202 KAR | Title 202 KAR — Independent Administrative Bodies

Chapter 2 Kentucky Housing Corporation

202 KAR 2:020 Rural Housing Trust Fund {#sec-202-kar-2-020 omnilex-key=us-ky-regs-official--title-202--202 KAR 2:020}

Section 1. Qualification Criteria.

(1) Applications shall be prioritized based on the priorities established in KRS 198A.748(6).

(2) Single-family project applications shall be competitively ranked based on the following criteria:

(a) Willingness to serve those in a federally declared disaster area or displaced by an event triggering a federal disaster declaration within twenty-four (24) months of the event triggering the federal disaster declaration;

(b) Readiness to proceed;

(d) Demonstrated experience in development or repair of housing;

(e) Projects to house disaster survivors still living in shelters, doubled up with family, or in another unsustainable housing situation;

(f) Established relationships and mechanisms to ensure a pipeline of moderate-income homebuyer referrals;

(g) Demonstrated expansion of capacity to develop at scale;

(h) Demonstrated financial capacity to carry out larger-scale housing projects;

(i) Creation of new housing supply;

(j) Location in rural areas with significant job growth;

(k) Location in counties shown to have a housing supply gap; or

(l) Projects awarded contributions from local government, a local employer, or a combination of local sources.

(3) Multifamily project applications shall be competitively ranked based on the following criteria:

(a) Willingness to serve those in a federally declared disaster area or displaced by an event triggering a federal disaster declaration within twenty-four months of the event triggering the federal disaster declaration;

(b) Readiness to proceed;

(d) Demonstrated financial capacity to carry out larger-scale housing projects;

(e) Projects awarded under the Kentucky Housing Corporation tax exempt bond notice of funding availability in accordance with the terms of the notice of funding availability;

(f) Creation of new housing supply;

(g) Location in rural areas with significant job growth;

(h) Location in counties shown to have a housing supply gap; or

(i) Projects awarded contributions from local government, a local employer, or a combination of local sources.

(4) Approval of applications shall be based on the numerical ranking received and the availability of funds.

Section 2. Relocation Costs. In the development of rural housing under the Rural Housing Trust Fund, displacement of moderate-income individuals or families shall not be permitted unless the project pays all reasonable relocation costs. Reasonable relocation costs shall be determined on a case-by-case basis based on the following criteria:

(1) Provision of relocation advisory services to displaced tenants and owner occupants;

(2) Provision of a minimum of ninety (90) days written notice to vacate prior to requiring possession;

(3) Reimbursement for moving expenses; and

(4) Provision of payments for the added cost of renting or purchasing comparable replacement housing.

History

RELATES TO: KRS 198A.740 - 198A.750
STATUTORY AUTHORITY: KRS 198A.744, 198A.746(5), 198A.748(5)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 198A.744 authorizes Kentucky Housing Corporation to administer the Rural Housing Trust Fund by providing loans or grants for eligible activities, as established in KRS 198A.746, to create new sources of funding or to supplement existing sources of funding for the development of housing for moderate-income individuals or families in rural areas. KRS 198A.746 authorizes Kentucky Housing Corporation to define relocation costs to be paid if the development of rural housing displaces moderate-income individuals or families. This administrative regulation establishes additional criteria to qualify for the loans and grants and establishes the procedures to be followed in paying relocation costs.
History: 50 Ky.R. 529, 1066; eff. 1-30-2024; 51 Ky.R. 538; eff. 3-4-2025.

Chapter 3 Kentucky Lottery Corporation

202 KAR 3:010 Code of ethics {#sec-202-kar-3-010 omnilex-key=us-ky-regs-official--title-202--202 KAR 3:010}

Section 1. Code of Ethics. An officer or employee of the Kentucky Lottery Corporation shall comply with the Kentucky Lottery Corporation Code of Ethics.

Section 2. Incorporation by Reference.

(1) The "Kentucky Lottery Corporation Code of Ethics", April 15, 2019, is incorporated by reference.

History

RELATES TO: KRS 154A.060(2)(e)
STATUTORY AUTHORITY: KRS 154A.050(1)(d), 154A.060 (2)(e)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 154A.060(2)(e) requires the Kentucky Lottery Corporation to promulgate an administrative regulation establishing a code of ethics for officers and employees of the corporation. This administrative regulation establishes the Code of Ethics of the Kentucky Lottery Corporation.
History: 24 Ky.R. 2782; Am. 25 Ky.R. 299; eff. 4-28-1999; 45 Ky.R. 3259; eff. 9-6-2019; Crt eff. 8-12-2026.

202 KAR 3:020 Procurement procedures {#sec-202-kar-3-020 omnilex-key=us-ky-regs-official--title-202--202 KAR 3:020}

Section 1. Procurement Procedures. The procurement procedures of the Kentucky Lottery Corporation are established in the Kentucky Lottery Corporation Procurement Procedures. These procedures shall apply in lieu of the Kentucky Model Procurement Code, unless otherwise specifically indicated.

Section 2. Incorporation by Reference.

(1) "Kentucky Lottery Corporation Procurement Procedures", May 14, 2021, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Lottery Corporation, 1011 West Main Street, Louisville, Kentucky 40202-2623, Monday through Friday, 8 a.m. to 5 p.m. This material may also be viewed on the Kentucky Lottery Corporation's Web site at www.kylottery.com.

History

RELATES TO: KRS 154A.060(2)(a), 154A.120
STATUTORY AUTHORITY: KRS 154A.050(1)(d)9, 154A.120(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 154A.120(1) authorizes the Kentucky Lottery Corporation to promulgate an administrative regulation establishing its procurement procedures. This administrative regulation establishes the procurement procedures of the Kentucky Lottery Corporation.
History: 22 Ky.R. 1746; 1995; eff. 5-16-1996; 25 Ky.R. 2933; 26 Ky.R. 1119; eff. 12-16-1999; 48 Ky.R. 546; eff. 2-1-2022.

202 KAR 3:030 Retailers {#sec-202-kar-3-030 omnilex-key=us-ky-regs-official--title-202--202 KAR 3:030}

Section 1. Definitions.

(1) "Applicant" means the individual or entity applying for a license to sell lottery products.

(2) "Board" means the Board of Directors of the KLC as established by KRS 154A.030(1).

(3) "Cashing agent" means a retailer who has signed a "Retailer License Agreement Addendum for Cashing Agents" and who is authorized and required to cash lottery products of a value authorized by the KLC, up to and including $25,000, during KLC's business hours (8:00 a.m. EST to 5:00 p.m. EST).

(4) "Draw-based product" means:

(a) Any KLC ticket or product in which the player may determine if the player has won or lost after the drawing in which the prize was won; or

(b) Any other KLC ticket or product generated by the retailer terminal.

(5) "Draw-based retailer" means a retailer that sells one (1) or more draw-based products.

(6) "Instant product" means any KLC ticket or product in which the player may determine instantly if the player has won or lost.

(7) "KLC" means the Kentucky Lottery Corporation.

(8) "Licensing documents" means the:

(a) Application for Retailer License;

(b) Retailer License Agreement;

(d) Retailer License Certificate.

(9) "Lottery equipment and supplies" means all lottery devices and materials provided to retailers by the KLC or its vendors: terminals, monitors, ticket checkers, communication devices, advertising materials, play slips, play centers, vending machines, ticket stock, and ticket dispensers.

(10) "Lottery product" means any KLC draw-based product, instant product, or a coupon issued by the KLC for a draw-based or instant product sold or distributed at a retail outlet or directly by the KLC.

(11) "Owner" means:

(a) An individual or sole proprietor;

(b) A partner;

(d) An officer;

(e) A director; or

(f) A shareholder of a corporation, except that, in the case of owners of equity securities of a publicly-traded corporation, only the names and addresses of those known to the corporation to own beneficially five (5) percent or more of the securities.

(12) "Retailer" is defined by KRS 154A.010(7) and includes the following:

(a) An individual or sole proprietorship;

(b) A limited or general partnership, including a registered limited partnership;

(d) A corporation;

(e) A trust;

(f) Other entity, business, or enterprise; or

(g) The owner of a retailer.

(13) "Retailer handbook" means the handbook made available to retailers by the KLC, which describes KLC's billing, ticket validation and ordering procedures, payments to retailers, lottery products, and the operation and maintenance of lottery equipment and supplies.

(14) "Retailer License" means the ability to sell lottery products to the public and is identified through the issuance of a Retailer License Certificate.

(15) "Retailer License Agreement" means the agreement executed by the retailer and the KLC, setting forth the terms and conditions under which the Retailer License is issued.

Section 2. Conditions of Licensing. As a condition to be licensed to sell lottery products and to act as a retailer, each applicant shall be deemed to have agreed to the following conditions:

(1) Compliance with law. To fully comply with applicable laws, rules and regulations of the United States, including the Americans with Disabilities Act (ADA) (42 U.S.C. 12101 et seq.), the Commonwealth of Kentucky and its political subdivisions, including KRS Chapter 154A and 202 KAR Chapter 3, and with all policies, procedures, rules, directives, and instructions of the KLC, including applicable licensing documents and the Retailer Handbook, all as may be amended.

(2) Sale and cashing of lottery products.

(a) To offer for sale in a manner convenient and accessible to the public, and to actively promote the sale of, in a manner consistent with the directives of the KLC (including the display of KLC point-of-sale materials, signs or other displays,) all lottery products the retailer is authorized to sell, and to abide by all promotional guidelines promulgated by the KLC;

(b) To only use ticket stock issued to the specific retail outlet, unless otherwise authorized by the KLC;

(c) To cash valid winning lottery products sold or issued by retailer or by another retailer up to the limit set for the retailer by Sections 3(3) and 7 of this administrative regulation, or in an amount as otherwise authorized by the KLC in a manner consistent with the directives of the KLC throughout the retailer's business hours, by making a cash payment, or by issuing a check or money order;

(d) To neither charge nor ask for a fee, tip, tax, or anything of value for cashing a lottery product or for cashing a check or money order issued by retailer's retail outlet for payment of a prize;

(e) Upon request by a lottery player and when the lottery product is validated, to provide a lottery player with a copy of the validation slip for the lottery product presented; and

(f) To accept all valid coupons issued by the KLC and give the bearer of the coupons lottery products or merchandise in accordance with the terms of the lottery coupons.

(3) Training of retailer personnel. To require its employees to attend all training sessions and review training materials offered by the KLC or its vendors, as needed, to effectively perform its responsibilities as a KLC retailer.

(4) Accounting records. To maintain for the prior and current fiscal year (July 1 through June 30) current, accurate, and detailed accounting records of every operation and transaction relating to the sale, cashing, or maintenance of lottery products in conformance with the directives of the KLC, and as otherwise required by law. The records shall be made available to KLC representatives or agents, the Commonwealth of Kentucky's Auditor of Public Accounts, and to any other person as otherwise required by law.

Section 3. Licensing.

(1) In general.

(a) An applicant for a Retailer License shall complete, sign, and submit:

An application for Retailer License, including an acknowledgement that the KLC may conduct the criminal, financial, and other background investigations required by Section 5 of this administrative regulation at any time during any term of the Retailer License Agreement with or without notice to the retailer;
A Retailer License Agreement; and
If a cashing agent, a Retailer License Agreement Addendum for Cashing Agents.

(b) Upon submission of an application for Retailer License, an applicant shall tender a $250 fee, which shall be nonrefundable, except as provided in Section 5(5)(a)2 and (b)3 of this administrative regulation.

(d) Criminal, financial, and other background investigations shall be conducted in accordance with Section 5 of this administrative regulation for the applicant and each owner of the applicant. If the KLC determines that the applicant or an owner of the applicant does not meet the criteria established in KRS Chapter 154A and in this administrative regulation for the issuance of a Retailer License, the applicant shall be notified in writing, and the Retailer License shall be denied.

(e) Upon satisfactory completion of the criminal, financial, and other background investigations pursuant to paragraph (d) of this subsection, the KLC may:

Sign a Retailer License Agreement with the successful applicant; and
Issue a Retailer License Certificate for the successful applicant.

(f) Unless earlier terminated by the terms of the Retailer License Agreement in accordance with KRS Chapter 154A or Section 9 of this administrative regulation, the Retailer License Agreement shall be in effect for an initial one (1) year term from the date it is signed by the KLC. At the end of the initial one (1) year term, the Retailer License Agreement shall automatically renew for additional successive one (1) year terms, not to exceed four (4) years from the date the Retailer License Agreement was signed by the KLC. At the expiration of the four (4) years, unless the Retailer License Agreement was earlier terminated, the retailer shall seek relicensing pursuant to subsection (4) of this section.

(2) Special rules relating to chain retailers. More than one (1) retail outlet with identical owners may be treated as one (1) chain retailer. Each retail outlet shall be issued a separate retailer number and a Retailer License. The KLC may issue one (1) billing statement for all retail outlets or separate billing statements for each retail outlet. If the chain retailer wishes to add a new retail outlet, the chain retailer shall not be required to undergo a new background investigation.

(3) Special rules relating to cashing agents.

(a) The KLC may designate one (1) or more retailers as cashing agents. A cashing agent shall sign a Retailer License Agreement Addendum for Cashing Agents for cashing lottery products of a value up to an amount authorized by the KLC, not to exceed $25,000. If internet is available and if the KLC determines internet is necessary and in the best interest of the KLC to complete the claim process, the retailer may be required to maintain internet access during KLC's business hours.

(b) All cashing agents shall:

During the KLC's business hours, cash validated winning lottery products by making a cash payment, or by issuing a check or money order;
Follow all KLC practices and procedures; and
Take all reasonable steps necessary to protect a player's private information, including address, telephone number, Social Security number, and birth date from public disclosure or any disclosure beyond that which is necessary for awarding the prize to the player. If any private information is disclosed, the KLC shall be immediately notified.

(c) The KLC may terminate a retailer's status as a cashing agent with or without revocation of the retailer's Retailer License.

(4) Relicensing.

(a) At least ninety (90) days prior to the expiration of the Retailer License Agreement as established in subsection (1)(f) of this section, each retailer shall seek relicensing by completing the application process in subsection (1) of this section, except the retailer shall not be required to tender the fees required by subsection (1)(b) and (c) of this section. If the retailer is a cashing agent, the retailer shall also complete the process in subsection (3) of this section.

(b) If a retailer continues to sell lottery products beyond the term of the Retailer License Agreement, the retailer shall continue to be liable to the KLC for all products sold.

(5) Change in Information. A retailer shall promptly notify the KLC of a change in information previously given to the KLC. For a complete or partial change in ownership, the retailer shall comply with Section 4 of this administrative regulation.

Section 4. Rules for Change in Ownership.

(1) Special rules relating to transfer of ownership of existing retailers.

(a) A Retailer License shall not be sold, transferred, assigned, pledged, or otherwise conveyed.

(b) A retailer shall give thirty (30) days prior written notice to the KLC of its intent to vacate or convey its retail outlet or business, change its location, or change the form of the business of the retailer. Retailer acknowledges that a complete change in ownership shall be accomplished by tendering to the KLC:

An application for Retailer License;
A Retailer License Agreement;
If a cashing agent, a Retailer License Agreement Addendum for Cashing Agents;
The fees required by Section 3(1)(b) and (c) of this administrative regulation; and
Proof of conveyance documentation acceptable to the KLC.

(c) The KLC may, for a period not to exceed sixty (60) days, temporarily license an owner or applicant who has acquired the retail outlet or business of an existing retailer, so that the sale of lottery products will not be interrupted during the application process. The temporary licensing of an owner or applicant to sell lottery products shall not limit the KLC's right to exercise its discretion regarding issuance of a Retailer License to the owner or applicant. If the retail outlet or business of a retailer is conveyed and the sale of lottery products continues without issuance of a temporary or new Retailer License to the acquiring owner, the conveying retailer and the acquiring owner shall be jointly and severally liable for all debts and other obligations incurred to the KLC prior to and after the conveyance, and shall remain liable for all debts and other obligations until paid.

(d) In addition to other grounds for denial of a Retailer License or termination of a Retailer License Agreement, the KLC may deny issuance of a Retailer License to an owner or applicant acquiring or seeking to acquire the retail outlet or business of a retailer, until all debts and other obligations of the conveying retailer to the KLC are paid in full.

(2) Special rules relating to a partial change in ownership of a retailer.

(a) To the extent possible, retailers shall provide the KLC with thirty (30) days prior written notice of any partial change in owners, and in any event, shall provide the KLC with written notice within fifteen (15) days after any partial change in owners. Failure to do so may result in termination of the retailer's Retailer License. Written notice of a partial change shall be accomplished by tendering to the KLC a new application for Retailer License and a fee in the amount of fifty (50) dollars.

(b) The KLC shall conduct background and financial investigations of and make inquiries of the Kentucky Revenue Cabinet regarding a new owner of retailers in accordance with Section 5 of this administrative regulation.

Section 5. Requirements and selection criteria for applicants, retailers, and owners.

(1) Criminal and other background investigations. The KLC may investigate, at any time and during any license term, the criminal and other background history of, and existence of any statutory or regulatory violations by, an applicant, an owner, a retailer seeking relicensing, a retailer seeking licensing due to a complete change in ownership, or a retailer reporting a partial change in ownership.

(a) The KLC may, unless required by statute, deny the application of an applicant, and suspend or revoke the license of an existing retailer:

For any reason established in KRS 154A.400 for denying the issuance of a Retailer License;
For any reason established in KRS 154A.410(1) for terminating an existing Retailer License Agreement;
If the applicant, owner, or retailer has been convicted of any offense that relates to or may adversely impact the security or integrity of, or public confidence in, the KLC or its retailers. The KLC shall consider:

a. The physical and fiscal security of the KLC and its retailers and the integrity of the KLC's games;

b. Public perception of and public confidence in the KLC and its retailers; and

c. Other relevant factors;

If an applicant, owner, or retailer has been found by the Chief Financial Officer or his designee to have made a statement of material fact to the KLC while the person was serving as a previous owner or related entity, and the person knew or should have known that the statement was false or untrue in any respect, unless at least ten (10) years have passed since the statement was made;
If an applicant, owner, or retailer has been found by the Chief Financial Officer or his designee to have provided false or misleading information, or failed to provide material information the failure of which to provide is false or misleading, to the KLC or to a law enforcement agency with respect to obtaining or retaining a Retailer License;
If an applicant, owner, or retailer provides products, services, or entertainment that may have an adverse effect upon the credibility, integrity, and reputation of the KLC;
If an applicant, owner, or retailer sells products, services, or entertainment that constitutes products or services deceptively similar to or in competition with the KLC's products or services; or
If an applicant, owner, or retailer does not demonstrate the ability to sell and continue to sell an acceptable level of lottery products.

(b) The KLC may permit the applicant or retailer a period of time, not to exceed thirty (30) days, to remove the person as owner or to correct the situation resulting in an unsatisfactory criminal, financial, or other background check.

(c) If an existing retailer is requesting a relicensing, seeking to open a new retail outlet, or is an entity related to an existing retailer, or who shares one (1) or more owners with an existing retailer, and facts are disclosed that would cause the KLC to deny an application for licensing or a relicensing if tendered by the existing retailer, the KLC may:

Immediately revoke or suspend all existing Retailer Licenses of the retailer in accordance with KRS Chapter 154A; or
Notify all the retailers that their licenses will be revoked within thirty (30) days if the conditions justifying revocation are not corrected.

(2) Financial investigations.

(a) The KLC shall conduct a financial investigation of each applicant applying for a Retailer License, and of each retailer under consideration for licensing due to a change of ownership. In addition to information available from other sources, the KLC shall maintain, and shall review during each financial investigation, a database regarding existing, suspended, and canceled retailers and their owners. The KLC may consider in its determination regarding the financial responsibility of an applicant or retailer undergoing relicensing, the connection of the owner or related entity with any retailer whose Retailer License was suspended or canceled due to a default in its obligations to the KLC.

