40 KAR | Title 40 KAR — Department of Law

Chapter 1 Attorney General

40 KAR 1:010 Conditions for furnishing opinions {#sec-40-kar-1-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:010}

Section 1. An official opinion of the Attorney General is one rendered in writing pursuant to the provisions of Chapter 15 and related sections of the Kentucky Revised Statutes, or an administrative regulation promulgated pursuant thereto. Said opinions will be kept on file in the office of the Attorney General in accordance with the provisions of KRS 15.070(2), and will be subject to public inspection, publication and dissemination.

Section 2. In order that this office might more expeditiously and correctly advise the various departments, boards, commissions, agencies and local officials of the Commonwealth, who from time to time submit questions for its consideration, all requests for opinions in the future will be in writing and will include a full and complete statement of the facts giving rise to the question, and reference to the relevant provisions of the Kentucky Revised Statutes where known.

Section 3. Questions submitted by departments, boards, agencies and commissions of the Commonwealth, having house or contract counsel, will also submit references to the appropriate constitutional and statutory provisions, cases and departmental administrative regulations.

Section 4. Commonwealth, county and city attorneys and city prosecutors will also cite the appropriate constitutional and statutory provisions, case law and departmental administrative regulations.

History

RELATES TO: KRS 15.020
STATUTORY AUTHORITY: KRS 15.180
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.020 requires the Attorney General to furnish written opinions and KRS 15.025 sets out the conditions for furnishing opinions. This administrative regulation is to assure uniformity, clarity and completeness in the request for the opinion so that the Attorney General may perform this function with all the necessary information available at the time the opinion is rendered.
History: DL-RG-1; 1 Ky.R. 8; 118; eff. 9-24-1974; Crt eff. 8-23-2019; Crt eff. 7-24-2026.

40 KAR 1:020 Requests for opinions {#sec-40-kar-1-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:020}

Section 1. Official opinions may be rendered pursuant to KRS 15.025(4) to persons concerning questions involving their eligibility for public office and their election rights, duties and liabilities.

Section 2. Official opinions may be rendered to persons concerning questions involving licenses and taxation.

Section 3. Official opinions may be rendered to persons, including attorneys, concerning the official acts and conduct of public officials, provided the legal question involves an actual, current factual situation and is broad enough to be of interest to the general public, the Bar, or other officials in similar positions.

Section 4. Official opinions will be rendered under Sections 1, 2 and 3 of this administrative regulation only in response to questions relating to current factual situations; they will not be rendered in response to moot, hypothetical, or abstract questions, nor will they be rendered in response to questions involving matters being litigated or questions submitted in contemplation of litigation.

History

RELATES TO: KRS 15.025
STATUTORY AUTHORITY: KRS 15.180
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.025 sets out the conditions under which the Attorney General may furnish opinions. This administrative regulation is to assure uniformity and clarity as to who may receive opinions and on what subjects, and further provides when the Attorney General will not render opinions.
History: DL-RG-2; 1 Ky.R. 8; 118; eff. 9-24-1974; Crt eff. 8-23-2019; Crt eff. 7-24-2026.

40 KAR 1:030 Open records and open meetings decisions {#sec-40-kar-1-030 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:030}

Section 1. Form. The Attorney General shall not consider a complaint that fails to conform to KRS 61.846(2), requiring the submission of a written complaint to the public agency and the public agency's written response, if the agency provided a response, and KRS 61.880(2), requiring the submission of a written request to the public agency and the public agency's written denial, if the agency provided a denial.

Section 2. Notice. Upon receiving a complaint, the Attorney General's Office shall send notice to the public agency that a complaint has been filed and a copy of the complaint. The agency may provide the Attorney General with a written response to the issues raised in the complaint. The agency shall send a copy of this response to the complaining party taking the appeal. If the agency fails to provide such copy, the Attorney General shall provide one upon request. The Attorney General shall consider any response received before the decision is prepared; however, the Attorney General shall not agree to withhold action on the complaint beyond the time limit imposed by KRS 61.846(2) and 61.880(2).

Section 3. Additional Documentation. KRS 61.846(2) and 61.880(2) authorizes the Attorney General to request additional documentation from the agency against which a complaint is made. If documents thus obtained are copies of documents claimed by the agency to be exempt from the Open Records Law, the Attorney General shall not disclose them and shall destroy the copies at the time the decision is rendered.

Section 4. Reconsideration. The Attorney General shall not reconsider a decision rendered under the Open Records Law or the Open Meetings Law. Parties dissatisfied with a decision may appeal the decision to circuit court as provided in KRS 61.880(5) and 61.848.

Section 5. Appeals. Each public agency against which an appeal to circuit court is filed shall notify the Attorney General of the appeal. The Attorney General shall not be made a party to an open meetings or open records appeal.

Section 6. Moot Complaints. If the requested documents are made available to the complaining party after a complaint is made, the Attorney General shall decline to issue a decision in the matter.

History

RELATES TO: KRS 61.846, 61.880
STATUTORY AUTHORITY: KRS 15.180
NECESSITY, FUNCTION, AND CONFORMITY: KRS 61.880 requires the Attorney General to issue legally binding decisions in disputes arising under the Open Records Law. KRS 61.846 requires the Attorney General to issue legally binding decisions in disputes arising under the Open Meetings Law. This administrative regulation is necessary in order to set forth the procedures to be used by the parties involved in such adjudications.
History: 21 Ky.R. 1585; 1880; eff. 2-8-1995; Crt eff. 8-23-2019; Crt eff. 7-24-2026.

40 KAR 1:040 Standardized Open Records Request Form {#sec-40-kar-1-040 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:040}

Section 1. Incorporation by Reference.

(1) "Request to Inspect Public Records Form", OAG-1, June 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of Attorney General, 700 Capital Avenue, Suite 118, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. The material incorporated by reference is also available on the Attorney General's Web site at https://ag.ky.gov/Documents/2021_Standardized_Open_Records_Request_Form_V3.pdf.

History

RELATES TO: KRS 61.870, 61.872, 61.876(4)
STATUTORY AUTHORITY: KRS 61.876(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 61.876(4) requires the Attorney General to promulgate by administrative regulation a standardized form that may be used to request to inspect public records under the Kentucky Open Records Act. This administrative regulation establishes the standardized open records request form.
History: 48 Ky.R. 712, 1506; eff. 2-1-2022.

Chapter 2 Office of Consumer Protection

40 KAR 2:001 Definitions for 40 KAR Chapter 2 {#sec-40-kar-2-001 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:001}

Section 1. Definitions.

(1) "Address" means the permanent location at which legal documents are received by an applicant or permittee.

(2) "Applicant" means any natural person, corporation, company, partnership, or other legal entity seeking:

(a) A permit to use automated calling equipment in the Commonwealth of Kentucky;

(b) To enroll on the zero call list; or

(3) "Consumer" is defined by KRS 367.46951(5).

(4) "Designated agent" means an agent for service of process of legal documents.

(5) "Division" is defined by KRS 367.46951(9).

(6) "Merchant" is defined by KRS 367.46951(7).

(7) "Name" means a combination of words used by a person, corporation, company, partnership, or other legal entity within the past sixty (60) months as a means of identification.

(8) "Permittee" means a holder of a duly issued permit to use automated calling equipment in the Commonwealth of Kentucky.

(9) "Telemarketer" is defined by KRS 367.46951(11).

(10) "Telemarketing company" is defined by KRS 367.46951(13).

(11) "Zero call list" is defined by KRS 367.46951(14).

History

RELATES TO: KRS 367.461, 367.463, 367.465, 367.467, 367.469, 367.46951-367.46999
STATUTORY AUTHORITY: KRS 15.180, 367.469(2), 367.46983
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180, 367.469(2), and 367.46983 authorize the Attorney General to promulgate administrative regulations relating to consumer protection. This administrative regulation establishes the definitions for 40 KAR Chapter 2.
History: 19 Ky.R. 532; Am. 1063; eff. 11-9-92; 29 Ky.R. 488; 1283; 1517; eff. 12-18-02; Crt eff. 2-21-2020.

40 KAR 2:076 Complaint procedure for telephone solicitations {#sec-40-kar-2-076 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:076}

Section 1. A complaint relating to a violation of KRS 367.46955 shall be filed with the division in the following manner:

(1) An oral complaint made either by telephone or in person giving a statement of facts;

(2) A written complaint giving a statement of the facts;

(3) A written complaint filed on "Telemarketing Complaint Form"; or

(4) A complaint filed electronically using the Internet Telemarketing Complaint Form on the Kentucky Attorney General's web site.

Section 2. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Telemarketing Complaint Form", Form TS-9, November 2002; and

(b) "Internet Telemarketing Complaint Form", TS-10, November 2002.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, 1024 Capital Center Drive, Frankfort Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 367.170, 367.46955, 367.46971, 367.46973, 367.46981, 367.46995
STATUTORY AUTHORITY: KRS 15.180, 367.46983
NECESSITY, FUNCTION, AND CONFORMITY: KRS 367.46983 authorizes the Attorney General to promulgate administrative regulations required to enforce KRS 367.46951 to 367.46999 governing the sales of goods and services to Kentucky consumers by use of telephone solicitations. KRS 367.46951(2)(c) excludes from the definition of "telephone solicitation" a telephone call to a person who has a prior or existing business relationship with the telemarketer or merchant. KRS 367.46955 establishes prohibited telephone solicitation acts or practices. KRS 367.46995 requires that a claim or action alleging a violation of KRS 367.46955 be in writing and verified by the claimant. This administrative regulation establishes the procedure for filing a complaint (prior to a claim or action) and lists the factors used to determine if a prior or existing business relationship exists.
History: 25 Ky.R. 1265; Am. 1584; eff. 1-19-99; 29 Ky.R. 492; 1286; 1520; eff. 12-18-02; Crt eff. 2-21-2020.

40 KAR 2:100 Notice of requested disclosure of percentage of gross revenue going to charitable organization {#sec-40-kar-2-100 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:100}

Section 1. Disclosure of information in response to a request by a person being solicited regarding the amount or percentage of funds going to the charitable organization or for a charitable or civic purpose shall be done in the following manner:

(1) Timing:

(a) The requested information shall be given immediately upon request.

(b) No further effort to solicit shall be made until the information is supplied.

(2) Form:

(a) The information disclosed shall be in clear and concise manner using words and phrases of common meaning.

(b) If the solicitation is oral, the information shall be given orally with a written statement of the same information available at no cost if the person being solicited wishes to obtain a copy.

(d) Any written disclosure of the amount or percentage of funds going to the charitable organization or for a charitable or civic purpose shall clearly contain the information required by KRS Chapter 367 (HB 474, sec. 9(1), (2)).

History

RELATES TO: KRS 367.667(3), 367.668
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.668
NECESSITY, FUNCTION, AND CONFORMITY: KRS 367.668 requires in pertinent part, upon request, the giving of the amount or percentage of funds which will be received by the charitable organization. This administrative regulation sets forth the procedure for that disclosure.
History: 21 Ky.R. 693; Am. 1286; eff. 10-12-94; Crt eff. 2-21-2020.

40 KAR 2:200 Application for removal sale license form {#sec-40-kar-2-200 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:200}

Section 1. Application for Removal Sale License Form. The "Application for Removal Sale Permit Form GOB-1" required by KRS 365.420(7) shall contain the following information:

(1) Identification of the county clerk from whom the license is sought;

(2) Instructions to the applicant on how the form is to be completed;

(3) The name and address of the owner of the goods to be sold. If the applicant is a partnership, corporation, firm, or association, then all partners or officers should be listed, with positions held indicated;

(4) The complete address of the applicant's principal office in Kentucky;

(5) The date and place of incorporation or organization;

(6) Whether controlling interest in the firm or business has been transferred within the twelve (12) months prior to the filing of the application, and if so, provide specific information as to the parties involved and the date of the transfer;

(7) The name and style in which the sale is to be conducted;

(8) The address of the premises at which the sale will be conducted;

(9) The date of the sale will begin and its projected duration;

(10) The name and address of the person who will be in charge and responsible for the conduct of the sale;

(11) The nature of the occupancy of the sales premises, and the effective date of termination of the occupancy;

(12) The condition or necessity which is the occasion for the sale;

(13) The name of the sale, and why the name is truthfully descriptive of the sale;

(14) If the application is for a license to conduct a removal sale, the location of the premises to which the business will be relocated;

(15) If the application is for a license to conduct a fire sale, the time, location, and cause of the damage must be specified;

(16) A statement as to whether the sale involves food or drugs damaged by fire or other casualty. If so, the approval of the Department for Human Resources shall be obtained before the application may be accepted;

(17) A full, detailed, and complete inventory of the goods that are to be sold on pages of the form provided for that purpose;

(18) The total value of the inventory at cost;

(19) The total value of the inventory at retail;

(20) A bond payable to the Commonwealth of Kentucky in the penal sum of $1,000, with a notarized statement of intent to comply with all laws related to the license;

(21) A notarized statement that the information provided is true and accurate;

(22) An itemized inventory, consisting of sufficient information concerning each item or class of item to allow clear identification. This information shall include, but not be limited to the quantity, make, brand name, manufacturer's number, the name and address of the seller or supplier of the goods, the date of purchase, the date of delivery of the goods, the model, if applicable, or any other information necessary to clearly identify the goods. A separate listing, in like manner, shall be made of any goods purchased within the ninety (90) day period immediately prior to the date of this application;

(23) A certification of the inventory by the authorized individual filing the application that the inventory provided is true and accurate. The statement shall be signed by the applicant and be notarized;

(24) A statement of requirements to be observed in conducting a fire, removal, or other sale pursuant to the license. This shall include:

(a) The posting of a duplicate of the license on the front door of the premises at which the sale will be held, in such a manner that it will be clearly visible from the outside;

(b) A posting of a copy of the inventory in a conspicuous place in the sales room;

(c) That all advertising relating to the sale shall prominently state the final date of the sale and the sale license number; and

(d) If the licensee is engaged in business at other locations, advertising for such other locations shall not represent or imply participation in or cooperation with the sale at the premises specified in the license. Advertising for the licensed sale at the premises specified in the license shall not represent or imply any participation in or cooperation with such sale at any other locations;

(25) A license for the sale, which shall include the name of the title of the county clerk, the number of the license, the name of the business conducting the sale, the type and style of the sale, the location at which the sale shall be held, the expiration date of the license, the date of issuance of the license, and the signature of the county clerk.

Section 2.

(1) The "Application for License to Conduct a Removal Sale Form GOB-1" is incorporated by reference.

(2) Copies of the "Application For License To Conduct A Removal Sale Form GOB-1" may be inspected, copied, or obtained at the Office of the Attorney General, Consumer Protection Division, 1024 Capital Drive, Frankfort, Kentucky 40602, between the hours of 8:30 a.m. and 4:30 p.m., Monday through Friday.

History

RELATES TO: KRS 365.420
STATUTORY AUTHORITY: KRS 15.180, 365.420(7), 367.150(4)
NECESSITY, FUNCTION, AND CONFORMITY: To fulfill the requirement for an application form to conduct a removal sale with itemization of the inventory of goods identified in KRS 365.420(7).
History: 21 Ky.R. 702; Am. 1293; eff. 10-12-94; Crt eff. 2-21-2020.

40 KAR 2:330 Mold remediation {#sec-40-kar-2-330 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:330}

Section 1. Definitions.

(1) "Customer" is defined by KRS 367.83803(1).

(2) "Indoor environmental professional" means a person qualified through training, education, and experience to assess mold problems, conduct and review sampling plans and results, and evaluate and develop plans to remediate mold in structures.

(3) "Mold" is defined by KRS 367.83803(3).

(4) "Mold remediation" is defined by KRS 367.83803(4).

(5) "Mold remediation company" is defined by KRS 367.83803(5).

(6) "Normal fungal ecology" means an indoor environment that may have settled spores, fungal fragments, or traces of actual growth whose identity, location, and quantity are reflective of typical settled spores, fungal fragments, or traces of actual growth for a similar indoor environment.

(7) "Postremediation evaluation" means the activity conducted by a mold remediation company to determine that the mold remediation has been performed and the mold remediation area, structure, and systems are free of mold contamination.

(8) "Postremediation verification" means sampling and analysis conducted to determine that a remediated area has been restored to a normal fungal ecology.

Section 2. Safety and Health. A mold remediation company shall:

(1) Assure that each principal and employee has training, education, and experience to:

(a)

Perform the tasks required pursuant to this administrative regulation for mold remediation assigned to that person; and
Use and operate equipment, tools, and materials, that will be used or operated by that person during mold remediation or that are required pursuant to this administrative regulation;

(b) The training required by paragraph (a) of this subsection shall include, at a minimum, the following topics related to the mold remediation tasks required pursuant to this administrative regulation:

Safety and health;
Engineering controls;
Containment methods; and
Work practices;

(2) Use engineering controls and work practices to prevent exposure of occupants and the mold remediation company's employees and agents to mold;

(3) Determine the type of containment to use during mold remediation;

(4) Inform the customer in writing of the mold remediation company's determinations regarding containment, including, at a minimum, if the mold remediation company plans to:

(a) Use full or limited containment;

(b) Use negative pressure so that air pressure within the containment areas is less than in surrounding areas as a measure to prevent cross-contamination; or

(5) If the mold remediation company makes a determination not to use containment, advise the customer in writing of the reasons for that determination;

(6) If mold is or will be disturbed, or if workers enter or will enter a containment area, ensure that workers use appropriate protective equipment, including, at a minimum:

(a) A respirator approved by the National Institute for Occupational Safety and Health (NIOSH) that is appropriate for the environment to be encountered;

(b) Goggles, if a full face respirator is not used; and

(7) Prior to contracting for mold remediation, inform the customer in writing:

(a) Of the potential health risks of mold exposure generally, by providing a copy of the most recent edition of the U.S. Environmental Protection Agency's A Brief Guide to Mold, Moisture, and Your Home, Document Number EPA 402-K-02-003;

(b) Of the areas to be vacated for the duration of the remediation and the estimated duration of the remediation;

(c) Of the need to advise tenants and occupants to avoid entering containment areas and work areas for the duration of the remediation and of any other measures customers should use to protect tenants and occupants; and

(d) About mold and indoor environmental professionals generally, by providing a copy of Read This About Mold Before You Sign A Contract, Form MRC-1, and Read This About Indoor Environmental Professionals Before You Sign A Contract, Form MRC-2, to the customer prior to or during the initial visit to the property. If the Form MRC-1 is provided to the customer with other items, the Form MRC-1 shall be on top of or prominent among the other items.

Section 3. Contamination Prevention and Project Documentation.

(1) Except as provided by subsection (6) of this section, a mold remediation company shall provide the customer with a written mold assessment and remediation plan prior to entering into a mold remediation contract with the customer.

(a) Portions of the mold assessment and remediation plan may be prepared by an independent indoor environmental professional if the customer has engaged one (1).

(b) The written mold assessment and remediation plan shall include, at a minimum:

The scope of work, including, at a minimum, the area or areas to be remediated, the tasks to be performed, and a price estimate;
An assessment of the source of moisture and, if applicable, measures to take to remedy or manage the moisture source. If the source of moisture or the measures to remedy or manage the moisture source have not been identified or cannot be determined, the mold assessment and remediation plan shall include a statement to that effect;
An assessment of the extent of the mold problem to be addressed;
The containment and removal techniques that will be used to control the spread of mold contamination, including the written disclosures required by Section 2(4), (5), and (7) of this administrative regulation; and
A statement describing how the postremediation evaluation will be conducted, including:

a. Visual examination for removal of mold, and mold-contaminated or water-damaged materials and debris;

b. Examination to determine that surfaces are free of dust;

c. Examination to determine if mold-associated odors have been eliminated; and

d. Sampling or testing for postremediation verification, if recommended. If postremediation verification is to be conducted, it shall be performed by an independent indoor environmental professional paid directly by the customer and reporting directly to the customer.

(2) If the source of moisture or the measures to remedy or manage the moisture source have not been identified or cannot be determined, or if the customer chooses to proceed with mold remediation without remedying and managing the moisture source, or both, a mold remediation company shall not perform mold remediation work for the customer until the mold remediation company obtains a completed, signed, and dated Notice of Moisture Problem, Form MRC-3, from the customer and provides a copy of a completed Form MRC-3 to the customer.

(3) A mold remediation company shall not perform mold remediation work without a written contract. A mold remediation company shall ensure that a contract for mold remediation incorporates the mold assessment and remediation plan required by subsection (1) of this section.

(4) The mold remediation company shall obtain a copy of Read This About Mold Before You Sign A Contract, Form MRC-1, and Read This About Indoor Environmental Professionals Before You Sign A Contract, Form MRC-2, with the customer's dated signature on each form and provide a copy of the completed Form MRC-1 and Form MRC-2 to the customer prior to entering into a contract with the customer for mold assessment or mold remediation.

(5) A mold remediation company shall provide the customer with a written change order to be signed and dated by the customer prior to performing additional work for which there is a cost to the customer or prior to a substantive or material departure from the mold assessment and remediation plan.

(6)

(a) If, because of the size and scope of the work to be performed, it is not practicable to provide a mold assessment and remediation plan for a commercial or institutional customer and if the customer requests in writing that work begin prior to receiving the mold assessment and remediation plan, the mold remediation company shall, prior to entering into a mold remediation contract with the customer:

Obtain a completed, signed, and dated Commercial or Institutional Customer, Form MRC-4, from the customer and provide a copy of a completed Form MRC-4 to the customer; and
Provide the customer a price list that includes the amounts charged for labor and equipment.

(b) The mold remediation company shall provide updates to the customer regarding the work performed and the work not yet performed. The updates shall be provided on a periodic basis as agreed to by the customer.

(7) At the conclusion of the mold remediation work, a mold remediation company shall provide the customer with a written postremediation report that includes, at a minimum, a:

(a) Statement indicating if all visible mold, unrestorable mold-contaminated materials, and debris have been removed;

(b) Statement indicating if all mold-associated odors have been eliminated;

(d) List of any unexpected conditions or events that arose during the mold remediation work that have the potential for:

A significant impact on worker or occupant health or safety; or
Interfering with achieving or maintaining an appropriate postremediation condition of the remediated area;

(e) Statement indicating if all salvable structures, systems, and contents have been dried to an appropriate moisture content; and

(f) List of independent indoor environmental professionals, if sampling or testing to verify the mold remediation is required by the contract.

(8) A mold remediation company shall maintain a copy of all documents required by this administrative regulation for a period of at least three (3) years following completion of the mold remediation work.

Section 4. Contamination Control. A mold remediation company shall:

(1) Control mold contamination as close as practical to its source in order to prevent the spread of mold or mold spores or particles;

(2) Minimize dust generation; and

(3) Ensure that mold contamination does not spread to less-contaminated or non-contaminated areas.

Section 5. Contamination Removal. A mold remediation company shall:

(1) Physically remove mold contamination from the structure, systems, and contents to return the structure, systems, and contents within the remediated area to a normal fungal ecology; and

(2) Return the structure, systems, and contents within the remediated area to a clean condition. The structure, systems, and contents shall be considered clean if:

(a) Mold contamination is removed;

(b) Unrestorable mold-contaminated materials are removed;

(d) Surfaces are free of dust; and

(e) Remediated areas are free of odors associated with mold.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Read This About Mold Before You Sign A Contract", Form MRC-1, October 2012;

(b) "Read This About Indoor Environmental Professionals Before You Sign A Contract", Form MRC-2, October 2012;

(d) "Commercial or Institutional Customer", Form MRC-4, October 2012; and

(e) "A Brief Guide to Mold, Moisture, and Your Home", Document Number EPA 402-K-02-003, Reprinted September 2010.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Office of Consumer Protection, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8:30 a.m. to 4:30 p.m.

History

RELATES TO: KRS 367.83801, 367.83803, 367.83805, 367.83807
STATUTORY AUTHORITY: KRS 367.83805(1), 367.83805(2), 367.83807
NECESSITY, FUNCTION, AND CONFORMITY: KRS 367.83805(1) requires the Department of Law, after consultation with the Public Protection Cabinet and the Department for Public Health, to establish minimum standards for mold remediation companies that operate in the Commonwealth based on the five (5) general principles of mold remediation created by the Institute of Inspection, Cleaning and Restoration Certification (IICRC) in its publication, IICRC S520, Second Edition, Standard and Reference Guide for Professional Mold Remediation, or its successor publication. KRS 367.83805(2) authorizes customer complaints regarding compliance by mold remediation companies with 40 KAR Chapter 2 promulgated pursuant to KRS 367.83805. This administrative regulation establishes the minimum standards for mold remediation companies that operate in the Commonwealth and incorporates by reference the forms to be utilized by mold remediation companies.
History: 39 Ky.R. 350; 780; 946; eff. 12-7-2012; Crt eff. 2-21-2020.

Chapter 4 Asset Forfeiture

40 KAR 4:010 Disbursement of asset forfeiture receipts {#sec-40-kar-4-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 4:010}

Section 1. Definitions.

(1) "Asset forfeiture moneys" means the portion of the proceeds from the sale of property forfeited under KRS Chapter 218A which is paid to the Prosecutor's Advisory Council and deposited on behalf of the Commonwealth's attorney or county attorney whose office participated in the forfeiture as provided under KRS 218A.420(4)(b).

(2) "National Code of Professional Conduct for Asset Forfeiture" means the National Code of Professional Conduct for Asset Forfeiture attached as Appendix G to the United States Department of Justice's Guide to Equitable Sharing of Federally Forfeited Property for State and Local Law Enforcement (March 1994) (GPO Ref. No. 1994-301-175/14299).

Section 2. Submission of Asset Forfeiture Moneys.

(1) Asset forfeiture moneys paid to a Commonwealth's or county attorney shall be forwarded by the Commonwealth's or county attorney to the Prosecutors Advisory Council, Office of the Attorney General, 1024 Capital Center Drive, Frankfort, Kentucky 40601-8204.

(2) Any asset forfeiture check forwarded to the Prosecutor's Advisory Council shall be accompanied by the following:

(a) A copy of the final order of forfeiture; and

(b) A completed "Submission of Asset Forfeiture Moneys," form.

(3) Any asset forfeiture moneys submitted to the Prosecutors Advisory Council without the foregoing shall be returned to the Commonwealth's or county attorney within two (2) weeks.

Section 3. Application. Commonwealth's attorneys or county attorneys having asset forfeiture moneys on deposit with the Prosecutors Advisory Council and entitled to expend those monies under KRS 218A.420(4)(b) shall apply in writing for payment of asset forfeiture proceeds by completing the "Application for Expenditure of Asset Forfeiture Funds," and submitting it to the Office of Attorney General, Prosecutors Advisory Council.

Section 4. Use of Asset Forfeiture Moneys.

(1) All asset forfeiture moneys paid to a Commonwealth's attorney or county attorney shall be expended for legitimate law enforcement purposes, including the following purposes:

(a) Operating expenses directly relating to protracted, extraordinary, or complex prosecution of crimes;

(b) Payment for forensic and other scientific testing of evidence related to criminal prosecution;

(c) The purchase of technical or computer equipment, including telecommunication systems or devices, or expertise related to criminal prosecution, provided that any usage not directly related to criminal prosecution shall be prorated and shall not be paid with any funds allocated by the Prosecutors Advisory Council;

(d) Expenses associated with the conduct of grand jury proceedings;

(e) Payment for continuing legal education and other training relating to criminal justice, including reimbursement for reasonable travel and lodging to attend trainings;

(f) Dues or subscriptions to newspapers, magazines, publications, and organizations providing support services to Commonwealth's and county attorneys, including but not limited to the Kentucky Bar Association, the National District Attorneys Association, the National Association of Prosecutor Coordinators, the American Prosecutors Research Institute, the Kentucky Association of Counties, the Kentucky Commonwealth's Attorneys Association, the Kentucky County Attorney's Association and the Fraternal Order of Police;

(g) De minimis expenses for refreshments furnished to employees, victims, other witnesses and visitors at the office of the Commonwealth's or County attorney, which are provided as a convenience in the exercise of the prosecution of crimes; and

(h) Programs, communications and advertising, including apparel identifying the office of the Commonwealth's or county attorney, which relates to education, crime prevention and prosecution.

