The relationship between policies, plans and procedures

It is important to understand the relationship between a policy, a plan and procedures. It is not unusual for institutions to confuse these three, although they are very distinct in their purpose, development and use.

Policy

The purpose of a policy is to facilitate governance. Other key characteristics of a policy include:

• It describes principles.
• It addresses the "what" and "why."
• It has broad application.
• It is expressed in a broad, inclusive manner.
• It changes infrequently in response to newly emerging issues, changing relationships or alterations to the institutional mission or philosophy.

Plan

The purpose of a plan is to describe a solution for implementing a policy. Other key characteristics of a plan include:

• It addresses the question of "how" to carry out a policy.
• It is carried out with an initial investment of time and resources.
• It is often assigned to a project lead with a timeline and budget until a chosen technology and process is in place and up and running.

Procedure

The purpose of a procedure is to facilitate operations on a day-to-day basis once a plan has been implemented. Other key characteristics of a procedure include:

• It describes a process.
• It addresses the minutiae of who will carry out the plan, when and how it will be accomplished.
• It has a narrow application.
• It is expressed in a detailed manner.
• It changes in response to the operational needs of the institution.
• It changes frequently.

Museums are laden with procedures from the initial process of acquiring an object through each of the activities that involves its use. Often these procedures are maintained and followed through checklists that define each step, but they may also be implemented less formally through guidelines.

Ideally, procedures should emerge from policy, but the reality in museums is that many procedures are created in the absence of policy. This is due to the pressures of meeting day-to-day needs, which favours the quick and systematic response that a procedure provides. Few museums, for example, have IP policies, but most have IP procedures of one sort or another (such as rights and reproduction checklists, fee and usage schedules, and gallery filming and photography procedures).

How do policies, plans and procedures interact?

Although policies, plans and procedures have different purposes and roles, they work together to achieve the overall goals of an institution. In effect, policies are realized through plans, which in turn are implemented through regularly applied procedures.