HomeMy WebLinkAbout2021-10-19; City Council; Resolution 2021-243RESOLUTION NO. 2021-243
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD,
CALIFORNIA, AUTHORIZING THE CITY MANAGER TO IMPLEMENT A
CITYWIDE DATA POLICY AND PROGRAM
EXHIBIT 1
WHEREAS, on March 16, 2021, the City Council approved the preliminary Strategic Digital
Transformation Investment Program which included the goal areas related to data such as building
capacity for data-driven decision making, fostering a vibrant civic engagement culture, and enhancing
accessibility and transparency; and
WHEREAS, the city approach to data collection, management, governance and distribution has
been fragmented and lacked consistent coordination; and
WHEREAS, in Fiscal Year 2019-20, the City Council approved the creation of a Data Science and
Business Intelligence Manager position which was intended to coordinate the city's data activities; and
WHEREAS, in the spring of 2020 the city filled the Data Science and Business Intelligence
Manager position and work began on a citywide data inventory; and
WHEREAS, in the fall of 2020, a citywide data inventory was completed and is regularly updated
on an ongoing basis; and
WHEREAS, the inventory of city data determined that the city has over 1,000 operational
datasets, approximately 275 unique structured databases, and the amount of data and number of
databases continue to grow; and
WHEREAS, the creation of a citywide data policy and program provides internal operational
benefits and external benefits to the community and should be pursued for the betterment of all; and
WHEREAS, the proposed citywide data policy and program are designed to be the foundational
guide for the city's coordinated data collection, management, governance, and distribution activities;
and
WHEREAS, authorizing the City Manager to implement a data policy and program will help the
city with data-informed decisions improving operations for service delivery; and
WHEREAS, the data policy and program uses a continuous approach that will help the city to
adapt to changes in technology; and
WHEREAS, the a coordinated, data-informed approach to city operations supports meeting
community needs.
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ATTACHMENT A
Citywide
Data Policy and
Program
10/01/2021
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TABLE OF CONTENTS
INTRODUCTION
Introduction .................................................................................................................................3
DATA POLICY
Purpose ........................................................................................................................................3
Policy Statement ..........................................................................................................................3
DEFINING DATA
Scope – What is Data? .................................................................................................................5
DATA GOVERNANCE
Data Governance Committee Membership ................................................................................5
Roles and Responsibilities ............................................................................................................6
DATA CLASSIFICATIONS
Data Types ....................................................................................................................................7
Data Prioritization ........................................................................................................................8
Data Retention .............................................................................................................................9
DATA PROTECTION
Data Access Approval Process .....................................................................................................10
Data Access Audit Processs .........................................................................................................10
Backups & Redundancy ................................................................................................................11
DATA QUALITY MANAGEMENT
Annual Data Census .....................................................................................................................11
Data Quality Standards – Continuous Improvement ..................................................................11
Citywide Data Library ..................................................................................................................12
New Data System Evaluation and Replacement .........................................................................12
Standards in Analytics .................................................................................................................12
Standards in Data Reporting .......................................................................................................13
Data Quality Management Training .............................................................................................13
DATA PUBLICATION
Framework for Data Publication ..................................................................................................13
Open Data Platform .....................................................................................................................13
Priority Datasets ...........................................................................................................................14
Open Data Maintenance and Review...........................................................................................14
Community Engagement with Open Data ...................................................................................14
POLICY REVIEW AND TRAINING
Review ..........................................................................................................................................14
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2 Citywide Data Policy & Program
Training ........................................................................................................................................14
CONCLUSION
APPENDICES
Connected Carlsbad Roadmap
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3 Citywide Data Policy & Program
INTRODUCTION
Data is essential to many if not most city services. The collection, management, governance and
distribution of data in the city requires policy guidance, structure, centralized coordination and
functional program elements.