(2) Asset forfeiture moneys provided pursuant to KRS 218A.420(4) shall not be used for the following expenditures:

(a) Civic memberships or charitable contributions unrelated to a legitimate law enforcement purpose;

(b) Payment for personal political advertising or other communications, including items bearing the name, likeness, or logo depicting the candidacy of any person;

(d) Personal loans or any payment that would bestow a personal pecuniary benefit unrelated to a legitimate law enforcement purpose;

(e) The purchase of alcoholic beverages;

(f) Expenses for interior decorating, including pictures, art, and holiday decorations unrelated to a legitimate law enforcement purpose;

(g) Expenses for private communications or gifts related birthdays, funerals, or other special events; and

(h) Expenses for personal apparel, including t-shirts, sweatshirts, hats, weather gear, or identifying buttons or badges unrelated to a legitimate law enforcement purpose.

(3) Asset forfeiture moneys shall be used in accordance with KRS 218A.420(4) and shall not be used to defray or otherwise replace the ordinary operating expenses of the Commonwealth's or county attorney to whom the moneys are paid.

(4) Consistent with the National Code of Professional Conduct for Asset Forfeiture, which is incorporated by reference, the following ethical prohibitions shall be applied to the expenditure of asset forfeiture moneys:

(a) The potential revenue from asset forfeiture moneys shall not be permitted to jeopardize the effective investigation and prosecution of criminal offenses, officer safety, the integrity of an ongoing investigation, or the due process rights of citizens; and

(b) Neither the employment nor salary of any employee of the unified prosecutorial system shall be made to depend upon either the level of seizures or the amount of asset forfeiture moneys he or she achieves.

Section 5. Property purchased with money allocated from the fund shall be deemed property of the Commonwealth of Kentucky.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Submission of Asset Forfeiture Moneys", December 2007;

(b) "Application for Expenditure of Asset Forfeiture Funds", December 2007; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Prosecutors Advisory Council, Office of the Attorney General, 1024 Capital Center Drive, Frankfort, Kentucky 40601-8204, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 218A.420(4)
STATUTORY AUTHORITY: KRS 218A.420(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 218A.420(4)(b) provides that a portion of the proceeds from the sale of property forfeited under KRS Chapter 218A shall be paid to the Prosecutors Advisory Council for deposit on behalf of the Commonwealth's attorney or county attorney participating in the forfeiture. This administrative regulation establishes the procedure for payment of these moneys and the specific purposes for which these funds shall be expended.
History: 17 Ky.R. 2917; eff. 4-25-91; 34 Ky.R. 1777; 2084; eff. 4-4-08; Crt eff. 2-25-2020.

Chapter 5 Administrative Hearings

40 KAR 5:010 Hearing officer required training {#sec-40-kar-5-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 5:010}

Section 1. Definitions.

(1) "Agency" is defined by KRS 13B.010(1).

(2) "Approved training" means initial instruction or continuing education that has been approved by the office in accordance with this administrative regulation.

(3) "Credit" means a unit equal to one (1) instructional hour used for measuring initial training requirements and continuing education requirements.

(4) "Educational year" means the reporting period for mandatory continuing education requirements beginning on July 1 of each year and ending on June 30 of the successive year for which satisfaction of the continuing education training requirements is being calculated.

(5) "Hearing officer" is defined by KRS 13B.010(5).

(6) "Instructional hour" means fifty (50) minutes of instruction. The instruction can be presented in person or by other technological transmission methods including video recording, DVD, audio recording, CD-ROM, computer online services, internet live-stream, internet video-on-demand service, or other appropriate technology. The instruction can be live or pre-recorded.

(7) "Office" is defined by KRS 13B.010(6).

(8) "Sponsor" means the person or entity presenting the training course. The sponsor and the instructor can be one in the same.

(9) "Training course" means initial hearing officer instruction or a continuing education that is in accordance with this administrative regulation.

Section 2. Training Requirements. In addition to any agency-specific training or requirements, an individual shall complete the initial training requirements and satisfy the continuing training requirements of this administrative regulation in order to serve as a hearing officer.

Section 3. Initial Training Requirements. The initial hearing officer training requirement shall be at least eighteen (18) instructional hours of training approved as established in Sections 5 and 6 of this administrative regulation.

Section 4. Continuing Education Training Requirements.

(1) A hearing officer shall earn a minimum of six (6) credits of training, approved as established in Sections 5 and 6 of this administrative regulation, each educational year.

(2) A hearing officer who earns more than six (6) credits for an educational year may carry forward up to twelve (12) credits to satisfy the continuing education requirements for the next two (2) educational years.

(3) Any excess credits earned in an educational year greater than twelve (12) credits shall not be carried forward.

(4) Credits shall not be carried forward more than two (2) years.

Section 5. Qualifying Standards for Training Courses. Training courses shall consist of a topic or topics that contribute to the skills necessary to serve as a competent hearing officer such as:

(1) Adequate notice;

(2) Administrative law and procedure;

(3) Application of KRS Chapter 13B;

(4) Case management;

(5) Conduct and control of hearings;

(6) Credibility of witnesses;

(7) Decision writing;

(8) Due process;

(9) Ethics;

(10) Evidence;

(11) Findings and evidence;

(12) Intervention;

(13) Mediation; and

(14) Prehearing conferences and discovery.

Section 6. Approvals and Instructor Qualifications.

(1) A training course shall only qualify for credit if the course is approved by the office as established inSection 5 of this administrative regulation.

(2) Any person, entity, or sponsor of a training course seeking to qualify the course for credit shall provide to the office for evaluation:

(a) An outline of the course in sufficient detail to disclose the pertinent material that is to be taught;

(b) The work experience, credentials, and educational background of the training course instructor; and

(3) A hearing officer training course shall be conducted substantially as submitted for approval by the office.

(4) Training course instructor. The instructor shall have:

(a) Substantial, recent experience and demonstrated ability in offering the training for which credit is sought; and

(b) the education, training, or experience to provide training in the subject matter of the presentation. For example, appropriate education, training, or experience relevant to administrative hearings or the practice of administrative law may be demonstrated by having:

Taught or conducted an approved training course within the past two (2) years;
Academic credentials or qualifications;
Writings or publications authored by the individual; or
Public speaking or panel presentations.

(5) It shall be the responsibility of the individual seeking credit for the satisfaction of training requirement to verify that the course has been approved by the office. The individual seeking credit shall bear the risk of seeking approval for courses already taken without pre-approval.

Section 7. Compliance.

(1) An individual shall not serve as a hearing officer in an administrative hearing unless compliant with the training requirements of this administrative regulation.

(2) If the agency utilizes a hearing officer not provided by the office, the agency shall ensure that the hearing officer is at a minimum compliant with the training requirements of this administrative regulation.

History

RELATES TO: KRS 13B.030(4), 15.111
STATUTORY AUTHORITY: KRS 13B.030(4)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 13B.030(4) requires the office to establish by administrative regulation, minimum standards concerning length of training, course content, and instructor qualifications for initial training and continuing education of hearing officers. This administrative regulation establishes education requirements for hearing officers.
History: 040 KAR 005:010. 22 Ky.R. 2189; 23 Ky.R. 119; eff. 7-5-1996; Crt eff. 8-23-2019; 51 Ky.R. 1187, 1644; eff. 6-3-2025.

Chapter 6 Kentucky Victim and Witness Protection Program

40 KAR 6:010 Kentucky Victim and Witness Protection Program {#sec-40-kar-6-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 6:010}

Section 1. Definitions.

(1) "Council" means the Prosecutors Advisory Council established by KRS 15.705.

(2) "Law enforcement agency" means a lawfully organized police unit or police force of county, city, or metropolitan government, employing law enforcement officers as that term is defined in KRS 15.310.

(3) "Program" means the Kentucky Victim and Witness Protection Program.

(4) "Prosecutor" means a:

(a) Commonwealth's attorney or his or her authorized assistant; or

(b) County attorney or his or her authorized assistant.

(5) "Protective services" is defined by KRS 15.247 .

(6) "Victim or witness at risk of harm" means a person who is:

(a)

A crime victim as defined in KRS 421.500(1);
A crime witness expected to testify before a grand jury, at a trial, or other judicial proceeding; or
A member of the immediate family of a crime victim or crime witness;

(b) Cooperating with the law enforcement agency providing the protective services and performing the investigation, and the prosecutor of a criminal case;

(d) Unable to provide protective services to himself.

Section 2. Eligible Costs.

(1) Excluding distributions of advances pursuant to Section 5 of this administrative regulation, program funding shall be limited to the reimbursement of the costs of protective services provided to a victim or witness at risk of harm.

(2) Reimbursement shall be limited to the costs of protective services provided by a law enforcement agency to a victim or witness at risk of harm for a maximum of 180 days in each criminal case. Each day during which protective services are provided shall count as one (1) day.

(3) Reimbursement shall be limited to the costs for protective services that:

(a) Were paid by the law enforcement agency with the funds of:

The law enforcement agency;
A fiscal court;
A city government; or
Other fund sources available to the law enforcement agency;

(b) Meet the requirements established by the provisions of this administrative regulation; and

(c) Are not funded by appropriations or other funds allocated to the law enforcement agency that provided the protective services.

(4) Reimbursement shall be limited to the costs of protective services that were necessary and reasonable for the protection of a victim or witness at risk of harm.

(5) The following costs of protective services shall be deemed reasonable:

(a) The regular hourly wage and benefit rate, or the regular overtime hourly wage and benefit rate if applicable, of the employee of a law enforcement agency that provided protective services to a victim or witness at risk of harm.

(b) Cost of lodging that:

Is the most economical lodging, at government rates if available; and
Has been determined by the law enforcement agency to be appropriate for the protection of the victim or witness at risk of harm.

(d) Cost of the most economical personal hygiene products.

(e) Cost of emergency long distance phone calls to family members or employers.

(f) Cost of clothing items that have been determined by the law enforcement agency to be required for the protection of the victim or witness at risk of harm.

(g) Cost of child care, at the most economical rate, that has been determined by the law enforcement agency to be appropriate for the protection of the victim or witness at risk of harm.

(h) Cost of the temporary emergency use of a cellular phone.

(i) Actual mileage at the rate designated on the Office of the Controller's Web site listed in Section 1(6) in 200 KAR 2:006 .

(j) Cost of a rental vehicle at the most economical rate available.

(k) Cost of cab, bus, train, or air fare at the most economical rate available that has been determined by the law enforcement agency to be appropriate transportation for the protection of the victim or witness at risk of harm.

(l) Cost of temporary storage of a vehicle at the most economical rate available that has been determined by the law enforcement agency to be appropriate for the protection of the victim or witness at risk of harm.

(m) Cost of the installation, rekeying, repair, or replacement of locks at a locksmith's regular rate for government work.

(n) Cost of the installation of a temporary alarm at an installer's regular rate for government work.

(6) The Attorney General shall approve the reimbursement of the costs of protective services that are not specified in subsection (5) of this section, if he has determined that under the circumstances the costs were necessary and reasonable for the protection of a victim or witness at risk of harm.

(7) Reimbursement shall be limited to the most economical costs, at government rates if applicable, of protective services that met the needs of the protective services.

(8) Reimbursement of the cost of protective equipment shall be limited to the portion of its value allocated to use in the protective services, if the equipment is retained by the victim or witness at risk of harm.

(9) A law enforcement agency providing protective services shall utilize an available existing government service, if it determines that the service is appropriate for the protection of the victim or witness at risk of harm.

(10) A law enforcement agency shall comply with applicable state or local procurement requirements.

Section 3. Law Enforcement Agency's Application for Reimbursement.

(1) A law enforcement agency seeking reimbursement of the costs of protective services provided to a victim or witness at risk of harm shall submit an application for reimbursement to a prosecutor who has jurisdiction over the crime.

(2) An application for reimbursement shall be made on the "Kentucky Victim and Witness Protection Program Application for Reimbursement" form.

Section 4. Prosecutor's Application for Reimbursement.

(1) A prosecutor shall review an application for reimbursement submitted by a law enforcement agency and determine whether he will submit the application to the Attorney General.

(2) If the prosecutor determines to submit the application for reimbursement to the Attorney General, he shall sign a statement that he recommends reimbursement of all or part of the costs of the protective services.

(3) An application for reimbursement submitted from a prosecutor to the Attorney General shall be transmitted by the Attorney General to the council for review and recommendations.

(4) The council shall review and consider an application for reimbursement at a regular meeting, or at a special meeting called for the purpose of reviewing applications for reimbursement.

(5) The council shall consider applications in the order received.

(6) The council shall recommend that:

(a) All or part of an application for reimbursement be approved; or

(b) An application for reimbursement be denied.

(7) The council shall base its recommendation on the requirements established by the provisions of this administrative regulation.

(8) The council shall submit its recommendation to the Attorney General.

(9) The Attorney General shall review the recommendation of the council and determine whether to:

(a) Approve all or part of an application for reimbursement; or

(b) Deny an application for reimbursement.

(10) If the Attorney General approves all or part of an application for reimbursement, the law enforcement agency that provided the protective services shall be reimbursed from program funds in the amount approved by the Attorney General.

(11) An application for reimbursement of the costs of protective services may be submitted at any time, after the protective services were provided, during the state fiscal year in which the services were provided.

Section 5. Application for Advance of Funds.

(1) A law enforcement agency requesting an advance of program funds shall submit an application for an advance of program funds to a prosecutor who has jurisdiction over the crime.

(2) An advance of program funds shall be limited to a maximum of $500 for each application for an advance of program funds.

(3) An advance of program funds shall be limited to the payment of the costs of protective services that:

(a) Have been provided by the law enforcement agency to a victim or witness at risk of harm; and

(b) Cannot be paid with other funds available to the law enforcement agency.

(4) An application for an advance of Program funds shall be made on a "Kentucky Victim and Witness Protection Program Application for Advance of Program Funds" form.

(5) The prosecutor shall review an application for an advance of program funds submitted by a law enforcement agency and determine whether he will submit the application to the Attorney General.

(6) If the prosecutor determines to submit the application for an advance of program funds to the Attorney General, he shall:

(a) Sign a statement that he recommends all or part of the advance; and

(b) Submit the application for an advance of program funds to the Attorney General.

(7) The Attorney General shall distribute an advance of program funds to a law enforcement agency if he determines that an application complies with the provisions of this section.

(8) The advance of program funds shall be limited to the amount recommended by the prosecutor.

(9) The advance of program funds shall be made payable to the:

(a) Law enforcement agency;

(b) Head of the law enforcement agency; or

(10) The law enforcement agency shall report an expenditure of an advance of program funds on its application for reimbursement specified in Section 3 of this administrative regulation.

(11) The law enforcement agency shall:

(a) Report an unexpended advance of program funds on its application for reimbursement to the prosecutor; and

(b) Return the unexpended advance of program funds with its application for reimbursement to the prosecutor.

(12) The law enforcement agency shall repay the Attorney General the amount of an advance of program funds that it has expended, if the application for reimbursement of the costs of protective services for which the advance was made is denied.

(13) A law enforcement agency shall not submit an application for an advance of program funds for the costs of protective services for a victim or witness at risk of harm if it has:

(a) Submitted an application for an advance of program funds for the costs of protective services for that victim or witness at risk of harm;

(b) Received an advance of Program funds; and

(c) Not submitted an application for reimbursement of the costs of the protective services provided with the advance of the program funds.

Section 6. Notice of Estimated Costs.

(1) If a law enforcement agency begins providing protective services for which it intends to submit an application for reimbursement to a prosecutor, it shall notify the prosecutor and Attorney General, within three (3) business days, on a "Kentucky Victim and Witness Protection Program Notice of Estimated Costs" form, of the estimated costs and time period of the protective services it expects to include on the application.

(2) If a law enforcement agency determines that the cost of the protective services it expects to include on an application for reimbursement will be greater than the estimated costs previously reported, it shall immediately submit an updated notice of estimated costs to the prosecutor and Attorney General.

(3) If the Attorney General determines that the total of the estimated costs received by the Attorney General pursuant to subsection (1) of this section exceeds the available program funding, he shall notify the law enforcement agencies that have submitted a notice of estimated costs, and law enforcement agencies that submit a notice of estimated costs thereafter, that program funding may become obligated before the review of all law enforcement agency applications for reimbursement are completed

Section 7. Material Incorporated by Reference.

(1) The following material is incorporated by reference:

(a) "Kentucky Victim and Witness Protection Program Application for Reimbursement OAG Form VWPP-03 (08/21 )";

(b) "Kentucky Victim and Witness Protection Program Notice of Estimated Costs OAG Form VWPP-02 (08/21 )"; and

History

RELATES TO: KRS 15.247
STATUTORY AUTHORITY: KRS 15.247
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.247 requires the Attorney General to promulgate administrative regulations establishing requirements for a program for the protection of crime victims and witnesses and their immediate families. This administrative regulation establishes the Victim and Witness Protection Program.
History: 25 Ky.R. 1265; eff. 1-19-1999; 48 Ky.R. 852, 1722; eff. 3-1-2022.

40 KAR 6:020 Funding assistance from the child victims' trust fund {#sec-40-kar-6-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 6:020}

Section 1. Definitions.

(1) "Board" means the "state board" as defined by KRS 15.900(4).

(2) "Child" is defined by KRS 15.900(1).

(3) "Child sexual abuse medical examination" means a complete physical examination of a child with a special focus on the anal or genital area or oral cavity, and the case management associated with the physical examination.

(4) "Eligible provider" means a private, nonprofit agency, designated as a Children's Advocacy Center by the Cabinet for Health and Family Services under KRS 620.045, whose primary purpose is to provide, either directly or through contract, prevention, intervention, and treatment services to sexually abused children and their families, employing a child-focused multidisciplinary team approach.

(5) "Office" is the Office of Trafficking and Abuse Prevention and Prosecution.

Section 2. Funding Criteria.

(1) The board may disperse available money from the child victims' trust fund, in accordance with KRS 15.935.

(2) The Board may, in accordance with KRS 15.935(1), disburse available money from the child victims' trust fund to applicants that:

(a) Are private nonprofits or public organizations; and

(b) Have completed the application that is incorporated by reference in this administrative regulation.

(3) An applicant:

(a) Shall complete and submit the appropriate application that is incorporated by reference in this administrative regulation no later than February 28 preceding the beginning of the fiscal year in which disbursement of available money is sought. The Board may grant an extension of time for good cause shown. Applications shall be submitted by:

Mail to 1024 Capital Center Drive, Frankfort, Kentucky 40601; or
Email to ICareAboutKids@ky.gov.

(b) Seeking funding to:

Develop or operate a prevention program under KRS 15.935(1)(a) shall demonstrate ability to comply with the requirements of KRS 15.935(1)(a)1., 2., and 3.;
Develop or operate a statewide public education and awareness campaign on child sexual abuse under KRS 15.935(1)(e) shall demonstrate ability to comply with the requirements of KRS 15.935(1)(a)2. and 3.; or
Fund, under KRS 15.935(1)(b), the cost of medical examinations of victims of suspected child sexual abuse to the extent the fee for an examination is a service not eligible to be paid for by Medicaid or private insurance shall also comply with Section 3 of this administrative regulation.

(d) To whom funds are disbursed, shall agree to:

Provide program models and consultation to organizations and communities regarding program development and maintenance; and
Execute a memorandum of agreement with the office.

(4) Disbursement of money from the child victims' trust fund shall occur during the state fiscal year following the approval of funding by the board.

Section 3. Disbursement of money for child sexual abuse medical examinations.

(1) Disbursement of money from the child victims' trust fund for child sexual abuse medical examinations shall be on a reimbursement basis.

(2) Reimbursement for child sexual abuse medical examinations shall not exceed $150 per case.

(3) An applicant for child sexual abuse medical examination funding shall certify that:

(a) Funds granted will:

Be used solely for the purpose of reimbursing the cost of child sexual abuse medical examinations on a per-exam basis;
Supplement and not replace existing funds received by the applicant from other sources for child sexual abuse medical examinations;
Not be used to reimburse services to the extent those services are covered by private health insurance or Medicaid, or if a third party has a legal obligation to pay;

(b) Every person performing a child sexual abuse medical examination service will comply with applicable state and federal licensing or certification requirements;

(c) The Applicant has ability to provide access to child sexual abuse medical examinations in the geographic region served by the applicant; and

(d) The applicant is an eligible provider as defined in Section 1 of this administrative regulation.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Child Sexual Abuse Medical Examination Funding Application , August 2021"; and

(b) "Child Victims' Trust Fund Prevention and Public Education and Awareness Program Funding Application, August 2021".

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of Trafficking and Abuse Prevention and Prosecution, Office of Attorney General, 1024 Capital Center Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material incorporated by reference is also available at icareaboutkids.ky.gov.

History

RELATES TO: KRS 15.900, 15.920, 15.935, 41.400
STATUTORY AUTHORITY: KRS 15.180, 15.935
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations to facilitate performing the duties and exercise the authority vested in the Attorney General and the Department of Law. KRS 15.935(1) authorizes the Child Sexual Abuse and Exploitation Prevention Board to disburse available money from the child victims' trust fund, upon legislative appropriations, for the purposes, listed in the order of preference, stated in KRS 15.935(1)(a) through (g). This administrative regulation establishes standards and criteria governing the Board's disbursement of money from the fund.
History: 26 Ky.R. 1459; Am. 1677; 1797; eff. 4-12-2000; 27 Ky.R. 2551; 3071; eff. 5-14-2001; 48 Ky.R. 856, 1724; eff. 3-1-2022.

40 KAR 6:030 Human Trafficking Victims Fund {#sec-40-kar-6-030 omnilex-key=us-ky-regs-official--title-40--40 KAR 6:030}

Section 1. Office of the Attorney General's Use of Funds.

(1) In accordance with KRS 529.140(3), the Office of the Attorney General shall use funds received to maintain programs for:

(a) The prevention of human trafficking;

(b) The provision of education, training, or public outreach programs about human trafficking; and

(2) When distributing funds under this subsection, the Office of Attorney General shall document the activity for which funds were distributed and the total cost of the activity.

Section 2. Distribution of Funds.

(1) The Office of Attorney General may distribute funds to agencies serving victims of human trafficking, such as law enforcement agencies, prosecutorial agencies, and victim service agencies.

(2) The Office of the Attorney General may also recoup costs for conducting any programs or trainings, in accordance with KRS 529.140(3).

(3) An agency wishing to receive funds from the Human Trafficking Victims Fund shall complete the Human Trafficking Victims Fund Application.

Section 3. Limitation on Use of Funds Under KRS 529.140(3)(b). The Cabinet for Health and Family Services shall use funds received to serve minor victims of human trafficking under KRS 620.029.

Section 4. Incorporation by Reference.

(1) "Human Trafficking Victims Fund Application, August 2021," is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of Attorney General, 1024 Capital Center Drive, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. The material incorporated by reference is also available on the Attorney General's Web site at ag.ky.gov.

History

RELATES TO: KRS 529.010, 529.130, 529.140, 529.150
STATUTORY AUTHORITY: KRS 529.140
NECESSITY, FUNCTION, AND CONFORMITY: KRS 529.140 creates the "human trafficking victims fund" as a separate revolving fund within the Office of the Attorney General. Moneys in the fund must be distributed to agencies serving victims of human trafficking, including but not limited to law enforcement agencies, prosecutorial agencies, and victim service agencies. The Office of the Attorney General must promulgate administrative regulations to develop procedures for distributing funds pursuant to this section. This administrative regulation governs the distribution of funds from the Human Trafficking Victims Fund.
History: 48 Ky.R. 1062, 1726; eff. 3-1-2022.

Chapter 8 Tobacco Product Manufacturers

40 KAR 8:010 Nonparticipating manufacturer quarterly escrow deposit and certification {#sec-40-kar-8-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 8:010}

Section 1. Criteria for Quarterly Escrow Deposits. The Attorney General may require quarterly escrow deposits and certifications of nonparticipating manufacturers who meet any of the following criteria:

(1) No previous escrow deposit. Nonparticipating manufacturers that have not previously established and funded a qualified escrow fund in Kentucky;

(2) No escrow deposit for more than one (1) year. Nonparticipating manufacturers that have not made any escrow deposits for more than one (1) year;

(3) Untimely or incomplete deposits. Nonparticipating manufacturers that have failed to make a timely and complete escrow deposit for any prior calendar year;

(4) Outstanding judgments. Nonparticipating manufacturers that have failed to pay any judgment, including any civil penalty;

(5) Large sales volume. Nonparticipating manufacturers that have more than 2,500,000 of their cigarettes sold in Kentucky during a quarter; and

(6) Other reasonable cause. In addition to the reasons specified above, the Attorney General may require quarterly escrow deposits from a nonparticipating manufacturer if the Attorney General has reasonable cause to believe the nonparticipating manufacturer may not make its full required escrow deposit by April 15 of the year following the year in which the cigarette sales were made.

Section 2. Deadline for Quarterly Escrow Deposits. Nonparticipating manufacturers who are required to make quarterly escrow deposits shall do so no later than thirty (30) days after the end of the quarter in which the sales are made. For example, the deadline for making a quarterly escrow deposit for cigarette sales that occurred during the first quarter of the year (January through March) is April 30 of the same year.

Section 3. Deadline for Submitting Quarterly Certification and Notice to Attorney General. Nonparticipating manufacturers who are required to make quarterly escrow deposits shall provide the Attorney General with their quarterly certifications and official notification of the quarterly escrow deposit no later than ten (10) days after the deadline for which an escrow deposit is required. For example, the deadline for certifying and officially notifying the Attorney General of a quarterly escrow deposit for sales of cigarettes that occurred during the first quarter of the year (January through March) is May 10 of the same year.

Section 4. Quarterly Periods Defined. For purposes of this administrative regulation, the calendar year shall be divided into the following quarters: January 1 through March 31; April 1 through June 30; July 1 through September 30; and October 1 through December 31.

Section 5. Notice to Nonparticipating Manufacturers. Any nonparticipating manufacturer required to make quarterly escrow deposits and to certify its compliance with this rule shall be notified of those requirements by first class mail sent to its last known address.

Section 6. Decertification. If the required quarterly escrow deposit is not timely made in full, or the required quarterly certification is not provided to the Attorney General, or the Attorney General does not receive timely official notice of the quarterly escrow deposit, the nonparticipating manufacturer and its brand families may be decertified and removed from Kentucky's Directory of Tobacco Products Approved for Sale in Kentucky.

History

RELATES TO: KRS 131.600-131.630.
STATUTORY AUTHORITY: KRS 131.620(2).
NECESSITY, FUNCTION, AND CONFORMITY: To promote compliance with KRS 131.602, KRS 131.620(2) authorizes the Attorney General to require nonparticipating tobacco manufacturers to quarterly certify their compliance with Kentucky's Nonparticipating Tobacco Manufacturers Act. The Attorney General may also require nonparticipating manufacturers to make the escrow payments required by KRS 131.602 in quarterly installments. This administrative regulation establishes quarterly escrow deposit and certification requirements for nonparticipating manufacturers.
History: 31 Ky.R. 888; Am. 1232; eff. 1-21-2005; Crt eff. 2-26-2020.

Chapter 9 Kentucky Opioid Abatement Advisory Commission

40 KAR 9:010 General application procedure {#sec-40-kar-9-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 9:010}

Section 1. Definitions.

(1) "Entity" is defined by KRS 14A.1-070(7).

(2) "Governmental agency" is defined by KRS 65.940(5).

(3) "KYOAAC" or "commission" means the Kentucky Opioid Abatement Advisory Commission.

(4) "Member" means a commission member as established in KRS 15.291(2), whether voting or non-voting.

