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Professional Regulation

Professional Regulation . U.S. Style. “State’s Rights” Issue. Viewed as a “police” power delegated to the States by the Tenth Amendment of the U.S. Constitution Notable exception: Real Estate Appraisers mandated by federal legislation (1989 Savings and Loan Bailout Bill). Common Features.

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Professional Regulation

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  1. Professional Regulation U.S. Style

  2. “State’s Rights” Issue • Viewed as a “police” power delegated to the States by the Tenth Amendment of the U.S. Constitution • Notable exception: Real Estate Appraisers mandated by federal legislation (1989 Savings and Loan Bailout Bill)

  3. Common Features • Exist for “public protection,” initially from incompetent practitioners • Most professions are regulated by boards (or commissions) consisting primarily of professional members

  4. Organizational Structure • “Autonomous” boards that exist as freestanding agencies • “Central Agencies” that provide oversight of boards’ licensing and regulatory activities, budget, human resources • Central Agencies where the boards act only in an advisory capacity

  5. Board Responsibilities • Establishing entrance requirements • Education, training & experience • Assessing initial competence • Rulemaking • Discipline • Continued competence/education • Rehabilitation of impaired professionals

  6. Scope of Practice • Inconsistent between states • Generally established through a “political process” • Seems to be a moving target, often the authority results from changes in practice or new technology, i.e. laser hair removal

  7. Funding for Professional Regulation • Generally a “tax” on professionals • This can be difficult/expensive for occupations with a small license base • Some boards get general fund appropriation • Most depend on legislative appropriation, often unrelated to revenue

  8. Discipline • Most, if not all, states have an “Administrative Procedures Act” that governs the disciplinary process • Cases may be decided by the board or by an administrative law judge, or in some cases by the agency director

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