The city has more than 1,000 data sets of operational information with some data going back over 60
years. There are nearly 300 systems that store data. Given this vast amount of data the city manages
and its importance to operations, a data policy and program that includes a centralized collaborative
approach involving all city departments in the collection, management, governance and distribution
of data is an appropriate approach for the city. Clear policy, an efficient program, and collaboration
supports efficient operations and helps the city achieve its goals for Carlsbad residents, businesses,
visitors, and employees.
DATA POLICY
PURPOSE
The citywide data policy provides a uniform, framework for the collection, use, storage and
distribution of city information including operational data, project tracking, and citizen data. The
policy outlines protocols to aggregate city information, classify data, and secure sensitive data. The
policy includes a detailed data manual including a standards and procedures document for the
implementation of the policy goals and objectives.
POLICY STATEMENT
The City of Carlsbad has established core organizational values that focus on character, innovation,
stewardship, excellence, empowerment and communication. An environment with openness,
continuous improvement, highest standards, engagement and collaboration require the effective use
of existing resources to make informed decisions and deliver quality community services. This policy
will establish methods and processes to best utilize organizational data and information as a strategic
and public good to support these values.
On June 8 2021, the City Council approved the Strategic Digital Transformation Investment Program
(SDTIP). The program outlines the following connected community goals on harnessing data within
the organization:
Build Capacity for Data-Driven Government, focuses on the policies, procedures and
staffing necessary for the city to fully capture the value of emerging models of data analytics.
Foster a Vibrant Civic Engagement Culture, a human-centered perspective that an engaged city that
uses data and technology in a way that will support a vibrant culture where residents, organizations
and businesses are invested in their community and its future.
Enhance Accessibility and Transparency, recognizes that open government and
approaching problem-solving from an accessibility perspective leads to better outcomes for all.
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4 Citywide Data Policy & Program
This policy establishes the framework for action on these high-level goals including the governance
and processes for the stewardship of city’s enterprise data for data-driven decision making, increased
engagement and greater transparency of city operations.
As it specifically relates to the collection, management, governance, and distribution of data, the city
has the following objectives:
• Community and Government
o Build upon the values and goals of the city and community
o Appropriately safeguard sensitive information
o Foster trust between government, residents, visitors, and businesses
• Governance and Management
o Establish governance and oversight
o Use data to guide decision making
o Use data to increase accountability
• Connection and Organizational Value
o Inspire an organizational culture that values data and understands its use in city
operations
o Connect data across departmental functions to achieve city and community goals
o Leverage information as a strategic resource for superior community services
• Security
o Establish approaches to securing digital information
o Periodic reviews of access controls and risk assessments
• Transparency and Resiliency
o Create a framework for sharing operational data with the community
o Enable community-based rich data insights and policy making
o Ensure data assets are available and accessible for data-rich insights
This policy establishes a four pillar framework for addressing the management of data as an asset
across the city which includes:
• The scope and classification of data
• Data protection and security
• Data quality standards and management
• Data publication and engagement
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5 Citywide Data Policy & Program
DEFINING DATA
SCOPE – WHAT IS DATA?
This policy and program applies to all staff, volunteers and contractors that access digital city
information and/or perform digital record keeping duties related to city business. These standards
apply to all city data, and are to be followed by all those who capture data and manage information
systems. Examples of data covered by this policy are:
• Information contained within structured data systems such as databases
• Electronic documents such as files and spreadsheets
• Correspondences such as email, memos, and notes
DATA GOVERNANCE
DATA GOVERNANCE COMMITTEE MEMBERSHIP
Data Governance Committee
A Data Governance Committee shall be established to set goals and priorities for citywide data
governance and selecting technologies to facilitate a data-driven infrastructure and culture. The core
committee shall include:
• Chief Data Officer (Chair)
• Chief Innovation Officer
• Director Legislative and Constituent Services
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6 Citywide Data Policy & Program
•Records Program Manager
•Director of Information Technology and designees
•Other members as designated by chair
This committee will meet regularly to review data strategies, identify and report on progress towards
goals and amend policies. The data governance committee will additionally review and approve the
annual citywide data inventory, and receive recommendations and approve open data publication
additions or removals.