Section 2. Eligible Applicants. An entity or governmental agency shall be eligible for opioid abatement funding if the entity or governmental agency:

(1) Submits an application through the online KYOAAC Grant Portal, which shall be available at or linked to from https://ag.ky.gov/Resources/Opioid-Commission/Pages/default.aspxttps;

(2) Complies with the requirements established in this administrative regulation;

(3) Meets the criteria in KRS 15.291(5); and

(4) Is not debarred or suspended from contracting with the Commonwealth.

Section 3. Application.

(1) To submit an application using the KYOAAC Grant Portal, an applicant shall be required to become an approved state vendor.

(2) Non-conforming or incomplete applications shall not be considered.

Section 4. Review of Applications.

(1) The commission shall review applications and distribute funds at least once per year.

(2) If the commission requests supplementation of an application, or otherwise inquires about an application, the point of contact shall acknowledge receipt within seven (7) calendar days and subsequently respond to the commission within thirty (30) calendar days. Failure to do so shall result in the application being deemed withdrawn.

(3) Contingent upon available funding, the commission shall fund a successful application in whole or in part, if the funding does not exceed the sum requested in the application.

(4) In awarding funds, the commission shall consider:

(a) Compliance with applicable law;

(b) The entity or governmental agency's record and responsibility in utilizing effectively any funds received previously from the commission or from the counties, consolidated local governments, urban county governments, and cities of the Commonwealth, as established in KRS 15.293(4);

(d) Amounts received by an entity or governmental agency from the commission or from the counties, consolidated local governments, urban county governments, and cities of the Commonwealth, as established in KRS 15.293(4);

(e) The extent to which Kentucky residents are served by the application;

(f) The extent to which prior allocations from the commission have served similar purposes;

(g) The extent to which the application proposes to serve a portion of the population that otherwise would not receive similar services;

(h) The extent to which the application proposes to incorporate relevant partnerships that are likely to increase the efficiency and effectiveness of programming;

(i) The extent to which the application aligns with the funding priorities set annually and published by the commission;

(j) The extent to which the application activities align with accepted evidence-based practices; or

(k) The sufficiency of records to validate the requested amounts.

Section 5. Recipients' Duties.Entities and governmental agencies that receive funding shall submit regular financial reports through the KYOAAC grant portal as required by contract.

Section 6. Noncompliance.

(1) Noncompliance shall include:

(a) Materially falsified information in any certifications filed pursuant to or required by KRS 15.291, KRS 15.293, or 40 KAR Chapter 9;

(b) Failure to meet grant reporting deadlines; and

(c) Failure to expend funds in conformity with the enumerated purposes established in KRS 15.291, pursuant to KRS 15.293(5).

(2) The commission shall require entities or governmental agencies to reimburse the commission for any funds expended in a noncompliant manner.

(3) The commission shall require noncompliant entities or governmental agencies to forfeit any remaining funds received from the commission.

(4) The commission shall bar noncompliant entities or governmental agencies from receiving funds from the commission.

(5) The commission shall report noncompliance to the Department of Law for appropriation determination as to if further action is necessary to ensure compliance with opioid-related agreements.

Section 7. Commission Appointments. The term of a member appointed pursuant to KRS 15.291(3)(b) shall begin upon the commission's first meeting after the member's appointment.

Section 8. Incorporation by Reference.

(1) "KYOAAC Grant Portal," available at or linked to from https://ag.ky.gov/Resources/Opioid-Commission/Pages/default.aspx, is incorporated by reference.

History

RELATES TO: KRS 15.291, 15.293
STATUTORY AUTHORITY: KRS 15.291(6)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.291(6) requires the Kentucky Opioid Abatement Advisory Commission to promulgate administrative regulations to administer funds received by the commission. This administrative regulation establishes the application procedure for funding requests under KRS 15.291 and 15.293, the duties required of the commission, the duties required of those that receive commission funds, and other related issues.
History: 040 KAR 009:010. 49 Ky.R. 1707, 2272; eff. 7-24-2023; 51 Ky.R. 1699, 1933; eff. 9-2-2025.

40 KAR 9:020 Local government application procedure {#sec-40-kar-9-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 9:020}

Section 1. Covered Governmental Bodies. Any county, consolidated local government, urban-county government, or city in the Commonwealth that received or will receive opioid funds under KRS 15.293(4) shall be a covered governmental body.

Section 2. Duties of Covered Governmental Bodies.

(1) Consistent with KRS 15.293(4)(c)2., a covered governmental body shall submit an annual certification report provided digitally on the KYOACC website, to the Commission on or before August 31.

(2) Annual certification reports shall be required until the recipient exhausts all funds received pursuant to KRS 15.291 or 15.293 and until the recipient has submitted a certification stating that all funds have been exhausted.

Section 3. Noncompliance.

(1) Noncompliance shall include:

(a) Materially falsified information in any certifications filed pursuant to or required by KRS 15.291, KRS 15.293, or related regulations;

(b) Failure to meet certification submission deadlines; or

(c) Failure to expend funds in conformity with the enumerated purposes set forth in KRS 15.291, pursuant to KRS 15.293(5).

(2) The commission shall require covered governmental bodies to reimburse the commission for any funds expended in a noncompliant manner.

(3) The commission shall report noncompliance to the Department of Law for determination as to if further action is necessary to ensure compliance with opioid-related agreements.

Section 4. Incorporation by Reference.

(1) "KYOACC Certification Report" (online submission), is incorporated by reference.

History

RELATES TO: KRS 15.291, 15.293
STATUTORY AUTHORITY: KRS 15.291(6), 15.293
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.291(6) requires the Kentucky Opioid Abatement Advisory Commission (the "commission" or "KYOAAC") to promulgate administrative regulations to administer funds received by the commission and to oversee the use of funds received under KRS 15.293(4). KRS 15.293 requires each recipient of funds under KRS 15.293(4) to submit certifications that the use of opioid abatement funds is consistent with the criteria in KRS 15.291(5), a description of the use of the funds, and other information as the commission requests through the promulgation of administrative regulations. This administrative regulation establishes the procedure for a county, consolidated local government, urban-county government, or city of the Commonwealth that receives funds under KRS 15.293(4) to certify use consistent with KRS 15.293.
History: 040 KAR 009:020. 49 Ky.R. 1709, 2273; eff. 7-24-2023; 51 Ky.R. 1701; eff. 9-30-2025.

Chapter 10 Criminal Investigations

40 KAR 10:010 Uniform procedure and timeline for conducting independent election inquiries {#sec-40-kar-10-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 10:010}

Section 1. Definitions.

(1) "Agent" means an Investigator with the Department of Criminal Investigations, Office of Attorney General.

(2) "Ballot" or "official ballot" is defined by KRS 117.001(3).

(3) "Ballot box" is defined by KRS 117.001(4).

(4) "County" means the county clerk's office that has been randomly chosen for an independent inquiry pursuant to KRS 15.243(3)(a).

(5) "Election" or "elections" is defined by KRS 117.001(6).

(6) "Election officer" is defined by KRS 118.015(5).

(7) "Federal provisional voter" is defined by KRS 117.001(9).

(8) "Independent Inquiry" means an audit of specified data and forms from the subject county clerk's office as well as interviews with associated personnel and citizens in order to ensure the integrity of election procedures within that county for the applicable election.

(9) "Office" means the Office of Attorney General.

(10) "Voter" is defined by KRS 116.013.

Section 2. Uniform procedure for conducting a post-election independent inquiry includes the following:

(1) Notification to the county of randomly drawn post-election independent inquiry;

(2) Notification to county officials, workers, and voters of status of county as randomly drawn for independent inquiry;

(3) Request to the county and the election officers of that county for copies of designated county election documents and data;

(4) If a request of county election documents and data would yield a potentially large number of documents, a random sample size of the materials may be requested by the office in lieu of all documents; and

(5) If circumstances dictate, and at discretion of the office:

(a) The County Board of Elections ("CBE") may be requested to conduct a recount of a chosen precinct; and

(b) The agent may request any other materials, documents, data, or interviews bearing upon any issues that may or may not arise during an independent inquiry.

Section 3. Uniform Timeline for Conducting a Post-election Independent Inquiry.

(1) The office shall conduct a random public drawing of no fewer than twelve (12) Kentucky counties within twenty (20) days following each primary or regular election pursuant to KRS 15.243(3)(a).

(2) Letters of notification to each county of the randomly selected Kentucky counties shall be mailed out within ten (10) working days from the random drawing date.

(3) The agent shall make the request in writing to the county.

(4) The county shall provide all requested materials, papers, forms, interviews, and documents to the agent no later than twenty (20) days after the request.

(5) If the county requires more than twenty (20) days to provide all requested materials, papers, forms, interviews, and documents to the office, the county shall notify the office in writing of the need for more time in which to fulfill the request. The county shall state the reason for the needed extra time within the request.

(6) The office shall have a reasonable time in which to complete a thorough and complete independent inquiry for each randomly selected county, but the time shall not exceed 120 working days.

(7) If an independent inquiry exceeds 120 working days, excluding weekends and holidays, then the office shall indicate in its investigation file the specific reasons for which more than 120 working days was required for a full and complete investigative inquiry.

(8) The original 120 working day investigative timeframe absent any extensions of time, shall be separate and apart from time to present the independent inquiries to the grand juries in each respective county as required by KRS 15.243(3)(c).

Section 4. Required materials, papers, forms, interviews, and documents includes items such asthe following:

(1) Copy of the county's voluntary election planning report previously submitted to the State Board of Elections ("SBE") including confirmation or proof of SBE approval;

(2) Details of the election plan's implementations;

(3) All necessary modifications made to the election plan made after its approval by SBE;

(4) Copy of SBE form 74,Petition to Consolidate Precincts and Precinct Election Officers, as incorporated by reference in 31 KAR 4:196;

(5) Confirmation and proof of advertising and posting of absentee voting information per KRS 117.076(4) pursuant to KRS 424.130;

(6) Confirmation of advertising and posting for the CBE to examine election equipment per KRS 117.165 pursuant to KRS 424.130(1)(d);

(7) Contact information for all CBE members for each randomly drawn county;

(8) SBE form 31, Voter Assistance Form, as incorporated by reference in 31 KAR 4:131 for each randomly drawn county;

(9) SBE form 33A, Absentee Ballot Report, as incorporated by reference in 31 KAR 4:031 for each randomly drawn county;

(10) SBE form 33B, Number of Rejected Absentee Ballots and Reasons for Rejected Ballots, as incorporated by reference in 31 KAR 4:031 for each randomly drawn county;

(11) List and address of all voting centers or precinct locations for each randomly drawn county;

(12) An accounting of the total number of voters checked in and the total number of ballots cast, which shall include:

(a) Supplemental rosters;

(b) No-excuse in-person absentee ballots;

(d) Early voting day ballots;

(e) Election day ballots; and

(f) Federal provisional voter ballots, if applicable, from all early voting days as well as election day;

(13) A list of all voters who have been issued a mail-in absentee ballot with any applications for the ballot to be produced to the office at the discretion of the agent;

(14) The total number of all mail-in absentee ballot applications received, ballots thereafter printed, ballots sent to voters, ballots returned to the county via United States Post Office (USPS) or by ballot box, and all ballots rejected by county;

(15) An absentee ballot grand total report;

(16) Oath of Voter forms (SBE 32), as incorporated by reference in 31 KAR 5:026 and 5:040;

(17) Precinct Election Sheriff's Post-election Report (SBE 53 form), as incorporated by reference in 31 KAR 4:031;

(18) County Board of Elections Post-election Statistical Report (SBE 54A form), as incorporated by reference in 31 KAR 4:031;

(19) The County Board of Elections Post-election Report (SBE 54 form), as incorporated by reference in 31 KAR 4:031;

(20) The CBE Elections Totals Report;

(21) Copies of the CBE annual meeting minutes;

(22) Voter registration and election turnout statistics;

(23) The county clerk grand jury report; and

(24) Any other materials, papers, forms, interviews, and documents as requested by the office shall be forwarded to the agent.

History

RELATES TO: KRS 15.180, 15.242, 15.243, 16.013, 117.001, 117.035, 117.076, 117.165, 118.015, 119.005, 424.130
STATUTORY AUTHORITY: KRS 15.243
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.243(3)(b) requires the Attorney General to promulgate administrative regulations in accordance with KRS Chapter 13A to establish a uniform procedure and timeline for his or her agents to follow when conducting independent election inquiries. This administrative regulation establishes election inquiry requirements including the data and forms that shall be requested from each county that is chosen for a random independent election inquiry pursuant to KRS 15.243(3)(a).
History: 50 Ky.R. 2111; 51 Ky.R. 246, 494; eff. 12-31-2024.

Chapter 11 Child Support

40 KAR 11:001 Definitions for 040 KAR Chapter 11 {#sec-40-kar-11-001 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:001}

Section 1. Definitions of terms utilized in administrative regulations relating to the Child Support Enforcement Program are as follows:

(1) "Administrative hearing" means the process whereby a parent's objections to administrative determinations of the cabinet are heard by an impartial hearing officer upon a timely request.

(2) "Arrearage" means the total unpaid support obligation owed by a noncustodial parent or obligor.

(3) "Assigned support obligation" means any child support, spousal support, or medical support obligation assigned to the state.

(4) "Assignment of rights" means the written transfer of rights to any child support, medical support, or spousal support obligation to the state.

(5) "CSEP" means the Child Support Enforcement Program.

(6) "Custodial parent" means either a mother, father, or any other person or entity that may have standing to request services on behalf of a dependent child who is living in the home with the child.

(7) "Default" means the noncustodial parent's or obligor's failure to return a financial statement or to keep an appointment, and the noncustodial parent's or obligor's income and assets cannot be obtained and verified from another source to determine a support obligation based on the Kentucky child support guidelines.

(8) "Distribution" means either a disbursement of a collection to the family or an allotment of various portions of the collection to the state and federal government for the reimbursement of the share of the K-TAP assistance payment to the family, or money expended for a child in the custody of the state.

(9) "Escrow" means the difference between the amount of the assistance payment for the month in which the amount of the collection is used to redetermine eligibility and either the monthly obligation or the amount collected, whichever is less.

(10) "Excess collections" means the amount of the collection which exceeds the monthly obligation amount.

(11) "Income" means earnings or other periodic entitlements to money from any source and any other property subject to withholding for support as described in KRS 205.710(10), (11), (15) and 403.212(2).

(12) "Income withholding for support" means an administrative order issued by the cabinet, or a judicial order to an obligor's employer to withhold an amount equal to the current obligation plus an amount to be applied toward liquidation of any arrearage, and if applicable, the employee-paid share of the cost of health insurance coverage for a dependent child.

(13) "Initiating tribunal" means the tribunal of a state or foreign country from which a petition or comparable pleading is forwarded or in which a petition or comparable pleading is filed for forwarding to another state or foreign country.

(14) "Intergovernmental IV-D case" means a IV-D case in which the noncustodial parent lives or works in a different jurisdiction than the custodial parent and the child or children that have been referred by an initiating tribunal to a responding state for services, including:

(a) Any combination of referrals between states, tribes and countries; or

(b) Cases in which a state agency is seeking only to collect support arrearages, whether owed to the family or assigned to the state.

(15) "Kentucky Transitional Assistance Program (K-TAP)" means Kentucky's Temporary Assistance for Needy Families (TANF) money payment program for children who are deprived of parental support or care due to:

(a) Death, continued voluntary or involuntary absence, physical or mental incapacity of a parent; or

(b) Unemployment of at least one (1) parent if both parents are in the home.

(16) "Location" means the determination of a parent's location, income, assets, property, or debt as provided by KRS 205.730(5).

(17) "Noncustodial parent" or "obligor" means either a mother or father of a dependent child who is not living in the home with the child as well as a description of the alleged father in a paternity case.

(18) "Notice of monthly support obligation" means an administrative order issued by the cabinet as specified in KRS 405.440 notifying the noncustodial parent, or obligor, of the child support and medical support obligation and of the noncustodial parent's, or obligor's right to request an administrative hearing.

(19) "Offset" means to set aside federal or state, or both, income tax refunds or nonexempt federal payments due a noncustodial parent, or obligor, as a means of collecting past-due child support.

(20) "Preoffset notice" means a letter notifying a noncustodial parent, or obligor, who owes an arrearage that the arrearage has been certified for state and federal tax refund intercept, state tax refund intercept only, passport denial or revocation, administrative offset of nonexempt federal payments, offset of lottery winnings, and to certified consumer credit reporting agencies.

(21) "Public assistance" means the receipt of K-TAP, including child care or work subsidies and vouchers, Medicaid, or foster care benefits.

(22) "Responding state" means a state in which a petition or comparable pleading for support or to determine parentage of a child is filed or to which a petition or comparable pleading is forwarded for filing from another state or foreign country.

(23) "Spousal support" means a legally enforceable obligation assessed against an individual for the support of a spouse or former spouse who is living with a child or children of that individual, even if child support is not part of the order.

History

RELATES TO: KRS 194A.050, 205.710-205.800, 403.210-403.240, 405.440, 405.520, 407.5101-407.5903, 45 C.F.R. 302.31, 302.33-302.38, 302.50-302.54, 302.56, 302.60, 302.80, 303.2-303.4, 303.6, 303.8, 303.15, 303.30-303.31, 303.70, 303.100-303.102, 42 U.S.C. 651 et seq.
STATUTORY AUTHORITY: KRS 194A.050, 205.710-205.800, 405.440, 405.520, 42 U.S.C. 651 et seq.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 194B.050 requires the Cabinet for Health and Family Services to promulgate administrative regulations to administer the Child Support Enforcement Program (CSEP). This administrative regulation establishes definitions of terms used by the cabinet in administrative regulations pertaining to the Child Support Enforcement Program.
History: 921 KAR 001:001. 20 Ky.R. 2284; eff. 3-14-1994; Am. 21 Ky.R. 2535; eff. 5-17-1995; 22 Ky.R. 807; eff. 11-15-1995; 23 Ky.R. 2874; 3361; eff. 2-19-1997; 25 Ky.R. 632; 1633; eff. 1-19-1999; Recodified from 904 KAR 2:001, 2-1-1999; 39 Ky.R. 337; 772; eff. 10-17-2012; 43 Ky.R. 815; eff. 3-3-2017; Cert eff. 1-16-2024; Recodified to 040 KAR 001:001; eff. 6-22-2026; Recodified to 040 KAR 011:001; eff. 7-28-2026.

40 KAR 11:010 Child Support Enforcement Program: confidentiality, program administration contracts, and agreements {#sec-40-kar-11-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:010}

Section 1. Definition. "CSEP" means the Child Support Enforcement Program.

Section 2. Safeguarding Information.

(1) Use or disclosure of information obtained exclusively for the CSEP shall be restricted from release to any party except the appropriate party or entity pursuant to KRS 205.175, 205.730, 205.735, 205.7685 (2), 205.772(4), and 205.776, 45 C.F.R. 303.70(e)(3) and 302.34, 26 U.S.C. 6103(a), (b), 7213(a)(2), and 42 U.S.C. 654(26).

(2) Unless an applicant for or recipient of child support services has given informed consent, information concerning the applicant or recipient of child support services shall only be released in accordance with KRS 205.177.

Section 3. Program Administration Contract.

(1) A program administration contract initiated by the cabinet with another government entity shall comply with KRS Chapter 45A and shall:

(a) Contain a clear description of specific duties, functions, and responsibilities of the parties in administration of the CSEP;

(b) Specify clear and definite terms and requirements of the contract;

Budget estimates;
Covered expenditures;
Methods of determining costs; and
Billing procedures for the child support agency;

(d) Specify record maintenance and format requirements;

(e) Contain reporting requirements;

(f) Contain the requirements for compliance with 31 U.S.C. 7502;

(g) Provide the beginning and end dates of the program administration contract, review or renewal provisions, and termination circumstances; and

(h) Provide audit criteria.

(2) If another government entity contracts with the cabinet, reimbursement for child support activities shall be provided when billing is submitted in accordance with procedures:

(a) Established by the cabinet; and

(b) Specified in the contract.

(3) The contracted government entity shall provide to the cabinet statistical information concerning CSEP activities as established by the cabinet and specified in the contract.

(4) If no contract is executed with a local law enforcement official, a referral for child support activities may be made to a local law enforcement official. A referral for child support activities made to a local law enforcement official shall be in accordance with the official's statutory obligations as established by KRS 69.210, 205.712(7), and 406.021(1), but the official shall not be eligible for reimbursement as established in subsection (2) of this section.

Section 4. An Agreement with a Financial Institution.

(1) The cabinet shall enter into an agreement with a financial institution pursuant to KRS 205.712(15), 205.772, and 205.774 to conduct a financial data match.

(2) The cabinet or its agent shall implement the data exchange and shall have access to identifying information:

(a) For an obligated parent who owes an arrearage and who the cabinet has identified to a financial institution through a data match for the purpose of monitoring and auditing; and

(b) Available to a financial institution if deemed necessary by the cabinet to provide service to a recipient of child support services.

(3) The cabinet shall pay a financial institution a fee not to exceed $250 per fiscal year quarter, or the actual cost to the financial institution for operating the data match, whichever is less.

(4) A financial institution shall:

(a) Exchange information by way of an automated data exchange system;

(b) Maintain security to assure that information received from the cabinet or its agent concerning a recipient of child support services shall:

Be maintained and safeguarded as confidential; and
Not be copied or given to any other entity without the written permission of the cabinet or the recipient of child support services; and

Disclosing a financial record to the cabinet for the establishment, modification, or enforcement of a child support obligation of the account holder;
Encumbering or surrendering an asset held by a financial institution in response to an order to withhold or order to deliver issued by the cabinet, or any other action taken by a financial institution in good faith; or
Providing a file to the cabinet or its authorized agent in accordance with an approved format as established by the Multistate Financial Institution Data Match Specifications Handbook.

(5) If a financial data match occurs, a financial institution shall:

(a) Hold, encumber, or surrender an account to the cabinet upon receipt of an order to withhold or order to deliver;

(b) Address and send to the cabinet or its authorized agent as designated, notices, paperwork, or other communication resulting from a financial institution data match program; and

(6) The match of an account holder to a delinquent obligor record provided by the cabinet does not constitute a levy, and an account shall not be held, encumbered, or surrendered to the cabinet without a financial institution having received an order to withhold or order to deliver from the cabinet.

(7) The information provided to the cabinet on a quarterly basis by a financial institution shall be provided in the format established by the Multistate Financial Institution Data Match Specifications Handbook using either method one or method two.

(a) If a financial institution agrees to provide the information according to method one, the financial institution shall:

Submit by March 31, June 30, September 30, and December 31 of a calendar year, data files of open accounts to the cabinet, or the cabinet's authorized agent, for the data match; and
Report information requested by the cabinet or the cabinet's authorized agent on any account maintained by a financial institution.

(b) If a financial institution agrees to provide the information according to method two, the financial institution shall:

Request the cabinet or its authorized agent to send the inquiry file to the financial institution or its agent;
Match the inquiry file of obligors identified and provided by the cabinet, or by the cabinet's authorized agent, against open accounts maintained by a financial institution; and
Submit a report of matched accounts to the cabinet or its authorized agent within thirty (30) to forty-five (45) days of receipt of the inquiry file.

Section 5. Incorporation by Reference.

(1) "Multistate Financial Institution Data Match Specifications Handbook", edition 12/2020, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department for Income Support, Child Support Enforcement, 730 Schenkel Lane, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material may also be viewed on the department's Web site at https://chfs.ky.gov/agencies/dis/Pages/regs.aspx.

History

RELATES TO: KRS Chapter 45A, 69.210, 205.175, 205.177, 205.710, 205.712, 205.730, 205.735, 205.7685, 205.772, 205.774, 205.776, 205.800, 205.990(1), (2), (4), (6), 403.211, 405.430(9), (13), 406.035, 434.845, 45 C.F.R. 302.34, 303.21, 303.70(e)(3), 303.107, 304, 307.13, 406.021(1), 26 U.S.C. 6103(a), (b), 7213(a)(2), 31 U.S.C. 7502, 42 U.S.C. 651, 654(7), (26), 666(a)(17), (c)(1)(D)
STATUTORY AUTHORITY: KRS 194A.050(1), 405.520, 42 U.S.C. 654(26)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 405.520 authorizes the cabinet to promulgate administrative regulations to implement the Child Support Enforcement Program. This administrative regulation establishes the procedures for safeguarding information and entering into program administration contracts and cooperative agreements.
History: 921 KAR 001:020. 5 Ky.R. 961; Am. 6 Ky.R. 183; eff. 9-5-1979; 8 Ky.R. 946; 1144; eff. 4-7-1982; 9 Ky.R. 1247; eff. 6-1-1983; 11 Ky.R. 865; eff. 12-11-1984; 12 Ky.R. 1188; eff. 2-4-1986; 13 Ky.R. 977; eff. 12-2-1986; 14 Ky.R. 1165; eff. 1-4-1988; 2091; eff. 6-22-1988; 15 Ky.R. 656; eff. 9-21-1988; 20 Ky.R. 2247; eff. 3-14-1994; 21 Ky.R. 2544; eff. 5-17-1995; 25 Ky.R. 634; 1635; 1892; eff. 1-19-1999; Recodified from 904 KAR 2:020, 2-1-1999; 26 Ky.R. 239; 632; 775; eff. 10-20-1999; 27 Ky.R. 2598; 3111; eff. 5-14-2001; 35 Ky.R. 1666; 1781; eff. 2-18-2009; TAm 5-14-2009; 48 Ky.R. 209, 1178; eff. 10-20-2021; Recodified to 040 KAR 001:120; eff. 6-22-2026; Recodified to 040 KAR 011:010; eff. 7-28-2026.

40 KAR 11:020 Child Support Enforcement Program application and intergovernmental process {#sec-40-kar-11-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:020}

Section 1. Child Support Enforcement Case Types.

(1) Kentucky Transitional Assistance Program (KTAP) or Kinship Care.

(a)

An applicant for, or recipient of, KTAP or Kinship Care shall make an assignment of rights to the state for support that the applicant or recipient may have from any other person in accordance with KRS 205.720(1) and 921 KAR 2:006.
The assignment shall:

a. Include members of the case for whom support rights apply; and

b. Be completed when applying for KTAP or Kinship Care benefits using the application form incorporated by reference in 921 KAR 2:040.

(b) An applicant or recipient shall cooperate in all phases of child support activity that shall, if known, include:

The name of the noncustodial parent or obligor;
The Social Security number of the noncustodial parent or obligor;
Information to assist in the:

a. Location of the noncustodial parent or obligor;

b. Enforcement of a child support order; or

c. Review or modification of a child support order;

Establishment of:

a. Paternity, if paternity has not been established; and

b. An assigned support obligation;

Enforcement of:

a. An assigned support obligation; and

b. A spousal support order if the cabinet is collecting for a child who resides with the spouse or former spouse; and

Forwarding any child support payment received to the cabinet's centralized collection unit.

(2) Foster Care.

(a) The CSEP shall collect and disburse child support on behalf of a child for whom:

The state is making a foster care maintenance payment as required by 42 U.S.C. 657 and an assignment of rights has been made; or
The cabinet has custody, and there is an order for the child's parent or parents to pay child support to the cabinet pursuant to KRS 610.170.

(b) The child's benefit worker with responsibility for the foster care child shall:

Cooperate with the CSEP;
Review and approve a foster care child support referral;
Complete a change of status if a change occurs that relates to the child support process; and
Forward to the CSEP a copy of the child support court documents.

(c) If a child with special needs is adopted in accordance with 922 KAR 1:100 and reenters the custody of the cabinet, the cabinet shall:

Determine that good cause exists in accordance with Section 2(3) of this administrative regulation; or
Establish a child support obligation if:

a. A child with special needs adopted in accordance with 922 KAR 1:100 has reentered the custody of the cabinet due to the child's maltreatment or abandonment; and

b. The commissioner or designee recommends the establishment of child support.

(3) Medicaid only.

(a) If a Medicaid-only referral is made, the CSEP shall obtain the following information, if available:

Medicaid case number;
Name of the noncustodial parent or obligor;
Social Security number of the noncustodial parent or obligor;
Name and Social Security number of the child;
Home address of the noncustodial parent or obligor;
Name and address of the noncustodial parent or obligor's place of employment; and
Whether the noncustodial parent has a health insurance policy and, if so, the policy name, policy number, and name of any person covered.

