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Is a Framework a Policy?

Published in Governance and Policy 4 mins read

No, a framework is not a policy.

Understanding the distinction between a framework and a policy is crucial for effective governance, strategy, and operations within any organization or system. While closely related, they serve different purposes and have distinct structures.

What is a Framework?

Based on the provided reference (a), the purpose of a framework is to draw together and integrate a range of policies and procedures and related plans and documentation.

Think of a framework as the overarching structure, the guiding principles, or the system that organizes various components, including policies. It provides context and direction, showing how different elements, such as policies, procedures, standards, and guidelines, fit together to achieve a specific goal or manage a particular area (e.g., cybersecurity, project management, risk management).

Frameworks can take various forms and scopes. According to reference (b), frameworks may be public or internal documents, depending on the nature of the subject. Public frameworks might apply to entire industries or government sectors (like GDPR for data privacy), while internal frameworks are specific to an organization (like an internal IT security framework).

Key Characteristics of a Framework:

  • Integration: It brings together multiple related elements.
  • Structure: It provides a systematic way of organizing information and activities.
  • Guidance: It offers a high-level perspective and direction.
  • Flexibility: It can often be adapted to specific needs while maintaining core principles.

What is a Policy?

A policy, in contrast, is a specific statement of intent or a rule designed to guide decisions and achieve rational outcomes. Policies typically outline what is permissible, what is forbidden, and what must be done under certain circumstances. They are concrete directives within the structure provided by a framework.

Key Characteristics of a Policy:

  • Specific Rules: It provides clear, actionable rules or principles.
  • Decision Guidance: It directs behavior and choices.
  • Compliance Focused: It sets standards that must be met.
  • Part of a Framework: It often exists within or is organized by a framework.

The Relationship: Framework vs. Policy

The relationship between a framework and policies is hierarchical and functional.

Feature Framework Policy
Purpose To integrate and structure policies, procedures, plans To state specific rules and guide decisions
Scope Broad, overarching structure, conceptual model Specific, actionable directives
Nature Guiding system, organizing principle Rule, standard, statement of intent
Function Provides context and coherence Defines required actions and behaviors
Inclusion Contains or organizes policies and other docs Is part of or governed by a framework

Based partly on reference (a)

As reference (a) clearly states, the framework's role is to integrate policies, among other documents. This means policies are components that a framework utilizes or structures, not the framework itself.

Practical Example:

Imagine building a house:

  • The Architectural Blueprint could be seen as the framework. It provides the overall plan, how different rooms connect, where utilities will run, and the style and scale of the building.
  • Building Codes (e.g., specific requirements for electrical wiring, plumbing materials, fire safety exits) are the policies. They are specific rules that must be followed within the structure defined by the blueprint to ensure safety and compliance.

You wouldn't say the blueprint is a building code; it's the plan that must adhere to the building codes. Similarly, a framework is the structure that incorporates and organizes policies.

Why the Distinction Matters

Understanding this difference is important because:

  • Clarity: It helps stakeholders understand the level of guidance being provided – a broad structure versus a specific rule.
  • Effectiveness: Developing a solid framework first ensures that individual policies are coherent, don't contradict each other, and collectively support the overall objectives.
  • Implementation: Frameworks provide the context needed to implement policies effectively. Policies provide the specific steps derived from the framework.

In summary, while policies are essential elements that operate within many frameworks, a framework itself is a higher-level construct designed to unify and structure policies along with other relevant documentation and processes.