ROLES AND RESPONSIBILITIES
Chief Data Officer
The Chief Data Officer coordinates the implementation and operational oversight of the data policy
and program. This role is responsible for preparing an annual report that includes a citywide data
inventory in collaboration with department data stewards and data deputies. The Chief Data Officer
oversees the data policy staff training programs and advises departments on initiatives and projects
related to data driven decision making. The Chief Data Officer also creates recommendations to the
data governance committee related to new open datasets for publication approval.
Data Owners
The city is the owner of the data it collects, manages, and maintains. City data is centralized and
decentralized in departments. In addition to centralized management, department staff are
responsible for maintaining and managing data. The city identifies the ownership and custody of city
records in the records management program policy. If there are other data owners in addition to
those identified in the records management program policy the Chief Data Officer will maintain the
list of those data owners.
Data Stewards
Data stewards reside within departments and serve as the data analysis experts and participate in the
formation of the department-level annual data inventory. This role additionally audits access to
department data systems and manages the approval process of new access. Data stewards
collaborate with the Chief Data Officer to develop operational dashboards, reports and audit tools to
aid department leadership strategy and foster data quality management principles.
Data stewards possess skills and business knowledge to transform and visualize large datasets to
provide agency leadership with information and reports that allow for data driven decisions. Data
stewards assist departments with maintaining data quality standards in accordance with this policy.
Data stewards will frequently coordinate with the Chief Data Officer on alignment of department
data goals, open data publications, and data quality.
Information Technology Department
The Information Technology Department (IT) maintains a universal identity framework that allows
data systems to confirm staff access authenticity via passwords and multi-factor authentication
principles. IT provisions access to department data systems based on the Data Access Approval
Process defined within this policy. IT is responsible for storage of the digital files and data backup
strategy based on the data asset’s Data Classification Index that defines the
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7 Citywide Data Policy & Program
criticality of data redundancy and speed of recovery in the event of a technology emergency. IT has
technical project management resources to guide the successful implementations of new data
systems and integration within the existing computing infrastructure. Datacenters and locations that
host city data are secured by IT with limitations on access to mitigate unauthorized access risks.
Network security and external internet threats are managed by IT and includes staff training on
identifying and reducing risks. IT ensures data systems remain operational and can be recovered in a
disaster event; however, data quality, data classification, and data access audits are the responsibility
of the departments that create and maintain data relevant to their operations.
Creators and Internal Consumers
Individual departments create and maintain data necessary to perform daily operations and achieve
long-term organizational goals. Departments are responsible for assessing the data needs of their
operations and maintaining data in an organized structure to allow for reporting and analysis. Data
creators maintain and create records within a department related to business need. Internal
consumers will collaborate with Data Stewards to identify datasets that are eligible for publication in
accordance with the Open Data Policy. Data creators are responsible for the accurate entry of
information into data systems, in accordance with data quality standards set by data stewards and
the Chief Data Officer.
Public Access Consumers
Public access data consumers outside of the organization can utilize city data to better understand
internal operations, retrieve insights the on progress of community goals, and make informed
decisions while interacting with council and city staff. The Public Access community may also be
agencies and organizations that foster shared partnerships. The community access of city data will be
detailed within the data publication section of this policy.
DATA CLASSIFICATIONS
DATA TYPES
The policy establishes the following classifications of data and guides consideration on public
disclosure.
Restricted Data - State or federal regulated confidential information, such as criminal justice data,
sensitive financial information, and health information.
Internal Data – Information reserved from disclosure until completion. Examples may be ongoing
legal proceedings, bidding process or confidential information related to projects in progress such as
city negotiations with contractors, vendor selection process in progress.
Public Data - Information that the city may share with the community including performance metrics
on city services, city assets, capital project progress, public meeting minutes, agendas, staff reports.
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8 Citywide Data Policy & Program
The reference workflow below how data can be classified as restricted, internal or public.
