Carlsbad City Council
March 8, 2022

Item #9 -APPROVAL OF CITY COUNCIL POLICY STATEMENT REGARDING

CITYWIDE DATA GOVERNANCE AND MANAGEMENT
Although this-staff report references Council Policy No. 92, the correct Council Policy should be No. 93.

CA Review CKM

CITY COUNCIL
Staff Report
Meeting Date:

To:

From:

Staff Contact :

Subject:

Subject :

March 8, 2022
Mayor and City Council
Scott Chadwick, City Manager
David Graham, Chief Innovat ion Officer
david.graham@ca rlsbadca .gov, 442-339-5992
David Van Gilluwe, Data Science and Business Intelligence Manage r david.vangilluwe@carlsbadca .gov, 442-339-5985
Approval of a City Council Policy Statement Regarding Citywide Data Governance and Management
All
Recommended Action
Adopt a resolution approving a City Council policy statement regarding Citywide Data Governance and Management.

Executive Summary
Data is essential to many if not most city services, but the collection, management, governance, and distribution of city data had long lacked formal structure, centra lized coord ination and comprehensive policy guidance. On Oct. 19, 2021, the City Council author ized the City Manage r to implement a citywide data policy and program. The City Council also directed staff to return with a City Council policy statement related to the citywide data policy and program. Staff developed City Council Policy No. 92 - Citywide Data Governance and Management (Exhibit 1, Attachment A) and an associated draft administrative order (Exhibit 2) that is consistent with the previous City Council authorization. It also includes any revisions that have become necessary based on the previous City Council authorization.

City Council Policy Statement No. 1 requires that all policies can only be adopted, amended or rescinded by a resolution receiving four affirmative votes of the City Council.

Discussion
Background
Prior to 2020, the city lacked a central coordinator of the city's data acti vitie s. Despite the need for the city to manage a significant amount of data that is essential to operations and the cross­ cutting nature of data, the ecosystem for data collection, management, governance and distribution lacked a data coordinator. The city has more than 1,000 datasets of operational informatio n, with some of that data going back to the 1960s. There are 275 unique databases that contain structured data, that is, data that is clearly defined so that it can be searched and March 8, 2022 Item #9 Page 1 of 19
sorted, as opposed to data that requires some sort of conversion or manipulation to be usable.

This data includes data stored in systems for things like business licenses, development permits, water utility bill ing, and financial operations .

The City Council took the first step of addressing data coordination in fiscal year 2019-2020 by approving the city's first Data Science and Business Intelligence Manager. Based upon staff's work on a data inventory, a citywide data policy was developed.

In 2021 the City Council authorized the City Manager to implement a citywide data policy and program, which is the framework for the governance and management of city data. In addition, the City Council directed staff to return with a City Council policy statement regarding citywide data.

Should the City Council approve the proposed City Council policy statement, there will be three tiers of policy direction , first at the City Council level, then by the City Manager through an administrative order, and finally at the staff impleme ntation level. This tiered policy framewo rk is a best pract ice in which each appropriate level of the organization has a vested role in data collection, management, governance and distribution .

The proposed City Council policy statement and associated administrative order are consistent with the previously authorized citywide data policy and program. It provides a collaborative framework for how the city collects, manages, governs, and distributes data. This coordinated and collaborative approach is intended to improve interna l operations as well as services for the community.

The type of data covered by the City Council policy statement and administrat ive order are:
• Information contained within structured data systems such as databases • Electronic documents such as files and spreadsheets
• Correspondence such as email, memoranda and notes
The following core objectives have been identified in the City Council policy statement:
• 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 informatio n as a strategic resource for superior commun ity services March 8, 2022 Item #9 Page 2 of 19
• 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 comm unity o Enable comm unity-based rich data insights and policy making o Ensure data assets are available and accessible for data-rich insights Should the City Council choose to adopt the new City Council policy statement, the coordinating roles and responsibi lities previously authorized thro ugh the citywide data policy and program will remain the same. The defined roles and responsibilities remain crucial to the success of any coordinated data governance and management framework. The three key roles are:
• Chief data officer
• Data owners
• Data stewards
These are not new positions or job classifications but rather the roles that will be filled by various existing staff members .

