This docum ent does not reflect the intent or official position of the bill sponsor or House of Representatives. STORAGE NAME: h1349.CFS DATE: 1/26/2022 HOUSE OF REPRESENTATIVES STAFF ANALYSIS BILL #: CS/HB 1349 Guardianship Data Transparency SPONSOR(S): Children, Families & Seniors Subcommittee, Chaney and others TIED BILLS: HB 1351 IDEN./SIM. BILLS: SB 1710 REFERENCE ACTION ANALYST STAFF DIRECTOR or BUDGET/POLICY CHIEF 1) Children, Families & Seniors Subcommittee 15 Y, 0 N, As CS Morris Brazzell SUMMARY ANALYSIS When an individual is unable to make legal decisions regarding his or her person or property, a guardian may be appointed by the court to act on his or her behalf. A person served by a guardian is termed a ward, and a guardian may oversee a ward’s person or property or both. When a person becomes a ward, that person loses those civil and legal rights transferred to the guardian. When a guardian is given full (plenary) guardianship, the guardian has authority to make all decisions for a ward, such deciding where the ward lives and to sell the ward’s property. Ch. 744, F.S., outlines Florida’s system of guardianship. Florida’s guardianship system involves a variety of parties, including alleged incompetent persons and wards; guardians; circuit judges who appoint guardians and oversee their service to individual wards; the clerks of court, who receiving filings by guardians and audit them; attorneys, who represent guardians and alleged incompetent persons; family members of wards; and the Department of Elder Affairs, which regulates professional guardians. Various task forces, and situations where guardians made adverse and unethical decisions regarding wards, have highlighted the lack of data regarding Florida’s guardianship system. A recent task force found that basic information, such the number of wards in the state, is unavailable. CS/HB 1349 requires the Florida Association of Clerks and Comptrollers and the Clerks of Court to establish a database of guardianship information. It also requires the Department of Elder Affairs to publish professional guardian registration profiles. Both the database and the profiles must be searchable by the public for certain information specified in the bill. The bill has a significant, negative fiscal impact on the Department of Elder Affairs and has an indeterminate, negative fiscal impact on the courts system. The bill has an effective date of July 1, 2022. STORAGE NAME: h1349.CFS PAGE: 2 DATE: 1/26/2022 FULL ANALYSIS I. SUBSTANTIVE ANALYSIS A. EFFECT OF PROPOSED CHANGES: Background Guardianship When an individual is unable to make legal decisions regarding his or her person or property, a guardian may be appointed to act on his or her behalf. A guardian is someone who is appointed by the court to act on behalf of a ward (an individual who has been adjudicated incapacitated) regarding his or her person or property or both. 1 Adjudicating a person totally incapacitated and in need of a guardian deprives a person of his or her civil and legal rights. 2 The Legislature has recognized that the least restrictive form of guardianship should be used to ensure the most appropriate level of care and the protection of that person’s rights. 3 The process to determine an individual’s incapacity and the subsequent appointment of a guardian begins with a verified petition detailing the factual information supporting the reasons the petitioner believes the individual to be incapacitated, including the rights the alleged incapacitated person is incapable of exercising. 4 Once a person has been adjudicated incapacitated (termed a “ward”), the court appoints a guardian, and the letters of guardianship are issued. 5 The order appointing a guardian must be consistent with the ward’s welfare and safety, must be the least restrictive appropriate alternative, and must reserve to the ward the right to make decisions in all matters commensurate with his or her ability to do so. 6 Relationship Between Guardian and Ward The relationship between a guardian and his or her ward is a fiduciary one. 7 A fiduciary relationship exists between two persons when one of them is under a duty to act for or to give advice for the benefit of another upon matters within the scope of that relationship. 8 The guardian, as fiduciary, must: Act within the scope of the authority granted by the court and as provided by law; Act in good faith; Not act in a manner contrary to the ward's best interests under the circumstances; and Use any special skills or expertise the guardian possesses when acting on behalf of the ward. 9 Additionally, s. 744.446, F.S., states the fiduciary relationship between the guardian and the ward may not be used for the private gain of the guardian other than the remuneration for fees and expenses provided by law. As such, the guardian must act in the best interest of the ward and carry out his or her responsibilities in an informed and considered manner. Should a guardian breach his or her fiduciary duty to the ward, the court is authorized to intervene. 