DATA PRIORITIZATION
Accessibility and Resiliency
Classification of data accessibility informs the information technology department on the level of data
resiliency and availability strategies that must be implemented in order to ensure data is retained and
is protected at a suitable level for business continuity. There are three main types of data
accessibility:
• Priority Data – Information that must be available and accessible on a daily basis and must
include high-level redundant backup strategies and methods to ensure rapid recovery time
in the event of a technology emergency. Examples may be the primary department data
system of record, or datasets and files used daily for continuous operations.
• Non-Priority Data – Information that is retained at a lower recovery period, and would not
cause significant impact to business operations if data recovery times required two or more
business days to restore data in the event of a technology emergency. Examples may be files
or datasets that are accessed less frequently where it is possible to continue normal
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9 Citywide Data Policy & Program
operations without access to these files or data for a period of days during an emergency.
• Temporary Use Data – Information such as preliminary drafts, notes and transitory data not
retained in the ordinary course of business and not subject to disclosure or pending
destruction under the city records retention schedule.
DATA RETENTION
The city records management program provides the procedures that are used citywide for
management of records. This includes audits of the city’s compliance with state laws on record
keeping, the destruction of records and the schedule of how long city records need to be maintained.
The program was approved by the City Council on Oct. 17, 2000, and is administered by the records
management division in the city clerk services department. The city records retention schedule
provides clear and specific records descriptions and retention periods and applies current law and
technology to the management of the city’s records.
As part of the records retention program, the Records Manager establishes policies to maintain
functional recordkeeping requirements to improve the efficiency of the archiving of city records and
to ensure the creation of adequate and proper documentation of the city's activities and
transactions. All city records must be created, maintained, and disposed accordingly and all
requirements, policies and procedures established pursuant to the records management program.
The citywide data policy will add additional guidance for city staff to aid in monitoring and recording
the location and types data assets in accordance with the records management program. The annual
data census will support the records management program’s goals of creation, distribution,
organization, maintenance, use, retention and disposition of all records.
Data Census Classification Index
All data governed by this policy and program will be indexed within the annual data census and
document retention catalog to ease access to datasets, inform resiliency strategies, and define
retention and destruction requirements. The annual data census process will audit correct
classifications of datasets and review compliance with defined retention schedules. The data
inventory classification covers data type, tier, and retention.
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10 Citywide Data Policy & Program
DATA PROTECTION
The city relies on secured data assets for effective operation of city services. Protecting the
availability and confidentiality of sensitive city information is paramount to ensuring public trust.
Certain data sharing among partner agencies require specific levels of data security when accessing
and creating new records. Examples of such external data security requirements:
• California Department of Justice (CA DOJ) – Police Department Records
• U.S Criminal Justice Information Services (CJIS) Security Policy – Police Criminal Information
• The Health Insurance Portability and Accountability Act of 1996 (HIPAA) – Health Data
In addition to these required data security standards, the city has adopted internal security measures
and industry standards to ensure the protection of its data. A dedicated information security position
has been hired for overseeing city digital infrastructure security. Policies and guidance on acceptable
device use have been implemented by the IT department. Data access control auditing and password
protection strategies and appropriate use of multi-factor authentication have been implemented for
all city staff that access data systems. Redundant and isolated backup strategies have been developed
to avert data loss from attack or disaster. Datacenters are located in secured facilities and restricted data is encrypted. All staff attend periodic security training to guard against and identify risks to
external threats and attacks.
Data Access Approval Process
This policy and program establishes an approval process for granting and maintaining staff access to
city data assets. This is distinct from the process whereby the public requests access to city records as
part of a public records request. This staff access approval process facilitates an informed decision
making approach for allowing interdepartmental data access and provides audit controls and access
evaluation clarity for reducing siloed datasets. Below is an example approval process for granting staff access to data from another city department:
Data Access Audit Process
Maintaining access controls is a key element to ensuring data is protected from authorized access
and reduces security risk. The annual data census includes a department level audit checkpoint to
review access to datasets and evaluate if the access is still needed. On a regular basis the Chief Data Officer, and IT personnel will meet to evaluate access controls and risk mitigation prevention
strategies based on existing, new and emerging threats.