(b) If, as a result of financial investigation of the applicant or retailer and its owners, the KLC determines that a prospective or existing retailer poses a financial risk, the KLC may:

Deny the application or revoke the Retailer License in accordance with KRS 154A.410(2); or
License an applicant or permit an existing retailer to retain its Retailer License upon receipt of the letters of credit, bonds, personal guaranty agreements, or other security or assurances of payment as the KLC may deem satisfactory, in an amount based upon actual or potential sales.

(3) Kentucky Department of Revenue inquiries.

(a) Except as provided in Section 4(1)(c) of this administrative regulation, a Retailer License shall not be issued to an applicant which is not, or has an owner which is not, and a retailer shall not be permitted to retain a Retailer License which is not, or has an owner which is not, current in the payment of taxes, interest and penalties owed to, and current in filing of applicable tax returns with, the Commonwealth of Kentucky.

(b) A Retailer License shall not be issued to an applicant which has not previously been issued a federal employment tax identification number, or if the applicant is an individual, a Social Security number, and, if applicable, a Kentucky sales tax license number. The KLC shall confirm with the Kentucky Department of Revenue that an applicant for a Retailer License, and an existing retailer seeking relicensing, complies with this paragraph. The KLC shall rely upon information received from the Kentucky Department of Revenue. The KLC may permit an existing retailer a period of time not to exceed thirty (30) days within which to meet or cause the owner in question to meet its obligations with the Kentucky Department of Revenue prior to revocation of the retailer's Retailer License or prior to final denial of issuance of a relicensing of the Retailer License.

(4) Kentucky Secretary of State Inquiries. An applicant shall be registered and in good standing with the Kentucky Secretary of State if the applicant is a corporation or limited liability company.

(5) Selection criteria.

(a) In order to sell draw-based products, an applicant shall meet the following criteria:

Whether, based on historic traffic patterns in the geographic area of the proposed retail outlet, the applicant is likely to have sales equal to or in excess of $100 per week in draw-based product; and
If the KLC determines that the applicant is not likely to have the expected draw-based product sales, the KLC may deny the applicant's application for a Retailer License and refund any license fee previously paid by the applicant.

(b) In order to sell instant products, an applicant shall meet the following criteria:

Whether, based on historic traffic patterns in the geographic area of the proposed retail outlet, the applicant is likely to have sales equal to or in excess of $300 per week in draw-based and instant products;
Whether the applicant will agree to and has the physical space to carry a minimum of six (6) unique instant products at its retail outlet at all times; and
If the KLC determines that the applicant is not likely to have the expected draw-based and instant product sales, the KLC may deny the applicant's application for a Retailer License and refund any license fee previously paid by the applicant.

(c) Retailers shall sell both draw-based products and instant products unless specifically authorized by the KLC to sell one (1) or more draw-based products only based on the retailer's type of business.

(6) Storage of unsold products. A retailer shall store unsold lottery products and ticket stock in a safe and secure place to minimize the risk of loss, theft, damage, or destruction. The KLC may inspect, and require alteration or relocation of, the storage place.

(7) Reasonable access to lottery products, equipment, and supplies. A retailer shall provide the KLC with reasonable access to lottery products, equipment, and supplies upon reasonable notice.

(8) Game end dates. A retailer shall adhere to the KLC's directives and policies on game end dates and return dates for lottery products. A retailer shall adhere to the KLC's directives on return of unsold lottery products upon the announcement of game end dates.

(9) Loss, destruction, or theft of lottery products, equipment, or supplies.

(a) A retailer shall promptly report to the Security Division of the KLC and to the appropriate local law enforcement agency, a loss, destruction, or theft of lottery products, equipment, or supplies and cooperate, and cause its employees to cooperate, fully with the investigations of the KLC's Security Division and law enforcement officials.

(b) The retailer shall be liable to the KLC for payment in full for all lottery products allegedly lost, destroyed, or stolen after activation of the relevant pack of products.

(c) Retailers shall receive reimbursement for activated products stolen during a robbery or burglary, if the Security Division and law enforcement each receive accurate game, pack, and ticket number ranges in a timely manner, followed-up by a copy of the police offense report submitted to the Security Division within ten (10) business days.

(10) Security Inspection and Investigations. The KLC Security Division may inspect the retail outlet to ensure that lottery products, equipment, and supplies are maintained in an environment that will minimize the risk of loss, theft, damage, or destruction. The KLC may require alteration of the environment or relocation of lottery products, equipment, or supplies if a security risk is evident. The retailer shall cooperate, and cause it employees to cooperate, fully with all investigations of the KLC's Security Division and law enforcement officials.

Section 6. Lottery equipment and supplies.

(1) Criteria for allocation of lottery equipment and supplies.

(a) Installation and retention of lottery equipment and supplies at a retail outlet shall be determined by the KLC, based upon the following criteria, as appropriate:

The probable future or actual historic sales at the retail outlet relative to the installation costs of any lottery equipment and supplies and ongoing communications charges associated with any lottery equipment and supplies;
The retailer's and the retailer's owners' and related entities' history with the KLC;
The number of games carried by the retailer; and
The retailer's retail outlet, including business, location, size, and hours.

(b) In calculating the probable future or actual historic sales, the KLC shall consider:

Actual historic sales of the lottery products sought to be sold by similarly situated retailers; and
Total actual historic sales by the retailer in question.

(c) The KLC may establish initial fees and periodic charges with respect to installation or maintenance of lottery equipment and supplies.

(2) Title, placement, and removal of lottery equipment and supplies.

(a) Lottery equipment and supplies provided to retailers are and shall remain the property of the KLC or its vendors, and shall not be or become property of a retailer or person claiming an interest in lottery equipment and supplies through a retailer including, without limitation, the holder of any lien.

(b) Before placement of lottery equipment and supplies within a retailer's retail outlet, the retailer shall obtain KLC approval of the proposed location for the lottery equipment and supplies. The retailer shall not move, modify, or alter the equipment or supplies.

(c) The KLC shall have the right to enter a then-present or former retail outlet, during normal business hours, or at any other time with the consent of the holder of any interest in the real property on which the retail outlet is situated, to remove lottery products, equipment, and supplies.

Section 7. Prize Payments.

(1) Prize payments up to and including $600. During its business hours, a retailer shall pay the nonminor holder of a validated winning lottery product the amount of the prize to which the winner is entitled, up to and including the sum of $600, by making a cash payment, or by issuing a check or money order.

(2) Prize payments up to $25,000. The KLC may establish a network of cashing agents. During the KLC's business hours, authorized cashing agents shall pay the nonminor holder of a validated winning lottery product the amount of the prize to which the winner is entitled, up to and including any sum that the KLC has authorized the cashing agent to pay, not to exceed the sum of $25,000, by making a cash payment, or by issuing a check or money order.

Section 8. Retailer Accounting.

(1) Lottery product purchases, billings, and payment. The KLC shall make available to all retailers detailed accounting procedures regarding purchases of and billings for lottery products, which procedures shall be deemed to be a part of the Retailer License Agreement. The KLC may establish payment terms with individual retailers to address situations unique to those retailers. All proceeds from the sale of lottery products shall be deposited not later than the close of the next banking day after the date of their collection by the retailer and shall be held in an account designated, in writing, by the retailer to the KLC in the application for Retailer License. The account shall be in an institution insured by the Federal Deposit Insurance Corporation or Federal Savings and Loan Insurance Corporation, or their successors. All proceeds of the sale of lottery products, net of credits for compensation due to retailers and for prizes paid by retailers, are the property of the KLC and shall be held by retailers in trust and in a fiduciary capacity for the benefit of the KLC.

(2) Credits. Retailers' accounts with the KLC shall be credited by the KLC in accordance with its retailer compensation policies, as established by the KLC pursuant to KRS 154A.050(1)(d)8.

(3) Delinquent accounts. In addition to all other rights and remedies available to the KLC at law or in equity, including the rights and remedies provided in KRS Chapter 154A, the KLC shall have the following rights and remedies:

(a) The right to set off against and recoup from sums due by the KLC to a delinquent retailer or owner any sums due the KLC by the delinquent retailer or owner, or by any other retailer in which the delinquent retailer or owner is an owner;

(b) The right to request the Commonwealth of Kentucky to set off against and recoup from sums due any delinquent retailer, owner, or other retailer which is in part owned by an owner of the delinquent retailer by the Kentucky Department of Revenue, any sums due to the KLC by the delinquent retailer;

(c) The right to require payment of all sums due the KLC by a retailer prior to issuance of a Retailer License to a new retailer at the same retail outlet; and

(d) The right to write off a retailer's obligations to the KLC, without releasing any retailer from its obligations for repayment of sums owed the KLC, and reimburse its operating accounts in the amount of the write-off from a segregated account that may be established from all licensing fees received by the KLC, including any additional sums authorized for that purpose by the board. The board may increase or reduce the amount held in the segregated account.

Section 9. Termination or Suspension.

(1) Termination for cause. Unless required by statute, the KLC may terminate or suspend a retailer's Retailer License and Retailer License Agreement at any time, for good cause, upon a finding that:

(a) The retailer or an owner has committed any act or omission established in KRS 154A.410(1) for termination of a Retailer License Agreement;

(b) The retailer or an owner has committed any act or omission that would prevent the issuance of a Retailer License for any reason in this administrative regulation;

(c) The retailer or an owner has committed a material breach of any provision of its Retailer License Agreement with the KLC;

(d) The retailer or an owner has provided false or misleading information in obtaining or attempting to obtain a Retailer License and Retailer License Agreement;

(e) The retailer or an owner been convicted of, or has entered a plea of guilty or nolo contendere, regardless of adjudication, to an offense punishable as a felony, or to any gambling-related offense, unless the time established in KRS 154A.400(1)(b)(3) has expired;

(f) The retailer or an owner has outstanding tax delinquencies owed to the federal government or any taxing authority within the Commonwealth of Kentucky;

(g) The retailer or an owner has jeopardized the integrity, security or efficient operation of the KLC;

(h) The ownership or location of the business has changed without providing prior notice to the KLC as provided in this administrative regulation;

(i) The retailer has failed to accurately account for lottery tickets, revenues, or prizes as required by the KLC;

(j) The retailer has failed to remit or is delinquent in remitting money owed to the KLC;

(k) The retailer or owner has committed any fraud, deceit, or misrepresentation to the KLC or to any individual purchasing a lottery ticket or tickets from retailer;

(l) The retailer has sold a lottery ticket or paid a prize to any person under eighteen (18) years of age;

(m) The retailer has sold a lottery ticket at any place other than the place authorized in its Retailer License;

(n) If required by statute, the retailer has not prominently displayed its Retailer License Certificate at the approved sales location;

(o) The retailer has not prominently displayed and maintained ticket displays/dispensers and points-of sale materials provided by the Lottery;

(p) The retailer has not made point-of-sale information for lottery products accessible to the public;

(q) The retailer has sold tickets at a price other than established by the KLC;

(r) The retailer or an owner has committed a material violation of any rule or administrative regulation promulgated by the KLC;

(s) The retailer has violated any directive or instruction issued by the KLC;

(t) The retailer or an owner has committed a material violation of KRS Chapter 154A;

(u) The retailer's reputation is no longer consistent with the protection of the public interest;

(v) The retailer has materially changed any factor considered by the KLC in selecting the retailer;

(w) The retailer or an owner has engaged in conduct prejudicial to public confidence in the lottery;

(x) The retailer has charged a fee or tip to redeem a lottery ticket or has required a customer to purchase another item in order to purchase a lottery ticket;

(y) The retailer has paid a prize valued greater than the retailer is authorized to cash by the KLC, or the retailer has refused to cash a winning lottery prize, properly validated, up to the amount authorized by the KLC; or

(z) The retailer has insufficient sales of lottery products.

(2) Termination without cause. The KLC may terminate a retailer's Retailer License and Retailer License Agreement without cause, upon thirty (30) days prior written notice.

(3) Termination by retailer. A retailer may terminate its Retailer License and Retailer License Agreement upon thirty (30) days prior written notice. The KLC may, at its option, elect to terminate the retailer's Retailer License and Retailer License Agreement prior to the end of the thirty (30) day period.

(4) Effect of termination or suspension. If a retailer possesses multiple retail outlets, suspension or termination of one (1) outlet is grounds for suspension or termination of the others. Every obligation of a retailer to the KLC shall survive termination or suspension of the Retailer License and Retailer License Agreement. Upon termination or suspension of a Retailer License and Retailer License Agreement, the retailer shall immediately pay to the KLC all sums owed to the KLC and shall surrender to the KLC the retailer's Retailer License Certificate and all lottery products, equipment and supplies.

(5) Other remedies. In addition to the remedies of termination or suspension, the KLC may avail itself of any other remedies available to it at law or in equity, including, without limitation, injunctive relief.

Section 10. Retailer Remedies.

(1) Right to protest. An applicant for a Retailer License or a retailer aggrieved in connection with an action taken by the KLC pursuant to KRS Chapter 154A or this administrative regulation may protest, in writing, to the president of the KLC. The protest shall be submitted within thirty (30) calendar days after the aggrieved applicant or retailer knows or should have known of the facts giving rise to the protest. An applicant or retailer shall be deemed to have knowledge of the facts giving rise to the protest within thirty (30) days of the KLC's issuance of a written notification to the retailer or applicant for a Retailer License regarding the action or decision of the KLC.

(2) Effect of protest. If a timely protest is filed under this section and the action protested is the termination of a Retailer License, the Retailer License shall be temporarily suspended rather than terminated until all administrative and judicial remedies have been exhausted. In all other circumstances, the KLC's action or decision shall stand unless and until reversed or revised as a result of the protest.

(3) Action by President and Right to Appeal. The decision of the president shall be promptly issued in writing and shall be immediately furnished to the protesting person by hand-delivery, telecopier (with a hard copy sent by certified mail, return receipt requested,) certified mail (return receipt requested), or by appropriate electronic means. A notice shall be deemed received on the date hand-delivered or sent by telecopier, three (3) business days after deposit of the notice in the United States Mail, postage prepaid, if sent by certified mail, return receipt requested and upon receipt, if sent electronically. The decision shall recite the grounds relied upon by the president in reaching the decision and shall inform the protesting party of its further appellate rights under subsections (4) and (5) of this section. The president's decision shall be final and conclusive, unless within ten (10) calendar days from the date of receipt of the decision, the protesting party delivers a written appeal to the board, by hand, by telecopier (with a hard copy sent by certified mail, return receipt requested) or by certified mail, return receipt requested, all pursuant to KRS Chapter 154. The address is: Board of Directors, Kentucky Lottery Corporation, 1011 West Main Street, Louisville, Kentucky 40202, Telecopier No. (502) 560-1532.

(4) Board appeal.

(a) After receipt of an appeal, the board shall schedule a hearing for the protesting party which shall be scheduled as soon as practicable; and

The hearing shall be conducted in accordance with KRS Chapter 13B; or
The chairman of the board may determine that the hearing will be conducted by a hearing officer. The chairman shall determine whether the hearing officer will conduct the hearing in the presence of a quorum of the board, who renders a decision without the recommended order of the hearing officer, or whether the hearing officer will conduct the hearing outside of the presence of the board and will complete and submit to the board a written recommended order, which shall include findings of fact, conclusions of law, and recommended disposition, as provided in KRS 13B.110. The decision of the board shall be made by a majority of the board members present at the meeting in which the appeal is decided.

(b) The decision of the board shall be final unless the decision is appealed as provided by subsection (5) of this section and other applicable law.

(5) Access to state courts. A person aggrieved by a decision of the board under this section may appeal the decision, within thirty (30) calendar days of its date of issuance, to a court of competent jurisdiction, in accordance with KRS Chapter 154A.

Section 11. Sales of Lottery Products by KLC. Nothing in 202 KAR Chapter 3, licensing documents, or any other document shall limit the right of the KLC to sell lottery products directly to the public, in person, electronically, by mail, by subscription, or otherwise.

Section 12. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Application for Retailer License", 12/8/17;

(b) "Retailer License Agreement", 12/8/17;

(d) "Retailer License Certificate", 12/8/17.

History

RELATES TO: KRS Chapter 154A
STATUTORY AUTHORITY: KRS 154A.050(1)(d), 154A.400(1)(b)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 154A.400(1) requires the Kentucky Lottery Corporation to develop and maintain a statewide network of lottery retailers that will serve the public convenience to promote the sale of lottery products, while insuring the integrity of the lottery. To govern the selection of lottery retailers, KRS 154A.400(1)(b) requires the Board of Directors of the Kentucky Lottery Corporation to develop a list of objective criteria upon which the selection of lottery retailers shall be based. This administrative regulation lists the objective criteria upon which the selection of lottery retailers shall be based.
History: 25 Ky.R. 584; 834; eff. 10-12-1998; 28 Ky.R. 1682; 2195; eff. 4-15-2002; 44 Ky.R. 1728; 1976; eff. 4-6-2018; Crt to Am, filing deadline 10-1-2026.

202 KAR 3:040 Internal audit {#sec-202-kar-3-040 omnilex-key=us-ky-regs-official--title-202--202 KAR 3:040}

Section 1. Definitions.

(1) "Board" means the Board of Directors of the corporation established by KRS 154A.030.

(2) "Internal audit department" means the department head of internal audit, together with other employees of the corporation who are designated by the president of the corporation and approved by the audit committee.

Section 2. Audit Committee.

(1) The audit committee shall consist of:

(a) No less than two (2), nor more than three (3), members of the board; and

(b) The chairman of the board, who shall serve as an ex-officio member.

(2) Members of the audit committee shall be appointed by the chairman of the board and serve until the earliest of:

(a) Their resignation or removal from the board;

(b) The expiration of their terms as members of the board; or

(3) In appointing members to the audit committee, the chairman of the board shall give preference to members of the board who:

(a) Are certified public accountants or certified internal auditors; or

(b) Otherwise possess expert knowledge in auditing, accounting, business, or commerce.

(4) The members of the audit committee shall select a chairman from its members.

(5)

(a) Except as provided by paragraph (b) of this subsection, the chairman of the audit committee shall determine the date, time, and place of a meeting of the audit committee.

(b) More than two (2) regular meetings of the board shall not have occurred between meetings of the audit committee.

(6) At least one (1) member of the Internal Audit Department shall be present at a meeting of the audit committee.

(7) If requested by the audit committee, a member of the corporation management shall be present at all or a part of the meeting of the audit committee.

Section 3. Duties and Authority of the Audit Committee.

(1) The audit committee shall review the operations and financial reporting procedures of the corporation and shall report and make recommendations to the board. It shall:

(a) Review the adequacy of the corporation's system of internal control through review of audit reports and presentations at Audit Committee meetings;

(b) Review at least annually the corporation's system of risk identification, assessment, and management;

(c) Review the organizational structure of the Internal Audit Department of the corporation and the activities and qualifications of its staff;

(d) Review the findings made by the Internal Audit Department;

(e) Request a department head or other corporation personnel to discuss audit findings or issues with the audit committee, as may be necessary;

(f) Assist the president in the hiring, evaluation, promotion, and removal of the Chief Audit Executive;

(g) Review legal matters that could have a significant impact on the corporation's financial statements with the corporation's:

Legal counsel;
If deemed appropriate, outside counsel; and
Other personnel or entities as necessary;

(h) Review the findings of an examination of the corporation or its operations by a regulatory (or any other outside) agency;

(i) Review audits conducted by the Auditor of Public Accounts or an independent auditor selected by the Auditor of Public Accounts; and

(j) Perform other oversight functions at the request of the board.

(2)

(a) A member of the audit committee may meet with:

Corporation employees;
The Auditor of Public Accounts, and designees; and
Independent auditors.

(b) An employee of the corporation may request to meet with the chairman of the audit committee.

(3) The audit committee shall:

(a) Inform the board of its meetings and actions; and

(b) Discuss its reviews, reports, and recommendations with the board.

(4)

(a) The audit committee may institute a special investigation.

(b) In the conduct of a special investigation, the audit committee may:

Hire special outside counsel or experts; or
Utilize the services of corporation employees, officers, or directors.

Section 4. Internal Audit Department.