10 A guardian can either be a limited or plenary. 11 A limited guardian is appointed by the court to exercise the legal rights and powers specifically designated by the court after the court has found that the ward lacks the capacity to do some, but not all, of the tasks necessary to care for his or her person or 1 s. 744.102(9), F.S. 2 s. 744.1012(1), F.S. 3 s. 744.1012(2), F.S 4 s. 744.3201(2)(f), F.S. 5 ss. 744.3371-744.345, F.S.(?) 6 s. 744.2005, F.S. 7 Lawrence v. Norris, 563 So. 2d 195, 197 (Fla. 1st DCA 1990); s. 744.361(1), F.S. 8 Doe v. Evans, 814 So. 2d 370, 374 (Fla. 2002). 9 s. 744.361(1), F.S. 10 s. 744.446(4), F.S. 11 s. 744.102(9), F.S. STORAGE NAME: h1349.CFS PAGE: 3 DATE: 1/26/2022 property, or after the person has voluntarily petitioned for appointment of a limited guardian. 12 A plenary guardian is appointed by the court to exercise all delegable legal rights and powers of the ward after the court has found that the ward lacks the capacity to perform all of the tasks necessary to care for his or her person or property. 13 Appointment of a Guardian In Florida, the circuit court appoints a guardian to a ward. The following may be appointed guardian of a ward: Any resident of Florida who is 18 years of age or older and has full legal rights and capacity; A nonresident if he or she is related to the ward by blood, marriage, or adoption; A trust company, a state banking corporation, or state savings association authorized and qualified to exercise fiduciary powers in this state, or a national banking association or federal savings and loan association authorized and qualified to exercise fiduciary powers in Florida; A nonprofit corporation organized for religious or charitable purposes and existing under the laws of Florida; A judge who is related to the ward by blood, marriage, or adoption, or has a close relationship with the ward or the ward’s family, and serves without compensation; A provider of health care services to the ward, whether direct or indirect, when the court specifically finds that there is no conflict of interest with the ward’s best interests; or A for-profit corporation that meets certain qualifications, including being wholly owned by the person who is the circuit's public guardian in the circuit where the corporate guardian is appointed. 14 Appointment of a Professional Guardian A professional guardian is a guardian who has at any time rendered services to three or more wards as their guardian; however, a person serving as a guardian for two or more relatives is not considered a professional guardian. A public guardian is considered a professional guardian for purposes of regulation, education, and registration. 15 In each case when a court appoints a professional guardian and does not use a rotation system for such appointment, the court must make specific findings of fact stating why the person was selected as guardian in the particular matter involved. 16 The findings must reference the following factors that must be considered by the court: Whether the guardian is related by blood or marriage to the ward; Whether the guardian has educational, professional, or business experience relevant to the nature of the services sought to be provided; Whether the guardian has the capacity to manage the financial resources involved; Whether the guardian has the ability to meet the requirements of the law and the unique needs of the individual case; The wishes expressed by an incapacitated person as to who shall be appointed guardian; The preference of a minor who is age 14 or over as to who should be appointed guardian; Any person designated as guardian in any will in which the ward is a beneficiary; and The wishes of the ward’s next of kin, when the ward cannot express a preference. 17 Additionally, the court may not give preference to the appointment of a person based solely on the fact that such person was appointed by the court to serve as an emergency temporary guardian. 18 When a 12 Id. 13 Id. 14 s. 744.309, F.S. 15 s. 744.102(17), F.S 16 s. 744.312(4)(a), F.S. 17 s. 744.312(2)-(3), F.S. 18 s. 744.312(5), F.S. STORAGE NAME: h1349.CFS PAGE: 4 DATE: 1/26/2022 professional guardian is appointed as an emergency temporary guardian, that professional guardian may not be appointed as the permanent guardian of a ward unless one of the next of kin of the alleged incapacitated person or the ward requests that the professional guardian be appointed as permanent guardian. 19 However, the court may waive this limitation if the special requirements of the guardianship demand that the court appoint a guardian because he or she has special talent or specific prior experience. 20 The court may not appoint a professional guardian who is not registered by the Office of Public and Professional Guardians. 