The policy does direct the City Manager to establish a committee of city staff to set goals and priorities for citywide data governance. This Data Governance Committee will allow for ongoing cross-departmental collaboration regarding data that will meet the requirements of the City Council policy statement. The committee wou ld also participate in the process of acquiring products and services to help foster a data-driven infrastructure and culture. This was previously included in the citywide data policy and program that the City Council authorized the City Manager to implement. The committee will meet regularly to review data strategies, identify and report on progress towards goals and amend policies.

The proposed Council Policy st atement also identifies four pillars that provide a framework for addressing the management of data as an asset across the city:
• The scope and classification of data
• Data protection and security
• Data quality standards and management
• Data publication and engagement
March 8, 2022 Item #9 Page 3 of 19
Classification Protection
• Scope • Access
• C<1tegorization • Audits
• Prioritization • Backups
• Retention • Redundancy
Quality
• Standards
• Census
• Systems
• Analytics
• Training
Publication
• Framework
• Platf orm
• Open data
• Maintenance
■ Engagement
Governance
• oversight
• Implementation
• Audit
Chief Data Officer, Chair
Approving the new City Council policy statement will solidify the city's data management and governance framework, which could serve as a model for other cities to follow.

Fiscal Analysis
The implementation of the City Council policy statement and administrative order can be executed using existing staff resources. The necessary funding for the Strategic Digital Transformation Investment Program's data governance and operational analytics and other resources necessary to build capacity for data-driven decision making was approved in the fiscal year 2021-22 annual budget. Should additional resources be identified through the implementation of the policy any requests will be included in the FY 2022-23 budget proposal.

Next Steps
With the City Council's approval of the proposed policy statement, the City Manager will approve an administrative order to implement it.

Environmental Evaluation
This action is not a "project" as defined in California Public Resources Code Section 21065 and California Environmental Quality Act Guidelines Section 15378(b)(5} because it involves administrative activities of government that will not result in direct or indirect physical changes in the environment.

The action being considered is a report that provides an overview of the proposed citywide data policy and program and provides a description of possible future actions that could be considered, which on their own accord will not cause a significant environmental impact, so this activity is not subject to CEQA under CEQA Guidelines Section 15060{c)(3).

March 8, 2022 Item #9 Page 4 of 19
Public Notification
This item was noticed in accordance with the Ralph M. Brown Act and available for viewing at least 72 hours prior to the meeting.

Exhibits

1. City Council resolution

2. Draft administrative order
March 8, 2022 Item #9 Page 5 of 19
RESOLUTION NO. 2022-058

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA, APPROVING CITY COUNCIL POLICY NO. 93 - CITYWIDE DATA

GOVERNANCE AND MANAGEMENT
EXHIBIT 1
WHEREAS, on October 29, 2021, the City Council authorized the City Manager to implement a citywide data policy and directed staff to return with a City Council policy statement regarding citywide data management and governance; and
WHEREAS, 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 city has been implementing a citywide data policy to address the fragmentation and the lack of consistent coordination in data co llection,· management, governance and distribution; and
WHEREAS, the citywide data policy identified the role of Chief Data Officer to coordinate the implementation and operational oversight of the policy; and WHEREAS, a Data Governan ce Committee has been convened to set goals and priorities for citywide data governance consistent with the City Council authorized policy; and WHEREAS, the adoption of a City Counc11 policy statement provides critical guidance for the execution of a citywide data policy and program; and
WHEREAS, the proposed City Council policy statement and implementing administrative order are designed to be the foundational guide for the city's coordinated data collection, management, governance, and distribution activities; and
WHEREAS, a coordinated, da ta-informed approach to ci ty operations supports meeting community needs.

NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Carlsbad, California, as follows:

1. The above recitations are true and correct.

2. City Council Policy No. 93 - Citywide Data Collection and Governance (Attachment A) is approved.

March 8, 2022 Item #9 Page 6 of 19

3. Consistent with the authority provided in City Council Policy No. 1, the City Manager is authorized to issue and keep updated an administrative order detailing procedures necessary to implement City Council Policy No. 93.