(1) In order to assist the president, the audit committee and the management of the corporation, the internal audit department shall furnish objective analyses, appraisals, recommendations, and information concerning the operations of the corporation, through use of an annual audit plan, as follows:

(a) Review the operations of the corporation to assure compliance with the systems, and policies and procedures established to ensure conformity with the applicable statutes and administrative regulations of the Commonwealth and other applicable governmental entities;

(b) Review the operations of the corporation to assure compliance with the systems, and policies and procedures established by the corporation;

(d) Review and evaluate the means of safeguarding the assets of the corporation and, as appropriate, verify the existence and ownership of the assets by the corporation;

(e) Appraise the economy and efficiency of the corporation in the use of resources;

(f) Advise the management of the corporation and the board on the accounting, financial, and operational policies, procedures, and systems;

(g) Coordinate, supplement, and evaluate examinations of the corporation's activities by outside auditors, accountants, and other review teams; and

(h) Perform other oversight functions as requested by the audit committee or by the board.

(2) The internal audit department shall report to the president for administrative purposes but shall report the results of its work directly to the audit committee.

Section 5. The internal audit department shall use a risk-based method of developing an annual audit plan in the following manner:

(1) Prior to the end of each fiscal year, the department head of internal audit shall submit a proposed detailed internal audit plan for the next fiscal year for:

(a) Review by the president; and

(b) Review and approval by the audit committee.

(2) The audit committee shall forward its recommendations to the board.

(3) The department head shall initiate audits pursuant to the approved plan, as may be revised with the approval of the the audit committee.

(4) Internal audit work shall be performed in accordance with standards established by the Institute of Internal Auditors and shall include:

(a) Planning the audit;

(b) Identifying, analyzing, evaluating, and documenting the information;

(d) Monitoring progress.

Section 6. Communicating Results. The internal audit department shall report on all its activities to the Audit Committee through written audit reports, periodic activity reports, and regular Audit Committee meetings.

(1) Written audit reports shall be completed at the end of each audit engagement and shall be distributed to the Audit Committee members. All applicable internal parties shall receive a copy.

(2) Written reports shall include any deficiencies noted during the engagement and shall include a description of the associated risk.

Section 7. Procedure on Loss of Assets.

(1) The internal audit department shall be notified if assets of the corporation have been, or are thought to have been, lost through defalcation or other breaches in the security, financial, or operating systems.

(2) Immediately upon receipt of a notification, the department head of internal audit shall:

(a) Request that the department head of security notify the proper authorities of the potential loss; and

(b) Consult with the Corporation's Security Department to coordinate an investigation.

(3) If the investigation reveals a loss, the internal audit department shall:

(a) Identify the weakness in financial or operating procedures that enabled the loss to occur; and

(b) Recommend to the president, the audit committee, and the board improvements to the procedures to correct the weakness.

Section 8. Internal Audit Department Authority and Limitations.

(1) The internal audit department shall have unrestricted access to all activities, records, properties, and personnel applicable to any area of the corporation under review.

(2) The department head of internal audit shall develop a policy to assure the confidentiality of all matters reviewed, unless disclosure is required by law or internal audit procedures established by this administrative regulation.

(3)

(a) The internal audit department and its members shall not have direct authority over, or responsibility for, any of the activities reviewed by it.

(b) The internal audit department and its members shall not develop or install procedures, prepare records, or engage in any other activity that could be reasonably construed to compromise its independence.

(c) If the internal audit department participates in an activity that might be construed as compromising its independence, the activity shall be reviewed by an independent external auditor, if deemed necessary by the board, or recommended by the audit committee and approved by the board.

(4) The internal audit department shall coordinate its efforts with those of the Auditor of Public Accounts and other external auditors who may be employed to achieve comprehensive, cost-effective audit coverage.

Section 9. Continuing Education.

(1) An auditor in the internal audit department shall annually obtain the same continuing education credits required by the Institute of Internal Auditors for certified internal auditors or any other acceptable certifying body including the American Institute of Certified Public Accountants (AICPA), or the Information Systems Audit and Control Association (ISACA).

(2) The head of the Internal Audit Department shall monitor compliance with the continuing education requirements established by this section.

History

RELATES TO: KRS 154A.020(1), 154A.030, 154A.050(2)(b), 154A.060(2)(a), (c)
STATUTORY AUTHORITY: KRS 154A.050(1)(d), 154A.060(2)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 154A.020(1) requires the Kentucky Lottery Corporation to be accountable to the Governor, the General Assembly, and the people of the Commonwealth through a system of audits, reports, and thorough financial disclosure. As a part of that system of accountability, KRS 154A.060(2)(c) requires the corporation to promulgate by administrative regulation a system of continuous internal audits. This administrative regulation establishes the system of continuous internal audits for the Kentucky Lottery Corporation.
History: 22 Ky.R. 1395; Am. 1825; eff. 4-5-1996; 45 Ky.R. 2757; eff. 5-31-2019; Crt eff. 5-20-2026.

Chapter 6 911 Services Board

202 KAR 6:010 Definitions for 202 KAR Chapter 6 {#sec-202-kar-6-010 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:010}

Section 1. Definitions.

(1) "Alternate routing" means sending 9-1-1 calls to a designated alternate location if all 9-1-1 trunks to the normal PSAP are busy or out of service. Alternate routing may be activated automatically, if an equipment failure is detected, or upon request.

(2) "Call transfer function" means the ability to redirect a call to another party.

(3) "Contracted wireline E9-1-1 service provider" means the company providing by signed agreement the E9-1-1 features, functions, and network connections to the PSAP.

(4) "Cost recovery plan" means a detailed description of how a CMRS carrier intends to comply with the wireless E9-1-1 requirements established in the FCC order.

(5) "Default routing" means the ability of the 9-1-1 network to automatically send 9-1-1 calls to a predetermined alternate PSAP if a call cannot be selectively routed due to an ANI failure or other cause.

(6) "E9-1-1" means the features and functions available in an enhanced 9-1-1 capable PSAP as defined by the FCC order.

(7) "FCC" means the Federal Communications Commission.

(8) "Next Generation 911" is defined by KRS 65.7621(17).

(9) "Nondisclosure agreement" means a signed statement whereby a person swears to maintain the confidentiality of designated information provided to them.

(10) "NRC" means nonrecurring cost.

(11) "P-ANI" means pseudo automatic number identification as defined by KRS 65.7621(21).

(12) "Phase I" means the interim step in implementing the wireless E9-1-1 network to include the provision of a caller's mobile phone number and P-ANI, and as further defined by the FCC.

(13) "Phase II" means the second step in implementing the wireless E9-1-1 network to include the functions of Phase I, and as further defined by the FCC.

(14) "RC" means recurring cost.

(15) "Sworn paid invoice" means a notarized statement submitted with invoices for reimbursement that:

(a) Lists the included invoices or other approved documentation;

(b) Attests that the invoices are accurate and reflect true costs for the carrier's implementation of wireless E9-1-1; and

(16) "Sworn statement" means a notarized letter signed and dated by a person designated by a PSAP, which may be given in lieu of documentation.

History

RELATES TO: KRS 65.7621-65.7643, 9 U.S.C. 1-16, 47 U.S.C. 153(27), 332(d)
STATUTORY AUTHORITY: KRS 65.7633(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7633(1) requires the Kentucky 911 Services Board to implement the provisions of KRS 65.7621 to 65.7643 through the promulgation of administrative regulations. This administrative regulation establishes definitions for terms used in 202 KAR Chapter 6.
History: 26 Ky.R. 2104; eff. 12-7-2000; 46 Ky.R. 131, 894; eff. 9-10-2019.

202 KAR 6:020 CMRS provider cost recovery {#sec-202-kar-6-020 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:020}

Section 1. A provider shall file a cost recovery plan with the Kentucky 911 Services Board in order to receive reimbursement for NRCs and RCs.

Section 2. Cost Recovery Plan Submission.

(1) Upon receipt of a written request for wireless E911 service from a PSAP (public safety answering point) that has been certified by the board in accordance with KRS 65.7631(6)(a), the CMRS carrier shall:

(a) Acknowledge receipt of the request back to the PSAP within thirty (30) days; and

(b) Develop a comprehensive detailed plan for implementation of E911 service for:

The requesting PSAP; or
The appropriate service area if the CMRS carrier's switch serves more than one (1) PSAP.

(2) A CMRS provider shall provide the technical aspects of the plan to the requesting certified PSAP. The CMRS provider shall submit the plan and the associated cost structure to the board, including a completed "Kentucky CMRS Provider Data Sheet". The board shall request from the provider, if necessary to reach a decision:

(a) Additional information; or

(b) A presentation.

(3) Only carrier costs directly attributable to wireless E911 call completion shall be considered for recovery, in accordance with Section 8 of this administrative regulation.

Section 3. Cost Recovery Plan Requirements. A plan submitted to the board shall contain the following information:

(1) The provider's good faith estimate of its total cost recovery reimbursement claim for providing wireless E911 service in the area served by the requesting PSAP or the appropriate service area for the carrier's switch;

(2) Specific detail for each NRC and RC the carrier expects to recover:

(a) An RC shall be described as subscriber-based or nonsubscriber-based; and

(b) An RC shall be based on a calendar month unless a provider chooses a different period on which to base its RCs. If a different period is chosen, the provider shall state the period used and the reasons for using that period;

(3) A description of the technology solution the CMRS provider has elected to implement and the projected implementation dates;

(4) A map or other detailed description of the coverage area affected by the plan;

(5) A list of the PSAPs affected by the provider; and

(6) The name and office of any individual who is authorized by the carrier to submit sworn paid invoices to the board for reimbursement.

Section 4. Cost Recovery Plan Approval.

(1) A cost recovery plan submitted to the Kentucky 911 Services Board shall be stamped "Confidential" and proprietary information received shall be filed and maintained so as to preserve its confidentiality in accordance with KRS 65.7639.

(2) A cost recovery plan submitted to the board shall be evaluated for conformity with the requirements established in Sections 2 and 3 of this administrative regulation, and shall be approved or disapproved within ninety (90) days of its receipt by a simple majority vote of the board.

(3) Within ten (10) business days of its approval or disapproval, notice of the decision shall be sent to the provider and affected PSAPs, in writing, by certified mail, return receipt requested.

Section 5. Rejection of a Cost Recovery Plan.

(1) If a plan is rejected, the board shall include with the decision specific reasons for its rejection.

(2) The carrier may submit a revised plan to the board.

(3) The provider may appeal the board's rejection in accordance with KRS Chapter 13B.

Section 6. Implementation of Additional Service Using an Approved Plan.

(1) After initial approval of a CMRS provider plan by the board, if the provider wishes to implement service to an additional area in the state using the existing approved plan, the carrier:

(a) Shall send a letter to the board, by certified mail, return receipt requested, proposing the provider's intention to use an approved plan for the implementation of additional service;

(b) Shall include with the letter to the board a map of the area to be served by the planned additional implementation; and

(c) Need not make an additional presentation to the committee if the board agrees that the provider's intention fits within the existing approved plan.

(2) The board shall:

(a) Decide within ninety (90) days of its receipt of the provider's letter if it agrees that the provider's intention to use an approved plan is appropriate for the additional service implementation;

(b) Within ten (10) business days of its decision, notify the provider, in writing, by certified mail, return receipt requested; and

(3) If the board concludes that the inclusion of the additional service implementation is not appropriate under the approved plan, the board shall:

(a) Within ten (10) business days of its decision, notify the provider, in writing, by certified mail, return receipt requested, identifying its specific concerns; and

(b) Schedule the earliest possible date to meet with the carrier and discuss the identified concerns.

(4) If the board concludes that the inclusion of the additional service implementation is not appropriate under the approved plan, the provider may appeal the board's decision in accordance with KRS Chapter 13B.

Section 7. Revision of an Approved Plan.

(1) In addition to the process established in Section 6 of this administrative regulation, after a cost recovery plan is approved, a subsequent change may be requested by either the CMRS provider or the board.

(2) The board may review an existing plan and request re-substantiation, new documentation, and reapproval of an existing cost recovery plan, or may revoke approval of a plan as necessary, to maintain the integrity of:

(a) The wireless E911 system as new technologies are deployed; and

(b) The CMRS fund.

(3) A provider may submit a revised plan or a change in reimbursement rate as business needs and new technologies dictate.

(4) The party requesting revision of a plan shall send written notice of the requested changes to the other party by certified mail, return receipt requested.

(5) An existing approved plan shall remain in effect until a review and decision regarding a requested change is made.

(6) Except as stated in subsection (7) of this section, if the board revokes approval of a plan, reimbursements from the CMRS fund shall cease immediately, except for RCs and NRCs for which the carrier is obligated by a previously signed contract.

(7) Failure of a carrier to respond in writing to a board request within the time frame indicated in the request, may be considered cause for the board to revoke approval of a previously approved plan and to cease reimbursement payments to the carrier.

Section 8. Appropriate Costs for Recovery.

(1) For the purpose of differentiating between CMRS carrier costs and PSAP costs, the point of demarcation shall be the selective router of the contracted wireline E9-1-1 service provider, or similarly placed functional equipment within the E9-1-1 call completion hierarchy. The board shall determine, based upon industry standards, what equipment is to be considered "similarly placed functional equipment".

(2) Recoverable RCs and NRCs shall include:

(a) Trunking;

(b) Connection fees between carrier switches or other interface equipment to a selective router;

(d) Routing charges;

(e) Operations;

(f) Engineering;

(g) Switch upgrades;

(h) Network design;

(i) Test plan development;

(j) P-ANI administration;

(k) Database management;

(l) Reporting requirements;

(m) Software required for the operation of wireless E-911;

(n) Call counting;

(o) Amortization and carrying costs;

(p) Costs of complying with CMRS audit; and

(q) Other costs attributed to wireless E911 call completion and approved by the board. The CMRS provider shall provide full rationale for other costs submitted.

(3) Submission of costs for activities that occurred more than twenty-four (24) months prior to submission of an invoice by the carrier to the Kentucky 911 Services Board shall not be reimbursed.

Section 9. Use of Reimbursed Funds. A CMRS carrier shall use money received from the CMRS fund only for those expenditures and purposes authorized in KRS 65.7631(3), listed in invoices accepted by the board and as previously authorized in an approved cost recovery plan.

Section 10. Claims for Reimbursement.

(1) After a cost recovery plan is approved, a CMRS provider may file a claim for reimbursement of NRCs and RCs defined in the plan by submitting an invoice or other documentation, as defined in the plan.

(2) An invoice submitted by a CMRS provider that is consistent with the then-current approved plan shall be paid by the board.

(3) A carrier may appeal a rejected invoice in accordance with KRS Chapter 13B.

(4) The board shall suspend payment of a claim, including a claim previously approved but unpaid by the board, from a carrier who fails to comply with the requirements for remittance as specified by KRS 65.7635, until the carrier complies.

Section 11. Amount of Reimbursement.

(1) The amount of payments by the board to a carrier shall be determined by one (1) of the following methods, as set out in the approved cost recovery plan:

(a) By submission of NRCs necessary for the realization of the carrier's approved plan and actually incurred by the carrier;

(b) By submission of the predefined calendar period's nonsubscriber-based RCs;

(d) By a combination of methods in paragraphs (a), (b), and (c) of this subsection, as previously approved by the board.

(2) To document costs requested to be reimbursed, a carrier shall submit:

(a) A sworn paid invoice for actual costs or purchases from other vendors or suppliers; and approved documentation for internal costs (e.g., time slips for actual work performed by the carrier's employees) sufficient to establish the internal costs as reasonable and necessary; or

(b) other appropriate documentation approved by the board as part of the cost recovery plan.

(3) The subscriber count reported monthly by a carrier with the CMRS fund remittance and reporting process shall be used to determine the total for subscriber-based RCs. The subscriber count shall be subject to audit by the board, in accordance with KRS 65.7629(13).

Section 12. Payment Frequency. At least once per calendar quarter, the Kentucky 911 Services Board shall approve and pay claims submitted by carriers for reimbursement that are consistent with approved cost recovery plans.

Section 13. Prorated Payments. If the board determines that the total amount of invoices submitted by CMRS carriers and approved by the board exceeds the amount of revenue in the fund in a month or other payment period, the board shall pay a prorated share of the available funds to carriers who have submitted board-approved invoices for the relevant period. The priority of payment shall be as follows:

(1) The balance of approved unpaid invoices, including additional carrying charges at a rate established in the approved plan, shall be paid first; and

(2) Current invoices approved by the board shall then be paid.

Section 14. Amortization of Costs.

(1) Nonrecurring costs may be amortized over a period not longer than twenty-four (24) months, until the amounts claimed for NRCs are fully recouped by the CMRS carrier.

(2) The board may reject a cost recovery plan or revised cost recovery plan if the amortization period of NRCs selected by the carrier is not long enough to ensure adequate monthly surcharge revenues with which to meet the carrier's monthly reimbursement demands.

(3) The interest rate for carrying unreimbursed NRCs shall be established and fully documented in the carrier's cost recovery plan.

(4) The actual cost of borrowing to fund NRCs shall be a legitimate recoverable RC.

(5) Only NRCs shall be amortized.

Section 15. Sunset of 202 KAR 6:020. Pursuant to KRS 65.7631(3)(b), enforcement of this administrative regulation shall sunset upon final payment of all outstanding carrier cost recovery obligations incurred by tier III CMRS providers from June 30, 2011, to January 1, 2016.

Section 16. Incorporation by Reference.

(1) "Kentucky CMRS Provider Data Sheet" (07/09/2007) is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky 911 ServicesBoard, 200 Mero Street, Frankfort, Kentucky 40622, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 65.7621-65.7643, 47 U.S.C. 153(27), 332(d)
STATUTORY AUTHORITY: KRS 65.7633(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7631(3) requires the Kentucky 911 Services Board to distribute a portion of the revenues deposited into the CMRS fund to CMRS providers (carriers) licensed to do business in the Commonwealth, solely for the purpose of reimbursing the actual expenses incurred by the CMRS providers in complying with the wireless E911 service requirements established by the FCC order and any rules and regulations which are or may be adopted by the Federal Communications Commission in carrying out the FCC order. KRS 65.7633(1) requires the Kentucky 911 Services Board to promulgate administrative regulations to implement KRS 65.7621 to 65.7643. This administrative regulation establishes the process by which CMRS carriers may obtain cost recovery for those expenses.
History: 26 Ky.R. 2105; Am. 27 Ky.R. 68; 1770; eff. 12-7-2000; 29 Ky.R. 1010; 1524; eff. 12-18-2002; 33 Ky.R. 4214; 34 Ky.R. 233; eff. 8-31-2007; 46 Ky.R. 133, 895; eff. 9-10-2019.

202 KAR 6:030 Confidential and proprietary information {#sec-202-kar-6-030 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:030}

Section 1. Identification of Confidential or Proprietary Information.

(1) Information identifying subscribers shall be held confidential, as proprietary information belonging to the disclosing CMRS provider, by the board and each of its employees. Identifying information shall include a subscriber's:

(a) Name;

(b) Telephone number; and

(2) A CMRS provider, PSAP, board-contracted entity, or local exchange carrier (LEC) shall explicitly and clearly mark as confidential, prior to submission, information supplied and regarded by the provider, PSAP, board-contracted entity, or LEC as proprietary.

(3) The board shall not regard as confidential or proprietary the identification of a provider or LEC or a subsidiary of either.

Section 2. Allowable Uses of Confidential and Proprietary Information. The use of confidential or proprietary information shall be strictly limited to:

(1) Disburse funds as provided in KRS 65.7631(1), (2), (3), (4), and (5);

(2) Discharge the duties of the board and its agents as provided in KRS 65.7629(1), (3), (8), (12), (13)(a), and (16);

(3) Process revenues remitted to the board by CMRS providers; and

(4) Manage calls by PSAPs in accordance with KRS 65.7639.

Section 3. Management of Confidential and Proprietary Information in the Possession of the Board.

(1) The board shall instruct, in writing, all board personnel, agents of the board, and PSAPs as to the proper management and uses of confidential and proprietary information.

