Page 34 - U4SSC Guiding principles for artificial intelligence in cities

6 Policy instrument alternatives for guiding principles for AI in cities

Cities have a set of policy instrument alternatives for formulating their “Guiding Principles for AI”,
as indicated below:

• Law

• Regulation
• Policy

• Guideline

Laws and regulations are rules promulgated by legally authorized bodies such as a government
agency or an appropriating agency. Laws and regulations are enforced to their full authorities, and
violations of both may incur penalties.

However, laws go through a legislation process before being enacted as laws; but regulations are
created by an authorized agency (e.g., government agencies) and do not have to go through the
legislation process. In some cases, regulations are formulated to implement a given law.

On the other hand, policy is a deliberate system of principles to guide decisions and achieve
certain intended outcomes. Policy for guiding principles for AI can be adopted by an appropriate
city governance body. In a broader form, the policy for guiding principles for AI is a plan of action
adopted or pursued by a city agency. Policies can be enforced, and it is generally a legal requirement
to follow them.

Last, but not least, are the guidelines, which, as the name implies, are issued with the expectation
that the applicable city agencies will follow them; however, strictly speaking, they are neither
required nor forced to follow them.

Each of the four can be considered as an alternative (or potentially viable) instrument (or tool) to
help cities implement guiding principles for AI within their jurisdictions.

Note: Some cities can initially formulate their guiding principles for AI and issue them in a less
stringent and enforceable manner; for example, as a guideline or as a policy. They can then convert
them into regulations or laws as their maturity enhances over time. Naturally, the specific course
of action taken by cities will vary depending on their contexts.

Some General Considerations for Policy Instrument Formulation: AI systems are becoming
pervasive in many smart and sustainable cities and communities and concern several types of
stakeholders. In this context, it might be beneficial to understand different stakeholders’ views and
perspectives during the formulation of guiding principles for AI in cities. Naturally, city agencies
(entities), AI solutions providers from private sector, NGOs, and other civic organizations, academia,
and last but not least civic participation and advice from the public, may facilitate in assessing
various issues pertaining to stakeholders. Consequently, the city agency(ies) responsible for

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