4. The City Manager is directed to notify the City Council of significant updates to the implementation efforts.

PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of Carlsbad on the 8th day of March. 2022, by the following vote, to wit:

AYES:

NAYS:

ABSENT:

Hall, Blackburn, Bhat-Patel, Acosta, Norby
None
None
MATT HALL, Mayor
f,i✓ FAVIOLA MEDINA, City Clerk Services Manager
(SEAL}
March 8, 2022 Item #9 Page 7 of 19
City Council

POLICY STATEMENT
Subject: Citywide Data Governance and Management.

Purpose
Policy No.

Date Issued
93 March 8, 2022
Resolution No. 2022-058
The citywide data governance and management policy provides a framework for the collection, management, governance, and distribution city data. The policy outlines protocols to aggregate city information, classify data, and secure sensitive data.

Background
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, high standards, engagement and collaboration requires 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.

The city has established connected community goals to strategically use data and technology for the public good including:

Pursue Communitywide Digital Transformation - Focuses on the foundational elements, including connectivity, up-to-date hardware and software, and a robust security strategy.

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 vib.rant 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.

Promote Safety and Sustainability Through Connectivity- Leads to understanding the interconnected nature of our communities that can achieve environmental, mobility and sustainability goals when approached in a cross-departmental and community informed manner.

Pursuing these goals requires a strategic approach to data governance and management. This policy establishes a tiered framework that appropriately designates approval and implementation authority.

Statement of policy
Attachment A
March 8, 2022 Item #9 Page 8 of 19
City Council Policy Statement
March 8, 2022

This policy establishes the framework for action on these high-level goals including the governance and processes for the stewardship of the 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 There are four pillars that provide a 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
March 8, 2022 Item #9 Page 9 of 19
City Council Policy Statement
March 8, 2022

Classlfkatlon Protection
• St.ope • Accl:!!ss.
111 categorlzatfon • Audjts
• Prloritfzatlon • Backups
" Retention .. Redund;mcy
Quallty
• Standa·rds
• Census
• Systems
• Analytfcs
• Training
Goveman.ce
• Oversigtit
• Implementation
• Audit
Publication
• Framework
• Platfotrn
.., Open data
• Malnter,�r,c:e
• Engagement
The City Manager shall establish a committee of city staff to set goals and priorities for citywide data governance. The committee will also participate in the process of acquiring products and services to facilitate a data-driven infrastructure and culture. This committee will meet regularly to review data strategies, identify and report on progress towards goals and amend policies.

March 8, 2022 Item #9 Page 10 of 19
Administrative Order No. 92
Date: March 8, 2022
To:

From:

Subject:

PURPOSE:

All City Departments
Scott Chadwick, City Manager
Citywide Data Policy
Exhibit 2
{city of
Carlsbad
This administrative order details t he internal actions for implementing City Council Policy No. 92 - Citywide Data Governance and Management. This administrative order apptles 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 afl 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 emails, memos, and notes
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. This administrative order outlines protocols to aggregate city information, classify data, and secure sensitive data.

POLICY:

This policy establishes a fo ur-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
City Hall
1200 Carlsbad Village Drive I Carlsbad, CA 92008 I 760-434-2820 I 760-720-9461 fax I www.carlsbadca.gov March 8, 2022 Item #9 Page 11 of 19
Oassiftcatian Protection Quality
• Sc- • "= • Standards
, ca1econut1on • Audits • Census
• Prloriti1al!on • Backup> • Systems
• Retentlon • R dundancy • Analytics
• T raining
Data Governance Committee
Pubfi..,tian
., Framework
• Platfonn
• Open da!a
• Malntenarn::e
• En;r,,�emMt
Governance
• Qv,,rifght
• JmpJernenution
• AL/dit
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 be composed of city staff that are responsible for leading citywide data governance and management. The inaugural committee will include:
• Chief Data Officer (Chair)
• Chief Innovation Officer
• Director Legislative and Constituent Services
• Records Program Manager
• Director of Information Technology and designees
• Other members as designated by chair
Committee membership may be adjusted to reflect the city's opera tional needs and structure. The Chief Data Officer will be responsible for recommending adjustments to the committee membership to the City Manager or designee.

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 recomm endations. They will also be responsible for review and approval of the publication or remova I of data consistent with an open data approach to making data available to the public.