(2) A nondisclosure agreement shall be signed by each board member, employee, and agent of the board who may handle or possess information deemed confidential or proprietary.

(3) Material deemed confidential or proprietary shall be specifically and clearly identified by the board.

(4) Only persons specifically authorized by the board shall open board correspondence. Correspondence received by postal mail, electronic mail, or facsimile and opened by an unauthorized person shall:

(a) Not be copied;

(b) Be immediately returned to its container; and

(5) Proprietary and confidential information in the possession of the board, a member, agent, or any other person or entity shall be stored in a secure room, vault, or container. The room, vault, or container shall be kept locked when unattended or outside of normal business hours. Electronic files containing confidential or proprietary information shall be secured utilizing established mainframe protocols, stand alone servers, secured sockets, or password protected desktop applications, as appropriate.

(6) Access to confidential and proprietary information shall be limited to persons specifically authorized by KRS 65.7639.

(7) Each copy of confidential or proprietary information may be distributed as necessary for the efficient discharge of board duties and responsibilities.

(a) Copies shall be explicitly and clearly marked as confidential.

(b) A person possessing copies of documents containing confidential or proprietary information shall be responsible for document security.

Returned to the board immediately; or
Destroyed immediately in such a manner as to prevent its reconstruction.

(8) An original record or file no longer needed for processing shall be:

(a) Sealed securely, retaining the notice of confidentiality, and transferred:

To a facility accessible only to the board administrator; or
With board approval, to the state archival and record storage center;

(b) With board approval, destroyed; or

Section 4. Breaches of Security.

(1) The board shall take immediate action to determine the cause, impact, and persons involved in a security violation of the confidential information entrusted to the board.

(2) Unauthorized access to confidential or proprietary information shall be promptly reported to the board in writing.

(3) A report of a security breach shall include a description of the incident, specific identification of the information disclosed, identification of each person who accessed the records, and the purposes for which access was obtained.

(4) The board shall notify an affected party immediately, providing a copy of the written report detailing the incident.

(5) A board member, agent, or employee who willfully or negligently disregards a provision of this administrative regulation shall be dismissed or requested to resign.

(6) If a PSAP or its employee willfully or negligently disregards a provision of this administrative regulation, the board shall decertify the PSAP.

(7) A board member, agent, or employee who has been dismissed or asked to resign for willful or negligent disregard of the provisions of this administrative regulation may appeal the dismissal in accordance with KRS Chapter 13B.

(8) A PSAP that has been decertified for willful or negligent disregard of the provisions of this administrative regulation may appeal the decertification in accordance with KRS Chapter 13B.

History

RELATES TO: KRS 65.7621-65.7643, 47 U.S.C. 153(27), 332(d)
STATUTORY AUTHORITY: KRS 65.7633(1), 65.7639
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7633(1) requires the Kentucky 911 Services Board to implement the provisions of KRS 65.7621 to 65.7643 through the promulgation of administrative regulations. In order to comply with KRS 65.7629, 65.7639, and administrative regulations promulgated by the Kentucky 911 Services Board, it is necessary that the board and PSAPs (public safety answering points) certified by the board obtain proprietary information. KRS 65.7639 protects such information and governs the form and manner of its release to others. This administrative regulation establishes the procedures by which the board shall ensure the security of confidential or proprietary information.
History: 26 Ky.R. 2108; Am. 27 Ky.R. 70; 1771; eff. 12-7-2000; 33 Ky.R. 4217; 34 Ky.R. 235; eff. 8-31-2007; 46 Ky.R. 136; eff. 9-10-2019.

202 KAR 6:050 PSAP certification {#sec-202-kar-6-050 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:050}

Section 1. Phase I Certification.

(1) Certification of a PSAP by the board implies that the board has examined the operation and infrastructure of the requesting PSAP and determined that it is capable of complying with the requirements for handling wireless E9-1-1 calls.

(2) The board shall:

(a) Provide for increasing integrity in E9-1-1 systems statewide; and

(b) Coordinate and assist in the implementation of new technology in the operation of emergency telecommunications in the state.

(3) A PSAP seeking certification shall send to the board the following:

(a) A completed "Kentucky 911 Services Board PSAP Certification Application";

(b) A copy of:

Documentation which establishes the PSAPs authority to establish 9-1-1 service in accordance with KRS 65.760;
A list of the public safety agencies served by the requesting PSAP and a copy of any agreement between the PSAP and the designated agencies;
Any agreement between the requesting PSAP and the contracted wireline E9-1-1 service provider; and
A printed map detailing the PSAP service boundary.

The mapping and addressing applications including:

a. The location of each database;

b. How each database is maintained; and

c. Who maintains each database.

The network and its characteristics currently or proposed to be in use by the PSAP; and
Call transfer functions in the PSAP.

(d) Documentation of:

Sworn statements that telecommunicators and PSAP management have signed nondisclosure agreements regarding confidential information accessible by them;
The disaster recovery application used by the PSAP including:

a. Default routing and alternate routing of call applications or other contingency applications for rerouting calls in the event of system failure;

b. Type of backup power equipment installed; and

c. Evacuation and relocation applications.

Seven (7) digit service for administrative non-emergency service;
Telecommunications devices for the deaf and hard of hearing in the PSAP;
A certificate or sworn statement that telecommunicators employed by the PSAP that handles wireless E9-1-1 calls meet the training requirements as required by law; and
The PSAP's standard operating procedures for the handling of wireless E9-1-1.

(e) A description of:

The PSAP's ability or anticipated ability to handle the data elements associated with wireless E9-1-1 calls; and
The anticipated use of the CMRS funds, in accordance with KRS 65.7631.

(4) Subsection (3)(b)1. of this section shall not prohibit the Kentucky State Police from establishing a public safety answering point as otherwise permitted by law.

(5) After its initial review, the board shall:

(a) Require submission of other necessary documentation; and

(b) Schedule an on-site inspection by a member or members of the board or advisory council.

Section 2. Application for Certification.

(1) An application for certification shall be stamped "Confidential." Proprietary information received by the board shall be filed and maintained so as to maintain its confidentiality in accordance with KRS 65.7639 and 202 KAR 6:030.

(2) The board shall evaluate an application for adherence and compliance with all requirements, standards, and guidelines listed in the Kentucky 911 Services Board PSAP Certification Application within ninety (90) days of receipt. Board action on the application shall be determined by a simple majority vote.

(3) Within ten (10) business days of its decision, written notice of the board's approval or disapproval of an application shall be sent to the PSAP.

(4) If an application for PSAP certification is disapproved:

(a) The board shall:

State in its written notice of decision the specific reason for rejection; and
Schedule a meeting with the PSAP applicant to resolve identified problems.

(b) The PSAP may:

Submit a revised application to the board for its review and approval or disapproval, following the procedure set out in Sections 1 and 2 of this administrative regulation; or
Appeal the board's rejection in accordance with KRS Chapter 13B.

Section 3. Revision of an Approved Application.

(1) After an application is approved, subsequent changes may be requested by either the PSAP or the board.

(2) The board may review an existing certification and request re-substantiation and re-approval of an application if necessary:

(a) To maintain the integrity of the wireless E9-1-1 system;

(b) To implement Phase II as specified by the FCC; or

(3) New or revised requirements specified by the board shall be applied to all PSAPs, upon written notice, within a reasonable period, not to exceed ninety (90) days.

(4) A party requesting revision of an application shall send written notice of the requested changes to the other party.

(5) An existing and approved application shall remain in effect until the board has notified the PSAP of its decision on the proposed changes.

(6) The board shall review a request for revision under the procedure designated in Sections 1 and 2 of this administrative regulation.

(7) The board shall decertify a previously approved application and shall discontinue payments to a PSAP, if the PSAP fails, without good cause, to respond in writing to a board request within the time period specified in the request.

Section 4. Phase II Certification. If the evolving technology necessary to implement Phase II requires additional enhancements to a PSAP's operation, the board shall:

(1) Seek additional documentation and substantiation of a PSAP's continuing ability to handle E9-1-1 calls; or

(2) Impose more stringent requirements to receive or maintain certification.

Section 5. Decertification of a PSAP.

(1) The board shall decertify a PSAP if the PSAP:

(a) Has used funds for purposes other than as prescribed by KRS 65.7631 and 202 KAR Chapter 6; or

(b) Has not maintained or purchased the necessary technology or infrastructure to comply with evolving requirements.

(2) A PSAP that has been decertified may appeal the decertification in accordance with KRS Chapter 13B.

Section 6. Incorporation by Reference.

(1) "Kentucky 911 Services Board PSAP Certification Application", 04/01/2019, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky 911 Services Board, 200 Mero Street, Frankfort, Kentucky 40622, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 65.760, 65.7621-65.7643, 9 U.S.C. 1-16, 42 U.S.C. 12101, 47 U.S.C. 153(27), 332(d)
STATUTORY AUTHORITY: KRS 65.7631(6)(a), 65.7633(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7631(6)(a) states that no PSAP shall be eligible to request or receive a disbursement from the CMRS fund unless and until the PSAP is expressly certified as a PSAP by the Kentucky 911 Services Board, upon written application to the Kentucky 911 Services Board. KRS 65.7633(1) requires the Kentucky 911 Services Board to implement the provisions of KRS 65.7621 to 65.7643 through the promulgation of administrative regulations. This administrative regulation establishes the process by which a PSAP shall establish and maintain eligibility for disbursement from the CMRS fund.
History: 26 Ky.R. 2109; Am. 27 Ky.R. 70; 1772; eff. 12-7-2000; TAm eff. 8-31-2007; 46 Ky.R. 138, 897; eff. 9-10-2019.

202 KAR 6:060 PSAP pro rata fund disbursement {#sec-202-kar-6-060 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:060}

Section 1. Revenues Collected by the Kentucky 911 Services Board.

(1) Monthly revenues remitted to the CMRS Board after March 31, 2000 shall be disbursed to PSAPs (public safety answering points) in quarterly payments.

(2) Any PSAP that is certified by the end of a calendar quarter shall be eligible to receive a pro rata share of funds collected during that quarter. Payments shall be made within forty-five (45) days of the end of each calendar quarter.

History

RELATES TO: KRS 65.7621-65.7643, 47 U.S.C. 153(27), 332(d)
STATUTORY AUTHORITY: KRS 65.7633(2)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7633(2)(c) requires the Kentucky 911 Services Board to establish procedures and guidelines for reviewing, evaluating, and approving or disapproving disbursements under KRS 65.7631(3), (4), and (5) from the CMRS fund and requests for disbursements. This administrative regulation establishes the pro rata fund disbursement process.
History: 26 Ky.R. 2112; Am. 27 Ky.R. 72; 1773; eff. 12-7-2000; 33 Ky.R. 4218; 34 Ky.R. 236; eff. 8-31-2007; 46 Ky.R. 140, 898; eff. 9-10-2019.

202 KAR 6:070 PSAP workload fund disbursement {#sec-202-kar-6-070 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:070}

Section 1. Revenues Collected by the Kentucky 911 Services Board.

(1) Wireless workload revenues remitted to the CMRS Board during a calendar quarter shall be disbursed in one (1) payment to PSAPs (public safety answering points) within 120 days of the end of that same calendar quarter.

(2) Each PSAP certified by the end of a calendar quarter shall be eligible for a disbursement of funds received during that same calendar quarter.

Section 2. Determination of the Zip Codes or Portions thereof in a PSAP's Jurisdiction.

(1) Upon initial certification, the board shall submit to each PSAP a list of zip codes within the PSAP's jurisdiction. A zip code with at least three (3) percent of its total area in a jurisdiction shall be included in the list. Percentage allocation shall be determined by the Commonwealth Office for Technology, Division of Geographic Information, and communicated to the board.

(2) If three (3) percent or more of a zip code's geographic area is in more than one (1) PSAP's jurisdiction, the Kentucky 911 Services Board shall adjust the allocation determined by the Commonwealth Office for Technology so that the percentage of zip code area allocated to the PSAP shall be equivalent to the percentage of CMRS connections within the zip code area.

(3) Within forty-five (45) days of receipt of the zip code list from the Kentucky 911 Services Board, each PSAP shall acknowledge, in writing to the Kentucky 911 Services Board whether the list of zip codes in the PSAP's jurisdiction is correct and complete.

(4) Within forty-five (45) days of receipt of the zip code list from the Kentucky 911 Services Board, a PSAP may dispute zip code or percentage allocations by notifying the board and any other PSAP affected by the dispute, in writing, of the disputed zip code.

(a) Within five (5) working days of receipt of a notice of dispute, the board shall notify each PSAP affected by the dispute. The affected PSAPs shall:

Negotiate a mutually agreeable resolution to the identified problem; and
Notify the Kentucky 911 Services Board of the result.

(b) If within the following thirty (30) days the Kentucky 911 Services Board is not notified of a mutually-agreeable resolution between the affected PSAPs, the board shall determine the percentage of the identified zip code to be allocated to each PSAP.

(5) A PSAP may request a change to a previously-approved zip code allocation by submitting a written request to the Kentucky 911 Services Board and the other affected PSAPs no later than thirty (30) days after the end of a calendar quarter.

(a) Within five (5) working days of receipt of a request, the board shall notify each affected PSAP. The affected PSAPs shall:

Negotiate a mutually-agreeable resolution to the requested change; and
Notify the Kentucky 911 Services Board of the result.

(b) If, within the following thirty (30) days, the board is not notified of a mutually-agreeable resolution between the affected PSAPs, the board shall determine the percentage of the zip code to be allocated to each PSAP.

(6) A PSAP may appeal the final allocation of a zip code assignment in accordance with KRS Chapter 13B.

Section 3. Calculation of Individual PSAP Disbursements Under the PSAP Wireless Workload Formula.

(1) Within ninety (90) days after the end of calendar quarter, the board shall determine a value for each CMRS connection by dividing the total amount of funds remitted to the board during the collection period established for this disbursement by the total number of CMRS connections, as submitted in a quarterly report by CMRS providers.

(2) The board shall multiply the value for each connection by the number of connections in each zip code, as reported in the quarterly reports by the CMRS providers.

(3) The Kentucky 911 Services Board shall divide the disbursement for a zip code that crosses a PSAP jurisdictional boundary according to the percentages established in Section 2 of this administrative regulation.

(4) A PSAP's workload disbursement shall consist of the total amounts for all zip codes or percentage of zip codes whose areas are served by a PSAP, as determined by subsections (2) and (3) of this section.

(5) Disbursement amounts attributed to zip codes whose allocation of CMRS connections is disputed by a PSAP shall be reserved by the board in the PSAP volume account until an allocation for that zip code is determined.

(a) Disputed funds shall remain in the CMRS fund accounts until disbursed.

(b) Interest accrued by disputed funds shall be deposited in the CMRS Fund and thereafter distributed in accordance with KRS 65.7631.

(c) Upon resolution of a dispute, the reserved funds shall be disbursed to the PSAPs with the next regular workload fund disbursement. .

History

RELATES TO: KRS 65.7621, 65.7627, 65.7629(5)-(8), 65.7631(5), 65.7643, 47 U.S.C. 153(27), 332(d)
STATUTORY AUTHORITY: KRS 65.7633(2)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7633(2)(c) requires the Kentucky 911 Services Board to establish procedures and guidelines for reviewing, evaluating, and approving or disapproving disbursement from the CMRS Fund and requests for disbursements under KRS 65.7631(3), (4), and (5). This administrative regulation establishes the wireless workload fund disbursement process.
History: 28 Ky.R. 1269; Am. 1613; eff. 1-14-2002; 33 Ky.R. 4220; 34 Ky.R. 236; eff. 8-31-2007; 46 Ky.R. 141, 898; eff. 9-10-2019.

202 KAR 6:080 CMRS surcharge remittance and reporting {#sec-202-kar-6-080 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:080}

Section 1. Remittance of postpaid and Lifeline CMRS Surcharge.

(1) A CMRS provider shall remit to the Kentucky 911 Services Board the CMRS surcharge for postpaid and Lifeline subscribers on form "Provider Remittance Report", incorporated by reference, and also available on the web page at https://911board.ky.gov.

(2) At least ninety (90) calendar days before implementation of a change in remittance procedure, the board shall notify each provider of the change. Notice shall include copies of required forms and instructions for their completion.

(3) The board shall:

(a) Upon request of a provider, provide copies of required forms and instructions for their completion; and

(b) Maintain on the Web site https://911board.ky.gov, a copy of the form and instructions in current use.

Section 2. Remittance of prepaid CMRS Surcharge. The prepaid service charge imposed by KRS 65.7634 shall be collected by the retailer from the purchaser at the time of purchase and remitted to the Department of Revenue as provided in KRS 142.100 to 142.135.

Section 3. Quarterly Report of CMRS Connections in a Zip Code.

(1) Each provider or reseller shall submit to the Kentucky 911 Services Board a quarterly report of the number of postpaid, prepaid, and Lifeline CMRS connections served by them for the previous three (3) months of the reporting periods ending March 31, June 30, September 30, and December 31.

(2) Each quarterly report shall list for each zip code served by the provider and located at least partially in Kentucky, the number of CMRS postpaid, prepaid, and Lifeline connections billed by them in each month of the reporting period.

(3) The Provider Remittance Report shall be sorted by zip code and submitted in a format as designated by the Kentucky 911 Services Board. The board shall maintain on the Web site https://911board.ky.gov, a copy of the form and instructions in current use.

(4) A reseller shall include:

(a) A list of the CMRS providers on whose network they resell service; and

(b) The number of CMRS connections on each network.

(5) The report shall be due at the Kentucky 911 Services Board office no later than sixty (60) days following the end of the reporting month.

Section 4. Required Reports Regarding Resellers of CMRS Service.

(1) A provider who contracts with a reseller of wireless service shall submit to the CMRS Board a quarterly report listing each vendor reselling wireless service on the provider's network.

(2) The quarterly report shall:

(a) Be submitted to the board no later than sixty (60) days after the end of the calendar months of March, June, September, and December;

(b) Include the reseller's:

Business name;
Business address;
Contact person;
Telephone numbers; and
E-mail address; and

(c) Include the number of CMRS connections receiving service on the provider's network and billed by the listed reseller.

Section 5. Provider Failure to Comply with Reporting and Remittance Requirements.

(1) A provider's failure to comply with the requirements of this administrative regulation shall constitute cause for the board to suspend cost recovery payments to the provider.

(2) A cost recovery payment shall be suspended only if authorized by a majority vote of the Kentucky 911 Services Board.

(3) The board shall not consider suspension of payment to a provider unless the provider has been:

(a) Notified in writing of the failure to comply with a stated provision of this administrative regulation; and

(b) Allowed ten (10) days from receipt of notice in which to respond.

(4) The provider may appeal the board's suspension of cost recovery payments, in accordance with KRS Chapter 13B.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Provider Remittance Report", 3/20/2019; and

(b) "Bank Routing and Account", 6/2001.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky 911 Services Board, 200 Mero Street, Frankfort, Kentucky 40622, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 65.7621, 65.7627, 65.7629(3)-(9), (13), 65.7631, 65.7634, 65.7635, 65.7636, 65.7639, 65.7643, 142.100-142.135, 9 U.S.C. 1-16, 47 U.S.C. 153(27), 332(d), FCC Order Docket #94-102, 1996
STATUTORY AUTHORITY: KRS 65.7633(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7631(5) requires the Kentucky 911 Services Board to collect surcharges from every prepaid, postpaid and Lifeline CMRS connection in the Commonwealth and to distribute a portion of the revenues deposited into the CMRS fund to Board-certified PSAPs, based in part on their workload in complying with the wireless E911 service requirements established by the FCC order. KRS 65.7633(1) requires the Kentucky 911 Services Board to promulgate administrative regulations to implement the provisions of KRS 65.7621 to 65.7643.This administrative regulation establishes the process by which point of sale retailers of prepaid wireless communication services, and CMRS providers and their resellers of prepaid, postpaid and Lifeline CMRS connections remit surcharges and report the information necessary to collect the remittances and to calculate the required disbursements.
History: 28 Ky.R. 1271; Am. 1614; eff. 1-14-2002; TAm eff. 8-31-2007; 45 Ky.R. 143, 899; eff. 9-10-2019.