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11 Citywide Data Policy & Program
Backups & Redundancy
Data backup strategies of datasets outlined within the data census will be protected by the
information technology department in accordance with the data prioritization, accessibility,
resiliency, data retention classifications defined within this policy. Additional backup processes and
standards will be set by the data governance committee and implemented within the data policy and
program.
DATA QUALITY MANAGEMENT
For data to be a strategic resource for informing operational goals, datasets must be maintained with
accuracy and accessibility standards. This section outlines processes to advance data quality and
methods to clean datasets for internal and public use.
Annual Data Census
Each year department data stewards and records liaisons will collaborate with the Chief Data Officer
to prepare a department data inventory. This process will detail data that the department collects
and maintains as part of normal operations and will be part of the city’s document retention program
catalog. The annual data census will be the comprehensive record of city data assets that will aid in
interdepartmental data sharing and citywide analytics.
The following elements will be outlined for data a department may have:
• Department that maintains the dataset
• Description of the data
• Purpose of the data collection
• Record retention program catalog identification
• Record retention schedule adherence
• Data classification
• Audit of users with access to the dataset
The Chief Data Officer will prepare an annual report for the data governance committee on the state
of data within the city and present the annual data census that outlines all datasets within the city,
current progress on data quality management standards and goals for the next year.
Data Quality Standards - Continuous Improvement
Establishment of a data quality standards will ensure data can be best leveraged to inform
operational effectiveness and reduce the inefficiencies of siloed information and repetitive data
entry. Data quality standards will reduce the time to deliver quality city services and improve
outcomes of operations through increased reporting and transparency. The data governance
committee will establish a continuous improvement process focused on the following key areas:
• Standards in data quality and record keeping within data systems
• Audit processes for data quality
• Internal review and external support tools and resources
• Annual data census
• Training for staff on data quality standards
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12 Citywide Data Policy & Program
Citywide Data Library
This policy shall establish a central data library to enable access to interdepartmental datasets for
operational insights. This architecture will store structured, unstructured and semi-structured data
for staff to perform deep analysis without impacting production data systems and facilitate
publication of select datasets for community use. The citywide data library will contain a digital
record of the datasets outlined within the data census classification index and associated attributes
to enable rapid querying of information and methods to easily merge datasets together for reporting.
New Data System Evaluation and Replacement
The selection process of new data systems shall be a collaborative process between the data
governance committee, SDTIP development team and the sponsoring department. Data systems
include software that contains or stores information that is valuable to operational effectiveness or is
integral for the continuity of city business operations. This collaboration will ensure the city selects
new data systems that meet IT and data quality standards. In addition the data governance
committee will participate in the system evaluation process and require specific RFP language to be
included within any new data system proposal request and contract. This will align new systems with
technology infrastructure, reporting standards and ensure proper records retention.
Recommendations for contract approval of new data systems will be jointly developed by the
requesting department and the select members of the data governance committee.
The following sample workflow is established to aid understanding the process for replacing or
implementing new data systems:
Procurement for software and evaluation of new data systems will be consistent with data quality
standards established within this policy. Select members from the data governance committee will
participate in the review and approval for new data systems that do not reach the size and scope
required for a request for proposal as defined within the city procurement rules.
Standards in Data Analytics Platform
A core reporting platform for citywide analytics and data driven decisions enables efficiency in
developing interdepartmental training, collaboration and auditing of data preparation methods. A
standard reporting platform will enable ease of publication for open datasets. The Chief Data Officer
and data governance committee shall establish a core reporting platform as the standard to be used
citywide. Selection of new data systems that enable use by these platforms will be preferred. The
Chief Data Officer will collaborate with departments on a workplan to convert key reports to the
standard reporting platform.