(b) An application for Medicaid shall include an assignment of rights for medical support, pursuant to 907 KAR 20:005.

(c) Except for a custodial parent who is pregnant or in her postpartum period, pursuant to 907 KAR 20:005, a custodial parent shall cooperate in all phases of medical support activity.

(d) A Medicaid-only recipient desiring full child support services, in addition to the medical support services, shall complete and submit to the CSEP the CS-140, Assignment of Rights and Authorization to Collect Support.

(4) Nonpublic Assistance.

(a) In accordance with KRS 205.721, the CSEP shall make child support services available to any individual who:

Assigns rights for medical support only;
Applies for services pursuant to paragraph (c) of this subsection; or
Has been receiving child support services as a public assistance recipient and is no longer eligible for public assistance.

(b) The CSEP shall notify the family no longer eligible for public assistance, within five (5) working days, that child support services shall continue unless the CSEP is notified to the contrary by the family.

Upon the request of a nonpublic assistance applicant, the CSEP shall give an application packet to the applicant.
If the request is:

a. Made in person, the packet shall be provided the same day; or

b. Not made in person, the packet shall be sent to the applicant within five (5) working days of the request.

The application packet shall include the:

a. CS-33, Application for Child Support Services;

b. CS-202, Authorization for Electronic Deposit of Child Support Payments; and

c. CS-11, Authorization and Acknowledgement of No Legal Representation.

In order to receive child support services, the applicant shall complete and return the:

a. CS-33, Application for Child Support Services; and

b. CS-11, Authorization and Acknowledgement of No Legal Representation.

(d) Except for a location-only case, services provided to a nonpublic assistance client through the CSEP shall be those services listed in Section 2 of this administrative regulation.

(e) If a case involves a putative father, services provided shall be those identified in Section 2(1) of this administrative regulation.

(f) The CSEP shall obtain the following information from a nonpublic assistance applicant, if available:

Name, date of birth, and Social Security number of the child;
Name of the custodial and noncustodial parent or obligor;
Social Security number of the custodial and noncustodial parent or obligor;
Date of birth of the custodial and noncustodial parent or obligor;
Home address or last known address of the custodial and noncustodial parent or obligor; and
Name and address of the custodial and noncustodial parent's or obligor's employer or last known employer.

Section 2. General Services and Good Cause for All Case Types.

(1) The CSEP shall provide child support services for a case type described in this administrative regulation in accordance with 42 U.S.C. 654. The services shall include:

(a) Location of the noncustodial parent or obligor;

(b) Location of the custodial parent for establishment of paternity;

A court order; or
An affidavit from the Office of Vital Statistics that a signed, notarized voluntary acknowledgement of paternity has been registered;

(d) Establishment of a child support or medical support obligation by:

Petitioning the court or administrative authority to establish child support pursuant to the Kentucky Child Support Guidelines; and

a. Petitioning the court or administrative authority to include health care coverage pursuant to 45 C.F.R. 303.31(b)(1) in new or modified court or administrative orders for support; or

b. Petitioning the court or administrative authority to include cash medical support in new or modified orders until health care coverage that is accessible and reasonable in cost, as defined by KRS 403.211(8)(a) and (b), becomes available;

(e) Enforcement of a:

Child support or medical support obligation; and
Spousal support obligation if the:

a. Custodial parent is the spouse or ex-spouse;

b. Child lives with the spouse or ex-spouse; and

c. Cabinet is collecting support on behalf of the child;

(f) Review and modification of an assigned support obligation in accordance with 921 KAR 1:400;

(g) Collection and disbursement of current and past-due support payments resulting from an assigned support obligation, less an annual fee assessed against a custodial parent who has never received assistance, as defined by 42 U.S.C. 654(6)(B)(ii) and KRS 205.721(4), during each Federal fiscal year in which $550 has been disbursed for the case; and

(h) Submission of an application to the health plan administrator to enroll the child if the parent ordered to provide health care coverage is enrolled through the insurer and has failed to enroll the child.

(2) The CSEP shall open a case and determine needed action and services within twenty (20) calendar days of receipt of a:

(a) Referral from the public assistance agency;

(b) Foster care referral; or

(3) Good cause.

(a)

If an applicant or client states that good cause for noncooperation exists, the applicant or client shall have the opportunity to establish a claim pursuant to 921 KAR 2:006.
Evidence for determination of good cause shall be pursuant to 921 KAR 2:006.
For a foster care child, good cause for nonenforcement of child support shall be determined to exist if evidence and criteria are met pursuant to 921 KAR 2:006 or 922 KAR 1:530.

(b) If the CSEP has reason to believe an allegation of child maltreatment or domestic violence pursuant to KRS 205.730(1), the CSEP shall not attempt location, establishment, modification, or enforcement of an assigned support obligation.

Section 3. Parent Locator Service and Associated Fee for Service.

(1) Unless the cabinet has reason to believe an allegation of child maltreatment or domestic violence pursuant to KRS 205.730(1) or 921 KAR 2:006, Section 25, location shall be attempted for a:

(a) Public assistance case referred to the CSEP; or

(b) Nonpublic assistance case for which child support services are being provided.

(2) The CSEP shall attempt to locate a noncustodial parent or obligor and the noncustodial parent's or obligor's employer, sources of income, assets, property, and debt, if necessary, for a public assistance case or nonpublic assistance case assigned to the CSEP pursuant to KRS 205.712, 205.730(5), and 45 C.F.R. 303.69 or 303.70.

(3) In accordance with KRS 205.730(4), location services shall be provided in a parental kidnapping case.

(4) The CSEP shall provide location services to a putative father in accordance with KRS 205.730(2) and (4).

Section 4. Intergovernmental Process for Child Support Enforcement Services. In accordance with KRS 205.712, 407.5101-407.5903, and 45 C.F.R. 303.70, the CSEP shall:

(1) Extend to an intergovernmental IV-D child support case the same services available to an intrastate case; and

(2) Provide a responding state with sufficient and accurate information and documentation on the appropriate intergovernmental transmittal forms, the:

(a) CS-98, General Testimony;

(b) CS-99, Declaration in Support of Establishing Parentage;

(d) CS-103, Child Support Enforcement Transmittal #1 – Initial Request;

(e) CS-138, Child Support Locate Request;

(f) CS-153, Child Support Enforcement Transmittal #2 – Subsequent Actions;

(g) CS-154, Child Support Enforcement Transmittal #3 – Request for Assistance/Discovery;

(h) CS-155, Notice of Determination of Controlling Order;

(i) CS-157, Letter of Transmittal Requesting Registration;

(j) CS-210, Child Support Agency Confidential Information Form;

(k) CS-211, Personal Information Form for UIFSA § 311;

(l) CS-212, Child Support Agency Request for Change of Support Payment Location Pursuant to UIFSA §319; and

(m) CS-213, Child Support Enforcement Transmittal #1 – Initial Request Acknowledgment.

Section 5. Public Awareness. The effort, pursuant to KRS 205.712(2)(g), to publicize the availability of the CSEP's services and encourage their use may include:

(1) Public service announcements;

(2) Posters;

(3) Press releases;

(4) Videos;

(5) Annual reports;

(6) Newsletters;

(7) Mail inserts;

(8) Pamphlets;

(9) Letters; and

(10) Internet.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "CS-11, Authorization and Acknowledgement of No Legal Representation", 04/2023;

(b) "CS-33, Application for Child Support Services", 6/2022;

(d) "CS-99, Declaration in Support of Establishing Parentage", 04/2023;

(e) "CS-100, Uniform Support Petition", 04/2023;

(f) "CS-103, Child Support Enforcement Transmittal #1 - Initial Request", 04/2023;

(g) "CS-138, Child Support Locate Request", 04/2023;

(h) "CS-140, Assignment of Rights and Authorization to Collect Support", 6/2022;

(i) "CS-153, Child Support Enforcement Transmittal #2 - Subsequent Actions", 04/2023;

(j) "CS-154, Child Support Enforcement Transmittal #3 - Request for Assistance/Discovery", 04/2023;

(k) "CS-155, Notice of Determination of Controlling Order", 04/2023;

(l) "CS-157, Letter of Transmittal Requesting Registration", 04/2023;

(m) "CS-202, Authorization for Electronic Deposit of Child Support Payments", 6/2022;

(n) "CS-210, Child Support Agency Confidential Information Form", 04/2023;

(o) "CS-211, Personal Information Form for UIFSA § 311", 04/2023;

(p) "CS-212, Child Support Agency Request for Change of Support Payment Location Pursuant to UIFSA §319", 04/2023; and

(q) "CS-213, Child Support Enforcement Transmittal #1 - Initial Request Acknowledgment", 04/2023.

History

RELATES TO: KRS 205.705, 205.710-205.802, 205.992, 213.046(4), 403.211, 405.430(5), 405.467, 405.520, 406.021, 406.025, 407.5101-407.5903, 610.170, 45 C.F.R. 301.1, 302.30, 302.31, 302.33-302.36, 302.50, 302.65, 302.80, 303.2, 303.3-303.8, 303.15, 303.30-303.31, 303.69, 303.70, 42 U.S.C. 651-654, 657, 663, 666
STATUTORY AUTHORITY: KRS 194A.050(1), 205.795, 405.520
NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1), 205.795, and 405.520 authorize the secretary of the Cabinet for Health and Family Services to promulgate administrative regulations to operate the Child Support Enforcement Program (CSEP) in accordance with federal law and regulations. 45 C.F.R. 303.2 requires the child support application process to be accessible to the public. This administrative regulation specifies the process by which an individual may apply for child support services, the scope of services available, and the process for an intergovernmental case.
History: 921 KAR 001:380. 20 Ky.R. 2292; eff. 3-14-1994; 21 Ky.R. 2548; eff. 5-17-1995; 23 Ky.R. 2876; 3573; eff. 2-19-1997; 25 Ky.R. 636; 1636; eff. 1-19-1999; Recodified from 904 KAR 2:380, 2-1-1999; 26 Ky.R. 913; eff. 12-15-1999; 27 Ky.R. 249; eff. 9-11-2000; 28 Ky.R. 166; 888; eff. 9-25-2001; 33 Ky.R. 629; 1090; eff. 10-18-2006; 34 Ky.R. 1867; 2141; eff. 3-19-2008; 35 Ky.R. 1089; eff. 1-5-2009; 36 Ky.R. 1545; 2077-M; eff. 4-2-2010; 39 Ky.R. 339; 774; eff. 10-17-2012; 43 Ky.R. 473, 701; eff 11-16-2016; 45 Ky.R. 193; eff. 9-19-2018; 45 Ky.R. 3583, 46 Ky.R. 472; eff. 8-19-2019; TAm eff. 11-2-2020; 49 Ky.R. 144; eff. 10-26-2022; TAm eff. 4-13-2023; Recodified to 040 KAR 001:380; eff. 6-22-2026; Recodified to 040 KAR 011:020; eff. 7-28-2026.

40 KAR 11:030 Child Support Enforcement Program paternity establishment {#sec-40-kar-11-030 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:030}

Section 1. Requirement for Paternity Establishment. The cabinet shall bring action, as established in KRS 406.021(1) and (3) if:

(1) The child is born out of wedlock; and

(2) An assignment of rights to the cabinet is in effect or an individual not receiving public assistance applies for child support services including paternity establishment.

Section 2. Cabinet Action.

(1) A case requiring paternity action shall be opened upon receipt of:

(a) A public assistance case referral; or

(b) A nonpublic assistance application, in accordance with KRS 205.721.

(2) The cabinet shall open a case pending determination of good cause.

(a) If good cause for failure to cooperate is determined, the child support case shall be closed.

(b) Good cause shall be established in accordance with the requirements of 921 KAR 2:006, Section 18(4) and (5).

(3) In a case referred to the cabinet in which paternity has not yet been established, the cabinet shall, within ninety (90) days of locating the alleged father or custodial parent:

(a) Obtain a voluntary acknowledgment of paternity as established by KRS 213.036(5) and 213.046(3), (9);

(b) File for establishment of paternity;

(d) Document unsuccessful attempts to serve process.

(4) Paternity shall be established or the putative father excluded as a result of genetic tests or legal process within one (1) year of:

(a) Successful service of process; or

(b) The child reaching the age of six (6) months.

(5) The voluntary acknowledgment of paternity may be rescinded. Rescinded acknowledgement of paternity shall be accomplished in accordance with KRS 213.071.

(6) The cabinet shall request denial, suspension, or revocation of a license or certification for failure to comply with a subpoena or warrant relating to paternity pursuant to KRS 186.570(2) and 237.110(4)(g).

History

RELATES TO: KRS 186.570(2), 205.710, 205.712, 205.721, 205.730, 213.036(5), 213.046(3), (4), (5), (9), (10), 213.071, 237.110(4)(g), 405.430, 406.011, 406.021, 406.025, 406.180, 45 C.F.R. 302.31, 302.33, 303.5, 304, 42 U.S.C. 651, 652, 653, 654, 666, 668
STATUTORY AUTHORITY: KRS 194A.050(1), 205.795, 405.520
NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the secretary to promulgate administrative regulations necessary to implement programs mandated by federal law, or to qualify for the receipt of federal funds and necessary to cooperate with other state and federal agencies for the proper administration of the cabinet and its programs. KRS 205.795 authorizes the secretary to promulgate administrative regulations consistent with the purpose and intent of KRS 205.710 through 205.800. This administrative regulation establishes the requirements for the establishment of paternity for the Child Support Enforcement Program.
History: 922 KAR 001:390. 20 Ky.R. 2295; eff. 3-14-94; Am. 21 Ky.R. 2552; eff. 5-17-95; 23 Ky.R. 2880; 3576; eff. 2-19-97; 25 Ky.R. 640; 1639; eff. 1-19-99; Recodified from 904 KAR 2:390, 2-1-99; 26 Ky.R. 663; 1017; eff. 10-20-99; 33 Ky.R. 634; 1095; eff. 10-18-2006; 35 Ky.R. 1668; 1783; eff. 2-18-2009; 48 Ky.R. 212, 1179; eff. 10-20-2021; Recodified to 040 KAR 001:390; 6-22-2026; Recodified to 040 KAR 011:030; eff. 7-28-2026.

40 KAR 11:040 Establishment, review, and modification of child support and medical support orders {#sec-40-kar-11-040 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:040}

Section 1. Support Obligation Shall be Established.

(1) A child support and medical support obligation shall be established by:

(a) A court of competent jurisdiction; or

(b) An administrative order.

(2) The obligation shall be the amount as established administratively or judicially, as computed by the:

(a) CS-71, Commonwealth of Kentucky Worksheet for Monthly Child Support Obligation;

(b) CS-71.1, Commonwealth of Kentucky Worksheet for Monthly Child Support Obligation Exception; or

(c) Any other child support obligation form incorporated by reference in an administrative regulation promulgated by the agency.

(3) The amount determined shall be the amount to be collected. Any support payment collected shall reduce the amount of the obligation dollar for dollar.

(4) For a public assistance case and a nonpublic assistance case for which child support services are being provided, the cabinet shall use state statutes and legal process in establishing the amount of a child support and medical support obligation, including KRS 403.211, 403.212, 403.2122, 405.430, and 454.220.

(5) In addition to the deductions established in KRS 403.212(3), the deduction for a prior-born child residing with a parent for an administratively or judicially imputed child support obligation, as established in KRS 403.212(3)(i)(3), shall be calculated by using:

(a) That parent's portion of the total support obligation as indicated on the worksheet, if:

There is a support order; and
A copy of the child support obligation worksheet is obtained; or

(b) 100 percent of the income of the parent with whom the prior born child resides, if:

There is no support order;
There is a support order, but no support obligation worksheet; or
A worksheet cannot be obtained.

(6) In accordance with 45 C.F.R. 303.4(d), within ninety (90) calendar days of locating a noncustodial parent, or obligor, the cabinet shall:

(a) Complete service of process; or

(b) Document an unsuccessful attempt to serve process.

(7) If service of process has been completed, the cabinet shall, if necessary:

(a) Establish paternity;

(b) Establish a child support or medical support obligation; or

(8) If a court or administrative authority dismisses a petition for support without prejudice, the cabinet shall, at that time, determine when to appropriately seek an order in the future.

Section 2. Administrative Establishment.

(1) The cabinet may administratively establish a child support obligation or medical support obligation, or both if:

(a) Paternity is not in question;

(b) There is no existing order of support for the child;

(d) The noncustodial parent's, or obligor's, address is known.

(2) To gather necessary information for administrative establishment, as appropriate the cabinet shall:

(a) Send to the custodial parent or nonparent custodian forms:

CS-133, Custodial Parent Information Request;
CS-132, Child Care Expense Verification; and
CS-136, Health Insurance Information Request;

(b) Send to the custodial parent the CS-65, Statement of Income and Resources;

CS-64, Noncustodial Parent Appointment Letter;
CS-65, Statement of Income and Resources;
CS-132, Child Care Expense Verification; and
CS-136, Health Insurance Information Request;

(d) Send a CS-130, Income Information Request, to the employer of the:

Custodial parent; or
Noncustodial parent, or obligor; and

(e) Issue a CS-84 Administrative Subpoena in accordance with KRS 205.712(2)(k) and (n), if appropriate.

(3) The cabinet shall determine the monthly support obligation in accordance with the child support guidelines as contained in KRS 403.212 and 403.2122 or subsection (4) of this section.

(4) In a default case, the cabinet shall establish the obligation based upon the needs of the child or the previous standard of living of the child, whichever is greater in accordance with KRS 403.211(5).

(5) After the monthly support obligation is determined, the cabinet shall serve a CS-66, Administrative Order/Notice of Monthly Support Obligation, in accordance with the requirements of KRS 405.440 and 42 U.S.C. 654(12).

(6) The cabinet shall not administratively modify an obligation that is established by a court of competent jurisdiction, except as provided in subsection (7) of this section.

(7) If support rights are assigned to the cabinet, the cabinet shall direct the obligor to pay to the appropriate entity by modifying the order:

(a) Administratively upon notice to the obligor or obligee; or

(b) Judicially through a court of competent jurisdiction.

Section 3. Review and Adjustment of Child Support and Medical Support Orders.

(1) In accordance with KRS 405.430(6), the cabinet may modify the monthly support established. Every thirty-six (36) months the cabinet shall notify each party subject to a child support order of the right to request a review of the order.

(2) Pursuant to 45 C.F.R. 303.8, the cabinet shall conduct a review upon the request of:

(a) Either parent;

(b) The state agency with assignment; or

(3) In accordance with 45 C.F.R. 303.8(e), within 180 days of receiving a request for review or of locating the nonrequesting parent, whichever occurs later, the cabinet shall:

(a) Conduct the review;

(b) Modify the order; or

(4) The cabinet shall provide notification within fourteen (14) calendar days of modification or determination to each parent or custodian, if appropriate, and legal representatives by issuing a CS-79, Notification of Review Determination, in accordance with KRS 205.712(2)(m).

(5) In accordance with subsections (2) and (3) of this section, the cabinet or the cabinet's designee shall seek modification of an administrative or judicial support order to include medical support on behalf of the child as established in KRS 403.211(7)(a) through (d).

(6) Retroactive modification of a child support order shall occur in accordance with KRS 403.211(5) and 403.213(1).

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "CS-64, Noncustodial Parent Appointment Letter", 3/10;

(b) "CS-65, Statement of Income and Resources", 6/2021;

(d) "CS-71, Commonwealth of Kentucky Worksheet for Monthly Child Support Obligation", 10/2024;

(e) "CS-71.1, Commonwealth of Kentucky Worksheet for Monthly Child Support Obligation Exception", 10/2024;

(f) "CS-79, Notification of Review Determination", 3/10;

(g) "CS-84, Administrative Subpoena", 8/2024;

(h) "CS-130, Income Information Request", 7/2022;

(i) "CS-132, Child Care Expense Verification", 3/10;

(j) "CS-133, Custodial Parent Information Request", 3/10; and

(k) "CS-136, Health Insurance Information Request", 12/15.

History

RELATES TO: KRS 205.710-205.802, 205.990, 213.046(4), (9), 403.160(1), (2)(a), (b), 403.210-403.240, 405.430, 405.440, 405.450, 405.991, 406.021, 406.025, 454.220, 45 C.F.R. 302.50, 302.56, 302.80, 303.4, 303.8, 303.30-303.32, 42 U.S.C. 651-669b
STATUTORY AUTHORITY: KRS 194A.050(1), 205.795, 405.520
NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the secretary of the cabinet to promulgate administrative regulations necessary to implement programs mandated by federal law or to qualify for the receipt of federal funds and to cooperate with other state and federal agencies for the proper administration of the cabinet and its programs. KRS 205.795 and 405.520 authorize the secretary of the cabinet to promulgate administrative regulations to operate the Child Support Enforcement Program in accordance with federal law and regulations. This administrative regulation establishes the requirements for the establishment, review, and modification of child support and medical support orders.
History: 921 KAR 001:400. 20 Ky.R. 2296: eff. 3-14-1994; 21 Ky.R. 2554; 22 Ky.R. 60; eff. 6-21-1995; 2495; eff. 8-1-1996; 23 Ky.R. 2881; 3576; eff. 2-19-1997; 25 Ky.R. 642; 1640; eff. 1-19-1999; Recodified from 904 KAR 2:400, 2-1-1999; 27 Ky.R. 1107; 1497; eff. 12-21-2000; 28 Ky.R. 1700; 2043; eff. 3-14-2002; 29 Ky.R. 2801; eff. 7-16-2003; 33 Ky.R. 636; 1096; eff. 10-18-2006; 34 Ky.R. 1870; 2143; eff. 3-19-2008; 35 Ky.R. 1670; 1783; eff. 2-18-2009; TAm 5-14-2009; 36 Ky.R. 1369; 1946; eff. 3-5-2010; 39 Ky.R. 342; eff. 10-17-2012; 42 Ky.R. 570; eff. 11-6-2015; TAm eff. 8-22-2018; 48 Ky.R. 681, 1563; eff. 11-23-2021; 49 Ky.R. 457; eff. 11-15-2022; 49 Ky.R. 2408; eff. 9-27-2023; 51 Ky.R. 1218; eff. 3-11-2025; Recodified to 040 KAR 001:400; eff. 6-22-2026; Recodified to 040 KAR 011:040; eff. 7-28-2026.

40 KAR 11:050 Child support collection and enforcement {#sec-40-kar-11-050 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:050}

Section 1. Definition. "Lump sum payment of any kind" means a lump sum payment of earnings as defined in KRS 427.005.

Section 2. Collection.

(1) Income withholding shall be used for the collection of a support obligation or health insurance coverage in an order being enforced by the Child Support Enforcement (CSE) program.

(2) The cabinet shall issue the CS-89, Income Withholding for Support, and CS-72, National Medical Support Notice, to an employer or other income source:

(a) Within fifteen (15) calendar days of a request for income withholding; or

(b) Within two (2) working days after entry of an obligor into the State Directory of New Hires.

(3) The employer or other income source shall:

(a) Implement income withholding no later than the first pay period that occurs after fourteen (14) working days following the date of the CS-89; and

(b) Transfer the CS-72 to the employer's health plan administrator within twenty (20) business days after receipt of the notice.

(4) The employer or other income source, in accordance with KRS 405.465(4) and (6)(a), may deduct the sum of one (1) dollar for each payment made pursuant to the order.

(5) The total amount to be withheld shall not exceed the maximum amount allowed under 15 U.S.C. 1673(b).

(6) In the case of an initial withholding, the cabinet shall send the obligor a copy of the CS-89 in order to notify the obligor that the income withholding:

(a) May be contested by requesting an administrative hearing pursuant to 921 KAR 1:430, in accordance with KRS 405.467(5); and

(b) Shall apply to the current and any subsequent employer.

(7) The health plan administrator shall notify the obligor and the cabinet of the health insurance coverage within forty (40) working days of receipt of the CS-72.

(8) If an obligor terminates employment, the employer or other income source shall notify the cabinet of the obligor's last known address and name of the new employer, if known, in accordance with KRS 405.465(5).

(9) An obligor shall inform the cabinet of any changes in:

(a) A current employer or source of income;

(b) Access to health insurance; and

(10) If an obligor transfers or assigns income or income-producing property after receipt of notification of a child support obligation, the cabinet shall take action pursuant to KRS 405.060.

(11) If an arrearage only amount is subject to withholding, the arrearage payment and frequency of payment shall be equal to the payment and frequency last designated by court or administrative order.

(12) The employer or other income source shall forward:

(a) The support obligation payment to the state disbursement unit in the child support agency within seven (7) working days from the date an amount is withheld; or

(b) The medical insurance premium to the health insurance carrier or notify the cabinet prior to payment if more than one (1) option is available under a plan within twenty (20) business days.

(13) The employer or other income source shall include on the transmittal to the cabinet the obligor's:

(a) Name;

(b) Social Security number; and

(14) The employer or other source of income shall not be required to change payroll frequency but shall withhold:

(a) At least once monthly; and

(b) May combine withheld amounts from more than one (1) obligor's income in a single payment to the cabinet, if the amount attributable to each obligor is identified by:

Name;
Social Security number; and
Cabinet-assigned identification number.

(15)

(a) An employer with twenty (20) or more employees shall provide written notification of a lump sum payment of any kind of $150 or more to be made to an employee who is currently under an income withholding order, in accordance with KRS 405.465.

The written notice to the cabinet shall include the following:

a. Name of the employee;

b. Social Security number of the employee;

c. Amount of the lump sum payment; and

d. Intended payment date.

The notice may include multiple employees on one (1) written notification if the information in accordance with subparagraph 1 of this paragraph is provided for each employee.

(b) Upon receipt of notification of a lump sum payment, Child Support Enforcement shall determine if the employee owes an arrearage on a support obligation enforced by the cabinet.

(c) If the employee owes no arrearage, Child Support Enforcement or its designee shall notify the employer to release the lump sum payment to the employee.

(d) If the employee owes an arrearage, pursuant to paragraph (b) of this subsection, Child Support Enforcement or its designee shall initiate:

A court order to the employer in accordance with KRS 405.465; or
An administrative order in accordance with KRS 405.470.

(e) If Child Support Enforcement or its designee does not contact the employer, the employer shall:

Hold the lump sum for thirty (30) calendar days, in accordance with KRS 405.465(6)(a), from the projected date of its release; and
Release the lump sum payment to the employee after the 30th calendar day, unless the employer has received from Child Support Enforcement or its designee a court order or an administrative order to withhold any portion of the lump sum payment.

(16) If an obligor receives unemployment compensation benefits, the cabinet shall:

(a) Through an agreement with the Education Cabinet, Office of Employment and Training, submit a CS-76, Unemployment Insurance Notice of Withholding, to the Department of Unemployment Insurance within the Education Cabinet to collect a child support payment from an obligor receiving unemployment compensation; and

(b) Notify an obligor with a CS-73, Unemployment Insurance Letter, along with a copy of the CS-76, Unemployment Insurance Notice of Withholding that:

Current child support obligation or delinquency is owed;
The cabinet has completed a CS-76 to order withholding of:

a. Fifty (50) percent of the unemployment benefit; or

b. The amount of the assigned support obligation, whichever is less; and

The obligor may contest the withholding by requesting an administrative hearing as specified in 921 KAR 1:430.

Section 3. Support Collection by Methods Other than Collection through Income Withholding.

(1) Federal income tax refund offset and federal administrative offset.

(a) A public assistance case shall qualify for offset if there is:

A court-ordered or administratively-established support obligation;
An assignment of support to the cabinet;
An arrearage of at least $150; and
Cabinet verification of the accuracy of the obligor's name and Social Security number.