202 KAR 6:090 Allowable expenditures by public safety answering points (PSAPs) using the commercial mobile radio service emergency telecommunications (CMRS) fund {#sec-202-kar-6-090 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:090}

Section 1. Definitions.

(1) "AVL" means automatic vehicle location systems used to track emergency responder vehicles.

(2) "CAD" means computer aided dispatch systems used by 911 personnel to allocate and track emergency responder resources during a 911 call.

(3) "ECC" means an emergency call center.

(4) "EMS" means emergency medical system, which includes paramedics, emergency medical technicians, and other personnel and equipment used to respond to medical emergencies.

(5) "GIS" means Geographic Information Systems used to create, maintain, and manage graphic location data for use by PSAPs or services routing emergency calls to PSAPs.

(6) "LINK/NCIC" means the Law Enforcement Information Network of Kentucky and the National Crime Information Center, two (2) systems commonly used by law enforcement and emergency communications personnel for short messaging between agencies and to request vehicle, driver, and criminal history checks.

(7) "MSAG" means Master Street Address Guide, the database used by 911 centers to determine an emergency call's initial location.

(8) "Paging" means a hardware or software service originating in the PSAP that:

(a) Notifies first responders in the field; and

(b) Reflects hardware, software, or interface that connects with the CAD to notify first responders in the field.

(9) "PSAP" is defined by KRS 65.7621(23).

(10) "VoIP" means voice over internet protocol.

Section 2. Allowed 911 Center Operational Expenditures.

(1) Personnel costs. Costs related to employees as established in paragraphs (a) and (b) of this subsection, to the extent the employees' duties are directly attributable to delivery of 911 service, shall be allowed.

(a) Positions allowed shall include:

Director;
Supervisor;
Dispatcher;
Call-taker;
Technical staff;
Support staff; and
Other staff involved in the provision of 911 service.

(b) Associated costs allowed shall include:

Salaries;
Fringe benefits;
MSAG coordination;
Uniforms; and
Addressing or database development and management.

(2) Facility costs. Facility costs for the following expenses, to the extent expenses are directly attributable to delivery of 911 service, shall be allowed:

(a) Capital improvements for construction, remodeling, or expansion;

(b) Lease or rental payments;

(d) Heating and air conditioning;

(e) Fire suppression systems;

(f) Security systems;

(g) Cleaning and maintenance;

(h) Emergency power and uninterruptible power equipment;

(i) Insurance;

(j) Office supplies;

(k) Printing and copying services; and

(l) Furniture.

(3) Training and memberships. Training and memberships in professional associations shall be allowed to the extent the training and memberships are directly attributable to the enhancement of knowledge, skills, and abilities of 911 personnel in the provision of 911 service, including:

(a) Vendor provided training;

(b) Conferences;

(d) On-the-job training; and

(e) Memberships in 911 related associations, such as the Association of Public Communications Officials, or the National Emergency Number Association.

(4) Hardware, software, and peripheral equipment. Costs for the following equipment shall be allowed to the extent the equipment's function is directly attributable to the provision of 911 service, whether on the premises or remotely located:

(a) 911 controllers, telephone equipment, or software;

(b) 911 trunks or administrative lines for the PSAP;

(d) Automatic call distribution (ACD) systems or other call management facilities and software;

(e) Call-time stamping or other clock functions;

(f) Computer workstations;

(g) Telephone device for the deaf equipment;

(h) Voice and data recording systems;

(i) Radio systems, including consoles;

(j) CAD; GIS or mapping software, equipment, and services; paging; paging peripherals; and field communication equipment between first responders allowing connectivity to CAD to provide emergency communication to first responders in the field, or LINK/NCIC;

(k) Associated databases;

(l) Network connectivity;

(m) Software licenses;

(n) Maintenance or service agreements for equipment or software listed in paragraphs (a) through (p) of this subsection;

(o) Text or video to and from a PSAP/ECC; and

(p) VoIP.

(5) Vehicle costs. Vehicle costs for the following, either as reimbursement to an employee for the use of a private vehicle or direct costs for a vehicle assigned to the agency, shall be allowed to the extent the vehicle use is directly attributable to the provision of 911 service:

(a) MSAG and address development and maintenance;

(b) GIS verification and testing; and

(6) Professional services. Costs for the following professional services shall be allowed to the extent the services are directly attributable to the provision of 911 related service:

(a) Legal;

(b) Architectural;

(d) Consultation; and

(e) GIS.

(7) Public education. Costs for public education regarding the proper use of 911 shall be allowed.

Section 3. Not Allowed 911 Center Operational Expenses.

(1) Personnel costs. Personnel costs for the following personnel shall not be allowed, except if directly functioning as 911 center staff:

(a) Law enforcement;

(b) EMS personnel;

(d) Emergency management staff; and

(e) Shared support or technical staff.

(2) Facility costs. Facility costs for the following purposes and facilities shall not be allowed, except for that portion used for 911 operations:

(a) Capital and furnishing costs for facilities whose primary purpose is other than 911 operations;

(b) Facilities primarily intended for use by police, fire, EMS, or other emergency management personnel; and

(3) Training and memberships.

(a) Costs for training for staff not directly involved in the delivery of 911 services or courses with content not intended to increase of the knowledge, skills, and abilities of 911 personnel in regard to delivery of 911 service shall not be allowed.

(b) Costs for memberships in organizations or associations with the primary purpose being other than public safety communications or 911 issues shall not be allowed.

(4) Hardware, software, and peripheral equipment. The following hardware, software, or peripheral equipment costs, unless directly attributable to the delivery of 911 service, shall not be allowed:

(a) Law enforcement, fire, EMS, or jail record management systems;

(b) Word processing, databases, and other general computer applications;

(c) GIS applications providing data layers not needed for the location of emergency calls, or other general mapping and location services for government operations;

(d) Court information systems;

(e) Field equipment used outside of the 911 center by emergency responders or other government personnel for radio, paging, mobile data, LINK/NCIC, CAD, or AVL systems;

(f) Connectivity for an application listed in paragraphs (a) through (e) of this subsection;

(g) A maintenance or service agreement for an application listed in paragraphs (a) through (e) of this subsection; and

(h) Software license for an application listed in paragraphs (a) through (e) of this subsection.

(5) Vehicle costs. The cost of an emergency response or other government vehicle not directly attributable to the delivery of 911 service shall not be allowed.

(6) Professional services. Costs for professional services not directly attributable to the delivery of 911 service shall not be allowed.

(7) Public education. Costs for public education not directly attributable to the delivery of 911 service shall not be allowed.

(8) Radio infrastructure costs shall not be allowed.

History

RELATES TO: KRS 65.7621, 65.7627, 65.7629(3) - (9), (13), 65.7631, 65.7635, 65.7639, 65.7643, 47 C.F.R. 1, 9, 12, 20, 22, 25, 64, 9 U.S.C. 1 - 16, 47 U.S.C. 153(27), 332(d), FCC Order Docket #94-102, 1996
STATUTORY AUTHORITY: KRS 65.7633(2)(c)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7633(2)(c) requires the Kentucky 911 Services Board to promulgate administrative regulations to establish guidelines to be followed by the board in reviewing, evaluating, and approving or disapproving disbursements from the CMRS fund and requests for disbursements under KRS 65.7631(3) through (5). KRS 65.7631(5) requires that disbursed funds shall be used solely for the purposes of answering, routing, and properly disposing of CMRS 911 calls, training PSAP staff, public education, and complying with the wireless E911 service requirements established by the FCC. This administrative regulation establishes requirements to be followed by the board in its review and evaluation of CMRS fund disbursement requests by local 911 centers.
History: 29 Ky.R. 1160; Am. 1524; eff. 12-18-02; TAm eff. 8-31-2007; 46 Ky.R. 145, 900; eff. 9-10-2019; 50 Ky.R. 2098; 51 Ky.R. 266; eff. 11-5-2024.

202 KAR 6:100 PSAP Phase II certification {#sec-202-kar-6-100 omnilex-key=us-ky-regs-official--title-202--202 KAR 6:100}

Section 1. PSAPs not currently certified by the Kentucky 911 Services Board in accordance with 202 KAR 6:050 shall not be eligible for disbursement from the CMRS fund as provided in KRS 65.7631(6) until they successfully complete both the requirements established in 202 KAR 6:050 and Sections 5 through 7 of this administrative regulation.

Section 2. PSAPs Already Certified by the Kentucky 911 Services Board.

(1) In order to maintain continued eligibility for CMRS funds, PSAPs that are currently certified by the Kentucky 911 Services Board in accordance with 202 KAR 6:050 shall no later than September 1, annually submit:

(a) An updated PSAP Annual Survey, including any changes to the documentation supplied in their original Phase I Application; and

(b) Based on an actual tabulation of call traffic for at least the first week in each calendar quarter:

A count of wireless 911 calls received by the PSAP for the previous fiscal year;
A count of non-wireless 911 calls received by the PSAP for the previous fiscal year; and
An accounting of the receipt and disbursement of funds used to operate the PSAP as provided in KRS 65.7630(3).

(2) Certified PSAPs shall:

(a) Make operational the hardware, software, and database necessary to receive and utilize the data elements associated with Phase II wireless E911 service;

(b) Notify the board, in writing, of their readiness to receive and utilize the data elements associated with Phase II wireless E911 service; and

An electronic copy of the digital maps of the PSAP's response area boundary and emergency service boundaries for law, fire, and emergency medical response, in accordance with subsection (3) of this section;
An electronic copy of the digital street centerlines that meets the mapping criteria in Section 3(1)(c) and Section 3(2) of this administrative regulation;
Beginning July 1, 2021, an electronic copy of the digital data set of all address site and structure points that meets the mapping criteria as established in the Kentucky 911 Services Board Kentucky NG911 Mapping Guide;
Updated digital mapping data set layers monthly or at least quarterly, as established in the Kentucky 911 Services Board Kentucky NG911 Mapping Guide;

a. Copies of return receipts and letters sent certified mail requesting Phase II service from all wireless carriers licensed to operate in the PSAP's jurisdiction response area; or

b. Documentation from a wireless carrier licensed to operate within the PSAP response area that Phase II service is operational or has been requested by the PSAP;

Evidence from the LEC, 911 service provider, and any contracted third party database services that all network elements necessary to the provision of Phase II wireless E911 service are operational; and
Evidence from hardware and software vendors that all hardware and software necessary to utilize Phase II calls is now operational.

(3) Digital maps of the PSAP's response area boundary and emergency service boundaries.

(a) The digital maps required by subsection (2)(c)1. of this section shall comply with the mapping criteria as established in the Kentucky 911 Services Board Kentucky NG911 Mapping Guide.

(b) Updated electronic response boundary and emergency response boundaries shall be updated or validated at least quarterly.

(c)

If a PSAP's submitted jurisdictional or an emergency service boundary or boundaries conflicts with the jurisdictional or emergency service boundary or boundaries of another PSAP, the board shall notify all PSAPs affected by the dispute within five (5) working days.
The affected PSAPs shall:

a. Negotiate a mutually agreeable resolution to the identified problem; and

b. Notify the Kentucky 911 Services Board of the result.

If within the following thirty (30) days the Kentucky 911 Services Board is not notified of a mutually-agreeable resolution between the affected PSAPs, the board shall establish an arbitration panel that includes no fewer than three (3) members and includes GIS professionals and representatives of PSAPs certified for CMRS funding to determine the proper jurisdictional or emergency service boundary or boundaries.
A PSAP may appeal the final determination of a boundary in accordance with KRS Chapter 13B.

Section 3. Mapping Criteria. Regardless of the source of its data, a PSAP certified for CMRS funding shall be responsible for the accuracy of the geographic data and supporting databases used by the PSAP and those supplied to the Kentucky 911 Services Board.

(1) Maps in use by PSAPs shall include the following:

(a) PSAP response boundaries as established in the Kentucky 911 Services Board Kentucky NG911 Mapping Guide;

(b) Emergency response boundaries for law, emergency medical service (EMS), and fire agencies within the PSAP response boundary as established in the Kentucky 911 Services Board Kentucky NG911 Mapping Guide;

(c) Road centerlines that have been prepared and attributed with only items as established in the Kentucky 911 Services Board Kentucky NG911 Mapping Guide;

(d) Beginning July 1, 2021, site and structure points as established in the Kentucky 911 Services Board Kentucky NG911 Mapping Guide; and

(e) Address data that is ninety (90) percent accurate upon audit as established in Section 4 of this administrative regulation.

(2) The geospatial positional accuracy of all geographic elements submitted shall be within thirty-three (33) feet of its true location, plus the accuracy of the device used to conduct the test, for ninety (90) percent of all tested sites.

Section 4. Geospatial Audit Requirements and Methodology.

(1) The Kentucky 911 Services Board shall audit the use and quality of geospatial data supplied by certified PSAPs. The PSAP is not responsible for the accuracy of data provided by wireless carriers.

(2) Audits shall be conducted:

(a) Utilizing equipment and methodology as approved and supplied by the Kentucky 911 Services Board or its designee and calibrated according to manufacturer's specifications; and

(b) Using testsapproved by the board which includes GIS professionals and representatives of PSAPs certified for CMRS funding.

(3) Audits shall verify that upon receipt of a wireless 911 call the PSAP's mapping component shall:

(a) Display the X, Y coordinates on digital base maps used by the PSAP;

(b) Identify the incoming 911 call on the map display; and

(4) Each PSAP's mapping shall be tested for the accuracy of the GIS software and hardware used within the PSAP. A minimum of twenty (20) randomly-selected address points shall be tested in each PSAP response area. If a PSAP response area encompasses multiple counties, a sampling of a minimum of twenty (20) randomly-selected address points per county shall be tested. Tested locations shall:

(a) Be distributed across the PSAP response area to yield a valid cross section of urban and rural environments;

(b) Plot on the correct side of the street as shown on the base map data supplied by the PSAP;

(d) Plot within one-tenth (1/10) of a mile of their location on PSAP supplied base maps.

Section 5. Audit Results.

(1) The Kentucky 911 Services Board shall notify PSAPs, in writing, within ten (10) business days of audit results.

(2) If a PSAP fails to meet the audit requirements, the Kentucky 911 Services Board shall allow the PSAP ninety (90) days from receipt of the audit notification to remedy the identified problems.

(3) After receipt of the PSAP response, the board may schedule a reaudit.

(4) A PSAP shall be decertified for CMRS funding if it:

(a) Fails to remedy the problems identified by the board; or

(b) Fails a reaudit.

(5) The board shall notify the PSAP Director, in writing, return receipt requested, of its decision to decertify the PSAP.

Section 6. Appeals of Decertification.

(1) A PSAP may request a review of its decertification by submitting a request in writing, within thirty (30) days of receipt of a decertification notice.

(a) The decertification shall be suspended pending the review by the board.

(b) The board shall schedule the requested review at a regularly scheduled board meeting, no later than ninety (90) days after receipt of the PSAP request.

(c) The board shall notify the PSAP of the scheduled review date, in writing, at least thirty (30) days prior to the meeting.

(d) After the board's review, the board shall notify, in writing, the PSAP of its decision within ten (10) business days.

(2) A PSAP that has been decertified may further appeal its decertification in accordance with KRS Chapter 13B.

Section 7. Status of PSAP Funds During an Appeal.

(1) During a PSAP's appeal of its decertification, the PSAP's pro rata and workload payments shall be held in reserve in the appropriate CMRS fund account until resolution of all appeals by the PSAP.

(a) If the PSAP's appeal is successful, the reserved funds shall be disbursed to the PSAP with the next regular disbursement of each account.

(b) If the PSAP's appeal is unsuccessful, the reserved funds shall be disbursed to the remaining certified PSAPs with the next regular payments from each account in accordance with KRS 65.7631(5).

(2) All interest accrued by reserved funds shall be distributed among the normal CMRS accounts in accordance with KRS 65.7631.

Section 8. Incorporation by Reference.

(1) The Kentucky 911 Services Board "Kentucky NG911 Mapping Guide", 06/01/2019, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky 911 Services Board, 200 Mero Street, Frankfort, Kentucky 40622, Monday through Friday, 8 a.m. to 4:30 p.m.

History

RELATES TO: KRS 65.7621-65.7643, 47 U.S.C. 153(27), 332(d)
STATUTORY AUTHORITY: KRS 65.7631(6)(a), 65.7633(1)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 65.7631 (6)(a) states that no PSAP shall be eligible to request or receive a disbursement from the CMRS fund unless and until the PSAP demonstrates that the PSAP has made the investment which is necessary to allow the PSAP to receive and utilize the data elements associated with wireless E911 service. KRS 65.7633(1) requires the Kentucky 911 Services Board to implement the provisions of KRS 65.7621 to 65.7643 through the promulgation of administrative regulations. This administrative regulation establishes the process by which a PSAP shall demonstrate its ability to receive and utilize the data elements associated with wireless E911 and Next Generation 911 (NG911) service.
History: 30 Ky.R. 513; Am. 907; 1208; eff. 12-5-2003; 33 Ky.R. 4221; 34 Ky.R. 238; eff. 8-31-2007; 46 Ky.R. 147, 902; eff. 9-10-2019.

Chapter 7 Kentucky Board of Emergency Medical Services

202 KAR 7:010 Definitions for 202 KAR Chapter 7 {#sec-202-kar-7-010 omnilex-key=us-ky-regs-official--title-202--202 KAR 7:010}

Section 1. Definitions.

(1) "Abandonment" means:

(a) Leaving the physical presence of a patient, once care is initiated, without assuring the presence of appropriately qualified personnel who is certified at or above the level of the original caregiver who continues or maintains care;

(b) Failure to physically transfer documents or other information relating to the condition or care of a patient to ambulance services, medical facilities or appropriately qualified personnel assuming care for a patient;

(c) Failure to communicate to ambulance services, medical facilities or appropriately-qualified personnel assuming care for a patient, information pertinent to the physical findings or care of a patient while in the care of a first responder, EMT, or paramedic; or

(d) Other act that fails to maintain the continuity of care for a patient that is or has been in the care of a first responder, EMT, or paramedic.

(2) "ACLS" means holding a certificate of completion in advanced cardiac life support.

(3) "Adjunct faculty" means a person, who is determined by an EMS-TEI to be uniquely qualified by experience or training in a field that relates to a prehospital discipline.

(4) "AHA" means American Heart Association.

(5) "Airline transport pilot" or "ATP" means a pilot that has received a certificate from the FAA that denotes the highest level of achievement that a pilot may attain.

(6) "Air medical communications specialist" or "ACS" means a person trained in the air medical communications environment that is appropriate to the mission of the air ambulance service.

(7) "ALS" means advanced life support.

(8) "ALS patient contact" means interaction with a patient, where an advanced level patient assessment is conducted that utilizes skills or techniques that are beyond the scope of practice for an EMT.

(9) "ASHI" means American Safety and Health Institute.

(10) "ATLS" means holding a certificate of completion in advanced trauma life support.

(11) "Base station" means the primary physical location of the ambulance service.

(12) "BLS" means basic life support.

(13) "BTLS" means holding a certificate of completion in basic trauma life support.

(14) "CCEMTP" means the Critical Care Emergency Transport Program conducted by or under the control of the University of Maryland, Baltimore Campus.

(15) "Certificate" means the certificate issued by the board to an individual qualified to perform the duties of a first responder, EMT or EMS instructor.

(16) "Contact hour" means a period of sixty (60) minutes during which a minimum of fifty (50) minutes is utilized for active instructional purposes.

(17) "CPR" means cardiopulmonary resuscitation.

(18) "Critical care interfacility transport" means medical care provided during transport between hospitals utilizing sophisticated medical equipment and supplies and licensed paramedics with critical care endorsements or licensed physicians or RNs in conjunction with licensed paramedics operating under approved medical protocols which exceed the scope of practice of a licensed paramedic not holding a critical care endorsement.