21 The following are disqualified from being appointed as a guardian: A person convicted of a felony; A person who is incapable of discharging the duties of a guardian due to incapacity or illness, or is otherwise unsuitable to perform the duties of a guardian; A person who has been judicially determined to have committed abuse, abandonment, or neglect against a child; A person who has been found guilty of, regardless of adjudication, or entered a plea of nolo contendere or guilty to, any offense prohibited under s. 435.04, F.S.; A person who provides substantial services to the proposed ward in a professional or business capacity, or a creditor of the proposed ward, may not be appointed guardian and retain that previous professional or business relationship, with exceptions; or A person who is in the employ of any person, agency, government, or corporation that provides service to the proposed ward in a professional or business capacity, unless that person is the spouse, adult child, parent, or sibling of the proposed ward or the court determines that the potential conflict of interest is insubstantial and that the appointment would clearly be in the proposed ward’s best interest. 22 A court may not appoint a guardian in any other circumstance in which a conflict of interest may occur. 23 Powers and Duties of the Guardian The guardian of an incapacitated person may exercise only those rights removed from the ward and delegated to the guardian. 24 The guardian has a great deal of power when it comes to managing the ward’s estate. Some of these powers require court approval before they may be exercised. 19 s. 744.312(4)(b), F.S. 20 Id. 21 s. 744.2003(9), F.S. 22 s. 744.309(3), F.S. 23 Id. 24 s. 744.361(1), F.S. STORAGE NAME: h1349.CFS PAGE: 5 DATE: 1/26/2022 Examples of Powers That May Be Exercised By a Guardian With Court Approval 25 Without Court Approval 26 Enter into contracts that are appropriate for, and in the best interest of, the ward. Perform, compromise, or refuse performance of a ward’s existing contracts. Alter the ward’s property ownership interests, including selling, mortgaging, or leasing any real property (including the homestead), personal property, or any interest therein. Borrow money to be repaid from the property of the ward or the ward’s estate. Renegotiate, extend, renew, or modify the terms of any obligation owing to the ward. Prosecute or defend claims or proceedings in any jurisdiction for the protection of the estate. Exercise any option contained in any policy of insurance payable to the ward. Make gifts of the ward’s property to members of the ward’s family in estate and income tax planning. Pay reasonable funeral, interment, and grave marker expenses for the ward. Retain assets owned by the ward. Receive assets from fiduciaries or other sources. Insure the assets of the estate against damage, loss, and liability. Pay taxes and assessments on the ward’s property. Pay reasonable living expenses for the ward, taking into consideration the ward’s current finances. Pay incidental expenses in the administration of the estate. Prudently invest liquid assets belonging to the ward. Sell or exercise stock subscription or conversion rights. Consent to the reorganization, consolidation, merger, dissolution, or liquidation of a corporation or other business enterprise of the ward. Employ, pay, or reimburse persons, including attorneys, auditors, investment advisers, care managers, or agents, even if they are associated with the guardian, to advise or assist the guardian in the performance of his or her duties. There are also a number of duties imposed on a guardian after the appointment to a ward in order to provide appropriate services to that ward. The guardian must: File an initial report within 60 days after the letters of guardianship are signed; 27 File an annual report with the court consisting of an annual accounting and/or an annual guardianship plan; Implement the guardianship plan; Consult with other guardians appointed, if any; Protect and preserve the property of the ward; invest it prudently, apply income first to the ward before the ward’s dependents, and account for it faithfully; Observe the standards in dealing with the guardianship property that would be observed by a prudent person dealing with the property of another; and If authorized by the court, take possession of all of the ward’s property and of the rents, income, issues, and profits from it, whether accruing before or after the guardian’s appointment, and of the proceeds arising from the sale, lease, or mortgage of the property or of any part. 28 Conflict of Interest Unless the court gives prior approval, or such relationship existed prior to the appointment of the guardian and is disclosed to the court in the petition for appointment of a guardian, a guardian may not: Have any interest, financial or otherwise, direct or indirect, in any business transaction or activity with the ward, the judge presiding over the case, any member of the appointed examining committee, any court employee involved in the guardianship process, or the attorney for the ward; Acquire an ownership, possessory, security, or other monetary interest adverse to the ward; Be designated as a beneficiary on any life insurance policy, pension, or benefit plan of the ward unless such designation was made by the ward prior to adjudication of incapacity; and Directly or indirectly purchase, rent, lease, or sell any property or services from or to any business entity that the guardian, or the guardian’s spouse or family, is an officer, partner, director, shareholder, or proprietor, or has any financial interest. 