHS programs oversee, license, accredit or certify various businesses, providers, facilities and service locations. As such, the programs report on various metrics, including characteristics of the entity and the services provided by the entity.

1. Characteristics of the entity are typically public information, such as location, type of service provided, type of license and the license status.

2. Services provided by the entity will typically need to be assessed to see if the reporting includes personal characteristics about the individuals receiving the services. Several examples are shown below.

   1. Reporting number of cases of mental illness treated by each facility – if the facility is a general acute care facility then the reporting of the number of cases does not tell you about the individuals receiving the services.

   2. Reporting number of cases of mental illness treated by each facility – if the facility is a children’s hospital then the reporting of the number of cases does tell you about the individuals receiving the services.

   3. Reporting number of psychotropic medications prescribed by a general psychiatrist does not tell you about the patients receiving the medications.

   4. Reporting number of psychotropic medications prescribed by a general psychiatrist to include the number of medications prescribed by the age group, sex or race/ethnicity of the patients receiving the medications does tell you about the patients receiving the medications.

In (a) and (c) above, assessment for de-identification is not necessary as there are no characteristics about the individuals receiving the services. However, in (b) and (d) above, the inclusion of personal characteristics which may be quasi-identifiers, especially when combined with the geographical information about the provider, does require an assessment for de-identification.

Mandated Reporting

CalHHS programs are required to provide public reporting based on federal and California statute and regulations, court orders, and stipulated judgments, as well as by various funders. Although reporting may be mandated, unless the law expressly requires reporting of personal characteristics, publicly reported data must still be de-identified to protect against the release of identifying or personal information which may violate federal or state law.