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 coflaboration 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. 2 March 8, 2022 Item #9 Page 12 of 19
Data Owners
The city is the owner of the data it collects, manages1 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 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. 3 March 8, 2022 Item #9 Page 13 of 19
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
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. -����-s.i-�---�� ....................... ................. .

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March 8, 2022 Item #9 Page 14 of 19
Accessibility and Resiliency
Classification of data accessibility informs IT 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 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 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.

Data Protection
Data Census Classification Index
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Public Priority
Internal Non-Priority
Restricted Temporary
Data Retention Identification
Department Abbreviation
Dataset ldentificatlon Number
I N PW-55
Ex11mple: Internal · Non• Priority • Public Worl<s • Druaset ld &Otification: 55 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) - Po lice Department Records • U.S Criminal Justice Information Services (CJIS) Security Policy- Police Criminal Information 5 March 8, 2022 Item #9 Page 15 of 19
• The Health Insurance Portability and Accountability Act of 1996 (HIPAA)- Hea lth 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 IT. 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 stra tegies have been developed to avert da ta 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 Privacy
Data privacy is important to the city. Balancing transparency required by the California Public Records Act and other related sunshine laws and the desire for privacy the city adheres to best practices in adhering to all laws related to data privacy. The Chief Data Officer will annually consult with the city's legal counsel ensure that the city is appropriately balancing legal requirements for public transparency with the public's desire for data privacy.

Data Access Approval Process
This policy and program esta blishes an approval process for granting and maintaining staff access to city data assets. This i:s 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:

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R<;qJeSle;ma; 00 r<!q<le$(, and ·-· 10 f�CL,Nnme,Klati;,n lg depa,-Uneflt<lllla depanment da1a census "l'fl"""' .. del>y""' ste\l'.ra.rd for daJa f+- 0c .. ona111 (or 111e clll:5slllc:allon f+- ·�se,,rby1.he ae.es; � ,equesied datafft Slld - dllf"'l'Unenl data Sl-0 of atC&5S lo be !JfMte<I 10 lhe depaitn1 8.'Ui difedUI
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Data Access Audit Process
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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.
6 March 8, 2022 Item #9 Page 16 of 19
Backups & Redundancy
Data backup strategies of datasets outlined within the data census will be protected by IT in accordance with the data prioritiza tion, 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.

Annual Data Census
For data to be a strategic resource for informing operational goals, datasets must be maintai ned with accuracy and acce�sibility standards. This section outlines processes to advance data qual ity and methods to clean datasets for internal and public use.

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 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 manag em·ent 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.

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 dlglta I 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 7 March 8, 2022 Item #9 Page 17 of 19
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:

Software
Need
ldeniifled i'->-
(New/Replace)
lNo< App,oved
Department con$ultotlon
with digito.J tmnstormatlon
executive 1ea1n; establish
_budget and 11mell11e
Ahr.:rn.:i11110 S��ten,, lfientlfiod
t
Scope change 10
e•istlng system to allow
ro, added p,ooes8es
RFP se1ec1ion
proc,eu
RFP creation oopnnmar,t and
d with data policy select m mbe rs Approve -► standards from llrn· dat� included yovernence
L
commluen q1,&llfy
best vendor
vendor q\JiaOtl
Jolnt recommendation
ol department and DGC Approv..i...... to City Manag�r or c,ry Cow1cil for Appro\/al 10
execute contract
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 sco pe required for a request for proposal as defined within the cit y 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 re porting 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.

Data Science and Analytics 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.

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 interde partmental reporting will require adherence to data reporting standards. The Chief Data Officer will establish, maintain and provide training on data reporting standards.
8 March 8, 2022 Item #9 Page 18 of 19
Framework for Data Publication
The data governance committee will collaborate with the Communications & Engageme nt and Records Management Departments to prepare publication of new city datasets on the city website or an open data portal. Data publication will be prior itized 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.

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.

Open Data Maintenance and Review
The Chief Data Officer and data governance committee will evaluate the utilization of pu_blic datasets and consider the level of effort involved with maintaining public datasets as part of a decommission ing 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 a pproach 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.