(19) "Deficiency" means a violation of a statutory or regulatory requirement as identified by a KBEMS office representative during an inspection or investigation.

(20) "Dispatch center" means the location where incoming calls are initially received requesting an ambulance and where contact is made with the ambulance service base station or vehicles for direction to the patient scene.

(21) "Emergency" means services provided after the sudden onset of a medical condition or injury manifesting itself by acute symptoms of such severity (including severe pain) that the absence of immediate medical attention could reasonably be expected to result in placing the patient's health in serious jeopardy, serious impairment to bodily functions or serious dysfunction of any bodily organ or part.

(22) "EMS" means emergency medical services.

(23) "EMS-I" means an individual that is certified by the board as an emergency medical services instructor.

(24) "EMS-TA" means Emergency Medical Services Testing Agency.

(25) "EMS-TEI" means Emergency Medical Services Training and Educational Institution.

(26) "FAA" means the Federal Aviation Administration.

(27) "FAR" means federal aviation regulations.

(28) "FCC" means Federal Communications Commission.

(29) "Flight nurse" means a registered nurse licensed by the Kentucky Board of Nursing acting in the air medical environment with training and education appropriate to the mission of the individual air ambulance service that at a minimum addresses:

(a) Altitude physiology;

(b) Aircraft safety;

(d) Flight operations.

(30) "Flight paramedic" means a paramedic licensed by the board acting in the air medical environment with training and education appropriate to the mission of the individual air ambulance service that at a minimum addresses:

(a) Altitude physiology;

(b) Aircraft safety;

(d) Flight operations.

(31) "GPA" means grade point average.

(32) "Helipad" means a designated area, usually with a prepared surface, on a heliport, airport, landing or take-off area, apron or ramp, or movement area used for take off, landing, or parking helicopters.

(33) "IFR" means instrument flight rules.

(34) "Interfacility" means a situation in which a licensed ambulance is utilized to transport a person from a licensed health care facility or a physician's office to another licensed health care facility.

(35) "Interfacility care" means BLS or ALS emergency or nonemergency medical care provided to a patient during ambulance transportation between two (2) health care facilities.

(36) "KBEMS" means the Kentucky Board of Emergency Medical Services.

(37) "KBEMS Office" means the office and its staff established by KBEMS and headed by the executive director.

(38) "KBML" means the Kentucky Board of Medical Licensure.

(39) "KBN" means the Kentucky Board of Nursing.

(40) "KKK-1822" means the General Services Administration's standards for ground ambulance vehicles.

(41) "Landing zone" means a prepared on unprepared area where a helicopter will be landing that:

(a) Is large enough to accommodate the aircraft being used;

(b) Is free of dangerous obstacles;

(d) If landing at night, has light sources to mark the boundaries of the area.

(42) "Lead instructor" means an individual that provides a significant portion of the instruction in a first responder or EMT training program and assumes responsibilities for classroom administrative functions as outlined in 202 KAR 7:601.

(43) "Medical director" means an EMS medical director that meets the provisions of 202 KAR 7:801.

(44) "Mutual aid agreement" means a formal written agreement with another appropriate entity as identified in 202 KAR 7:501, Section 6, for back up or assistance if a situation exists where the provider cannot respond to an emergency request for assistance or the situation exceeds the response capabilities of the provider.

(45) "The National Registry of Emergency Medical Technicians" or "NREMT" means the national professional organization that specializes in practical skills and written examination materials used in evaluation of prehospital personnel.

(46) "NREMT-B" means a student that has successfully completed the registration requirements for an EMT-Basic with the NREMT.

(47) "NREMT-FR" means a student that has successfully completed the registration requirements for a first responder with the NREMT.

(48) "NREMT-P means a student that has successfully completed the registration requirements for a paramedic with the NREMT.

(49) "PEPP" means provider level certification in pediatric emergency prehospital provider.

(50) "PHTLS" mean provider level certification in prehospital trauma life support.

(51) "Physician" means an individual holding an unrestricted license issued by the KBML to practice medicine in the Commonwealth of Kentucky.

(52) "PIC" means pilot in command.

(53) "Pilot program" means a program approved by the board to permit an authorized entity to educate, train, and authorize selected students or employees to utilize a specialized procedure, for a specified time period, that has not been previously approved by administrative regulation.

(54) "Preestablished I.V." means an intravenous solution that has been established on a person prior to the arrival of emergency medical service personnel at the scene or facility.

(55) "Primary response vehicle" means a vehicle utilized by a licensed Class I ambulance service for the purpose of responding certified licensed personnel or equipment to an emergency incident scene.

(56) "Program coordinator" means an individual that serves to coordinate or administer an EMS training program.

(57) "Provider" means an ambulance provider as defined in KRS 311A.010 or individual or entity licensed by the board to provide ambulance service, medical first response, or air ambulance services pursuant to the appropriate administrative regulation.

(58) "RN" means a registered nurse licensed by the KBN.

(59) "Satellite location" means a physical location with a street address where an ambulance is based from on a twenty-four (24) hour basis.

(60) "Sharps" means a portion, or the whole unit, of medical supplies used in treatment procedures that may puncture the skin, including needles and glass ampules.

(61) "SIC" means second in command.

(62) "VFR" means visual flight rules.

History

RELATES TO: KRS 311A.010
STATUTORY AUTHORITY: KRS 311A.020, 311A.030
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311A.030 requires the board to promulgate administrative regulations relating to emergency medical services. This administrative regulation establishes the definitions used in 202 KAR Chapter 7.
History: 202 KAR 007:010. 28 Ky.R. 1724; 2016; eff. 3-14-2002; 30 Ky.R. 89; 909; 1209; 1474; eff. 11-19-2003; Crt eff. 2-19-2019; Crt to Am 2-17-2026, filing deadline 8-17-2027.

202 KAR 7:020 Board organization {#sec-202-kar-7-020 omnilex-key=us-ky-regs-official--title-202--202 KAR 7:020}

Section 1. Appointment of Committee Members and Committee Chairpersons.

(1) The chairpersons and members of a standing committee of the board, subcommittee of the board, and any task force shall be appointed by the board chairperson.

(2) A standing committee shall be comprised of seven (7) members, excluding the EMS-C Advisory Committee, which shall be established consistent with the EMS for Children Performance Measures: Implementation Manual for State Partnership Grantees.

(3) The executive director shall serve as an ex officio member to each standing committee. The chairperson may also appoint other KBEMS office staff members to serve as ex officio members to a standing committee.

(4) Standing committee members shall have a term that expires November 30 of each calendar year. Reappointments for subsequent terms may be made by the chairperson of the board any time after November 1 and before November 30. All appointments shall be made by November 30.

(5) Only a standing committee or task force chairperson or vice-chairperson in the absence of the chairperson may bring reports or recommendations before the board for action. All reports to the board shall be submitted in written format. The chairperson or vice-chairperson shall disclose to the board through written report any committee, subcommittee, or task force member who has resigned his or her position by virtue of missing three (3) or more meetings consistent with Section 2(10) of this administrative regulation.

(6) A task force shall be comprised of no more than five (5) members, excluding the chairperson.

(7) A task force may be created:

(a) At the request of the chairperson of a standing committee;

(b) At the request of the executive director; or

(8) A task force shall cease to exist at the close of its work. A member of a task force shall not serve for a period of more than one (1) year without reappointment. A task force shall serve at the pleasure of the board. The board chairperson may dissolve a task force at any time including prior to the completion of an assigned task, subject to a majority vote of board members.

(9) When a task force is created, the board chairperson shall give a specific written charge to the task force with guidelines, as appropriate. The board chairperson may establish a reporting deadline for the completion of the specific written charge.

(10) Task Force members shall serve without compensation.

Section 2. Standing Committees of the Board.

(1) Executive committee. The executive committee shall address legislative issues and proposals and review administrative regulations for submission to the board including:

(a) Recommending to the board promulgation of administrative regulations, amendment of administrative regulations, or repeal of administrative regulations relating to:

All levels of personnel licensed or certified by the board, and ambulance services licensed or certified by the board;
Rules and operating procedures for the board and each of its standing committees, subcommittees, and task forces;
EMS Grant Program; and
EMS for Children Program;

(b) Serving as a resource for board staff:

In reviewing applications regarding requests for funding under programs administered by or overseen by the board;
With the development of funding programs or applications, including state and federal grants pertaining to EMS and monitoring and reviewing the grants once received by the board;
With creating and recommending to the board a biennial budget for the board prior to submission to appropriate state agencies;
With identifying, developing, and recommending to the board sources of funding for its programs; and
In developing reimbursement programs and providing consult for emergency medical service providers.

(2) A majority of executive committee appointees shall be members of the board.

(3) The vice-chairperson of the board shall be the ex-officio chairperson of the executive committee with full voting rights.

(4) Medical oversight committee. The medical oversight committee shall address issues pertaining to quality assurance, medical control, scope of practice, medical standards of curricula, or other related issues as may be assigned by the board.

(5) EMS for children committee. The EMS for children committee shall assist the coordinator and executive director of the board in achieving the mission of the program.

(6) Data management committee. The data management committee shall be responsible for the following:

(a) The development of a statewide plan for data collection and compliance;

(b) Identification of information initiatives for EMS in Kentucky;

(d) Assistance to ambulance providers with questions or other needs associated with this administrative regulation, KRS Chapter 311A, and other issues associated with the board's statutory authority to require data collection and submission; and

(e) Matters identified by board members, the chairperson, or the executive director that involve data collection, data submission, or information use.

(7) Education committee. The purpose and charge of the education committee shall be to:

(a) Assist the board in developing a strategic plan for EMS education in the Commonwealth of Kentucky;

(b) Act as a resource for EMS educators and EMS-TEIs in the Commonwealth; and

(c) Assume the lead role in formulating, drafting, and sending to the board for approval and subsequent promulgation of all administrative regulations that set the standards and requirements for EMS education in Kentucky.

(8) The membership of each standing committee shall include one (1) member of the board or more, except as established in Section 1(2) of this administrative regulation.

(9) Standing committees shall schedule on an annual basis at least six (6) regular meetings.

(10) A member of a standing committee, subcommittee, or task force who is absent for three (3) or more regular meetings in a term of one (1) year shall be found to have resigned from his or her appointed position and his or her position shall be determined as vacant.

Section 3. Agendas.

(1) A person desiring a matter to be placed on the agenda for a regular board meeting shall, not less than twenty (20) working days prior to the board meeting, submit a written request to the executive director.

(2) The request shall contain the following information:

(a) The matter requested to be placed before the board;

(b) The action desired on the matter;

(d) The name, address, telephone number, and other contact methods as may be necessary to contact the person or organization submitting the request; and

(e) The name, address, telephone number, and other contact methods as may be necessary to contact each person requesting to speak on behalf of the request at the board meeting.

(3) Not less than seven (7) working days prior to the board meeting, the chairperson of the board shall set the agenda and cause its publication on the KBEMS Web site at https://kbems.kctcs.edu/ and in writing.

(4) The submission of a request for a matter to be placed on the agenda at a regular board meeting shall not guarantee that the matter will be placed on the agenda, or the sequential order of a matter approved for the agenda on the agenda.

(5) The board shall adhere to the published agenda at a regular board meeting, unless the board takes action to amend the agenda.

(6) Each agenda for a regular or special meeting shall include an item to allow public comments. The chairperson may limit the time each person comments.

(7) Nothing in the section shall prohibit or constrain any board member from requesting that an item be added to the agenda of a regular meeting. A request may be made from the floor of the meeting. This provision shall not apply to special or emergency meetings.

Section 4. Quorum.

(1) A simple majority of sitting board members shall constitute a quorum.

(2) A vacant position on the board shall not be counted toward the number of sitting members of the board.

(3) A quorum shall be present in order for the board to take action, other than adjourn, or adjourn to a time certain.

(4) The board shall transact business so long as it has convened with a quorum present. A quorum shall be presumed present until a question of "no quorum" is raised, or the absence of a quorum is disclosed by vote of the members present.

(5) A simple majority of appointed members shall constitute a quorum for standing committee, subcommittee, and task force meetings.

Section 5. Voting.

(1) Voting shall be accomplished by one (1) of the following methods:

(a) Voice vote;

(b) A show of hands; or

(2) A roll call vote shall be conducted at the call of any member of the board.

(3) In order for the board to take action on the following matters, a majority of board members present shall have agreed to the action:

(a) Promulgate, amend, or repeal an administrative regulation;

(b) Appoint, directly, or by personal service contract, the executive director, general counsel, or medical advisor;

(d) Adopt a budget or proposed budget for the board;

(e) Authorize the expenditure of more than $7,500, unless the amount is a routine budgeted expenditure;

(f) Take action on an item added to the agenda of the board at the same meeting at which the item is added to the agenda of the board; or

(g) Take an action at an emergency meeting of the board.

(4) In order for the board to take action on the following matters, two-thirds (2/3) of the members of the board that are present shall have agreed to the action:

(a) Discipline or negative action regarding statutory employees; or

(b) Hire outside legal counsel to defend the board in a legal action against the board, a member of the board, or an employee of the board, or for other specified purpose.

Section 6. Attendance of Board Staff and Employees at a Board Meeting.

(1) The following staff of the board shall attend each board meeting, unless excused in writing by the chairperson of the board or excused from the meeting by action of the board:

(a) Executive director;

(b) Deputy executive director;

(d) State medical advisor.

(2) An employee of the board, other than one (1) specified in subsection (1) of this section, shall attend a meeting of the board if requested to do so by a member of the board or the executive director. Board member requests for an employee to attend shall be communicated through the executive director or the deputy executive director.

(3) An employee of the board, other than one specified in subsection (1) of this section, may attend a meeting of the board as part of their state duty time with the permission of the chairperson of the board, the executive director, or deputy executive director.

Section 7. A person aggrieved by an action of a standing committee or task force may appeal to the board by serving written notice to the board within ten (10) working days prior to a regularly scheduled board meeting.

Section 8. Incorporation by Reference.

(1) "EMS for Children Performance Measures: Implementation Manual for State Partnership Grantees", March 2017, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Board of Emergency Medical Services, 118 James Court, Lexington, Kentucky 40505, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) These materials may also be obtained online on the Emergency Medical Services for Children, Innovation and Improvement Center's Web site at https://emscimprovement.center/programs/partnerships/performance-measures/.

History

RELATES TO: KRS Chapter 13A, 311A.015, 311A.020, 311A.145
STATUTORY AUTHORITY: KRS 311A.020, 311A.030
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311A.020(1)(h) requires the board to establish procedures and processes for committees and subcommittees. KRS 311A.030 requires the board to promulgate administrative regulations in accordance with KRS Chapter 13A to carry out the functions of KRS Chapter 311A. This administrative regulation establishes the organization and committee structure of the board.
History: 30 Ky.R. 144; 912; 1211; eff. 11-19-2003; Crt eff. 2-19-2019; 46 Ky.R. 1291, 2036; eff. 02-27-2020; TAm eff. 3-24-2021.

202 KAR 7:030 Fees of the board {#sec-202-kar-7-030 omnilex-key=us-ky-regs-official--title-202--202 KAR 7:030}

Section 1. Definitions.

(1) "Critical violation" means an inspection deficiency listed in the current Agency License & Vehicle Inspection Critical Violation List.

(2) "Non-critical violation" means any inspection deficiency that is not a critical violation as defined by subsection (1) of this section.

Section 2. EMS-TEI.

(1) EMS-TEI Initial Application fee shall be $500.

(2) EMS-TEI Renewal licensing of all levels shall be $250.

(3) In addition to the licensing fee, an EMS-TEI shall remit an additional fee for each course taught which has the potential to lead to state or national certification or licensure as follows:

(a) Emergency Medical Responder - $100;

(b) Emergency Medical Technician - $150;

(d) Paramedic - $300.

Section 3. Certification and License Renewal.

(1) EMR certification renewal fee shall be fifteen (15) dollars.

(2) EMT certification renewal fee shall be twenty-five (25) dollars.

(3) AEMT certification renewal fee shall be forty (40) dollars.

(4) Paramedic license renewal fee shall be fifty (50) dollars. A paramedic shall not be required to pay the fee established in subsection (2) of this section.

(5) Advanced practice paramedic certification renewal fee shall be ten (10) dollars for each specialty certification.

(6) EMS Educator certification renewal fee shall be sixty (60) dollars. An EMS Educator shall not be required to pay the fees established in subsections (1) through (4) of this section.

Section 4. Certification and License Reciprocity and Reinstatement.

(1) The fee for a reciprocal certification or license shall be $100. A paramedic seeking reciprocity as an Advanced Practice Paramedic shall only be required to pay the $100 fee for a reciprocal paramedic license. A reciprocity fee for an Advanced Practice Paramedic license or certification shall not be required.

(2) The fee to reinstate a certification or license shall be $100.

Section 5. Ground Ambulance Service Licensing and License Renewal.

(1) Initial prelicense fee, to establish compliance with 202 KAR 7:501, shall be $3,000.

(2) Transfer of license fee shall be $3,000.

(3) License renewal fee shall be $500.

(4) Inspection fee shall be fifty (50) dollars for each ambulance.

(5) Each cited deficiency shall be a fee of $100 per non-critical violation and $500 per critical violation.

(6) Inspection of additional or replacement ambulances for an existing license shall be a fee of $150 per ambulance.

Section 6. Administrative Fees.

(1) Late fee shall be $100 for any certification or license renewal applicant or any official document required to be received by the KBEMS office, which is postmarked after the due date or expiration date.

(2) A request for license or certification verification or other request for documentation to be forwarded to an out-of-state regulatory entity shall be twenty-five (25) dollars for each entity to which the verification or documentation is to be sent.

Section 7. Non-Transport Providers.

(1) Initial license fee to establish compliance with 202 KAR 7:501 shall be $3,000.

(2) Transfer of license fee shall be $3,000.

(3) License renewal fee shall be $400.

(4) Inspection fee shall be $100 for each set of equipment.

(5) Each cited deficiency shall be a fee of $100 per non-critical violation and $500 per critical violation.

Section 8. Air Ambulance Service Licensing and License Renewal.

(1) Initial prelicensing fee, to establish compliance with 202 KAR 7:510, shall be $5,000.

(2) Transfer of license fee shall be $4,000.

(3) License renewal fee shall be $1,000.

(4) Inspection fee shall be $400 dollars per air ambulance.

(5) Each cited deficiency shall be a fee of $100 per non-critical violation and $500 per critical violation.

Section 9. Incorporation by Reference.

(1) "Agency License & Vehicle Inspection Critical Violation List", KBEMS OPS-11-1, available at kbems.ky.gov, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Office of the Kentucky Board of Emergency Medical Services, 500 Mero Street, 5th Floor 5SE32, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. This material is also available on the board's Web site at: kbems.ky.gov.

History

RELATES TO: KRS 311A.145
STATUTORY AUTHORITY: KRS 311A.145
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311A.145 authorizes the board to promulgate administrative regulations establishing a reasonable schedule of fees for examinations, licensure, certification, inspections, applications, and other provided services and materials. This administrative regulation establishes those fees.
History: 27 Ky.R. 3394; 28 Ky.R. 563; eff. 9-10-2001; 30 Ky.R. 91; 914; 1213; eff. 11-19-2003; 35 Ky.R. 326; 850; 1447; eff. 1-5-2009; Crt eff. 2-19-2019; 50 Ky.R. 1180; eff. 2-16-2024.

202 KAR 7:055 Advisory opinions {#sec-202-kar-7-055 omnilex-key=us-ky-regs-official--title-202--202 KAR 7:055}

Section 1. Form of Request.

(1) The request shall be signed by one (1) or more persons, with each signer's mailing address and telephone number, and if available, telefax number and email address, clearly indicated. If a person signs on behalf of a corporation or association, the name of the entity, the address, telephone number and telefax number of the entity shall be included. The signer shall date the request.