29 25 s. 744.441, F.S. 26 Id. 27 s. 744.362(1), F.S. 28 s. 344.361. F.S. STORAGE NAME: h1349.CFS PAGE: 6 DATE: 1/26/2022 A guardian found to have such conflict of interest is subject to removal from the guardianship. 30 Office of Public and Professional Guardians While the court appoints guardians to wards, the Department of Elder Affairs (DOEA) regulates professional guardians to ensure that they receive required training and comply with standards of practice. In 1999, the Legislature created the “Public Guardianship Act” and established the Statewide Public Guardianship Office (SPGO) within DOEA. 31 In 2016, the Legislature renamed the Statewide Public Guardianship Office within the DOEA as the Office of Public and Professional Guardians (OPPG) and required OPPG to regulate professional guardians. The OPPG appoints local public guardian offices to provide guardianship services to people who have neither adequate income nor assets to afford a private guardian, nor any willing family or friend to serve. There are 17 public guardian offices that serve all 67 counties. 32 In fiscal year 2018-2019, the public guardian offices served 3,816 wards. 33 Currently, there are more than 550 professional guardians registered with the Office of Public and Professional Guardians within the Department of Elder Affairs. 34 The executive director of the OPPG is responsible for the oversight of all public and professional guardians. 35 The executive director’s oversight responsibilities for professional guardians include but are not limited to: Establishing standards of practice for public and professional guardians; Reviewing and approving the standards and criteria for the education, registration, and certification of public and professional guardians; Developing a guardianship training program curriculum that may be offered to all guardians; Developing and implementing a monitoring tool to use for periodic monitoring activities of professional guardians; however, this monitoring tool may not include a financial audit as required to be performed by the clerk of the circuit court under s. 744.368, F.S.; Developing procedures for the review of an allegation that a professional guardian has violated an applicable statute, fiduciary duty, standard of practice, rule, regulation, or other requirement governing the conduct of professional guardians; and Establishing disciplinary proceedings, conducting hearings, and taking administrative action under ch. 120, F.S. OPPG has no role in the appointment of a guardian to an individual ward, or in removing a guardian from service to any ward—these are decisions of the court. Neither does OPPG maintain any data on the wards served by guardians. Guardian Compensation The guardian, or an attorney who has rendered services to the ward or to the guardian on the ward’s behalf, 36 is entitled to a reasonable fee for services rendered and reimbursement for costs incurred on behalf of the assets of the guardianship estate unless the court finds the requested compensation to be 29 s. 744.446, F.S. 30 Id. 31 s. 744.701, F.S. (1999). 32 Florida Department of Elder Affairs, 2020 Summary of Programs and Services, available at https://elderaffairs.org/wp- content/uploads/2020_SOPS_C.pdf (last visited Jan. 21, 2022). 33 Id. 34 Office of Public and Professional Guardians, Department of Elder Affairs, https://elderaffairs.org/programs-services/office-of-public- professional-guardians-oppg/ (last visited Jan. 21, 2022). 35 s. 744.2001(2)(a), F.S. 36 Fees for legal services may include customary and reasonable charges for work performed by legal assistants employed by and working under the direction of the attorney. S. 744.108(4), F.S. STORAGE NAME: h1349.CFS PAGE: 7 DATE: 1/26/2022 substantially unreasonable. 37 Before the fees may be paid, a petition for fees or expenses must be filed with the court and accompanied by an itemized description of the services performed for the fees and expenses sought to be recovered. 