(b) A nonpublic assistance case, for which the cabinet is providing services, involving past-due child support, a specific dollar amount of medical support, or spousal support shall qualify for offset if the:

Cabinet is enforcing a court-ordered or administratively-established support obligation;
Cabinet verifies accuracy of the obligor's name and Social Security number;
Nonpublic assistance arrearage owed is equal to or greater than $500, exclusive of fees, court costs, or other non-child support debt; and
Cabinet has the following:

a. A copy of the current support order;

b. A copy of the payment record; and

c. The custodial parent's last known address.

(c)

If a case is submitted for federal tax refund offset, the case may be subject to federal administrative offset of nonexempt federal payments pursuant to 42 U.S.C. 664 and 31 C.F.R. 285.1 and 285.3.
Nonexempt federal payments shall be denied to individuals owing a child support arrearage as defined in paragraphs (a) and (b) of this subsection.

(d) An Advance Notice of Intent to Collect Past Due Support, Form CS-122, shall be sent to the obligor of the intent to intercept the tax refund and the administrative offset to be applied to the obligor's account. The notice shall inform noncustodial parents:

Of their right to contest the fact that past due support is owed or the amount of past due support by requesting an administrative hearing;
Of the procedures and timeframe for contacting CSE to request an administrative hearing;
That the hearing shall be conducted by the submitting state unless the noncustodial parent requests the hearing be conducted by the state with the order upon which the referral for offset is based; and
That, in the case of a joint return, the Secretary of the U.S. Treasury shall notify the noncustodial parent's spouse at the time of offset regarding the steps to take to protect the share of the refund which may be payable to that spouse.

(2) State income tax refund offset.

(a) A public assistance case and nonpublic assistance case shall qualify for offset if there is:

A court-ordered or administratively-established support obligation;
An assignment of support to the cabinet or the Child Support Enforcement program is providing services involving past due child support, a specific dollar amount of medical support, or spousal support;
An arrearage of at least $150; and
Cabinet verification of the accuracy of the obligor's name and Social Security number.

(b) In accordance with KRS 131.570, an advance written notice shall be sent to the obligor that he or she may contest the accuracy of a past due amount by requesting an administrative hearing as specified in 921 KAR 1:430.

(3) Tort claim settlements and state administrative offset. The cabinet shall:

(a) Identify a child support case for state administrative offset, including tort claim settlements, if a child support case meets the criteria specified in subsection (2)(a) or (b) of this section; and

(b) Notify the Finance and Administration Cabinet to offset administrative payments, including tort claim settlements, in accordance with KRS 205.712(18), for a case identified in paragraph (a) of this subsection.

(4) Financial Institution Data Match (FIDM). The cabinet shall:

(a) Use the following criteria to identify a case for seizure of assets:

a. Assignment of support is made to the cabinet; or

b. Child Support Enforcement program is providing support services; and

The obligor owes past-due support in an amount equal to or greater than one (1) month's support obligation;

(b) Issue a CS-68, Order to Withhold and Deliver, and CS-69, Answer to Withhold and Deliver, to a financial institution holding the obligor's account or accounts;

(c) Issue a CS-68 and CS-121, Noncustodial Parent's Answer to Withhold and Deliver, to the obligor within two (2) working days:

After both of the forms specified in paragraph (b) of this subsection are issued to the financial institution; and
To notify the obligor that the funds in the account with the financial institution may be retained by requesting an administrative hearing to contest the Order to Withhold and Deliver in accordance with 921 KAR 1:430;

(d) Notify an obligor that to retain the funds in the account with the financial institution, an obligor shall take one (1) of the following actions within twenty (20) calendar days from the date of receipt of a CS-68:

Pay the total arrearage;
Request an administrative hearing to contest the CS-68; or
Post a bond satisfactory to the cabinet; and

(e) To release or amend an Order to Withhold and Deliver, send a CS-70, Release/Amendment of Order to Withhold and Deliver to:

The obligor; and
The financial institution.

(5) If a seizure of assets request is identified, as specified in subsection (4)(a) of this section, and is initiated from outside the commonwealth as a result of a FIDM, pursuant to 42 U.S.C. 666(a)(17), the cabinet shall comply with KRS 205.712, 407.5305, and 407.5507 to issue:

(a) A CS-68 and a CS-69 to a financial institution holding the obligor's account or accounts;

(b) A CS-68 and a CS-121, Noncustodial Parent's Answer to Withhold and Deliver, to the obligor within two (2) working days after both of the forms specified in paragraph (a) of this subsection are issued to the financial institution; and

Section 4. Enforcement Actions.

(1) Liens.

(a) The cabinet shall file a lien on an obligor's interest in personal or real property, in accordance with KRS 205.745, if:

The obligor owes an arrearage equal to or greater than one (1) month's obligation;
The child support has been assigned to the cabinet;
The property has been identified and located; and
The value of the property exceeds the costs related to filing the lien.

(b) To file a lien, the cabinet shall:

Issue a CS-85, Notice of Lien, for property within or outside Kentucky in accordance with KRS 205.745 or 205.7785; and
Provide a CS-119, Noncustodial Parent's Notice of Lien, along with a copy of the CS-85 to the obligor notifying him that:

a. The obligor may contest the lien as specified in 921 KAR 1:430;

b. A transfer of property in order to avoid payment shall be considered an act of fraud, in accordance with KRS 405.060(2); and

c. If the obligor makes full payment of the arrearage, including interest, penalties, and fees, a lien release shall be provided to the obligor using the CS-85, Notice of Lien.

(2) License and certificate denial, suspension, or revocation.

(a) If an obligor owes an arrearage equal to or greater than six (6) months of an assigned support obligation or fails to comply with a subpoena or warrant relating to paternity or child support proceedings, as established in KRS 205.712(10):

The cabinet shall forward the name of the individual to a board of licensure or board of certification for the notification of the denial, revocation, or suspension of a driver's license, professional license or certification, occupational license or certification, recreational license, or sporting license.
The denial or suspension shall remain in effect until:

a. The obligor makes full payment of the arrears;

b. Payments on the past due child support are made in accordance with a court order or an administrative order;

c. The obligor complies with the subpoena or a warrant relating to paternity or child support proceedings has been removed;

d. The obligor provides supporting documentation of extenuating circumstances that is accepted by the cabinet; or

e. The appeal of the denial or suspension is upheld and the license is reinstated.

The cabinet shall send to the obligor a CS-44, Notice of Intent to Request Denial or Suspension, which includes:

a. A section for an Answer to Notice of Intent providing the obligor with notice of the obligor's right to request an administrative hearing contesting the action as specified in 921 KAR 1:430; and

b. Notification that the CS-63, Notice to Licensing/Certification Board or Agency shall be rescinded if an action specified in paragraph (a) 2 of this subsection has been taken.

The cabinet shall send to the issuing agency or board of licensure or certification a CS-63, if an action in subparagraph 2 of this paragraph has not been taken.
The cabinet shall send to the issuing agency or board of licensure or certification a CS-63, within twenty (20) calendar days of the date of administrative hearing decision, if an administrative hearing results in a finding that the case qualifies for:

a. A license or certificate denial;

b. Suspension; or

c. Revocation.

The cabinet shall notify the issuing board or agency that the obligor is no longer subject to denial, suspension, or revocation, if the obligor, in accordance with KRS 205.712(12):

a. Has eliminated the child support arrearage;

b. Is making payments on the child support arrearage in accordance with a court or administrative order; or

c. Complies with a subpoena or warrant relating to paternity or child support proceedings.

(b) If an obligor owes an arrearage equal to or greater than one (1) year's obligation, the cabinet shall take action against a license to carry a concealed deadly weapon as specified in KRS 237.110(4).

(3) Vehicle booting.

(a) If an obligor owes an arrearage equal to or greater than six (6) months obligation of an assigned support obligation and fails to comply with a subpoena or warrant relating to a child support proceeding, the cabinet may enforce a lien on a vehicle registered to the obligor by immobilization with a vehicle boot as established in KRS 205.745(9).

(b) The cabinet shall:

Verify with the Department of Vehicle Regulation that the vehicle identification number for the vehicle to be booted is registered in the obligor's name;
Verify the vehicle to be booted is solely owned by the obligor, co-owned by the obligor and current spouse, or owned by a business in which the obligor is the sole proprietor;
Send a notice of intent to the obligor, unless there is reason to believe that the obligor will leave town or hide the vehicle;
File a lien in the county where the vehicle is kept; and
Set a target date for booting the vehicle, if the obligor does not contact the cabinet within ten (10) days of notice to negotiate a settlement.

(c) The cabinet shall send a cancellation notice to the obligor and to the appropriate local law enforcement personnel to terminate the booting of the vehicle.

(4) Newspaper publication of a list of delinquent obligors. If an obligor owes an arrearage equal to or greater than six (6) months of an assigned support obligation or fails to comply with a subpoena or warrant relating to paternity or child support proceedings, as established in KRS 405.411, a cabinet designee under 205.712(7) may:

(a) Compile and furnish a list to a newspaper of general circulation in that county for publication; and

(b) Include the name, last known address, and the past due amount owed by the obligor.

(5) Passport denial, revocation, or limitation. If the obligor owes an arrearage of $2,500 or more, in accordance with 42 U.S.C. 652(k) and 654(31), the cabinet shall:

(a)

Provide the Advance Notice of Intent to Collect Past Due Support, CS-122, to the obligor of the determination to be referred for passport denial, revocation, or limitation; and
Include in the notice the consequences of the referral and the right to contest the action by requesting a hearing in accordance with KRS 205.712(9);

(b) Provide the U.S. Secretary of Health and Human Services the names of individuals and supporting documentation for the denial, revocation, or limitation of the obligor's passport; and

(c) Notify the Secretary of the U.S. Department of Health and Human Services that the cabinet requests the release of the passport of an obligor that had been denied if any of the following criteria are met:

There was an erroneous submittal of a Social Security number;
There is a case of mistaken identity and the cabinet has verified this information;
The obligor is required to pay the past due support in full;
The obligor provides documentation on company letterhead verifying travel for employment or business purposes and makes alternate payment arrangements acceptable to the cabinet; or
There are extenuating circumstances in which the reason for travel is a family emergency and supporting documentation is provided to and accepted by the cabinet.

(6) Delinquent list.

(a) The cabinet shall provide to the Office of the Attorney General a list of names of delinquent obligors for publication on the Internet, as established in KRS 15.055 and 205.712(17).

(b) The cabinet shall send the obligor a CS-175, Notice of Intent to Place Noncustodial Parent's Name on Delinquent Listing notifying him or her of his or her right to contest by requesting a hearing.

Section 5. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "CS-44 Notice of Intent to Request Denial or Suspension", 10/23;

(b) "CS-63 Notice to Licensing/Certification Board or Agency", 10/23;

(d) "CS-69 Answer to Withhold and Deliver", 9/10;

(e) "CS-70 Release/Amendment of Order to Withhold and Deliver", 9/16;

(f) "CS-72 National Medical Support Notice", 04/24;

(g) "CS-73 Unemployment Insurance Letter", 9/10;

(h) "CS-76 Unemployment Insurance Notice of Withholding", 9/10;

(i) "CS-85 Notice of Lien", 08/24;

(j) "CS-89 Income Withholding for Support", 04/24;

(k) "CS-119 Noncustodial Parent's Notice of Lien", 9/10;

(l) "CS-121 Noncustodial Parent's Answer to Withhold and Deliver", 10/23;

(m) "CS-122 Advance Notice of Intent to Collect Past-Due Support", 10/12; and

(n) "CS-175 Notice of Intent to Place Noncustodial Parent's Name on Delinquent Listing", 4/09.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Department for Income Support, Child Support Enforcement, 730 Schenkel Lane, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. and available online at https://csws.chfs.ky.gov/csws.

History

RELATES TO: KRS 13B.010(2), 15.055, 131.570, 205.712(3)-205.795, 237.110(4), 405.060(2), (3), 427.005, 31 C.F.R. 285.1, 285.3, 45 C.F.R. 303.6, 15 U.S.C. 1673, 42 U.S.C. 652, 654, 664, 666(a)(1)-(4), (6)-(12), (14)- (19), (b), (c), 669a
STATUTORY AUTHORITY: KRS 15.055(2), 186.570(2), 194A.050(1), 205.712(3), 205.712(17), 205.745(9), 205.795, 405.411(2), 405.520, 42 U.S.C. 656, 659, 666(a),
NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the secretary to promulgate administrative regulations necessary to implement programs mandated by federal law or to qualify for the receipt of federal funds and necessary to cooperate with other state and federal agencies for the proper administration of the cabinet and its programs. 42 U.S.C. 666 requires states to have laws that prescribe procedures to improve effectiveness of child support enforcement. KRS 205.712(3) requires the Cabinet for Health and Family Services to collect and enforce child support obligations and authorizes the cabinet to promulgate administrative regulations to implement its duties. This administrative regulation establishes procedures for collection and enforcement of child support.
History: 921 KAR 001:410. 20 Ky.R. 2299; eff. 3-14-1994; 21 Ky.R. 2557; 22 Ky.R. 61; eff. 6-21-1995; 1389; 1606; eff. 3-7-1996; 23 Ky.R. 3432; 3831; 4154; eff. 6-16-1997; 24 Ky.R. 2033; 2380; eff. 5-18-1998; 25 Ky.R. 644; 1642; eff. 1-19-1999; Recodified from 904 KAR 2:410, 2-1-1999; 26 Ky.R. 241; 776; eff. 10-20-1999; 27 Ky.R. 1955; eff. 3-6-2001; 28 Ky.R. 1703; 2216; eff. 3-28-2002; 30 Ky.R. 1127; 1554; eff. 1-5-2004; TAm eff. 10-27-2004 31 Ky.R. 1362; 1519; 1680; eff. 3-8-2005; 33 Ky.R. 249; eff. 9-20-2006; 34 Ky.R. 1874; 2146; eff. 3-19-2008; 35 Ky.R. 1927; eff. 3-11-2009; TAm eff. 5-14-2009; 36 Ky.R. 2395; 37 Ky.R. 385; eff. 8-18-2010; 39 Ky.R. 345; 776; eff. 10-17-2012; 41 Ky.R. 1715; 2000; eff. 4-3-2015; 43 Ky.R. 631, 992; eff. 12-14-2016; TAm eff. 8-22-2018; TAm eff. 4-14-2021; 50 Ky.R. 1198; eff. 2-20-2024; TAm eff. 4-18-2024; TAm eff. 9-19-2024; Recodified to 040 KAR 001:410; eff. 6-22-2026; Recodified to 040 KAR 011:050; eff. 7-28-2026.

40 KAR 11:060 Child support distribution {#sec-40-kar-11-060 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:060}

Section 1. Allocation of income withheld payments in IV-D and non-IV-D cases.

(1) The cabinet shall allocate an income withheld payment among an obligor's cases that include an income withholding order by:

(a) Totaling the obligor's current support obligations subject to income withholding;

(b) Dividing each current support obligation by the total amount from paragraph (a) of this subsection, to determine a percentage; and

(c) Multiplying the withheld payment received from the employer by the percentage from paragraph (b) of this subsection, to determine the portion of the payment to be applied to each current support obligation subject to income withholding.

(2) The cabinet shall allocate the payment amount determined in subsection (1)(c) of this section to each of the obligor's current support obligation amounts subject to income withholding.

(3) If the obligor's current support obligations subject to income withholding are satisfied for the current month, the cabinet shall allocate a remaining income withholding amount among the obligor's ordered arrears obligations subject to income withholding by:

(a) Totaling the obligor's ordered arrears obligations subject to income withholding;

(b) Dividing the monthly arrears obligation for each child support case by the total amount from paragraph (a) of this subsection, to determine a percentage; and

(c) Multiplying the remaining income withholding amount by the percentage from paragraph (b) of this subsection, to determine the portion of the payment to be applied to each arrears obligation subject to income withholding.

(4) The cabinet shall allocate the payment amount determined in subsection (3)(c) of this section to each of the obligor's arrears obligations subject to income withholding.

(5) If the obligor's current support and arrears obligations subject to income withholding are satisfied for the current month, the cabinet shall allocate a remaining income withheld amount proportionately according to subsections (1) through (4) of this section.

(6) Allocation of nonwage payments in IV-D and non-IV-D cases. The cabinet shall allocate nonwage payments:

(a) As designated by an obligor for a specific case; or

(b) If not designated by an obligor, by allocating a proportionate share to each of the obligor's child support cases, as determined in subsections (1) through (4) of this section.

Section 2. K-TAP and Kinship Care Accounts Distribution. A child support payment collected on behalf of a K-TAP or Kinship Care recipient shall be:

(1) Payable to the Department for Income Support, Child Support Enforcement.

(2) If the K-TAP or Kinship Care case becomes ineligible, the child support agency shall:

(a) Distribute to the family at the end of the month the amount of child support collected; and

(b) Notify the family of continuation of child support services as specified in 921 KAR 1:380, Section 1(4)(b).

(3) Unless a hearing is requested or a case remains eligible for assistance, the child support agency shall distribute the collection as specified in Section 6 of this administrative regulation.

Section 3. Distribution of Foster Care Accounts. A child support payment collected on behalf of a foster care recipient shall be:

(1) Payable to the Department for Income Support, Child Support Enforcement; and

(2) Distributed and disbursed to the foster care agency.

Section 4. Distribution of Tax Refund Intercept Amounts.

(1) A tax refund intercepted in a public assistance account shall be:

(a) Applied to assigned arrearage and forwarded to the public assistance agency within thirty (30) calendar days of the date of initial receipt; or

(b) If no assigned arrearage remains, the amount collected shall be:

Distributed to the family within thirty (30) calendar days, unless a joint income tax return is filed; or
Held by the cabinet for six (6) months before being distributed if a joint income tax return is filed.

(2) A tax refund intercepted for a nonpublic assistance account shall be:

(a) Applied to assigned arrearage; or

(b) If no assigned arrearage remains:

Held by the cabinet for six (6) months, if a joint income tax return is filed, before being distributed; or
Forwarded to the family within thirty (30) calendar days of the date of initial receipt.

(3) Within fifteen (15) calendar days of the date of resolution of an obligor's appeal contesting the accuracy of a past-due arrears, the cabinet shall forward the ordered amount to:

(a) The obligor, if resolution is in the obligor's favor; or

(b) The agency or family, if resolution is against the obligor.

Section 5. Interstate Case Payment Distribution. A child support payment that is collected by a responding state on behalf of an initiating state shall be forwarded to the location specified by the child support agency in the initiating state, within two (2) business days of initial receipt.

Section 6. Treatment of Escrow and Excess Payments.

(1) A child support payment shall be applied to the obligation amount for the month in which the support is received.

(2) In a K-TAP or Kinship Care case, if the obligation for current support and the collection for current support exceed the grant paid for the month in which the collection was made, the difference between the grant and the obligation or the collection, whichever is less, shall be considered escrow and distributed as follows:

(a) The portion that represents the federal share, as determined by the Medicaid match rate, shall be sent to the federal government for reimbursement of public assistance previously paid;

(b) The portion that represents the state share, as determined by the Medicaid match rate, shall be sent to the family; and

Section 7. Return of Overpayment.

(1) If a child support overpayment is found to be due to the noncustodial parent, the amount shall be verified and, if legitimate, approved by the Department for Income Support, Child Support Enforcement, Processing and Distribution Branch.

(2) Upon approval by the Processing and Distribution Branch, a check writer shall be sent to the Department of Treasury for processing.

(3) A check for the approved amount of child support overpayment shall be issued to the noncustodial parent within one (1) to seven (7) days, unless the overpayment is due to a tax return. If the overpayment is due to a tax return, the approved amount shall be issued to the noncustodial parent:

(a) Within thirty (30) days if a single return; or

(b) Within six (6) months, if a joint return, from the date of the notification of federal tax offset or until notified that the unobligated spouse's share of the refund has been paid, whichever is earlier, in accordance with 45 C.F.R. 303.72(h)(5).

History

RELATES TO: KRS 13B.010(2), 13B.170, 205.720, 205.750, 205.755, 205.795, 405.520, 407.5101, 45 C.F.R. 302.32, 302.38, 302.51-302.54, 303.72(h)(5), 42 U.S.C. 651
STATUTORY AUTHORITY: KRS 194A.050(1), 205.755(1), 205.795
NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the secretary to promulgate administrative regulations necessary to implement programs mandated by federal law, or to qualify for the receipt of federal funds necessary to cooperate with other state and federal agencies for the proper administration of the cabinet and its programs. KRS 205.755(1) authorizes the secretary to prescribe the manner in which distributions of payments of support shall be made, consistent with state and federal law and administrative regulations. This administrative regulation establishes procedures for distribution of child support payments.
History: 921 KAR 001:420. 31 Ky.R. 1372; Am. 1524; eff. 3-8-2005; 33 Ky.R. 1183; 1591; eff. 12-11-2006; 43 Ky.R. 354; eff. 10-19-2016; 50 Ky.R. 71; eff. 1-11-2024; Recodified to 040 KAR 001:420; eff. 6-22-2026; Recodified to 040 KAR 011:060; eff. 7-28-2026.

40 KAR 11:070 Child support administrative hearings {#sec-40-kar-11-070 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:070}

Section 1. Availability of a Hearing.

(1) An opportunity for an administrative hearing shall be provided to an individual aggrieved by an action or inaction:

(a) On the part of the Child Support Enforcement Program; and

(b) That affects the child support case of the individual.

(2) An individual requesting an administrative hearing shall have the option to designate a representative to act on behalf of the aggrieved party for the hearing process, such as:

(a) Legal counsel;

(b) A relative; or

(3) An administrative hearing shall be conducted by an administrative hearing officer assigned by the Division of Administrative Hearings, Families and Children Administrative Hearings Branch:

(a) In the county of residence for the appellant or child; or

(b) By telephone or at an alternate location, if the appellant:

Is unable to travel; and
Requests alternate hearing arrangements at least five (5) calendar days in advance of the scheduled hearing.

(4) If the appellant or authorized representative speaks a language other than English, the cabinet shall ensure that interpreter services are provided for the administrative hearing.

(5) Child support enforcement staff shall schedule and hold an informal interview or conference with an aggrieved individual:

(a) Within ten (10) calendar days of receiving the individual's hearing request;

(b) Prior to an administrative hearing being scheduled; and

(6) If the informal conference does not resolve the issue, the hearing request shall be sent to the Families and Children Administrative Hearings Branch as specified in Section 2 of this administrative regulation for scheduling.

Section 2. Request for a Hearing.

(1) An individual shall request an administrative hearing by:

(a) Completing and submitting a CS-180, Request for Administrative Hearing;

(b) Submitting a written request; or

(c) Making an oral request, which is then transferred into a written request within the timeframes specified in subsection (4) of this section.

(2) An administrative hearing request shall be submitted to the:

(a) Child support contracting official's office in the appellant's county of residence; or

(b) Child Support Enforcement's central office.

(3) The count of days specified in subsection (4) of this section shall begin from the date of:

(a) Issuance, if the notice is sent by first class mail; or

(b) Receipt, if the notice is personally served or sent by certified mail.

(4) A written request for an administrative hearing shall be considered timely if received by the cabinet within:

(a) Ten (10) calendar days of:

An income withholding notice; or
A notice of intent to boot a vehicle, in accordance with KRS 205.745(9);

(b) Fifteen (15) calendar days of a notice of withholding from unemployment insurance, pursuant to KRS 341.392 and 341.420;

An initial notice of monthly support obligation, in accordance with KRS 405.440(4);
An order to withhold assets, in accordance with KRS 405.490(4);
A request for denial or suspension of a license or certificate;
A lien notice, in accordance with KRS 205.745(7); or
A notice to place the obligor's name on the delinquent listing; or

(d) Thirty (30) calendar days of a:

Modified notice of monthly support obligation, in accordance with KRS 405.450(5);
Notice that an obligation amount was reviewed without change, in accordance with KRS 405.450(5); or
Notice regarding the collection of past-due support in accordance with KRS 154A.060(2)(g), 205.712(17), and 205.769.

(5) In accordance with KRS 205.712(13), an individual shall be granted an administrative hearing based upon a mistake in fact, such as an incorrect:

(a) Person identified as an obligor; or

(b) Current or past due support obligation.

(6) An appellant or authorized representative may withdraw an administrative hearing request by submitting a written request to the:

(a) Families and Children Administrative Hearings Branch, as specified in Section 3 of this administrative regulation; or

(b) Child support enforcement office that accepted the original request for an administrative hearing.

Section 3. Hearing Notification.

(1) The Division of Administrative Hearings, Families and Children Administrative Hearings Branch shall acknowledge an administrative hearing request.

(2) A notice of an administrative hearing shall:

(a) Comply with the requirements of KRS 13B.050(3);

(b) Specify the name, address, and phone number of the person to notify if an appellant is unable to attend the scheduled hearing; and

(c) Specify that the hearing request shall be dismissed if an appellant or the authorized representative fails to appear for an administrative hearing without good cause as specified in Section 4(3) of this administrative regulation.

(3) Pursuant to KRS 405.450(1), the cabinet shall schedule an administrative hearing within sixty (60) calendar days of an individual's hearing request.

(4) An administrative hearing shall be conducted in accordance with KRS Chapter 13B.

(5) An individual that fails to appear for a scheduled hearing shall receive notification to provide good cause within ten (10) calendar days.

Section 4. Denial or Dismissal of an Administrative Hearing Request.

(1) A hearing request shall be denied or dismissed if the:

(a) Request is not based on a mistake of fact as specified in Section 2(5) of this administrative regulation;

(b) Request is untimely and good cause, as defined in subsection (3) of this section, is:

Not claimed; or
Found not to exist;

(d) Appellant or an authorized representative fails to appear for the scheduled hearing without:

Notifying the cabinet prior to the hearing; or
Establishing good cause for failure to appear, as defined in subsection (3) of this section.

(2) A claim of good cause for an untimely hearing request or failure to appear at an administrative hearing shall be established within ten (10) calendar days of receipt of a notice to provide good cause.

(3) Upon receipt of a good cause claim, a hearing officer shall determine if the appellant:

(a) Was away from home during the entire filing period;

(b) Is unable to read or comprehend the right to request an administrative hearing on the notice received;

(d) Was suffering from a serious illness;

(e) Was caring for an immediate household member who had a serious illness; or

(f) Was not at fault for the delay of the request, as determined by the hearing officer.

(4) The cabinet shall notify an appellant of the dismissal of an administrative hearing request by sending a recommended order of dismissal.

Section 5. Appellant's Rights.

(1) An appellant or an appellant's legal representative shall have the right to examine and copy case material pertinent to the dispute before or during the hearing process in accordance with KRS 13B.090(3).

(2) The cabinet shall release case information as specified in subsection (1) of this section to the appellant's authorized representative if the appellant provides written authorization that is:

(a) Signed in the presence of child support enforcement staff who shall also sign as a witness; or

(b) Notarized.

(3) An appellant or representatives shall have the right to:

(a) Examine, prior to the hearing:

The list of witnesses to be called during the hearing;
Evidence to be presented at the hearing; and
Other information in the cabinet's possession that pertains to the hearing;

(b) Present witnesses or documents to support the appellant's claim; and

Section 6. Obligation Pending a Hearing or Appeal.

(1) If a hearing request is based on the dispute of:

(a) An initial notice of monthly support obligation, the obligation shall be stayed until a final order of the secretary is issued, in accordance with KRS 405.450(2); or

(b) The findings of a modification review of an administratively established obligation, the amount of the existing obligation shall be:

Enforceable; and
Paid by the obligor pending receipt of the final order.

(2) If the action taken on behalf of the Child Support Enforcement Program is:

(a) Upheld, the obligation amount shall be retroactive to the effective date on the notice of monthly support obligation; or

(b) Found to be incorrect, the cabinet shall return to the obligor any overpayment made since the date the administrative hearing was requested.

(3) If an appellant files an appeal of the final order with the Circuit Court, the appellant shall be obligated to pay the amount listed on the notice of monthly support obligation while the appeal is pending.

Section 7. Recommended Order.

(1) After the hearing has concluded, the hearing officer shall submit to the secretary of the Cabinet for Health and Family Services a recommended order in accordance with KRS 13B.110 that:

(a) Summarizes the facts of the case;

(b) Specifies the address where a party to the hearing may send an exception to the recommended order; and

Findings of fact;
Conclusions of law;
Supporting evidence; and
Applicable state and federal laws and administrative regulations.