(2) The request shall contain:

(a) A clear and concise statement of all relevant facts on which the ruling is requested;

(b) A citation and the relevant language of the specific statutes, administrative regulations, decisions, orders, or other written statements of law or policy, where applicability is questioned; and any other relevant law;

(d) The requester's proposed response to each question presented and a summary of the rationale supporting each proposed response;

(e) Any supportive documentation or research; and

(f) A statement indicating whether the requester currently is a party to another proceeding involving the questions at issue and whether, to the requester's knowledge or belief, each question has been decided by, is pending determination by, or is under investigation by any governmental entity or other entity with authority over a person or entity which the board governs or regulates.

Section 2. Consideration.

(1) The chairperson of the board, or designee in writing, may schedule an informal meeting between the requester, any interested persons, and a representative of the board, to present information and discuss questions raised. A final decision shall not be made at an informal meeting.

(2) In rendering an advisory opinion, the board shall:

(a) Consider all materials submitted with the request;

(b) Consider any relevant document, data, or other material; and

(3) The board may:

(a) Consult experts or other individuals as it deems necessary; or

(b) Require argument of the question or permit the introduction of evidence.

Section 3. Issuance of Opinion or Refusal to Issue an Opinion. The board shall issue an advisory opinion in response to the request, unless one (1) of the following apply:

(1) The board does not have jurisdiction over the questions presented in the request;

(2) The questions presented are pending in a disciplinary matter, or other board or judicial proceeding that may definitively decide the issues;

(3) The questions presented by the request would be more properly resolved in a different type of proceeding;

(4) The facts or questions presented in the request are unclear, overbroad, insufficient, or otherwise inappropriate as a basis upon which to issue an opinion;

(5) There is no need to issue an opinion because the questions raised in the request have been settled due to a change in circumstances;

(6) The requester is asking the board to determine whether a statute is unconstitutional; or

(7) The board concludes an opinion would not be in the public interest.

Section 4. Publication of Advisory Opinions.

(1) All advisory opinions shall be published and maintained by the KBEMS office. Publication shall be made by hard copy and by placing the entire opinion on the board-managed website.

(2) All names or references that may allow for the identification of parties shall be redacted from the formal, published advisory opinion.

(3) An index of all final, published advisory opinions shall be maintained by the KBEMS office. The index shall include the subject of each opinion, its publication date and any prospective changes that are effectuated by the published advisory opinions.

Section 5. Reconsideration and Appeals.

(1) Any person may request the board to reconsider a published advisory opinion within ten (10) working days of the publication of the opinion.

(2) Requests for reconsideration shall meet the requirements of Section 1(2) of this administrative regulation.

(3) Requests for reconsideration shall contain:

(a) A clear and concise statement of the grounds for the reconsideration;

(b) The proposed conclusion with a summary of the rationale supporting the proposed conclusion;

(c) Any supportive statute, administrative regulation, document, order or other statements of law or policy, with an explanation of the relevance of the material offered; and

(d) A statement of adverse impact, if any, resulting from the published advisory opinion.

(4) Any notice of appeal to the Franklin Circuit Court filed pursuant to KRS 311A.055 shall be served upon the chairperson of the board, the executive director and the general counsel for the board.

History

RELATES TO: KRS 311A.040
STATUTORY AUTHORITY: KRS 311A.020, 311A.030, 311A.040
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311A.040 authorizes the board to issue advisory opinions. KRS 311A.040 requires the board to promulgate an administrative regulation for submission, consideration, and disposition of a request for an advisory opinion. This administrative regulation establishes those procedures.
History: 202 KAR 007:055. 30 Ky.R. 146; 1213; eff. 11-19-2003; Crt eff. 2-19-2019; TAm eff. 2-1-2021; Crt to Am, 2-17-2026, filing deadline 8-17-2027.

202 KAR 7:201 Emergency medical responders {#sec-202-kar-7-201 omnilex-key=us-ky-regs-official--title-202--202 KAR 7:201}

Section 1. Emergency Medical Responder Student Eligibility. An individual shall be eligible to enroll as a student in an Emergency Medical Responder training program if the applicant:

(1) Is not currently subject to disciplinary action pursuant to KRS Chapter 311A that would prevent certification; and

(2) Meets all additional requirements established by the EMS Training and Educational Institution (TEI).

Section 2. Certification Requirements. Individuals desiring initial certification as an Emergency Medical Responder shall:

(1) Successfully complete a board approved training program that conforms to the United States Department of Transportation, National Highway Traffic Safety Administration, National Emergency Medical Services Education Standards-Emergency Medical Responder Instructional Guidelines, except that the education curriculum shall not be satisfied by the completion of refresher or transition courses alone;

(2) Meet all educational standards established in 202 KAR 7:601;

(3) Obtain certification as a NREMT-Emergency Medical Responder;

(4) Submit a completed EMR Initial Certification Application in KEMSIS;

(5) Pay the fee required for certification pursuant to 202 KAR 7:030;

(6) Undergo a background check pursuant to KRS 311A.050 and 311A.100, which shall be:

(a) National in scope for an applicant not currently certified at any level in Kentucky;

(b) Statewide in scope for an applicant with current certification in Kentucky;

(d) Provided by a vendor that has been contracted through the board; and

(e) Submitted to the board by the company that conducts the background check; and

(7) Be a citizen of the United States, a permanent resident of the United States, or otherwise lawfully present in the United States, as evidenced by submission to the board of:

(a) A Social Security card;

(b) Birth certificate;

(c) A United States Citizenship and Immigration Services (U.S.C.I.S.) Permanent Resident Card (form I-551/Green Card); or

(d) Other legal authorization to live and work in the United States.

Section 3. Renewal of Certification and Continuing Education Requirements.

(1) An Emergency Medical Responder shall be eligible for certification renewal if:

(a) The applicant submits a completed EMR Certification Renewal Application in KEMSIS;

(b) The applicant maintains written evidence of:

HIV/AIDS training required by KRS 311A.120;
Pediatric Abusive Head Trauma training required by KRS 311A.120; and
Awareness of Sexual Violence Training required by KRS 311A.120;

(d) The applicant maintains evidence of:

Current certification by the NREMT as an Emergency Medical Responder, except that if this option is used, the board may request, though a continuing education audit, proof of continuing education to verify compliance with the requirements of this section; or
Successful completion of the NREMT Emergency Medical Responder National Component of the Continued Competency Program for Continuing Education, which shall be validated by entities authorized to conduct continuing education pursuant to 202 KAR 7:601.

(2) An application for certification renewal shall be denied if:

(a) Prior to the certification expiration date, the applicant has not met the applicable requirements of this section; or

(b) The applicant has been subjected to disciplinary action that prevents certification renewal at the time of application.

(3) A certified Emergency Medical Responder, in good standing, who is a member of a National Guard or military reserve unit called to active duty by presidential order pursuant to 10 U.S.C. §§ 121 and 12304, shall be renewed according to KRS 12.355 upon submission of the Military Extension Application.

(4) The board office may audit an Emergency Medical Responder's continuing education and continuing education records. The Emergency Medical Responder shall submit the documentation requested within ten (10) business days of receipt of the board's request.

(5) The Emergency Medical Responder shall maintain documentation of all continuing education for three (3) years from the date of completion.

(6) If documentation of continuing education hours consistent with this administrative regulation are not received using the board-approved submission process within ten (10) business days of receipt of the board's request, the Emergency Medical Responder certification for the individual shall be summarily revoked and the individual shall reapply for certification through Reinstatement, if eligible.

(7) The ten (10) business days for submission shall not apply to investigations pursuant to KRS Chapter 311A.

Section 4. Reinstatement of Certification.

(1) An Emergency Medical Responder whose certification has lapsed may reinstate his or her certificate by submitting to the board:

(a) A completed EMR Reinstatement Certification Application in KEMSIS;

(b) Evidence of previous certification as an Emergency Medical Responder in the Commonwealth of Kentucky;

Pediatric Abusive Head Trauma as required by KRS 311A.120;
Awareness of Sexual Violence Training required by KRS 311A.120; and
HIV/AIDS training required by KRS 311A.120; and

(d) Evidence of successful completion of the NREMT Emergency Medical Responder National Component of the Continued Competency Program for Continuing Education within twelve (12) months preceding his or her application for reinstatement of Emergency Medical Responder.

(2) The applicant shall pay the fee required for reinstatement pursuant to 202 KAR 7:030.

(3) The applicant shall undergo a national background check provided by a vendor that has been contracted through the board. The applicant shall not directly submit a background check to meet the requirements of this section. The background check shall be submitted to the board by the company that conducts the background check.

(4) Background checks that are older than six (6) months shall not be considered current, and the applicant shall undergo another national background check prior to approval of reinstatement of certification.

(5) The applicant for reinstatement of certification shall bear the burden of proof of previous certification in Kentucky if the previous certification is in issue or dispute.

(6) An applicant who is ineligible for certification pursuant to KRS 311A.050 through 311A.090 shall be ineligible for reinstatement.

Section 5. Emergency Medical Responder Reciprocity.

(1) An individual who is certified in another state as an Emergency Medical Responder or by the NREMT as a NREMT-Emergency Medical Responder or any member of the United States Armed Forces, or veteran who has transitioned within the past six (6) years from the United States Armed Forces, and has been registered by the National Registry as a NREMT-Emergency Medical Responder or EMT shall be eligible for reciprocity for Kentucky certification as an Emergency Medical Responder if the applicant submits:

(a) A completed EMR Reciprocity Certification Application in KEMSIS;

(b) Proof of the applicant's current unrestricted certification as a NREMT-Emergency Medical Responder or current Emergency Medical Responder certification in another state, or proof of completing a board-approved United States Armed Forces medical training course which included NREMT-Emergency Medical Technician certification; and

HIV/AIDS training required by KRS 311A.120;
Pediatric Abusive Head Trauma as required by KRS 311A.120; and
Awareness of Sexual Violence Training required by KRS 311A.120.

(2) An applicant shall pay the fee required for reciprocity pursuant to 202 KAR 7:030.

(3) An applicant for Emergency Medical Responder reciprocity shall undergo a national background check provided by a vendor that has been contracted through the board.

(a) An applicant shall not directly submit a background check to meet the requirements of this section. The background check shall be submitted to the board by the company that conducts the background check.

(b) Background checks that are older than six (6) months shall not be considered current, and the applicant shall undergo another national background check prior to approval of certification through reciprocity.

(4) An applicant shall not have been convicted of offenses described in KRS 311A.050.

(5) An applicant shall not have been subjected to discipline that would prevent reciprocity at the time of application.

(6) An Emergency Medical Responder certified pursuant to this administrative regulation shall not perform any procedures or skill on which the Emergency Medical Responder has not been trained. An Emergency Medical Responder who performs a skill for which the Emergency Medical Responder does not have documented training shall have exceeded the scope of practice and shall be in violation of KRS 311A.050.

(7) An Emergency Medical Responder certified pursuant to this section shall complete the Kentucky supplemental Emergency Medical Responder curricula for the procedures listed in 202 KAR 7:701 prior to beginning work for a licensed agency in Kentucky.

(a) Kentucky supplemental Emergency Medical Responder curricula consistent with 202 KAR 7:701 shall be provided during employee orientation, or by entities authorized to conduct continuing education pursuant to 202 KAR 7:601.

(b) Verification of competency on the supplemental curricula procedures in 202 KAR 7:701 shall be maintained by the Emergency Medical Responder for a minimum of three (3) years. Failure to submit the EMR Supplemental Curriculum Training Verification Report upon request shall result in revocation of the Emergency Medical Responder certification.

(c) If an Emergency Medical Responder certified pursuant to this section fails to supply verification of competency as required by subsection (7) of this section, the Emergency Medical Responder shall be ineligible to apply for and receive Emergency Medical Responder reciprocity certification until the applicant has submitted the EMR Supplemental Curriculum Training Verification Report as required by 202 KAR 7:701, and shall reapply for Reciprocity through the process listed in this section.

Section 6. Scope of Practice. An Emergency Medical Responder shall provide emergency medical services consistent with the skills and procedures in the National EMS Scope of Practice Model and 202 KAR 7:701.

Section 7. Expiration of Certification.

(1) Certification periods and expiration dates shall be pursuant to KRS 311A.095.

(2) If an Emergency Medical Responder's certification lapses or expires, the Emergency Medical Responder shall cease provision of emergency medical services.

(3) An Emergency Medical Responder who has allowed his or her certification to lapse or expire shall reinstate certification pursuant to Section 4 of this administrative regulation.

Section 8. Surrender of Certification.

(1) An Emergency Medical Responder surrendering certification shall:

(a) Submit a completed Voluntary Surrender of EMR Certification Application in KEMSIS; and

(b) Pay the fee pursuant to 202 KAR 7:030.

(2) The applicant shall notify the board's licensed service director with whom the applicant is affiliated immediately upon surrendering his or her certification.

Section 9. Reporting Requirements.

(1) An Emergency Medical Responder shall maintain current demographic information in KEMSIS including:

(a) Legal name;

Any changes to an Emergency Medical Responder's legal name shall be submitted using the Name Change Application in KEMSIS; and
One (1) of the following documents as verification of name change:

a. Social Security card;

b. Driver's license; or

c. Passport;

(b) Mailing address;

(d) Phone number.

(2) An Emergency Medical Responder who does not comply with this section shall be subject to disciplinary action pursuant to KRS Chapter 311A.

Section 10. Exemptions from Emergency Medical Responder Administrative Regulations. Certification requirements for an Emergency Medical Responder shall not apply to:

(1) United States military personnel or state National Guard or employees of the United States government while providing services on a United States government-owned or operated facility, or while engaged in the performance of their official duties under federal law, or while providing assistance in a mass casualty or disaster type situation; or

(2) An Emergency Medical Responder certified in another state or territory of the United States who:

(a) Comes into Kentucky to transport a patient from another state into Kentucky; or

(b) Is transporting a patient through the state of Kentucky to an out-of-Kentucky location.

Section 11. Public Notice of Negative Action. The board office shall cause to be published on the board website the name of an Emergency Medical Responder who:

(1) Is fined;

(2) Is placed on probationary status;

(3) Is placed on restricted status;

(4) Is suspended; or

(5) Has had his or her certification revoked.

Section 12. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "National Emergency Medical Services Education Standards-Emergency Medical Responder Instructional Guidelines", The United States Department of Transportation, National Highway Traffic Safety Administration, DOT HS 811 077B, January 2009;

(b) "EMR Initial Certification Application" in KEMSIS, July 2019;

(d) "EMR Reciprocity Certification Application" in KEMSIS, July 2019;

(e) "EMR Reinstatement Certification Application" in KEMSIS, July 2019;

(f) "National EMS Scope of Practice Model", National Highway Traffic Safety Administration, DOT HS 810 657, February 2007;

(g) "National EMS Scope of Practice Model", National Highway Traffic Safety Administration, DOT HS 812 666, February 2019;

(h) "EMR Supplemental Curriculum Training Verification Report", July 2019;

(i) "Voluntary Surrender of EMR Certification Application" in KEMSIS, July 2019;

(j) "National Registry of Emergency Medical Technicians National Continued Competency Program EMR", October 2016;

(k) "Name Change Application" in KEMSIS, July 2019;

(l) "Military Extension Application" in KEMSIS, July 2019; and

(m) "United States Citizenship and Immigration Services (U.S.C.I.S.) Permanent Resident Card (form I-551/Green Card)", July 2019.

(2) This material may be inspected, obtained, or copied, subject to applicable copyright law, at the Office of the Kentucky Board of Emergency Medical Services, 500 Mero Street, 5th Floor 5SE32, Frankfort, Kentucky 40601, by appointment, Monday through Friday, 8 a.m. to 4:30 p.m.

(3) This material is also available on the board's Web site at: kyems.com.

History

RELATES TO: KRS 12.355, 311A.010, 311A.025, 311A.030, 311A.050-311A.090, 311A.095, 311A.100, 311A.120, 311A.140, 311A.145, 311A.160, 10 U.S.C. 121, 12304
STATUTORY AUTHORITY: KRS 311A.020, 311A.025, 311A.160
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311A.020 requires the board to promulgate administrative regulations relating to emergency medical responders. KRS 311A.025 and 311A.160 require the board to establish standards relating to emergency medical responders. This administrative regulation establishes the standards relating to emergency medical responders.
History: 30 Ky.R. 147; 915; 1214; 1476; eff. 11-19-2003; Cert eff. 2-19-2019; 47 Ky.R. 2428, 48 Ky.R. 390; eff. 9-22-2021; 49 Ky.R.1484, 1911; eff. 6-21-2023; 51 Ky.R. 748; eff. 2-5-2025.

202 KAR 7:301 Emergency medical technician {#sec-202-kar-7-301 omnilex-key=us-ky-regs-official--title-202--202 KAR 7:301}

Section 1. Emergency Medical Technician Student Eligibility. An individual shall be eligible to enroll as a student in an Emergency Medical Technician education and training program if the applicant:

(1) Is not currently subject to disciplinary action pursuant to KRS Chapter 311A that would prevent certification; and

(2) Meets all additional requirements established by the EMS Training and Educational Institution (EMS-TEI).

Section 2. Certification Requirements. Individuals desiring initial certification as an Emergency Medical Technician shall:

(1) Successfully complete a board approved education and training program that conforms to the curriculum of the United States Department of Transportation, National Highway Traffic Safety Administration National Emergency Medical Services Education Standards-Emergency Medical Technician Instructional Guidelines, except that the educational curriculum shall not be satisfied by the completion of refresher or transition courses alone;

(2) Meet all educational standards established by 202 KAR 7:601;

(3) Obtain certification as a NREMT-Emergency Medical Technician;

(4) Submit a completed EMT Initial Certification Application in KEMSIS;

(5) Pay the fee required for certification pursuant to 202 KAR 7:030;

(6) Undergo a background check pursuant to KRS 311A.050 and 311A.100, which shall be:

(a) National in scope for an applicant not currently certified at any level in Kentucky;

(b) Statewide in scope for an applicant with current certification in Kentucky;

(d) Provided by a vendor that has been contracted through the board; and

(e) Submitted to the board by the company that conducts the background check; and

(7) Be a citizen of the United States, a permanent resident of the United States, or otherwise lawfully present in the United States, as evidenced by submission to the board of:

(a) A Social Security card;

(b) Birth certificate;

(c) A United States Citizenship and Immigration Services (U.S.C.I.S.) Permanent Resident Card (form I-551/Green Card); or

(d) Other legal authorization to live and work in the United States.

Section 3. Renewal of Certification and Continuing Education Requirements.

(1) An Emergency Medical Technician shall be eligible for certification renewal if:

(a) The applicant submits a completed EMT Certification Renewal Application in KEMSIS;

(b) The applicant maintains written evidence of:

HIV/AIDS training required by KRS 311A.120;
Pediatric Abusive Head Trauma required by KRS 311A.120; and
Awareness of Sexual Violence Training required by KRS 311A.120;

(d) The applicant maintains evidence of:

Current certification by the NREMT as an Emergency Medical Technician, except that if this option is used, the board may request, through a continuing education audit, proof of continuing education to verify compliance with the requirements of this section; or
Successful completion of the NREMT Emergency Medical Technician National Component of the Continued Competency Program for Continuing Education, which shall be validated by entities authorized to conduct continuing education pursuant to 202 KAR 7:601.

(2) An application for certification renewal shall be denied if:

(a) Prior to the certification expiration date, the applicant has not met the applicable requirements of this section; or

(b) The applicant has been subjected to disciplinary action that prevents certification renewal at the time of application.

(3) A certified Emergency Medical Technician, in good standing, who is a member of a National Guard or a military reserve unit called to active duty by presidential order pursuant to 10 U.S.C. §§ 121 and 12304, shall be renewed according to KRS 12.355 upon submission of the Military Extension Application.

(4) The board office may audit an Emergency Medical Technician's continuing education and continuing education records. The Emergency Medical Technician shall submit the documentation requested within ten (10) business days of receipt of the board's request.

(5) If documentation of continuing education hours consistent with this administrative regulation are not received using the board-approved submission process within ten (10) business days of receipt of the board's request, the Emergency Medical Technician certification for the individual shall be summarily revoked and the individual shall reapply for certification through reinstatement if eligible.