38 When fees for a guardian or an attorney are submitted to the court for determination, the court shall consider: The time and labor required; The novelty and difficulty of the questions involved and the skill required to perform the services properly; The likelihood that the acceptance of the particular employment will preclude other employment of the person; The fee customarily charged in the locality for similar services; The nature and value of the incapacitated person’s property, the amount of income earned by the estate, and the responsibilities and potential liabilities assumed by the person; The results obtained; The time limits imposed by the circumstances; The nature and length of the relationship with the incapacitated person; and The experience, reputation, diligence, and ability of the person performing the service. 39 Guardian Investigations In July 2019, Steven Stryker, a ward appointed to professional guardian Rebecca Fierle, 40 died in a Tampa hospital after choking on food. 41 Hospital staff could not perform lifesaving procedures on him due to a Do Not Resuscitate Order (DNRO) executed by Fierle. 42 It was also reported that Fierle had billed AdventHealth, an Orlando area hospital, approximately $4 million for services rendered to wards 43 and developed conflicts of interest with members of appointed examining committees used to determine incapacity of a person. 44 The Clerk of the Circuit Court and Comptroller of Okaloosa County (Clerk) 45 investigated complaints filed against Fierle with the OPPG. The Clerk found Fierle had executed a DNRO against Stryker’s wishes, violating the standards of practice established by the OPPG. 46 The Clerk reported that Fierle kept a DNRO in place after a psychiatrist examined Stryker while he was admitted to St. Joseph’s Hospital and determined Stryker had the ability to decide that he wanted to live and stated that Stryker wanted to be resuscitated. The Orange County Comptroller also investigated Fierle’s guardianships. 47 The Comptroller found Fierle had submitted over 6,000 invoices and charges of at least $3.9M to AdventHealth for payments between January 2009 and June 2019. 48 The payments were made on behalf of 682 patients. The Comptroller also found that in some cases Fierle had billed both AdventHealth and the wards for 37 s. 744.108(1), (8), F.S. 38 s. 744.108(5), (7), F.S. 39 s. 744.108(2), F.S. 40 The Orlando Sentinel, Florida’s Troubled Guardian Program, https://www.orlandosentinel.com/news/florida/guardians/ (last visited Jan. 21, 2022). 41 Adrianna Iwasinski, Orange commissioners approve new position to help monitor guardianship cases, Click Orlando (Oct. 22, 2019), https://www.clickorlando.com/news/2019/10/23/orange-commissioners-approve-new-position-to-help-monitor-guardianship-cases/ (last visited Jan. 21, 2022). 42 Id. 43 New audit shows AdventHealth paid embattled guardian Rebecca Fierle nearly $4 million, ABC Action News WFTS, https://www.abcactionnews.com/news/local-news/i-team-investigates/new-audit-shows-adventhealth-paid-embattled-guardian-rebecca- fierle-nearly-4-million (last visited Jan. 21, 2022). 44 Monivette Cordeiro, Florida’s troubled guardianship system riddled with conflicts of interest, critics claim | Special Report, Orlando Sentinel (Aug. 14, 2019), https://www.orlandosentinel.com/news/florida/guardians/os-ne-guardianship-examining-committee-conflicts- 20190814-osbekpwlnfezneolyxttvzmrhy-story.html (last visited Jan. 21, 2022). 45 J.D. Peacock II, Clerk of the Circuit Court and Comptroller Okaloosa County, Florida, OPPG Investigation Case Number 19-064 (July 9, 2019). 46 Id. 47 Orange County Comptroller, Report No. 479 – Investigation of Payments Made to Professional Guardian – Rebecca Fierle by AdventHealth. 48 Id. STORAGE NAME: h1349.CFS PAGE: 8 DATE: 1/26/2022 identical fees and services. Additionally, the Comptroller identified conflicts of interest, including several situations in which Fierle had previous relationships with wards to whom she was appointed guardian and did not disclose these relationships in the petitions for appointment of a guardian. An Orange County judge removed Fierle from nearly 100 cases to which she had been appointed. In a letter to the OPPG, Fierle resigned from all appointed guardianship cases (approximately 450 in 13 counties) in July, 2019. 49 A judge was reported, during a hearing on Fierle, to have stated that she had been unaware of the total number of wards being served by Fierle. 50 Data regarding Guardianship in Florida Several task forces have highlighted the challenge of serving wards without available data, regionally and statewide. For instance, the 2014 Restoration of Capacity Study and Work Group Report stated: “There is little uniform data collected on guardianships in Florida. The Office of the State Courts Administrator reports at the state level only the number of guardianships filed in a given year and the dispositions of those cases. The state does not keep a record of the total number of persons under guardianship, whether the guardianship is plenary or partial, the nature of the disability of the person under guardianship, or a host of other data crucial to making informed decisions about systems change. Additionally, there is neither central reporting of the number of Suggestions of Capacity filed nor restoration outcomes in general.” 