(2) A copy of the recommended order shall be sent to the:

(a) Appellant or representative;

(b) The secretary; and

Section 8. Written Exceptions. If a party to the hearing disagrees with the recommended order, within fifteen (15) days from the date the recommended order is mailed, the party may file with the secretary written exceptions in accordance with KRS 13B.110(4).

Section 9. Final Order.

(1) Within ninety (90) days from the date the recommended order is mailed, a final order shall be issued by the secretary in accordance with KRS 13B.120.

(2) If the final order differs from the recommended order, the final order shall comply with KRS 13B.120(3).

Section 10. Incorporation by Reference.

(1) "CS-180, Request for Administrative Hearing", 7/14, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Cabinet for Health and Family Services, Department for Income Support, Child Support Enforcement, 730 Schenkel Lane, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS Chapter 13B, 15.055, 154A.060(2)(g), 205.710, 205.712, 205.745, 205.7685, 205.769, 205.778, 237.110(4)(f), 341.392, 341.420, 405.411, 405.440(4), 405.450(1), (2), (5), 405.463, 405.465, 405.467, 405.470, 405.490(4)
STATUTORY AUTHORITY: KRS 13B.170, 194A.050(1), 205.712, 45 C.F.R. 303.35, 42 U.S.C. 666
NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the secretary of the Cabinet for Health and Family Services to promulgate administrative regulations necessary to implement programs mandated by federal law, qualify for the receipt of federal funds, or to cooperate with other state and federal agencies for the proper administration of the cabinet and its programs. 42 U.S.C. 666 requires each state to have in effect procedures to increase the effectiveness of the Child Support Enforcement Program. 45 C.F.R. 303.35 requires the agency administering the Child Support Enforcement Program to develop a procedure for administrative reviews of child support cases for individuals with complaints. KRS 13B.170 authorizes an agency to promulgate administrative regulations that are necessary to carry out the provisions of KRS Chapter 13B. This administrative regulation establishes the administrative hearing procedures used by the cabinet in the administration of the Child Support Enforcement Program.
History: 921 KAR 001:430. 34 Ky.R. 1909; 2150; eff. 3-19-2008; 35 Ky.R. 1931; 2060; eff. 3-11-2009; TAm eff. 6-4-2014; 40 Ky.R. 2642; eff. 8-1-2014; 43 Ky.R. 1692; 1981; eff. 6-2-2017; Cert eff. 4-17-2024; Recodified to 040 KAR 001:430; eff. 6-22-2026; Recodified to 040 KAR 011:70; eff. 7-28-2026.

Chapter 12 Office of Regulatory Relief

40 KAR 12:010 Regulatory sandbox application process and reporting procedures {#sec-40-kar-12-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:010}

Section 1. Application.

(1) Persons seeking admission to the General Regulatory Sandbox Program shall submit an application using the "Apply to Kentucky's General Regulatory Sandbox Program application portal" available at https://www.ag.ky.gov/Resources/Pages/Office-of-Regulatory-Relief.aspx.

(2) Applicants shall submit additional information or documents for their application within thirty (30) days of any request by KORR. KORR may deny any application if an Applicant fails to timely provide requested information or documents.

Section 2. Application Fee. The nonrefundable application fee for persons seeking admission to the General Regulatory Sandbox Program shall be $100. KORR shall charge the application fee to process each new application.

Section 3. Sandbox Participant Reporting.

(1) Sandbox participants with an active demonstration offering on August 15 of each year shall submit an interim report to KORR on or before September 1st of that same year using the "Submit interim report portal" available at https://www.ag.ky.gov/Resources/Pages/Office-of-Regulatory-Relief.aspx.

(2) Sandbox participants shall submit a final report to KORR on or before fifteen (15) days after a demonstration offering ends using the "submit final report portal" available at https://www.ag.ky.gov/Resources/Pages/Office-of-Regulatory-Relief.aspx.

(3) Sandbox participants shall submit additional information or documents to supplement their reports with fifteen (15) days of any request by KORR.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Apply to Kentucky's General Regulatory Sandbox Program application portal", Aug. 2024;

(b) "Submit interim report portal", Aug. 2024; and

(2) This material shall be inspected, copied, or obtained, subject to copyright law, at the Office of the Attorney General Capital Complex East, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on KORR's Web site, https://www.ag.ky.gov/Resources/Pages/Office-of-Regulatory-Relief.aspx.

History

RELATES TO: KRS 15.266, 15.268, 15.272, 15.274
STATUTORY AUTHORITY: KRS 15.180, 15.266, 15.268
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 15.266 and 15.268 require the Kentucky Office of Regulatory Relief ("KORR") to promulgate an application to be used by persons seeking admission to the General Regulatory Sandbox Program and to establish an application fee. KRS 15.266(4)(f) authorizes the Office to promulgate administrative regulations concerning the application process, reporting requirements of sandbox participants, and administering the General Regulatory Sandbox Program. This administrative regulation establishes the application procedures for persons seeking admission in the General Regulatory Sandbox Program, establishes the application fee, and establishes the reporting processes for Sandbox participants.
History: 51 Ky.R. 600; eff. 3-4-2025.

40 KAR 12:100 Funeral planning declaration form {#sec-40-kar-12-100 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:100}

Section 1. Funeral Planning Declaration. An individual desiring to plan for his or her funeral or the disposition of his or her human remains after death shall complete a Funeral Planning Declaration Form, FPD-1, which shall state his or her preferences.Instructions for actions to be taken after the declarant's death, indicating by initials or marks beside each instruction selected by the declarant, from the following:

Section 2. Power of Attorney. An agent granted authority to act for a principal under a power of attorney shall not sign a Funeral Planning Declaration Form, FPD-1, as a Declarant, unless directed by the Declarant to sign the Funeral Planning Declaration Form, FPD-1, in the presence of the Declarant and the two (2) required witnesses.

Section 3. Incorporation by Reference.

(1) "Funeral Planning Declaration Form", FPD-1, Oct. 2025, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Capital Complex East, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the Attorney General's website, https://ag.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 311.1917, 367.93101, 367.93103, 367.93105, 367.93107, 367.93109, 367.93111, 367.93113, 367.93115, 367.93117, 367.93121, 367.97501, 367.97514, 367.97524, 367.97527
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.93101(3)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation amendment complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to recommend administrative regulations in the consumers' interest. KRS 367.93101(3) requires the Attorney General to promulgate administrative regulations to prescribe a funeral planning declaration form. KRS 367.93103(2)(a)2. prohibits the inclusion of a funeral planning declaration in a power of attorney. This administrative regulation establishes the funeral planning declaration form by which an individual may establish funeral arrangements and his or her preferences regarding thedisposition of their human remains and clarifies how an agent with power of attorney may sign a declaration on behalf of a Declarant.
History: 040 KAR 002:145 - 43 Ky.R. 358, 674; eff. 12-2-2016; 44 Ky.R. 9; eff. 8-4-2017; Cert eff. 7-23-2024; Recodified as 040 KAR 012:100; eff. 7-18-2025; 52 Ky.R. 837, 1319; eff. 5-5-2026.

40 KAR 12:110 Cemetery companies and preneed cemetery merchandise sellers {#sec-40-kar-12-110 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:110}

Section 1. Cemetery Company and Preneed Cemetery Merchandise Sellers Application.

(1) A cemetery company or merchandise seller shall not make sales to Commonwealth of Kentucky residents unless the Attorney General approves a cemetery company and preneed cemetery merchandise seller registration application in accordance with this administrative regulation. A cemetery company and preneed cemetery merchandise seller shall submit an online registration application using the Cemeteries: Application portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit an online application, an applicant shall complete and submit a Cemetery Company and Preneed Cemetery Merchandise Seller Registration Application, Form CPN-1, to the Attorney General's office, and submit:

(a) Payment of the $50.00 registration fee;

(b) The applicant's certificate of existence, authorization certificate from the Kentucky Secretary of State's office, or other evidence of the applicant's authority to transact business in Kentucky; and

(c) A completed Preneed Funeral and Burial Contract Seller License Application, PNBL-1 Form, as incorporated by reference in 40 KAR 12:120, if the applicant intends to sell preneed funeral and burial contracts.

(3) Applicants shall complete or submit additional information or documents for their application within thirty (30) days of any request by the Attorney General. The Attorney General may deny any application if an Applicant fails to timely complete the application by not paying the application fee or provide requested missing information or required documents.

Section 2. Cemetery Company and Preneed Cemetery Merchandise Seller Monthly Reports.

(1) A registered cemetery company and preneed cemetery merchandise seller shall submit a monthly report to the Attorney General each month by the 15th day of the month following the reported month. A registered cemetery company and preneed cemetery merchandise seller shall submit its monthly report online using the Cemeteries: Monthly Report portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit an online monthly report, a registered cemetery company and preneed cemetery merchandise seller shall complete and submit a Cemetery Company and Preneed Cemetery Merchandise Seller Monthly Report, Form CPN-2, to the Attorney General's office, and submit:

(a) Payment of the $5.00 administrative fee for each reported contract;

(b) Payment of a $5.00 consumer security fee for each contract if the amount received is $500 or less; or a $10.00 consumer security fee for each contract if the amount received is greater than $500; and

(c) A completed Preneed Funeral and Burial Contract Seller Licensee Monthly Report, Form PNBL-2, as incorporated by reference in 40 KAR 12:120, if the registrant also holds a pre-need burial contract seller (PNBL) license.

Section 3. Cemetery Company and Preneed Cemetery Merchandise Seller Yearly Reports.

(1) A registered cemetery company and preneed cemetery merchandise seller shall submit an annual report to the Attorney General for every calendar year by March 31 of the year following the reported year. A registered cemetery company and preneed cemetery merchandise seller shall submit its annual report online using the Cemeteries: Annual Reports portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit a yearly report online, a registered cemetery company and preneed cemetery merchandise seller shall complete and submit a Cemetery Company and Preneed Cemetery Merchandise Seller Annual Report, Form CPN-3, to the Attorney General's office, and submit:

(a) Payment of the $10.00 annual report fee;

(b) A completed Appendix A to the Cemetery Company and Preneed Cemetery Merchandise Seller Annual Report, Form CPN-3, or computer printouts containing required information therein;

(c) A year-end statement for the reporting calendar from all bank or financial institutions holding trust accounts identified in the Annual Report, Form CPN-1; and,

(d) A completed Preneed Funeral and Burial Contract Seller Annual Report, Form PNBL-3, as incorporated by reference in 40 KAR 12:120, if the registrant also holds a pre-need burial contract seller (PNBL) license.

Section 4. Local Governments Operating Cemeteries.

(1) A local government that owns or operates a cemetery exempt from the KRS 367.952 perpetual care and maintenance trust requirements that provides a notice of exemption to the Attorney General shall be exempt from the registration and reporting requirements of Sections 1 and 2 of this administrative regulation.

(2) Local government shall provide notice online to the Attorney General using the Cemeteries: Local Government Exemption Notice portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(3) If unable to submit an online notice, a local government shall complete and submit an Local Government Cemetery Company Exemption Notice, Form CPN-5, to the Attorney General's office.

Section 5. Non-Government Exemption Application.

(1) To seek granted exemption status from the requirements of KRS 367.932 to 367.970, an applicant shall complete and submit an online application using the Cemeteries: Non-Government Exemption Application portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit an online application, an applicant may complete and submit a Non-Government Cemetery Company Exemption Application, Form CPN-6, to the Attorney General's office.

Section 6. Preconstruction Cemetery Project Sales Notice.

(1) A cemetery company shall notify the Attorney General about a preconstruction cemetery project at least thirty (30) days before commencing sales. The cemetery company shall complete and submit notice using the Cemeteries: Preconstruction Notice Form portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit an online application, a cemetery company shall complete and submit a Preconstruction Cemetery Project Sales Notice, Form CPN-4, to the Attorney General's office.

Section 7. Record Requests. A cemetery company and cemetery merchandise seller and a preneed funeral and burial contract seller shall make business records and documents and information related to an investigation or inquiry readily available to the Attorney General for inspection and copying upon request.

Section 8. Material Changes in Application and Reports. Registered cemetery company and cemetery merchandise seller sellers shall notify the Attorney General in writing within fourteen (14) days of any material change relating to the information provided in their applications or reports. ..

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Cemetery Company and Preneed Cemetery Merchandise Seller Registration Application", Form CPN-1, Oct. 2025;

(b) "Cemetery Company and Preneed Cemetery Merchandise Seller Monthly Report", Form CPN-2, Oct. 2025;

(d) "Preconstruction Cemetery Project Sales Notice", Form CPN-4, Oct. 2025;

(e) "Local Government Cemetery Company Exemption Notice, Form CPN-5, Oct. 2025;

(f) "Non-Government Cemetery Company Exemption Application," Form CPN-6, Oct. 2025;

(g) "Cemeteries: Application portal", Oct. 2025;

(h) "Cemeteries: Monthly Report portal", Oct. 2025;

(i) "Cemeteries: Annual Report portal", Oct. 2025;

(j) "Cemeteries: Preconstruction Notice Form portal", Oct. 2025;

(k) "Cemeteries: Local Government Exemption Notice portal", Oct. 2025; and

(l) "Cemeteries: Non-Government Exemption Application portal", Oct. 2025;

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Capital Complex East, 1024 Capital Center Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the Attorney General's website, https://ag.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 367.946, 367.952, 367.954, 367.958, 367.972(2)
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.972(2)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation amendment complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to recommend administrative regulations in the consumers' interest. KRS 367.972(2) authorizes the Attorney General to promulgate administrative regulations to implement KRS 367.932 to 367.974 and 367.991. KRS 367.937, 367.946, 367.952, 367.954, and 367.958 require the Attorney General to promulgate administrative regulations to establish application forms, reporting forms, and other forms relating to cemetery companies and preneed cemetery merchandise contract sellers. This administrative regulation establishes the applications and forms used by cemetery companies and preneed cemetery merchandise contract sellers and exempted entities.
History: 040 KAR 002:250 - 23 Ky.R. 4018, 24 Ky.R. 328; eff. 7-11-1997; 29 Ky.R. 995, 1832, 2079; eff. 2-16-2003; Recodified as 040 KAR 002:155; eff. 6-30-2016; Crt eff. 2-21-2020; Recodified as 040 KAR 012:110; eff. 7-18-2025; 52 Ky.R. 840, 1320; eff. 5-5-2026.

40 KAR 12:120 Preneed funeral and burial contract sellers {#sec-40-kar-12-120 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:120}

Section 1. Preneed Funeral and Burial Contract Seller License Application.

(1) A preneed funeral and burial contract seller shall not make sales to Commonwealth of Kentucky residents unless the Attorney General approves a preneed funeral and burial contract seller license application in accordance with this administrative regulation. A preneed funeral and burial contract seller shall submit an online license application using the Preneed Funeral and Burial Contract Seller License Application portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit an online application, an applicant shall complete and submit a Preneed Funeral and Burial Contract Seller License Application, Form PNBL-1, to the Attorney General's office, and submit:

(a) Payment of the $50.00 registration fee;

(c) A completed Cemetery Company and Preneed Cemetery Merchandise Seller Registration Application, Form CPN-1, as incorporated by reference in 40 KAR 12:110, if the applicant intends to operate a cemetery company business or sell preneed cemetery merchandise.

(3) Applicants shall complete or submit additional information or documents for their application within thirty (30) days of any request by the Attorney General. The Attorney General may deny any application if an applicant fails to timely complete the application by not paying the application fee or provide requested missing information or required documents.

Section 2. Preneed Funeral and Burial Contract Seller Monthly Reports.

(1) A licensed preneed funeral and burial contract seller shall submit a monthly report to the Attorney General each month by the 15th day of the month following the reported month. A licensed preneed funeral and burial contract seller shall submit its monthly report online using the Preneed Funeral and Burial Contract Seller Monthly Report portal available at https://www.ag.ky.gov/AG%20Business%20Forms/Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit an online monthly report, a licensed preneed funeral and burial contract seller shall complete and submit Preneed Funeral and Burial Contract Seller Monthly Report, Form PNBL-2, to the Attorney General's office, and submit:

(a) Payment of the $5.00 administrative fee for each reported contract; and

(b) A completed Cemetery Company and Preneed Cemetery Merchandise Seller Monthly Report, Form CPN-2, as incorporated by reference in 40 KAR 12:110, if the licensee is also registered as a cemetery company and preneed cemetery merchandise seller.

Section 3. Preneed Funeral and Burial Contract Seller Yearly Reports.

(1) A licensed preneed funeral and burial contract seller shall submit an annual report to the Attorney General for every calendar year by March 31st of the year following the reported year. A licensed preneed funeral and burial contract seller shall submit its yearly report online using the Preneed Funeral and Burial Contract Seller Annual Report portal available at https://www.ag.ky.gov/AG%20Business%20Forms/Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit a yearly report online, a licensed preneed funeral and burial contract seller shall complete and submit a Preneed Funeral and Burial Contract Seller Annual Report, Form PNBL-3, to the Attorney General's office, and submit:

(a) Payment of the $10.00 annual report fee;

(b) A completed Appendix A to the Preneed Funeral and Burial Contract Seller Licensee Annual Report, Form PNBL-3, or computer spreadsheets containing required information therein; and

(c) A completed Cemetery Company and Preneed Cemetery Merchandise Seller Annual Report, Form CPN-3, as incorporated by reference in 40 KAR 12:110, if the licensee is also registered as a cemetery company and preneed cemetery merchandise seller.

Section 4. Irrevocable Funeral Trust Agreements. A licensed preneed funeral and burial contract seller shall complete and retain an Irrevocable Funeral Trust Agreement, Form PBNL-4, if establishing an irrevocable trust under KRS 367.937.

Section 5. Record Requests. A licensed preneed funeral and burial contract seller shall make business records and documents and information related to an investigation or inquiry readily available to the Attorney General for inspection and copying upon request.

Section 6. Material Changes in Application and Reports. A licensed preneed funeral and burial contract seller shall notify the Attorney General in writing within fourteen (14) days of any material change relating to the information provided in their applications or reports.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Preneed Funeral and Burial Contract Seller License Application", Form PNBL-1, Sept. 2025;

(b) "Preneed Funeral and Burial Contract Seller Monthly Report", Form PNBL-2, Sept. 2025;

(d) "Irrevocable Funeral Trust Agreement", Form PNBL-4, Sept. 2025;

(e) "Preneed Funeral and Burial Contract Seller License Application portal", Sept. 2025;

(f) "Preneed Funeral and Burial Contract Seller Monthly Report portal", Sept. 2025; and

(g) "Preneed Funeral and Burial Contract Seller Annual Report portal", Sept. 2025;

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Capital Complex East, 1024 Capital Center Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the Attorney General's website, https://ag.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 367.937, 367.940
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.972(2)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation amendment complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to recommend administrative regulations in the consumers' interest. KRS 367.972(2) authorizes the Attorney General to promulgate administrative regulations to implement KRS 367.932 to 367.974 and 367.991. KRS 367.937 and 367.940 require the Attorney General to promulgate administrative regulations to establish application forms, reporting forms, and trust forms relating to preneed funeral and burial contract sellers. This administrative regulation establishes the license application form and other forms, to be used by preneed funeral and burial contract sellers, and provides for online application and submission processes.
History: 040 KAR 012:110. 52 Ky.R. 908, 1327; eff. -5-2026.

40 KAR 12:130 Crematory authorities and inspections {#sec-40-kar-12-130 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:130}

Section 1. Crematory Authority License Application Form.

(1) An applicant shall not cremate human remains in the Commonwealth of Kentucky unless the Attorney General approves the applicant's crematory authority license application in accordance with this administrative regulation. An applicant shall submit an online license application using the Crematory Authority license application portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to complete an online application, an applicant shall complete and submit a Crematory Authority License Application, Form CR-5, to the Attorney General's office and submit::

(a) Payment of the $100 registration fee;

(c) A completed Preneed Funeral and Burial Contract Seller License Application, Form PNBL-1, as incorporated by reference in 40 KAR 12:120, if the applicant intends to sell preneed burial contracts.

(3) Applicants shall complete or submit additional information or documents for their application within thirty (30) days of any request by the Attorney General. The Attorney General may deny any application if an applicant fails to timely complete the application by not paying the application fee or provide requested missing information or required documents.

Section 2. Cremation Authorization Form.

(1) A licensed crematory authority shall complete and keep a Cremation Authorization, Form CR-1, for every cremation of human remains it has performed.

(2) A licensed crematory authority shall attach to the Cremation Authorization, Form CR-1, for authorizing agents for cremation, if applicable:

(a) An original Funeral Planning Declaration, Form FPD-1, as incorporated by reference in 40 KAR 12:100;

(b) An original discontinued Preneed Cremation Authorization, Form CR-3, executed prior to July 15, 2016; and

(c) An original U.S. Department of Defense form, Record of Emergency Data, DD Form 93, or a successor form adopted by the United States Department of Defense.

Section 3. Crematory Annual Report Form.

(1) On or before March 31 of each year, a licensed crematory authority shall complete and submit an annual reportto the Attorney General for each prior calendar year beginning January 1 and ending December 31.

(2) A licensed crematory authority shall submit its annual report using the Crematory Authority Annual Report portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(3) If unable to submit an online report, a licensed crematory authority may complete and submit a Crematory Authority Annual Report, Form CR-2, to the Attorney General's officeand submit the ten (10) dollar annual registration fee.

Section 4. Statement of Supervision Form.

(1) A licensed crematory authority shall submit a Statement of Supervision to the Attorney General for each trained retort operator before permitting the trained operator to operate a retort. A licensed crematory operator shall submit an online statement using the Statement of Supervision for Registered Crematory Retort Operators portal available at https://www.ag.ky.gov/AG%20Business%20Forms/1Online%20Forms%20for%20Cemeteries,%20Funeral%20Homes,%20and%20Crematories.pdf.

(2) If unable to submit an online statement, a licensed crematory authority shall complete and submit a Statement of Supervision for Registered Crematory Retort Operators, Form CR-4, to the Attorney General's office.

Section 5. Required Records of the Crematory Authority. To comply with KRS 367.97504(5), a crematory authority shall keep and maintain the following records for all cremations occurring within the prior ten (10) years:

(1) The original or a copy of the completed Cremation Authorization, Form CR-1;

(2) Any discontinued Preneed Cremation Authorization, Form CR-3 completed and executed prior to July 15, 2016; and

(3) Any Funeral Planning Declaration, Form FPD-1 as incorporated by reference in 40 KAR 12:100.

Section 6. Inspection of Crematory Authorities. The Attorney General may conduct announced and unannounced inspections of the applicant's and a licensed crematory authority's premises during normal business hours to review records and ensure compliance with KRS 367.97501 to 367.97537 and related administrative regulations. An applicant and a licensed crematory authority shall allow these inspections and make business records and documents and information related to an investigation or inquiry readily available to the Attorney General upon request.

Section 7. Material Changes in Application and Reports. Material Changes in Application and Reports. A licensed crematory authority shall notify the Attorney General in writing within fourteen (14) days of any material change in the information provided in its applications or reports.

Section 8. Human Remains of Deceased Pregnant Mother. A licensed crematory may cremate the remains of a deceased pregnant woman together with the fetal remains of her unborn child or children within the same cremation chamber. Completion of a Cremation Authorization, Form CR-1 authorizing cremation of the deceased pregnant woman shall also authorize cremation of her unborn child or children.

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Cremation Authorization", Form CR-1, Oct. 2025;

(b) "Crematory Authority Annual Report", Form CR-2, Oct. 2025;

(d) "Crematory Authority License Application", Form CR-5, Oct. 2025;

(e) "Crematory Authority license application portal", Oct. 2025;

(f) "Crematory Authority Annual Report portal", Oct. 2025; and

(g) "Statement of Supervision for Registered Crematory Retort Operators portal", Oct. 2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Capital Complex East 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the Office's Web site, https://ag.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 213.081, 213.098, 367.93103, 367.93105, 367.93115, 367.93117, 367.97501, 367.97504, 367.97507, 367.97511, 367.97514, 367.97517, 367.97521, 367.97524, 367.97527, 391.010
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.97501, 367.97504, 367.97534
CERTIFICATION STATEMENT: This is to certify that this administrative regulation amendment complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to recommend administrative regulations in the consumers' interest. KRS 367.97501 and 367.97504 require the Attorney General to promulgate an administrative regulation to establish an application for a crematory authority license and report forms. KRS 367.97524 requires crematory authorities to obtain signed cremation authorization forms before conducting any cremations. KRS 367.97534(5) authorizes the Attorney General to promulgate administrative regulations necessary to carry out the provisions of KRS 367.97501 to 367.97537, pertaining to crematory authorities. This administrative regulation establishes the license application form, and other forms, to be used by crematory authorities, and provides for online application and submission processes. This administrative regulation establishes the records and information that shall be retained by crematory authorities and permits crematory inspections by the Attorney General.
History: 040 KAR 002:150. 21 Ky.R. 699, 1291; eff. 10-12-1994; 29 Ky.R. 991, 1828, 2076; eff. 2-16-2003; TAm eff. 6-30-2016; 43 Ky.R. 251, 556, 675; eff. 12-2-2016; 44 Ky.R. 10; eff. 8-4-2017; 49 Ky.R. 1129, 1744; eff. 5-30-2023; Recodified as 040 KAR 012:130; eff. 7-18-2025; TAm eff. 7-18-2025; 52 Ky.R. 849, 1328; eff. 5-5-2026.

40 KAR 12:200 Notice of intent to solicit forms {#sec-40-kar-12-200 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:200}

Section 1.

(1) A professional fundraiser or professional solicitor shall file a sworn statement with the Attorney General pursuant to KRS 367.655(2) unless the solicitor or fundraiser has previously filed an Internal Revenue Service Federal Form 990 pursuant to KRS 367.657.

(2) The sworn statement required by KRS 367.657(2) shall contain the following information:

(a) The name of the charitable organization;

(b) A list of any other names the organization has used or been known by;

Street number, city, state and zip code;
Telephone number; and
Fax number.

(d) A statement as to the business form which the organization uses;

(e) A statement indicating if the organization or any of its officers, directors, employers, fundraisers, fundraising counsel or solicitors has:

Been enjoined by a government agency or court from soliciting;
Had its registration denied or revoked;
Been the subject of any proceeding regarding any solicitation or registration;
Entered into a voluntary agreement of compliance; or
Registered with any other state or agency.

(f) If the organization answered affirmatively to any of the questions in paragraphs (e)1 through 5 of this subsection the organization shall provide a list of all agencies and states where it is registered, including the:

Dates of registration;
Registration number;
Types of solicitation conducted in each state, including the dates of those solicitations; and
Any other names under which the organization was registered.

(g) List of other states where the organization is registered;

(h) A statement indicating if the organization has applied for tax exempt status or been granted IRS tax exempt status and the current standing of that status;

(i) A statement indicating if contributions to the organization are tax deductible;

(j) A statement indicating:

If tax exempt status has ever been denied, cancelled or modified;
The name of the agency that denied, cancelled or modified the tax exempt status; and
The date the tax exempt status was denied, cancelled or modified.

(k) A description of the purpose of the organization and use of the solicited funds;

(l) The names, addresses, telephone numbers and dates of all professional fundraisers, solicitors, fundraising counsel, or commercial covenanters the organization contracts with or with which the organization engages services;

(m) The amount paid to professional fundraisers, solicitors, or fundraising counsel during the previous year; and

(n) Any other information that may be required when filing an Internal Revenue Service Federal Form 990.

(3)

(a) The information required by subsection (2) of this section shall be provided by the seller on "Notice of Intent to Solicit Form A-1" (July 1994 edition) which is incorporated by reference.

(b) Copies of the form may be inspected, copied, or obtained at the Office of Attorney General, Consumer Protection Division, 1024 Capital Center Drive, Frankfort, Kentucky 40602, between the hours of 8:30 a.m. and 4:30 p.m., Monday through Friday.

