The Expanding Role of the State in Professional Regulation

本项目对1990年代末和2000年代初美国某个专业的规章制度进行改革的尝试进行了个案研究，最终于2002年进行了改革。 专业人士可以使用他们的专业知识的方式，造成损害的客户，第三方和社会一般。 可以采取各种管制办法来限制或防止这种损害，包括自我管制、国家管制或私人市场机制的“管制”。 传统上，监管机构自行监管，但近年来，许多国家逐渐从这种模式转向国家越来越多的监管作用。 我们对为什么在这个特定的方向上发生变化知之甚少。 这项研究是朝着增加我们的理解，另外允许理论的发展，解释如何以及为什么类似的转变，增加国家对职业的监管已经发生在一些设置，并可能在未来发生的一步。 更一般地说，这项研究揭示了促进或阻碍专业服务监管变化的情况，并开始确定社会遏制滥用专家知识的可能性的限制。研究设计是一个案例研究，其中涉及寻求，抵制，和塑造国家为基础的监管在20世纪90年代末和21世纪初的跟踪。 这一案例呈现出一种自然实验：2001-2002年职业中严重不当行为的揭露允许对这一关键事件前后的相同行为者、决策选项和论点进行比较。 这些数据主要是文件性的：演讲、听证会记录、政府报告以及来自专业行业媒体和普通新闻媒体的文章。 除了开发新的理论和为未来的监管改革提供信息外，该项目还将在专业研究与其他子领域和学科之间建立智力桥梁。 该奖项反映了NSF的法定使命，并通过使用基金会的知识价值和更广泛的影响审查标准进行评估，被认为值得支持。

This project conducts a case study of attempts to reform regulation of a United States profession in the late 1990s and early 2000s, culminating in reforms enacted in 2002. Professionals can use their expert knowledge in ways that cause harm to clients, third parties, and society in general. A variety of regulatory approaches are possible for limiting or preventing such harm, including self-regulation, state regulation, or “regulation” by private market mechanisms. Professions have traditionally regulated themselves, but in recent years many countries have seen a gradual shift away from this model toward an increasing regulatory role for states. We know relatively little about why change is occurring in this particular direction. This study is a step toward increasing our understanding that additionally permits the development of theory explaining how and why similar shifts toward increased state regulation of professions have occurred in a number of settings and might occur in the future. More generally, the study sheds light on the circumstances that facilitate or impede change in the regulation of professional services, and begins to identify the limits on the possibilities open to societies to curb the misuse of expert knowledge.The research design is a case study in which the interactions among key actors and stakeholder groups involved in seeking, resisting, and shaping state-based regulation during the late 1990s and the early 2000s are traced. The case presents a kind of natural experiment: revelation of serious misconduct in the profession in 2001-2002 allows comparison of the same actors, decision options, and arguments before and after this key event. The data are primarily documentary: speeches, transcripts of hearings, government reports, and articles from both the professional trade press and the general news media. In addition to developing new theory and informing future efforts at regulatory change, the project will build intellectual bridges between the study of professions and other subfields and disciplines. It will also contribute to revitalizing research on professional and expert work.This award reflects NSF's statutory mission and has been deemed worthy of support through evaluation using the Foundation's intellectual merit and broader impacts review criteria.