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13 Citywide Data Policy & Program
Standards in Data Reporting
Data reporting standards will be established to ensure accuracy, attribution and accessibility of
analysis and reporting. All data analysis that is published and utilized for interdepartmental reporting
will require adherence to data reporting standards. The Chief Data Officer will establish, maintain and
provide training on data reporting standards that at minimum details the following:
• Citation of data sources used to create analysis
• Displays the authoring creator of the report or reporting department
• Includes any footnotes that could qualify or caveat the data beyond what is shown
• Methods to ensure report repeatability and auditing of report design logic
• Note internally the report source design and compilation methods
Data Quality Management Training
Unlocking operational data for greater visibility requires advanced skills and knowledge to deliver rich
analytics. The Chief Innovation Officer and Chief Data Officer will implement a training program to
provide data stewards and select department staff with individual and group training on the following skills and standards:
• Use of the Citywide Data Library
• Data science and analytics methods
• Data quality auditing
• Classifying datasets and open data publication
• Creative and innovative approaches to measuring operations
DATA PUBLICATION
The data governance committee will collaborate with the communications & engagement and
records management departments to prepare publication of new city datasets on the city website or an open data portal. Data publication will be prioritized based on community interest, departmental
capacity and data quality standards. This policy will cover the creation and operation of a city open
data portal for hosting datasets for public use and analysis.
Framework for Data Publication
The data governance committee will establish a formal procedure for publication of new datasets for
public distribution and maintaining access to city data assets. This procedure will include review by
the communications & engagement department, city attorney’s office, IT, and the Chief Data Officer.
Open Data Platform
A platform for the publication of datasets will be established as the citywide central hub to enable
community to access various datasets in accessible formats. The Chief Data Officer will oversee the
operation of the open data platform and advise the data governance committee on platform
development, dataset publication progress and related systems that support the open data platform.
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14 Citywide Data Policy & Program
Priority Datasets
As the city moves to provide increasing data online for public use, a criteria for establishing a high
impact publication schedule will be defined to guide the prioritization of publication efforts. This
policy identifies strategic datasets to be made for public distribution based on:
• Level of community interest of data assets (frequency of public information requests)
• Key operational department data that summarizes progress towards city council goals
• Information that is relevant to engaging community debate on city activities
Open Data Maintenance and Review
The Chief Data Officer and data governance committee will evaluate the utilization of public datasets
and consider the level of effort involved with maintaining public datasets as part of a
decommissioning process to free resources for new publications. The city will use data publication
resources strategically to enable greater transparency, and continue to evolve the datasets published
based on the needs of the community and interest in data assets based on utilization. This approach will allow open data publications to be relevant, current and adaptable.
Community Engagement with Open Data
The Chief Data Officer will lead efforts to engage the community in events that promote the use of
city public data. As the city, county and state provide more datasets for public analysis, the city will
actively engage the community in mining public data for insights and collaborative solutions. This
effort seeks to improve civic engagement, provide a platform for innovative crowd-sourced ideas for
economic development and share decision making approaches and analysis with the community.
POLICY REVIEW AND TRAINING
Review
The data governance committee will review this policy on an annual basis and will make
recommendations to the City Manager for necessary revisions to ensure the policy meets the city’s
data governance needs and complies with applicable federal and state law. The City Manager will
notify the City Council of significant policy revisions.
Training
Training on the data policy and program topics will be conducted on an a recurring basis to ensure
understanding of data quality standards, foster a culture of collaborative data sharing, and review
approaches to classifying data. The Chief Data Officer and data stewards will meet regularly to cover
elements of the data policy including data science and analytics training, standards in data reporting
and continuous improvement.
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15 Citywide Data Policy & Program
CONCLUSION
This policy and program is designed to address the collection, management, governance, and
distribution of data in a way that continuously adapts to changing conditions and city needs. The
need for data-informed decision making, transparency, and authentic public engagement, are all
supported by this effort. As the needs of our residents, businesses, and visitors change, the city’s
approach to data should continue to evolve. As city operational requirements progress, this policy
and program will adjust to deliver on the city’s priorities. Data in and of itself does not have inherent
value, but when it can be organized to deliver insights that have an impact, then it becomes valuable.
This is the beginning of a policy and program that will unlock the power of data for the good of the
Carlsbad community.
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