(6) The ten (10) business days for submission shall not apply to investigations pursuant to KRS Chapter 311A.

(7) The Emergency Medical Technician shall maintain documentation of all continuing education for three (3) years from the date of completion.

Section 4. Reinstatement of Certification.

(1) An Emergency Medical Technician whose certification has lapsed may reinstate his or her certificate by submitting to the board:

(a) A completed EMT Reinstatement Certification Application in KEMSIS;

(b) Evidence of previous certification as an Emergency Medical Technician in the Commonwealth of Kentucky;

Pediatric Abusive Head Trauma as required by KRS 311A.120;
Awareness of Sexual Violence Training required by KRS 311A.120; and
HIV/AIDS training required by KRS 311A.120; and

(d) Payment of the fee pursuant to 202 KAR 7:030.

(2) The applicant for reinstatement of certification shall undergo a national background check provided by a vendor that has been contracted through the board.

(b) Background checks that are older than six (6) months shall not be considered current, and the applicant shall undergo another national background check prior to approval of reinstatement of certification.

(3) An applicant for reinstatement of certification shall submit to the board evidence of successful completion of the NREMT Emergency Medical Technician National Component of the Continued Competency Program for Continuing Education within twelve (12) months preceding his or her application for reinstatement of the Emergency Medical Technician.

(4) The applicant for reinstatement of certification shall bear the burden of proof of previous certification in Kentucky if the previous certification is in issue or dispute.

(5) An applicant who is ineligible for certification pursuant to KRS 311A.050 through 311A.090 shall be ineligible for reinstatement.

Section 5. Emergency Medical Technician Reciprocity.

(1) An individual who is certified in another state or by the NREMT as an Emergency Medical Technician or any member of the United States Armed Forces, or veteran who has transitioned within the past six (6) years from the United States Armed Forces, and has been registered by the National Registry as a NREMT-Emergency Medical Technician shall be eligible for reciprocity for Kentucky certification as an Emergency Medical Technician if the applicant submits:

(a) A completed EMT Reciprocity Certification Application in KEMSIS;

(b) Proof of the applicant's current unrestricted certification as a NREMT-Emergency Medical Technician or current Emergency Medical Technician certification in another state, or proof of completing a board-approved United States Armed Forces medical training course which included NREMT-Emergency Medical Technician certification; and

HIV/AIDS training required by KRS 311A.120;
Pediatric Abusive Head Trauma as required by KRS 311A.120; and
Awareness of Sexual Violence Training required by KRS 311A.120.

(2) An applicant shall pay the fee required for certification through reciprocity pursuant to 202 KAR 7:030.

(3) An applicant for Emergency Medical Technician reciprocity shall undergo a national background check provided by a vendor that has been contracted through the board.

(4) An applicant shall not have been convicted of offenses described in KRS 311A.050.

(5) An applicant shall not have been subjected to discipline that would prevent reciprocity at the time of application.

(6) An Emergency Medical Technician certified pursuant to this administrative regulation shall not perform any procedures or skill on which the Emergency Medical Technician has not been trained. An Emergency Medical Technician who performs a skill for which the Emergency Medical Technician does not have documented training shall have exceeded the scope of practice and shall be in violation of KRS 311A.050.

(7) An Emergency Medical Technician certified pursuant to this section shall complete the Kentucky supplemental Emergency Medical Technician curricula for the procedures listed in 202 KAR 7:701 prior to beginning work for a licensed agency in Kentucky.

(a) Kentucky supplemental Emergency Medical Technician curricula consistent with 202 KAR 7:701 shall be provided during employee orientation, or by entities authorized to conduct continuing education pursuant to 202 KAR 7:601.

(b) Verification of competency on the supplemental curricula procedures in 202 KAR 7:701 shall be maintained by the Emergency Medical Technician for a minimum of three (3) years. Failure to submit the EMT Supplemental Curriculum Training Verification Report upon request shall result in revocation of the Emergency Medical Technician certification.

(c) If an Emergency Medical Technician certified pursuant to this section fails to supply verification of competency as required by subsection (7) of this section, the Emergency Medical Technician shall be ineligible to apply for and receive Emergency Medical Technician reciprocity certification until the applicant has submitted the EMT Supplemental Curriculum Training Verification Report as required by 202 KAR 7:701, and shall reapply for reciprocity through the process listed in this section.

Section 6. Scope of Practice. An Emergency Medical Technician shall provide emergency medical services consistent with the skills and procedures in the National EMS Scope of Practice Model and 202 KAR 7:701.

Section 7. Expiration of Certification.

(1) Certification periods and expiration dates shall be pursuant to KRS 311A.095.

(2) If an Emergency Medical Technician's certification lapses or expires, the Emergency Medical Technician shall cease provision of emergency medical services.

(3) An Emergency Medical Technician who has allowed his or her certification to lapse or expire shall be required to reinstate certification pursuant to Section 4 of this administrative regulation.

Section 8. Downgrading Certification.

(1) An Emergency Medical Technician currently certified as an Emergency Medical Technician by the board shall be eligible for certification downgrade if:

(a) The certification is in good standing with no pending disciplinary action;

(b) The applicant submits a completed EMT Certification Downgrade Application in KEMSIS; and

(2) An Emergency Medical Technician shall only be eligible to downgrade his or her certification to an Emergency Medical Responder certification.

(3) Certification periods and expiration dates shall be pursuant to KRS 311A.095.

(4) An applicant shall undergo a background check pursuant to KRS 311A.050 and 311A.100. The background check shall be:

(a) Statewide in scope for an applicant with current certification in Kentucky;

(b) Less than six (6) months old when the applicant submits to the board all requirements for certification; and

(5) Downgrade shall be denied if the applicant has not met the requirements of this section or has been subject to disciplinary action that prevents certification at the time of application.

(6) The applicant shall be responsible for meeting the renewal requirements of the downgraded certification level issued prior to expiration of that certification.

(7) To reinstate the certification or license that was previously held, the applicant shall meet the regulatory requirements for that level of certification or licensure.

(8) The applicant shall notify the board's licensed service director with whom the applicant is affiliated immediately upon downgrading his or her certification.

(9) Once the applicant has downgraded his or her certification or license, the applicant shall no longer be permitted to provide emergency medical services at the previous certification or license level held.

(10) An applicant applying for downgrade who does not comply with this section shall be subject to disciplinary action pursuant to KRS Chapter 311A.

(11) All endorsements, certifications, or licenses held at the previous certification or license level shall be void at the completion of the downgrade.

Section 9. Surrender of Certification.

(1) An Emergency Medical Technician surrendering certification shall:

(a) Submit a completed EMT Certification Surrender Application in KEMSIS; and

(b) Pay the fee pursuant to 202 KAR 7:030.

(2) The applicant shall notify the board's licensed service director with whom the applicant is affiliated immediately upon surrendering his or her certification.

Section 10. Reporting Requirements.

(1) An Emergency Medical Technician shall maintain current demographic information in KEMSIS including:

(a) Legal name;

Any changes to an Emergency Medical Technician's legal name shall be submitted using the Name Change Application in KEMSIS; and
One (1) of the following documents as verification of name change:

a. Social Security card;

b. Driver's license; or

c. Passport;

(b) Mailing address;

(d) Phone number.

(2) An Emergency Medical Technician who does not comply with this section shall be subject to disciplinary action pursuant to KRS Chapter 311A.

Section 11. Exemptions from Emergency Medical Technician Administrative Regulations. Certification requirements for an Emergency Medical Technician shall not apply to:

(1) United States military personnel or state National Guard or employees of the United States government while providing services on a United States government owned or operated facility, or while engaged in the performance of their official duties under federal law, or while providing assistance in a mass casualty or disaster type situation; or

(2) An Emergency Medical Technician certified in another state or territory of the United States who:

(a) Comes into Kentucky to transport a patient from another state into Kentucky; or

(b) Is transporting a patient through the state of Kentucky to an out-of-Kentucky location.

Section 12. Public Notice of Negative Action. The board office shall cause to be published on the board Web site the name of an Emergency Medical Technician who:

(1) Is fined;

(2) Is placed on probationary status;

(3) Is placed on restricted status;

(4) Is suspended; or

(5) Has had his or her certification revoked.

Section 13. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "National Emergency Medical Services Education Standards-Emergency Medical Technician Instructional Guidelines", The United States Department of Transportation, National Highway Traffic Safety Administration, DOT HS 811 077C, January 2009;

(b) "EMT Initial Certification Application" in KEMSIS, July 2019;

(d) "EMT Reciprocity Certification Application" in KEMSIS July 2019;

(e) "EMT Reinstatement Certification Application" in KEMSIS, July 2019;

(f) "National EMS Scope of Practice Model", National Highway Traffic Safety Administration, DOT HS 810 657, February 2007;

(g) "National EMS Scope of Practice Model", National Highway Traffic Safety Administration, DOT HS 812 666, February 2019;

(h) "EMT Supplemental Curriculum Training Verification Report", July 2019;

(i) "EMT Certification Downgrade Application" in KEMSIS, July 2019;

(j) "EMT Certification Surrender Application" in KEMSIS, July 2019;

(k) "National Registry of Emergency Medical Technicians National Continued Competency Program EMT", October 2016;

(l) "Name Change Application" in KEMSIS, July 2019;

(m) "Military Extension Application" in KEMSIS, July 2019; and

(n) "United States Citizenship and Immigration Services (U.S.C.I.S.) Permanent Resident Card (form I-551/Green Card)", July 2019.

(3) This material is also available on the board's Web site at: kyems.com.

History

RELATES TO: KRS 12.355, 311A.010, 311A.025, 311A.050-311A.090, 311A.095, 311A.100, 311A.120, 311A.130, 311A.140, 311A.145, 311A.165, 10 U.S.C. 121, 12304
STATUTORY AUTHORITY: KRS 311A.020, 311A.025, 311A.030, 311A.140, 311A.165
NECESSITY, FUNCTION, AND CONFORMITY: KRS 311A.025 requires the board to promulgate administrative regulations relating to Emergency Medical Technicians. This administrative regulation establishes requirements for Emergency Medical Technicians.
History: 30 Ky.R. 149; 917; 1216; 1478; eff. 11-19-2003; Cert eff. 2-19-2019; 47 Ky.R. 2433, 48 Ky.R. 394; eff. 9-22-2021; 49 Ky.R. 1488, 1913; eff. 6-21-2023; 51 Ky.R. 752; eff. 2-5-2025.

202 KAR 7:330 Advanced emergency medical technician {#sec-202-kar-7-330 omnilex-key=us-ky-regs-official--title-202--202 KAR 7:330}

Section 1. Advanced Emergency Medical Technician Student Eligibility. An individual shall be eligible to enroll as a student in an Advanced Emergency Medical Technician education and training program if the applicant:

(1) Is currently certified at a minimum of an Emergency Medical Technician by the board or the NREMT;

(2) Is not currently subject to disciplinary action pursuant to KRS Chapter 311A that would prevent certification; and

(3) Meets all additional requirements established by the EMS Training and Educational Institution (EMS-TEI).

Section 2. Certification Requirements.

(1) Individuals desiring initial certification as an Advanced Emergency Medical Technician shall:

(a) Successfully complete a board approved education and training program that conforms to the curriculum of the United States Department of Transportation, National Highway Traffic Safety Administration National Emergency Medical Services Education Standards-Advanced Emergency Medical Technician Instructional Guidelines, except that the educational curriculum shall not be satisfied by the completion of refresher or transition courses alone;

(b) Meet all educational standards established in 202 KAR 7:601;

(d) Be a citizen of the United States, a permanent resident of the United States, or otherwise lawfully present in the United States, as evidenced by submission to the board of:

A Social Security card;
Birth certificate;
A United States Citizenship and Immigration Services (U.S.C.I.S.) Permanent Resident Card (form I-551/Green Card); or
Other legal authorization to live and work in the United States.

(e) Submit a completed AEMT Initial Certification Application in KEMSIS; and

(f) Pay the fee pursuant to 202 KAR 7:030 for certification as an Advanced Emergency Medical Technician.

(2) An applicant shall undergo a background check pursuant to KRS 311A.050 and 311A.100. The background check shall be:

(a) National in scope for an applicant not currently certified at any level in Kentucky;

(b) Statewide in scope for an applicant with current certification in Kentucky;

(d) Provided by a vendor that has been contracted through the board.

(3) An applicant shall not directly submit a background check. The background check shall be submitted to the board by the company that conducts the background check.

Section 3. Renewal of Certification and Continuing Education Requirements.

(1) An Advanced Emergency Medical Technician shall be eligible for certification renewal if:

(a) The applicant submits a completed AEMT Certification Renewal Application in KEMSIS;

(b) The applicant maintains written evidence of:

HIV/AIDS training required by KRS 311A.120;
Pediatric Abusive Head Trauma as required by KRS 311A.120; and
Awareness of Sexual Violence Training required by KRS 311A.120;

(2) The applicant maintains evidence of:

(a) Current certification by the National Registry of Emergency Medical Technicians as an Advanced Emergency Medical Technician, except that if this option is used, the board may request, through a continuing education audit, proof of continuing education to verify compliance with the continuing education requirements of this section; or

(b) Successful completion of the NREMT Advanced Emergency Medical Technician National Component of the Continued Competency Program, for Continuing Education which shall be validated by entities authorized to conduct continuing education pursuant to 202 KAR 7:601.

(3) An application for certification renewal shall be denied if:

(a) Prior to the certification expiration date, the applicant has not met the applicable requirements of this section;

(b) The applicant has been subjected to disciplinary action that prevents certification renewal at the time of application; or

(4) A certified Advanced Emergency Medical Technician, in good standing, who is a member of a branch of the United States National Guard or a military reserve unit called to active duty by presidential order pursuant to 10 U.S.C. §§ 121 and 12304, shall be renewed in accordance with KRS 12.355 upon submission of the Military Extension Application.

(5) The board office may audit an Advanced Emergency Medical Technician's continuing education and continuing education records.

(6) The Advanced Emergency Medical Technician shall submit the documentation requested within ten (10) business days of receipt of the board's request. If documentation of continuing education hours consistent with this administrative regulation are not received using the board-approved submission process within ten (10) business days of receipt of the board's request, the Advanced Emergency Medical Technician certification for the individual shall be summarily revoked and the individual shall reapply for certification through Reinstatement if eligible.

(7) The ten (10) business days for submission shall not apply to investigations pursuant to KRS Chapter 311A.

(8) The Advanced Emergency Medical Technician shall maintain documentation of all continuing education for three (3) years from the date of completion.

Section 4. Reinstatement of Certification.

(1) An Advanced Emergency Medical Technician whose Kentucky certification has lapsed shall be eligible for reinstatement of certification if the applicant submits:

(a) A completed AEMT Reinstatement Certification Application in KEMSIS; and

(b) Evidence of:

Previous certification as an Advanced Emergency Medical Technician in the Commonwealth of Kentucky;
Proof of current training in:

a. Pediatric Abusive Head Trauma as required by KRS 311A.120;

b. Awareness of Sexual Violence Training required by KRS 311A.120; and

c. HIV/AIDS training required by KRS 311A.120.

(2) The applicant shall pay the fee pursuant to 202 KAR 7:030.

(3) The applicant for reinstatement of certification shall undergo a national background check provided by a vendor that has been contracted through the board.

(4) The applicant for reinstatement of certification shall bear the burden of proof of previous certification in Kentucky if the previous certification is in issue or dispute.

(5) An applicant for reinstatement of an Advanced Emergency Medical Technician certification shall submit to the board evidence of successful completion of the NREMT Advanced Emergency Medical Technician National Component of the Continued Competency Program for Continuing Education within the twelve (12) months preceding application for reinstatement of the Advanced Emergency Medical Technician.

(6) An applicant who is ineligible for certification pursuant to KRS 311A.050 through 311A.090 shall be ineligible for reinstatement.

Section 5. Advanced Emergency Medical Technician Reciprocity.

(1) An individual who is certified in another state or by the NREMT as an Advanced Emergency Medical Technician or any member of the United States Armed Forces, or veteran who has transitioned within the past six (6) years from the United States Armed Forces, and has been registered by the National Registry as an Advanced Emergency Medical Technician or EMT and has successfully completed a board-approved United States Armed Forces medical training course shall be eligible for reciprocity for certification as an Advanced Emergency Medical Technician in Kentucky if the applicant submits:

(a) A completed AEMT Reciprocity Certification Application in KEMSIS;

(b) Proof of the applicant's current unrestricted NREMT certification as an Advanced Emergency Medical Technician or current Advanced Emergency Medical Technician certification in another state or proof of completing a board-approved United States Armed Forces medical training course which included NREMT-Emergency Medical Technician certification; and

HIV/AIDS training required by KRS 311A.120;
Pediatric Abusive Head Trauma training required by KRS 311A.120; and
Awareness of Sexual Violence Training required by KRS 311A.120.

(2) An applicant shall pay the fee required for certification through reciprocity pursuant to 202 KAR 7:030.

(3) An applicant for Advanced Emergency Medical Technician reciprocity shall undergo a national background check provided by a vendor that has been contracted through the board. An applicant shall not directly submit a background check. The background check shall be submitted to the board by the company that conducts the background check. Background checks that are older than six (6) months shall not be considered current, and the applicant shall undergo another national background check prior to approval of certification through reciprocity.

(4) An applicant shall not have been convicted of offenses described in KRS 311A.050.

(5) An applicant shall not have been subjected to discipline that would prevent reciprocity at the time of application.

(6) An Advanced Emergency Medical Technician certified pursuant to Section 2 of this administrative regulation shall not perform any procedures or skill on which the Advanced Emergency Medical Technician has not been trained. An Advanced Emergency Medical Technician who performs a skill for which the Advanced Emergency Medical Technician does not have documented training shall have exceeded the scope of practice and shall be in violation of KRS 311A.050.

(7) An Advanced Emergency Medical Technician certified pursuant to this section shall complete the Kentucky supplemental Advanced Emergency Medical Technician curricula for the procedures listed in 202 KAR 7:701 prior to beginning work for a licensed agency in Kentucky.

(8) Kentucky supplemental Advanced Emergency Medical Technician curricula consistent with 202 KAR 7:701 shall be provided during employee orientation, or by entities authorized to conduct continuing education pursuant to 202 KAR 7:601.

(9) Verification of competency on the supplemental curricula procedures in 202 KAR 7:701 shall be maintained by the Advanced Emergency Medical Technician for a minimum of three (3) years. Failure to submit the AEMT Supplemental Curriculum Training Verification Report shall result in revocation of Advanced Emergency Medical Technician certification.

(10) If an Advanced Emergency Medical Technician certified pursuant to this section fails to supply verification of competency as required by subsection (7) of this section the Advanced Emergency Medical Technician shall be ineligible to apply for and receive Advanced Emergency Medical Technician reciprocity certification until the applicant has submitted the AEMT Supplemental Curriculum Training Verification Report as required pursuant to 202 KAR 7:701, and shall reapply for Reciprocity through the process set forth in this section.

Section 6. Scope of Practice. An Advanced Emergency Medical Technician shall provide emergency medical services consistent with the skills and procedures in the National EMS Scope of Practice Model and 202 KAR 7:701.

Section 7. Expiration of Certification.

(1) Certification periods and expiration dates shall be pursuant to KRS 311A.095.

(2) If an Advanced Emergency Medical Technician's certification lapses or expires, the Advanced Emergency Medical Technician shall cease provision of emergency medical services.

(3) An Advanced Emergency Medical Technician who has allowed his or her certification to lapse or expire shall be required to reinstate certification pursuant to Section 4 of this administrative regulation.

Section 8. Downgrading Certification.

(1) An Advanced Emergency Medical Technician currently certified as an Advanced Emergency Medical Technician by the board shall be eligible for certification downgrade if:

(a) The certification is in good standing with no pending disciplinary action;

(b) The applicant submits a completed AEMT Certification Downgrade Application in KEMSIS; and

(2) An Advanced Emergency Medical Technician is only eligible to downgrade his or her certification to an Emergency Medical Technician or Emergency Medical Responder certification.