ACTION:

This Administrative Order is effective im�ediately.

DATE: ____________ _

SCOTT CHADWICK
City Manager
9 March 8, 2022 Item #9 Page 19 of 19
Council Policy regarding Citywide
Data Governance and Management
David Graham, Chief Innovation Officer
David van Gilluwe, Data Science & Business Intelligence Manager
March 8, 2022

RECOMENDATION
• Adopt a resolution approving Council Policy No. 92
– Citywide Data Governance and Management
ITEM 9: Council Data Policy

POWERING DATA-DRIVEN DECISIONS
January
City Council
approves Connected
Carlsbad
March
Data Science & BI
Manager hired
June
City Council
approves SDTIP
November
Citywide Data Inventory
Completed
October
City Council authorizes
citywide data policy &
program
2021
March
Data Governance
Committee meeting
ITEM 9: Council Data Policy
2020 2022
June
Council approves Data
Science & BI Manager
March
Consideration of City Council
Policy No. 92
Data Quality
City of Carlsbad
ITEM 9: Council Data Policy

DATA ACCELERATING INNOVATION
1,100+
600+

ITEM 9: Council Data Policy

CONTINUOUS IMPROVEMENT
• Oct. 19, 2021 – Council authorized implementation of a citywide data policy and program
• Mar. 8, 2022 – Council considering multi-tier approach – Council Policy No. 92
– City Manager Administrative Order
– Consolidated into a Data Policy Manual
ITEM 9: Council Data Policy

COUNCIL DATA POLICY
• Purpose
• Background
• Policy Statement Objectives
– Community and Government
– Governance and Management
– Connection and Organizational Value
– Security
– Transparency and Resiliency

CARLSBAD DATA
275
Databases Individual Files

2.4M
130+TB
Digital Files

4.5TB
Structured Data
ITEM 9: Council Data Policy

Data Quality
Data Driven Government
City of Carlsbad
ITEM 9: Council Data Policy
Data Driven Government
ITEM 9: Council Data Policy
Data Classification
Data Quality
Data Protection
DataPublication
ITEM 10: Council Data Policy

DATA GOVERNANCE COMMITTEE
• Previously authorized by City Council Oct. 19, 2021
• Responsibilities
– Set goals and priorities for citywide data governance – Participate in the acquisition of products and services related to data infrastructure and resourcing
– Regularly review data strategies
– Report on progress to meet data policy goals
• Agility and adaptability
Data Governance Committee
Data Driven Government
1 2 3 4
ITEM 9: Council Data Policy
Data Classification
Data Quality
Data Protection
DataPublication
Data Governance Committee
Council Data Policy
Data Driven Government
City of Carlsbad
1 2 3 4
ITEM 9: Council Data Policy
Data Classification
Data Quality
Data Protection
DataPublication
Data Governance Committee
Council Data Policy
Data Quality
Data Driven Government
City of Carlsbad
1 2 3 4
Classification
• Scope
• Categorization
• Prioritization
• Retention
Protection
• Access
• Audits
• Backups
• Redundancy
Quality
• Standards
• Census
• Systems
• Analytics
• Training
Publication
• Framework
• Platform
• Open data
• Maintenance
• Engagement
Governance
• Oversight
• Implementation
• Audit and Census
Chief Data Officer, Chair
ITEM 9: Council Data Policy
Data Quality
City of Carlsbad
ITEM 9: Council Data Policy
Data Driven Government
Administrative Order
ITEM 9: Council Data Policy
VALUE
• Legislative and administrative buy-in for a framework and consistent approach
• Internal clarity on data governance and management
• Citywide visibility to improve efficiency and drive value for the organization
• Enhancing data quality for data-driven decisions
• Continuous improvement - Services and engagement
• Public transparency
ITEM 10: Council Data Policy

NEXT STEPS
• City Manager signs Administrative Order
• Data Governance Committee convenes in March
• Comprehensive Data Policy Manual created and published • Annual data census will be conducted
• Ongoing data training
• Continuous evaluation and improvment

RECOMMENDATION
• Adopt resolution approving Council Policy No. 92 –
Citywide Data Governance and Management
ITEM 10: CITYWIDE DATA POLICY

Thank You!