History

RELATES TO: KRS 367.657
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.657(2)
NECESSITY, FUNCTION, AND CONFORMITY: To fulfill the requirement of an administrative form for those charitable organizations identified in KRS 367.657(2).
History: 040 KAR 002:110. 21 Ky.R. 694, 1287; eff. 10-12-1994; Crt eff. 2-21-2020; Recodified as 040 KAR 012:200; eff. 7-18-2025.

40 KAR 12:210 Professional solicitor and fundraising consultant forms: registration statement, bond, and criminal record check {#sec-40-kar-12-210 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:210}

Section 1. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "SR-1 Professional Solicitor Registration Statement (3/2001)";

(b) "FC-1 Fundraising Consultant Registration Statement";

(d) "CB-1 Cash Bond (3/2001)"; and

(e) "RCC-1 Request for Conviction Record (3/2001)".

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Consumer Protection Division, 1024 Capital Center Drive, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 367.652
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.652(3)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 367.652(2) and (5) require a professional solicitor or fundraising consultant to file a registration statement with, and obtain the approval of, the Attorney General. KRS 367.652(3) requires a professional solicitor to file, with the registration statement, a full cash or surety bond. KRS 367.652(8) requires the Attorney General to perform background checks to determine if an applicant has been convicted of an offense involving moral turpitude, or arising from conduct as a solicitor or consultant for a charitable organization or purpose. This administrative regulation establishes the required forms, incorporating them by reference.
History: 040 KAR 002:270. 27 Ky.R. 3183, 28 Ky.R. 67; eff. 7-16-2001; Crt eff. 2-21-2020; Recodified as 040 KAR 012:210; eff. 7-18-2025.

40 KAR 12:300 Issuance of permit to use automated calling equipment {#sec-40-kar-12-300 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:300}

Section 1.

(1) An "Application Form for Permit to Use Automated Dialing Equipment" shall be filed with the Office of the Attorney General.

(2) The Office of the Attorney General may verify the information contained in an application.

(3) An application that contains false or incomplete statements shall be denied.

Section 2.

(1) The surety bond required by KRS 367.469 shall be in favor of the Attorney General's Division of Consumer Protection.

(2) It shall be held for compensation to consumers if an applicant or permittee:

(a) Becomes insolvent or bankrupt; or

(b) Is unavailable, unable, or unwilling to:

Address consumer complaints; or
Satisfy claims for restitution or civil penalties under the provisions of KRS Chapter 367.

Section 3. Issuance, Renewal of Permit.

(1) A permit shall be issued if:

(a) An applicant has filed an "Application Form for Permit to Use Automated Dialing Equipment" with the Office of the Attorney General;

(b) The application form contains the required information; and

(2) A permit shall be valid for one (1) year.

(3) A request for renewal of a permit shall be:

(a) Made on the "Application Form for Permit to Use Automated Dialing Equipment"; and

(b) Subject to the same conditions as an initial application for a permit.

Section 4. Revocation of Permit. The Attorney General may revoke a permit if he determines that the permittee has violated KRS Chapter 367.

Section 5. Incorporation by Reference.

(1) "Application Form for Permit to Use Automated Dialing Equipment (1992)" is incorporated by reference.

(2) This form may be inspected, copied or obtained at the Office of the Attorney General, Consumer Protection Division, 209 St. Clair Street, Frankfort, Kentucky 40601-1875, 8 a.m. to 4:30 p.m., Monday through Friday.

History

RELATES TO: KRS 367.461, 367.463, 367.465, 367.467, 367.469
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.469
NECESSITY, FUNCTION, AND CONFORMITY: Sets forth the basis for issuance of permit to use automated calling equipment in the Commonwealth of Kentucky.
History: 040 KAR 002:040. 19 Ky.R. 534, 1063; eff. 11-9-1992; Crt eff. 2-21-2020; Recodified as 040 KAR 012:300; eff. 7-18-2025.

40 KAR 12:310 Procedure for registration of telemarketing companies {#sec-40-kar-12-310 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:310}

Section 1. Registration.

(1)

(a) Registration, or a renewal of registration, for telephone solicitation pursuant to KRS 367.46971 shall be made on the "Commonwealth of Kentucky Telemarketing Company Registration Statement". Each telemarketing company shall register by:

Completing the information required by the "Commonwealth of Kentucky Telemarketing Company Registration Statement"; and
Paying fees required by KRS 367.46971.

(b) At the time of filing the "Commonwealth of Kentucky Telemarketing Company Registration Statement", a telemarketing company shall file:

"Commonwealth of Kentucky, Office of the Attorney General, Telemarketing Company Consent for Service "; and
One (1) of the following bond forms:

a. "Commonwealth of Kentucky, Office of the Attorney General, Bond for Telemarketing Company "; or

b. "Commonwealth of Kentucky, Office of the Attorney General, Telemarketing Company Premium Surety Bond".

(2) A registration may be withdrawn prior to approval by submitting a written request that the application be withdrawn.

(3) If, upon receipt, the division determines that the materials filed by the telemarketing company do not contain all information required by KRS 367.46971, 367.46973 and 367.46981 or this administrative regulation, the division shall notify the telemarketing company in writing, specifying the information that was not completed in the registration statement or bond form. The registration shall not be completed until an amended filing is received by the division that contains all information required by KRS 367.46971, 367.46973 and 367.46981 or this administrative regulation. Upon receipt of the completed registration materials, the division shall provide a written confirmation of receipt of the completed filing.

Section 2.

(1) A change in the information specified in this subsection shall be considered a material change that a telemarketing company shall file in an addendum to the original or annual registration:

(a) A change relating to information in an original or annual filing required by KRS 367.46971(3) or 367.46973(11), (12), and (13);

(b) An addition or deletion of factual matter that differs from the factual matter contained in a telemarketing company's original filing; or

(c) An association with an officer, director, trustee, general or limited partner, sole proprietor, owner, or person having management responsibility in an applicant's business, or other person specified by KRS 367.46973(5) and (7), who, after a telemarketing company's original filing:

Has committed an act or offense specified by KRS 367.46973(8)(a);
Is subject to a final judgment or order specified by KRS 367.46973(8)(b) and (c);
Has filed in bankruptcy or been adjudged as bankrupt as specified by KRS 367.46973(8)(d).

(2) Information filed pursuant to subsection (1) of this section shall contain the information required by 367.46973(8).

(3)

(a) A change in information required pursuant to this section shall be filed on "Commonwealth of Kentucky Telemarketing Company Registration Statement".

(b) Information required pursuant to this section shall be filed with the division.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Commonwealth of Kentucky Telemarketing Company Registration Statement", Form Ts-1, 2002;

(b) "Commonwealth of Kentucky, Office of the Attorney General, Telemarketing Company, Consent For Service, Form Ts-2, 2002;

(d) "Commonwealth of Kentucky, Office of the Attorney General, Telemarketing Company Premium Surety Bond", Form Ts-5, 2002.

History

RELATES TO: KRS 367.46971, 367.46973, 367.46981
STATUTORY AUTHORITY: KRS 15.180, 367.46983
NECESSITY, FUNCTION, AND CONFORMITY: KRS 367.46983 authorizes the Attorney General to promulgate administrative regulations required to enforce KRS 367.46951 to 367.46999 governing the sales of goods and services to Kentucky consumers by use of telephone solicitations. This administrative regulation establishes procedures for the registration of telemarketing companies governed by the provisions of KRS 367.46951 to 367.46999.
History: 040 KAR 002:070. 21 Ky.R. 688, 1283; eff. 10-12-1994; 25 Ky.R. 1098, 1581; eff. 1-19-1999; 29 Ky.R. 1298, 2075; eff. 2-16-2003; Crt eff. 2-21-2020; Recodified as 040 KAR 012:310; eff. 7-18-2025.

40 KAR 12:400 Debt adjusters {#sec-40-kar-12-400 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:400}

Section 1. Definitions.

(1) "Debt Adjuster Bond" means the "Commonwealth of Kentucky Debt Adjuster Surety Bond, Form DA-3", incorporated by reference in this administrative regulation.

(2) "Debt Adjuster Irrevocable Letter of Credit" means the "Commonwealth of Kentucky Debt Adjuster Irrevocable Letter of Credit", Form DA-4, incorporated by reference in this administrative regulation.

(3) "Division" means the Office of the Attorney General, Consumer Protection Division.

(4) "Registrant" means a person filing the registration form required by KRS 380.040(5) and this administrative regulation.

(5) "Registration form" means the "Commonwealth of Kentucky Debt Adjuster Registration Statement".

Section 2. Registration.

(1) The initial registration, or a renewal of registration, for a person engaging in debt adjusting pursuant to KRS Chapter 380 shall be made on the "Commonwealth of Kentucky Debt Adjuster Registration Statement". Each person engaging in debt adjusting shall register by:

(a) Completing the information required by the registration form and submitting:

The legal name of the registrant;
Whether the registration is an initial or renewal registration;
The registrant's contact person, including name, title, telephone number, fax number, and, optionally, e-mail address;
Other names under which the registrant conducts business, and provide copies of all filings in Kentucky regarding the use of an assumed name or names;
The registrant's principal physical business location, which shall not be a post office box, including street address, city, state, and zip code;
The registrant's mailing address if different from the principal physical business location, including address, city, state, and zip code;
The registrant's telephone number;
The registrant's fax number;
The registrant's Web site;
The registrant's agent for service of process in Kentucky, including name, address, city, state, and zip code;
The location where the registrant keeps or maintains records of its customers who reside in Kentucky if different from the principal physical business location, including address, city, state, and zip code;
The registrant's type of business structure, indicating whether it is a corporation, limited liability company, general partnership or joint venture, limited partnership, natural person, or other type of structure and describing such other type, the state under the laws of which the business structure was formed, and including a copy of registrant's certificate of authority to transact business in the Commonwealth of Kentucky issued by the Kentucky Secretary of State or other evidence of authority to transact business in the Commonwealth of Kentucky and describing this other evidence;
A description of the debt adjusting services the registrant will offer, sell or provide to Kentucky residents, and identifying whether the registrant engages in debt adjusting in relation to any debt that is primarily for personal, family, or household use that is secured by a mortgage, deed of trust, other equivalent consensual security interest on residential real property, or collateral that has a mortgage lien interest in residential real property;
The registrant's fee schedule, indicating the amount of the fee for initial set-up, the amount of the consultation fee, the amount and frequency of the service fee or other periodic fee, the amount of the bad check charge, and the amount and frequency of any other fee or fees and describing these other fee or fees;
The registrant's officers, directors, trustees, general partners, and sole proprietor, as applicable, and any person having management responsibilities in the registrant's business activities, including name, address, telephone number, title or position held, and percentage of ownership interest;
The financial institution in which the registrant will maintain a trust account into which Kentucky consumer funds will be deposited and withdrawn to pay respective creditors, including the name, address, city, state, zip code, telephone number, and fax number;
A sample of each type of contract or agreement for the registrant's debt adjuster services with Kentucky residents;
The aggregate amount of all deposits made with the registrant by all debtors in each of the six (6) months preceding the filing of this registration;
The aggregate amount of all deposits made with the registrant by all Kentucky residents in each of the twelve (12) months preceding the filing of this registration;
Information regarding each applicable insurance policy, including policy number, the name of the insurer that issued the policy, whether the division is named as an additional interested party, whether the insurance policy covers errors and omissions, employee dishonesty, depositor's forgery, computer fraud, or violations of KRS Chapter 380, the policy amount, the deductible amount, the insurer's rating and the rating organization, and including a complete copy of the insurance policy and declarations or, if a complete copy of the insurance policy and declarations was previously provided to the division, a copy of the current declarations or certificate of coverage applicable to the policy;
A completed Debt Adjuster Bond, or, in lieu thereof, a completed Debt Adjuster Irrevocable Letter of Credit;
A list of each state in which the registrant is registered or licensed to provide debt adjuster services and the time of filing the registration;
The signature and oath of the registrant, using the following oath: "I hereby swear or affirm that I am an authorized representative of the registrant set forth above, and that the statements contained herein and attachments hereto are true and correct", and including the printed name and title of the person signing the oath;
A completed notarization of the signature and oath of the registrant, including the seal of the notary public;

(b) Filing the original of the registration form and accompanying documentation with the Office of the Attorney General, Consumer Protection Division, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601; and

(2) Registration shall be valid for one (1) year from the effective date stated in the written confirmation of registration provided by the division, and may be renewed annually by making the required filing and paying the renewal fee.

(3) Deadline for filing.

(a) The initial registration form and fee shall be filed with the division prior to the date the registrant will engage in debt adjusting pursuant to KRS Chapter 380.

(b) The renewal registration form and fee shall be filed with the division at least four (4) weeks prior to the expiration of the registration.

Delivered to the Division; or
Deposited in the mail or with a commercial postal service on or before the due date, as indicated by the postmark applied by the U.S. Postal Service or official mark applied by a commercial postal service. The mark made by a privately-held postage meter shall not be considered in determining the date of filing.

(4)

(a) If the Division determines that the registration form or the materials submitted with the registration form do not comply with KRS Chapter 380 or contain all information or materials required by KRS Chapter 380 or this administrative regulation, the division shall notify the registrant in writing, specifying the noncompliance or the information or materials that were not completed in or provided with the registration form.

(b) The registration shall not be effective until a registration form or an amended registration form is filed with the division that contains all information and materials required by KRS Chapter 380 and this administrative regulation.

Section 3. A person shall not engage in debt adjusting prior to the timely filing of a complete and accurate registration which has been confirmed by the division pursuant to Section 2(4)(c) of this administrative regulation.

Section 4. Annual Audit.

(1) The annual audit required by KRS 380.040(6) shall include an audit of:

(a) The registrant's financial statements and records;

(b) The trust accounts required by KRS 380.040(1)(b);

(d) The registrant's compliance with the requirements of this administrative regulation.

(2) The Commonwealth of Kentucky Debt Adjuster Audit Checklist, Form DA-2, shall be used for purposes of the annual audit and filed with the results of the annual audit.

(3) The results of the audit and the auditor's opinion filed with the division shall be accompanied by a certification from each individual auditor joining in the opinion. The certification shall include:

(a) The auditor is an independent, third-party certified public accountant;

(b) The states in which the auditor is licensed as a certified public accountant; and

(4) The results of the audit and the auditor's opinion, and the certification by each auditor, shall be filed with each renewal registration form, and shall be no older than twelve (12) months prior to the date of filing of the renewal registration form.

Section 5. The trust accounts required by KRS 380.040(1)(b) shall be maintained in a federally insured financial institution.

Section 6.

(1) A person engaged in debt adjusting shall notify the division in writing at the address shown in Section 2(1)(b) of this administrative regulation, or by electronic mail or fax with prior approval of the division, within five (5) business days of any cancellation, nonrenewal, modification, or change, or receipt of notice of any cancellation, nonrenewal, modification, or change of, the insurance coverage required by KRS 380.040(7), the bond required by KRS 380.040(8) and this regulation, or the irrevocable letter of credit accepted in lieu of the bond pursuant to KRS 380.040(8) and this administrative regulation.

(2) Except as required by subsection (1) of this section, within thirty (30) days of any material change in the information provided on or submitted with the registration form, a registrant shall notify the division in writing at the address shown in Section 2(1)(b) of this administrative regulation, or by electronic mail or fax with prior approval of the division, of each change and submit an updated registration form. The annual renewal date for the registrant shall not be affected by the filing required by this section.

(3) A notice or letter from the division to a registrant may be sent by first-class regular mail to a last-known address as shown in the registrant's last filing with the division.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) The "Commonwealth of Kentucky Debt Adjuster Registration Statement", Form DA-1, July 2010;

(b) The "Commonwealth of Kentucky Debt Adjuster Audit Checklist", Form DA-2, July 2010;

(d) The "Commonwealth of Kentucky Debt Adjuster Irrevocable Letter of Credit", Form DA-4, July 2010.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Consumer Protection Division, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 380.010, 380.030, 380.040, 380.050, 380.060, 380.070, 380.080, 380.090, 380.100, 380.110, 380.120, 380.130, 380.990
STATUTORY AUTHORITY: KRS 380.040(5), 380.050
NECESSITY, FUNCTION, AND CONFORMITY: KRS 380.050 requires the Attorney General to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 380, relating to debt adjusting. KRS 380.040(5) requires a person to file a registration form developed by the Attorney General. This administrative regulation establishes the registration and renewal process and incorporates by reference the forms to be utilized by persons subject to registration.
History: 040 KAR 002:350. 31 Ky.R. 1916, 32 Ky.R. 227; eff. 8-25-2005; 37 Ky.R. 741; eff. 11-05-2010; Crt eff. 2-21-2020; Recodified as 040 KAR 012:400; eff. 7-18-2025.

40 KAR 12:410 Business opportunity sellers {#sec-40-kar-12-410 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:410}

Section 1. Business Opportunity Sellers Registration Application.

(1)

(a) A business opportunities seller shall not make sales to Commonwealth of Kentucky residents unless the Attorney General approves the business opportunity seller's registration application in accordance with this administrative regulation.

(b) An applicant shall submit an online registration application using the Business Opportunity Seller registration application portal available at https://www.ag.ky.gov/Resources/Pages/Office-of-Regulatory-Relief.aspx.

(2) To complete an online application, an applicant shall submit:

(a) Payment of the $150.00 registration fee;

(b) The applicant's certificate of existence, authorization certificate from the Kentucky Secretary of State's office, or other evidence of the applicant's authority to transact business in Kentucky;

(c) A completed Business Opportunity Seller Surety Bond, form A-1; a completed Business Opportunity Seller Cash Bond/Certificate of Deposit Assignment, form A-2; a completed surety bond complying with KRS 367.815; or a completed cash bond/certificate of deposit assignment complying with KRS 367.815;

(d) A copy of applicant's current audited financial statement;

(e) Copies of all materials provided by the applicant to prospective consumers or investors; and

(f) Copies of all contracts used by the applicant.

(3) An applicant shall submit additional information or documents for their application within thirty (30) days of any request by the Attorney General. The Attorney General may deny any application if an applicant fails to timely complete the application by not paying the application fee or not submitting requested missing information or required documents.

Section 2. Business Opportunity Seller Renewal Application.

(1) An approved business opportunity seller registration or renewal application shall be valid for one (1) year from the date of written confirmation of registration or renewal approval provided by the Attorney General.

(2) Thirty (30) days prior to the expiration of a current registration, a registrant may renew its registration. Registration renewal shall be accomplished by submitting an online renewal application using the Business Opportunity Sellers Renewal application portal available at https://www.ag.ky.gov/Resources/Pages/Office-of-Regulatory-Relief.aspx.

(3) To complete the online renewal application portal, a registrant shall submit:

(a) Payment of the $50.00 renewal fee;

(b) A copy of the registrant's audited financial statement for the preceding year;

(c) A completed Business Opportunity Seller Surety Bond, form A-1; a completed Business Opportunity Seller Cash Bond/Certificate of Deposit Assignment, form A-2; a completed surety bond complying with KRS 367.815; or a completed cash bond or certificate of deposit complying with KRS 367.815; if the registrant's prior filed security is not current.

(d) Copies of any new materials provided by the registrant to prospective consumers or investors since last application; and

(e) Copies of any new contracts used by registrant since last application.

(4) A registrant shall submit additional information or documents for its renewal application within thirty (30) days of any request by the Attorney General. The Attorney General may deny any renewal application if a registrant fails to timely complete the application by not paying the renewal application fee or not submitting requested missing information or required documents.

(5) Any registration renewal by the Attorney General shall not be construed to waive or condone any violation of law that occurred prior to any registration renewal and shall not prevent subsequent proceedings against the registrant.

Section 3. Exempt Offerors.

(1) A business claiming a KRS 367.807 exemption from the provisions of KRS 367801 to 367.819 shall submit a notice of exemption using the Franchise Exemption Notice portal available at https://www.ag.ky.gov/Resources/Pages/Office-of-Regulatory-Relief.aspx.

(2) To complete the online exemption notice portal, the offeror shall submit:

(a) The offeror's certificate of existence; authorization certificate from the Kentucky Secretary of State's office, or other evidence of the applicant's authority to transact business in Kentucky; and

(b) A copy of the offeror's Federal Trade Commission (FTC) Franchise Disclosure Document (FDD) if the KRS 367.807(1)(a) franchise exemption is claimed.

Section 4. Written notification of material changes. A registered business opportunity seller and offeror submitting an exemption notice shall notify the Attorney General, in writing, within fourteen (14) days of any material change to information provided in the registrant's original application, any renewal application, or application attachments.

Section 5. Record Requests. A business opportunity seller or offeror submitting an exemption notice shall make business records, documents, and information related to an investigation or inquiry readily available to the Attorney General for inspection and copying upon request.

Section 6. Incorporation by Reference.

(1) The following materials are incorporated by reference:

(a) "Business Opportunity Seller Surety Bond", Form A-1, Dec. 2025;

(b) "Business Opportunity Seller Cash Bond/CD Assignment", Form A-2, Dec. 2025;

(d) "Business Opportunity Sellers Renewal application portal," Dec. 2025; and

(e) "Franchise Exemption Notice portal," Dec. 2025.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of Attorney General, Capital Complex East, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40602, Monday through Friday, between the hours of 8:00 a.m. and 4:30 p.m. This material is also available on the Office's website, https://ag.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 367.805, 367.807, 367.815
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.805(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation amendment complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to recommend administrative regulations in the consumers' interest. KRS 367.805 requires business opportunity sellers to register with the Attorney General and provide certain information and documents. KRS 367.805 requires registered business opportunity sellers to renew registrations annually. KRS 367.805 and 367.815 require business opportunity sellers to submit surety bonds or cash certificates of deposit to the Attorney General. KRS 367.807 exempts certain offerors from the provisions of KRS 367.801 to 367.819. This administrative regulation establishes an online registration application process, an online renewal registration application process, a surety bond, and a cash bond/certificate of assignment for use by business opportunity sellers; and an online notice submission process for exempt offerors.
History: 040 KAR 002:120. 21 Ky.R. 695, 1287; eff. 10-12-1994; Crt eff. 2-21-2020; Recodified as 040 KAR 012:410; eff. 7-18-2025; 52 Ky.R. 1161, 1676; eff. 6-30-2026.

40 KAR 12:420 Recreational and retirement use land, disclosure costs {#sec-40-kar-12-420 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:420}

Section 1. Disclosures. Any subdivider of recreation and retirement use land as defined by KRS 367.472 shall give a full and complete disclosure to the purchaser of a lot, parcel, unit or other interest thereof of any probable costs of any necessary maintenance of improvements of said land which may accrue in the future. Said disclosure must be made both orally and in writing prior to the signing of a contract or agreement to purchase. Said disclosure shall include but is not limited to:

(1) The probable costs for each of the following:

(a) Maintenance of improvements;

(b) The cost of taxes for the property as of the date the contract or agreement to purchase is signed, as well as any tax increases that will occur or which there is reasonable cause to believe could occur within the next five (5) years;

(c) The cost of any assessments to the property at the time the contract or agreement to purchase is signed, as well as a reasonable projection of increases in such assessments which could occur within the next five (5) years;

(d) Cost of repairs and other improvements;

(2) Whether any maintenance of improvements costs, taxes, assessments, repair or other improvement costs are being assumed or borne by the subdivider at the time the solicitation for sale is made and, if so, the amount assumed by the subdivider for each such item, the date the subdivider will no longer assume or bear said costs, and those who will assume or bear such costs once the subdivider is no longer liable;

(3) Whether any person or persons, as defined by KRS 367.472(3), other than the subdivider, assumes or bears any maintenance costs, taxes, assessments, repair or improvement costs at the time the solicitation for sale is made and, if so, the amount assumed by this person or persons for each such item, the date this person or persons will no longer assume or bear such costs, and those who will assume or bear such costs once this person or persons is no longer liable;

(4) Whether membership in an organization or association of property owners is required and whether the cost of said association is borne in whole or in part by the subdivider or the purchaser. If such costs are borne in whole or in part by the subdivider, the subdivider must disclose:

(a) The amount of costs being borne by the subdivider and the amount being borne by the purchasers;

(b) The amount of cost to the purchaser when the subdivider stops bearing the costs;

(d) The number of property owners and/or association members upon which this cost figure is based;

(5) Any projection of cost that has been made or can reasonably be made for future repairs or improvements to the property within the next five (5) years which will be paid directly or indirectly by the purchaser;

(6) Whether future development and/or construction is anticipated by the subdivider and whether said development and/or construction can reasonably be expected to result directly or indirectly in added costs for maintenance of improvements, taxes, assessments, repairs or other improvements to a property owner. If additional costs are anticipated, the subdivider must disclose:

(a) Whether these costs will be borne in whole or in part by the subdivider;

(b) The amount of costs being borne by the subdivider;

(d) The amount of the costs to the purchaser for the next five (5) years;

(e) The number of property owners upon which this cost figure is based;

(7) Any other costs or fees assessed directly or indirectly to the purchaser for maintaining the property that can be reasonably anticipated by the subdivider for the next five (5) years.

Section 2. The subdivider shall file with the Office of the Attorney General, Division of Consumer Protection, a copy of the written disclosures required by Section 1 of this regulation. The subdivider is required to keep current the information on which the disclosures required by Section 1 of this regulation are based and shall immediately notify the division of any material changes in the information contained in the disclosure and shall make appropriate amendment of the written and oral disclosure statements.

Section 3. Penalties. Any person who fails to make the oral and written disclosures required by Section 1 of this regulation shall be subject to prosecution pursuant to KRS 367.484.

History

RELATES TO: KRS 367.472, 367.480
STATUTORY AUTHORITY: KRS 367.480
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation is necessitated by KRS 367.480, which requires the Attorney General to promulgate rules and administrative regulations which will ensure an adequate disclosure to the purchaser of recreational and retirement use land the probable costs of any necessary maintenance or improvements of such land which may accrue in the future.
History: 040 KAR 002:010. 10 Ky.R. 949, 11 Ky.R. 52; eff. 7-1-1984; Crt eff. 2-21-2020; Recodified as 040 KAR 012:420; eff. 7-18-2025.

40 KAR 12:430 Buying clubs and vacation clubs {#sec-40-kar-12-430 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:430}

Section 1. Buying and Vacation Club Seller Surety Bond Submission.

(1)

(a) A buying club seller or a vacation club seller that has a membership fee exceeding thirty-five (35) dollars shall not make sales to Commonwealth of Kentucky residents, unless the seller submits a surety bond to the Attorney General in accordance with this administrative regulation,.

(b) A buying club seller or a vacation club seller shall submit a surety bond using the Buying/Vacation Club Seller Surety Bond submission portal available at https://www.ag.ky.gov/Resources/Pages/forms.aspx.

(2) To complete the online bond submission portal, a buying club seller or a vacation club seller shall submit:

(a) The seller's certificate of existence, authorization certificate from the Kentucky Secretary of State's office, or other evidence of the applicant's authority to transact business in Kentucky; and

(b) A completed Buying and Vacation Club Seller Surety Bond, form BV-1, or other completed surety bond complying with KRS 367.403.

Section 2. Buying and Vacation Club Seller Exemption Application.

(1) A nonprofit organization may submit an online application to be exempted from the requirements of KRS 367.397 to 367.403 by using the Buying and Vacation Club Seller Application portal available at https://www.ag.ky.gov/Resources/Pages/forms.aspx.

(2) To submit the online application, an applicant shall submit the applicant's certificate of existence, authorization certificate from the Kentucky Secretary of State's office, or other evidence of the applicant's authority to transact business in Kentucky.

(3) An applicant shall submit additional information or documents for their application within thirty (30) days of any request by the Attorney General. The Attorney General may deny any application if an applicant fails to timely complete the application by not providing requested missing information or required documents.