51 A 2022 report by a task force convened by the Florida Court Clerks and Comptrollers Association including stakeholders representing a variety of perspectives, including wards, guardians, attorneys, legislators, courts, and clerks of courts, recommended the creation of a statewide data collection system for all guardianship cases. The task force had found that Florida has little state-wide formalized guardianship case data collection or sharing processes in place, and that much of the needed information exists in the 67 separate Florida county clerks of courts’ case maintenance systems. According to the task force report, the purpose for creating a statewide data collection system for all guardianship cases is to provide meaningful and objective data for improvements to guardianship system, while increasing the public trust with the transparency of non-confidential information. The task force report also recommended that judicial circuits collect and report a variety of data, such as regarding the existence of advance directives, powers of attorney, health care surrogate designations, and other similar legal documents; and guardianship case information and changes. 52 Effect of the Bill The bill requires the Florida Association of Court Clerks and Comptrollers, Inc., and clerks of court to establish a statewide database of guardianship information. The database must be interoperable with the data systems of each circuit court, enabling each circuit court to easily access the data for regular use in judicial proceedings. 49 Greg Angel, Embattled Guardian Resigns From Cases Statewide; Criminal Investigation Continues, Spectrum News 13 (July 29, 2019), https://www.mynews13.com/fl/orlando/crime/2019/07/29/embattled-guardian-resigns-from-cases-statewide (last visited Jan. 21, 2022). 50 Greg Angel, Watchdog: Judge Dismisses Embattled Guardian’s Appeal to Reverse Court Order, Spectrum News 13 (Nov. 19, 2019) https://www.mynews13.com/fl/orlando/news/2019/11/19/watchdog-fierle-appeal-to-reverse-court-order-dismissed (last visited Jan. 23, 2022). 51 Florida Developmental Disabilities Council, Restoration of Capacity Study and Work Group Report, Feb. 28, 2014, https://www.flcourts.org/content/download/404570/file/Restoration-of-Capacity-Study-and-Work-Group-Report-2014.pdf 52 Florida Clerks of Court and Comptrollers, Guardianship Improvement Task Force Final Report, Jan. 2022 https://guardianshiptf.wpengine.com/wp-content/uploads/2022/01/GITFReport-Jan2022.pdf. STORAGE NAME: h1349.CFS PAGE: 9 DATE: 1/26/2022 The bill specifies minimum requirements for the database of including professional guardian registration and disciplinary data provided by the OPPG, information on the status of guardian compliance with the statutory qualifications for guardianship, and the status of statutorily required reports and submissions. The database must be searchable by, at a minimum, petitioner, ward, ward demographic information, guardian and guardian location, counsel, other parties to each case, judge and circuit. Additionally, the database must allow users to generate statewide and circuit-level statistical data that the courts and the Department of Elder Affairs may need. The bill requires the OPPG to share professional guardian registration and disciplinary data for use in the database. The OPPG must also publish on its website professional guardian registration profiles that are searchable by the public and that include, at a minimum: information submitted under section 744.2002, whether any complaints against the professional guardian have been substantiated, and any disciplinary actions taken by the department. The bill provides an effective date of July 1, 2022. B. SECTION DIRECTORY: Section 1: Creates s. 744.2112, F.S., relating to guardianship data collection and transparency. Section 2: Provides an effective date. II. FISCAL ANALYSIS & ECONOMIC IMPACT STATEMENT A. FISCAL IMPACT ON STATE GOVERNMENT: 1. Revenues: None. 2. Expenditures: The bill may have a significant, negative, indeterminate fiscal impact on DOEA for establishing connections with the new database and for technology allowing searches of guardian profiles. It may have an indeterminate negative fiscal impact on the courts system. B. FISCAL IMPACT ON LOCAL GOVERNMENTS: 1. Revenues: None. 2. Expenditures: None. C. DIRECT ECONOMIC IMPACT ON PRIVATE SECTOR: The bill requires the Clerks of Court Operations Corporation to establish a database. D. FISCAL COMMENTS: III. COMMENTS STORAGE NAME: h1349.CFS PAGE: 10 DATE: 1/26/2022 A. CONSTITUTIONAL ISSUES: 1. Applicability of Municipality/County Mandates Provision: Not Applicable. This bill does not appear to affect county or municipal governments. 2. Other: None. B. RULE-MAKING AUTHORITY: Not applicable. C. DRAFTING ISSUES OR OTHER COMMENTS: None. IV. AMENDMENTS/COMMITTEE SUBSTITUTE CHANGES