Section 3. Record Requests. A buying club seller, vacation club seller or exempted non-profit organization shall make business records, documents, and information related to an investigation or inquiry readily available to the Attorney General for inspection and copying upon request.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Buying and Vacation Club Seller Surety Bond", Form BV-1, Dec. 2025;

(b) "Buying/Vacation Club Seller Surety Bond submission portal", Dec. 2025; and

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General Capital Complex East, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the Attorney General's website, https://ag.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 367.395, 367.401, 367.403
STATUTORY AUTHORITY: KRS 15.180, 367.150(4)
CERTIFICATION STATEMENT: This is to certify that this administrative regulation amendment complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to recommend administrative regulations in the consumers' interest. KRS 367.403 requires buying club sellers and vacation club sellers to file bonds with the Attorney General. KRS 367.407 permits non-profit organizations to file applications with the Attorney General to seek exemption from the requirements of KRS 367.397 to KRS 367.403. This administrative regulation establishes an online bond submission process for buying club sellers and vacation club sellers, establishes an online application process for nonprofit organizations seeking exemption status, and establishes a surety bond form for use by buying club sellers and vacation club sellers.
History: 040 KAR 012:430. 52 Ky.R. 1238, 1678; eff. 6-30-2026.

40 KAR 12:500 Application for conducting more than two (2) going-out-of-business sales in four (4) years form {#sec-40-kar-12-500 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:500}

Section 1. Application for Excess Permits Form. The "Application for Excess Permits Form GOB-2" required by KRS 365.447 shall contain the following information:

(1) The title of the county clerk;

(2) The number of going-out-of-business permits acquired by the applicant during past four (4) years;

(3) For each of the previous sales, the applicant shall provide the name of the store involved, the name(s) of the owner(s), and the date and address of the sale;

(4) The name and address of the owner(s) of the goods to be sold. If the owner is a partnership, corporation, firm, or association, list all partners and officers;

(5) The address of the principal office of the applicant in Kentucky;

(6) The date and place of incorporation or organization of the business;

(7) Whether the controlling interest in the firm or business has been transferred within the twelve (12) months prior to the filing of the application. If the answer is yes, then specify the parties to the transfer and the date of the transfer;

(8) The name and style in which the sale is to be conducted;

(9) The address of the premises where the sale will be conducted;

(10) The date the sale is to begin and the projected duration of the sale;

(11) The name and address of the person who will be in charge and responsible for the conduct of the sale;

(12) Nature of the occupancy (lease, etc.) of the premises where the sale is to be held, and the effective date of the termination of the occupancy;

(13) The condition or necessity which is the occasion of the sale;

(14) An explanation of the condition or necessity for the previous sales, and the legitimate business reason for obtaining the excess permits;

(15) The name of the sale, and the reason why the name is truthfully descriptive of the sale;

(16) The location to which the business will be relocated if the sale is a removal sale;

(17) The time, location, and cause of damage to the goods if the license is to conduct a fire sale;

(18) Whether the sale involves foods or drugs damaged by fire or other casualty. If it does, proof of approval by the Department for Human Resources must be provided before the application may be accepted;

(19) The total value of the inventory at cost, with inventory pages from Form GOB-1 attached;

(20) The total value of the inventory at retail from the attached GOB-1 inventory pages;

(21) A sworn and notarized statement from the authorized individual filing the application;

(22) A notice that the applicant will be charged the actual costs of the Attorney General's investigation. The minimum charge will be twenty-five (25) dollars, and the maximum charge will be $250.

Section 2.

(1) The "Application for Conducting More Than Two (2) Going-out-of-business Sales in Four (4) Years Form GOB-2" is incorporated by reference.

(2) Copies of the "Application For Conducting More Than Two (2) Going-out-of-business Sales In Four (4) Years Form GOB-2" may be inspected, copied, or obtained at the Office of the Attorney General, Consumer Protection Division, 1024 Capital Drive, Frankfort, Kentucky 40602, between the hours of 8:30 a.m. and 4:30 p.m., Monday through Friday.

History

RELATES TO: KRS 365.447
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 365.447
NECESSITY, FUNCTION, AND CONFORMITY: To fulfill the requirement for an application form to conduct more than two (2) going-out-of-business sales in a four (4) year period identified in KRS 365.447.
History: 040 KAR 002:210. 21 Ky.R. 703, 1294; eff. 10-12-1994; Crt eff. 2-21-2020; Recodified as 040 KAR 012:500; eff. 7-18-2025.

40 KAR 12:510 Application procedure for obtaining going-out-of-business sale permits in excess of two (2) sales in a four (4) year period {#sec-40-kar-12-510 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:510}

Section 1. Application Procedure for Excess Permits. When any individual, partnership, corporation or other firm seeks a permit to conduct more than two (2) going-out-of-business sales within a four (4) year period, such party shall obtain, complete, and submit to the Office of the Attorney General, Division of Consumer Protection, an application form to obtain such permit.

Section 2. Investigation to Determine Legitimate Business Purpose.

(1) Upon receipt of such application, the Office of the Attorney General, Division of Consumer Protection, shall initiate and conduct an investigation to determine if there is a legitimate business reason to conduct more than two (2) going-out-of-business sales within a four (4) year period. The Division of Consumer Protection shall investigate the circumstances of all previous going-out-of-business sales conducted by the applicant within the previous four (4) years and consider all relevant information in reaching its decision. Relevant business records and information shall include information relating to activities and going-out-of-business sales conducted in other jurisdictions. The Attorney General may request additional information and relevant business records from the applicant in determining the legitimacy of the business reason for the application.

(2) The Attorney General shall determine if there is a legitimate business reason for the applicant's request for any excess permits and deny or grant the permit within thirty (30) days of receiving the application.

(3) Valid business reasons for conducting more than two (2) going-out-of-business sales within a four (4) year period shall include:

(a) Insolvency of the business or owner(s);

(b) Unprofitability or inadequate profitability of the business;

(d) Intent of the owner(s) to engage in other enterprises or endeavors;

(e) Termination of the business to free assets to pay any judgment of any court;

(f) Death of the owner(s), and the representatives of the estate(s), or their heirs, distributees, devisees, legatees, or their successors and assigns seek to terminate the business;

(g) Where the business is required or compelled to be discontinued because:

The premises upon which it is being conducted have been taken by eminent domain; or
The premises upon which it is being conducted must be vacated pursuant to court order pursuant to a legal or judicial proceeding; or
The business's lease on the premises upon which it is operating has been terminated by the landlord, or the landlord will not renew the lease.

(4) Business reasons which are not legitimate for the purposes of KRS 365.447 shall include, but not be limited to:

(a) Opening the business with intent to conduct a going-out-of-business sale with inventory brought in for that purpose, whether such inventory is owned by the business owner(s) or not, more than ninety (90) days prior to the application for the permit;

(b) Buying into an existing business with the intent to conduct a going-out-of-business sale, and bringing in large quantities of goods for that purpose, whether such inventory is owned by the business owner(s) or not, more than ninety (90) days prior to the application for the permit.

Section 3. The applicant may be charged the costs of the investigation. The Attorney General may charge the applicant for the costs of the investigation. The actual costs shall be assessed the applicant by the Attorney General, however the minimum charge shall be twenty-five (25) dollars, and the maximum charge $250.

Section 4. Any applicant whose application is denied by the Attorney General following investigation may seek appeal of the denial pursuant to 40 KAR 2:230 and 40 KAR 2:240.

History

RELATES TO: KRS 365.447
STATUTORY AUTHORITY: KRS 15.180, 365.447
NECESSITY, FUNCTION, AND CONFORMITY: KRS 365.447 requires in pertinent part the Office of the Attorney General to promulgate administrative regulations pertaining to applications by any party for more than two (2) going-out-of-business sale permits during a four (4) year period. This administrative regulation sets forth the procedures for applying for a subsequent permit, the investigation to be initiated and conducted by the Attorney General, and charges to the applicant, pursuant to KRS 365.447.
History: 040 KAR 002:220. 21 Ky.R. 704, 1463, 1720; eff. 11-17-1994; Crt eff. 2-21-2020; Recodified as 040 KAR 012:510; eff. 7-18-2025.

40 KAR 12:520 Transient Merchant Permit Bonds {#sec-40-kar-12-520 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:520}

Section 1. Transient Merchant Permit Bond Submission. If an applicant submits a transient merchant permit application to a county clerk or an urban county government officer and the aggregate market value of goods, wares or merchandise to be sold is $1,500.00 or more, the applicant shall complete and submit a "Transient Merchant Permit Bond Notice", Form T-1, to the Attorney General's office, and submit a surety bond complying with KRS 365.680.

Section 2. Incorporation by Reference.

(1) "Transient Merchant Permit Bond Notice", Form T-1, Nov. 2025, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Capital Complex East, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m. This material is also available on the Office's website, https://ag.ky.gov/Pages/default.aspx.

History

RELATES TO: KRS 365.680
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 365.680
CERTIFICATION STATEMENT: This is to certify that this administrative regulation amendment complies with the requirements of 2025 RS HB 6, Section 8.
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to recommend administrative regulations in the consumers' interest. KRS 365.680 requires a transient merchant permit applicant to file a surety bond with the Attorney General when the aggregate market value of goods, wares or merchandise to be sold is one $1,500.00 or more. This administrative regulation establishes the form to be used by a transient merchant permit applicant when submitting the required surety bond.
History: 040 KAR 012:520. 52 Ky.R. 1060; eff. 6-2-2026.

40 KAR 12:600 Contact lens seller annual registration and verification requirements {#sec-40-kar-12-600 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:600}

Section 1. Definitions.

(1) "Applicant" means a person located outside Kentucky desiring to ship, mail, deliver, or sell contact lenses to a patient at a Kentucky address.

(2) "Date of authorization" means the date on which a contact lens prescription is completed, as referenced in KRS 367.685.

(3) "Dispensing facility" means the building or structure from which contact lens orders are shipped.

(4) "Response-time options" means requests for contact lens prescription verification in which the requestor expressly or implicitly states that the failure of the prescribing optometrist, osteopath, or physician to respond to the request within the time frame or in the manner stated in the request constitutes a verification of the prescription.

Section 2. Contact Lens Seller Annual Registration Form. The Contact Lens Seller Annual Registration Form, CLS-1, shall contain the following information:

(1) In accordance with KRS 367.687(1), a certification by the applicant that the applicant is licensed or registered to distribute contact lenses in the state in which the dispensing facility is located and from which the contact lenses are dispensed, including the date of licensure, the expiration date, if any, and the name and address of the licensing or registering agency.

(2) The business names, titles, and addresses required by KRS 367.687(2).

(3) A certification by the applicant containing the information required by KRS 367.687(3).

(4) If any owner, partner, corporate officer, or person responsible for overseeing the dispensing of contact lenses has been the subject of civil or criminal action by an agency in any state which regulates the sale or dispensing of contact lenses, this information shall be disclosed on the application.

(5) A certification by the applicant that they shall respond to all requests for information from the Attorney General in accordance with KRS 367.687(4).

(6) A certification by the applicant that they shall maintain records of contact lenses dispensed to residents of the Commonwealth of Kentucky in accordance with KRS 367.687(5).

(7) The toll-free telephone number and certification required by KRS 367.687(6).

(8) The toll-free telephone number required by KRS 367.687(7).

(9) A certification by the applicant that the notification required by KRS 367.687(8) will be sent to the patient whenever contact lenses are supplied.

(10) The certification required by KRS 367.687(9).

(11) An annual registration fee of $300 enclosed with each registration in the form of a check made payable to "Kentucky State Treasury".

(12) The signature of the applicant or a person authorized to sign on behalf of the applicant. The signature shall constitute a certification that the statements contained in the application are true and correct.

Section 3. The Attorney General may charge a fee for investigation of nonresident dispensers of contact lenses based on reasonable expenses incurred during the investigation process, in accordance with KRS 367.688.

Section 4. Response-time Options.

(1) Response-time options are prohibited and shall not constitute verification of a contact lens prescription, in accordance with KRS 367.683(2)(f).

(2) A mail order contact lens seller shall verify a contact lens prescription through one of the methods provided in KRS 367.683(1).

Section 5. Providing and Verifying Prescriptions.

(1) In compliance with KRS 367.685, upon completion of a contact lens fitting a patient shall be entitled to receive a complete copy of the contact lens prescription until its expiration date.

(2) In compliance with KRS 367.683, a patient's prescribing optometrist, osteopath or physician shall, through electronic or oral affirmative communication, verify a contact lens prescription submitted by a contact lens seller designated to act on behalf of that patient.

Section 6. Incorporation by Reference.

(1) The "Contact Lens Seller Annual Registration Form", CLS-1, 2003, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Attorney General, Consumer Protection Division, 1024 Capital Drive, Frankfort, Kentucky 40602, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 367.680-367.690
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.688, 367.689
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations which will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law by law. KRS 367.150(4) requires the Department of Law to study the operation of all laws, rules, administrative regulations, orders, and state policies affecting consumers and to promulgate administrative regulations in the consumers' interest. KRS 367.689 authorizes the Attorney General to promulgate administrative regulations to carry out the provisions of KRS 367.680 to 367.690, pertaining to the sale of contact lenses. KRS 367.688 requires the Attorney General to charge a fee for investigation and registration of nonresident dispensers of contact lenses. This administrative regulation establishes requirements for a mail order contact lens seller annual registration form required by KRS 367.687.
History: 040 KAR 002:340. 30 Ky.R. 504, 1203; eff. 12-5-2003; Crt eff. 2-21-2020; Recodified as 040 KAR 012:600; eff. 7-18-2025.

40 KAR 12:610 Visual aid glasses seller annual registration requirements {#sec-40-kar-12-610 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:610}

Section 1. Visual Aid Glasses Seller Registration Form. A registrant shall register annually by submitting a complete Visual Aid Glasses Seller Registration, Form G-1, containing all information and the registration fee required by this administrative regulation. The Visual Aid Glasses Seller Annual Registration, Form G-1, shall contain the following:

(1) The legal name of the registrant;

(2) Other names under which the registrant conducts business;

(3) The registrant's contact person including name, title, business address, phone number, and fax number. The contact person's email address may also be provided;

(4) The registrant's principal physical business location, which shall not be a post office box;

(5) The registrant's mailing address;

(6) The location where the registrant keeps or maintains records of its Kentucky customers;

(7) The toll-free phone numbers for questions from customers, optometrists, osteopaths and physicians;

(8) The registrant's fax number;

(9) The registrant's website;

(10) Whether the registrant has been the subject of civil or criminal action by an agency in any state that regulates the sale or dispensing of visual aid glasses, and, if yes, an explanation;

(11) A list of each state in which the registrant is registered or licensed to sell or dispense visual aid glasses;

(12) An annual registration fee of $500 enclosed with each registration in the form of a check made payable to "Kentucky State Treasurer"; and

(13) The signature of the registrant or a person authorized to sign on behalf of the registrant, the printed name and title of the person signing the registration form, and the date of the signature. The signature shall constitute a certification that the statements contained in the registration form are true and correct to the best of the knowledge and belief of the person signing the registration form.

Section 2. The original completed Visual Aid Glasses Seller Registration, Form G-1, and the registration fee, shall be mailed or delivered to the Kentucky Office of the Attorney General, Office of Consumer Protection, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601.

Section 3. The registrant shall notify the Attorney General within thirty (30) days of any material change to information provided in the registrant's Visual Aid Glasses Seller Registration, Form G-1, in writing at the address shown in Section 2 of this administrative regulation.

Section 4. A notice or letter from the Attorney General to a registrant may be sent by first-class regular mail to a last-known address as shown in the registrant's last Visual Aid Glasses Seller Registration, Form G-1, or in the registrant's last notice of material change provided pursuant to Section 3 of this administrative regulation.

Section 5. The Attorney General may charge a fee for investigation of nonresident dispensers of visual aid glasses based on reasonable expenses incurred during the complaint or investigation process, in accordance with KRS 367.688.

Section 6. Incorporation by Reference.

(1) "Visual Aid Glasses Seller Registration, Form G-1", 2018, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Office of the Attorney General, Office of Consumer Protection, 1024 Capital Center Drive, Suite 200, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 367.680, 367.686, 367.688, 367.689, 367.690
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.688, 367.689
NECESSITY, FUNCTION, AND CONFORMITY: KRS 15.180 authorizes the Attorney General to promulgate administrative regulations that will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law. KRS 367.150(4) requires the Department of Law to study the operation of all laws, rules, administrative regulations, orders, and state policies affecting consumers and to recommend administrative regulations in the consumers' interest. KRS 367.689 authorizes the Attorney General to promulgate administrative regulations to carry out the provisions of KRS 367.680 to 367.690, pertaining to visual aid glasses. KRS 367.688 requires the Attorney General to charge a fee for investigation and registration of nonresident dispensers of visual aid glasses. This administrative regulation establishes requirements for annual registration required by KRS 367.686 for a person located outside of Kentucky who ships, mails, delivers, sells, or dispenses visual aid glasses to a patient at a Kentucky address.
History: 040 KAR 002:345. 45 Ky.R. 557, 946; eff. 11-2-2018; Cert eff. 12-2-2024; Recodified as 040 KAR 012:610; eff. 7-18-2025.

40 KAR 12:900 Hearing procedures {#sec-40-kar-12-900 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:900}

Section 1. Hearings related to denials of applications or revocations of permits shall be governed by the provisions of this administrative regulation.

Section 2. Denial and revocation actions shall be heard by:

(1) An Assistant Attorney General; or

(2) A hearing examiner employed by the Department of Law as a hearing officer.

Section 3. An applicant or permittee shall have the right to:

(1) Be present;

(2) Be heard at the hearing;

(3) Be represented by legal counsel;

(4) Present evidence;

(5) Cross-examine witnesses presented by the attorney prosecuting the matter before the hearing officer; and

(6) Make both opening and closing statements.

Section 4. Prehearing Disclosure of Evidence.

(1) A permittee shall have the right to:

(a) Inspect the investigative file relating to a revocation action;

(b) Represent himself, or be represented by counsel; and

(2) An appointment for examination of a file or other evidence shall be made:

(a) Upon reasonable notice;

(b) During and for regular office hours; and

(3) At least ten (10) days prior to the scheduled hearing date, the permittee shall furnish to the Office of the Attorney General:

(a) Copies of documents he intends to introduce; and

(b) Produce for inspection tangible evidence within his possession or control that he intends to introduce.

(4) Upon timely written notice, he shall produce such other information requested by the hearing officer.

(5)

(a) At least ten (10) days prior to the scheduled hearing date the permittee shall file with the hearing officer a written response to the specific allegations contained in the notice of charges.

(b) The hearing officer may for good cause permit the late filing of a response.

(6)

(a) After disclosure has been completed each party shall remain under an obligation to disclose any new or additional items of evidence which may come to its attention. Such additional disclosure shall take place as soon as practicable.

(b) Failure to disclose may result in the exclusion of the new evidence or testimony from the hearing.

Section 5. Order of Proceeding.

(1) The hearing officer shall call the meeting to order and shall identify the parties to the action and the persons present. The hearing officer shall rule upon any objections or motions. Opening statements shall be made, with the attorney prosecuting the allegations of the complaint proceeding first. Either side may waive opening statement.

(2) The taking of proof shall commence with the calling of witnesses on behalf of the attorney prosecuting the matter before the hearing officer. Witnesses shall be examined first by the attorney prosecuting the allegations of the complaint, then by the permittee or that person's attorney, and finally by the hearing officer. Rebuttal examination of witnesses shall proceed in the same order. Documents or other items may be introduced into evidence as appropriate.

(3) Upon conclusion of the case for the attorney prosecuting the matter before the hearing officer, the permittee shall call its witnesses. Witnesses shall be examined first by the permittee or that person's attorney, then by the attorney prosecuting the allegations of the complaint, and finally by the hearing officer. Rebuttal examination of those witnesses shall proceed in the same order. Documents or other evidence may be introduced as appropriate.

(4) The hearing officer shall be responsible for enforcing the general rules of conduct and decorum and expediting the hearing by keeping the testimony and exhibits relevant to the complaint.

Section 6. Evidence.

(1) Formal rules of evidence shall not apply.

(2) A hearing officer shall exclude evidence that is:

(a) Irrelevant;

(b) Immaterial;

(d) Excludable on:

Constitutional or statutory grounds; or
The basis of evidentiary privilege recognized in the courts of the Commonwealth.

(3) Testimony or other evidence shall be admitted if it is:

(a) Based on facts; and

(b) Commonly relied upon by reasonably prudent persons.

(4)

(a) Evidence shall not be excluded solely because it is hearsay.

(b) Hearsay evidence, including affidavits, may be admitted for the purpose of supplementing relevant evidence.

(5) A hearing officer may admit party or witness testimony taken by deposition if:

(a) A party or witness is unable to attend through no fault of his own; and

(b) The opposing party has had a full opportunity to cross-examine the party or witness.

(6) Evidence may be received in written form if it will:

(a) Expedite the hearing; and

(b) Not substantially prejudice the interests of a party.

(7)

(a) A copy or an excerpt of documentary evidence may be received.

(b) Upon request, a party shall be permitted to compare the copy or excerpt with the original.

(8) Official notice shall be taken of:

(a) A fact that would be judicially noticed in the courts of the Commonwealth;

(b) The record of other proceedings before the Office of the Attorney General;

(d) Pursuant to the provisions of KRS Chapter 13A, codes or standards that have been adopted by:

An agency of the United States, the Commonwealth, or another state; or
A nationally recognized organization or association.

(9) Tangible items may be received into evidence the hearing officer is satisfied that the item is:

(a) What it is represented to be; and

(b) In substantially the same condition as it was at the time of the events under consideration.

Section 7.

(1) Upon the conclusion of the hearing, the hearing officer shall render a decision in writing with copies to all parties.

(2)

(a) The decision of the hearing officer shall be reviewed by the Attorney General.

(b) The Attorney General shall:

Approve the decision; or
Modify the decision; or
Remand to the hearing officer for further action.

History

RELATES TO: KRS 367.461, 367.463, 367.465, 367.467, 367.469
STATUTORY AUTHORITY: KRS 15.180, 367.150(4), 367.469
NECESSITY, FUNCTION, AND CONFORMITY: This administrative regulation establishes the procedures for conducting a hearing by the Office of the Attorney General to revoke a permit to use automated dialing equipment in the Commonwealth of Kentucky.
History: 040 KAR 002:050. 19 Ky.R. 535, 1064; eff. 11-9-1992; Crt eff. 2-21-2020; Recodified as 040 KAR 012:900; eff. 7-18-2025.

Title 40 KAR — Department of Law

Chapter 1 Attorney General

40 KAR 1:010 Conditions for furnishing opinions {#sec-40-kar-1-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:010}

40 KAR 1:020 Requests for opinions {#sec-40-kar-1-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:020}

40 KAR 1:030 Open records and open meetings decisions {#sec-40-kar-1-030 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:030}

40 KAR 1:040 Standardized Open Records Request Form {#sec-40-kar-1-040 omnilex-key=us-ky-regs-official--title-40--40 KAR 1:040}

Chapter 2 Office of Consumer Protection

40 KAR 2:001 Definitions for 40 KAR Chapter 2 {#sec-40-kar-2-001 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:001}

40 KAR 2:076 Complaint procedure for telephone solicitations {#sec-40-kar-2-076 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:076}

40 KAR 2:100 Notice of requested disclosure of percentage of gross revenue going to charitable organization {#sec-40-kar-2-100 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:100}

40 KAR 2:200 Application for removal sale license form {#sec-40-kar-2-200 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:200}

40 KAR 2:330 Mold remediation {#sec-40-kar-2-330 omnilex-key=us-ky-regs-official--title-40--40 KAR 2:330}

Chapter 4 Asset Forfeiture

40 KAR 4:010 Disbursement of asset forfeiture receipts {#sec-40-kar-4-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 4:010}

Chapter 5 Administrative Hearings

40 KAR 5:010 Hearing officer required training {#sec-40-kar-5-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 5:010}

Chapter 6 Kentucky Victim and Witness Protection Program

40 KAR 6:010 Kentucky Victim and Witness Protection Program {#sec-40-kar-6-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 6:010}

40 KAR 6:020 Funding assistance from the child victims' trust fund {#sec-40-kar-6-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 6:020}

40 KAR 6:030 Human Trafficking Victims Fund {#sec-40-kar-6-030 omnilex-key=us-ky-regs-official--title-40--40 KAR 6:030}

Chapter 8 Tobacco Product Manufacturers

40 KAR 8:010 Nonparticipating manufacturer quarterly escrow deposit and certification {#sec-40-kar-8-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 8:010}

Chapter 9 Kentucky Opioid Abatement Advisory Commission

40 KAR 9:010 General application procedure {#sec-40-kar-9-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 9:010}

40 KAR 9:020 Local government application procedure {#sec-40-kar-9-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 9:020}

Chapter 10 Criminal Investigations

40 KAR 10:010 Uniform procedure and timeline for conducting independent election inquiries {#sec-40-kar-10-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 10:010}

Chapter 11 Child Support

40 KAR 11:001 Definitions for 040 KAR Chapter 11 {#sec-40-kar-11-001 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:001}

40 KAR 11:010 Child Support Enforcement Program: confidentiality, program administration contracts, and agreements {#sec-40-kar-11-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:010}

40 KAR 11:020 Child Support Enforcement Program application and intergovernmental process {#sec-40-kar-11-020 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:020}

40 KAR 11:030 Child Support Enforcement Program paternity establishment {#sec-40-kar-11-030 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:030}

40 KAR 11:040 Establishment, review, and modification of child support and medical support orders {#sec-40-kar-11-040 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:040}

40 KAR 11:050 Child support collection and enforcement {#sec-40-kar-11-050 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:050}

40 KAR 11:060 Child support distribution {#sec-40-kar-11-060 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:060}

40 KAR 11:070 Child support administrative hearings {#sec-40-kar-11-070 omnilex-key=us-ky-regs-official--title-40--40 KAR 11:070}

Chapter 12 Office of Regulatory Relief

40 KAR 12:010 Regulatory sandbox application process and reporting procedures {#sec-40-kar-12-010 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:010}

40 KAR 12:100 Funeral planning declaration form {#sec-40-kar-12-100 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:100}

40 KAR 12:110 Cemetery companies and preneed cemetery merchandise sellers {#sec-40-kar-12-110 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:110}

40 KAR 12:120 Preneed funeral and burial contract sellers {#sec-40-kar-12-120 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:120}

40 KAR 12:130 Crematory authorities and inspections {#sec-40-kar-12-130 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:130}

40 KAR 12:200 Notice of intent to solicit forms {#sec-40-kar-12-200 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:200}

40 KAR 12:210 Professional solicitor and fundraising consultant forms: registration statement, bond, and criminal record check {#sec-40-kar-12-210 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:210}

40 KAR 12:300 Issuance of permit to use automated calling equipment {#sec-40-kar-12-300 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:300}

40 KAR 12:310 Procedure for registration of telemarketing companies {#sec-40-kar-12-310 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:310}

40 KAR 12:400 Debt adjusters {#sec-40-kar-12-400 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:400}

40 KAR 12:410 Business opportunity sellers {#sec-40-kar-12-410 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:410}

40 KAR 12:420 Recreational and retirement use land, disclosure costs {#sec-40-kar-12-420 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:420}

40 KAR 12:430 Buying clubs and vacation clubs {#sec-40-kar-12-430 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:430}

40 KAR 12:500 Application for conducting more than two (2) going-out-of-business sales in four (4) years form {#sec-40-kar-12-500 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:500}

40 KAR 12:510 Application procedure for obtaining going-out-of-business sale permits in excess of two (2) sales in a four (4) year period {#sec-40-kar-12-510 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:510}

40 KAR 12:520 Transient Merchant Permit Bonds {#sec-40-kar-12-520 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:520}

40 KAR 12:600 Contact lens seller annual registration and verification requirements {#sec-40-kar-12-600 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:600}

40 KAR 12:610 Visual aid glasses seller annual registration requirements {#sec-40-kar-12-610 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:610}

40 KAR 12:900 Hearing procedures {#sec-40-kar-12-900 omnilex-key=us-ky-regs-official--title-40--40 KAR 12:900}

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